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Guidance on Landfill Closure Survey PlatsDoc ID: Closure
Solid Waste Interpretive Guidance Statement (SWIGS) revised: 8/12/96 CLOSURE DOCUMENTS-SURVEY PLATS This guidance is intended to clarify the use of the survey plat in SWMF closures.
This document is intended only for use by staff of the Department of Environmental Quality. It is not intended to be complete or legally exact. Staff are to use this document as a guide only. As a guidance document, it has not been promulgated under the Virginia Administrative Process Act, Section 9-6.14:1 et.seq., of the 1950 Code of Virginia, as amended. It creates no rights, procedural or substantive, and may be revised without notice to the public. In the event of any conflict between this guidance and any provision of the Waste Management Act or any regulation promulgated by the Waste Management Board, the statute or regulation shall govern.
In accordance with the landfill closure requirements of the Virginia Solid Waste Management Regulations (9 VAC 20-80-250 through 270), following the closure of all units the owner or operator shall, within 90 days, submit to the local land recording authority a survey plat, prepared by a professional land surveyor registered by the Commonwealth or a person qualified in accordance with Title 54 of the Code, indicating the location and dimension of the landfill disposal areas (see: 9 VAC 20-80-250.E.5.d.(2) Sanitary LF, 9 VAC 20-80-260.E.5 CDD LF, and 9 VAC 20-80-270.E.6 Industrial LF).
In addition, the owner/operator is required to record a notation on the deed to the facility property, or on Αsome other instrument which is normally examined during title searches≅, notifying any potential purchaser of the property that the land has been used to manage solid waste and its use is restricted (see: 9 VAC 20-80-250.E.5.d.(3) Sanitary LF, 9 VAC 20-80-260.E.6 CDD LF, and 9 VAC 20-80-270.E.7 Industrial LF).
The question has come up as to whether the survey plat can be used as Αsome other instrument≅ to comply with the notation requirement.
Be advised that the requirement for a survey plat is separate from the requirement for a deed notation. The survey plat is not adequate for the notation and should not be used to comply with this requirement.
E:\OTAW Files\Guidance Documents\SWIGS\Closure Documents - Survey Plats 8-6-96.doc SWIGS - Disposal of Sharps, Page 1 of 1
Groundwater Monitoring and Expansion Notice RequirementsDoc ID: Notice
03-1997-20-80
MEMORANDUM
TO:
Waste Permitting Office
FROM: Hassan Vakili
SUBJECT: Virginia Code §10.1-1408.1.N. (HB 1911)
Notice for Expansion for Category 2 and
Category 3 Facilities
DATE: October 14, 1997
A category 2 or 3 facility must provide written notice of the proposed expansion at least 60 days before commencement of construction. The notice must include “recent groundwater monitoring data sufficient to determine that the facility does not pose a threat of contamination of groundwater in a manner constituting an open dump or creating a substantial present or potential hazard to human health and the environment.”
The groundwater demonstration must include recent analytical data. For facilities that have been monitoring in compliance with the Phase I groundwater monitoring with no statistically significant increases, the statistical comparisons of the indicator parameters is adequate to demonstrate that the facility is not adversely affecting groundwater.
Category 2 and 3 facilities that have determined a statistically significant increase for the indicator parameters must supply recent groundwater data to demonstrate that the facility is not an open dump.
The data must contain analytical concentrations of all Virginia Solid Waste Management Regulations, Appendix 5.1 constituents that have Safe Drinking Water Act maximum contaminant levels (MCLs). The analytical data must include LODs/LOQs and all constituents must have LOQs equal to or less than the respective MCLs, if an appropriate analytical method is available. As a part of the analysis, the data should be checked for distribution, outliers, and missing values.
The comparison of the recent analytical data to the respective MCLs must be a statistical comparison.
The facility shall statistically compare the data from two recent sampling events to the background statistical limits. An appropriate number of samples shall be collected to establish the background level.
H. B. 1911 Memorandum October 14, 1997 Page 2
For all those Appendix 5.1 constituents which do not have adequate background established, or concentrations are above background, the facility shall collect, at a minimum, four independent samples for each downgradient well to statistically compare against the promulgated MCL. It is suggested that quarterly samples be taken for one year to develop adequate, independent data for the comparison.
Facilities that demonstrate that no Appendix 5.1 constituent exceeds the respective MCL are eligible for expansion under Virginia Code §10.1-1408.1.N. Facilities that fail the demonstration cannot expand laterally without a major permit amendment.
Facilities can expand only into areas which were permitted for disposal prior to March 15, 1993 and category 3 facilities must first install liners and leachate control systems in accordance with the regulations before expansion. If the notification submitted does not contain such language, then the Department’s evaluation shall include the requirements. Additional requirements may be necessary to ensure compliance with the regulations and to prevent a substantial present or potential threat to human health and the environment.
Emergency Permits for Hazardous Waste EmergenciesDoc ID: Emergency
Virginia Department of Environmental Quality Waste Division, Office of Waste Permitting and Compliance Hazardous Waste Program
Memorandum 629 E. Main St., P.O. Box 1105, Richmond, VA 23218 ______________________________________________________________ Subject: Emergency Permits – Virginia Hazardous Waste Management Regulations and the RCRA Regulations - Guidance Summary
To: Leslie Romanchik, Hazardous Waste Program Manager Office of Waste Permitting and Compliance
From: Richard J. Criqui, Jr., C.P.S.S., Environmental Engineer Senior
DATE: May 13, 2010
Copies: Jeff Steers, Director, Waste Division, DEQ
The purpose of this memorandum is to provide a general summary guidance document regarding the regulatory requirements associated with Emergency Permits under the Virginia Hazardous Waste Management Regulations (VHWMR) under 9VAC-20-60, and as incorporated by reference, the RCRA Regulations.
This guidance is intended for use by any facility which may be subject to the regulatory requirements under the above Regulations and, in particular, to immediate responses to suspected presence of military munitions, other explosive material, or an explosive device, which pose an immediate threat to human health, public safety, property or the environment.
These below cited RCRA Regulations essentially specify the following with regard to an emergency: During the immediate responses to emergencies involving military munitions, an explosive device, or other explosive material, as determined by an explosive or munitions emergency response specialist, and if conducted in accordance with the requirements of the RCRA Regulations, then the immediate response would not be subject to the RCRA (VHWMR) permitting, emergency permit, generator, and transportation (manifest, etc.) requirements. However, any person who continues or initiates hazardous waste treatment or containment activities after the immediate response is over is subject to all applicable requirements of this part (Part 270) for those activities. Hazardous Waste Manifest and Hazardous waste transportation requirements may be applicable after immediate treatment associated with the immediate response, if the material continues to have a hazardous waste characteristic or is considered a listed hazardous waste under the RCRA Regulations.
If an emergency response is not considered time critical emergency response in accordance with these below RCRA Regulations, then the Department of Environmental Quality needs to be contacted for an Emergency Permit for the storage, treatment, and/or transportation of the hazardous waste material. (Also see below: 40 CFR Part 270, Subpart F, Special Forms of Permits, § 270.61, Emergency Permit Requirements.)
A summary of the applicable RCRA Regulations associated with emergency responses and emergency permits is provided below.
1The RCRA Regulations under 40 CFR Part 270, The Hazardous Waste Permit Program, § 270.1(c)(3), Further Exclusions, specifies:
(i) A person is not required obtain a RCRA permit for treatment or containment activities taken during immediate response to any of the following situations:
(A) A discharge of a hazardous waste;
(B) An imminent and substantial thereat of a discharge of hazardous waste;
(C) A discharge of a material which, when discharged, becomes a hazardous waste.
(D) An immediate threat to human health, public safety, property, or the environment from the known or suspected presence of military munitions, other explosive material, or an explosive device, as determined by an explosive or munitions emergency response specialist as defined in 40 CFR § 260.10.
(ii) Any person who continues or initiates hazardous waste treatment or containment activities after the immediate response is over is subject to all applicable requirements of this part (Part 270) for those activities.
(iii) In the case of emergency responses involving military munitions, the responding military emergency response specialists organizational unit must retain records for three years identifying the dates of the response, the responsible persons responding, the type and description of material addressed, and its disposition.
(For convenience, the RCRA Regulations definitions under 40 CFR § 260.10 are provided at the end of this document in Appendix 1 for the following: 1) explosive or munitions emergency response specialist, 2) explosives or munitions emergency, 3) explosives or munitions emergency response, and military munitions.)
The RCRA Regulations, under 40 CFR Part 266, Subpart M, Military Munitions, identifies when military munitions becomes a solid waste, when a military munition is not a solid waste, and if these wastes are also hazardous under Part 266, Subpart M or 40 CFR Part 261, the management standards that apply to the wastes. (It should be noted that under 40 CFR § 266.201, additional definitions are provided that apply to Part 266, Subpart M. These definitions are also included in Appendix 1 of this Guidance Document.)
Under 40 CFR Part 266, Subpart M, Military Munitions, § 266.204, Standards Applicable to Emergency Responses, specifies: Explosives and munitions emergencies involving military munitions or explosives are subject to 40 CFR §§ 262.10(i), 263.10(e), 264.1(g)(8), 265.1(c)(11), and 270.1(c)(3), or alternatively to 40 CFR 270.61, Emergency Permits.
Of these above citations under § 266.204, it should be noted that § 270.1(c)(3), Further Exclusions, (discussed above) identifies when a facility or person is not required to obtain an Emergency Permit for emergencies involving military munitions, explosive device, or explosive material.
As specified under § 266.204, the citation of § 264.1(g)(8) and § 265.1(c)(11), both indicate that the RCRA Treatment, Storage, Disposal (TSD) Facility Standards, under 40 CFR Part 264, and the Interim Status TSD Standards, respectively, do not apply to a person engaged in treatment or containment activities during immediate response to any of the situations identified and discussed under § 270.1(c)(3), Further Exclusions. (The Regulations under § 264.1(g)(8) and § 265.1(c)(11) are
2essentially the same as § 270.1(c)(3), with the exception of the below citation.)
Under both § 264.1(g)(8)(iv) and § 265.1(c)(11)(iv), these regulations specify the following: In the case of an explosives or munitions emergency response, if a Federal, State, Tribal or local official acting within the scope of his or her official responsibilities, or an explosives or munitions emergency response specialist, determines that immediate removal of the material or waste is necessary to protect human health or the environment, that official or specialist may authorize the removal of the material or waste by transporters who do not have EPA identification numbers and without the preparation of a manifest. In the case of emergencies involving military munitions, the responding military emergency response specialist's organizational unit must retain records for three years identifying the dates of the response, the responsible persons responding, the type and description of material addressed, and its disposition.
As specified under § 266.204, under 40 CFR Part 263, Standards Applicable to Transporters of Hazardous Wastes, § 263.10(e) indicates that: The regulations in this part do not apply to transportation during an explosives or munitions emergency response, conducted in accordance with 40 CFR 264.1(g)(8)(i)(D) or (iv) or 265.1(c)(11)(i)(D) or (iv), and 270.1(c)(3)(i)(D) or (iii).
Finally, as specified under § 266.204, under 40 CFR Part 262, Standards Applicable to Generators of Hazardous Waste, the 40 CFR 262.10(i), indicates that: Persons responding to an explosives or munitions emergency in accordance with 40 CFR 264.1(g)(8)(i)(D) or (iv) or 265.1(c)(11)(i)(D) or (iv), and 270.1(c)(3)(i)(D) or (iii) are not required to comply with the standards of this part.
In addition to the above RCRA regulatory requirements, it is recommended that the facility where an emergency response occurs, which is excluded from the requirement to obtain a RCRA Emergency Permit, manifest, etc., that the facility maintains a complete record of the emergency response incident and the facility should be able to identify the location of the emergency response detonation in the facility’s operating record. (Use of a GPS or other coordinate system to identify the location is suggested.)
40 CFR Part 270, Subpart F, Special Forms of Permits, § 270.61, Emergency Permit Requirements
If the emergency response is not excluded from the requirements of an Emergency Permit, as noted above, then the requirements of § 270.61, Emergency Permits, applies and which specifies the following:
(a) Notwithstanding any other provision of this part or part 124, in the event the Director finds an imminent and substantial endangerment to human health or the environment the Director may issue a temporary emergency permit:
(1) To a non-permitted facility to allow treatment, storage, or disposal of hazardous waste or
(2) to a permitted facility to allow treatment, storage, or disposal of a hazardous waste not covered by an effective permit.
(b) This emergency permit:
(1) May be oral or written. If oral, it shall be followed in five days by a written emergency permit;
3(2) Shall not exceed 90 days in duration;
(3) Shall clearly specify the hazardous wastes to be received, and the manner and location of their treatment, storage, or disposal;
(4) May be terminated by the Director at any time without process if he or she determines that termination is appropriate to protect human health and the environment;
(5) Shall be accompanied by a public notice published under 124.10(b) including:
(i) Name and address of the office granting the emergency authorization; (ii) Name and location of the permitted HWM facility; (iii) A brief description of the wastes involved; (iv) A brief description of the action authorized and reasons for authorizing it; and (v) Duration of the emergency permit; and
(6) Shall incorporate, to the extent possible and not inconsistent with the emergency situation, all applicable requirements of this part and 40 CFR parts 264 and 266.
4 Appendix 1
40 CFR § 260.10, Definitions
Explosives or munitions emergencymeans a situation involving the suspected or detected presence of unexploded ordnance (UXO), damaged or deteriorated explosives or munitions, an improvised explosive device (IED), other potentially explosive material or device, or other potentially harmful military chemical munitions or device, that creates an actual or potential imminent threat to human health, including safety, or the environment, including property, as determined by an explosives or munitions emergency response specialist. Such situations may require immediate and expeditious action by an explosives or munitions emergency response specialist to control, mitigate, or eliminate the threat.
Explosives or munitions emergency responsemeans all immediate response activities by an explosives and munitions emergency response specialist to control, mitigate, or eliminate the actual or potential threat encountered during an explosives or munitions emergency. An explosives or munitions emergency response may include in-place render-safe procedures, treatment or destruction of the explosives or munitions and/or transporting those items to another location to be rendered safe, treated, or destroyed. Any reasonable delay in the completion of an explosives or munitions emergency response caused by a necessary, unforeseen, or uncontrollable circumstance will not terminate the explosives or munitions emergency. Explosives and munitions emergency responses can occur on either public or private lands and are not limited to responses at RCRA facilities.
Explosives or munitions emergency response specialistmeans an individual trained in chemical or conventional munitions or explosives handling, transportation, render-safe procedures, or destruction techniques. Explosives or munitions emergency response specialists include Department of Defense (DOD) emergency explosive ordnance disposal (EOD), technical escort unit (TEU), and DOD-certified civilian or contractor personnel; and other Federal, State, or local government, or civilian personnel similarly trained in explosives or munitions emergency responses.
Military munitionsmeans all ammunition products and components produced or used by or for the U.S. Department of Defense or the U.S. Armed Services for national defense and security, including military munitions under the control of the Department of Defense, the U.S. Coast Guard, the U.S.
Department of Energy (DOE), and National Guard personnel. The term military munitions includes: confined gaseous, liquid, and solid propellants, explosives, pyrotechnics, chemical and riot control agents, smokes, and incendiaries used by DOD components, including bulk explosives and chemical warfare agents, chemical munitions, rockets, guided and ballistic missiles, bombs, warheads, mortar rounds, artillery ammunition, small arms ammunition, grenades, mines, torpedoes, depth charges, cluster munitions and dispensers, demolition charges, and devices and components thereof. Military munitions do not include wholly inert items, improvised explosive devices, and nuclear weapons, nuclear devices, and nuclear components thereof. However, the term does include non-nuclear components of nuclear devices, managed under DOE's nuclear weapons program after all required sanitization operations under the Atomic Energy Act of 1954, as amended, have been completed.
1 Appendix 1
40 CFR Part 266, Subpart M, § 266.10, Definitions
In addition to the definitions in 40 CFR 260.10, the following definitions apply to this subpart, Subpart
M:
Active range means a military range that is currently in service and is being regularly used for range activities.
Chemical agents and munitions are defined as in 50 U.S.C. Section 1521(j)(1).
Director is as defined in 40 CFR 270.2
Explosives or munitions emergency response specialist is as defined in 40 CFR 260.10.
Explosives or munitions emergency is as defined in 40 CFR 260.10.
Explosives or munitions emergency response is as defined in 40 CFR 260.10.
Inactive range means a military range that is not currently being used, but that is still under military control and considered by the military to be a potential range area, and that has not been put to a new use that is incompatible with range activities.
Military means the Department of Defense (DOD), the Armed Services, Coast Guard, National Guard, Department of Energy (DOE), or other parties under contract or acting as an agent for the foregoing, who handle military munitions.
Military munitions is as defined in 40 CFR 260.10.
Military range means designated land and water areas set aside, managed, and used to conduct research on, develop, test, and evaluate military munitions and explosives, other ordnance, or weapon systems, or to train military personnel in their use and handling. Ranges include firing lines and positions, maneuver areas, firing lanes, test pads, detonation pads, impact areas, and buffer zones with restricted access and exclusionary areas.
Unexploded ordnance (UXO) means military munitions that have been primed, fused, armed, or otherwise prepared for action, and have been fired, dropped, launched, projected, or placed in such a manner as to constitute a hazard to operations, installation, personnel, or material and remain unexploded either by malfunction, design, or any other cause.
2
Virginia Waste Oil Burning Equipment Certification GuideDoc ID: Guidance
COMMONWEALTH OF VIRGINIA
Department of Environmental Quality
GUIDANCE FOR THE CERTIFICATION OF
WASTE MOTOR OIL BURNING EQUIPMENT
FOR STATE INCOME TAX CREDIT
UNDER SECTION 58.1-439.10
OF THE CODE OF VIRGINIA
Revised August 1, 2002 GUIDANCE FOR THE CERTIFICATION OF
WASTE MOTOR OIL BURNING EQUIPMENT
FOR STATE INCOME TAX CREDIT
INTRODUCTION:
The 1998 Virginia General Assembly adopted a number of measures dealing with the matters of solid waste management and recycling. The 1998 General Assembly enacted an amendment to the Code of Virginia stating that any taxpayer who operates a business in the Commonwealth and accepts waste motor oil from the public "shall be allowed a credit against the tax imposed pursuant to §58.1-320 (or §58.1-400) in an amount equal to fifty percent of the purchase price paid during the taxable year for equipment used exclusively for burning waste motor oil at the business facility. The total credit allowed to any taxpayer under this section in any taxable year shall not exceed $5,000 and any tax credit under this section shall be used only for the taxable year in which the purchase price of the waste motor oil burning equipment was paid. "1 The provisions of this act became effective for taxable year beginning on January 1, 1999.
The waste oil burning equipment must be certified by the Department of Environmental Quality in accordance with §58.1-439.10 of the Code of Virginia.
For the purposes of certification, the Department of Environmental Quality will adhere to the procedures defined in this guidance.
I. DEFINITIONS:
For the purpose of this guidance, the following terms have these meanings:
"Certification" means a signed statement (see attached Form DEQ 50-12) by the director of the Department of Environmental Quality that the identified equipment is used exclusively to burn waste motor oil at the business facility, which accepts waste motor oil from the public.
"Department" means the Department of Environmental Quality.
"Director" means the director of the Department of Environmental Quality or his designee.
"Equipment" means a mechanical unit or system which burns waste motor oil.
"Purchase price paid" means the original cost of such equipment.
1 Chapter 3, Article 13, Section 58.1-439.10 Code of Virginia (1950) as amended. 2 "Waste motor oil" means, for the purpose of this standard, engine crankcase lubricating oil generated as household waste or "used oil" as defined in 40 CFR Part 279 and managed in accordance with the provisions in that section.
"Taxable year" means, for the purpose of this standard, all taxable years beginning on and after January 1, 1999. Virginia's taxable year follows the calendar or fiscal year for federal taxable purposes.
II. QUALIFYING EQUIPMENT:
- In order to qualify, waste motor oil burning equipment must be operated at a facility located in Virginia.
- Qualifying equipment includes any piece or system of equipment used exclusively in or on the premises of business facilities located within the Commonwealth which burns waste motor oil accepted from the public.
III. EQUIPMENT CERTIFICATION
The statute also stipulates that the department "shall certify that such equipment is used to burn waste motor oil at a business facility within the Commonwealth which accepts waste motor oil from the public..." before any tax consideration can be granted. Any applicant may apply for the tax credit certification by submitting attached Form DEQ 50-12 to:
The Department of Environmental Quality Attention: Equipment Certification Officer 1111 East Main Street, Suite 1400 Richmond, VA 23219; or PO Box 1105 Richmond, VA 23218
The applicant will provide, at a minimum, the following information:
- The purchaser's name and address;
- The name and location of the facility in which the equipment will be used;
- A description of the equipment and its intended use in the facility;
- A statement by the applicant indicating that the facility accepts waste motor oil from the public and the identified equipment is used exclusively to burn waste motor oil;
- The purchase price of the oil burning equipment; and
3 6. Documentation of ownership of the waste motor oil burning equipment (copies of purchase receipts, invoices, or such other documentation as may be necessary to confirm the purchaser's statement of purchase price paid) appropriate for filing with the Virginia Department of Taxation.
IV. CERTIFICATION REVIEW:
The department will review the information provided on attached Form DEQ 50-12 to determine if the equipment meets the criteria specified in the Code. Upon completion of the review, the department will return the applicant's form with a written explanation of the certification or non-certification of the waste oil burning equipment.
For further assistance about the standards, call the Department of Environmental Quality at 804-698-4145.
V. APPEAL PROCEDURE:
All appeals taken from actions of the director relative to the provisions of these standards shall be governed by the Virginia Administrative Process Act 2.2-4000 et seq. of the Code of Virginia
VI. TO RECEIVE TAX CREDIT:
In order to qualify for a state income tax credit, the applicant shall send the approved Form DEQ 50-12 or other certification document prepared by the department , documentary proof of the purchase price paid, and the Virginia tax return to:
Virginia Department of Taxation 2220 West Broad Street Richmond, VA 23220
For further assistance on taxation matters call: 804-225-4265.
4
Leachate Management Plan GuidelinesDoc ID: Submission
SOLID WASTE PERMITTING
SUBMISSION INSTRUCTION NO. 7
LEACHATE MANAGEMENT PLAN FOR SOLID WASTE MANAGEMENT FACILITIES Developed by: Virginia Department of Environmental Quality Office of Waste Permitting and Compliance 629 East Main Street Richmond, Virginia 23219 V. 01/2012 Solid Waste Permitting
Submission Instruction No. 7
TABLE OF CONTENTS
LEACHATE MANAGEMENT PLAN ...................................................................................................... 3
A. LEACHATE ESTIMATE .................................................................................................................................................... 3
B. LEACHATE COLLECTION ................................................................................................................................................. 4
- Drainage Layer Design .................................................................................................................................... 4
- Filter Layer and Pipe Protection Design ........................................................................................................... 5
- Leachate Collection Pipe .................................................................................................................................. 6
LCS Design Standard ........................................................................................................................................ 6
C. LEAKAGE MONITORING SYSTEM ..................................................................................................................................... 6
- Grading ............................................................................................................................................................ 6
- Pipe Network ................................................................................................................................................... 6
- Piping Strength ................................................................................................................................................ 7
- Sizing ............................................................................................................................................................... 7
- Drainage Media ............................................................................................................................................... 7
- Monitoring ....................................................................................................................................................... 7
D. LEACHATE REMOVAL SYSTEM ......................................................................................................................................... 7
E.
COLLECTION AND STORAGE UNITS .................................................................................................................................. 7
F.
LEACHATE TREATMENT OR DISPOSAL ............................................................................................................................... 7
G. LEACHATE RECIRCULATION ............................................................................................................................................ 7
H. ATTACHMENTS ............................................................................................................................................................ 8
- Leachate Estimate Modeling Results. .............................................................................................................. 8
- Leachate Collection System Calculations ......................................................................................................... 8
- Leakage Monitoring System Calculations ....................................................................................................... 8
- Leachate Collection Capacity ........................................................................................................................... 8
V. 01/2012
Page 2 Solid Waste Permitting
Submission Instruction No. 7 LEACHATE MANAGEMENT PLAN The Leachate Management Plan should be submitted with the Part B Application or Part B Modification Application as Attachment VIII to DEQ Form SW PTB. [9 VAC 20-81-130.L., 140.A.6., and 210] Format The format used for the Leachate Management Plan should encourage clear analysis and presentation of the proposed leachate management activities relating to collection, removal, treatment, and disposal. The Leachate Management Plan should start with a title page and table of contents followed by the following sections and discussions. The title page should identify the facility name and permit number, the permit applicant, document date, and document preparer information. In addition, the header or footer of each page should include the facility name, permit number, document title, revision date, and page number.
Leachate collection systems for solid waste disposal facilities are typically designed to include one or more drainage layers, a series of perforated leachate collection pipes, and a protective filter layer. Collected leachate is then removed through sumps or gravity drain carrier pipes to one or more tanks or surface impoundments/lagoons, before being disposed. Information on the proposed leachate management system to be installed and operated at the proposed solid waste disposal facility should be presented in this plan.
Leachate collection systems for solid waste management facilities may or may not be required depending on the design and operation of the proposed management facility. If the proposed solid waste management facility will collect, store, treat, and dispose of its leachate, information on the proposed leachate management system to be installed and operated at the proposed solid waste management facility should be presented in this plan, as applicable.
Operational details to include the frequency of inspections, monitoring, and maintenance activities relating to the leachate collection system, the frequency of leachate discharge or disposal, and the facility’s response to leachate seeps as required under § 9 VAC 20-81-210 should be addressed in the Operations Manual.
A. Leachate Estimate Estimate the quality and quantity of leachate to be generated annually by each unit, based on generally accepted methods for projection of leachate flow.1 The estimate shall include the 30-day volume and average flow rate for each month of the year. At a minimum, annual leachate production shall be estimated at 5-year intervals for 20 years or until closure, whichever is greater. For existing facilities, include the current leachate generation rate.
Indicate any flow meters or other equipment installed to quantify leachate generated.
Describe assumptions, data sources, and methods used to perform the modeling and calculations. Provide copies of model results and calculations in an attachment to this plan. [9 VAC 20-81-210.A.1.] 1 The Hydraulic Evaluation of Landfill Performance (HELP) Model
V. 01/2012
Page 3 Solid Waste Permitting
Submission Instruction No. 7 B. Leachate Collection In the following sections, provide information on the design of the proposed leachate collection system (LCS). Reference the appropriate Design Plans (PTB Attachment III) and Technical Specifications (PTB Attachment VII) as necessary. [9 VAC 20-81-210.A.]
- Drainage Layer Design Describe the materials to be used in the leachate collection system drainage layer. [9 VAC 20-81-210.A.3.] a. Soil Drainage Layer i. Bearing Strength.
Demonstrate that the drainage layer will have sufficient bearing strength to support expected loads. ii. Slope Stability.
If the landfill is designed on moderately to steeply (greater than 15%) sloping grades, include calculations demonstrating that the selected granular drainage materials will be stable on the most critical (e.g., usually the steepest) slope in the design. The calculations and assumptions shall be shown, especially the friction angles between all material interfaces, and supported by laboratory and/or field testing. b. Geosynthetic Drainage Layers Geosynthetic drainage nets (geonets and geocomposites) may be substituted for the granular layers of the leachate collection system. A granular protection layer may also be used to protect the underlying geosynthetics (geomembrane and geosynthetics drainage layer). A geonet can be considered for bottom drainage use in CDD and industrial landfills. Filter materials are sometimes used above geosynthetic drainage layer. These materials can experience problems with creep, intrusion, biological clogging etc. i. Transmissivity If a geonet is used in place of a granular drainage layer, it must provide the same level of performance (maintaining less than 12 inches of leachate head above the liner). Keep in mind that McEnroe’s equations, which are used in the HELP model to estimate the maximum head, implicitly assumes the estimated head is within the thickness of the drainage medium. Therefore, if the estimated head is greater than the thickness of the geosynthetic drainage layer, the estimated head become inaccurate because the assumption was not met.
Show the calculation used to compute the capacity of a geonet and filter system.
The transmissivity of a geonet can be reduced entirely by intrusion of the fine textured materials. Show the results of the laboratory transmissivity tests performed under loads, and configurations that closely replicate the actual field conditions. It is important that the transmissivity value used in the leachate
V. 01/2012
Page 4 Solid Waste Permitting
Submission Instruction No. 7 collection system design calculations be selected based upon those loaded conditions.2 Specify minimum transmissivity under expected operating (dynamic) and completion (static) loads. The specifications for thickness and type of materials shall be identified on the drawings and shall be consistent with the design calculations. ii. Side Slopes Show the friction factors against sliding for geotextiles, geonets, and geomembranes. Manufacturers' data may be used, but shall be supported by the results of actual tests using site materials. Show all sliding stability calculations.
- Filter Layer and Pipe Protection Design The openings in drainage materials, whether holes in pipes, voids in gravel, or apertures in geonets, are sometimes protected against clogging due to accumulation of fine (silt-sized) materials. An intermediate material, between the waste and drainage layer, having smaller openings than those of the drainage material, can be used as a filter. Sand or geotextiles may be used as filter material. The soil filter layer may be the uppermost layer of the LCRS; however, optionally, a buffer layer may be included to protect the filter layer from damage due to traffic. This buffer layer may be general fill, as long as it is no finer than the soil used in the filter layer. If leachate recirculation is to be included, care must be taken to ensure that the permeability of the buffer is sufficiently high. If geotextiles are used on a slope, they should be secured in an anchor trench similar to those for geomembranes or geonets. Demonstrate that the use of graded material or filter fabric system design will prevent physical clogging (sedimentation) throughout the active life of the landfill and the post-closure care period. To prevent chemical and biological clogging, show the design of a cleaning system to include: A minimum of six-inch diameter pipes to facilitate cleaning; A slope sufficient for self-cleaning;3 Access located at major pipe intersections or bends to allow for inspections and cleaning; and Valves, ports, or other appurtenances to introduce biocides and/or cleaning solutions. a. Soil Filter Layer Show how the design and material specifications of the filter layer will allow adequate flow of liquids through it, will provide adequate retention of fines, and evaluate the possibility of long-term clogging of the filter. Include estimates of particle size distribution of the drainage system and of the invading materials. Describe the 2 Use ASTM D-4716 to evaluate the transmissivity of the geonets. 3 Generally, flow velocities should be in the vicinity of two feet per second.
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Submission Instruction No. 7 thickness of the filter layer, the method of placement, and the dimensions of any envelope around the piping system. b. Geotextile Filter Layer Geotextile filter design parallels sand filter design with some modifications. The most important specifications are those of hydraulic conductivity and retention. In practice, it should be noted that the use of geotextiles as filter material has resulted in problems with clogging due to biological growth on the geotextile.
- Leachate Collection Pipe The design of perforated collection pipes should consider the following factors: The required flow using peak daily lateral drainage and percolation rates determined from running the HELP Model (assuming no run-off) and pipe spacing; Pipe size using the design leachate flow; and The structural strength of the pipe. a. Sizing Demonstrate that pipe and pipe perforation sizes are sufficient to allow free leachate access to the drainage system yet avoid clogging of the perforations and pipes by the drainage media. Show all calculations. b. Piping Strength The component that is most vulnerable to strength failure is the drainage layer piping. Demonstrate that any piping used will have sufficient strength to prevent collapse from anticipated static and dynamic loads. Pipe strength calculations should include resistance to wall crushing, pipe deflection, and critical buckling pressure.
- LCS Design Standard Discuss the capability of the LCS to maintain less than 30 cm (12 in) of leachate above the liner system. [9 VAC 20-81-210.A.2.] C. Leakage Monitoring System For landfills equipped with double liners, describe the design of the leak detection system and the materials of construction. Describe the layout and spacing of the pipe network. [9 VAC
20-81-210.A.]
- Grading Demonstrate that the leak detection points are appropriately located. Show that the drainage media in which the leakage monitoring system operates is appropriately graded to assure that leakage at any point in the liner system could be detected.
- Pipe Network If a pipe network is used to collect leakage, show calculations for the spacing of the pipe network.
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Submission Instruction No. 7
- Piping Strength Demonstrate that any piping used between the liners will have sufficient strength to prevent collapse from anticipated static and dynamic loadings.
- Sizing Demonstrate that pipe and pipe perforation sizes are sufficient to allow free liquid access to the drainage system yet avoid clogging of the perforations and pipes by the drainage media.
- Drainage Media Demonstrate sufficient gradation of drainage media and filter materials to allow free liquid access to LMS. Demonstrate that drainage media thickness and hydraulic conductivity will be sufficient to promote drainage.
- Monitoring Demonstrate that the LMS will provide timely detection of liquids entering the space between the liners. Indicate flow meters or other equipment that will be used to detect leaks.
D. Leachate Removal System Describe the components to be used to remove leachate from the landfill, referencing the appropriate Design Plans as necessary. If portable pumps are to be used, specify the schedule to move a pump from one sump to another in the operating plan. If gravity method is used for leachate removal, (1) show pipe penetrations through the geomembrane and liner system and describe the construction of the penetration and (2) provide a mechanism for emergency shut-off of leachate in the gravity pipe.
E. Collection and Storage Units Describe the design of collection and storage facilities associated with the LCS. The design may include berms, ditches, pumps, sumps, tanks, and surface impoundments. Guidance Memo 04-1993: HELP Model provides a procedure for calculating the minimum storage capacity in accordance with 9 VAC 20-81-210.B. Describe assumptions, data sources and methods used to make the calculations. [9 VAC 20-81-210.A.1., B. and C.] F. Leachate Treatment or Disposal Describe the leachate treatment or disposal method that will be used. [9 VAC 20-81-210.D.] G. Leachate Recirculation For sanitary landfills proposing to recirculate leachate over a Subtitle D or pre-approved liner system (9 VAC 20-81-130.J.1.a. and J.1.b.), indicate method of leachate recirculation to be used (direct injection, spray application, injection fields, etc.). Provide calculation, design and operational information pertaining to the pipe network and leachate application rates to be used. [9 VAC 20-81-210.D.]
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Submission Instruction No. 7 Leachate recirculation over any other liner or recirculation of liquids in addition to leachate or gas condensate from the landfill requires a Research, Development, and Demonstration Plan in accordance with 9 VAC 20-81-600.F.7. Guidance Memo 05-2009: Research, Development, and Demonstration Plans provides information on the RDD Submittal to be included in Part B Attachment XVII.
H. Attachments
- Leachate Estimate Modeling Results.
Provide copies of the modeling results and any calculations used to determine the maximum quantity of leachate presented in Section A.
- Leachate Collection System Calculations Provide copies of calculations substantiating the information provided in Section B.
- Leakage Monitoring System Calculations Provide copies of calculations substantiating the information provided in Section C, if applicable.
- Leachate Collection Capacity Provide copies of the modeling results and calculations indicating the 7-day storage volume and capacity of the leachate storage system as indicated in Section E.
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Landfill Underdrain Systems GuidanceDoc ID: Permitting
COMMONWEALTHCOMMONWEALTH OFOF VIRGINIAVIRGINIA DepartmentDepartment ofof EnvironmentalEnvironmental QualityQuality
Subject:Subject: DivisionDivisionofofLandLandProtectionProtectionandandRevitalizationRevitalizationGuidanceGuidanceMemoMemo No.No. 2016-022016-02 Permitting,Permitting, Sampling,Sampling, Analysis,Analysis, andand DataData ReportingReporting associatedassociated withwith SolidSolid WasteWaste LandfillLandfill UnderdrainUnderdrain SystemsSystems To:To: RegionalRegional LandLandProtectionProtection ProgramProgram Managers,Managers, RegionalRegional SolidSolid WasteWaste PermitPermit Writers,Writers, RegionalRegional SolidSolid WasteWaste ComplianceCompliance Inspectors,Inspectors, KathrynKathryn Perszyk,Perszyk, GeoffGeoff Christe,Christe, andand PriscillaPriscilla FisherFisher
From:From: Leslie Beckwith - ^(^Lc^ ^^u LeslieBeckwith Director,Director, OfficeOffice FinancialFinancial ResponsibilityResponsibility && WasteWaste ProgramsPrograms Date:Date: OctoberOctober 18,18, 20162016
Copies:Copies: RegionalRegional Directors,Directors, JustinJustin WilliamsWilliams
Summary:Summary: InIn thethe absenceabsence ofofregulatoryregulatory requirementsrequirements specificspecific toto underdrains,underdrains, thisthis guidanceguidance documentdocument hashas beenbeen developeddeveloped toto provideprovide owner/operatorsowner/operators ofofregulatedregulated solidsolid wastewaste managementmanagement facilitiesfacilities andand DEQDEQsolidsolidwastewastestaffstaffwithwithconsistentconsistent monitoringmonitoring requirementsrequirements andandpermitpermit languagelanguageforfor underdrainunderdrain systems.systems.
ElectronicElectronic Copy:Copy: AnAn electronicelectronic copycopy ofofthisthis guidanceguidance isis availableavailable onon thethe VirginiaVirginia RegulatoryRegulatory TownTown HallHall websitewebsite at:at: http://townhall.virginia.gov/L/GDocs.cfm?boardid=119http://townhall.virgima.eov/L/GDocs.cfm?boardid=l19
ContactContact Information:Information: PleasePlease contactcontact thethe solidsolid wastewaste permitpermit coordinator,coordinator, KathrynKathryn Perszyk,Perszyk, atat (703)(703)583-3856583-3856 oror kathryn.kathryn.perszykgdeq.virginia.govperszvk(%deq. Virginia,eovwithwith anyanyquestionsquestions regardingregardingthetheapplicationapplication ofofthisthis guidance.guidance.
Disclaimer:Disclaimer: operatingoperating proceduresproceduresThisThis documentdocument isisprovidedprovided asasguidanceguidance and,and, asas such,such, setssetsforthforth standardstandard doesdoes itit prohibitprohibit anyanyforfor thethe agency.agency. However,However, ititdoesdoesnotnotmandatemandate anyanyparticularparticular methodmethod nornor specifically requiredrequired byby thethe VSWMR.VSWMR. IfIfalternativealternative methodmethod forfor thethe analysisanalysis ofof data,data, unlessunless specifically alternativealternative proposalsproposals areare made,made, suchsuchproposalsproposals shouldshould bebe reviewedreviewed andand acceptedaccepted oror denieddenied lawslawsandandregulations.regulations.basedbasedonon theirtheir technicaltechnical adequacyadequacy andandcompliancecompliance withwithappropriateappropriate
GuidanceGuidance MemoMemo No.No. 2016-022016-02 PagePage 11 ofof 1010 Permitting, Sampling, Analysis, and Data Reporting associated with Solid Waste Landfill NTRGINIA DE PA K1.1 E N T OF FNVIRioxkiF_VTAI. QL',ALLITY Underdrain Systems
I. Introduction Landfills designed under the Virginia Solid Waste Management Regulations (9 VAC 20-81-10 et seq.) must have liners and leachate collection systems installed that are designed to prevent contamination of the groundwater aquifer or cause a discharge to state waters. Those landfills that utilize underdrains, dewatering or gradient control systems, engineered witness zones, piped streams, or seep/spring collection systems, herein referred to generally as underdrain systems, construct those systems below the liner and associated leachate collection system, in some cases to ensure separation of shallow groundwater with the base of the waste mass and in other cases to capture groundwater that was daylighting at the surface in areas that would fall within the soon to be constructed landfill footprint. Landfills that were started prior to the regulatory requirements for installation of liners and leachate collection systems may also have underdrains.
The water that is captured in these underdrain systems is typically sampled at the outfall of the system as a performance measure to assess the adequacy of the overlying liner and leachate collection system, if installed, or in place soils in preventing leachate from leaving the base of the waste mass as well as to ensure the discharge does not represent an unpermitted release of contaminants to surface water.
II. Background The Virginia Solid Waste Management Regulations (9 VAC 20-81-10 et seq.) define the groundwater point of compliance (GWPOC) as a boundary extending vertically from the edge of the waste mass. This definition is consistent with the groundwater point of compliance concept found in the Resource Conservation and Recovery Act (RCRA) Subtitle D rule (40 CFR 258).
Landfill owner/operators must remediate the aquifer if groundwater protection standards are exceeded outside (beyond) the GWPOC. Groundwater which exists below the waste footprint is exempt from all monitoring and remediation requirements under 9 VAC 20-81-250 and 260 because it is confined within the GWPOC.
In some cases, landfills permitted in the Commonwealth are required to sample and analyze water that is captured below the waste mass footprint within underdrains, dewatering or gradient control systems, engineered witness zones, piped streams, or seep/spring collection systems.
These requirements often stem from pre-existing site conditions recognized during the Part A permit application review. These sampling actions have historically been treated as part of the landfill’s routine groundwater monitoring program and the sampling results compared to either site background or groundwater protection standards despite the fact that the media being sampled is not groundwater that would otherwise be regulated since it lies within the defined
GWPOC.
Recognizing that these sampling activities fall outside the defined GWPOC, the Department has developed this guidance to ensure consistency across facility permits with such underdrain systems. This guidance addresses the appropriate list of water quality parameters to be sampled,
Guidance Memo No. 2016-02 Page 2 of 10the relevant standards to compare sampling results against, the appropriate location for underdrain monitoring protocols, and a standardized reporting program for providing sampling results to the Department.
III. Authority Section 10.1-1408.1 of the Code of Virginia specifies that sanitary landfills or other facilities for the disposal, treatment, or storage of nonhazardous solid waste shall not operate without a permit from the Director. This Section also identifies key components of the permit application that shall be submitted for review.
Section 10.1-1408.4 of the Code of Virginia specifies that the Director shall determine, in writing, that the site on which the proposed new municipal solid waste landfill is to be constructed is suitable for the construction and operation of such a landfill.
The permit application required by the Code is addressed in Part V of the VSWMR [9 VAC 20-81-450 through 9 VAC 20-81-600]. The permit application for a proposed new solid waste management facility will contain a Notice of Intent (NOI), a Part A Application and a Part B Application. The Part A Application must address the applicable siting requirements of 9 VAC 20-81-120. Subsection F. of those requirements identify certain site characteristics, such as springs, seeps, or other groundwater intrusion into the site and the presence of transmission lines under the site, that may prevent approval of the site; require substantial limitations on site use; or require installation of sound engineering controls. Construction and monitoring of underdrain systems, as defined below, to manage springs, seeps, and groundwater intrusion are an established engineering control for managing such site characteristics and ensuring protection of human health and the environment.
IV. Definitions The definitions in § 10.1-1400 of the Code of Virginia and 9 VAC 20-81-10 of the VSWMR apply to the implementation of these procedures. Key definitions applicable to this guidance from the VSWMR are identified below. Additional definitions specific to this guidance are also provided.
False negative is a test result which incorrectly indicates that a particular condition or attribute is absent.
False positive is a test result which incorrectly indicates that a particular condition or attribute is present.
Groundwater point of compliance or GWPOC is the vertical plane at the disposal unit boundary as defined under 9 VAC 20-81-10.
Leachate means a liquid that has passed through or emerged from solid waste and contains soluble, suspended, or miscible materials from such waste. Leachate and any material with which it is mixed is solid waste and must be managed in accordance with 9 VAC 20-81-210.
Guidance Memo No. 2016-02 Page 3 of 10LOQ or Limit of Quantitation is the smallest detectable concentration of analyte greater than the detection limit where the required accuracy (precision & bias) is achieved for the intended purpose the level above which quantitative results may be obtained. Samples that do not bear residues at or above the LOQ are often referred to as “nonquantifiable.”
Statistically Significant Increase or SSI is any release of a monitoring constituent that exceeds the upper bound of the reported normal range of the upgradient value of that constituent.
Underdrain is a term used generally to describe any collection system for the purpose of collecting groundwater or surface water below the landfill and includes, but is not limited to: Drain systems that collect perched or seasonal high groundwater water; Dewatering or gradient control systems that collect groundwater prior to its contact with the base of liner; Witness zone systems that collect liquids between the primary and secondary liner in accordance with 9 VAC 20-81-130.J.2.d.; Piped streams that collect surface water and allow it to pass below the base of the landfill; and Seep/Spring collection systems that collect surface water that day-lighted prior to landfill construction.
V. Guidance Document This guidance and its attachments are applicable to all solid waste management facilities operating or conducting post-closure care under the Virginia Solid Waste Management Regulations (VSWMR), originally promulgated by the Virginia Waste Management Board December 21, 1988; as amended, that include underdrain systems as defined above.
V.A. Underdrain Design The design of the underdrain system should be reflected in the Design Report. Construction Quality Assurance procedures and Technical Specifications for the components of the underdrain system shall also be provided in the permit. An Underdrain Monitoring Plan shall also be developed as a stand alone plan or addendum to the Design Report. Details on the information to be addressed in the Underdrain Monitoring Plan can be found in Section V.F.
V.B. Underdrain Sampling & Analysis
- Monitoring Network Type of Underdrain Upgradient Sampling Downgradient Sampling System Point Point Downstream End of Pipe Piped Stream Upstream Pre-inlet (Outfall) Drain Systems, Dewatering Upgradient GW Systems and Seep/Spring Outfall of System Monitoring Well Collection Systems Upgradient GW Witness Zone monitoring Witness Zones Monitoring Well Point(s)
Guidance Memo No. 2016-02 Page 4 of 10 In the case of piped streams, end of pipe (outfall) sampling data should be compared to upstream (pre-inlet) sampling data.
In the case of drain systems, dewatering or gradient control systems, seep/spring collection systems, and witness zones, sampling data from the outfall or witness zone should be compared to data from the upgradient monitoring well in the groundwater compliance network.
- Monitoring Frequency At a minimum, the sampling of underdrain systems shall be consistent with the frequency assigned to the groundwater monitoring wells, which is typically semi-annual, unless proximity to wetlands requirements are applicable to the site. Sampling requirements will be defined in the facility’s solid waste permit based on site specific characteristics including, at a minimum, the type of system constructed, waste types managed, volume of discharge captured, and frequency of groundwater sampling. Sampling shall be performed throughout the life of the facility and during the post-closure care period until such time that the facility is no longer required to monitor the underdrain based on approval from the DEQ based on site-specific factors or in response to a full or partial termination of post-closure care request.
- Monitoring Constituents In existing solid waste permits, underdrain sampling likely includes groundwater constituents found in 9 VAC 20-81-250 Table 3.1. Since Table 3.1 is only applicable to the GWPOC, underdrain samples at existing facilities and new (proposed) landfills should instead be analyzed for the following constituents:
CDD and Industrial Landfills These landfill underdrain systems should be sampled for leachate indicator parameters including chloride, alkalinity, total suspended solids (TSS), total Kjeldahl nitrogen (TKN), biochemical oxygen demand (BOD), and chemical oxygen demand (COD). The Owner/Operator may request additional indicator parameters such as total organic carbon (TOC), total dissolved solids (TDS), sodium, iron II, and sulfate if applicable based on the waste accepted on site. At sites which have historically accepted coal combustion by-products (CCB) or coal combustion residuals (CCR) as waste, cover material, or structural fill, the underdrain should also be sampled for boron. In all cases, the sampling lists at CDD and industrial landfills should include any metals specific to the wastes disposed in the landfill as these would act as tracers of potential leachate impact within the underdrain system.
CCR landfills, a specific type of industrial landfill, must sample underdrain monitoring points for the same list of metals and water quality parameters as required in their solid waste permit for groundwater monitoring. This landfill type is the only one where
Guidance Memo No. 2016-02 Page 5 of 10 underdrains and groundwater monitoring wells will be subject to a common list of sampling parameters.
Sanitary Landfills These landfill underdrain systems should be sampled for Table 3.1 Column A Volatile Organic Compounds (VOCs). Please note that VOCs, by definition, are volatile; therefore, if the sampling location is in open air, sampling for VOCs may lead to the collection of false negative analytical data. To the extent feasible, the collected water should be sampled internally before the end of pipe, if the system design permits. The Department may consider using a sampling list of non-volatile leachate indicator parameters (chloride, alkalinity, TSS, TKN, BOD, and COD) for those sanitary landfills that lack internal sampling options.
On a case-by-case basis, leachate indicator parameters should be added to the constituent list where deemed appropriate. Sampling for the Table 3.1 Column A constituent metals should be avoided in order to reduce the potential for false positive results and the need for Alternate Source Demonstrations.
- Analytical Requirements Underdrain sample analysis conducted to meet solid waste permit requirements must be completed by a certified or accredited laboratory in accordance with the Virginia Environmental Laboratory Accreditation Program (VELAP).
V.C. Underdrain Sampling Standards The sampling results must be compared to applicable values:
In the case of piped streams, at any type of landfill, end of pipe (outfall) results should be compared to upstream (pre-inlet) results. Upgradient and downgradient sampling should take place within the same day. Because the flow (volume) of surface water entering the system can be significant and variable, at a minimum, four independent upstream samples should be obtained during each end-of-pipe sampling event. Sampling of inflow and outflow volumes may also be required.
In the case of drain systems, dewatering or gradient control systems, seep/spring collection systems, and witness zones:
o For sanitary landfills, analytical results showing any VOC above its respective LOQ would be evidence that leachate has entered the system.
o For CDD and industrial landfills (including CCR landfills), underdrain analytical results showing a statistically significant increase (SSI) for any of the indicator parameters, compared to results from the site’s upgradient groundwater sampling point(s) would be evidence leachate has potentially entered the sampled water.
Guidance Memo No. 2016-02 Page 6 of 10In any of the scenarios noted above, verification sampling, as defined under 9 VAC 20-81-250.A., may be used to refute a suspected exceedance. In the case of piped streams, the owner/operator may request secondary statistical analysis using historical trends in the sampled constituents to assess the potential effects of temporal (natural) variation.
V.D. Underdrain Reporting Requirements
- Written Notifications If the sampling and analysis actions noted above lead to recognition of a SSI over site background or upstream monitoring point(s) or a detection at or above the respective LOQ, the permittee shall notify the appropriate DEQ regional office in the timeframe set forth in the permit. In those cases where the permit does not specify a reporting timeframe, the notification shall take place within 14-days of laboratory result receipt consistent with timeframes already defined under 9 VAC 20-81-530.C.2. The written notification must include either: a plan to obtain a single verification sample; a plan to submit an Alternate Source Demonstration; or a statement that the underdrain discharge containing landfill constituents will be handled in a manner consistent with the requirements of 9 VAC 20-81-210.D.
The notification shall also outline any interim steps the facility is taking to minimize risk to human health or the environment.
a. If the permittee elects to undertake verification sampling to refute a suspect SSI or LOQ detection, the verification sampling event shall take place within 15 days of the date of the notification to DEQ. Verification sampling results shall be submitted to the DEQ regional office within 14 days of receipt of laboratory analyses.
b. If the permittee elects to undertake an alternate source demonstration (ASD) to refute the recognized SSI or LOQ detection, the permittee must contact the DEQ regional office immediately to discuss the discharge options during the 90-day ASD period. Undertaking an ASD does not relieve the permittee from meeting the requirements (or equivalent performance standards) of items 1 and 2 noted herein.
Please note, if it is determined that leachate components are entering into the underdrain collection system or piped stream via recognition and reporting of an SSI or LOQ detection, the leachate impacted water must NOT be allowed to discharge from the end-of-pipe unless: (1) the discharge is allowed pursuant to an existing industrial VPDES permit or (2) the discharge is captured and piped into the facility’s leachate collection system.
The Department understands that in some cases, time may be needed to address a leachate impacted discharge. An interim measures type of mitigation may be required by your Regional Office to cover the interval between the recognition of the release from the sampled outfall, and the final mechanism being put in place to address the release.
Guidance Memo No. 2016-02 Page 7 of 10 In those cases where the sampling results yield no SSI or LOQ detection, Department notification is NOT required and the data shall be included in the annual report described below.
- Annual Reports By December 31st of each year, facilities with underdrain systems shall complete and submit an Annual Landfill Underdrain Monitoring Summary (ALUMS) Report to the appropriate regional office. The ALUMS Report, form provided as Attachment 1, shall summarize the underdrain sampling activities completed during the calendar year and include lab analyses sheets, data interpretation, and other specified attachments.
Instructions for each line item of the form are also provided in Attachment 1 to assist facilities in their completion of the report.
- DEQ Report Review Procedures Written notifications, annual reports with required attachments, and DEQ correspondence regarding the underdrain shall be stored in ECM under the Permitting file series (200088) using the Underdrain Monitoring Data and Correspondence Document Type.
DEQ compliance staff will be responsible for the initial review of written notifications and annual reports for their assigned facilities. Receipt and timeliness of written notifications and annual reports will be documented on the next compliance inspection report or documented on a Records Review inspection report using the checklist item for 20-81-100.B. for compliance with the facility’s permit. Failure of a facility to submit written notifications or their annual report on time or failure to perform the required monitoring will be grounds for appropriate action based on the Solid Waste Inspection Manual.
In response to written notifications identifying a SSI over site background or upstream monitoring point(s) or a detection at or above the respective LOQ, DEQ staff will reply with specific correspondence to address the acceptance of verification sampling, approve/disapprove a proposed alternate source demonstration, or address changes to the underdrain discharge system.
V.E. Specific Permit Conditions With the understanding that the sampling of the water collected below the waste footprint serves as a performance tool to assess the adequacy of the landfill liner and leachate collection system design and operation, or as an indicator for the potential need for a VPDES permit or permit modification associated with the discharge, the department is revising the organization of these facility permits. Going forward, the requirements of the underdrain monitoring program will no longer be placed in the groundwater monitoring Permit Modules X or XI as these modules describe actions required under 9 VAC 20-81-250.
Instead, these activities will be defined in: Module I – General Conditions (for existing, ‘old format’ permits) or
Guidance Memo No. 2016-02 Page 8 of 10 Module III, IV, or V – Landfill Design (for new or existing ‘streamlined’ permits)
Example boilerplate permit conditions specific to underdrain monitoring are provided in Attachment 2 and should be incorporated in the final approved permit modification for the landfill. Based upon facility specific factors, additional conditions may be added as well. For landfills in post-closure care, underdrain conditions specified in Attachment 2 for Module III, IV, or V, shall be placed in Module XIII – Post-Closure Care. The revisions to these existing Modules may take place upon request of the Permittee in accordance with 9 VAC 20-81-600.F., upon initiation by the DEQ Regional Office in accordance with 9 VAC 20-81-600.E., or be postponed until the next time the Permit in question is open for modification for other reasons.
It is possible that the facility may reduce the analytical sampling costs associated with underdrain monitoring once the permit is modified to reflect the new sampling requirements.
V.F. Underdrain Monitoring Plan As mentioned in Section V.A., facilities with underdrain systems need to have an Underdrain Monitoring Plan. This plan can be an addendum to the Design Report or a stand-alone plan which will be incorporated into the solid waste permit. The Underdrain Monitoring Plan should include the following information as addressed in Sections V.B. through V.D. of this guidance.
Underdrain Design o General description of the underdrain system and media collected (e.g., perched water, groundwater, surface water, mix of groundwater and surface water, other) o Discharge information (Where does the collected media discharge to? Is the outfall covered by a VPDES permit?, etc.) Sampling and Analysis o Monitoring Network (List of upgradient and downgradient sampling points) o Monitoring Frequency o Monitoring Constituents Reporting Procedures (Required reporting timeframes for notifications and reports) Corrective Actions: Tentative plan to address exceedances Operations and Maintenance o Description of underdrain operations and periodic maintenance, if applicable to design o Types of potential problems that may be observed and any maintenance activities required as a result Inspection Plan: o Schedule/frequency for inspecting the underdrain system and monitoring points.
Underdrain systems should be visually inspected at a rate consistent with the system’s monitoring frequency. o Inspection Log. Results of the inspection should be documented and maintained for review by DEQ staff upon request. Underdrain Inspection Log can be included as part of existing Facility Self-Inspection Log.
These requirements should no longer be contained in the facility’s groundwater monitoring plan
(GWMP).
Guidance Memo No. 2016-02 Page 9 of 10VI. Collaboration Process No formal project team was formed to develop this guidance. DEQ Central Office and Regional staff were given opportunity to comment during guidance development.
VII. Attachments
- Annual Landfill Underdrain Monitoring Summary (ALUMS) Report Form and Instructions
- Boilerplate Permit Conditions Specific to Underdrain Monitoring
Guidance Memo No. 2016-02 Page 10 of 10 Annual Landfill Underdrain Monitoring Summary (ALUMS) Report 1] DEQ Region: Choose an item.
2] DEQ Regional Contact: miVIRGINIA DEPAniAli.:NTDB)OE ENVIRONNIENIAL QvA!AIN 3] Submittal Date: Click here to enter a date.
4] Permit Number: 5] Landfill Name: 6] GW Program Status: Choose an item. 7] Landfill Operational Status: Choose an item. 8] Underdrain Details: 8-a] Type of Underdrain: Choose an item. 8-b] Sampled Media: Choose an item. 8-c] Description of Discharge: 9] Monitoring Frequency: Choose an item. 10] Is Sampled Discharge Covered by VPDES: Yes No 11] # of Monitoring Points Sampled: 12] # of Upgradient Monitoring Points Sampled: Sampling Specifics E1: Click here to E2: Click here to E3: Click here to E4: Click here to 13] Date Samples were collected? enter a date. enter a date. enter a date. enter a date. 14] Were any monitoring points unable to be sampled? Yes No For monitoring points not sampled during the sampling event; provide the reason below and note whether this was a first time occurrence, or whether it has been observed on site before at that particular location. 14-a] Damage (Initial occurrence? n) K Yes nNo 14-b] Failure to yield sufficient sampling volume (Initial occurrence? ) Yes nNo 14-c] Totally Dry, could not be sampled (Initial occurrence? n) K Yes nNo 14-d] Other, please explain: 15] Were sampling parameters measured in field? If yes, include data in Attachment VI Yes No Analytical Lab Information 16] Dates samples were sent to E1: Click here to E2: Click here to E3: Click here to E4: Click here to analytical lab: enter a date. enter a date. enter a date. enter a date. 17] Were samples submitted under Chain of Custody? Yes No 18] Dates samples were received at E1: Click here to E2: Click here to E3: Click here to E4: Click here to analytical lab: enter a date. enter a date. enter a date. enter a date. 19] Were samples submitted to a VELAP accredited facility? Yes No 20] Were samples analyzed using SW-846 (as updated) methods? K Yes nNo 21] Date signed/certified analytical E1: Click here to E2: Click here to E3: Click here to E4: Click here to report issued by lab: enter a date. enter a date. enter a date. enter a date. 22] Date signed/certified analytical E1: Click here to E2: Click here to E3: Click here to E4: Click here to reports received by enter a date. enter a date. enter a date. enter a date. consultant/facility:
ALUMS Report Instructions 2016 Interpretation and Response to Analytical Results 23] For groundwater sampled, do any constituents exceed background levels determined at K Yes K No the upgradient monitoring well(s) on site? 24] For surface water sampled, do any constituents exceed background? K Yes K No 25] For sampling lists that contain VOC, were any VOCs identified above their LOQ? K Yes K No (if yes) 25-a] Were any of the detections for new VOC constituents or sample points? K Yes K No 26] Was verification sampling undertaken? K Yes K No (if yes) 26-a] Dates of the E1: Click here to E2: Click here to E3: Click here to E4: Click here to verification event? enter a date. enter a date. enter a date. enter a date. (if yes) 26-b] Dates verification E1: Click here to E2: Click here to E3: Click here to E4: Click here to results were released by the enter a date. enter a date. enter a date. enter a date. analytical lab? (if yes) 27] Did verification events confirm VOC detection? K Yes K No 28] Dates DEQ was notified (if E1: Click here to E2: Click here to E3: Click here to E4: Click here to applicable) of the exceedance(s) on enter a date. enter a date. enter a date. enter a date. lines 23, 24 or 25? 29] Will the facility pursue an ASD for any of the exceedances? K Yes K No 30] Do the sampling results, as presented in this certified submission, indicate landfill K Yes K No leachate has entered into the collection system being sampled? (if yes) 30-a] Has the discharge of collected media changed due to sampling results? K Yes K No (if yes) 30-b] What facility actions are planned to address the exceedances?
Attachments. The following attachments must be submitted in the order prescribed Attachment I: Site Identified on a USGS 7 1/2-minute Topographic Map Attachment II: Site Plan, 11" x 17" Attachment III: Table of constituents exceeding background levels Attachment IV: Complete Laboratory Analytical Reports (including Verification events) Attachment V: Chain of Custody documentation (including Verification events) Attachment VI: Field book documentation (including Verification events) Attachment VII: Statistical Data Sheets Responsible Official Signature:
I certify under penalty of law that this document and all attachments were prepared under my direction or supervision by qualified personnel who properly gathered and evaluated the information submitted. Based on my inquiry of the person or persons directly responsible for gathering the submitted information, to the best of my knowledge and belief, the information is true, accurate, and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fine and imprisonment.
Name: Title:
Signature: Date:
ALUMS Report Instructions 2016Instructions for Completing the ALUMS Report The Annual Landfill Underdrain Monitoring Summary (ALUMS) Report form was developed to provide a consistent annual report format that should enable an expeditious review of the submitted technical content by DEQ staff. To provide an annual report summarizing all sampling events during the calendar year, up to four date boxes are provided for questions 13, 16, 18, 21, 22, 26, and 28 to allow for reporting dates for up to four sampling events during the year, consistent with quarterly monitoring. If the underdrain system was only sampled once or twice during the calendar year, enter the appropriate dates in the E1 and E2 boxes and leave the remaining boxes (E3 and E4) blank.
The report should be filled out by the Owner/Operator, or their representative, and certified by a Responsible Official. Completed ALUMS Reports shall be addressed to the facility’s Regional Office contact and received before December 31st of each calendar year. The descriptions below are listed in the order as they appear on the ALUMS Report.
General Facility Information Line 1 DEQ Regional Office to which you submit monitoring reports. Select from drop-down: BRRO/L (Blue Ridge – Lynchburg), BRRO/R (Blue Ridge - Roanoke), NRO (Northern), PRO (Piedmont), SWRO (Southwest), TRO (Tidewater), and VRO (Valley).
Line 2 List the name of your DEQ Regional Office contact.
Line 3 Select date of the submittal.
Line 4 Permit number, SWP###.
Line 5 Identify the landfill name.
Line 6 Select the groundwater sampling program status, (i.e., Detection, Assessment, Modified Assessment, First Determination, or Phase II). This is a general indicator of whether there has been a landfill impact on the aquifer identified to date.
Line 7 Select the landfill operational status: active, closing, or post-closure.
Line 8a Identify the system being sampled (e.g., drain system, dewatering or gradient control system, witness zone, piped stream, seep/spring collection system, or other).
Line 8b Identify the type of media being sampled (i.e., perched water, groundwater, stormwater, surface water, mix of groundwater and surface water, or witness zone).
ALUMS Report Instructions 2016 Line 8c Describe the underdrain discharge, indicating how and where (e.g., storm water basin, stormwater ditch, receiving stream, etc) the collected discharge is managed.
Line 9 Identify the underdrain sampling frequency.
Line 10 Yes or No.
Line 11 List total number of system monitoring points sampled.
Line 12 For piped stream collection systems, list total number of any upgradient monitoring points sampled. For groundwater collection systems, if applicable, list the number of upgradient monitoring wells sampled. Use ‘NA’ if not applicable.
Sampling Specifics Line 13 List the date(s) the system was sampled. Boxes are provided for up to four sampling events for the calendar year. If the underdrain was only sampled semi-annually or annually, enter sampling dates within the calendar quarter the sample was taken.
Line 14 Yes or no. If the answer is yes, please fill out lines ‘a’ through ‘c’ with a yes or no as appropriate and check the initial occurrence box if applicable.
Line 15 Were any parameters measured directly in the field? Yes or No.
Analytical Lab Information Line 16 Provide the dates the samples were sent to the analytical lab.
Line 17 Yes or no.
Line 18 Provide the dates the samples were received at the lab.
Line 19 Yes or no.
Line 20 Yes or no. Please note, SW-846 methods are only required for constituents that are listed on Table 3.1 of 9 VAC 20-81-250.E.
Line 21 Provide the dates the analytical reports were issued by the lab under the signature of the lab manager/director.
ALUMS Report Instructions 2016 Line 22 Provide the dates the analytical report was received by the consultant/facility.
Interpretation and Response to Analytical Results Line 23 Yes or no. Please note that for some system designs, it may be more appropriate for a facility to compare the point of sampling data against its own background level (similar in concept to intrawell analysis) if data from the upgradient groundwater monitoring well(s) is not considered truly representative of the media being collected in the underdrain system.
Line 24 Yes or no. Please note that for surface water, an entity which can be highly variable, background level, shall consist of upgradient samples (at least four independent samples) obtained the same day as the downgradient samples are obtained. Background level shall not consist of historical upstream sampling data.
Line 25 Yes or no.
Line 26 Yes or no.
Line 27 Yes or no.
Line 28 Provide dates of notification (if applicable).
Line 29 Yes or no.
Line 30 Yes or no. If yes complete Line 30a and Line 30b Line 30a Indicate (yes or no) whether the discharge method as identified in 8c has changed due to sampling results indicating landfill leachate has entered the underdrain collection system.
Line 30bIdentify planned facility actions to address the exceedance(s).
Attachments Att-I Provide a USGS topographic map showing site location.
It is not appropriate to identify the site solely on a 3rd party electronic mapping database unless the software uses seamless digitized versions of USGS
- 5 minute topographic quadrangle maps.
ALUMS Report Instructions 2016 Att-II Provide a site plan showing sampling location(s), scaled to fit a page no larger than 11” x 17”.
Att-III Provide a simple table which lists each sampling point by ‘ID’ and its corresponding list of groundwater constituents found to exceed facility background (or VOC above LOQ).
Any constituents found to exceed for the initial time should be presented in bold italics.
Att-IV Attach a copy of the laboratory report, including the cover and signature pages, as well information concerning VELAP lab accreditation/certification.
Att-V Attach a copy of the Chain of Custody documentation related to the sampling event.
Att-VI Attach a copy of the field book documentation concerning sampling actions.
Att-VII Attach statistical analysis (if applicable).
Responsible Official Signature The form must be signed by a responsible official. A responsible official is defined in the Virginia Solid Waste Management Regulations (9 VAC 20-81-10 et seq.) as: “1.
For a business entity, such as a corporation, association, limited liability company, or cooperative: a duly authorized representative of such business entity if the representative is responsible for the overall operation of one or more operating facilities applying for or subject to a permit. The authority to sign documents must be assigned or delegated to such representative in accordance with procedures of the business entity;
- For a partnership or sole proprietorship: a general partner or the proprietor, respectively; or
- For a municipality, state, federal, or other public agency: a duly authorized representative of the locality if the representative is responsible for the overall operation of one or more operating facilities applying for or subject to a permit. The authority to sign documents must be assigned or delegated to such representative in accordance with procedures of the locality.” ALUMS Report Instructions 2016 Attachment 2. Underdrain System Applicable Permit Conditions
PERMIT DOCUMENTS
The documents listed below are hereby incorporated into this permit and the permittee is subject to all conditions contained therein. It is the responsibility of the permittee to properly maintain and update these documents. Any version with a revision date other than as listed below is not considered to be the official approved version and is subject to Department review and approval prior to being recognized as the “permitted” version.
{List application documents submitted in support of the underdrain design. The design of the underdrain system should be reflected in the Design Report and Design Plans, and system components shall be addressed in the Construction Quality Assurance Plan and Technical Specifications. The Underdrain Monitoring Plan shall also be listed.} Plan Title, prepared by Consultant, dated/last revised DATE.
PERMIT MODULE I
GENERAL PERMIT CONDITIONS
I.C. DOCUMENTS TO BE MAINTAINED AT THE FACILITY
The permittee shall maintain a complete copy of the Solid Waste Permit and incorporated Permit Documents at the facility, or another location approved by the director, until post-closure is complete and certified by a professional engineer, and shall maintain amendments, revisions, and modification to these documents. In addition, the facility shall maintain the following additional documents:
I.C.1. Operations Manual with annual certification by Responsible Official
I.C.2. Detailed, written estimate, in current dollars, of the cost of closing the facility, post-closure care and corrective action measures
I.C.3. All other documents/records required and applicable from the following:
I.C.3.a. Monitoring records from leachate, gas, groundwater, and underdrain monitoring.
I.F. SITE SPECIFIC CONDITIONS
The provisions of this section are in addition to the permit conditions and regulatory requirements and are specifically developed for this facility. The permittee shall comply with all conditions of this section, as follows:
I.F.1. The final permit is based on permit application submittals (drawings and reports) that may contain the word “proposed’ and similarly tentative language. The documents that are incorporated into Permit No. XXX have been evaluated for administrative and technical adequacy and have been approved as proposed.
Guidance Memo No. 2016-02 Page A2 - 1 of 5 Attachment 2. Underdrain System Applicable Permit Conditions
Therefore, any references to a design, construction, operation, monitoring or closure criteria are considered to be approved as proposed.
I.F.2. The facility is subject to the conditions listed in the Part A approval letter dated
DATE.
I.F.3. List other site-specific conditions. These should be conditions that don’t fit in other Modules (II, III/IV/V, X, XI, XII, XIII, or XIV), and should focus more on requested additional submittals.
{Add conditions II.J. and III/IV/V.E. provided below to this section of the permit for old format/non-streamlined permits}
PERMIT MODULE II
CONDITIONS OF OPERATION
{Add for Underdrain}
II.J. UNDERDRAIN MONITORING AND MAINTENANCE
The facility’s underdrain system shall be monitored and maintained in accordance with Module III/IV/V, and the facility’s Underdrain Monitoring Plan incorporated into the this permit. The underdrain system shall be inspected at a rate consistent with the system's monitoring frequency. Repairs should be made to any damage that prevents the underdrain system from functioning as designed.
PERMIT MODULE III/IV/V
SANITARY/CDD/INDUSTRIAL LANDFILL DESIGN
{Add for Underdrain. For landfills in post-closure care with operational underdrain systems, the applicable permit conditions from this section should be included in Module XIII for Post-Closure Care.} III/IV/V.E UNDERDRAIN SYSTEM E.1. Underdrain System Description
This landfill is constructed with an underdrain system which carries flow from [stormwater, a groundwater seep or spring, stream, or witness zone] and discharges to [discuss where flow discharges too if surface water, leachate collection system, or sediment pond, etc.] The underdrain system consists of [describe underdrain system construction, size of piping, bedding material and describe layers soil/stone/geosynthetic between underdrain and liner system]
E.2 The landfill, including any discharge of water collected in an underdrain system, may not cause a discharge of pollutants into waters of the United States,
Guidance Memo No. 2016-02 Page A2 - 2 of 5 Attachment 2. Underdrain System Applicable Permit Conditions
including wetlands, that violates any requirements of the Clean Water Act (33 USC § 1251 et seq.), including, but not limited to, VPDES requirements and Virginia Water Quality Standards (9VAC25-260).
E.3 Underdrain Performance Sampling
To ensure the underdrain system is operating as designed, and to detect whether or not landfill constituents have gained entry into the system, the collected water shall be sampled as follows: Underdrain Upgradient Downgradient System Sampling Sampling Sampling (if multiple) Location* Location* Frequency
- Samples shall be collected prior to pipe discharge and not in the receiving channel.
Upgradient and downgradient sampling should take place within the same day.
Because the flow (volume) of surface water entering the system can be significant and variable, at a minimum, four independent upstream samples should be obtained during each end-of-pipe sampling event. The time separating each upstream sample collection (e.g., 15 mins) should be appropriate for the surface water flow rate on the day of the sampling to ensure sample independence.
Sampling of inflow and outflow volumes shall also take place at the time of sampling to look for unaccounted additional flow which might be recognized at the end-of-pipe.
III.E.3.a The samples shall be collected, handled, and transported in a manner consistent with applicable USEPA RCRA guidance including use of a Chain-of-Custody. The collected water shall be analyzed for the constituent list provided below using SW-846 methods, unless an alternate method was been approved by the Director.
E.3.b Both the method used and the laboratory completing the work must be VELAP certified/accredited (1 VAC 30-45 & 36). Laboratory LOQ’s must be equivalent to those achieved during the groundwater monitoring well compliance sampling undertaken for 9 VAC 20-81-250.B or C and Permit Modules X and XI.
E.3.c {Underdrain at Sanitary Landfill} The collected water shall be analyzed for volatile organic compounds (VOCs) listed in Table 3.1 Column A under 9 VAC 20-81-250.B. which can be analyzed under method 8260 and/or leachate indicator parameters {specify}.
Guidance Memo No. 2016-02 Page A2 - 3 of 5Attachment 2. Underdrain System Applicable Permit Conditions {Underdrain at CDD or Industrial Landfill} The collected water shall be analyzed for leachate indicator parameters including Chloride, Alkalinity, TSS, TKN, BOD, COD, Boron, and waste-specific metals {specify}. Additional indicator parameters such as TOC, TDS, sodium, iron II and sulfate may be utilized as needed based on the type of waste accepted on site.
Background for these parameters may be determined from sampling the facility upgradient monitoring well(s) eight times during a 12-month background establishing period, on a frequency that best ensures the events represent independent samples of groundwater.
Background for these parameters shall be periodically updated such that the background values are based on the most recent 16 sampling event results. {Underdrain at CCR Landfill} The collected water shall be analyzed for the list of metals and water quality parameters specified in the sampling list (condition F) of Permit Module XI. [In the case of piped streams, end of pipe (outfall) results should be compared to upstream (pre-inlet) results.] E.3.d The results of underdrain sampling and analysis completed during the calendar year shall be reported to the DEQ Regional Office by December 31st of each year on the Annual Landfill Underdrain Monitoring Summary (ALUMS) Report form. Underdrain sampling and analysis results must also be maintained on site in the facility Operating Record during the active life and post-closure care period.
E.4 Underdrain Sample Evaluation E.4.a If the analytical results from the underdrain sampling event show {pick appropriate: any VOC equal to or above its respective LOQ // a statistically significant increase (SSI) for any of the indicator parameters or waste-specific metals compared to results from the site’s upgradient groundwater sampling point(s) // boron equal to or above its LOQ}, the owner/operator must notify the Director in writing within 14 days of receipt of laboratory analyses.
E.4.b The written notification must include either:
- a plan to obtain a single verification sample within 15-days of the notification;
- a plan to submit an Alternate Source Demonstration within 30-days of the notification if the identified constituent(s) is (are) proven to be either laboratory or cross contaminants sourced from something other than the solid waste; or Guidance Memo No. 2016-02 Page A2 - 4 of 5 Attachment 2. Underdrain System Applicable Permit Conditions
- a statement that the underdrain discharge containing landfill constituents will be handled in a manner consistent with the requirements of 9 VAC 20-81-210.D within a minimum of 60 days. The notification shall also outline any interim steps the facility is taking to minimize risk to human health or the environment.
E.4.c.
If the Permittee undertakes verification sampling to refute a suspect SSI, verification sampling results shall be submitted to the Director within 14 days of receipt of laboratory analyses.
E.5 The Director may require the owner/operator undertake an assessment of potential options to remediate the condition(s) causing the release of solid waste constituents into the underdrain system.
E.6 If the proposed remediation or actions related to the collection/disposal of the discharge from the underdrain require modification of the Permit or associated Permit Document, the proposed modification(s) shall be submitted to the Department within 30 days of the notification.
Guidance Memo No. 2016-02 Page A2 - 5 of 5
Gas Condensate Recirculation in LandfillsDoc ID: Gas
20-80-001-1994 Office of Waste resource Management
MEMORANDUM
TO:
Solid Waste Permitting Staff
FROM: Hassan Vakili
Director, Office of Waste Resource Management
DATE: August 23, 1994, references revised November 13, 2002
SUBJECT: Gas Condensate Recirculation
Recently, an issue arose during the Gas Training Seminar held at Innsbrook Wednesday, August 3, 1994, regarding the recirculation of gas condenstate into landfills. The discussion centered on allowing landfills to recirculate gas condensate to the landfill, whatever the liner system, or lack of it, in place. To clarify this issue, I direct your attention to §280 E.2.c. of the VSWMR, which states:
“….Condensate generated from gas control systems may be recirculated into the landfill provided the facility complies with the liner and leachate control system requirements of this Part.”
Page 95 of the EPA Solid Waste Disposal Criteria Technical Manual further explains.
“Because ambient conditions are typically cooler, water containing corrosive and possibly toxic waste constituents may be expected to condense….The condenstate can be returned to the landfill unit if the landfill is designed with a composite liner and leachate collection system per §258.40(a)(2).”
Therefore, gas condensate can be recirculated only onto landfills that have a composite liner and leachate collection system designed according to Subtitle D.
Recycling Machinery Certification GuidanceDoc ID: Guidance
Division of Land Protection & Revitalization
Memorandum
________________________________________________
SUBJECT: Division of Land Protection & Revitalization Guidance Document No. LPR-2020-01 — Guidance for the Certification of Recycling Machinery and Equipment for State Income Tax Credit
TO: Taxpayers as Owners/Operators of Recycling Machinery and Equipment in the Commonwealth of Virginia
FROM: Jeffery Steers Director, Central Operations
Through: Leslie Beckwith Leslie Beckwith Director, Office of Financial Responsibility and Waste Programs
DATE: January 21, 2021
Summary:
The Code of Virginia, § 58.1-439.7, directs DEQ to certify certain machinery and equipment that is used for advanced recycling or integral to the recycling process before the taxpayer is entitled to a state income tax credit.
The attached updated guidance document reflects the legislative changes to § 58.1-439.7 in 2020. This guidance replaces, Waste Guidance Memo No LPR-2015 - Guidance for the Certification of Recycling Machinery and Equipment for State Income Tax Credit.).
Specifically, the following sections of the guidance were updated:
The tax credit continues to remain in effect for taxpayers ("C" corporations, individuals and "pass-through" corporations) until January 1, 2025.
Qualifying recycling machinery and equipment include: (i) machinery and equipment used predominantly in or on the premises of manufacturing facilities or plant units which manufacture, process, compound, or produce items of tangible personal property from recyclable materials, within the Commonwealth, for sale and (ii) machinery and equipment used predominantly in or on the premises of facilities that are predominantly engaged in advanced recycling.
The Department of Taxation will be developing its own guidance document to reflect changes to § 58.1-439.7 relative to its processing of the DEQ certified applications. For assistance on taxation matters please contact the Virginia Department of Taxation at 804-225-4265.
A copy of the 2020 legislation is attached.
Electronic Copy:
Once effective, an electronic copy of this guidance will be available on the Virginia Regulatory Town Hall under the Virginia Waste Management Board at https://townhall.virginia.gov/L/gdocs.cfm?boardid=119
Contact Information:
Please contact Sanjay Thirunagari at (804) 698-4193 or sanjay.thirunagari@deq.virginia.gov with any questions regarding the application of this guidance.
Certification: As required by Subsection B of§ 2.2-4002.1 of the APA, the agency certifies that this guidance document conforms to the definition of a guidance document in § 2.2-4101 of the Code of Virginia.
Disclaimer:
This document is provided as guidance and, as such, set forth standard operation procedures for the agency. However, it does not mandate any particular method nor does it prohibit any alternative method. If alternative proposals are made, such proposals will be reviewed and accepted or denied based upon their technical adequacy and compliance with appropriate laws and regulations.
2COMMONWEALTH OF VIRGINIA
Department of Environmental Quality
GUIDANCE FOR THE CERTIFICATION OF
RECYCLING MACHINERY AND EQUIPMENT
FOR STATE INCOME TAX CREDIT
UNDER SECTIONS 58.1-439.7
OF THE CODE OF VIRGINIA
Revised January 21, 2021
GUIDANCE FOR THE CERTIFICATION OF
RECYCLING MACHINERY AND EQUIPMENT
FOR STATE INCOME TAX CREDITINTRODUCTION:
Section 58.1-439.7 of the Code of Virginia directs the Department of Environmental Quality to certify certain machinery and equipment as integral to the recycling process before the taxpayer is entitled to a state income tax credit. The provisions of § 58.1-439.7 apply to both individuals and corporations.
The tax credit continues to remain in effect for taxpayers (“C” corporations, individuals and “pass-through” corporations) until January 1, 2025.
The machinery and equipment must be certified for recycling by the Department of Environmental Quality in accordance with § 58.1-439.7 of the Code of Virginia.
I. DEFINITIONS:
For the purpose of this standard, the following terms have these meanings:
“Advanced Recycling” means the operation of a single-stream or multi-stream recycling plant that converts waste materials into new materials for resale by processing them and breaking them down into their raw constituents. "Advanced recycling" includes the operation of a materials recovery facility or materials reclamation facility that receives, separates, and prepares recyclable materials for sale to end-user manufacturers.
"Certification" means a signed statement (see Form DEQ 50-11S) by the director of the Department of Environmental Quality that the identified machinery and equipment qualify as integral to the recycling process.
"Department" means the Department of Environmental Quality.
"Director" means the director of the Department of Environmental Quality or his designee.
"Integral to the recycling process" means that the machinery and equipment or system of machinery and equipment is used primarily to process recyclable material to meet a manufacturer's material input specifications or to incorporate recyclable materials into a manufacturing process.
"Finished product" means material that has been processed and is ready for sale except for packaging.
"Machinery or equipment" means a mechanical unit or system which processes material.
“Manufacturing facility" means any facility which is used in the manufacturing or production of tangible personal property, including the processing resulting in a change of condition of such
Guidance LPR-2020-01 2 property, or any facility which is functionally related and subordinate to a manufacturing facility if such facility is located on the same site as the manufacturing facility.
"Primarily" means greater than fifty (50) percent of time, of usage, or other appropriate measure.
"Process" or "Processing" means preparation, treatment, or conversion of a product or material by an action, change or function or a series of actions, changes, or functions that bring about a desired end result.
"Recyclable" means capable of being diverted or reclaimed from the waste stream and prepared for further beneficial use through the recycling process.
"Recycled" means having reached the end of one useful life or one intended purpose, and then being converted and utilized as a raw material in the production of another product which may or may not be similar to the original product. The resultant manufactured product is said to have "recycled" content.
"Recycling" means the process of separating a given product or material from the waste stream and processing it so that it is used again as a raw material for a product which may or may not be similar to the original product.
"Taxable year" means, for the purpose of this standard, all taxable years beginning on and after January 1, 1993 and continuing until the availability of this credit is no longer extended by the General Assembly. Virginia's taxable year follows the calendar or fiscal year for federal taxable purposes.
II. QUALIFYING MACHINERY AND EQUIPMENT:
- In order to qualify, recycling machinery and equipment must be operated at a facility located in Virginia.
- Qualifying recycling machinery and equipment include: (i) machinery and equipment used predominantly in or on the premises of manufacturing facilities or plant units which manufacture, process, compound, or produce items of tangible personal property from recyclable materials, within the Commonwealth, for sale and (ii) machinery and equipment used predominantly in or on the premises of facilities that are predominantly engaged in advanced recycling. Processing may include (but is not limited to) flattening, shredding, melting, pulping, compaction, granulation, liquefaction, or classification.
- Qualifying recycling machinery and equipment also include any piece or system of machinery or equipment in a manufacturing facility used to incorporate recycled material into the production process.
Guidance LPR-2020-01 3 4. Exceptions:
A. Machinery and equipment used in the preparation of all or any part of the solid waste stream for the purpose of combustion, unless otherwise determined by the director to be a process with a significant recycling value.
B. Machinery and equipment used to incorporate a finished product with recycled content, which is no longer considered to be a solid waste, unless otherwise determined by the director.
C. Machinery and equipment used exclusively to handle finished products, unless otherwise determined by the director.
D. Non-processing or non-manufacturing equipment.
E. Buildings or other structures.
F. Repairs and maintenance items.
III. EQUIPMENT CERTIFICATION
The applicant should apply for the tax credit certification by submitting Form DEQ 50-11S (available at www.deq.virginia.gov) to:
The Department of Environmental Quality Attention: Equipment Certification Officer P.O. Box 1105 Richmond, VA 23218
The applicant should provide the following information:
- The purchaser's name and address;
- The name and location of the facility in which the machinery and equipment will be used;
- A description of the machinery and equipment and its intended use in the facility;
- A statement by the purchaser of the machinery and equipment that would qualify the purchase for tax credit; and
- Documentation of ownership (copies of purchase receipts, invoices, or such other documents as may be necessary to confirm the purchaser's statement of purchase price paid) appropriate to filing with the Virginia Department of Taxation.
Guidance LPR-2020-01
4IV. CERTIFICATION REVIEW:
The department will review the information provided on Form DEQ 50-11S to determine if the machinery and equipment meets the criteria specified in the Code. Upon completion of the review, the department will return the applicant's form with a written explanation of the certification of the machinery and equipment.
For further assistance about the certification review, call the Department of Environmental Quality at 804-698-4000.
V. APPEAL PROCEDURE:
All appeals taken from actions of the director relative to any request for certification pursuant to § 58.1-439.7 shall be governed by the Virginia Administrative Process Act § 2.2-4000 et seq. of the Code of Virginia
VI. TO RECEIVE TAX CREDIT:
Upon certification, the form and attachments will be returned to the applicant. In order to qualify for a state income tax credit, along with the tax return submitted to the Virginia Department of Taxation, the applicant should attach the approved Form DEQ 50-11S (or other certification document prepared by the Department of Environmental Quality), and documentary proof of purchase price paid for the equipment.
For further assistance on taxation matters please call 804-225-4265.
Guidance LPR-2020-01 5§ 58.1-439.7. Tax credit for purchase of machinery and equipment used for advanced recycling and processing recyclable materials.
A. 1. For taxable years beginning on and after January 1, 1999, but before January 1, 2025, a taxpayer shall be allowed a credit against the tax imposed pursuant to Articles 2 (§ 58.1-320 et seq.) and 10 (§ 58.1-400 et seq.) of Chapter 3 of this title, in an amount equal to 20 percent of the purchase price paid during the taxable year for (i) machinery and equipment used predominantly in or on the premises of manufacturing facilities or plant units which manufacture, process, compound, or produce items of tangible personal property from recyclable materials, within the Commonwealth, for sale and (ii) machinery and equipment used predominantly in or on the premises of facilities that are predominantly engaged in advanced recycling. For purposes of determining "purchase price paid" under this section, the taxpayer may use the original total capitalized cost of such machinery and equipment, less capitalized interest. For purposes of this section, "advanced recycling" means the operation of a single-stream or multi-stream recycling plant that converts waste materials into new materials for resale by processing them and breaking them down into their raw constituents. "Advanced recycling" includes the operation of a materials recovery facility or materials reclamation facility that receives, separates, and prepares recyclable materials for sale to end-user manufacturers.
- The Department of Environmental Quality shall certify that such machinery and equipment are integral to the recycling process before the taxpayer shall be allowed the tax credit under this section. The taxpayer shall also submit purchase receipts and invoices as may be necessary to confirm the taxpayer's statement of purchase price paid, with the income tax return to verify the amount of purchase price paid for the recycling machinery and equipment.
- No taxpayer shall be denied the credit under this section based solely on another person's use of the tangible personal property produced by the taxpayer, provided that the tangible personal property was sold by the taxpayer to an unaffiliated person in an arm's-length sale.
- No credit shall be allowed under this section for machinery and equipment unless the machinery and equipment manufacture, process, compound, or produce items of tangible personal property from recyclable materials.
B. The total credit allowed under this section in any taxable year shall not exceed 40 percent of the Virginia income tax liability of such taxpayer.
6C. Any tax credit not used for the taxable year in which the purchase price on recycling machinery and equipment was paid may be carried over for credit against the taxpayer's income taxes in the 10 succeeding taxable years until the total credit amount is used.
D. The Department of Taxation shall administer the tax credits under this section.
Beginning with credits allowable for taxable year 2015, in no case shall the Department issue more than $2 million in tax credits pursuant to this section in any fiscal year of the Commonwealth. A taxpayer shall not be allowed to claim any tax credit unless it has applied to the Department of Environmental Quality for certification as described in subdivision A 2 and the Department of Environmental Quality has issued a written certification stating that the machinery and equipment purchased are integral to the recycling process. If the amount of tax credits approved under this section by the Department of Taxation for any taxable year exceeds $2 million, the Department shall apportion the credits by dividing $2 million by the total amount of tax credits so approved, to determine the percentage of otherwise allowed tax credits each taxpayer shall receive.
E. In the event a corporation converts to a partnership, limited liability company, or electing small business corporation (S corporation), such business entity shall be entitled to any unused credits of the corporation. Credits earned by a partnership, limited liability company, electing small business corporation (S corporation), or a predecessor corporation entitled to such credits, shall be allocated to the individual partners, members, or shareholders, respectively, in proportion to their ownership or interest in such business entities.
1998, c. 253; 2001, c. 91; 2004, c. 611; 2007, cc. 529, 593; 2009, c. 34; 2015, cc. 49, 94; 2020, c. 789.
7
Managing Leachate in LandfillsDoc ID: Managing
COMMONWEALTH OF VIRGINIA Department of Environmental Quality Subject: Land Protection and Revitalization Guidance Memo No. LPR-SW-2020-01: Managing Leachate in Compliance with the VSWMR To: Regional Land Protection Program Managers, Solid Waste Permit Writers, Solid Waste Compliance Inspe~ Jeffery Steers Ga 11~/I ~ Director, Centrat)d'Jhations From: Through: Leslie Beckwith Director, Office of Financial Responsibility and Waste Programs Date: July 16, 2020 Copies: Regional Directors, Deputy Regional Directors Summary: DEQ assembled an internal Leachate Workgroup to examine recurring leachate issues at solid waste landfills discovered by compliance staff in the field. The workgroup developed this guidance after evaluation of current agency guidance, regulations, and practices to provide a consistent framework for compliance and consistency amongst regional offices. '\ Electronic Copy: Once effective, an electronic copy of this guidance will be available on the Virginia Regulatory Town Hall under the Department of Environmental Quality at http://www. townhall. virginia.gov/L/gdocs.cfm ?agencynumber=440.
Contact Information: Please contact Kathryn Perszyk, Solid Waste Permit Coordinator at 703-583-3856 or Kathryn.Perszyk@deq.virginia.gov with any questions regarding the application of this guidance.
Certification: As required by Subsection B of § 2.2-4002.1 of the APA, the agency certifies that this guidance document conforms to the definition of a guidance document in § 2.2-4101 of the Code of Virginia.
Disclaimer: This document is provided as guidance and, as such, sets forth standard operating procedures for the agency. However, it does not mandate or prohibit any particular action not otherwise required or prohibited by law or regulation. If alternative proposals are made, such proposals will be reviewed and accepted or denied based on their technical adequacy and compliance with appropriate laws and regulations.
Managing Leachate in Compliance with the VSWMR
I. Introduction Leachate is defined in the Virginia Solid Waste Management Regulations (VSWMR, 9 VAC 20-81) as the liquid that has passed through or emerged from solid waste. Leachate is generated from liquids present in the waste disposed, precipitation (rain, snow, etc.) that percolates through the waste, and waste decomposition. Leachate can also be generated from unlined landfills where historical waste disposal interacts with the groundwater table. The quantity of leachate generated and the concentration of soluble, suspended, or miscible materials from the waste disposed contained in the leachate vary depending on site-specific factors such as:
- types of waste disposed,
- age of the buried waste, and
- operational practices such as o size of the working face; o area of landfill that is inactive but not yet closed; o cover materials used and frequency of application; and o design of landfill final cover installed.
Solid waste disposal facilities are required to have a Leachate Management Plan (or the details of such plan included in the facility’s Design Report) in accordance with 9 VAC 20-81-210 addressing the leachate management system to be installed and operated at the landfill. This plan shall include numerical estimates of leachate to be generated, design of the leachate collection and removal system installed in conjunction with the bottom liner system; conveyance and storage features to manage leachate prior to disposal; approved disposal methods; and information regarding any leachate management or treatment, such as recirculation or evaporation.
In addition, the landfill operational performance standards found at 9 VAC 20-81-140.A.6., dictate that landfills shall not allow leachate from the landfill to drain or discharge into surface waters except when treated onsite and discharged into surface water as authorized under a Virginia Pollutant Discharge Elimination System (VPDES) Permit (9VAC25-31). In accordance with 9 VAC 20-81-210.F., the facility is required to immediately repair any leachate seeps discovered during normal operations or routine self-inspections in order to avoid such leachate discharges to surface waters.
This guidance was developed to clarify that landfills shall operate within the design requirements of 9 VAC 20-81-210, and establish a framework for compliance assessments related to leachate management activities to ensure regional consistency.
II. Background Submission Instructions for Solid Waste Management Facilities, including a submission instruction outlining requirements for landfill design were initially issued June 1, 1993, and subsequently revised April 23, 2002, and February 1, 2012, to update for statutory and regulatory changes. The
Guidance Memo 2020-01 Page - 1 - of 16February 2012 revision added a stand-alone submission instruction titled “Leachate Management Plans for Solid Waste Management Facilities” as Submission Instruction No. 7 in lieu of having facilities address leachate management system design elements in the Design Report required by 9
VAC 20-81-470.B.
In response to leachate issues observed, including leachate head on the liner, lack of surge capacity in surface impoundments, and management of leachate seeps, the Department assembled an internal Leachate Workgroup in August 2017 to examine leachate issues from an overall perspective.
Group tasks included an evaluation of current agency guidance, interpretations, regulations and practices and development of a framework for compliance and consistency among regional offices.
The guidance that follows was developed by the workgroup.
III. Authority This document provides guidance to implement the VSWMR related to DEQ solid waste permitting and compliance of leachate management activities at solid waste disposal facilities. The authority for promulgation of these regulations and development of this guidance is contained in §10.1-1402 of the Code of Virginia.
IV. Definitions The definitions in §10.1-1400 of the Code of Virginia and 9 VAC 20-81-10 of the VSWMR apply to the implementation of these procedures. Additional definitions specific to this guidance, including those borrowed from the Virginia Pollutant Discharge Elimination System (VPDES) regulation applicable to the Landfill Sector (9 VAC 25-151-190) are provided below.
“Cap drainage” consists of precipitation that percolates through cover soils on an engineered cap and drains prior to entering the waste, emerging at the base of a slope or mid-slope drain on a closed or partially closed landfill area. Cap drainage is a form of runoff.
“CIR” means compliance inspection report.
“Contaminated stormwater” means stormwater that comes in direct contact with landfill wastes, the waste handling and treatment areas, or landfill wastewater. Some areas of a landfill that may produce contaminated stormwater include, but are not limited to, the working face of an active landfill; the areas around wastewater treatment operations; trucks, equipment, or machinery that has been in direct contact with the waste; and waste dumping areas. (9 VAC 25-151-190)
“Discharge of pollutant” means a pollutant discharge to surface water as defined in 9 VAC 25-31-10. (Solid waste is considered a pollutant.)
“Gas condensate” means the liquid generated as a result of gas control or recovery processes at the solid waste management facility. (9 VAC 20-81-10)
“Landfill wastewater” as defined in 40 CFR Part 445 (Landfills Point Source Category) means all wastewater associated with, or produced by, landfilling activities except for sanitary wastewater, noncontaminated stormwater, contaminated groundwater, and wastewater from recovery pumping wells. Landfill wastewater includes, but is not limited to, leachate, gas collection condensate,
Guidance Memo 2020-01 Page - 2 - of 16drained free liquids, laboratory derived wastewater, contaminated stormwater and contact washwater from washing truck, equipment, and railcar exteriors and surface areas that have come in direct contact with solid waste at the landfill facility. (9 VAC 25-151-190)
“Leachate” means a liquid that has passed through or emerged from solid waste and contains soluble, suspended, or miscible materials from such waste. Leachate and any material with which it is mixed is solid waste; except that leachate that is pumped from a collection tank for transportation to disposal in an offsite facility is regulated as septage, leachate discharged into a waste water collection system is regulated as industrial waste water and leachate that has contaminated groundwater is regulated as contaminated groundwater. (9 VAC 20-81-10)
“Leachate head” means the depth or height of leachate accumulated on the impervious layer beneath the landfill (i.e. geomembrane, engineered clay, other bottom liner, or natural aquitard).
Leachate head, as discussed in guidance Section V.A., does not account for the depth of leachate in manifold trenches and sumps.
“Leachate seep” means a flow or leak of leachate through landfill cover materials, often occurring on side slopes. Leachate seeps do not include cap drainage or gas condensate.
“POTW” means a publicly or privately owned treatment works, also referred to as a wastewater treatment plant or WWTP. Options for management of collected leachate in accordance with 9 VAC 20-81-210.D. include direct discharge to a POTW or transportation to a permitted WWTP.
“Runoff” means any rainwater, leachate, or other liquid that drains over land from any part of a solid waste management facility. (9 VAC 20-81-10) Runoff from the active portion of the landfill unit must not cause a discharge of pollutants to State waters, except in accordance with the requirements of a VPDES permit.
“Stormwater” means stormwater runoff, snow melt runoff, and surface runoff and drainage (9 VAC 25-151-10).
“Surface water” means all state waters that are not groundwater as defined in §62.1-255 of the Code of Virginia and includes all natural water bodies, tributaries, and wetlands, as defined in 9 VAC 25-31-10. Waste treatment systems, including treatment ponds and lagoons designed to meet the requirements of the Clean Water Act and the law, are not surface waters according to 9 VAC 25-31-10. Stormwater becomes surface water when it enters a receiving stream.
“VPDES” means Virginia Pollutant Discharge Elimination System.
“VSWMR” means Virginia Solid Waste Management Regulations.
V. Guidance This guidance provides a framework for compliance and consistency among regional offices specifically addressing leachate issues as discussed herein. This guidance is in addition to the Solid Waste Inspection Manual (SWIM), which provides procedural guidance for performing inspections
Guidance Memo 2020-01 Page - 3 - of 16of permitted solid waste management facilities. This guidance also uses terms as defined in the SWIM. Specifically, Chapter 5 of the SWIM defines severity levels (I, II, and III), describes how those severity levels are used to classify noncompliance, and provides guidance on how to select the most appropriate compliance instrument (Deficiency Letter, Warning Letter, or Notice of Violation) based on the alleged violations observed. Selection of a compliance instrument should consider the number, frequency, and severity level of each alleged violation identified. The SWIM further details additional considerations for selecting the most appropriate non-compliance instrument, including but not limited to:
- probability of exposure to waste or waste constituents;
- potential consequences of exposure or a release;
- effect of the violation on the statutory or regulatory program;
- extent of deviation from the requirement; and
- whether or not there has been a violation of requirements enforced by another regulatory program (e.g. Air, Water, or Petroleum).
These factors are taken into account to help identify the significance of the noncompliance observed so that a prioritized response can be initiated to resolve the matter and facilitate return to compliance. This guidance provides considerations specific to leachate issues in accordance with the SWIM guidelines.
A. Leachate Head on Liner In accordance with 9 VAC 20-81-210.A.2., landfill operators are required to maintain and operate leachate collection systems that are designed and constructed to maintain less than 30cm (12in) depth of leachate over the liner. Some landfills have equipment such as submersible leachate level transmitters or transducers that allow for accurate, quantitative, and automatic measurement of leachate depth over the liner. Other landfills (e.g. gravity-fed systems) may estimate leachate head over the liner based on the geometry of the bottom liner and liquid levels measured in the sump or a side-slope riser and are still able to recognize when leachate is accumulating in excess of 30 cm.
This guidance is not intended to require a retrofit to gravity-fed leachate collection systems.
Regardless of the design of the leachate collection system, routine preventative maintenance is key to proper leachate management, and a failure to maintain the collection system or its components (e.g. lines, pumps or gravity flow controls, gaskets, bearings, impeller, valves, control panel, etc.) could cause leachate to accumulate on the liner in excess of the regulatory limit. This may result in possible landfill stability issues, leachate seeps, overflows or groundwater contamination from leachate leaking through the bottom liner and underlying subsoils.
In accordance with 9 VAC 20-81-485, the facility’s Operations Manual should contain detailed instructions to the site operator regarding all aspects of site operation in order to ensure that the operational requirements of the VSWMR are achieved, including proper leachate management. The Operations Manual should identify monitoring, maintenance, backup equipment, types of records maintained, and other site-specific instructions for maintaining the leachate collection system, including but not limited to the:
- Schedule and frequency for inspecting and servicing pumps and associated equipment (motors, gaskets, bearings, impellers, alarms, flow meters, control panel, etc.);
Guidance Memo 2020-01 Page - 4 - of 16 • Schedule and frequency for cleaning out leachate lines as needed to maintain proper functionality of the system;
- Methods for documenting equipment maintenance (such as leachate line clean-outs);
- Methods for monitoring (i.e. estimating or measuring) and recording leachate head over the liner and leachate head exceedances;
- Instructions for leachate operations in advance of a storm event; and
- Frequency and method for recording leachate volumes generated and disposed (pump or flow meter readings, etc.).
Operators must be familiar with how their leachate collection system control panel works and how to interpret flow meter, pump, and other dashboard readings.
For example, landfills typically monitor and document leachate flow rates, and a decreased pumping rate may indicate that maintenance is required. Due to the corrosive environment in the leachate collection system, pumps and other system components need to be serviced periodically (e.g. annually) to repair or replace parts, such as impellers, bearings or gaskets, and this may require removing the part and sending it offsite to the manufacturer or another company for maintenance.
Leachate collection systems should ideally employ both a primary and a backup pump so that one pump can be used to transfer leachate while the other pump is being serviced. In addition to servicing the pumps, leachate collection lines should be back flushed, water jetted, or chemically cleaned to remove biological scum and sediment buildup that could block the lines, on an as-needed basis as supported by site-specific indicators. A blockage could cause leachate to accumulate upstream and be released through a manhole or seep out of the waste cell. Alarms are often used to alert landfill staff (through audible tones, visual lights, automatic phone call, text, and/or email) that leachate has risen to levels within wet wells or sumps higher than normal to maintain a leachate head at or below 30cm (12in) on the liner. If leachate levels rise high enough within the waste mass, slope failure could occur. Bulging, cracks, or a washboard effect have been observed to precede slope failure. Leachate storage units should also be pumped down in advance of a storm event to ensure there is adequate freeboard within the leachate lagoon or tank to be able to handle increased leachate generation caused by increased stormwater infiltration.
- Compliance Considerations: A single instance of leachate head greater than 30cm (12in) above the liner may or may not be cited as an alleged violation, depending upon the cause of the exceedance, the facility’s timely response, and the risk to human health and the environment. Compliance inspectors should take into account:
- Facility reporting within the required timeframe (see SWIM Attachment 12);
- Reasons for leachate head exceedance, such as: o Failure to maintain or operate leachate system as designed, o Equipment failure, o Single or consecutive storm events with a rainfall total greater than that of a 24-hour, 25-year storm for the facility’s location, or o Other emergency;
- Facility response and length of time to return to compliance;
- Potential or actual discharges to surface water, groundwater, wells, springs, or drinking water sources, or other releases;
Guidance Memo 2020-01 Page - 5 - of 16• Depth of leachate over liner and elevation of accumulated leachate (i.e. above or below grade; relation to liner berm);
- Proximity to surface water, groundwater, wells, springs, or drinking water sources;
- Geologic conditions (e.g. karst topography);
- Effects on slope stability (as indicated by bulging, cracking, washboard effect, or other); and
- Repeated and/or continuing occurrence.
Note: The compliance assessment criteria in Section V.A.2. below, does not take into account when leachate head exceedances are caused by single or consecutive storm events resulting in a rainfall total greater than that of a 24-hour, 25-year storm for the facility’s location. When the rainfall total exceeds that which corresponds to a 24-hour, 25-year storm, compliance staff should take that into consideration, along with all other information, to assess whether an alleged violation is still warranted and if the severity level of non-compliance should be adjusted.
The important factor is that the facility takes immediate measures to draw down the leachate head to protect public health and safety (e.g. prevent landfill instability due to high liquid levels, avoid releases to surface water, groundwater, wells, springs, or drinking water sources, and minimize potential for seeps, etc.). In addition to increasing pumping capacity and/or sending leachate to other disposal facilities, the facility should take additional operational measures to ensure the condition does not return (e.g. repair/replace equipment; clean out leachate lines; improve daily, progressive, or intermediate cover; install final cover; repair cracks or erosion to minimize stormwater infiltration; etc.).
- Classifying Alleged Non-Compliance: If observations, reports or records indicate leachate levels are greater than 30cm (12in) depth over the liner, the following criteria can be used to determine whether an alleged violation should be issued and the severity level of the alleged violation. An assessment of severity level should consider the risk to human health or the environment and the extent of deviation from the applicable requirements in the statute, regulations, and permit.
General Comment
- Facility reports within 24 hrs/5 days (unless alternate time is specified in the permit) and can demonstrate and return level to below 12in within 7 days, AND
- No discharges of leachate to stormwater channels, sediment basins, surface water, wells, or other water sources, AND
- Exceedance is NOT a result of failure to maintain or operate system as designed.
Some examples include (1) the facility is performing scheduled maintenance that results in temporary increased leachate levels while pumps are down; (2) single or consecutive storm events that temporarily overwhelm the system; and (3) electrical or other issues cause primary or backup equipment to go down temporarily.
Guidance Memo 2020-01 Page - 6 - of 16 Severity Level I Alleged Violation
- Facility reports within 24 hrs/5 days (or alternate time specified in the permit) and can demonstrate and return level to below 12in within 15 days, AND
- Facility has low levels (less than 20 in) of leachate head on liner or small leachate release that is contained immediately but no potential or actual discharge to surface water, wells, or other water sources, AND
- Exceedance is NOT a result of failure to maintain or operate system as designed, AND
- Issue was not documented as an alleged violation during the previous inspection.
Severity Level II Alleged Violation
- Facility reports within 24 hrs/5 days (or alternate time specified in the permit) and can demonstrate and return level to below 12in within 45 days, OR
- Exceedance not reported to DEQ as required, OR
- Facility has moderate levels (20 to 30 in) of leachate head on liner or release to stormwater management system and/or potential for discharge to surface water, but NO discharge to surface water, wells, or other water sources, OR
- Exceedance is result of failure to maintain or operate system as designed, OR
- Issue previously documented in Deficiency Letter and unaddressed.
Severity Level III Alleged Violation
- Facility reports within 24 hrs/5 days (or alternate time specified in the permit) but is not able to demonstrate and return level to below 12in within 45 days, OR
- Exceedance caused discharge to surface water, wells, or other water sources, OR
- Facility has significant levels (over 30 in) of leachate head on liner and exceedance is result of failure to maintain or operate system as designed, OR
- Major slope or high wall failure has occurred, OR
- Issue previously documented as Warning Letter and unaddressed.
B. Leachate Seeps Leachate seeps result when the moisture in a waste mass finds a preferential flow path that directs leachate to the side slope of a landfill rather than down to the leachate collection system. Leachate seeps tend to occur when one or more of these conditions exist:
- Excess moisture in waste caused by wet-weather conditions such as rain, snow, freeze, or thaw;
- Impermeable layers in the landfill (e.g., daily or intermediate soil cover, former haul roads, etc.);
- Large impervious objects such as sheets of plastic or certain industrial wastes;
- Lack of proper daily/intermediate/progressive cover, large working face, or use of higher permeability cover materials like sandy soils;
- Erosion of cover; and
- Excessive leachate recirculation and water imbalance.
As defined in this guidance, leachate seeps are not cap drainage or landfill gas condensate. To distinguish between cap drainage and a possible leachate seep, consult the closure construction drawings to confirm the extent of the final cover system and presence of engineered cap drainage
Guidance Memo 2020-01 Page - 7 - of 16features. Additionally, the area in question should be visually investigated to ensure the release does not show signs of leachate (discoloration, odor, etc.) which could seep from the area if there is damage to the geomembrane or soil cap. Care must be taken during this investigation to avoid inadvertent damage to the cap during the investigation. If uncertain, indicator tests, as discussed in Subsection B.6. below can be used to distinguish between leachate and other drainage unaffected by the waste unit.
Gas condensate is typically a discolored liquid with an odor that if leaking from a cracked or broken pipe in the gas collection system may appear to be a leachate seep. To distinguish between a gas condensate leak and a possible leachate seep, consult the landfill gas management plan drawings to confirm the location of landfill gas collection pipes which may be buried under cover soils. It is important to distinguish between a leachate seep and gas condensate leak so that the proper repairs can be made to the gas collection system instead of attempting conventional leachate seep repairs.
While gas condensate is not considered leachate, it is a solid waste and must be collected, managed, and disposed of in accordance with the VSWMR or recirculated or drained by gravity into the landfill in accordance 9 VAC 20-81-200.C.3.c.
Runoff from the working face of a landfill is considered “contaminated stormwater,” not leachate.
Generally, precipitation on the working face of a landfill (MSW, and most CDD and Industrial) will be contained and infiltrate to the leachate collection system. Any stormwater that runs off the working face and does not enter the leachate collection system should be managed as contaminated stormwater and is subject to effluent limitations under the VPDES permit. Alternatively, the owner may choose to direct or pump any runoff to their leachate collection system for treatment. Runoff from all other areas of the landfill will also be subject to limitations or monitoring and special conditions under the VPDES permit.
The facility is required to repair leachate seeps in accordance with 9 VAC 20-81-210.F. and
- Take immediate steps to protect public health and safety;
- Take immediate action to minimize, control, or eliminate the seep and properly contain and manage leachate at the source of the seep; and
- Properly collect and dispose of any leachate released outside the disposal unit boundary.
The following subsections address the Department’s expectations with regards to these requirements and provide a framework for classifying alleged non-compliance and selecting the appropriate compliance instrument to accompany the compliance inspection report (CIR).
- Permittee Responsibilities Facility staff are required to regularly inspect the landfill cover systems for the presence of leachate seeps, especially after a storm event (9 VAC 20-81-140.A.16; -B.1.d; -D.1.d; 9 VAC 20-81-485.A.2). If a potential seep on the landfill slope is observed, the facility should assess whether the area may be cap drainage, a gas condensate leak, or a leachate seep. If the observed area is likely a leachate seep, steps should be taken as quickly as weather and soil conditions permit to eliminate the leachate seep and repair any cracked, eroded, or uneven areas of the cover.
Guidance Memo 2020-01 Page - 8 - of 16Facility staff are required to keep records of inspections, and should document actions taken to manage and eliminate leachate seeps in a timely manner. Records may be incorporated into the Daily Log or Self-Inspection reports. (9 VAC 20-81-140.A.16) Facility staff are required to report to the Department within 24 hours (orally) and 5 days (in writing) any noncompliance or unusual conditions that may endanger health or environment.
Leachate seeps resulting in leachate outside the disposal unit boundary, leachate in a sediment basin, or an unauthorized discharge to surface water are considered unusual conditions requiring notification (9 VAC 20-81-530.C.3). Attachment 12 of the DEQ Solid Waste Compliance Program Inspection Manual further clarifies the 24-hr/5-day reporting requirements related to leachate control.
For closed landfills, post closure care requirements include maintaining the integrity and effectiveness of the final cover. (9 VAC 20-81-170.A.1.a) The Postclosure Care Plan specifies the frequency of inspections and maintenance activities. (9 VAC 20-81-170.A.2.a)
- Requirement to Repair Leachate Seeps The facility’s Operations Manual or Post-Closure Care Plan for closed landfills should include methods to safely and effectively eliminate leachate seeps in accordance with standard industry practices. Actions to address and repair the leachate seep may vary depending on the source or cause of the leachate seep. Effective seep removal often requires excavating the area around the seep and through one or more layers of the waste mass (i.e. creating a chimney) to penetrate impermeable layers or remove impervious objects preventing leachate from percolating through the landfill.
Seep excavations generally cover small and/or shallow areas. Precautions should be taken to ensure that any large or deep excavations do not compromise the stability or integrity of the landfill slope. If the excavation is completed near the toe of the slope, the facility should ensure that the leachate collection system and liner system are not compromised during repairs. Due to weather conditions, it may not be feasible to eliminate the leachate seep right away; therefore, it may be necessary to construct a temporary containment basin or install a temporary tank to collect leachate and prevent it from reaching the stormwater system while the work is performed. Any odor or vector issues stemming from the open excavation should be addressed by the facility, and any leachate released and leachate-contaminated soil outside the disposal unit boundary shall be properly collected and disposed. Landfills in post-closure care should dispose of contaminated soil offsite at a permitted solid waste management facility.
After the cause of the seep has been addressed, the excavation may be left open for a short period of time to make sure that the leachate is draining back into the waste mass and leachate collection system. Seep excavations may be left open for up to 48 hours unless an extension request (due to weather or other reason) is approved by DEQ. Excavations may need to be closed sooner than 48 hours if odor or vector issues are observed. The excavation may then be backfilled with coarse drainage material, such as gravel or tire chips, to within one to three feet of the slope, capped with suitable impervious material, and appropriate repairs made to the cover. Additional corrective measures may also include minimizing Guidance Memo 2020-01 Page - 9 - of 16 stormwater infiltration with a smaller working face, maintaining positive drainage on the slopes and in conveyance channels, waste lifts sloped to the outside, and improving compaction of daily and intermediate cover.
Persistent seeps or seeps occurring on a slope with a geomembrane cap may require measures beyond the scope of this discussion. The facility is responsible for determining how best to meet compliance standards and should consult with DEQ staff for any proposed repairs that may affect the landfill liner, leachate collection system, final cover system, or other infrastructure. DEQ staff may provide compliance assistance by discussing the performance standard(s) necessary to maintain or achieve compliance; however, they should not dictate to a facility how to repair a seep.
- Compliance Inspections by DEQ Staff Recording observations. The compliance inspector should bring any observed leachate seep to the attention of the facility management and document the location, extent, and characteristics of the leachate seep(s) in the compliance inspection report (CIR). Consider the following elements for inclusion in the report:
- Breakout location (e.g., phase or cell number; directional side; top of slope, mid-slope or toe). If possible, locate the seeps on a facility map and include as an attachment with the cover letter. Seep locations may also be described via proximity to nearby gas or groundwater wells, gas vents, stormwater conveyance structures, or other site features.
- Description, to include: o Type of cover (e.g., daily, intermediate, final, vegetated, earthen, geomembrane); o Color, soil staining, volume, flowing or not flowing, odors; and o Stressed vegetation; or vegetation that grows well due to presence of moisture.
- Extent of seep (e.g., does it stop before edge of liner, has it entered stormwater conveyance structures, or discharged to surface water, groundwater, wells, springs, or drinking water sources)
- Photographs of the seeps
- Weather conditions (current, recent, and/or forecast) Runoff in ditches, conveyance channels, sediment traps, or onsite retention basins is not a surface water. In documenting observations, use the term “discharge” only if referring to a discharge to surface water or discharge that may reasonably be expected to enter surface water.
Review of Operating Record. The compliance inspector should review the facility’s self-inspection reports compiled since the last inspection to identify records of any previous or ongoing leachate seeps and actions taken by the facility. The facility’s records should reflect actual operational conditions onsite and be consistent with any information reported to the Department in accordance with the 24-hr/5-day reporting requirements under 9 VAC
20-81-530.C.3.
Guidance Memo 2020-01 Page - 10 - of 16
- Classifying Alleged Non-Compliance Leachate seeps observed during a compliance evaluation inspection may or may not be cited as an alleged violation, depending upon the extent of the seep and the facility’s response to the seep. Alleged violations should primarily be based upon non-compliance with one or more of the specific conditions listed under 9 VAC 20-81-210.F and 9 VAC 20-81-140.A.6.
The following guidelines are provided to promote consistency in classifying alleged non-compliance and selecting the appropriate compliance instrument to accompany the CIR. As referenced in the guidelines, the “potential to discharge” should be assessed based on the location, extent and migration of the seep, proximity to surface water, wells, springs, or drinking water sources, weather conditions, and facility actions.
In addition to the guidelines that follow, DEQ staff should consider whether facilities took precautions in advance of a storm as discussed in Subsection B.5. Also, if a leachate seep is an indicator of a failure to meet other operational requirements, such as poor cover maintenance on slopes, lack of cover, or failing to maintain a leachate collection system as designed, then the CIR should also include an alleged violation citing non-compliance with the other applicable requirements and the corresponding compliance instrument should be adjusted based on guidance provided in the Solid Waste Inspection Manual.
General Comment Leachate seep(s) observed on the slope of a landfill, which:
- Are not causing an odor, vector or health problem, AND
- Have not moved beyond the edge of the waste cell into a stormwater ditch, AND
- The facility takes corrective actions to eliminate the seep(s) as soon as possible (i.e., as soon as weather and soil conditions allow safe working conditions).
Severity Level I Alleged Violation
- Leachate seeps extending beyond the disposal unit boundary, including into a stormwater channel but without any potential or actual discharge to surface waters, wells, or other water sources; facility stops further migration, protects health and safety, eliminates the seep, and properly collects and disposes of leachate, OR
- Seep previously documented with a No Deficiency Letter, but timely corrective measures were not taken.
Severity Level II Alleged Violation
- Leachate has migrated beyond the disposal unit boundary into the stormwater management system (i.e., sediment basin) with a potential for discharge to surface waters, wells, or other water sources, OR
- Large number of leachate seeps (e.g. line or curtain of seeps closely spaced together over a short distance) extending beyond the disposal unit boundary, including into a stormwater channel but without any discharge to surface waters, wells, or other water sources; facility stops further migration, protects health and safety, eliminates the seep, and properly collects and disposes of leachate, OR
- Seep previously cited with a Deficiency Letter, but timely corrective measures were not taken, OR Guidance Memo 2020-01 Page - 11 - of 16
- Leachate not properly collected and disposed (i.e., returned to lined disposal area or permitted leachate collection system).
Severity Level III Alleged Violation
- Any pollutant discharge to surface water (i.e., discharge from contaminated sediment basin to receiving stream, unauthorized off-site discharge of leachate), wells, or other water sources, OR
- Leachate seeps have compromised the integrity of the slope or caused slope failure,
OR
- Seep previously cited with a Warning Letter, but timely corrective measures were not taken.
If a discharge of leachate to surface water has occurred, the NOV should cite alleged non-compliance with 9 VAC 20-81-140.A.6 and 9 VAC 20-81-210.F as applicable. In addition, the NOV should cite the State Water Control Law, §62.1-44.5
- Best Management Practices in Advance of Storm Events In accordance with 9 VAC 20-81-130.H., the runoff control system from the active portion of the landfill must be designed to collect and control at least the water volume resulting from a 24-hour, 25-year storm, and not cause any discharge of pollutants to state waters in violation of the Clean Water Act and VPDES requirements.
A “24-hour, 25-year storm” refers to a rainfall event with a 1 in 25 probability, or 4 percent chance, of occurring in any given year. Site-specific rainfall precipitation frequency data corresponding to 25-year storm events can be obtained from the U.S. National Oceanic and Atmospheric Administration (NOAA) Atlas 14. Partial duration time series shall be used for the precipitation data in accordance with 9 VAC 25-870-72.
The following are examples of appropriate preparatory actions a facility may take prior to a foreseeable storm event:
- Inspection and assessment of leachate storage structures;
- Maintaining an extra inventory of chemicals for treatment and discharge systems;
- Reinforcement of potential weak points in stormwater diversion berms or impoundments;
- Clearing stormwater conveyance channels of sediment, woody vegetation, and debris that could prevent the channel from functioning as designed;
- Draw down, treatment, and disposal of stored leachate in accordance with the facility’s permit in order to provide sufficient freeboard in leachate storage unit;
- Contacting leachate haulers prior to the event to stand by to draw down leachate tanks or leachate ponds during or immediately following the storm event for pump and haul;
- Alternate power source for leachate pumping station or pumps in the event of power failure;
- Temporary suspension of leachate recirculation; and
- Other facility-specific measures.
Guidance Memo 2020-01 Page - 12 - of 16
- Characteristics and testing of leachate When water percolates through solid waste, both soluble and insoluble constituents separate from the decomposing waste. Leachate is typically dark in color and may have an odor.
The characteristics of the leachate produced by a landfill are highly variable, depending on many interacting factors such as the composition and depth of waste, the availability of moisture and oxygen, landfill design and operation, and waste age. Leachate may contain some chemicals (i.e., high salt concentrations) that are not necessarily toxic or hazardous, but could impact groundwater, surface water, wells, or other water sources if discharged.
Leachate may also contain heavy metals such as lead or arsenic, and organic pollutants such as polychlorinated biphenyls (PCBs).
The facility may need to sample a seep to characterize and demonstrate the presence or absence of leachate. If a seep is tested, the facility should review the data and note date and results of laboratory tests. Consistent with Guidance Memo 2016-02: Permitting, Sampling, Analysis and Data Reporting associated with Solid Waste Underdrain Systems, appropriate indicator tests for leachate include chloride, alkalinity, total suspended solids (TSS), total Kjeldahl nitrogen (TKN), biochemical oxygen demand (BOD), and chemical oxygen demand (COD). Typical ranges of concentrations for some of these parameters are listed in the table below. Keep in mind that leachate composition varies significantly, especially as the landfill stabilizes and parameter concentrations decrease, and may be outside the typical range presented. For leachate that has released to stormwater, surface water, or other water sources, constituent levels may be outside the ranges provided due to dilution. In these instances, a sample of the seep should be collected as close to the source of the seep to confirm/deny the release of leachate. In addition, other parameters may be appropriate for analysis based on landfill wastes accepted. If site-specific leachate analytical data is available or a current leachate sample can be obtained and analyzed, then that data should be used for comparison.
Indicator Tests to Characterize Leachate Constituent Typical Range* pH, field (pH units)
- 5 – 9.01 Conductivity, field (µS/cm) 250-35002 BOD (biochemical oxygen demand) 20-57,0001 COD (chemical oxygen demand) 140-152,0001 TOC (total organic carbon) 30-29,0001 Total Suspended Solids 50-1503 Ammonia nitrogen 50-2,2001 Sulfate 8-7,7501 Chloride 150-45001 Iron 3-5,5001 * Units are milligrams per liter, except pH and conductivity as indicated 1Source: Kjeldsen et al. “Present and Long-Term Composition of MSW Landfill Leachate: A Review.” Critical Reviews in Environmental Science and Technology, 32(4) (2002): 297-336. Web. 2Source: Haarstad and Maehlum. “Electrical Conductivity and Chloride Reduction in Leachate Treatment Systems.” Journal of Environmental Engineering, 133(6) (2007). Web. 3Source: Torrens, Kevin. (2018). Leachate Quality and Disposal Considerations.
Guidance Memo 2020-01 Page - 13 - of 16 To ensure that analytical results provide a valid representation of the sample tested, consideration must be given to sample collection techniques (e.g, grab vs. composite), the container(s) in which a sample is collected, preservation and shipment procedures, holding times, and chain of custody documentation. Guidance as to appropriate sample containers and handling may be obtained from the analytical laboratory. EPA guidelines for test procedures, containers, preservations techniques, and holding times are found in
40CFR136.3.
C. Surge Capacity in Impoundments & Tanks In accordance with 9 VAC 20-81-210.B., tanks and surface impoundments used for storage of leachate shall have a flow equalization and surge capacity at least equal to the maximum expected production of leachate for any seven-day period for the life of the facility. Leachate storage capacity does not consider leachate that may have collected in or on the liner system.
It is in the best interest of the facility to keep leachate storage levels low to ensure surge capacity exists to protect human health and the environment (i.e. prevent leachate releases or discharges).
Facilities may find it helpful to install a visual marker on the tank or in the impoundment or use automatic sensors/valves to ensure surge capacity is available and releases or discharges of leachate are prevented.
If high leachate levels are observed in the storage unit during the compliance inspection, inspectors should discuss with the facility the potential cause of the high levels and remedy to return levels to restore surge capacity. Initial and recurring instances of high leachate in storage units, as a result of a precipitation event or facility operations, with no evidence of leachate release from the unit should be addressed as a general comment in the CIR. The inspector should stress the importance of preventing releases/discharges and remind the facility to dispose of leachate and restore surge capacity.
Observed evidence or facility reporting of a leachate release from the leachate tank or impoundment without a release to surface water is a Severity Level II alleged violation. If the release reaches surface water, the incident is a Severity Level III alleged violation. Other considerations for determining the severity level include whether the condition is the initial instance versus a recurring instance, the extent of the release, and the facility’s response to the release.
D. Leachate Recordkeeping In addition to the recordkeeping mentioned throughout this guidance, this subsection focuses on the template permit condition, which states that permittees shall maintain “Documentation of the authorization to discharge leachate into the publicly/privately owned treatment works (POTW), leachate volumes sent to the POTW, and periodic leachate sampling analytical results.” This permit condition is typically located in Module I, Section C of a full solid waste permit.
- Discharge Authorization The permittee shall maintain a copy of their authorization to discharge leachate. Authorization may be an approval letter from the POTW, contract with the POTW, VPDES permit, or other similar documentation to ensure there is an outlet for the expected quantity of leachate
Guidance Memo 2020-01 Page - 14 - of 16generated. When constructing a new landfill cell or phase, an additional authorization may be requested by the Department to account for the additional quantity of leachate anticipated in order to obtain a certificate-to-operate.
- Leachate Volumes To satisfy this part of the condition, the facility should record leachate volumes sent to the POTW or approved treatment and/or disposal facility at a regular frequency (daily, weekly, monthly, or per discharge). When determining an appropriate recordkeeping frequency, pump & haul volume should be recorded each truckload. Facilities with continual direct discharge should have a flow meter recording volumes discharged and tabulate data daily, weekly, and monthly. If discharge is not continuous, then flows should be recorded per discharge. These records should meet the requirements of 9 VAC 20-81-530. Facilities with gravity discharge systems and/or without flow meters should consider adding a device to record discharge volumes.
Recording these volumes is important and allows the facility to monitor trends in the data.
Increases or decreases in volumes can signal operational issues such as poor daily, intermediate, or final cover performance, pump failures, leachate line blockages, or unidentified releases. The data is also especially important as landfills move into post-closure care and seek post-closure care termination. In accordance with Guidance Memo 01-2007: Post-Closure Care Termination and Submission Instruction No. 20: Termination of Post-Closure Activity Evaluation, data on leachate generation rates and analytical data as discussed in Section V.D.3. below, are essential in determining whether leachate management can be discontinued.
- Leachate Sampling Analytical Results The permit condition requires facilities to maintain documentation of periodic leachate sampling analytical results without specifying the sampling and analysis to occur. However, it is a standard practice for the receiving POTW to either perform sampling and analysis on industrial waste streams, such as leachate, or to require that the facility sample, analyze, and possibly pretreat leachate as part of a discharge permit issued by the POTW. The constituent analysis would be POTW-specific, though standard parameters include Biological Oxygen Demand (BOD), Total Suspended Solids (TSS), Nutrients (nitrogen and phosphorus), and pH. Depending on the POTW, sampling and analysis may also include metals, volatile organic compounds (VOCs), semi-VOCs, pesticides, PCBs, hydrogen sulfide (H2S), cyanide, BTEX (benzene, toluene, ethylbenzene, and xylene), MEK (methyl ethyl ketone), or any other specific constituent that the POTW may be limited to in its discharge permit or have the potential to upset the treatment works. Additional leachate-specific constituents to consider for sampling and analysis are those parameters identified in Guidance Memo 2016-02: Permitting, Sampling, Analysis and Data Reporting associated with Solid Waste Underdrain Systems, and include chloride, alkalinity, total Kjeldahl nitrogen (TKN), and chemical oxygen demand (COD).
Facilities should request and maintain such sampling and analysis records. If sampling and analysis is not currently performed or the records are not available, facilities are encouraged to sample their leachate on at least an annual basis and maintain those records per this permit condition. Regular sampling and analysis can provide information regarding:
- Maturation of the disposal unit;
Guidance Memo 2020-01 Page - 15 - of 16
- Suitability of alternate leachate management and disposal options;
- Evidence to confirm or refute the presence of leachate seeps/releases or groundwater detections; and
- Suitability of post-closure care termination based on trends observed in leachate constituents.
Facilities that dispose of leachate by pumping and hauling to the treatment works are often required to perform a hazardous waste determination on an annual basis. The permit condition typically requires that “Leachate will be analyzed and characterized in accordance with the Virginia Hazardous Waste Management Regulations (9VAC20-60) to determine if it is a characteristic hazardous waste.” Sampling for metals using the toxicity characteristic leaching procedure (TCLP) is standard for the hazardous waste determination.
VI. Collaboration Process A Leachate Workgroup consisting of Regional Land Protection Managers, Solid Waste Permit Writers, Solid Waste Compliance Inspectors, and the Central Office Solid Waste Permitting and Compliance Coordinators was formed to examine recurring leachate issues discovered by compliance staff in the field. The task of the workgroup was to evaluate current agency guidance, regulations, and practices to provide a consistent framework for compliance, clear regulatory requirements, and consistency amongst regional offices. The group began discussions in August 2017, which resulted in the development of this guidance
Other DEQ Central Office and Regional staff were given opportunity to comment during development. Additionally, comments from interested parties were solicited.
VII. References Solid Waste Inspection Manual Submission Instruction No. 7: Leachate Management Plan for Solid Waste Management Facilities
Guidance Memo 2020-01 Page - 16 - of 16
Guidance on MSE Berms in Landfill DesignDoc ID: Use
COMMONWEALTH OF VIRGINIA Department of Environmental Quality Subject: Division of Land Protection and Revitalization Guidance Memo No. 2015-01 Use of Mechanically Stabilized Earth (MSE) Berms in Landfill Design To: Regional Land Protection Program Managers, Regional Solid Waste Permit Writers, Kathryn Perszyk, and Geoff Christe From: Justin Williams Director, Office aste Permitting & Compliance Date: April 24, 2015 Copies: Regional Directors, Jeffery Steers Summary: In the absence of regulatory requirements specific to mechanically stabilized earth (MSE) berms, this guidance has been developed to address the permitting, specific to siting, design, inspection, closure, and post-closure care of an MSE berm at a landfill.
Electronic Copy: An electronic copy of this guidance is available on the Virginia Regulatory Town Hall website at: http://townhall.virginia.gov/L/GDocs.cfm?boardid=119 Contact Information: Please contact the solid waste permit coordinator, Kathryn Perszyk, at (703) 583-3856 or kathryn.perszykadeq.virginia.gov with any questions regarding the application of this guidance.
Disclaimer: This document is provided as guidance and, as such, sets forth standard operating procedures for the agency. However, it does not mandate any particular method nor does it prohibit any alternative method for the analysis of data, unless ,specifically required by the VSWIVIR. If alternative proposals are made, such proposals should be reviewed and accepted or denied based on their technical adequacy and compliance with appropriate laws and regulations.
Guidance Memo No. 2015-01 Page 1 of 14 Use of Mechanically Stabilized Earth (MSE) Berms in Landfill Design VIRGINIA DEPARTMENT OFEl UNVIR0t4..41FN1AI_ Q1RLITY
I. Introduction Use or potential use of Mechanically Stabilized Earth (MSE) Berms at landfills as a means to manage solid waste disposal and to maximize use of existing footprints, expand the facility, or increase disposal capacity at the landfill has been increasing. Although construction and use of these berms in this manner is not specifically addressed in the Virginia Solid Waste Management Regulations (VSWMR), these berms have a direct impact on the design, operation, closure, and post-closure elements of a landfill.
The VSWMR require a major permit modification of an existing landfill solid waste permit (SWP) for permit modifications requested by the permittee as identified in 9 VAC 20-81-600.F.
Permittee requests to include a mechanically stabilized earth (MSE) berm in the permitted design of a landfill will be processed as a major permit modification. The major permit modification is necessary because the addition of a MSE berm will substantially alter the facility design, per 9 VAC 20-81-600.F.3.a., and require review of various design elements. In addition, all requests for inclusion of an MSE berm will be subject to public notice and a public hearing in accordance with the permit issuance procedures of 9 VAC 20-81-450.E.
The purpose of this guidance document is to provide solid waste management facilities (SWMFs) and their consultants information on the major permit application that should be submitted and provide solid waste permit writers guidance to assist with reviewing and processing MSE berm requests.
II. Background MSE berms have typically been used in the transportation industry and for private industrial and residential development; however, since the late 1980s, such berms have been used to allow the vertical expansion of a landfill with or without lateral expansion of the waste management boundary. In accordance with 9 VAC 20-81-600, a major permit modification is required for landfills wishing to incorporate a MSE berm; however, the VSWMR and Department issued Submission Instructions do not specifically address requirements applicable to MSE berms. This guidance aims to provide permit application specific guidance for applicants seeking to use MSE berms at existing solid waste disposal facilities.
III. Authority Section 10.1-1408.1 of the Code of Virginia specifies that sanitary landfills or other facilities for the disposal, treatment, or storage of nonhazardous solid waste shall not operate without a permit from the Director. This Section also identifies key components of the permit application that shall be submitted for review.
Guidance Memo No. 2015-01 Page 2 of 14Section 10.1-1408.4. of the Code of Virginia specifies the Director shall determine, in writing, that the site on which the proposed new municipal solid waste landfill is to be constructed is suitable for the construction and operation of such a landfill.
The permit modification application required by the Code is addressed in Part V of the VSWMR [9 VAC 20-81-450 through 9 VAC 20-81-600]. An application providing the information outlined in the Department’s submission instructions will contain the basic information the DEQ will use to evaluate the proposed facility. Based on the evaluation of the submitted permit application, the Department will determine if the application is administratively complete, technically adequate, and in full regulatory compliance with applicable sections of the VSWMR.
If the application is found to be technically adequate and in full compliance with the VSWMR, staff will develop a draft permit in accordance with 9 VAC 20-81-450.E. The draft permit will include conditions necessary to protect public health or the environment or to ensure compliance with the VSWMR in accordance with 9 VAC 20-81-430 and Va. Code § 10.1-1409 B. Under 9 VAC 20-81-430 and Va. Code § 10.1-1409 B., specific conditions which are necessary to protect human health and the environment may be included in a permit.
The major permit modification application for a proposed MSE berm shall contain a Notice of Intent (NOI), applicable documentation required by 9 VAC 20-81-460 and 9 VAC 20-81-470 or 9 VAC 20-81-480, and applicable major permit modification fee outlined in Table 3.1-2 of 9 VAC 20-90-120. The following discussion is provided to aid the applicant in preparing a complete application for the Department’s review.
IV. Definitions The definitions in § 10.1-1400 of the Code of Virginia and 9 VAC 20-81-10 of the VSWMR apply to the implementation of these procedures. Key definitions applicable to this guidance from the VSWMR are identified below. Additional definitions specific to this guidance are also provided.
"Capacity" means the maximum permitted volume of solid waste, inclusive of daily and intermediate cover, that can be disposed in a landfill. This volume is measured in cubic yards.
"Critical berm failure" is synonymous with a partial or complete collapse or excessive deformation of the constructed MSE berm.
"Disposal unit boundary" or "DUB" means the vertical plane located at the edge of the waste disposal unit. This vertical plane extends down into the uppermost aquifer. The DUB must be positioned within or coincident to the waste management boundary.
"Excessive berm deformation" includes (1) obvious bowing or bulging along the berm facing; (2) outward leaning of any portion of the berm beyond the original slope; and (3) gaps or cracks in the berm facing. Presence of cracks or depressions on top of the berm’s reinforced soil zone may also be signs of berm deformation.
Guidance Memo No. 2015-01 Page 3 of 14"Expansion" means a horizontal expansion of the waste management boundary as identified in the Part A application. If a facility's permit was issued prior to the establishment of the Part A process, an expansion is a horizontal expansion of the disposal unit boundary.
"Mechanically stabilized earth (MSE) berm" is a soil berm constructed in layers with geosynthetic reinforcement, often with a steep or near vertical facing typically consisting of concrete block or vegetation.
"Waste management boundary" or "WMB" means the vertical plane located at the boundary line of the area approved in the Part A application for the disposal of solid waste and storage of leachate. This vertical plane extends down into the uppermost aquifer and is within the facility boundary.
"Vertical design capacity" means the maximum design elevation specified in the facility's permit or if none is specified in the permit, the maximum elevation based on a 3:1 slope from the waste disposal unit boundary.
V. Guidance Document The intent of this guidance is to expand upon existing Department Submission Instructions Nos. 1, 2, 6, and 7 to address design and construction requirements specific to MSE berms at solid waste disposal facilities. The following discussion provides additional details which should be addressed in a facility’s permit application for inclusion of a MSE berm as well as specific permit conditions that may be included in a permit approval for the MSE berm. An application review checklist is also provided as Attachment 1 to assist with submittal and review of MSE berm major permit modification requests.
V.A Applicability Installation of an MSE berm typically serves the purpose of increasing the capacity of an existing landfill. Any sanitary, CDD, or industrial landfill wishing to install a MSE berm shall apply for a major permit modification in accordance with 9 VAC 20-81-600. As indicated in Guidance Memo 01-2009: Scenarios under which a Part A Amendment is or is not Required, the increase in capacity through addition of an MSE berm may not trigger a Part A amendment; however, items identified under 9 VAC 20-81-450 and 9 VAC 20-81-460 applicable to the increase in capacity must be submitted with the Part B major permit modification application. Any expansion of the disposal unit boundary (DUB) or waste management boundary (WMB) coinciding with the MSE berm proposal would be considered an expansion and require both Part A and Part B permit modifications.
The major permit modification is also required of House Bill (HB) 1911 CDD and industrial landfill facilities. HB1911, approved March 20, 1995, allows CDD and industrial landfills to expand beyond the waste boundary existing on October 9, 1993, without obtaining a permit modification so long as the expanded area maintains setback distances specified under 9 VAC 20-81-120 and the area is constructed with a liner and leachate collection system meeting the applicable design criteria of 9 VAC 20-81-130. The bill did not change the previous language in the statute (§10.1-1408.1 N.) that limited waste acceptance at such facilities until they reached their vertical design capacity. As defined under 9 VAC 20-81-10, the vertical design capacity is
Guidance Memo No. 2015-01 Page 4 of 14defined as the maximum design elevation specified in the facility’s permit, or the maximum elevation based on a 3:1 slope from the DUB. Any airspace to be gained above the 3:1 slope from the DUB (or above the permitted final elevation) because of the MSE berm proposal is not covered under the permit exemption afforded under the statute and VSWMR for expansion of such facilities, as an expansion only applies to the horizontal expansion of the DUB and not the vertical expansion.
Also of note, when adding a MSE berm, if the landfill in question is unlined, liner and leachate collection systems meeting the current regulatory standard must be placed between the existing landfill and the landfill vertical expansion. Geotechnical investigation and calculations shall be performed to determine settlement and strength parameters of the unlined landfill waste mass and potential void locations so that an appropriate liner system can be designed to withstand the strains induced by piggybacking over the existing waste mass.
The major permit modification application for a proposed MSE berm shall contain a Notice of Intent (NOI), applicable documentation required by 9 VAC 20-81-460 and 9 VAC 20-81-470, and applicable major permit modification fee outlined in Table 3.1-2 of 9 VAC 20-90-120 as outlined below.
V.B. NOI and Part A Application Elements for MSE Berms (9 VAC 20-81-450 and 9 VAC 20-81-460, respectively) The following items shall be submitted with the permit application to satisfy the Notice of Intent and Part A permit requirements for the addition of an MSE berm at an existing SWMF assuming there is no expansion of the WMB. Specific details on the information to be included with each of the items listed below is provided in Sections III and IV of Submission Instruction No. 1: Procedural Requirements for a New or Modified Solid Waste Management Facility (SWMF) Permit Application. If an expansion of the WMB is also included with the MSE berm permit modification, be sure to provide the required additional application items identified in Submission Instruction No. 1 that are applicable to landfill expansions.
- Part A Form per 9 VAC 20-81-460.A. for Siting Analysis As indicated in Section V.A., a Part A permit modification is not required for the addition of an MSE berm to an existing landfill that does not include an expansion of the WMB.
While all waste management must occur within the WMB, the footprint of the MSE berm may be constructed outside the WMB. However, since the MSE berm becomes a critical part of the landfill disposal unit and allows for an increase in waste disposal capacity, its placement should be constructed in areas that meet the siting criteria of 9 VAC 20-81-120 (see Figure 1). By siting the berm to meet the landfill setbacks, the facility is able to maintain required site features and affords space to protect human health and the environment. To show that the footprint of the berm meets the siting criteria, the distance between the outside edge (toe) of the MSE berm and each setback should be provided on the Part A form (questions 1-10). . In addition, any documentation and/or demonstrations necessary for purposes of stability or proximity to receptors identified under 9 VAC 20-81-120 shall be included as the specified attachment to the form (and may not be listed below).
Guidance Memo No. 2015-01 Page 5 of 14 Sites that cannot meet the proposed siting criteria of 9 VAC 20-81-120 for the entire length of the proposed MSE berm should contact the appropriate DEQ Regional Office to discuss options for the facility in a pre-application meeting. These facilities should be prepared to explain and discuss the portion of the berm that cannot meet the setbacks and why that portion can not be met. DEQ anticipates that facilities should be able to have some portion of the width of the berm for the entire length to meet the siting requirements.
- Notice of Intent per 9 VAC 20-81-450.B. a. Cover Letter identifying the major permit modification request, describing the exact change(s) to be made to the existing SWP, and explaining the facility’s need for the modification, accompanied by Area and Site Location Maps per 9 VAC 20-81-450.B.1. and 9 VAC 20-81-600.F.3.b. (Part A Form Attachment I); b. Disclosure Statement per 9 VAC 20-81-450.B.2. (Part A Form Attachment II); c. Local Government Certification per 9 VAC 20-81-450.B.3. (Part A Form Attachment
III);
In addition to certification by the local government (i.e. SW-11-1 Form), the Department must receive documentation specific to approval of the MSE berm by the local government with the application. This is to ensure all local zoning and/or land use restrictions imposed by the locality are addressed prior to the application being reviewed by the Department. d. Demonstration of Need per 9 VAC 20-81-450.B.8. (Part A Form Attachment VII); e. SCC Certification per 9 VAC 20-81-450.B.10. (Part A Form Attachment VIII);
Final slope 33%
WMB Set Back! I ca9.3'6" <-[ I
T
I MSE I I I Berm
I
I I I I Liner slope 33% 771
Figure 1.
MSE Berm addition without changing the WMB
Guidance Memo No. 2015-01 Page 6 of 14 3. Vicinity Map per 9 VAC 20-81-460.C. (Part A Form Attachment IX) Even if the facility has a current Part A including a Vicinity Map, the application shall include a Vicinity Map per the requirements of 9 VAC 20-81-460.C. showing the proposed boundary of the MSE berm facing (or toe of slope) with respect to the new or existing landfill facility (waste management boundary).
- Hydrogeologic & Geotechnical Report by P.G. or P.E. per 9 VAC 20-81-460.E. (Part A Form Attachment XI thru XV) Facilities without a Part A Permit or whose Part A Hydrogeologic and Geotechnical Report analysis did not extend into the area of the proposed MSE berm footprint should perform the hydrogeologic and geotechnical analysis as prescribed under 9 VAC 20-81-460.E. in order to assess subsurface conditions for purposes of determining stability under proposed loads of the MSE berm. A complete Hydrogeologic and Geotechnical Report outlined in Submission Instruction No. 1 (Section IV.F.) does not need to be submitted (unless a Part A permit is required); however, information gathered during the site’s suitability assessment shall be used when designing the MSE berm. At a minimum, documentation to support the design analyses discussed in Section V.C.3. shall accompany the Part B permit application.
- VDOT Adequacy Report per 9 VAC 20-81-460.G. (Part A Form Attachment XVI) Applicable only to landfills requesting an increase in the daily disposal limit
- Landfill Impact Statement per 9 VAC 20-81-460.H. (Part A Form Attachment XVII) Applicable only to sanitary landfills. The Landfill Impact Statement shall address impacts to parks, recreational areas, wildlife management areas, critical habitat areas of endangered species, public water supplies, marine resources, wetlands, historic sites, fish and wildlife, water quality, and tourism expected due to the addition of the MSE berm and any vertical increase in landfill airspace gained.
- Adjacent Property Owner Notification per 9 VAC 20-81-460.I. (Part A Form Attachment XVIII)
V.C. Part B Application Elements for MSE Berms (9 VAC 20-81-470) The following items shall be submitted with the permit application to satisfy Part B permit requirements for the addition of an MSE berm at an existing SWMF. Details on the information to be included with each of these items is provided in Section V of Submission Instruction No. 1: Procedural Requirements for a New or Modified Solid Waste Management Facility (SWMF) Permit Application.
Guidance Memo No. 2015-01 Page 7 of 14 1. Part B Form per 9 VAC 20-81-470.D.
- Permit Application fee per 9 VAC 20-81-450.D.1.
- Design Plans & Design Report per 9 VAC 20-81-470.A.1. and 9 VAC 20-81-470.B. (Part B Form Attachments III and VI), respectively Generic details on the information to be included with the Design Plans and Design Report are addressed in Submission Instruction No. 2: Design Plans and Report for Solid Waste Disposal Facilities. The following discussion addresses additional analyses specific to the proposed MSE berm that shall be addressed in the Design Plans and Design Report submitted for review.
a. Analyze for Failures during Berm Construction Berms can be constructed as a retrofit on to existing landfill slopes or in anticipation of future landfill expansion. Both scenarios present construction scenarios that should be evaluated for failure so that construction activities can be conducted in a safe manner.
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ORIGINAL GROUND
OLfTWARD EXCAVATION PRIOR FAILURE TO INSTALLING LINER --,....
INWARD ‘-‘,
FAILURE
Figure 2 Figure credit: Scott M. Luettich and Juan D. Quiroz, Landfill Stability Analyses for the Application of Mechanically Stabilized Earth (MSE) Perimeter Berms (3rd paper of GRI Report 35)
Figure 2 depicts a scenario where the MSE berm is constructed first in anticipation of a landfill lateral expansion. In these scenarios, the MSE berm should be analyzed for both inward and outward stability during construction. Inward stability should be analyzed at critical cross-sections, which typically represent areas where the berm will be highest, with deepest excavations and weakest subsurface conditions.
Outward stability should also be analyzed at critical cross sections, which typically coincide with areas where the berm will be highest with weakest subsurface conditions. Stability calculations should address live loads from heavy construction equipment, temporary stockpiling of construction materials, and consider seismic loading conditions, if applicable.
Guidance Memo No. 2015-01 Page 8 of 14 XISTING WAUTE<,
ROR 1 1[1 4 OF EXISTING 131-Rh1 1 HAI MAY NEED TO DE REMOVED TO INSTALL WS: SCR b1 REINFORDENENT Figure 3 Figure credit: Scott M. Luettich and Juan D. Quiroz, Landfill Stability Analyses for the Application of Mechanically Stabilized Earth (MSE) Perimeter Berms (3rd paper of GRI Report 35)
Figure 3 depicts scenarios where the MSE berm is added to an existing landfill requiring the excavation of an existing unreinforced soil berm or toe of the landfill slope. In these scenarios, the outward stability for the temporary construction condition should be analyzed for critical cross-sections, which typically coincides with the combination of weakest subsurface conditions, highest/steepest adjacent waste configuration, and at locations where the maximum amount of the existing berm or toe must be removed. Depending on the calculated factors of safety, the facility may need perform incremental excavation or install temporary bracing in order to prevent failure of the landfill slope due to the construction activity.
b. MSE Berm Internal Stability Analysis The Design Report shall include calculations and discussion addressing the selected berm backfill, reinforcements, and spacing to ensure internal stability of the MSE berm. The internal berm stability calculations shall evaluate for potential rupture of the berm reinforcement based on its tensile strength and potential for pullout of the reinforcement within the MSE berm. Also, the report shall discuss the design of berm stormwater drainage and leachate removal features within/adjacent to the berm and measures to be employed to minimize hydrostatic pressures against the berm.
c. Global Stability and Critical Failure Analysis It is standard for landfill Design Reports or Closure Plans to address global stability of the waste mass by looking at potential circular and block failure modes along critical cross-sections as seen in Figures 4 and 5. For landfills incorporating MSE berms, these cross-sections should represent the combination of highest and steepest waste slope and weakest subsurface conditions.
Guidance Memo No. 2015-01 Page 9 of 14 HORI
BLOCK FAILURE
Figure 4 Figure credit: Scott M. Luettich and Juan D. Quiroz, Landfill Stability Analyses for the Application of Mechanically Stabilized Earth (MSE) Perimeter Berms by (3rd paper of GRI Report 35)
INFILTRATION FROM
STORM-WATER
DITCH
(j& Waste flock Sliding-on-Liner 0 Waste Slope Failure © Final Cover System Figure 5 Figure credit: Scott M. Luettich and Juan D. Quiroz, Landfill Stability Analyses for the Application of Mechanically Stabilized Earth (MSE) Perimeter Berms (3rd paper of GRI Report 35)
As part of this analysis, the applicant shall attempt to demonstrate what a critical berm failure would look like by manipulating the design calculations and modeling to result in a berm collapse. This failure analysis shall be performed along one or more critical cross-sections where failure could potentially impact an off-site receptor(s) (i.e. private property, surface water, etc.).
Guidance Memo No. 2015-01 Page 10 of 14 The berm itself should also be analyzed for horizontal sliding. Critical cross-sections for berm sliding typically represent the combination of highest and steepest waste slope and weakest near-surface soil conditions along the interface where the berm is constructed over the ground surface.
- Closure Plan per 9 VAC 20-81-470.A.1. (Part B Form Attachment IV) Details on the information to be included with the Closure Plan is provided in Section I of Submission Instruction No. 6: Closure and Post-Closure Care Plans for Solid Waste Disposal and Management Facilities. The facility’s Closure Plan shall be updated to address revised closure design plans (if not included with Part B Form Attachment III), and closure stability analysis (i.e. stability of the final waste slopes and final cover veneer stability—see items B and C of Figure 5).
- Postclosure Care Plan per 9 VAC 20-81-470.A.2. (Part B Attachment V) The Inspection Plan portion of the Postclosure Care Plan shall be revised to include details of the inspection program to be implemented specifically regarding the MSE berm. The following items shall be included, at a minimum, and inspected on a regular basis as part of the inspection program: o Condition of the facing; o Evidence of seepage/erosion through the MSE berm; o Evidence of differential settlement along the MSE berm; o Condition of the top of the MSE berm; o Condition of the base of the MSE berm; o Stormwater structure integrity; and o Prior repair to the berm.
In addition, the annual berm inspections and reporting discussed in Section V.D.2. shall continue during postclosure.
The length of the postclosure care period shall be as specified in accordance with 9 VAC 20-81-170.B.2. At a request for reduction or termination of the postclosure care period in accordance with 9 VAC 20-81-170.B. 3. or C., respectively, the facility shall provide the Termination of Post-Closure Activity (TPCA) Evaluation as specified in Submission Instruction No. 20: Termination of Post-Closure Activity Evaluation. The TPCA Evaluation should include a section specifically addressing the MSE berm that includes the following items: (1) A discussion of historical MSE berm inspection and maintenance performed during the postclosure care period; the dates and types of any major repairs; and a summary of the current condition of the berm, to include current condition of the berm facing, top and base of the berm, and stormwater structure integrity; (2) A discussion of the MSE berm maintenance requirements contained in the facility permit, applicable regulations, postclosure care plan, or any order or agreement entered into with the DEQ and a status report on how these requirements were met; and
Guidance Memo No. 2015-01 Page 11 of 14 (3) A discussion of the potential for harm to human health or the environment if MSE berm inspection and maintenance activities were discontinued.
The TPCA Evaluation shall also include postclosure inspection records maintained in accordance with the Inspection Plan discussed above. The Department will consider this information when evaluating such requests for reduction or termination of the postclosure care period. Depending on the age of the MSE berm, historical maintenance activities, and current berm condition, the Department may decide to lengthen the postclosure care or require other actions before terminating postclosure care.
- CQA Plan & Technical Specifications per 9 VAC 20-81-470.B.3. (Part B Attachment VII) The Construction Quality Assurance (CQA) Plan and Technical Specifications shall be revised to account for materials and construction quality assurance/quality control procedures to be employed when constructing the MSE berm. These documents shall address all MSE berm components, to include but not limited to, the berm foundation, backfill materials, geosynthetic reinforcements (i.e. geogrid), berm facing, utilities, guardrail, and perimeter roads, as applicable. Construction equipment shall be chosen so as to not exceed the construction loads evaluated during the stability analysis.
- Leachate Management Plan per 9 VAC 20-81-210.A. (Part B Attachment VIII) Details on the information to be included with the Leachate Management Plan is provided in Submission Instruction No. 7: Leachate Management Plan for Solid Waste Management Facilities. The facility’s Leachate Management Plan shall be updated to address any changes in leachate management (to include methods of collection, monitoring, removal, treatment, and disposal) that will change as a result of the proposed MSE berm design.
- Financial Assurance Documentation per 9 VAC 20-81-470.C. (Part B Attachment XII) The post-closure cost estimate shall account for all berm maintenance activities, to include, but not limited to, costs of reseeding, fertilizer costs, mobilization /demobilization for berm erosion repair, removal of woody vegetation, annual P.E. inspection, and the annual berm survey (see details in V.D.2.).
In addition to providing a financial assurance mechanism(s) to cover the costs of landfill closure, postclosure care, and groundwater corrective action, applicants proposing to construct an MSE berm shall provide additional financial assurance and/or environmental liability insurance to cover remediation and clean up in the event of a critical berm failure. Per GRI Report No. 40, the average cost to remediate excessively deformed or collapsed berms is almost twice the initial cost of construction. The additional financial assurance should account for these costs in addition to costs to clean up any solid waste that shifts outside the waste management boundary (as determined per the critical failure analysis discussed in Section V.C.3.c.).
Guidance Memo No. 2015-01 Page 12 of 14V.D. Landfill Operations Manual In accordance with 9 VAC 20-81-485, all solid waste management facilities shall prepare and maintain an Operations Manual in the facility’s operating record. The following elements of the Operations Manual should be updated to address the MSE berm. While these plans are part of the facility’s operating record, portions addressing the MSE berm shall be submitted to the Department for review as part of the permit application.
- Emergency Contingency Plan The Emergency Contingency Plan shall address “any unplanned sudden or nonsudden releases of harmful constituents to the air, soil, or surface water” (see 9 VAC 20-81-485.A.5.a.). To meet this requirement with reference to the MSE berm, the Emergency Contingency Plan shall address actions and procedures to be followed by facility personnel in the event of a berm failure. Berm failure should consider both excessive berm deformatoin and berm collapse.
- Inspection Plan All components of the MSE berm should be inspected and maintained throughout the life of the landfill. The MSE berm should be inspected regularly by site personnel to assess its condition. The Inspection Plan shall include a list of anticipated maintenance items, such as, but not limited to, repair of berm facing issues (e.g. sparse/dead vegetation, erosion of topsoil, exposed/damaged geogrid, etc.), stormwater ponding or flow issues, and other expected inspection and maintenance activities. Inspections shall also focus on looking for indicators of potential failure such as cracking in access roads, seepage in the berm face, bulging or movement of soils at the toe or along the face of the berm, or damage to utilities or drainage features within the berm. The plan shall identify immediate actions that shall be taken if any of these indicators are observed, with follow-up actions to assess berm stability
The berm shall also be inspected annually by a qualified professional engineer (P.E.).
The P.E. shall review inspection records and repair logs prepared by site personnel in addition to performing an annual survey to record any vertical and/or horizontal movement of the MSE berm. An inspection report addressing historical and current survey data shall be completed and submitted to the DEQ annually.
Maintenance of the MSE berm shall be conducted based on the results of routine inspections conducted by site personnel and annual inspections by a P.E. All required maintenance and repairs shall be performed in a timely manner to minimize the impacts of the issues noted during the inspection, and the maintenance or repair work shall be recorded in repair logs that are made available to the P.E. and DEQ staff. Significant repairs made to the berm shall be observed and documented by a qualified P.E.
V.E. Specific Permit Conditions Based upon the nature of MSE berms and the additional submittals outlined above, specific permit conditions may be included within a permit modification approving the construction of the MSE berm. These conditions are necessary to carry through to the permit the submittals and
Guidance Memo No. 2015-01 Page 13 of 14approvals provided in the submittals outlined above. Additionally, other conditions may be added to address potential future issues that may arise related to the construction of MSE Berms.
MSE berm specific permit conditions are provided in Attachment 2 and should be incorporated in the final approved permit modification for the landfill. Based upon facility specific factors, additional conditions may be added as well.
VI. Collaboration Process No project team was formed to develop this guidance; however, DEQ Central Office and Regional staff were given opportunity to comment during development. Additionally, comments from interested parties were solicited and considered in the final version.
VII. Attachments
- MSE Berm Application Review Checklist
- MSE Berm Applicable Permit Conditions
VIII. References
Dudding, C.L., Sheridan, S., & Brown, D.N. Introduction of a Novel Approach – Beneficial Reuse of CCP’s to Dramatically Reduce Landfill Airspace Construction Costs.
Koerner, R.M., & Koerner, G.R. (2008). A Collection of Papers on Design, Construction and Behavior of Large Engineered Berms at Landfills (GRI Report No. 35). Folsom, PA: Geosynthetic Institute.
Koerner, R.M., & Koerner, G.R. (2010). Remediation of Excessively Deforming MSE Retaining Walls (GRI Report No. 39). Folsom, PA: Geosynthetic Institute.
Koerner, R.M., & Koerner, G.R. (2010). On the Prevention of Failures of Geosynthetic Reinforced Mechanically Stabilized Earth (MSE) Walls and Recommendations Going Forward (GRI Report No. 40). Folsom, PA: Geosynthetic Institute.
Koerner, R.M., & Koerner, G.R. (2011). Recommended Layout of Instrumentation to Monitor Potential Movement of MSE Walls, Berms, and Slopes (GRI White Paper #19). Folsom, PA: Geosynthetic Institute. http://www.geosynthetic-institute.org/papers/paper19.pdf
Guidance Memo No. 2015-01 Page 14 of 14 Attachment 1. MSE Berm Application Review Checklist
MSE Berm Application Review Checklist Technically Date Received________________________________________ ___________________________________________________ Provided Complete Adequate Date CR Due ________________________________________ Facility Name (y/n) (y/n) (y/n) Comments Part A Application Form (DEQ Form PTA) Applicant Response Comments
- Is the landfill located in the 100-year floodplain (§ 9 VAC 20-81-120.A)?
- Is the landfill located in a geologically stable area (§ 9 VAC 20-81-120.B)?
- a. Distance to any residence, school, daycare center, hospital, nursing home or recreational park area in existence at the time of application (§ 9 VAC 20-81-120.C.1.a.):
3.b. Distance from any perennial stream or river (§ 9 VAC 20-81-120.C.1.b):
3.c. Distance from the Facility Boundary (§ 9 VAC 20-81-120.C.1.c):
- d. Distance from any well, spring or other ground water source of drinking water in existence at the time of application (§ 9 VAC 20-81-120.C.1.d):
- e. Distance from the nearest edge of the right-of-way of any interstate or primary highway (§ 9 VAC 20-81-120.C.1.e):
- f. Distance from the nearest edge of right-of-way of any other highway or city street (§ 9 VAC 20-81-120.C.1.e):
- Is the landfill located in a park or recreational area, wildlife management area or area designated by the federal or state agency as the critical habitat of any endangered species (§ 9 VAC 20-81-120.C.2)?
- a. Does the landfill have the ability to conduct groundwater monitoring in accordance with 9 VAC 20-81-250 (§
9 VAC 20-81-120.D.1)
- b. Does the landfill have the ability to characterize the rate and direction of ground water flow within the uppermost aquifer (120.D.1.a)
- c. Does the landfill have the ability to characterize and define any releases from the landfill so as to determine what corrective actions are necessary (120.D.1.b)
- d. Does the landfill have the ability to perform corrective action as necessary (120.D.1.c)
- Is the landfill located in a tidal or nontidal wetland (9 VAC 20-81-120.E.)?
6.a. If yes, list total number of nontidal wetland acres to be impacted:
- a. Does the proposed landfill include excessive slopes (> 33%)?
- b. Does the proposed landfill lack daily cover materials?
- c. Does the proposed landfill site include springs, seeps, or other groundwater intrusion?
- d. Does the proposed landfill site include the presence of gas, water, sewage, or electrical or other transmission lines under the site?
- e. Does the proposed landfill site include the prior existence of an open dump, unpermitted landfill, lagoon, or similar unit?
- Does the facility have adequate area and terrain for leachate management?
- a. Distance to existing surface or groundwater public water supply intake or reservoir that are downgradient of the landfill (in miles):
- b. Distance to existing surface or groundwater public water supply intake or reservoir that are upgradient of the landfill (in miles):
- c. Is the landfill located in an area vunerable to flooding caused by dam failures?
- d. Is the landfill located over a sinkhole or within 100 feet of a solution cavern associated with karst topography?
- e. Is the landfill located over a fault that has had displacement in Holocene time?
9.f. Distance from a fault that has had displacement in Holocene time (in feet):
- g. Is the landfill located within a seismic impact zone?
- h. Distance from any airport runway end used by turbojet or piston-type aircraft: 10.a. For CDD Landfills, is the facility located in a strip mine pit?
10.b. If yes, indicate minimum distance between coal seams/coal outcrops and solid waste materials:
Guidance Memo No. 2015-01 Page A1-1 of 4 Attachment 1. MSE Berm Application Review Checklist
MSE Berm Application Review Checklist Technically Date Received________________________________________ ___________________________________________________ Provided Complete Adequate Date CR Due ________________________________________ Facility Name (y/n) (y/n) (y/n) Comments
Notice of Intent (9 VAC 20-81-450.B.) See Submission Instruction No. 1 Cover Letter & Area/Site Location Maps, PTA Attachment I Disclosure Statement, PTA Attachment II Local Government Certification, PTA Attachment III Demonstration of Need, PTA Attachment VII Demonstration based on 9 VAC 20-81-450.B.8.a. (All Landfills) - Facility must provide information demonstrating that there is a need for the additional capacity, to include: (1) Anticipated area to be served; (2) Similar or related WMFs that are located in the same service area and could impact the proposed facility, and the capacity and service life of those facilities; (3) Present quantity of waste generated within the proposed service area; (4) The disposal needs specified in the local solid waste plan; (5) Projected future waste generation rates for the anticipated area to be served during the proposed life of the facility; (6) Recycling, composting or other waste management activities within proposed service area;
(7) The additional SW disposal capacity that the facility would provide to the proposed area of service; (8) Information demonstrating that the capacity is needed to enable localities to comply with solid waste plans developed pursuant to 10.1-1411 of the Code of Virginia; (9) Any additional factors that provide justification for additional capacity provided by the facility
Demonstration based on 9 VAC 20-81-450.B.8.b. (Sanitary Landfills Only) - Based on current or projected disposal rates, facility must provide information demonstrating there is less than 10 years of capacity remaining in the facility and information demonstrating either of the following: (1) Available disposal capacity for the state is < 20 years based on the most current reports submitted pursuant to the Waste Information and Assessment Program in § 9 VAC 20-81-80 OR
(2) The available permitted disposal capacity is < 20 years in either: (a) The planning region, or regions, immediately contiguous to the planning region of the host community (b) The facilities within a 75 miles radius of the proposed facility Director's Determination based on § 10.1-1408.1 D.1 (Both for 450.B.8.a and 450.B.8.b) (1) The proposed facility, expansion or increase protects present and future human health and safety and the environment; (2) There is a need for the additional capacity; (3) Sufficient infrastructure will exist to safely handle the waste flow; (4) The increase is consistent with locality-imposed or state-imposed daily disposal limits; (5) The public interest will be served by the proposed facility's operation or the expansion or increase in capacity of a facility; and (6) The additional capacity is consistent with regional and local SWMPs developed pursuant to §10.1-1411.
SCC Certification, PTA Attachment VIII
Guidance Memo No. 2015-01 Page A1-2 of 4 Attachment 1. MSE Berm Application Review Checklist
MSE Berm Application Review Checklist Technically Date Received________________________________________ ___________________________________________________ Provided Complete Adequate Date CR Due ________________________________________ Facility Name (y/n) (y/n) (y/n) Comments
Vicinity Map, PTA Attachment IX (1) All homes, buildings or structures including the layout of the buildings which will comprise the proposed facility; (2) Facility boundary; (3) Limits of actual waste disposal operations within facility boundary; (4) Lots, blocks, and all contiguous properties; (5) Base floodplain or a note indicating the expected flood occurrence period for the area; (6) Existing land and zoning classification; (7) All water supply wells, springs or intakes, both public and private; (8) All utility lines, pipelines or land based facilities; (9) All parks, recreation areas, surface water bodies, dams, historic areas, wetland areas, monument areas, cemeteries, wildlife refuges, unique natural areas or similar features.
Hydrogeolo gic & Geotechnical Report, PTA Attachment XI thru XV See Submission Instruction No. 1 Is Site Hydrogeologic and Geotechnical Report certified by Commonwealth of Virginia by P.E. or P.G.?
I. Purpose and Methods II. Boring Records A. Number of Borings B. Location of Borings C. Depth of Borings D. Samplings E. Observation Wells G. In-situ Hydraulic Conductivity H. Sealing of Borings III. Geotechnical Report A. Description of Soil Units B. Remolded Hydraulic Conductivity C. Volume of Materials IV. Hydrogeologic Report A. Water Table Information
- Groundwater Level Measurements
- Vertical Flow Components
- Seasonal and Temporal Factors B. Field Procedures and Results C. Description of Site Geology D. Description of Aquifer VDOT Adequacy Report, PTA Attachment XVI Landfill Impact Statement, PTA Attachment XVII See Submission Instruction No. 1 I. Executive Summary II. Purpose of and Need for Action III. Alternatives, including the Selected Alternative IV. Affected Environments of the Selected Alternative (460.H.1 and H.3) A. Parks and Recreation Areas Guidance Memo No. 2015-01 Page A1-3 of 4 Attachment 1. MSE Berm Application Review Checklist
MSE Berm Application Review Checklist Technically Date Received________________________________________ ___________________________________________________ Provided Complete Adequate Date CR Due ________________________________________ Facility Name (y/n) (y/n) (y/n) Comments
B. Wildlife Management Areas C. Public Water Supplies D. Marine Resources E. Wetlands F. Historic Sites G. Fish and Wildlife H. Water Quality I. Tourism V. Environmental Consequences of the Alternatives (460.H.2) VI. Coordination VII. List of Contributors VIII. References Adjacent Property Owner Notification, PTA Attachment XVIII (1) Signed Statement (2) Copy of the Notice (3) List of Names and Addresses
Part B Application Form (DEQ Form PTB)
Application Fee Design Plans, PTB Attachment III See Submission Instruction No. 2 and checklist Closure Plan, PTB Attachment IV See Submission Instruction No. 6 and checklist Post-Closure Care Plan, PTB Attachment V See Submission Instruction No. 6 and checklist Design Report, PTB Attachment VI See Submission Instruction No. 2 and checklist Analyzes for Failures during berm construction MSE Berm Internal Stability Analysis Global Stability & Critical Failure Analysis CQA Plan & Technical Specs, PTB Attachment VII See Submission Instruction No. 2 and checklist CQA Plan addresses construction of MSE Berm?
Tech Spec for berm foundation Tech Spec for berm backfill material(s) Tech Spec for berm geosynthetic support (geogrid) Tech Spec for berm facing Tech Spec for berm utilities Tech Spec for guardrail Tech Spec for perimeter berm roads Leachate Management Plan, PTB Attachment VIII See Submission Instruction No. 7 and checklist Financial Assurance Documentation, PTB Attachment XII (1) Postclosure Cost Estimate accounts for berm maintenance activities (2) Environmental Liability Insurance
Guidance Memo No. 2015-01 Page A1-4 of 4 Attachment 2. MSE Berm Applicable Permit Conditions
PERMIT DOCUMENTS
The documents listed below are hereby incorporated into this permit and the permittee is subject to all conditions contained therein. It is the responsibility of the permittee to properly maintain and update these documents. Any version with a revision date other than as listed below is not considered to be the official approved version and is subject to Department review and approval prior to being recognized as the “permitted” version.
{List application documents submitted in support of the MSE Berm design} Plan Title, prepared by Consultant, dated/last revised DATE.
PERMIT MODULE I
GENERAL PERMIT CONDITIONS
I.B. DUTIES AND REQUIREMENTS
I.B.13. The closure cost estimate must reflect the maximum cost of closure at all times.
The owner has the responsibility to maintain the closure and post closure cost estimate and associated financial assurance funding as conditions change.
{Add for MSE Berm} The facility shall maintain additional financial assurance and/or environmental liability insurance that has been reviewed and approved by the Department until the landfill is released from postclosure care to cover the costs of remediation and clean up in the event of failure of the MSE berm. The facility shall not alter the amount or mechanism without prior approval by the Department.
I.F. SITE SPECIFIC CONDITIONS
The provisions of this section are in addition to the permit conditions and regulatory requirements and are specifically developed for this facility. The permittee shall comply with all conditions of this section, as follows:
I.F.1. The final permit is based on permit application submittals (drawings and reports) that may contain the word “proposed’ and similarly tentative language. The documents that are incorporated into Permit No. XXX have been evaluated for administrative and technical adequacy and have been approved as proposed.
Therefore, any references to a design, construction, operation, monitoring or closure criteria are considered to be approved as proposed.
I.F.2. The facility is subject to the conditions listed in the Part A approval letter dated
DATE.
Guidance Memo No. 2015-01 Page A2 - 1 of 3 Attachment 2. MSE Berm Applicable Permit Conditions
I.F.3. List other site-specific conditions. These should be conditions that don’t fit in other Modules (II, III/IV/V, X, XI, XII, XIII, or XIV), and should focus more on requested additional submittals.
{Add for MSE Berm} I.F.4. The facility shall be operated in a manner so as to not affect or impact the MSE berm unless needed to address berm movement, bulging, or blowout. The facility shall not alter, amend, or change the MSE berm without prior approval of the Department except as needed to respond to a blowout or similar emergency.
I.F.5. The Operations Manual, Emergency Contingency Plan, shall be revised to address actions and procedures to be followed by facility personnel in the event of a MSE berm failure. Berm failure should consider both excessive berm deformation and berm collapse.
I.F.6. The Operations Manual, Inspection Plan, shall be revised to address self-inspection items applicable to the MSE berm (see Permit Condition II.G.).
I.F.7. The MSE berm shall be inspected annually (by survey or other method as specified in the application) to assess berm movement and certified by a qualified professional engineer. The annual inspections shall continue through the postclosure care period and be submitted to the Department no later than December 31 of each year. The facility shall take corrective measures immediately to address any movement of the wall as identified during the inspection or otherwise.
Guidance Memo No. 2015-01 Page A2 - 2 of 3 Attachment 2. MSE Berm Applicable Permit Conditions
PERMIT MODULE II
CONDITIONS OF OPERATION
II.G. SELF-INSPECTION PROGRAM
The landfill shall implement an inspection routine including a schedule for inspecting all applicable major aspects of facility operations necessary to ensure compliance with the requirements of this chapter. Records of these inspections must be maintained in the operating record and available for review. At a minimum, the following aspects of the facility shall be inspected on a monthly basis: erosion and sediment controls, storm water conveyance system, leachate collection system, safety and emergency equipment, internal roads, and operating equipment.
{Add for MSE Berm} Specific to the MSE berm, the following items shall be included in the self-inspection program, at a minimum, and inspected on a regular basis: o Condition of the facing; o Evidence of seepage/erosion through the MSE berm; o Evidence of differential settlement along the MSE berm; o Condition of the top of the MSE berm; o Condition of the base of the MSE berm; o Stormwater structure integrity; and o Prior repair to the berm.
Guidance Memo No. 2015-01 Page A2 - 3 of 3
Odor Management Guidance for LandfillsDoc ID: Odor
COMMONWEALTH OF VIRGINIA Department of Environmental Quality Subject: Land Protection and Revitalization Guidance Memo No. LPR-SW-2019-01 Odor Guidance for Solid Waste Management Facilities To: Regional Land Protection Program Managers Regional Air Compliance Managers Regional Air Permit Managers Justin Williams Director, Divisidh of Land Protection and Revitalization From: Date: September 20, 2019 Copies: Regional Solid Waste Permit Writers, Compliance Inspectors, and Coordinators Regional Air Permit Writers, Compliance Inspectors, and Coordinators Summary: In 2017, the DEQ assembled a small stakeholder workgroup consisting ofDEQ staff from both Land and Air Divisions, environmental consultants, and representatives from two facilities with on-going odor complaints. The focus of the group was to discuss DEQ complaint response and monitoring relating to landfill odors. The guidance consolidates information discussed during the workgroup sessions and establishes standard procedures for DEQ staff and solid waste facility operators to follow in response to odor complaints to ensure the protection of human health and the environment.
Electronic Copy: Once effective, an electronic copy of this guidance is available on the Virginia Regulatory Town Hall under the Department of Environmental Quality at: http://www. townhall. virgima. gov/L/gdocs. cirn?agencvnumber=440 Contact Information: Please contact the solid waste permit coordinator, Kathryn Perszyk, at (703)583-3856 or kathryn. perszyk(%dea. Virginia, eov with any questions regarding the application of this guidance.
Certification: As required by Subsection B of § 2. 2-4002. 1 of the APA, the agency certifies that this guidance document conforms to the definition of a guidance document in § 2. 2-4101 of the Code of Virginia.
Disclaimer: This document is provided as guidance and, as such, sets forth standard operating procedures for the agency. However, it does not mandate any particular method nor does it prohibit any alternative method for the analysis of data, unless specifically required by the VSWMR. If alternative proposals are made, such proposals should be reviewed and accepted or denied based on their technical adequacy and compliance with appropriate laws and regulations.
Odor Guidance for Solid Waste Management Facilities
I.
Introduction Due to the nature of the business, solid waste management facilities can be a source of nuisance odors.
Odors are typically associated with solid waste disposal facilities (i.e. landfills); however, can also be present at other solid waste management facilities, such as compost, transfer station, material recovery, and waste to energy and incineration facilities. The guidance that follows focuses on controlling odors generated at solid waste disposal facilities; however, the assessments and remedial actions discussed herein can apply to other solid waste management facilities, as well as other types of operations that result in the generation of nuisance odors.
II.
Background Solid waste management facilities are required to control odors in accordance with both the Virginia Solid Waste Management Regulations (VSWMR, 9 VAC 20-81) and the State Air Pollution Control Board Regulations for the Control and Abatement of Air Pollution (Rule 4-2: Existing Stationary Sources and Rule 5-2: New and Modified Stationary Sources). While the Air regulations are general in nature, applying to all facilities that emit odor, the VSWMR addresses the requirement for landfills to effectively control odors so they do not constitute nuisances or hazards. Both regulatory programs can require the development and implementation of an Odor Management Plan. These plans are required to outline the expected facility response to odor complaints by the DEQ or the public and must be reviewed by the facility on an annual basis and revised as necessary.
The Department has developed this guidance in addition to the Odor Management Plan template provided for solid waste disposal facilities in Submission Instruction No. 13 to establish standard procedures for DEQ staff and solid waste facility operators to follow in response to odor complaints to ensure the protection of human health and the environment.
III.
Authority This document provides guidance related to DEQ solid waste permitting and compliance of odor management activities at solid waste disposal facilities in accordance with the VSWMR (9 VAC 20-81).
The authority for promulgation of these regulations and development of this guidance is contained in §10.1-1402 of the Code of Virginia.
This document provides guidance related to odor management activities at Municipal Solid Waste (MSW) landfills in accordance with the Air Pollution Control Board Regulations (specifically 9 VAC 5-40-5840, 9 VAC 5-40-5945, and Part II, Article 2, of 9 VAC 5-50). The authority for promulgation of these regulations and development of this guidance is contained in §10.1-1308 of the Code of Virginia.
IV.
Definitions The definitions in § 10.1-1400 of the Code of Virginia and 9 VAC 20-81-10 of the VSWMR apply to the implementation of these procedures. Key definitions applicable to this guidance from the VSWMR are identified below. “Nuisance” means an activity that unreasonably interferes with an individual's or the public's comfort, convenience or enjoyment such that it interferes with the rights of others by causing damage, annoyance, or inconvenience (9 VAC 20-81-10).
V. Guidance Document Most landfill odors are associated with landfill gas. Landfill gas is the product of decomposition of organic material in landfills and consists mainly of methane and carbon dioxide which are odorless gases, but also includes trace amounts of sulfides, ammonia, and other non-methane organic compounds (NMOC). These trace amounts are the largest contributor to odors in landfill gas, often producing what is described as rotten-egg and pungent odors.
Other common sources of odors at a landfill are: Incoming trash being deposited at the working face; Specific wastes with strong odors such as sludge from wastewater treatment plants, manures, animal carcasses, and some industrial wastes; Specific wastes, such as gypsum wallboard, which are known to contribute to hydrogen sulfide production during decomposition; Storage and conveyance structures containing landfill leachate, which is the liquid collected from the bottom of a constructed landfill unit; Installation and maintenance of landfill gas collection and control (GCCS) systems; and Ancillary waste management activities occurring on site such as yard waste composting.
Odors are always going to be associated with landfill operation; however, there are operational strategies and improvements that landfill operators can employ to minimize odors and prevent migration offsite. These strategies and improvements are discussed herein.
A. Controlling Landfill Gas In addition to landfills being required to control odors as discussed above, landfills are separately required to control landfill gas in accordance with both Waste and Air regulations. In this case, Air regulations (Rule 4-43, Rule 4-43.1, and 40 CFR 60 Subparts WWW and XXX) only apply to Municipal Solid Waste (MSW) landfills meeting or exceeding a specified design capacity. Under these regulations, MSW landfills are required to calculate or measure actual emission rates of NMOCs, and if that rate is above the specified action threshold, the facility must install gas collection and control system (GCCS) components within regulatory timeframes.
Meanwhile, solid waste regulations apply to all landfills and focus on the subsurface migration of landfill gas away from the landfill which may create public health and safety hazards due to the potential for asphyxiation and explosion from the buildup of landfill gas in structures. To comply with these requirements, facilities must install and monitor a network of subsurface perimeter monitoring probes at the facility boundary. If landfill gas is detected at the boundary above the lower explosive limit for methane (5% methane by volume), the facility is required to take remedial action to lower the methane concentration, which may involve the installation or expansion of GCCS components whether or not such a system is required under the air regulations.
Guidance Memo No. 2019-01 Page 2 of 7B. Response to First Time Odor Complaints Given the above, the following outlines the expected facility response to odor complaints received either directly by the facility from the public or by DEQ staff.
- Complaint Received by DEQ If a complaint is received from the public (through the online PREP portal, phone call, or email), DEQ staff will document the complaint in accordance with the procedures in the Solid Waste Inspection Manual, noting the address or general area where the odor is detected, time of day and weather conditions, as well as a description of the odor and its intensity. If the complaint can be tied to a specific facility, the documented complaint should be included in the facility file record. If multiple complaints are received, DEQ staff may document all complaints in a spreadsheet or other type of document to maintain a running log.
DEQ staff should then contact the facility (if known) to notify them of the complaint. DEQ staff may perform a focused compliance inspection at the facility or in the general vicinity of the complaint to further investigate and/or validate the complaint. Observations at the facility should be focused on the conditions that commonly contribute to the intensity of landfill odor sources, such as, but not limited to the: Size of the facility’s working face; Condition of daily, intermediate, or other soil or alternate material covers; Presence and management of particularly odorous wastes; Operation of landfill gas collection and control systems; Operation and effectiveness of any odor masking or neutralizing systems; Management of leachate, including assessing recirculation activities, on-site treatment, storage units, and presence of leachate seeps; and Proper operation and maintenance of run-on/run-off controls to promote positive drainage and prevent ponding.
These areas should be assessed for compliance with applicable waste and air regulatory or permit requirements. The detection of an odor itself does not necessarily warrant the issuance of an alleged violation, but the migration of odors offsite may serve as an indicator that there is a problem with one of the above. DEQ solid waste staff should determine whether alleged violations should be issued based on if the facility is meeting the regulatory operational performance standards and permit conditions. Even if the facility is complying with applicable requirements, the inspector is encouraged to discuss with the operator any operational strategies that could help prevent odors from migrating offsite in the future. A focused compliance inspection report and appropriate cover letter should be prepared in accordance with the Solid Waste Inspection Manual and sent to the facility. If alleged violations are issued, the inspector should follow-up with the facility and track their return-to-compliance. If necessary, DEQ staff can also request the development of an Odor Management Plan in accordance with 9 VAC 20-81-200.D.
- Complaint Received by Facility If the facility receives a complaint, either directly from the public or through contact by DEQ staff, facility staff shall document the complaint, noting the address or general area where the odor is detected, time of day and weather conditions, as well as a description of the odor and its intensity.
Guidance Memo No. 2019-01 Page 3 of 7The facility shall then proceed to investigate the complaint to determine the potential source(s) of odor and remedial measures to control or minimize those odors. Facility staff shall also document all areas investigated, a summary of findings, and remedial actions taken. The documented complaint and response should be maintained in the facility’s operating record.
Site investigations and remedial actions should include, but are not limited to:
Surveying the landfill (active working face and inactive areas) and assessing size of the current working face. Apply soil or approved alternate cover material as necessary to cover odorous wastes and repair cracks or erosion in existing cover soils. Surveying citizen use areas, stockpiles, composting, or ancillary waste activities at the facility that may be the source of odors. Investigating performance and connections of GCCS Systems which may include: o Checking for changes in gas quality and quantity; o Inspecting for and repairing leaks in landfill gas collection piping and condensate tanks; and o Ensuring blower vacuum, flare components, and/or landfill gas to energy components are operational/maximized. Investigating performance and connections of leachate conveyance and storage components which may include: o Inspecting for and repairing leaks in leachate piping; o Operating aeration or other controls in storage tanks or impoundments to reduce odors; o Connecting the leachate collection system to the GCCS to collect and manage landfill gas that may be collected and stored in leachate collection and storage units; and o Inspecting for and repairing any leachate seeps. Inspecting the run-on/run-off control system for ponding and restoring positive drainage. Investigating the address or general area of the odor complaint and assess weather conditions (wind direction) to help confirm whether the landfill is the source. This investigation may also help determine the type of landfill odor (new incoming waste or landfill gas) or if the odor may be caused by another source such as the sanitary sewer or an industrial operation in the vicinity.
Following the initial investigation and remedial action, the facility shall continue to investigate and employ remedial actions in response to any subsequent odor complaints. If and when required by DEQ, the facility shall develop and implement an Odor Management Plan in accordance with 9 VAC 20-81-200.D. to identify complaint handling procedures and remedial measures. The Plan shall be placed in the facility’s operating record and submitted to the Department within 90 days. An example format for this plan is provided in Section IV of Submission Instruction No. 13: Landfill Gas Management, Remediation, and Odor Plans for Solid Waste Disposal Facilities. Facilities operating under an Odor Management Plan shall notify the Department within 24 hours of receiving an odor complaint from the public and follow-up in writing within 5 days in accordance with 9 VAC 20-81-
530.C.3.
Guidance Memo No. 2019-01 Page 4 of 7Depending on the source, intensity, and longevity of the identified odor, the facility may also need to implement additional operating procedures or make investments to improve landfill gas and odor control. For example, if the source of odor is the receipt of particularly odorous wastes, the facility should implement communication procedures which could include requiring the waste generator to provide advance notification or schedule waste delivery. The scale house can then notify working face operators of incoming odorous wastes so an area can be prepped for immediate burial and covering prior to the truck arriving at the working face. Another operational change may include locating the active working face in areas that account for seasonal weather patterns and wind directions if feasible. If the source of odor is identified as landfill gas or leachate related, the facility will need to maximize the use of any existing control systems, but may also need to start investing in improvements to landfill GCCS, leachate aeration, or odor neutralizing systems, which may require capital expense and time to construct. While facilities need to respond to all types of odor complaints, landfill operators should focus their efforts to minimize the presence of persistent odors.
C. Response to On-Going Odor Complaints If odor problems persist and the DEQ and/or facility continues to receive odor complaints, the facility must continue to follow its Odor Management Plan and document, investigate, and respond to complaints accordingly. Again, depending on the source, intensity, and longevity of the identified odor, the facility may need to invest in improvements to landfill GCCS, leachate aeration, or odor neutralizing systems. Odor masking agents have been used with mixed success, and are not ideal for a long-term solution. Facilities may also need to consider more robust intermediate cover solutions or installing interim or final cover as a means to reduce odors. At a minimum, the Odor Management Plan shall be reviewed and updated by the facility annually to address ongoing odor management issues in accordance with 9 VAC 20-81-200.D.3.
If odors persist at a landfill, the facility may consider or may be required to perform additional investigations that may help pinpoint the source of trace compounds causing the odor complaints to help better determine an appropriate course of action. These investigations may include, but are not limited to the following:
Regular off-site odor surveys performed by facility staff or a third-party to determine the time of day and/or locations that are most problematic. Surveys can be as simple as sending staff out to smell and rank observed odors to more formal surveys using calibrated equipment to detect levels of methane, hydrogen sulfide, or other trace gases. Collecting grab samples of gases in the vicinity of complaints. For comparison purposes, it is best if these types of samples can be collected both when odors are present and when they are not. Perform air dispersion modeling and/or analysis of data trends based on logged odor complaints. Data to consider are time of day of complaints, weather conditions, wind speed and direction, terrain, and reported types and intensity of odors. These types of analyses may help the facility direct its odor mitigation strategies to specific areas of the landfill to prevent odor nuisances.
Guidance Memo No. 2019-01 Page 5 of 7Data collected can be used to confirm whether or not there is a health risk associated with the level of trace gases detected by comparing to National Institute for Occupational Safety and Health (NIOSH) standards available from the Centers for Disease Control. The Virginia Department of Health (VDH) is responsible for making such determinations based upon levels of trace constituents detected.
Facilities that have been dealing with persistent odor complaints may find it helpful to meet regularly with the community or local government to keep them updated on facility actions to minimize odors. It may also be helpful for facilities to maintain a distribution list to provide notification to the community and local government to keep citizens abreast of facility actions that may lead to a short term odor nuisance, such as new cell construction with tie-ins to liner and leachate collection systems of existing cells or the installation of new or additional landfill gas extraction components that will require excavation of existing trash.
Any or all of the above actions or investigations may be implemented proactively by the facility through the facility’s Odor Management Plan or required by the DEQ through a letter of agreement, consent order, or other mechanism developed pursuant to a compliance response or through an agency-initiated permit action. As stated in response to an initial odor complaint, the detection of an odor itself does not necessarily warrant the issuance of an alleged violation; however, if the off-site detection is on-going, the DEQ should assess the level of work and effort performed by the facility since the initial complaint to determine whether an alleged violation is warranted. It is likely that an alleged violation for odor (see 9 VAC 20-81-140.A.10.) would be accompanied by alleged violations for a facility failing to meet the regulatory operational performance standards or permit conditions for the identified odor sources (e.g. daily cover, GCCS, leachate management, etc.).
DEQ staff should consider whether previous approvals for alternate daily cover, special waste acceptance, or other operational allowances may be contributing to the existing odor complaints. If applicable, DEQ may require monitoring for methane and/or site-specific trace constituents (e.g. hydrogen sulfide). Any requirements to routinely survey or monitor the facility and impacted neighborhoods or collect samples of surface and ambient air for analysis should be site-specific. For example, DEQ has recently required odor evaluations of alternate daily and intermediate covers in use at a couple of sites. The evaluation was modeled after the surface emissions monitoring requirement of the air regulations, but was focused on evaluating the effectiveness of those covers in preventing the escape of odors in accordance with 9 VAC 20-81-140.B.1.c. If monitoring determines an odor impact, DEQ staff should either rewrite the previous alternate cover approval to include new limitations to minimize odor complaints or revoke the previous approval.
D. Closing out Odor Compliance Issues DEQ should be able to terminate a compliance order or agreement once all conditions therein are satisfied. The following should be confirmed when considering termination:
- The facility has an Odor Management Plan in its operating record that has been revised annually. The plan must contain steps outlining an appropriate response to odor complaints received with a procedure for monitoring on a regular basis and/or in response to odor complaints.
Guidance Memo No. 2019-01 Page 6 of 7 2. The facility has installed or expanded a landfill gas collection and control system. The GCCS must conform to New Source Performance Standards (NSPS), Emission Guidelines (EGs), and any Air permit conditions, if applicable. Otherwise, GCCSs must exist to prevent subsurface migration and control odors. A facility with a GCCS that includes the passive or active venting of landfill gas may need to install a flare or other gas destruction equipment to control odors.
- The facility has operational controls in place for the management of odorous wastes, and consistently operates an appropriately sized working face, employs and maintains adequate daily and intermediate cover, and repairs erosion or cracks in cover soils.
- The facility has installed or improved odor controls associated with the leachate management system. These controls may include limitations on leachate aeration, recirculation, or evaporation activities.
- The facility has performed all required investigations, monitoring, and analyses and VDH has determined that the odor does not constitute a health hazard. If a health hazard has been identified, then the above identified controls and improvements must have been made to reduce the odors such that VDH no longer considers the odors to be a health hazard.
- The frequency of odor complaints received by the facility and/or DEQ has decreased.
- And finally, the facility appears to be in compliance with all other air and waste regulations and permit conditions.
Odors are typically associated with landfill operation; however, if operational improvements as listed above have been installed or improved to minimize the migration of those odors to the maximum extent feasible, the DEQ can consider termination of a compliance order or agreement, even if a facility continues to receive sporadic odor complaints.
VI. Collaboration Process This guidance was developed based on input from a small stakeholder workgroup consisting of DEQ staff from both Land and Air Divisions, environmental consultants, and representatives from two facilities with on-going odor complaints. Additionally, comments from DEQ staff and interested parties were solicited and considered in the final version.
VI. Other Applicable Information The following guidance documents also pertain to landfill gas and odors:
Submission Instruction No. 13: Landfill Gas Management, Remediation, and Odor Plans for Solid Waste Disposal Facilities
Land Protection & Revitalization Guidance Memo No. LPR-SW-2017-01: Clarification of Landfill Gas Regulatory Requirements
Air Pollution Guidance-553A: Landfill Review Procedures for New Source Review and Title V Permitting
Guidance Memo No. 2019-01 Page 7 of 7
Financial Assurance Review Procedures for Hazardous Waste FacilitiesDoc ID: Hazardous
VIRGINIA DEPARTMENT OF ENVIRONMENTAL QUALITY
DIVISION OF WASTE COORDINATION
OFFICE OF FINANCIAL ASSURANCE
FINANCIAL ASSURANCE DEMONSTRATION REVIEW PROCEDURES for
HAZARDOUS WASTE TREATMENT, STORAGE AND DISPOSAL FACILITIES
The procedures set forth in this document are intended solely for the guidance of employees of the Department of Environmental Quality (Department). They are not intended to, nor do they constitute rulemaking by the Department.
They may not be relied upon to create a right or benefit, substantive or procedural, enforceable at law or in equity, by any person. Whether and how the Department applies these procedures in any given case will depend on the facts of the case.
- Introduction
The hazardous waste financial assurance program was created to ensure that an owner or operator of a hazardous waste treatment, storage or disposal (TSD) facility bears the cost of facility closure and post-closure care. In many cases, this requires the owner or operator to provide the facility closure and post-closure funds directly to the Department in certain forms.
These funds are available for use by the Department in the event of a facility abandonment to protect the public from the health and safety consequences of such abandonment. These review procedures apply to owners or operators of hazardous waste TSD facilities in the following scenarios:
- When an owner/operator of a hazardous waste TSD facility applies for a permit or interim status from the Department of Environmental Quality (Department);
- When an owner/operator of a hazardous waste TSD facility applies for an amendment to an existing permit;
- When an owner/operator of a hazardous waste TSD facility becomes obligated to demonstrate financial assurance to the Department through a negotiated consent order;
- When an owner/operator of a hazardous waste TSD facility submits financial assurance documentation as part of the annual update obligation; when a financial assurance mechanism expires, or is cancelled or terminated; or when the financial assurance provider becomes ineligible to provide financial assurance; and
- When the Department releases the owner/operator of a hazardous waste TSD facility from the obligation to demonstrate financial assurance for a closed facility.
- Authority
1 Section 10.1-1428 of the Code of Virginia provides the authority to require an owner/operator of a hazardous waste TSD facility to demonstrate financial assurance for the closure and/or post-closure care costs associated with the facility. The Virginia Hazardous Waste Management Regulations, 9 VAC 20-60-12 et seq. incorporates 40 CFR parts 264 and 265 into the Regulation; therefore, the federal financial assurance requirements contained within subpart H of 264 and 265 apply to Virginia hazardous waste facilities. These procedures apply to regulatory requirements found in section 264 (permitted facilities) and 265 (interim1 facilities).
- Definitions
The definitions in the Virginia Waste Management Act and the Virginia Hazardous Waste Management Regulations apply to these Procedures.
- Exemptions
State and federal entities are exempt from the hazardous waste financial assurance requirements.
- Facility Cost Estimates (264.142, 264.144)
Owners/operators of a hazardous waste TSD facility must demonstrate financial assurance for closure and or post-closure care whichever is applicable, in the amount of the current cost estimate.
- 1 Requirements
Closure Cost Estimate: The closure cost estimate must account for the costs of final closure at the point in the facility’s life when closure would be most expensive as indicated by the facility closure plan; must be based on third-party costs and may not incorporate the salvage value of the wastes, facility, structures or equipment, land or other facility assets.
Post-closure cost estimate: The post-closure cost estimate must be based on the total cost of post-closure care over the entire post-closure period and must be based on third party costs. Post-closure estimates must reflect a 30-year post-closure period.
- 2 Formulation of the Cost Estimate
1 Interim facilities are those facilities that are allowed to operate temporarily without a permit because they meet certain qualifications. Interim status lasts either until the facility fails to furnish a Part B application on time or the Department makes a final determination on the facility's Part B permit application.
2 Owners and operators must develop and submit a detailed written cost estimate for each TSD facility.
- 3 Review of the Cost Estimate
The Department’s Office of Waste Permitting (OWP) is responsible for reviewing all facility cost estimates to ensure that the estimate adequately covers the cost of closure and/or post-closure.
New cost estimates: Generally, OWP reviews the cost estimate for a TSD facility owner/operator as part of the permit application or permit amendment application process. If the facility sends the cost estimate directly to the Office of Financial Assurance (OFA), OFA staff will copy the estimate and send it to OWP along with a request for a review. If OWP receive the cost estimate directly from the facility owner/operator, the permit writer sends a memo or email to OFA staff indicating that he or she has begun a review of the estimate. OWP staff review the cost estimate and determine if the assumptions, units costs, etc., used to calculate the cost estimate are valid. OWP staff then communicates directly with the facility owner/operator to resolve any problems or deficiencies with the estimate. Upon completion of the review, OWP staff will contact OFA with the approved estimate via email or memo and provide a copy of the detailed estimate for the FA file. When the owner/operator of an existing facility submits the cost estimate as part of the permit amendment process, the OWP staff should notify the OFA to ensure the financial assurance mechanism in place is adequate to cover the additional activities at the facility.
Existing cost estimates:
A facility owner/operator may submit a revised estimate during the life of the facility if the cost of the required activity changes. If the facility sends the cost estimate directly to OFA, OFA staff will copy the estimate and send it to OWP along with a request for a review. If OWP receive the cost estimate directly from the facility owner/operator, the permit writer sends a memo or email to OFA staff indicating that he or she has begun a review of the estimate. OWP staff then perform the review as described in the preceding subsection.
- Corrective Action Requirements [Reserved]
- Liability Requirements (264.147)
An owner/operator of any hazardous waste TSD facility must maintain third party liability coverage for sudden, accidental releases stemming from operations at the facility.
Owners/operators of particular types of TSD facilities must maintain liability coverage for nonsudden, accidental releases as well. The types of facilities requiring nonsudden, accidental insurance coverage include surface impoundments, landfills, land treatment units, or disposal miscellaneous units. Generally, nonsudden liability coverage is designed to provide coverage in
3the event of third party damages caused by ground water contamination; therefore, in most cases, if the waste is disposed of in or on the ground, or is treated by direct contact with the land, nonsudden liability coverage is required.
- 1. Liability Insurance Amounts
- Sudden, accidental releases: Owners/operators must maintain liability coverage in the amount of $1 M per occurrence with a $2 M annual aggregate for any hazardous waste TSD facility or group of facilities. Regardless of the number of facilities, the $2 M is the maximum amount required per owner or operator.
- Nonsudden accidental releases: Owners/operators must maintain liability coverage in the amount of $3 M per occurrence with a $6 M annual aggregate for any hazardous waste TSD facility or group of facilities. Regardless of the number of facilities, $6 M is the maximum required amount. The total required amount for a facility requiring both sudden and nonsudden liability insurance coverage is $4 M per occurrence with an $8 M annual aggregate.
- Term of coverage: Owners/operators must maintain liability insurance for active facilities until the completion of final closure. Facilities in the post-closure phase do not require liability coverage.
- Financial Assurance Mechanism Review
Facility owners/operators may choose one or a combination of mechanisms to demonstrate financial assurance. The regulation allows the owner/operator to choose from eight separate mechanisms. The owner/operator may use the same mechanism for closure and post-closure costs. The amount available must be no less than the sum that would be available if a separate mechanism had been established for closure and post-closure. Each mechanism requires specific documentation. When combining mechanisms, the owner/operator may combine letters of credit, financial guarantee bonds, insurance policies and trust funds only.
- 1 Trust Fund or Standby Trust Fund (264.143(a), 264.145(a), 264.147(j))
A trust fund is a mechanism through which an owner/operator deposits money into a fund that is held and administered by a third party on behalf of the Department. The owner/operator pays into the trust fund over the term of the initial permit (10 years) or over the remaining operating life of the facility, whichever is shorter. The fund should be fully funded at closure.
When reviewing a trust fund for compliance with the regulation, OFA staff should verify that the following requirements have been met:
Trustee: The trustee must be a bank or financial institution that has the authority to act
4as a trustee and whose operations are regulated and examined by a Federal or State agency.
Payment Amount: The owner/operator must make the appropriate deposit before any waste is received at the facility.
New Facilities: The owner/operator's first payment into the trust must be made according to the following calculation:
Current cost estimate # of years in pay-in period
Existing Facilities: If the owner/operator is switching from another mechanism to the trust fund, then the first payment is equal to the estimated value of the trust fund if the owner/operator had been using a trust fund to demonstrate all along.
For example, assume the current cost estimate is $1,000,000 and the owner/operator has been demonstrating financial assurance for 5 years using a surety bond. If the remaining operating life of the facility is 15 years, then his first payment is equal to the following:
$1,000,000/20 X 5 = $250,000.
Interim Status Facilities: Payments are made annually for 20 years beginning with the effective date of the regulation or over the remaining life of the facility as estimated in the closure plan, whichever is shorter.
Payment Date: For new facilities the deposit should be made at least 60 days before the initial receipt of waste. For existing facilities, the deposit should be made before the existing mechanism is released.
Required Documentation: The owner/operator must provide the following documents to OFA:
Trust Agreement: A signed, notarized, original trust agreement with language identical to that described in section 264.151 (a). The trust agreement must have a Schedule A, Schedule B, Exhibit A, and Certification of Acknowledgement attached.
- Schedule A: This document should provide the facility name, physical address and permit number along with the current applicable cost estimate.
- Schedule B: This document should provide the amount of the initial deposit.
- Exhibit A: This document should list the individuals authorized to sign trust-related documents on behalf of the owner/operator.
- Certification of Acknowledgement: This document certifies that the person signing is authorized to sign for the Grantor.
5 Trustee verification: A letter from the trustee confirming the initial deposit into the trust.
Liability Coverage: The requirements for using the trust fund for liability coverage are the same as when using it for closure and post-closure except that the trust fund for liability coverage must be funded at establishment for the full amount of the liability coverage that is required to be provided by the owner/operator. The language must be identical to that described in section 264.151 (m).
- 2 Standby Trust Fund (264.143(a), 264.145(a), 264.147(j))
A standby trust fund is an empty trust fund that an owner/operator establishes with a bank or trust company to receive funds from a letter of credit, performance or payment bond, or guarantee. If the Department determines that it is necessary to access the funds guaranteed by any one of these mechanisms, it will “cash” the mechanism and place the funds into the standby trust fund. This ensures immediate access to funds when they are required (i.e., in the event of an abandoned facility) so that the Department can fund closure and/or post-closure at the facility as needed.
When reviewing a trust fund for compliance with the regulation, OFA staff verifies that the following requirements have been met:
Trustee: The trustee must be a bank or financial institution that has the authority to act as a trustee and whose operations are regulated and examined by a Federal or State agency.
Payment Amount: The owner/operator is not required to make an initial deposit into a standby trust agreement.
Required Documentation: The owner/operator must provide the following documents to OFA:
Trust Agreement: A signed, notarized, original standby trust agreement with language identical to that described in section 264.151 (a)(1). The trust agreement must have a Schedule A, Schedule B and Exhibit A attached.
- Schedule A: This document should provide the facility name, physical address and permit number along with the current applicable cost estimate.
- Schedule B: This document should state that the initial deposit is zero dollars and that the trust agreement is established as a standby to receive funds from either a financial guarantee bond, performance bond, letter of credit, or guarantee.
- Exhibit A: This document should list the individuals authorized to sign trust-related documents on behalf of the owner/operator.
68.3 Financial Guarantee Bond (264.143(b), 264.144(b), 264.147(i))
A payment bond is a guarantee, issued by a surety company, that it will meet the obligations of an owner/operator in the event an owner/operator defaults on the conditions of the bond. The surety guarantees to deposit the entire sum of the bond into the standby trust fund.
When reviewing a payment bond for compliance with the Regulation, OFA staff will verify that the following requirements have been met:
Circular 570 Listing: Staff confirms that the surety is listed as an acceptable surety of federal bonds in Circular 570. This information can be found at www.fins.treas.gov/c570/index.html
Power of Attorney: This document confirms the authority of the individual signing the bond to sign on behalf of the surety company. Staff will verify that the power of attorney of the attorney-in-fact is recorded pursuant to § 38.2-2416 of the Code of Virginia. Staff may obtain this information by contacting the Richmond City Circuit Court.
Bond Amount: If an owner/operator is using a financial guarantee bond alone to demonstrate financial assurance then the bond amount must be equal to the total current cost estimate. If the owner/operator is a using a combination of cash mechanisms to demonstrate, then the combined amount of the mechanisms must equal the total current cost estimate.
Required Documentation: The owner/operator must provide the following documents to OFA:
Financial Guarantee Bond: The bond must be a signed, original document with a signed, notarized Power of Attorney attached. The bond language must be identical to that described in section 264.151 (b) and the bond must name the facility owner/operator as the principal and the Department as the obligee. Finally, the bond must identify the facility by name, physical address and permit number, if applicable.
Standby Trust Agreement: The bond must be accompanied by a signed, original standby trust agreement. See section 8.2 for requirements applicable to the standby trust.
Liability Coverage: When using the payment bond as liability coverage, the surety agrees to be responsible for the payment of claims against the owner/operator. The requirements for using the payment bond for liability coverage are the same as when using it for closure and post-closure except that the language must be identical to that described in section 264.151 (l).
- 4 Performance Bond (264.143(c), 264.144(c), 264.147(i))
7A performance bond is a guarantee, issued by a surety company, that it will meet the obligations of an owner/operator in the event an owner/operator defaults on the conditions of the bond. The surety guarantees to either deposit the entire sum of the bond into the standby trust fund or perform the activities on behalf of the owner/operator.
When reviewing a performance bond for compliance with the Regulation, OFA staff will verify that the following requirements have been met:
Circular 570 Listing: Staff will confirm that the surety is listed as an acceptable surety of federal bonds in Circular 570. This information can be found at www.fins.treas.gov/c570/index.html
Power of Attorney: This document confirms the authority of the individual signing the bond to sign on behalf of the surety company. Staff will verify that the power of attorney of the attorney-in-fact is recorded pursuant to § 38.2-2416 of the Code of Virginia. Staff may obtain this information by contacting the Richmond City Circuit Court.
Bond Amount: If an owner/operator is using a performance bond alone to demonstrate financial assurance then the bond amount must be equal to the total current cost estimate.
If the owner/operator is a using a combination of performance mechanisms to demonstrate, then the combined amount of the mechanisms must equal the total current cost estimate.
Required Documentation: The owner/operator must provide the following documents to OFA:
Performance Bond: The bond must be a signed, original document with a signed, notarized Power of Attorney attached. The bond language must be identical to that described in section 264.151(c) and the bond must name the facility owner/operator as the principal and the Department as the obligee. Finally, the bond must identify the facility by name, physical address, and permit number, if applicable.
Standby Trust Agreement: The bond must be accompanied by a signed, original standby trust agreement. See section 8.2 for requirements applicable to the standby trust.
- 5 Letter of Credit (264.143(d), 264.144(d), 264.147(h))
A letter of credit is a mechanism that is essentially a “check” written to the Department in the amount of the facility cost estimate. In the event the owner/operator abandons the facility or is otherwise unable to conduct closure, post-closure, and/or corrective action the Department can cash the letter of credit, place the funds into a standby trust and use the money to ensure that the required activities are completed.
When reviewing a letter of credit for compliance with the Regulation, OFA staff should verify the following requirements have been met:
8Bank: Staff will contact the Bureau of Financial Institutions at the State Corporation Commission to ensure that the issuing institution is a bank or other financial institution that has the authority to issue letters of credit and whose letter of credit operations are regulated and examined by the Commonwealth, a federal agency or an agency in another state.
Signature: Staff will contact the bank to ensure that the person signing the letter of credit is authorized to sign the document.
Letter of Credit Amount: If the owner/operator is using the letter of credit alone to demonstrate financial assurance then the letter of credit amount must be equal to the total current cost estimate. If the owner/operator is using a combination of cash mechanisms to demonstrate, then the combined amount must equal the current cost estimate.
Required Documentation: The owner/operator must provide the following documents to OFA:
Letter of Credit: The letter of credit must be a signed, original document. The language of the letter of credit must be identical to that described in section 264.151(d) and must name the Department as beneficiary. The letter of credit must be issued for one year and renew each year on the anniversary date Letter from Owner/operator: The owner/operator must provide a letter referring to the letter of credit by number and listing the name, physical address and EPA Id number for each facility covered by the letter of credit.
Standby Trust Agreement: The letter of credit must be accompanied by a signed, original standby trust agreement. See section 8.2 for requirements applicable to the standby trust.
Liability Coverage: The requirements for using the letter of credit for liability coverage are the same as when using it for closure and post-closure costs, except that the language of the letter of credit must be identical to that described in section 264.151(k).
- 6 Insurance (264.143(e), 264.144(e))
An insurance policy is a mechanism issued by an insurance company. It guarantees that funds will be available to close the facility whenever final closure occurs and/or provides post-closure care for the facility whenever the post-closure care period begins.
When reviewing the insurance policy for compliance with the Regulation, OFA staff should verify that the following requirements have been met:
Policy Amount: The policy must be issued for a face amount at least equal to the current cost estimate. If the owner/operator is using a combination of mechanisms to demonstrate, then the combined amount of the mechanisms must equal the total current
9cost estimate.
Required Documentation: The owner/operator must provide the following documents to OFA:
Insurance Policy: The owner/operator must provide the entire policy including the declarations page and all endorsements. The declaration page must specify the named insured , the policy amount, and all covered facilities. It should also list the physical locations of the covered facilities. Finally the declarations page should indicate the face amount of the policy.
Certificate of Insurance: The certificate of insurance must be a signed, original document. The certificate language must be identical to that described in 264.151(e).
For each facility covered, it must list the facility name, physical address, permit number (if available), and the amount of insurance provided for each facility.
Policy Review: OFA reviews the policy to determine whether the facility has appropriate coverage under the policy. OFA first reviews the declarations page to ensure that the facility is adequately identified and the policy limits are at least equal to the current cost estimate. OFA then reviews the policy language and each endorsement to ensure that the policy offers the necessary coverage. OFA also ensures that the policy provides the appropriate notice to the Department in the event of cancellation.
Liability Coverage: The requirements for using insurance for liability coverage are the same as when using it for closure and post-closure costs, except that the language of the certificate of insurance must be identical to that described in section 264.151(j). An existing policy can also be amended by attaching the Hazardous Waste Facility Liability Endorsement.
- 7 Financial Test (264.143(f), 264.144(f), 264.147 (f))
The corporate financial test is a mechanism through which an owner/operator “self-insures” the cost to close the facility, conduct post-closure and/or conduct corrective action. The test is based on the corporation’s financial strength.
When reviewing the financial test, OFA staff should verify that the following requirements have been met:
Financial Test Amount: The demonstration amount must be equal to the total current cost estimate.
Required Documentation: The owner/operator must provide the following documents to OFA:
Financial Test: The owner/operator must submit an original, signed financial test to OFA. The firm’s CEO must sign the document. The language must be
10 identical to the language in section 264.151(f). The test must be based on the owner/operator’s most recently closed fiscal year. The covered facilities should be listed along with physical address, permit number (if available), and the closure, post-closure and/or corrective action costs. All calculations should be checked for accuracy.
Audited Financial Statements and CPA’s report: The audited financial information is contained in the corporation’s annual report along with the CPA’s report. The CPA’s report should contain an unqualified opinion.
Independent Accountant’s Report: This report must state the accounting procedures the accountant used when comparing the data in the financial statements to the data reported on the financial test. It must also state the accountant’s findings.
Liability Coverage: The requirements for using the financial test for liability coverage are the same as when using it for closure and post-closure costs, except that the language of the financial test must be identical to that described in section 264.151(g).
- 8 Corporate Guarantee (264.143(f), 264.144(f), 264.147 (g))
A corporate guarantee is provided on behalf of the owner/operator who cannot meet the financial test requirements based on its own financial net worth. The written guarantee must provide that if the owner/operator fails to perform closure, post-closure or corrective action, the guarantor will perform or pay a third party to perform the closure, post-closure or corrective action or establish a fully funded trust fund in the name of the owner/operator.
When reviewing the corporate guarantee, OFA staff should verify that the following requirements have been met:
Financial Test Amount: The demonstration amount must be equal to the total current cost estimate. For example, if the owner/operator is using the financial test to cover post-closure costs, the amount on the financial test must reflect the cost for the entire post-closure period, rather than the annual cost.
Guarantor: The guarantor must be a parent of the owner/operator, a firm whose parent corporation is also the parent corporation of the owner/operator, or a firm with a substantial business relationship with the owner/operator.
Required Documentation: The owner/operator must provide the following documents to OFA:
Financial Test Documentation: The guarantor must submit the same documentation that is required for the financial test (see section 7.6); however the financial test and
11 supplemental information must be based on the guarantor's financial performance.
Guarantee Form: The guarantor must submit a signed, original guarantee form. The language of the guarantee form must be identical to the language specified in section 264.151(h)(1).
Liability Coverage: The requirements for using insurance for liability coverage are the same as when using it for closure and post-closure costs, except that the language of the guarantee must be identical to that described in section 264.151(h)(2).
- Submission and Recordkeeping Requirements
- 1 Submission Requirements (264.143, 264.145)
The owner/operator of a new hazardous waste TSD facility should submit the selected financial responsibility mechanism to the Department at least 60 days prior to initial receipt of waste at the facility. If the owner/operator sends the financial mechanism to OWP with the permit application, OWP forwards the mechanism to OFA with a cover memo requesting a review and response. In many cases, the applicant contacts OFA staff directly for guidance concerning the appropriate demonstration procedures. In these cases, the owner/operator generally submits the mechanism directly to OFA.
In the case of permit amendments, the owner/operator must increase the facility's financial assurance if the cost of closure or post-closure is increased as a result of the amendment or provide an additional mechanism in the amount of the increase.
Regardless of the financial assurance mechanism chosen, the owner/operator must submit the original signed mechanism.
- 2 Record Keeping Requirements (264.142, 264.144)
Closure cost estimate: a facility owner/operator must keep a copy of the closure cost estimate in the operating record during the active life of the facility.
Post-closure cost estimate: A facility owner/operator must keep a copy of the post-closure cost estimate in the facility operating recording during the active life of the facility and throughout the entire post-closure period.
10. General OFA Review Procedures
Although review procedures for the financial mechanisms are the same regardless of the scenario, the communication chain may be different depending on why the review is performed.
Reviews pursuant to a permit or permit amendment application: The Hazardous Waste Regulation does not gives the Department a time period in which to review a financial assurance submission and determine compliance; however, OFA staff generally attempt to review these
12documents within 60 days. Staff will attempt to shorten the review time if a permit or permit amendment is pending. Upon receipt of a financial assurance mechanism through the permit or permit amendment application process, OFA staff review the mechanism and contact the applicant by letter or telephone with any problems or concerns. Upon resolution of all issues, OFA staff sends a compliance memo or email to the appropriate OWP staff and a compliance letter to the applicant, with copies to the OWP Manager, Regional Office (RO) Waste Compliance Manager and the RCRA Info Database Manager.
Reviews of annual updates: OFA staff reviews the annual submission and contacts the facility owner/operator within 60 days. If the documents have been prepared in accordance with the Regulation, OFA sends a compliance letter to the owner/operator with copies to the Waste Compliance Manager, the OWP Manager and the RCRA Info Database Manager. If there is a problem with the submission, OFA contacts the owner/operator in writing detailing the corrections that must be made. A copy of the letter is sent to RO staff. The letter imposes a thirty-day deadline; however, the RO may pursue a compliance or enforcement action against the facility at any time during the thirty-day period, depending on the circumstances of the case.
Generally, the RO staff will pursue compliance first through a warning letter.
If a facility owner/operator fails to update his financial assurance mechanism annually, then OFA staff will contact the facility in writing and copy the RO. Again, the letter imposes a thirty-day deadline to submit; however, the RO may pursue a compliance or enforcement action against the facility at any time during the thirty-day period, depending on the circumstances of the case.
Again, generally, the RO staff will pursue compliance first through a warning letter. Upon resolution of all issues, OFA staff sends a compliance memo or email to the appropriate OWP staff and a compliance letter to the applicant, with copies to the OWP Manager, RO Waste Compliance Manager and the RCRA Info Database Manager. OFA staff also complete a RCRA Information form for the facility and submit it to the RCRA Info Database Manager.
Reviews pursuant to an Enforcement Action: RO enforcement staff should send a copy of any executed consent order or unilateral order that requires financial assurance to OFA. OFA staff will send a letter to the owner/operator describing the available options and reiterating the submission deadlines imposed by the Order. If OFA receives the Order after the deadline has passed, OFA contacts the owner/operator in writing reminding him of the obligation to demonstrate and imposing a thirty-day deadline for submission of financial assurance.
OFA staff reviews the mechanism and contacts the facility owner/operator within 60 days. If the documents have been prepared in accordance with the Regulation, OFA sends a compliance letter to the owner/operator and copies RO enforcement staff. If there is a problem with the submission, OFA contacts the owner/operator in writing detailing the corrections that must be made. A copy of the letter is sent to RO enforcement staff. The letter imposes a thirty-day deadline; however, the RO may pursue further enforcement action against the facility at any time during the thirty-day period, depending on the circumstances of the case. Upon resolution of all issues, OFA staff sends a compliance memo or email to the appropriate RO enforcement and OWP staff and a compliance letter to the applicant, with copies to the OWP Manager, RO enforcement staff, Waste Compliance Manager and the RCRA Info Database Manager.
13Post-closure reductions: (Reserved)
Agency Files: For each facility, OFA staff create a correspondence file, a safe file for the original financial mechanism (except financial tests and guarantees), and a duplicate file for a copy of the original financial mechanism.
Database Maintenance: OFA staff update financial assurance on the Comprehensive Environmental Data System (CEDS) and the OFA spreadsheet within 15 days of a change.
EPA Hazardous Waste Financial Assurance Report: OFA staff update this report annually to provide the financial assurance compliance status of each TSD facility requiring financial assurance and send a copy to EPA by September 30th of each year.
11. Annual Update and Submission Requirements (264.142, 264.144)
A facility owner/operator must update his cost estimate annually to account for the effects of inflation. He accomplishes this by adjusting the total cost estimate to current dollars using the current inflation rate. The Regulation allows an owner/operator to use one of two methods to adjust the cost estimate for inflation.
- An owner/operator may recalculate the maximum cost of closure in current dollars; or
- An owner/operator may multiply the total current cost estimate by an annual inflation factor derived from the Gross National Product implicit price deflators (IPD).
The Department also allows owners/operators to adjust for inflation by multiplying the total current cost estimate by an annual inflation derived from the Gross Domestic Product IPDs as well as those from the Gross National Product.
The inflation factor for the current year may be calculated by dividing the previous year's implicit price deflator by the implicit price deflator for the year before the previous year. For example, to calculate the 2002 inflation factor, the following formula should be used:
2001 IPD
2000 IPD.
Sources of Information. Owners and operators may obtain the annual and quarterly IPDs and inflation factors from the following sources:
- RCRA/Superfund Hotline: 800/424/9346 **IPDs and inflation factor available
- Internet web site: http://www.bea.doc.gov/bea/dn/nipaweb/NIPATableIndex.htm Scroll down to Gross National Product-command basis, select 7.3
14 **IPDs only available
- Survey of Current Business: (published by the Department of Commerce) Phone: 202/512/-1800, http://bookstore.gpo.gov/index.html **IPDs only available
- Office of Financial Assurance, Virginia DEQ: 804/698-4123 ** inflation factor available
The facility owner/operator must adjust the facility cost estimate for inflation annually within sixty (60) days prior to the financial assurance anniversary date.
In addition to adjusting the cost estimate, the facility owner/operator must update the amount of the facility financial assurance mechanism(s) annually by the anniversary date of the mechanism(s). The anniversary date and method of adjustment differs for each type of mechanism. The following are the anniversary dates and submission requirements for each mechanism:
Trust Agreement: The anniversary date for a trust agreement is the effective date of the trust agreement or the date on which the agreement was executed. The owner/operator must deposit funds into the trust no later than thirty (30) days after the anniversary date and provide verification to the Department of the amount and date of the deposit through a trust account statement. Annual payments into the trust fund are determined by the following formula:
Current cost estimate-Current value of fund Remaining years in landfill's operating life.
Payment or Performance Bond: The anniversary date for a surety bond is the effective date of the bond. The owner /operator must submit an originally signed rider to the existing bond in the amount of the increase or submit a new, original bond in the amount of the total adjusted cost estimate.
Letter of Credit: The anniversary date for a letter of credit is the effective date of the letter of credit. The owner/operator must submit an original amendment to the existing letter of credit in the amount of the increase or submit a new original letter of credit in the amount of the total adjusted cost estimate.
Insurance Policy: The anniversary date of an insurance policy is the effective date of the policy. The owner/operator must submit an endorsement to the existing policy or a new declarations page increasing the face amount of the policy to the amount of the total adjusted cost estimate and a new, original Certificate of Insurance reflecting the new current cost estimate. If the insurance policy is one that has a policy period of three (3) years, then the insurer must build the cost of inflation for those 3 years into the policy limits when it issues the policy.
Corporate Financial Test: The anniversary date of the corporate financial test is ninety (90)
15days following the close of the entity's fiscal year. The owner/operator must submit a new financial test in the amount of the adjusted cost estimate, along with the supplemental financial information described in section 8.7.
Corporate Guarantee: The anniversary date of the corporate guarantee is ninety (90) days from the close of the entity's fiscal year. Because the guarantee does not require that the guarantor specify the facility cost estimates, the guarantor is not required to update it each year, unless the guarantor includes the cost estimates on the guarantee. However, the financial test which underlies the guarantee must be updated annually.
12. Cancellation or Termination of a Mechanism, Cashing or Drawing on Mechanisms
A financial assurance provider can cancel a performance bond, letter of credit, or guarantee or allow it to expire. In those cases, the Department will act to cash the mechanism or obtain alternate financial assurance before the mechanism expires. The following procedures will apply.
12.1 Letter of Credit (264.143(d), 264.145(d))
The Regulation requires a financial institution to provide one-hundred twenty (120) days notice of cancellation or termination of the letter of credit to the Department and the owner/operator. When the Department receives the notice of cancellation, OFA notifies the owner /operator by letter and directs the owner/operator to provide a replacement mechanism in the amount of the expiring one. The letter will direct the owner/operator to submit the alternate mechanism to the Department no later than thirty days before the stated expiration date. The letter should warn the owner/operator that the Department intends to cash the mechanism if alternate financial assurance is not provided.
If the Department has not received an acceptable replacement mechanism within thirty (30) days of the stated expiration date, OFA sends a demand letter via express mail to the financial assurance provider directing the provider to cash the letter of credit and transmit the entire amount of the letter of credit into the facility's standby trust account. Before sending the letter, OFA contacts the trustee of the standby trust for specific wiring instructions and includes those instructions in the demand letter. OFA also notifies the trustee, at this time, of the pending wire transaction. A copy of the letter of credit and a signed sight draft should accompany the letter. Generally, the demand letter instructs the financial provider to cash the letter of credit on the expiration date before close of business. OFA copies the owner/operator on the demand letter and reiterates the Department's request for an alternate mechanism.
If there is no standby trust then the demand letter will instruct the financial assurance provider to issue a check to the Department. OFA copies the Office of Financial Management (OFM) on the demand letter and sends an email providing the facts of the situation so that OFM may prepare to create an account for the funds.
16If the Department receives an alternate mechanism from the facility owner/operator, OFA reviews the documents according to the procedures outlined in Section 8. If the mechanism complies with the Regulation and is in the amount of the previous mechanism, the Department issues a letter to the financial assurance provider retracting the demand for funds. The letter will be faxed to the provider and the owner/operator and the original mailed certified to the provider with copies to the appropriate RO staff, and OFM, if necessary. If the replacement mechanism does not comply with the Regulation, OFA contacts the facility owner/operator immediately with the required changes. If the facility owner/operator submits a corrected mechanism before the cashing date, then the procedures described above should be followed.
If the owner/operator does not submit a replacement mechanism or submits a mechanism that does not comply with the Regulation and fails to correct the problems in a timely manner, the Department will not issue a retraction letter and the financial assurance provider will cash the mechanism. The trustee of the standby trust or OFM will be notified that the funds are forthcoming. OFA should request a faxed notification from the trustee of receipt of the funds.
Upon receipt of an acceptable mechanism in the amount of the expired mechanism, the Department will instruct the trustee or OFM to return the funds to the owner/operator.
12.2 Surety Bonds (264.143(b) & (c), 264.145 (b) & (c))
The Regulation requires a surety company to provide 120 days notice of cancellation or termination of a performance bond to the Department and the owner/operator. When the Department receives the notice of cancellation, OFA notifies the owner/operator by letter and directs the owner/operator to provide a replacement mechanism in the amount of the expiring one. The letter directs the owner/operator to submit the alternate mechanism to the Department no later than sixty days before the stated expiration date. The letter should warn the owner/operator that the Department intends to make a claim on the bond if alternate financial assurance is not provided.
If the Department has not received an acceptable replacement mechanism within thirty (30) days of the stated expiration date, OFA sends a letter via overnight mail to the financial assurance provider directing the provider to pay out the full amount of the bond to the Department and transfer the funds into the facility's standby trust account. Before sending the letter, OFA contacts the trustee of the standby trust for specific wiring instructions and includes those instructions in the demand letter. OFA also notifies the trustee of the pending wire transaction. A copy of the bond should accompany the letter.
Generally, the demand letter requests that the surety pay out on the bond on the bond's expiration date before close of business. OFA also copies the owner/operator on the demand letter and reiterates the Department's request for an alternate mechanism.
If there is no standby trust then the demand letter will instruct the financial assurance provider to issue a check to the Department. OFA copies the OFM on the demand letter
17 and sends an email providing the facts of the situation so that OFM may prepare to create an account for the funds.
If the Department receives an alternate mechanism from the facility owner/operator, OFA reviews the documents according to the procedures outlined in Section 8. If the mechanism complies with the Regulation and is in the amount of the previous mechanism, the Department issues a letter to the financial assurance provider retracting the demand for funds. The letter will be faxed to the provider and the owner/operator and the original mailed certified to the provider. RO staff (and OFM, if necessary) and the owner/operator will be copied on the letter.
If the replacement mechanism does not comply with the Regulation, OFA contacts the facility owner/operator immediately with the required changes. If the facility owner/operator submits a corrected mechanism before the cashing date then the procedures described above should be followed.
If the owner/operator does not submit a replacement mechanism or submits a mechanism that does not comply with the Regulation and fails to correct the problems in a timely manner, the Department will not issue a retraction letter and the financial assurance provider will cash the mechanism. The trustee of the standby trust or OFM will be notified that the funds are forthcoming. OFA should request a faxed notification from the trustee of receipt of the funds.
Upon receipt of an acceptable mechanism in the amount of the expired mechanism, the Department will instruct the trustee or OFM to return the funds to the owner/operator.
12.3 Guarantee (264.143(f), 264.145(f))
A guarantor must give the Department and the owner/operator at least one hundred twenty (120) days notice of cancellation. Upon receipt of the cancellation notice, OFA sends a letter to the owner/operator requesting alternate financial assurance and setting a submission date that is ninety (90) days from receipt of the cancellation notice. OFA sends a separate letter to the guarantor reminding him that he remains responsible for providing financial assurance until the facility owner/operator submits a replacement mechanism. Upon receipt of a replacement mechanism, OFA reviews it according to the procedures set out in Section 8.
13. Trust Disbursement Procedures (264.143(a), 264.145(a))
Facility owners/operators who demonstrate financial assurance through a trust fund may request reimbursement from the trust for partial or final closure and for post-closure care expenditures. The Department approves disbursement requests only when it is clear from the itemized cost estimate, the closure/post-closure plan, and the trust fund balance that sufficient funds remain in the trust to pay for completion of the remaining activities. If staff cannot ascertain from the information available that authorizing the disbursement request will not result
18in a shortfall in funds before completion of all required activities, the disbursement request will be denied.
The disbursement approval process is a cooperative one between OFA, OWP, and RO compliance staff. Upon receipt of a disbursement request from a facility owner/operator, OFA contacts OWP to confirm that the activities for which the owner/operator is requesting reimbursement were completed pursuant to an approved closure, post-closure or corrective action plan, whichever is applicable. OFA also contacts the appropriate RO to request an inspection to confirm completion of the activities. At the same time, OFA staff compare the disbursement request to the trust fund balance to ensure that sufficient funds will remain after disbursement to cover the remaining activities in the approved plan(s). OWP staff compares the completed activities to the approved plan and informs OFA staff whether the completed activities were appropriate. RO compliance staff inspects the facility to confirm that the facility owner/operator completed the activities for which reimbursement has been requested in accordance with the approved plan. Upon receipt of OWP's approval and the RO's confirmation of completion, OFA sends a letter to the trustee authorizing release of the funds.
14. Facility Abandonment [Reserved]
The procedures for accessing and using a financial assurance mechanism to effect closure, post-closure, or corrective action of an abandoned facility are under development.
15. Incapacity of Providers or owners or operators (264.148)
The owner/operator must notify the Department immediately if a financial provider has filed for bankruptcy or if the provider's authority to issue the mechanism has been suspended or revoked (removal from the Circular 570). The owner/operator must provide a replacement mechanism in the amount of the existing mechanism within sixty (60) days of the date upon which the financial provider became ineligible. The replacement mechanism will be reviewed according to the procedures set out in Section 8.
An owner/operator must notify the Department by certified mail of the commencement of voluntary or involuntary bankruptcy within ten (10) days after commencement of the proceeding.
Upon receipt of this notification, OFA staff notifies the appropriate RO and provides a draft letter to send to the facility owner/operator reminding him of his compliance obligations. Upon receipt of the draft letter, RO staff revise the letter to add any specific current compliance issues and send it to the facility owner/operator.
16. Release from Demonstration Requirements (264.143(i), 264.145(i))
The Regulation requires the Department to release a facility owner/operator from the obligation to demonstrate financial assurance upon the completion of closure, post-closure or corrective action activities. Typically, OWP staff reviews the facility closure/post-closure certification and issues an approval letter if everything is in order and approval is appropriate.
19OWP staff copies OFA on the approval letter. Upon receipt of the approval letter, OFA sends notice to the owner/operator that financial assurance is no longer required for the particular completed activity. OFA returns the original financial assurance mechanism to the provider, if necessary, via express mail along with a letter agreeing to the termination of the mechanism. A copy of the termination letter is provided to the owner/operator, RO staff, Hazardous Waste Permit Manager, and the RCRA Info Database Manager.
_________________________________ ________________________________ Waste Division Director Date
20APPENDIX I REVIEW FORMS
HAZARDOUS WASTE REVIEW PROCEDURES
21 General Review Form for Hazardous/Solid Waste
REVIEWER:_______________________________________ DATE:_______________
FACILITY NAME:_______________________________________________________
EPA, PERMIT OR PBR #:__________________________________________________
PARENT COMPANY:_____________________________________________________
FINANCIAL ASSURANCE FOR: (circle all that apply)
Closure Post-Closure Sudden Liability Non-Sudden Liability
CLOSURE COST ESTIMATE:______________________________________________
POST-CLOSURE COST ESTIMATE:________________________________________
TYPE OF FINANCIAL MECHANISM FOR CLOSURE AND/OR POST-CLOSURE:
AMOUNT DEMONSTRATED:
CLOSURE:______________________________________________________________
POST-CLOSURE:________________________________________________________
THIRD PARTY COVERAGE FOR BODILY INJURY AND PROPERTY DAMAGE:
SUDDEN LIABILITY AMOUNT:___________________________________________
NON-SUDDEN LIABILITY AMOUNT:______________________________________
TYPE OF FINANCIAL MECHANISM FOR SUDDEN AND/OR NON-SUDDEN LIABILITY:
IF INSURANCE FOR LIABILITY: NAME OF INSURER:_________________
DEDUCTABLE:___________________ SCC REGISTERED: Y OR N
DATE OF SUBMISSION:__________________________________________________
Is owner/operator in compliance? Yes________ No________
22Date compliance letter sent:_________________________
Date Non-compliance letter sent:_____________________
Due date for compliance:___________________________
Date compliance letter sent:_________________________
Ten day letter required: Yes________ No________ (If past due date)
New due date for compliance:_______________________
Date compliance letter sent:_________________________
COMMENTS:__________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ __________________________________________________________________ 23
Dredged Material Waste Management GuidanceDoc ID: Management
Solid Waste Interpretive Guidance Statement (SWIGS) MANAGEMENT OF DREDGED MATERIAL The purpose of this guidance document is to clarify the waste management standards governing characterization and disposal of dredged material and to clarify the role and responsibilities of the waste program in regards to management of dredged material.
For the purposes of this guidance, Αdredged materials≅ are bottom sediments, vegetation, or other materials that have been dredged or excavated from the waters of the Commonwealth of Virginia. Dredged materials consist primarily of natural bottom sediments (i.e., silt, sand, gravel, rock) and natural bottom vegetation. Dredged materials can consist of solid waste and other materials which may may be found commingled with the natural bottom sediments and vegetation. Dredged material may be contaminated by municipal, commercial, or industrial wastes or by runoff from terrestrial sources.
For the purposes of this guidance, dredged natural bottom sediment and bottom vegetation that is not contaminated with waste constituents is considered soil and is therefore conditionally exempt from the requirements for management as a solid waste (see VSWMR ∋2.4.D.5).
For the purposes of this guidance, Αother bottom material≅ are items, such as brush, stumps, debris, pilings, etc., that may normally be found at the bottom of a surface water body but have not been discarded or otherwise placed there in a manner which constitutes disposal.
For the purposes of this guidance, Αcontaminated sediment≅ refers to natural bottom sediments and natural bottom vegetation that are contaminated, above normal background levels, with waste constituents. Contaminated sediment does not include industrial wastewater discharges regulated under
CWA ∋ 402.
The management of dredged material is currently regulated by the United States Army Corps of Engineers, the Virginia Marine Resources Commission, and the State Water Control Board (i.e. DEQ Water Division). In many cases, when dredged material is properly managed in accordance with the standards of those other agencies or boards, regulation of the dredged material under the Virginia Waste Management Act (ΑVWMA≅) imposes unnecessary and duplicative regulatory burdens upon persons engaged in dredging activities.
Dredged material is not excluded from regulation as a solid waste, however the Virginia Waste Management Board is authorized by Va.
Code ∋10.1-1402(9) to:
Consult and coordinate with the heads of appropriate state and federal agencies, independent regulatory agencies and other governmental instrumentalities for the purpose of achieving maximum effectiveness and enforcement of this chapter while imposing the least burden of duplicative requirements on those persons subject to the provisions of this chapter.
To determine when management of bottom sediments and other bottom material contaminated with waste constituents is appropriate and not duplicative under the VWMA, it is important to know the source of the contamination. The major question to answer is whether the contamination resulted from non-point source discharges or unknown releases, or from point source discharges subject to regulation under the Clean Water Act (ΑCWA≅), as amended.
E:\TOWNHALL\DOCROOT\GUIDANCEDOCS\440\GDOC_DEQ_2621_V1.DOC Mgt. of Cont. Dredged Sediment: Page 1 of 3 Solid Waste Interpretive Guidance Statement (SWIGS) Note: Disposal of any dredged material into state waters (i.e., Αoverboard disposal≅) including wetlands, can be considered a point source discharge of wastewater subject to regulation under CWA ∋∋ ∋∋ ∋∋ ∋∋ 401, 402, and 404 and is therefore considered to be excluded from definition as a solid waste (see 40 CFR 261.4 (a) (2)). This activity should be allowed without involvement from the Waste Division provided the disposal is properly done in accordance with the standards of those sections of the Clean Water Act. 40 CFR 261.4 (a) (2) (Identification and Listing of Hazardous Waste), specifically exempts industrial wastewater discharges (ΑIWD≅) that are point source discharges subject to regulation under CWA ∋ 402. These IWDs are excluded from definition as a solid waste.
This authority, under CWA ∋ 402, pertains to the addition of any pollutants to waters of the United States from any discernible, confined, and discrete conveyance, except discharges of dredged and fill material regulated under CWA ∋ 401 and CWA ∋ 404. The intent of the industrial wastewater exclusion is to avoid potentially duplicative regulation, under RCRA and the CWA, of point source discharges. Thus, once wastewater flows from an NPDES discharge point into waters of the United States, that wastewater is exempt from RCRA regulation. This is true even if the discharge could be regulated under CWA ∋ 402, but is not. A point source discharge of wastewater without an NPDES permit would be a violation of the CWA, and could be subject to enforcement action under the CWA.
Conversely, if there is evidence to demonstrate that solid waste or hazardous wastes have been released into surface water in a manner that does not trigger CWA ∋ 402 (i.e., illegal dumping, a spill, or other non-point source discharge), this constitutes disposal under RCRA and would be subject to the appropriate regulatory controls under the VWMA. For example, bottom sediment or other bottom material which are contaminated by a listed hazardous waste that was Αdumped≅into the water is considered a listed hazardous waste and would be subject to regulation under the Virginia Hazardous Waste Management Regulations (VR 672-10-1) ("VHWMR"). And for example, rail road ties, brush, and wood debris that were discarded by being bulldozed into the water would be considered a solid waste subject to regulation under the Virginia Solid Waste Management Regulations (VR 672-20-10) (ΑVSWMR≅).
Contaminated sediment and other bottom material that are determined not to be a listed hazardous waste subject to regulation under the VHWMR, as describe in the paragraph above, (such as bottom sediment or other bottom material that are contaminated with hazardous waste constituents from unknown sources, etc.), are not considered wastes as long as the contaminated sediment or other bottom material is not actively managed or removed from the water.
When contaminated sediments or other bottom material are actively managed and removed through dredging, the removed bottom sediments, bottom vegetation, or other bottom material, (i.e., Αcontaminated dredged material≅), may meet the definition of a solid waste, as set forth in Va. Code ∋ 10.1-1400 and in VSWMR Part III, by either being discarded or by being applied to the land in a manner constituting disposal. The dredged material may also be considered a hazardous waste under Part III of the VHWMR by possessing a hazardous waste characteristic (see VHWMR ∋∋ 3.6 - 3.9).
Contaminated dredged material that is considered a solid waste, is subject to the hazardous waste determination requirements of the VHWMR. Under VHWMR ∋ 6.1, a person who generates a solid waste shall determine if that waste is a hazardous waste using the prescribed methods (see VHWMR ∋ 6.1). The determination may be made by either testing the waste according to accepted testing methods, or by applying knowledge of the hazard characteristics of the waste in light of the materials or the processes used.
Testing of the material, for hazardous waste determination purposes, may be done either in situ or after removal. However, until it has been determined that the dredged material is not a hazardous waste, it is recommended that the generator manage the contaminated dredged material in accordance with the requirements of VHWMR ∋6.4.E. In particular, in order to avoid the unintentional creation of an unpermitted hazardous waste management unit, until characterized the contaminated dredged material should be managed in tanks and/or containers, and should not be placed in waste piles, in surface impoundments, or onto the land.
Since dredged material is currently regulated by the United States Army Corps of Engineers, the Virginia Marine Resources Commission, and the State Water Control Board, the Waste Division will allow non-hazardous waste, contaminated dredged sediment to be disposed on-land in locations other than a permitted solid waste management facility (SWMF), provided the contaminated dredged sediment is properly managed in accordance with the regulatory programs of those agencies or boards, and E:\TOWNHALL\DOCROOT\GUIDANCEDOCS\440\GDOC_DEQ_2621_V1.DOC Mgt. of Cont. Dredged Sediment: Page 2 of 3 Solid Waste Interpretive Guidance Statement (SWIGS) provided further that no open dump, hazard, or public nuisance is created (see Va. Code ∋∋ 10.1-1402(21), -1408.1.G.-H). Additionally, prior to on-land disposal, the contaminated dredged sediment shall be evaluated for any potential risks which may be associated with its disposal at the proposed location. If the contaminated dredged sediment contains constituents not normally found in the environment (i.e. PCBs, creosote, TPH, etc.) and health risk standards are available for those constituents, then, to evaluate the potential risks, a formal risk assessment should be performed (i.e., evaluation by REAMS model), or the values for the waste contaminants in the sediment can be compared to accepted health based standards. Contaminated dredged sediment can be disposed on-land in locations other than a permitted SWMF depending on the degree of risk associated with its disposal and provided the sediment does not require special handling for disposal.
Contaminated dredged material other than natural bottom sediment and vegetation (i.e., wood pilings, metal, garbage, debris) and contaminated dredged sediment that requires special handling or poses unacceptable risks for uncontrolled on-land disposal, shall be disposed only in a permitted solid waste management facility, or otherwise recycled, reused, or managed in accordance with the
VSWMR.
It is recommended that the Waste and Water staff within the regional offices establish waste constituent levels that would be appropriate for allowing land disposal of non-hazardous waste contaminated dredged material in locations other than permitted SWMFs. When contaminated dredged material is considered for approval for Αupland disposal≅ by the regional office Αwater≅ staff (i.e., before approval or a permit which allows this activity is actually given), information regarding the waste constituents and the proposed on-land disposal sites should be forwarded to the regional office Αwaste≅ staff for evaluation and feedback. If the conditions for disposal of the dredged material in on-land locations other than a permitted SWMF, as outlined in this guidance, are met, the waste staff should acknowledge that Αon-land≅disposal of the material at the proposed location would not pose an unacceptable risk or otherwise be considered a solid waste subject to regulation under the VWMA in accordance with this guidance.
Note: The intent here is to eliminate duplicative submittal of information by the permittee. By having all waste and water concerns addressed initially during the permitting process under Water Program, persons engaged in dredging operations will not have to get separate approval from the Waste Program for on-land disposal of the waste.
E:\TOWNHALL\DOCROOT\GUIDANCEDOCS\440\GDOC_DEQ_2621_V1.DOC Mgt. of Cont. Dredged Sediment: Page 3 of 3
Hazardous Waste Facility Siting RegulationsDoc ID: Siting
05-1996
MEMORANDUM
To:
Hazardous Waste Permit Writers
From: Lisa A. Ellis
Copy: Leslie A. Romanchik
Date: July 29, 1996
Subject: Siting Requirements
The issue of the applicability of siting requirements to a hazardous waste management facility that is proposing to increase its capacity has recently forced us to examine these long dormant regulations. I wanted to share with all of you the outcome of our discussions.
The full text of the Hazardous Waste Management Siting Act can be found in Title 10 of the Code of Virginia. The siting regulations in question can be found in the March 31, 1986 issue of the Virginia Register. To summarize, this regulation, issued under the authority of the Virginia Hazardous Waste Facilities Siting Act, establishes fees and the procedures for fee assessment for applicants proposing to site hazardous waste facilities in Virginia, and describes when the act of siting is required for a facility. Specifically, Part I, Article II, under the definition of “construct” or “construction” states “After July 1, 1984, no person shall construct or commence construction of a hazardous waste facility without first obtaining a certification of site approval by the [siting] board in the manner prescribed herein…with respect to existing facilities, [construction means] the alteration or expansion of existing structures or facilities to initially accommodate hazardous waste, any expansion of more than 50% of the area or capacity of an existing hazardous waste facility, or any change in design or process of a hazardous waste facility that will, in the opinion of the council, result in a substantially different type of facility.”
To interpret, this requirement means that, for a facility that was in existence as of July 1, 1984, the facility may never increase the total capacity of its hazardous waste units or the area of the facility by more than 50% of the volume or size that it was as of July 1, 1984, without triggering the need to go through siting with the Hazardous Waste Facility Siting Council. This means that when a facility permit is being issued or reissued, all permit writers should pay careful attention to the volume of waste that the facility is proposing to manage, and should compare that volume to the permitted or interim status volume as of July 1, 1984. This comparison should happen as early in the permitting process as possible, probably during the first completeness review. This will ensure that if the need to go through siting is triggered, there will be adequate time to do so during the permitting process.
If you have any questions, let me know.
IDW Handling and Disposal GuidelinesDoc ID: Addendum
04-1996
ADDENDUM
Department of Environmental Quality Waste Operations Policy for the Handling of Investigation Derived Waste (IDW)
This Addendum is being provided to clarify the distinction between the disposal requirements for Investigation Derived Waste (IDW)that is generated from an undefined area, and the requirements for soil and sediment IDW when soil and sediment is generated from an area of known contamination subject to further response measures with oversight from DEQ and/or EPA.
“DEQ Policy for the Handling of Investigation Derived Waste” dated July 5, 1995, specifies that IDW contaminated above background levels is considered a solid waste and must be managed in accordance with the Virginia Solid Waste Management Regulations. If the IDW contains a listed hazardous waste or exhibits the characteristic of a hazardous waste, it must be managed as a hazardous waste in accordance with the Virginia Hazardous Waste Management Regulations. Under this policy, returning the IDW to the location from which it is generated is prohibited.
However, this policy was not intended to address the requirements associated with soil and sediment IDW generated from an area of known contamination when this area is subject to future response activities with oversight from the DEQ or EPA. In such a case, the management and disposal of the IDW should be in accordance with pertinent EPA guidance governing the applicability of RCRA land disposal restrictions. (“Management of IDW During SI’s”, EPA/540/G-91/009).
Under the EPA guidance, replacement of soil and sediment IDW into the area of contamination from which it is generated is permissible provided that the waste is not treated prior to placement. Therefore, the above-referenced DEQ IDW policy now recognizes that if soil and sediment IDW is generated from an area of known contamination, and this area is subject to further response measures with oversight from DEQ and/or EPA, the IDW may be placed back into the area from which it is taken provided there is no treatment of this waste prior to placement.
Signed [SIGNED] Date 7/24/96
Hassan Vakili, Director
Division of Waste Operations
Waste to Energy Facility Design and PermittingDoc ID: Submission
SOLID WASTE PERMITTING
SUBMISSION INSTRUCTION NO. 3
DESIGN PLANS AND REPORT FOR WASTE TO ENERGY, THERMAL TREATMENT, AND INCINERATION FACILITIES Developed by: Virginia Department of Environmental Quality Office of Waste Permitting and Compliance 629 East Main Street Richmond, Virginia 23219 V. 12/2011 Solid Waste Permitting
Submission Instruction No. 3
TABLE OF CONTENTS
I.
DESIGN PLANS 3
A. TITLE SHEET ..................................................................................................................................... 3
B. EXISTING SITE CONDITIONS PLAN SHEET ............................................................................................... 3
C. ENGINEERING MODIFICATION PLAN SHEET ............................................................................................ 3
D. PHASING PLAN SHEETS ....................................................................................................................... 3
E. DESIGN DRAWING PLAN SHEET(S) ....................................................................................................... 3
F. DETAIL DRAWING PLAN SHEET(S) ........................................................................................................ 4
II.
DESIGN REPORT 5
A. INTRODUCTION ................................................................................................................................. 5
B. SITE ACCESS ..................................................................................................................................... 5
- Security ................................................................................................................................... 5
- Roads ...................................................................................................................................... 5
- Queuing .................................................................................................................................. 5
- Vehicle Maintenance .............................................................................................................. 5
C. FACILITY DESIGN ............................................................................................................................... 5
- Site Activities .......................................................................................................................... 5
- Surface of Processing Areas ................................................................................................... 6
- Safety...................................................................................................................................... 6
- Fire System ............................................................................................................................. 6
- Design Features ...................................................................................................................... 6
D. MATERIAL PROCESSING ...................................................................................................................... 6
- Allowable Materials ............................................................................................................... 6
- Service Area ............................................................................................................................ 6
- Process Capacity ..................................................................................................................... 6
- Use, Reuse, and Reclamation ................................................................................................. 7
- Disposal of Residues ............................................................................................................... 7
E. LIQUIDS MANAGEMENT ..................................................................................................................... 7
- Stormwater ............................................................................................................................ 7
- Process and Storage Area Drainage ....................................................................................... 7
- Wastewater ............................................................................................................................ 7
F. APPENDICES ..................................................................................................................................... 7
- Calculations ............................................................................................................................ 7
- Material Specifications ........................................................................................................... 7
- Operating Agreements ........................................................................................................... 7
- Wastewater Treatment Agreement(s) ................................................................................... 7
- Copies of DEQ issued Permits (Air, VPDES, etc.) ..................................................................... 7
III.
CONSTRUCTION QUALITY ASSURANCE & TECHNICAL SPECIFICATIONS 8
A. CONSTRUCTION QUALITY ASSURANCE PLAN .......................................................................................... 8
B. TECHNICAL SPECIFICATIONS ................................................................................................................ 8
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Page 2 Solid Waste Permitting
Submission Instruction No. 3
I.
DESIGN PLANS Submit the following design plans on 11” x 17” paper in the order provided as Part B Attachment III. A full-size set of Design Plans should also be provided in rolls and/or in pockets for review. The Design Plans shall be prepared and certified by a professional engineer registered to practice in the Commonwealth. [9 VAC 20-81-480.A.] The following site features shall be included on each of the plan sheets as applicable: Existing site conditions, unless the information leads to confusion with the data intended for display;
A survey grid with base lines and bench marks to be used for field control;
All drainage patterns and surface water drainage control structures;
Access roads and traffic flow patterns;
All temporary and permanent fencing;
Methods of screening such as berms, vegetation, or special fencing;
Wastewater or leachate collection, control, storage, and treatment systems;
Special waste handling areas;
Construction notes and references to details; and
Other site features. [9 VAC 20-81-480.A.5.] A. Title Sheet Provide a Title Sheet stating the project title, preparer of the plans, the person/organization for whom the plans were prepared, a table of contents, and a location map showing the location of the site and area to be served.
B. Existing Site Conditions Plan Sheet Show conditions existing at the site prior to facility development. [9VAC20-81-480.A.1.] C. Engineering Modification Plan Sheet {Applicable only to sites with engineering modifications} Show engineering modifications indicating the appearance of the site after installation of all engineering modifications. [9 VAC 20-81-480.A.2.] D. Phasing Plan Sheets Provide a series of plan sheets showing the progression of site development through time; a separate plan shall be provided for initial site preparations and for each major phase or new area where substantial site preparation must be performed. Each plan shall include a list of construction items and quantities necessary to prepare the feature indicated. [9 VAC 20-81- 480.A.3.] E. Design Drawing Plan Sheet(s) Show design information relating to the specific solid waste management process to include:
- Profile and plan views of all structures and enclosures showing dimensions. The plan views shall show building setbacks, side and rear distances between the proposed structure and other existing or proposed structures, roadways, parking areas, and site boundaries.
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Page 3 Solid Waste Permitting
Submission Instruction No. 3
- Interior floor plans, showing the layout, profile view, and dimensions of the processing lines, interior unloading, sorting, storage, and loading areas as well as other functional process areas. The plan should identify the storage area locations during normal operations and when facility downtime exceeds 24 hours.
- A utility plan identifying the location and describing the stormwater drainage system, sanitary sewer system, water supply system, energy system, and interface of the proposed facility with the existing utility systems. [9 VAC 20-81-480.A.4. and B.1.b.] F. Detail Drawing Plan Sheet(s) Show detail drawings and typical sections for drainage control structures, access roads, fencing, buildings, signs, and other construction details. [9 VAC 20-81-480.A.6.]
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Page 4 Solid Waste Permitting
Submission Instruction No. 3
II.
DESIGN REPORT The Design Report should include supplemental discussions and design calculations to facilitate department review of the proposed facility design. The Design Report shall be provided as Part B Attachment VI. [9 VAC 20-81-480.B.] Format The format used for the Design Report should encourage clear analysis and presentation of the proposed waste to energy, thermal treatment, or incineration facility design. The Design Report should start with a title page and table of contents followed by the following sections and discussions. The title page should identify the facility name and permit number, the permit applicant, document date, and document preparer information. In addition, the header or footer of each page should include the facility name, permit number, document title, revision date, and page number.
A. Introduction Provide an introduction that identifies the project title; engineering consultants; site owner, licensee, and operator; facility type and expected site life. Identify any exemptions or variances desired by the applicant. [9 VAC 20-81-480.B.1.a.] B. Site Access
- Security Provide a discussion on the perimeter fencing types and gate controls to be employed to prevent unauthorized access. [9 VAC 20-81-330.E.10.]
- Roads Indicate access roads to the gate and from the gate to the management areas. Show traffic flow patterns to and within the storage, transfer, and treatment areas. Specify the on-site access road material. [9 VAC 20-81-330.E.2. and 480.B.1.d.]
- Queuing Indicate on-site parking, access and exit points, and describe the mechanisms or features which will be employed to provide for an even flow of traffic into, out of, and within the site.
The description shall show that the waiting delivery vehicles will not back up onto the public road. [9 VAC 20-81-330.E.8. and 480.B.1.d.]
- Vehicle Maintenance Describe and give detailed specification of the proposed on-site and off-site transportation system to service vehicles hauling wastes and residues. [9 VAC 20-80-480.B.1.d.] C. Facility Design Provide information on the following topics, referencing the Design Plans as appropriate.
- Site Activities Provide a description of the activities to be conducted on site with regards to the unloading, sorting, and treating of incoming solid wastes. Reference the appropriate Design Drawing Plan Sheet(s). [9 VAC 20-81-330.E.11. and 480.B.1.b.]
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Page 5 Solid Waste Permitting
Submission Instruction No. 3
- Surface of Processing Areas Provide a description of the surfaces of loading, unloading, and storage areas, demonstrating that they will withstand heavy vehicle usage and that they can be easily cleaned. [9 VAC 20-81-330.E.3. and E.5.]
- Safety Discuss the use of truck wheel curbs and other safety features to prevent backing or falling into unloading pit. [9 VAC 20-81-330.E.4.]
- Fire System Describe the fire alarm and protection systems to detect, control, and extinguish fires. [9 VAC 20-81-330.E.1. and E.9.]
- Design Features Describe how the facility design will prevent the migration of vectors, odors, dust, and litter off-site. [9 VAC 20-80-330.E.1. and E.7.] D. Material Processing
- Allowable Materials Reiterate materials proposed for acceptance and processing as indicated on DEQ Form PTB.
Reference any information provided in PTB Attachment VIII on special waste acceptance and handling procedures. [9 VAC 20-81-480.B.1.a.]
- Service Area Specify the municipalities, industries, and collection and transportation agencies served. [9 VAC 20-81-480.B.1.a.]
- Process Capacity Provide the following information, referencing the Design Plans as applicable. [9 VAC 20-81-330.E.6., 330.E.11., 480.B.1.b. and 480.B.1.c.(1)] The process rate of the facility, in both tons per day and tons per hour; The expected short term and projected future long term daily loading; The location and the capacity of normal loading, unloading and storage areas1, in cubic yards and tons; include description of the time such areas can be practically used, based on expected short-term daily loadings; The location and the capacity of emergency loading, unloading, storage areas and other disposal capabilities to be used when the facility system down-time exceeds 24 hours; The designation of alternate management facilities or discussion of plans for transfer of stored waste in the event facility down-time exceeds 72 hours; and The expected daily quantities of waste residues including, but not limited to, ashes,
1 Storage areas should address areas for storage of unprocessed incoming solid waste, process waste residues and effluents, and recovered materials, as applicable. The design shall allow for a minimum of 3-days of storage at maximum anticipated loading rates.
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Submission Instruction No. 3 by-pass and recycled materials, air pollution control residues, and unauthorized wastes.
- Use, Reuse, and Reclamation Describe any materials use, reuse, or reclamation activities to be operated in conjunction with the proposed facility. [9 VAC 20-80-330.E.11.g. and 480.B.1.c.(3)]
- Disposal of Residues Describe the proposed ultimate disposal location(s) for all facility generated waste residues (including, but not limited to, ashes, by-pass and recycled materials, air pollution control residues, and unauthorized wastes). [9 VAC 20-80-330.E.11.f. and 480.B.1.c.(2)] E. Liquids Management
- Stormwater Provide a description of all drainage patterns and surface drainage control structures within the waste and residue handling areas and at the site perimeter to include berms, ditches, sedimentation basins, pumps, sumps, culverts, pipes, inlets, velocity breaks, sodding, erosion matting, or other methods of erosion control. Reference the Design Plans as appropriate. If applicable, discuss the permits issued for stormwater management and discharge. [9 VAC 20-80-480.A.5.c.]
- Process and Storage Area Drainage Discuss the use and location of floor drains in the loading, unloading and storage areas and describe how the design will accommodate washdown operations. Include connections to the wastewater collection system. In cases of subgrade storage structures, show and describe how groundwater intrusion will be prevented. [9 VAC 20-80-330.E.3.]
- Wastewater Discuss the wastewater collection, control and treatment (if applicable) systems to include pipes, manholes, trenches, berms, collection sumps or basins, pumps, and risers. Reference the Design Plans as appropriate. Indicate the final disposal location of all wastewaters. [9 VAC 20-80-330.E.11.f., 480.A.5.g., and 480.B.1.c.] F. Appendices Provide the following appendices, if applicable. [9 VAC 20-81-480.B.1.e.]
- Calculations Provide Calculations substantiating the proposed process rate and storage capacity provided on DEQ Form PTB and discussed in this Design Report. a. Process Rate b. Storage Capacity
c. Table relating process rate to equipment and personnel needs
- Material Specifications
- Operating Agreements
- Wastewater Treatment Agreement(s)
- Copies of DEQ issued Permits (Air, VPDES, etc.)
V. 12/2011
Page 7 Solid Waste Permitting
Submission Instruction No. 3 III. CONSTRUCTION QUALITY ASSURANCE & TECHNICAL SPECIFICATIONS This section discusses the Construction Quality Assurance Plan and Technical Specifications to be submitted with the Part B Application or Part B Modification Application as Attachment VII to DEQ Form SW PTB. This section applies to applicants proposing to construct and operate any of the solid waste management facilities discussed above. [9 VAC 20-81-480.B.] A. Construction Quality Assurance Plan The Construction Quality Assurance (CQA) Plan is designed to ascertain that the constructed facility meets the requirements described in the plans and specifications. Provide specific instructions regarding all aspects of site construction for the type of solid waste management facility proposed. Provide references as appropriate to the Design Plans and Technical Specifications. [9 VAC 20-81-480.B.] B. Technical Specifications Provide technical specifications for the following site features: Access Roads and Entrance Screening Fencing; and Other Special Design Features. Examples include utilities for stormwater and wastewater conveyance and treatment, and surfaces for unloading, receiving, treatment, and storage areas. [9 VAC 20-81-480.B.2.a.(2)]
V. 12/2011
Page 8
Financial Assurance Requirements for Waste FacilitiesDoc ID: Submission
SUBMISSION INSTRUCTIONS NO. 9 REQUIREMENTS FOR FINANCIAL ASSURANCE MECHANISMS I. GENERAL. The applicable regulations for demonstrating financial assurance are the Financial Assurance Regulations of Solid Waste Disposal, Transfer and Treatment Facilities (9 VAC 20-70-10 et seq.). Provide the documents listed in these Submission Instructions as a part of the required permit application for facilities required to provide financial assurance for closure, post-closure, and/or corrective action. To determine the applicability of the Regulation to your facility, please review 9 VAC 20-70-50.
II. CLOSURE. [∋∋ 250.E., 260.E., 270.E., 320 C., 330.E., 340.E., 360.E., 370.E., 380.B., 400.E., 470.E., 520.A.2., 530 F., 540.E., and 560. of the Virginia Solid Waste Management Regulations (9 VAC 20-80-10), and 9 VAC 20-70-111.] A. Closure Cost Estimate. [9 VAC 20-70-111] Provide a copy of the detailed breakdown of the current facility closure cost estimate, calculated to cover the cost of closure (for details see instructions for closure and post-closure plan submission).
B. Financial Assurance for Closure. Provide the signed, original financial assurance mechanism for facility closure as part of the permit application. The closure mechanism must be in an amount at least equal to the current closure cost estimate.
III. POST-CLOSURE CARE. [∋∋ 250.F., 260.F., 270.F., 320, 380.B., 470F and 520.C.2.g. of the Virginia Solid Waste Management Regulations (9 VAC 20-80-10), and 9 VAC 20-70-112.] A. Post-Closure Cost Estimate. [9 VAC 20-70-112] Provide a copy of the detailed breakdown of the current post-closure cost estimate, calculated to cover the cost of post-closure care (for detail see instructions for closure and post-closure plan submission).
B. Financial Assurance for Post-Closure Care. Provide the signed, original financial assurance mechanism for facility post-closure as part of the permit application. The post-closure mechanism must be in an amount at least equal to the current post-closure cost estimate.
IV. CORRECTIVE ACTION [∋ 310 of the Virginia Solid Waste Management Regulations (9 9-1
05/21/03 VAC 20-80-10), and 9 VAC 20-70-113.] A. Exceedance of Groundwater Protection Standards [9 VAC 20-70-113. A.] Within 120 days of a facility finding or the Director determining Groundwater Protection Standards have been exceeded, provide a signed, original financial assurance mechanism in the amount of $1 million.
B. Corrective Action Cost Estimate. [∋ 113, 9 VAC 20-70-10] Provide a copy of the detailed breakdown of the current corrective action cost estimate, calculated to cover the cost of corrective action.
C. Financial Assurance for Corrective Action. Provide the signed, original financial assurance mechanism for facility corrective action within 120 days of the date you select your corrective action remedy. The corrective action mechanism must be in an amount at least equal to the current corrective action cost estimate.
V. Combining Costs in One Mechanism. [9 VAC 20-70-250] You may submit a combination of mechanisms to cover the cost of closure, post-closure and corrective action, as long as the total face amount of the combination of mechanisms is equal to the total combined cost estimate for closure, post-closure care and corrective action. It is not necessary to provide a different mechanism for each type of cost.
VI. Allowable Financial Mechanisms [∋∋ 140, 150, 160, 170, 180, 190, 200, 210, 220, 230, 250 and 290, 9 VAC 20-70-10] A. Trust Fund. [∋ 150, 9 VAC 20-70-10] Provide an originally signed triplicate of the trust fund agreement with the wording required by 9 VAC 20-70-290 A, the calculation used to determine the initial deposit, and written confirmation from the Trustee that the initial deposit into the trust has been made.
- Trustee. [∋ 150.A.] The trustee must be a bank or a financial institution that has the authority to act as a trustee and whose trust operations are regulated by the Commonwealth; and
- Language. [∋150.M.] The language of the trust agreement must be identical to the language provided in 9 VAC 20-70-290.A. 9-2
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- Payments. [∋∋ 150.C., D., E., F., and G.] The payments into the trust fund must be made annually and in accordance with the calculation set out in the Regulations.
B. Surety Bond. [∋∋ 160 and 290B, 9 VAC 20-70-10] Provide (1) a signed, original surety bond with the wording required by 9 VAC 20-70-290 B, guaranteeing that the owner or operator will perform or pay for closure, post-closure or corrective action, whichever are applicable, according to the plan; and (2) a signed, original standby trust agreement [see section 4 below].
- Surety. [∋160.A.] A surety company licensed by the Commonwealth under ∋ 38.2-1000 et seq., must issue the bond. Bonds issued by excess or surplus lines carriers are not acceptable financial assurance mechanisms.
- Language. [∋160.S.] The language of the surety bond must be identical to the language provided in 9 VAC 20-70-290.B.
- Penal Sum. [∋ 160.C.] The penal sum of the bond must be in an amount at least equal to the closure, post-closure, or corrective action cost estimate, whichever is applicable.
- Standby Trust Agreement. [∋∋150, 160.H. and 290.A.] A standby trust must be established as repository for the bond funds in the event of a default. The standby trust must meet the requirements described in 9 VAC 20-70-150 except for the requirements for initial payments and subsequent payments.
C. Letter of Credit. [∋∋ 170 and 290.C., 9 VAC 20-70-10] Provide (1) a signed, original irrevocable standby letter of credit with the wording required 9 VAC 20-70-290.C; and (2) an originally signed standby trust agreement [see section 4 below].
- Institution. [∋ 170.A.] The issuing institution must be a bank or other financial institution regulated by the Commonwealth, a federal agency, or an agency of another state.
- Language. The language of the surety bond must be identical to the language provided in 9 VAC 20-70-290C.
- Amount. [∋ 170.B.] The face amount of the letter of credit must be at least equal to the amount of the closure cost estimate, post-closure care estimate, or corrective action 9-3
05/21/03 estimate, whichever is applicable.
- Establishment of Standby Trust Agreement [∋∋150, 170.G., and 290.A.] A standby trust must be established as a repository for the letter of credit funds in the event of a default. The standby trust must meet the requirements described in 9 VAC 20-70-150 except for the requirements for initial payments and subsequent payments.
D. Certificate of Deposit. [∋∋180 and 290.D., 9 VAC 20-70-10] Provide (1) an original certificate of deposit with a market value at least equal to the amount of the estimated cost estimate payable to the Commonwealth, (2) a signed, original assignment form, and (3) an originally signed standby trust agreement [see section 5 below].
- Availability [∋180 A] This mechanism may not be used by Sanitary Landfills.
- Assignment [∋ 180.A.] All rights, title and interest of the certificate of deposit must be assigned to the Department of Environmental Quality, Commonwealth of Virginia.
- Language [∋ 180.F.] The wording of the assignment form must be identical to the language specified in ∋ 9 VAC 20-70-290.D.
- Amount [∋ 180.A.] The certificate of deposit must be issued for at least the amount of the closure cost estimate, Post-closure care estimate, or corrective action estimate, whichever is applicable;
- Establishment of standby trust [∋∋150, 180.D., and 290.A.] A standby trust must be established as repository for the CD funds in the event of a default. The standby trust must meet the requirements described in 9 VAC 20-70-150 except for the requirements for initial payments and subsequent payments.
E. Insurance Policy. [∋∋ 190 and 290.E., 9 VAC 20-70-10] Provide a signed, original certificate of insurance as worded in 9 VAC 20-7-290.E and a complete copy of the insurance policy, including the declarations page and all attached endorsements.
- Institution. [∋ 190.A.] An insurance company licensed by the Commonwealth under ∋ 38.2-1000 et seq., must issue the insurance policy. Policies issued by excess or surplus lines carriers are not acceptable financial assurance mechanisms. 9-4
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- Language [∋ 190.J.] The wording of the certificate of insurance must be identical to the language specified in ∋ 9 VAC 20-70-290.E.
- Amount. [∋ 190.C.] The face amount or liability limit of the insurance policy must be equal to the current cost estimate of closure, post-closure, or corrective action for the facility.
- Guarantee. [∋ 190.B.] The policy must guarantee that funds will be available to pay for closure, post-closure or corrective action of the waste management unit.
F. Corporate Financial Test. [∋∋200, 290.F., and 290.H., 9 VAC 20-70-10] Submit (1) an original letter signed by the owner's or operator's chief financial officer, (2) copy of the independent certified public accountant's report on examination of the applicant's financial statement for the latest fiscal year, (3) special report from the certified public accountant, and (4) a certification of the method of funding.
- Financial Test. [∋ 200.1., 9 VAC 20-70-10] The owner/operator must meet certain financial conditions, including possessing a tangible net worth greater than the sum of the current closure, post-closure care, corrective action cost estimates and any other environmental obligations covered by a financial test plus $10 million.
- Documentation. [∋∋ 200.2 and 290.F.] Provide the following documentation with your application: An original letter signed by the owner's/operator's chief financial officer worded as specified in 9 VAC 20-70-290.F.; A copy of the independent certified public accountant's report on examination of the financial statements for the latest completed fiscal year; A special report from an independent certified public accountant stating that he has compared the data contained in the letter from the chief financial officer with the latest independently audited year-end financial statement and found no matters which caused him to believe that the specified data should be adjusted; and A certification from the chief financial officer stating the method for funding closure, post-closure, and corrective action, (whichever is applicable) and the amount currently designated for closure and post-closure in the corporation’s financial statements. The certification must be in the form described in 9 VAC 20-70-290.H. 9-5
05/21/03
- Qualification. [∋200.2.a.(3).] The accountant's report must contain no adverse opinion, qualification or disclaimer.
G. Corporate Guarantee. [∋∋220, 290.F., 290.H., and 290.J., VAC 20-70-10] Provide (1) an original letter signed by the guarantor's chief financial officer, (2) a copy of the independent certified public accountant's report on examination of the guarantor's financial statements for the latest fiscal year, (3) a special report from the certified public accountant, (4) a certification of the method of funding closure, post-closure or corrective action costs, and a signed, original corporate guarantee form worded as specified in 9 VAC 20-70-290.J.
- Financial Component. [§ 220.B.] The guarantor shall meet the requirements for owners or operators in 9 VAC 20-70-200 (Corporate Financial Test) and shall comply with the terms of the corporate guarantee.
- Documentation. [∋ 220.C.] The application must be accompanied by the required documentation: A letter signed by the guarantor's chief financial officer worded as specified in 9 VAC 20-70-290.F.; A copy of the independent certified public accountant's report on examination of the guarantor's financial statements for the latest completed fiscal year; A special report from an independent certified public accountant stating that he has compared the data contained in the letter from the chief financial officer with the latest independently audited year-end financial statements and found no matters which caused him to believe that the specified data should be adjusted; A certification from the chief financial officer stating the method for funding closure, post-closure, and corrective action, (whichever is applicable) and the amount currently designated for closure and post-closure in the corporation’s financial statements as specified in 9 VAC 20-70-290.H. A signed, original guarantee form worded as specified in 9 VAC 20-70-290.J.
- Qualification. [∋ 220.B.] The accountant's report cannot contain an adverse opinion, qualification or disclaimer.
H. Local Government Financial Test. [∋∋210, 290.G., 290.H. and 290.I., 9 VAC 20-70-10] Provide an original letter signed by the local government's chief financial officer, (2) a copy of the locality's comprehensive annual financial report, (3) a special report from the certified 9-6
05/21/03 public accountant, (4) a certification of the method of funding closure, post-closure and corrective action costs, and, if applicable, (5) a certification indicating the current reserve obligated to closure and post-closure care costs.
- Test. [∋ 210.1.] The owner/operator must meet the conditions specified and the total environmental obligations insured through financial tests may not exceed 43% of the local government’s total annual revenue. If a local government’s environmental obligations exceed 20% of the local government’s total annual revenue, the locality must establish a restricted sinking fund, escrow account or letter of credit in the amount of the closure cost estimate.
- Documentation. [∋ 210.3.] The application must be accompanied by the required documentation: An original letter signed by the locality's chief financial officer including all of the current cost estimates covered by financial tests, evidence and certification that the local government meets the conditions of 1.a., 1.b., and 1.c. of 9 VAC 20-70-210 with the wording found in 9 VAC 20-70-290.G.; A copy of the independent certified public accountant's report on examination of the locality's comprehensive annual financial statement for the latest completed fiscal year; A special report from an independent certified public accountant stating that he has compared the data contained in the letter from the chief financial officer with the latest independently audited, comprehensive annual financial report and found no matters which caused him to believe that the specified data should be adjusted. A copy of the comprehensive annual financial report. A certification of the method of funding of closure, post-closure and corrective action costs. If required, a certification of escrow/sinking fund/irrevocable letter of credit balance as worded in 9 VAC 20-70-290.I.
- Qualification. [∋ 210.2.a(3)] The accountant's report cannot contain an adverse opinion, qualification or disclaimer.
I. Local Government Guarantee. [∋∋230, 290.H. and 290.K., 9 VAC 20-70-10] The guarantor shall meet the requirements of the local government financial test in 9 VAC 20-70-210. Submit (1) an original letter signed by the guarantor's chief financial officer, (2) a copy of the guaranteeing locality's comprehensive annual financial report, (3) a special report from the certified public accountant, (4) a certification of the method of funding closure, post-9-7
05/21/03 closure and corrective action costs, if applicable, (5) a certification indicating the current reserve obligated to closure and post-closure care costs, and (6) an original, signed local government guarantee form.
- Financial Component. [∋ 230.A.] The guarantor shall meet the requirements for owners or operators in 9 VAC 20-70-210 (Local Government Financial Test) and shall comply with the terms of the corporate guarantee.
- Documentation. [∋ 230.C.] The application must be accompanied by the required documentation: A letter signed by the guarantor's chief financial officer worded as specified in ∋ 290.G.; A copy of the independent certified public accountant's report on examination of the guaranteeing entity's comprehensive annual financial report for the latest completed fiscal year; A special report from an independent certified public accountant stating that he has compared the data contained in the letter from the chief financial officer with the latest independently audited year-end financial statement and found no matters which caused him to believe that the specified data should be adjusted; A copy of the comprehensive annual financial report. A certification of the method of funding of closure, post-closure and corrective action costs. If required, a certification of escrow/sinking fund/irrevocable letter of credit balance as worded in 9 VAC 20-70-290.I. An original, signed local government guarantee form worded identically to the language specified in 9 VAC 20-70-290.K.
VII.
Annual Update Obligation. Upon initial submittal, you must update the face amount of your financial mechanism annually to account for the effects of inflation.
A. Timing. An updated financial assurance mechanism must be submitted each year by the anniversary date of the original mechanism (the date of issuance).
B. Method. An owner or operator must multiply the total cost estimate by an annual inflation factor derived from the Gross National Product (GNP) implicit price deflators (IPD). The annual inflation factor is calculated by dividing the previous year's inflation 9-8
05/21/03 factor by the annual inflation factor two years prior to the current year.
C. Reference. The annual IPDs and inflation factors can be obtained from the following sources:
Name Phone # Internet Address Note RCRA/ Superfund 800/424- N/A IPDs and inflation factor Hotline 9346 available.
Bureau of N/A www.bea.doc.gov/bea/dn/ Scroll down to Gross National Economic Analysis nipaweb/NIPATableIndex. Product- command basis, and htm select 7.3 (IPDs only available).
Survey of Current 202/512- http://bookstore.gpo.gov/i Published by the Department of Business 1800 ndex.html Commerce (IPDs only available) Financial 804/698- Ldbeckwith@deq.state.va. IPDs and inflation factor Assurance Office 4123 Leslie us available.
D. Beckwith
9-9 05/21/03
Coordination of Waste and Water PermittingDoc ID: Coordination
COMMONWEALTH OF VIRGINIA Department of Environmental Quality ______________________________________________________________________________
Subject: Waste Guidance Memo No. 06-2005 and Water Guidance Memo No. 05-2012
COORDINATION OF PERMITTING REQUIREMENTS FOR WETLANDS AND
THE SITING OF SOLID WASTE LANDFILLS
To: Regional Directors
From: Ellen Gilinsky, Ph.D., Water Quality Division Director
Karen Jackson Sismour, Waste Division Director
Date: August 22, 2005
Copies: Rick Weeks, Regional Water Permit Managers, Regional Water Compliance Managers, Regional Waste Program Managers, Waste Permitting Office Director
Summary: The Department of Environmental Quality (DEQ) administers both Waste and Water programs throughout Virginia. Both programs have overlapping jurisdiction regarding the approval of wetland impacts and stream impacts at landfills. This guidance is intended to coordinate the review activities of the two permit programs to ensure that both regulations are satisfied, and to ensure that the permit conditions of the two permits are consistent.
Coordination on these permits is also needed because landfill siting review and approval is a Central Office function and VWP permit applications are reviewed in the Regional Offices.
Legislation was approved on July 1, 2005 that affected landfill siting and wetland impacts.
New landfills or expansion of existing landfills may involve wetland/stream impacts and all such projects will need to be evaluated to determine whether they satisfy the solid waste siting criteria and the VWP requirement to demonstrate avoidance and minimization with respect to impacts to wetlands and streams. Since both divisions’ regulations may alter the location of the landfill and associated features, early coordination is critical. The “companion” technical guidance for the legislation is Waste Guidance Memorandum 04-2005.
Electronic Copy:
An electronic copy of this guidance is available for staff internally on DEQNet, and for the general public on DEQ’s website at http://www.deq.virginia.gov/waterguidance/permits.html.
Contact Information:
Please contact Catherine Harold, Office of Wetlands and Water Protection Program, at (804) 698-4047 or cmharold@deq.virginia.gov, or Paul Farrell, Waste Division, at (804) 698-4214 or epfarrell@deq.virginia.gov with any questions regarding the application of this guidance.
Waste Guidance Memo No. 06-2005 Water Guidance Memo No. 05-2012 1 Disclaimer: This document is provided as guidance and, as such, sets forth standard operating procedures for the agency. However, it does not mandate any particular method nor does it prohibit any particular method for the analysis of data, establishment of a wasteload allocation, or establishment of a permit limit. If alternative proposals are made, such proposals should be reviewed and accepted or denied based on their technical adequacy and compliance with appropriate laws and regulations.
COORDINATION OF PERMITTING REQUIREMENTS FOR WETLANDS
AND THE SITING OF SOLID WASTE LANDFILLS
Background Solid Waste Disposal Facilities must have siting (Part A) approval in order to submit a Design Report (Part B) application and obtain a Solid Waste Permit. In the Part A application, the applicant must demonstrate how wetlands will be avoided and protected in the siting of the landfill or its supporting facilities. If wetlands can not be avoided, then the applicant must minimize the impact and mitigate the taking of the wetlands. The VWP permit satisfies this requirement.
Solid Waste Disposal Facilities seeking to impact wetlands and/or streams are required to submit an application to DEQ under the State Water Control Law (§§ 62.1-44.15 and 62.1-44.15:5, Code of Virginia) and the VWP regulations. In the VWP application, the applicant is required to demonstrate that impacts to wetlands and/or streams have been “avoided and minimized to the maximum extent practicable,” regardless of the amount of the impact.
Mitigation is required for unavoidable impacts greater than 1/10 of an acre. Solid Waste Part A applications should include the required wetland permits prior to permit issuance. This guidance refers to wetlands and streams as the same potential impacts for identification purposes on water permit applications and applications for landfill siting. A site visit confirms the type of impacts irrespective of the applicant’s intended impacts.
Authority
§ 62.1-44.15:5 of the Code of Virginia authorizes DEQ to issue Virginia Water Protection Permits (VWP). § 9 VAC 25-210-10 et seq. are the main regulations, which implement the Virginia Water Protection Permit Program. § 9VAC-25-210-660 et seq., § 9VAC 25-210-670 et seq., § 9VAC 25-210-680 et seq., and § 9 VAC 25-210 – 690 et seq. are the regulations that govern four general permits under the VWP program. § 10.1-1408.1 of the Code of Virginia authorizes DEQ to issue Solid Waste Permits for Landfills. The following sections from the Code of Virginia pertain to the siting of municipal solid waste landfills: Waste Guidance Memo No. 06-2005 Water Guidance Memo No. 05-2012 2 § 10.1-1408.5. Special provisions regarding wetlands.
A. The Director shall not issue any solid waste permit for a new municipal solid waste landfill or the expansion of a municipal solid waste landfill that would be sited in a wetland, provided that this subsection shall not apply to subsection B or the (i) expansion of an existing municipal solid waste landfill located in a city with a population between 41,000 and 52,500 when the owner or operator of the landfill is an authority created pursuant to § 15.2-5102 which that has applied for a permit under § 404 of the federal Clean Water Act prior to January 1, 1989, and the owner or operator has received a permit under § 404 of the federal Clean Water Act and § 62.1-44.15:5 of this Code, or (ii) construction of a new municipal solid waste landfill in any county with a population between 29,200 and 30,000, according to the 1990 United States Census, and provided that the municipal solid waste landfills covered under clauses (i) and (ii) have complied with all other applicable federal and state environmental laws and regulations. It is expressly understood that while the provisions of this section provide an exemption to the general siting prohibition contained herein; it is not the intent in so doing to express an opinion on whether or not the project should receive the necessary environmental and regulatory permits to proceed. For the purposes of this section, the term "expansion of a municipal solid waste landfill" shall include the siting and construction of new cells or the expansion of existing cells at the same location.
B. The Director may issue a solid waste permit for the expansion of a municipal solid waste landfill located in a wetland only if the following conditions are met: (i) the proposed landfill site is at least 100 feet from any surface water body and at least one mile from any tidal wetland; (ii) the Director determines, based upon the existing condition of the wetland system, including, but not limited to, sedimentation, toxicity, acidification, nitrification, vegetation, and proximity to existing permitted waste disposal areas, roads or other structures, that the construction or restoration of a wetland system in another location in accordance with a Virginia Water Protection Permit approved by the State Water Control Board would provide higher quality wetlands; and (iii) the permit requires a minimum two-to-one wetlands mitigation ratio. This subsection shall not apply to the exemptions provided in clauses (i) and (ii) of subsection A.
D. This section shall not apply to landfills which impact less than 1.25 two acres of nontidal wetlands.
E. For purposes of this section, "wetland" means any tidal wetland or nontidal wetland contiguous to any tidal wetland or surface water body. § 9VAC25-210-50 of the VWP regulations (Prohibitions and requirements for VWP permits) requires compliance with the Municipal Solid Waste siting law: B. No VWP permit shall be issued for the following:
- Where the proposed activity or the terms or conditions of the VWP permit do not comply with state law or regulations including but not limited to §10.1-1408.5 of the Code of Virginia;
Definitions
The definitions in 9 VAC 25-210-10 of the VWP regulations and 9 VAC 20-80-10 of the Waste Guidance Memo No. 06-2005 Water Guidance Memo No. 05-2012 3 solid waste regulations apply to these Procedures.
Under the VWP regulations, wetlands “means those areas that are inundated or saturated by surface or groundwater at a frequency and duration sufficient to support, and that under normal circumstances do support, a prevalence of vegetation typically adapted for life in saturated soil conditions.” The VWP program also regulates isolated wetlands.
- Requirements A. Water Permit Program
- Coordination with Central Office Waste Permit Staff begins when a Regional VWP Permit Writer receives a VWP permit application or a request for a VWP pre-application meeting and the development activity at the site is a new or existing landfill.
If the purpose of the development activity at the site is unknown or could be related to a landfill activity, i.e., borrow area, access roads, other activities within 1,000 feet of a landfill; the applicant must provide the affirmative information. The VWP permit writer will add a comment to the completeness letter that requests the applicant to clarify the site use. The VWP permit writer will also notify, in writing, the Waste Permitting Office Director of the scope of the project and request coordination as needed in accordance with 9 VAC 20-80, 9 VAC 25-210, and existing technical guidance.
Waste Permit Staff will assist in determining if such VWP activities are associated with a landfill and if the activity satisfies the Part A siting criteria. This determination will be confirmed after the completeness review of the water permit application and may be confirmed during the completeness review if time allows. The primary responsibility for the initial determination of VWP applicability with a landfill is with the applicant.
- Once the applicant certifies that the activity is not associated with a landfill or the Waste Permit Staff determine that the activity does not require siting review, the VWP application may be processed in accordance with standard water permit application processing procedures.
- If the application specifies that impacts are associated with a landfill, the VWP permit writer must notify the applicant in writing as soon as possible during the completeness review, that the proposed activity may involve landfill siting approval limitations on wetlands and that no further action can be taken by the VWP Program (per 9VAC25-210-50.B.1) until the Waste Permit Program determines what those wetland limitations are in accordance with 9 VAC 20-80. The VWP permit writer should copy the review letter and application to the Waste Permitting Office Director and the Regional Waste Program Manager. Once both applications are submitted, coordination should be conducted to ensure that both regulations are satisfied, and to ensure that the permit conditions of the two permits are consistent.
Waste Guidance Memo No. 06-2005 Water Guidance Memo No. 05-2012 4 B. Waste Permit Program
- In the Waste Permit Program, wetland and/or stream impacts from landfill development are intended to be fully addressed in the Site Suitability (Part A application) determination for landfills. Coordination with Regional VWP Permit Staff begins when the Central Office Part A permit writer receives a Part A application or a request for pre-application review, where wetlands and/or streams may be impacted. The Part A permit writer will notify, in writing, the Regional Waste Program Manager and the Deputy Regional Director. All Part A applications that include wetland and/or stream impacts or copies of wetland permit applications or wetland documents will be forwarded to the Deputy Regional Director. The Deputy Regional Director will then notify the regional VWP staff. The Part A permit writer will invite a VWP permit writer to the initial pre-application meeting for all landfill siting meetings.
- The Part A permit writer will review all documents that affect landfill siting and wetland and/or stream impacts. The Part A permit writer will determine if the activity satisfies the Part A siting criteria. The Part A permit writer will advise, in writing, all necessary DEQ staff (waste and water) of the scope of the project and request coordination as needed in accordance with 9 VAC 20-80, 9 VAC 25-210, and existing technical guidance. The Part A permit writer should request that the applicant submit a Joint Permit Application for impacts to wetlands and/or streams. Once both applications (Part A and VWP) are submitted, coordination should be conducted to ensure that both regulations are satisfied, and to ensure that the permit conditions of the two permits are consistent.
- If the Regional Solid Waste Permit Writer has any question regarding any issue of landfills and wetlands, he/she should contact their immediate supervisor first and may contact the CO Solid Waste Permit Coordinator regarding coordination or technical issues.
Waste Guidance Memo No. 06-2005 Water Guidance Memo No. 05-2012 5
Leachate Storage Capacity Estimation MethodDoc ID: HELP
20-80-004-1993
references updated June 2003
DEPARTMENT OF ENVIRONMENTAL QULAITY
WASTE MANAGEMENT DIVISION
PERMITS
TO:
Solid Waste Permit Staff
FROM: Hassan Vakili
DATE: May 24, 1993
SUBJECT: HELP Model
The following procedure can be used in order to calculate the amount of leachate generated for design of the storage tanks to meet the minimum requirements of § 9 VAC 20-80-290 C.
- Run the RUNHELPI model for a minimum period of 5 years.
- Run the RUNHELPO model to get detailed output of monthly totals in inches for precipitation, runoff, evapotranspiration, percolation through the base of the landfill, and total lateral drainage for each year of simulation.
- From this information get the highest monthly value (during the 5 years) for lateral drainage.
This value is in inches. Calculate the average daily value (divide by 30). Next, find the amount of leachate in ft3/acre. This value multiplied by 7 will give the storage capacity for 7 days.
This method will be used solely to calculate an estimate of required leachate storage capacity. If any landfill finds that this estimate is too low, then the owner will be responsible for adequately adjusting the leachate storage capacity to handle the additional flow.
Environmental Review Procedures GuidanceDoc ID: Waste
MEMORANDUM
Department of Environmental Quality Waste Division
SUBJECT: Guidance Memo No. 03-2004 – (Virginia Code § 10.1-1188) – Waste Division Review of Environmental Review Reports as required by the National Environmental Policy Act
The purpose of this document is to establish a procedure for the DEQ Central Office Waste Division staff in their review of Environmental Review Reports as required by the National Environmental Policy Act, 42 U.S.C. 4321, et seq.
TO: Waste Division Staff
FROM: Karen Jackson Sismour
Waste Division Director
DATE: May 25, 2004
I.
Introduction
The purpose of this guidance is to formalize a procedure for the Central Office Waste Division Staff in their review of Environmental Assessments and Environmental Impact Statements, required by the National Environmental Policy Act, 42 U.S.C. 4321, et seq. and of state Environmental Impact Reports for major state projects, airports, and State Corporate Commission projects.
II.
Background
Virginia Code §10.1-1188 requires State agencies to prepare and submit an Environmental Impact Report for each major state project. The National Environmental Policy Act, 42 U.S.C. 4321, et seq., requires the Federal Government to prepare and submit Environmental Assessments and Environmental Impact Statements for federal projects.
There are other types of reports detailed below. These are collectively referred to as Environmental Review (ER) reports.
The Department of Environmental Quality (DEQ) has the responsibility of coordinating the review of these reports with other State agencies, such as the Department of Historic Resources, Department of Health, and the Department of Game and Inland Fisheries. A complete list of potential State agencies involved can be found in Attachment 1. Within DEQ, the Office of Environmental Impact Review (OEIR), Division of Environmental Enhancement, has the responsibility of coordinating the DEQ response to ER reports. The Waste Division has the responsibility of providing comments related to waste issues.
Guidance Memo No. 03-2004 (Virginia Code § 10.1-1188) Waste Division Environmental Review Reports Page 2 of 8
DEQ’s Water and Air Divisions, Regional Offices, and other State agencies have similar responsibilities.
III.
Waste Division Review of Environmental Review Reports
A. Environmental Review (ER) Report Review Coordination
Environmental Review (ER) Reports are sent to the DEQ Waste Division ER Coordinator (ER Coordinator). The ER Coordinator has the responsibility of completing the report review by the assigned deadline, or assuring the report is reviewed if there is a separate reviewer, and sending the comment memo/letter directly back to the person who sent it to the Waste Division. See the OEIR Environmental Review Request Form example cover form in Attachment 1. If a report comes in without a deadline, Staff should complete the review within 30 days.
The typical level of expected review consists of reviewing the databases detailed below to determine if the Waste Division has knowledge of the environmental history of the site or surrounding areas identified in the report, as well as a review of the ER report to see if there are or will be any obvious waste issues associated with the project.
B. Work Flow of Different Types of ER Reports
There are several different types of ER reports that may be received by the Waste Division. Listed below is a discussion of the different scenarios by which the Waste Division may receive an ER report.
- ER Report from OEIR
The ER Coordinator receives an ER report and an OEIR cover form or memo with a due date. An example of the type of reports distributed by OEIR include State Environmental Impact Reports, Federal Environmental Assessments, Federal Environmental Impact Statements, and Federal Supplemental Consistency Determination/Certifications.
The report reviewer develops comments after a check of the web-based Waste Division Real Estate Search Information databases (Attachment 2) and a review of the ER report to determine if there are potential waste issues, and if pollution prevention/waste minimization was addressed. The reviewer then sends a comment memo to OEIR.
- ER Reports Received from Project Sponsor
Some ER reports come directly to the ER Coordinator without an OEIR cover form. The OEIR cover form is sent separately, at a later date. These Guidance Memo No. 03-2004 (Virginia Code § 10.1-1188) Waste Division Environmental Review Reports Page 3 of 8
are generally large reports, such as for power plant projects. The review is handled as detailed in paragraph B.1 above.
- Scoping Documents
The Waste Division also receives Scoping Documents. These are reports that precede a comprehensive Environmental Assessment/Environmental Impact Statement and are typically sent directly to the ER Coordinator. The ER Coordinator will respond directly to the requester by letter and copy
OEIR.
Please note that with Scoping Documents, the Waste Division is only required to search the Real Estate Search Information databases; however, if there are obvious waste-related issues, they should be addressed in the return correspondence. Also, since most of the Scoping Documents are completed for construction projects, the reviewer should use the generic prepared text for construction projects given in Section C.2.c. Because Scoping Documents do not contain an environmental investigation component, the reviewer should recommend that an environmental investigation be performed to identify any site-specific environment issues.
- Other Reports
There are other types of ER reports that are sent directly to the ER Coordinator. Reviewers should consult with OEIR, then use their best professional judgment in preparing a response.
C.
Components of Environmental Reviews
- Database Check
The report reviewer should analyze the data in the web-based Waste Division Real Estate Search Information databases to determine if the project would affect or be affected by any sites identified in the databases.
There are three Waste Division databases that are to be used by Staff to complete this review. These are the Solid Waste Database, CERCLA Facilities, and Hazardous Waste Facilities. The Solid Waste Database is a list of active solid waste facilities in Virginia. CERCLA Facilities is a list of active and archived CERCLA (EPA Superfund Program) sites.
Hazardous Waste Facilities is a list of hazardous waste generators, hazardous waste transporters, and hazardous waste storage and disposal facilities. Data for the CERCLA Facilities and Hazardous Waste Facilities databases are periodically downloaded by the Waste Division from U.S.
EPA’s website.
Guidance Memo No. 03-2004 (Virginia Code § 10.1-1188) Waste Division Environmental Review Reports Page 4 of 8
The reviewer should access this information on the DEQ website at http://www.deq.state.va.us/waste/waste.html. The databases are listed under Real Estate Search Information heading.
The solid waste information can be accessed by clicking on the Solid Waste Database tab and opening the file. Type the county or city name and the word County or City, and click the Preview tab. All active solid waste facilities in that locality will be listed.
The Superfund information will be listed by clicking on the CERCLA Facilities tab and opening the file. Click on the locality box, click on sort, then click on Datasheet View. Scroll to the locality of interest.
The hazardous waste information can be accessed by clicking on the Hazardous Waste Facility tab. Go to the Geography Search section and fill in the name of the city or county and VA in the state block, and hit enter.
The hazardous waste facilities in the locality will be listed.
This database search will include most waste-related site information for each locality. In many cases, especially when the project is located in an urban area, the database output for that locality will be extensive.
Another database included in the Real Estate Search Information is the Pollution Response Program information. It is a list of environmental incidents reported by the DEQ Regional Offices. The Waste Division staff is not expected to screen the project against this database, since it is part of the Regional Office’s area of responsibility.
Standard language has been developed that should be used for the database check section in ER review memos/letters, and is listed below in section C.2.b.
- Environmental Review – Recommended Language
ER reports should address potential waste sites and waste issues. The role of the ER Coordinator in reviewing these reports is to determine if the proposed project will impact waste sites, be impacted by waste sites, or generate waste. Standard language listed below should be used in ER review memos and letters to comment on typical information that is given in the ER reports. This list can also be used to check if these issues were covered in the ER report.
a.
Waste Issues
1) In reports where no waste-related information is given: Guidance Memo No. 03-2004 (Virginia Code § 10.1-1188) Waste Division Environmental Review Reports Page 5 of 8
“Solid and hazardous waste issues and sites were not addressed in the report.”
Or, “Solid and hazardous waste issues were not addressed in the report. An environmental assessment should be conducted before construction to assure that there are no waste-related issues or sites.”
2) In reports where some waste issues are addressed:
“The report addressed hazardous waste issues and sites, but solid waste was not addressed.”
Or, “The report partially addressed solid waste issues, but hazardous waste issues and waste sites were not addressed.”
3) In reports where waste issues and sites were (adequately) addressed:
“Solid and hazardous waste issues and sites were (adequately) addressed in the report.”
4) In reports where waste issues were addressed, but not a waste-related database search:
“Solid and hazardous waste issues were addressed, but the report did not include a search of waste-related databases.”
b.
Waste-related Database Search
If not already stated: “The report (did/did not) include a search of waste-related databases.”
And, “The Waste Division did a cursory review of its data files and (did/did not) find any (additional) sites that might impact this project.” (List any sites that might impact or be impacted by the project.)
Or, “The Waste Division did a cursory review of its data files and the site/facility is listed as a conditionally exempt small quantity generator of hazardous waste.”
For all reviews, if the site is a Superfund or Federal Facilities Restoration Site, a major hazardous waste (RCRA) or Solid Waste Management facility, or is adjacent to one of these sites, the report also needs to be reviewed by the assigned project officer to check if Guidance Memo No. 03-2004 (Virginia Code § 10.1-1188) Waste Division Environmental Review Reports Page 6 of 8
the project affects Waste Division activities. The project officer’s comments should be included in the ER review memo/letter.
A summary of those comments may read like this: “The Virginia Department of Environmental Quality's Federal Facilities Restoration Section also reviewed the report and determined that it would not impact any of the environmental investigation and remediation projects currently identified at the site.”
c.
Construction Projects
“Any soil (or sediment) that is suspected of contamination must be tested and disposed of in accordance with applicable Federal, State, and local laws and regulations. In addition, any wastes generated or discovered must also be handled, managed and disposed of in accordance with applicable Federal, State, and local laws and regulations. Some of the applicable state laws and regulations are: Virginia Waste Management Act, Code of Virginia Section 10.1-1400 et seq.: Virginia Hazardous Waste Management Regulations (VHWMR) (9VAC 20-60); Virginia Solid Waste Management Regulations (VSWMR) (9VAC 20-80); and Virginia Regulations Governing the Transportation of Hazardous Materials (9VAC 20-110). Some of the applicable Federal laws and regulations are: the Resource Conservation and Recovery Act (RCRA), 42 U.S.C.
Section 6901 et seq., and the applicable regulations contained in Title 40 of the Code of Federal Regulations; and the U. S.
Department of Transportation Rules for Transportation of Hazardous Materials, contained in Title 49 of the Code of Federal Regulations.”
d.
Demolition/renovation (asbestos and lead-based paint issues)
“The report stated that structures that will be demolished/renovated/removed would be checked for the presence of asbestos-containing materials (ACM) and lead-based paint (LBP). If they are found, in addition to the Federal waste-related regulations, State regulations 9VAC 20-80-640 for ACM and 9VAC 20-60-261 for LBP must be followed.”
Or, “The report stated that asbestos-containing materials (ACM) and lead-based paint (LBP) might be present in the structures that are to be demolished/renovated/removed. These structures should be checked for the presence of ACM and LBP, and if found, in addition to the Federal waste-related regulations, State regulations 9VAC 20-80-640 for ACM and 9VAC 20-60-261 for LBP must be followed.” Guidance Memo No. 03-2004 (Virginia Code § 10.1-1188) Waste Division Environmental Review Reports Page 7 of 8
Or, “The report did not state if structures that will be demolished/renovated/removed have been checked for the presence of asbestos-containing materials (ACM) and/or lead-based paint (LBP). They should be checked and if LBP or ACM are found, in addition to the Federal waste-related regulations, State regulations 9VAC 20-80-640 for ACM and 9VAC 20-60-261 for LBP must be followed.”
e.
Hazardous Materials/Hazardous Waste Present after Construction
“If hazardous materials will be located on the site after construction, Federal and State regulations that address hazardous materials/hazardous waste must be followed.”
Or, “The report states that hazardous materials will be located on the site after construction, therefore, Federal and State regulations that address hazardous materials/hazardous waste must be followed.”
f.
Pollution Prevention/Waste Minimization (to be included in all reviews)
“Pollution prevention (was/was not) (adequately) addressed in the report. DEQ encourages all construction projects and facilities to implement pollution prevention principles, including the reduction, reuse, and recycling of all solid wastes generated. All hazardous wastes should be minimized.”
g.
Other Issues
The ER Coordinator should sufficiently review the ER reports to see if there are other waste-related issues that should be addressed. As mentioned above, other DEQ Divisions and Agencies are reviewing the ER reports, and will address their areas of concern. See the OEIR cover form, which gives the report distribution list (Attachment 1).
IV.
Other Applicable Information
This guidance document was reviewed by DEQ Waste Division Office of Remediation Programs Staff and Office of Waste Programs Staff, and Division of Environmental Enhancement Office of Environmental Impact Review Staff. All of the comments were incorporated.
Guidance Memo No. 03-2004 (Virginia Code § 10.1-1188) Waste Division Environmental Review Reports Page 8 of 8
Attachments:
A. Attachment 1 – OEIR ER Request Form, with a List of Other State Agencies B. Attachment 2 – Examples from the Waste Division Real Estate Search Information databases C. Attachment 3 – Boiler Plate Format of an Environmental Review Memo and an Environmental Review letter D. Attachment 4 – Memo, Subject: Environmental Impact Reviews signed by Bob Burnley, dated March 29, 2002, for informational purposes only.
Seismic Impact Zone Siting DemonstrationDoc ID: Seismic
20-80-002-1993
MEMORANDUM
DEPARTMENT OF ENVIRONMENTAL QULAITY
WASTE DIVISION
TO:
Hassan Vakili and Part B Team Supervisors
FROM: Richard Essex
DATE: April 14, 1993, references revised November 13, 2002
SUBJECT: Seismic Impact Zone, Part A Demonstration Requirements.
Section 250 A.6. of the revised VSWMR is a siting criterion that prohibits the siting of new sanitary landfills or lateral expansions of existing units in Seismic Impact Zones. SIZs, as defined by the Regulations, encompass most of Virginia with the exception of extreme southeastern VA (Chesapeake and Virginia Beach) and the eastern shore.
Therefore, the vast majority of applicants currently seeking landfill permits in the Commonwealth will have to make the demonstration required by § 250 A.6.
No specific requirements for the SIZ demonstration have been established. This has caused considerable consternation for the regulated community. Below is an attempt to clarify the requirements for the stipulated demonstration. Please note that the requirements outlined below are only intended to satisfy the “siting criterion” and do not address actual design features for mitigation of seismic effects. Please forward any comments concerning the adequacy of the demonstrations, outlined below, directly to me. My office number is 1-0552.
Seismic Impact Zone Demonstration
I.
Simple Determination
A.
See Algermissen et al. (1990) to determine if proposed facility is within a seismic impact zone.
B.
Multiply the horizontal acceleration, with a 10% chance of occurring in 250 years (as taken directly from Algermissen et al., 1990), by the soil amplification factor appropriate for the site.
Controlling variables for a soil amplification factor are depth, density, and grain size. (i.e., deep coarse-grained, and unconsolidated sediments may cause significant amplification of the maximum horizontal acceleration as calculated for the underlying bedrock.) Soil amplification factors generally range between 1.0 and 2.0.
C.
Determine liquefaction potential at the proposed site.
This determination should consider both liquefaction opportunity and liquefaction susceptibility. {Seed et al. (1983) and Seed and Idriss (1982) are two referenes that address liquefaction potential}
D.
Indicate that all containment structures including liners, leachate collection systems, and surface water control systems will be designed to withstand the acceleration calculated in I.B. It should also be shown that the landfill facility will be constructed to mitigate any instability that might result from liquefaction.
II.
Site Specific Determination:
A.
See Algermissen et al. (1990) to determine if proposed facility is within a seismic impact zone.
B.
Do a site specific evaluation to determine the horizontal acceleration with a 10% chance of occurring in 250 years.
This evaluation, at a minimum, should consider the following:
Local seismic sources (point, linear, zone).
A calculation of magnitude frequency distribution for the area in question.
A calculation of ground motion attenuation.
Extreme cumulative probability of ground motion for a 250 year period. One acceptable algorithm for this calculation is: Fmax,t(a)= e-Φt[1-F(a)] Algermissen et al. (1990)
Fmax,t(a)
probability a
amplitude
t
time Φ mean rate of occurrence F(a) cumulative distribution of ground motion
C.
Multiply the calculated horizontal acceleration, with a 10% chance of occurring in 250 years by the soil amplification factor appropriate for the site. (See I.B. in the simple determination above.)
D.
Determine liquefaction potential (See I.C. in the simple determination above.)
E.
Indicate that all containment structures including liners, leachate collection systems, and surface water control systems will be designed to withstand the acceleration calculated in I.C. It should also be shown that the landfill facility will be constructed to mitigate any instability that might result from liquefaction.
SUGGESTED REFERENCES Algermissen, S.T., Perkins, D.M., Thenhaus, P.C., Hanson, S.L., and Bender, B.L., 1982, Probabilistic Estimates of Maximum Acceleration and Velocity in Rock in the Contiguous United States, USGS, Open-File Report, 82-1033.
Algermissen, S.T., Perkins, D.M., Thenhaus, P.C., Hanson, S.L., and Bender, B.L., 1990, Probabilistic Earthquake Acceleration and Velocity Maps for the United States and Puerto Rico., USGS, Miscellaneous Field Study maps, MF-2120.
Inyang, H.I., 1991, Aspects of Landfill Design for Stability in Seismic Zones., Journal of Environmental Systems, 21:223–235.
Inyang, H.I., 1991, Hazardous Waste Facilities in Seismic Zones., Dept. of Civil Engineering University of Wisconsin-Platteville, Platteville, WI 53818.
Seed, H.B., Idriss, I.M., and Arango, I., 1983, Evaluation of Liquefaction Potential Using Field Performance Data., Journal of Geotechnical Engineering, 109:458.
Seed, H.B., Idriss, I.M., and Arango, I., 1982, Ground Motions and Soil Liquefaction During Earthquakes, Monograph Series, Earthquake Engineering Research Center, Berkley CA 94720.
Virginia FOIA Processing GuidelinesDoc ID: 7145
The Commonwealth of Virginia Department of Environmental Quality Manual for Processing Information Requests Pursuant to the Virginia Freedom of Information Act August 2024 Page 1 of 17 Contents DEQ Roles and Responsibilities ................................................................................................................... 3 Introduction ................................................................................................................................................... 4 Who can use FOIA? ...................................................................................................................................... 4 How are records provided? ....................................................................................................................... 4 What information are requesters entitled to under FOIA? ........................................................................ 5 Procedure ...................................................................................................................................................... 5 Requirements for Making a Request ......................................................................................................... 5 Agency’s Procedure for Responding to a Request .................................................................................... 6 Practical Application ..................................................................................................................................... 7 Exclusions of General Application ....................................................................................................... 7 Exclusions related to public safety ....................................................................................................... 8 Exclusions related to administrative investigations .............................................................................. 9 Exclusions related proprietary records and trade secrets ...................................................................... 9 Exclusions related ............................................................................................................................... 11 Agency specific exclusions ..................................................................................................................... 11 Hazardous waste facilities................................................................................................................... 11 Site-Specific Location ......................................................................................................................... 11 If the owner of the land upon which the resource is located requests the information, then the agency will release the information. Va. Code §2.2-3705.7 (10). .................................................................. 11 Enforcement ........................................................................................................................................ 11 Required Withholding of Records .......................................................................................................... 13 Private Identification Numbers ........................................................................................................... 13 Production ................................................................................................................................................... 13 Fees and Estimate of the Cost ................................................................................................................. 13 Outstanding Balance ............................................................................................................................... 14 Calculation of Fees ................................................................................................................................. 14 Staff Time Costs ..................................................................................................................................... 14 Tangible Records Production Cost ......................................................................................................... 14 DEQ Invoice ........................................................................................................................................... 15 Submission of payment ........................................................................................................................... 15 Fee waivers ............................................................................................................................................. 15 Penalties for violation ................................................................................................................................. 16 Appendix A: Helpful Tips .......................................................................................................................... 17 Page 2 of 17 DEQ Roles and Responsibilities Central Office FOIA Coordinator: Receives and oversees the processing of information requests submitted to DEQ’s Central Office, tracks all received information requests to ensure compliance with FOIA, maintains a file of the information requests received and responded to, and notifies the FOIA Officer of any failure to adhere to FOIA. With the FOIA Officer coordinates responses for multi-regional and multi-program requests to ensure compliance with FOIA.
Custodians: Each director of a DEQ division or regional office is the custodian for the records in the physical possession of his or her division, region or office.
Custodian of records: Each employee is deemed the custodian of records, both paper and electronic, in his or her possession. A custodian should not disclose or withhold records subject to discretionary disclosure prior to consultation with the DEQ FOIA Officer.
Regional FOIA coordinator/ alternate FOIA coordinator: Each division director and regional manager shall designate a coordinator and alternate coordinator for each DEQ office. The FOIA office coordinator shall perform the following functions: Receive and oversee the processing of information requests that are appropriate for their respective division, office or region. Track all received information requests to ensure compliance with FOIA. Maintain a file of the information requests that they received and responded to, including the tracking system.1 Notify the FOIA Officer of any failure to adhere to FOIA.
FOIA Officer: The DEQ FOIA Officer is designated by the Director. DEQ's FOIA Officer performs the following functions: Update the FOIA policy as necessary in accordance with changes made by the Virginia General Assembly to FOIA or agency directive; Maintain a complete written record of DEQ's custodians, coordinators and alternate coordinators for FOIA purposes; Maintain the official version of this Guidance at the Virginia Regulatory Town Hall website, provide copies of DEQ’s FOIA policy to all appropriate state boards and DEQ custodians as necessary; Report to the Director instances of untimely responses, unauthorized denial of access, or other violations of law or FOIA or this Guidance; Consult with the Director and, when necessary, the Department of Law Office of Attorney General (“OAG”) OAG to ascertain the appropriate course of action when the custodian deems all or a part of a requested set of records to be subject to discretionary withholding; and Consult with staff and/or conduct reviews of potentially exempt records before asserting an exemption for releasing a record. Coordinates and drafts communication to requesters regarding exempt records. 1 Library of Virginia Retention and Disposition Schedule General Schedule No. GS-101 Series 012029. Records regarding information requests and responses should be retained for three (3) years after the last action.
Page 3 of 17 Introduction The Virginia Freedom of Information Act (“FOIA”) provides a legal framework that promotes access to agency information, and improves transparency and accountability for agency operations and decisions. DEQ’s Freedom of Information Act Policy and Procedure Manual (“Guidance”2) establishes a transparent, efficient and consistently applied process to respond to public record requests pursuant to FOIA. Va. Code § 2.2-3700. The purpose of the Guidance is to provide the public and DEQ employees with instruction concerning the manner in which DEQ implements FOIA. The Guidance clarifies the requirements for a valid records request, permissible agency responses, as well as detailed procedures for DEQ staff to reference when reviewing, redacting, and releasing agency records pursuant to FOIA.
In the event the Virginia General Assembly amends FOIA, rendering any provision of this Guidance inconsistent with the amended law, this Guidance shall be interpreted in accordance with the amended law. The responsibility for interpreting the provisions of this Guidance is assigned to the DEQ FOIA Officer in consultation with the Director of DEQ (“Director”). Additionally, when records are requested from DEQ pursuant to a court order or subpoena, the Rules of the Supreme Court of Virginia shall apply. Va. Code § 2.2-3703.1.
Who can use FOIA?
FOIA provides the right to inspect and copy public records to the following individuals:
- Citizens of the Commonwealth of Virginia;
- Representatives of newspapers and magazines with circulation in Virginia; and
- Representatives of radio and television stations broadcasting in or into Virginia. See, Va. Code § 2.2-3704 (A).
DEQ FOIA staff begin with a presumption that public records are releasable under FOIA unless there is a specific exclusion that applies. Va. Code §2.2-3705.1. (See Appendix A: Tip #1) How are records provided?
Once a request has been received and responsive public records have been identified and located, the agency will provide the requester the option to have the record(s): 1) Delivered via postal mail 2) Delivered via electronic means or 3) Reviewed in-person by extending an opportunity to visit the appropriate DEQ office.
Va. Code § 2.2-3704 (A).
If the requester elects to receive the records via postal mail or electronic means the agency will provide public records to the requester in the format in which they exist at DEQ, such as 2 Guidance documents do not establish or affect legal rights or obligations, do not establish a binding norm, and are not determinative of the issues addressed. Decisions in individual cases will be made by applying the laws, regulations, and policies of the Commonwealth to case-specific facts.
Page 4 of 17 Microsoft Word, Microsoft Excel, Portable Document Format (PDF), etc. If the requester elects to visit a DEQ office, the requester must make an appointment with the FOIA coordinator for that office. If the requester wishes to inspect the original records, he/she may do so during the normal regular state business hours.3 The FOIA coordinator and requester should establish and confirm a specific date, time, and location for the scheduled visit. The FOIA coordinator should take precautions, as necessary, for the preservation and safekeeping of agency records to prevent damage or destruction while the records are being inspected. Such safeguards may include monitoring the requester during the records inspection. If the requester wishes to have copies made of any of the inspected records, the FOIA coordinator should make all reasonable efforts to provide the requester copies at the time of the scheduled visit unless the FOIA coordinator determines that the production of such records at the time of the visit cannot be reasonably accomplished or is overly burdensome. If the FOIA coordinator is unable to produce copies at the time of the scheduled visit, the FOIA coordinator will make arrangements with the requester to provide copies of the records within a reasonable time.4 What information are requesters entitled to under FOIA?
FOIA provides that all public records shall be open to citizens of the Commonwealth, representatives of newspapers and magazines with circulation in the Commonwealth, and representatives of radio and television stations broadcasting in or into the Commonwealth during the regular office hours of the custodian of such records. Va. Code § 2.2-3704 (A).
A public record is defined as all writings or recordings consisting of the following elements:
- letters, numbers, and words, or their equivalent;
- in any form5
- prepared by or in the possession of DEQ or its employees in the transaction of public business. Va. Code § 2.2-3701.
There are two important limitations to the identification and production of DEQ public records. First, an agency is not required to create a new record if one does not already exist. Va.
Code § 2.2-3704(D). Second, the agency may withhold the release of certain records in accordance with the exclusions provided in FOIA or other areas of the law that govern the release of such records.
Procedure
Requirements for Making a Request
There are two steps for submitting an information request: Step 1: 3 Normal state hours are from 8:30-4:30. Department Of Human Resource Management Policy No.: 1.25 Policies and Procedures Manual 4 For more information see pg. 13 Production. 5 Including databases such as CEDS (Comprehensive Environmental Data Systems) Page 5 of 17 The best and preferred practice for submitting a FOIA request is to complete and submit a request through DEQ’s FOIA website. A FOIA request can also be made orally or in writing (e.g. electronic submission via email or letter submission via postal mail) to a DEQ FOIA Coordinator. Additionally, FOIA law does not require an individual to explicitly reference FOIA for a communication to be deemed a request under FOIA. Va Code § 2.2-3704 (A).
Step 2: If the request has been submitted to the agency and the information requested is clearly stated, then the agency will deem the request complete. Va. Code 2.2-3704 (B). Prior to conducting a search, staff will contact the requester, in writing, to notify the requester in writing that DEQ may make reasonable charges not to exceed the actual cost incurred in accessing, duplicating, supplying and searching for the requested records to ask the requester whether the requester would like to request a cost estimate in advance of DEQ supplying the requested records. Va. Code 2.2-3704(F).The agency will respond to the requester within the statutory period of five business days.
However, if for any reason the request is not deemed complete, the agency will notify the requester for clarification. Until the requester contacts the agency for clarification, the statutory time will be paused. If the requester fails to contact the agency within in a reasonable time, the request will be closed without any records being released. If a request has been closed as a result of the requester’s failure to contact the agency to provide clarification, the requester must resubmit the request with sufficient specificity for agency staff to identify responsive records.
Agency’s Procedure for Responding to a Request If a requester has directly communicated his/her request to a DEQ employee and the requested information can be identified and located with reasonable specificity, then the agency will respond to the requester within five working days. The agency’s failure to respond to a request within the specified time period is deemed a denial of the request. Va. Code § 2.2-3704 (E). The majority of requests to DEQ are responded to within five days; however, some responses may require additional time because records have to be reviewed for potential exemptions or the agency may experience some difficulty in gathering the records depending on the volume of the responsive records or number of individuals who may have responsive records.
FOIA requires one of the following options be exercised when responding to a request:
- Record(s) Released in Full a. The agency provides all responsive records to the requester in full.
- Record(s) Entirely Withheld a. The agency is withholding the record(s). The agency must provide a general description of the information withheld, such as the volume and subject of the records. The agency also will provide the requester with the specific Code section that authorizes the agency to withholding the record(s). Va. Code § 2.2-
3704 (B) (1).
- Record(s) Withheld in-part and Released in-part a. The agency provides the requester notification that the entire record(s) or a portion of the record(s) has been withheld. Accompanying the notification, the agency also will provide the specific code section authorizing the agency to withhold the record(s). The agency also will provide a general description of Page 6 of 17 the information withheld that includes the quantity and subject matter of the records that were withheld. Va. Code § 2.2-3704 (B) (2).
- No Records a. The agency will provide notification to the requester that the requested records could not be found or do not exist.
- Additional Time Needed a. The agency may require additional time in order to provide the requested records or determine whether they are available beyond the statutory five day period. In the event that this occurs, the agency will specify the condition causing the need to respond after the five day period and notify the requester that an additional seven working days will be needed to fulfill the request. (See Appendix A: Tip #2)
Practical Application There are two types of disclosures, mandatory and discretionary. All DEQ records are subject to mandatory disclosure unless they are excluded or prohibited. Records excluded, but not prohibited, from the mandatory release may qualify for discretionary disclosure after consulting with the DEQ FOIA Officer.
Exclusions of General Application Personnel Information Personnel information concerns employment related information associated with identifiable individuals. Personnel information is excluded from mandatory disclosure. The agency has the discretion to release or exclude such information unless the disclosure is prohibited by law.
The agency’s policy is to exclude the release of such information.
However, the agency will release the following information:
- an information request submitted by the subject of the record;
- an information request is submitted by a third party, when the subject of the record is 18 years of age or older and waives the rights afforded to him or her under Va. Code § 2.2-3705.1;
- associated with contracts between a public body and its officers or employees other than contracts settling public employment disputes held confidential as personnel records under Va. Code § 2.2-3705.1;
- of the name, position, job classification, official salary, or rate of pay of, allowances or reimbursements for expenses paid to, any officer, official, or employee of public body whose annual rate of pay is $10,000 or less or
- compensation or benefits paid by any corporation organized by the Virginia Retirement System or its officers or employees whose annual rate of pay is more than $10,000. Va. Code §2.2-3705.1 (1).
Attorney - Client Privilege and Attorney Work Product The agency withholds any advice of legal counsel that is protected under the attorney-client privilege. Va. Code § 2.2-3705.1 (2). Similarly, legal memoranda and other work product compiled specifically for use in litigation or for use in an active administrative investigation concerning a Page 7 of 17 matter that is properly the subject of a closed meeting under Va. Code § 2.2-3711 will be withheld.
Va. Code § 2.2-3705.1 (3).
Tests The agency withholds tests and other examinations used, administered or prepared by DEQ to evaluate an employee or employment seekers qualifications or aptitude for employment, retention or promotion or qualifications for any license or certificate issued by DEQ. Va. Code § 2.2-3705.1(4).
Closed Meetings The agency withholds records compiled exclusively for use in closed meetings lawfully held pursuant to Va. Code § 2.2-3711. Va. Code § 2.2-3705.1 (5).
Proprietary Information The agency withholds vendor proprietary information software contained in DEQ records.
Vendor proprietary information software includes computer programs that are acquired from a vendor for purposes of processing data for DEQ. Va. Code § 2.2-3705.1 (6).
Software The agency withholds computer software developed by or for a state agency. Va. Code § 2.2-3705.1 (7).
Real Property Transactions The agency withholds appraisals and cost estimates of real property subject to a proposed purchase, sale, or lease, prior to the completion of such transaction. Va. Code § 2.2-3705.1 (8).
Non-disclosure of Personal Contact Information for the Purpose of Obtaining Electronic Mail The agency withholds individual personal contact information if the individual has provided his or her personal contact information for the sole purpose of receiving electronic mail from the agency. Personal contact information is defined as an individual’s home and/or business physical address, email address, telephone number and/or comparable number assigned to an electronic device. Va. Code § 2.2-3705.1 (10).
Financial Information The agency withholds account numbers, routing numbers, credit card numbers, debit card numbers or other account information with a financial institution unless the individual requesting the information is also the subject of the information. Va. Code § 2.2-3705.1 (13).
Exclusions related to public safety6 Public Safety The following information contained in a public record is excluded from the mandatory disclosure provision of FOIA, but the information may be disclosed at the discretion of the 6 Please be advised that there are additional circumstances under the public safety exemption that may allow for information and/or records to be withheld.
Page 8 of 17 custodian of the record, except where such disclosure is prohibited by law in accordance with Va.
Code §2.2-3704.01. Va. Code §2.2-3705.2 (14).
Exclusions related to administrative investigations Administrative investigations
Active investigation: The agency will withhold investigator notes, correspondence, information, and records furnished in confidence regarding an active investigation by the following authorities and/or pursuant to the following statutes:
- Employment discrimination complaints made to the Department of Human Resources Management,
- The Virginia Human Rights Act,
- The Auditor of Public Accounts,
- The Joint Legislative Audit and Review Commission,
- Fraud and Abuse Whistle Blower Protection Act,
- The Office of State Inspector General for investigations initiated through the Fraud, Waste and Abuse Hotline or an investigation initiated pursuant to Va. Code §2.2-307 et seq.,
- Internal auditor(s) appointed by the head of a state agency. Va. Code §2.2-3705.3 (5).
Closed investigations: If an investigation has been completed, the agency will release public records in its possession including investigator notes, correspondence, and other information. However, the identity of the complainants, and/or persons supplying information regarding items 1-7 to investigators must not be revealed.
Exclusions related proprietary records and trade secrets
Trade secrets are defined as follows: information, including but not limited to, a formula, pattern, compilation, program, device, method, technique, or process, that: derives independent economic value, actual or potential, from not being generally known to, and not being readily ascertainable by proper means by, other persons who can obtain economic value from its disclosure or use, and is the subject of efforts that are reasonable under the circumstances to maintain its secrecy. Va. Code §59.1-336.
The agency has identified three steps that should be taken in order for an exclusion to be asserted for trade secrets and proprietary information. The submitting entity must invoke the trade secret exclusion upon submission of the data or other materials for which protection from disclosure is sought The submitting entity must identify the data or other materials for which protection is sought, and The submitting entity must state the reasons why protection is necessary. Va. Code §2.2-3705.6 (26).
Page 9 of 17 Once the records in DEQ possession have been designated as qualifying for the trade secret or proprietary information exclusion, the following records will be withheld from release: Va. Code §2.2-3705.6.
- Financial statements not publicly available that are filed with applications for industrial development financing in accordance with Industrial Development and Revenue Bond Act.
Va. Code §15.2-4900.
- Information that was filed as confidential under the Toxic Substances Information Act. Va.
Code §32.1-239.
- Documents and other information of a proprietary nature furnished by an agricultural landowner or operator to the Department of Conservation and Recreation, the Department of Environmental Quality, the Department of Agriculture and Consumer Services or any political subdivision, agency, or board of the Commonwealth regarding Resource Management Plans pursuant to Va. Code §§10.1-104.7, 10.1-104.8 or 10.1-104.9 other than required as part of a state or federal regulatory enforcement action. Va. Code §2.2-3705.6 (25).
- Trade secret information provided in plans, specifications, and information DEQ requires to be submitted because DEQ has reason to believe that the individual is generating, storing, transporting, disposing of, or treating waste if the submitting party has identified the information claimed as trade secret at the time of submission to the agency. However, DEQ will release plans, specifications and information to the appropriate officials of the Environmental Protection Agency pursuant to the requirements of the federal Solid Waste Disposal Act or otherwise required by law. Va. Code §10.1-1458.
- Proprietary information, voluntarily provided by a private business pursuant to a promise of confidentiality from a public body, used by the public body for a solar services or sequestration agreement, where disclosure of such information would (i) reveal (a) trade secrets of the private business; (b) financial information of the private business, including balance sheets and financial statements, that are not generally available to the public through regulatory disclosure or otherwise; or (c) other information submitted by the private business and (ii) adversely affect the financial interest or bargaining position of the public body or private business. Va. Code §2.2-3705.6 (29).
- Trade secret information provided in plans specifications, and information to the Board upon request if the Board in its discharge of duties has reason to believe that the facility is causing or may be about to cause, an air pollution problem. Any information, except emission data, as to secret processes, formulae or methods of manufacture or production will not be released unless for purposes of enforcement of Va. Code § 10.1-1314.1 or the federal Clean Air Act or regulations and orders of the board. Va. Code §§10.1-1314; 10.1-1314.1.
- Trade secret information provided in plans, specifications, and other pertinent information, such as secret formulae, secret processes, or secret methods other than effluent data used by an owner or under the owner’s discretion provided to determine the effect of the wastes from his discharge on the quality of state waters will not be released unless disclosure is necessary to an appropriate official of the Environmental Protection Agency pursuant to the requirements of the Federal Water Pollution Act Amendments of 1972. Va. Code §62.1-44.21. (See Appendix A: Tip #3) Page 10 of 17 Exclusions related working papers and correspondence (executive privilege) "Working papers" are defined as those records that are prepared by or for a public official for his or her personal or deliberative use. If a state employee has created records for or on behalf of the following entities listed below, please contact the FOIA Officer. Va. Code §2.2-3705.7 (2).
- Office of the Governor
- Lieutenant Governor
- The Attorney General
- The members of the General Assembly
- The Division of Legislative Services
- The mayor or other chief executive officer of any political subdivision of the Commonwealth
- The president or other chief executive officer of any public institution of higher education in Virginia. (See Appendix A: Tip #4)
Agency specific exclusions Hazardous waste facilities The agency will withhold records regarding the siting of hazardous waste7 facilities if disclosure would have a detrimental effect upon the negotiating position of a governing body or on the establishment of the terms, conditions, and provisions of the siting agreement. Va. Code §2. 2-3705.7(9).
The agency will release records related to the application for certification of site approval in accordance with Virginia law. Va. Code §10.1-1441.
Site-Specific Location The agency will withhold records containing information on the site specific location of rare, threated, endangered, or otherwise imperiled plant and animal species, natural communities, caves, and significant historic and archeological sites if disclosure would jeopardize the resource.
If the owner of the land upon which the resource is located requests the information, then the agency will release the information. Va. Code §2.2-3705.7 (10).
Enforcement 7 “Hazardous waste" means a solid waste or combination of solid waste which, because of its quantity, concentration or physical, chemical or infectious characteristics, may:
- Cause or significantly contribute to an increase in mortality or an increase in serious irreversible or incapacitating illness; or
- Pose a substantial present or potential hazard to human health or the environment when improperly treated, stored, transported, disposed of, or otherwise managed. Va. Code § 10.1-1400.
Page 11 of 17 FOIA creates a temporary exclusion pursuant to Va. Code §2.2-3705.7(15) for DEQ records documenting “enforcement strategies8, including proposed sanctions for enforcement actions.” Such documents are excluded from disclosure under FOIA only until “a proposed sanction resulting from the investigation has been proposed to the director of the agency.” 9 This exclusion does not apply to inspection reports, warning letters, notices of alleged violations, and documents detailing the nature of any environmental contamination that may have occurred.
The agency will withhold records of DEQ, the State Water Control Board, State Air Pollution Control Board or the Virginia Waste Management Board related to the following types of investigations: Enforcement strategies, including proposed sanctions for enforcement actions After the investigation has concluded and a sanction has been proposed to the Director, DEQ enforcement strategy documents will be disclosed pursuant to FOIA unless another FOIA exclusion applies. Active federal environmental enforcement actions that are considered confidential under federal law Federal documents pertaining to a federal enforcement action and in the possession of DEQ are not subject to disclosure under FOIA if:
- the enforcement action is active (i.e., ongoing), and
- the documents are considered confidential under federal law.
Whether the documents are considered confidential under federal law is based upon the designation as such by the federal agency or its counsel providing the documents. State records that are otherwise subject to disclosure under FOIA do not become exempt by virtue of their use or potential use in a federal action. 8 “Enforcement strategy documents” include enforcement recommendation and plan documents (“ERPs”); memoranda, emails and other documents dedicated to the discussion of appropriate enforcement strategy and its progress; documents and proposals drafted and/or received in the course of enforcement action settlement negotiations and pertaining directly thereto; draft orders, including draft findings of fact and conclusions of law; civil charge or civil penalty worksheets and documents prepared as part of the active prosecution of adversarial administrative and judicial enforcement actions.
9 A sanction “proposed to the director of the agency” For consent orders that are subject to public comment, a sanction has been “proposed to the Director” at the presentation of a consent order for final approval and proposed execution by the DEQ Director.
For consent orders and consent special orders that are subject to public comment, a sanction has been “proposed to the Director” when the Director or his designee approves the order for public comment.
For proposed administrative orders resulting from an adversarial administrative proceeding such as a formal hearing or informal fact-finding, a sanction would be “proposed to the director” at the presentation for final approval and proposed execution of the order by the Director or his designee, following any review requested by the Director or his designee.
Page 12 of 17 Required Withholding of Records Virginia laws may identify specific records that must be withheld from disclosure. The following laws include such requirements with respect to records that DEQ may possess.
Private Identification Numbers If an individual has submitted the following information to the agency for the purpose of paying fees, fines, taxes or other charges collected by DEQ, Virginia law prohibits the agency from disclosing:
- Social security numbers
- Identification numbers on driver’s license
- Credit and debit card numbers
- Bank accounts
- Electronic and billing systems
The agency may release the private identification numbers if the private identification numbers are:
- Necessary to conduct or complete the transaction for which the information was submitted; or
- Required to be disclosed by other law or court order. Va. Code § 2.2-3808.1.
Communications and Materials pursuant to the Virginia Administrative Dispute Resolution Act
The agency will withhold communications and material required to be kept confidential in accordance with the Virginia Administrative Dispute Resolution Act. Va. Code § 2.2-4119 of the Virginia Administrative Dispute Resolution Act (§ 2.2-4115 et seq.).
Negotiation and awards of contract and transactions under The Virginia Public Procurement Act
The agency will withhold records relating to the negotiation and award of a specific contract where competition or bargaining is involved and where the release of such records would adversely affect the bargaining position or negotiating strategy of the agency.
The agency will release such records after it has made a decision to award or not to award the contract. FOIA does not apply to procurement transactions conducted pursuant to the Virginia Public Procurement Act; the release of records are governed by the Virginia Public Production Fees and Estimate of the Cost
Unless a FOIA request can be processed in less than 15 minutes, DEQ will charge reasonable fees for its actual costs incurred in accessing, duplicating, supplying, or searching for the requested records. DEQ will not impose any extraneous, intermediary or surplus fees or expenses to recoup the general costs associated with maintaining records or transacting the general business of the agency. Any duplicating fee charged by DEQ will not exceed the actual cost of Page 13 of 17 duplication. DEQ will make reasonable efforts to supply the requested records at the lowest possible cost.
Prior to conducting a search, if the requester has not already indicated in the request whether or not the requester would like a cost estimate, DEQ staff will contact the requester, in writing, to provide notification that DEQ may make reasonable charges not to exceed the actual cost incurred and to ask the requester if they would like a cost estimate in advance of DEQ supplying the requested records. Va. Code §2.2-3704 (F). If the requester requests an estimate DEQ will provide an estimate of the fees.
Outstanding Balance
Prior to processing a request from a requester with a 30 day or more outstanding balance, the agency will require the requester to remit payment in full for any outstanding balance. Va.
Code §2.2-3704 (I) (See Appendix A: Tip #5) Calculation of Fees The agency assesses the cost of responding to a FOIA request in two ways: (1) Costs are assessed regarding the staff time DEQ employees provide in order to gather and produce the records requested (2) costs are assessed regarding any tangible records productions that are made through copies and other tangible forms of production.
Staff Time Costs Staff time- The agency bills staff time at two tiers: non-management and management.
The hourly cost of staff time will be calculated by DEQ and posted on the DEQ FOIA website. The cost of staff time will be updated from time to time to reflect changes in cost.
Tangible Records Production Cost Electronic records: Electronic records productions are the preferred method of the agency. The agency will transmit the information through an electronic file share, e-mail or postal mail (CD). There is no associated cost with transmitting the records electronically outside of staff time outlined above. However, if the requester would prefer that the records to be placed on a CD and sent via postal mail, then any cost associated with this type of production will be borne by the requester and DEQ staff should include this cost.
Photocopied or copied records: If the requester does not wish to inspect the original records but wishes to be provided with copies of the requested records in physical paper form, the requester may elect to have copies made and sent to the requester. DEQ's basic charge for photocopying existing paper records will be posted on the DEQ FOIA website.
When the request involves hundreds of pages, the staff may estimate the pages using the formula, 2 inches equals 500 pages (1 inch equals 250 pages, etc.), which is based on the standard size of a ream of paper. The cost associated with copying and mailing the records will be borne by the requester.
Agency inability to copy requested records: If the agency is unable to copy the records for requester, then the agency may fulfill its obligations by allowing the requester to contact a private copying service to produce the requested records. In such instances, steps must be taken to ensure that the integrity of the original records is retained. If a private copying Page 14 of 17 service is used, direct payment to the company is the responsibility of the requester and the cost per page will not be assessed by DEQ.
DEQ Invoice If the staff time associated with filling a FOIA request is over 15 minutes, then the requester will receive a FOIA invoice. The charges will show an itemization of the fees incurred for the production of the FOIA request. If the requester has questions or concerns, the requester should contact the individual that provided the invoice. Less than 15 minutes of staff time and no tangible records production costs: If the request is processed in less than 15 minutes of staff time and and there are no tangible records production costs, then the FOIA coordinator shall release the requested records without any charges. More than 15 minutes of staff time and/or there are tangible records production costs: If the request requires more than 15 minutes of staff to process and/or there are tangible records production costs, the FOIA coordinator will provide the requester with an invoice of the charges related to the cost of FOIA productions. $ 200.00 or more: If the cost of providing the records, staff time and/or tangible records production, is determined to likely exceed $200.00, before the agency begins to process and/or continues to process the request, the FOIA coordinator will contact the FOIA Officer. The FOIA Officer will contact the requester to notify the requester that his or her FOIA request will be $200 or more and payment will need to be received before the agency proceeds. Once the requester has been notified that receipt of payment is necessary to continue the FOIA process, the statutory period will be paused until the agency receives a deposit equal to the amount of the estimated cost to fulfill the request. If the cost of the production is more than the deposit, the deposit will be used as a credit and the remaining balance will be billed to the requester. Va. Code §2.2-3704 (H). Once the deposit has been received, the agency will resume processing the FOIA request within the remaining statutory period of time. (See Appendix A: Tip #6) Instances when the requests asks for estimation of charges: DEQ will provide the requester a cost estimate. The statutory time for providing the requested records will be tolled until the requester notifies the agency that he or she would like to have the request processed. If the agency does not receive a response from the requester within 30 days of sending the cost estimate, the request shall be deemed to be withdrawn. Va. Code §2.2-
3704 (D).
Submission of payment
Information about how to submit payment will be posted on DEQ’s FOIA website. In instances where the estimated cost of providing records exceeds $200, the Receipts Control office will notify the FOIA officer when the entire estimated payment has been received.
Fee waivers
DEQ may grant fee waivers to other Virginia agencies; each request submitted by a Virginia agency will be reviewed on a case-by-case basis. DEQ will consider the nature of the Page 15 of 17 request, as well as the time expended by operational staff to fulfill the request to determine if fees will be assessed.
Penalties for violation
Employees may be held personally liable for violations of FOIA. If a legal proceeding is commenced against any employee of DEQ for a violation of FOIA, and the court finds that a violation was willfully and knowingly made, the court shall impose upon such officer or employee of DEQ a civil penalty of not less than $500 nor more than $2,000, which amount shall be paid into the State Literary Fund. For a second or subsequent violation, such civil penalty shall be not less than $2,000 or more than $5,000.Va. Code §2.2-3714. In an effort to ensure FOIA compliance, the agency will require employees to attend an annual training.
Page 16 of 17 Appendix A: Helpful Tips Tip # 1: DEQ employees should be mindful of the agency’s record retention practices and limitations on data storage. Please be sure to follow The Library of Virginia retention policy.
Retention Schedules.OIA Tip #2: The five day countdown begins the first working day after the request is received by the agency. If additional time is needed to respond to the requester, please contact your regional FOIA coordinator, the Central Office FOIA coordinator, and/or the FOIA Officer.
Tip #3 If an individual contacts you regarding records that have been designated as qualifying for the trade secrete or proprietary information exclusion, please contact the FOIA Officer. Each media has specific requirements for the submission of potentially proprietary or trade secreted information. Air Memo Number 03-005. Guidance on Confidential Information and Responding to FOIA Requests for Air Permitting Records Land Land Protection & Revitalization Guidance Memo No. LPR-SW-2013-03 Tip #4: As a DEQ employee, if a request is seeking records prepared by or for a public official for his or her personal or deliberative use be sure to contact the FOIA Officer. Again, always remember to check the caption of your email (To and From), as well as the individuals listed on the email chain.
Tip #5: If a requester with an outstanding balance submits a FOIA request, contact the FOIA Officer before fulfilling or denying the request.
Tip #6: If you determine that fulfilling the request will be overly burdensome, please be sure to contact your regional FOIA coordinator, the Central Office FOIA coordinator, and/or the FOIA Officer. The coordinators and/or the FOIA officer will come to an agreement with the requester regarding the date of the production of records and/or payment specifications.
Page 17 of 17
Soil Analysis Guidance for Petroleum Waste TreatmentDoc ID: Guidance
MEMORANDUM
Department of Environmental Quality Waste Division
SUBJECT: Guidance Memo No. 01-2005 Guidance for Soil Analysis Required for Facilities Treating Petroleum Contaminated Soil Under the Provisions of 9 VAC 20-80-360
TO: Waste Compliance and Permitting Managers
FROM: Karen Jackson Sismour Director, Waste Division
DATE: [Signed 03/11/05]
I. Introduction Facilities that treat petroleum contaminated soil are required to obtain waste permits under the provisions of the Virginia Solid Waste Management Regulations (VSWMR) [9 VAC 20-80-485 A 2]. Both biological treatment (bioremediation) and thermal treatment (incineration) are used to remediate petroleum contaminated soil. Remediation facilities must meet the provisions for materials recovery facilities (MRFs) under the VSWMR [9
VAC 20-80-360].
II. Background The operating requirements for MRFs [9 VAC 20-80-360 D 2] state that MRFs engaged in the remediation of petroleum contaminated soil must perform the analysis required in section 700 C of the VSWMR. The purpose of this guidance is to clarify the analysis that is required under the provisions of Section 700 C and to indicate when the analysis is to be performed.
III. Definitions
§10.1-1400 of the Code of Virginia defines “treatment” and “disposal” as follows:
"Treatment" means any method, technique or process, including incineration or neutralization, designed to change the physical, chemical or biological character or composition of any waste to neutralize it or to render it less hazardous or nonhazardous, safer for transport, amenable to recovery or storage or reduced in volume.
"Disposal" means the discharge, deposit, injection, dumping, spilling, leaking or placing of any solid waste into or on any land or water so that such solid waste or any constituent thereof may enter the environment or be emitted into the air or discharged into any waters, including ground waters.
IV. Guidance The permit-by-rule requirements for MRF [9 VAC 20-80-485 A 2 d] require materials recovery facilities to have an operation plan describing how the operating requirements for materials recovery facilities [9 VAC20-80-360 D] will be met. One of the operational requirements for materials recovery facilities [9 VAC 20-80-360 D 2] states that facilities processing petroleum contaminated soil must perform analysis consistent with section 9 VAC 20-80-700 C. The permit-by-rule requirement [9 VAC 20-80-360 D 2] does not specify when the analysis is to be performed. The requirements of 700 C include specific analytical methods [9 VAC 20-80-700 C 1] that are to be used when analyzing petroleum contaminated soil as well as the frequency of analysis [9 VAC 20-80-700 C 2] for disposal (placement on the land). The section [700 C 2] provides a general sampling frequency based on the amount of soil to be disposed as well as a sampling frequency following processing for thermal treatment facilities. The general sampling frequency could be used either for materials that are still in place at a petroleum contaminated site or for materials that are undergoing bioremediation. Sampling frequency for thermal treatment facilities occurs following treatment of the soil. Alternative sampling frequency is allowed with director’s approval.
Section 700 C 2 describes analysis required prior to disposal (placement on the land or in a landfill) and 360 D 3 d describe the analysis of the reclaimed product. It is clear that when soils are treated, the analyses are required after treatment and prior use as a reclaimed product (ie. Landfill cover, fill dirt etc).
No analyses are specifically required by the regulation prior to undergoing treatment at a remediation facility. The treatment facility (thermal or bioremediation) may not accept hazardous waste. A facility may require analyses or certifications to ensure that:
- the material is not a hazardous waste;
- the material is amenable to the remediation that the facility can provide;
- and the facility complies with any permits issued by the DEQ air or water division.
These analyses and certifications are generally included in the treatment facility’s permit-by-rule.
The regulation only requires specific testing prior to disposal of the soil. Section 700 A, “Applicability,” states that the requirements of this section apply to requests by disposal facilities (landfills) for the approval (from the department) for the disposal of petroleum contaminated soil. The provisions in 360 D 3 d also require documentation to be maintained at a treatment facility for soil to be disposed. According to the VSWMR "Disposal" means the discharge, deposit, injection, dumping, spilling, leaking or placing of any solid waste into or on any land or water so that such solid waste or any constituent of it may enter the environment or be emitted into the air or discharged into any waters.
V. Conclusion When soil is contaminated with petroleum products, analysis is required to determine how the soil is to be managed after remediation. The contaminant in the soil is the only reason the material would be considered a waste rather than a natural resource. The analysis required in Section 700 C of the regulations is required when soil is to be placed on the land. No specific analysis of waste soil is required by the regulations for acceptance at MRFs treating petroleum contaminated soil. According to the VSWMR, a MRF may not accept hazardous waste. The generator of the soil is responsible for a providing the treatment facility a hazardous waste determination through testing of the soil or knowledge of the soil. The generator of the soil must be able to provide the treatment facility (MRF):
- The soil status under the hazardous waste regulations;
- Any information required by the treatment facility to comply with any permit issued by the air or water divisions of DEQ;
- Screening information to determine that soil is contaminated with petroleum products and is amenable to treatment using the technology available at the treatment facility;
- In addition, the facility itself may impose additional sampling as part of its standard operating procedures.
The treatment facility is required to test the treated soil in accordance to 700 C prior to disposal or use as clean fill of the soil as provided in 700 D. These analyses are provided to the disposal facility where soils are to be disposed.
Sanitary Landfill Siting Near Water SuppliesDoc ID: Sanitary
MEMORANDUM Department of Environmental Quality Waste Division SUBJECT: Guidance Memo No. 04-2005 Sanitary Landfill Siting Relative to a Public Water Supply Intake or Reservoir
TO:
Waste Compliance and Permitting Managers, Groundwater Manager and staff
FROM:
Karen Jackson Sismour
Director, Waste Division
DATE:
[Signed 08/23/2005]
I. Introduction Code of Virginia §10.1-1408.4, containing provisions for the siting of a sanitary landfill in the vicinity of a surface water or groundwater public water supply intake or reservoir, became effective on July 1, 1999. Legislation passed during the 2005 session of the General Assembly updated these provisions. The legislation reduces the distance that a sanitary landfill can be sited from any existing public water supply intake or reservoir.
The purpose of this guidance is to develop procedures and criteria for the protection of a public water supply or a reservoir in the vicinity of a sanitary landfill. The guidance provides landfill design elements that must be provided in order to site a landfill between one and three miles upgradient of a surface water or groundwater public water supply intake or reservoir. If a permit application for a new municipal solid waste (MSW) (sanitary) landfill provides the required design elements, then the director may approve siting of a new solid waste management facility that is located one to three miles upgradient of a public water supply intake or reservoir.
Sufficient information must be provided demonstrating that a sanitary facility is greater than three miles away, or is downgradient from a public water supply or reservoir in order to avoid the additional design requirements under the law. Also, a new sanitary facility cannot be sited closer than a one mile radius of a public water supply intake or reservoir.
II. Background Prior to the most recent amendment of §10.1-1408.4 in 2005, a sanitary landfill could not be constructed within five miles upgradient of a groundwater or surface water supply intake or reservoir. The 2005 legislation reduced this distance and prohibits the construction of a landfill closer than one mile upgradient of an existing surface water or groundwater public water supply intake or reservoir. If a sanitary landfill is proposed greater than one mile but within three miles upgradient of any existing public water supply intake or reservoir, the landfill must meet certain additional conditions. Also, the director must consult with the Commissioner of Health in protecting against groundwater and surface water contamination.
Code of Virginia, §10.1-1408.4 does not address the issue of siting sanitary landfills relative to privately owned wells for potable water supply at residences. Therefore, this guidance does not cover buffer distances to water supply wells for private residences. However, the current regulatory requirements in 9 VAC 20-80-250 already provide for the protection of water supply wells at private residences.
The new Code of Virginia requirements contain exemptions allowing a new landfill to be constructed a shorter distance from an existing surface water or groundwater public water supply intake or reservoir in the Counties of Mecklenburg and Halifax if the director determines that such a distance would not be detrimental to human health or the environment.
III. Definitions
The definitions in §32.1-167 of the Code of Virginia and Title 42 of the US Code apply to the implementation of the new provisions of §10.1-1408.4 of the Code of Virginia.
“Community water system” means a waterworks which serves at least 15 service connections used by year-round residents or regularly serves at least 25 year-round residents. Water sources for these systems can be either surface water or groundwater. Waterworks are classified by the Virginia Department of Health and listed on the Agency web page.
“Karstic aquifer” means an aquifer that contains sinkholes, caverns, and conduit flow.
“New solid waste management facility” means a facility or a portion of a facility that was not included in a previous determination of site suitability (Part A approval).
“Public water system (waterworks)” means a system for the provision to the public of water for human consumption through pipes or other constructed conveyances, if such system has at least fifteen service connections or regularly serves at least twenty-five individuals. Such term includes (i) any collection, treatment, storage, and distribution facilities under control of the operator of such system and used primarily in connection with such system, and (ii) any collection or pretreatment storage facilities not under such control which are used primarily in connection with such system.
“[Public] Water supply" means water that has been taken into a waterworks from all wells, streams, springs, lakes, and other bodies of surface waters (natural or impounded), but the term "water supply" shall not include any waters above the point of intake of such waterworks.
“Public Water Supply Identification Number (PWS-ID)” means all public water supplies that are registered with EPA and the Virginia Department of Health for the purpose of water testing and monitoring and are subject to levels of regulation based on their size of service. The PWS-ID
2number refers to the water system. The water intake point is part of the water system.
“Reservoir” means a body of water that is intended to collect and store surface water for use in a public water supply treatment and distribution as potable drinking water. The body of water may be a natural or artificial lake. The horizontal extent of the reservoir is the mean high water level in the body of water. The distance determination in this guidance is from mean high water level (HWL) in the impoundment or at the water intake point, whichever is closer to the proposed landfill.
“Gradient” means the highest elevation (water level) in the groundwater monitoring well at the proposed landfill, compared to the elevation (water level) of the groundwater supply intake or reservoir.
“Waterworks” means a system that serves piped water for drinking or domestic use to (i) the public, (ii) at least 15 connections, or (iii) an average of 25 individuals for at least 60 days out of the year. The term "waterworks" shall include all structures, equipment and appurtenances used in the storage, collection, purification, treatment and distribution of pure water except the piping and fixtures inside the building where such water is delivered.
“Upgradient” means the elevation (mean sea level) of the lowest portion of the proposed landfill property is higher than the elevation (MSL) closest to the surface water intake point or ground water intake point or water elevation at the reservoir and groundwater flow is away from the landfill toward the public water supply.
IV. Guidance
- 0 Applicability Facilities that are between one and three miles of a public water supply intake or reservoir must provide the following information:
Information demonstrating that the facility is upgradient or downgradient of the public water supply intake or reservoir. If the sanitary facility is downgradient of the public water supply intake or reservoir and greater than one mile away, no further information or demonstration is necessary. Information demonstrating the facility meets the requirements for alternative liner systems. A liner design that includes the installation of two synthetic liners with leachate collection systems installed above and below the uppermost (primary) liner. A groundwater monitoring plan which provides for quarterly groundwater monitoring of all groundwater wells between the landfill and the water supply intake. The groundwater monitoring plan must also provide for the results of the quarterly monitoring events to be reported to the department within 15 days of the facility owner or operator receiving the results of the laboratory analysis. A groundwater monitoring system which includes a maximum horizontal well spacing for downgradient monitoring wells in accordance with 9 VAC 20-80-300.A.3.f or 250 feet,
3 whichever is less. A list of groundwater protection standards that will be used to determine if statistically significant increases have occurred (i.e., a release may have occurred). Other information that may be deemed necessary by the director of DEQ in consultation with the Commissioner of Health to protect human health and the environment.
- 0 Demonstrations The following information and demonstrations must be provided which address the applicable provisions of §10.1-1408.4 of the Code of Virginia. Information is required in the listed following areas.
- 1 Water Supply and Reservoir Locations Information must be provided on the location of surface water and groundwater public water supply intakes and reservoirs within 3 miles of the facility. All existing surface or groundwater public water supply intakes (surface water or wellhead) or reservoirs (the closer of the mean water level or intake), that have a PWS-ID, within three (3) miles [measured straight-line horizontal on a scale map] of the perimeter of the proposed property boundary for a new sanitary landfill must be identified. The information could be based on:
A review of available maps, logs, and reports. An aerial reconnaissance of an area within a three mile radius of the site, including aerial photo analysis. A ground reconnaissance based on walking portions of the area to verify locations public water supply intakes and reservoirs. The Virginia Department of Health may be contacted to provide all reservoirs used to collect water for a public water supply intake point. All Public Water Supplies that are registered with EPA and the Virginia Department of Health and have a PWS-ID number. These records are maintained at the Virginia Department of Health. A listing of the water supplier's addresses is located at http://www.vdh.state.va.us/dw/ListingWaterworks_Owners_ww.asp. Exact locations of the Public Water Supplies can be obtained from the Director of Technical Services at the Virginia Department of Health.
Determine, from the information obtained for each public water supply intake or reservoir, if the landfill is upgradient or downgradient. If the landfill is upgradient of a public water supply or reservoir and between one and three miles from same, the following additional demonstrations under Sections 2.2-2.4 of this guidance are required. If the proposed sanitary landfill is downgradient of all public water supply intakes and reservoirs and greater than one mile away, no further demonstration is needed.
- 2 Liner Design Requirements All new sanitary landfills with new disposal cells or phases must have two synthetic liners with a leachate collection system above and below the uppermost (primary) liner. The liners could meet the minimum liner design as follows:
4 Base preparation to protect the liner by preventing liner failure through subsidence or structural failure of the liner system. A lower liner consisting of at least a two-foot layer of compacted soil with a hydraulic conductivity of no more than 1x10-7 cm/sec. An upper component consisting of a minimum 30-mil flexible membrane liner (FML). If high-density polyethylene (HDPE) is used as an FML, it shall be at least 60-mil thick. The FML component shall be:
o Installed in direct and uniform contact with the compacted soil liner;
o Placed in accordance with an approved construction quality control/quality assurance program submitted with the design plans; and
o Placed with a minimum of two percent slope for leachate drainage. A witness or monitoring zone placed above the lower liner consisting of a minimum of single geonet layer or a 12-inch thick drainage layer composed of material with a hydraulic conductivity of 1x10-3 cm/sec or greater with a network of perforated pipe for the aggregate option only The witness zone must be monitored in accordance with the permit and the liquid must be managed as leachate. An upper liner consisting of at least a minimum 30-mil flexible membrane liner (FML). If high-density polyethylene (HDPE) is used as an FML, it shall be at least 60-mil thick. A leachate collection system above the upper liner that meets the provisions of 9 VAC 20-80-290. The liner must be placed with a minimum of two- percent slope for leachate drainage.
The liner described above meets the provisions of the legislation and would not require an alternate liner design approval as required in 9 VAC 20-80-780, since the lower composite liner meets the provisions of 9 VAC 20-80-250 B 9 (Subtitle D). Any alternative to the above design would be required to have an alternate line design approval according to the provisions of 9 VAC 20-80-780 and must meet the provisions of the legislation including the requirement for two synthetic liners with a leachate collection system above and below the primary liner.
- 3 Additional Element of the Groundwater Monitoring Plan A groundwater monitoring plan which provides for quarterly groundwater monitoring of all groundwater wells between the landfill and the water supply intake(s) [including the water supply intake(s)] is necessary. The groundwater monitoring plan must also require that the results of the quarterly monitoring events be reported to the department within 15 days of when the facility owner or operator receives the results of the laboratory analysis. The groundwater monitoring plan shall include groundwater protection standards that are to be used for the facility. These groundwater protection standards are required prior to the facility receiving waste and are to be included in the facility permit. Including this information in the facility permit and before the facility receives waste will assist with eliminating future delays caused by GPS being approved by DEQ. If a facility is determined to be causing groundwater contamination, the facility will notify the Director of the Department of Environmental Quality (DEQ) and the Director of Technical Services at the Virginia Department of Health in Richmond within 15 days.
52.4 Other Information Other information that may be deemed necessary by the Director of DEQ in consultation with the Commissioner of Health to protect human health and the environment may be required.
At a minimum, information will be provided on the groundwater time of travel between the landfill and a public water supply intake or reservoir. Time of travel calculations will estimate the time it would take for groundwater discharges from the landfill to reach any existing public water supply intake or reservoir. The following information must be supplied for the time of travel calculations:
The hydraulic conductivity and the gradient between the sanitary landfill and the public water supply or reservoir must be characterized in order to perform the required calculation. o Site-specific environmental investigation of the property based on borings and wells installed across the site should be included. o Available information and field testing data may be utilized, as appropriate. A certified report prepared by a qualified groundwater scientist that describes soils, geology, meteorology and hydrology between the proposed site and the public water supply. o Hydrogeologic maps and field data may be used to determine the permeability of the aquifer; however, the calculation for the time of travel must be based, at least in part, on actual measured values. o A pumping test or slug test must be completed within 1000’ of the public water supply, as defined by this guidance, and within the major geologic formations that exist between the proposed facility and the water supply system. o The depth of the testing must be compatible with the pumping depth of a public water supply system extraction well(s) or the bottom elevation of a reservoir or surface water intake. The gradient between the landfill and the public water supply or reservoir should be calculated by using the landfill base grade elevation and the elevation (MSL) of the public water supply intake or the mean water elevation of the reservoir. In geographic areas where karst development is known or suspected and, based in the geologic formations between the sanitary landfill and the public water supply intake or reservoir, the hydraulic conductivity of karstic aquifers must be considered to be extremely high. The groundwater time of travel calculation shall be modified as noted below to treat any karstic aquifer as being immediately connected to a public water supply intake or reservoir.
The groundwater time of travel must allow adequate time for a release from the new sanitary facility to be detected, confirmed, and the permit amended for groundwater corrective action before the plume of contamination migrates to the public water supply. Also, the time for the completion of groundwater corrective action and the time necessary for the public water supply to react to the release must be considered. An owner/operator of a public water supply system (water works) may wish to provide alternate water supplies, such as moving the intake,
6installation of alternate water supply wells, or water treatment. With consideration of the above discussion, it is believed that the appropriate groundwater time of travel is 25 years.
If the groundwater time of travel between the upgradient landfill and the public water supply intake is 25 years or greater and the distance is between 1 and 3 miles, the facility may be sited with the noted conditions. However, if the time of travel is less than 25 years and the landfill is 3 miles or closer to the public water supply, then the landfill cannot be sited. Where karstic aquifers exist or are suspected to exist, there must be at least 25 years of travel time between the proposed sanitary landfill and the karstic aquifer in order to site a new sanitary facility.
7
Virginia 10-Year Waste Permit Review GuidanceDoc ID: Permitting
VIRGINIA DEPARTMENT OF ENVIRONMENTAL QUALITY
WASTE DIVISION
OFFICE OF WASTE PERMTTING
PERMITTING GUIDANCE FOR TEN YEAR PERMIT REVIEW
The procedures set forth in this document are intended solely for the guidance of solid waste permit writers at the Department of Environmental Quality (Department). They are not intended to, nor do they constitute rulemaking by the Department. They may not be relied upon to create a right or benefit, substantive or procedural, enforceable at law or in equity, by any person. Whether and how the Department applies these procedures in any given case will depend on the facts of the case.
Introduction
The Virginia Waste Management Act and the Solid Waste Management Regulations, state that at least once every ten years, the Director must review and issue written findings on the environmental compliance history of each permittee, material changes, if any, in key personnel, and technical limitations, standards, or regulations on which the original permit was based. The reviews are to be undertaken in accordance with time periods established by regulation of the Virginia Waste Management Board for different categories of permits. The purpose of this guidance is to provide global guidance to the Permit Writers on the 10-year review process and to provide specific detail on how to review a permit as part of 10-year review process.
The reviews must include both an environmental compliance history review and a technical review. The environmental compliance history review consists of a compilation of the past ten years of inspection records. The findings include the number of inspections conducted each year and the number of alleged violations. The requirements for disclosure statements, including changes to key personnel, are among the criteria examined in the environmental compliance history review. The technical review compares the contents of the existing, individual permits to the contents now required for issuance of a permit. Over the years, the permitting standards have been changed by statute and by amendments to the governing regulations in March 1993, and May 2001 and September 2003. The findings of the technical review identify the components, or modules, that are required in current permits but that have not been included in the existing, individual permits.
By statute, if the Director finds repeated material or substantial violations of the permittee or material changes in the permittee's key personnel that would make continued operation of the facility not in the best interest of human health or the environment, the Director shall amend or revoke the permit. Also, the Director may amend the permit to include additional limitations, standards or conditions when the underlying standards have been changed by statute or regulation, or as otherwise provided by law.
The Director will solicit comments on the report and findings from facilities that are subject to the review. Comments from the public will also be accepted.
Any permit amendment will take place in accordance with the Virginia Waste Management Act, the Virginia Solid Waste Management Regulations and the Virginia Administrative Process Act.
The Director retains authority to revoke, amend, or suspend permits in accordance with applicable laws and regulations. The Director also retains authority to address violations of statutory, regulatory, or permit requirements by order or other remedy, including immediate action as necessary, in appropriate circumstances.
- Authority
The Virginia Waste Management Act, at Va. Code ∋ 10.1-1408.1 E., requires the Director of the Department of Environmental Quality (Director and Department, respectively) to review and issue written findings on specific aspects of permitted solid waste management facilities at least once every ten years. The reviews are to be undertaken in accordance with time periods established by regulation of the Virginia Waste Management Board for different categories of permits. The pertinent part of Va. Code ∋ 10.1-1408.1 E. states as follows:
At least once every ten years, the Director shall review and issue written findings on the environmental compliance history of each permittee, material changes, if any, in key personnel and technical limitations, standards, or regulations on which the original permit was based. The time period for review of each category of permits shall be established by Board regulation.
The same section of the Code addresses amendment or revocation of solid waste management permits based on the required review and findings: If, upon such review, the Director finds that repeated material or substantial violations of the permittee or material changes in the permittee's key personnel would make continued operation of the facility not in the best interests of human health or the environment, the Director shall amend or revoke the permit, in accordance herewith. Whenever such review is undertaken, the Director may amend the permit to include additional limitations, standards, or conditions when the technical limitations, standards, or regulations on which the original permit was based have been changed by statute or amended by regulation or when any of the conditions in subsection B of § 10.1-1409 exist. The Director may deny, revoke, or suspend any permit for any of the grounds listed under subsection A of § 10.1-1409.
- Definitions .
Project Coordinator- staff person responsible for coordinating reviews, overseeing the project timeline, compiling the report, distributing the report, and coordinating responses to comments.
2The current Project Coordinator responsibilities are in the Waste Division-Central Office.
Regional staff- includes waste compliance/permit managers (WC/PM), permit writers (PW) and compliance staff.
Central office waste staff- includes waste staff providing technical assistance to regional staff concerning solid waste permitting (Permit Coordinator-PC) and compliance issues.
Final Prioritization and Closure Schedule- refers to the Schedule for closure of disposal areas of a permitted sanitary landfill that have substandard liners and leachate collection. The schedule was issued September 2001. This prioritization includes a schedule for areas that were permitted before October 9, 1993, to cease accepting waste and prepare for final closure.
- Requirements-Permit Manual
Section VII 10 YEAR PERMIT REVIEW
A. 10 YEAR PERMIT REVIEW PROCESSING
- Waste Compliance Managers will receive a draft list of permits to be reviewed each year from the Project Coordinator. Regional staff are to review the list and verify the permits are subject to the ten-year permit review. Permit Writers must identify those permits in the list that are in their region. The Permit Writer will use the permit review Checklist to complete the review in accordance with the guidance provide here.
The Permit Writer needs to be aware that the review is just one component of the report the Agency must produce to satisfy this legislative requirement. The Agency produces is an Annual Report of the permits and facilities reviewed for that year for both permit and compliance conformance to the current (at review time) Virginia Solid Waste Regulations (9 VAC 20-80-10 et seq.). The Annual Report is coordinated and produced by the Project Coordinator. The criteria for permits to be reviewed are as follows: the permit is active or is a valid permit that has not been acted upon by the permittee; the permit issue date is between 9 and 10 years ago (for example, the 2002 review included permits issued between July 1, 1991 and July 1, 1992); and the facility is not operating under PBR status.
- The Project Coordinator will develop an Annual Report Schedule each year. A schedule of due dates for deliverables will be established on an annual basis and will depend on many factors, including the number and types of facilities, and the regional workload.
The following is a example of tasks to be completed to produce the report:
3 • Project coordinator identifies permits to be reviewed
- Revisions to template checklists and worksheets to be completed by permit coordinator and compliance coordinator
- Regional staff verify permits identified are to be reviewed
- Regional staff begin compliance and permit reviews
- Completed permit review checklists and compliance review worksheets due to project coordinator
- Draft report due for internal review
- Final draft for executive management review
- Distribute report to permit holders and post report on website
- Draft Responses to comments
- Finalize Report
- The Permit Review Checklist for landfills was developed from the current permit application review checklist that is in the current Permit Manual. A checklist template has not been developed for all the types (8) of facilities that maybe permitted under the Regulations. The checklist can be duplicated each year. The Permit Coordinator will develop and provide standardized permit review checklists to permit writers for facilities required to be reviewed.
- The Permit Writer will need to have access to supplemental permit information that is available from various sources to perform a permit review. The permit review checklist for a facility will include information pertaining to Part A status, groundwater monitoring, air permitting, legislative requirements, financial assurance and historical permit information as well as the more familiar Part B permit type items. A Permit Writer is directly responsible for reviewing and approving Part B permit applications items. Gathering information on non-Part B items for the 10-year review will be a little more challenging, but with-in the scope of responsibility for all Permit Writers. There is an expectation that Permit Writers have a working knowledge of all aspects of SW permitting included with their direct Part B review knowledge. Gathering permit information for the non-Part B items can be obtained primarily from the CEDS database and from the individual permits. Additional resources are available from the Waste Division-Groundwater Program, the Permit Coordinator, and the Financial Assurance Program.
- The primary task of completing the checklist is to remember that all entries on the checklist must be based on whether that information is in the permit or not in the permit.
Review deficiencies should be identified where the permit has information that does not meet the current standards in the Regulations or the State Law. The Findings/Limitations (F/L) block on the first page of the checklist is reserved to summarize the major deficiencies after the entire checklist has been completed. Any item in the checklist where the permit does not address the current standard in the
4 Regulations for that item and a “no” answer was listed for that item should be summarized in the F/L block. If a permit application has been submitted for this facility and the permit application will address that item, a note should be made in the F/L block. A line-by-line description of the checklist template is not provided. Additionally, a permit application review checklist is very similar in scope and detail to the 10-year review permit checklist and the permit application checklist is described in the current permit manual. This guidance will provide descriptions of the major items of the checklist template.
- The following are descriptions of the major items on the review checklists.
HB 1205 Ranking/Title V-these items refer to Sanitary Landfills only. HB 1205 is for information only and is generally not in the permit. The answers to this item are High, Medium and Low, based on their closure date as assigned in the Final Prioritization and Closure schedule. A list of these facilities can be obtained by clicking here. Title V, of the Clean Air Act, is an air permit requirement for Sanitary Landfills. CEDS-Air Permits should be checked to determine if the Title V permit has been issued. If you are unsure the Air information in CEDS, contact the Air Permit Writer listed in CEDS for that facility. The Air permit requirements are for the largest 35 sanitary landfills in the State. Contact the Regional Air Permit Manager to obtain the status of the Title V permit. There are two acceptable answers to this item. Either yes-the Title V Air permit is required and a copy or reference to the Air permit is in the SW Permit; or no-the status of the Air permit is not identified in the SW permit and the status of the Air requirement is known. If you are unsure of the requirement, contact the Air permit writer.
Part A Approval & Status-A copy of the most recent approval letter and a copy of the approved drawing of the Part A siting issues should be in the permit-answer, yes or no. Enter the date of the approval on the checklist.
Groundwater Monitoring- The current GW monitoring plan is in the permit. The current status of the GW monitoring plan is in CEDS. Answer yes if CEDS is consistent with the GW Plan in the permit or no if the permit is not consistent. The Reviewer should keep in mind that the review standard is; “Does the permit contain the current GW monitoring plan?” CEDS will provide information to determine if a GW amendment was processed for the permit. That specific amendment should be in the current edition of the permit.
Permit Amendments should be listed in CEDS. CEDS can assist the reviewer with obtaining information on amendment requests as well as the status of the amendments. All permits amendments should be listed by date on the checklist. If CEDS has an entry that indicates an amendment has been processed for the facility, but that amendment is not in the permit document, indicate “yes” on the checklist and note that the information came from CEDS and not the permit
5 Financial Assurance-Answer yes if the cost estimate is in the permit and no if it is not. Most estimates should be in the permit. If you are not sure of what estimate should be in the permit you can check with CEDS or OFA. A financial mechanism might be in the permit, answer-yes or no. The reviewer should verify with OFA the current estimate that is approved for the facility.
- After filling out the checklist and checking it, email a copy to the WC/PM for review.
For the first year of this guidance the WC/PM will review and email the draft to the Permit Coordinator for review. The Permit Coordinator will forward any comments to the WC/PM and the comments will be addressed. The checklist will be modified, if required and forwarded to the Project Coordinator. For the second year of this guidance the WC/PM will forward the Checklist directly to the Project Coordinator after he has reviewed it and determined that it is complete. This shall be accomplished within the timeframes set by the Project Coordinator. The Permit Coordinator will be available for questions at anytime during the process. 6
Landfill Gas Regulations and GuidanceDoc ID: Clarification
COMMONWEALTHCOMMONWEALTH OFOF VIRGINIAVIRGINIA DepartmentDepartment ofof EnvironmentalEnvironmental QualityQuality
Subject:Subject: LandLand ProtectionProtection andand RevitalizationRevitalization GuidanceGuidanceMemoMemo No.No. LPR-SW-2017-01LPR-SW-2017-01 ClarificationClarification ofof LandfillLandfill GasGas RegulatoryRegulatory RequirementsRequirements To:To: RegionalRegional DirectorsDirectors ..^. p^ec^^c^ From:From: LeslieLeslie Beckwith,Beckwith, Director,Director, OfficeOffice ofof FinancialFinancial ResponsibilityResponsibility && WasteWaste ProgramsPrograms
Date:Date: SeptemberSeptember5,5, 20172017
Copies:Copies: DeputyDeputy RegionalRegional Directors,Directors, RegionalRegional LandLand ProtectionProtection Managers,Managers, KathrynKathryn Perszyk,Perszyk, PriscillaPriscilla FisherFisher
Summary:Summary: InIn 2015,2015, thethe DEQDEQ assembledassembled anan internalinternal LandfillLandfill GasGas ProcessProcess ImprovementImprovement WorkgroupWorkgroup toto examineexamine landfilllandfill gasgas issuesissues fromfrom ananoveralloverall perspective.perspective. GroupGroup taskstasks includedincluded evaluatingevaluating currentcurrent agencyagency guidance,guidance, regulationsregulations andand practicespractices andand developingdeveloping aa consistentconsistent frameworkframework forfor compliance,compliance, clearclear regulatoryregulatory requirements,requirements, remediationremediation objectivesobjectives andand consistencyconsistency amongstamongst regionalregional offices.offices. TheThe workgroupworkgroup developeddeveloped thisthis guidanceguidance andand revisedrevised thethe existingexisting SubmissionSubmission InstructionInstmction No.No. 1313 andand thethe LandfillLandfill GasGas ExceedancesExceedances FlowchartFlowchart previouslypreviously foundfound inin AttachmentAttachment 10-110-1 ofofthethe SolidSolid WasteWaste InspectionInspection ManualManual (SWIM)(SWIM) accordingly.accordingly. ThisThis guidanceguidance alsoalso replacesreplaces thethe DecemberDecember 22,22, 20102010 memorandummemorandum previouslypreviously providedprovided asas SWIMSWIM attachmentattachment 10-2.10-2.
ElectronicElectronic Copy:Copy: AnAn electronicelectronic copycopy ofofthisthis guidanceguidance isis availableavailable onon thethe VirginiaVirginia RegulatoryRegulatory TownTown HallHall websitewebsite at:at: http://townhall.virginia.gov/L/GDocs.cfm?boardid=lhttp://townhall.virginia.gov/L/GDocs.cfm?boardid=11919
ContactContact Information:Information: PleasePlease contactcontact thethe solidsolid wastewaste permitpermit coordinator,coordinator, KathrynKathryn Perszyk,Perszyk, atat (703)(703) 583-3856583-3856 oror kathrffi.perszyk(%dea.kathryn.perszyk@deq.virginia.govvirsdnia. gov oror thethe solidsolid wastewaste compliancecompliance coordinator,coordinator, PriscillaPriscilla Fisher,Fisher, atat (540)(540) 574-7852574-7852 oror Driscilla.priscilla.fisher@deq.virginia.govfisher(%deq. virgima. gov withwith anyany questionsquestions regardingregarding thethe applicationapplication ofofthisthis guidance.guidance.
Disclaimer:Disclaimer: ThisThis documentdocument isis providedprovided asas guidanceguidance and,and, asas such,such, setssets forthforth standardstandard operatingoperating proceduresprocedures forfor thethe agency.agency. However,However, itit doesdoes notnot mandatemandate anyany particularparticular methodmethod nornor doesdoes itit prohibitprohibit anyany alternativealternative methodmethod forfor thethe analysisanalysis ofof data,data, unlessunless specificallyspecifically requiredrequired byby thethe VSWMR.VSWMR. IfIf alternativealternative proposalsproposals areare made,made, suchsuchproposalsproposals shouldshould bebe reviewedreviewed andand acceptedaccepted oror denieddenied basedbased onon theirtheir technicaltechnical adequacyadequacy andand compliancecompliance withwith appropriateappropriate lawslaws andand regulations.regulations.
GuidanceGuidanceMemoMemo No.No. 2017-012017-01 PagePage11 ofof1616 Clarification of Landfill Gas Regulatory Requirements VIRGINIA DEPARTMENT OF
ENVIRONMENTAL QUALITY
I. Introduction Landfill gas is a natural by-product of the decomposition of organic material in landfills.
Landfill gas is a mixture of methane, carbon dioxide, and small amounts of nitrogen, oxygen, ammonia, sulfides, hydrogen, carbon monoxide, and non-methane organic compounds. The quantity of landfill gas generated and the concentration of each of the gases in the mixture vary depending on site-specific factors such as types of wastes disposed, age of the buried waste, the presence of oxygen in the buried waste, and moisture content and temperature of the landfill.
While air regulations focus on the emissions associated with landfill gas generation, collection, and control, solid waste regulations focus on the migration of landfill gas away from the landfill which may create public health and safety hazards due to the potential for asphyxiation and explosion from the buildup of landfill gas in structures.
Solid waste disposal facilities are required to have landfill gas management plans addressing the control of decomposition gas requirements outlined under 9 VAC 20-81-200 of the Virginia Solid Waste Management Regulations (VSWMR, 9 VAC 20-81). Per the VSWMR requirements, the design of landfill gas monitoring and control systems shall be implemented to prevent migration of landfill gas into structures or beyond the facility boundary and protect the landfill cap. All solid waste disposal facilities shall submit a landfill gas management plan with their permit application unless otherwise exempt per 9 VAC 20-81-130.K.
During routine landfill gas monitoring, if landfill gas is detected at/above the methane compliance level, a facility shall implement a landfill gas remediation plan to address the exceedance per the requirements of 9 VAC 20-81-200.C. Landfill gas remediation plans are initially self-implementing; however, plans shall be submitted to the Department for review and shall be approved and incorporated into the facility’s permit through a minor permit modification.
This guidance was developed to clarify regulatory requirements applicable to facility landfill gas monitoring and remediation as well as improve existing guidance.
II. Background Submission Instructions for Solid Waste Management Facilities, including a submission instruction outlining requirements for Gas Management and Control System Facilities, were initially issued June 1, 1993, and subsequently revised April 23, 2002, and February 1, 2012, to update for statutory and regulatory changes. In addition to Submission Instruction No. 13, now titled “Landfill Gas Management, Remediation, and Odor Plans for Solid Waste Disposal Facilities,” the Department has previously provided guidance on landfill gas requirements in the Solid Waste Inspection Manual (SWIM). The January 3, 2011, version of the SWIM included a flow chart outlining compliance and permitting responses to facility landfill gas exceedances and remediation actions and a memorandum dated December 22, 2010, titled “Selection of
Guidance Memo No. 2017-01 Page 2 of 16Appropriate Enforcement Instrument for Alleged Violations of 9 VAC 20-81-200” in Attachment 10.
In response to concerns from regional solid waste permitting and compliance staff regarding landfill gas issues, the Department assembled an internal Landfill Gas Process Improvement Workgroup in 2015 to examine landfill gas issues from an overall perspective. Group tasks included evaluating current agency guidance (those documents listed above), regulations and practices and developing a consistent framework for compliance, remediation objectives and consistency amongst regional offices. This guidance document was developed by the workgroup, and includes revised Submission Instruction No. 13 and a revised Landfill Gas Exceedances Flowchart (previously SWIM Attachment 10-1) as attachments. This guidance also replaces the December 22, 2010 memorandum previously provided as SWIM Attachment 10-2.
III. Authority This document provides guidance to implement the VSWMR (9 VAC 20-81) related to DEQ solid waste permitting and compliance of landfill gas management activities at solid waste disposal facilities. The authority for promulgation of these regulations and development of this guidance is contained in §10.1-1402 of the Code of Virginia.
IV. Definitions The definitions in § 10.1-1400 of the Code of Virginia and 9 VAC 20-81-10 of the VSWMR apply to the implementation of these procedures. Additional definitions specific to this guidance are provided below.
“Action level exceedance″ means a measurement of methane at or above 25% of its lower explosive limit (LEL, or 1.25% methane) in landfill structures (excluding gas control or recovery system components) or at or above 80% but below 100% of its LEL (or 4 to 4.99% methane) at the facility boundary.
″Barometric pressure″ means the pressure exerted by the earth's atmosphere as measured by a barometer. Barometric pressure should be recorded from an onsite weather station or online source of weather data from a nearby weather station.
″Compliance level exceedance″ means a measurement of methane at or above 25% of its LEL (or 1.25% methane) in landfill structures (excluding gas control or recovery system components) or at or above its LEL (or 5% methane) at the facility boundary.
″Monthly″ means an interval corresponding to approximately 30 days. Facilities monitoring on a monthly frequency should perform one monitoring event during each calendar month. To fit the monthly definition, monitoring should be completed within a window of 23-37 days from the prior event.
″Quarterly″ means an interval corresponding to approximately 90 days. Facilities monitoring on a quarterly frequency should perform one monitoring event during each calendar quarter (Jan. – March, April – June, July – Sept., and Oct. – Dec.) for a minimum of 4 gas monitoring events Guidance Memo No. 2017-01 Page 3 of 16 performed per calendar year. To fit the quarterly definition, monitoring should be completed within a window of 60-120 days from the prior event.
″Weekly″ means an interval corresponding to approximately 7 days. Facilities monitoring on a weekly frequency should perform one monitoring event during each calendar week.
V. Guidance Document A. Landfill Gas Compliance Monitoring Landfill gas monitoring should occur when the potential for landfill gas migration is highest. Landfill gas tends to migrate along the path of least resistance, and moves from high pressure and concentration areas to low pressure and concentration areas.
Migration is also affected by the permeability of the compacted waste, landfill cover material, and surrounding soils, as well as the height of the groundwater table.
Barometric pressure also influences landfill gas migration, and low or falling barometric pressure may allow methane to migrate out of the landfill and into surrounding areas.
Additionally, saturated or frozen soils on the surface of a landfill tend to impede surface migration and therefore increase the likelihood of lateral migration below the surface. However, subsurface migration of landfill gas is difficult to predict. Therefore, a monitoring program should include events that occur during varying weather conditions, including during periods of a falling barometer, prolonged low pressure or prolonged steady barometric pressure events.
In addition, gas monitoring of all facility probes/structures should be conducted on the same day where possible. If the monitoring is conducted over multiple days, the monitoring report should reflect the atmospheric conditions for each day of monitoring.
If a facility fails to perform compliance monitoring within the calendar quarter, the first occurrence is a Severity Level (SL) II alleged violation and staff should prepare and issue a Warning Letter (WL). However, if the quarterly monitoring is performed within the calendar quarter, but completed outside the 60-120 day window since the last monitoring event, the first occurrence is a SL I alleged violation and staff should prepare and issue a Deficiency Letter (DL). In the case of subsequent consecutive missed or late monitoring events, the severity level of the alleged violation (and resulting enforcement mechanism) should be increased in accordance with the matrix in the Solid Waste Inspection Manual.
B. Reporting of Gas Exceedances and Unusual Conditions The regulation (9 VAC 20-81-200.C.1.b.) outlines that in response to an action level exceedance, the facility shall notify the department in writing within five working days and indicate what has been done or is planned to be done to resolve the problem.
In response to a compliance level exceedance OR unusual condition that may endanger human health and the environment, 9 VAC 20-81-200.C.5. specifies that the landfill shall notify the department in accordance with 9 VAC 20-81-530.C.3., which includes 24-hr oral notification with a follow-up written notification within five working days.
Guidance Memo No. 2017-01 Page 4 of 16 The following incidents related to landfill gas should also be reported as unusual conditions in accordance with the 24-hour oral and 5-working day written notification requirements. Compliance level exceedances detected during routine or non-routine maintenance activities; Planned or unplanned shutdowns of active gas control or remediation systems lasting longer than 48 hours; and Other noncompliance or unusual conditions that may endanger health or environment, such as when a system is not operating in a manner to maintain compliance.
A separate notification is required for each action and compliance level exceedance, unless the facility is directed otherwise by DEQ staff for ongoing exceedances. An email will suffice for either/both the 24-hr (oral) and 5-working day (written) notification requirement as long as the email contains the information required by the regulation. A separate 5-day email is needed only if the initial 24-hr notification email does not contain all requirements for the written submittal. Failure to notify the DEQ within 24 hours and five working days is a SL III alleged violation and staff should issue a Notice of Alleged Violation (NOV) with a referral to Enforcement.
Exceeding the compliance level for methane is a SL II alleged violation, and staff should prepare and issue a WL. This alleged violation will be deemed unresolved while the facility develops and implements a landfill gas remediation plan (see Section C) and remain unresolved until methane concentrations are below compliance levels in accordance with the return to compliance monitoring (see Section E). However, if the operator fails to notify the DEQ within the reporting timeliness outlined in 9 VAC 20-81-530.C.3., staff should prepare and send a NOV with a referral to Enforcement for the gas exceedance and the missed notification.
C. Gas Remediation Plan Development and Implementation following Exceedances In accordance with 9 VAC 20-81-200.C., responses to compliance level exceedances also require the implementation of a Landfill Gas Remediation Plan (LFGRP) and submittal of a permit modification request. The plan shall describe the nature and extent of the problem and the proposed remedy. Section III of Submission Instruction No. 13 provides a format and details for the information that should be addressed in the LFGRP. The regulation requires that this plan be implemented within 60 days of the exceedance.
Should the facility desire feedback on the LFGRP prior to implementation, the facility may request a meeting with the regional DEQ staff and/or submit the plan to the regional DEQ office prior to the 60-day implementation deadline. If the facility fails to implement and submit the LFGRP within 60 days, staff should prepare and send a NOV with a referral to Enforcement.
The LFGRP shall include an implementation schedule in accordance with 9 VAC 20-81-200.C.2. The schedule should specify timeframes for implementing the proposed remedial actions, evaluating the effectiveness of such remedial actions, and milestones Guidance Memo No. 2017-01 Page 5 of 16 for proceeding with additional phases of the remediation plan, if necessary. Schedules for facilities that have detected an exceedance along the property boundary where offsite receptors are within 1000 ft of the waste management boundary should be accelerated to address the gas migration and protect public health and safety. The schedule should be provided in tabular form and include monitoring and evaluation periods following installation or implementation of each remedial action or remediation plan phase.
Monitoring and evaluation periods following installation of a remedial action or remediation plan phase should not exceed 60 days or an alternate timeframe as approved by the Department. Alternate monitoring and evaluation periods should be based on the facility’s proximity to sensitive receptors or migration pathways (e.g. occupied structures, utility right-of-ways, etc.), the concentration of methane detected, and type of remediation being implemented. If methane concentrations do not return to compliance or show decreasing trends within the specified timeframe, then the next phase of the remediation plan should be implemented. Proposed remedial actions and implementation schedules should attempt to resolve landfill gas exceedances within 18 months of the initial compliance level exceedance.
While the facility implements the LFGRP, landfill gas concentrations will most likely continue to exceed compliance levels. Provided the facility continues to implement the LFGRP according to the approved timetable, DEQ staff may acknowledge ongoing gas exceedances by providing a general comment under the Decomposition Gas Control items on the compliance inspection report using the following recommended language: “On Month DD, 20YY, the facility exceeded the compliance level for methane at gas monitoring probe(s) [list probe IDs]. An alleged violation was previously issued on Month DD, 20YY and remains unresolved due to the ongoing exceedance(s). The facility submitted a gas remediation plan within 60 days of the initial exceedance and is implementing the plan in accordance with the approved timetable.” The checklist items may be marked as “in compliance,” and staff should send a No Deficiency letter (NDL) with the compliance inspection report.
Failure to implement the LFGRP or implement additional remedial actions as outlined in the LFGRP in accordance with the approved timetable is a SL III alleged violation, and DEQ staff should issue an NOV with a referral to Enforcement. If after 18 months of the initial compliance level exceedance, landfill gas concentrations continue to be above the compliance level due to insufficient remedial actions (such as not implementing the next prescribed phase of the LFGRP), staff should issue an alleged violation and NOV with referral to Enforcement for the continued gas exceedance. Department staff can delay issuance of an NOV based on site-specific considerations (e.g. for facilities that have followed their LFGRP schedule but are awaiting funding approvals or working through an RFP process for remedial action implementation; when advance notice and reasonable explanation is provided in advance of a delay; when landfills do not have offsite receptors within 1000 ft of the waste management boundary in the area of the exceedance; or when landfill gas monitoring results indicate that methane concentrations are consistently Guidance Memo No. 2017-01 Page 6 of 16 decreasing at a rate sufficient to resolve the exceedance without advancing to the next phase of the remediation plan).
A new or revised LFGRP or plan addendum outlining additional remedial actions and an extended schedule is required if the facility works through all remedial actions or remediation plan phases in the approved LFGRP but methane levels continue to be above compliance levels. The revision or addendum should be submitted 60-90 days following implementation of the last remediation plan phase or alternate timeframe as approved by the Department.
D. Gas Monitoring Network Evaluations following Exceedances Section I.D.3. of Submission Instruction No. 13 previously stated, “lateral spacing between adjacent monitoring probes should not exceed 250 feet, unless the applicant shows that such spacing would be unwarranted based on the site-specific factors. The spacing between the probes shall be reduced as necessary to protect persons and structures threatened by decomposition gas migration.”
While reviewing Landfill Gas Management and Remediation Plans and working with facilities after compliance level exceedances, it has been determined that there are facilities whose lateral spacing between probes within the perimeter landfill gas network exceed the 250 feet spacing. Site-specific spacing decisions were likely made following the promulgation of the 1988 Solid Waste Management Regulations for older landfills or during the permitting process that took place for newer landfills following promulgation of EPA’s Subtitle D rules for municipal solid waste landfills in the early 1990s. With offsite development encroaching on landfills, especially those with older landfill gas networks, DEQ is requiring reassessment of the entire perimeter landfill gas network spacing following a compliance level exceedance to identify whether additional perimeter probes are needed. Section I.I.3. of the Submission Instruction has been revised to indicate that in response to a compliance level exceedance, the facility should assess the lateral spacing of the entire perimeter landfill gas network and include the installation of additional perimeter probes/wells to satisfy the spacing requirement as part of the LFGRP and permit modification unless the facility can show that such spacing continues to be unwarranted based on site-specific factors.
Any agreement by DEQ that a larger spacing is sufficient will be based on adjacent property use and distance to on and offsite structures (including underground utility lines, sewers and water mains, and above or below ground structures) in addition to local soil/rock conditions and hydrogeological and hydraulic conditions. Spacing approvals will also be caveated to take into account future potential development on adjacent property (see condition C.4.a. of Attachment 3 for example language). Under no circumstances should bar punches be used in place of constructed landfill gas probes to satisfy the 250 ft spacing requirement.
Guidance Memo No. 2017-01 Page 7 of 16 E. Return to Compliance Gas Monitoring Procedures In order to closely monitor landfill gas migration and determine when methane levels necessitate additional action, landfills should increase the gas monitoring frequency following an action level exceedance when any of the following conditions apply: (1) Where offsite receptors are within 1000 ft of the waste management boundary; (2) Where terrain, such as karst topography, or other conduit may provide pathways for migration of landfill gas that can pose hazards to public health and safety and the environment; or (3) Where facility permits or approved Landfill Gas Management or Remediation Plans outline a schedule for increased monitoring frequency following an action level exceedance.
All other landfills should increase the gas monitoring frequency following a compliance level exceedance.
The increased monitoring frequency need only apply to the portion of the perimeter landfill gas monitoring network to include the exceeding probe(s) and structure(s) and those probes/structures immediately adjacent, such that at least one (1) probe on either side of each exceeding probe/structure is being monitored at the increased frequency.
The increased monitoring frequency should be weekly at landfills in urban areas, those where offsite receptors are within 1000 feet of the waste management boundary in the area of the exceedance, or those where terrain, such as karst topography, or other conduit may provide pathways for migration of landfill gas than can pose hazards to public health and safety and the environment. Monthly monitoring is appropriate for landfills in rural areas or those without offsite receptors within 1000 feet of the waste management boundary in the area of the compliance level exceedance. Any other frequency or condition regarding when increased monitoring frequency should start should be outlined in the facility’s Landfill Gas Management or Remediation Plan and approved by the Department.
In order to return to the required minimum quarterly monitoring schedule, the facility needs to perform weekly monitoring, if required, of the affected probe/structure subset until consecutive weekly readings are below the action level for a month (i.e. four (4) consecutive weeks of data showing methane concentrations below the action level). As discussed in Section V.A. of this guidance, a monitoring program should include events that occur during varying weather conditions, including during periods of falling barometer, prolonged low pressure or prolonged steady barometric pressure. If possible, weekly return to compliance monitoring should be performed under varying conditions.
Once the weekly monitoring condition is satisfied, the facility may transition to monthly monitoring of the probe/structure subset. The facility should perform monthly monitoring of the affected probe/structure subset until consecutive monthly readings are below the action level for a quarter (i.e. three (3) consecutive months of data showing methane concentrations below the action level). Again, if possible, monthly return to compliance monitoring should be performed during varying weather conditions, Guidance Memo No. 2017-01 Page 8 of 16 including periods of falling barometric pressure, prolonged low pressure, or prolonged steady barometric pressure. Once the monthly monitoring condition is satisfied, the facility may return to quarterly monitoring.
The facility should follow the response and reporting requirements outlined in Section V.B. of the guidance when performing increased frequency monitoring to return to compliance.
If monitoring results show methane concentrations are below the action level, required oral and/or written notifications as discussed in Section V.B. are not required for that particular monitoring event. However, once a facility has completed the required minimum number of consecutive monitoring events resulting in gas concentrations below action level to justify returning to a lesser monitoring frequency (i.e. monthly or quarterly) as outlined in Section III.D. of the Submission Instruction, DEQ requests that the facility submit monitoring data for ALL monitoring events since the implementation of the remedial action or remediation plan phase in order to assess progress towards return to compliance. If the return to a lesser monitoring frequency takes longer than six (6) months, monitoring data should be submitted in tabular form with an accompanying graph to clearly document trends in data over time to justify the change in monitoring frequency.
Late or missed return-to-compliance monitoring events should be assessed as indicated in Section V.A.
F. Alternate Gas Source Demonstrations Section D has been added to the existing Section II of Submission Instruction No. 13 (Landfill Gas Demonstration) to address alternate gas source demonstrations. In recent years the Department has received a handful of requests to remove compliance monitoring points from the landfill gas monitoring network based on sampling data showing the landfill is not the source of methane detected. It is important to note that until the demonstration described herein is completed and approved, DEQ’s assumption is that methane detected within facility structures or the gas monitoring network is originating from the landfill. The addition to the Submission Instruction is being made to bring some consistency to such demonstrations that are submitted for Department approval.
At a minimum, alternate gas source demonstrations should include a gas fingerprinting analysis for EPA Method TO-15 organics, siloxanes, and sulfur compounds. Additional or alternate constituents may be appropriate based on types of wastes disposed. Gas samples for fingerprinting should be collected from the exceeding probes as well as from landfill gas sources that can be definitively tied to the landfill (i.e. extraction wells, leachate collection sumps, or other areas as appropriate). Field comparison of the concentrations of methane, carbon dioxide, oxygen, and gas pressure at each of the sampling points is also appropriate for correlation. Additional demonstration procedures may also be requested.
Guidance Memo No. 2017-01 Page 9 of 16 If the demonstration is successful, the facility will need to propose an alternate source of the methane detected. The successful demonstration that the gas is not from the regulated landfill may not alleviate the facility from managing the methane source, as the presence of methane at or above the defined landfill gas compliance level is one of the safety criteria for open dump classification of solid waste disposal facilities under 40 CFR 257.3-8 as incorporated under 9 VAC 20-81-45.B. For example, if the source of methane is determined to be an onsite unregulated (pre-88) landfill unit or from fill material existing or brought onsite as part of landfill operations or property maintenance, the source should be addressed by the facility / property owner. If the source is determined to be from offsite, the property owner of the detected methane source will be responsible for management and remediation as appropriate to protect public health and safety.
G. Guidance Implementation Compliance related changes to policy and procedure outlined in this document and its attachments, including assessment of alleged violations for late or missed compliance or return to compliance monitoring events (see Section V.A. and V.E.), failure to notify (see Section V.B.), and for failure to implement a LFGRP or additional remedial actions (see Section V.C.), will be enforced beginning January 1, 2018.
Landfill Gas Management and Remediation Plans should be updated to address revisions in Submission Instruction No. 13 during the next revision of the respective plan. If a Landfill Gas Management or Remediation Plan is under DEQ review for permit modification as of the date of guidance issuance, the plan should be revised to follow the Submission Instruction prior to DEQ approval and permit modification. Facilities with previously approved plans do not have to submit a plan revision upon guidance issuance only to address the new guidance. However, a new compliance level exceedance that prompts a revision of the Gas Remediation Plan would require updating to conform to the new guidance, including a reassessment of probe spacing at that time.
VI. Collaboration Process A Landfill Gas Workgroup consisting of Regional Land Protection Managers, Solid Waste Permit Writers, Solid Waste Compliance Inspectors, and the Central Office Solid Waste Permitting and Compliance Coordinators was formed in July 2015 to examine landfill gas issues.
The task of the workgroup was to evaluate current agency guidance, regulations, and practices to provide a consistent framework for compliance, clear regulatory requirements, remediation objectives and consistency amongst regional offices. The group began discussions in June 2016, which resulted in the development of this guidance and the attached revised Submission Instruction No. 13, revised Landfill Gas Exceedances Flowchart, and revised landfill gas management system permit conditions.
Other DEQ Central Office and Regional staff were given opportunity to comment during development. Additionally, comments from interested parties were solicited and considered in the final version.
VII. Attachments
- Submission Instruction No. 13: Landfill Gas Management, Remediation, and Odor Guidance Memo No. 2017-01 Page 10 of 16 Plans for Solid Waste Disposal Facilities (revised 08/2017)
Found online here: http://townhall.virginia.gov/L/ViewGDoc.cfm?gdid=2137
- Landfill Gas Exceedances Flowchart (Previously Attachment 10-1 of the Solid Waste Inspection Manual, revised 08/2017)
- Landfill Gas Management and Remediation Applicable Permit Conditions (excerpts from Modules III, IV, and V) Guidance Memo No. 2017-01 Page 11 of 16 Attachment 2. Landfill Gas Exceedances Flowchart 08/2017
>Action Level >Compliance Level GRP Development & Implementation RTC
N Increase N monitoring Quarterly Did LEL frequency if 100% Increase Implement monitoring facility 80% LEL Exceeded Assessment required monitoring GRP w/in 60 w/gas RTC?
Exceeded due to (SL II frequency days Period (200.C.2.) concentrations increased Violation) <80% LEL (200.C.2.) risk
YFacility Notify DEQ w/in 5 working days in writing [200.C.1.b.] Gas Notify DEQ w/in 24 hrs (orally) monitoring w/and 5 working days in writing Assess continuing [200.C.5. and 530.C.3.] spacing RTC for exceedances Take steps to protect public of probes > 3 safety & indicate plan to resolve months
Review and approve GRP Permitting
Did facility Did facility Fail to implement meet meet GRP or comply notification notification w/ GRP requirement? requirement? timetable?
(200.C.2.)
Y N Y N NF NT 1 N Y 1 Respond to SL III SL II SL III SL III notification, Violation Violation for Violation For continuing gas Violation encouraging Send NOV the Gas Send NOV exceedance: send NDL Send NOVCompliance proactive Exceedance measures Send WL Refer to Refer to Use boilerplate Refer to Enforcement Enforcement language in CIR Enforcement Y . . . If after 18 months from the initial exceedance, concentrations continue to be above compliance level due to insufficient remedial actions (e.g. not implementing the next prescribed phase of the LFGRP), staff should issue an alleged violation and NOV w/referral to Enforcement. See Guidance for more info regarding NOV issuances.Attachment 3. Landfill Gas Management and Remediation Applicable Permit Conditions
PERMIT MODULE III/IV/V
SANITARY/CDD/INDUSTRIAL LANDFILL DESIGN
C.
LANDFILL GAS MANAGEMENT SYSTEM
C.1.
The facility shall implement and maintain a gas management plan in accordance with 9 VAC 20-81-200 to provide for the protection of public health, safety, and the environment during the periods of operation, closure, and post-closure care, in accordance with the following requirements: C.1.a.
The concentration of methane gas generated by the facility shall not exceed 25 percent of the lower explosive limit for methane (1.25% methane) in facility structures (excluding gas control or recovery system components); and
C.1.b.
The concentration of methane gas shall not exceed the lower explosive limit for methane (5.0% methane) at the facility boundary.
C.2.
The facility shall perform quarterly landfill gas monitoring of the perimeter gas monitoring network and facility structures in accordance with 9 VAC 20-81-
200.B.4.
C.3.
The facility shall make any necessary repairs to the gas monitoring network (including, but not limited to, dewatering if necessary because probes cannot be routinely monitored or making repairs to the concrete pad, cap, lock, or cover) and gas management and remediation systems prior to the next gas quarterly monitoring event unless an alternate repair timeframe is requested and approved.
C.4.
Perimeter Gas Monitoring Network C.4.a.
The facility shall install and maintain perimeter gas monitoring probes at the locations specified in the [cite drawing, e.g. Landfill Gas Management Plan on Drawing 1]. The current perimeter gas monitoring network consists of a series of [insert #] landfill gas monitoring probes designated [list probes] located [describe location, e.g. along the southern and southwestern property boundaries]. [If spacing exceeds 250ft along any boundary] Additional perimeter gas monitoring probes [describe location, e.g. along northern boundary] shall be added to the network if onsite or offsite property development encroaches within 1000 feet of the waste management boundary along that property boundary.
C.4.b.
If the perimeter gas monitoring network is expanded with the installation of new or replacement gas monitoring wells, the facility shall submit copies of the well boring logs and probe as-builts for inclusion in [state location in LFGMP e.g. Appendix D of the Guidance Memo No. 2017-01 Page 13 of 16 Attachment 3. Landfill Gas Management and Remediation Applicable Permit Conditions Landfill Gas Management Plan] within 30 days following construction completion.
C.4.c.
All existing and future onsite structures shall be monitored in accordance with condition C.2 or have explosive gas monitoring equipment installed.
C.5.
Landfill Gas Control Components The existing and planned gas control system at the landfill consists of the following main elements [describe elements of system as described in LFGMP/LFGRP, example provided below]: C.5.a.
A series of vertical gas extraction wells installed no more than 75% of the waste depth with a minimum of 15 feet of separation from the bottom of the landfill, spaced at approximately 150-foot to 250-foot intervals. The current extraction well network consists of five perimeter extraction wells [PEW-1, PEW-2R, PEW-3, PEW-4R, and PEW-5R], six Ballfield extraction wells [BEW-1 through BEW-6], and a connection of extraction wells installed within the Existing Landfill and Phase I Parts 1 and 2. Future extraction wells are planned for Phase I Parts 3 and 4, and Phases II and III.
C.5.b.
A series of horizontal collectors installed on the landfill to augment gas collection via the vertical extraction wells. Currently the landfill has installed two vent trenches (approximately 1,900 feet and 600 feet long, respectively) to control subsurface gas migration along the southern perimeter of the 4.2 acre parcel, known as the Venable property, acquired by the County in 2000 and along State Route 234.
C.5.c.
A network of header and lateral piping installed to connect the vertical extraction wells and horizontal collectors, and to direct the collected gas to the Energy Recovery Facility (ERF) and the Utility Flare; and
C.5.d.
A condensate control system consisting of self-draining condensate traps located at low points in the piping network and a vessel equipped with a demister pad, drainage port, and manual shutoff valve at the Energy Recovery Facility and Utility Flare.
C.5.e.
An Energy Recovery Facility, Utility Flare, and enclosed ground flare to manage the treated (compressed, cooled, and filtered) gas collected via the active gas collection system. These components are subject to the conditions of the facility’s Title V Operating Permit.
Guidance Memo No. 2017-01 Page 14 of 16 Attachment 3. Landfill Gas Management and Remediation Applicable Permit Conditions
C.6.
Landfill Gas Monitoring Response and Remediation C.6.a.
Should the results of landfill gas monitoring indicate concentrations of methane in excess of the methane action level (4% methane or 80% of the lower explosive limit (LEL) at the facility boundary or
- 25% or 25% LEL in facility structures), the Operator shall: i. Take all immediate steps necessary to protect public health and safety (safety precautions should include evacuation of occupied structures, if affected; notifying local fire/safety officials of potential landfill gas migration; and coordinating for off-site monitoring of structures located within 1,000 feet of the facility boundary); ii. Investigate any active or passive gas control or remediation systems for proper connections and operation and make adjustments to vacuum, flow, or control valves, remove condensate, or make any other adjustments or repairs necessary to ensure proper operation, if applicable; iii. Provide written notification within 5 working days of the methane action level exceedance indicating what has been done or is planned to be done to resolve the problem; and iv. [Include only if increased monitoring frequency applies pursuant to guidance recommendations (Guidance Memo 2017-01 and Submission Instruction No. 13)] Increase the gas monitoring frequency per the requirements of C.6.c.
C.6.b.
Should the results of landfill gas monitoring indicate concentrations of methane in excess of the methane compliance level (5% methane or 100% of the LEL at the facility boundary or 1.25% methane or 25% LEL in facility structures), the Operator shall: i. Perform the response actions outlined under C.6.a.i. and a.ii.; ii. Provide 24-hour oral notification of the methane compliance level exceedance; iii. Provide written notification within 5 working days of the methane compliance level exceedance containing a description of the circumstances and its cause; the period of occurrence, including exact dates and times, and, if the circumstance has not been corrected, the anticipated time it is expected to continue. It shall also contain steps taken or planned to reduce, eliminate, and prevent reoccurrence of the circumstances resulting in an unusual condition or noncompliance; iv. Increase the gas monitoring frequency per the requirements of C.6.c. v. [If a facility already has a LFGRP] Implement the next phase of Guidance Memo No. 2017-01 Page 15 of 16 Attachment 3. Landfill Gas Management and Remediation Applicable Permit Conditions the approved remediation plan within 60 days or implement a revised remediation plan and submit the plan to DEQ for approval; [If a facility does NOT already have a LFGRP] Implement a remediation plan within 60 days and submit the plan to DEQ for approval; and vi. Assess the spacing of the entire perimeter monitoring network.
If the spacing between any probes exceeds 250 foot spacing, the facility shall install additional perimeter probes unless the facility can show that such spacing is unwarranted based on site-specific factors.
C.6.c. [Note: choose monitoring frequency suitable for return to compliance based on guidance recommendations (Guidance Memo 2017-01 and Submission Instruction No. 13)] The facility shall monitor a subset of the perimeter monitoring network consisting of the exceeding probe(s) and structure(s) and those probes/structures immediately adjacent, such that at least one (1) probe on either side of each exceeding probe/structure is being monitored at the increased frequency. i. The increased monitoring frequency shall be weekly/monthly unless an alternate frequency is approved by the Department. ii. Weekly/Monthly monitoring shall continue until four (4) consecutive weekly/three (3) consecutive monthly readings yield methane concentrations below 80% LEL at the facility boundary or 25% LEL in facility structures. At that time, the facility shall implement monthly monitoring of the network subset until three (3) consecutive monthly readings yield methane concentrations below 80% LEL at the facility boundary or 25% LEL in facility structures. At that time, the facility can return to quarterly monitoring. iii. Once the required minimum number of consecutive monitoring events resulting in gas concentrations below action level are completed per C.6.c.ii. to justify returning to a lesser monitoring frequency, the facility shall submit monitoring data for ALL monitoring events since the implementation of the remedial action or remediation plan phase in order to assess progress towards return to compliance. If the return to a lesser monitoring frequency takes longer than six (6) months, monitoring data shall be submitted in tabular form with an accompanying graph to clearly document trends in data over time to justify the change in monitoring frequency.
Guidance Memo No. 2017-01 Page 16 of 16
Sand Blast Grit Waste Management PolicyDoc ID: Discarded
001-1997-20-80
Commonwealth of Virginia Department of Environmental Quality Division of Waste Operations Guidance Document No. 97-2001
SUBJECT:
DISCARDED SAND BLAST GRIT POLICY
DATE: February 14, 1997
I.
INTRODUCTION
This guidance document is intended to clarify the Division of Waste Operation’s position on the permitting requirements for the management of spent and/or discarded sand blast grit.
This policy establishes guidelines to determine what type of solid waste management of sand blast grit needs a solid waste permit. This policy is written with the understanding that it is the responsibility of the generator of the spent or discarded sand blast grit to determine if the material is a hazardous waste according to the Virginia Hazardous Waste Management Regulations VAC 20-60 et seq.). This policy uses terms which are defined in Section III, “Definitions.” Also included in Section V is a product specification for beneficial use.
II.
BACKGROUND
In the Tidewater region of the Commonwealth, there are numerous ship repair and refurbishing facilities associated with the intense marine activities in the Chesapeake Bay and its tributaries. Best Management Practices (BMP) surveys conducted periodically have noted a considerable number of BMP violations related to work performed within the confines of these facilities. Spent abrasive used in the preparation of ship hulls and other surfaces for coating is often left behind after site cleanup, and is stockpiled on the bare ground with no run-on or run-off controls. In some instances, state waters are in contiguous contact with this material.
Stormwater, cooling water, and process water often flow through this material and into state waters.
Debris resulting from the abrasive blasting of ships may consist of any number of things, including, but not limited to, marine organisms (previously attached to the ships’ hulls), spent grit, old paint flakes and chips, and rust particles and flakes. In addition, such debris may also contain other process wastes such as fresh paints, fuel oils, and oily bilge water accidentally spilled within the work area. Studies indicate 1) that high levels of priority pollutants (primarily metals) are associated with spent abrasive on the ground and in the water at these facilities, 2) water in contact with such debris may extract these pollutants, and 3) such extracts are potentially toxic to indigenous marine organisms residing in these waters.
Discarded Sand Blast Grit Policy Division of Waste Operations Guidance document No. 97-2001 Page 2
These facilities should be required to install an impervious surface beneath storage and stockpile areas to collect and contain run-off, and should also be covered when feasible to prevent run-on. The work areas should be required (or at least encouraged) to institute BMPs to protect state waters; however, this document is primarily intended to address the storage and stockpile areas.
III. DEFINITIONS
“Appropriate container” as pertains to spent and/or discarded sand blast grit falls into two categories; long term (i.e., longer than 90 days) and short term (i.e., less than or equal to 90 days):
- for long term storage, means an enclosed building, tank, or impermeable pad with curbs and drains. Containers which are not covered must be capable of collecting and controlling, in addition to the material contained, the water volume resulting from a 24-hour, 25 year storm event.
Also, containers for long term storage must have outlets or drains for proper removal of collected liquids to a sanitary sewer or holding tank for ultimate disposal at an approved publicly-owned treatment works (POTW) or other permitted wastewater treatment facility; and
- for short term storage, means dumpsters or roll off containers which are covered with a tarp, or an enclosed building, or if material is piled on the ground (i.e., a waste pile), a berm around such pile, with the pile covered with a tarp. These containers must be designed to minimize run-on and run-off.
“Beneficial Use” means a use which is demonstrated to be of benefit as a substitute for natural or commercial products and does not contribute to adverse effects on human health or the environment.
“Off-site” means any site that does not meet the definition of on-site as defined herein.
“On-site” means the same or geographically contiguous property which may be divided by public or private right-of-way, provided the entrance and exit of the facility are controlled by the owner or operator of the facility. Non-contiguous properties owned by the same person, but connected by a right-of-way which he controls and to which the public does not have access, is also considered on-site property.
Discarded Sand Blast Grit Policy Division of Waste Operations Guidance document No. 97-2001 Page 3
“Screening” for the purpose of this guidance document means the use of a device (i.e., screen) to separate or sift material based on particle size.
“Spent sandblast grit” (AKA Spent Abrasive) means a granular material, usually of specified grain size, which is used as an abrasive in the preparation of ship hulls and other surfaces for coating. When this material is used, it breaks down into very fine particles, such as dust, and is considered spent. For the purposes of this guidance document, spent sandblast grit is discarded and is considered a solid waste. Once spent, the material is contaminated with debris from the surface blasted and may contain any number of things, including but not limited to, marine organisms, spent grit, old paint flakes and chips and rust particles and flakes. In addition, such debris may also contain other process wastes such as fresh paints, fuel oils, and oily bilge water accidentally spilled within the work area.
Such material is known to contain relatively high concentrations of priority pollutants which may be released to water coming into contact with the material.
IV.
GUIDANCE
A.
SITES THAT ARE CONDITIONALLY EXEMPT FROM PERMITTING
Spent sandblast grit from sandblasting operations that is being generated on a site shall be stored on or in appropriate containers for no more than 90 days. No spent sandblast grit may be brought from off-site. Best management practices for the sandblasting operations shall be implemented so that the spent sandblast material is not discharged to state waters.
A site that beneficially uses or reuses that spent sandblast grit as an ingredient to make a product according to the product specification in Section V is conditionally exempt, provided the spent sand blast grit is stored in appropriate containers prior to beneficial use.
B.
SITES THAT NEED A SOLID WASTE PERMIT PURSUANT TO 9 VAC 20-80-10 et. seq.
Sites that store spent sandblast grit for more than 90 days where sandblasting operations are occurring [site of generation]; or, Discarded Sand Blast Grit Policy Division of Waste Operations Guidance document No. 97-2001 Page 4
A site where spent sandblast grit is being brought on-site and the material is not being used, reused, or the material is speculatively accumulated; or,
A site [on-site or off-site] that screens the spent sand blast grit prior to making a product, or
Any site that reclaims, screens, processes, treats, or stores this material, or is not specifically excluded as defined in § 3.2, VR 672-20-10 (9 VAC 20-80-150) needs a permit.
C.
DISCLAIMER
Notwithstanding the guidance established in subsections A and B of this section, in the event any such facility poses a nuisance, open dump, or threat to human health and the environment, said facility may be required to obtain a solid waste permit for these waste management activities.
V.
PRODUCT SPECIFICATION
PRODUCT SPECIFICATION
FOR
STABILIZED FILL/FLOWABLE FILL/SELECT FILL
AND
COAL SLAY (ASH) FROM SAND BLAST OPERATIONS
The contractor shall submit a mix design for the Project Engineer’s review. The proportion shall be such that the mixture will have a CBR value of 15 when tested in accordance with VTM-8 [Virginia Test Method], or a minimum 1500 psi 28 day compressive strength when tested in accordance with ASTM D 1633-84. The mixture shall be pug-milled unless an equivalent in-place method can be adequately demonstrated.
Stabilized fills containing ash shall not be constructed below elevation of mean high-water or below the seasonal high groundwater elevation. The thickness of flowable fill used for pipe bedding, and which is in contact with groundwater, may not exceed 3 feet in any dimension from the outside circumference of the pipe.
Stabilized ash fills shall be constructed in accordance with Section 303 of the VDOT specifications. The ash mixture shall be placed and compacted within two hours of the introduction of the lime or cement and shall be compacted at optimum Discarded Sand Blast Grit Policy Division of Waste Operations Guidance document No. 97-2001 Page 5
moisture +2 percentage points. The contractor shall conduct moisture tests on an hourly basis and report results to the Project Engineer. If moisture results are consistent, the Project Engineer may reduce the frequency of the tests.
Stabilized ash will not be permitted to be exposed or placed on the top 12 inches of any fill slope greater than 25% unless the top surface of the fill is pavement.
The stabilized ash shall be protected against surface drying by application of moisture, placing of next course or an approved cover material.
APPROVED:
_____[signed]__________
_____[signed]______________ Hassan Vakili, Director
Robert G. Burnley, Director Division of Waste Operations Program Support and Evaluation
Solid Waste Facility Closure and Post-Closure PlanningDoc ID: Submission
SOLID WASTE PERMITTING
SUBMISSION INSTRUCTION NO. 6
CLOSURE AND POST-CLOSURE CARE PLANS FOR SOLID WASTE DISPOSAL and MANAGEMENT FACILITIES
Developed by:
Virginia Department of Environmental Quality Office of Waste Permitting and Compliance 629 East Main Street Richmond, Virginia 23219
Rev. 01/2012Solid Waste Permitting
Submission Instruction No. 6
TABLE OF CONTENTS
I.
CLOSURE PLAN (SOLID WASTE DISPOSAL FACILITIES) ................................................. 5
A. CLOSURE PURPOSE ............................................................................................................................ 5
B. CLOSURE TIMEFRAMES ....................................................................................................................... 5
C. CLOSURE OF SURFACE IMPOUNDMENTS AND LAGOONS ........................................................................... 5
- Removal .................................................................................................................................. 5
- Stabilization ............................................................................................................................ 5
- Decontamination .................................................................................................................... 6
- Final Cover .............................................................................................................................. 6
D. CLOSURE OF LANDFILL UNITS .............................................................................................................. 6
- Final Cover Design .................................................................................................................. 6
- Final Slopes ............................................................................................................................. 7
- Run-off Controls ..................................................................................................................... 7
- Settlement, Subsidence, and Displacement ........................................................................... 7
E. CLOSURE OF STORAGE AND/OR TREATMENT UNITS ................................................................................ 7
F. SCHEDULE FOR CLOSURE .................................................................................................................... 8
G. CLOSURE IMPLEMENTATION ................................................................................................................ 8
- Posting .................................................................................................................................... 8
- Notification ............................................................................................................................. 8
- Certification ............................................................................................................................ 8
H. CLOSURE COST ESTIMATE ................................................................................................................... 9
I.
ATTACHMENTS ............................................................................................................................... 10
- Site Life and Cell/Phase/Area Capacity Calculations. ........................................................... 10
- Closure Design Plans ............................................................................................................ 10
- CQA Plan and Technical Specifications................................................................................. 10
- Universal Soil Loss Demonstration ....................................................................................... 10
- Slope Stability ....................................................................................................................... 11
- Stormwater Calculations ...................................................................................................... 11
- Settlement, Subsidence, and Displacement ......................................................................... 11
- Closure Cost Estimate ........................................................................................................... 11
II.
CLOSURE PLAN (SOLID WASTE MANAGEMENT FACILITIES) ..................................... 12
A. CLOSURE PURPOSE .......................................................................................................................... 12
B. CLOSURE TIMEFRAMES ..................................................................................................................... 12 C. INVENTORY REMOVAL & DISPOSAL .................................................................................................... 12
- Waste Removal .................................................................................................................... 12
- Decontamination .................................................................................................................. 12
- Sampling & Testing Program ............................................................................................... 13
D. CLOSURE IMPLEMENTATION .............................................................................................................. 13
- Posting .................................................................................................................................. 13
- Certification .......................................................................................................................... 13
- Post-Closure Use ................................................................................................................... 13
E. CLOSURE COST ESTIMATE ................................................................................................................. 13
III. POST-CLOSURE CARE PLAN.................................................................................................... 15
A. POST-CLOSURE PERIOD .................................................................................................................... 15
B. POST-CLOSURE CONTACT ................................................................................................................. 15
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Submission Instruction No. 6
C. INSPECTION, MONITORING, AND MAINTENANCE PLAN .......................................................................... 15
- Security Control Devices ....................................................................................................... 15
- Final Cover Integrity ............................................................................................................. 15
- Run-on and Run-off Controls ................................................................................................ 16
- Leachate Collection System .................................................................................................. 16
- Groundwater Monitoring System......................................................................................... 16
- Landfill Gas Monitoring System ........................................................................................... 16
D. POST-CLOSURE USES ....................................................................................................................... 16
E. POST-CLOSURE COST ESTIMATE ........................................................................................................ 17
F. POST-CLOSURE CARE TERMINATION ................................................................................................... 17
G. ATTACHMENTS ............................................................................................................................... 17
- Inspection Checklist .............................................................................................................. 17
- Post-Closure Care Cost Estimate .......................................................................................... 17
IV.
ALTERNATE FINAL COVER DEMONSTRATION ................................................................ 18
A. INFILTRATION LAYER ........................................................................................................................ 18
B. EROSION LAYER .............................................................................................................................. 18
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Page 3 Solid Waste Permitting
Submission Instruction No. 6 LIST OF FIGURES Figure 1 Recommended Language for Survey Plat and Deed Notation ............................... 8
Figure 2 Recommended Language for P.E. Closure Certification for Solid Waste Disposal Facilities................................................................................................................... 8
Figure 3 Recommended language for P.E. Closure Certification for Solid Waste Management Facilities .......................................................................................... 13
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Submission Instruction No. 6
I.
CLOSURE PLAN (SOLID WASTE DISPOSAL FACILITIES) A Closure Plan is required for all solid waste disposal facilities and should be submitted with the Part B Application or Part B Modification Application as Attachment IV to DEQ Form SW PTB. [9 VAC 20-81-160.B., 360.2., 370, 470.A.2. and 480.D.] Format The format used for the Closure Plan should encourage clear analysis and presentation of the proposed landfill closure design. The Closure Plan should start with a title page and table of contents followed by the following sections and discussions. The title page should identify the facility name and permit number, the permit applicant, document date, and document preparer information. In addition, the header or footer of each page should include the facility name, permit number, document title, revision date, and page number.
A. Closure Purpose Provide an introduction that identifies the type of solid waste disposal facility and acreage to be closed under this plan. Describe how implementing the closure plan minimizes the need for post-closure maintenance and controls and/or minimizes surface run-off and the escape of waste decomposition products. [9 VAC 20-81- 160.A.] B. Closure Timeframes Provide the anticipated date when wastes will no longer be received, the date when completion of final closure is anticipated, and intervening milestone dates that will allow tracking of the progress of closure. Discuss when specific portions of the landfill will reach final grades and be closed, referencing the appropriate Design Plans as necessary. Calculations substantiating the site life for each cell/phase/area to be closed should be provided as an attachment to this plan or to the Design Report (PTB Attachment VI). [9 VAC 20-81-160.B.1.a. and 470.A.2.] C. Closure of Surface Impoundments and Lagoons If a surface impoundment or lagoon is used to collect, store, and/or treat leachate generated by the solid waste disposal facility, information regarding the closure and decontamination of the unit shall be discussed here. [9 VAC 20-81-370.A.]
- Removal Describe how liquid wastes, waste residues, contaminated system components (i.e. liners, etc.), and contaminated subsoils will be removed and disposed.
- Stabilization Describe procedures to stabilize remaining waste residues in order to provide a competent bearing surface for the proposed final cover system. Indicate the required bearing strength and provide documentation and calculations as an attachment to this Closure Plan.
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Submission Instruction No. 6
- Decontamination Describe how structures and equipment will be decontaminated.
- Final Cover Describe the final cover system to be installed. The final cover system shall meet the requirements of § 9 VAC 20-81-160.D.2.
D. Closure of Landfill Units
- Final Cover Design Describe the final cover system to be installed, as indicated on DEQ Form SW PTB.
Any additional layers to the pre-approved alternate final cover systems shall be discussed here. If the facility selected the “Additional Alternate” Final Cover Design on DEQ Form SW PTB, the liner layers shall be discussed here, and the demonstration assessing the design’s suitability should be provided in PTB Attachment XVI (see Section V below for additional information). Information on acceptable alternate cover designs can be found in Guidance Memo 03-1993: Clarification of Required Final Cover Designs and Acceptable Alternate Designs.
For facilities proposing multiple cover systems, the following discussions should be provided for each proposed cover design, as applicable.
This section should reference design plans that are provided either as an attachment to this plan (see Attachment 2 below, suitable for stand-alone Closure Plans) or PTB Attachment III (suitable for permits with Design Plans and Report). [9 VAC 20-81-160.D.2. and 470.B.] In addition, the next several sections indicate the appropriate Technical Specifications should be referenced as provided in PTB Attachment VII. If the Closure Plan is being prepared as a stand-alone document (i.e. for a facility that does not have Design Plans or a Design Report as part of its permit), these Technical Specifications and the CQA Plan should be submitted as Attachment 3 to the Closure Plan. a. Infiltration Layer Provide a description of the infiltration layer to be installed. Be sure to address the layer’s height, material, and hydraulic conductivity. Reference the appropriate Technical Specification(s) provided in PTB Attachment VII. [9 VAC 20-81-160.D.2.c.(1), d.(1), and f.(1)] b. Barrier Layer Provide a description of the barrier layer to be installed. Be sure to address the type and thickness of the geomembrane or geosynthetic clay liner and reference the appropriate Technical Specification(s) provided in PTB Attachment VII. [9 VAC 20-81-160.D.2.d.(2) and e.(1)]
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Submission Instruction No. 6 c. Erosion Control / Protective Cover Layer Provide a description of the erosion control/protective cover layer. Be sure to address the layer’s thickness, material, and ability of the layer to protect the infiltration layer from the effects of erosion, frost, and wind. Reference the appropriate Technical Specification(s) provided in PTB Attachment VII. [9 VAC 20-81-160.D.2.c.(2), d.(3), e.(2), and f.(2)] Describe how the calculations have demonstrated that the universal soil loss for the erosion control/protective cover layer is less than 2 tons/acre/year. Discuss the erosion control measures used so minimize soil loss while vegetation is being established. d. Vegetative Support Layer Provide a description of the vegetative support layer, addressing the layer’s thickness, material, and ability to sustain native plant growth. Discuss the proposed cover crop, referencing the appropriate Technical Specification(s) provided in PTB Attachment VII. [9 VAC 20-81-160.D.2.d.(4), e.(3), and f.(2)]
- Final Slopes Provide information that addresses the minimum and maximum slopes for the side slope and flatter, top slope areas. Discuss the design features that protect the final slopes from the effects of runoff and erosion. Reference appropriate calculations demonstrating the stability of the layers of the final cover system under both static and seismic conditions. [9 VAC 20-81-160.D.3.]
- Run-off Controls Provide a description of design, construction, and maintenance controls for the stormwater management system. Reference the Design Plans (PTB Attachment III or Attachment 2 of this plan) and stormwater calculations as appropriate. [9 VAC 20-81-160.B.1.e.]
- Settlement, Subsidence, and Displacement Describe the effects of potential subsidence/settlement on the ability of the final cover to minimize infiltration. Provide an estimate of the maximum amount of settlement of the final cover system that may occur. Additionally, an estimate of the settlement that must occur to result in failure of the final cover system must be provided for each component of the final cover. [9 VAC 20-81-160.D.] E. Closure of Storage and/or Treatment Units If the solid waste disposal facility operates one or more solid waste management facilities under their Solid Waste Permit, information addressing removal of waste materials and unit closure should be discussed here. Information to be provided is addressed below in Section II. [9 VAC 20-81-360.2. and 480.D.]
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Submission Instruction No. 6 F. Schedule for Closure Provide a schedule for completion of closure. If the closure time period is to exceed the time limit specified in the regulations, provide justification for the extension of the period and the description of steps necessary to eliminate any significant threat to human health and the environment from the unclosed but inactive facility. [9 VAC 20- 81-160.C.2.] G. Closure Implementation
- Posting Describe how closing the site will be posted and how customers will be notified.
Discuss the barriers to be erected to restrict access during and after completion of closure activities. [9 VAC 20-81-160.D.5.a.] For facilities that will remain open as a convenience center or that will continue to operate solid waste management units for waste storage and/or treatment, indicate how access to the landfill will be restricted.
- Notification Provide the name of the local land recording authority that will be notified upon the completion of closure and the wording of the notification to appear on the survey plat and deed of the facility. The survey plat shall identify by number all groundwater monitoring well and landfill gas monitoring probe locations. Example language is provided in Figure 1 below. [9 VAC 20-81-160.D.5.b. and c.] Figure 1 Recommended Language for Survey Plat and Deed Notation
This property has been used for the management and disposal of solid waste. Any future use of the site shall not disturb the integrity of the final cover, liners, or any other components of the containment systems, or the function of the monitoring system unless necessary to comply with the Virginia Solid Waste Management Regulations or approved by the Department of Environmental Quality.
- Certification Provide the wording of the certification from a registered professional engineer indicating that the closure has been completed in accordance with the requirements of the regulations and the approved Closure Plan. Example language is provided in Figure 2. Please note that the certification must be submitted with the results of the CQA/QC program. [9 VAC 20-81-160.D.4. and D.5.d.]
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Submission Instruction No. 6 Figure 2 Recommended Language for P.E. Closure Certification for Solid Waste Disposal Facilities
{For partial closure} I certify that partial closure has been completed in accordance with the Closure Plan dated [date on the Closure Plan] for permit number [permit number] issued to [permittee], with the exception of the following discrepancies:
Signature of Professional Engineer Date and Stamp
{For full closure} I certify that closure has been completed in accordance with the Closure Plan dated [date on the Closure Plan] for permit number [permit number] issued to [permittee], with the exception of the following discrepancies:
In addition, a sign(s) was(were) posted on [date of posting] at the landfill entrance notifying all persons of the closing [and state other notification procedures if applicable] and barriers [indicate types] were installed at [location] to prevent new waste from being deposited.
A survey plat prepared by [name and credentials of professional land surveyor or qualified person in accordance with Title 54.1 of the Code of Virginia] was submitted to the [local land recording authority] on [date]. A copy of the survey plat is attached to this certification.
A notation was recorded on the deed to the landfill property on [date]. A copy of the revised deed is attached to this certification.
Signature of Professional Engineer Date and Stamp H. Closure Cost Estimate Provide an estimate for the cost of closing the landfill at the point in the facility’s active life when closure would be the most expensive. At any given time during the facility’s active life, this estimate should cover the cost of closing all acreage for which a Certificate-to-Operate has been granted but the area has not been certified closed.
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Submission Instruction No. 6 The cost estimate shall be based on the costs of hiring a third party to close the facility and may not incorporate any salvage value that may be realized from the sale of wastes, facility structures or equipment, land or other facility assets at the time of partial or final closure. Landfill Cost Estimate Worksheet 1 (CEW-01) provided on the DEQ Website (http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/Forms.aspx) is available for use in determining the facility’s closure cost estimate.
If the solid waste disposal facility maintains areas for the storage and/or treatment of solid wastes, additional funds should be provided for the removal of those materials at the time of closure, as discussed in Section II.E.
See Guidance Memo 04-2011: Financial Assurance for Stockpiles of Materials for Beneficial Use or Other Uses regarding the need for financial assurance to cover stockpiles of materials with beneficial uses. This guidance does not apply to the storage of less than 20 cubic yards of material prior to its removal from the SWMF for beneficial use, recycling, or further recovery. [9 VAC 20-70-90.A. and 111.A.]
I. Attachments
- Site Life and Cell/Phase/Area Capacity Calculations.
Provide calculations substantiating the information provided in Section I.B.
- Closure Design Plans Items related to closure of the landfill as discussed in Section I.D.1. should be included on design plans provided in this attachment or in design plans provided as PTB Attachment III. At a minimum, design plans showing (1) status of the facility at the midpoint of the permit period, (2) facility contours at final closure, and (3) details of cover layers and thicknesses, slopes, and overall dimensions should be provided. If on-site soil is to be used for closure activities, a plan sheet must be provided that indicates location of borrow sources, the quantity of soil available from each borrow source and the soil characteristics. [9 VAC 20-81-
470.B.]
- CQA Plan and Technical Specifications The CQA Plan and Technical Specifications should be provided as PTB Attachment VII; however, in the case of stand-alone Closure Plans, these documents may be submitted as attachments to the Closure Plan. Please see Submission Instruction No. 2: Design Plans and Report for Solid Waste Disposal Facilities for detailed instructions regarding the information to be provided in these documents.
- Universal Soil Loss Demonstration Provide calculations substantiating the information provided in Section I.D.1.c.
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Submission Instruction No. 6
- Slope Stability Provide calculations showing the factors of safety are adequate to prevent (sliding, tearing, or pullout) failure of the cover layers based on the final slopes indicated in Section I.D.2.
- Stormwater Calculations Provide an estimate of peak run-off and volume (based on a 25-year 24-hour storm) and calculations indicating the size of the designed drainage swales, piping, and/or ditches are sufficient to handle this flow. Calculations provided should substantiate information provided in Section I.D.3.
- Settlement, Subsidence, and Displacement Provide calculations addressing the potential cover settlement, subsidence, and displacement, considering immediate settlement, primary consolidation, secondary consolidation, and liquefaction. Include information on potential foundation compression, potential soil liner settlement, and potential waste consolidation resulting from waste dewatering, biological oxidation and decomposition, and chemical conversion of solids to liquids. Calculations presented here should substantiate information provided in Section I.D.4.
- Closure Cost Estimate Provide a copy of the closure cost calculations substantiating the closure cost estimate provided in Section I.H.
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Submission Instruction No. 6
II.
CLOSURE PLAN (SOLID WASTE MANAGEMENT FACILITIES) A Closure Plan is required for all solid waste management facilities. This submission instruction should be used to develop a Closure Plan to be submitted with a Part B Application or Part B Modification Application as Attachment IV to DEQ Form SW PTB for those facilities pursuing a full solid waste permit, or to be maintained in the facilities operating record in accordance with 9 VAC 20-81-410.A.2.e.(2) for those facilities pursuing permit-by-rule status. [9 VAC 20-81-360.2. and 480.D.]
Format The format used for the Closure Plan should encourage clear analysis and presentation of the proposed steps for closing the solid waste management facility. The Closure Plan should start with a title page and table of contents followed by the following applicable sections and discussions. The title page should identify the facility name and permit number, the permit applicant, document date, and document preparer information. In addition, the header or footer of each page should include the facility name, permit number, document title, revision date, and page number.
A. Closure Purpose Provide an introduction that identifies the type of solid waste management facility to be closed and describe how implementing the closure plan minimizes or eliminates the post-closure escape of uncontrolled leachate, surface run-off, or waste decomposition products to the groundwater, surface water, or to the atmosphere. [9 VAC 20-81-360.1.] B. Closure Timeframes Provide the anticipated date when wastes will no longer be received, the date when completion of final closure is anticipated, and intervening milestone dates that will allow tracking of the progress of closure. VSWMR § 9 VAC 20-81-360.3.a. specifies that closure shall occur within six (6) months after receiving the final volume of waste; if the planned closure activities will take longer than this timeframe to complete, the applicant shall provide supporting information here so the Director can make his determination. [9 VAC 20-81-360.2.a., 360.3.a., and 480.D.] C. Inventory Removal & Disposal [9 VAC 20-81-360.1. and 480.D.]
- Waste Removal Describe how stored solid waste and residuals will be removed and disposed.
- Decontamination Describe how the solid waste management facility will be decontaminated, including procedures that will be followed during closure to manage solid waste residues, contaminated system components (i.e. liners), contaminated subsoils, structures, and equipment contaminated with waste or leachate.
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Submission Instruction No. 6
- Sampling & Testing Program Describe the sampling and testing program to be employed to verify decontamination of subsoils and equipment. If it is determined that all contaminated subsoils cannot be practicably removed or decontaminated, the facility shall close the facility and perform post-closure care in accordance with standards established for solid waste disposal facilities (§ 9 VAC 20-81-160 and § 9 VAC 20-80-170, respectively).
D. Closure Implementation
- Posting Describe how closing the site will be posted and how customers will be notified.
Discuss the barriers to be erected to restrict access during and after completion of closure activities. [9 VAC 20-81-360.3.b.]
- Certification Provide the wording of the certification from a registered professional engineer indicating that the closure has been completed in accordance with the requirements of the regulations and the approved Closure Plan. Example language is provided in Figure 3 . [9 VAC 20-81-360.2.e.] Figure 3 Recommended language for P.E. Closure Certification for Solid Waste Management Facilities
I certify that closure has been completed in accordance with the Closure Plan dated [date on the Closure Plan] for permit number [permit number] issued to [permittee], with the exception of the following discrepancies:
In addition, a sign(s) was(were) posted on [date of posting] at the facility entrance notifying all persons of the closing [and state other notification procedures if applicable] and barriers [indicate types] were installed at [location] to prevent new waste from being deposited.
Signature of Professional Engineer Date and Stamp
- Post-Closure Use Specify any proposed alternate uses of the facility once closure has been completed. [9 VAC 20-81-480.D.] E. Closure Cost Estimate All facilities except for those owned and operated by State or Federal Agencies shall demonstrate financial assurance for closure, post-closure, and/or corrective action
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Submission Instruction No. 6 costs in accordance with the Financial Assurance Regulations for Solid Waste Disposal, Transfer, and Treatment Facilities (9 VAC 20-70). [9 VAC 20-81-480.C.] For solid waste management facilities, the amount of financial assurance shall cover the estimated cost to close the facility at the point in the facility's active life when the extent and manner of its operation would make closure the most expensive. The closure cost estimate should include costs associated with removal of solid waste and leachate/wastewater remaining on site at closure; decontamination of equipment, containers, and/or structures; testing to ensure the facility has not contaminated underlying soils and/or groundwater (if contamination of underlying soils or groundwater is anticipated); and any other potential costs associated with closing the facility. These costs and how they are calculated may vary depending on the type and design of the solid waste management facility proposed.
See Guidance Memo 04-2011: Financial Assurance for Stockpiles of Materials for Beneficial Use or Other Uses regarding the need for financial assurance to cover stockpiles of materials with beneficial uses. This guidance does not apply to the storage of less than 20 cubic yards of material prior to its removal from the SWMF for beneficial use, recycling, or further recovery.
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Submission Instruction No. 6 III. POST-CLOSURE CARE PLAN The Post-Closure Care Plan should be submitted with the Part B Application or Part B Modification Application as Attachment V to DEQ Form SW PTB. A Post-Closure Care Plan is only required for those facilities closing with waste remaining in place. [9 VAC 20-81-170.A.2. and 470.A.3.] Format The format used for the Post-Closure Care Plan should encourage clear analysis and presentation of the proposed landfill closure design. The Post-Closure Care Plan should start with a title page and table of contents followed by the following sections and discussions. The title page should identify the facility name and permit number, the permit applicant, document date, and document preparer information. In addition, the header or footer of each page should include the facility name, permit number, document title, revision date, and page number.
A. Post-Closure Period Provide an introduction that identifies the type landfill and the length of the post-closure care period required under § 9 VAC 20-81-170.B.2.
B. Post-Closure Contact Indicate the name, address, and telephone number of the person or office to contact during the post-closure period. [9 VAC 20-81-170.A.2.b.] C. Inspection, Monitoring, and Maintenance Plan Provide a description of the inspection, monitoring, and maintenance activities to take place during the post-closure care period for each of the following:
- Security Control Devices Indicate the frequency of inspections to be performed to ensure the landfill security has not been breached. Identify procedures for repairing and/or replacing security features if found damaged.
- Final Cover Integrity Indicate the frequency of inspections to be performed to assess the condition of the final cover and maintenance activities to be performed to correct for the following conditions: a. Erosion damage; b. Final cover settlement, subsidence, and displacement; c. Bare or dead vegetative cover; and d. Presence of woody-stemmed vegetation.
Also, be sure to indicate how often landfill areas will be reseeded and/or fertilized and mowed. The post-closure cost estimate provided in Section III.E should account for the frequencies stated here.
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Submission Instruction No. 6
- Run-on and Run-off Controls Indicate the frequency of inspections to be performed to assess the condition of stormwater run-on and run-off controls and maintenance activities to be performed to remove sediment and/or vegetation from conveyance and storage structures.
- Leachate Collection System Indicate the frequency of inspections, monitoring, and maintenance activities relating to the leachate collection system. Indicate the disposition of collected leachate, the frequency of discharge or disposal, and the facility’s response to leachate seeps as required under § 9 VAC 20-81-210.
- Groundwater Monitoring System The facility shall maintain a Groundwater Monitoring Plan (GMP) as described in Submission Instruction No. 5, 11, or 12: Groundwater Monitoring and Sampling & Analysis Plans that should address inspection, monitoring, and maintenance of the groundwater monitoring system. This plan should be included as PTB Attachment X with the Part B Application or Part B Modification Application and should be referenced here.
In accordance with § 9 VAC 20-81-370.A.2.b., facilities operating surface impoundments or lagoons shall install a groundwater monitoring system and initiate groundwater monitoring in accordance with the requirements of §9 VAC 20-81-250 upon closure. Facilities that have closed a surface impoundment or lagoon and don’t already have a Groundwater Monitoring Plan in place shall submit a GMP at closure for review and approval.
- Landfill Gas Monitoring System Indicate the frequency of inspections and maintenance activities relating to the landfill gas monitoring system. The monitoring frequency should be established in the facility’s Landfill Gas Management Plan (LFGMP) and/or Landfill Gas Remediation Plan (LFGRP) as described in Submission Instruction No. 13: Landfill Gas Management, Remediation, and Odor Plans for Solid Waste Disposal Facilities, which should be included as PTB Attachment IX with the Part B Application or Part B Modification Application and should be referenced here.
If a LFGMP has not been incorporated into the facility’s permit, information regarding the frequency of landfill gas monitoring as required under § 9 VAC 20-81-200 shall be discussed here. [9 VAC 20-81-170.A.1., 170.A.2.a., and 470.A.3.,] D. Post-Closure Uses Describe the planned uses of the property during and after the post-closure period.
Discuss the measures that will be taken to protect the integrity of the landfill cover
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Submission Instruction No. 6 and other waste management features and to and protect public health and safety based on post closure care use. Provide for the notification of approval by DEQ if the site use changes during the post-closure care period. [9 VAC 20-81-170.A.2.c.] E. Post-Closure Cost Estimate Provide an estimate for the cost of conducting post-closure care in accordance with the Post-Closure Care Plan. The cost estimate shall be based on the costs of hiring a third party to conduct post-closure care over the entire post-closure care period.
Landfill Cost Estimate Worksheet 2 (CEW-02) provided on the DEQ Website (http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/Forms.aspx) is available for use in determining the facility’s post-closure cost estimate. [9 VAC 20-70-90.B. and 112.A.] F. Post-Closure Care Termination Procedures for terminating Post-Closure Care are provided in Waste Guidance Memo 01-2007: Post-Closure Care Termination. The format of the termination request, evaluation, and certification is addressed in Submission Instruction No. 10: Termination of Post-Closure Activity Evaluation. [9 VAC 20-81-170.B.3. and C.] G. Attachments
- Inspection Checklist Provide a copy of the inspection checklist(s) to be used during the post-closure care period to track self-inspections performed in accordance with Section III.C. of this Post-Closure Care Plan.
- Post-Closure Care Cost Estimate Provide a copy of the closure cost calculations substantiating the closure cost estimate provided in Section III.E.
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Submission Instruction No. 6 IV. ALTERNATE FINAL COVER DEMONSTRATION If the solid waste disposal facility selected the “Additional Alternate” Final Cover Design on DEQ Form SW PTB, the liner layers shall be discussed in the Closure Plan (Section I. above), and the demonstration assessing the design’s suitability should be provided in PTB Attachment XVI. Facilities proposing to use an alternate final cover design shall provide a revised Closure Plan and Alternate Final Cover Demonstration at least 180 days prior to the date the facility anticipates beginning closure. [9 VAC 20-81-160.B.4. and 160.D.2.f.] A. Infiltration Layer Provide documentation and calculations indicating the proposed infiltration layer achieves an equivalent reduction in cap infiltration as 18 inches of earthen material that has a hydraulic conductivity less than or equal to the hydraulic conductivity of the landfill unit’s bottom liner or a hydraulic conductivity no greater than 1 x 10-5 cm/sec, whichever is less. [9 VAC 20-81-160.D.2.c.(1) and D.2.f.(1)] B. Erosion Layer Provide documentation and calculations indicating the proposed erosion layer will be a minimum of 24 inches thick and will be capable of maintaining native plant growth and will provide for protection of the infiltration layer from the effects of erosion, frost, and wind. Reference applicable sections of the Closure Plan as necessary. [9 VAC 20-81-160.D.2.f.(2)]
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Landfill Mining Operating Plans Submission GuidelinesDoc ID: Submission
SOLID WASTE PERMITTING
SUBMISSION INSTRUCTION NO. 27
LANDFILL MINING OPERATING PLANS FOR SOLID WASTE DISPOSAL FACILITIES
Developed by:
Virginia Department of Environmental Quality Office of Waste Permitting and Compliance 629 East Main Street Richmond, Virginia 23219
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Submission Instruction No. 27
TABLE OF CONTENTS
I.
OPERATING PLAN .........................................................................................................................3
A. INTRODUCTION ................................................................................................................................. 3
B. SCHEDULE OF ACTIVITIES .................................................................................................................... 3
C. OPERATIONS .................................................................................................................................... 4
D. MANAGEMENT OF EXCAVATED MATERIALS ........................................................................................... 8
II.
DESIGN PLANS ...............................................................................................................................9
A. TITLE SHEET ..................................................................................................................................... 9
B. EXISTING SITE CONDITIONS PLAN SHEET ............................................................................................... 9
C. PHASING PLAN SHEETS ....................................................................................................................... 9
D. FINAL SITE TOPOGRAPHY PLAN SHEET .................................................................................................. 9
E. SITE MONITORING PLAN .................................................................................................................... 9
III. SITE MONITORING PLAN(S) ................................................................................................... 10
A. LEACHATE MANAGEMENT ................................................................................................................ 10
B. LANDFILL GAS MANAGEMENT ........................................................................................................... 10
C. ODOR MANAGEMENT ...................................................................................................................... 10
D. GROUNDWATER MONITORING .......................................................................................................... 11
E. STORM WATER DISCHARGE MONITORING .......................................................................................... 11
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Submission Instruction No. 27
I.
OPERATING PLAN The Operating Plan shall address the requirements of 9 VAC 20-81-385.B. and include supplemental discussions and design calculations to facilitate department review of the proposed landfill mining activity. The sections below have been written to facilitate preparation of an Operating Plan that addresses these requirements.
In accordance with 9 VAC 20-81-485.A., landfills shall have an operations manual that contains (1) an operations plan outlining daily landfill operation instructions; (2) an inspection plan that provides a schedule for inspecting all major aspects of facility operations; (3) a health and safety plan that addresses the requirements of 29 CFR 1910; (4) an unauthorized waste control plan; (5) an emergency contingency plan; and (6) a landscaping plan. Solid waste disposal facilities are required to maintain these plans in the facility’s operating record, update them as necessary, and certify annually that the plans address current operations and regulatory requirements
The landfill operations manual, which is separate from the landfill mining operating plan discussed below, is to be maintained in the facility’s operating record and updated to account for changes in facility operations and/or the VSWMR. The facility shall develop a plan or review its current inspection plan and update the plan to account for self-inspections that should be performed to ensure the landfill mining operation is in compliance with all requirements of Part III of the VSWMR (9 VAC 20-81-100 et seq.). At a minimum, the self-inspection program shall address inspections of the facility features identified in 9 VAC 20-81-140.A.16.
Format The format used for the Operating Plan should encourage clear analysis and presentation of the proposed landfill mining operation. The Operating Plan should start with a title page and table of contents followed by the following sections and discussions, which may already exist in the active landfill’s Operations Manual, but should be repeated here. The title page should identify the facility name and permit number, the permit applicant, document date, and document preparer information. In addition, the header or footer of each page should include the facility name, permit number, document title, revision date, and page number.
A. Introduction Provide a brief history outlining the landfill’s development timeline, landfill’s capacity, and types of wastes accepted.
Provide a description of the scope of the proposed landfill mining activity, to include anticipated materials to be recovered, expected quantities, and proposed final use of the recovered air space.
B. Schedule of Activities Provide an estimate for the duration of mining activities and benchmarks for certain phases of the mining activities to be completed. Indicate when mining will occur, i.e. what months of the year or if mining will take place year round. Indicate hours of operation for the mining activity.
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Submission Instruction No. 27 C. Operations
- General a. Personnel Provide a list of estimated staffing needs to be used during the landfill mining operations. The list should indicate the staff’s title and general responsibilities.
b. Equipment Provide a list of estimated equipment needs to carry out this plan. The list should identify the type, number, and function of each piece of equipment.
- Procedures that will be employed to initiate mining activities Describe procedures to be followed prior to initiating mining activities. These procedures should include, but are not limited to, installation of erosion and sediment control features; creation and/or maintenance of access roads and material and equipment storage areas; acquisition and staging of appropriate equipment; facility monitoring and self-inspections; and any other applicable procedures.
- Phased description of opened areas Using the Design Plans (see Section II) as a reference, provide a phased description of how landfill mining will proceed. Indicate how specified equipment will be used, anticipated mining sequencing, and locations and phasing of waste management activities to be performed in conjunction with waste excavation.
- Procedures to meet landfill operational performance standards a. Types of Wastes Indicate the types of wastes to be managed during the landfill mining activity.
Indicate how wastes will be staged and procedures for handling unauthorized waste discovered during excavation, referencing the facility’s Control Plan for Unauthorized Waste developed in accordance with 9 VAC 20-81-100.E.
b. Fire Control Provide a description of fire protection equipment available at the site, indicating the equipment’s location, physical description, and capabilities.
Indicate the procedures that will be followed by facility personnel in response to observed subsurface fire indicators (such as substantial settlement over a short period of time, smoke, carbon monoxide emissions, or high landfill temperatures) and equipment fires in the excavation area. This section should also outline the facility’s evacuation procedure including signals, personnel assembly areas, etc., and at what point emergency response personnel will be summoned.
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Submission Instruction No. 27 c. Monitoring for Gaseous Emissions Indicate any monitoring to be performed and monitoring frequencies for methane, hydrogen sulfide, or other site-specific emissions to be conducted at the excavation area. During landfill mining activities, the facility shall maintain its perimeter landfill gas monitoring system and perform monitoring in accordance with a separate Landfill Gas Management Plan (see Section III.B.).
d. Stormwater Control Indicate run-on and run-off control systems to be installed, maintained, and modified during the course of the landfill mining activity in order to prevent stormwater flow to the active excavation area and facilitate run-off without causing pollutant discharge in accordance with 9 VAC 20-81-130.H. If a separate stormwater plan has been developed pursuant to a Virginia Pollutant Discharge Elimination System (VPDES) permit, provide a reference to the current plan.
Indicate procedures for dealing with perched leachate conditions encountered during landfill mining activities to prevent pollutant discharge.
e. Dust, Odor, and Vector Control Describe procedures to be employed to manage dust, odor, and vector control.
If a separate Odor Management Plan has been developed, be sure to reference the plan.
f. Litter Control Describe procedures to be employed to contain litter and blowing paper to landfill mining and waste processing areas. Indicate routines for litter collection to meet the performance standard of 9 VAC 20-81-140.A.9.
g. Noise Control Indicate noise control procedures. In accordance with 9 VAC 20-81-130.E., noise attenuation shall be less than 80 dBA at the facility boundary.
h. Excavation and Cover i. Excavation This section should address the depth of daily excavation in contrast to addressing height of lifts placed for compaction of incoming waste.
Excavation should be performed in a manner that does not create steep slopes (in excess of final permitted grades or 33%). Steeper slopes may be allowed if slope stability calculations demonstrate a steeper slope will be stable. The calculations shall take into consideration the type and age of waste and its shear strength and related properties; expected leachate levels; potential rainfall impacts; and any impacts due to equipment loading. Slopes shall not exceed those allowed under OSHA’s regulations regarding excavations (29 CFR 1926 Subpart P).
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Submission Instruction No. 27 ii. Daily, Progressive, and Periodic Cover Indicate situations that would require daily cover and materials to be used. Landfill mining of sanitary landfills requires placement of daily cover or alternate daily cover in accordance with 9 VAC 20-81-140.B.1.c.
However, there may be situations that require placement of daily cover at mining operations located at CDD and Industrial Landfills, i.e. to control odors, which should be specified here.
Placement of weekly progressive cover (9 VAC 20-81-140.C.1.b.) and periodic cover (9 VAC 20-81-140.D.1.c.) is required for landfill mining at CDD Landfills and Industrial Landfills, respectively. Indicate situations that would require progressive and periodic cover and materials to be used.
iii. Intermediate Cover If mining activities are to be suspended for 30 days or more as indicated in the schedule of activities provided in Section I.B., intermediate cover shall be provided and vegetation established as necessary. Indicate situations and procedures for applying intermediate cover.
iv. Final Cover When landfill mining activities have reached anticipated final elevations, the landfill must be closed with a final cap in accordance with 9 VAC 20-81-160. Indicate when final cover is to be installed and reference a separate Closure Plan which provides details on the closure cap to be installed. Liner and leachate collection system designs for future landfill expansions should be addressed in a Design Report (see Submission Instruction No. 2) separate from this plan.
This section is not applicable if the goal of landfill mining is to remove the landfill and obtain clean closure status from the Department.
- Prevention of releases to Groundwater and Subsurface Environment This section shall address the requirements of 9 VAC 20-81-395.C.2. and address the prevention of releases that may have adverse effects on human health or the environment due to migration of waste constituents in the groundwater or subsurface environment. The discussion should address the potential for releases and impacts considering the following: The potential for waste constituents to migrate through soil, liners, or other containing structures; The existing quality of groundwater, including other sources of contamination and their cumulative impact on the groundwater; The quantity and direction of groundwater flow; The proximity to and withdrawal rates of current and potential groundwater uses; and
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Submission Instruction No. 27 The potential for deposition or migration of waste constituents into subsurface physical structures, and into the root zone of food-chain crops and other vegetation.
Measures currently in place or to be implemented to prevent releases of waste constituents to groundwater and the subsurface environment should be discussed here.
- Prevention of releases to Surface Water, Wetlands, or Soil Surface This section shall address the requirements of 9 VAC 20-81-395.C.3. and address the prevention of releases that may have adverse effects on human health or the environment due to migration of waste constituents in surface water, wetlands, or the soil surface. The discussion should address the potential for releases and impacts considering the following: The effectiveness and reliability of containing, confining, and collecting systems and structures in preventing migration; The quantity, quality, and direction of groundwater flow; The proximity of the unit to surface waters; The current and potential uses of nearby surface waters and any water quality standards established for those surface waters; and The existing quality of surface waters and surface soils, including other sources of contamination and their cumulative impact on surface waters and surface soils.
Measures currently in place or to be implemented to prevent releases of waste constituents to surface water, wetlands, or surface soils should be discussed here.
- Prevention of releases to Air This section shall address the requirements of 9 VAC 20-81-395.C.4. and address the prevention of releases that may have adverse effects on human health or the environment due to migration of waste constituents in the air. The discussion should address the potential for releases and impacts considering the following: The potential for the emission and dispersal of gases; aerosols, and particles; The effectiveness and reliability of systems and structures to reduce or prevent emissions of waste constituents to the air; The operating characteristics of the unit; and The existing quality of the air, including other sources of contamination and their cumulative impact on the air.
Measures currently in place or to be implemented to prevent releases of waste constituents to the air should be discussed here.
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Submission Instruction No. 27 D. Management of Excavated Materials Provide a thorough discussion of how materials will be handled once excavated. If multiple waste handling areas will be used, provide a flow chart indicating how excavated material will be managed. Describe any on-site sorting procedures, equipment to be used, location of sorting and stockpile areas, etc.
- Disposition of recovered materials Indicate the disposition of sorted recoverable materials (i.e. sent off site for recycling, further processing, etc.) and provide estimated volumes of each type of recoverable material. If mechanical screeners are to be used to sort excavated wastes, indicate the disposition of each size faction and anticipated material makeup.
- Soils Management Plan If the facility anticipates beneficially reusing soils (which may contain residual waste material) recovered from the landfill mining activities, a soils management plan addressing soil sampling, storage and handling of excavated soil, and beneficial use(s) should be included. The plan needs to indicate where soils will be stockpiled, to include untested soils, sampled acceptable soils, and soils exhibiting levels of contamination above set limits, and measures to ensure that only appropriate soils are stockpiled in the designated areas. The plan should also indicate measures that will be taken to control stormwater run off and erosion of stockpiles to ensure that no migration of any potentially hazardous material off the property occurs.
Beneficial use of soils in landfill applications such as alternate daily or intermediate cover may be allowed after a demonstration period. Soil reuse shall be on internal slopes only where run-off can be collected as leachate.
- Disposition of unusable materials Identify the materials to be excavated that are considered unusable and indicate how these materials will be handled. Indicate waste determination procedures (to include material testing and/or generator knowledge) to be used to ensure unusable materials are non-hazardous. Based on the determination, indicate final disposition of unusable materials, which may include, being returned to the active mining area for disposal, disposal in a separate disposal unit, or sent off-site for further processing and/or disposal. If unusuable materials are to be returned to the active mining area, indicate location and timeframes associated with material storage prior to disposal in the landfill.
If unauthorized wastes are encountered, provide details of how they will be managed. If a separate Unauthorized Waste Control Plan is available, reference the existing plan.
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Submission Instruction No. 27
II.
DESIGN PLANS Submit the following design plans on 11” x 17” paper. A full-size set of Design Plans should also be provided in rolls and/or in pockets for review. The Design Plans shall be prepared and certified by a professional engineer registered to practice in the Commonwealth. [9 VAC 20-81-470.A.1.] A. Title Sheet The Title Sheet shall state the project title, preparer of the plans, the person/organization for whom the plans were prepared, a table of contents, and a location map showing the location of the site and area to be served. [9 VAC 20-81-470.A.1.a.] B. Existing Site Conditions Plan Sheet Show conditions existing at the site prior to initiating landfill mining activities. Be sure to identify the proposed landfill mining unit boundary. As defined in guidance memo LPR-SW-2013-02, the "Landfill mining unit boundary" or "LFMUB" means the vertical plane located at the edge of the landfill mining activity. The LFMUB must encompass all excavation, waste storage and salvaging operations and be positioned within or coincident to the waste management boundary. [9VAC20-81-470.A.1.b.] C. Phasing Plan Sheets Provide a series of plan sheets showing the progression of landfill mining through time; a separate plan shall be provided for each major phase or new area where substantial landfill mining will be performed. At least one phasing plan sheet shall be provided to correspond with the midpoint of the landfill mining operation. [9 VAC 20-81-470.A.1.f. and A.2.] D. Final Site Topography Plan Sheet Show final site topography indicating the appearance of the site and final contours of the site at the end of landfill mining, including any detail drawings necessary to prepare the site for long-term care. [9 VAC 20-81-470.A.1.e.] E. Site Monitoring Plan Provide a site monitoring plan showing current and proposed locations of the following: Devices for the monitoring of leachate production and detection; Groundwater quality monitoring wells; Landfill gas probes and vents; Odor monitoring stations, if applicable; and Stormwater outfalls. [9 VAC 20-81-470.A.1.g.]
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Submission Instruction No. 27 III. SITE MONITORING PLAN(S) If landfill mining is to occur at an active landfill or landfill currently undergoing postclosure care, then the facility’s permit should already contain approved site monitoring plans for the management of leachate, landfill gas, and groundwater. If necessary, these plans should be modified to incorporate the details provided below specific to landfill mining.
If landfill mining is to occur at a pre-88 landfill or closed landfill released from postclosure care requirements, site monitoring plan(s) should be developed to address the following requirements as outlined in Part III (9 VAC 20-81-100 et seq.) of the VSWMR.
A. Leachate Management Landfill mining activities, especially activities at closed landfills, will subject opened landfill areas to additional precipitation. Landfills originally designed with liners and leachate collection systems should have functioning leachate collection and detection systems (if applicable) in order to handle the precipitation that collects. It is especially important that landfills without liners and leachate collection systems implement operational measures to reduce the volume of precipitation that collects within the excavation area. This section of the site monitoring plan should supplement operating procedures to ensure run-on/run-off control and address the applicable sections of Submission Instruction No. 7 for leachate management plans.
In addition, operators excavating wastes from landfills units have the potential to encounter perched leachate conditions and create leachate seeps. Any leachate encountered shall be managed to prevent discharge of pollutants to surface waters, waters of the United States, and wetlands. The operating plan (Section I.C.6.) shall address procedures for managing perched leachate in addition to leachate seeps as required by 9 VAC 20-81-210.F.
B. Landfill Gas Management If organic waste materials were previously placed in the landfill, landfill mining activities can result in releases of landfill gas either at the active mining area or cause subsurface movement. This section of the site monitoring plan should address the applicable items identified in Submission Instruction No. 13 for landfill gas management plans. In addition to monitoring landfill gas at the facility boundary, procedures to be followed to monitor levels of landfill gas at the active mining area should also be provided for purposes of worker safety.
C. Odor Management In accordance with 9 VAC 20-81-200.D. odor management plans shall be developed in response to an odor nuisance or hazard created under normal operating conditions and upon notification from the department. Except in the case of certain industrial landfills and possible CDD landfills, landfill mining activities are likely to release odorous compounds that may cause a nuisance or hazard. For this reason, applications for landfill mining should preemptively include an odor management plan outlining procedures to be followed in response to identified odor nuisances or
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Submission Instruction No. 27 hazards. Submission Instruction No. 13 has a section devoted to odor management plans and can be used to develop a plan specific to the proposed landfill mining activities.
D. Groundwater Monitoring All landfills shall have a Groundwater Monitoring Plan in accordance with 9 VAC 20-81-250. In some cases, Corrective Action Plans may also be required in accordance with 9 VAC 20-81-260. If the facility is not currently subject to groundwater monitoring requirements (either because the landfill was closed prior to December 21, 1988, or because the landfill was released from postclosure care requirements), then the landfill mining application should include a Groundwater Monitoring Plan to address monitoring for impacts resulting from the landfill mining activity. Submission Instruction Nos. 5, 11, and 12 are provided to assist with development of a Groundwater Monitoring Plan (select appropriate submission instruction based on type of landfill – new landfill, existing CDD or industrial landfill, or existing sanitary landfill, respectively).
If the facility already has an approved Groundwater Monitoring Plan and Corrective Action Plan, if applicable, then it is likely that the current plan(s) are sufficient.
Facilities should review current plans and make any changes deemed necessary to account for the proposed landfill mining activity.
E. Storm Water Discharge Monitoring Landfills that have point-source stormwater discharge(s) are typically covered under a Virginia Pollutant and Discharge Elimination System (VPDES) Permit, which requires the facility to maintain a Stormwater Pollution Prevention Plan (SWPPP) in addition to setting monitoring, limits, and reporting requirements applicable to stormwater discharges. The facility should work with the Regional VPDES permit writer and/or compliance inspector to determine if modifications to the VPDES permit and/or SWPPP are necessary as part of the solid waste permit modification.
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Solid Waste Facility Design Submission GuidelinesDoc ID: Submission
SOLID WASTE PERMITTING
SUBMISSION INSTRUCTION NO. 4
DESIGN PLANS AND REPORT FOR OTHER SOLID WASTE MANAGEMENT FACILITIES
(COMPOST FACILITIES, SOLID WASTE TRANSFER STATIONS, CENTRALIZED WASTE
TREATMENT FACILITIES, MATERIALS RECOVERY FACILITIES, AND WASTE PILES)
Developed by:
Virginia Department of Environmental Quality Office of Waste Permitting and Compliance 629 East Main Street Richmond, Virginia 23219
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Submission Instruction No. 4
TABLE OF CONTENTS
I.
DESIGN PLANS............................................................................................................................... 5
A. TITLE SHEET ..................................................................................................................................... 5
B. EXISTING SITE CONDITIONS PLAN SHEET ............................................................................................... 5
C. ENGINEERING MODIFICATION PLAN SHEET ............................................................................................ 5
D. PHASING PLAN SHEETS ....................................................................................................................... 5
E. DESIGN DRAWING PLAN SHEET(S) ....................................................................................................... 6
F. DETAIL DRAWING PLAN SHEET(S) ........................................................................................................ 6
II.
DESIGN REPORT FOR COMPOST FACILITIES ...................................................................... 7
A. INTRODUCTION ................................................................................................................................. 7
B. SITE ACCESS ..................................................................................................................................... 7
- Security ................................................................................................................................... 7
- Roads ...................................................................................................................................... 7
- Queuing .................................................................................................................................. 7
- Aesthetics ............................................................................................................................... 7
C. FACILITY DESIGN ............................................................................................................................... 8
- Site Activities .......................................................................................................................... 8
- Surface of Handling Areas ...................................................................................................... 8
- Covered Areas and Containment ........................................................................................... 8
- Engineering Controls .............................................................................................................. 8
- Equipment .............................................................................................................................. 8
- Utilities ................................................................................................................................... 8
D. LIQUIDS MANAGEMENT ..................................................................................................................... 9
- Stormwater ............................................................................................................................ 9
- Wastewater Disposal ............................................................................................................. 9
E. APPENDICES ..................................................................................................................................... 9
- Calculations ............................................................................................................................ 9
- Material Specifications ........................................................................................................... 9
- Operating Agreements ........................................................................................................... 9
- Leachate Treatment Agreement(s) ........................................................................................ 9
- Documentation of Long-Term Funding .................................................................................. 9
- Copies of DEQ issued Permits (Air, VPDES, etc.) ..................................................................... 9
III. DESIGN REPORT FOR TRANSFER STATIONS .................................................................... 10
A. INTRODUCTION ............................................................................................................................... 10
B. SITE ACCESS ................................................................................................................................... 10
- Security ................................................................................................................................. 10
- Roads .................................................................................................................................... 10
- Queuing ................................................................................................................................ 10
C. FACILITY DESIGN ............................................................................................................................. 10
- Site Activities ........................................................................................................................ 11
- Surface of Handling Areas .................................................................................................... 11
- Safety.................................................................................................................................... 11
- Utilities ................................................................................................................................. 11
- Design Features .................................................................................................................... 11
- Household Hazardous Waste ............................................................................................... 11
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Submission Instruction No. 4
D. LIQUIDS MANAGEMENT ................................................................................................................... 11
- Stormwater .......................................................................................................................... 11
- Wastewater Collection and Disposal ................................................................................... 11
E. APPENDICES ................................................................................................................................... 12
- Calculations .......................................................................................................................... 12
- Material Specifications ......................................................................................................... 12
- Operating Agreements ......................................................................................................... 12
- Leachate Treatment Agreement(s) ...................................................................................... 12
- Documentation of Long-Term Funding ................................................................................ 12
- Copies of DEQ issued Permits (Air, VPDES, etc.) ................................................................... 12
IV.
DESIGN REPORT FOR CENTRALIZED WASTE TREATMENT FACILITIES ................. 13
A. INTRODUCTION ............................................................................................................................... 13
B. SITE ACCESS ................................................................................................................................... 13
- Security ................................................................................................................................. 13
- Roads .................................................................................................................................... 13
- Queuing ................................................................................................................................ 13
C. FACILITY DESIGN ............................................................................................................................. 13
- Site Activities ........................................................................................................................ 14
- Tanks .................................................................................................................................... 14
- Utilities ................................................................................................................................. 14
- Design Features .................................................................................................................... 14
D. LIQUIDS MANAGEMENT ................................................................................................................... 14
- Stormwater .......................................................................................................................... 14
- Wastewater Collection and Disposal ................................................................................... 14
E. APPENDICES ................................................................................................................................... 14
- Calculations. ......................................................................................................................... 14
- Material Specifications ......................................................................................................... 15
- Operating Agreements ......................................................................................................... 15
- Leachate Treatment Agreement(s) ...................................................................................... 15
- Documentation of Long-Term Funding ................................................................................ 15
- Copies of DEQ issued Permits (Air, VPDES, etc.) ................................................................... 15
V.
DESIGN REPORT FOR MATERIALS RECOVERY FACILITIES ......................................... 16
A. INTRODUCTION ............................................................................................................................... 16
B. SITE ACCESS ................................................................................................................................... 16
- Security ................................................................................................................................. 16
- Roads .................................................................................................................................... 16
- Queuing ................................................................................................................................ 16
C. FACILITY DESIGN ............................................................................................................................. 16
- Surface of Handling Areas .................................................................................................... 17
- Safety.................................................................................................................................... 17
- Utilities ................................................................................................................................. 17
- Design Features .................................................................................................................... 17
- Bioremediation Facilities ...................................................................................................... 17
D. DESIGN DESCRIPTION MANUAL ......................................................................................................... 17
- Process Capacity ................................................................................................................... 17
- Use, Reuse, and Reclamation ............................................................................................... 18
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Submission Instruction No. 4
- Disposal of Residues ............................................................................................................. 18
- Plan Views ............................................................................................................................ 18
- Interior Floor Plans ............................................................................................................... 18
E. LIQUIDS MANAGEMENT ................................................................................................................... 18
- Stormwater .......................................................................................................................... 18
- Wastewater Collection and Disposal ................................................................................... 18
F. APPENDICES ................................................................................................................................... 19
- Calculations .......................................................................................................................... 19
- Material Specifications ......................................................................................................... 19
- Operating Agreements ......................................................................................................... 19
- Leachate Treatment Agreement(s) ...................................................................................... 19
- Documentation of Long-Term Funding ................................................................................ 19
- Copies of DEQ issued Permits (Air, VPDES, etc.) ................................................................... 19
VI.
DESIGN REPORT FOR WASTE PILE(S) ................................................................................ 20
A. INTRODUCTION ............................................................................................................................... 20
B. SITE ACCESS ................................................................................................................................... 20
- Security ................................................................................................................................. 20
- Roads .................................................................................................................................... 20
- Aesthetics ............................................................................................................................. 20
C. FACILITY DESIGN ............................................................................................................................. 20
- Location of Waste Piles ........................................................................................................ 21
- Surface of Storage and Treatment Units .............................................................................. 22
- Areas for Segregated Wastes ............................................................................................... 22
- Design Features .................................................................................................................... 22
D. LIQUIDS MANAGEMENT ................................................................................................................... 22
- Run-on Control System ......................................................................................................... 22
- Run-off Management System .............................................................................................. 22
- Leachate Collection and Disposal ......................................................................................... 22
E. APPENDICES ................................................................................................................................... 23
- Calculations .......................................................................................................................... 23
- Material Specifications ......................................................................................................... 23
- Operating Agreements ......................................................................................................... 23
- Leachate Treatment Agreement(s) ...................................................................................... 23
- Documentation of Long-Term Funding ................................................................................ 23
- Copies of DEQ issued Permits (Air, VPDES, etc.) ................................................................... 23 VII. CONSTRUCTION QUALITY ASSURANCE & TECHNICAL SPECIFICATIONS ............... 24
A. CONSTRUCTION QUALITY ASSURANCE PLAN ........................................................................................ 24
B. TECHNICAL SPECIFICATIONS .............................................................................................................. 24
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Submission Instruction No. 4
I.
DESIGN PLANS Submit the following design plans on 11” x 17” paper in the order provided as Part B Attachment III. A full-size set of Design Plans should also be provided in rolls and/or in pockets for review. The Design Plans shall be prepared and certified by a professional engineer registered to practice in the Commonwealth. The Design Plans should be submitted with the Part B Application or Part B Modification Application as Attachment III to DEQ Form SW PTB. [9 VAC 20-81-480.A.] The following site features shall be included on each of the plan sheets as applicable: Existing site conditions, unless the information leads to confusion with the data intended for display; A survey grid with base lines and bench marks to be used for field control; All drainage patterns and surface water drainage control structures; Access roads and traffic flow patterns; All temporary and permanent fencing; Methods of screening such as berms, vegetation, or special fencing; Wastewater or leachate collection, control, storage, and treatment systems; Special waste handling areas; Construction notes and references to details; and Other site features.
A. Title Sheet Provide a Title Sheet stating the project title, preparer of the plans, the person/organization for whom the plans were prepared, a table of contents, and a location map showing the location of the site and area to be served.
B. Existing Site Conditions Plan Sheet Show conditions existing at the site prior to facility development. [9VAC20-81- 480.A.1.] C. Engineering Modification Plan Sheet {Applicable only to sites with engineering modifications} Show engineering modifications indicating the appearance of the site after installation of all engineering modifications. [9 VAC 20-81-480.A.2.] D. Phasing Plan Sheets Provide a series of plan sheets showing the progression of site development through time; a separate plan shall be provided for initial site preparations and for each major phase or new area where substantial site preparation must be performed. Each plan shall include a list of construction items and quantities necessary to prepare the phase/cell indicated. [9 VAC 20-81-480.A.3.]
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Submission Instruction No. 4 E. Design Drawing Plan Sheet(s) Show design information relating to the specific solid waste management process to include:
- Profile and plan views of all structures and enclosures showing dimensions. The plan views shall show building setbacks, side and rear distances between the proposed structure and other existing or proposed structures, roadways, parking areas, and site boundaries.
- Interior floor plans, showing the layout, profile view, and dimensions of the processing lines, interior unloading, sorting, storage, and loading areas as well as other functional process areas. The plan should identify the storage area locations during normal operations and when facility downtime exceeds 24 hours.
- A utility plan identifying the location and describing the stormwater drainage system, sanitary sewer system, water supply system, energy system, and interface of the proposed facility with the existing utility systems. [9 VAC 20-81-480.A.4.] F. Detail Drawing Plan Sheet(s) Show detail drawings and typical sections for drainage control structures, access roads, fencing, buildings, signs, and other construction details. [9 VAC 20-81-480.A.6.]
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Submission Instruction No. 4
II.
DESIGN REPORT FOR COMPOST FACILITIES The Design Report should include supplemental discussions and design calculations to facilitate department review of the proposed facility design. The Design Report should be submitted with the Part B Application or Part B Modification Application as Attachment VI to DEQ Form SW PTB. The Design Report should address the information provided below, which applies to applicants proposing to construct and operate a Type A or Type B compost facility for the processing of Category I, II, III, and IV feedstocks. Applicants proposing to construct and operate an alternate type facility shall apply for an Experimental Permit in accordance with 9 VAC 20-81-410.C. Applicants proposing to compost sewage sludge should obtain a Biosolids Permit from the Virginia Pollutant Abatement Permit Program. [9 VAC 20-81-330.A. and 480.B.2.] Format The Design Report should start with a title page and table of contents followed by each of the following sections, providing the information requested. The title page should identify the facility name and permit number, the permit applicant, document date, and document preparer information. In addition, the header or footer of each page should include the facility name, permit number, document title, revision date, and page number.
A. Introduction Provide an introduction that identifies the project title; engineering consultants; site owner, licensee, and operator; facility type and expected site life. Identify any exemptions or variances desired by the applicant. [9 VAC 20-81-480.B.2.a.] B. Site Access
- Security Provide a discussion on the perimeter fencing types and gate controls to be employed to prevent unauthorized access. [9 VAC 20-81-480.A.5.e. and A.6.]
- Roads Indicate access roads to the gate and from the gate to the management areas. Show traffic flow patterns to and within the storage, transfer, and treatment areas. Specify the on-site access road material. [9 VAC 20-81-320.A., 330.A.1.e., 330.A.2.g. and 480.A.5.d.]
- Queuing Describe the mechanisms or features which will be employed to provide for an even flow of traffic into, out of, and within the site. The description shall show that the waiting delivery vehicles will not back up onto the public road. [9 VAC 20-81-320.D.]
- Aesthetics Discuss the natural or artificial screening of the operation areas. Ensure the buffer area required under 9 VAC 20-81-320.F.1. is clearly shown on the Design Plans. [9 VAC 20-81-480.A.5.f.]
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Submission Instruction No. 4 C. Facility Design Provide information on the following topics, referencing the Design Plans as appropriate.
- Site Activities Indicate the type of composting facility to be operated and specify the quantities and feedstock categories to be accepted. Indicate the process rate and storage capacity of the facility and identify the municipalities, industries, and collection and transportation agencies served. Provide a general description of the activities to be conducted on site with regards to the unloading, handling, composting, and storage of incoming solid wastes. Reference the appropriate Design Drawing Plan Sheet(s). [9 VAC 20-81-330.A.1.a., A.2.a., and A.2.e. and 480.B.2.a.]
- Surface of Handling Areas Provide a description of the receiving, mixing, curing and compost storage areas, demonstrating that the flow of liquids through the bases will be prevented.
Describe the type of base, its material, the base thickness and coating, if applicable. [9 VAC 20-81-330.A.1.b., A.2.c., and A.2.d.]
- Covered Areas and Containment Discuss the storage containers to be used for segregated noncompostable, nonbiodegradable, and undesirable wastes. For facilities composting Category II, III, and IV feedstocks, discuss the location and design covered areas for receiving, segregating, and grading of waste. [9 VAC 20-81-330.A.1.a. and A.2.a.]
- Engineering Controls Discuss the engineering controls incorporated into the design to address any of the following, if applicable: Springs, seeps, and other groundwater intrusions; Gas, water, or sewage lines under the active areas; or Electric transmission lines above or below the active areas. [9 VAC 20-81-330.A.1.c. and A.2.f.]
- Equipment Indicate the equipment to be used to segregate and process wastes. Indicate arrangements for standby equipment to ensure continuity of composting operations. [9 VAC 20-81-330.A.1.a., A.2.e., and A.2.h.]
- Utilities Discuss the public or private utilities that will serve the site as indicated on the Utility Plan provided with the Design Plans and discuss the availability of auxiliary power to ensure continuity of composting operations. [9 VAC 20-81-330.A.2.h.]
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Submission Instruction No. 4 D. Liquids Management
- Stormwater Provide a description of all drainage patterns and surface drainage control structures within the unloading, handling, composting, and storage areas and at the site perimeter to include berms, ditches, sedimentation basins, pumps, sumps, culverts, pipes, inlets, velocity breaks, sodding, erosion matting, or other methods of erosion control. Reference the Design Plans as appropriate. If applicable, discuss the permits issued for stormwater management and discharge. [9 VAC 20-81-330.A.1.d., 330.A.2.b., and 480.A.5.c.]
- Wastewater Disposal Discuss the wastewater collection, control and treatment (if applicable) systems to include pipes, manholes, trenches, berms, collection sumps or basins, pumps, and risers. Reference the Design Plans as appropriate. Indicate the final disposal location of all wastewaters. [9 VAC 20-81-330.A.1.d., 330.A.2.b., and 480.A.5.g.] E. Appendices Provide the following appendices, if applicable. [9 VAC 20-81-330.A.2.i. and 480.B.2.b.]
- Calculations Provide Calculations substantiating the proposed process rate and storage capacity provided on DEQ Form PTB and discussed in this Design Report. a. Process Rate b. Storage Capacity c. Table relating process rate to equipment and personnel needs d. Sizing of Surface Water Control Features – The sizing shall be based on a rainfall intensity of one hour duration and a 10-year return period.
- Material Specifications
- Operating Agreements
- Leachate Treatment Agreement(s)
- Documentation of Long-Term Funding
- Copies of DEQ issued Permits (Air, VPDES, etc.)
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Submission Instruction No. 4 III. DESIGN REPORT FOR TRANSFER STATIONS The Design Report should include supplemental discussions and design calculations to facilitate department review of the proposed facility design. The Design Report should be submitted with the Part B Application or Part B Modification Application as Attachment VI to DEQ Form SW PTB. The Design Report should address the information provided below, which applies to applicants proposing to construct and operate a solid waste transfer station. [9 VAC 20-81-330.B. and 480.B.2.] Format The Design Report should start with a title page and table of contents followed by each of the following sections, providing the information requested. The title page should identify the facility name and permit number, the permit applicant, document date, and document preparer information. In addition, the header or footer of each page should include the facility name, permit number, document title, revision date, and page number.
A. Introduction Provide an introduction that identifies the project title; engineering consultants; site owner, licensee, and operator; facility type and expected site life. Identify any exemptions or variances desired by the applicant.
Specify the quantities and wastes to be accepted, as indicated on DEQ Form PTB, and reference any information provided in PTB Attachment VIII on special waste acceptance and handling procedures. Indicate the process rate and storage capacity of the facility and identify the municipalities, industries, and collection and transportation agencies served. [9 VAC 20-81-480.B.1.a.] B. Site Access
- Security Provide a discussion on the perimeter fencing types and gate controls to be employed to prevent unauthorized access. [9 VAC 20-81-480.A.5.e. and A.6.]
- Roads Indicate access roads to the gate and from the gate to the management areas. Show traffic flow patterns to and within the storage, transfer, and treatment areas. Specify the on-site access road material. [9 VAC 20-81-320.A., 330.B.1. and 480.A.5.d.]
- Queuing Describe the mechanisms or features which will be employed to provide for an even flow of traffic into, out of, and within the site. The description shall show that the waiting delivery vehicles will not back up onto the public road. [9 VAC 20-81-320.D. and 330.B.5.] C. Facility Design Provide information on the following topics, referencing the Design Plans as appropriate.
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Submission Instruction No. 4
- Site Activities Provide a general description of the activities to be conducted on site with regards to the unloading, handling, composting, and storage of incoming solid wastes.
Reference the appropriate Design Drawing Plan Sheet(s). [9 VAC 20-81-330.B. and 480.B.1.b.]
- Surface of Handling Areas Provide a description of the surfaces of unloading, receiving, tipping, and storage area floors, buildings, and ramps, demonstrating that they will withstand heavy vehicle usage, prevent the flow of liquids through the floor, and that they can be easily cleaned. [9 VAC 20-81-330.B.2. and B.4.]
- Safety Discuss the use of truck wheel curbs and other safety features to prevent backing or falling into a pit, if applicable. [9 VAC 20-81-330.B.3.]
- Utilities Discuss the public or private utilities that will serve the site as indicated on the Utility Plan provided with the Design Plans and discuss the water supply available for transfer area cleaning. [9 VAC 20-81-480.A.4.(3)]
- Design Features {This section is only applicable to those facilities proposing to store waste materials on site.} Describe how the facility design will prevent the migration of vectors, odors, dust, wash water and litter off site. Describe the fire alarm and protections systems in place to detect, control, and extinguish fires. [9 VAC 20-80-330.B.7.]
- Household Hazardous Waste If portions of the transfer station are used for the storage of household hazardous waste, describe the containment system to be used as required by 40 CFR 267.173, as amended. [9 VAC 20-81-330.B.6.] D. Liquids Management
- Stormwater Provide a description of all drainage patterns and surface drainage control structures within the unloading, receiving, tipping, and storage areas and at the site perimeter to include berms, ditches, sedimentation basins, pumps, sumps, culverts, pipes, inlets, velocity breaks, sodding, erosion matting, or other methods of erosion control. Reference the Design Plans as appropriate. If applicable, discuss the permits issued for stormwater management and discharge. [9 VAC 20-81-480.A.5.c.]
- Wastewater Collection and Disposal Discuss the wastewater collection, control and treatment (if applicable) systems to include pipes, manholes, trenches, berms, collection sumps or basins, pumps, and risers. Reference the Design Plans as appropriate. Indicate the final disposal location of all wastewaters. [9 VAC 20-81-330.B.2. and 480.A.5.g.]
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Submission Instruction No. 4 E. Appendices Provide the following appendices, if applicable. [9 VAC 20-81-480.B.1.e.]
- Calculations Provide Calculations substantiating the proposed process rate and storage capacity provided on DEQ Form PTB and discussed in this Design Report. a. Process Rate b. Storage Capacity c. Table relating process rate to equipment and personnel needs
- Material Specifications
- Operating Agreements
- Leachate Treatment Agreement(s)
- Documentation of Long-Term Funding
- Copies of DEQ issued Permits (Air, VPDES, etc.)
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Submission Instruction No. 4 IV. DESIGN REPORT FOR CENTRALIZED WASTE TREATMENT FACILITIES The Design Report should include supplemental discussions and design calculations to facilitate department review of the proposed facility design. The Design Report should be submitted with the Part B Application or Part B Modification Application as Attachment VI to DEQ Form SW PTB. The Design Report should address the information provided below, which applies to applicants proposing to construct and operate a centralized waste treatment facility. [9 VAC 20-81-330.C. and 480.B.2.] Format The Design Report should start with a title page and table of contents followed by each of the following sections, providing the information requested. The title page should identify the facility name and permit number, the permit applicant, document date, and document preparer information. In addition, the header or footer of each page should include the facility name, permit number, document title, revision date, and page number.
A. Introduction Provide an introduction that identifies the project title; engineering consultants; site owner, licensee, and operator; facility type and expected site life. Identify any exemptions or variances desired by the applicant.
Specify the quantities and wastes to be accepted, as indicated on DEQ Form PTB, and reference any information provided in PTB Attachment VIII on special waste acceptance and handling procedures. Indicate the process rate and storage capacity of the facility and identify the municipalities, industries, and collection and transportation agencies served. [9 VAC 20-81-480.B.1.a.] B. Site Access
- Security Provide a discussion on the perimeter fencing or natural barriers and gate controls to be employed to prevent unauthorized access. [9 VAC 20-81-330.C.11., 480.A.5.e. and 480.A.6.]
- Roads Indicate access roads to the gate and from the gate to the management areas. Show traffic flow patterns to and within the storage, transfer, and treatment areas. Specify the on-site access road material. [9 VAC 20-81-320.A., 330.C.2. and 480.A.5.d.]
- Queuing Describe the mechanisms or features which will be employed to provide for an even flow of traffic into, out of, and within the site. The description shall show that the waiting delivery vehicles will not back up onto the public road. [9 VAC 20-81-320.D. and 330.C.10.] C. Facility Design Provide information on the following topics, referencing the Design Plans as appropriate.
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Submission Instruction No. 4
- Site Activities Provide a general description of the activities to be conducted on site with regards to the unloading, treatment, and storage of incoming solid wastes. Reference the appropriate Design Drawing Plan Sheet(s). [9 VAC 20-81-330.C. and 480.B.1.b.]
- Tanks Discuss the number and types of tanks and internal storage areas used to treat and store both incoming and processed solid waste. Discuss the proposed containment structures; these structures shall be capable of containing any leakage and can be easily cleaned. [9 VAC 20-81-330.C.3 through C.8.]
- Utilities Discuss the public or private utilities that will serve the site as indicated on the Utility Plan provided with the Design Plans and discuss the water supply available for transfer area cleaning. [9 VAC 20-81-480.A.4.(3)]
- Design Features Describe the fire alarm and protections systems in place to detect, control, and extinguish fires. Describe how the facility design will prevent the migration of vectors, odors, dust, wash water and litter off site. Reference the applicable requirements of the regulations promulgated by the Air Pollution Control Board regarding air releases of dust and odor. [9 VAC 20-80-330.C.1. and C.9.] D. Liquids Management
- Stormwater Provide a description of all drainage patterns and surface drainage control structures within the unloading, receiving, tipping, and storage areas and at the site perimeter to include berms, ditches, sedimentation basins, pumps, sumps, culverts, pipes, inlets, velocity breaks, sodding, erosion matting, or other methods of erosion control. Reference the Design Plans as appropriate. If applicable, discuss the permits issued for stormwater management and discharge. [9 VAC 20-81-480.A.5.c.]
- Wastewater Collection and Disposal Discuss the wastewater collection, control and treatment (if applicable) systems to include pipes, manholes, trenches, berms, collection sumps or basins, pumps, and risers. Reference the Design Plans as appropriate. Indicate the final disposal location of all wastewaters. [9 VAC 20-81-480.A.5.g.] E. Appendices Provide the following appendices, if applicable. [9 VAC 20-81-480.B.1.e.]
- Calculations.
Provide Calculations substantiating the proposed process rate and storage capacity provided on DEQ Form PTB and discussed in this Design Report. a. Process Rate
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Submission Instruction No. 4 b. Storage Capacity c. Table relating process rate to equipment and personnel needs
- Material Specifications
- Operating Agreements
- Leachate Treatment Agreement(s)
- Documentation of Long-Term Funding
- Copies of DEQ issued Permits (Air, VPDES, etc.)
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Submission Instruction No. 4
V.
DESIGN REPORT FOR MATERIALS RECOVERY FACILITIES The Design Report should include supplemental discussions and design calculations to facilitate department review of the proposed facility design. The Design Report should be submitted with the Part B Application or Part B Modification Application as Attachment VI to DEQ Form SW PTB. The Design Report should address the information provided below, which applies to applicants proposing to construct and operate a materials recovery facility. [9 VAC 20-81-330.D. and 480.B.2.] Format The Design Report should start with a title page and table of contents followed by each of the following sections, providing the information requested. The title page should identify the facility name and permit number, the permit applicant, document date, and document preparer information. In addition, the header or footer of each page should include the facility name, permit number, document title, revision date, and page number.
A. Introduction Provide an introduction that identifies the project title; engineering consultants; site owner, licensee, and operator; facility type and expected site life. Identify any exemptions or variances desired by the applicant.
Specify the quantities and wastes to be accepted, as indicated on DEQ Form PTB, and reference any information provided in PTB Attachment VIII on special waste acceptance and handling procedures. Identify the municipalities, industries, and collection and transportation agencies served. [9 VAC 20-81-480.B.1.a.] B. Site Access
- Security Provide a discussion on the perimeter fencing types and gate controls to be employed to prevent unauthorized access. [9 VAC 20-81-330.D.10, 480.A.5.e. and
A.6.]
- Roads Indicate access roads to the gate and from the gate to the management areas. Show traffic flow patterns to and within the storage, transfer, and treatment areas. Specify the on-site access road material. [9 VAC 20-81-320.A., 330.D.2., and 480.A.5.d.]
- Queuing Describe the mechanisms or features which will be employed to provide for an even flow of traffic into, out of, and within the site. The description shall show that the waiting delivery vehicles will not back up onto the public road. [9 VAC 20-81-320.D. and 330.D.8.] C. Facility Design Provide information on the following topics, referencing the Design Plans as appropriate.
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Submission Instruction No. 4
- Surface of Handling Areas Provide a description of the surfaces of unloading, receiving, tipping, and storage area floors, buildings, and ramps, demonstrating that they will withstand heavy vehicle usage, prevent the flow of liquids through the floor, and that they can be easily cleaned. [9 VAC 20-81-330.D.3. and D.5.]
- Safety Discuss the use of truck wheel curbs and other safety features to prevent backing or falling into a pit, if applicable. [9 VAC 20-81-330.D.4.]
- Utilities Discuss the public or private utilities that will serve the site as indicated on the Utility Plan provided with the Design Plans and discuss the water supply available for unloading, receiving, tipping, and storage area cleaning. [9 VAC 20-81-330.D.3 and
480.A.4.(3)]
- Design Features Describe how the facility design will prevent the migration of vectors, odors, dust, wash water and litter off site. The facility shall meet all applicable Air Pollution Control Board regulations concerning odor and dust migration. Describe the fire alarm and protections systems in place to detect, control, and extinguish fires. [9 VAC 20-81-330.D.1., D.7., and D.9.]
- Bioremediation Facilities Facilities conducting bioremediation shall describe how the system has been designed: To be chemically resistant to waste or leachate; With sufficient strength and thickness to prevent collapse under the pressures exerted by overlying waste, waste cover materials, and equipment used in the area; and To provide operational temperatures that are favorable to the bioremediation process. [9 VAC 20-81-330.D.11.] D. Design Description Manual
- Process Capacity Provide the following information, referencing the Design Plans as applicable. [9 VAC 20-81-330.D. 6. and D.12.a through f., 480.B.1.b. and 480.B.1.c.(1)] The process rate of the facility, in both tons per day and tons per hour; The location and the capacity of normal loading, unloading and storage areas1, in 1 Storage areas should address areas for storage of unprocessed incoming solid waste, process waste residues and effluents, and recovered materials, as applicable.
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Submission Instruction No. 4 cubic yards and tons; The location and the capacity of emergency loading, unloading, storage areas and other disposal capabilities to be used when the facility system down-time exceeds 24 hours; The designation of alternate management facilities or discussion of plans for transfer of stored waste in the event facility down-time exceeds 72 hours; and The expected daily quantity of waste residue generation.
- Use, Reuse, and Reclamation Describe any materials use, reuse, or reclamation activities, either on incoming solid waste or outgoing residue, to be operated in conjunction with the proposed facility. [9 VAC 20-81-330.D.12.g.]
- Disposal of Residues Describe the proposed ultimate disposal location(s) for all facility generated waste residues (including, but not limited to, residues and bypass materials, byproducts resulting from air pollution control devices, and unauthorized wastes). Schedules for disposal of these materials at their designated locations shall be provided. [9 VAC 20-81-330.D.12.f.]
- Plan Views Reference the appropriate Design Plans provided that show the building dimensions, building setbacks, side and rear distances between the proposed structure and other existing or proposed structures, roadways, parking areas, and site boundaries. [9 VAC 20-81-330.D.12.h.]
- Interior Floor Plans Reference the appropriate Design Plans provided that show the layout, profile view, and dimensions of the processing lines, interior unloading, sorting, storage, and loading areas as well as other functional areas. [9 VAC 20-81-330.D.12.i.] E. Liquids Management
- Stormwater Provide a description of all drainage patterns and surface drainage control structures within the unloading, receiving, tipping, and storage areas and at the site perimeter to include berms, ditches, sedimentation basins, pumps, sumps, culverts, pipes, inlets, velocity breaks, sodding, erosion matting, or other methods of erosion control. Reference the Design Plans as appropriate. If applicable, discuss the permits issued for stormwater management and discharge. [9 VAC 20-81-480.A.5.c.]
- Wastewater Collection and Disposal Discuss the wastewater collection, control and treatment (if applicable) systems to include pipes, manholes, trenches, berms, collection sumps or basins, pumps, and
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Submission Instruction No. 4 risers. Reference the Design Plans as appropriate. Indicate the final disposal location of all wastewaters. [9 VAC 20-80-330.D.3. and 480.A.5.g.] F. Appendices Provide the following appendices, if applicable. [9 VAC 20-81-480.B.1.e.]
- Calculations Provide Calculations substantiating the proposed process rate and storage capacity provided on DEQ Form PTB and discussed in this Design Report. a. Process Rate b. Storage Capacity c. Table relating process rate to equipment and personnel needs
- Material Specifications
- Operating Agreements
- Leachate Treatment Agreement(s)
- Documentation of Long-Term Funding
- Copies of DEQ issued Permits (Air, VPDES, etc.)
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Submission Instruction No. 4 VI. DESIGN REPORT FOR WASTE PILES The Design Report should include supplemental discussions and design calculations to facilitate department review of the proposed facility design. The Design Report should be submitted with the Part B Application or Part B Modification Application as Attachment VI to DEQ Form SW PTB. The Design Report should address the information provided below, which applies to applicants proposing to construct and operate one or more waste piles. [9 VAC 20-81-330.F. and 480.B.2.] Format The Design Report should start with a title page and table of contents followed by each of the following sections, providing the information requested. The title page should identify the facility name and permit number, the permit applicant, document date, and document preparer information. In addition, the header or footer of each page should include the facility name, permit number, document title, revision date, and page number.
A. Introduction Provide an introduction that identifies the project title; engineering consultants; site owner, licensee, and operator; facility type and expected site life. Identify any exemptions or variances desired by the applicant.
Specify the quantities and wastes to be accepted, as indicated on DEQ Form PTB, and reference any information provided in PTB Attachment VIII on special waste acceptance and handling procedures. Identify the municipalities, industries, and collection and transportation agencies served. [9 VAC 20-81-480.B.1.a.] B. Site Access
- Security Provide a discussion on the perimeter fencing types and gate controls to be employed to prevent unauthorized access. [9 VAC 20-81-480.A.5.e. and A.6.]
- Roads Indicate access roads to the gate and from the gate to the management areas. Show traffic flow patterns to and within the storage, transfer, and treatment areas. [9 VAC 20-81-480.A.5.d.]
- Aesthetics Discuss the natural or artificial screening of the operation areas. Ensure the buffer area required under 9 VAC 20-81-320.F.1. is clearly shown on the Design Plans. [9 VAC 20-81-480.A.5.f.] C. Facility Design Provide information on the following topics, referencing the Design Plans as appropriate.
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Submission Instruction No. 4
- Location of Waste Piles Indicate whether waste piles will be located within or under a structure or exposed to the elements. Depending on the waste pile location, provide the following additional information, as applicable. [9 VAC 20-81-330.F.1 and F.2.] {For Covered Waste Piles} a. Surface of Structures, Buildings and Ramps For waste piles located inside or under a structure, provide a description of the structure, building, and ramp surfaces, demonstrating that they can be easily cleaned. [9 VAC 20-81-330.F.1.e.] b. Waste Pile Management Provide a description of the materials to be managed in piles, indicating the pile will not generate leachate through decomposition or reactions. Liquids or materials containing free liquids shall not be managed. Describe the methods to be employed to control dispersal of the wastes by the wind (other than wetting) and to prevent surface water run-on. [9 VAC 20-81-330.F.1.] {For Exposed Waste Piles} a. Liner System Provide a description of the liner system to be installed to prevent the migration of wastes out of the pile into the adjacent groundwater or surface water. The liner description shall indicate the materials of construction, ensuring the necessary chemical properties and sufficient strength and thickness are provided to prevent failure due to pressure gradients, physical contact with the waste or leachate to which they are exposed, climatic conditions, the stress of installation, and the stress of daily operation.
Proposals for alternate liner systems must be accompanied by a demonstration that the alternate liner design and operating practices, together with the location characteristics, will prevent the migration of waste constituents into the groundwater or surface water. The demonstration should discuss the nature and quantity of wastes; the alternate design and operation; the hydrogeologic setting of the facility; and other factors that would influence the quality and mobility of leachate produced. [9 VAC 20-81-330.F.2.a.(1)(a),
- a.(1)(c), and 2.b.]
b. Liner Foundation Discuss the liner foundation or base, indicating it will be capable of providing support to the liner and resistance to pressure gradients above and below the liner to prevent failure of the liner due to settlement, compression, or uplift. [9 VAC 20-81-330.F.2.a.(1)(b)]
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Submission Instruction No. 4
- Surface of Storage and Treatment Units Provide a description of the surfaces of storage and treatment units, demonstrating that they will withstand the physical, chemical, and biological characteristics of the wastes managed. [9 VAC 20-81-330.F.4.]
- Areas for Segregated Wastes Describe the areas, facilities, and equipment available for segregating undesirable components from the incoming solid waste. [9 VAC 20-81-330.F.3.]
- Design Features Describe how the design of storage and treatment units will prevent the migration of vectors, odors, dust, wash water, waste materials, and litter off site. Describe the fire alarm and protections systems in place to detect, control, and extinguish fires. [9 VAC 20-81-330.F.4.] D. Liquids Management {Applicable only to exposed waste piles}
- Run-on Control System Provide a description of the design and operation of the run-on control system to be installed. The system shall be capable of preventing flow onto the active portion of the pile during peak discharge from at least a 25-year storm. Reference the Design Plans as appropriate. [9 VAC 20-81-330.F.2.e. and 480.A.5.c.]
- Run-off Management System Provide a description of the design and operation of the run-off management system to be installed. The system shall be designed to collect and control at least the water volume resulting from a 24-hour, 25-year storm. If applicable, discuss the permits issued for stormwater management and discharge. [9 VAC 20-81-330.F.2.f.]
- Leachate Collection and Disposal Discuss the design of the leachate collection and removal system. The system shall be designed to ensure the leachate depth of the liner does not exceed 1 foot at its lowest point. In addition, discuss the materials used to construct the leachate collection and removal system ensuring the materials are chemically resistant to the waste managed and expected leachate generated; of sufficient strength and thickness to prevent collapse due to pressures exerted by overlaying wastes, waste cover materials, and any equipment used at the pile; and that the system is capable of operating without clogging. Reference the Design Plans as appropriate.
Indicate the final disposal location of all wastewaters. [9 VAC 20-80-330.F.2.a.(2)]
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Submission Instruction No. 4 E. Appendices Provide the following appendices, if applicable. [9 VAC 20-81-480.B.2.b.]
- Calculations Provide Calculations substantiating the proposed process rate and storage capacity provided on DEQ Form PTB and discussed in this Design Report. a. Process Rate b. Storage Capacity c. Table relating process rate to equipment and personnel needs d. Sizing of Surface Water Control Features
- Material Specifications
- Operating Agreements
- Leachate Treatment Agreement(s)
- Documentation of Long-Term Funding
- Copies of DEQ issued Permits (Air, VPDES, etc.)
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Submission Instruction No. 4 VII. CONSTRUCTION QUALITY ASSURANCE & TECHNICAL SPECIFICATIONS This section discusses the Construction Quality Assurance Plan and Technical Specifications to be submitted with the Part B Application or Part B Modification Application as Attachment VII to DEQ Form SW PTB. This section applies to applicants proposing to construct and operate any of the solid waste management facilities discussed above. [9 VAC 20-81-480.B.2.a.(1) and (2)] A. Construction Quality Assurance Plan The Construction Quality Assurance (CQA) Plan is designed to ascertain that the constructed facility meets the requirements described in the plans and specifications.
Provide specific instructions regarding all aspects of site construction for the type of solid waste management facility proposed. Provide references as appropriate to the Design Plans and Technical Specifications. [9 VAC 20-81-480.B.2.a.(1)] {Waste Pile Liners} The CQA Plan for facilities operating one or more waste piles shall include procedures for inspecting the liner during construction and installation for uniformity, damage, and imperfections. Synthetic liners shall be inspected to ensure tight seams and joints and the absence of tears, punctures, or blisters. Soil liners shall be inspected for imperfections such as lenses, cracks, channels, root holes, or other structural nonuniformities. Procedures for correcting imperfections in the liner design shall be repaired. [9 VAC 20-81-330.F.2.c. and 2.d.] B. Technical Specifications Provide technical specifications for the following site features: Access Roads and Entrance Screening Fencing; and Other Special Design Features. Examples include utilities for stormwater and wastewater conveyance and treatment, and surfaces for unloading, receiving, treatment, and storage areas. [9 VAC 20-81-480.B.2.a.(2)]
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Page 24
Groundwater Monitoring Well Abandonment ProceduresDoc ID: 5804
ATTACHMENT
METHODOLOGY FOR GROUNDWATER MONITORING WELL ABANDONMENT
The facility shall receive prior approval from the Department (VDEQ) to abandon any monitoring wells and/or piezometers. The following procedures shall be used
A. Monitoring wells and/or piezometers will be abandoned by pressure grouting methods.
Surface installations (protective covers or manholes) will be removed and an attempt to pull the casing string with the rig will be made. Once this has either been accomplished or has failed, grouting operations will commence as described below. NOTE - All tremie rods and other downhole equipment will be steam cleaned prior to introduction into the hole or well.
Monitoring well abandonment will be accomplished by lowering a tremie pipe to the bottom of the borehole.
Portland cement/bentonite grout will then be pumped down the tremie pipe until an even flow of consistent grout returns at the surface.
The tremie pipe will be removed from the borehole on completion of grouting operations and a minimum four inch thick and six foot diameter concrete cap will be constructed over the grouted borehole.
B. Removed casings will be steam cleaned, cut up into manageable sections, and disposed of as refuse.
C. All decontamination fluid will be containerized and handled pursuant to decontamination fluid handling procedures and all applicable local, state, and federal regulations.
Virginia Universal Waste Lamp Crushing GuidelinesDoc ID: 6173
Virginia DEQ - Universal Waste Lamp Crushing Frequently Asked Questions
Q: What is a Small Quantity Handler of Universal Waste? What is a Large Quantity Handler?
A: A Small Quantity Handler (SQH) of Universal Waste (UW) is a facility that accumulates less than 5,000 kg (11,000 lb) of UW (batteries, pesticides, mercury-containing equipment, or lamps, calculated collectively) at their facility at any one time. A Large Quantity Handler (LQH) of UW is a facility that accumulates 5,000 kg (11,000 lb) or more of UW on site at any one time.
Q: If I generate Universal Waste lamps at my facility, do I need to submit a notification to DEQ that I am a Universal Waste handler?
A: A facility must submit a notification to DEQ if it is a Large Quantity Handler, a Destination Facility, or a handler that has a crushing operation at their facility, regardless of size. For a new crushing operation, notification must take place within 30 days of commencing the new operation. For existing crushers, notification must take place on or before January 31, 2017.
The crushing facility notification must include the following:
− The name of the company or individual which owns the crusher; − EPA ID Number (if one has been issued); − Physical location of the crushing operation; and − Name, business address and phone number of the operators and principal contact persons for the generator.
If operations change at any crushing facility, notification of the change must be made within 15 days of the change occurring.
Q: Approximately how many lamps are equal to 220 lbs.?
A: The following amount of lamps weighs approximately 220 lbs. or 100 kg:
- 360 4’ T12 lamps
- 540 4’ T8 lamps
- 910 4’ T5 lamps
Q: I only want to crush lamps received from off site households. Do these UW lamp crushing requirements apply to me?
A: No. Spent fluorescent lamps generated solely from households are exempt from the hazardous waste regulations, and therefore do not meet the definition of universal waste.
The crushing of these lamps would not be regulated under the lamp crushing regulations.
Q: I want to be able to crush lamps received off site from small companies and other generators. Do these UW lamp crushing requirements apply to me?
1Virginia DEQ - Universal Waste Lamp Crushing Frequently Asked Questions
A: Yes. Without a permit, UW lamps may only be crushed on the site of generation (“on site”) or at a facility under the control of the generator. On site is defined in 40 CFR 260.10 as “the same or geographically contiguous property which may be divided by public or private right-of-way, provided the entrance and exit between the properties is at a cross-roads intersection, and access is by crossing as opposed to going along, the right-of-way. Non-contiguous properties owned by the same person but connected by a right-of-way which he controls and to which the public does not have access, is also considered on-site property.” If lamps are collected from various locations and taken to another off-site location (i.e., a location that does not meet the definition above) and crushed, then that site would be considered a destination facility (see 40 CFR 273. 9 and 40 CFR 273.60) potentially subject to hazardous waste permitting as a storage and treatment facility. The crushed lamps would still be regulated as universal waste in Virginia.
However, depending on where they are sent for further handling, manifesting as hazardous waste may be necessary if the receiving state does not consider crushed lamps as universal waste and the crushed lamps otherwise meet the definition of hazardous waste.
Q: What do I need to do if I want to send my lamps to another location that is owned, leased or otherwise controlled by my company?
A: A generator wishing to send UW lamps off site to another location under the control of the generator must provide one of the following certifications to DEQ prior to sending the UW lamps off site:
i. “On behalf of [insert generator facility name], I certify that this facility will send the indicated UW lamps to [insert crushing facility name], which is controlled by [insert generator facility name] and that [insert the name of either facility] has acknowledged full responsibility for the safe management of the UW lamps“; or
ii. “On behalf of [insert generator facility name] I certify that this facility will send the indicated UW lamps to [insert crushing facility name], that both facilities are under common control, and that [insert name of either facility] has acknowledged full responsibility for the safe management of the UW lamps. “
Q: How is the crushing of non-hazardous lamps regulated?
A: At a minimum, a facility crushing non-hazardous lamps would still need to comply with applicable OSHA standards. OSHA has a fact sheet on protecting workers from mercury exposure while crushing fluorescent lamps that covers may of the same things that are addressed in the UW lamp crushing regs such as worker training, PPE, clean-up of releases, use of a machine designed for crushing, proper O&M, etc. This fact sheet can be
2Virginia DEQ - Universal Waste Lamp Crushing Frequently Asked Questions
found at: https://www.osha.gov/Publications/mercuryexposure_fluorescentbulbs_factsheet.pdf
Failities claiming that their mercury containing lamps are not a hazardous waste must maintain sufficient documentation to support this determination. Additionally, facilities do have the option to manage all mercury containing lamps as UW, if they choose to do so.
Q: How long can I accumulate lamps on site before crushing them? How long can I accumulate the crushed lamps?
A: If you are managing the spent lamps as universal waste (UW), you may accumulate them on site for no more than one year. Per the Virginia Hazardous Waste Management Regulations, “a used lamp shall be considered discarded and a waste on the date the generator permanently removes it from its fixture. An unused lamp becomes a waste on the date the generator discards it since that is the date on which he is deemed to have decided to discard it in accordance with 40 CFR 273.5(c)(2).” See 9 VAC 20-60-273.B.3(a).
The one year period is inclusive of any accumulation/storage prior to crushing as well as subsequent accumulation/storage of the crushed lamps. It is not based on the date the drum filling begins or when the drum containing the crushed materials is full.
For spent lamps received from off site, the one year time period starts when the wastes are received from off site.
Q: Can anyone at my facility operate the crusher:
A: All UW lamp handlers with crusher operations are required to develop training plans for their crusher operations. The training plans must include, at a minimum, training in the following elements:
1) Procedures to safely crush, handle, and store mercury-containing lamps. The procedures should address the following topics: a) The type of equipment to be used to crush mercury-containing lamps safely; b) Instructions for proper equipment operation; c) Implementation of proper waste management practices during all aspects of the crushing operation (handling, loading, drum changing, etc.); and d) The use of personal protective equipment which should include, at a minimum, safety glasses or full face shield and cut-proof gloves.
2) Procedures to minimize the release of mercury, including during drum changes and malfunctions.
3Virginia DEQ - Universal Waste Lamp Crushing Frequently Asked Questions
3) Procedures for dealing with emergencies. Specifically, the training should include language which outlines the procedure for cleaning up broken UW lamps in accordance with 40 CFR Part 273.13(d)(2) or 40 CFR Part 273.33(d)(2).
4) The maintenance schedule for the crushing unit which incorporates the manufacturer’s specifications and which identifies all maintenance operations and the specified frequency, including replacement of particle filters and the activated carbon media.
Each crusher unit operator must receive an initial and recurring annual training in the crushing procedures, waste handling, safety, use of personal protective equipment, and emergency procedures contained in the training plan. Operators must complete the initial training before being allowed to operate the crusher units.
Q: Can I throw the filters from the crusher into the same container with the crushed lamps?
A: No, Virginia has adopted the federal definitions of “universal waste” and “lamps”. As such, residuals from the crushing of lamps, such as filters, are not considered UW in Virginia. The regulations address the management filters and other residues from crushing operations at 9 VAC 20-60-1505.B.7.l. As a result, if the filters are to be treated and/or disposed, and they are determined to be a hazardous waste, the generator must meet all applicable requirements of the Virginia Hazardous Waste Management Regulations including, but not limited to, the requirements regarding management, manifesting, proper disposal at a permitted treatment, storage and disposal (TSD) facility, etc.
If the filters will be sent for reclamation, they may qualify for the exclusion from the definition of solid waste under Table 1 of 40 CFR 261.2 for a characteristic sludge being reclaimed. In this case, the generator is responsible for demonstrating that there is a known market or disposition for the material and that they meet the terms of the exclusion (40 CFR 261.2(f)).
Spent filters removed from a lamp crusher that will be sent for reclamation should be stored in a separate container (apart from the crushed lamps) and labeled in a manner to appropriately identify the contents. It is the generators responsibility to determine whether the filters qualify as hazardous or non-hazardous waste. Wording such as “Spent Filters for Recycling” or “Spent Filters to be Recycled – Hazardous Material” or “Used Lamp Crusher Filters – Contains Mercury” would be useful to help document that the materials are being handled as universal waste, and not being handled as hazardous waste. Containers holding the spent filters should be kept closed except when adding or removing filters.
Please note that the spent filters may not be speculatively accumulated. A material is not speculatively accumulated if the person accumulating it can show that the material is potentially recyclable and has a feasible means of being recycled and that during the calendar year (commencing on January 1) the amount of material that is recycled, or transferred to a different site for recycling, equals at least 75% by weight or volume of
4Virginia DEQ - Universal Waste Lamp Crushing Frequently Asked Questions
the amount of that material (i.e., the total weight of the filters and not just the mercury content) accumulated at the beginning of the period. (See 40 CFR 261.1(c)(8).
Q: Can I move my crusher around my facility to wherever it’s needed, or can I take it to use at another site?
A: No to both. A lamp crushing unit cannot be mobile, and the location of the crusher must be included in the notification provided to DEQ.
Q: Can I operate my crusher anywhere at my facility?
A: No. A crusher may not be operated outdoors. Also, a crusher may only be operated in areas that meet the secondary filtration and venting requirements found in the regulations.
Q: Can I make my own lamp crusher?
A: For all UW lamp handlers with a lamp crushing operation, the mechanical lamp crusher being used must comply with the following requirements in 9-VAC 20-60-1505.B.7:
- The crusher must be specifically designed to crush mercury-containing lamps;
- The crusher must be equipped with air pollution controls that capture both particulate and vapor phase mercury emissions. At a minimum, these controls must include:
- A HEPA filter which achieves a particle retention rate of 99.97%;
- A sorption column of sulfur-impregnated activated carbon media; and
- Negative pressure maintained throughout the unit.
Additional requirements for the lamp crusher are as follows:
- The crusher must be hermetically sealed, except for air intakes, and kept under negative pressure;
- Air intake points on the crusher must be closed when the unit is not operating;
- The crusher cannot be mobile and the location of the crusher is to be included in the notification provided to DEQ; and
- The crusher may only be operated indoors.
Q: Do transporters of UW lamps need to notify the DEQ or EPA before beginning to transport UW bulbs?
5Virginia DEQ - Universal Waste Lamp Crushing Frequently Asked Questions
A: UW lamps transporters are not required to notify the Department of Environmental Quality (DEQ) or obtain an Environmental Protection Agency (EPA) identification number for this activity. In addition, they are not required to obtain a permit from DEQ for transportation of UW. However, they must comply with any other state or Federal laws or regulations that may apply (such as Department of Transportation (DOT) requirements).
Q: Do all lamp crushers need to prepare a closure plan and provide financial assurance for closure costs?
A: Only facilities that accumulate greater than 5,000 kg or more of UW lamps (not including other UW such as batteries, pesticides, and mercury-containing equipment) need to prepare a closure plan and provide for financial assurance.
6
Water and Waste Permitting Guidance at Solid Waste FacilitiesDoc ID: VPA
COMMONWEALTH OF VIRGINIA
DEPARTMENT OF ENVIRONMENTAL QUALITY WATER DIVISION P.O. Box 1105 Richmond, VA 23218 ______________________________________________________________________________ Subject: Water Guidance Memo No. 14-2006 VPA and SWM Permitting, and BUD Approval at Solid Waste Management Facilities To: Regional Directors From: Melanie D. Davenport, Director, Water Division
Jeff Steers, Director, Land Protection & Revitalization Division
Date: April 30, 2014 Copies: Deputy Regional Directors, Regional Water Permit Managers, Regional Solid Waste Managers, James Golden, Fred Cunningham, Neil Zahradka, Justin Williams
Summary:
The purpose of this guidance is to provide DEQ regional water permit and solid waste permit staff information and general directions on appropriate permitting options for specific pollutant management activities that have the potential to impact state waters at solid waste management facilities. This guidance is intended to minimize duplicate regulation of such activities pursuant to the Virginia Pollution Abatement Permit Regulation and Virginia Solid Waste Management Regulations.
Electronic Copy:
An electronic copy of this guidance in PDF format is available for staff internally on DEQNET, and for the general public on DEQ's website at: http://www.deq.virginia.gov/.
Contact Information:
Please contact Valerie Rourke, Office of Land Application Programs at (804) 698-4158 or Valerie.Rourke@deq.virginia.gov; or Justin Williams, Office of Waste Permitting & Compliance at (804) 698-4185 or Justin.Williams@deq.virginia.gov with any questions you have regarding this guidance.
Disclaimer: This document is provided as guidance and, as such, sets forth standard operating procedures for the agency. However, it does not mandate any particular method nor does it prohibit any alternative method. If alternative proposals are made, such proposals should be reviewed and accepted or denied based on their technical adequacy and compliance with appropriate laws and regulations.
Water Guidance Memo No. 14-2006 VPA and SWM Permitting at Solid Waste Management Facilities
TABLE OF CONTENTS
I. INTRODUCTION ......................................................................................................................................................... 1
II. AUTHORITY ................................................................................................................................................................ 1
III. DEFINITIONS .............................................................................................................................................................. 1
A. VSWM REGULATIONS ................................................................................................................................................. 1
B. VPA PERMIT REGULATIONS ........................................................................................................................................ 2
IV. BACKGROUND ............................................................................................................................................................ 2
V. GUIDANCE ................................................................................................................................................................... 3
A. BUD/SWM PERMIT CONDITIONS IN LIEU OF VPA PERMIT ......................................................................................... 4
B. VPA PERMIT IN LIEU OF BUD AND SWM PERMIT ....................................................................................................... 4
ATTACHMENT A – BUD APPROVAL LETTER TEMPLATE ..................................................................................... 6
iWater Guidance Memo No. 14-2006 VPA and SWM Permitting at Solid Waste Management Facilities List of Acronyms BUD Beneficial Use Demonstration DEQ Department of Environmental Quality DLPR Division of Land Protection and Revitalization OLAP DEQ Office of Land Application Programs RO DEQ Regional Office VPA permit Virginia Pollution Abatement permit SWMF Solid Waste Management Facility SWM permit Solid Waste Management permit VPDES permit Virginia Pollutant Discharge Elimination System permit VSWMR Virginia Solid Waste Management Regulations ii Water Guidance Memo No. 14-2006 VPA and SWM Permitting at Solid Waste Management Facilities
I.
Introduction Virginia Pollution Abatement (VPA) permits may be used to authorize a broad range of activities that involve a discharge into or adjacent to state waters other than a point source discharge to surface waters authorized by a Virginia Pollutant Discharge Elimination System (VPDES) permit. Virginia Solid Waste Management Regulations (VSWMR) permits may also regulate the impacts to state waters related to the activities of a solid waste management facility (SWMF).
The following guidance provides: i. information on VPA and Solid Waste Management (SWM) permits; ii. the authority of these permit programs to regulate specific pollutant management activities that have the potential to impact state waters; and iii. general directions for Regional Office (RO) water permit and solid waste permit staff regarding the appropriate permitting options for these activities.
II.
Authority
This document provides guidance to implement the VPA Permit Regulation (9VAC25-32) and the VSWMR (9VAC20-81) related to DEQ permitting of specific pollutant management activities at a SWMF. The authority for promulgation of these regulations and development of this guidance is contained in §§ 62.1-44.15 and 10.1-1402 of the Code of Virginia.
III. Definitions
A. VSWMR
The following are terms defined in the VSWMR, 9VAC20-81-10:
“Beneficial use” means a use that is of benefit as a substitute for natural or commercial products and does not contribute to adverse effects on health or environment.
"Facility boundary" means the boundary of the solid waste management facility. For landfills, this boundary encompasses the waste management boundary and all ancillary activities including, but not limited to scales, groundwater monitoring wells, gas monitoring probes, and maintenance facilities as identified in the facility's permit application. For facilities with a permit-by-rule (PBR) the facility boundary is the boundary of the property where the permit-by-rule activity occurs. For unpermitted solid waste management facilities, the facility boundary is the boundary of the property line where the solid waste is located.
"Landfill" means a sanitary landfill, an industrial waste landfill, or a construction / demolition /debris landfill.
"Leachate" means a liquid that has passed through or emerged from solid waste and contains soluble, suspended, or miscible materials from such waste. Leachate and any material with 1 Water Guidance Memo No. 14-2006 VPA and SWM Permitting at Solid Waste Management Facilities which it is mixed is solid waste; except that leachate that is pumped from a collection tank for transportation to disposal in an off-site facility is regulated as septage, leachate discharged into a waste water collection system is regulated as industrial waste water and leachate that has contaminated groundwater is regulated as contaminated groundwater.
"Solid waste" means any of those materials defined as "solid waste" in 9VAC20-81-95 (Identification of solid waste).
"Solid waste management facility" or "SWMF" means a site used for planned treating, storing, or disposing of solid waste. A facility may consist of several treatment, storage, or disposal units.
"Waste management boundary" means the vertical plane located at the boundary line of the area approved in the Part A application for the disposal of solid waste and storage of leachate.
This vertical plane extends down into the uppermost aquifer and is within the facility boundary.
B. VPA Permit Regulations
The following are terms defined in the VPA Permit Regulation, 9VAC25-32-10:
"Pollutant management activity" means a treatment works with a potential or actual discharge to state waters, but which does not have a point source discharge to surface waters.
"Treatment works" means either a federally owned, publicly owned, or privately owned device or system used to treat (including recycle and reclaim) either domestic sewage or a combination of domestic sewage and industrial waste of a liquid nature. Treatment works may include but are not limited to pumping, power, and other equipment and their appurtenances; septic tanks; and any works, including land, that are or will be (i) an integral part of the treatment process or (ii) used for ultimate disposal of residues or effluents resulting from such treatment. "Treatment works" does not include biosolids use on privately owned agricultural land.
IV. Background VPA permits must be issued in accordance with 9VAC25-32-30. Per 9VAC25-32-30.B, VPA permits may be issued to a broad range of activities that involve the management of a pollutant where there exists reasonable potential to adversely impact state waters resulting from a discharge of that pollutant from the activity. This does not include point source discharge to surface waters authorized by a VPDES permit (9VAC25-32-30.C), discharges to ground water through injection wells authorized by the EPA Underground Injection Control Program (40 CFR Part 144) and approved by DEQ (9VAC25-32-40.6), and land disposal activities otherwise authorized by DEQ (9VAC25-32-40.4), such as but not limited to, activities authorized by a SWM permit in accordance with 9VAC20-81. In addition, VPA permits cannot be issued where 2 Water Guidance Memo No. 14-2006 VPA and SWM Permitting at Solid Waste Management Facilities the terms or conditions of the VPA permit do not comply with the applicable regulations or requirements of the law (9VAC25-32-30.E).
Historically, VPA permits have been issued to manage pollutants from animal feeding operations, land application of biosolids, industrial sludge, and treated wastewater (municipal and industrial), and storage associated with these activities. Generally, most pollutant management activities authorized by a VPA permit serve a dual purpose of disposal and beneficial use.
A SWM permit may be issued for the ownership, operation or construction of a solid waste management facility or landfill in accordance with 9VAC20-81. The VSWMR apply to a broad range of solid wastes identified in 9VAC20-81-95. However, solid waste materials that are determined by DEQ DLPR to be beneficially reused through a Beneficial Use Demonstration (BUD) (VAC20-81-97) are not considered solid wastes for the purposes of VSWMR (9VAC20-81-95.C.6). This may apply to waste materials beneficially used in a variety of manners or uses, including those on or off the site of the SWMF, such as reuse of tire shred and sandblast grit among others. A BUD may be issued with conditions and so long as those conditions are met, the material and activity are not regulated as management of solid waste. Also, certain solid wastes are exempted from the requirements of VSWMR if they are managed in accordance with requirements promulgated by the State Water Control Board to regulate wastes (9VAC20-81-
95.E).
Landfills have the option to manage stormwater runoff and/or leachate collected from the landfill by treating it onsite to a quality that may be discharged to surface waters or transporting it off site for treatment. A discharge to surface waters from onsite wastewater treatment may be covered by a VPDES General Permit for Discharges of Storm Water Associated with an Industrial Activity where the original wastewater consists of stormwater runoff (9VAC25-151), or by an individual VPDES permit where the original wastewater consists of leachate or a combination of leachate and stormwater (9VAC25-31). For the purposes of the VPDES General Permit, the operation of a solid waste management facility or landfill is considered an industrial activity.
V.
Guidance Where provisions of the VPA Permit Regulation and the VSWMR apply to the same pollutant management activities at a SWMF, water permit and solid waste permit staff at the RO should coordinate and work cooperatively to minimize duplicate regulation of such activities. Ideally, if one administrative action can address both programmatic requirements, then only one administrative action should occur unless the facility requests to have separate administrative actions under both programs. This is particularly the goal where the VSWMR and VPA Permit Regulation have overlapping requirements or where one set of regulations is more stringent. For example, where the activity will occur within a lined area of a landfill with existing groundwater monitoring requirements, another separate groundwater monitoring requirement should not be 3 Water Guidance Memo No. 14-2006 VPA and SWM Permitting at Solid Waste Management Facilities imposed.1
Pollutant management activities that involve the treatment, storage, disposal or beneficial use of biosolids, industrial sludges, and/or wastewaters, such as leachate, may be authorized by a VPA permit anywhere within the SWMF boundaries. In lieu of a VPA Permit, these activities may be authorized by a BUD or SWM permit on a case-by-case basis.
A. BUD/SWM Permit Conditions in lieu of VPA Permit
Per 9VAC25-32-40.4 of the VPA Permit Regulation, land disposal activities that could be authorized by a VPA Permit, including biosolids use, sewage sludge disposal or onsite waste treatment, may be authorized by a BUD or changes to an existing SWM Permit in lieu of coverage under a VPA Permit at a SWMF. When evaluating a BUD for beneficial uses of solid wastes or changes in a SWM Permit that could otherwise be covered by a VPA permit, the solid waste permit staff should consult with water permit staff about any additional items to consider for the protection of state waters and public health. This evaluation should, among other things, assess whether it is appropriate to allow the proposed activity at all under a VPA permit.2
For example, the beneficial use of biosolids approved through a BUD as a soil amendment to stabilize slopes at a SWMF may need to comply with vector attraction reduction, pathogen reduction, metals limitations or setbacks specified in the VPA Permit Regulation, and should be addressed in the BUD approval process. Once these additional items have been considered, pollutant management activities that involve the beneficial use of biosolids, industrial sludges, and/or wastewaters, such as leachate, at the SWMF may be addressed as conditions within the BUD approval. Refer to Attachment A of this guidance for an example template of a BUD approval letter that would include such conditions. A BUD would most likely be used in lieu of a VPA permit where the proposed activity would occur within the lined waste management boundaries.
B. VPA Permit in lieu of BUD and SWM Permit
Where a beneficial use or disposal activity at a SWM facility cannot be authorized by a BUD under VAC20-81-97 or through a condition of a SWM permit, respectively, and has the potential to impact state waters, the RO water permit staff may evaluate the activity to determine if it can be appropriately authorized by a VPA permit. In these cases, the RO water permit staff is encouraged to consult OLAP for assistance.
Although 9VAC25-32-30.B of the VPA Permit Regulation suggests that a VPA permit can be used to authorize a broad range of non-point source pollutant management activities with 1 If a landfill applies biosolids within an area included in the groundwater monitoring network and such application results in the exceedance of Groundwater Protection Standards, the DEQ would not consider an Alternate Source Demonstration for the exceedance and all applicable VSWMR would apply to address the exceedance. 2 An entity should not use a BUD to get approval for an activity that VPA would not otherwise allow under its program. The goal of this Guidance is not to allow regulatory program shopping for activities. 4 Water Guidance Memo No. 14-2006 VPA and SWM Permitting at Solid Waste Management Facilities potential to impact state waters, this should not be interpreted to mean that a VPA permit can be used to authorize all such activities. Per 9VAC25-32-30.E.1, “No VPA permit shall be issued … [where] the terms or conditions of the VPA permit do not comply with the applicable regulations or requirements of the law.” For example, a VPA may not be issued to authorize a land disposal activity where the pollutant management activity would violate the Ground Water Standards (9VAC25-280). Therefore, a VPA Permit should not be issued for a pollutant management activity at a SWMF that (i) would require extensive ground water characterization, modeling and routine monitoring as a result of the proposed activity, and (ii) would likely become an alternate source of groundwater contamination in addition to contamination from solid waste activities authorized by the SWM permit. However, where the RO Solid Waste Permit Program can assist in suggesting appropriate limitations, monitoring requirements and special conditions for the VPA permit, as well as potentially providing technical support to review and interpret ground water modeling, monitoring plans, and monitoring results submitted in accordance with the permit, the scope of VPA permitted activities could be expanded. 5 Water Guidance Memo No. 14-2006 VPA and SWM Permitting at Solid Waste Management Facilities
Attachment A – BUD Approval Letter Template
[DEQ Letter Head]
[Date]
[Facility Contact] [Facility Address]
RE: Beneficial Use of XXX XXX Landfill, Solid Waste Permit No.
XXX
Dear [Facility Contact]:
The Virginia Department of Environmental Quality (DEQ) XXX (XRO) received your Beneficial Use request dated XXX, 20XX for the use of Class B Biosolids generated by wastewater treatment plants operated by XXXXX. The proposed beneficial use of the Class B biosolids is [describe beneficial use] at the XXXX Landfill, Permit No. XXX.
In accordance with 9VAC25-32-40 of the Virginia Pollution Abatement (VPA) regulations, a VPA permit is not required for biosolids use or sewage sludge disposal when this activity is otherwise authorized by DEQ. The use of Biosolids to [description of beneficial use] is considered a beneficial use of solid waste in accordance with 9 VAC 20-81-97 of the Virginia Solid Waste Management Regulations (VSWMR, 9 VAC 20-81) and is authorized with the following conditions:
[Outline conditions necessary after coordination with VPA Permit Program Staff]
- The Land Protection Program Manager, XXX in the XXX Regional Office ((XXX-XXX-XXXX or XXX@deq.virginia.gov) shall be notified when the beneficial use of the biosolids will begin. Use of the material shall be in a manner consistent with the conditions of all state and local permits issued to the facility.
- In accordance with 9 VAC 20-81-97.A.4., the Department may revoke this determination if it finds that one or more of the items of information submitted serving as the basis for this determination was incorrect or is no longer valid, the Department finds that there has been a violation of any condition attached to this determination, or that the use, reuse or reclamation process has become a public nuisance.
6Water Guidance Memo No. 14-2006 VPA and SWM Permitting at Solid Waste Management Facilities
Attachment A – BUD Approval Letter Template (Continued)
If you do not agree to any of the above conditions in this approval, you must notify the Department prior to the use of the solid waste as a beneficial material. In doing so, you may request either a meeting with staff or an informal fact-finding pursuant to Va. Code § 2.2-4019 to present argument or information regarding why this approval should be granted without the contested conditions and to receive a final decision on the requirement of the conditions for approval.
Please note that it is the responsibility of applicant to obtain any other permits or authorizations that may be necessary. If you have any questions regarding this matter, please contact XXX, Solid Waste Permit Writer, at (XXX) XXX-XXXX or XXX.XXX@deq.virginia.gov.
Sincerely,
Regional Land Protection Program Manager
7
Solid Waste Facility Operations GuidanceDoc ID: Implementation
COMMONWEALTH OF VIRGINIA Department of Environmental Quality ______________________________________________________________________________
Subject: Division of Land Protection and Revitalization Guidance Memo LPR-SW-01-2011A
OPERATIONS MANUAL REQUIREMENTS FOR SOLID WASTE
MANAGEMENT FACILITES
To: Regional Land Protection Program Managers
From: Jeffery Steers Director, Division of Land Protection and Revitalization
Date: July 9, 2012
Copies: Regional Directors, Deputy Regional Directors
Summary:
This guidance explains Operations Manual requirements contained in Virginia Solid Waste Management Regulations (9VAC20-81-10 et al), and replaces LPR Guidance Memo No. 01-2011, dated March 28, 2011.
Electronic Copy:
An electronic copy of this guidance is available on DEQ’s website at http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/LawsRegulationsGuidance/Guidance.aspx
Contact Information:
Please email Linda.Richardson@deq.virginia.gov or call (804) 698-4318 with any questions regarding the application of this guidance.
Disclaimer:
This document is provided as guidance and, as such, sets forth standard operating procedures for the agency. However, it does not mandate any particular method nor does it prohibit any alternative method. If alternative proposals are made, such proposals should be reviewed and accepted or denied based on their technical adequacy and compliance with appropriate laws and regulations.
Guidance Memo LPR-SW-01-2011A revised June 2012 Page 1 of 4I. Introduction
Virginia Solid Waste Management Regulations (VSWMR) require that all facilities (full solid waste permit and permit-by-rule) prepare and maintain in their operating record an operations manual in accordance with 9VAC20-81-485. The regulations stipulate certain plans that comprise the operations manual, and require review and certification of the manual annually.
The followingContentsareof operationstopics discussedmanualinrequiredSection Vbyofregulationthis guidance document: Revisionof existing operations manuals Operationaldetails that continue to be part of the permit (Design Report) Compliancewith operations manuals Responsibleofficial certification
Other potential topics that are not presented in this guidance document will be evaluated on a case-by-case basis by the DEQ.
II. Background
Amendment 7 to the VSWMR, which became effective March 16, 2011, included provisions that removed the operations manual from the facility’s Part B application and permit. These provisions allow facilities to update or change their operations manual as needed, without a permit modification. This change was intended to facilitate the use of the operations manual as a working document that can be utilized for training and a “how to” guide for operational staff.
III. Authority
§ 10.1-1402 of the Virginia Waste Management Act, Chapter 14 (§ 10.1-1400 et seq.) of Title 10.1 of the Code of Virginia, authorizes the Virginia Waste Management Board to promulgate regulations necessary to carry out its powers and duties and the intent of the Act, to supervise and control waste management activities in the Commonwealth, and to protect human health and the environment.
IV. Definitions
The definitions in § 10.1-1400 of the Code of Virginia and 9VAC20-81-10 of the VSWMR apply to this guidance document.
VADEQ Guidance Memo LPR-SW-01-2011A revised June 2012 Page 2 of 4V. Guidance The intent of this guidance is to summarize permittee responsibilities pertaining to a facility’s operations manual as required under VSWMR, 9VAC20-81-10 et seq.
V.1. Content of operations manual required by regulation
All solid waste disposal facilities and other solid waste management facilities are required to prepare and maintain an operations manual in their operating record consistent with current operations and regulatory requirements (9VAC20-81-485). The operations manual must contain at least the following plans: Operations plan Inspectionplan Healthand safety plan Unauthorizedwaste control plan Emergencycontingency plan Landscapingplan (solid waste disposal facilities only)
V.2. Revision of existing operations manuals
All facilities are allowed by regulation to revise their operations manual as needed. When the facility revises its operations manual, the revised manual must be certified by the Responsible Official, and that certification placed in the operating record with the operations manual. See Section V.5. for more details regarding certification. Operations manual certifications will be reviewed by the DEQ during compliance inspections.
V.3. Operational details that continue to be part of the permit (Design Report)
Certain operational information submitted with Part B applications are permit conditions and may only be revised by a permit modification, specifically: Hours of operation (See DEQ Form SW PTB) Dailydisposal limit (See DEQ Form SW PTB and Guidance Memo 02-2008 LandfillWastestoWastebe acceptedDisposal Limits)(See DEQ Form SW PTB).
Trafficrouting (See Submission Instruction 02) Refuse-coverbalance computations (See Submission Instruction 02) Stockpilesizing estimates (See Submission Instruction 02)
In addition to the required information submitted in the Design Report, in accordance with 9VAC20-81-430, the director may include additional permit conditions necessary to protect public health or the environment or to ensure compliance with 9VAC20-81. If contradictions arise between the facility’s operations manual and conditions contained in the permit, the permit conditions shall prevail.
VADEQ Guidance Memo LPR-SW-01-2011A revised June 2012 Page 3 of 4V.4. Compliance with operations manuals
In accordance with 9VAC20-81-485, the operations manual must reflect current operations at the permitted facility. During inspections, the DEQ may review the operations manual and current operations to ensure consistency. If the operations manual contradicts the regulatory standards, the regulatory standards shall prevail unless a variance has been granted.
V.5. Responsible Official certification
Section 9VAC20-81-485 of the VSWMR requires the responsible official for each facility certify the operations manual meets the requirements of 9VAC20-81 and reflects current operations. This certification is required on an annual basis (at least once every 12 months), or whenever the operations manual is revised.
The suggested text for the responsible official certification is provided below:
“I certify that this document and all attachments were prepared under my direction or supervision in accordance with 9VAC20-81-485 and certify the standards of the Virginia Solid Waste Management Regulations 9VAC20-81 are met.“
Responsible Official: Print name, Title Signature: Signature and Date
“Responsible Official” is defined in the regulation, 9VAC20-81-10.
VADEQ Guidance Memo LPR-SW-01-2011A revised June 2012 Page 4 of 4
Guidance for Applying Site-Specific Groundwater LimitsDoc ID: Submission
COMMONWEALTH OF VIRGINIA Department of Environmental Quality Subject: Division of Land Protection and Revitalization Guidance Memo
LPR-SW-SI-28
SUBMISSION INSTRUCTION FOR APPLYING FOR SITE-SPECIFIC ALTERNATE
CONCENTRATION LIMITS AT SOLID WASTE LANDFILLS IN AREAS WITH PUBLIC WATER SUPPLIES To: Regional Land Protection and Revitalization Program Managers From: Justin Williams, /1
Director, Office of Waste Permitting and Compliance January 21, 2015 Date: Copies: Regional Directors Summary This guidance provides owner/operators of regulated solid waste management facilities with an overview of the information applicable to requests to utilize Alternate Concentration Limits (ACLs) with an alternative risk level as Groundwater Protection Standards (GPS) at solid waste facilities in accordance with 9 VAC 20-81-250.A.6 of the Virginia Solid Waste Management Regulations (VSWMR).
Electronic Copy An electronic copy of this guidance applicable to regulated solid waste sites is available on DEQ's website at http://www.deq.virginia.gov/waste/guidance.html.
Contact Information Please contact the solid waste groundwater program coordinator, Mr. Geoff Christe at (804) 698-4283 or via email geoff.christePdeq.virginia.gov with any questions regarding the development or application of this guidance.
Disclaimer This document is provided as guidance and, as such, sets forth standard operating procedures for the agency.
However, it does not mandate any particular method nor does it prohibit any alternative method for the analysis of data, unless specifically required by the VSWMR. If alternative proposals are made, such proposals should be reviewed and accepted or denied based on their technical adequacy and compliance with appropriate laws and regulations.
Page 2 of 8
Submission Instruction iii:.1-,\RTNI1'.NT OF 28 ENVIIi()NNI1:AT.\1_, Qt iu_rry
Use of Alternate Concentration Limits with a Site-specific Risk Level at Solid Waste Landfills in Areas with Public Water Supplies
Division of Land Protection & Revitalization 629 East Main Street, 5th Floor Richmond, VA 23219
Virginia Department of Environmental Quality Page 3 of 8
APPLICABILITY This Submission Instruction (SI) is applicable to solid waste management facilities that are located in areas with public water supplies and are conducting groundwater monitoring under the requirements of the Virginia Solid Waste Management Regulations (VSWMR), originally promulgated by the Virginia Waste Management Board December 21st, 1988; as amended. These SI have been designed in a manner consistent with the regulatory language in Amendment 8 of the VSWMR, effective March 16th, 2011.
DEVELOPMENT These SI have been developed to assist an owner/operator in the preparation of a request to utilize Alternate Concentration Limits (ACLs) based on an alternative risk level as groundwater protection standards. These SI provide an outline of the suggested minimum technical content that should be included within the submittal. It is the responsibility of the Permittee to include all the data or information necessary to sufficiently support each of the conclusions presented in the submission.
These SI have not been developed as Department rule or policy. They have not gone through public comment. They do not supersede any regulatory requirements found in the VSWMR. Their use is not mandated under the current VSWMR. The Department recognizes that these SI may need to be altered to fit facility-specific geologic or hydrologic conditions that cannot be adequately accounted for in the SI. It is expected that the final content of any ACL request submitted pursuant to these SI will likely include one or more site-specific considerations.
All SI are considered 'living' documents which will be updated or revised as needed.
Comments or suggestions for future SI revisions can be submitted at any time to the attention of the Solid Waste Groundwater Program Coordinator at the address listed on the cover of this SI.
DISCLAIMER In the more than 20 years since implementation of the Subtitle D Rule governing groundwater monitoring at solid waste sites, increasing areas of the Commonwealth are now provided with municipal water supplies and/or local prohibitions against groundwater use. These factors may lessen or eliminate the potential exposure to landfill contaminated groundwater. With this in mind, it may be appropriate to set groundwater ACL's at the less stringent 1x10-5 risk level at certain sites.
With respect to ACLs based on an alternative risk level, if site conditions or land-use on surrounding properties changes (i.e., residential development) after the initial approval has been granted, use of the alternate ACLs may no longer be able to be demonstrated as protective of human health and the environment. Any change in the conditions originally used to demonstrate that the alternate risk level was appropriate could require a re-evaluation of the approved risk level. Please note the VSWMR (9 VAC 20-81-250.A.6.b.(5) gives the Director the authority to include a schedule for periodic review of approved ACLs.
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BACKGROUND Once a landfill owner/operator has recognized an exceedance of natural site background in the facility's groundwater point of compliance monitoring network, the facility must enter the Assessment or Phase II sampling programs. After entering the applicable program, the Virginia Solid Waste Management Regulations (VSWMR) require owner/operators establish Groundwater Protection Standards (GPS) which may be risk-based alternate concentration limits (ACLs) if no Federal Safe Drinking Water Act Maximum Contaminant Level (MCL) has been promulgated or if site-specific (background-based) concentrations are either not available or have not been established. Plume delineation and remediation of impacted groundwater will be required under 9 VAC 20-81-260 when a GPS exceedance is recognized and the exceedance cannot be tied to a source other than the landfill or be shown as caused by an error in sampling, laboratory analysis, or statistical evaluation.
ACL use as groundwater protection standards was originally defined under 40 CFR 264.94(b) for RCRA remediation actions and was subsequently included in 40 CFR 258.
ACL values are risk-based numbers created after factoring in the following characteristics (Oral Reference Dose; Oral Slope Factor; Inhalation Reference Concentration; Inhalation Unit Risk; and Carcinogenic vs. non-Carcinogenic nature) and based on EPA's hierarchy for toxicity data resources:
(1) Integrated Risk Information System (2) Provisional Peer-Reviewed Toxicity Values, (3) U.S. Agency for Toxic Substances & Disease Registry Minimal Risk levels, (4) The California Environmental Protection Agency; Office of Environmental Health Hazard Assessment's toxicity values, (5) PPRTV-appendix, and (6) Health Effects Assessment Summary Tables.
Under the VSWMR, ACL concentration values must meet the site and health-based criteria listed under 9 VAC 20-81-250.A.6.b.(4).(b) which includes potential adverse effects on groundwater, surface water, site use, and potential human exposure. ACLs are calculated by the Department based on potential future use (future exposure) of groundwater, not simply the current use on site or surrounding properties.
ACLs as calculated by the Department take into account sensitive subgroups (i.e. children) and all groundwater in the Commonwealth is to be considered a potential source of drinking water until such time as resource delineation or resource use restriction is in place.
The Department has determined that under certain conditions (described herein), 1x10 5 can be an alternate acceptable risk exposure level for constituents in groundwater. This SI specifies the information to be provided by a Permittee when requesting this alternative risk level.
Virginia Department of Environmental Quality Page 5 of 8
PURPOSE A landfill owner/operator who believes that a facility may be eligible for 1 x 10-5 based ACLs may propose these alternate limits: e upon first needing to establish GPS due to detection of one or more Table 3.1 Column B constituents;
- while in Phase II/Assessment monitoring, or more likely
- during any phase of the Corrective Action process (i.e. as part of CAP submittal or during the remedy implementation phase).
TECHNICAL CONSIDERATIONS FOR SITE SPECIFIC ACL USE The following information deals with the most important discussion topics included in any request to utilize an ACL at the 10-s risk level as a groundwater protection standard.
Regulatory Content Requirements Any request to utilize a site specific ACL must contain all the information and topics found under 9 VAC 20-81-250.A.6.b.(4).(b).(i - iv).
Technical Content Requirements DEQ currently calculates risk-based ACLs for carcinogens using: 1] a cancer risk level based on lifetime exposure of 1 x 10-6, 2] a hazard index of 1 for non-carcinogens and 3] the presumption that groundwater on site and adjoining properties can be used as a potential drinking water supply.
Any landfill owner/operator who would wish to apply an ACL at the 10-5 risk level must demonstrate to the Department's satisfaction that site-specific factors would allow deviation from this standard risk/hazard level without presenting potential risk to human health and the environment. Site criteria that will be reviewed/described in the request include:
o Proof there are no current users of groundwater on site or on surrounding properties and an alternate water supply is available to the site and all surrounding properties.
Proof there is an enforceable local ordinance prohibiting potable or non-potable groundwater use.
Proof that there is no potential impact from vapor intrusion to any permanent building/structure onsite or in the vicinity of the landfill where that building/structure is located above or within 100 feet laterally of groundwater which has been impacted with landfill constituents at levels which are above site background levels. Such demonstration will likely entail field work specific to VI risk assessments. a Demonstration that if there are multiple carcinogenic contaminants identified within monitoring wells on site, potential exposure to these constituents would not result in a cumulative risk exceeding a 1x10-4 threshold. ® Demonstration that use of the proposed ACL would not result in a hazard quotient (HQ) greater than one.
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- At sites which currently exceed groundwater protection standards, a determination of whether or not the plume is stable (e.g., not expanding in size) based on trends established over at least the last ten sampling events.
- If applicable, evidence that the groundwater plume is not currently discharging to, or reasonably expected to discharge to, surface waters.
- Demonstration that use of the proposed ACL would not result in unacceptable impacts to wildlife or to crops and vegetation.
Information sources for some of the information listed above may include, but are not limited to:
- Any groundwater and surface water sampling information obtained during the Detection Monitoring, Assessment/Phase II Monitoring, Nature and Extent, Assessment of Corrective Measures, or Corrective Action program; whatever is most recent to the facility's monitoring status.
- Recent soil gas or sub-slab gas survey data pertaining to VI risk.
- Groundwater user information in the site vicinity obtained from local government permitting or billing sources.
- Municipal utilities use or availability information from the local jurisdiction.
- Information from local zoning or planning departments who govern land use zoning or building permit issuance. Documentation must be provided in the form of formal correspondence from the appropriate local entity to DEQ, interpreting and attesting that their local ordinances/regulations prohibit or restrict groundwater use in the landfill area.
- Site inspection and/or site plan review.
- Federal, State, or local environmental data base/GIS searches.
TECHNICAL REVIEW Consistent with 9 VAC 20-81-250.A.6.b.(5); the Director may:
- Require additional or modified monitoring requirements or control measures as part of the site-specific ACL approval; and
- Include a schedule for periodic review of the approved ACLs (as noted above as a means to ensure the values approved remain protective of human health and the environment if site conditions change from those in place at the time of the original request).
IMPLEMENTATION SCHEDULE The Department will calculate ACLs for both the default 10-6 and the new 10 -5 risk levels. Both values will be published together at the beginning of each calendar year. 9 VAC 20-81-250.A.6.e requires the owner/operator apply the most recently issued ACLs to each groundwater sampling event completed after issuance of the revised ACLs.
Groundwater samples are to be compared against the ACLs that are in effect at the time of the sampling.
Use of the 10-5 risk level for ACL-based GPS must be specifically approved by the
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Department following a submittal that meets the requirements of this SI. Such a request may be submitted at any time after the release of this submission instruction, regardless of the groundwater monitoring program at the facility (detection, Phase II/assessment, or corrective action).
For sites in Corrective Action, data collected since remedy implementation is typically used to demonstrate progress (or lack thereof) toward meeting all remedial endpoints (GPS) and goals of 260.C.3.c.(1). The data will often be used to determine whether any changes in site conditions have taken place that may have altered the risk factors assessed during original remedy selection or the potential long term effectiveness of the remedy on the aquifer system. Because the vast majority of landfill sites trigger corrective action as a result of an exceedance over a Federal Safe Drinking Water Act MCL, use of a site-specific ACL will be unlikely to terminate or dramatically shorten the life of the remedial program. However, site-specific ACLs, if approved, would potentially shorten the list of GPS exceeding groundwater constituents that would be required to meet cleanup endpoints. This could potentially lessen overall groundwater sampling costs during corrective action.
EXAMPLE TABLE OF CONTENTS
- Signature-Seal Page
- Executive Summary
- Groundwater Issues .1 Hydrologic characteristics of the site including groundwaterlow direction and rate .2 Summary review of any landfill design aspects which prevent leachate from entering the aquifer .3 Review of existing groundwater quality on site and, if applicable, potential for contaminant plume migration toward potential receptors .4 List of groundwater constituents of concern proposed for site specific ACL use .5 Physical properties and health assessment of the groundwater constituents of concern using published data sources
Surface Water Issues .1 Proximity of the landfill's impacted groundwater to hydrologically connected surface waters including any evidence of impacted groundwater currently discharging to surface waters .2 Current and future uses of onsite and adjoining property surface water .3 Current surface water quality .4 (In those cases where surface water is onsite or forms a property boundary) Demonstration that proposed 10-5 groundwater ACLs would not violate any existing surface water quality standards
Human Exposure Issues 1 Current potable or non-potable groundwater users (on site and adjoining properties) .2 Future potable or non-potable groundwater users (on site and adjoining
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properties) .3 Current availability of alternate water supply (in site vicinity) .4 Institutional Controls (any existing prohibition against groundwater use on site and surrounding properties) .5 Potential(s) for human exposure to landfill impacted groundwater .6 Potential(s) for human exposure to groundwater plume constituent vapors including any adverse affects on existing physical structures above or within 100 feet laterally of the known limit of the groundwater plume .7 Demonstration that proposed ACLs meet the VSWMR risk guidelines for lifetime exposure including sensitive subgroups (may be replaced by reference to DEQ provided ACL table)
Ecologic Exposure Issues .1 Review of potential impacts on wildlife .2 Review of potential impacts on crops and vegetation
ACL Development Methodology (may be replaced by a reference to DEQ's ACL table if the owner/operator adopts the default calculated concentrations)
Figures/Attachments
- USGS 7 1/2-minute topographic map - showing the site location. Recent aerial image covering the site and surrounding properties.
- Zoning/GIS Map of site and surrounding properties Site Plan - to include topographic contours, permanent structures, surface water features, a bar scale, north arrow, facility boundary, waste management unit boundary, and all monitoring wells or sampling points relevant to the submittal.
Groundwater potentiometric map with location of monitoring wells and, if applicable, up to date delineation of GPS exceeding plumes. Constituent specific, groundwater trend graphics (if available).
Copy of any local ordinance, zoning prohibition, UECA or other institutional control governing groundwater use on site and surrounding properties along with correspondence from the issuing authority interpreting the restriction.
Optional figures - published geologic maps, USDA soils maps, etc.
Virginia Department of Environmental QualityviRGINIA DER \RTNENT OF
ENVIRONMENTAL QI:ALITY FREQUENTLY ASKED QUESTIONS (FAQ) & ANSWERS Use of site-specific alternate concentration limits at solid waste landfills in areas with public water supplies Division of Land Protection and Revitalization 629 East Main Street Richmond, Virginia 2321g January 2015 Introduction Once a landfill owner/operator has recognized an exceedance of natural site background in any one of the facility's groundwater point of compliance monitoring wells, the facility must enter the Assessment or Phase II groundwater sampling programs. After entering the applicable program, the Virginia Solid Waste Management Regulations (VSWMR) require owner/operators establish Groundwater Protection Standards (GPS) which may be risk-based alternate concentration limits (ACLs) if no Federal Safe Drinking Water Act Maximum Contaminant Level (MCL) has been promulgated or if site-specific (background-based) concentrations are either not available or have not been established. Plume delineation and remediation of impacted groundwater will be required under 9 VAC 20-82-260 when a GPS exceedance is recognized and the exceedance cannot be tied to a source other than the landfill or be shown as caused by an error in sampling, laboratory analysis, or statistical evaluation.
EPA noted that risk-based ACLs for carcinogens shall be calculated using a lifetime cancer risk level due to lifetime exposure of ino(-6) (see Appendix F (56 FR 51086) of the Preamble to the Subtitle D rule of /to CFR 258). However EPA additionally noted that a variety of site specific factors may allow deviation from this standard risk level as long as the risks to the individual not exceed 1x1o(-4) and the ACL is established in a manner consistent with EPA guidelines for assessing health risks.
In the more than 20 years since the Commonwealth's implementation of its Subtitle D equivalent monitoring program, increasing areas of the Commonwealth are now provided with municipal water supplies and/or local prohibitions against groundwater use. These factors lessen or eliminate the potential exposure to landfill contaminated groundwater and with this in mind, it may be appropriate to set groundwater ACL's at the less stringent axao(-5) risk level at certain sites.
This Frequently Asked Questions (FAQ) document is provided as a reference for owner/operators who may have questions about the process of demonstrating potential eligibility for use of ixio(-5) based ACLs as groundwater protection standards on site. As required under 9 VAC 2o-81-25o.A.6.b.(4), Director approval is required for use of any ACL as a groundwater protection standard and this includes 1x1o(-5) based ACLs.
If you need further assistance with corrective action related groundwater issues, please contact the Solid Waste Groundwater Program Coordinator, Mr. Geoff Christe at (804) 698-4283 or Geoff.Christe ®deq.virginia.gov or your Regional Office groundwater contact. If you have a site-specific questions on ACL applicability from a risk standpoint, contact Ms. Sonal Iyer at (804) 698-4259 or Sonal.lyer@deq.virginia.goy.
ACL performance standards
i] What is the basis for ACL use in groundwater monitoring?
ACL use was originally defined under 40 CFR 264.94(6) for RCRA remediation actions.
ACL values are risk-based numbers created after factoring in the following constituent characteristics (Oral Reference Dose; Oral Slope Factor; Inhalation ReferenceConcentration; InhalationUnit Risk; and Carcinogenic vs. non-Carcinogenic nature) and reflects EPA's hierarchy for toxicity data resources:
Integrated Risk Information System (2) Provisional Peer-Reviewed Toxicity Values, (3) U.S. Agencyfor Toxic Substances & Disease Registry Minimal Risk levels, (4) The California Environmental Protection Agency; Office of Environmental Health Hazard Assessment's toxicity values, (5) PPRTV-appendix, and (6) Health Effects Assessment Summary Tables.
2] What performance 'benchmarks' must ACLs meet?
An ACL concentration value must meet the site and health-based criteria listed under 9 VAC 20-81-25o.A.6.1x(4).(b) which includes potential adverse effects on groundwater, surface water, site use, and potential human exposure.
It is important to recognize that when calculating ACLs using the REAMS program or a site-specific model, exposure must take into account sensitive subgroups (i.e. children). All groundwater in the Commonwealth is to be considered a potential source of drinking water until such time as resource delineation or resource use restriction is in place.
Most importantly, ACLs are calculated based on potential future use (future exposure), not simply the current conditions on site or surrounding properties.
3] I understand that the Department will provide a listing of ACL values, but if I want to calculate my own, what information does a facility-calculated ACL request need to include?
From an administrative standpoint, all the information/topics addressed under 9 VAC 20-8s-25o. A. 6.b. (4).(b). (i — iv).
4] If i x so(3) based ACLs are approved for use at my facility, when would the new values become effective in the groundwater monitoring program?
9 VAC zo-82-25o.A.6.e requires the owner/operator apply the most recently issued ACL values to each sampling event completed after issuance of the ACLs.
If there is a case where groundwater has been sampled prior to the ACL revision being released, and the analytical results are released after the ACL revision has been issued, the results of the sampling event should be compared to the ACL values in place at the time the sampling event was undertaken.
2In those cases where the news x so(') ACL values would not trigger a GPS exceedance, even though the previous values would have, the exceedance shall be reported as normally required by the VSWMR and the Department will issue a response that further action addressing the exceedance shall not be required if the new ACL value is not exceeded in a future sampling event.
Screening Factors for Site-Specific ACL use
DEQ currently calculates risk-based ACLs for carcinogens using a lifetime cancer risk level based on lifetime exposure of i x ao(-6) and a hazard index of a for non-carcinogens and the presumption that groundwater on site and adjoining properties can be used as a potential drinking water supply. Any landfill owner/operator who would wish to apply a less stringent ACL must demonstrate to the Department's satisfaction that site specific factors would allow deviation from this standard risk/hazard level without presenting potential risk to human health and the environment, and demonstrate the site-specific ACL is established in a manner consistent with EPA guidelines for assessing health risks.
5] What site factors would most likely lead to an allowance to utilize a 3. x io(-5) based ACL as GPS?
- There are no current users of groundwater on site or on surrounding properties.
- An alternate water supply is currently available to the site and all surrounding properties.
- There is an enforceable local ordinance prohibiting contaminated groundwater use.
- The groundwater plume is not currently discharging to, or reasonably expected to discharge to surface waters.
- There are no permanent building/structures located above, or within zoo feet of, any impacted groundwater monitoring well with contaminant concentrations which could lead to potential for vapor intrusion risk.
- Preferably, any impacted groundwater (i.e. with detected constituents) remains confined within the Permitted Facility Boundary and the plume is stable (not expanding) based on trends established over at least ten sampling events.
- The presence of multiple carcinogenic contaminants would not result in a cumulative risk exceeding s x so-4.
- The use of z x so'does not result in a hazard quotient (HO) greater than one.
6] Why is it important that the plume remain on site and be shown to be stable?
If a landfill caused groundwater plume remains on site, the owner/operator has full control over potential exposure to the contaminated media. Once a plume has left the site, this control is lost.
For any landfill proposing use of site-specific ACLs, the owner/operator must have reasonable certainty that the plume, which may currently reside on site at the time of the request, is stable and not expanding such that off site plume migration may take place in the future. At least so sampling events are necessary to establish statistically significant trends.
If the plume has migrated off-site, control of off-site groundwater use must be established and documented by the appropriate locality and the off-site landowner must be notified of the impact.
If off-site risk is exceeding the current standard risk/hazard based performance criteria (i.e. cumulative risk below z x so-4 or less and hazard quotient of z or less), or there is any potential for vapor intrusion issues, site-specific ACL use may not be deemed appropriate.
37] Why is it important to show there are no current groundwater users in the site area and an alternate water supply is also available?
The owner/operator must demonstrate that the impacted groundwater is not currently being used by any potential receptors. In addition, if there is a lack of alternate water supply in the area, even though the contaminated groundwater may not be currently used as a resource, it may have to be used in that manner in the future. ACL values must be calculated based on future uses, not simply current use.
8] Why is it important to determine if there is a local enforceable prohibition against groundwater use?
Use of site-specific ACL values as GPS will allow forgroundwater with elevated concentrations of landfill constituents to go unremediated. As a result, it is important to have an enforceable mechanism in place which would prevent the cross media transfer of groundwater contaminants to the surface (e.g., irrigation, landscaping, agricultural use, non-potable use) on site or in those cases where the plume has migrated off-site, on adjacent properties.
g] Why does the presence of onsite and nearby surface water matter?
Current Water Law in the Commonwealth prohibits discharge to State waters without a discharge Permit. EPA Corrective Action guidance also notes that unacceptable cross-media transfer of contaminants should be avoided. Therefore, the impact of using site-specific ACLs on the conditions of onsite and nearby surface waters must be evaluated.
10] Why are permanent buildings/structures included in the demonstration?
Evaluation of "other adverse effects" including physical structures, is already required under 9 VAC 2o-81-25o.A.6.b.(4).(b).(iv) of the VSWMR.
With respect to use of z x ACL values, the owner/operator must review whether these structures lie atop the groundwater plume and whether or not the structures were built with vapor intrusion prevention systems.
If no such intrusion protection(s) is in place, the owner/operator must evaluate the risk of vapor intrusion exposure within these buildings based on the groundwater concentration levels that would be allowable under the site-specific ACLs. Vapor intrusion screening values may be requested from the Department for review. Site evaluation work may include the installation and sampling of soil vapor/gas wells near any permanent on site buildings. Similarly, an evaluation for vapor intrusion risk should occur for any off-site structures within loo feet of the known limits of the groundwater plume.
11] How does the owner/operator demonstrate the factors discussed in item 5] above have been evaluated?
- Groundwater sampling information obtained during the Nature and Extent, Assessment of Corrective Measures, or Corrective Action program, whatever is most recent to the facility's monitoring status.
- Groundwater user information obtained from local government permitting or billing sources.
- Municipal utilities information available from the local jurisdiction.
4 • Information from local zoning or planning departments who govern land use zoning or building permit issuance.
- Site inspection and/or site plan review.
- Environmental data base/GIS searches.
Documentation must be provided in the form of formal correspondence from the appropriate local entity to DEO, interpreting and attesting that their local ordinances/regulations prohibit or restrict potable or non-potable groundwater use in the areas affected by (or potentially affected by) the landfill impacted groundwater.
12] Does the owner/operator have to calculate the 1 x 10(-5) ACL values or will DEQ provide REAMS-based values at that risk level?
DEQ will provide the default ACL values at individual risk of 1 xio-6 as part of the annual ACL update, and will also include a table showing the 1 xiorsvalues. Use of these values will require site-specific Director approval.
13] If approved for use, can alternate ACL approval ever be withdrawn in the future?
If site conditions or land-use on surrounding properties changes (i.e., residential development) after the initial approval has been granted, use of the alternate ACLs may no longer be appropriate or be able to be demonstrated as protective of human health and the environment. Additionally, any change in the number of constituents detected, concentration of detected constituents, detection limits for all constituents, toxicity values for any of the detected constituents, exposure factors, and ecological screening values could require that a revised site-specific ACL is calculated to demonstrate that the cumulative risk and hazard quotient standards are met. Please note the VSWMR (9 VAC zo-81-25o.A.6.b.(5) already gives the Director the authority to include a schedule for periodic review of the approved ACLs.
Application of site-specific ACLs
14] At what point in my monitoring program can I request use of 1 x io(-5) based ACLs?
GPS must be established whenever a landfill owner/operator finds one or more groundwater constituent present at a level that is statistically above the natural background level at the groundwater point of compliance as this indicates a potential landfill-derived impact to the uppermost aquifer system.
A landfill owner/operator who believes that a facility may be eligible for 1 x io(-5) based ACLs may in some cases, propose these alternate limits upon first needing to establish GPS due to detection of one or more Table 3.1 Column B constituents; while in Phase II/Assessment monitoring, or more likely during any phase of the Corrective Action process (i.e. as part of CAP submittal or during the remedy implementation phase).
15] Doesn't the Department have a policy regarding possible implementation of 1 x io(-5) based ACL before Corrective Action is initiated?
Yes. That policy referred to constituents that were the sole triggers of a GPS exceedance as a result of substantial lowering of the ACL. These FAQs provide expanded guidance for use of the]. x lot') values to any group of sites that meets the criteria in #5.
53.6) Does that mean site-specific ACLs could be applicable at some point in the corrective action process?
Yes. Once plume extent has been fully identified, as part of submittal of the proposed Corrective Action Plan (CAP), the owner/operator may request to use ACLs for GPS based on a x 1o(-5) risk value.
Under the VSWMR, the groundwater remedy has to achieve GPS in all points of the plume beyond the edge of the waste mass. The remedy also has to demonstrate protection of HH&E, control the source of the release (to prevent or minimize future releases), and (if applicable) properly address the handling of investigative-derived waste.
It may be possible to demonstrate, and thus justify the use of i x 1o(-5) clean-up standards, if site-conditions indicate such standards will still be protective of human health and the environment.
However, before such a decision can be made, the full extent of the groundwater plume for all GPS exceeding constituents must be known as those plume limits have direct bearing on some of the technical items noted above.
- 7)1 have already implemented my groundwater remedy, could I still request site-specific ACL use at this point in time?
Yes. Nothing prohibits an owner/operator from requesting site-specific ACL use after they have already implemented their CAP. If such ACLs are approved, the owner/operator may have to modify the GPS constituents of concern list included in the approved CAP or, in rare instances, may be able to terminate CA.
18) How would use of site-specific ACLs affect my groundwater corrective action remedy performance?
Groundwater data collected since remedy implementation is presented in documents titled Corrective Action Site Evaluation (CASE) reports (260. G.1). These documents, which the Department has developed Submission Instructions for (available via links on the DEQ website) address the criteria listed under 26o.D.1.b.(8), 260.D.1.c and (with respect to PPR-based remedies) 26o.C.2f, as well as any site-specific requirements included as conditions in Module XIV of the facility's solid waste permit.
The purpose of the CASE is to demonstrate progress (or lack thereof) toward meeting all remedial endpoints (GPS) and goals of 26o.C.3.c.(1), as well as to discuss whether any changes in site conditions have taken place that have altered the risk factors assessed during original remedy selection, as well as the adequacy of the monitoring well network used to monitor the effects of the remedy on the aquifer system.
Because the vast majority of landfill sites trigger corrective as a result of an exceedance over a Federal Safe Drinking Water Act MCL, use of the site-specific ACLs will be unlikely to terminate or dramatically shorten the life of the remedial program. More likely, the site-specific ACLs, if approved, would shorten the GPS exceeding list of groundwater constituents of concern that would be required to meet cleanup endpoints. This could potentially lessen overall groundwater sampling costs and/or the number of corrective action wells that have been installed in the monitoring network.
6Administrative Process
19] What type of site-specific ACL request would be needed?
Consistent with 9 VAC 20-81-25o.A.6.b.(4).(a), the owner/operator must submit a request to use ACLs as GPS. As noted above, this request would most commonly come in at the same time the proposed CAP is submitted, or during or following remedy implementation.
At a minimum, the request should contain the technical items discussed in this FAO document.
20] Is there a fee or public notification involved in the review and approval process?
No.
21] What decisions could the Director make regarding the request?
Consistent with 9 VAC 2o-R1-25o.A.6.b.(5); the Director may:
- Approve the requested ACLs
- Issue modified ACLs which differ from those requested
- Require additional or modified monitoring requirements or control measures as part of the ACL approval
- Include a schedule for periodic review of the approved ACLs (as noted above as a means to ensure the values approved remain protective of human health and the environment if site conditions change from those in place at the time of the original request)
7
Wetlands Siting and Groundwater Monitoring GuidanceDoc ID: Siting
MEMORANDUM
Department of Environmental Quality Waste Division
SUBJECT: Guidance Memo No. 03-2005 Guidance for the implementation of HB2192 regarding wetlands siting and increased groundwater monitoring originally issued as Guidance 02-1999
TO: Waste Compliance and Permitting Managers, Groundwater Managers and Staff
FROM: Karen Jackson Sismour
Director, Waste Division
DATE: [Signed 08/17/2005]
ATTACHMENT: Permit Conditions
Introduction
Va. Code §10.1-1408.5, containing special provisions regarding tidal wetlands or nontidal wetlands contiguous to any tidal wetland or surface water body, became effective on July 1, 1999. Legislation passed during the 2005 session of the General Assembly updated these provisions. This document identifies the special provisions and provides guidance regarding the updated provisions for waste program staff. Draft permit conditions are also provided as an attachment.
In addition to the updated requirements of the legislation, additional regulations affecting the siting of landfills in wetlands are contained in Virginia’s wetlands laws (Virginia Water Protection Permit, VWPP Regulations: 9VAC 25-210 et seq, 9VAC 25-660 et seq, 9VAC 25-670 et seq, 9VAC 25-680 et seq, and 9VAC 25-690 et seq.), in 9 VAC 10-20-10 et seq.
Chesapeake Bay Preservation Area Designation and Management Regulations, in § 404 of the federal Clean Water Act, and Subtitle D of the Resource Conservation and Recovery Act. In addition, wetlands siting restrictions are provided in the siting criteria contained in 9 VAC 20-80-250 A 4 b.
It should be noted that the provisions of §10.1-1408.5 do not apply to isolated wetlands.
Definitions
Contiguous is defined herein as adjacent to and touching.
Expansion of a municipal solid waste landfill shall include the siting and construction of Special Provisions Regarding Wetlands Va. Code §10.1-1408.5.
Page 2 new cells or the expansion of existing cells at the same location.
Note: If a facility has a previously approved (prior to July 1, 2005) Siting (Part A) or Construction (Part B) plan that involved expansion into a wetland, the facility will not be subject to additional permitting requirements in §10.1-1408.5 B. Future expansions however will be subject to these requirements.
Landfill is defined under 9 VAC 20-80-10 as meaning a site which acts or has acted as a sanitary, industrial, or construction/demolition debris landfill. A landfill is defined by US EPA (175-B-97-001 / Glossary, Abbreviations, and Acronyms) as disposal sites … for solid wastes.
A landfill can include individual disposal areas or units, or may consist of a single disposal area or unit.
The VSWMR lack a definition of a surface water body. Using the U.S. Army Corps of Engineers (responsible for Federal oversight of wetlands) definition, a surface water body is a lake, natural pond, river, stream (including intermittent streams), estuary, or ocean water. Waste water treatment systems, including treatment ponds or lagoons designed to meet the requirements of the Clean Water Act, are not surface waters.
Surface water means all state waters that are not ground water as defined in Sec.62.1-255 of the Code of Virginia. State waters means all water, on the surface and under the ground, wholly or partially within or bordering the Commonwealth or within its jurisdiction, including wetlands. A surface water body, using the U.S. Army Corps of Engineers definition, is a lake, natural pond, river, stream (including intermittent streams), estuary, or ocean water. Waste water treatment systems, including treatment ponds or lagoons designed to meet the requirements of the Clean Water Act, are not surface waters. Contiguous is defined as adjacent to and touching.
Sec.62.1-255 of the Code of Virginia "Ground water" means any water, except capillary moisture, beneath the land surface in the zone of saturation or beneath the bed of any stream, lake, reservoir or other body of surface water wholly or partially within the boundaries of this Commonwealth, whatever the subsurface geologic structure in which such water stands, flows, percolates or otherwise occurs.
A wetland is defined under 9 VAC 20-80-10 to be equivalent to that defined under 33 CFR 328. §10.1-1408.5 covers both tidal wetlands and nontidal wetlands (larger than or equal to 2 Special Provisions Regarding Wetlands Va. Code §10.1-1408.5.
Page 3 2 acres in size) that are contiguous to any tidal wetland or surface water body. The term wetland, as applied by this special provision, means any tidal wetland or a nontidal wetland contiguous to any tidal wetland or surface water body.
- 0 Permit Issuance, Special provision regarding wetlands §10.1-1408.5
- 1 Applicability
Under the provisions of §10.1-1408.5, the Director shall not issue any solid waste permit for a new municipal solid waste (MSW) landfill (sanitary landfill) or the expansion of a sanitary landfill that would be sited in tidal wetlands or nontidal wetlands contiguous to any tidal wetland or surface water body. The law prohibits the construction of a landfill in these areas even if it meets the provisions of the water regulations or the provisions of the Virginia Solid Waste Management Regulations.
For sanitary landfill expansions, the Director may issue a permit only if each of the following conditions are met:
- The proposed landfill is at least 100 feet from any surface water body;
- The proposed landfill is at least 1 mile from any tidal wetland;
- The Director determines based upon the existing condition of the wetland system, including, but not limited to, sedimentation, toxicity, acidification, nitrification, vegetation, and proximity to existing structures, that the construction or restoration of a wetland system in another location in accordance with a Virginia Water Protection Permit approved by the State Water Control Board would provide higher quality wetlands; and
- The permit requires a minimum two-to-one wetlands mitigation ratio.
Under the new legislative provisions, “Expansion of a municipal solid waste landfill” has been defined in §10.1-1408.5A. The section states that the term shall include “the siting and construction of new cell or the expansion of existing cells at the same location.” Therefore, any permit amendment which adds additional disposal area to an existing permit must comply with the provisions of the legislation if the construction will impact tidal wetlands or nontidal wetlands contiguous to any tidal wetland or surface water body. 3 Special Provisions Regarding Wetlands Va. Code §10.1-1408.5.
Page 4 The legislation states that the director shall not issue an approval for a permit for a new facility or an expansion other than as defined in the legislation. Therefore, facilities with previously approved permits (approved by July 1, 2005) for a new facility or an expansion which impact tidal wetlands or nontidal wetlands contiguous to any tidal wetland or surface water body are not affected by the siting provisions in the legislation.
- 2 Exemptions from Siting Provisions
There are exemptions to Va. Code §10.1-1408.5, which allow construction in tidal wetlands or nontidal wetlands contiguous to any tidal wetland or surface water body as follows:
- For an expansion of an existing sanitary landfill located in a city with a population between 41,000 and 52,500 when the owner or operator is an authority created pursuant to §15.2-5102 which has applied for a permit under § 404 of the federal Clean Water Act prior to January 1, 1989, and the owner or operator has received a permit under § 404 of the federal Clean Water Act and § 62.1-44.15:5 of the Code and complied with all other applicable federal and state environmental laws and regulations. In addition, construction of a new MSW landfill is allowed in any county with a population between 29,200 and 30,000 according to the 1990 United States Census. It should be noted that the siting restrictions stated in item 2 below, do not apply to the facilities that are exempt based on population.
All facilities are subject to 9 VAC 10-20-10 et seq. Chesapeake Bay Preservation Area Designation and Management Regulations, 9VAC 25-210 et seq. Virginia Water Protection program, Virginia Tidal Wetlands Act, Subtitle III of Title 28.2 of the Code of Virginia (VMRC subaqueous lands permits), and §404 of the federal Clean Water Act.
- For the expansion of a sanitary landfill, if the following conditions are met: 1) the proposed landfill site is at least 100 feet from any surface water body and at least one mile from any tidal wetland and 2) the director determines, based on the existing condition of the wetlands system, including but not limited to, sedimentation, toxicity, acidification, nitrification, vegetation, and proximity to existing permitted waste disposal areas, roads or other structures, that the construction or restoration of a wetland system in another location in accordance with a Virginia Water Protection Permit approved by the State Water Control Board would provide higher quality wetlands, and 3) the permit requires a minimum two to one wetlands mitigation ratio.
- The final exemption states that the provisions of §10.1-1408.5 of the Code of Virginia do not apply to landfills which impact less than 2 acres of nontidal wetlands. 4 Special Provisions Regarding Wetlands Va. Code §10.1-1408.5.
Page 5
- 3 Permits for New Landfills
It should be noted that §10.1-1408.5 A states that the director shall not issue a permit for a new municipal solid waste (MSW) landfill. Since new landfills are not mentioned in §10.1-1408.5B, no new landfill can be sited in tidal wetlands or nontidal wetlands contiguous to any tidal wetland or surface water body unless it impacts less than 2 acres of nontidal wetlands or it meets the specific exclusion in §10.1-1408.5A(ii) which allows the construction of a new MSW landfill in any county within the specified population. New landfills cannot be sited in tidal wetlands or nontidal wetlands contiguous to any tidal wetland or surface water body under the provisions of §10.1-1408.5B. It should also be noted that in the definition of “expansion of an existing MSW landfill”, “new cells or the expansion of existing cells at the same location” does not mean new cells at a new location (new landfill). Although new landfills or expansions that impact less than 2 acres are not subject to §10.1-1408.5 of the Code of Virginia, they must still meet the wetlands siting provisions of 9 VAC 10-20-10 et seq. Chesapeake Bay Preservation Area Designation and Management Regulations 9 VAC 20-80-250 A 4 b, VWPP, and §404 of the federal Clean Water Act.
- 4 Permits for Expansions
It should be noted that §10.1-1408.5 A states that the director shall not issue a permit for an expansion of an MSW landfill except as allowed by the section. §10.1-1408.5 B allows expansions of municipal solid waste landfills if they meet the specific requirements. §10.1-1408.5 D states that the section does not apply to “landfills” which impact less than two acres of nontidal wetlands. Because the term “landfill” is used in the law, the 2 acres mentioned in the law applies to the landfill as a whole rather than each expansion occurring at the facility even if the facility boundary is expanded. Any MSW landfill may impact less than 2 acres of nontidal wetlands without becoming subject to the provisions of §10.1-1408.5. As indicated above, although facilities that impact less than 2 acres are not subject to §10.1-1408.5 of the Code of Virginia, they must still meet the wetlands siting provisions of 9 VAC 10-20-10 et seq.
Chesapeake Bay Preservation Area Designation and Management Regulations, 9 VAC 20-80-250 A 4 b, 9VAC 25-210 et seq. Virginia Water Protection program, Virginia Tidal Wetlands Act, Subtitle III of Title 28.2 of the Code of Virginia (VMRC subaqueous lands permits),, and §404 of the federal Clean Water Act.
- 5 Impacts to Wetlands
The provisions of §10.1-1408.5 D were established in 1999. Originally the provisions stated 5 Special Provisions Regarding Wetlands Va. Code §10.1-1408.5.
Page 6 that the requirement of the section did not apply to landfills impacting less than 1.25 acres of nontidal wetlands. Now the provision states that the section does not apply to landfills impacting less than two acres. Because the provision was modified rather than provided as a new requirement, landfills that previously impacted less than 1.25 acres may impact additional acreage as long as the total impact for the landfill since July 1, 1999 is less than 2 acres.
- 0 Quarterly Groundwater Monitoring, Special provision regarding wetlands §10.1-1408.5
- 1 Applicability
Va. Code §10.1-1408.5. requires that groundwater monitoring be conducted at least quarterly by the owner or operator of a solid waste management landfill that is accepting MSW, if the landfill meets any one of three conditions: 1) It was constructed on tidal wetlands or nontidal wetlands contiguous to any tidal wetland or surface water body, 2) It has a potential hydrologic connection to tidal wetlands or nontidal wetlands contiguous to any tidal wetland or surface water body in the event of an escape of liquids from the facility, or 3) It is within a mile of such a wetland, unless the Director determines that less frequent or more frequent monitoring is necessary.
Because the Va. Code uses the word landfill and not landfill ‘unit’, or landfill disposal ‘area’, the Code provision is applicable to any landfill site which received municipal waste after June 30, 1999. In other words, a landfill that is otherwise subject to semi-annual groundwater monitoring requirements under the VSWMR, including facilities in post-closure care monitoring, is potentially subject to the requirements of quarterly monitoring if the landfill site was active and has received municipal solid waste on or after July 1, 1999 and:
- was constructed on a tidal wetland or a nontidal wetland larger than or equal to 2 acres;
- has a potential hydrologic connection to a tidal wetland or a nontidal wetland larger than or equal to 2 acres;
- is within a mile of tidal wetland or a nontidal wetland larger than or equal to 2 acres, unless the Director determines that less frequent monitoring is necessary.
Note that the 2 acre allowance for nontidal wetlands mentioned above is discussed further Section 1.2, Exemptions from Quarterly Monitoring.
Solid waste facilities, accepting MSW, meeting the conditions of Code of Virginia §10.1-1408.5 shall monitor groundwater quarterly until the above-noted demonstrations are approved 6 Special Provisions Regarding Wetlands Va. Code §10.1-1408.5.
Page 7 by the Director. If a demonstration has been approved by the Director that is solely based on an engineering design which prevents a release from the facility and a release from the facility is detected, then the monitoring frequency shall become quarterly. A release, for the purpose of this demonstration, is a statistically significant increase in any monitored constituent or a discharge of leachate to surface water.
- 2 Exemptions from Quarterly Monitoring
The Code states that the provisions of §10.1-1408.5 of the Code of Virginia do not apply to landfills which impact less than 2 acres of nontidal wetlands.
Prior to the most recent modification of the Code, §10.1-1408.5 applied to all MSW landfills unless they impact less than 1.25 acres of nontidal wetlands. Under the new legislative requirements, §10.1-1408.5 applies to all MSW landfills unless they impact less than 2 acres of nontidal wetlands. Therefore, some MSW landfills which originally had been subject to the requirements of the section because they impacted 1.25 acres or more may no longer be subject to the section if they impact less than 2 acres of wetlands. This may affect some facilities which are performing quarterly groundwater monitoring. Facilities which impacted 1.25 acres or more after July 1, 1999, but impacted less than 2 acres may cease quarterly groundwater monitoring after filing and obtaining approval from the department with an amended wetlands demonstration. Facilities that have historical impacts to tidal wetlands or nontidal wetland impacts totaling 2 acres or more must monitor groundwater quarterly. Further details are provided in the attached permit conditions.
The quarterly groundwater monitoring requirements do not apply to a solid waste management facility that did not receive MSW on or after July 1, 1999. In other words, a facility that is subject to groundwater monitoring requirements is not required to monitor groundwater quarterly unless the facility was active and had received MSW on or after July 1, 1999.
Facilities that have stopped receiving MSW are not required to continue quarterly monitoring.
If a sanitary landfill receives only MSW ash, then the groundwater monitoring shall be conducted semiannually, unless more frequent monitoring is required by the Director.
- 3 Examples and Required Demonstrations
There are three separate conditions under Va. Code §10.1-1408.5, that require a facility to conduct quarterly groundwater monitoring. Three examples have been provided to outline the demonstrations that must be provided to avoid quarterly groundwater monitoring. 7 Special Provisions Regarding Wetlands Va. Code §10.1-1408.5.
Page 8 Example 1: The groundwater monitoring frequency shall be quarterly for landfills, accepting MSW, that were constructed on tidal wetlands or nontidal wetlands contiguous to any tidal wetland or surface water body, unless a demonstration is made that the engineering design of the facility will not allow escape of liquids from the landfill.
Such demonstrations may include (but not be limited to) a double liner system with a witness zone, a slurry wall, or modeling that demonstrates no potential release of liquids from the facility. The demonstration may also include such information as a copy of the National Wetlands Inventory map, USDA Soil Survey and USGS Topographic quadrangle map (if these sources show pre-construction site conditions), US Army Corps of Engineers confirmed delineation for surface waters. If a Part A exists for the facility, then the Part A shall also be used to determine whether the facility was constructed on a wetland.
Example 2: Solid waste facilities, accepting MSW, that are potentially hydrologically connected to tidal wetlands or nontidal wetlands contiguous to any tidal wetland or surface water body in the event of an escape of liquids from the facility shall monitor groundwater on a quarterly basis, unless a demonstration is made that there is no connection to the wetland.
The demonstration may include National Wetlands Inventory map, USDA Soil Survey, USGS Topographic quadrangle map, and site specific groundwater flow rate and direction information (from the most recent Annual Report submission), or other appropriate information (including engineering controls) and approved by the Director.
Example 3: Solid waste facilities, accepting MSW, that are within one mile of tidal wetlands or nontidal wetlands contiguous to any tidal wetland or surface water body shall monitor quarterly unless it is demonstrated that the sanitary landfill cannot potentially be connected to the wetlands within a one mile radius.
For that demonstration, the facility owner/operator should submit a topographic map clearly delineating a one mile radius and a National Wetlands Inventory map or other appropriate wetland information (aerial photography), along with sufficient information (including engineering controls) that demonstrates no potential connection. Such information should include, but not be limited to, local and regional groundwater flow directions, hydrogeologic isolation/separation, or other site-specific information.
For sites that have a potential hydraulic connection to or may be located within a mile of tidal wetlands or nontidal wetlands contiguous to any tidal wetland or surface water body, based 8 Special Provisions Regarding Wetlands Va. Code §10.1-1408.5.
Page 9 on the information outlined above, the facility owner or operator may wish to confirm the accuracy of the wetlands information from the data sources listed above. Any further demonstration in addition to the information suggested in the examples above or any confirmation whether the 2 acre threshold is met or exceeded must be supported by a Jurisdictional Determination (confirmation of wetland delineation boundaries according to 9 VAC 25-210-80-B 1 k(2).) A delineation map must be provided of the geographic area of a delineated wetland for all wetlands on the site, in accordance with 9VAC25-210-45 (cited below), including the wetlands data sheets, and the latitude and longitude (to the nearest second) of the center of the wetland impact area. Wetland types shall be noted according to their Cowardin classification or similar terminology. A copy of the USACE delineation confirmation, or other correspondence from the USACE indicating their approval of the wetland boundary, shall also be provided at the time of application, or if not available at that time, as soon as it becomes available during permit review. The delineation map should also include the location of all impacted and non-impacted streams, open water and other surface waters on the site. The approximate limits of any Chesapeake Bay Resource Protection Areas (RPAs) shall be shown on the map as additional state or local requirements may apply if the project is located within an RPA. 9VAC25-210-45. Wetland delineation.
Each delineation shall be conducted in accordance with the USACE "Wetland Delineation Manual, Technical Report Y-87-1, January 1987, Final Report" (Federal Manual). The Federal Manual shall be interpreted in a manner consistent with USACE guidance and the requirements of this regulation, and any delineation guidance adopted by the board as necessary to ensure consistency with the USACE implementation of delineation practices.
The Department notes that area measurements taken, or otherwise interpreted from the U.S. Fish and Wildlife Service’s National Wetlands Inventory (NWI) map series may be inappropriate since those maps delineate wetlands based on vegetation, visible hydrology, and geography identified from the analysis of high altitude color infra-red photographs. The delineated boundaries shown on NWI maps are not equivalent to ‘regulated’ wetlands defined under Federal regulations (see 33 CFR 328) or the solid waste regulations (9 VAC 20-80-10). 9 Special Provisions Regarding Wetlands Va. Code §10.1-1408.5.
Page 10 PERMIT CONDITION Quarterly Groundwater Monitoring Requirements for Facilities in Detection Monitoring
Under the Provisions of 9 VAC 20-80-300 B 2 a
Groundwater monitoring frequency for solid waste management landfills that impact wetlands and that accepted municipal solid waste on or after July 1, 1999.
(a) The monitoring frequency for all constituents listed in Table 5.5 shall be quarterly for any existing sanitary landfill that was constructed on a tidal wetland or a nontidal wetland larger than or equal to 2 acres;
(b) The monitoring frequency for all constituents listed in Table 5.5 shall be quarterly for any sanitary landfill that has a potential hydrologic connection to a tidal wetland or a nontidal wetland larger than or equal to 2 acres in the event of an escape of liquids from the facility; or
(c) The monitoring frequency for all constituents listed in Table 5.5 shall be quarterly for any sanitary landfill within one mile of a tidal wetland or a nontidal wetland larger than or equal to 2 acres.
(d) The Director may determine that less frequent monitoring than quarterly is necessary or require that monitoring be conducted more frequently than quarterly.
(e) The monitoring frequency for all constituents listed in Table 5.5 shall be semiannually for any sanitary landfill that accepts only ash, unless the Director determines that more frequent monitoring is necessary. 10 Special Provisions Regarding Wetlands Va. Code §10.1-1408.5.
Page 11 PERMIT CONDITION Quarterly Groundwater Monitoring Requirements for Facilities in Assessment Monitoring
Under the Provisions of 9 VAC 20-80-300 B1 e
Groundwater monitoring frequency for solid waste management landfills that impact wetlands and that accepted municipal solid waste on or after July 1, 1999.
(1) The monitoring frequency for all constituents listed in Table 5.5 and those constituents in Appendix 5.1 detected in response to 9 VAC 20-80-300 B 3 b shall be quarterly for any existing sanitary landfill that was constructed on a wetland larger than or equal to 2 acres;
(2) The monitoring frequency for all constituents listed in Table 5.5 and those constituents in Appendix 5.1 detected in response to 9 VAC 20-80-300 B 3 b shall be quarterly for any sanitary landfill that has a potential hydrologic connection to a tidal or nontidal wetland larger than or equal to 2 acres in the event of an escape of liquids from the facility; or
(3) The monitoring frequency for all constituents listed in Table 5.5 and those constituents in Appendix 5.1 detected in response to 9 VAC 20-80-300 B 3 b shall be quarterly for any sanitary landfill within one mile of a tidal wetland or a nontidal wetland larger than or equal to 2 acres.
(4) The Director may determine that less frequent monitoring than quarterly is necessary or require that monitoring be conducted more frequently than quarterly.
(5) The monitoring frequency for all constituents listed in Table 5.5 shall be semiannually for any sanitary landfill that accepts only ash, unless the Director determines that more frequent monitoring is necessary. 11 Special Provisions Regarding Wetlands Va. Code §10.1-1408.5.
Page 12 PERMIT CONDITION For Facilities Exempt from Landfill Siting Requirements Contained the Code of Virginia Provided in 9 VAC 20-80-250 A 4
Wetlands
New sanitary landfills and lateral expansions of existing facilities shall not be located on 2 acres (total for the facility) or more of nontidal wetlands or any tidal wetlands, unless the facility meets one of the following conditions:
- The facility is an expansion of an existing sanitary landfill located in a city with a population between 41,000 and 52,500 when the owner or operator is an authority created pursuit to §15.2-5102 which has applied for a permit under § 404 of the federal Clean Water Act prior to January 1, 1989, and the owner or operator has received a permit under § 404 of the federal Clean Water Act and § 62.1-44.15:5 of the Code and complied with all other applicable federal and state environmental laws and regulations; or
- The facility is new MSW landfill in any county with a population between 29,200 and 30,000 according to the 1990 United States Census.
An expansion of an existing sanitary landfill shall not be located on less than 2 acres of nontidal wetlands (total for the facility) or any tidal wetlands, unless the owner or operator can make the following demonstrations to the Director:
- The proposed landfill site is at least 100 feet from any surface water body and at least one mile from any tidal wetland; and
- The director determines, based on the existing condition of the wetlands system, including but not limited to, sedimentation, toxicity, acidification, nitrification, vegetation, and proximity to existing permitted waste disposal areas, roads or other structures, that the construction or restoration of a wetland system in another location in accordance with a Virginia Water Protection Permit approved by the State Water Control Board would provide higher quality wetlands; and
- The permit requires a minimum two to one wetlands mitigation ratio. 12
Virginia Land Protection Regulation CrosswalkDoc ID: CROSSWALK
COMMONWEALTH OF VIRGINIA Department of Environmental Quality ______________________________________________________________________________
Subject: Division of Land Protection and Revitalization Guidance Memo No. 02-2011
CROSSWALK COMPARISION 9VAC20-80 VERSUS 9VAC20-81
To: Regional Land Protection Managers
From: Jeffery Steers Director, Division of Land Protection and Revitalization
Date: March 28, 2011
Copies: Regional Directors, Deputy Regional Directors
Summary:
This guidance provides the regulated community and internal staff with a crosswalk to facilitate location of re-organized sections in Amendment 7 of the VSWMR.
Electronic Copy:
An electronic copy of this guidance is available on DEQ’s website at http://www.deq.virginia.gov/waste/guidance.html.
Contact Information:
Please contact Lyn Richardson at Linda.Richardson@deq.virginia.gov or (804) 698-4318 with any questions regarding the application of this guidance.
Disclaimer:
This document is provided as guidance and, as such, sets forth standard operating procedures for the agency. However, it does not mandate any particular method nor does it prohibit any alternative method. If alternative proposals are made, such proposals should be reviewed and accepted or denied based on their technical adequacy and compliance with appropriate laws and regulations.
Guidance Memo No. 02-2011 Page 1 of 5Previous Section and Title New Section and Title Part 1 Part 1 9VAC20-80-10 – Definitions 9VAC20-81-10 - Definitions Part II & III & IV Part II 9VAC20-80-30 – Policy 9VAC20-81-20 - Policy 9VAC20-80-40 – Purpose of chapter 9VAC20-81-25 – Purpose of chapter 9VAC20-80-50 – Administration of chapter 9VAC20-81-30 – Administration of chapter 9VAC20-80-60 – Applicability of chapter 9VAC20-81-35 – Applicability of chapter 9VAC20-80-60.E – Conditional exemptions 9VAC20-81-95 – Identification of solid waste 9VAC20-80-70 - Prohibitions 9VAC20-81-40 - Prohibitions 9VAC20-80-80 – Open Dumps 9VAC20-81-45 – Open dumps 9VAC20-80-90 – Unpermitted facilities 9VAC20-81-40 - Prohibitions 9VAC20-80-100 – Enforcement and appeal 9VAC20-81-50 – Enforcement and appeal 9VAC20-80-105 – Ten-year permit review 9VAC20-81-60 – Ten-year permit review 9VAC20-80-110 – Public participation 9VAC20-81-70 – Public participation and information 9VAC20-80-113 – Control Program for 9VAC20-81-100.E – General (landfill); or unauthorized waste 9VAC20-81-300.F – General (other facilities); and 9VAC20-81-485A.4 & 81-485.B.4 9VAC20-80-115 – Solid Waste Information and 9VAC20-81-80 – Solid waste information and Assessment Program assessment program 9VAC20-80-120 – Relationship with other 9VAC20-81-90 – Relationship with other regulations regulations promulgated by the VWMB 9VAC20-80-130 – Purpose and Scope 9VAC20-81-95 – Identification of solid waste 9VAC20-80-140 – Definition of solid waste 9VAC20-81-95 – Identification of solid waste 9VAC20-80-150 - Exclusions 9VAC20-81-95 – Identification of solid waste 9VAC20-80-150.E.2.b – Beneficial use 9VAC20-81-97 – Beneficial use determinations 9VAC20-80-160 – Conditional exemptions 9VAC20-81-95 – Identification of solid waste 9VAC20-80-170 – Purpose and scope 9VAC20-81-45 – Open dumps 9VAC20-80-180 – Open dump criteria 9VAC20-81-45 – Open dumps 9VAC20-80-190 – Open Dumps 9VAC20-81-45 – Open dumps 9VAC20-80-200 – Unpermitted solid waste 9VAC20-81-45 – Open dumps management facilities 9VAC20-80-205 – Initial Site Evaluation 9VAC20-81-45 – Open dumps 9VAC20-80-210 – Remedial action 9VAC20-81-45 – Open dumps 9VAC20-80-220 – Action levels 9VAC20-81-45 – Open dumps 9VAC20-80-230 – Cleanup standards 9VAC20-81-45 – Open dumps Part V Part III 9VAC20-80-240 - General 9VAC20-81-100 – General 9VAC20-81-110 – Applicability (new section) 9VAC20-80-250.A – Sanitary siting 9VAC20-81- 120 – Siting requirements 9VAC20-80-250.B – Sanitary design 9VAC20-81-130 – Design and construction requirements 9VAC20-80-250.C – Sanitary operation 9VAC20-81-140 – Operation requirements 9VAC20-80-250.C.1 – Unauthorized waste 9VAC20-81-100.E.5 – Control program for unauthorized waste 9VAC20-80-250.E – Sanitary closure 9VAC20-81-160 – Closure requirements 9VAC20-80-250.F – Sanitary post-closure 9VAC20-81-170 – Postclosure care requirements
Guidance Memo No. 02-2011 Page 2 of 5Previous Section and Title New Section and Title 9VAC20-80-260.A – CDD siting 9VAC20-81- 120 – Siting requirements 9VAC20-80-260.B – CDD design 9VAC20-81-130 – Design and construction requirements 9VAC20-80-260.C – CDD operation 9VAC20-81-140 – Operation requirements 9VAC20-80-260.E – CDD closure 9VAC20-81-160 – Closure requirements 9VAC20-80-260.F – CDD post-closure 9VAC20-81-170 – Postclosure care requirements 9VAC20-80-270.A – Industrial siting 9VAC20-81- 120 – Siting requirements 9VAC20-80-270.B – Industrial design 9VAC20-81-130 – Design and construction requirements 9VAC20-80-270.C – Industrial operation 9VAC20-81-140 – Operation requirements 9VAC20-80-270.E – Industrial closure 9VAC20-81-160 – Closure requirements 9VAC20-80-270.F – Industrial post-closure 9VAC20-81-170 – Postclosure care requirements 9VAC20-80-280 – Control of decomposition gases 9VAC20-81-200 – Control of decomposition gases 9VAC20-80-290 – Leachate control system and 9VAC20-81-210 – Leachate control monitoring 9VAC20-80-300 – Groundwater monitoring 9VAC20-81-250 – Groundwater monitoring program program Table 5.1 – Groundwater Monitoring List Table 3.1, Column B – Groundwater Solid Waste Constituent Monitoring List Table 5.5 – Groundwater Monitoring List Table 3.1, Column A – Groundwater Solid Waste Constituent Monitoring List 9VAC20-80-310 – Corrective Action 9VAC20-81-260 – Corrective action program Part VI Part IV 9VAC20-80-320 - General 9VAC20-81-300 - General 9VAC20-80-330.A - Compost general 9VAC20-81-310 - Applicability 9VAC20-80-330.B – Compost siting 9VAC20-81-320 – Siting requirements 9VAC20-80-330.C - Compost design 9VAC20-81-330 – Design and construction requirements 9VAC20-80-330.D – Compost operation 9VAC20-81-340 – Operation requirements 9VAC20-80-330.E – Compost closure 9VAC20-81-360 – Closure requirements 9VAC20-80-340.A – Transfer station applicability 9VAC20-81-310 - Applicability 9VAC20-80-340.B – Transfer station siting 9VAC20-81-320 – Siting requirements 9VAC20-80-340.C – Transfer station design 9VAC20-81-330 – Design and construction requirements 9VAC20-80-340.D – Transfer station operation 9VAC20-81-340 – Operation requirements 9VAC20-80-340.E – Transfer station closure 9VAC20-81-360 – Closure requirements 9VAC20-80-360.A – Material recovery facility 9VAC20-81-310 - Applicability applicability 9VAC20-80-360.B – MRF siting 9VAC20-81-320 – Siting requirements 9VAC20-80-360.C – MRF design 9VAC20-81-330 – Design and construction requirements 9VAC20-80-360.D – MRF operation 9VAC20-81-340 – Operation requirements 9VAC20-80-360.E – MRF closure 9VAC20-81-360 – Closure requirements 9VAC20-80-370.A – Energy recovery and 9VAC20-81-310 – Applicability incineration applicability 9VAC20-80-370.B - Energy recovery and 9VAC20-81-320 – Siting requirements
Guidance Memo No. 02-2011 Page 3 of 5Previous Section and Title New Section and Title incineration siting 9VAC20-80-370.C - Energy recovery and 9VAC20-81-330 – Design and construction incineration design requirements 9VAC20-80-370.D - Energy recovery and 9VAC20-81-340 – Operation requirements incineration operation 9VAC20-80-370.E - Energy recovery and 9VAC20-81-360 – Closure requirements incineration closure 9VAC20-80-380 – Surface impoundments and 9VAC20-81-310 – Applicability lagoons applicability 9VAC20-80-380 – Surface impoundments and 9VAC20-81-370 – Closure requirements for lagoons closure surface impoundments and lagoons 9VAC20-80-400.A – Waste pile applicability 9VAC20-81-310 – Applicability 9VAC20-80-400.B – Waste pile siting 9VAC20-81-320 – Siting requirements 9VAC20-80-400.C – Waste pile design 9VAC20-81-330 – Design and construction requirements 9VAC20-80-400.D – Waste pile operation 9VAC20-81-340 – Operation requirements 9VAC20-80-400.E – Waste pile closure 9VAC20-81-360 – Closure requirements 9VAC20-80-450 – Remediation waste management 9VAC20-81-380 – Remediation waste units management units 9VAC20-80-460 – Landfill mining 9VAC20-81-385 – Landfill mining 9VAC20-80-470 – Miscellaneous units 9VAC20-81-395 – Miscellaneous facilities Part VII Part V 9VAC20-80-480 - Applicability 9VAC20-81-400 – Applicability 9VAC20-80-485 – Permits-by-rule and other special 9VAC20-81-410 – Permits-by-rule and other permits special permits 9VAC20-80-485 – Research, development and 9VAC20-81-600.F.7 – Research, development, demonstration plans and demonstration plans 9VAC20-80-490 – Permit conditions 9VAC20-81-430 – Permit conditions 9VAC20-80-500 – Permit application procedures 9VAC20-81-450 – Permit application procedures 9VAC20-80-510 – Part A application 9VAC20-81-460 – Part A permit application 9VAC20-80-520 – Part B application disposal 9VAC20-81-470 – Part B permit application for solid waste disposal facilities 9VAC20-80-520.C – Operations manual 9VAC20-81-485 – Operations manual requirements for solid waste management facilities 9VAC20-80-530 – Part B application energy 9VAC20-81-480 – Part B permit application recover/incineration requirements for other solid waste management facilities 9VAC20-80-530.C – Operations manual 9VAC20-81-485 – Operations manual requirements for solid waste management facilities 9VAC20-80-540 – Part B application for other 9VAC20-81-480 – Part B permit application requirements for other solid waste mgmt facilities 9VAC20-80-540.C – Operations manual 9VAC20-81-485 – Operations manual requirements for solid waste management facilities 9VAC20-80-550 – Effect of permit 9VAC20-81-490 – Effect of the permit 9VAC20-80-560 – Closure care 9VAC20-81-160 – Closure requirements and
Guidance Memo No. 02-2011 Page 4 of 5Previous Section and Title New Section and Title 9VAC20-81-360 – Closure requirements 9VAC20-80-570 – Recording and reporting required 9VAC20-81-530 – Recording and reporting required of a permitee 9VAC20-80-580 – Permit denial 9VAC20-81-550 – Permit denial 9VAC20-80-590 – Appeal of permit denial 9VAC20-81-560 – Appeal of a permit denial 9VAC20-80-600 – Revocation or suspension of 9VAC20-81-570 – Revocation or suspension of permits permits 9VAC20-80-610 – Appeal of a revocation of a 9VAC20-81-580 – Appeal of revocation of a permit permit 9VAC20-80-620 – Amendment of permits 9VAC20-81-600 – Modification of permits Table 7.2 – Classification of permit amendments Table 5.2 – Permit modifications Part VIII – Special Wastes Part VI – Special Wastes 9VAC20-80-630 - General 9VAC20-81-610 - General 9VAC20-80-640 – Asbestos-containing waste 9VAC20-81-620 – Asbestos-containing waste materials materials 9VAC20-80-650 – Waste containing polychlorinated 9VAC20-81-630 – Waste containing biphenyls (PCBs) polychlorinated biphenyls (PCBs) 9VAC20-80-660 - Liquids 9VAC20-81-140.B.4 – Waste acceptance prohibitions 9VAC20-80-670 - Tires 9VAC20-81-640 – Waste tires 9VAC20-80-690 – White goods 9VAC20-81-650 – White goods 9VAC20-80-700 – Soil contaminated with petroleum 9VAC20-81-660 – Soil contaminated with petroleum products 9VAC20-80-710 – Lead acid batteries 9VAC20-81-40.E – Mgmt of lead acid batteries Part IX – Variance Procedures Part VI – Variance Procedures 9VAC20-80-730 - General 9VAC20-81-700 - General 9VAC20-80-740 – Exemptions to classification as 9VAC20-81-710 – Solid waste classification solid waste exemption procedure 9VAC20-80-750 – Variances to permitting 9VAC20-81-720 – Variances to permitting requirements requirements 9VAC20-80-760 – Variance to groundwater 9VAC20-81-250.A.6 – Establishment of GPS (no protection standards longer requires a variance) 9VAC20-80-770 – Variance to location of the 9VAC20-81-740 – Variance to location of groundwater monitoring system groundwater monitoring system 9VAC20-80-780 – Variance to the liner system 9VAC20-81-130.J.1.c or J.2.c – Additional design alternate liner systems (no longer variance) 9VAC20-80-790 – Adminstrative procedutres 9VAC20-81-760 – Administrative procedures
9VAC20-101 – Yard Waste 9VAC20-101 – Vegetative Waste Management and 9VAC20-81-397 – Exempt yard waste Yard Waste Composting Regulations composting facilities
Guidance Memo No. 02-2011 Page 5 of 5
Solid Waste Risk Assessment GuidelinesDoc ID: Solid
Risk Assessment for Solid Waste The Virginia Solid Waste Management Regulations (VSWMR) provides regulations governing solid waste management facilities. Under the VSWMR, solid waste management facilities include but are not limited to landfills, including sanitary landfills, industrial waste landfills, and construction and demolition debris landfills. Pursuant to the VSWMR, these facilities may be required to monitor groundwater.
At various stages of application, operation, post closure care, and corrective action activities the facilities may need to perform Human Health Risk Assessment to demonstrate that the risk posed by contaminants attributed to their facilities are within acceptable limits thereby protecting the public health, the environment, and our natural resources.
The risk assessment, under VSWMR, is applied at the following junctures:
- Calculate Default Alternate Concentration Limits (ACL) that get incorporated into the permit as Groundwater Protection Standards (GPS) (9VAC20-81-250.6.b)
- Site Specific ACL Proposal (9VAC20-81-250.6.b.(4).b. (i), (ii), and (iii))
- Proposed Presumptive Remedy (PPR) (9VAC20-81-260.C.2)
- Assessment of Corrective Measures (ACM) (9VAC20-81-260.C)
- Corrective Action Plan (CAP) (9VAC20-81-260.D.1.a.(1)) These links above lead to detailed descriptions of how risk assessment is applied at each of the stages of Solid Waste monitoring and corrective action.
This guidance is primarily intended to assist environmental consultants and risk assessors who perform investigations and risk assessments for Solid Waste facilities. However, it is also important for facility owners and operators to understand both the regulatory and scientific basis for DEQ’s risk assessment requirements. The following section gives a basic introduction to the risk assessment process as it applies to environmental programs. The regulatory citations for the risk assessment requirements are included in each applicable section.
Virginia Waste Tire Utilization GuidelinesDoc ID: Virginia
VIRGINIA WASTE TIRE PROGRAM
UTILIZATION OF
WASTE TIRE SHRED/CHIPS
No. 166 8/2002
1. LANDFILL APPLICATIONS
Alternative Daily Cover (ADC)
The average size of shredded scrap rubber shall not exceed 40 square inches. The maximum length of any piece shall be 10 inches, and all pieces shall have at least one side wall severed from the face of the tire. For ease of consideration, a nominal size of 4 inches is considered to meet this specification.
The shredded scrap rubber to be utilized in ADC shall be mixed 50/50 with soil prior to application. Each facility shall apply for and receive approval from the Department of Environmental Quality (DEQ) for application of this scrap rubber/soil mix at the site prior to use. Each facility utilizing this ADC mix shall evaluate the control characteristics of the mix on the site (odor, litter, vectors, fire, etc.) For more information on this application, contact John Godfrey, Permitting, DEQ (804-698-4000).
Leachate Collection Systems Design
On a case by case basis, DEQ may authorize the use of tire chips (size matching ADC specifications) in the formation of a Αbuffer area≅ above leachate collection piping and stone aggregate. Tire chips should not come into contact with the piping or with any landfill liner (natural or synthetic). Backfill use of tire chips for piping outside the landfill footprint may also be authorized. For more information on these applications, contact Mike Dieter, Permitting, DEQ (804-698-4000).
Gas Collection Network
On a case by case basis, DEQ may authorize the use of tire chips in the construction of gas collection trenches. For more information on this application, contact Mike Dieter, Permitting, DEQ (804-698-4000
Road Stabilization, Retaining Walls, and Bank Stabilization
Tire chips may be used as light weight aggregate for the stabilization of internal landfill roads based upon pre-approved criteria provided by the operator. Additionally, the use of waste tires and waste tire material for use in retaining walls or bank stabilization may be approved on a case by case basis. For more information on these applications, contact Mike Dieter, Permitting, DEQ (804-698-4000).
Final Cap Design
Tire chips used in the final capping system of a landfill must not contain any wire which could tear the geomembrane or flexible membrane installed above or below the drainage layer. The tire chips must be of such gradation to allow for installation of geomembrane without tearing. This use of tire chips is evaluated on a case-by-case basis. For more information on this application, contact Mike Dieter,Permitting, DEQ (804-698-4000).
CIVIL ENGINEERING USES
Roads
The Alternative Daily Cover (ADC) specification is also being applied to civil engineering uses such as lightweight fills for embankments (Virginia Department of Transportation - VDOT). An added specification for this use is that no metal particles shall be placed in the fill that are not firmly attached to a rubber segment. VDOT or local approval is required for this application.
Residential Septic Systems - Aggregate
The Virginia Department of Health (VDH) and DEQ approved the use of tire chips for use as coarse aggregate in non-proprietary subsurface absorption fields in place of stone aggregate. Untreated building paper or a geotextile (synthetic) fabric cover shall be used to cover the tire chips before backfilling. Chips are to be a nominal 2 inches in size and may range from one-half (2) to a maximum of 4 inches in any one dimension. Exposed wire may protrude no more than one-half (2) inch from the chip. Fines, defined as any material less than 2 mm in size, are prohibited in this application. Contact your local Health Department for details on this application. Standard forms have been developed for septic system contractors through DEQ.
TIRE DERIVED FUEL (TDF)
Specifications for TDF are established by the end user, the Αcustomer≅, for the material. Waste-to-Energy systems can utilize whole tires or various sites of tire shred dependent on their Αfuel≅ feed system. An end user who mixes the tire material with coal or wood chips historically has required a nominal 2 inch chip with little or no exposed wire. Virginia currently has three waste-to-energy facilities using waste tire material, and one coal burning facility using tire chips.
Facilities burning TDF will require an incinerator permit from DEQ under Virginia Solid Waste Regulations. For more information on these applications, contact Paul Farrell, Permitting, DEQ (804-698-4000).
PRODUCT MANUFACTURE
Specifications for tire derived rubber vary according to the application or manufacturing profile.
One-half inch nomimal material, wire-free, can be used for paddocks, running tracks, etc. Three-eighths inch nominal material, wire free, can be used for playgrounds, and smaller pieces down to crumb rubber can be used for applications like asphalt rubber and sealants, and manufacture of such products as recycling bins, parking bumpers, and flooring blocks/mats. For information on manufacturers and distributors, contact Steve Coe, Waste Tire Management Program, DEQ (804) 698-4029.
For further information on the use of Virginia waste tire material, please contact Allan Lassiter, Steve Coe, or Mike Grose at (804) 698-4210 or by FAX at 698-4224.
Solid Waste Permit Application ProceduresDoc ID: Submission
SOLID WASTE PERMITTING
SUBMISSION INSTRUCTION NO. 1
PROCEDUREAL REQUIREMENTS FOR A NEW OR MODIFIED SOLID WASTE MANAGEMENT FACILITY (SWMF) PERMIT APPLICATION Developed by: Virginia Department of Environmental Quality Office of Waste Permitting and Compliance 629 East Main Street Richmond, Virginia 23219 Rev. 01/2012 Solid Waste Permitting
Submission Instruction No. 1
TABLE OF CONTENTS
I.
APPLICABILITY .............................................................................................................................. 5
A. SOLID WASTE DISPOSAL FACILITIES ...................................................................................................... 5
B. SOLID WASTE MANAGEMENT FACILITIES ............................................................................................... 5
II.
PRE-APPLICATION STEPS .......................................................................................................... 6
A. PRE-APPLICATION MEETING ............................................................................................................... 6
B. PUBLIC PARTICIPATION STEPS .............................................................................................................. 6
C. RESERVATION OF DISPOSAL CAPACITY ................................................................................................... 6
III. NOTICE OF INTENT....................................................................................................................... 7
A. COVER LETTER .................................................................................................................................. 7
B. DISCLOSURE STATEMENT .................................................................................................................... 7
C. LOCAL GOVERNMENT CERTIFICATION ................................................................................................... 7
D. PUBLIC PARTICIPATION DOCUMENTATION ............................................................................................. 8
E. DISPOSAL CAPACITY GUARANTEE ......................................................................................................... 8
F. HOST AGREEMENT OR DISCUSSION OF DISPOSAL LIMITS/SERVICE AREA ..................................................... 8
G. DEMONSTRATION OF NEED ................................................................................................................. 9
H. SCC CERTIFICATION ......................................................................................................................... 10
IV. PART A PERMIT APPLICATION ............................................................................................. 11
A. APPLICATION FORM ......................................................................................................................... 11
B. PERMIT APPLICATION FEE ................................................................................................................. 11
C. PTA ATTACHMENTS I THROUGH VIII .................................................................................................. 11
D. PTA ATTACHMENT IX: KEY MAP, NEAR-VICINITY MAP, AND REGIONAL MAP ........................................... 11
E. PTA ATTACHMENT X: PROOF OF OWNERSHIP DOCUMENTS ................................................................... 13
F. PTA ATTACHMENT XI: HYDROGEOLOGIC AND GEOTECHNICAL REPORT .................................................... 13
G. PTA ATTACHMENT XII: LOCATION OF BORINGS AND BORING LOGS ......................................................... 17
H. PTA ATTACHMENT XIII: LABORATORY AND FIELD DATA ........................................................................ 18
I.
PTA ATTACHMENT XIV: MATERIALS VOLUME CALCULATIONS ................................................................ 18
J.
PTA ATTACHMENT XV: GEOLOGIC MAPS, ORTHOGONAL CROSS-SECTIONS, AND POTENTIOMETRIC
SURFACE MAPS............................................................................................................................... 18
K. PTA ATTACHMENT XVI: VDOT ADEQUACY REPORT AND APPROVAL LETTER ............................................ 19
L. PTA ATTACHMENT XVII: LANDFILL IMPACT STATEMENT........................................................................ 19
M. PTA ATTACHMENT XVIII: CERTIFICATION AND DOCUMENTATION OF ADJACENT PROPERTY OWNER
NOTIFICATION ................................................................................................................................ 25
N. PTA ATTACHMENT XIX: DISCUSSION OF PUBLIC INTEREST SERVED .......................................................... 25
O. PTA ATTACHMENT XX: AIRPORT PROXIMITY AND AGENCY COORDINATION .............................................. 25
P. PTA ATTACHMENT XXI: FEMA FLOOD INSURANCE RATE MAP .............................................................. 27
Q. PTA ATTACHMENT XXII: WETLANDS DEMONSTRATION AND AGENCY COORDINATION ............................... 27
R. PTA ATTACHMENT XXIII: DEMONSTRATION REGARDING PROXIMITY TO FAULT OR SITING WITHIN A
SEISMIC IMPACT ZONE ..................................................................................................................... 30
S. PTA ATTACHMENT XXIV: REQUEST FOR EXEMPTION OF SITE FROM THE REQUIREMENTS OF §9 VAC
20-81-120.D. AND/OR 120.F. ........................................................................................................ 30
V.
PART B PERMIT APPLICATION ............................................................................................. 31 A. APPLICATION FORM ......................................................................................................................... 31 Rev. 01/2012
Page 2 Solid Waste Permitting
Submission Instruction No. 1
B. PERMIT APPLICATION FEE ................................................................................................................. 31
C. PTB ATTACHMENT I: NOTICE OF INTENT ............................................................................................. 31
D. PTB ATTACHMENT II: VDOT ADEQUACY REPORT AND APPROVAL LETTER ................................................ 31
E. PTB ATTACHMENT III: DESIGN PLANS ................................................................................................ 32
F. PTB ATTACHMENT IV: CLOSURE PLAN ............................................................................................... 32
G. PTB ATTACHMENT V: POST-CLOSURE CARE PLAN ................................................................................ 32
H. PTB ATTACHMENT VI: DESIGN REPORT .............................................................................................. 32
I.
PTB ATTACHMENT VII: CONSTRUCTION QUALITY ASSURANCE (CQA) PLAN & TECHNICAL
SPECIFICATIONS .............................................................................................................................. 32
J.
PTB ATTACHMENT VIII: LEACHATE MANAGEMENT PLAN ...................................................................... 32
K. PTB ATTACHMENT IX: LANDFILL GAS MANAGEMENT PLAN AND LANDFILL GAS REMEDIATION PLAN ............ 33
L. PTB ATTACHMENT X: GROUNDWATER MONITORING PLAN ................................................................... 33
M. PTB ATTACHMENT XI: GROUNDWATER CORRECTIVE ACTION PLAN ......................................................... 33
N. PTB ATTACHMENT XII: FINANCIAL ASSURANCE DEMONSTRATION .......................................................... 33
O. PTB ATTACHMENT XIII: SPECIAL WASTE DOCUMENTATION ................................................................... 33
P. PTB ATTACHMENT XIV: ALTERNATE LINER DEMONSTRATION ................................................................ 34
Q. PTB ATTACHMENT XV: LABORATORY TEST RESULTS DOCUMENTING PERMEABILITY OF IN-PLACE SOILS ........ 34
R. PTB ATTACHMENT XVI: ALTERNATE FINAL COVER DEMONSTRATION ...................................................... 34
S. PTB ATTACHMENT XVII: RESEARCH, DEVELOPMENT, AND DEMONSTRATION PLAN ................................... 35
VI.
PERMIT MODIFICATIONS ........................................................................................................ 36
A. MAJOR MODIFICATIONS ................................................................................................................... 36
B. MINOR MODIFICATIONS ................................................................................................................... 37
C. PERMITTEE CHANGE ........................................................................................................................ 39
D. TEMPORARY AUTHORIZATION ........................................................................................................... 39
E. RESEARCH, DEVELOPMENT, AND DEMONSTRATION PLANS ..................................................................... 40
VII. APPENDICES ................................................................................................................................ 41
A. PRE-APPLICATION CORRESPONDENCE ................................................................................................. 41
B. NOTICE OF INTENT CORRESPONDENCE ................................................................................................ 41 C. PART A PERMIT APPLICATION CORRESPONDENCE ................................................................................. 41 Rev. 01/2012
Page 3 Solid Waste Permitting
Submission Instruction No. 1
LIST OF FIGURES
FIGURE 1 FLOWCHART FOR SITING A SANITARY LANDFILL WITH RESPECT TO PROXIMITY TO EXISTING SURFACE OR
GROUNDWATER PUBLIC WATER SUPPLY INTAKE OR RESERVOIR IN ACCORDANCE WITH CODE OF
VIRGINIA §10.1-1408.4 B.3. ........................................................................................ 22
FIGURE 2 FLOWCHART FOR SITING A SANITARY LANDFILL WITH WETLANDS IMPACTS IN ACCORDANCE WITH
§10.1-1408.5 OF THE CODE OF VIRGINIA ........................................................................ 28
FIGURE 3 WETLANDS PERMITS AND SOLID WASTE PART A APPLICATIONS CLARIFICATION OF GUIDANCE MEMO 06-2005 .......................................................................................................... 29 Rev. 01/2012
Page 4 Solid Waste Permitting
Submission Instruction No. 1
I.
APPLICABILITY The Virginia Waste Management Act (Title 10.1, Chapter 14 of the Code of Virginia (10.1-1400 et seq.)) stipulates that all facilities for the disposal, treatment, or storage of nonhazardous solid waste obtain a permit from the Director of the Department of Environmental Quality. Permit application procedures and documentation are dictated in the Waste Management Act and Solid Waste Management Regulations (Title 9 of the Virginia Administrative Code (VAC), Agency 20, Chapter 81 (9 VAC 20-81 et seq.)). This Submission Instruction provides a guide to what should be submitted when applying for a solid waste permit and how the permit application will be processed.
A. Solid Waste Disposal Facilities Applicants for a permit to operate a solid waste disposal facility, (i.e. a sanitary, CDD, or industrial landfill), are required to obtain a full solid waste permit as discussed in this Submission Instruction. Applications for a full solid waste permit shall contain a Notice of Intent, a Part A Permit Application and a Part B Permit Application as discussed in Sections III., IV., and V. below. [§9 VAC 20-81-450, 460, and 470] B. Solid Waste Management Facilities Applicants for a permit to operate a solid waste management facility (i.e. compost facility; solid waste transfer station; materials recovery facility; waste to energy, thermal treatment, or incineration facility; waste pile; or centralized waste treatment facility) will usually apply for a Permit-by-Rule as discussed in Submission Instruction No. 10: Procedural Requirements for Permits-by-Rule; however, this Submission Instruction provides details of the application to be submitted should the Department require the applicant to apply for a full solid waste permit. [§9 VAC 20-81-410.A.4., 450, 460, and 480] Rev. 01/2012
Page 5 Solid Waste Permitting
Submission Instruction No. 1
II.
PRE-APPLICATION STEPS A. Pre-Application Meeting A pre-application meeting is not mandatory, but can be used to identify potential regulatory requirements that may be applicable to the project, any changes to the project because of statute changes that are not reflected in the regulations, or any other matter. This meeting is also an opportunity to discuss any applicable guidance that has been published or is in draft form; to identify out of the ordinary or innovative design features or unique circumstances that require special consideration; to determine the need to obtain variances, exemptions, approval of alternates, or functionally equivalent design issues, in addition to discussing the required permit fee, timelines for permit processing and input with respect to potential challenges, pitfalls or constraints that may be associated with the project. If the applicant wishes to set up a pre-application meeting, please contact the DEQ Regional Office responsible for the proposed location of the facility.
B. Public Participation Steps {Applicable only to new sanitary landfills or transfer stations} The public comment steps must be completed prior to filing the notice of intent with the Department.
Public notice and public hearings/meetings must be completed in accordance with the applicable provisions of Code of Virginia §15.2-2204, §15.2-2285 and §10.1-1408.1.
An example public notice is provided in Appendix A.1. [§9 VAC 20-81-450.B.4.] {If the application is for a sanitary landfill or transfer station owned/operated by the local government or public authority} In addition to the above steps, the public comments steps shall include the formation of a citizen’s advisory group in accordance with Code of Virginia §10.1-1408.1 B.5. No public participation is necessary for local governments or public authorities proposing to locate a new transfer station on land where a sanitary landfill is already located.
C. Reservation of Disposal Capacity {Applicable only to privately owned sanitary landfills} Applicants should contact all localities of the Commonwealth to give notice that a landfill is planned and give the localities an opportunity to reserve airspace capacity in accordance with the needs outlined in each respective Solid Waste Management Plan (§10.1-1411). Example notification letters and reservation capacity statements are provided in Appendix A.2. [Code of Virginia §10.1-1408.1 B.6.; §9 VAC 20-81-450.B.5.] Rev. 01/2012
Page 6 Solid Waste Permitting
Submission Instruction No. 1 III. NOTICE OF INTENT The notice of intent (NOI) initiates the permit application process and consists of the items discussed below. The NOI may be submitted by itself or may accompany the Part A Permit Application as discussed in Section IV.C.
A. Cover Letter Submit a letter to the DEQ Regional Office Land Protection & Revitalization Program Manager describing the desired permit, the precise location of the proposed facility, and the intended use of the facility. The applicant shall provide area and site locations maps as attachments to this letter. The site location map should identify both the property and facility boundaries and should be drawn to scale. Use of USGS/topographic maps, local property maps, and internet mapping programs is recommended. [§9 VAC 20-81-450.B.1.] B. Disclosure Statement {Applicable to new solid waste management facilities or modifications for a noncaptive industrial landfill requesting an expansion or increase in capacity} Provide a signed and notarized DEQ Form DISC-01 and DEQ Form DISC-02 for each key personnel identified on DISC-01. [Code of Virginia §10.1-1408.1 B.2. and C.; §9 VAC 20-81-450.B.2.] These forms are available on the DEQ Website: DISC-01: http://www.deq.virginia.gov/Portals/0/DEQ/Land/Guidance/formdisc01.pdf DISC-02: http://www.deq.virginia.gov/Portals/0/DEQ/Land/Guidance/formdisc02.pdf The Disclosure Statement should identify those key personnel who have obtained a Waste Management Facility Operators License as required by the Code of Virginia §10.1-1408.2 B., which states all solid waste management facilities shall be operated under the direct supervision of a waste management facility operator licensed by the Board for Waste Management Facility Operators. Information on training and licensing can be found on the Board’s website: http://www.dpor.virginia.gov/Boards/WMFO/.
C. Local Government Certification {Applicable to new solid waste management facilities or modifications requesting an expansion or increase in capacity} Provide a signed DEQ Form SW-11-1. The form has three signature blocks: one for the applicant, one for a local government representative certifying consistency with the local Solid Waste Management Plan and one for a local government representative certifying consistency with all local ordinances. The last two blocks may be completed and signed by the same local government representative if applicable. [Code of Virginia §10.1-1408.1 B.9.; §9 VAC 20-81-450.B.3.] This form is available on the DEQ Website: http://www.deq.virginia.gov/Portals/0/DEQ/Land/Forms/localcert.pdf Rev. 01/2012
Page 7 Solid Waste Permitting
Submission Instruction No. 1 If the proposed location is not governed by any county, city, or town zoning ordinance, the application shall provide a certification from the local governing body that it held a public hearing in accordance with §15.2-2204. [Code of Virginia §10.1-1408.1 B.3.] D. Public Participation Documentation {Applicable only to new sanitary landfills or transfer stations} Provide a statement summarizing the steps taken by the applicant to seek public comments as described in Section II.B. above, in addition to providing a copy of the public notice and a record of the public meeting. [Code of Virginia §10.1-1408.1 B.4. and B.5.; §9 VAC 20-81- 450.B.4.] E. Disposal Capacity Guarantee Provide appropriate documentation corresponding to the type of proposed facility.
- {If the application is for a locality-owned sanitary landfill, new or expansion} Provide a signed statement specifying the proposed sanitary landfill is locally-owned and will only accept waste generated within the member jurisdictions or from other jurisdictions under an interjurisdictional agreement. An example statement is provided in Appendix B.1.
- {If the application is for a privately-owned sanitary landfill, new or expansion} Provide a signed statement guaranteeing that sufficient disposal capacity will be available in the facility to enable localities within the Commonwealth to comply with their Solid Waste Management Plans developed pursuant to §9 VAC 20-130 and certifying that such localities will be allowed to contract for and reserve disposal capacity in the facility. Other documents such as a typical letter and a contract form that were sent to the localities as well as a list of the localities contacted should also be provided. An example statement is provided in Appendix
B.2.
- {If the application is for a CDD or industrial landfill or other solid waste management facility} No statement is required. [Code of Virginia §10.1-1408.1 B.6.; §9 VAC 20-81-450.B.5.] F. Host Agreement or Discussion of Disposal Limits/Service Area Provide appropriate documentation corresponding to the type of proposed facility.
- {If the application is for a locally-owned and operated sanitary landfill, new or expansion} Provide a Discussion of Disposal Limits/Service Area to include: a. The primary access routes vehicles will use to access the site and the volume of daily traffic (number of vehicles) that will be traveling on the primary access routes. The traffic count should be consistent with the VDOT Adequacy Report required under §9 VAC 20-81-460.G. and must relate to the daily disposal limit. b. The daily disposal limit, specified in either tons or cubic yards per day based on an anticipated waste density. (The typical density of municipal solid waste is Rev. 01/2012
Page 8 Solid Waste Permitting Submission Instruction No. 1
- 5 tons per cubic yard and CDD and industrial waste is 0.6 tons per cubic yard.)
c. The service area of the facility. The service area should match the information provided for the Disposal Capacity Guarantee (Section III.E. above).
- {If the application is for a privately-owned sanitary landfill, new or expansion} Provide a signed Host Agreement, DEQ Form SW-11-2.
This form is available on the DEQ Website: http://www.deq.virginia.gov/Portals/0/DEQ/Land/Forms/localhacf.pdf
- {If the application is for a CDD or industrial landfill or other solid waste management facility} No information is required.
[Code of Virginia §10.1-1408.1 B.7. and B.8.; §9 VAC 20-81-450.B.6. and 450.B.7]
G. Demonstration of Need
{Applicable to new solid waste management facilities or modifications requesting an expansion or increase in capacity} Provide information supporting one of the following demonstrations.
- {If demonstration is based on §9 VAC 20-81-450.B.8.a} Provide information and supporting documentation, as applicable, for each item requested under §9 VAC 20-81-450.B.8.a.(1) through (9), and §10.1-1408.1 D.1(i) through (vi). If a section does not apply to the proposed solid waste management facility, indicate so with reasonable explanations.
- {If demonstration is based on §9 VAC 20-81-450.B.8.b – for sanitary landfill only} Provide a discussion that based on current or projected disposal rates, there is less than 10 years of disposal capacity remaining in the facility and information demonstrating either of the following:
a. The available disposal capacity for the state is less than 20 years according to the most current Annual Solid Waste Report, prepared and published by DEQ, based on the information or reports submitted to the DEQ by the facilities in the state pursuant to the Solid Waste Information and Assessment Program (SWIA) in §9 VAC 20-81-80
OR
b. The available permitted disposal capacity is less than 20 years either in:
i. The planning region, or regions, immediately contiguous to the planning region of the host community, or
ii. The facilities within a 75 mile radius of the proposed facility.
Also, provide a discussion addressing the requirements of §10.1-1408.1 D.1 so the Director can evaluate whether there is a need for the additional capacity. Please
Rev. 01/2012 Page 9Solid Waste Permitting
Submission Instruction No. 1 reference other sections of the Notice of Intent in lieu of repeating information.
Any items not addressed in other sections should be addressed here. [Code of Virginia §10.1-1408.1 D.1.; §9 VAC 20-81-450.B.8.] H. SCC Certification {This certification is not required for those facilities owned solely by governmental units} Provide the Certification of Incorporation and either a Certificate of Good Standing (for corporations) or a Certificate of Fact (for LLCs) from the State Corporation Commission (SCC) for the designated owner and/or operator as indicated on the Disclosure Statement (Section III.B.). The certified business entity should be listed as the applicant, principal, insured, or grantor on the financial assurance mechanism provided (see Section V.N. below). [§9 VAC 20-81-450.B.10.] Rev. 01/2012
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Submission Instruction No. 1 IV. PART A PERMIT APPLICATION The Part A Permit Application provides information essential for assessment of the site suitability for the proposed facility. According to §9 VAC 20-81-450.C.1., the applicant shall provide three copies of the Part A Permit Application and the attachments specified in §9 VAC 20-81-460. Please check with the DEQ Regional Office responsible for the proposed location of the facility to determine the number and format of copies desired.
A. Application Form Provide a transmittal letter stating the type of facility proposed with a signed and certified DEQ Form SW PTA. Mark entries that do not pertain to the type of the permit being applied for with "N/A" rather than leaving them blank. The attachments as specified on the form, are discussed further below, and should be submitted in the order prescribed [§9 VAC 20-81-460.A.] This form is available on the DEQ Website:
http://www.deq.virginia.gov/Portals/0/DEQ/Land/Forms/parta.pdf B. Permit Application Fee Submit a check, draft, or postal money order made payable to the Treasurer of Virginia for the required permit application fee in accordance with the Solid Waste Management Facility Permit Action Fees and Annual Fees regulation (9 VAC 20-90) to DEQ Accounts Receivable, P.O. Box 1104, Richmond, Virginia 23218. A copy of the check (with account and routing numbers blacked out), draft, or postal money order should accompany the permit application submitted to the DEQ Regional Office.
Applications not accompanied by the proper fee or containing insufficient fees will be considered incomplete and shall not be processed by the Department. [§9 VAC 20-81- 450.C.1.; §9 VAC 20-90-60.] C. PTA Attachments I through VIII The items specified as the first eight attachments to DEQ Form SW PTA are the documents required as part of the Notice of Intent specified in Section III. If the NOI was submitted prior to the Part A Application, provide complete NOI documents in their respective Attachments; otherwise, submit the required NOI documents as part of the Part A Application. [§9 VAC 20-81-450.B.] D. PTA Attachment IX: Key Map, Near-Vicinity Map, and Regional Map
- Key Map Include one or more key maps delineating the general location of the proposed facility. The key map should be plotted on a seven and one-half minute United States Geological Survey topographical quadrangle. The quadrangle should be the most recent revision available and should include the name of the quadrangle, delineate the general location of the proposed facility, and show all important features within one (1) mile from the perimeter of the proposed facility boundary. [§9 VAC 20-81-460.B.] Rev. 01/2012
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Submission Instruction No. 1
- Near-Vicinity Map The vicinity map shall have a minimum scale of 1 inch equals 200 feet and should delineate an area of 500 feet from the perimeter of the property line of the proposed facility. The vicinity map may be produced with a reduced scale if it does not fit on one sheet, and then multiple sheets may be used to meet the minimum scale requirement.
The map shall be certified by a professional engineer or professional geologist and depict the following: All homes, buildings or structures including the layout of the buildings which will comprise the proposed facility; The surveyed property boundary, facility boundary, and waste management boundary, and the acreages within those boundaries; The disposal unit boundary within the boundaries of the proposed facility; Lots and blocks from the tax map for the proposed facility and all adjacent properties; The base floodplain or a note indicating the expected flood occurrence period for the area and include the source of data (Federal Insurance Administration Map) or calculations; Existing land uses and zoning classifications; All water supply wells, springs or intakes, both private and public; All utility lines, pipelines or land-based facilities (e.g., mines or wells); and All parks, recreation areas, surface water bodies , dams, historic areas, wetlands, monuments, cemeteries, wildlife refuges, unique natural areas, or similar features.
[§9 VAC 20-81-460.C.]
- Regional Map {Applicable only to sanitary landfills} Provide a map certified by a professional engineer or professional geologist identifying the following features within one (1), three (3) and five (5) miles of the proposed waste management boundary. Existing surface or groundwater public water intakes or reservoirs; Any impounding structures (dams); Sinkholes or other features associated with karst terrain; Airports; Park and recreational areas; Wildlife management areas; Marine resources; Wetlands; Historic Sites; Fish and Wildlife; and Tourism Opportunities. [§9 VAC 20-81-120.C.3., 120.I., and 460.H.] Rev. 01/2012
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Submission Instruction No. 1 E. PTA Attachment X: Proof of Ownership Documents Provide a copy of deed, lease, or other certification of ownership of the proposed site. [§9 VAC 20-81-460.D.] F. PTA Attachment XI: Hydrogeologic and Geotechnical Report {If the application is for a solid waste disposal facility regulated under Part III (9 VAC 20-81-100 et seq.)} Submit a site hydrogeologic and geotechnical report certified by a professional geologist or professional engineer registered for practice in the Commonwealth. The following format is provided to ensure all regulatory requirements are addressed in the report.
Format. The format used for the Hydrogeologic and Geotechnical Report should encourage clear analysis and presentation of the site hydrogeologic and geotechnical investigations completed to determine site suitability for a solid waste disposal facility.
The Report should start with a title page and table of contents followed by the following sections and discussions. The title page should identify the facility name and permit number, the permit applicant, document date, and document preparer information. In addition, the header or footer of each page should include the facility name, permit number, document title, revision date, and page number.
I. Purpose and Methods The purpose of the report is to accomplish two tasks: (1) define the geology beneath the site area with an assessment of the availability and suitability of on-site soils for use in constructing the proposed landfill and an assessment of subsurface foundation and (2) identify the groundwater flow paths and rates of the uppermost aquifer. A variety of investigatory techniques/methods have been used during these activities for collecting information and data is discussed under each of the following sections as necessary and appropriate. [§9 VAC 20-81- 460.E.1.] II. Boring Records A. Number of Borings Indicate the number of borings completed as part of this investigation, comparing the number completed with the number required based on the proposed waste management boundary acreage as indicated in Table 5.1 of §9 VAC 20-81-460.E.1.a.
B. Location of Borings Provide a discussion indicating how boring locations were selected. Borings shall be located in a grid pattern in an effort to identify each major geomorphic feature and to enable the development of detailed cross-sections of the proposed facility. Reference the map provided in PTA Attachment XII. [§9 VAC 20-81-460.E.1.a. and d.] Rev. 01/2012
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Submission Instruction No. 1 C. Depth of Borings Provide a summary of the drilling methods used to determine the thickness of the uppermost aquifer. Borings shall be drilled continuously for the first 20 feet below the proposed lowest elevation of solid waste disposal (base grade) or to bedrock. Provide a table identifying the boring ID, the boring depth and elevation (both from the existing ground and from the proposed base grade), and the boring’s status (i.e. boring converted to piezometer or observation well, boring sealed, boring terminated at bedrock, etc.). Reference the boring logs provided in PTA Attachment XII. [§9 VAC 20-81-460.E.1.a. and e.] D. Samplings Provide a summary of the methods used such as using standard penetration test (SPT) and split-barrel sampling (ASTM D1586) to collect boring samples. At a minimum, boring samples shall be collected continuously for the first 20 feet below the lowest elevation of the proposed solid waste disposal facility or to bedrock, whichever is shallower. Additional samples, as determined by the professional geologist or engineer shall be collected at five-foot intervals thereafter. Also, provide a description of any excavations, test pits, or other geophysical methods employed to supplement the soil boring investigation. [§9 VAC 20-81-460.E.1.a., e., and f.] E. Observation Wells Identify the borings that were converted to water level observation wells, well nests, piezometers, or piezometer nests, referencing the table provided in Section II.C. of this report. At a minimum, four borings shall be converted to allow determination of the rate and direction of groundwater flow across the site. The total number of wells or well nests shall be based on the complexity of the geology of the site, as determined by this investigation. [§9 VAC 20-81-460.E.1.g.] F. In-Situ Hydraulic Conductivity Describe the methods and results of the field tests conducted to determine the in situ hydraulic conductivity of the uppermost aquifer. Provide the range and average values of hydraulic conductivity determined. Field data, laboratory reports, and supporting calculations should be provided in PTA Attachment XIII. [§9 VAC 20-81-460.E.1.h.] G. Sealing of Borings Provide a summary of the techniques used or to be used to seal all borings not converted to permanent monitoring wells and those wells located within the proposed solid waste disposal area (waste management boundary). In addition, provide a summary of the methods used to backfill and compact all test pits and excavations. Proper sealing and backfilling with material at least an order of magnitude less permeable than surrounding material is necessary Rev. 01/2012
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Submission Instruction No. 1 to prevent possible paths of leachate migration. It is recommended that those borings located within the waste management boundary be sealed completely with bentonite. [§9 VAC 20-81-460.E.1.i.] III. Geotechnical Report A. Description of Soil Units Provide a description of the soil units based on USCS classification and its consistency (e.g. soft, stiff, very stiff, loose, compact, etc.) including estimates of soil unit thickness, continuity across the site, and genesis. Laboratory determinations of the soil unit’s physical properties including natural moisture, Atterberg limits, natural unit weight, method of sampling, particle size distribution, specific gravity, percent compaction of the test sample, remolded density and remolded moisture content, the percent saturation of the test sample, soil shear and compressibility properties, and other related test results. [§9 VAC 20-81-460.E.2.b.(1)] Also, perform sufficient laboratory analyses to provide information concerning petrologic variation, sorting (for unconsolidated sedimentary units), cementation (for consolidated sedimentary units), moisture content, and hydraulic conductivity of each significant geologic unit or soil zone above the confining layer. Perform sufficient laboratory analyses to describe the mineralogy, degree of compaction, moisture content, and other pertinent characteristics of any clays or other fine-grained sediments identified as the confining layer. Suggested laboratory methods can be found in Appendix C.1.
This section should include corroborating and supporting data that will provide the evidence that (1) the facility will not be sited in geologically unstable areas [§9 VAC 20-81-120.B.] and (2) the facility will not be located in wetlands [§9
VAC 20-81-120.E.].
Present all sieve analysis, density, Atterberg limits, moisture content, other related data in PTA Attachment XIII.
B. Remolded Hydraulic Conductivity Provide a description of remolded hydraulic conductivity data for the soil units that are proposed for use as a drainage layer, impermeable cap or impermeable liner material, as supported by laboratory determinations.
Remolded hydraulic conductivity tests require a Proctor compaction test (ASTM D698 or D1557) soil classification, liquid limit, plastic limit, particle size distribution, specific gravity, percent compaction of the test sample, remolded density and remolded moisture content, and the percent saturation of the test sample. Proctor compaction test data and hydraulic conductivity test sample data should be plotted on standard moisture-density test graphs. All test results as described herein should be provided in PTA Attachment XIII. [§9 VAC 20-81-460.E.2.b.(2)] Rev. 01/2012
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Submission Instruction No. 1 C. Volume of Materials Provide an estimate of the available volume of materials suitable for use as liner, cap, and drainage layer for the proposed solid waste disposal facility, in addition to discussing the anticipated uses of all on-site materials. Calculations substantiating the information provided in this section should be provided in PTA Attachment XIV. [§9 VAC 20-81-460.E.2.b.(3)] IV. Hydrogeologic Report A. Water Table Information
- Groundwater Level Measurements Provide a summary of the methods used to determine static water levels in each of the monitoring, piezometer, or observation wells as performed to create the potentiometric surface map(s) provided in PTA Attachment XV.
Include a summary table identifying the well ID, elevation of the well casing top, depth to water within the well, and subsequent groundwater elevation. [§9 VAC 20-81-460.E.2.c.(1)]
- Vertical Flow Components Provide a description of vertical flow components observed in different wells during the process of data collection. [§9 VAC 20-81-460.E.2.c.(1)]
- Seasonal and Temporal Factors Include an assessment of the factors that may result in short- or long-term variations in the measured groundwater level and flow patterns. Such factors may include: Infiltration from precipitation; Off-site well pumping, recharges, and discharges; Tidal processes or other intermittent natural variations (e.g., river stage); On-site well pumping; and Off-site and on-site construction or changing land use patterns. [§9 VAC 20-81-460.E.2.c.(1)] B. Field Procedures and Results Provide a discussion of field test procedures and results, laboratory determinations made on undisturbed samples, recharge areas, discharge areas, adjacent or areal usage, and typical radii of influence of pumping wells. [§9 VAC 20-81-460.E.2.c.(2)] Rev. 01/2012
Page 16 Solid Waste Permitting
Submission Instruction No. 1 C. Description of Site Geology Provide a discussion of the regional geologic setting, the site geology and a cataloging and description of the uppermost aquifer from the site investigation and from referenced literature. The geologic description shall include a discussion of the prevalence and orientation of fractures, faults, and other structural discontinuities, and presence of any other significant geologic features. [§9 VAC 20-81-460.E.2.c.(3)] D. Description of Aquifer Provide a description addressing the aquifer’s homogeneity, horizontal and vertical extent, isotropy, the potential for ground water remediation, if required, and the factors influencing the proper placement of a ground water monitoring network. [§9 VAC 20-81-460.E.2.c.(3)] {If the application is for a solid waste management facility regulated under Part IV (9 VAC 20-81-300 et seq.)} Submit a report cataloging and describing the aquifers, geologic features, or any similar characteristic of the site that might affect the operation of the facility or be affected by that operation. Discussion on the types of information to be provided is discussed above.
G. PTA Attachment XII: Location of Borings and Boring Logs Provide a map certified by a professional engineer or professional geologist identifying the facility and waste management boundaries and the locations of all borings completed as part of the hydrogeologic and geotechnical site evaluation. Following the map, detail boring logs for each boring and well as-builts for each boring converted to an observation well, well nest, piezometer, or piezometer nest should be included. At a minimum, each boring log shall include: The type of drilling and sampling equipment used; The date each boring was started and finished; A soil or rock description in accordance with the United Soil Classification System (USCS) or Rock Quality Designation; The method of sampling; The elevation and depth of sample collection; The water levels encountered; and The Standard Penetration Test blow counts.
In addition, boring locations and elevations shall be surveyed with a precision of 0.01 foot. At least one surveyed point shall be indelibly marked by the surveyor on each well. All depths of soil and rock as described on the boring log shall be corrected to National Geodetic Vertical Datum, if available. [§9 VAC 20-81-460.E.2.a.] Rev. 01/2012
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Submission Instruction No. 1 H. PTA Attachment XIII: Laboratory and Field Data Copies of laboratory test results and field data collected during the hydrogeologic and geotechnical investigation should be provided in this attachment. [§9 VAC 20-81- 460.E.] I. PTA Attachment XIV: Materials Volume Calculations Provide calculations substantiating the information provided in Section III.C. of the Hydrogeologic and Geotechnical Report. [§9 VAC 20-81-460.E.2.b.(3)] J. PTA Attachment XV: Geologic Maps, Orthogonal Cross-Sections, and Potentiometric Surface Maps
- Geologic Maps A geologic map(s) of the proposed area based on the borings and literature review should be provided at a scale of 1 inch = 200 feet showing ground surface contours, various geologic formations locations of the uppermost aquifer and aquifer hydraulically interconnected beneath the facility and, if present, the extent of the plume of contamination that has entered the groundwater from existing units.
Published geologic maps at a scale of 1:24,000 or larger; published regional geologic maps at a scale of 1:250,000 or larger; or other published map may be submitted in lieu of the site specific map. [§9 VAC 20-81-460.E.2.c.(4)]
- Orthogonal Cross-Sections Provide an overall facility map indicating the location of each cross section and at least two generally orthogonal, detailed site specific cross section maps depicting significant geologic or structural trends identified on the geologic maps and reflecting features in relation to local and regional groundwater flow. Each cross section should show the approximate construction of landfill base grades, water table, surficial features, petrography of significant formations, significant structural features, stratigraphic contacts between formations, zones of high permeability or fracture, the location of each borehole, depth of termination, depth to the zone of saturation, and depiction of any geophysical logs along the line of the cross section. These maps should be certified by a professional engineer or professional geologist. [§9 VAC 20-81-460.E.2.c.(5)]
- Potentiometric Surface Maps Provide a potentiometric surface map(s) certified by a professional engineer or professional geologist estimating the uppermost aquifer that defines the groundwater conditions encountered below the proposed solid waste disposal area based on stabilized elevations. A map should be provided for each set of groundwater elevation data available. In constructing a potentiometric surface map the applicant should have used raw data from piezometers or wells screened at equivalent stratigraphic horizons. Information obtained from the piezometer Rev. 01/2012
Page 18 Solid Waste Permitting
Submission Instruction No. 1 cluster readings shall be used to construct flow nets in addition to surface maps. [§9 VAC 20-81-460.E.2.c.(6)] K. PTA Attachment XVI: VDOT Adequacy Report and Approval Letter
- {If the application is for a sanitary landfill} Provide a copy of the adequacy report submitted to the Virginia Department of Transportation (VDOT) or other responsible agency and subsequent approval letter. The report should address the adequacy of transportation facilities that will be available to serve the disposal facility, including daily travel routes and traffic volumes that will correlate with the daily disposal limit, road congestion, and highway safety. An example VDOT approval letter is provided in Appendix C.2. [Code of Virginia §10.1-1408.1 D.1. and 1408.4.A.1.; §9 VAC 20-81-460.G.]
- {If the application is for a CDD or industrial landfill or other solid waste management facility} Provide a copy of the letter issued by the Virginia Department of Transportation indicating sufficient infrastructure exists/will exist to safely handle the proposed waste flow. An example VDOT approval letter is provided in Appendix C.3. [Code of Virginia §10.1-1408.1 D.1] L. PTA Attachment XVII: Landfill Impact Statement {Applicable only to sanitary landfills} Submit a report certified by a professional engineer or professional geologist discussing the environmental impact of the proposed sanitary landfill on parks and recreational areas, wildlife management areas, critical habitat areas of endangered species as designated by applicable local, state, or federal agencies, public water supplies, marine resources, wetlands, historic sites, fish and wildlife, water quality, and tourism. The required report shall be referred to as a Landfill Impact Statement (LIS). It is similar to but not the same as an Environmental Impact Statement (EIS) required by 40 CFR Part 6. The applicant shall contact the appropriate state and federal agencies to request their opinion on the impact of the landfill in the areas listed above. The applicant shall provide all necessary documentation and maps to these agencies. The applicant shall provide to the Department a comprehensive report of the findings of the agencies and its own consultants. The impact statement shall consider landfill siting and configuration alternatives and will discuss the reasons why each alternative is/is not feasible.
Impacts and any potential solutions to each impact shall be discussed. [Code of Virginia §10.1-1408.4 A.2. and B.6.; §9 VAC 20-81-460.H.]
Format. The format used for the LIS should encourage clear analysis and presentation of alternatives including the proposed action and the environmental, economical, and social impacts. The LIS should start with a title page and table of contents followed by the following sections and discussions. The title page should identify the facility name and permit number, the permit applicant, document date, and document preparer information. In addition, the header or footer of each page should include the facility name, permit number, document title, revision date, and page number.
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Submission Instruction No. 1 I. Executive Summary Provide an executive summary of the Landfill Impact Statement (LIS), starting with a brief description of the proposed facility.
II. Purpose of and Need for Action The purpose and need of the LIS is to assess the environmental impact of the proposed sanitary landfill on existing parks and recreation areas; wildlife management areas; critical habitat areas of endangered species as designated by applicable local, state, or federal agencies; public water supplies; marine resources; wetlands; historic sites; fish and wildlife; water quality and tourism.
III. Alternatives, including the Selected Alternative Discuss the advantages and disadvantages of several alternatives for siting a new landfill or for expansion of an existing sanitary landfill, as appropriate, and select an alternative with proper justification.
IV. Affected Environments of the Selected Alternative Referencing the Regional Map provided in PTA Attachment IX, as appropriate, discuss the following features which may be impacted as a result of the selected alternative. Correspondence received from applicable local, state, or federal agencies addressing the proposed facility’s environmental impact on these features along with record search results should be provided as an Appendix to the
LIS.
A. Parks and Recreation Areas Identify the parks and recreational areas located within 5 miles of the proposed facility. Discuss the potential impact to these areas based on correspondence between the applicant/consultant and the Virginia Department of Conservation and Recreation (DCR) or other applicable local, state, or federal agencies. Provide Best Management Practices (BMPs), as approved, suggested, or supported by DCR or other agencies, to be used during construction and operation of the proposed facility that will minimize and/or eliminate the environmental impacts identified.
B. Wildlife Management Areas Identify the wildlife management/critical habitat areas of endangered species located within 5 miles of the proposed facility as identified by the Department of Conservation & Recreation (DCR) Division of Natural Heritage or other applicable local, state, or federal agencies. DCR’s Natural Heritage Information Resources and/or their subscriber-based Data Explorer can be used to help compile a list of habitats of rare, threatened, or endangered plant and animal species within 5 miles of the proposed facility.
Discuss the potential impact to the wildlife management areas identified and provide BMPs, as approved, suggested, or supported by DCR or other agencies, Rev. 01/2012
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Submission Instruction No. 1 to be used during construction and operation of the facility that will minimize and/or eliminate the environmental impact.
C. Public Water Supplies Identify the public water supplies located within 5 miles of the proposed facility as identified by the Virginia Department of Health (VDH) or other applicable local, state, or federal agencies. Discuss the potential impact to these supplies and provide BMPs, if necessary, to be used during construction and operation of the facility that will minimize and/or eliminate the environmental impact. Keep in mind the statute limitations of §10.1-1408.4 B.3. in regards to the proximity of a landfill to a public water supply well. [§9 VAC 20-81-120.C.3.a.(1) and (2)]
{If existing surface or groundwater public water supply intakes or reservoirs are located between one (1) mile and three (3) miles of the perimeter of the waste management boundary} Provide the information as requested in Guidance Memo No. 04-2005 Sanitary Landfill Siting Relative to a Public Water Supply Intake or Reservoir, demonstrating that the proposed facility will meet the requirements of §10.1-1408.4 B.3.(i) through (v).
{If the landfill is downgradient of all public water supply intakes or reservoirs} Provide information to prove that no well, spring, or other groundwater source of drinking water is located within 500 feet of the proposed location. The demonstration should include information and calculations of radius of influence (i.e. cone of depression) to show that pumping rates of these sources do not cause the landfill to become upgradient of these sources.
{If existing surface or groundwater public water supply intakes or reservoirs are located within one (1) mile downgradient of the perimeter of the waste management boundary, the landfill can NOT be sited at the proposed location}
FIGURE 1 is a flowchart that can be used to determine whether the proposed new landfill or landfill expansion can be sited at the proposed location in relation to proximity to public water supply supplies.
D. Marine Resources Identify any marine resources located within 5 miles of the proposed facility as identified by applicable local, state, or federal agencies. Discuss the potential impact to these resources and provide BMPs to be used during construction and operation of the facility that will minimize and/or eliminate the environmental impact.
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Page 21 Solid Waste Permitting Submission Instruction No. 1
FIGURE 1 Flowchart for siting a sanitary landfill with respect to proximity to existing surface or groundwater public water supply intake or reservoir in accordance with Code of Virginia
§10.1-1408.4 B.3.
START
Is any existing surface or NO STOP groundwater public water supply Landfill can be sited at the (PWS) intake or reservoir located proposed location. within 3 miles of landfill (LF)?
YES
Is any existing surface or YES groundwater PWS intake or reservoir located within 1 mile of A
LF?
NO
Is any existing PWS intake or NO STOP reservoir located between 1 and 3 Landfill can be sited at the miles of LF? proposed location.
YES STOP Landfill can be sited at the proposed location with a Is LF upgradient to any existing NO demonstration and surface or groundwater PWS in- information to prove that take or reservoir? the Landfill is not upgradient to any existing surface or groundwater YES PWS intake or reservoir.
STOP Landfill can be sited at the proposed location if it meets clauses (i) through (v) of § 10.1-1408.4 B.3. and provides the demonstration indicated in Guidance Memo No. 04-2005.
Rev. 01/2012 Page 22Solid Waste Permitting Submission Instruction No. 1
FIGURE 1 Flowchart for siting a sanitary landfill with respect to proximity to existing surface or groundwater public water supply intake or reservoir in accordance with Code of Virginia §10.1-1408.4 B.3. – continued
A
Is LF upgradient to any existing YES STOP surface or groundwater PWS Landfill can NOT be sited intake or reservoir located at the proposed location. within 1 mile?
NO
Is any existing well, spring, or STOP YES other groundwater source of drink- Landfill can NOT be sited ing water located within 500 feet at the proposed location of LF WMB? (§ 9 VAC 20-81-120.C.1.d.).
NO
STOP Landfill can be sited at the proposed location with a demonstration and information to prove that no well, spring, or other groundwater source of drinking water is located within 500 feet. The demonstration should include information and calculations of radius of influence (i.e. cone of depression) to show that pumping rates of these sources do not cause the LF to become upgradient of these sources.
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Submission Instruction No. 1 E. Wetlands Identify the amount and types of wetlands located within 5 miles of the proposed facility as identified on United States Geological Survey (USGS) quadrangle maps, National Wetlands Inventory (NWI) maps, and Federal Emergency Management Agency (FEMA) Flood Insurance Rate Maps (FIRM).
Discuss the potential impact to these resources and provide BMPs to be used during construction and operation of the facility that will minimize and/or eliminate the environmental impact.
F. Historic Sites Identify the historic resources located within 5 miles of the proposed facility as identified by the Virginia Department of Historic Resources (DHR) or other applicable local, state, or federal agencies. DHR’s Data Sharing System should be used to identify Virginia Landmarks Register (VLR) listed and eligible historic resources located within 5 miles of the proposed facility. Discuss the potential impact to the identified sites and provide BMPs, as approved, suggested, or supported by DHR or other applicable agencies, to be used during construction and operation of the facility that will minimize and/or eliminate the environmental impact.
G. Fish and Wildlife Identify the fish and wildlife resources located within 5 miles of the proposed facility as identified by Virginia Department of Game and Inland Fisheries (DGIF) or other applicable local, state, or federal agencies. DGIF’s Virginia Fish and Wildlife Information Service web-based application and/or DGIF’s subscriber-based Wildlife Environmental Review Map Service can be used to help compile a list of potential threatened and endangered species within 5 miles of the proposed facility. Discuss the potential impact to these resources and provide BMPs, as approved, suggested, or supported by DGIF or other applicable agencies, to be used during construction and operation of the facility that will minimize and/or eliminate the environmental impact.
H. Water Quality Identify the surface and groundwater resources located within 5 miles of the proposed facility. Discuss the potential impact to these resources and provide BMPs, if necessary, to be used during construction and operation of the facility that will minimize and/or eliminate the environmental impact.
I. Tourism Identify the tourism opportunities located within 5 miles of the proposed facility, as identified by local government and businesses, and DCR. Discuss the potential impact to these opportunities and provide BMPs to be used during construction and operation of the facility that will minimize and/or eliminate the environmental impact.
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Submission Instruction No. 1
V.
Environmental Consequences of the Alternatives Discuss the environmental consequences of each of the alternatives presented in Section III of this LIS, such as loss of land used for forestry, agriculture, or other purposes, wetlands and streams, if any, noise pollution, odor, and traffic.
Discuss how the environmental consequences of the alternatives will be mitigated by meeting the regulatory requirements of the Virginia Waste Management Act and the Solid Waste Management Regulations.
VI.
Coordination List the local, state, federal, and/or private agencies that have been contacted for information and environmental assessment.
VII. List of Contributors List the consultants and/or agencies that contributed in the preparation of this
LIS.
VIII. References List the references and/or personal contact, if any, that are cited in the text of this LIS.
M. PTA Attachment XVIII: Certification and Documentation of Adjacent Property Owner Notification Provide a statement signed by the applicant indicating all adjacent property owners or occupants have been notified of the intent to develop a solid waste management facility on the site. Include a copy of the notice sent and a list including the names and addresses of those notified. An example statement and notice provided are provided in Appendix C.4. and Appendix C.5. [§9 VAC 20-81-460.I.] N. PTA Attachment XIX: Discussion of Public Interest Served Provide a discussion on how the public interest will be served by the proposed facility based on one or more of the conditions listed under §9 VAC 20-81-460.K.1. through
K.7.
O. PTA Attachment XX: Airport Proximity and Agency Coordination {For sanitary landfills located within 5 miles of any airport runway end used by turbojet or piston-type aircraft} Provide copies of the notification sent in accordance with §9 VAC 20-81-120.I.2. concerning the proposed facility’s proximity to the airport and correspondence received from the affected airport, local aviation authority, and the Federal Aviation Administration (FAA) in response. Restrictions imposed by the FAA or local airport may be incorporated into the Part A Authorization issued. {For sanitary landfills located within 10,000 feet of any airport runway end used by turbojet aircraft or within 5,000 feet of any airport runway end used by piston-type aircraft} Provide a demonstration that the proposed facility will not pose a bird hazard Rev. 01/2012
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Submission Instruction No. 1 to aircraft within specified distances of an airport runway by addressing the following information:
- Distance
Referencing the Regional Map included in PTA Attachment IX, indicate the minimum distance between the proposed waste management boundary and the airport runway. This value should coincide with the response to question 9.h. on DEQ Form SW PTA.
- Public Use The regulatory requirement for setback from an airport does not apply to private airfields. Whether the airport is a public-use facility should be readily determined by contacting the airport administration, Virginia Department of Aviation, or the regional FAA office. A copy of the determination shall be included in this Attachment.
- Increased Bird Hazard Indicate the proposed facility design features and operational practices that will be employed to minimize the likelihood of increased bird/aircraft collisions.
Proposed waste management techniques may include: a. Frequent covering of wastes that provide a source of food The application shall include the description of volume and type of wastes, waste delivery schedules, size of the working face, and frequency of cover applied to keep the working face small. By maintaining a small working face, spreading and compaction equipment are also concentrated in a small area which further disrupts scavenging by the birds. b. Shredding, milling, or baling the food-containing waste The applicant may elect to mill, shred, or bale the food-containing waste making the waste no longer attractive to birds. c. Other Methods The applicant may include other methods with limited long-term effect such as visual or sound deterrents, physical barriers such as fine wires, and firearms.
Some of these methods may concentrate on the denial of nesting areas.
- Estimation of Likelihood of Increased Risk In addition to design features and operational procedures to control bird populations, the demonstration should also address the likelihood that the disposal unit will increase bird/aircraft collisions and result in damage to the aircraft or injury to its occupants. One approach to addressing this portion of the airport safety criteria is to evaluate the attraction of birds to the unit and determine whether this increased population would be expected to result in a discernable increase in bird/aircraft collisions. The evaluation of bird attraction can be based on field observations at existing facilities where similar design features and operational procedures are used. All observations, measurements, data, Rev. 01/2012
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Submission Instruction No. 1 calculations and analyses, and evaluations shall be documented and included in the demonstration.
P. PTA Attachment XXI: FEMA Flood Insurance Rate Map In support of question 1 on DEQ Form SW PTA, provide a copy of the FEMA Flood Insurance Rate Map (FIRM) showing the proposed facility is not located within the 100-year floodplain. [§9 VAC 20-81-120.A.] Q. PTA Attachment XXII: Wetlands Demonstration and Agency Coordination {If the response to question 6. on DEQ Form SW PTA is yes} Review Guidance Memo No. 03-2005: Guidance for the implementation of HB2192 regarding wetlands siting and increased groundwater monitoring originally issued as Guidance 02-1999, to determine whether the proposed landfill can be sited. As indicated in the Guidance Memo, provide the necessary information and documentation indicating the facility meets the requirements of Code of Virginia §10.1-1408.4 B.2. and §10.1-1408.5 E. and VSWMR §9 VAC 20-81-120.E.3. FIGURE 2 is a flowchart that can be used to determine whether the proposed new landfill or landfill expansion can be sited at the proposed location.
In addition, a Wetland Delineation Map and copies of the Wetland and Stream Impact Permits issued by the Army Corps of Engineers and/or the Virginia Water Protection Program should be provided here. As indicated in Waste Guidance Memo 06-2005 and Water Guidance Memo No. 05-2012: Coordination of Permitting Requirements for Wetlands and the Siting of Solid Waste Landfills and Clarification Memo issued April 13, 2009 (see FIGURE 3), wetlands and stream impact permits will need to be issued prior to the applicant receiving a Part A Authorization.
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FIGURE 2 Flowchart for siting a sanitary landfill with wetlands impacts in accordance with §10.1-1408.5 of the Code of Virginia
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FIGURE 3 Wetlands Permits and Solid Waste Part A Applications Clarification of Guidance Memo 06-2005
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Submission Instruction No. 1 R. PTA Attachment XXIII: Demonstration Regarding Proximity to Fault or Siting within a Seismic Impact Zone {If the response to question 9.f. on DEQ Form SW PTA is less than 200 feet} Provide a demonstration indicating that an alternate setback distance of less than 200 feet will prevent damage to the structural integrity of the facility and will be protective of human health and the environment. {If the response to question 9.g. on DEQ Form SW PTA is yes} Provide a demonstration that all containment structures, including liners, leachate collection systems, and surface water control systems, are designed to resist the maximum horizontal acceleration in lithified earth material for the site. Review Guidance Memo 02-1993: Seismic Impact Zone, Part A Demonstration Requirements, for additional information regarding the demonstration to be submitted in this Attachment.
S. PTA Attachment XXIV: Request for Exemption of Site from the Requirements of §9 VAC 20-81-120.D. and/or 120.F. {If the application is for a CDD or industrial landfill and the applicant wishes to be exempt from the groundwater monitoring requirements of §9 VAC 20-81-250.} The applicant shall provide a demonstration certified by a qualified groundwater scientist indicating that there is no potential for migration of any Table 3.1 constituents to the uppermost aquifer during the active life and post-closure care period of the landfill.
This demonstration should address the requirements of 9 VAC 20-81-250.A.1.c. and be provided in lieu of the Groundwater Monitoring Plan as PTB Attachment X. {If any response to questions 7.a. through 7.e. on DEQ Form SW PTA is yes} The applicant shall provide specific site conditions to be considered during the Director’s review in addition to providing an explanation of precautions necessary to assure compliance with all design, construction, operation, and closure provisions of the
VSWMR.
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Submission Instruction No. 1
V.
PART B PERMIT APPLICATION The Part B Permit Application should be submitted after the Part A Permit has been issued. The Part B Permit Application contains the detailed engineering design, monitoring, closure, and post-closure plans for the proposed facility. According to §9 VAC 20-81-450.D.1., the applicant shall provide three copies of the Part B Permit Application and the attachments specified in §9 VAC 20-81-470 or 480. Please check with the DEQ Regional Office responsible for the proposed location of the facility to determine the number and format of copies desired.
A. Application Form Provide a signed DEQ Form SW PTB. Mark entries that do not pertain to the type of the permit being applied for with "N/A" rather than leaving them blank. The attachments as specified on the form are discussed further below and should be submitted in the order prescribed. [§9 VAC 20-81-470.D.] This form is available on the DEQ Website: http://www.deq.virginia.gov/Portals/0/DEQ/Land/Forms/partb.pdf Directions for completing this form are also available: http://www.deq.virginia.gov/Portals/0/DEQ/Land/Forms/Instructions_for_Completing _DEQ_Form_SW_PTB.pdf B. Permit Application Fee Submit a check, draft, or postal money order made payable to the Treasurer of Virginia for the required permit application fee in accordance with the Solid Waste Management Facility Permit Action Fees and Annual Fees regulation (9 VAC 20-90) to DEQ Accounts Receivable, P.O. Box 1104, Richmond, Virginia 23218. A copy of the check (with account and routing numbers blacked out), draft, or postal money order should accompany the permit application submitted to the DEQ Regional Office.
Applications not accompanied by the proper fee or containing insufficient fees will be considered incomplete and shall not be processed by the Department. [§9 VAC 20-81- 450.D.1.; §9 VAC 20-90-60] C. PTB Attachment I: Notice of Intent Provide a Notice of Intent cover letter for the Part B Application. Contents of the cover letter are specified in Section III.A. [§9 VAC 20-81-450.B.] D. PTB Attachment II: VDOT Adequacy Report and Approval Letter For a new application, provide a reference to PTA Attachment XVI. This attachment is only applicable to permit modifications requesting increases in the facility’s daily disposal limit. [§9 VAC 20-81-460.G.] Rev. 01/2012
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Submission Instruction No. 1 E. PTB Attachment III: Design Plans
- {If the application is for a solid waste disposal facility} See Submission Instruction No. 2: Design Plans and Report for Solid Waste Disposal Facilities for detailed instructions regarding the Design Plans to be submitted in this Attachment.
- {If the application is for a waste to energy, thermal treatment, or incineration facility} See Submission Instruction No. 3: Design Plans and Report for Waste to Energy, Thermal Treatment, and Incineration Facilities for detailed instructions regarding the Design Plans to be submitted in this Attachment.
- {If the application is for any other solid waste management facility} See Submission Instruction No. 4: Design Plans and Report for Other Solid Waste Management Facilities for detailed instructions regarding the Design Plans to be submitted in this Attachment. [§9 VAC 20-81-470.A.1.] F. PTB Attachment IV: Closure Plan See Submission Instruction No. 6: Closure and Post-Closure Care Plans for Solid Waste Disposal and Management Facilities for detailed instructions regarding the Closure Plan to be submitted in this Attachment. [§9 VAC 20-81-470.A.2.] G. PTB Attachment V: Post-Closure Care Plan {Applicable only to solid waste disposal facilities} See Submission Instruction No. 6: Closure and Post-Closure Care Plans for Solid Waste Disposal and Management Facilities for detailed instructions regarding the Post-Closure Care Plan to be submitted in this Attachment. [§9 VAC 20-81-470.A.3.] H. PTB Attachment VI: Design Report See Submission Instruction No. 2, 3, or 4 as noted in Section V.E. above for detailed instructions regarding the Design Report to be submitted in this Attachment. [§9 VAC 20-81-470.B. and 480.B.] I. PTB Attachment VII: Construction Quality Assurance (CQA) Plan & Technical Specifications See Submission Instruction No. 2, 3, or 4 as noted in Section V.E. above for detailed instructions regarding the CQA Plan and Technical Specifications to be submitted in this Attachment. [§9 VAC 20-81-130.Q.2., 470.B. and 480.B.] J. PTB Attachment VIII: Leachate Management Plan See Submission Instruction No. 7: Leachate Management Plan for Solid Waste Management Facilities for detailed instructions regarding the Leachate Management Plan to be submitted in this Attachment. [§9 VAC 20-81-210] Rev. 01/2012
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Submission Instruction No. 1 If the “Treated onsite and discharged” box is checked on DEQ Form SW PTB, provide a copy of the VPDES permit issued in this Attachment.
K. PTB Attachment IX: Landfill Gas Management Plan and Landfill Gas Remediation Plan See Submission Instruction No. 13: Landfill Gas Management, Remediation, and Odor Plans for Solid Waste Disposal Facilities for detailed instructions regarding the Landfill Gas Management/Remediation Plans to be submitted in this Attachment. [§9 VAC 20-81-200] L. PTB Attachment X: Groundwater Monitoring Plan See Submission Instruction No. 5: Groundwater Monitoring and Sampling & Analysis Plans for New Solid Waste Disposal Facilities; Submission Instruction No. 11: Groundwater Monitoring and Sampling & Analysis Plans for Existing Regulated CDD & Industrial Landfills; or Submission Instruction No. 12: Groundwater Monitoring and Sampling & Analysis Plans for Existing Regulated Sanitary Landfills for detailed instructions regarding the Groundwater Monitoring Plan to be submitted in this Attachment. [§9 VAC 20-81-250] M. PTB Attachment XI: Groundwater Corrective Action Plan See Submission Instruction No. 17: Design of a Corrective Action Plan (CAP) Concerning Groundwater Contamination at Regulated Sanitary, CDD, and Industrial Landfills for detailed instructions regarding the Groundwater Corrective Action Plan to be submitted in this Attachment. [§9 VAC 20-81-260] N. PTB Attachment XII: Financial Assurance Demonstration All facilities except for those owned and operated by State or Federal Agencies shall demonstrate financial assurance for closure, post-closure, and corrective action costs in accordance with the Financial Assurance Regulations for Solid Waste Disposal, Transfer, and Treatment Facilities (9 VAC 20-70). Once the closure plans are approved, a draft permit has been prepared, and prior to acceptance of waste or CTO for a new cell, the applicant must submit a financial assurance mechanism in the amount of the approved cost estimates. See Submission Instruction No. 9: Requirements for Financial Assurance Mechanisms for detailed instructions regarding the Financial Assurance Documentation to be submitted in this Attachment. This attachment is only applicable to new permits or permit modifications resulting in an increase in the closure, post-closure, or corrective action financial assurance amounts. [§9 VAC 20-81-470.C. and 480.C.] O. PTB Attachment XIII: Special Waste Documentation If the “Contaminated Soil” or “Other Special Wastes” box is checked on DEQ Form SW PTB, the applicant should provide documentation for each special waste proposed for acceptance at the solid waste disposal or management facility. These forms should be accompanied by a Special Waste Plan that identifies, at a minimum, the quantity of Rev. 01/2012
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Submission Instruction No. 1 material to be accepted, the sampling analysis and frequency to be or already completed, and generator knowledge. Procedures for handling and disposing of each special waste identified should also be provided. [§9 VAC 20-81-140.B.4. and 610 through 660] P. PTB Attachment XIV: Alternate Liner Demonstration
- {Applicable to Sanitary Landfills} If the “Additional Alternate” sanitary landfill liner design is checked on DEQ Form SW PTB, the applicant shall provide a demonstration indicating that the proposed alternate liner design meets the regulatory requirements of §9 VAC 20-81-130.J.1.c. See Section V.A. of Submission Instruction No. 2: Design Plans and Report for Solid Waste Disposal Facilities for detailed instructions regarding the information to be submitted as part of this demonstration.
- {Applicable to CDD and Industrial Landfills} If the “Alternate Liner” CDD or industrial landfill liner design is checked on DEQ Form SW PTB, the applicant shall provide a demonstration indicating that the proposed alternate liner design meets the regulatory requirements of §9 VAC 20-81-130.J.2.c. See Section V.B. of Submission Instruction No. 2: Design Plans and Report for Solid Waste Disposal Facilities for detailed instructions regarding the information to be submitted as part of this demonstration.
Q. PTB Attachment XV: Laboratory Test Results Documenting Permeability of In-place Soils {Applicable only to CDD and Industrial Landfills} If the “In-Place Soil” liner design is checked on DEQ Form SW PTB, the applicant shall provide laboratory test results documenting the permeability of in-place soils. The in-place soil liner proposed shall be of equivalent thickness and have a hydraulic conductivity equal to or less than the clay liner specified under §9 VAC 20-130.J.2.a. (i.e. the liner will be a minimum of one foot thick and the hydraulic conductivity shall be equal to or less than 1 x 10-7 cm/sec). [§9 VAC 20-81-130.J.2.d.] R. PTB Attachment XVI: Alternate Final Cover Demonstration If the “Additional Alternate” final cover design is checked on DEQ Form SW PTB, the applicant shall provide a demonstration indicating that the proposed alternate final cover design meets the regulatory requirements of §9 VAC 20-81-160.D.2.f. The demonstration shall show that:
- The proposed infiltration layer achieves an equivalent reduction in infiltration as would be achieved using 18 inches of earthen material with a hydraulic conductivity less than or equal to the hydraulic conductivity of the bottom liner system or natural subsoils present or no greater than 1 x 10-5 cm/sec, whichever is less; and Rev. 01/2012
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Submission Instruction No. 1
- The 24-inch erosion layer is capable of sustaining native plant growth, and will provide protection of the infiltration layer from the effects of erosion, frost, and wind.
Additional information regarding the demonstration can be found in the Office of Waste Permitting and Compliance Memo 2009-04: Final Cap System Hydraulic Conductivity Testing—Infiltration Layer S. PTB Attachment XVII: Research, Development, and Demonstration Plan {Research, Development, and Demonstration (RDD) Plans are optional and only applicable to sanitary landfills designed with a composite liner, as required by §9 VAC 20-81-130.J.1., and leachate collection system} See Waste Guidance Memo 05-2009: Research, Development, and Demonstration Plans for instructions regarding the plan to be submitted in this attachment.
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Submission Instruction No. 1 VI. PERMIT MODIFICATIONS Procedures for modifying solid waste permits are provided under 9 VAC 20-81-600. The following provides additional information regarding the items that should be submitted for each type of permit modification.
A. Major Modifications Major permit modifications are deemed to substantially alter the facility or its operation and are specified in Table 5.2 of 9 VAC 20-81-600.F. The major permit modification application should be submitted to the DEQ Regional Office responsible for the location of the facility. Major permit modification applications should contain the following items, as applicable.
- Notice of Intent The facility shall submit a letter (1) stating the precise location and intended use of the facility; (2) describing the exact change to be made to the permit conditions and supporting documents referenced by the permit; (3) identifying the proposed change(s) as a major modification; (4) explaining why the modification is needed; and (5) attaching area and site location maps.
The Notice of Intent shall be accompanied by all items discussed in Section III (Items B through H) if applicable. Keep in mind that facilities applying for an expansion of the WMB (or the DUB for facilities without a Part A permit) is defined as a “new solid waste management facility” if the expansion area was not previously addressed in the Part A application. [9 VAC 20-81-450.B. and 600.F.3.b.]
In regards to the SCC Certification, Section III.H., the applicant shall provide either an updated Certificate of Good Standing (for corporations) or a Certificate of Fact (for LLCs) from the State Corporation Commission (SCC) for the designated owner and/or operator if one has not been previously submitted to the Department (either to the Office of Financial Assurance or the Regional Office) within the last year (365 days). [9 VAC 20-81-450.B.10.]
- Part A Modification Consult Waste Guidance Memo 01-2009: Scenarios Under Which a Part A Amendment Is or Is Not Required to determine whether a Part A Modification is required. If a Part A Modification is required, the facility shall submit the following: a. Application Form Provide a new signed and certified DEQ Form SW PTA as discussed in Section IV.A. [9 VAC 20-81-460.A.] Rev. 01/2012
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Submission Instruction No. 1 b. Permit Modification Fee Submit a check, draft, or postal money order made payable to the Treasurer of Virginia for the required permit modification fee in accordance with the Solid Waste Management Facility Permit Action Fees and Annual Fees regulation (9 VAC 20-90) to DEQ Accounts Receivable, P.O. Box 1104, Richmond, Virginia 23218. A copy of the check (with account and routing numbers blacked out), draft, or postal money order should accompany the permit application submitted to the DEQ Regional Office. Applications not accompanied by the proper fee or containing insufficient fees will be considered incomplete and shall not be processed by the Department. [9 VAC 20-90-90] c. PTA Attachments I through XXIV Provide revised attachments as indicated in Waste Guidance Memo 01-2009.
See Section IV above for detailed instructions on the information to include in each attachment. [9 VAC 20-81-460.A.]
- Part B Modification a. Application Form Provide a new signed DEQ Form SW PTB as discussed in Section V.A. [9 VAC 20-81-470.D.] b. Permit Modification Fee Submit a check, draft, or postal money order made payable to the Treasurer of Virginia for the required permit modification fee in accordance with the Solid Waste Management Facility Permit Action Fees and Annual Fees regulation (9 VAC 20-90) to DEQ Accounts Receivable, P.O. Box 1104, Richmond, Virginia 23218. A copy of the check (with account and routing numbers blacked out), draft, or postal money order should accompany the permit application submitted to the DEQ Regional Office. Applications not accompanied by the proper fee or containing insufficient fees will be considered incomplete and shall not be processed by the Department. [9 VAC 20-90-90] c. PTB Attachments I through XVII Provide revised attachments as applicable for the permit documents that will require modification as a result of the requested modification and those items indicated in Waste Guidance Memo 01-2009 if a Part A modification isn’t required. See Section V above for detailed instructions on the information to include in each attachment. [9 VAC 20-81-470 and 480] B. Minor Modifications Minor permit modifications consist of minor changes that keep the permit current, but do not substantially alter the permit conditions or reduce the capacity of the facility to protect human health and the environment. For any permit modification not specified as a major modification or permittee change in Table 5.2 of 9 VAC 20-81-600.F., the Rev. 01/2012
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Submission Instruction No. 1 applicant shall apply for a minor modification. The following items should be submitted as one package to the appropriate DEQ Regional Office by certified mail or other means to establish proof of delivery.
- Notice of Intent The facility shall submit a letter (1) stating the precise location and intended use of the facility; (2) describing the exact change to be made to the permit conditions and supporting documents referenced by the permit; (3) identifying the proposed change(s) as a minor modification; (4) explaining why the modification is needed; and (4) attaching area and site location maps.
If the minor modification would result in a facility that is more protective of human health and the environment, the Notice shall include an explanation of the manner in which the health and environment will be protected in a greater degree than required by the VSWMR. [9 VAC 20-81-450.B. and 600.F.2.c.] The Notice of Intent shall be accompanied by all items discussed in Section III (Items B through H) if applicable. In regards to the SCC Certification, Section III.H., the applicant shall provide either an updated Certificate of Good Standing (for corporations) or a Certificate of Fact (for LLCs) from the State Corporation Commission (SCC) for the designated owner and/or operator if one has not been previously submitted to the Department (either to the Office of Financial Assurance or the Regional Office) within the last year (365 days). [9 VAC 20-81-
450.B.10.]
- Part A Modification Consult Waste Guidance Memo 01-2009: Scenarios Under Which a Part A Amendment Is or Is Not Required to determine whether a Part A Modification is required. If a Part A Modification is required, the facility shall submit the following: a. Application Form Provide a new signed DEQ Form SW PTA as discussed in Section IV.A. [9 VAC 20-81-470.D.] b. PTA Attachments I through XXIV Provide revised attachments as indicated in Waste Guidance Memo 01-2009.
See Section IV above for detailed instructions on the information to include in each attachment. [9 VAC 20-81-460.A.] If the Part A Modification is not necessary, provide the additional documentation required as indicated in Guidance Memo 01-2009 with the Notice of Intent for the Part B Modification. [9 VAC 20-81-460 and 600.F.2.c.] Rev. 01/2012
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Submission Instruction No. 1
- Part B Modification a. Application Form Provide a new signed DEQ Form SW PTB as discussed in Section V.A. [9 VAC 20-81-470.D.] b. PTB Attachments I through XVII Provide revised attachments as applicable for the permit documents that will require an update as a result of the requested modification. See Section V above for detailed instructions on the information to include in each attachment. [9 VAC 20-81-470 and 480] C. Permittee Change Modifications specified as Permittee Change in Table 5.2 of 9 VAC 20-81-600.F. may be implemented without prior Department approval. The following notifications shall be submitted to put the desired permittee change into effect:
- Notice of Intent A minimum of 14 calendar days prior to implementing the desired permittee change, the facility shall submit a Notice of Intent to the appropriate DEQ Regional Office. The Notice of Intent shall be in letter form (1) stating the precise location and intended use of the facility; (2) describing the exact change to be made to the permit conditions and supporting documents referenced by the permit; (3) identifying the proposed change(s) as a permittee change; (4) explaining why the modification is needed; and (4) attaching area and site location maps. [9 VAC 20-81-450.B. and 600.F.1.a.]
- Notice to Local Governing Body Within 90 days of implementing the permittee change, the permittee shall send a notice of the modification to the local governing body of the county, city, or town in which the facility is located. A copy of the notification should be provided to the DEQ Regional Office to ensure compliance with §9 VAC 20-81-600.F.1.b.
D. Temporary Authorization
- Applicability A Temporary Authorization may be requested for any major modification, where the temporary authorization would provide improved management or treatment of a solid waste already listed in the facility permit and is necessary: a. To facilitate timely implementation of closure or corrective action activities [§9 VAC 20-81-600.F.4.c.(2)(a)]; b. To prevent disruption of ongoing waste management activities [§ 9 VAC 20-81-600.F.4.c.(2)(b); or c. To enable the permittee to respond to sudden changes in the types or quantities of wastes managed under the facility permit and facilitate other Rev. 01/2012
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Submission Instruction No. 1 changes to protect human health and the environment [§9 VAC 20-81-600.F.4.c.(2)(c) and (d)]
- Submission Requirements The temporary authorization request shall be submitted to the DEQ Regional Office in letter form and include: a. A description of the activities to be completed under the temporary authorization; b. An explanation of why the temporary authorization is necessary; and c. Sufficient information to ensure compliance with Part III (§9 VAC 20-81-100 et seq.) or Part IV (§9 VAC 20-81-300 et seq.). [9 VAC 20-81-600.F.4.b.(2)]
- Notification Requirement Within seven days of submitting the temporary authorization request, the permittee shall send a notice about the request to all persons on the facility mailing list. A copy of the notification should be provided to the DEQ Regional Office to ensure compliance with § 9 VAC 20-81-600.F.4.b.(3).
E. Research, Development, and Demonstration Plans Incorporation of a Research, Development, and Demonstration (RDD) Plan into a solid waste permit is classified as a major permit modification. Details regarding the applicability and contents of the RDD Plan, and processing procedures are discussed in Guidance Memo 05-2009: Research, Development, and Demonstration Plans. [9 VAC 20-81-600.F.7.] Rev. 01/2012
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Submission Instruction No. 1 VII. APPENDICES A. Pre-Application Correspondence
- Public-Notice
- Reservation of Disposal Capacity B. Notice of Intent Correspondence
- Disposal Capacity Guarantee – Locality-Owned/Locality-Operated Sanitary Landfill
- Disposal Capacity Guarantee – Privately-Owned Sanitary Landfill C. Part A Permit Application Correspondence
- Part A Maps a. Key Map Example b. Near-Vicinity Map Example c. Regional Map Example
- Hydrogeologic and Geotechnical Report Information a. Suggested Laboratory Methods b. Geologic Map Example c. Orthogonal Cross-Section Example d. Potentiometric Surface Map Example
- VDOT Approval – Sanitary Landfill
- VDOT Approval – CDD or Industrial Landfill or Other Solid Waste Management Facility
- Adjacent Property Owner Certification Statement
- Adjacent Property Owner Notification Letter Rev. 01/2012
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Appendix A.1. Example Public Notice
PUBLIC NOTICE
As required by §9 VAC 20-81-450.B.4. and §10.1-1408.1.B.4., the {Facility Name} announces a public meeting to show its intent to apply for a permit to operate a {sanitary landfill or transfer station}, and to receive comments and questions on the proposed siting and operation of the facility. The proposed site is located in {indicate local government district}, {provide location description with reference to nearby landmarks, major interstates or routes, etc.}. The latitude and longitude of the site is {provide lat/long coordinates}. The proposed facility consists of portions or all of the following tax parcels: {indicate tax map parcels}.
A public meeting will be held on {date, time} at the {public hearing location and address (provide location description if necessary)}. More detailed information regarding the location of the public hearing facility may be obtained from {provide contact name and phone number and/or email address}. Interested persons may contact {owner contact, company name, phone number and/or email address} with questions or comments regarding the proposed application.
Written correspondence may be send {owner contact, address}. Interested parties may also access available information {state location where copies of planning documents are available, whether on the internet, local government office, public library, and/or company business office}.
Rev. 01/2012 Page 42Solid Waste Permitting Submission Instruction No. 1
Appendix A.2. Reservation of Disposal Capacity
NOTIFICATION LETTER:
Date
Contact Name Locality Administrator Address Town, VA ZIP
Dear Contact name:
Applicant plans to construct and operate a municipal solid waste management facility in County/ City/ Town / Place. Pursuant to Virginia Code 1408.1 B.6, you may reserve disposal capacity in this landfill up to the requirements specified in your approved solid waste management plan. By signing the agreement below, the applicant agrees to guarantee the facility will reserve the requested disposal capacity for the locality. The applicant and locality must sign a contract that stipulates the conditions of the agreement. By signing the denial statement, the locality agrees that it does not wish to reserve disposal capacity. If the acceptance agreement is not returned within 60 days from the date of this letter, it will be assumed that the locality has refused the offer to reserve disposal capacity.
Sincerely,
Contact Name Applicant Address Town, VA ZIP
Rev. 01/2012 Page 43Solid Waste Permitting
Submission Instruction No. 1 AGREEMENT TO ACCEPT: On behalf of _________, the undersigned hereby accepts the offer from __________ to reserve disposal capacity in the planned facility. The locality has fully investigated its future solid waste disposal needs and has concluded it requires ___________ cubic yards of reserve capacity. The undersigned understands that by accepting this offer, the locality and the applicant must enter into a contract that stipulates the conditions of the agreement. The acceptance letter will constitute an enforceable agreement to guarantee future disposal capacity until a formal contract is signed.
Signed:____________________________________________________ Date_______________
Title and investing Authority ______________________________________________________
Contact Information _____________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
STATEMENT OF DENIAL:
On behalf of _____________, the undersigned declines the offer to reserve disposal capacity in the planned facility. The undersigned agrees that by signing this statement, the applicant has made a good faith effort to inform the locality of its right to reserve airspace and that the locality has fully investigated its solid waste disposal needs and believes the reserve airspace is not needed at this time.
Signed:____________________________________________________ Date_______________
Title and investing Authority _____________________________________________________
Contact Information _____________________________________________________________
______________________________________________________________________________
______________________________________________________________________________ Rev. 01/2012
Page 44 Solid Waste Permitting
Submission Instruction No. 1 Appendix B.1. Disposal Capacity Guarantee – Locally Owned/Operated Sanitary Landfill Pursuant to §9 VAC 20-81-450.B.5. of the Solid Waste Management Regulations (VSWMR, 9 VAC 20-81-10 et seq.) and §10.1-1408.1.B.6. of the Code of Virginia, this document constitutes a statement by the applicant, {Owner Name}, that the {Facility Name} will accept only solid waste generated within the regional authority’s member jurisdictions that include {Name of the member counties, cities, and towns}.
Signed:____________________________________________________ Date_______________
Title and investing Authority ______________________________________________________
Contact Information _____________________________________________________________
______________________________________________________________________________
______________________________________________________________________________ Rev. 01/2012
Page 45 Solid Waste Permitting
Submission Instruction No. 1 Appendix B.2. Disposal Capacity Guarantee – Privately Owned Sanitary Landfill Pursuant to §9 VAC 20-81-450.B.5. of the Solid Waste Management Regulations (VSWMR, 9 VAC 20-81-10 et seq.) and §10.1-1408.1 B.6. of the Code of Virginia, this document constitutes a statement by the applicant, {Owner Name} has contacted all localities in Virginia to offer reserve disposal capacity per the respective solid waste management plans. {If no localities have entered into a contract at the time of this submittal} No localities have entered into a contract with {Owner Name} as a result of the offer. However, the localities will be allowed to enter into a contract in the future if they want to do so. {If localities have or will be entered into a contract} Only those localities listed below have agreed to the offer. The total reserve disposal capacity for all of the localities on the list below is _____________ cubic yards. By agreeing to this offer, the applicant guarantees to reserve the required capacity in the facility by entering into a contractual agreement with these localities. {List localities and reserve capacity in cubic yards} Signed:____________________________________________________ Date_______________
Title and investing Authority ______________________________________________________
Contact Information _____________________________________________________________
______________________________________________________________________________
______________________________________________________________________________ Rev. 01/2012
Page 46 Solid Waste Permitting Submission Instruction No. 1
Appendix C.1. Suggested Laboratory Methods
SAMPLE ORIGIN PARAMETER METHOD DETERMINES
Geologic formation, Hydraulic Falling head, static head Hydraulic unconsolidated Conductivity tests conductivity sediments, consolidated sediments, solum
Size Fraction Sieving (ASTM) Hydraulic conductivity Settling Measurements Hydraulic (ASTM) conductivity
Sorting Petrographic Analysis Porosity
Column Drawings
Specific yield Centrifuge Tests Porosity
Specific Petrographic analysis Soil type, rock type retention
Petrology X-ray diffraction /pedology confining clay Geochemistry, Mineralogy mineralogy/chemistry potential flow paths
Petrographic analysis
Bedding Petrographic analysis
ASTM
Laminations Soil cohesiveness Atterberg limits
Contaminated Appropriate SW-846 Identity of samples (e.g.., soils subset of contaminants producing higher Appendix 5-1 than background parameters organic readings)
Rev. 01/2012 Page 47Solid Waste Permitting
Submission Instruction No. 1 Appendix C.2. VDOT Approval – Sanitary Landfill VDOT (or County or City, as appropriate) LETTERHEAD
{Date}
{Applicant Address}
RE: VDOT Traffic Adequacy Report
{Facility Name}
Dear {Applicant}:
In accordance with the Code of Virginia, §10.1-1408.1 D.1. and §10.1-1408.4 A.1., the VDOT Traffic Adequacy Report dated {date} that was received by this office on {date} has been reviewed. The report accounted for the existing traffic volumes, including the individual/private vehicle drop-offs as well as the traffic volumes that correlate with the proposed daily disposal limit of {daily disposal limit in tons per day} tons per day for the peak hours.
Based on the review it is determined that no improvements are necessary on {Route No. and/or Road Name} or the following improvements are necessary in order to safely handle the projected traffic flow.
{List the improvements required on the Route No. such as right turn lane with taper, left turn lane with taper, stop sign, traffic signals, etc.}
{Closing remarks and contact information of the signatory or designee, in case DEQ has any questions and wants to contact}.
Signature Name of the Signatory Designation Rev. 01/2012
Page 48 Solid Waste Permitting
Submission Instruction No. 1 Appendix C.3. VDOT Approval – CDD or Industrial Landfill or Other Solid Waste Management Facility VDOT (or County or City, as appropriate) LETTERHEAD
{Date}
{Applicant Address}
RE: Traffic Impact Evaluation
{Facility Name}
Dear {Applicant}:
In accordance with the Code of Virginia, §10.1-1408.1 D.1., the Traffic Impact as presented in your letter dated {date} {along with other attachments, if any} that was received by this office on {date} has been reviewed. The letter {and the attachments, if any} accounted for the existing traffic volumes, including the individual/private vehicle drop-offs as well as the traffic volumes that correlate with the proposed daily disposal limit of {daily disposal limit in tons per day} tons per day for the peak hours.
Based on the review it is determined that no improvements are necessary on {Route No. and/or Road Name} or the following improvements are necessary in order to safely handle the projected traffic flow.
{List the improvements required on the Route No. such as right turn lane with taper, left turn lane with taper, stop sign, traffic signals, etc.}
{Closing remarks and contact information of the signatory or designee, in case DEQ has any questions and wants to contact}.
Signature Name of the Signatory Designation Rev. 01/2012
Page 49 Solid Waste Permitting
Submission Instruction No. 1 Appendix C.4. Adjacent Property Owner Certification Statement Pursuant to §9 VAC 20-81-460.I. of the Virginia Solid Waste Management Regulations (VSWMR, 9 VAC 20-81-10 et seq.) this document constitutes a statement by the applicant, {Owner Name}, that written notice has been sent to all owners or occupants of the property adjacent to the {proposed new facility or proposed expansion of the existing facility}. A list of names and addresses of the adjacent property owners or occupants along with a sample copy of the notification letter has been included with this statement.
Signed:____________________________________________________ Date_______________
Title and investing Authority ______________________________________________________
Contact Information _____________________________________________________________
______________________________________________________________________________
______________________________________________________________________________ Rev. 01/2012
Page 50 Solid Waste Permitting
Submission Instruction No. 1 Appendix C.5. Adjacent Property Owner Notification Letter Adjacent Property Owner/Occupant Address
Subject: Siting a new landfill/expansion of an existing landfill
{Facility Name}, {Permit Number}
In accordance with §9 VAC 20-81-460.I. of the Virginia Solid Waste Management Regulations (VSWMR, 9 VAC 20-81-10 et seq.) this letter is to inform you that {Owner Name}, will be submitting a Part A Application to the Virginia Department of Environmental Quality to {site a new landfill/expansion of an existing landfill} located at {physical address of the facility or the intersection}. You have been notified as, according to the county/city/town record, your property is adjacent to the proposed landfill property.
If you have any questions or concerns, please contact me at {phone number and/or email address}.
Signature Name of the Signatory Designation Rev. 01/2012
Page 51
Virginia Civil Enforcement Manual UpdateDoc ID: Civil
Commonwealth of Virginia VIRGINIA DEPARTMENT OF ENVIRONMENTAL QUALITY 1111 E. Main Street, Suite 1400, Richmond, Virginia 23219 P.O. Box 1105, Richmond, Virginia 23218 (800) 592-5482 FAX (804) 698-4178 www.deq.virginia.gov Ann F. Jennings David K. Paylor Secretary of Natural and Historic Resources Director (804) 698-4000 GUIDANCE MEMORANDUM Subject: Civil Enforcement Manual- Chapters 2 through 4 and Chapter 6 (CEM-01, CEM-04, CEM-05, CEM-06, CEM-07, CEM-10, CEM-11, CEM-11A, and CEM-11B) To: Central Office Enforcement Managers, Regional Enforcement Managers, and Regional Enforcement Specialists (electronic distribution) From: Tiffany Severs, Director Division of Enforcement Date: January 3, 2022 Copies: Jeffery Steers, James J. Golden, Regional Directors, Division Directors, Central Office Compliance Managers, Angela Jenkins, Melissa Porterfield (electronic distribution) Summary: This guidance will delete the Civil Enforcement Manual Introduction and supersedes Chapters 2 through 4 (last updated in November 2016) and Chapter 6 (various portions last updated 1999, 2007, and 2016) of the DEQ Civil Enforcement Manual on Virginia Regulatory Town Hall (ID: 4012, CEM-01, CEM-04, CEM-05, CEM-06, CEM-07, CEM-10, CEM-11, CEM-11A, and CEM-11B). These chapters of the Civil Enforcement Manual covers general compliance and enforcement procedures, the timely and appropriate policy for processing cases, procedures for calculating civil charges, and adversarial administrative proceedings.
Public comment on these updates was accepted from October 25, 2021 through November 24, 2021. This guidance is effective as of January 3, 2022 and shall be applied to enforcement cases resolving Notices of Alleged Violations issued from that date forward; the newly effective manual shall not be applied to enforcement cases initiating prior to January 3, 2022.
A summary of the changes are as follows:
Chapter 2: General Enforcement Procedures
This chapter provides guidance on the procedures that DEQ staff use to address alleged violations of enforceable environmental requirements, including: (1) notifying responsible parties; (2) referring cases for enforcement action and deciding on a plan for the case; (3) resolving enforcement cases with and without Responsible Party consent; (5) special procedures for underground storage tanks (USTs) and for sanitary sewer overflows (SSOs); (6) monitoring enforcement orders and agreements; and (7) closing enforcement cases. Changes were limited to providing clarification and additional instruction where needed.
Chapter 3: Priority, Timeliness, and Certainty of Enforcement Actions
This chapter describes the enforcement procedures to help ensure an appropriate, timely, and consistent response to alleged noncompliance. Changes were made to clarify case prioritization.
Chapter 4: Civil Charges and Civil Penalties
Civil charges and civil penalties are authorized by the Virginia Code to penalize noncompliance, to serve as an incentive against future noncompliance, and support DEQ’s mission “to protect the environment of Virginia in order to promote the health and well-being of the Commonwealth's citizens.” This chapter sets out the specific procedure and criteria used by DEQ to calculate civil charges and civil penalties in administrative enforcement actions, including: (1) orders issued by consent; (2) special orders issued after an informal fact finding proceeding; and (3) special orders issued after a formal hearing.
Changes were made to provide clarifications where needed, increase consistency across all media, and inflationary adjustments to all the civil charge worksheets. Substantive changes were made in various water programs to address program experience. Significant instructional and penalty calculation procedures for solid and hazardous waste enforcement actions to align these programs with how penalties are calculated in other media.
Chapter 6: Adversarial Administrative Actions
This chapter addresses how to prepare for and conduct informal fact-finding proceedings, formal hearing and Section 10.1-1186 special order proceedings. It also addresses procedures intended for use by Supreme Court hearing officers conducting formal hearings for DEQ and its three regulatory boards pursuant to Va. Code § 2.2-4020. Although prompted by a legislative directive to develop procedures for formal hearings pursuant to Va. Code §§ 10.1-1309, 10.1-1455, and 62.1-44.15, it is recommended that these Procedures be used for any formal hearing conducted for DEQ.
2Changes to this chapter include updates and consolidation of adversarial proceedings procedures that were found in separate guidance documents and covered various aspects of these proceedings. After consolidation, statutory updates and clarifications were made as appropriate.
Electronic Copy:
An electronic copy of this guidance is available on:
The Virginia Regulatory Town Hall under the Department of Environmental Quality (http://www.townhall.virginia.gov/L/gdocs.cfm?agencynumber=440)
Contact Information:
Please contact the appropriate media Central Office Enforcement Manager with any questions regarding the application of this guidance to a specific case.
Certification:
As required by Subsection B of § 2.2-4002.1 of the APA, the agency certifies that this guidance document conforms to the definition of a guidance document in § 2.2-4101 of the Code of Virginia.
Disclaimer:
This document is provided as guidance and, as such, sets forth standard operating procedures for the agency. However, it does not mandate any particular method nor does it prohibit any alternative method. If alternative proposals are made, such proposals should be reviewed and accepted or denied based on their technical adequacy and compliance with appropriate laws and regulations.
3Chapter 4 Civil Charges and Civil Penalties Effective: January 3, 2022
Introduction ................................ ................................................................ ................................ ... 4 Consent Orders with Civil Charges ................................ ............................................................ 6 Potential for Harm Classification ................................ ................................................................ 6 Statutory Factors ................................ ................................ ......................................................... 7 Compliance History Category ................................ ................................................................ 7 Degree of Culpability ................................................................ ................................ .............. 8 Ability to Pay................................ ................................ ......................................................... 12 Adjustments in the Enforcement Recommendation Plan ......................................................... 13 Civil Charge Reductions up to 30% ................................ ...................................................... 13 Civil Charge Reductions of More Than 30% ................................ ................................ ........ 14 Consent Orders with a Maximum Penalty Allowed by Law ................................ .................... 15 Consent Orders without Civil Charges ................................ ..................................................... 16 Air Program ................................ ................................ ................................................................ 16 Potential for Harm Examples ................................................................ ................................ .... 17 Calculating the Civil Charge ................................................................ ................................ ..... 19 Air Civil Charge Worksheet ................................................................ ................................ ..... 24 Animal Feeding Operations and Poultry Waste ................................ ................................ ...... 25 Animal Feeding Operation Civil Charge Worksheet ................................................................ 26 Poultry Waste Civil Charge Worksheet ................................ ................................ .................... 27 Article 9 – Underground Storage Tank Program ................................ ................................ .... 28 Potential for Harm Evaluation ................................................................ ................................ .. 28 Underground Storage Tank Civil Charge Worksheet ............................................................... 34 Harm Examples ................................ ................................ ......................................................... 36 Discharges to State Waters ................................................................ ................................ ....... 36 Oil Discharges (State Waters) Civil Charge Worksheet ........................................................... 39 Oil Discharges (Lands or Storm Drain Systems) Civil Charge Worksheet .......................... 40 Article 11 – Other Violations ................................................................ ................................ .... 41 Article 11 – Other Violations Charge Worksheet ................................ ................................ ..... 42 Aboveground Storage Tanks Charge Worksheet ............................................................ 43 CheapeakE Bay Preservation Act Local Program Reviews ................................ ................... 44 Chesapeake Bay Preservation Act ................................ ............................................................ 44 Violations and Frequency: ................................................................ ................................ .... 44 Potential for Harm ................................ ................................ ................................ ................ 46 CBPA Program Review Civil Charge Worksheet ................................................................ 47 Construction Stormwater ................................................................ ................................ ........... 48 Potential for Harm Examples ................................................................ ................................ .... 49 Calculating the Civil Charge ................................................................ ................................ ..... 50 Construction Stormwater Civil Charge Worksheet .............................................................. 53 Erosion and Sediment Control Program ................................ ................................ .................. 54 Violations and Frequency ................................................................ ................................ ..... 54 Potential for Harm ................................ ................................ ................................ ................ 55 ESC Program Review Civil Charge Worksheet ................................ ................................ ... 56 Groundwater Withdrawal Program ................................ ......................................................... 57 Potential for Harm Examples ................................................................ ................................ .... 57 Calculating the Civil Charge ................................................................ ................................ ..... 58
2Effective: January 3, 2022
Groundwater Withdrawal Civil Charge Worksheet .............................................................. 59 Land Protection and Revitalization Programs ................................ ................................ ......... 60 Potential for Harm Examples: Solid Waste ................................ ................................ .............. 60 Solid Waste Civil Charge Worksheet ................................ ................................ ................... 64 Potential for Harm Examples: Hazardous Waste ................................ ................................ ...... 65 Hazardous Waste Civil Charge Worksheet ................................ ................................ ........... 68 Potential for Harm Examples: Remediation Consent Order ..................................................... 69 Remediation Consent Order Civil Charge Worksheet .......................................................... 70 Natural gas transmission pipelines greater than 36 inches inside diameter .......................... 71 Pollutant Discharge Elimination System and Pollution Abatement Program ...................... 73 Potential for Harm Examples ................................................................ ................................ .... 73 Calculating the Civil Charge ................................................................ ................................ ..... 77 VPDES & VPA Civil Charge Worksheet ................................ ................................ ............. 82 Renewable Energy Program ................................................................ ................................ ...... 83 Potential for Harm Examples ................................................................ ................................ .... 83 Calculating the Civil Charge ................................................................ ................................ ..... 84 Renewable Energy Projects Civil Charge Worksheet .......................................................... 87 Surface Water Withdrawal Program ................................ ........................................................ 88 Potential for Harm Examples ................................ ............................................................... 88 Civil Charge Calculations ................................................................ ................................ .... 89 Surface water Withdrawal Civil Charge Worksheet ............................................................. 90 Water Protection Permit Program ................................ ............................................................ 91 Wetland and Stream Impacts ................................................................ ................................ .... 91 Potential for Harm Examples ................................................................ ................................ .... 91 Calculating the Civil Charge ................................ ................................................................ 91 VWPP Civil Charge Worksheet ................................ ............................................................ 95 Appendix A ................................ ................................................................ ................................ .. 96 Civil Charge Adjustment form ................................................................ ................................ .. 96
3Effective: January 3, 2022
Introduction1
This chapter sets out the specific methods and criteria used by DEQ to calculate civil charges and civil penalties2 in administrative enforcement actions, including: (1) orders issued by consent; (2) special orders issued after an informal fact-finding proceeding; and (3) special orders issued after a formal hearing.3 This chapter does not address civil charges and civil penalties assessed in the “Air Check Virginia” Program, which is addressed by separate guidance.
In order to provide fair and equitable treatment of regulated communities, civil charges and civil penalties should be evaluated consistently across the Commonwealth based on specific procedures and calculation methodology. The civil charge or civil penalty calculations in this guidance include an amount reflecting the gravity of the violation (the “gravity component”) and the economic benefit of noncompliance.
The Virginia Code requires the development of guidelines and procedures that contain specific criteria for calculating the appropriate civil charge for each violation based on the following factors: 4
The severity of the violation(s); 5 The extent of any potential or actual environmental harm; The compliance history of the facility or person; Any economic benefit realized from the noncompliance; and The ability to pay the civil charge.
US EPA also includes an evaluation of culpability and/or willfulness in the assessment of a civil charge. As part of Virginia’s delegation of authority to implement federal programs, this factor is also included as part of the civil charge analysis.6
1 Guidance documents set forth presumptive operating procedures. See Va. Code §§ 2.2-4001 and 2.2-4101.
Guidance documents do not establish or affect legal rights or obligations, do not establish a binding norm, and are not determinative of the issues addressed. Decisions in individual cases will be made by applying the laws, regulations, and policies of the Commonwealth to case-specific facts. 2 The Virginia Code does not define the terms “civil charges” or “civil penalties.” Generally, civil charges are assessed with the consent of the responsible party while civil penalties are assessed in adversarial administrative or judicial actions. The terms “civil charge” and “civil penalty” are hereinafter referred to collectively as “civil charge” for brevity and to make use of the most appropriate term. 3 In accordance with Va. Code § 10.1-1186(9) an informal fact finding proceeding held in accordance with Va. Code § 2.2-4019 may result in the issuance of a special order. “Special Order means an administrative order issued to any party that has a stated duration of not more than twelve months and that may include a civil penalty of not more than $10,000.” See, Va. Code § 10.1-1182. A formal hearing can require a Responsible Party to pay civil penalties of up to $32,500 for each violation, not to exceed $100,000 per special order. See, VA Code § 62.1-44.15 (8a). 4 Va. Code §§ 10.1-1316(D) (Air), 10.1-1455(L) (Waste), and 62.1-44.15(8a), (8e) and (8g) (Water). See Va. Code § 10.1-1197.9(C)(4) (Renewable Energy). Separate statutory factors are set out for violations of Article 11 of the State Water Control Law. Va. Code § 62.1-44.34:20(D). 5 In this chapter, the use of the term “violation” prior to a case decision by DEQ means an “alleged violation.” DEQ makes case decisions in accordance with the Administrative Process Act, Va. Code § 2.2-4000, et seq. (APA). 6 US EPA. Policy of Civil Penalties. “EPA General Enforcement Policy #GM-21”. Effective February 16, 1984. https://www.epa.gov/sites/default/files/documents/epapolicy-civilpenalties021684.pdf
4Effective: January 3, 2022
5Effective: January 3, 2022
Consent Orders with Civil Charges
Unless a violation results in a substantial violation warranting a departure from these procedures, DEQ assesses civil charges using the appropriate Civil Charge Worksheet (Worksheet). In calculating the civil charge, staff first identifies the appropriate “Potential for Harm” classification and then works through the various categories on the Worksheet to calculate a Gravity Subtotal. The Worksheet total may also be adjusted for appropriate reasons by providing a reasoned analysis on the Civil Charge Adjustment Form. Both the Worksheet and the Adjustment Form are part of the Enforcement Recommendation and Plan (ERP).
Civil charges are generally appropriate when one or more of the following criteria are met (the list is not exhaustive):
Failure to adequately respond to compliance assistance efforts; Violation of a consent order or consent special order without mitigating circumstances; Violations that are avoidable or due to negligence; Violations of a fundamental requirement of the regulatory program (e.g. statutory or regulatory requirements, permit conditions); Noncompliance that is continuing or likely to recur absent a civil charge to serve as deterrence; Knowing or willful violations;7 or Violations resulting in actual harm to human health or the environment. Violations that are HPV or SNC8.
Potential for Harm Classification
Using staff’s professional judgement, staff will place violations into one of three “Potential for Harm” classifications, including “Serious,” “Moderate,” or “Marginal”, that are listed near the top of each Worksheet. Staff classify the violations, in part, based on: (1) the severity of the violation, and (2) the extent of any potential or actual harm.
Severity of the violation: This consideration examines deviation from the regulatory requirement and whether the violation(s) or pattern of violations at issue are fundamental to the integrity of the regulatory program and DEQ’s ability to monitor and protect human health and the environment. Potential or actual Harm: Harm evaluations consider the potential harm as well as the actual effect the violation has on human health or the environment.9
7 Evidence of a deliberate act may be grounds for referral for criminal investigation. 8 For VPDES programs, consent orders without civil charges are typically not available for major facilities. For non-major SNCs, a no penalty consent order may be available if the facility’s non-compliance is addressed timely and there is a durable return to compliance. 9For example, the potential or actual harm to the environment is related to the potential to emit or discharge and/or the toxicity and volume of a pollutant.
6Effective: January 3, 2022
Serious Classification
A violation is classified as Serious if (1) the severity of the violation presents a substantial deviation from the regulatory requirement or actual harm to the integrity of the regulatory program and/or (2) has or may have a substantial adverse effect to human health or the environment.
Moderate Classification
A violation is classified moderate if (1) the severity of the violation presents some deviation from the regulatory requirement or actual harm to the integrity of the regulatory program and/or (2) has or may have some adverse effect to human health or the environment.
Marginal Classification
A violation is classified as Marginal if (1) the severity of the violation presents little or no deviation from the regulatory requirement or actual harm to the integrity of the regulatory program and/or (2) has or may have little to no adverse effect to human health or the environment.
For each violation, staff must provide a reasoned analysis in the enforcement recommendation plan for why a potential for harm classification was selected by documenting how the responsible party deviated from the regulatory requirement and/or how the integrity of the regulatory program was affected and/or documenting the actual or potential harm to the environment.
Statutory Factors
Compliance History Category10
Staff evaluates the Responsible Party’s history of noncompliance to determine if an increase to a civil charge is warranted. This factor is not used to reduce a civil charge when a Responsible Party has a history of compliance. When a Responsible Party has previously violated an environmental standard at the same or different source or facility, it is usually clear evidence that the Responsible Party was not deterred by DEQ’s previous enforcement response.
In calculating the adjustment factor for compliance history, staff considers:11
a. Administrative or judicial orders/decrees in any other media program within 36 months of issuance of an initial Notice of Violation (NOV) that is also the subject of
10 This criterion relates to the statutory factor of compliance history. 11Because a Remedy Consent Order action is founded on noncompliance with the Remedy Consent Order itself, the Compliance History factor is usually limited to prior Remedy Consent Order non-compliance, but is not limited to 36 months, since Remedy Consent Orders can be effective over many years.
7Effective: January 3, 2022
the current enforcement action (5% of the current gravity-based civil charge/civil penalty or $5,000, whichever is less); and
b. Administrative or judicial orders/decrees in the same media program within 36 months of issuance of an initial NOV that is also the subject of the current enforcement action (0.5 factor).
c. An administrative or judicial order/decree with an effective date outside of the 36 months counts towards this multiplier if it is still in effective during the 36 month window. If there has been more than one enforcement action in the past 36 months, staff consider whether it is appropriate to depart from the civil charge/civil penalty worksheet, as described in the Introduction.
The evidence to establish culpability cannot be identical to that used to support an adjustment based on compliance history. If the evidence is identical, an adjustment is made for compliance history rather than culpability.
The following steps are taken to calculate a compliance history aggravating factor civil charge:
Review the compliance history for the responsible party to determine if there have been any enforcement actions within the previous 36 months. Determine the appropriate factor to adjust the civil charge. Assuming that the current enforcement action was within the previous 36 months in the same media program, the compliance history factor would be 0.5 (or 50%) (x) gravity subtotal. If there is an enforcement action within the previous 36 months in another media program, the compliance history factor would be the lesser of 0.05 (x) gravity subtotal, or $5,000.
Degree of Culpability
DEQ staff assesses a Responsible Party’s culpability based on the facts and circumstances of the enforcement action and may add an aggravating factor to the amounts for one, a subset, or all violations, depending on the culpability assessment. Enforcement staff rate the Responsible Party’s culpability as low (0%), moderate (25%), serious (50%), or high (100%) based on the one or more of the factors listed below. An ERP should document consideration of relevant factors thoroughly. It is not anticipated that culpability will increase the civil charge in all cases. The evidence to establish culpability cannot be identical to that used to support the compliance history aggravating factor. If the evidence is identical, an adjustment is made for compliance history rather than culpability. In determining the degree of culpability, one or more of the following should be considered:
a) The degree to which the Responsible Party knew or should have known of the legal requirement that was violated; b) The degree of control the Responsible Party had over the events constituting the violation; c) The foreseeability of the events constituting the violation;
8Effective: January 3, 2022
d) Whether the Responsible Party knew or should have known of the hazards associated with the conduct; e) Whether the Responsible Party took reasonable precautions against the events constituting the violation; f) Whether there is evidence of unjustified delay in preventing, mitigating or remedying the violation; g) Whether the Responsible Party failed to comply with a consent order, special order, judicial order, or federal consent decree; h) Whether there have been Notices of Violation (NOVs) in the same media program during the past 36 months preceding the initial violation that is subject of the current enforcement action. However, staff do not consider NOVs that were withdrawn or not pursued because of insufficient evidence or strategic considerations; i) Commonality of ownership, management, and personnel with other RPs or facilities that have been subject of enforcement actions; and j) The level of sophistication within the industry in dealing with compliance issues or the accessibility of appropriate control technology. This should be balanced against the technology forcing nature of the statute, where applicable.
The depth of knowledge, experience, and control the Responsible Party had over the events leading to the violation is representative of the appropriate level of culpability. Lack of knowledge of a legal requirement is not a basis to reduce a civil charge.
Economic Benefit
Calculation and recovery of economic benefit is included in a civil charge to ensure the enforcement action removes any illegal competitive advantage and places the Responsible Party in the same financial position as they would have been if they complied on time.12 A civil charge should remove any (i.e., greater than de minimis) economic benefit of noncompliance in addition to the gravity component.13 An economic benefit is gained when the Responsible Party avoids or delays costs required to comply with a legal requirement or any profits generated from an illegal competitive advantage, and is evaluated on a case-by-case basis. Staff should use professional judgment when making the preliminary determination that an economic benefit exists. When there is evidence of an economic benefit based on delayed or avoided costs, or profits from an illegal competitive advantage, staff should estimate the value of the economic benefit and include this amount in the proposed civil charge.14 Staff should consult Central Office Enforcement if there are questions about how to calculate and/or assess economic benefit.
12 Illegal competitive advantage occurs when the party’s noncompliant actions allow it to attain a level of revenues that would not have been obtainable otherwise, e.g., selling a product using water resources in excess of permitted amounts, or draining/filling and selling/developing wetlands without appropriate permits. 13 An economic benefit may be considered de minimis if the amount would be considered trivial to the overall civil charge or civil penalty and the collection of which would not be a significant deterrence of future noncompliance. 14 Estimation of economic benefit in the case of failure to comply with Total Nitrogen or Total Phosphorus loading limitations of the General Permit for Total Nitrogen and Total Phosphorus Discharges and Nutrient Trading in the Chesapeake Watershed is not necessary. Nor is it necessary to use EPA’s BEN model to calculate economic benefit for this class of violations. Economic benefit should be calculated using the cost of purchasing the necessary amount of end-of –year (Class B) nutrient credits from the Nutrient Credit Exchange Association and/or (if
9Effective: January 3, 2022
If the economic benefit is estimated to exceed $10,000, penalty and financial models produced by the U.S. EPA should be used to calculate the economic benefit.15 The U.S. EPA’s models compute the economic benefits of noncompliance with legal requirements and are a method for calculating economic benefit from delayed and avoided expenditures. The models use several data variables, most of which contain default values. The required variables include information about capital and non-capital costs, annual operation and maintenance costs, and the dates for the period of noncompliance. The economic benefit should be calculated from the first date of noncompliance but generally DEQ does not go back more than five years. A Responsible Party may provide actual financial data that could affect the economic benefit calculation. When the Responsible Party will not or cannot provide financial data in a timely manner, staff should make estimates based on available resources, including staff’s professional judgment.16 Finally, penalty and financial models other than those used by the U.S. EPA may be used to calculate economic benefit of noncompliance, where staff concludes that an alternative method provides more meaningful results.
A necessary first step when making a preliminary determination of an economic benefit is understanding the costs delayed or avoided through noncompliance. Delayed costs can include capital investments in pollution control equipment, remediation of environmental damages (e.g., removing unpermitted fill material and restoring wetlands), or one-time expenditures required to comply with environmental regulations (e.g., establishing a reporting system, or purchasing land on which to site a wastewater treatment facility, or the purchase of compensatory mitigation credits). Avoided costs typically include operation and maintenance costs and/or other annually recurring costs (e.g., off-site disposal of fluids from injection wells), but can occasionally include capital investments or one-time expenditures. Generally, enforcement staff can look at what actions the Responsible Party does (or will do) to achieve compliance when trying to determine what the Responsible Party should have installed or done to prevent the violations at issue in the enforcement action.
Examples of avoided costs include, but are not limited to:
Sampling and analytical costs for groundwater and gas monitoring; Disposing of hazardous or universal wastes at a sanitary landfill as opposed to at a permitted disposal facility. The avoided cost would be the difference in the cost of
sufficient credits would not have been available through the Exchange), compliance credits from the Water Quality Improvement Fund for the calendar year in which the violation(s) occurred. Central office DE staff should be contacted for assistance in determining the per-unit cost of the appropriate credits for relevant calendar year. 15U.S. EPA. Penalty and Financial Models. Five models currently are available: BEN (calculates a violator's economic benefit of noncompliance from delaying or avoiding pollution control expenditures), ABEL (evaluates a corporation's or partnership's ability to afford compliance costs, cleanup costs or civil penalties, INDIPAY (Evaluates an individual's ability to afford compliance costs, cleanup costs or civil penalties), MUNIPAY (evaluates a municipality's or regional utility's ability to afford compliance costs, cleanup costs or civil penalties), PROJECT (Calculates the real cost to a Responsible Party of a proposed supplemental environmental project). 16 Staff may use the following in exercising their judgment: For delayed compliance, 6% per year of the delayed one-time capital costs for the period from the date the violation began until the date compliance was or is expected to be achieved; for avoided costs, the expenses avoided until the date compliance is achieved, plus 6% per year. See Va. Code § 6.2-301. Should Va. Code § 6.2-301 be amended, this figure should change accordingly.
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disposal at the landfill compared to disposal at a permitted hazardous waste disposal facility; Disconnecting or failing to properly operate and maintain existing pollution control equipment; failure to employ a sufficient number of staff; failure to adequately train staff; failure to establish or follow precautionary methods required by regulations or permits; removal of pollution equipment resulting in process, operational, or maintenance savings; disconnecting or failing to properly operate and maintain required monitoring equipment; and operation and maintenance of equipment that the party failed to install; Monitoring and reporting (including costs of the sampling and proper laboratory analysis); Permit fees, permit maintenance fees, or annual emissions fees; and Operation and maintenance expenses (e.g., labor, power, chemicals) and other annual expenses.
Examples of delayed costs include, but are not limited to:17
Capital equipment improvement or repairs (including engineering design, purchase, installation, and replacement); One-time acquisitions (such as equipment or real estate purchases); Failure to install equipment needed to meet emission control standards; Failure to effect process changes needed to reduce pollution; failure to test where the test still must be performed; and failure to install required monitoring equipment; Capital equipment improvement or repairs (including engineering design, purchase, installation, and replacement); Costs associated with providing required compensatory mitigation for surface water/wetland impacts (such as creation/restoration of wetlands, purchase or mitigation bank credits, etc.); and Costs associated with buying nutrient credits to comply with the discharge loading requirements of the General Permit for Total Nitrogen and Total Phosphorus Discharges and Nutrient Trading in the Chesapeake Watershed in Virginia, 9 VAC 25-820-10, et seq. Failure to remove hazardous waste 90 days after generation if the waste is ultimately disposed of. Failure to conduct a geophysical investigation.
17In VPDES cases, especially municipal VPDES cases, it can be difficult to determine a clear “start date” for calculating the delayed costs of noncompliance. It is not unusual for Responsible Parties to need significant time to evaluate biological processes and/or infrastructure needs before settlement terms can be finalized. Issues like government appropriations, land availability, public participation and other facts not wholly within the control of a permittee can reasonably delay compliance. Finally, it is not unusual that savings that might have been realized from delayed costs are overtaken and surpassed by the increased construction costs resulting from delayed construction. Therefore, the calculation of the delayed costs of noncompliance should be commenced at such time as a VPDES Responsible Party fails or ceases to make a timely, diligent, and good faith effort to comply, while doing all it can to assure high quality treatment.
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While the US EPA BEN model may be appropriate for avoided and delayed costs, the BEN model often fails to capture adequately the illegal competitive advantage that may arise from violations. It may be necessary to use other standard accounting practices to determine the level of revenues that would have been unattainable had the Responsible Party abided by the law.
For example, if a Responsible Party improperly filled wetlands and sold the property as sites for homes, the profit from the sale may be addressed as an element of the economic benefit of noncompliance. Such profits are not accounted for under the BEN model calculations. Here as elsewhere, the economic benefit should also include any costs avoided in failing to obtain a permit (e.g., consultant fees, delayed mitigation costs, and E&S controls), permit fees and tax or revenue benefits.
Once the economic benefit is calculated, DEQ is open to discussing the economic benefit with the Responsible Party and reviewing any documentation the Responsible Party may have that demonstrates a different economic benefit.
Ability to Pay
Ability to pay is one of the five statutory factors. In general, DEQ can reduce a civil charge where a Responsible Party demonstrates an inability to pay. At the same time, it is important that the regulated community not perceive the violation of environmental requirements as cost savings for financially-troubled businesses, and DEQ will, in appropriate circumstances, continue to seek civil charges where a business has failed to allocate environmental compliance costs to their business operations. It is also unlikely that DEQ would reduce a civil charge where a Responsible Party refuses to correct a serious potential for harm, a party has a history of noncompliance, or the violations are particularly egregious. A Responsible Party must claim and provide sufficient documentation of an inability to pay before a consent order or consent special order has been executed. A civil charge cannot be reduced based on a claim of inability to pay once a case decision has been issued. Should a Responsible Party fail to make timely payment of a civil charge, DEQ’s Office of Financial Management may negotiate delinquent accounts in accordance with the Commonwealth Accounting Policies and Procedures (CAPP) Manual.
The burden to demonstrate an inability to pay rests on the Responsible Party. In order to evaluate a Responsible Party’s ability to pay, the Responsible Party must provide sufficient information to the Office of Financial Responsibility to calculate a potential ability to pay using U.S. EPA computer models that include ABEL, INDIPAY, or MUNIPAY. Failure of the Responsible Party to provide sufficient information to run these models may result in a determination that the Responsible Party has the ability to pay the total civil charge, a portion of the total assessed civil charge, or is able to make payments. In the event a Responsible Party claims an inability to pay, staff are encouraged to consult with the Office of Financial Responsibility early in the discussion, and to advise the Responsible Party that qualification requires a records disclosure and a close evaluation of their financial condition.
The Office of Financial Responsibility provides an evaluation to enforcement staff concerning a Responsible Party’s ability to pay. The information may also be used to determine if a Responsible Party would be prevented from carrying out essential corrective action measures
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in the event a civil charge is not reduced. Where an inability to pay has been demonstrated, staff should consider the following options:
Installment payment plan (at least quarterly payments for up to three years); Delayed payment schedule; and Reduction, up to the full amount of the civil charge, excluding economic benefit and/or the illegal competitive advantage, based on ability to pay modeling.
In its consent orders, DEQ does not suspend civil charges, and cannot charge interest as part of a payment plan. Regardless of a determination of an inability to pay a civil charge, a Responsible Party is required to comply with applicable laws, regulations, orders, permit conditions, and any corrective action to resolve the enforcement action. DEQ’s determination about an ability to pay a civil charge does not forgo the goal to collect any economic benefit or illegal competitive advantage realized from the noncompliance.18
Adjustments in the Enforcement Recommendation Plan
Civil Charge Reductions up to 30%
DEQ may adjust the gravity component of a civil charge – excluding the economic benefit calculation – downward by up to 30% based on several factors where there are clearly documented, case-specific facts that support the adjustment, as provided in this section.19
Cooperativeness/Quick Settlement: DEQ may adjust a civil charge where a Responsible Party is cooperative in resolving the case in a timely and appropriate manner and makes a good faith effort to settle the violations quickly. Promptness of Injunctive Response/Good Faith Effort to Comply: Good faith efforts to comply with regulatory requirements or permit conditions include prompt reporting of noncompliance, prompt initiation of corrective action, prompt correction of environmental problems, and cooperation during the investigation. Responsible Parties who agree to expedite corrective action schedules may also qualify.
Enforcement staff should consider institutional or legal limitations on corrective actions. For example, a municipality may be unable to institute corrective action immediately because of a budget approval process or administrative procedures. Size and Sophistication of the Violator: When considering the size and sophistication of the Responsible Party, enforcement staff may presume, in the absence of information to the contrary, that entities such as small non-profit
18 The General Assembly stated in 1997 Acts c. 924, paragraph L.4: “It is the intent of the General Assembly that the [DEQ] recover the economic benefit of noncompliance in the negotiation and assessment of civil charges and penalties in every case in which there is an economic benefit from noncompliance, and the economic benefit can be reasonably calculated.” 19 Va. Code § 10.1-1316(B) requires courts, in assessing judicial civil penalties, to consider “in addition to such other factors as [they] may deem appropriate, the size of the owner's business, the severity of the economic impact of the penalty on the business, and the seriousness of the violation.” Although not directly applicable to administrative actions, these considerations may be used to determine whether a downward adjustment is appropriate in the ERP, and if so, the amount of the adjustment.
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organizations and small municipalities do not possess the same level of sophistication as other regulated entities. The sophistication of the Responsible Party is also relevant in the case of a small business.
To provide a disincentive for any unreasonable delay, the civil charge reduction available to the Responsible Party should be reduced by 5% per month beginning 30 days after the draft consent order has been issued to the Responsible Party.
Days after issuing the draft consent Order Percentage of reduction that may be available 0 to 30 days 30% 31 to 60 days 25% 61 to 90 days 20% 91 to 120 days 15% 121 to 150 days 10% 151 to 180 days 5% More than 180 0%
Civil Charge Reductions of More Than 30%
The gravity component may be reduced by more than 30% if appropriate circumstances exist. Enforcement staff must provide a reasoned analysis on the Civil Charge Adjustment Form and obtain concurrence from the Director of Enforcement when considering a reduction greater than 30%. The Director of Enforcement will evaluate the reduction for appropriateness and consistency. Circumstances that warrant a reduction of more than 30% (excluding economic benefit) are as follows:
Problems of Proof: Challenges with proving the elements of a violation may be due to inadequate information, conflicting evidence, witness availability or contributory activity by DEQ. In many cases, problems of proof are considered as part of the Litigation Potential, but may also be considered independently. Actual or potential harm (or Lack Thereof) to Human Health or the Environment: The actual or potential harm to human health or environment should be considered in conjunction with other strategic considerations. A thorough and reasoned analysis should be provided for reducing a gravity component of the civil charge beyond 30% when considering the potential for harm. The evaluation should include a broad assessment of the potential or actual harm to human health or the environment in all media regardless of whether or not there is a legal requirement. The Precedential Value of the Case: Resolution of certain cases may establish a valued endorsement of an agency program, regulatory or enforcement initiative. A reduction to the proposed civil charge or civil penalty may be appropriate to obtain such a precedent. Probability of Meaningful Recovery of a Civil Charge: In certain cases, information available to DEQ indicates that recovery of a meaningful civil charge is not possible, e.g. an inability to pay.
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Litigation Potential. Through negotiations it may become apparent that the case is destined for litigation based solely on factors not relevant to environmental protection.
It may also be appropriate to increase a civil charge or civil penalty for continuing or uncorrected violations, previously undiscovered violations, or for economic benefits from continuing delays in achieving compliance and to provide additional incentives to resolve the action expeditiously. Enforcement Staff should provide a reasoned analysis in the ERP Addendum or Civil Charge/Civil Penalty Adjustment Form to support such an increase.
Consent Orders with a Maximum Penalty Allowed by Law DEQ may depart from the recommended calculations in this guidance to seek civil charges up to the maximum sums permitted by law where the interests of equity, deterrence, and justice require. While uncommon, such departure is appropriate in egregious cases of noncompliance such as, but not limited to:
where the violation or its potential or actual environmental harm are especially egregious or severe; where the violation has resulted in a declared emergency by federal, state, or local officials; where the violation has placed another person in imminent and substantial danger of death, serious bodily injury, or significant harm; where the violation is contrary to the specific terms of an administrative order or judicial decree; where the violation or pattern of violations results in an imminent and substantial environmental harm; or where the violation is the result of a pattern or practice that demonstrates the willful avoidance of regulatory requirements.
In those cases where staff believes that the violation justifies seeking up to the maximum penalties authorized by law, staff must provide a reasoned analysis by applying the specific criteria described in the Virginia Code and in this chapter, demonstrating how the specific facts of the violation warrant the civil charge or civil penalty recommended.
Civil charges cannot exceed the statutory maximum, usually $32,500 per day for each violation. Certain statutes set out other maximum civil charges, especially for specific programs under the State Water Control Law.20
20 Va. Code § 62.1-44.34:20(C) also establishes minimum civil charges for certain violations involving the discharge of oil. Va. Code § 62.1-44.15(8f) establishes maximum civil charges for sanitary sewer overflows (“SSOs”) in consent orders requiring SSO corrective action. If this guidance does not specifically reference a statute authorizing a civil charge, such charge may be calculated using the five statutory factors. Va. Code § 62.1-270 indicates a civil charge shall not exceed $25,000 for each violation of the Ground Water Management Act of 1992. Va. Code § 62.1-44.15(8g) establishes a civil charge shall not exceed $50,000 per violation for natural gas transmission pipelines greater than 36 inches inside diameter in special orders issued following a special procedure.
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Consent Orders without Civil Charges A civil charge is not appropriate in every enfrocement action. The Virginia Code grants immunity from civil charges for certain voluntarily disclosed violations.21 DEQ exercises its enforcement discretion to mitigate most or all of the gravity portion of a civil charge for violations that are discovered pursuant to an Environmental Assessment22 and that are promptly self-reported and corrected.23 Finally, the civil charge amount may be partially mitigated by a Supplemental Environmental Project.24
Initially, staff establish whether the violation warrants a civil charge.25 Some enforcement actions may present facts and circumstances where no civil charge is appropriate.
The following criteria may qualify for a consent order without civil charges:
The extent of the actual or potential harm results in little to no harm to the environment or the regulatory program; The Responsible Party is not in chronic noncompliance and has demonstrated a good-faith effort to comply; Municipal VPDES (major or minor) upgrade or expansion or collection system correction delayed due to the inability to secure funding; Interim limits needed pending connection to a municipal wastewater treatment system or a larger regional wastewater treatment system; Minor VPDES permittees, such as trailer courts operating lagoons or other antiquated systems, which will eventually be shut down or be connected to a municipal sewer system pursuant to a schedule of compliance.
The emphasis in all enforcement actions, but particularly in enforcement actions without civil charges, is on prompt and appropriate injunctive relief to return a Responsible Party to compliance with applicable laws, regulations, orders, and permit conditions.
Air Program State Air Pollution Control Law (Air Law) at Va. Code § 10.1-1316(C) provides for negotiated civil charges in consent orders for violations of the Air Law, regulations, orders, or
21 Va. Code §§ 10.1-1199, -1233. See, Chapter 5. 22 "Environmental assessment" means a voluntary evaluation of activities or facilities or of management systems related to such activities or facilities that is designed to identify noncompliance with environmental laws and regulations, promote compliance with environmental laws and regulations, or identify opportunities for improved efficiency or pollution prevention. An environmental assessment may be conducted by the owner or operator of a facility or an independent contractor at the request of the owner or operator. 23 Voluntary disclosure and reporting do not include mandatory monitoring, sampling, or auditing procedures required by laws, regulations, permits, or enforcement actions. See, Chapter 5. 24 Va. Code § 10.1-1186.2. See Chapter 5. 25 No civil charge can be assessed if a statute grants the party immunity from civil charges, provided all requirements have been met. See, Va. Code §§ 10.1-1199, -1233. Civil charges may be mitigated by voluntary reporting and correction or by a SEP. See, Chapter 5.
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permit conditions. A civil penalty cannot exceed $32,500 for each violation. Each day of violation constitutes a separate offense.
Virginia DEQ classifies air pollution sources as True Minor (TM), Synthetic Minor (SM), 80% Synthetic Minor (SM-80) or Major sources (includes Title V, Prevention of Significant Deterioration (PSD) and state major sources). Sources classified as true minors do not have the potential to emit pollutants at major source levels. Synthetic minor sources have a potential to emit pollution at major source levels, but have accepted federally enforceable limits to operations keeping emissions below the major source threshold. 80% Synthetic Minor are a subcategory of synthetic minor sources that have operational limits that place them within 80-99.9% of major source threshold.
Major sources emit pollutants at levels above major source thresholds. These thresholds may differ by pollutant and geographic area; and a facility may be considered major for only some pollutants. Refer to the general tab in the CEDS Air module for the overall classification for a facility subject to enforcement and the specific source classification by pollutant contained in the table.
Potential for Harm Examples
DEQ staff assess the potential for harm for each violation based on the classifications below; these classifications are not used to determine whether a violation warrants formal enforcement. Departures from the examples listed below should be discussed with a Central Office enforcement manager and documented in the Enforcement Recommendation Plan.
Serious Classification
Examples include, but are not limited to:
Emissions violations at a major source involving a pollutant for which that source is major; Violations which cause a documented potential for exceedance of a National Ambient Air Quality Standard (NAAQS); Not maintaining control equipment or failure to use control equipment, for a regulated pollutant for which the source is major, in a manner consistent with good air pollution control practices. Also applicable to SM sources where there is evidence that the failure may have caused emissions to exceed the applicable major source threshold; Failure to conduct emissions tests, monitor, or maintain records necessary to demonstrate compliance with standards involving a pollutant for which the source is major; For a SM source, failure to comply with standards critical to maintenance of that minor status or failure to maintain records sufficient to document continued minor status (applies to PSD, MACT, and Title V); Failure to obtain a permit prior to construction, modification, or operation of a major source or SM-80. Also applies to a major modification at these sources.
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Failure to obtain a permit prior to construction, reconstruction, or modification that triggers the requirements of 9 VAC 5-80-1605, et seq. or 9 VAC 5-80-2000, et seq.; Violation of a National Emission Standard for Hazardous Air Pollutants (NESHAP) or MACT standards that indicate excess emissions or substantially interfere with DEQ’s ability to determine emissions compliance; Violation of a substantive requirement in a consent order, consent special order, or judicial decree (typically not for late reports or minor record keeping deficiencies); and Failure to submit a timely Title V permit application (more than 60 days late), or to timely submit a compliance certification, Excess Emissions Report, or other substantive report required by a Title V permit (more than 60 days late).
Moderate Classification
Examples include, but are not limited to:
Failure to obtain a permit prior to construction, modification or operation of a SM source. Emissions violations at a SM source that do not jeopardize the synthetic minor status of the source or violations at a major source involving pollutants for which the source is not considered major; Not maintaining control equipment or failure to use control equipment, for a pollutant, at a SM source, in a manner consistent with good air pollution control practices (unless there is evidence that the failure resulted in emissions that jeopardize the synthetic minor status of the source – in this case, the potential for harm is elevated to Serious); Failure to conduct emissions tests, monitor, or maintain records necessary to demonstrate compliance with standards involving a pollutant for which the source is a synthetic minor (unless there is additional evidence to indicate that the source is not in compliance with the limits that establish synthetic minor status for that pollutant); and Opacity violations at a source that is subject to the PSD, MACT, or Title V Programs.
Marginal Classification
Examples include, but are not limited to:
Failure to obtain a permit prior to construction, modification or operation of a true minor source; Not maintaining control equipment or failure to use control equipment for a pollutant at a true minor source, in a manner consistent with good air pollution control practices, unless there is evidence that the failure resulted in emissions of a pollutant at a major source level; Failure to conduct emissions tests, monitor or maintain records necessary to demonstrate compliance with standards involving a pollutant for which the source is a true minor source;
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Most record keeping and reporting violations including non-substantive violations at major, synthetic minor, and New Source Performance Standard (NSPS) sources (see Serious and Moderate categories for additional information on when violations at major or synthetic minor sources are not Marginal); and Opacity violations at a source that has been classified as either a true minor or a synthetic minor.
Calculating the Civil Charge
The categories are the numbered items (Categories 1 through 10) that make up the rows of the Worksheet. These categories are used together to make up the portions of the total civil charge for a particular air violation. Each line item on the air worksheet does not necessarily constitute a separate violation. For example, the preliminary civil charge for a permit emissions limit violation may be made up of a charges on line 1c, 4a, 4c, and 5.
When using the Worksheet to address multiple violations discovered during the same compliance activity, staff calculates civil charges for each violation independently, with the exception of Category 7, and then combine them to provide the total proposed civil charge.
Applicable portions of the Worksheet may be copied to accommodate multiple violations. Staff uses this procedure to determine the appropriate civil charge for each category listed and enter it on the Worksheet.
Statutory, Regulatory, or Permit Violation Category
This category is general in nature and is intended to establish a minimum civil charge for all violations of statutory, regulatory, or permit requirements. Generally speaking, every air case will include a civil charge in line 1 as the base charge for a violation - this charge is in addition to any which may apply under the other categories of the Worksheet for the same violation with the exception of Category 2. If the source is being assessed for violation of a substantive PSD, NESHAP, MACT, NSPS, or Title V requirement, the applicable charges in Category 1 are doubled due to the risk to public health and the environment. Substantive PSD, NESHAP, MACT, NSPS, or Title V requirements may include emissions limits, testing requirements, and reporting requirements.
Failure to obtain required permit: This charge applies to construction/modification/reconstruction without a new source permit and to the failure to obtain an operating permit. Operating without a permit: This charge applies to construction/modification/reconstruction without a new source permit where the source has begun operation of the source affected by the permit applicability determination. This line item is assessed in addition to Subcategory 1.a. Statute/regulation/permit violated (other than a. or b., above): This civil charge applies to violations of permit conditions and requirements of the Air Law or Regulations that are not already addressed by Subcategories 1.a or 1.b or Category 3 for the same violation.
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Order Violation Category
In Category 2, DEQ assesses civil charges for consent or other order violations. This charge is in addition to any civil charges calculated in the Worksheet except for Category 1.
Pollution Control Equipment Violation Category
In Category 3, DEQ assesses civil charges for the failure to install or properly operate and maintain air pollution control equipment. Category 3 civil charges are not limited to traditional end-of-the-pipe equipment. Category 3 also applies to monitoring equipment and to production equipment where that equipment has been identified as Best Available Control Technology (BACT) or Reasonable Available Control Technology (RACT) or Lowest Achievable Emission Rate (LAER), or as a pollution control device or method in a permit or regulatory program.
Failure to install required equipment: This civil charge applies, but is not limited, to:
Failure to install air pollution control equipment specifically required by permit, order, or regulation, or removal of such equipment; Failure to install equipment necessary to meet BACT, RACT, LAER, Best Achievable Retrofit Technology (BART), or similar mandatory control technology requirements (in situations of construction/ modification/reconstruction without a permit) as may be determined through the permit review process; or Failure to install pollution control equipment capable of meeting emissions limits established by permit, order, or regulations where installation of control equipment is required by a permit, regulation, consent or administrative order, consent decree, or court order.
Failure to properly operate and maintain equipment: This civil charge applies where the source does not operate the equipment properly or is not operating or maintaining the equipment adequately. Staff should carefully consider the appropriateness of assessing a Category 3 charge if a charge is also being assessed under Category 4 of the Worksheet. A situation could exist where the pollution controls are maintained and operated properly but, nonetheless, an emission violation still occurs. In that situation, it is not appropriate to assess a civil charge for improperly operated pollution control equipment (Category 3). If emissions violation occurred even though pollution controls were maintained and operated properly, select a charge for the emissions violation under Category 4 instead.
Emissions, Reporting/Monitoring, and Toxics Violations Category
Emissions violations: In Category 4, DEQ assesses a charge for documented violations of emissions standards in addition to charges applied in Subcategory 1.c, 2, or 3. A Category 4 emissions charge applies to the percent over a standard established by state or federal statutes, regulations, permits, or orders (including throughput and production limits). If a charge is assessed in Category 4, then a charge is also assessed in Category 5.
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To calculate the appropriate charge for an emissions violation, staff enter the emissions limit or standard and the observed value in the Data column of the Worksheet. Then staff calculate the “% over limit” and insert the percentage in the Data column.26 Staff select the charge from the appropriate Potential for Harm column and transfer to the Amount column of the Worksheet. For example, assume a source has a permitted limit of 422 tons per year for volatile organic compounds (VOCs), calculated as the sum of a consecutive 12-month period.
Records demonstrate that the facility had actual emissions of 519 tons of VOCs for a 12-month rolling period. Assume the violation is classified as “Serious.” The charge for the emissions violation is calculated as follows: Subtract the permitted limit of 422 tons from the observed VOC emissions of 519 tons. Divide the difference by the permit limit of 422 and multiply by 100 to obtain the “% over limit,” in this case, 23%. ((519-422)/422) x 100 = 23% Use the appropriate multiplier for the Potential for Harm. The civil charge for a Serious violation can be calculated by multiplying the percent over by $100. 23% x $100 = $2,300 In this example, the Amount entered in Category 4.a. of the Worksheet would be $2,300.
As another example, assume a minor source has a permitted limit of 50 tons per year for VOCs, calculated as the sum of a consecutive 12-month period. Records demonstrate that the facility had actual emissions of 75 tons of VOCs for a 12-month rolling period. Assume the violation is classified as “Marginal.” The civil charge for the emissions violation is calculated as follows:
Subtract the permitted limit of 50 tons from the observed VOC emissions of 75 tons.
Divide the difference by the permitted limit of 50 and multiply by 100 to obtain the “% over limit,” in this case, 50%. ((75-50)/50) x 100 = 50% Use the appropriate multiplier for the Potential for Harm. The civil charge for a Marginal violation can be calculated by multiplying the percent over by $25. 50 x $25 = $1,250. In this example, the Amount entered in Category 4.a. of the Worksheet is $1,250.
Toxic pollutant violations: This civil charge is assessed for emissions and monitoring violations involving a toxic pollutant. A toxic air pollutant is defined in the 9 VAC 5-60-210 as “any air pollutant listed in § 112(b) of the federal Clean Air Act, as revised by 40 CFR 63.60, or any other air pollutant that the board determines, through adoption of regulation, to present a significant risk to public health. This term excludes asbestos, fine mineral fibers, radio nuclides, and any glycol ether that does not have a [threshold limit value (TLV)].” Where a violation involves exceedance of a permit limit for a toxic pollutant, a charge should be assessed for both the emission limit exceedance and the toxic pollutant.
26 Opacity violations are calculated by the highest documented non-exempt "six-minute period" of the “one hour” (e.g., VEE) or a “one-hour period” (e.g., COMS), as may be applicable and as defined in 9 VAC 5-10-20.
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Sensitivity of the Environment Category
Category 5 focuses on the geographic location of the violation. Civil charges associated with this category are dependent on the nonattainment/ attainment status or the PSD area classification and the classification of the violation.27 The sensitivity of the environment charge applies only to emission standards violations or to work practice or technology standards that serve as emission standards, or to violations of monitoring requirements. When a violation occurs in a nonattainment area, the nonattainment charge applies only for violations involving pollutants or pollutant precursors for which the area is designated nonattainment. The regulations contain a description of the nonattainment areas and the Class I PSD areas, and the remainder of the Commonwealth is currently classified as a Class II area. 28
Length of Time Factor Category
The longer a violation continues uncorrected, the greater the potential for harm to air quality and the more severe the violation. The Worksheet addresses this consideration in the category labeled “Length of Time Factor.” Where separate civil charges are not assessed for daily, documented violations, DEQ calculates the charge for this factor as follows: (a) multiply the number of days the violation occurred by 0.274 (i.e., 1/365) - this is the Percent (%) Increase Factor; (b) divide this factor by 100 to obtain the decimal expression, which is then multiplied by the Preliminary Subtotal to obtain the additional civil charge.
The time span (expressed in days) used to calculate the civil charge begins, based on available evidence, on the day the violation began. The time span ends on the date the source corrects the deficiency addressed by the civil charge or the date the source agrees in principle to a set of corrective actions designed to achieve compliance with the regulatory requirement for which the charge was assessed. For violations where the length of time exceeds five years, as determined by this section, DEQ calculates the civil charge based on a length of time of five years (1,826 days). This limitation on length of time is not applicable to calculation of economic benefit.
For construction without a permit, the time span begins with the start of construction and ends when the source either begins operation of the equipment or the source submits a permit application for the affected process or equipment or agrees in principle to a set of corrective actions. For operation without a permit, the time span begins with the start-up of the equipment and ends when the source submits a permit application for the affected process or equipment. For stack tests that occur prior to execution of an consent order, the time span begins with the date the test was required (or date of the failed stack test) and ends the date
27 If the air quality in a particular geographic region meets the national standard set by EPA, it is called an attainment area; areas that do not meet the national standard are considered nonattainment areas.
28 9 VAC 5-20-204 (nonattainment) and 9 VAC 5-20-205 (PSD).
22Effective: January 3, 2022
the test is completed and demonstrates compliance as documented by a stack test report.
The following is an example of how to calculate a “length of time” civil charge:
Calculate the length of time in days that the noncompliance existed. For example, 200 days elapsed between the beginning day of the noncompliance and the date a stack test was completed showing compliance, or the date the source agreed in principle to a set of corrective actions necessary to return to a state of compliance. Multiply the number of days by 0.274. Take 200 and multiply it by 0.274 to get 54.8, which is rounded up to the nearest whole number to get 55%, or a factor of 0.55. Multiply the Preliminary Subtotal calculated on the Worksheet by the Length of Time Factor. Assume for this example that the Preliminary Subtotal is $1,300. $1,300 times 0.55 yields $715. Enter the calculated charge into the “Amount” column for Category 6 on the Worksheet.
23Effective: January 3, 2022 Air Civil Charge Worksheet Va. Code §§ 10.1-1316, -1309 Source/Responsible Party Reg.# NOV Date Potential for Harm NOV Observation # Serious Moderate Marginal Amount
- Statutory/Regulatory/Permit Violation
a. Failure to obtain required permit. $ 7,938 $ 2,646 $ 1,323
b. Operating without a permit $ 5,292 $ 2,646 $ 1,323
c. Statute/regulation/permit violated (other than a or b above) $ 2,646 $ 1,323 $ 661 (Multiply by 2 for violation of a substantive PSD, NESHAP, MACT, NSPS or TV requirement)
- Order Violation
a. Consent or Other Order condition violated. $ 5,292 $ 2,646 $ 1,323
- Pollution Control Equipment Violation
a. Failure to install required equipment. $ 13,229 $ 7,938 $ 2,646
b. Failure to properly operate or maintain equipment. $ 13,229 $ 7,938 $ 2,646
- Emissions, Monitoring, and Toxics Violations a. Violation of Emission Limit or Standard (% over limit or $100 (x) % over $50 (x) % over $25 (x) % over standard)
- Limit or Standard
- Observed Value
b. Toxic Pollutant Violations $ 2,646 $ 1,323 $ 814
- Sensitivity of the Environment
a. Nonattainment Area $ 5,292 $ 2,646 $ 1,323
b. Class I PSD area $ 2,646 $ 1,323 $ 814
c. Class II and III PSD area $ 1,323 $ 509 $ 305
Preliminary Civil Charge/Civil Penalty Subtotal Data Factor
- Length of Time Factor (enter days) %
- Compliance History
Order or decree in another media program within 36 mo. If yes, add lesser of 0.05 (x) Preliminary Y N before initial NOV Subtotal, or $5,000 Order or decree in same media program within 36 mo. 0.5 (x) Preliminary Subtotal (for 1 order in 36 Y N before initial NOV mo.)
- Degree of Culpability (apply to violation(s)’ Amount or to the Moderate = (x) Low = (x) 0 Serious = (x) 0.5 High = (x) 1.0 Preliminary Civil Charge/Civil Penalty Subtotal) 0.25
- Economic Benefit 10. Ability to Pay (based on information supplied by the source/party) ( ) Total Civil Charge (may not exceed $32,500 per day per violation) $
24Effective: January 3, 2022
Animal Feeding Operations and Poultry Waste
Va. Code § 62.1-44.17:1 provides specific statutory authority for the Department’s VPDES permits for confined animal feeding operations and General VPA Permit for Animal Feeding Operations (AFO) and outlines certain design and operational criteria for AFO owners and operators. Va. Code § 62.1-44.17:l(J) states that persons violating the provisions of § 62.1-44.17:1 may not be assessed civil charges that exceed $2,500 for any AFO covered by a VPA permit. For AFOs covered by a VPA permit, enforcement staff use the AFO Civil Charge/Civil Penalty Worksheet to assess appropriate civil charges on a per settlement action basis.
Enforcement staff should use the VPDES worksheet in this chapter for AFOs covered by a VPDES permit.
In no event may the final recommended civil charge for AFO general permit violations exceed $2,500. However, it is clear from the language of the statute, which focuses on AFO design and normal operating conditions, and from the legislative history of that section of the State Water Control Law, that the General Assembly did not intend to limit penalty liability for onsite violations not addressed under § 62.1-44.17:1 (e.g., violations of § 62.1-44.5 which prohibits unpermitted discharges to state waters). Those violations should be assessed separately using the appropriate civil charge/civil penalty worksheet.
Like the penalty limitations for permitted AFO facilities, § 62.1-44.17:1.1(F) limits civil charges for violations at operations covered by the VPA General Poultry Waste Management Permit to $2,500. A Poultry Waste Civil Charge/Civil Penalty Worksheet for such violations follows.
Both the AFO and the Poultry Waste Worksheets may apply to operations where both activities take place.
In calculating the appropriate civil charge, staff assesses the gravity-based component of the civil charge by selecting the appropriate violation category and multiplying the individual civil charge noted by the number of occurrences of the violation. After calculating a civil charge for each violation category, staff adds the civil charges to arrive at a subtotal. The noncompliance period considered should generally be limited to six months. Aggravating factors, including threats to human health and safety and environmental damage caused by the violation are then considered. If an aggravating factor is present, staff multiplies the civil charge subtotal by the aggravating factor multiplier of 1.5 and adds it to the Subtotal to arrive at the civil charge.
25 Effective: January 3, 2022
Animal Feeding Operation Civil Charge Worksheet Va. Code § 62.1-44.17:1(J) Facility/Responsible Party Reg./Id. # NOV Date Potential For Harm NOV (Environmental Harm and Severity) Observation Serious Moderate Marginal # Amount
- Violations and Frequency (per occurrence per $ (x) $ (x) $ (x)inspection unless otherwise noted) (Severity and occurrences occurrences occurrencesEnvironmental Harm)
(a) Failure to monitor soils, waste or groundwater 1000 (x) ___ 500 (x) ___ 200 (x) ___
(b) Failure to maintain records 1000 (x) ___ 500 (x) ___ 200 (x) ___
(c) Improper documentation of liner, seasonal high 500 (x) ___ 300 (x) ___ 100 (x) ___ water table, siting, design and construction
(d) Improper operation and maintenance of waste 1000 (x) ___ 500 (x) ___ 200 (x) ___ storage facility (e) Improper operation and maintenance of equipment (including but not limited to checking for leaks, 1000 (x) ___ 500 (x) ___ 200 (x) ___ calibrations, having manufacturer’s manuals on site)
(f) NMP Violations 1000 (x) __ 500 (x)___ 200 (x) ___
(g) Evidence of breached buffers or runoff 1000 (x) __ 500 (x) ___ 200 (x) ___
(h) Operator training requirements not met 500 (x) __ 300 (x) ___ 100 (x) ___
(i) Insufficient notice prior to animal placement or 500 (x) __ 300 (x) ___ 100 (x) ___ utilization of new waste storage facilities
(j) Improper closure of waste storage facility 1000 (x) __ 500 (x) ___ 200 (x) ___
(k) Other violations 1000 (x) __ 500 (x) ___ 200 (x) ___
Violations and Frequency Subtotal
- Adjustment Factors: If there is a threat to human health or safety, or environmental damage multiply the Violations and Frequency Subtotal by 1.5
Compliance History Order or decree in another media If yes, add lesser of 0.05 * Violations and program within 36 mo. before initial Y N Frequency Subtotal, or $5,000 NOV Order or decree in same media program If yes, add 0.5 * Violations and Frequency Y N within 36 mo. before initial NOV Subtotal (for 1 order in 36 mo.) Culpability(apply to violation(s)’ Amount or to Low = (x) 0 Moderate = (x) 0.25 Serious = (x) 0.5 High = (x) 1.0 the Violations and Frequency Subtotal) Adjustment Factor Subtotal
- Economic Benefit of Noncompliance (Economic Benefit)
- Ability to Pay (based on information supplied by the responsible party) (Ability to Pay) ( ) Total Civil Charge (not to exceed $2500 when covered by a VPA permit) $
26 Effective: January 3, 2022
Poultry Waste Civil Charge Worksheet (for any confined animal feeding operation covered by a Virginia Pollution Abatement permit) Va. Code § 62.1-44.17:1.1 Facility/Responsible Party Reg./Id. # NOV Date Potential For Harm NOV (Environmental Harm and Severity) Observation # Serious Moderate Marginal Amount
- Violations and Frequency (per occurrence per $ (x) $ (x) $ (x) inspection unless otherwise noted) (Severity occurrences occurrences occurrences and Environmental Harm) (a) Failure to monitor soils, waste or 1000 (x) ___ 500 (x) ___ 200 (x) ___ groundwater (b) Failure to maintain records 1000 (x) ___ 500 (x) ___ 200 (x) ___ (c) Transfer of more than 10 tons of poultry waste without providing the nutrient analysis 500 (x) ___ 300 (x) ___ 100 (x) ___ or fact sheet to recipient (d) Improper disposal of mortalities 1000 (x) ___ 500 (x) ___ 200 (x) ___
(e) Improper storage of poultry waste 1000 (x) ___ 500 (x) ___ 200 (x) ___
(f) Improper operation and maintenance of waste 1000 (x) ___ 500 (x) ___ 200 (x) ___ storage facility
(g) Nutrient Management Plan (NMP) 1000 (x) ___ 500 (x) ___ 200 (x) ___ Violations (h) Improper winter land application of poultry waste or land application to soils that are 1000 (x) ____ 500 (x) ___ 200 (x) ___ saturated
(i) Evidence of breached buffers or runoff 1000 (x) ___ 500 (x) ___ 200 (x) ___
(j) Improper closure of poultry waste storage 1000 (x) ___ 500 (x) ___ 200 (x) ___ facility
(k) Operator training requirements not met 500 (x) ___ 300 (x) ___ 100 (x) ___
(l) Other violations 1000 (x) ___ 500 (x) ___ 200 (x) ___
Violations and Frequency Subtotal
- Adjustment Factors: If there is a threat to human health or safety, or environmental damage multiply the Subtotal by 1.5
Compliance History
Order or decree in another media program If yes, add lesser of 0.05 (x) Violations and Y N within 36 mo. before initial NOV Frequency Subtotal, or $5,000
Order or decree in same media program If yes, add 0.5 (x) Violations and Frequency Y N within 36 mo. before initial NOV Subtotal (for 1 order in 36 mo.) Culpability(apply to violation(s)’ Amount or Low = (x) 0 Moderate = (x) 0.25 Serious = (x) 0.5 High = (x) 1.0 to the Violations and Frequency Subtotal)
- Adjustment Factor Subtotal
- Economic Benefit of Noncompliance (Economic Benefit)
- Ability to Pay (based on information supplied by the responsible party) (Ability to Pay) ( ) Total Civil Charge (not to exceed $2,500 when covered by a VPA permit) $
27Effective: January 3, 2022
Article 9 – Underground Storage Tank Program
The Underground Storage Tank (UST) Program is authorized under Article 9 of the State Water Control Law, Va. Code §§ 62-1-44.34:8 and 62.1-44.34:9. Article 9 typically addresses USTs for petroleum products, but also includes USTs for other “regulated substances,” as defined by statute. Authority for negotiated civil charges for violations of Regulated UST Program laws, regulations, orders is found in the Water Law at Va. Code § 62.1-44.15(8d). The maximum civil charge is $32,500 per day for each violation.29
Potential for Harm Evaluation In evaluating the Potential for Harm, issues to consider when assessing actual or potential harm to human health and the environment, include the volume of the product, characteristics of the product, population density where the release occurred and risk to that population (e.g. receptor population heavily reliant on drinking water wells and vapor intrusion), skill set/training/certification of employees, time of exposure, distance from a drinking water source, sensitivity of the environment, or any other criteria that may be appropriate. The criteria established in the Storage Tank Program Compliance Manual, specifically Appendix-C Underground Tank Delivery Prohibition Decision Matrix, should provide additional guidance on determining the Potential for Harm.
For example, violation of a regulatory requirement that qualifies for an expedited process for delivery prohibition would qualify as a serious Potential for Harm. A violation of a regulatory requirement that would qualify under the regular delivery prohibition process may qualify for either moderate or marginal after taking into consideration the issues listed in the preceding paragraph.
In evaluating the Potential for Harm for failures to report, investigate or cleanup a UST release, issues to consider include the extent of the release, population density where the release occurred, the presence and proximity of nearby human health or environmental receptors and any other criteria that may be appropriate. Some receptors of concern include supply water wells, surface water bodies, underground utilities (vapor impacts) and other vapor impacts to structures.
Line 1(a): Failure to Report a Release or Investigate and/or Report a Suspected Release
This category includes violations for failure to investigate, confirm and/or report a release or a suspected release. This would also include failure to immediately clean up a spill or overfill pursuant to 9 VAC 25-580-220.
Potential for Harm Example:
Failure to report a confirmed release or investigate/report Serious Moderate Marginal suspected release.
Release impacted receptor OR release poses imminent threat to X a receptor. Failure to investigate a suspected release (other than a suspected release indicated by inconclusive monitoring results)
29 Va. Code § 62.1-44.15 incorporates by reference the penalty amounts from Va. Code § 62.1-44.32.
28Effective: January 3, 2022
at a facility in a groundwater use area or nearby to surface water body.
Repeated failure to investigate suspected release indicated by X monitoring results or failure to report confirmed release with no known receptors nearby.
Failure to report suspected release that facility later investigated X and determined no actual release. Failure to investigate a suspected release indicated by inconclusive monitoring results at a facility with no apparent nearby receptors.
Line 1(b): Corrective Action /Monitoring/Closure Report Not Submitted
This category would include violations for failure to submit any kind of report detailing what corrective actions have been performed at the site, including initial abatement, site characterization, corrective action plan implementation, monitoring and closure reports.
Potential for Harm example: Corrective Action/Monitoring/Closure Report not submitted Serious Moderate Marginal
Critical implementation/characterization reports where X receptors are impacted or at imminent risk of impact OR critical reports late that identify potential receptors (e.g., site characterization report) Other reports late where receptors impacted or at imminent risk X of impact.
Late interim reports (e.g., quarterly monitoring reports) with no X potential receptors under imminent threat of impact
Line 1(c): Failure to Abate, Characterize or Otherwise Remediate a Confirmed Release
This category includes cleanup-related items (9 VAC 25-580-240 to -270) such as failure to conduct initial abatement, site characterization or failure to remove free product.
Potential for Harm example: Failure to abate, characterize or remediate a release Serious Moderate Marginal Failure to take ANY corrective actions to address a confirmed X release that has impacted human health receptors OR critical activities necessary to address cleanup of impacted environmental receptors or receptors at imminent risk of impact.
Failure to take actions necessary to identify potential receptors.
Failure to perform routine activities (e.g., quarterly monitoring) X where receptors at imminent risk of impact Late performing routine actions such as quarterly monitoring X event at facility where no receptors at imminent risk of impact.
29Effective: January 3, 2022
Line 1(d): No CAP or Failure to Execute a CAP
This category includes situations where the RP does not have an approved Corrective Action Plan (CAP) from DEQ or does not execute the CAP at all or properly.
Potential for Harm example: No Corrective Action Plan or Failure to execute CAP Serious Moderate Marginal Failure to have an approved CAP or execute the CAP for a X release that has impacted human health receptors (e.g., basements or other indoor spaces, water supply wells) or surface waters Failure to have an approved CAP or execute a CAP for a release X that has impacted human health or surface receptors but RP is otherwise performing cleanup activities that address the contamination The corrective action is performed and would have been the X approved work under the CAP but RP did not go through process to obtain a CAP. Work was done, however.
Potential for Harm Evaluation for Pollution Prevention Noncompliance
Potential for harm in cases of UST pollution prevention noncompliance is assessed both as potential harm caused by a release that may occur or be made worse as a result of noncompliance and the extent of deviation from regulatory requirements (i.e., harm to the regulatory program), and staff should use the general assessment criteria at the beginning of this chapter. For example, a facility located in a groundwater use area and in violation of corrosion protection requirements may have a higher potential for harm assessed than a facility with the same violation located within a city block on public water. However, a facility with no nearby receptors can still be assessed a “serious” potential for harm if the deviation is severe enough, e.g., no release detection is performed at all for the last year or failing to repair a corrosion protection system that has failed its 3-year test.
DEQ’s UST risk based inspection strategy (RBIS) can assist in evaluating the potential for harm associated with pollution prevention noncompliance. Facilities are assigned risk levels (high to low) according to the following factors: the presence of nearby human health and/or environmental receptors, tank age and noncompliance with key UST requirements.
Noncompliance at high-risk facilities will generally equate to higher potential for harm than noncompliance at a low risk facilities. However, depending upon the applicable criteria, there may not be much difference in potential for harm between high and medium risk facilities. A facility’s risk level is a helpful tool but should be used in conjunction with other factors, i.e., an evaluation of the extent of deviation from the regulatory requirements, to assess potential for harm. A facility’s risk category can be found on the general tab of the Tank Facility screen in
CEDS.
Line 1(e): Tank System Operated Improperly (per violation)
30Effective: January 3, 2022
This includes failure to properly operate equipment and failure to conduct required testing to ensure the equipment is operating properly, e.g., the shutoff valve is not set to shut off flow into the tank at the required level or the alarm is not audible or visible to delivery driver.
This includes all testing requirements, including failing to test following a repair and improper testing. This category would also include situations where the rectifier has been turned off, where release detection is not being performed every month or correctly, and where the owner does not meet all the requirements to use certain forms of release detection (e.g. the release detection method has expired or their equipment is faulty such as a measuring stick that is not capable of measuring 1/8 of an inch). It would also cover failure to comply with the temporary closure requirements (9 VAC 25-580-310 to -330).
Potential for Harm examples: Tank system operated improperly (release detection) Serious Moderate Marginal No release detection for last 6-12 months OR no release X detection for last 3 or more months (high risk facility) No release detection for last 3 months (medium or low risk X facility) No release detection for 3 out of 12 months with subsequent X passing results Tank system operated improperly (corrosion protection) Serious Moderate Marginal CP system turned off or CP system failed test and not repaired X (high or medium risk facility) CP system turned off or CP system failed test and not repaired X (low risk facility) or failure to get 3 year CP test (high or medium risk facility) Failure to get 3 year test (low risk facility) X
Line 1(f): Tank system Installed, Upgraded, Equipped, or Closed Improperly (per violation)
This category includes items that demonstrate the tank system is not equipped to perform required pollution prevention including Overfill (OF), Corrosion Prevention (CP), Release Detection (RD), Secondary Containment (SC), Spill Prevention (SP) and Compatibility. This includes items that were never installed (e.g. no secondary containment) or installed improperly (e.g. ball float installed on or after 1.1.18), or the equipment is so damaged or broken that it no longer functions. This also includes tanks and/or piping that are not compatible with the substance stored as well as items that were not upgraded properly (e.g. no CP integrity assessment prior to upgrade). This would also include items related to improper tank closure such as failure to conduct site assessments, provide soil samples or begin corrective action when necessary.
Potential for Harm example: Tank system installed, upgraded, equipped or closed improperly Serious Moderate Marginal Basic pollution prevention (P2) equipment (e.g., spill bucket, X CP system, overfill prevention) not installed at all or P2 equipment such as CP system, release detection equipment or overfill equipment nonfunctional at high/medium risk facility
31Effective: January 3, 2022
P2 equipment such as CP system, release detection equipment X or overfill equipment nonfunctional at low risk facility Minor functionality issues such as a hole in a spill bucket at X low/medium risk facility; ball float installed after 1/1/18
Line 1(g): Failure to Demonstrate Financial Responsibility
This category includes situations where the owner has no financial responsibility mechanism or the current mechanism needs to be updated. The Potential for Harm evaluation for financial responsibility violations is based on the potential harm to DEQ’s cleanup reimbursement fund. Owners with a higher throughput are responsible for paying a higher amount of cleanup costs before becoming eligible for reimbursement from Virginia’s fund than owners with a lower throughput, and noncompliance with these requirements in the event of a UST release will have a higher financial impact on the Fund. An owner’s financial responsibility regulatory amount is based on the amount of petroleum that flows through an owner’s tanks annually. Each tank owner’s financial responsibility obligation is tracked on the financial responsibility tab in CEDS.
Potential for Harm example: Failure to Demonstrate Financial Responsibility Serious Moderate Marginal Tank owner has a higher petroleum throughput with an annual X aggregate FR obligation of $200,000.
Tank owner has moderate petroleum throughput with an annual X aggregate more than $20,000 but less than $200,000 Tank owner lower petroleum throughput owner with an annual X aggregate FR obligation of $20,000
Line 1(h): Records not available
This category includes missing or incomplete annual and 3-year test records, monthly and annual release detection records, test records not provided after repairs, repair records, 60-day rectifier logs (inspections), operator training records, closure documents, walkthrough inspection records and some release monitoring and investigation reports that are not categorized elsewhere.
Potential for Harm example: Records not available Serious Moderate Marginal
Records not maintained at all (e.g., no equipment testing records, X CP system rectifier logs, or release detection records) Records incomplete at high/medium risk facility (e.g., missing 4 X out of 10 months RD records or a few days’ worth of rectifier logs) Records incomplete at low risk facility X
Line 1(i): Improper/No Registration
32Effective: January 3, 2022
This category includes situations where the facility has never been registered or the registration is incorrect (e.g. the owner, substance stored, tank/piping material, piping type, RD type, SP, OF, tank closure, piping closure, or temporary closure information is incorrect).
Potential for harm assessment for registration violations is generally assessed as the extent of deviation from regulatory requirements. An unregistered facility with a UST released should be assessed for a higher potential for harm.
Potential for Harm example: Improper/No Registration Serious Moderate Marginal Facility not registered at all X New tanks installed at existing facility not registered or new X facility ownership not registered or tank permanent closure not registered Incomplete or incorrect forms/ release detection equipment X changes not registered/Piping run closure not registered.
Line 1(j): Other violation
This category includes operator training issues that are not covered in the records violation section, such as operator training not completed; operators not designated; emergency response procedures not kept on site; and Class C refresher training not conducted. It would also cover failure to conduct monthly or annual operation and maintenance walkthrough inspections or conducting incomplete inspections, pursuant to 9VAC25-580-85.
Potential for Harm example: Other violation Serious Moderate Marginal No walkthrough inspection performed at high risk facility. X No designated or trained operators at high risk facility. No X walkthrough inspections performed at low or medium risk facility.
Incomplete walkthrough inspections at high risk facility.
Incomplete walkthrough inspections or Class C operator not X trained annually/emergency procedures not posted (low to medium risk facility)
33Effective: January 3, 2022
Underground Storage Tank Civil Charge Worksheet Va. Code § 62.1-44.15 Facility/Responsible Party Reg./Id. # NOV Date NOV Potential for Harm Observation (Environmental Harm and Severity) # Serious Moderate Marginal Amount
- Violations and Frequency* (Severity and Environmental Harm)
a. Failure to Report a Release or Investigate and/or $13,229 $6,615 $1,323 Report a Suspected Release
b. Corrective Action /Monitoring/Closure Report Not $1,323 per Submitted $712 per phase $305 per phase phase
c. Failure to, Abate, Characterize or Remediate a Release $5,292 $2,646 $1,323
d. No CAP or Failure to Execute a CAP $2,646 per $1,323 per tank * $712 per tank * tank * $1,323 per e. Tank System Operated Improperly (per violation) 712 per tank * $305 per tank * tank * f. Tank system Installed, Upgraded, Equipped, or Closed $2,646 $1,323 $712 Improperly (per violation)
g. Failure to Demonstrate Financial Responsibility $1,323 $712 $305
h. Records not Available $1,323 $712 $305
$1,323 per i. Improper/No Registration $712 per tank * $305 per tank * tank *
j. Other Violation Component $1,323 $712 $305
- per tank or, if compartments, per tank compartment
- Violations and Frequency Subtotal
- Degree of Culpability (Severity and Compliance Moderate = Serious = (x) History) (apply to violation(s)’ Amount or to the Violations and Low = (x) 0 High = (x) 1.0 (x) 0.25 0.5 Frequency Subtotal)
- History of Noncompliance (Compliance History)
Order or decree in another media program within 36 mo. If yes, add lesser of 0.05 (x) Violations and Y N before initial NOV Frequency Subtotal, or $5,000
Order or decree in same media program within 36 mo. If yes, add 0.5 (x) Violations and Frequency Y N before initial NOV Subtotal (for 1 order in 36 mo.)
- Subtotal
- Economic Benefit of Noncompliance (Economic Benefit)
- Ability to Pay (based on information supplied by the responsible party) (Ability to Pay) ( )
Total Civil Charge (may not exceed $32,500 per day per violation) $
34Effective: January 3, 2022
ARTICLE 11 – OIL DISCHARGES AND ABOVEGROUND STORAGE TANKS
Article 11 of the State Water Control Law30 establishes a civil charge authority for the discharge of oil, for violations related to aboveground storage tanks (ASTs), and for violations of underground storage tanks not regulated under Article 9. Va. Code § 62.1-44.34:20(C) establishes civil charges and penalties for:
- For failing to obtain approval of an oil discharge contingency plan as required by § 62.1-44.34:15;
- For failing to maintain evidence of financial responsibility as required by § 62.1-44.34:16;
- For discharging or causing or permitting a discharge of oil into or upon state waters, or owning or operating any facility, vessel or vehicle from which such discharge originates in violation of § 62.1-44.34:18;
- For failing to cooperate in containment and cleanup of a discharge as required by § 62.1-44.34:18 or for failing to report a discharge as required by § 62.1-44.34:19; and
- For violating or causing or permitting to be violated any other provision of this article, or a regulation, administrative or judicial order, or term or condition of approval issued under this article…
Va. Code § 62.1-44.34:17 sets out exemptions for items 1 and 2, above. 31 Va. Code § 62.1-44.34:23 sets out exceptions to Article 11 generally.
Pursuant to VA Code § 62.1-44.34:20(D), in determining the amount of any civil charge or penalty pursuant to violations of Article 11, consideration must be given to each of the following seven factors:
a. The willfulness of the violation; b. Any history of noncompliance; c. The actions of the person in reporting, containing and cleaning up any discharge or threat of discharge; d. The damage or injury to state waters or the impairment of their beneficial use;32 e. The cost of containment and cleanup; f. The nature and degree of injury to or interference with general health, welfare and property; and
30 Va. Code § 62.1-44.34:14, et seq. 31 The exemptions and exceptions include (but are not limited to): (1) farm or residential tanks of 1,100 gallons or less capacity used for storing motor fuel for noncommercial purposes (9 VAC 25-580-10) (“UST” definition); (2) tanks used for storing heating oil for consumption on the premises where stored (Id.); and (3) aboveground storage tanks with a capacity of 5,000 gallons or less containing heating oil for consumption on the premises where stored (Va. Code § 62.1-44.34:17(E)). 32 Though Va. Code §62.1-44.15(8e) states that the procedures for calculating a civil charge shall include, “the extent of any potential or actual environmental harm”, note that the specific penalty provision for violations of Article 11, Va. Code §62.1-44.34:20(D), does not use the term potential.
35Effective: January 3, 2022
g. The available technology for preventing, containing, reducing or eliminating the discharge.
Harm Examples
In evaluating the seven factors, issues to consider include the volume of the product, characteristics of the product, population density where the discharge/release occurred, skill set/training of employees, time of exposure, distance from a drinking water source, sensitivity of the environment, or any other criteria that may be appropriate.
Discharges to State Waters
When evaluating a civil charge or civil penalty under Va. Code § 62.1-44.34:20(C)(3) the following are the suggested increments for each of the seven factors:
Marginal – 0, 10, 20 Moderate – 30, 45, 60 Serious – 70, 85, 100
Line 1(a): Nature/Degree of Injury to General Health, Welfare and Property - The greater the nature and degree of injury to or interference with property or health, the higher the number. In evaluating the Potential for Harm, consider the amount of the pollutant, the characteristics of the pollutant, the sensitivity of the human population and the length of time of exposure.
Serious: Substantial injury to or interference with general health through impacts such as, but not limited to, drinking water supply or extensive damage to public and/or private property Moderate: Moderate injury to or interference with general health through impacts such as, but not limited to, drinking water supply or moderate damage to public and/or private property Marginal: Minor injury to or interference with general health through impacts such as, but not limited to, drinking water supply or minor damage to public and/or private property N/A: No apparent injury to or interference with general health; negligible damage to public and/or private property
Line 1(b): Damage/Injury to State Waters or Impairment of Beneficial Use - The greater the damage to state waters or impairment of their beneficial uses, the higher the number.
In evaluating the Potential for Harm, consider the amount of the pollutant, the characteristics of the pollutant, the sensitivity of the state waters, and the length of time of exposure.
36Effective: January 3, 2022
Serious: Fish kill (consider the type and number of fish and the waters affected), significant threat to sensitive ecosystem, loss of beneficial use, or harm to wildlife33 (especially endangered species), or other impacts that can only be corrected after a substantial effort or period of time. Moderate: Moderate threat to State waters, adjoining shorelines, or vegetation (other than a sensitive ecosystem) that can be corrected after a period of time Marginal: Spill created a visible sheen, film, sludge, or emulsion and damage was quickly corrected N/A: No apparent damage to State waters or impairment of beneficial use
Line 1(c): History of Noncompliance
History of noncompliance should be analyzed as in all other programs.
Line 1(d): Actions in Reporting/Containing/Cleaning up the Discharge - Prompt action will result in a lower number. This should not be used in conjunction with civil charges or civil penalties assessed under Va. Code § 62.1-44.34:20(C)(4)
Serious: Failed to timely report/contain or abate/cleanup Moderate: Notification/response inadequate such that containment or cleanup was significantly affected Marginal: Delayed notification/response with minor impact N/A: Timely notification and best and most prompt response possible under the circumstances
Line 1(e): Cost of Containment and Cleanup - The higher the cost, the lower this number will be.
Serious: The Commonwealth had to expend funds; actual cost to violator to contain and cleanup small relative to the size of the discharge Moderate: The Commonwealth had to expend funds; actual cost to violator to contain and cleanup comparable to the size of the discharge Marginal: The Commonwealth did not need to expend funds; actual cost to violator to contain and cleanup comparable relative to the size of the discharge None: Actual cost to violator to contain and cleanup disproportionate to the size of the discharge
Line 1(f): Culpability
Culpability should be analyzed as in all other programs.
33 Harm in this context should be defined broadly but generally includes any act which actually kills or injures fish or wildlife, and emphasizes that such acts may include significant habitat modification or degradation that significantly impairs essential behavioral patterns of fish or wildlife.
37Effective: January 3, 2022
Line 1(g): Available Technology to Prevent/Contain/Reduce/Eliminate Discharge -(The more readily accessible and less expensive the technology to prevent, contain, reduce or eliminate the discharge, the higher this number.)
Serious: Technology and/or service available on site or readily accessible, but not utilized Moderate: Technology not available on site, but relatively inexpensive and readily accessible on the commercial market Marginal: Technology not available on site, but relatively expensive or not readily accessible on the commercial market None: Technology available on site and utilized; technology not on site, but prohibitively expensive or not available on the commercial market
38 Effective: January 3, 2022
Oil Discharges (State Waters) Civil Charge Worksheet Va. Code § 62.1-44.34:20(C)(3) Responsible Party/Facility Reg./Id.# NOV Date Nature and degree of Harm Marginal, Serious Moderate NA or Amount None C (3) for discharging or causing or permitting a discharge of oil into or upon state waters, or owning or operating any facility, vessel or vehicle from which such discharge originates in violation of § 62.1-44.34:18.
- Statutory Factors Discuss each factor, circle the Potential for Harm and assign a dollar amount between $0 and $100 to each factor. a. Nature/Degree of Injury to Health, Welfare and 70, 85, 100 30, 45, 60 0, 10, 20 $ Property b. Damage/Injury to State Waters or Impairment 70, 85, 100 30, 45, 60 0, 10, 20 $ of Beneficial Use c. History of Non-Compliance 70, 85, 100 30, 45, 60 0, 10, 20 $ d. Actions in Reporting/Containing/Cleaning Up 70, 85, 100 30, 45, 60 0, 10, 20 $ the Discharge e. Cost of Containment and Clean Up (Relative to 70, 85, 100 30, 45, 60 0, 10, 20 $ Amount of Oil Spilled) f. Culpability (Willfulness) 70, 85, 100 30, 45, 60 0, 10, 20 $ g. Available Technology to 70, 85, 100 30, 45, 60 0, 10, 20 $ Prevent/Contain/Reduce/Eliminate Discharge Gravity Subtotal $ Gravity Subtotal Average [Gravity Subtotal divided by seven (7)] $
Number of gallons of oil discharged
Number of gallons discharged multiplied by the Gravity Subtotal Average Economic Benefit of Noncompliance $ Ability to Pay (based on information supplied by the party) ( )
Total Civil Charge (cannot exceed statutory maximum amounts) $
39 Effective: January 3, 2022
Oil Discharges (Lands or Storm Drain Systems) Civil Charge Worksheet Va. Code § 62.1-44.34:20(C)(5) Responsible Party/Facility Reg./Id.# NOV Date Nature and degree of Harm34 Serious Moderate Marginal Amount C (5) for discharging or causing or permitting a discharge of oil into or upon lands or storm drain systems in violation of § 62.1-44.34:18.
- Nature and Degree of the Violation a. Nature/Degree of Injury to Health, Welfare and $1,038 $4,132 $2,066 $ Property b. Actions in Reporting/Containing/Cleaning Up the $1,038 $4,132 $2,066 $ Discharge c. Cost of Containment and Clean Up (Relative to $1,038 $4,132 $2,066 $ Amount of Oil Spilled) d. Available Technology to $1,038 $4,132 $2,066 $ Prevent/Contain/Reduce/Eliminate Discharge
- Gravity Subtotal $
- Degree of Culpability (Severity and Compliance History) (apply to violation(s)’ Moderate = Serious = High = (x) Low = (x) 0 $ Amount or to the Violations and Frequency (x) 0.25 (x) 0.5 1.0 Subtotal)
- History of Noncompliance (Compliance History)
Order or decree in another media program within If yes, add lesser of 0.05 (x) Violations and Y N $ 36 mo. before initial NOV Frequency Subtotal, or $5,000 Order or decree in same media program within If yes, add 0.5 (x) Violations and Y N $ 36 mo. before initial NOV Frequency Subtotal (for 1 order in 36 mo.)
- Subtotal $
- Natural gas transmission pipeline greater than 36 inches inside diameter (special order Y N If yes, add 0.5 * subtotal 1.a $ under § 62.1-44.15(8g))
- Economic Benefit of Noncompliance (Economic Benefit) $
- Ability to Pay (based on information supplied by the responsible party) (Ability to Pay) ( )
Total Civil Charge (may not exceed $32,500 per day per violation) $
34 Note that VA Code 62.1-44.34:20(D) does not reference the potential for harm. This worksheet should not be used to assess a civil charge or civil penalty for damage or injury to state waters or the impairment of their beneficial use.
40Effective: January 3, 2022
Article 11 – Other Violations
For violations of C(1), C(2), and C(4), the noncompliance period considered should ordinarily be limited to six months, but may be longer if, for example, there has been a slow leak.
Staff use best professional judgment on the gallons discharged if better estimates are not available.
When evaluating the potential for harm for violations of C(1), C(2), and C(4), consider the following examples:
In assessing C(1), failing to submit and obtain approval of an oil discharge contingency plan (ODCP) would be at the higher end of the spectrum compared to an incomplete ODCP. In addition, failing to have an ODCP for a product with a high toxicity and requires a special type of emergency response would fall into the higher end of the spectrum compared to failing to have an ODCP when a less toxic product is involved. o Assign a dollar amount of not less than $1,000 nor more than $50,000 for the initial violation, and $5,000 per day for each day of violation thereafter
In assessing C(2), for failing to maintain evidence of financial responsibility, a Responsible Party whose storage capacity is 25,000 gallons or less would be at the lower end of the spectrum compared to an RP whose storage capacity is over 1 million gallons. In assessing the potential for harm to the environment, an Responsible Party whose product requires a more expensive response cost would be at the higher end of the spectrum compared to an Responsible Party whose product requires a minimal response cost, which would be at the lower end of the spectrum. o Assign a dollar amount of not less than $1,000 nor more than $100,000 for the initial violation, and $5,000 per day for each day of violation thereafter.
In assessing Line C(4) for failing to cooperate in the containment and clean-up, or failing to report: For example, failing to report a discharge of a highly toxic product would be at the high end of the spectrum, whereas failing to report a discharge of a low toxicity product would be at the low end of the spectrum. In addition, a Responsible Party failing to provide information about the product (i.e., amount, type, characteristics) which would hinder the clean-up process would fall at the higher end of the spectrum, compared to a Responsible Party who provides necessary information about their product. Furthermore, failing to report a discharge for a week would fall into the high end of the spectrum, whereas failing to report a discharge for a few hours would fall into the low end of the spectrum. o Assign a dollar amount of not less than $1,000 nor more than $50,000 for the initial violation, and $10,000 for each day of violation thereafter.
41Effective: January 3, 2022
Article 11 – Other Violations Charge Worksheet Va. Code § 62.1-44.34:20(C)(1,2,&4)) Facility/Responsible Party Reg./Id. # NOV Date NOV Nature and degree of Harm Observation # Serious Moderate Marginal Amount
- Violations and Frequency
a. Failure to obtain approval of an oil discharge $8,500 $4,500 $1,000 $ contingency plan.
Each subsequent day of violation is subject to a $ penalty of $5,000 per day.
$3,250 $2,000 $1,000 $ b. Failing to maintain evidence of financial responsibility.
Each subsequent day of violation is subject to a $ penalty of $5,000 per day.
$8,500 $4,500 $1,000 $ c. Failing to cooperate in containment and clean-up of a discharge. Each subsequent day of violation is subject to a penalty of $10,000 per day. $
$8,500 $4,500 $1,000 $ d. Failing to report a discharge Each subsequent day of violation is subject to a penalty of $10,000 per day. $
- Violations and Frequency Total a. Nature/Degree of Injury to Health, Welfare and Property $4,132 $2.066 $1,038 $ b. Actions in Reporting/Containing/Cleaning Up the Discharge $4,132 $2.066 $1,038 $ c. Cost of Containment and Clean Up (Relative to Amount of Oil $1,038 $4,132 $2.066 $ Spilled) d. Available Technology to Prevent/Contain/Reduce/Eliminate $1,038 $4,132 $2.066 $ Discharge Gravity Subtotal $
- Degree of Culpability (Severity and Compliance Moderate = Serious = (x) History) (apply to violation(s)’ Amount or to the Violations Low = (x) 0 High = (x) 1.0 $ (x) 0.25 0.5 and Frequency Subtotal)
- History of Noncompliance (Compliance History)
Order or decree in another media program within 36 mo. If yes, add lesser of 0.05 (x) Violations and Y N $ before initial NOV Frequency Subtotal, or $5,000
Order or decree in same media program within 36 mo. If yes, add 0.5 (x) Violations and Frequency Y N $ before initial NOV Subtotal (for 1 order in 36 mo.)
Subtotal $
(4) Natural gas transmission pipeline greater than 36 inches inside diameter (special order under § 62.1- Y N If yes, add 0.5 * subtotal 1.a 44.15(8g))
- Economic Benefit of Noncompliance (Economic Benefit) $
- Ability to Pay (based on information supplied by the responsible party) (Ability to Pay) ( )
Total Civil Charge $
42 Effective: January 3, 2022
Aboveground Storage Tanks Charge Worksheet Va. Code § 62.1-44.34:20(C)(5) – For violating or causing or permitting to be violated any other provision of Article 11, including most AST violations (9VAC25-91-10 et seq.). Each day of violation of each requirement constitutes a separate offense. Discharges of oil to state waters from an AST should be assessed using the Article 11 Worksheet for violations of Va. Code § 62.1-44.34:20(C)(3).
Facility/Responsible Party Reg./Id. # NOV Date NOV Nature and Degree of Harm Observation # Serious Moderate Marginal Amount
- Violations and Frequency a. Corrective Action /Monitoring/Closure Report Not $1,323 per $712 per phase $305 per phase Submitted phase b. AST, pipeline, or facility: Installed, Upgraded, $2,646 per $1,323 per tank $712 per tank Equipped, or Closed Improperly (per violation) tank c. AST, pipeline, or facility Operated Improperly (per $1,323 per $712 per tank $305 per tank violation) tank d. Failure to implement any applicable oil spill $2,646 $1,323 $712 contingency plan or Failure to Execute an approved CAP e. Records not Available $1,323 $712 $305 $1,323 per f. No Registration or inventory of ASTs $ 712 per tank $305 per tank tank g. Other Violation Component $1,323 $712 $305
- Violations and Frequency Total a. Nature/Degree of Injury to Health, Welfare and Property $4,132 $2,066 $1,038 $ b. Actions in Reporting/Containing/Cleaning Up the Discharge $4,132 $2,066 $1,038 $ c. Cost of Containment and Clean Up (Relative to Amount of Oil $1,038 $4,132 $2,066 $ Spilled) d. Available Technology to Prevent/Contain/Reduce/Eliminate $1,038 $4,132 $2,066 $ Discharge Gravity Subtotal $
- Degree of Culpability (Severity and Compliance Moderate = Serious = (x) History) (apply to violation(s)’ Amount or to the Violations Low = (x) 0 High = (x) 1.0 $ (x) 0.25 0.5 and Frequency Subtotal)
- History of Noncompliance (Compliance History)
Order or decree in another media program within 36 mo. If yes, add lesser of 0.05 (x) Violations and Y N $ before initial NOV Frequency Subtotal, or $5,000
Order or decree in same media program within 36 mo. If yes, add 0.5 (x) Violations and Frequency Y N $ before initial NOV Subtotal (for 1 order in 36 mo.)
Subtotal $
(4) Natural gas transmission pipeline greater than 36 inches inside diameter (special order under § 62.1- Y N If yes, add 0.5 * subtotal $ 44.15(8g))
- Economic Benefit of Noncompliance (Economic Benefit) $
- Ability to Pay (based on information supplied by the responsible party) (Ability to Pay) ( )
Total Civil Charge (may not exceed $32,500 per day per violation) $
43Effective: January 3, 2022
CHEAPEAKE BAY PRESERVATION ACT LOCAL PROGRAM REVIEWS
Chesapeake Bay Preservation Act
Staff should calculate an appropriate civil charge or penalty using the Civil Charge Worksheet at the end of this section. In calculating the appropriate civil charge, staff assesses the gravity-based component of the civil charge by selecting the appropriate violation category and potential for harm category and multiplying the individual charge noted by the number of occurrences of the violation. Although not required by statute for local program violations35, the Degree of Culpability, History of Noncompliance, Economic Benefit, and Ability to Pay are considered for consistency with other programs and the categories are calculated as they are for other programs (see Chapter 4, pages 7-13). However, the time period that should be considered for the History of Noncompliance is generally five years which corresponds with the typical frequency of program reviews. When considering this factor, staff should consider whether DEQ issued the Responsible Party a consent order or took unilateral action during the previous program compliance review cycle. The history of noncompliance aggravating factor should not be applied if a corrective action agreement was implemented and no subsequent enforcement action was taken by DEQ during the previous cycle. The civil charge cannot exceed $5,000 per day with the maximum amount not to exceed $20,000 per violation.36 After the adoption of regulations pursuant to the Virginia Erosion and Stormwater Management Act, the civil charge cannot exceed $5,000 per violation with the maximum amount not to exceed $50,000 per order.37
Violations and Frequency: The violations generally fall into one of the following categories and the frequency is per violation.
- Ordinances Line 1(a)(1) should be assessed if the ordinance is missing required items such as the plan and plat notation requirements, performance criteria, etc. In general, this should be assessed as a whole, and a separate violation should not be assessed for each missing item.
- Comprehensive Plans Line 1(a)(2) should be assessed if the comprehensive plan is not up to date or is missing elements. In general, this should be assessed as a whole, and a separate violation should not be assessed for each missing element.
- Performance Criteria Implementation/Enforcement (other than those listed separately on worksheet) Line 1(a)(3) should be assessed for issues with Performance Criteria implementation and enforcement other than those items listed separately on the worksheet. If the criteria are not incorporated into the comprehensive plans, or ordinances as appropriate then it
35 See Va. Code § 62.1-44.15(8). 36 Va. Code § 62.1-44.15:71. 37 Beginning thirty days after the adoption of regulations pursuant to the Virginia Erosion and Stormwater Management Act, see (19) of 62.1-44.15.
44Effective: January 3, 2022
should be assessed on line 1(a)(1) or 1(a)(2), not line 1(a)(3). In general, deficiencies with each criteria can be assessed as an individual violation.
- Site-Specific CBPA Determinations Line 1(a)(4) should be assessed for failure to follow the process for ensuring site-specific delineation of the RPA/on-site determinations of water bodies. This line should also be assessed for issues related to mapping, Resource Protection Areas (RPA), Resource Management Areas (RMA), Intensely Developed Areas and site specific refinement of CBPA boundaries.
- Plan of development review process Line 1(a)(5) should be assessed for issues with the plan of development review process including the failure to follow a POD process for all development that exceeds 2,500 square feet or deficiencies in the process that are not captured in another listed category.
In general, this should be assessed as a whole and a separate violation should not be assessed for each deficiency in the process.
- Water Quality Impact Assessment (WQIA) Line 1(a)(6) should be assessed for the failure to require a WQIA when appropriate or failure to require a complete WQIA. In general, this should be assessed as a whole and a separate violation should not be assessed for each missing WQIA or flaw in the WQIA process.
- Waivers and Exceptions Line 1(a)(7) should be assessed for deficiencies with waivers and exceptions. Examples include failure to make the required findings prior to granting exceptions and failure to have a process in place. Deficiencies associated with waivers and deficiencies associated with exceptions should be assessed separately.
- Septic tank pump out/Enforcement Line 1(a)(8) should be assessed for issues with the septic tank pump out requirements including failure to have a process in place to require pump out and failure to have enforcement provisions or take follow up enforcement action for noncompliance with pump out requirements.
- Reporting/Submissions Line 1(a)(9) should be assessed for the failure to submit annual reports or other required reports/updates.
10. Agriculture/Silvicultural Assessment Line 1(a)(10) should be assessed for the failure to require an agriculture/silvicultural assessment when appropriate or failure to require a complete agriculture/silvicultural assessment. In general, this should be assessed as a whole, and a separate violation
45Effective: January 3, 2022
should not be required for each missing assessment or flaw in the process.
11. Other Line 1(a)(11) should be assessed for items that do not have a corresponding category above.
Potential for Harm In addition to the potential for harm guidance contained in the Introduction of Chapter 4 of DEQ’s Enforcement Guidance, this section provides some examples of additional factors to consider when choosing a potential for harm classification.
The amount of development in Chesapeake Bay Preservation Act areas within the locality The amount of RPA located within the locality Actual impacts to the RPA or potential impacts to the RPA The extent of deviation from the requirement- for example, was the issue noted throughout many of the sites reviewed or was it an occasional error? Are there multiple elements missing from the comprehensive plan or ordinance? The length of time of the violation
46 Effective: January 3, 2022 CBPA Program Review Civil Charge Worksheet Va. Code § 62.1-44.15; Va. Code § 62.1-44.15:71
Locality/Responsible Party EA No. NOV No. NOV Date Potential for Harm
NOV Observation Serious Moderate Marginal Amount #
- Gravity-based Component a. Violations and Frequency (per violation unless $ (x) $ (x) $ (x) occurrences otherwise noted) occurrences occurrences (1) Ordinances 3,000 (x) ___ 2,000 (x) ___ 1,500 (x) ___
(2) Comprehensive Plans 2,000 (x) ___ 1,000 (x) ___ 700 (x) ___ (3) Performance Criteria Implementation/Enforcement 3,000 (x) ___ 2,000 (x) ___ 1,500 (x) ___ (other than those items listed below) (4) Site-Specific CBPA Determinations 2,500 (x) ___ 1,500 (x) ___ 1,000 (x) ___
(5) Plan of Development Review Process 2,500 (x) ___ 1,500 (x) ___ 1,000 (x) ___
(6) WQIA 2,500 (x) ___ 1,500 (x) ___ 1,000 (x) ___
(7) Waivers/Exceptions 3,000 (x) ___ 2,000 (x) ___ 1,500 (x) ___
(8) Septic Pump Out/Enforcement 2,000 (x) ___ 1,000 (x) ___ 700 (x) ___
(9) Reporting/Submissions 2,000 (x) ___ 1,000 (x) ___ 700 (x) ___
(10) Agriculture/Silvicultural Assessment 2,000 (x) ___ 1,000 (x) ___ 700 (x) ___
(11) Other 2,000 (x) ___ 1,000 (x) ___ 700 (x) ___
Subtotal 1.a – Violations and Frequency - Preliminary Subtotal
b. Aggravating Factors
(2) Compliance History Order or decree in another media program within 60 mo. If yes, add lesser of 0.05 (x) subtotal line 1.a, or Y N before initial NOV $5,000 Order or decree in same media program within 60 mo. If yes, add 0.5 (x) subtotal line 1.a (for 1 order in 36 Y N before initial NOV mo.) (3) Degree of Culpability (applied to specific line Moderate = Serious = (x) Low = (x) 0 High = (x) 1.0 amount(s) or subtotal line 1.a) (x) 0.25 0.5 Subtotal 1 b. – Aggravating Factors
Subtotal - Gravity Based Component Subtotal (Add Subtotal #1.a and Subtotal #1.b)
- Economic Benefit of Noncompliance
- Ability to Pay (based on information supplied by the locality) ( ) Total Civil Charge (may not exceed $5,000 per day with the maximum amount not to exceed $20,000 per violation.
Once new regulations go into effect, may not exceed $5,000 per violation with the maximum not to exceed $50,000 per $ order.)
47Effective: January 3, 2022
CONSTRUCTION STORMWATER
The Construction Stormwater Program is a separate VPDES program authorized under the Stormwater Management Act, Article 2.3 of the State Water Control Law, Va. Code §§ 62.1-44.15:24 through -44.15:50.38 This guidance addresses civil charges for DEQ enforcement actions for violations of state requirements. Negotiated civil charges are authorized by Va. Code §§ 62.1-44.15:25(6) and 62.1-44.15:48(D)(2) for violations of the Stormwater Management Act, construction stormwater permit, Virginia Stormwater Management Program (VSMP) Regulations, or order of the State Water Control Board or DEQ.39 The maximum civil charge is $32,500 per day for each violation.40
Staff should calculate an appropriate civil charge or using the worksheet at the end of this section. In calculating the appropriate civil charge, staff assess the gravity-based component of the civil charge by selecting the appropriate violation category and potential for harm category and multiplying the individual civil charge noted by the number of occurrences of the violation.
Each calendar month of violation is treated as a separate occurrence unless otherwise noted. The Degree of Culpability, History of Noncompliance, Economic Benefit, and Ability to Pay categories are calculated as they are for other Water Programs.
Following the initial NOV, the Responsible Party may have ongoing and new violations.
Enforcement staff should assess additional occurrences on the worksheet for violations that were included in the initial NOV and are identified in subsequent inspection reports or NOVs as ongoing violations or not adequately addressed by the Responsible Party. Enforcement staff should discuss new violations with compliance staff to determine if the new violations are serious enough to assess a civil charge. Examples where new violations could be included in the enforcement action with a corresponding civil charge include repeated observances of non-compliance and non-compliance that results in environmental impacts.
38 HB 1250/SB 673 (2016) consolidates the stormwater and erosion and sediment control programs into the Virginia Erosion and Stormwater Management Act, Article 2.3 of the State Water Control Law. Beginning thirty days after the adoption of regulations pursuant to the Virginia Erosion and Stormwater Management Act, some authorities will change or be located in different sections of the Code. Code citations referenced in this guidance are those effective prior to that date. 39 Note that this guidance is only applicable to land disturbing activities subject to regulation under the Stormwater Management Act. Sites with land disturbances between 10,000 square feet and an acre, not part of a larger common plan of development or sale, are subject to different penalty authorities under the Erosion and Sediment Control Law (ESCL). The Construction Stormwater Civil Charge/Civil Penalty Worksheet should not be used for violations at such sites. For violations of the ESCL, Regulations, and orders of the Board, the ESCL limits penalties to $1,000 per violation, up to $10,000 for a series of specified violations arising from the same operative set of facts. Va. Code §§ 62.1-44.15:54, 62.1-44.15:63. For violations of court orders, the ESCL authorizes penalties up to $2,000 per violation. Va. Code § 62.1-44.15:63. Beginning thirty days after the adoption of regulations pursuant to the Virginia Erosion and Stormwater Management Act, these penalty authorities will be amended by HB 1250/SB 673 (2016). Note that for land disturbing activities subject to regulation under the Stormwater Management Act, erosion and sediment (E&S) control deficiencies typically constitute violations under both the Stormwater Management Act and the ESCL. DEQ addresses such deficiencies with its greater penalty authority under the Stormwater Management Act, and staff should calculate the appropriate civil charge or civil penalty using the Worksheet at the end of this section. 40 Va. Code §§ 62.1-44.15:25(6) and 62.1-44.15:48(D)(2) incorporate by reference the civil charge amount from Va.
Code § 62.1-44.15:48(A).
48Effective: January 3, 2022
Violations of Construction Stormwater requirements often accompany violations of Virginia Water Protection Permit Program (VWPP) requirements (unauthorized impacts to wetlands and/or streams, or surface water). When VWPP violations result from unauthorized discharges of stormwater from land-disturbing activities, the VWPP Civil Charge Worksheet should be used to calculate the appropriate civil charge for the VWPP violations, and the Construction Stormwater Civil Charge Worksheet should be used to calculate the appropriate civil charge for the Construction Stormwater Violations.
Potential for Harm Examples a. Potential for Harm for Unpermitted Discharge to State Waters or Discharge to State Waters Not in Compliance with a Permit
DEQ staff follow the guidance applicable to other Water Programs in assessing the potential for harm for unpermitted discharge to state waters or discharge to state waters not in compliance with a permit (line 1(a)(2)). Examples of Serious violations for line 1(a)(2) include, but are not limited to: fish kills, loss of beneficial uses, and destruction of aquatic habitat.
b. Potential for Harm for all other Violations
In assessing the potential for harm for all violations other than unpermitted discharge to state waters or discharge to state waters not in compliance with a permit (line 1(a)(2)) and other record or reporting violations (line 1(a)(12)), DEQ staff should first consider the size of the land disturbing activity as follows:
A Serious ranking generally should be used for large construction activities that result in land disturbance of greater than or equal to ten acres of total land area. A Moderate ranking generally should be used for construction activities that result in land disturbance of greater than or equal to five acres and less than ten acres of total land area. A Marginal ranking generally should be used for construction activities that result in land disturbance of less than five acres.
When determining the potential for harm, enforcement staff should consider the amount of land disturbance at the time of the inspections or month where an occurrence is assessed, not the total proposed land disturbance for the project. For example, if an inspection for the month of May indicates that 6 acres of land have been disturbed at the time of inspection, and the site is permitted for 12 acres of land disturbance, occurrences for the month of May would start off as moderate, not serious, pending consideration of additional factors.
Staff may adjust these potential for harm thresholds based on case-specific factors if they provide additional justification. Factors that may impact the potential for harm ranking include, but are not limited to: proximity of the land disturbance to the receiving water; surrounding land use and cover types; site conditions such as permeability, erodibility, and slope; property
49Effective: January 3, 2022
degradation; impacts to aquatic and wildlife habitat; fish kills and other harm to wildlife;41 unique aspects or critical habitats; location in a Chesapeake Bay Preservation Area, Resource Protection Area, or Resource Management Area; presence of endangered species; water quality; any applicable Total Maximum Daily Loads; impacts to beneficial uses; pollutant content of stormwater; proximity to critical area; and extent of the deviation from the statutory, regulatory, and/or permit requirement. In assessing potential for harm for failure to install or to properly install post construction stormwater management BMPs (line 1(a)(8)) and failure to install or to properly install or maintain E&S controls or other pollution prevention measures (line 1(a)(9)), additional factors that may impact the potential for harm ranking include the number of deficient BMPs, controls, or measures; drainage area of deficient BMPs or controls; and severity of deficiencies.
Calculating the Civil Charge
a. Failure to Obtain Permit Coverage
Line 1(a)(1) should be used where the Responsible Party fails to obtain permit coverage prior to engaging in land disturbing activities. The frequency is per month, beginning with the first date of land disturbance and enforcement staff should make reasonable efforts to determine the start date of land disturbing activities. If sufficient information is not available to determine the start date, then enforcement staff should use the date that land disturbance is first observed during an inspection or other defensible date. The end date for determining the number of occurrences is the date the Responsible Party receives permit coverage; however, if the Responsible Party ceases land disturbing activity (except for activity required for corrective action), undertakes efforts to comply with regulatory requirements, and makes a good faith effort to obtain permit coverage, then enforcement staff may use discretion and cease assessing occurrences earlier. Enforcement staff must document the reasoning for the timeframe assessed in the ERP.
b. Line 1(a)(2) Unpermitted Discharge to State Waters or Discharge to State Waters not in Compliance with Permit
Line 1(a)(2) should be used where there is a discharge of stormwater from land-disturbing activities, which reaches state waters, either (1) from a site without required construction stormwater permit coverage, or (2) from a site with permit coverage where required treatment, controls, and pollution prevention measures are wholly or almost entirely lacking or deficient, such that stormwater discharged from the site has essentially bypassed treatment or control, or (3) from a site with permit coverage where stormwater discharge due to a violation of permit conditions results in a significant demonstrated environmental impact (e.g., a fish kill).
This line should not be used when stormwater discharge results in a measurable volume of sediment accumulation on the bed of the receiving wetland, stream or other surface water (in which case use line 1(i) on the VA Water Protection Program Civil Charge Worksheet for unauthorized impacts to wetlands and/or streams). The VA Water Protection Program Civil
41 Harm in this context should be defined broadly but generally includes any act which actually kills or injures fish or wildlife, and emphasizes that such acts may include significant habitat modification or degradation that significantly impairs essential behavioral patterns of fish or wildlife.
50Effective: January 3, 2022
Charge Worksheet should not be used when an unauthorized stormwater discharge results in turbidity of the receiving surface water without a measurable amount of sediment accumulation in the bed of the receiving water.
c. Lines 1(a)(3), (4) & (7) Failure to Develop a SWPPP, Incomplete SWPPP, and Failure to Have an Approved E&S Control Plan or Agreement in Lieu of a E& S Control Plan
In addressing stormwater pollution prevention plan (SWPPP) violations, failure to have an approved E&S control plan or agreement in lieu is addressed separately from the other SWPPP components as follows: If a Responsible Party does not have an approved E&S control plan or agreement in lieu for a site, and no other components of a SWPPP have been developed both lines 1(a)(7) (failure to have an approved E&S control plan) and 1(a)(3) (failure to develop a SWPPP) should be used. If a Responsible Party does not have approved E&S control plan or agreement in lieu for a site, and it has some, but not all, of the other components of a SWPPP (e.g., it has an approved stormwater management (SWM) plan, but not a pollution prevention plan) both lines 1(a)(7) (failure to have an approved E& S control plan) and 1(a)(4) (Incomplete SWPPP) should be used. If a site has an approved E&S control plan, but does not have any other components of the SWPPP, line 1(a)(3) (failure to develop a SWPPP) should be used. If a site has an approved E&S control plan and has some, but not all, of the other components of a SWPPP (e.g., it has an approved SWM plan, but not a pollution prevention plan, site plan, or notice of coverage letter), line 1(a)(4) (Incomplete SWPPP) should be used.
In applying line 1(a)(4) (Incomplete SWPPP), the SWPPP should be considered as a whole, rather than assessing a separate occurrence for each SWPPP component that is missing.
When assessing occurrences for failure to have an approved ESC or SWM plan, the frequency is per month beginning with the first date land disturbance occurs without an approved plan. If sufficient information is not available to determine the start date, then enforcement staff should use the date that land disturbance is first observed during an inspection or other defensible date.
The end date for determining the number of occurrences is the date the Responsible Party receives plan approval; however, if the Responsible Party ceases land disturbing activity (except for activity required for corrective action) and makes a good faith effort to obtain plan approval, then enforcement staff may use discretion and cease assessing occurrences earlier.
d. Line 1(a)(5) Failure to Maintain SWPPP on site
Line 1(a)(5) should be used when a Site has a SWPPP but it is not on site and notice of the SWPPP’s location is not posted. This line should not be used in conjunction with line 1(a)(3) (failure to develop a SWPPP). If the SWPPP is not on site because no SWPPP has been developed, line 1(a)(3) should be used, and not line 1(a)(5). Line 1(a)(5) should be used if there is no SWPPP onsite, and case facts suggest a SWPPP was developed. This line may also be used
51Effective: January 3, 2022
if a component of the SWPPP, such as the approved ESC plan, has been developed but is not on site at the time of inspection.
e. Lines 1(a)(8) & (9) Failure to Install or to Properly Install Post-Construction Stormwater Management BMPs, and Failure to Install or to Properly Install or Maintain E&S Controls or Other Pollution Prevention Measures
In determining the number of occurrences for Line 1(a)(8) and Line 1(a)(9), deficiencies with post construction management BMPs, E&S controls, and pollution prevention measures should each be assessed cumulatively for the entire site (rather than assessing a separate occurrence for each BMP, control, or measure). For Line 1(a)(9), a separate occurrence should be assessed for each month of noncompliance. Enforcement staff may assess monthly occurrences for ongoing non-compliance between inspections, even if inspectors do not document the non-compliance each month, if site circumstances and documentation supports the assessment. For example, stabilization matting is not installed in January or during a follow-up inspection in April. If the matting is installed in May and there is no documentation in the SWPPP that stabilization was applied in the interim, then occurrences could be assessed for January, February, March, and April. Similarly, if no E&S controls are installed prior to land disturbance, and the controls are not installed between inspections, then enforcement could assess occurrences for the interim months. Deficiencies with E&S controls and deficiencies with pollution prevention measures should be assessed separately.
f. Line 1(a)(11) Failure to Conduct or Record Inspections, or Incomplete Inspections
In determining the number of occurrences for Line 1(a)(11), enforcement staff should assess a separate occurrence for each month with a missing or incomplete inspection.
Enforcement staff should consult the inspector and inspection reports to determine the number of missed inspections. Factors to consider when evaluating the potential for harm include the number of missed or incomplete inspections during that month, the conditions of the site, and the size of the site.
52 Effective: January 3, 2022
Construction Stormwater Civil Charge Worksheet Va. Code §§ 62.1-44.15:20 through -44.15:50 Facility/Responsible Party EA No. Per./Reg. No. NOV Date Potential for Harm NOV Observation (Environmental Harm and Severity) # Serious Moderate Marginal Amount
- Gravity-based Component a. Violations and Frequency (per month unless noted) $ (x) occurrences (1) Failure to obtain permit coverage when required prior to 5,292 (x) 2,646 (x) ___ 916 (x) ___ commencing land disturbing activities ___ (2) Unpermitted discharge to state waters or discharge to 13,229 (x) state waters not in compliance with a permit (per day or 6,615 (x) ___ 1,323 (x) ___ ___ per event) (3) Failure to develop a stormwater pollution prevention 5,292 (x) 2,646 (x) ___ 916 (x) ___ plan (SWPPP) ___ (4) Incomplete SWPPP other than E&S control plan requirements (e.g., lack of approved stormwater 2,646 (x) 1,323 (x) ___ 661 (x) ___ management (SWM) plan (or agreement in lieu of ___ SWM plan) or pollution prevention plan) 1,323 (x) (5) Failure to maintain SWPPP on site (per event) 712 (x) ___ 305 (x) ___ ___ (6) Failure to have approved annual standards and 5,292 (x) 2,646 (x) ___ 916 (x) ___ specifications when required ___ (7) Failure to have an approved E&S control plan or 3,967 (x) 1,934 (x) ___ 712 (x) ___ agreement in lieu of a plan ___ (8) Failure to install or to properly install post-construction 9,362 (x) 4,681 (x) ___ 916 (x) ___ stormwater management BMPs (per site) ___ (9) Failure to install or to properly install or maintain E&SC 5,292 (x) 2,646 (x) ___ 916 (x) ___ controls or other pollution prevention measures ___ (10) Failure to comply with approved annual standards and 5,292 (x) 2,646 (x) ___ 916 (x) ___ specifications ___ (11) Failure to conduct or record inspections, or incomplete 2,646 (x) 1,323 (x) ___ 661 (x) ___ inspections ___ 1,323 (x) (12) Other record or reporting violations 661 (x) ___ 265 (x) ___ ___ (13) Failure to implement permit and/or SWPPP 2,646 (x) requirements or to comply with SWM plan, E&S 1,323 (x) ___ 712 (x) ___ ___ control plan, or other requirement, not otherwise listed 5,292 (x) (14) Failure to submit notice of permit termination 2,646 (x) ___ 916 (x) ___ ___ 13,229 (x) (15) Failure to report unpermitted discharge to state waters 6,615 (x) ___ 1300 (x) ___ ___ Subtotal 1.a – Violations and Frequency b. Aggravating Factors (1) Compliance History Order or decree in another media program within 36 months If yes, add lesser of 0.05 * subtotal line 1.a, or Y N before initial NOV $5,000 Order or decree in same media program within 36 months Y N If yes, add 0.5 * subtotal 1.a before initial NOV (2) Degree of Culpability (applied to specific line amount(s) Moderate = Serious = Low = (x)*0 High = (x)*1.0 or subtotal line 1.a) (x)*0.25 (x)*0.5 (3) Natural gas transmission pipeline greater than 36 inches Y N If yes, add 0.5 * subtotal 1.a inside diameter (special order under § 62.1-44.15(8g)) Subtotal 1 b. – Aggravating Factors Subtotal - Gravity Based Component Subtotal (Add Subtotal #1.a and Subtotal #1.b)
- Economic Benefit of Noncompliance
- Ability to Pay (based on information supplied by the facility) ( ) Total Civil Charge (may not exceed $32,500 per day per violation) $
53Effective: January 3, 2022
EROSION AND SEDIMENT CONTROL PROGRAM
Staff should calculate an appropriate civil charge using the worksheet at the end of this section. In calculating the appropriate civil charge, staff assess the gravity-based component of the charge by selecting the appropriate violation category and potential for harm category and multiplying the individual civil charge noted by the number of occurrences of the violation.
When using the Worksheet to address multiple violations discovered during the same compliance review, each violation is a separate occurrence. Although not required by statute for local program violations42, the Degree of Culpability, History of Noncompliance, Economic Benefit, and Ability to Pay categories are calculated as they are for other Programs (see Chapter 4, pages 7-13). However, the time period that should be considered for the History of Noncompliance is five years which corresponds with the typical frequency of program reviews. When considering this factor, staff should consider whether DEQ issued the Responsible Party a consent order or took unilateral action during the previous review cycle. The history of noncompliance multiplier should not be applied if a corrective action agreement was implemented and no subsequent action was taken by DEQ during the previous cycle. The civil charge cannot exceed $5,000 per day with the maximum amount not to exceed $20,000 per violation.43 After the adoption of regulations pursuant to the Virginia Erosion and Stormwater Management Act, the civil charge cannot exceed $5,000 per violation with the maximum amount not to exceed $50,000 per order.44
Violations and Frequency: The violations generally fall into one of the following categories and the frequency is per violation.
- Ordinance Line 1(a)(1) should be assessed if the ordinance is missing required components or the components are not current and correct. Generally, the ordinance is assessed as a whole instead of assessing an occurrence for each missing or deficient component.
- Administration Line 1(a)(2) should be assessed for issues with certified personnel and/or any items under program administration other than the ordinance and submissions. Examples include land disturbance without an approved plan or VSMP permit coverage; failure to maintain a copy of approved plans and records of inspections and enforcement actions; and failure to require provision of the name of an individual holding a certificate of competence.
- Plan Review Line 1(a)(3) should be assessed for plan review deficiencies. Examples of violations that would be assessed on this line include failure to provide written notice of plan disapproval stating the reasons for disapproval within 45 days; approved plans that do not comply with state minimum standards and when an appropriate variance is not granted;
42 See Va. Code § 62.1-44.15(8). 43 Va. Code § 62.1-44.15:71. 44 Beginning thirty days after the adoption of regulations pursuant to the Virginia Erosion and Stormwater Management Act, see (19) of 62.1-44.15.
54Effective: January 3, 2022
other variance issues.
- Inspections Line 1(a)(4) should be assessed for inspection deficiencies. Examples of violations that would be assessed on this line include issues with inspection frequency/timing; ESC measures not maintained and are not documented in inspection reports; issues with inspection documentation and notification; completion deadlines are not specified for corrective actions.
- Enforcement Line 1(a)(5) should be assessed for issues with enforcement. Examples of items that are assessed on this line are the failure to issue a notice to comply; enforcement actions do not contain corrective actions and deadlines; and advanced enforcement such as a stop work order is not initiated when warranted.
- Submissions Line 1(a)(6) should be assessed for failure to submit land-disturbing activity reports or other required reports/updates. Generally, each type of report is treated as a separate occurrence.
- Other Line 1(a)(7) should be assessed for violations that do not have a corresponding category above.
Potential for Harm In addition to the potential for harm guidance contained in the Introduction of Chapter 4 of DEQ’s Enforcement Guidance, this section provides some examples of additional factors to consider when choosing a potential for harm classification:
The amount of development within the locality Actual impacts to nearby water bodies or off site impacts from development The extent of deviation from the requirement- for example, was the issue noted throughout many of the sites reviewed or was it an occasional error? The length of time of the violation
55 Effective: January 3, 2022
ESC Program Review Civil Charge Worksheet Va. Code § 62.1-44.15; Va. Code § 62.1-44.15:54
Locality/Responsible Party EA No. NOV No. NOV Date Potential for Harm
NOV Observation # Serious Moderate Marginal Amount
- Gravity-based Component a. Violations and Frequency (per violation unless $ (x) $ (x) $ (x) otherwise noted) occurrences occurrences occurrences (1) Ordinance 3,000 (x) ___ 2,000 (x) ___ 1,500 (x) ___
(2) Administration 2,500 (x) ___ 1,500 (x) ___ 1,000 (x) ___
(3) Plan Review 2,500 (x) ___ 1,500 (x) ___ 1,000 (x) ___
(4) Inspections 2,500 (x) ___ 1,500 (x) ___ 1,000 (x) ___
(5) Enforcement 2,500 (x) ___ 1,500 (x) ___ 1,000 (x) ___
(6) Submissions 1,500 (x) ___ 750 (x) ___ 500 (x) ___ (7) Other 1,500 (x) ___ 750 (x) ___ 500 (x) ___
Subtotal 1.a – Violations and Frequency - Preliminary Subtotal
b. Aggravating Factors (2) Compliance History Order or decree in another media program within 60 mo. If yes, add lesser of 0.05 (x) subtotal line 1.a, Y N before initial NOV or $5,000 Order or decree in same media program within 60 mo. If yes, add 0.5 (x) subtotal line 1.a (for 1 Y N before initial NOV order in 36 mo.) (3) Degree of Culpability (applied to specific line Moderate = (x) Serious = (x) Low = (x) 0 High = (x) 1.0 amount(s) or subtotal line 1.a) 0.25 0.5 Subtotal 1 b. – Aggravating Factors
Subtotal - Gravity Based Component Subtotal (Add Subtotal #1.a and Subtotal #1.b)
- Economic Benefit of Noncompliance
- Ability to Pay (based on information supplied by the locality) ( ) Total Civil Charge (may not exceed $5,000 per day with the maximum amount not to exceed $20,000 per violation.
Once new regulations go into effect, may not exceed $5,000 per violation with the maximum not to exceed $50,000 per $ order.)
56Effective: January 3, 2022
Groundwater Withdrawal Program
Pursuant to VA Code § 62.1-270(A), “Any person who violates any provision of this chapter, or who fails, neglects or refuses to comply with any order of the Board pertaining to ground water, or order of a court, issued as herein provided, shall be subject to a civil penalty not to exceed $25,000 for each violation within the discretion of the court. Each day of violation of each requirement shall constitute a separate offense.”
For the purposes of calculating an occurrence for an unpermitted withdrawal, each new calendar month begins at zero gallons and once a withdrawal reaches 300,000 gallons a permit is required. Once a person withdraws more than 300,000 gallons of water, each additional day of water withdrawn will count as a separate occurrence in that calendar month. For permitted withdrawals, once the monthly, annual, or permit term limit has been exceeded, each additional day of withdrawal should be considered a separate occurrence. Certain permitted withdrawals may violate one or more of the three permitted withdrawal limits from a single withdrawal of ground water.
Potential for Harm Examples
Volume of Withdrawals
Serious, Moderate, and Marginal rankings are based on the annual water withdrawals of the withdrawal system and adjusted based on any specific environmental harm assessment. In the case of unpermitted withdrawals, best professional judgment should be used to estimate the annual withdrawal amount where withdrawals were not metered or readings may be suspect.
Environmental Harms
Serious Classification
withdrawal systems permitted to withdraw 1 billion gallons or more annually; exceeding annual permitted withdrawal limit greater than 25%; unauthorized withdrawal or withdrawal exceedances at or near areas where there are water levels estimated to be below critical surface levels; failure to implement a Water Conservation Management Plan or mandatory conservation measures during a declared drought emergency; or multiple well pump intakes set below the top of the aquifer; Failure to install or maintain monitoring equipment.
Moderate Classification
withdrawal systems permitted to withdraw less than 1 billion gallons but more than 10 million gallons annually; exceeding monthly and/or annual permitted water withdrawal limits between 10% and 25%; or
57Effective: January 3, 2022
failing to implement a water conservation and management plan.
Marginal Classification
In the absence of specific environmental harm or areas more sensitive to excess withdrawal, a Marginal ranking is to be used for withdrawal systems permitted to withdraw 10 million gallons or less annually. Exceeding monthly and/or annual limits by less than 10%
Staff may adjust the potential for harm thresholds based on case-specific factors such as but not limited to: proximity to other groundwater withdrawals, evidence of land subsidence, incidents/reports of well interference, coastal areas with high risk of saltwater intrusion/increased chloride zones, and populated areas dependent on groundwater.
Calculating the Civil Charge
Line 1(c) through 1(e): When assessing a civil charge or civil penalty for these line items, chose the line item that corresponds with the longest reporting period only. In the event that one or more of these line items is violated, staff should evaluate the potential for harm to determine whether its potential for harm should be increased. When monitoring equipment has not been installed, staff should use best professional judgement when calculating the estimated volume of water withdrawn.
58 Effective: January 3, 2022
Groundwater Withdrawal Civil Charge Worksheet Va. Code § 62.1-270(A) Facility/Responsible Party Reg./Id. # NOV Date
Potential for Harm NOV (Potential for Harm and Severity) Observation Serious Moderate Marginal # Amount
- Violations and Frequency (Severity and $ (x) occurrences $ (x) occurrences $ (x) occurrences Environmental Harm)
a. Unpermitted withdrawal 12,721 (x) ____ 6,360 (x) ____ 3,180 (x) ____
b. Failure to mitigate 12,721 (x) ____ 6,360 (x) ____ 3,180 (x) ___
c. Permit Term withdrawal limits (per day) 6,828 (x) ____ 3,419 (x) ___ 1,710 (x) ____
d. Monthly withdrawal limits (per month) 3,419 (x) ____ 1,710 (x) ____ 855(x) ____
e. Annual withdrawal limits 6,828 (x) ____ 3,419 (x) ___ 1,710 (x) ____
f. Failure to implement a Water Conservation 5,293 (x) ___ 2,646 (x) ___ 1,323 (x) ___ Management Plan g. Failure to submit, complete Record or 3,155 (x) ___ 1,577 (x) ___ 855 (x) ___ reporting); (per reporting period) h. Failure to install and/or maintain equipment 3,419 (x) ____ 1,710 (x) ____ 855 (x) ____ or other operational deficiencies i. Other, Violation of Permit, Special Exceptions or Special Conditions NOT 3,419(x) ____ 1,710 (x) ____ 855 (x) ____ listed above
Violations and Frequency Subtotal
- Adjustment Factors (applied to Violations and Frequency Subtotal)
Compliance History (Compliance History) Order or decree in another media program If yes, add lesser of 0.05 (x) Violations and Frequency Y N within 36 mo. before initial NOV Subtotal, or $5,000 Order or decree in same media program within If yes, add 0.5 (x) Violations and Frequency Subtotal Y N 36 mo. before initial NOV (for 1 order in 36 mo.)
Degree of Culpability (Severity and Environmental Moderate = (x) Low = (x) 0 Serious = (x) 0.5 High = (x) 1.0 Harm) (apply to violation(s)’ Amount or to the 0.25 Violations and Frequency Subtotal)
Adjustment Subtotal
- Economic Benefit of Noncompliance (Economic Benefit)
- Ability to Pay (based on information supplied by the responsible party) (Ability to Pay) ( )
Total Civil Charge (may not exceed $25,000 per day per violation) $
59Effective: January 3, 2022
LAND PROTECTION AND REVITALIZATION PROGRAMS
The Virginia Waste Management Act at Va. Code § 10.1-1455(F) provides for civil charges in a consent order for violations of the Act, any regulation or order of the Virginia Waste Management Board or Director of DEQ, or any permit condition. The maximum civil charge is $32,500 for each violation, with each day being a separate violation.
For this section, the Land Protection and Revitalization Programs include the Solid Waste, the Hazardous Waste, and the Revitalization Programs. Remediation Consent Orders (“RCOs”) under the Remediation Program are based on the authority of the Virginia Waste Management Board under Va. Code § 10.1-1402(19) through (21) which allows the Board to take actions to contain or clean-up sites where substances within the jurisdiction of the Board have been improperly managed. The Board has authority to enforce RCOs as with any other order.
Potential for Harm Examples: Solid Waste Each violation and associated line item of the civil charge worksheet must be evaluated as discussed in the Chapter 4 Introduction regarding the Potential for Harm Classifications. The table below may be used as a preliminary assessment tool in evaluating the potential for harm.
However, it is important to note that on a case specific basis, a reasoned analysis of the Secondary Factors may warrant a different potential for harm classification. Furthermore, some line items of the civil charge worksheet have additional guidance or examples to assist with the potential for harm evaluation. Where there is no specific guidance on the analysis for an individual line item, the ten secondary factors should be used to provide a reasoned analysis for the potential for harm.
Preliminary Factor to Consider:
Type of Facility Serious Moderate Marginal A violation resulting from a facility operating without a solid waste permit X A violation resulting from a facility operating without a permit by rule. X
A violation resulting from an unpermitted facility that would typically be exempt from permitting, as X described in 9 VAC 20-81-95, but failed to comply with the requirements of the exemption.
Secondary Factors to use in evaluating potential for harm:
- Quantity and type of waste;
- Existence, size, and proximity of receptor populations (e.g., local residents, fish and wildlife, including threatened or endangered species) and sensitive environmental media (e.g., surface waters, wetlands and aquifers);
60Effective: January 3, 2022
- Likelihood or fact of transport by way of environmental media (e.g., air, surface water, and groundwater);
- Evidence of release (e.g., soil, air, surface water or groundwater contamination);
- Multimedia impacts (e.g., no other media impacted v. impacts to air/water/wetlands/etc.);
- Evidence of waste mismanagement (e.g., dumping, burial, improper storage, containment, or response to spills);
- Adequacy of provisions for detecting and preventing a release (e.g., monitoring equipment and inspection procedures, freeboard measurements);
- Repeat nature of violation (e.g., 1st occurrence v. 2nd occurrence v. 3rd occurrence, etc.);
- Pattern, nature, and frequency of violation; 10. Environmental justice impacts45 11. Alignment or consideration of Severity Levels, identified in Land Protection and Revitalization Guidance Memo No. LPR-SW-02-2010.
Additional Guidance for specific civil charge worksheet line items:
1(a)(2) Leachate Discharges/Seeps
Observation Serious Moderate Marginal Discharge of leachate to surface water, wetlands or a drinking water source
X
Leachate seep, spill, or overflow results in leachate outside the landfill’s disposal X unit boundary and into a sediment basin but without discharging to surface water, wetlands, or drinking water source Leachate seep, spill, or overflow results in leachate outside the landfill’s disposal X unit boundary but not into a sediment basin or discharging to surface water, wetlands or drinking water source
45Environmental Justice means “the fair treatment and meaningful involvement of every person, regardless of race, color, national origin, income, faith, or disability, regarding the development, implementation, or enforcement of any environmental law, regulation, or policy”. Fair Treatment means “means the equitable consideration of all people whereby no group of people bears a disproportionate share of any negative environmental consequence resulting from an industrial, governmental, or commercial operation, program, or policy”. See, Virginia Environmental Justice Act, Va. Code § 2.2-234.
61Effective: January 3, 2022
1(a)(3) Landfill Slope Failure
Observation Serious Moderate Marginal Landfill slope failure and waste is deposited outside the disposal unit boundary X
Waste is deposited within the disposal unit boundary but on an unlined area X Waste is deposited within the disposal unit boundary on a lined area X
1(a)(10) Improper Management of Waste
Observation Serious Moderate Marginal Improper management of regulated medical waste, asbestos, waste tires, or PCBs; Improper disposal X
Speculative accumulation; improper storage of mulch, stockpiles, scrap metal, X etc. ; unauthorized waste accumulation and storage areas Minor deviations from Permit requirements X
1(a)(11) Facility Operation
Observation Serious Moderate Marginal Operating without a licensed waste management facility operator; Operation deficiencies leading to environmental X impacts; Open burning
Leachate head exceeding 30 cm on bottom liner as a result of design flaws X and/or operational deficiencies (excluding sumps and manifold trenches;
Failure to maintain sufficient landfill daily, intermediate, or final cover;
Overfill
62Effective: January 3, 2022
Exceedance of PBR processing limitations (minor), or other operational X deficiencies.
If the following is observed, the potential for harm evaluation may be based on the Preliminary Factors, however, the enumerated Additional Factors may warrant a different potential for harm classification:
1(a)(17) Record Keeping/Reporting
Observation Serious Moderate Marginal Failure to report noncompliance or unusual condition within 24 hours/5 days (or alternate timeframe in permit) X
Failure to comply with recordkeeping requirement (e.g. Operations Manual, X Self-Inspections, Unauthorized Waste Records, Certification/inspection, or other); Failure to submit required plan or report to DEQ (e.g. Disclosure Statement, SWIA Report, groundwater or gas monitoring report, or other);
Failure to respond to a request for information
Other record keeping/ reporting deficiencies X
63 Effective: January 3, 2022
Solid Waste Civil Charge Worksheet Va. Code § 10.1-1455 Facility/Responsible Party: EA No.: Permit No.: NOV Date:
NOV Potential for Harm Observation Serious Moderate Marginal No(s). Amount
- Gravity-based Component a. Violations and Frequency (x) = number of occurrences $ (x) $ (x) $ (x)
(1) Operation of solid waste management facility without a permit 13,229 (x) 6,615 (x) 3,307 (x)
(2) Leachate Discharges/Seeps 13,229 (x) 6,615 (x) 3,307 (x) (3) Landfill slope failure 13,229 (x) 6,615 (x) 3,307 (x) (4) Failure to extinguish a landfill fire 13,229 (x) 6,615 (x) 3,307 (x) (5) Failure to implement landfill gas remediation 13,229 (x) 6,615 (x) 3,307 (x) (6) Failure to implement groundwater corrective action remedy 13,229 (x) 6,615 (x) 3,307 (x) (7) Failure to adhere to closure plan or closure timeframe 13,229 (x) 6,615 (x) 3,307 (x) (8) Disposal of solid waste beyond permitted landfill disposal unit 13,229 (x) 6,615 (x) 3,307 (x) boundary or vertical design capacity (9) Unauthorized open burning of solid waste 13,229 (x) 6,615 (x) 3,307 (x) (10) Improper management of waste 13,229 (x) 6,615 (x) 3,307 (x)
(11) Facility Operations 6,615 (x) 3,250 (x) 1,307 (x) (12) Failure to conduct groundwater monitoring or landfill gas 6,615 (x) 3,250 (x) 1,654 (x) monitoring (13) Failure to comply with financial assurance requirements 6,615 (x) 3,250 (x) 1,654 (x)
(14) Failure to properly conduct post-closure care maintenance 6,615 (x) 3,250 (x) 1,654 (x) (15) Failure to comply with site-specific permit condition 6,615 (x) 3,250 (x) 1,654 (x) (16) Other 6,615 (x) 3,250 (x) 1,654 (x) (17) Record keeping/Reporting 3,250 (x) 1,654 (x) 826 (x) (18) Housekeeping, or maintenance issues (litter, odor, vector, dust, run-on/run-off control, well maintenance, road maintenance, 3,250 (x) 1,654 (x) 826 (x) or other) Subtotal 1.a – Violations and Frequency
- Degree of Culpability Culpability subtotal (apply to violation(s)’ Amount or to the sum of Moderate = (x) Serious = (x) Low = (x) 0 High = (x) 1.0
- a.) 0.25 0.5
- Compliance History Order or decree in another media program within 36 mo. before If yes, add lesser of 0.05 (x) sum of 1 and 2, or Y N initial NOV $5,000 Order or decree in same media program within 36 mo. before If yes, add 0.25 (x) sum of 1 and 2 (for 1 order Y N initial NOV in 36 mo.)
- Economic Benefit of Noncompliance
- Ability to Pay (based on information supplied by the owner/operator) ( )
Total Civil Charge (may not exceed $32,500 per day per violation)
64Effective: January 3, 2022
Potential for Harm Examples: Hazardous Waste
Each violation and associated line item of the civil charge worksheet must be evaluated as discussed in the Chapter 4 Introduction regarding the Potential for Harm Classifications. The table below may be used as a preliminary assessment tool in evaluating the potential for harm.
However, it is important to note that on a case specific basis, a reasoned analysis of the Additional Factors may warrant a different potential for harm classification. Furthermore, some line items of the civil charge worksheet have additional guidance or examples to assist with the potential for harm evaluation.
Preliminary Factors to Consider:
Type of Generator Serious Moderate Marginal Large Quantity X Generator (“LQG”)46 Small Quantity X Generator (“SQG”)47 Very Small Quantity Generator X
(“VSQG”)48
Secondary Factors to Consider:
See, “Secondary Factors to Consider”, in the “Potential for Harm Examples: Solid Waste”, above.
Additional Guidance for specific civil charge worksheet line items:
1(a)(6) Failure to comply with Satellite Accumulation Area/ Central Accumulation Area/Universal Waste Requirements
If the following is observed, the potential for harm evaluation may be based on the Preliminary Factors, however, the enumerated Additional Factors may warrant a different potential for harm classification:
- For Satellite Accumulation Areas (“SAA”): a. Greater than fifty five (55) gallons of hazardous waste; b. Greater than one quart of liquid acute hazardous waste; c. Greater than one kilogram of solid acute hazardous waste; d. Other SAA deficiencies.
- For Central Accumulation Areas (“CAA”): a. A LQG that accumulates hazardous waste for more than 90 days;
46 40 CFR §§§ 262.13, 262.15, and 262.17 47 40 CFR §§§ 262.13, 262.15, and 262.16 48 40 CFR §§ 262.13 and 262.14
65Effective: January 3, 2022
b. A SQG that accumulates hazardous waste for more than 180 days; c. A SQG that accumulates greater than 6,000 kg of hazardous waste; d. A VSQG that accumulates hazardous waste for more than 180 days; e. A VSQG that accumulates greater than 1,000 kg of hazardous waste; f. Other CAA deficiencies.
- For Universal Waste (“UW”): a. Accumulation of UW for greater than one year, this will be assessed as a separate violation; b. Other UW deficiencies.
1(a)(7) Failure to Properly Manage Waste
If the following is observed, the potential for harm evaluation may be based on the Preliminary Factors, however, the enumerated Additional Factors may warrant a different potential for harm classification:
- Failure to properly label containers containing hazardous waste;
- Failure to mark “Hazardous Waste” or other words that distinctively identify the contents of the container;
- Failure to properly mark the start date of waste accumulation;
- Failure to maintain structural integrity of hazardous waste and UW containers;
- Other hazardous waste management deficiencies.
1(a)(8) Failure to Comply with Contingency Plan/ Emergency Plan Requirements
If the following is observed, the potential for harm evaluation may be based on the Preliminary Factors, however, the enumerated Additional Factors may warrant a different potential for harm classification:
- Failure of a LQG to develop and/or update an existing contingency plan that meets the requirements of the regulation (the failure to have a plan may be assessed as a more egregious violation than the failure to update the contingency plan, based on the Additional factors);
- Other contingency plan deficiencies;
- Emergency Plan deficiencies for LQGs: a. Failure to make arrangements with local authorities; b. Failure to provide documentation verifying the attempts of making such arrangements; c. Failure to designate an emergency coordinator; d. Other emergency plan deficiencies;
- Emergency Plan deficiencies for SQGs: a. Failure to comply with emergency procedure requirements (e.g., facility postings).
66Effective: January 3, 2022
1(a)(13) Failure to Submit and Maintain Documentation
If the following is observed, the potential for harm evaluation may be based on the Preliminary Factors, however, the enumerated Additional Factors may warrant a different potential for harm classification:
- A LQG’s failure to submit biennial report(s);
- Failure to file an exception report when a signed copy of the manifest was not received within a specified period of time;
- Failure to maintain copies of manifests and other required paperwork, inspections, BRs etc. for 3 years;
- A signed copy of a manifest has not been received within 45 days for an LQG and 60 days for an SQG;
- Other submittal/ documentation deficiencies.
67 Effective: January 3, 2022
Hazardous Waste Civil Charge Worksheet Va. Code § 10.1-1455 Facility/Responsible Party: EA No.: Permit No.: NOV Date:
NOV Potential for Harm Observation Serious Moderate Marginal No(s). Amount
- Gravity-based Component a. Violations and Frequency (x) = number of occurrences $ (x) $ (x) $ (x)
(1) Failure to Accurately Identify Waste as Hazardous Waste 13,229 (x) 6,615 (x) 3,307 (x) (2) Failure to Properly Determine Hazardous Waste Generator 13,229 (x) 6,615 (x) 3,307 (x) Status/ Failure to Obtain an EPA Identification Number (3) Failure to Notify and/or Re-notify DEQ of Hazardous Waste 13,229 (x) 6,615 (x) 3,307 (x) Generator Status (4) Failure to Comply with Conditions of a Permit/ Failure to 13,229 (x) 6,615 (x) 3,307 (x) Obtain a Permit (5) Failure to Properly Dispose of Waste 13,229 (x) 6,615 (x) 3,307 (x) (6) Failure to comply with Satellite Accumulation Area/ Central 13,229 (x) 6,615 (x) 3,307 (x) Accumulation Area/ Universal Waste Requirements (7) Failure to Properly Manage Waste 13,229 (x) 6,615 (x) 3,307 (x) (8) Failure to Comply with Contingency Plan/ Emergency Plan 13,229 (x) 6,615 (x) 3,307 (x) Requirements (9) Training 6,615 (x) 3307 (x) 1,654 (x) (10) Failure to Comply With Land Disposal Restrictions 6,615 (x) 3,307 (x) 1,654 (x) Requirements (11) Failure to comply with Part 265 Subparts AA, BB, and CC Air 6,615 (x) 3,307 (x) 1,654 (x) Emissions Requirements (12) Other 6,615 (x) 3,307 (x) 1,654 (x) (13) Failure to Submit and Maintain Documentation 3,307 (x) 1,654 (x) 826 (x) Subtotal 1.a – Violations and Frequency
- Degree of Culpability Culpability subtotal (apply to violation(s)’ Amount or to the sum of Moderate = (x) Serious = (x) Low = (x) 0 High = (x) 1.0
- a.) 0.25 0.5
- Compliance History Order or decree in another media program within 36 mo. before If yes, add lesser of 0.05 (x) sum of 1 and 2, or Y N initial NOV $5,000 Order or decree in same media program within 36 mo. before If yes, add 0.25 (x) sum of 1 and 2 (for 1 order Y N initial NOV in 36 mo.)
- Economic Benefit of Noncompliance
- Ability to Pay (based on information supplied by the owner/operator) ( )
Total Civil Charge (may not exceed $32,500 per day per violation)
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Potential for Harm Examples: Remediation Consent Order
A Remediation Consent Order (RCO) is a consent order with a comprehensive risk-based remedial strategy and schedule tailored to a specific site. A traditional consent order with a civil charge and/or schedule of compliance will only occur for a RCO if a notice of violation is issued to the Responsible Party to the RCO for failure to comply with the provisions of the RCO.
Each line item in section 1(a) of the civil charge worksheet will be classified as outlined in Chapter 4 Potential for Harm Classifications. As there is no hierarchy of facilities participating in the program (e.g., LQG/SQG/VSQG, SWP, PBR), a violation of an RCO may be classified as having a serious, moderate, or marginal potential for harm, based on the Secondary Factors identified in the “Potential for Harm Examples: Solid Waste”, above.
69 Effective: January 3, 2022 Remediation Consent Order Civil Charge Worksheet Va. Code § 10.1-1455 Facility/Responsible Party: ORP Identification No.: Permit No.: RCO Effective Date:
NOV Potential for Harm Observation Serious Moderate Marginal No(s). Amount
- Gravity-based Component a. Violations and Frequency (x) = number of days of $ (x) $ (x) $ (x) continuing, discrete violations (1) Failure to comply with Schedule of Compliance or Statement 13,229 (x) 6,615 (x) 3,307 (x) of Work. (2) Failure to implement Final Selected Remedy. 13,229 (x) 6,615 (x) 3,307 (x) (3) Failure to Notify DEQ of change of Ownership. 13,229 (x) 6,615 (x) 3,307 (x) (4) Failure to properly conduct Operation and Maintenance of 13,229 (x) 6,615 (x) 3,307 (x) Remedy. (5) Failure to implement Institutional Controls 13,229 (x) 6,615 (x) 3,307 (x) (6) Failure to comply with terms of Cost Reimbursement 13,229 (x) 6,615 (x) 3,307 (x) Agreement (7) Failure to notify DEQ within specified timeframes outlined in 6,615 (x) 3,307 (x) 1,654 (x) the RCO. (8)Failure to comply with financial assurance requirements of the 6,615 (x) 3,307 (x) 1,654 (x) RCO. (9) Other 6,615 (x) 3,307 (x) 1,625 (x) (10) Failure to Record Final Certificate. 3,307 (x) 1,654 (x) 826 (x) (11) Failure to provide notice of the RCO to contractors and 826 (x) 3,307 (x) 1,654 (x) Agents (14 days after effective date of RCO). (12) Failure to provide access to the Site for DEQ 3,307 (x) 1,654 (x) 826 (x) (13)Failure to retain Records for 10 years as required by RCO. 3,307 (x) 1,654 (x) 826 (x) Subtotal 1.a – Violations and Frequency
- Degree of Culpability Culpability subtotal (apply to violation(s)’ Amount or to the sum of Moderate = (x) Serious = (x) Low = (x) 0 High = (x) 1.0
- a.) 0.25 0.5
- Compliance History Order or decree in another media program within 36 mo. before If yes, add lesser of 0.05 (x) sum of 1 and 2, or Y N initial NOV $5,000 Order or decree in same media program within 36 mo. before If yes, add 0.5 (x) sum of 1 and 2 (for 1 order Y N initial NOV in 36 mo.)
- Economic Benefit of Noncompliance
- Ability to Pay (based on information supplied by the owner/operator) ( )
Total Civil Charge (may not exceed $32,500 per day per violation)
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NATURAL GAS TRANSMISSION PIPELINES GREATER THAN 36 INCHES INSIDE DIAMETER Va. Code § 62.1-44.15(8g) provides statutory authority for the Department to assess higher civil charges for natural gas transmission pipelines greater than 36 inches inside diameter and outlines procedures for the issuance of a special order. Va. Code § 62.1-44.15(8g) states that persons constructing or operating a natural gas transmission pipelines greater than 36 inches inside diameter who violates the provisions of § 62.1-44.2 et seq. may be assessed civil charges up to $50,000 per violation, not to exceed $500,000 per special order. These higher civil charges can only be applied after a Formal Hearing (see criteria below), and do not apply to consent orders. For pipeline consent orders staff should disregard this section and apply the standard penalty guidance in this chapter.
While Va. Code § 62.1-44.15(8g) provides for higher civil charges for any violations of the State Water Control Law, the most common violations will be violations of the Virginia Water Resources and Wetlands Protection Program, Article 2.2 of the State Water Control Law, Va. Code §§ 62.1-44.15:20 through -44.15:23.1; the Stormwater Management Act, Article 2.3, Va. Code §§ 62.1-44.15:24 through -44.15:50; and the Erosion and Sediment Control Law, Article 2.3, Va. Code §§ 62.1-44.15:51 through -44.15:66.
In order to qualify for higher penalties, the criteria in Va. Code § 62.1-44.15(8g) must be met:
- DEQ has issued at least two written notices of alleged violation for violations involving the same pipeline;
- such violations have not been resolved by a demonstration that there was no violation or by a consent order issued by the Board or the Director; and
- there is a finding that such violation occurred after a formal hearing was conducted (a) before a hearing officer appointed by the Supreme Court, (b) in accordance with §2.2-4020, and (c) with at least 30 days’ notice to such person of the time, place, and purpose thereof.
When the criteria for issuance of a special order with higher penalties are met, staff should use the program civil charge worksheets in this guidance that correspond to the type of violations.49 In calculating the appropriate civil charge, staff should follow the guidance accompanying the worksheets to assess the gravity-based component (see special instructions below for construction stormwater and VWPP). Once the gravity-based component is calculated, an aggravating factor multiplier of 50% should be added to the gravity based component of the worksheet. The Degree of Culpability, History of Noncompliance, Economic Benefit, and Ability to Pay categories are calculated as they are for other Water Programs. Staff must provide the Responsible Party the civil charge worksheet prior to the hearing.50
49 Va. Code § 62.1-44.15(8g) states: “The actual amount of any penalty assessed shall be based upon the severity of the violation, the extent of any potential or actual environmental harm, the compliance history of the person, any economic benefit realized from the noncompliance, and the ability of the person to pay the penalty.” 50 Va. Code § 62.1-44.15(8g) states: “The Board shall provide the person with the calculation for the proposed penalty prior to any hearing conducted for the issuance of an order that assesses penalties pursuant to this subdivision.”
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VWPP Violations
Civil charges and civil penalties for VWPP violations are assessed per occurrence. An occurrence is defined as a separate, identifiable, discrete act that results in a discharge of a pollutant to state waters. Separate civil charges are assessed: (1) for impacts to streams and (2) for impacts to wetlands and other surface waters, based on the potential for harm to the environment and the extent of deviation from regulatory program. Wetland type is not considered when determining the number of occurrences, unless the different wetland types were subject to separate discharges of pollutants. Also, an individual stream reach is not considered when determining the number of occurrences, unless there have been separate discharges affecting the same or differing portions of the stream(s).
In assessing the potential for harm, DEQ staff should first consider the relative level of impacts reflected by the permitting thresholds. For example, discharges or impacts that would require an individual permit are considered serious, impacts that would have required a full general permit requiring compensation are considered moderate, and impacts that would have required reporting-only are considered marginal.
If staff believe that these thresholds should be adjusted staff should provide additional justification by considering the following factors: classification of a wetland type (e.g., PFO, PSS, PEM)51; surrounding land use and cover types; nutrient, sediment, and pollutant trapping ability; flood control and flood storage capacity, and flood flow synchronization; erosion control and shoreline stabilization; groundwater recharge and discharge; aquatic and wildlife habitat; unique aspects or critical habitats; water quality; and recreation, education, aesthetics, or other beneficial uses
Stormwater Violations
When calculating a civil charge using the Construction Stormwater civil charge worksheet, the frequency for assessing violations is per violation, not per month or per site.
Each BMP, ESC measure, or pollution prevention measure that is deficient would be assessed as a separate violation. In assessing potential for harm, staff should not apply the land disturbance thresholds in the construction stormwater civil charge guidance section since most natural gas pipelines of this size will exceed the serious threshold. Instead, staff should consider the other factors listed in the guidance that may impact potential for harm, including but not limited to proximity to a receiving water or sensitive feature, erodibility and slope, TMDLs, and drainage area of deficient BMPs. In addition to those factors, staff may also consider the length of time of the violation when evaluating potential for harm.
Line 1(a)(2) of the construction stormwater civil charge worksheet should be used when there is a discharge which reaches state waters where (1) required treatment, controls, and
51 Under the U.S. Fish and Wildlife Service Wetland Classification System, wetlands are of two basic types: coastal (also known as tidal or estuarine wetlands) and inland, also known as non-tidal, freshwater, or palustrine wetlands which have three classes: palustrine emergent (PEM), palustrine scrub-shrub, (PSS), and palustrine forested (PFO).
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pollution prevention measures are wholly or almost entirely lacking or deficient, such that stormwater discharged from the site has essentially bypassed treatment or control, or (2) a stormwater discharge results in a significant demonstrated environmental impact (e.g., a fish kill). This line should not be used when stormwater discharge results in a measurable volume of sediment accumulation on the bed of the receiving water (in which case use line 1(i) on the VA Water Protection Permit Program Civil Charge Worksheet for unauthorized impacts to wetlands and/or streams).
When determining the number of occurrences on line 1(a)(8) and line 1(a)(9) of the construction stormwater worksheet, deficiencies with post construction management BMPs, E&S controls, and pollution prevention measures should not be assessed cumulatively for the entire site or pipeline project (assess a separate occurrence for each BMP, control, or measure).
Pollutant Discharge Elimination System and Pollution Abatement Program
The State Water Control Law at Va. Code § 62.1-44.15(8d) provides for the payment of civil charges in consent orders for past violations. This statutory section is the basis for negotiated civil charges in the Virginia Pollutant Discharge Elimination System (VPDES) Program, and Virginia Pollution Abatement (VPA) Permit Program. With the exception of consent orders to prevent or minimize sanitary sewer overflows (SSOs),52 the maximum civil charge is $32,500 for each violation, with each day being a separate violation.53
Potential for Harm Examples This section provides some examples of violations for each potential for harm classification. These examples are not determinative of whether or not a violation warrants formal enforcement. The evaluation of other examples of a specific potential for harm should be done in collaboration with the Central Office and documented in the Enforcement Recommendation Plan.
Serious Classification
Examples include, but are not limited to: fish kills, violations resulting in loss of beneficial uses, chronic refusal to apply for a permit, or perform a Toxics Management Plan
(TMP).
Moderate Classification
Examples include, but are not limited to: failure to observe Best Management Practices (BMPs) in VPDES permits, chronic late submission of monitoring reports or permit application, or failure to follow an operation & maintenance manual.
52 Va. Code § 62.1-44.15(8f) establishes maximum civil charges for SSO violations in consent orders requiring SSO corrective action. Any such order may impose civil penalties in amounts up to the maximum amount authorized in § 309(g) of the Clean Water Act. These limits are subject to change and the Code of Federal Regulations should be consulted. 53 The maximum amounts for consent civil charges are incorporated by reference from Va. Code § 62.1-44.32(a).
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Marginal Classification
Examples include, but are not limited to: an improperly completed Discharge Monitoring Report (DMR) in any case where the DMR does not report permit violations that would be classified as Serious or Moderate; minor exceedance of land application rates with no impact to ground or surface water.
The following potential for harm factors may be considered when evaluating potential for harm: facility/site conditions, size of facility/site, length of time, number of outfalls, receiving water characteristics and the nature of the discharges from the outfalls. Potential for harm factors identified in this guidance are among the most common encountered in enforcement actions; however, they should not be considered exhaustive and additional investigation may be required.
These additional factors may also be considered, as appropriate: Line on Worksheet Potential for Harm Factors Line 1(a)(1) Extent of deviation from the effluent limits, the nature of parameter exceeded, storm event, flood conditions, mixing zones, receiving water impairments, receiving water size, frequency of exceedances, and impacts to the environment (see section below for additional explanation).
Line 1(a)(2) Number of areas exposed to pollutants, impact of discharges from site Line 1(a)(3) Whether previous monitoring indicates an issue at the site, whether performing monitoring earlier would have led to controls being installed sooner, whether there is a waste load allocation for the site, the number of performance/documentation deficiencies.
For violations that are assessed per SWPPP review, the number of monitoring events/examinations that were not performed or number of deficiencies with performance should be considered when assessing potential for harm. Generally, for missed monitoring, 1 = marginal; 2-3 = moderate; and 4+ = serious.
Line 1(a)(4) Length of time of discharge, discharge composition, amount discharged, size of the storm event, instream concentration of the SSO relative to the stream flow, stream class designation, frequency of bypasses/overflows to receiving water, receiving water impairments, downstream uses (withdrawals, drinking water intake locations), and loss of other downstream beneficial uses (recreational, agriculture).
See additional information below for SSOs.
Line 1(a)(5) Length of delay, the number of deficiencies with the submission, Line 1(a)(6) Length of time without permit coverage, actions taken while there was no coverage Line 1(a)(7) Length of time prior to report, whether corrective action would have occurred sooner
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Line 1(a)(8) Length of time without maintenance/installation of BMPs; length of time in taking corrective action once notified (e.g. Inspection Reporting), nature of triggering event, number of measures not implemented Line 1(a)(9) The number of missed inspections, the number and severity of performance/documentation deficiencies.
For violations that are assessed per SWPPP review, the number of inspections/examinations that were not performed/documented may be considered when assessing potential for harm. Generally, for missed inspections, 1 missed inspection = marginal; 2-3 missed = moderate; and 4+ is serious.
Line 1(a)(10) Length of time without a SWPPP/O&M Manual Line 1(a)(11) The length of time since permittee monitoring revealed an exceedance of benchmark value, the magnitude of the exceedance, the number of monitoring periods with an exceedance and no corrective action, the nature of the modifications that permittee has/will take, the length of time since the department notified the permittee that the facility is a source of a specified pollutant of concern for which a TMDL allocation has been approved, length of time measures not incorporated into SWPPP/O&M Manual Line 1(a)(12) Amount of biosolids spilled, amount of biosolids that reach state waters, number of deficiencies with securing biosolids, magnitude of driver error Line 1(a)(13) Magnitude of increase in nutrient and sediment load, nature of expansion
Line 1(a)(1) Effluent Limits
When evaluating the potential for harm for effluent limit exceedances, enforcement staff should first determine if the parameter is a Group I or Group II pollutant. For purposes of this guidance, Group I includes ammonia, biochemical oxygen demand, chemical oxygen demand, total oxygen demand, dissolved oxygen, total organic carbon, total suspended solids, total dissolved solids, inorganic phosphorous compounds, inorganic nitrogen compounds, oil and grease, calcium, chloride, fluoride, magnesium, sodium, potassium, sulfur, sulfate, total alkalinity, total hardness, aluminum, cobalt, iron, vanadium and temperature. Bacteria (ex. fecal coliform and E. coli) and pH are calculated using logarithmic scales and are assessed separately using the table at the bottom. All other pollutants are classified as Group II (ex. total residual chlorine, cyanide, metals not listed in Group I).
Using the table below, the enforcement representative assigns the corresponding potential for harm to the violation. The potential for harm may be adjusted based on other case-specific relevant factors such as the size of the storm event, flood conditions, mixing zones, receiving water impairments, receiving water size, frequency of exceedances, impacts to the environment, and regulatory harm.
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Effluent Limitation Potential for Harm Chart Percentage by which effluent limit exceeded Potential for Harm Monthly 7-day Daily Group I Group II 1-20 1-30 1 – 50 Marginal Marginal 21-40 31-60 51 – 100 Marginal Moderate 41-100 61-150 101- 200 Moderate Moderate 101-300 151-450 201-600 Moderate Serious 301 - > 451 - > 601- > Serious Serious
Percent Exceedance of Bacteria Standard Units above or below pH Potential for Harm Limit 0-100 0-1.0 Marginal 101-500 1.0-3.0 Moderate 500 + 3.0 + Serious
Line 1(a)(4) Spills/Unpermitted Discharges
In assessing the potential for harm for wet weather sanitary sewer overflows/bypasses to state waters, DEQ staff should first consider the size of the discharge as follows:
For small waterbodies (creeks, runs, tributaries, etc.) A Serious ranking generally should be used for large discharges that result in discharges of greater than or equal to 250,000 gallons. A Moderate ranking generally should be used for discharges that result in overflows of greater than or equal to 50,000 gallons and less than 250,000 gallons. A Marginal ranking generally should be used for smaller discharges that result in overflows up to 50,000 gallons.
For large waterbodies (rivers) A Serious ranking generally should be used for large discharges that result in discharges of greater than or equal to 500,000 gallons. A Moderate ranking generally should be used for discharges that result in overflows of greater than or equal to 100,000 gallons and less than 500,000 gallons. A Marginal ranking generally should be used for smaller discharges that result in overflows up to 100,000 gallons.
The potential for harm may then be adjusted after considering additional factors, where the information is available, such as the size of the storm event (for wet weather bypass/overflow), instream concentration of the SSO relative to the stream flow, stream class designation, frequency of bypasses/overflows to receiving water, receiving water impairments, downstream uses (withdrawals, drinking water intake locations), and loss or impact to other downstream beneficial uses (recreational, agriculture).
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Calculating the Civil Charge
Gravity Based Component
Staff identifies all of the violations being addressed in the gravity-based component section of the Worksheet and calculates the civil charge separately for each violation. The gravity-based component covers two areas: (a) violations and frequency; and (b) aggravating factors as multipliers. Staff should mark the data column for each type of violation and apply the appropriate multiplier in the Worksheet, depending on the number of occurrences and whether the violation is classified as Serious, Moderate, or Marginal potential for harm. The charge is then entered into the “Amount” column of the Worksheet. After calculating charges for each violation category, staff add the charges to arrive at a subtotal. Aggravating factors are then considered and added as appropriate.
Compliance program point windows should be considered when determining the noncompliance period. For example, for VPDES programs with a six month rolling point window, the noncompliance period should generally include the six months prior to the date of the referral NOV and any non-compliance following the NOV. Enforcement staff may cease assessing civil charges for ongoing violations that require upgrades or time to resolve if the RP is cooperating with enforcement staff to resolve the noncompliance and agree to an enforceable schedule.
Violations and Frequency: The violations generally fall into one of the following categories and the frequency is per month, unless otherwise noted:
Line on Worksheet Examples of Violations Frequency 1(a)(1) Effluent Limits Exceedance of effluent limit Per effluent limit, per month, or longer, specified interval 1(a)(2) Operational Deficiencies Employee training Per SWPPP review/inspection Good housekeeping Per inspection 1(a)(3) Monitoring Visual Per SWPPP review monitoring/examinations Benchmark monitoring, Per parameter and impaired waters monitoring, highest frequency that Chesapeake Bay TMDL is not performed. Each monitoring DMR is evaluated separately Effluent Limit monitoring Per parameter and highest frequency that is not performed. Each DMR is evaluated separately
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1(a)(4) Spills/Unpermitted Discharges not composed Per day or per event Discharges entirely of stormwater and not authorized by Permit 1(a)(5) Submissions Annual report for Chesapeake Per report Bay TMDL action plan Facility stormwater load Per calculation calculations Chesapeake Bay TMDL action Per action plan plan Exceedance report Per report Reports not signed properly/no Per SWPPP review or authorization per report Late DMR Per report 1(a)(6) No Permit Failure to obtain Per month coverage/submit a new registration statement to continue coverage 1(a)(7) Failure to Report Failure to report an Per event or per month unpermitted discharge Failure to take corrective Per corrective action or action/implement measures in per inspection response to an inspection or exceedance 1(a)(8) Control Measures/BMPs Failure to implement measures Per inspection not implemented or maintained required by the Permit to eliminate or minimize exposure.
Failure to correct deficiencies Per inspection that in the implementation of the identifies deficiencies SWPPP Failure to repair/maintain Per inspection control measures Failure to observe all control Per SWPPP review measures at least annually when a stormwater discharge is occurring to ensure that they are functioning correctly 1(a)(9) Perform/Record Routine inspections Per SWPPP review Inspections Annual evaluation of Per year/annual stormwater outfalls evaluation 1(a)(10) No SWPPP/O&M Failure to develop a Per SWPPP/O&M Manual SWPPP/O&M manual review Incomplete O&M manual
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1(a)(11) Incomplete O&M Failure to modify SWPPP in Per SWPPP/O&M Manual/Incomplete response to exceedance of review54 SWPPP/SWPPP not on site benchmark values Failure to complete revisions to the SWPPP within 60 days Failure to properly document control measure modifications or additions in response to deficiencies Failure to keep records in SWPPP/on site Failure to incorporate measures/controls into SWPPP to comply with TMDL requirements Failure to have a complete and updated SWPPP with all of the contents required by the Permit.
Failure to update SWPPP to reflect addition/removal of outfall(s) 1(a)(12) Biosolids transport Vehicle wreck or spill as a Per vehicle or per event violation result of failure to properly secure or driver error while biosolids are transferred from plant to land application site or routine storage location 1(a)(13) Other Failure to meet the no net Per SWPPP review increase of stormwater nutrient and sediment load as a result of the expansion of the industrial facility Failure to provide Per request information/records
When the frequency is described as “per SWPPP review” or “per SWPPP/O&M review”, it indicates enforcement representatives should assess a violation for every DEQ inspection where a DEQ inspector reviews the SWPPP/O&M manual and identifies non-compliance with that permit requirement (ex. missing/incomplete quarterly visual monitoring examinations,
54 Incomplete SWPPP and O&M items for line 1.a.11 are typically consolidated and assessed together per SWPPP/O&M review. Potential for harm increases as the number and severity of missing items increases. If a fillable form is used, and there are multiple items for incomplete SWPPP that were documented during a single SWPPP review, the appropriate violation boxes should be checked for each item. However, a corresponding penalty is only selected on one line of the fillable form and an explanation should be provided with the civil charge analysis form.
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missing routine inspections) instead of assessing occurrences for every missed evaluation/inspection by the permittee. Each inspection type/permit requirement should be assessed as a separate violation, unless otherwise noted in this guidance. For example, missing routine inspections would be assessed separately from missing quarterly visual monitoring.
These non-compliance items are usually kept with the SWPPP/O&M manual, not submitted to DEQ throughout the permit term, and are identified during the SWPPP/O&M review portion of an inspection. If DEQ does a follow-up inspection, and the permittee is still not doing these examinations/inspections, enforcement staff should assess another occurrence to capture the non-compliance since the last inspection unless the enforcement action has progressed to a point where including additional occurrences is not practical (example, there is a signed consent order going to public notice).
When the frequency is described as per monitoring period, it means that enforcement staff should assess a violation for every monitoring period of non-compliance. Generally, enforcement staff should only consider the six (6) monitoring periods leading up to the NOV when determining the number of violations. If a permittee continues to have violations after the referral NOV, enforcement staff should assess additional occurrences unless the enforcement action has progressed to a point where including additional occurrences in the enforcement action is not practical (example, there is a signed order going to public notice).
The frequency applied to annual reporting requirements is per year. Enforcement staff should only consider the three (3) years leading up to the NOV when determining the number of violations. If the permittee continues to have violations after the referral NOV, enforcement staff should assess additional occurrences unless the enforcement action has progressed to a point where including additional occurrences in the enforcement action is not practical (example, there is a signed order going to public notice).
Line 1(a)(1) Effluent Limits
When determining the number of occurrences for the penalty calculation, each effluent limit is treated as a separate occurrence. For example, quantity average, quantity maximum, concentration minimum, concentration average, and concentration maximum limits for the same parameter are treated as separate occurrences. However, if the daily, weekly, and monthly effluent limits are the same for the same parameter, then it is considered one occurrence on the worksheet. Additionally, violations of the same limit at different outfalls are counted separately.
Line 1(a)(3) Monitoring
For missed Discharge Monitoring Reports (DMRs) or incomplete DMRs, enforcement staff should assess occurrences for each missed parameter and the number of occurrences depends on the highest frequency that is not performed for that parameter. For example, if TSS monthly average (frequency of 1/week) and monthly max (1/month) are not submitted and there are four weeks in the month, then 4 TSS occurrences are assessed. If the Responsible Party submits a DMR with 2 of the 4 TSS monthly average samples, then the number of occurrences will be 2. The parameters should not be combined into one occurrence for the DMR as a whole.
Each DMR is evaluated separately and individual outfalls are assessed separately.
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Line 1.a.4 Spills/Unpermitted Discharges
Multiple discharges from a sanitary sewer system to the same waterbody may be consolidated per day or per event, and assess based on total volume.
Line 1.a.5 Submissions
With regards to a late submission or failure to submit, it should only be assessed as a violation for the month when the report was due. The potential for harm can be increased as appropriate to capture the length of time the report was delayed or the importance of the report if it was never submitted. If a DMR is submitted late or not at all, then an occurrence would be assessed on this line, per late DMR. For incomplete and missed DMRs, occurrences are also assessed on line 1(a)(3) for the monitoring that was not completed.
Aggravating Factors as Multipliers: Aggravating factors are:
Major Facility: If a VPDES facility is classified as "major" using EPA criteria, this factor applies. However, this multiplier does not apply to civil charges for SSOs from a collection system associated with a major facility.
Flow Reduction Factor: The gravity-based component total may be reduced for small sewage treatment plants (STPs) or wastewater treatment facilities (WWTFs). The reduction is discretionary and is based on good faith efforts to comply. The factor relies on actual average daily flow55, as follows:
FLOW REDUCTION FACTOR Average Daily Flow (gallons per Percent Reduction day) 9,999 or less 50 10,000 – 29,999 30 30,000 – 99,999 10 100,000 and above No Reduction
If the reduction is being considered for a non-municipal STP or WWTF, staff should ensure that neither the facility nor the parent company employs more than 100 individuals. In using the flow reduction factor, staff multiply the gravity-based component total by the appropriate percentage figure (e.g., for a facility with less than 5,000 gallons per day average daily flow, the reduction is 50%) to obtain the reduction amount. If flow at the facility fluctuates from month to month, then the percentage reduction will vary depending on the facility’s flow during the months of violation. If the permit flow is monthly, divide by 30.4 to get the gallons per day. Using the appropriate civil charge worksheet, staff subtract the reduction amount from the gravity-based component total to obtain the flow-adjusted gravity-based component total.
55 “Flow" means monthly average daily flow from the facility for the month in which the violation(s) occurred.
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VPDES & VPA Civil Charge Worksheet Va. Code § 62.1-44.15 (For Violations Other Than VWPP, Article 9, Article 11, Surface Water/Ground Water Withdrawal, AFO/Poultry and Const. Stormwater Programs) Facility/Responsible Party EA No. Per./Reg. No. NOV Date NOV Potential for Harm Observation # Serious Moderate Marginal Amount
- Gravity-based Component $ (x) $ (x) $ (x) a. Violations and Frequency (x = number of occurrences) occurrences occurrences occurrences (1) Effluent Limits 1,323 (x) 712 (x) 305 (x) 1,323 (x) (2) Operational Deficiencies 712 (x) 305 (x) ___ (3) Monitoring/ 509 (x) 254 (x) 102 (x) (4) Spills/Unpermitted Discharge Discharges of oil must be 13,229 (x) 6,615 (x) 1,323 (x) assessed using the Article 11 worksheet. ___ (5) Submissions 1,323(x) 712 (x) 305 (x) 5,292 (x) (6) No Permit 2,646 (x) 916 (x) ___ 13,229 (x) (7) Failure to Report 6,615(x) 1,323 (x) ___ (8) Control measures/BMPs not implemented or maintained 6,615 (x) 2,646 (x) 1,323 (x) (stormwater) ___ 1,323 (x) (9) Failure to record inspections 661 (x) 265 (x) ___ (10) No SWPPP/O&M 5,292(x) 2,646 (x) 1,323 (x) (11) Incomplete SWPPP/O&M or SWPPP not on site (storm 2,646 (x) 1,323 (x) 661 (x) water) ___ 6,615 (x) (12)Biosolids transport violation 2,646 (x) 1,323 (x) ___
(13) Other 2,646 (x) 1,323 (x) 712 (x) ___ Subtotal 1.a – Violations and Frequency b. Aggravating Factors (1) Major Facility Y N Subtotal #1.a (x) 0.4 (2) Compliance History Order or decree in another media program within 36 mo. before If yes, add lesser of 0.05 (x) subtotal line Y N initial NOV 1.a, or $5,000 Order or decree in same media program within 36 mo. before If yes, add 0.5 (x) subtotal line 1.a (for 1 Y N initial NOV order in 36 mo.) (3) Degree of Culpability (applied to specific line amount(s) Moderate = (x) Serious = (x) Low = (x) 0 High = (x) 1.0 or subtotal line 1.a) 0.25 0.5 (4) Natural gas transmission pipeline greater than 36 inches Y N If yes, add 0.5 * subtotal 1.a inside diameter (special order under § 62.1-44.15(8g)) Subtotal 1 b. – Aggravating Factors Subtotal - Gravity Based Component Subtotal (Add Subtotal #1.a and Subtotal #1.b) c. Flow Reduction Factor (STP VPDES only) (discretionary % Reduction Y N ( ) based on good faith efforts to comply) Reduction Amount Flow-Adjusted Gravity Based Component Subtotal (Subtract Subtotal 1.c from Gravity Based Component Subtotal)
- Economic Benefit of Noncompliance
- Ability to Pay (based on information supplied by the facility) ( ) Total Civil Charge/Civil Penalty (Not to exceed $32,500 per day per violation) $
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RENEWABLE ENERGY PROGRAM
Virginia Code §§ 10.1-1197.5 through -1197.11 require DEQ to promulgate regulations governing small renewable energy projects. To date, DEQ has developed Permit by Rule Regulations for Wind, Solar and Combustion Projects.56 Va. Code § 10.1-1197.9 provides for negotiated civil charges in consent orders for violations of the Small Renewable Energy Projects law, regulations, orders or permit conditions. A civil charge cannot exceed $32,500 for each violation. Each day of each violation constitutes a separate offense.
Violations of Renewable Energy Permit by Rule regulations may accompany violations of other DEQ programs, such as VWPP (unauthorized impacts to wetlands and/or streams) or Construction Stormwater Program requirements (unauthorized land disturbing activity). In these situations, staff use separate worksheets to calculate the appropriate civil charge to address the violations in each program.
Potential for Harm Examples
Potential for harm classifications are not used to determine whether a violation warrants formal enforcement, but to evaluate the civil charge in light of the facts of the case already in enforcement. Departure from the examples should be discussed with a Central Office enforcement manager and documented in the Enforcement Recommendation Plan.
Serious Classification
Examples include, but are not limited to:
Solar and wind projects with a rated capacity greater than 80 megawatts (MW); Combustion projects with a rated capacity greater than 15 MW; Exceeding rated capacity for the permitted project; Failure to avoid, minimize, or mitigate damage to natural and cultural resources where those resources were eligible or potentially eligible to the Virginia Landmarks Register and the National Register of Historic Places, or an where irreparable damage results;57 Potential for harm to any threatened or endangered state or federal species.
56 Current regulations include Small Renewable Energy Projects (Wind) Permit by Rule, 9 VAC 15-40, Small Renewable Energy Projects (Solar) Permit by Rule, 9 VAC 15-60, and Small Renewable Energy Projects (Combustion) Permit by Rule, 9 VAC 15-70. 57 Where cultural and natural resources means those features and values including all lands, minerals, soils and waters, natural systems and processes, and all plants, animals, topographic, geologic and paleontological components of an area as well as all modern, historic and pre-historic, sites, trails, structures, inscriptions, rock art and artifacts representative of a given culture occurring on or within an area. Damage in this context means actions that impair a cultural or natural resource value, usefulness, or normal function for current and future populations.
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Moderate Classification
Examples include, but are not limited to: Solar and wind projects with a rated capacity between 5-80 MW; Combustion projects with a rated capacity between 5-15 MW; Failure to avoid, minimize, or mitigate damage to natural and cultural resources where limited damage results; Potential for harm to any rare species listed with the Virginia Department of Conservation and Recreation (DCR).
Marginal Classification
Examples include, but are not limited to:
Failure to provide proper notice to the Department of the construction of a small renewable energy facility with a rated capacity less than 5 MW and a disturbance zone less than 10 acres in accordance Permit by Rule regulations; Failure to avoid, minimize, or mitigate damage to natural and cultural resources where no damage results; Potential for harm to any non-listed migratory fish, birds, or wildlife.
Calculating the Civil Charge
Staff should calculate an appropriate civil charge using the civil charge worksheet at the end of this section. The categories are the numbered items (1(a) through 1(i)) that make up the gravity based rows of the civil charge worksheet. When using the civil charge worksheet to address multiple violations discovered during the same inspection, staff calculates civil charges for each violation and then combine them to provide the total proposed civil charge. Applicable portions of the Worksheet may be copied to accommodate multiple violations. Staff uses this procedure to determine the appropriate civil charge for each category listed and enter it on the civil charge worksheet.
Line 1(a) – Failure to obtain permit coverage prior to commencing activity
This line item should be used to assess the effect on, and the extent of deviation from, the regulatory requirements, e.g. avoiding the permitting and evaluative process which ensures the appropriate avoidance and minimization options and alternative sites were fully explored.
Line 1(b) – Exceeding coverage authorized under a Permit by Rule
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This line item should be used when a Responsible Party has impacted a geographic area beyond what is covered by the Permit by Rule. This line should be used to assess the extent of the deviation from the regulatory requirements.
Line 1(c) – Failure to implement mitigation plan
This line item should be used to capture the failure to perform or complete mitigation plan requirements
Line 1(d) – Failure to implement design and installation standards
This may include adjustment to the interconnection or entry points for the small renewable energy project or other changes to the project that require permit modification;
Line 1(e) – Exceeding rated capacity covered by Permit by Rule
Line 1(f) – Failure to conduct post-construction mitigation monitoring;
Line 1(g) – Failure to comply with a consent order or other order
In this category, DEQ assesses civil charges for consent or other order violations;
Line 1(h) – Failure to keep required records or meet reporting requirements
Line 1(i) – Other violations
Length of Time Factor Category
The longer a violation continues uncorrected, the greater the potential for harm. The Worksheet addresses this consideration in the category labeled “Length of Time Factor.” Where separate civil charges are not assessed for daily, documented violations, DEQ calculates the civil charge for this factor as follows: (a) multiply the number of days the violation occurred by 0.274 (i.e.,1/365) - this is the Percent (%) Increase Factor; (b) divide this factor by 100 to obtain the decimal expression, which is then multiplied by the Preliminary Subtotal to obtain the additional civil charge.
The time span begins on the day the violation began and ends on the date the Responsible Party corrects the violation addressed by the civil charge, or on the date the Responsible Party agrees in principle to a set of corrective actions designed to achieve compliance with the regulatory requirement for which the civil charge was assessed. For violations where the length of time exceeds five years, DEQ calculates the civil charge based on a length of time of five years (1,826 days). This limitation on length of time does not apply to calculation of economic benefit.
For construction without a permit, the length of time begins with the start of
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construction and ends when the source either begins operation of the equipment or the source submits a complete permit application for the small renewable energy project or agrees in principle to a set of corrective actions. For operation without a permit, the time span begins with the start-up of the equipment and ends when the source submits a complete permit application for the small renewable energy project.
The following is an example of how to calculate a “length of time” civil charge:
Calculate the length of time in days that the noncompliance existed. For this example, 200 days elapsed between the beginning day of the noncompliance and the date the source agreed in principle to a set of corrective actions necessary to return to a state of compliance. Multiply the number of days by 0.274.Take 200 and multiply it by 0.274 to get 54.8, which is rounded up to the nearest whole number and divided by 100 to get 55%, or a factor of 0.55. Multiply the Preliminary Subtotal (or appropriate portion thereof) calculated on the Worksheet by the Length of Time Factor. Assume for this example that the Preliminary Subtotal is $1,300. $1,300 times 0.55 yields $715.
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Renewable Energy Projects Civil Charge Worksheet Va. Code §§ 10.1-1197.5 through -1197.11
Facility/Responsible Party EA No. Per./Reg. NOV NOV Potential for Harm Observa (Environmental Harm and Severity) tion # Serious Moderate Marginal Amount
- Gravity-based Component
Violations and Frequency $ (x) occurrences a. Failure to obtain Permit by Rule 13,229 (x) 6,615 (x) 3,307 (x) coverage prior to commencing b. Exceeding permitted boundaries 7,938 (x) 3,664 (x) 1,832 (x)
c. Failure to implement the mitigation plan 13,229 (x) 6,615 (x) 3,307 (x)
d. Failure to implement design and 2,646 (x) 1,323 (x) 661 (x) installation standards e. Exceeding rated capacity covered by 5,201 (x) 3,664 (x) 1,832 (x) the Permit by Rule f. Failure to conduct or submit post-3,664 (x) 1,832 (x) 916 (x) construction mitigation monitoring dtaa g. Consent Order or other Order condition 7,938 (x) 3,664 (x) 1,832 (x) violated h. Other recordkeeping or reporting 2,646 (x) 1,323 (x) 661 (x) violations i. Other violations not listed above 5,291 (x) 2,646 (x) 1,323 (x) Preliminary Civil Charge/Civil Penalty Days of Violation Factor %
- Length of Time (enter days)
- Compliance History If yes, add lesser of 0.05 * Order or decree in another media program within Y N preliminary subtotal or $5,000 36 months before initial NOV Order or decree in same media program within Y N If yes, add 0.5 * preliminary subtotal 36 months before initial NOV
- Degree of Culpability (applied to specific line Moderate = Serious = Low = High = amount(s) or preliminary subtotal ) (x)*0.25 (x)*0.5 (x)*0 (x)*1.0
- Economic Benefit of Noncompliance
- Ability to Pay (based on information supplied by the facility) ( ) Total Civil Charge/Civil Penalty (may not exceed $32,500 per day per violation) $
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SURFACE WATER WITHDRAWAL PROGRAM58
The Virginia Water Protection Permit Program is authorized to assess civil charges for violations of Va. Code § 62.1-44.15:22 and 9 VAC 25-210-10 et seq. that involves the unauthorized withdrawal of surface water and other conditions necessary to protect beneficial uses.
Potential for Harm Examples
Staff may adjust the potential for harm thresholds based on case-specific factors such as but are not limited to: proximity to other surface water withdrawals, potential impacts to downstream uses; impacts to aquatic and wildlife habitat; fish kills and other harm to wildlife;59 unique aspects or critical habitats; water quality; any applicable Total Maximum Daily Loads; or impacts to beneficial uses.
Serious Classification
exceeding(daily, monthly, or annual) permitted or excluded water withdrawal limits greater than 25%; unauthorized Withdrawal comprises greater than 25% of instream flow at the intake; failure to implement a Water Conservation Management Plan or mandatory conservation measures during a declared drought emergency; or exceeding withdrawal limits or failing to meet instream flow requirements or impoundment releases in streams resulting in harm to wildlife.
Moderate Classification
exceeding (daily, monthly, or annual) permitted or excluded water withdrawal limits between 10% and 25% Unauthorized Withdrawal comprises between 10% and 25% percent of instream flow at the intake Failing to implement a drought management plan Chronic late submission of monitoring reports or permit application, or failure to follow an operation & maintenance manual.
58 Surface water withdrawals in violation of the Virginia Water Protection Permit Program should not be confused with violations involving Surface Water Management Areas. Violations of this section of the State water control law are to be assessed pursuant to that pursuant to VA Code § 62.1-252(A) which states that, “Any person who violates any provision of this chapter shall be subject to a civil penalty not to exceed $1,000 for each violation. Each day of violation shall constitute a separate offense.” 59 Harm in this context should be defined broadly but generally includes any act which actually kills or injures fish or wildlife, and emphasizes that such acts may include significant habitat modification or degradation that significantly impairs essential behavioral patterns of fish or wildlife.
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Marginal Classification
Exceeding (daily, monthly, or annual) permitted or excluded water withdrawal limits by less than 10% Unauthorized Withdrawal comprises less than 10% of the instream flow at the intake
Civil Charge Calculations
Line 1(a), Unpermitted Withdrawal: An occurrence is defined by the regulation to be per day or per month based on the type of the withdrawal and location.
Line 1(e) through 1(g): Exceeding a Withdrawal Limit: When assessing a civil charge for these line items, one or more withdrawal limits may be violated from a single withdrawal. In the event that one or more of these line items is violated, staff should evaluate the potential for harm to determine whether its potential for harm should be increased.
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Surface water Withdrawal Civil Charge Worksheet Va. Code §§ 62.1-44.15:20 through -44.15:23 Permittee/Responsible Party Reg. No. Date Potential for Harm NOV (Environmental Harm and Severity) Observation # Serious Moderate Marginal Amount
- Gravity Factors – Surface water Withdrawal (Severity and Environmental Harm) $ (x) Violations and Frequency $ (x) occurrences $ (x) occurrences occurrences a. Unpermitted withdrawal 13,229 (x) __ 6,615 (x) ___ 3,307 (x) ___ b. Failure to mitigate 13,229 (x) __ 6,615 (x) ___ 3,307 (x) ___ c. Failure to implement a Water Conservation 5,292 (x) ___ 2,646 (x) ___ 1,323 (x) ___ Management Plan d. Failure to submit a permit application 5,292 (x) ___ 2,646 (x) ___ 1,323 (x) ___ e. Exceedence of withdrawal limit (Daily) 1,323 (x) ___ 712 (x) ___ 102 (x) ___ f. Exceedence of withdrawal limit (Monthly) 2,646 (x) ___ 1,323 (x) ___ 712 (x) ___ g. Exceedence of withdrawal limit (Annual) 5,292 (x) ___ 2,646 (x) ___ 1,323 (x) ___ h. Failure to submit, complete Record or reporting); (Failure to maintain and/or 2,646 (x) ___ 1,323 (x) ___ 712 (x) ___ submit are separate occurrences) i. Failure to report (requested application, 2,646 (x) ___ 1,323 (x) ___ 712 (x) ___ water audit, new well, etc) (per event) j. Failure to install and/or maintain equipment 2,646 (x) ___ 1,323 (x) ___ 712 (x) ___ or other operational deficiencies k. Other Violations; Permit, Special Exceptions, or Special Conditions NOT 2,646 (x) ___ 1,323 (x) ___ 712 (x) ___ listed above (per event) Violations and Frequency Subtotal
- Aggravating Factors (Severity and Compliance History) a History of Noncompliance Order or decree in another media program If yes, add lesser of 0.05 (x) Violations and Frequency Y N within 36 mo. before initial NOV Subtotal, or $5,000 Order or decree in same media program If yes, add 0.5 (x) Violations and Frequency Subtotal Y N within 36 mo. before initial NOV (for 1 order in 36 mo.) b Degree of Culpability(apply to violation(s)’ Moderate = Serious = Amount or to the Violations and Frequency Low = (x) 0 High = (x) 1.0 (x) 0.25 (x) 0.5 Subtotal)) Aggravating Factor Subtotal
Gravity-Based Component Subtotal (1+2)
- Economic Benefit of Noncompliance (Economic Benefit)
- Ability to Pay (Ability to Pay) ( ) Total Civil Charge/Civil Penalty (may not exceed $32,500 per day per violation); a civil penalty not to exceed $ $1,000 for each violation in a designated Surface Water Management Area.
90Effective: January 3, 2022
WATER PROTECTION PERMIT PROGRAM
This section of the enforcement manual addresses unpermitted activities such as wetland excavation; draining, altering or degrading; filling or dumping; permanent flooding or impounding; new activities that cause significant alteration or degradation of existing wetland acreage or functions; or alteration of the properties of state waters.
Wetland and Stream Impacts
Potential for Harm Examples
In assessing the potential for harm, DEQ staff should first consider the relative level of impacts reflected by the permitting thresholds or the size of the compensatory mitigation. For example, discharges or impacts that would require an individual permit are considered serious, impacts that would have required a full general permit requiring compensation are considered moderate, and impacts that would have required reporting-only are considered marginal.
If staff believe that these thresholds should be adjusted, additional justification should be provided through consideration of the following factors: classification of a wetland type (e.g., PFO, PSS, PEM)60; surrounding land use and cover types; nutrient, sediment, and pollutant trapping ability; flood control and flood storage capacity, and flood flow synchronization; erosion control and shoreline stabilization; groundwater recharge and discharge; aquatic and wildlife habitat; unique aspects or critical habitats; water quality; and recreation, education, aesthetics, or other beneficial uses. 61
Calculating the Civil Charge
The Virginia Water Protection Permit (VWPP) Program is authorized under Va. Code §§ 62.1-44.15:20 through -44.15:23. Negotiated civil charges for Virginia Water Protection Permit (VWPP) violations are authorized by Va. Code § 62.1-44.15(8d). The maximum penalty is $32,500 per day for each violation.62
Civil charges for VWPP violations are assessed per occurrence. An occurrence is defined as a separate, identifiable, discrete act that results in a discharge of a pollutant to state waters.
Separate civil charges are assessed: (1) for impacts to streams and/or (2) for impacts to wetlands. Each occurrence of a discharge to streams and wetlands is evaluated based on the potential for harm to the environment and the extent of deviation from regulatory program.
Occurrences to wetlands and streams are evaluated separately because these two surface water types provide different ecosystem services and a different potential for harm may result from a
60 Under the U.S. Fish and Wildlife Service Wetland Classification System, wetlands are of two basic types: coastal (also known as tidal or estuarine wetlands) and inland, also known as non-tidal, freshwater, or palustrine wetlands which have three classes: palustrine emergent (PEM), palustrine scrub-shrub, (PSS), and palustrine forested (PFO).
61 Va. Water Protection Functional Loss Criteria. See, 9 VAC 25-210-80(B)(1)(k)(1) and 9 VAC 25-210-116(A).
62 Va. Code § 62.1-44.15 incorporates by reference the civil charge amount from Va. Code § 62.1-44.32.
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discharge. Wetland type is not considered when determining the number of occurrences unless the different wetland types are subject to a separate occurrence. Wetland type is considered when evaluating the potential for harm. Also, an individual stream reach is not considered when determining the number of occurrences, unless there have been separate occurrences affecting the same or different portions of the stream(s).
Line 1(a): Failure to obtain coverage under an Individual Permit (IP) or a General Permit (GP) prior to commencing activity - This line should be used to assess the effect on, and the extent of the deviation from, the regulatory requirements, e.g. avoiding and circumventing the permitting and evaluative process which ensures the appropriate avoidance and minimization options and alternative sites were fully explored, and any areas that could not be avoided were fully compensated for in a consistent and manner to ensure no net loss.
Description Serious Moderate Marginal Impacts to more than two (2) acres of wetlands or open water or more than 1,500 X linear feet (LF) of stream Impacts from 1/10 to two (2) acres of wetlands or open water or from 301 to X 1,500 LF of stream Impact to less than 1/10 acre of wetlands or X open water or up to 300 LF of stream.
Line 1(b): Exceeding coverage authorized under an IP or GP – This line should be used when a Responsible Party has exceeded the impacts covered by the type of permit or registration it holds. This line should be used to assess the extent of the deviation from the regulatory requirements. The potential for harm for this line is assessed as follows:
Description Serious Moderate Marginal Exceedances that: 1) Cause a project to move from X requiring a GP to an IP (i.e., total project impacts now exceed 2 acres of wetlands or open water or 1,500 LF of streams); or 2) Exceed permitted impacts by 2 or more acres of wetlands or open water, or 1,500 or more LF of stream.
Exceedances that: 1) Cause a project to move from X requiring a reporting-only general permit to a full general permit (i.e., total project impacts now exceed 0.10 acre of wetlands or open water, or 300 LF of streams.); or 2) Require a major modification of an individual permit (i.e., changes that cumulatively exceed 0.25 acre but less than
92Effective: January 3, 2022
- 0 acres of wetlands/open water, or that cumulatively exceed 100 LF but less than 1,500 LF of stream); or 3) Require an additional GP or reauthorization of a GP. This would be change(s) that cumulatively exceed 0.25 acre of wetlands/open water or 100 LF.
Exceedances that would be equivalent to or less than a minor modification of an IP X under 9 VAC 25-210-180(F) or a Notice of Planned Change under 9 VAC 25-690-80(B). Thresholds are cumulative increases in acreage of wetland or open water impacts up to 0.25 acre and cumulative increases in stream bed impacts up to 100 LF.
Line 1(c): Failure to perform or complete compensatory mitigation. - This line should be used to capture the failure to perform or complete compensation requirements required by the permit, e.g. purchase of wetland or stream credits, preservation, restoration or enhancement, or wetland creation.
Line 1(d): Failure to perform or complete corrective action relative to unsuccessful compensation (after the monitoring period has begun). - This line should be used when the Responsible Party fails to implement corrective action to ensure compensation meets no net loss.
Line 1(e): Failure to conduct compensation monitoring or water quality monitoring. -This line should be used when the Responsible Party fails to perform the affirmative act of monitoring or the totality of the circumstances indicates that the monitoring has not been conducted. Not to be used in place of 1(l) but in conjunction with it.
Line 1(f): Failure to conduct construction monitoring. - See, 1(e) above.
Line 1(g): Failure to submit preconstruction notice.
Line 1(h): Failure to submit plans and specifications prior to commencing construction.
Line 1(i): Unauthorized impacts to wetlands and/or streams (wetlands and streams will be assessed separately).
i. This line should be used when the Responsible Party has discharged pollutants to state waters (wetlands or streams) per occurrence in order to assess a civil charge for the harm to the environment, and should be used in conjunction with 1(a) or 1(b) which captures the harm to the regulatory program. ii. Where the discharge of pollutants is a result of, but not limited to, the failure of E&S controls and unattenuated stormwater, failure to stabilize
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disturbed lands, or the failure and/or inadequate use of BMP’s, this violation should be used without assessing line 1(a) or line 1(b).
Line 1(j): Failure to comply with permit special conditions - This line should be used when the Responsible Party has failed to comply with permit special conditions including, but not limited to, storm water management; E&S controls; flagging non-impact areas; restoring temporary impacts; working in the dry time-of-year restrictions; maintain minimum instream flow; operating equipment in streams; discharge of concrete to waters; etc.
Line 1(k): Failure to submit a complete, final compensation plan –Not to be used with 1(h) or 1(l).
Line 1(l): Records or reporting violations - This line should be used, but is not limited to, when the RP has failed to: record easements (other than 1(c)); certify reports; submit complete construction, mitigation, or water quality monitoring reports; submit as-built surveys; notify of permit transfer, etc.
Line 1(m): Failure to Report: Failure to notify DEQ of unpermitted discharge/fill to state waters. This can be assessed for failing to notify within 24 hours upon learning of the discharge or for the RP failing to submit the 5-day follow letter.
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VWPP Civil Charge Worksheet Va. Code §§ 62.1-44.15:20 through -44.15:23 Permittee/Responsible Party Reg. No. Date Potential for Harm NOV (Environmental Harm and Severity) Observation # Serious Moderate Marginal Amount
- Gravity Factors – Surface Water and Wetlands (Severity and Environmental Harm) Violations and Frequency $ (x) occurrences $ (x) occurrences $ (x) occurrences (Comments) a. Failure to obtain coverage under an Individual Permit (IP) or a General Permit (GP) prior to 6,615 (x) ___ 2,646 (x) ___ 1,323 (x) ___ commencing activity b. Exceeding coverage authorized under an IP or 6,615 (x) ___ 2,646 (x) ___ 1,323 (x) ___ GP c. Failure to perform or complete compensatory 26,549 (x) ___ 13,229 (x) ___ 6,615 (x) ___ mitigation d. Failure to perform or complete corrective action 13,229 (x) ___ 6,615 (x) ___ 2,600 (x) ___ relative to unsuccessful compensation. e. Failure to conduct compensation monitoring or 6,615 (x) ___ 2,646 (x) ___ 1,323 (x) ___ water quality monitoring f. Failure to conduct construction monitoring 6,615 (x) ___ 2,646 (x) ___ 1,323 (x) ___ g. Failure to submit preconstruction notice 13,229 (x) ___ 6,615 (x) ___ 2,646 (x) ___ h. Failure to submit plans and specifications prior 6,615 (x) ___ 2,646 (x) ___ 1,323 (x) ___ to commencing construction i. Unauthorized impacts to wetlands and/or streams (wetlands and streams will be assessed 26,5490 (x) ___ 13,229 (x) ___ 6,615 (x) ___ separately) j. Failure to comply with permit special conditions 6,615 (x) ___ 2,646 (x) ___ 1,323 (x) ___ k. Failure to submit a complete, final 6,615 (x) ___ 2,646 (x) ___ 1,323(x) ___ compensation plan l. Record or reporting violations (not otherwise 2,646 (x) ___ 1,323 (x) ___ 712 (x) ___ specified) m. Failure to report a discharge 13,000 (x) ___ 6,615 (x) ___ 1,323 (x) ___
Violations and Frequency Subtotal
- Aggravating Factors (Severity and Compliance History)
a History of Noncompliance Order or decree in another media program within If yes, add lesser of 0.05 (x) Violations and Frequency Y N 36 mo. before initial NOV Subtotal, or $5,000 Order or decree in same media program within 36 If yes, add 0.5 (x) Violations and Frequency Subtotal (for 1 Y N mo. before initial NOV order in 36 mo.) b Degree of Culpability(apply to violation(s)’ Moderate = Serious = (x) Amount or to the Violations and Frequency Low = (x) 0 High = (x) 1.0 (x) 0.25 0.5 Subtotal)) c. Natural gas transmission pipeline greater than 36 inches inside diameter (special order under § 62.1- Y N If yes, add 0.5 * 1 Violations and Frequency Subtotal 44.15(8g)) Aggravating Factor Subtotal
Gravity-Based Component Subtotal (1+2)
- Economic Benefit of Noncompliance (Economic Benefit)
- Ability to Pay (Ability to Pay) ( )
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APPENDIX A
CIVIL CHARGE ADJUSTMENT FORM
(FOIA-exempt until after a proposed sanction resulting from the investigation has been proposed to the Director of the agency (i.e., public notice (Water or Waste) or presentation for DEQ execution (Air))
Responsible Party/Facility Permit/Registration Enforcement NOV Date Name Action No.
Amount Total Civil Charge including Economic Benefit $
- Adjustment of 30% or less a. Cooperativeness/Quick Settlement $
b. Promptness of Injunctive Response/Good Faith Effort to Comply $ c. Air Programs only – Statutory Judicial Considerations $ (See, Chapter 4) d. Water and Land Protection/Remediation Programs only – $ Size/Type/Sophistication of the Owner/Operator
- Adjustments over 30% - Requires Director of Enforcement Approval a. Problems of Proof $ b. Impacts or Threat of Impacts (or Lack Thereof) to Human Health or $ the Environment c. Precedential Value of the Case $ d. Probability of Meaningful Recovery of a Civil Charge $
e. Litigation Potential $
- Total Adjustments from Section 1 and Section 2 $
- Increase for continuing or uncorrected violations, economic benefit $ from delay
- Adjusted Total Civil Charge $
Reasoned Analysis:
Enforcement specialist: __________ Date _____ _
Regional Office Enforcement Manager: _______ ___ Date ______
Director of Enforcement: __________ Date ____ __ (Only required if the Adjustment requested is over 30%)
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Vegetative Waste Burning at Closed LandfillsDoc ID: Vegetative
COMMONWEALTH OF VIRGINIA Department of Environmental Quality ______________________________________________________________________________
Subject: Waste Guidance Memo No. 01-2007 Vegetative Waste Burning at Closed Landfills
To: Regional Air Compliance Managers, Regional Waste Program Managers
From: Karen Jackson Sismour Director, Waste Division
Date: January 10, 2007
Copies: Richard F. Weeks, James Golden, Regional Directors
Summary:
The Code of Virginia, § 10.1-1410.3, directs the Department of Environmental Quality to develop policies and procedures to allow for the infrequent burning of vegetative waste at permitted landfills that have ceased accepting wastes but have not been released from post-closure care. Currently, the air and waste regulations allow for infrequent open burning at local landfills. This guidance is needed to clarify the amounts and types of materials that may be burned, frequency of burning, and length of burning.
Facilities can conduct open burning provided the guidance is followed, including plans and prior DEQ notification. No permit or prior approval is required from DEQ. Landfills may amend their Operations Manual to include open burning as an approved activity. Approval from the local government and fire marshal; site security plan; Emergency/Contingency plan; site maps; and storage and ash management plan will be required in the Operations Manual.
Electronic Copy:
An electronic copy of this guidance is available on DEQ’s website at http://www.deq.virginia.gov/ .
Contact Information:
Please contact Virginia Butler at (804) 698- 4053 or vabutler@deq.virginia.gov with any questions regarding the application of this guidance.
Disclaimer: This document is provided as guidance and, as such, sets forth standard operating procedures for the agency. Nothing in this guidance shall be construed to prohibit a city or locality from exercising its authority to regulate open burning at closed landfills by requiring permits or approvals. All burning must comply with federal, state, and local laws and ordinances.
1 OPERATING BURN PITS AT CLOSED LANDFILLS Introduction
§10.1-1410.3 of the Code of Virginia requires the Department of Environmental Quality to develop the policies and procedures for the burning of vegetative waste at landfills that have ceased accepting waste but have not been released from post-closure care requirements. The Code requires that this guidance include:
- limits to the amount of vegetative waste that may be burned,
- types of materials that may be burned,
- frequency of the burning,
- length of time the burning occurs,
- measures to ensure the protection of public health and the environment, and
- evaluation of alternatives.
Currently, the Air Regulations (9VAC5-40-5630 A 10) and the Solid Waste Management Regulations (9VAC20-80-250 C 8) allow for infrequent open burning at local landfills. The Vegetative Waste Management and Yard Waste Composting Regulations, 9VAC20-101-140, prohibit open burning on composting facility property.
Definitions
The following terms are defined under 9VAC 20-80-10: "Clean wood" means uncontaminated natural or untreated wood. Clean wood includes but is not limited to by-products of harvesting activities conducted for forest management or commercial logging, or mill residues consisting of bark, chips, edgings, sawdust, shavings or slabs. It does not include wood that has been treated, adulterated, or chemically changed in some way; treated with glues, binders, or resins; or painted, stained or coated.
"Closed facility" means a solid waste management facility which has been properly secured in accordance with the requirements of this chapter.
"Debris waste" means wastes resulting from land clearing operations. Debris wastes include, but are not limited to stumps, wood, brush, leaves, soil, and road spoils.
"Facility" means solid waste management facility unless the context clearly indicates otherwise.
"On-site" means the same or geographically contiguous property, which may be divided by public or private right-of-way, provided the entrance and exit to the facility are controlled by the owner or the operator of the facility. Noncontiguous properties owned by the same person, but connected by a right-of-way which he controls and to which the public does not have access, are also considered on-site property.
"Open burning" means the combustion of solid waste without:
A. Control of combustion air to maintain adequate temperature for efficient combustion;
B. Containment of the combustion reaction in an enclosed device to provide sufficient residence time and mixing for complete combustion; and
C. Control of the combustion products' emission.
"Post-closure" means the requirements placed upon solid waste disposal facilities after closure to ensure environmental and public health safety for a specified number of years after closure. 2"Solid waste boundary" means the outermost perimeter of the solid waste (vertical projection on a horizontal plane) as it would exist at completion of the disposal activity within the facility boundary.
"Storage" means the holding of waste, at the end of which the waste is treated, disposed, or stored elsewhere.
"Vegetative waste" means decomposable materials generated by yard and lawn care or land clearing activities and includes, but is not limited to, leaves, grass trimmings, woody wastes such as shrub and tree prunings, bark, limbs, roots, and stumps. For more detail see 9VAC20-101.
Facility requirements for burning Permitted landfills that have ceased accepting waste, but have not been released from post-closure care may amend their Operations Manual to include open burning as an approved activity. The following items must be included in the facility’s Operations Manual:
- documentation of local government approval that open burning is in accordance with local land use, zoning, and local ordinances;
- approval from the fire marshal or local fire department for the occasional burning of vegetative waste;
- approval from the local office of the Virginia Forestry Division;
- expected burn frequency and amounts;
- an Emergency/Contingency Plan that includes open burning;
- site security plan;
- site map of facility showing set backs from the burn site to the waste footprint, landfill property boundaries, and gas flare and blower if the landfill is extracting gas;
- waste storage and ash management plan;
- documentation of alternatives considered; and
- recordkeeping of date of burning activity and total amount of waste burned.
Set backs from the burn site to the waste footprint, gas flare and blower for landfills extracting gas, landfill property boundary, and any structures on-site shall be approved by the local fire marshal.
Burning cannot take place on land that has been filled and covered so as to prevent an underground fire hazard due to the presence of methane gas (9VAC 5-40-5630 A 10 and 9VAC20-80-250 C 8).
Frequency of burning Facilities may burn no more than 5 days per quarter; the 5 days may be consecutive. A quarter is one of the three-month intervals: January – March, April – June, July – September, and October – December. It is permissible for a facility to burn up to 10 consecutive days (i.e. burn the last 5 days of March and the first 5 days of April.) The maximum number of burn days annually (January 1 to December 31) is 20 days.
Facilities located in an Emission Control Areas shall not burn from May 1 – September 30 per Article 40 (Emission Standards for Open Burning, Rule 4-40), Part II, 9 VAC5-40-5630. Emission Control Areas include:
Northern Virginia Emissions Control Area: Arlington County, Fairfax County, Loudoun County, Prince William County, Stafford County, Alexandria City, Fairfax City, Falls Church City, Manassas City and Manassas Park City.
Hampton Roads Emissions Control Area: Gloucester County, Isle of Wight County, James City County, York County, Chesapeake City, Hampton City, Newport News City, Norfolk City, Poquoson City, Portsmouth City, Suffolk City, Virginia Beach City and Williamsburg City.
3Richmond Emissions Control Area: Charles City County, Chesterfield County, Hanover County, Henrico County, Prince George County, Colonial Heights City, Hopewell City, Petersburg City and Richmond City.
Western Virginia Emissions Control Area: Botetourt County, Frederick County, Roanoke County, Roanoke City, Salem City and Winchester City.
Fredericksburg Emissions Control Area: Spotsylvania County and Fredericksburg City.
For more detail on Emissions Control Areas see 9VAC5-20-206.
Facilities located in emissions control areas will be able to burn for a maximum of 15 days per year.
They may burn during the first and fourth quarter and only during April in the second quarter. No burning is allowed in the third quarter.
Amount of waste that may be burned
The amount of waste that can be stored at a facility is site specific. The amount of vegetative waste that may be burned shall not exceed the annual tonnage that can be stored on-site at a facility on an annual basis. Storage of combustible waste shall not produce conditions that will create a nuisance or a hazard to the public health, safety, or welfare.
Length of burning time
Length of burning time shall be conducted according to all local laws and ordinances specified by the local government where the facility is located. During the period February 15 through April 30, the 4:00 p.m. Burning Law, Section 10.1-1142 of the Code of Virginia, must be observed unless an exemption is granted from the Virginia Department of Forestry.
Types of waste that may be burned
The following types of waste may be burned: clean wood, debris waste, unadulterated wood, vegetative waste, and yard waste. Each of these terms is defined in the definition section.
Burning conditions and guidelines
To ensure protection of public health and the environment:
- All burning must comply with federal , state, and local laws and ordinances;
- The Air Compliance Manager at the DEQ Regional Office must be notified at least twenty-four hours in advance of the date and time of the burning;
- A permit shall be obtained from the local fire marshal;
- A permit/approval shall be obtained from the local office of the Virginia Forestry Division;
- All material to be burned shall be dry and in a condition that sustains good combustion and minimizes smoke;
- Fires must be attended by landfill personnel at all times during burning and until completely extinguished. Smoldering is not allowed;
- No burning shall be conducted during unfavorable meteorological conditions such as high winds, air stagnation, a pollution alert or air quality action day and/or air quality health advisory has been declared;
4 • The burning shall be extinguished when the emission of smoke, ashes, dust, dirt, odors or any other substance creates a threat to public health, a nuisance, a pollution problem, a fire hazard, or impairs visibility on traveled roads or at airports; and
- Adequate firefighting equipment shall be on-site for extinguishing purposes during burning times.
Alternatives
Facilities that elect to open burn vegetative waste shall consider alternative methods for managing vegetative waste. Vegetative waste can be used to create quality compost, mulch and wood chips.
Sending vegetative wastes off-site for recycling or further management shall also be considered. The facility shall consider only burning debris generated in the area/locality served by that facility or service authority.
Additional Information as attachments or web links
Solid Waste Regulations www.deq.virginia.gov/waste/wasteregs.html
Air Regulations www.deq.virginia.gov/air/regulations/airregs.html
Department of Housing and Community Development – Division of Building and Fire Regulation www.dhcd.virginia.gov
State Fire Marshal Regional Office Contact List www.dhcd.virginia.gov/State_Fire_Marshal/Regional%20Office%20Contact%20List.htm
Local Fire Officials Contact List www.dhcd.virginia.gov/State_Fire_Marshal/Local%20Fire%20Officials.htm
Virginia Department of Forestry www.dof.virginia.gov
4:00 p.m. Burn Law www.dof.virginia.gov/fire/4pm-law.shtml
5
Solid Waste Permit Submission ProceduresDoc ID: Submission
SOLID WASTE PERMITTING
SUBMISSION INSTRUCTION NO. 10
PROCEDUREAL REQUIREMENTS FOR PERMITS-BY-RULE
Developed by:
Virginia Department of Environmental Quality Office of Waste Permitting and Compliance 629 East Main Street Richmond, Virginia 23219
V. 01/2012Solid Waste Permitting Submission Instruction No. 10
TABLE OF CONTENTS
I. APPLICABILITY ................................................................................................................................ 3
II. PRE-APPLICATION STEPS ............................................................................................................ 3
A. PRE-APPLICATION MEETING ................................................................................................................................... 3
B. PUBLIC PARTICIPATION STEPS ................................................................................................................................. 3
III. SUBMISSION REQUIREMENTS .................................................................................................... 4
A. NOTICE OF INTENT ................................................................................................................................................ 4
- Cover Letter ................................................................................................................................................ 4
- Disclosure Statement ................................................................................................................................. 4
- Local Government Certification ................................................................................................................. 4
B. CERTIFICATION OF SITING STANDARDS ...................................................................................................................... 5
C. CERTIFICATION OF CONSISTENCY WITH THE LOCAL SOLID WASTE MANAGEMENT PLAN ...................................................... 5
D. CERTIFICATION OF OPERATIONS MANUAL ................................................................................................................. 5
E. P.E. CERTIFICATION .............................................................................................................................................. 5
F. DEMONSTRATION OF LEGAL CONTROL ...................................................................................................................... 6
G. SCC CERTIFICATION .............................................................................................................................................. 6 H. CLOSURE COST ESTIMATES & PROOF OF FINANCIAL RESPONSIBILITY .............................................................................. 6
I. RESULTS OF PUBLIC PARTICIPATION ......................................................................................................................... 7
J. FACILITY SPECIFIC INFORMATION ............................................................................................................................. 7
K. PERMIT APPLICATION FEE ...................................................................................................................................... 7
IV. PERMIT-BY-RULE MODIFICATIONS .......................................................................................... 8
A. CHANGE OF OWNERSHIP ....................................................................................................................................... 8
B. FACILITY MODIFICATIONS ....................................................................................................................................... 8
- Notice of Intent .......................................................................................................................................... 8
- Certification of Consistency with Local SWMP ........................................................................................... 8
- For Design Modifications ........................................................................................................................... 8
- For Operational Modifications ................................................................................................................... 9
- Additional Information Not Previously Supplied ........................................................................................ 9
- Permit Modification Fee ............................................................................................................................. 9
ATTACHMENT 1 ................................................................................................................................... 10
ATTACHMENT 2 ................................................................................................................................... 12
V. 01/2012 Page 2Solid Waste Permitting
Submission Instruction No. 10
I.
APPLICABILITY Applicants for a permit to operate a compost facility; solid waste transfer station; materials recovery facility; waste to energy, thermal treatment, or incineration facility; waste pile; or centralized waste treatment facility may apply for a Permit-by-Rule in lieu of a full solid waste permit, as discussed in Submission Instruction No. 1: Procedural Requirements for a New or Modified Solid Waste Management Facility (SWMF) Permit Application.
This submission instruction does not address the submission requirements for a Permit-by-Rule application under the Regulated Medical Waste Management Regulations (9 VAC 20-120) or the Transportation of Solid and Medical Wastes on State Waters (9 VAC 20-170).
II.
PRE-APPLICATION STEPS A. Pre-Application Meeting A pre-application meeting is not mandatory, but can be used to identify potential regulatory requirements that may be applicable to the project, any changes to the project because of statute changes that are not reflected in the regulations, or any other matter. This meeting is also an opportunity to discuss any applicable guidance that has been published or is in draft form; to identify out of the ordinary or innovative design features or unique circumstances that require special consideration; to determine the need to obtain variances, exemptions, approval of alternates, or functionally equivalent design issues, in addition to discussing required permit fee, timelines for permit processing and input with respect to potential challenges, pitfalls or constraints that may be associated with the project. If the applicant wishes to set up a pre-application meeting, please contact the DEQ Regional Office responsible for the proposed location of the facility.
B. Public Participation Steps {These steps do not apply to proposed materials recovery facilities or waste to energy, thermal treatment, or incineration facilities that received a permit from the Department based on the regulations promulgated by the State Air Pollution Control Board or State Water Control Board that required facility-specific public participation procedures.} The public comment steps must be completed prior to initiating construction of the proposed facility and include: (1) publishing a notice once a week for two consecutive weeks in a major local newspaper of general circulation of the intent to construct and operate the facility eligible for a Permit-by-Rule; (2) placing a copy of supporting documentation in a location accessible to the public (such as a public library); (3) holding a public meeting no earlier than 14 days after publication of the first public notice; and (4) providing for a 30-day comment period. An example
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Submission Instruction No. 10 public notice is provided in Attachment 1. [Code of Virginia §10.1-1408.1 B.4.; 9VAC20-81-410.A.3. and 450.B.4.] {If the application is for a transfer station owned/operated by the local government or public authority} In addition to the above steps, the public participation steps shall include the formation of a citizen’s advisory group in accordance with Code of Virginia § 10.1-1408.1. B.5. No public participation is necessary for local governments or public authorities proposing to locate a new transfer station on land where a sanitary landfill is already located.
III. SUBMISSION REQUIREMENTS Applicants for a Permit-by-Rule should fill out DEQ Form SW PBR provided in Attachment 2 to include with the required submission items identified below.
A. Notice of Intent
- Cover Letter Submit a letter to the Regional Director describing the desired permit, the precise location of the proposed facility, and the intended use of the facility. The applicant shall provide area and site locations maps as attachments to this letter.
The site location map should identify both the property and facility boundaries and should be drawn to scale. Use of USGS/topographic maps, local property maps, and internet mapping programs should be considered. [9 VAC 20-81-450.B.1.]
- Disclosure Statement Provide a signed and notarized DEQ Form DISC-01 and DEQ Form DISC-02 for each key personnel identified on DISC-01. [9 VAC 20-81-450.B.2.] These forms are available on the DEQ Website: http://www.deq.virginia.gov/Portals/0/DEQ/Land/Guidance/formdisc01.pdf http://www.deq.virginia.gov/Portals/0/DEQ/Land/Guidance/formdisc02.pdf The Disclosure Statement should identify those key personnel who have obtained a Waste Management Facility Operators License as required by the Code of Virginia §10.1-1408.2 B., which states all solid waste management facilities shall be operated under the direct supervision of a waste management facility operator licensed by the Board for Waste Management Facility Operators. Information on training and licensing can be found on the Board’s website: http://www.dpor.virginia.gov/Boards/WMFO/.
- Local Government Certification Provide a signed DEQ Form SW-11-1. The form has three signature blocks: one for the applicant, one for a local solid waste planning district representative certifying
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Submission Instruction No. 10 consistency with the local Solid Waste Management Plan and one for a local government representative certifying consistency with all local ordinances. The last two blocks may be completed and signed by the same local government representative if applicable. [Code of Virginia §10.1-1408.1 B.9.; §9 VAC 20-81- 450.B.3.] This form is available on the DEQ Website: http://www.deq.virginia.gov/Portals/0/DEQ/Land/Forms/localcert.pdf If the proposed location is not governed by any county, city, or town zoning ordinance, the application shall provide a certification from the local governing body that it held a public hearing in accordance with §15.2-2204. [Code of Virginia §10.1-1408.1 B.3.] B. Certification of Siting Standards Provide a statement signed by the applicant that the facility meets the siting standards, as applicable, of 9 VAC 20-81-320. Should the facility not meet one or more of the applicable siting standards, the facility shall apply for a variance in accordance with Part VIII of the VSWMR (9 VAC 20-81-700 through 760). [9 VAC 20-81-410.A.2.b.] C. Certification of Consistency with the Local Solid Waste Management Plan DEQ Form SW-11-1 (see Section III.A.3. above) includes a separate certification box for the locality to indicate whether the facility is consistent with the local Solid Waste Management Plan (SWMP). [Code of Virginia §10.1-1408.1 Q.; 9 VAC 20-81-410.A.2.c.] D. Certification of Operations Manual Provide a statement signed by the applicant that the facility has prepared an Operations Manual addressing the applicable standards of 9 VAC 20-81-340. This Operations Manual is not a part of the Permit-by-Rule and is to be maintained in the facility’s operating record and updated as necessary. Additional information on the Operations Manual requirements can be found in Waste Guidance Memo 01-2011A: Implementation of New Operations Manual Requirements. [9 VAC 20-81-410.A.2.d.] E. P.E. Certification Provide a statement signed by a professional engineer licensed in the Commonwealth that:
- The facility has been designed and constructed in accordance with the standards, as applicable, of 9 VAC 20-81-330. For Materials Recovery Facilities and Waste to Energy/Incineration Facilities, this certification shall be accompanied by a Design Description Manual containing the information specified under 9 VAC 20-81-330.D.12. and 9 VAC 20-81-330.E.11., respectively.
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Submission Instruction No. 10
- The facility has prepared a Closure Plan that meets the applicable standards of 9 VAC 20-81-360. This Closure Plan is to be maintained in the facility’s operating record and updated as necessary. [9 VAC 20-81-410.A.2.e.] F. Demonstration of Legal Control Provide a copy of deed, lease, or other certification of ownership of the proposed site. [9 VAC 20-81-410.A.2.f.] G. SCC Certification {This certification is not required for those facilities owned solely by governmental units.} Provide the Certification of Incorporation and either a Certificate of Good Standing (for corporations) or a Certificate of Fact (for LLCs) from the State Corporation Commission (SCC) for the designated owner and/or operator as indicated on the Disclosure Statement (see Section III.A.2). The certified business entity should be listed as the applicant, principal, insured, or grantor on the financial assurance mechanism provided (see Section III.H. below). [9 VAC 20-81-410.A.2.g. and 450.B.10.] H. Closure Cost Estimates & Proof of Financial Responsibility All facilities except for those owned and operated by State or Federal Agencies shall demonstrate financial assurance for closure, post-closure, and/or corrective action costs in accordance with the Financial Assurance Regulations for Solid Waste Disposal, Transfer, and Treatment Facilities (9 VAC 20-70). [9 VAC 20-81-480.C.]
The amount of financial assurance shall cover the estimated cost to close the facility at the point in the facility's active life when the extent and manner of its operation would make closure the most expensive. The closure cost estimate should include costs associated with removal of solid waste and leachate/wastewater remaining on site at closure; decontamination of equipment, containers, and/or structures; testing to ensure the facility has not contaminated underlying soils and/or groundwater (if contamination of underlying soils or groundwater is anticipated); and any other potential costs associated with closing the facility. These costs and how they are calculated may vary depending on the type and design of the solid waste management facility proposed.
See Guidance Memo 04-2011: Financial Assurance for Stockpiles of Materials for Beneficial Use or Other Uses regarding the need for financial assurance to cover stockpiles of materials with beneficial uses. This guidance does not apply to the storage of less than 20 cubic yards of material prior to its removal from the SWMF for beneficial use, recycling, or further recovery.
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Submission Instruction No. 10 Once the closure cost estimate is approved and prior to the acceptance of waste, the applicant must submit a financial assurance mechanism in the amount of the approved cost estimates. See Submission Instruction No. 9: Requirements for Financial Assurance Mechanisms for detailed instructions regarding the Financial Assurance Documentation to be submitted in this Attachment.
I. Results of Public Participation Provide a statement summarizing the steps taken by the applicant to seek public comments as described in Section II.B. above, in addition to a copy of the public notice and a record of the public meeting. [9 VAC 20-81-410.A.2.i, 410.A.3., and 450.B.4.] J. Facility Specific Information
- Compost Facilities: Provide a description of the type of facility (Type A or B) and the classification of materials that will be composted. This information can be specified on DEQ Form SW PTB in lieu of providing a separate attachment. [9 VAC 20-81-410.A.2.j.(1)]
- Waste Piles: Provide a copy of the VPDES permit issued, if applicable. [9 VAC 20-81-410.A.2.j.(2)]
- Waste to Energy, Thermal Treatment, or Incineration Facilities or Materials Recovery Facilities engaged in reclamation of petroleum contaminated materials: a. Provide a copy of the air permit issued in accordance with the regulations promulgated by the State Air Pollution Control Board; and b. Provide a description of how the requirements of 9 VAC 20-81-660 will be met. [9 VAC 20-81-410.A.2.j.(3)] K. Permit Application Fee Submit a check, draft, or postal money order made payable to the Treasurer of Virginia for the required permit application fee in accordance with the Solid Waste Management Facility Permit Action Fees and Annual Fees regulation (9 VAC 20-90) to DEQ Accounts Receivable, P.O. Box 1104, Richmond, Virginia 23218. A copy of the check (with account and routing numbers blacked out), draft, or postal money order should accompany the permit application submitted to the DEQ Regional Office.
Applications not accompanied by the proper fee or containing insufficient fees will be considered incomplete and shall not be processed by the Department. [9 VAC 20-81-410.A.2.k.]
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Submission Instruction No. 10
IV.
PERMIT-BY-RULE MODIFICATIONS A. Change of Ownership Should the property owner change while the facility is still operational, the new owner shall notify the Department of the sale and submit the items discussed in Section III above. Once Financial Assurance has been established by the new owner and a complete application has been submitted, the Department will deem the new owner to be operating under Permit-by-Rule status and the former owner will be released from its closure and financial assurance responsibilities. [9 VAC 20-81-410.A.5.] B. Facility Modifications A PBR modification is required for any facility modification that impacts design and/or operation. If there is confusion over whether the facility’s proposed modification requires a PBR modification, contact the Land Protection Program Manager or Solid Waste Permit Writer in the DEQ Regional Office responsible for the locality in which your facility is located. The following discussion pertains to the submission and processing of PBR modification applications. Keep in mind that at the time of application, the facility’s PBR shall be brought up to date with all current regulatory requirements; this may require submittal of additional items under 9 VAC 20-81-410.A. which were not previously required at the time of initial PBR submittal.
The PBR Modification application should include a completed DEQ Form SW PBR provided in Attachment 2 and the submission items identified below.
- Notice of Intent The facility shall submit a letter (1) stating the precise location and intended use of the facility; (2) describing the exact change to be made to the permit conditions and supporting documents referenced by the permit; (3) explaining why the modification is needed; and (4) attaching area and site location maps. [9 VAC 20-
81-450.B.]
- Certification of Consistency with Local SWMP PBR Modification applications shall contain certification from the local governing body that the facility modification is consistent with the solid waste management plan developed and approved pursuant to §10.1-1411. This requirement can be satisfied by supplying a signed DEQ Form SW-11-1 (see Section III.A.3. and III.C.) or providing a letter acknowledging SWMP Consistency from the solid waste planning district. [§10.1-1408.1 Q]
- For Design Modifications Prior to initiating any design modifications, the applicant shall follow the public participation steps as outlined in Section II.B. With the Permit-by-Rule Modification application, the applicant shall provide (1) new certifications for items discussed in Sections III.B. through III.E. above, as applicable; (2) revised
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Submission Instruction No. 10 closure cost estimates and proof of financial responsibility if the modification affects closure costs; and (3) a summary of public participation effort as discussed in Section III.I. [9 VAC 20-81-410.A.2. and 410.A.6.]
- For Operational Modifications With the Permit-by-Rule modification application, the applicant shall provide (1) new certifications for items discussed in Sections III.B. through III.E. above, as applicable; and (2) revised closure cost estimates and proof of financial responsibility if the modification affects closure costs. [9 VAC 20-81-410.A.2. and
410.A.6.]
- Additional Information Not Previously Supplied a. Demonstration of Legal Control – see Section III.F. Only required if not already provided in the PBR.
b. SCC Certification – see Section III.G. The applicant shall provide either an updated Certificate of Good Standing (for corporations) or a Certificate of Fact (for LLCs) from the State Corporation Commission (SCC) for the designated owner and/or operator if one has not been previously submitted to the Department (either to the Office of Financial Assurance or the Regional Office) within the last year (365 days).
c. Facility Specific Information – see Section III.J. Only required if not already provided in the PBR.
- Permit Modification Fee Submit a check, draft, or postal money order made payable to the Treasurer of Virginia for the required permit application fee in accordance with the Solid Waste Management Facility Permit Action Fees and Annual Fees regulation (9 VAC 20-90) to DEQ Accounts Receivable, P.O. Box 1104, Richmond, Virginia 23218. A copy of the check (with account and routing numbers blacked out), draft, or postal money order should accompany the permit application submitted to the DEQ Regional Office. Applications not accompanied by the proper fee or containing insufficient fees will be considered incomplete and shall not be processed by the Department.
[9 VAC 20-81-410.A.6.]
V. 01/2012
Page 9 Solid Waste Permitting Submission Instruction No. 10
Attachment 1
Example Public Notice
V. 01/2012 Page 10Solid Waste Permitting
Submission Instruction No. 10
PUBLIC PARTICIPATION FOR SOLID WASTE PERMIT-BY-RULE FACILITY
In accordance with Virginia Solid Waste Management regulations 9 VAC 20-81-410.A.3. and 9 VAC 20-81-450.B.4., citizens may comment on a permit-by-rule application for a {solid waste management facility type} to be located at {address or major intersection}.
COMMENT PERIOD: {date range}
NAME AND ADDRESS OF APPLICANT: {Facility name, address}. The facility is owned and operated by {Owner Name, Operator Name}.
PUPOSE OF NOTICE: The purpose of this notice is to allow the public to comment on a proposed {solid waste management facility type}, which will operate under a permit-by-rule to be issued by the Virginia Department of Environmental Quality after public comments are received.
PROJECT DESCRIPTION: The facility is located {provide location description}. The facility will accept {list waste materials to be accepted/processed and add a general description of facility operations}.
TO REVIEW THE PERMIT APPLICATION: A copy of the permit-by-rule application document is available for review at the {location and address}.
HOW TO COMMENT: Written comments may be submitted at any time during the comment period {provide owner/operator contact info}. Comments must include the name and address of the person commenting as well as a brief statement regarding the interest of the person commenting and how the operation of the facility may affect the citizen. Oral and written comments will be received at a public meeting to be held at {time} on {date} at the {public meeting location and address}.
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Attachment 2
Permit-by-Rule Application Form (DEQ SW PBR)
http://www.deq.virginia.gov/Portals/0/DEQ/Land/Forms/PBR_App_Form.pdf
V. 01/2012 Page 12 Solid Waste Management Facility PBR Application Form New Facility PBR Modification
I. FACILITY INFORMATION
A. Facility Location Permit No. PBR Facility Name: Address: City: State: Zip: Latitude: Deg Min Sec North Longitude: Deg Min Sec West
B. Facility Contact Information Contact Person: Title: Contact Phone: E-mail:
Owner Operator: Address: Address: City: State: Zip: City: State: Zip:
II. OPERATIONAL INFORMATION
A. Facility Type and Capacity Compost Facility: Type A or Type B Feedstocks: Category I Category II Category III Category IV Facility Type: Centralized Waste Treatment Facility Transfer Station (check all Incineration Facility Waste Pile that apply) Materials Recovery Facility Waste to Energy Facility Thermal Treatment Facility Total Property Acreage: acres Facility Boundary: acres Storage Solid waste: cubic yards Process Rate: tons per day Capacity: Recovered material: cubic yards Hours of Operation:
B. Types of Wastes to be Accepted (check all that apply)
Agricultural Waste Debris Waste Municipal Solid Waste
Animal Carcasses Demolition Waste Scrap Metal
Asbestos, friable Fossil Fuel Combustion Products Single Stream Recyclables
Asbestos, non-friable Household Hazardous Waste Sludge, industrial
Ash, non CCB/FFCP Household Waste Sludge, POTW
Commercial Waste Industrial Waste Vegetative Waste
Construction Waste Institutional Waste Waste Tires, Storage: cy
Contaminated Soil Liquid Waste White Goods
Other Wastes, please list:
C. Wastewater/Leachate Management (check all that apply) Discharged directly to WWTP Transported by vehicle to offsite WWTP Treated onsite and discharged Other, please specify:
DEQ Form SW PBR Page 1 of 2III. PBR APPLICATION ATTACHMENTS The following items shall be provided as an attachment to this form, and will constitute the facility’s Permit-by-Rule Application. Please indicate whether each item is ‘provided’ or ‘not applicable’ to the proposed facility or facility modification.
Provided N/A A. Notice of Intent
- Area and Site Location Maps
- Disclosure Statement, DEQ Forms DISC-01 and DISC-02
- Local Government Certification and Solid Waste Management Plan Consistency Certification, DEQ Form SW-11-1 B. Certification of Siting Standards, 9 VAC 20-81-320 C. Certification of Operations Manual meeting standards of 9 VAC 20-81-340 D. P.E. Certification of Design/Construction Standards, 9 VAC 20-81-330 E. P.E. Certification of Closure Plan meeting standards of 9 VAC 20-81-360 F. Demonstration of legal control over the site G. State Corporation Commission Certification H. Closure Cost Estimate and Proof of Financial Assurance
I.
Public Participation Summary J. Copies of other DEQ Media Permits (Air, VPDES, etc.)
K. For facilities engaged in reclamation of petroleum-contaminated materials, a description of how the requirements of 9VAC20-81-660 will be met L. Permit Fee specified under 9 VAC 20-90
M. Variance Petition in accordance with 9 VAC 20-81-760 If provided, please indicate the regulatory citation for variance:
IV. RESPONSIBLE OFFICIAL SIGNATURE I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance with a system designed to assure that qualified personnel properly gather and evaluate the information submitted. Based on my inquiry of the person or persons who manage the system or those persons directly responsible for gathering the information, the information submitted is to the best of my knowledge and belief true, accurate, and complete.
Name: Title: Signature: Date: DEQ Form SW PBR
Page 2 of 2 Instructions for Completing DEQ Form SW PBR
DEQ Form SW PBR is required for all applicants seeking a Permit-by-Rule or those seeking a Permit-by-Rule modification under 9 VAC 20-81-410. This form is not suitable for facilities seeking a Permit-by-Rule or Permit-by-Rule modification under Regulated Medical Waste Management Regulations (9 VAC 20-120) or Transportation of Solid and Medical Wastes on State Waters regulation (9 VAC 20-170). These instructions are designed to assist solid waste management facilities with the completion of this form. The descriptions below are listed in the order as they appear on DEQ Form
SW PBR.
New Facility vs. PBR Modification: Check only one box. Check 'New Facility' box if this application is for a new facility, i.e. one that has not previously been assigned a Permit-by-Rule number. Check 'PBR Modification' box if this application is for a PBR modification, as defined under 9 VAC 20-81-410.A.6.
I. FACILITY INFORMATION A. Facility Location Permit No. PBR: If the application is for a new facility, leave this box blank. DEQ will assign a number to the facility.
If the application is for a PBR Modification, please indicate the PBR number assigned to the facility.
Facility Name: Enter the name of the facility as it should appear or as it currently appears on the existing PBR.
Address, City, State, and Zip: Provide the street address of the facility’s physical location (may be Rural Route/Box No. if 911 address is not available).
Latitude/Longitude: Provide coordinates in degrees-minutes-seconds indicating the facility’s location.
B. Facility Contact Contact Name, Title, Phone Number, and Email: Provide contact information for the person responsible for preparing the permit application. This person should be associated with the facility named. DEQ will consider the person listed as the main contact for correspondence relating to the permit application.
Owner Name, Address, and Phone: Provide name, address, and phone number of the legal owner of facility. Owner listed shall match SCC documentation provided with the NOI, if applicable.
Operator Name, Address, and Phone: Provide name, address, and phone number of the operator of facility, if different from the owner. Operator listed shall match SCC documentation provided with the NOI, if applicable.
II. OPERATIONAL INFORMATION A. Facility Type and Capacity Facility Type: Check the appropriate box(es) for the type(s) of solid waste management facilities to be covered by this Permit-by-Rule. For compost facilities, also indicate whether the compost operation will employ the Type A or Type B compost method and indicate which feedstocks will be composted. This will satisfy the requirement for additional information required of compost facilities under 9 VAC 20-81-410.A.2.j.(1).
Total Property Acreage: Provide the total property acreage owned by the Owner listed where the facility is located.
Facility Boundary: Indicate the area of the property where the permit-by-rule activity will occur (i.e. solid waste processing and storage activities). This measurement should be provided in square feet or acres.
Process Rate: Indicate the maximum rate of waste acceptance in tons/day for the facility. This rate is limited by the capabilities of equipment, personnel, and infrastructure.
Storage Capacity: Solid waste: This value should represent the maximum expected quantity of incoming solid waste to be stored prior to processing and maximum expected quantity of solid waste to be stored after completion of waste management activities. If solid waste will not be stored at the end of the working day, then the solid waste storage capacity should be zero.
Recovered Material: For facilities involved in material recovery, this value should represent the maximum expected quantity of recovered materials that will be stored prior to sending off-site for further treatment, disposal, or storage elsewhere.
Hours of Operation: Specify the facility’s hours of operation for all days of the week.
B. Types of Wastes to be Accepted: Mark all wastes that the facility anticipates accepting for management on site. Definitions for each waste type can be found in the Virginia Solid Waste Management Regulations (9 VAC 20-81). This section can be skipped for compost facilities since the feedstock categories were noted in the Facility Type box.
For facilities that will accept waste tires, indicate the maximum amount of waste tires that can be stored on site.
C. Wastewater/Leachate Management Check all applicable wastewater / leachate management options.
III. PBR APPLICATION ATTACHMENTS This list acts as a checklist for the Permit-by-Rule application. Please indicate whether the attachment is provided with the application. There are instances where some of the PBR application attachments are not applicable to a proposed facility. In these instances, please mark ‘N/A.’ Details on each of the attachments can be found in the DEQ Submission Instructions and 9 VAC 20-81-410.A.
If a Variance Petition is included with the application, indicate the regulatory citation for each variance requested.
IV. RESPONSIBLE OFFICIAL SIGNATURE This form must be signed by a responsible official. A responsible official is defined in the Virginia Solid Waste Management Regulations (9 VAC 20-81-10) as: “1. For a business entity, such as a corporation, association, limited liability company, or cooperative: a duly authorized representative of such business entity if the representative is responsible for the overall operation of one or more operating facilities applying for or subject to a permit. The authority to sign documents must be assigned or delegated to such representative in accordance with procedures of the business entity;
- For a partnership or sole proprietorship: a general partner or the proprietor, respectively; or
- For a municipality, state, federal, or other public agency: a duly authorized representative of the locality if the representative is responsible for the overall operation of one or more operating facilities applying for or subject to a permit. The authority to sign documents must be assigned or delegated to such representative in accordance with procedures of the locality.”
Virginia Waste Permit Modification GuidanceDoc ID: Scenarios
COMMONWEALTH OF VIRGINIA Department of Environmental Quality Subject: Waste Guidance Memo No. LPR-SW-01-2009
SCENARIOS UNDER WHICH A PART A MODIFICATION IS OR IS NOT REQUIRED To: Regional Waste Program Managers From: Leslie Beckwith '-/Director, Office of Financial Responsibility & Waste Programs Date: April 15, 2009, Updated July 10, 2018 Copies: Regional Land Protection Managers, Solid Waste Permit Coordinator, Regional Solid Waste Permit Writers Summary: This guidance provides the regulated community a multiple-scenario discussion regarding when a Part A modification is required for specific permit revisions to a solid waste permit. This guidance has been updated to reflect changes made to the Virginia Solid Waste Management Regulations, including recodification in 2011. This update also replaces the May 27, 2009, Clarification of "Expansion" and "Increase in Capacity" memo from James Golden.
Electronic Copy: An electronic copy of this guidance is available on Virginia's Regulatory Town Hall at http://townhall.virginia.gov/L/GDocs.cfm?boardid=119.
Contact Information: Please contact Kathryn Perszyk at (703) 583-3856 or Kathryn.Perszvk(%deq. Virginia, eov with any questions regarding the application of this guidance.
Disclaimer: This document is provided as guidance and, as such, sets forth standard operating procedures for the agency. However, it does not mandate any particular method nor does it prohibit any alternative method. If alternative proposals are made, such proposals should be reviewed and accepted or denied based on their technical adequacy and compliance with appropriate laws and regulations.
Guidance Memo No. 01-2009 Page 1 Scenarios Under Which a Part A Modification is or is not Required
I.
Introduction It has been confusing as to when applicants need to submit a Part A modification application for siting a lateral or vertical expansion of an existing landfill or an increase in capacity. The Virginia Solid Waste Management Regulations (VSWMR, 9 VAC 20-81-10 et seq.) include the information necessary to determine when a Part A modification application is required. However, the requirements of the Notice of Intent and Part A application can be unclear. The purpose of this guidance is to summarize the requirements of the VSWMR in a format that will assist applicants in determining when they need to submit a Part A modification application.
The following are scenarios under which a Part A modification application may or may not be required: (A) A brand new site (Green field) that is being proposed to be used as a landfill or a treatment and storage facility that is not covered by a Permit-by-Rule (PBR); (B) An existing landfill that is planning to expand the facility and waste management boundaries horizontally beyond the existing Part A approved facility and waste management boundaries; (C) An existing landfill that is planning to increase in capacity (airspace) by vertical expansion only (i.e. by lowering the base grade and/or increasing the final top elevation); (D) An existing landfill that is planning to increase the facility boundary laterally (i.e. adding more property to the facility) beyond the existing Part A approved facility boundary for the purpose of groundwater corrective action, gas migration and control, or other purpose which does not include an increase in the waste management boundary; (E) An existing landfill that is planning to decrease the facility boundary laterally for releasing a parcel or portion of a parcel from the existing Part A approved facility boundary to use it for other purposes; (F) An existing landfill that is planning to expand laterally on an unlined unit or a unit lined with a liner system that does not meet the current regulatory standards (piggybacking); and (G) An existing landfill that is planning to increase its daily disposal limit beyond that currently defined in the permit or permit documents.
Guidance Memo No. 01-2009 Page 2 The above scenarios are discussed individually in Section V of this guidance document. Other potential scenarios that are not presented in this guidance document will be evaluated on a case-by-case basis by the DEQ. Note that permit modifications that include the design of additional landfill units (i.e. phases or cells) within an approved Part A waste management boundary are unlikely to require a Part A modification as the modification is not considered an expansion or increase in capacity as discussed herein unless other scenarios listed above are proposed as part of the design.
II. Background This guidance has been created and revised in response to inquiries from the regulated community attempting to determine whether a Part A modification is necessary under various scenarios of expansion or increase in overall capacity. This guidance discusses several scenarios and their impact on the existing approved Part A application.
III. Authority In accordance with § 10.1-1408.4.A. of the Code of Virginia, before granting a permit which approves site suitability for a new municipal solid waste landfill, the Director shall determine, in writing, that the site on which the landfill is to be constructed is suitable for the construction and operation of such a landfill. In making his determination, the Director shall consider and address, in addition to such others as he deems appropriate, the following factors:
- Based on a written, site-specific report prepared by the VDOT, the adequacy of transportation facilities that will be available to serve the landfill, including the impact of the landfill on local traffic volume, road congestion, and highway safety;
- The potential impact of the proposed landfill on parks and recreational areas, public water supplies, marine resources, wetlands, historic sites, fish and wildlife, water quality, and tourism; and
- The geologic suitability of the proposed site, including proximity to areas of seismic activity and karst topography.
The applicant shall provide such information on these factors or others at the Director’s request.
In addition to the requirements contained in the Code of Virginia § 10.1-1408.1 and § 10.1-1408.4, as applicable, Part A applications must contain the information required in several sections of the regulations such as: § 9 VAC 20-81-450.B – Notice of Intent; § 9 VAC 20-81-460 – Part A application, which are applied to all types of landfills and treatment and storage facilities except those subsections that only apply to a specific type of facility; § 9 VAC 20-81-120 – Siting requirements is applied to sanitary, CDD, and industrial landfills either new or expansion areas; and Guidance Memo No. 01-2009 Page 3 § 9 VAC 20-81-320 – Siting requirements is applied to compost facilities, transfer stations, centralized waste treatment facilities, materials recovery facilities, waste to energy and incineration facilities, and waste piles.
Facilities eligible for coverage under a Permit-by-Rule are not required to submit a Part A application. Permit-by-Rule facilities must comply with § 9 VAC 20-81-410.A. If the facility seeking a Permit-by-Rule is a transfer station the applicant must also comply with the requirements of § 9 VAC 20-81-450.B.4 and § 10.1-1408.1 of the Code of Virginia (DEQ Form SW-11-1 Request for Local Government Certification).
IV. Definitions The definitions in § 10.1-1400 of the Code of Virginia and § 9 VAC 20-81-10 of the VSWMR apply to the implementation of the siting evaluation (Part A application). “FAA” means the Federal Aviation Administration or other agency with delegated authority for oversight of aerospace travel. “VDOT” means the Virginia Department of Transportation or other agency with delegated authority for transportation oversight (such as local government
V.
Guidance Document As mentioned earlier, the intent of this guidance is to summarize the information of the VSWMR in a format that will help applicant determine when and under what scenarios they need to submit a Part A modification application. The site suitability evaluation (i.e. Part A application review) is valid throughout the design, construction, operation, and closure of the facility. However, if it is specifically mentioned in future amendments of the VSWMR and the Code of Virginia, the Department can require the facility owner to revise the permit, including the Part A application in order to comply with the current changes and revisions in the VSWMR and the Code of Virginia.
The following sections elaborate on the scenarios under which a Part A application or modification needs to be submitted for review and approval.
V.A New Facility When a green site is proposed to be used as a landfill, a Part A application must be submitted to DEQ for review and approval. Facilities eligible for coverage under a Permit-by-Rule are not required to submit a Part A application, unless they choose to pursue a full permit. The Part A application must contain all applicable information requested in § 9 VAC 20-81-450.B, § 9 VAC 20-81-460, DEQ Form SW PTA, and § 9 VAC 20-81-120 or § 9 VAC 20-81-320 of the VSWMR, depending on what type of solid waste management facility the Part A application has been prepared for. All subsections of the above sections are applicable for a new facility. Submission Instruction No. 1 includes details as to which sections and subsections are applied to each type of landfill or other facility. For a new facility Part A application, DEQ will assign an alphanumeric Permit Number (e.g. SWP650) with a facility name that will be used to identify the facility for Guidance Memo No. 01-2009 Page 4 future correspondence and will be valid throughout the active life and post-closure period of the facility.
V.B Horizontal Expansion of an Existing Facility The VSWMR now defines an expansion as “a horizontal expansion of the waste management boundary as identified in the Part A application. If a facility's permit was issued prior to the establishment of the Part A process, an expansion is a horizontal expansion of the disposal unit boundary.” Using this definition, if the area of the horizontal expansion was not included in the previous Part A application approval, a Part A modification application will be required. A Part A application will also be required if a facility's permit was issued prior to the establishment of the Part A process and there is a proposed horizontal expansion of the disposal unit boundary.
If the waste management boundary is modified to identify and include previously closed disposal areas that was omitted from previous facility drawings, a Part A modification is not required. In this case, the expanded waste management boundary will be acknowledged as historical fill in the Part B permit, but not authorized for additional waste disposal (i.e. piggyback, see Section V.F.) without further permit consideration. If the facility has a Part A permit, the Near Vicinity Map (9 VAC 20-81-460.C.) should be updated and accompany the Part B modification request.
Since the expansion is for an existing facility that has an alphanumeric Permit Number (e.g.
SWP650), the additional siting information required for horizontal expansion is treated as a modification to the existing Part A application. However, in accordance with the definition of a “new solid waste management facility” the Part A modification application will be reviewed as a new solid waste management facility and all the subsections of the applicable sections (§ 9 VAC 20-81-450.B, § 9 VAC 20-81-460, DEQ Form SW PTA, and § 9 VAC 20-81-120 or § 9 VAC 20-81-320, depending on what type of solid waste management facility the Part A application has been prepared for) of the VSWMR that are designated for a new facility or a modification allowing a facility expansion will be applicable. The applicant may reference portions of the existing approved Part A application that will remain unchanged in lieu of submitting duplicate documentation.
For example, the applicant may reference the existing geotechnical and hydrogeological report if the total number of borings completed during the initial Part A application is sufficient including the expansion acreage and the results of that previous study indicate there is no change in the geology or hydrology in the expansion area. These existing documents shall be included in the modification application, if requested by DEQ. In accordance with § 9 VAC 20-81-460.E.1.b, DEQ may require additional borings if the number of borings previously submitted is not sufficient to describe the geologic formations and groundwater flow patterns below the proposed expansion. The applicant shall include a discussion in the executive summary of the Part A modification application detailing why previously submitted information continues to satisfy the siting requirements of the Code of Virginia and the VSWMR.
V.C Increase in Overall Capacity by Vertical Expansion Increase in overall capacity through vertical expansion (i.e. without modifying waste management boundary - WMB) for an existing facility can be accomplished by: Guidance Memo No. 01-2009 Page 5
- increasing (steepening) the existing side slopes; or
- expanding the facility vertically up to an elevation beyond the existing Part A or Part B approved elevation; or
- lowering the base grades beyond the existing Part A or Part B approved base grades of a unit prior to construction; or
- substituting an approved bottom liner or final cover design which is thinner than a previously approved bottom liner or final cover design, thus increasing the capacity.
V.C.1 Steepening Side Slopes If the increase in capacity is accomplished only by changing (steepening) the side slopes without lowering the base grade beyond the previously approved Part B base grades or without increasing the final top elevation beyond the previously approved Part A or Part B final top elevation, a Part A modification application is not required. However, this expansion would meet the description of an increase in capacity as stated in § 9 VAC 20-81-450. The NOI for the Part B permit modification application must address the following sections of the VSWMR.
- § 9 VAC 20-81-450.B.1 – A letter accompanied by area and site location maps
- § 9 VAC 20-81-450.B.2 – Disclosure Statement (DEQ Forms DISC-01 and DISC-02)
- § 9 VAC 20-81-450.B.3 – Local Government Certification (DEQ Form SW-11-1)
- § 9 VAC 20-81-450.B.8 and § 9 VAC 20-81-450.B.8 a or 8.b – Demonstration of Need
- § 9 VAC 20-81-460.G – VDOT Adequacy Report – Applicable only to requests for an increase in the daily disposal limit.
- § 9 VAC 20-81-460.H – Landfill Impact Statement – Applicable only to sanitary landfills.
- § 9 VAC 20-81-460.I – Notification to adjacent property owners/occupants
- § 9 VAC 20-81-120 – Siting requirements – Applicable if siting requirements have changed since the Part A was approved.
V.C.2 Expansion vertically to higher elevation If the increase in capacity is accomplished by expanding the facility vertically up to an elevation beyond the existing Part B approved final elevation, a Part A modification application is not required. However, this expansion would meet the description of an increase in capacity as stated in § 9 VAC 20-81-450. The NOI for the Part B permit modification application must address the following sections of the VSWMR.
- § 9 VAC 20-81-450.B.1 – A letter accompanied by area and site location maps
- § 9 VAC 20-81-450.B.2 – Disclosure Statement (DEQ Forms DISC-01 and DISC-02)
- § 9 VAC 20-81-450.B.3 – Local Government Certification (DEQ Form SW-11-1)
- § 9 VAC 20-81-450.B.8 and § 9 VAC 20-81-450.B.8 a or 8.b – Demonstration of Need
- § 9 VAC 20-81-460.G – VDOT Adequacy Report – Applicable only to requests for Guidance Memo No. 01-2009 Page 6 an increase in the daily disposal limit.
- § 9 VAC 20-81-460.H – Landfill Impact Statement – Applicable only to sanitary landfills.
- § 9 VAC 20-81-460.I – Notification to adjacent property owners/occupants
- § 9 VAC 20-81-120 – Siting requirements – Applicable if siting requirements have changed since the Part A was approved. Siting requirements related to airports and FAA standards may need to be updated based on the proximity to an airport and proposed landfill height.
V.C.3 Expansion by lowering base grades If the increase in capacity is accomplished by expanding the facility vertically down (i.e. by lowering base grades beyond the existing Part A or Part B approved base grades), the Part A site investigation borings will need to be reviewed to verify the original borings approved are still adequate for the new proposed base grades. If the original approved numbers and depth of borings do not meet the necessary regulatory requirements, a Part A modification will be required. If the original numbers and depths of borings still meet the necessary regulatory requirements, a Part A modification will not be required. However, supporting documentation as outlined below demonstrating the adequacy of the approved Part A borings shall be submitted with the NOI for the Part B application. If a Part A modification is required, the facility should submit DEQ Form
SW PTA.
- § 9 VAC 20-81-450.B.1 – A letter accompanied by area and site location maps
- § 9 VAC 20-81-450.B.2 – Disclosure Statement (DEQ Forms DISC-01 and DISC-02)
- § 9 VAC 20-81-450.B.3 – Local Government Certification (DEQ Form SW-11-1)
- § 9 VAC 20-81-450.B.8 and § 9 VAC 20-81-450.B.8 a or 8.b – Demonstration of Need
- § 9 VAC 20-81-460.E.1.a and 1.e – Number and depth of borings
- § 9 VAC 20-81-460.G – VDOT Adequacy Report – Applicable only to requests for an increase in the daily disposal limit.
- § 9 VAC 20-81-460.H – Landfill Impact Statement – Applicable only to sanitary landfills
- § 9 VAC 20-81-460.I – Notification to adjacent property owners/occupants
- § 9 VAC 20-81-120 – Siting requirements – Applicable if siting requirements have changed since the Part A was approved. Separation for seasonal high groundwater may need to be addressed based on the lowering of the base grade.
V.C.4 Substituting bottom liner or final cover If the increase in capacity is accomplished by substituting an approved bottom liner or final cover design which is thinner than a previously approved bottom liner or final cover with all other vertical and horizontal waste management boundaries remaining the same, a Part A modification application is not required. For purposes of determining the type of permit modification, this will not be classified as an increase in capacity; however, the proposal to change the bottom liner or final cover design will require a Part B major permit modification in accordance with Table 5.2 of § 9 VAC 20-81-600. If a Guidance Memo No. 01-2009 Page 7 capacity increase is measured, the facility shall update its designed permitted capacity with the permit modification.
Additional discussions for V.C The Part B permit modification application review needs to be coordinated with the SWMP reviewer at central office in regards to additional capacity, site life, and daily disposal limits to ensure the Part B permit modification application is consistent with the local or regional SWMP.
If the daily disposal limit is increased beyond the existing daily disposal limit for a sanitary, CDD or non-captive industrial landfills, the Part B application must include a traffic impact approval letter from VDOT, the County, or the City, as applicable. This letter should certify sufficient infrastructure exists to safely handle the traffic flow (§ 10.1-1408.1.D.1(iii)). Since § 10.1-1408.1.D.1 does not apply to captive industrial landfills, no traffic impact approval letter from VDOT, the County, or the City is required. If an increase in the daily disposal limit for a landfill is not proposed, there will be no additional traffic impact report required. If a VDOT adequacy report is not available/included in the existing approved Part A application, a new VDOT adequacy report must be submitted with the Part B NOI to meet the requirements of § 9 VAC 20-81-460.G.
Most existing modern sanitary landfills have a landfill impact statement (LIS) contained in the current approved Part A application meeting the requirements of § 9 VAC 20-81-460.H. It is very unlikely increasing the landfill capacity without a horizontal expansion will have any potential impact on parks, recreational areas, wildlife management areas, critical habitat areas of endangered species, public water supplies, marine resources, wetlands, historic sites, fish and wildlife, water quality, and tourism. As a result, the LIS included in the existing approved Part A application may be used to meet the requirements of § 9 VAC 20-81-460.H. If the LIS is not available/included in the existing approved Part A application, a new LIS must be submitted with the Part B NOI to meet the requirements of § 9 VAC 20-81-460.H.
V.D Expansion of Facility Boundary for an Existing Facility A Part A application must be submitted to DEQ for review and approval if the facility wants to modify (i.e., increase) the facility boundary for groundwater corrective action, landfill gas migration monitoring and control, or other purpose. In this scenario, the waste management boundary is not expanded nor is there an expansion of the waste footprint or an increase in capacity.
As such the only portions of the Part A application that must be revised include the drawings identifying the Facility Boundary and the documentation for demonstration of legal control provided all other portions of the Part A application remain unchanged. These changes do not substantially alter permit conditions, increase the size of the operation, require an extensive review, or reduce the capacity of the facility to protect human health or the environment. In accordance with § 10.1-1402.1 of the Code of Virginia, this change constitutes a “minor modification” and as such no fee is required.
The expansion of the facility boundary and revision of the groundwater monitoring, corrective action, or gas management/remediation plans will require a modification to the existing Part B permit. If the facility’s permit predates the Part A application procedure there is no requirement to Guidance Memo No. 01-2009 Page 8 submit a revision to the Part A application since there are no drawings that must be updated.
However, the facility must provide proof of ownership documentation and an updated site plan drawing showing the new facility boundary, existing disposal boundaries, and all landfill monitoring networks with the Part B modification.
V.E Reduction of Facility Boundary A Part A application is required to be submitted to the VDEQ for review and approval if the facility wants to modify (i.e. decrease) the facility boundary for releasing a parcel or potion of a parcel to use it for other purposes. If the concentration of landfill gas exceeds the lower explosive limit at the existing or proposed facility boundary, then the facility will not be allowed to reduce the facility boundary until such time as a landfill gas remediation plan is successfully implemented and gas levels return to compliant levels. In addition, if the facility is currently in corrective action for groundwater or has exceeded groundwater protection standards, a reduction in the facility boundary would not be allowed unless the applicant demonstrates the reduced facility boundary will not impact the facility’s ability to complete corrective action and will not pose an increased risk to potential receptors. The owner or operator of a solid waste management facility (SWMF) can modify the facility boundary as long as the new facility boundary is at least 50 feet from the waste management boundary (WMB) or any other distance that is allowed by the siting and design sections of the VSWMR for a specific type of SWMF. However, all the existing structures, perimeter roads, gas monitoring probes, ground water monitoring wells, etc. must be located within the new facility boundary. The Part A modification application to reduce the facility boundary must include the following:
A completed, signed, and dated DEQ Form SW PTA as required by § 9 VAC 20-81-
460.A.
Key Map [Attachment IX to DEQ Form SW PTA, § 9 VAC 20-81-460.B] delineating the general location of the proposed facility boundary plotted on a seven and one-half minute United States Geological Survey topographical quadrangle. The map and drawing approved with the original Part A for the site must be amended to show the new facility boundary.
Near Vicinity Map [Attachment IX to DEQ Form SW PTA, § 9 VAC 20-81-460.C] showing the location of the proposed facility boundary and depicting required structures and features within 500 feet from the proposed facility boundary.
Proof of Ownership [Attachment X to DEQ Form SW PTA, § 9 VAC 20-81-460.D]. No documentation of ownership will be necessary for the reduction of a facility boundary if the applicant has previously provided documentation of ownership.
Hydrogeological and Geotechnical Report [Attachment XI to DEQ Form SW PTA, § 9 VAC 20-81-460.E]. The hydrogeological and geotechnical report does NOT need to be submitted as part of the Part A modification application. If the reduction of the facility boundary will result in the relocation of gas monitoring probes and/or groundwater monitoring wells, a revised groundwater or gas monitoring plan must be submitted as part of the Part B modification process. This plan must be certified by a qualified groundwater scientist or professional engineer, as applicable.
Guidance Memo No. 01-2009 Page 9 If the facility boundary is modified to exclude a parcel or portion of a parcel, the new facility boundary must continue to meet the buffer requirements of § 9 VAC 20-81-120 or § 9 VAC 20-81-320. It is assumed the majority of the siting requirements will remain unchanged. However, a discussion must be provided to demonstrate the new facility boundary meets all required setbacks and buffer requirements. If the reduction of the facility boundary requires the relocation of leachate containment, stormwater, or groundwater wells/gas monitoring probes the applicant must verify these new locations meet all siting and buffer requirements included in the above sections.
V.F Increase in Capacity by Lateral Expansion Over an Existing Waste Unit (Piggybacking) V.F.1 Expansion within the Part A Waste Management Boundary If the applicant proposes to expand over an existing adjacent waste unit that is inside the facility’s approved Part A WMB, a Part A application is not required.
However, this expansion would meet the description of an increase in capacity as stated in § 9 VAC 20-81-450. The NOI for the Part B permit modification application must address the following sections of the VSWMR.
- § 9 VAC 20-81-450.B.1 – A letter accompanied by area and site location maps
- § 9 VAC 20-81-450.B.2 – Disclosure Statement (DEQ Forms DISC-01 and DISC-02)
- § 9 VAC 20-81-450.B.3 – Local Government Certification (DEQ Form SW-11-1)
- § 9 VAC 20-81-450.B.8 and § 9 VAC 20-81-450.B.8 a or 8.b – Demonstration of Need
- § 9 VAC 20-81-460.G – VDOT Adequacy Report – Applicable only to sanitary landfills requesting an increase in the daily disposal limit.
- § 9 VAC 20-81-460.H – Landfill Impact Statement – Applicable only to sanitary landfills.
- § 9 VAC 20-81-460.I – Notification to adjacent property owners/occupants
- § 9 VAC 20-81-120 – Siting requirements – Applicable if siting requirements have changed since the Part A was approved. However, documentation must be submitted to verify an appropriate factor of safety and stability calculations as part of the Part B modification to address construction on an existing waste mass.
V.F.2 Expansion outside the Part A Waste Management Boundary If the applicant proposes to expand a permitted facility over an existing adjacent waste unit that does not have an existing Part A approval or is outside the approved Part A WMB, a Part A modification application is required. In this scenario the modification application would be treated as a horizontal expansion, and therefore, the requirements and process discussed in section V.B above shall apply to these situations.
V.G. Increase in Daily Disposal Limit If an increase in the daily disposal limit is proposed, a Part A modification is not required unless other proposed changes discussed herein require a Part A modification. However, a Part B major modification would be necessary for the increase in daily disposal limit pursuant to Table 5.2 of 9 VAC 20-81-600. The Part B modification application must include a transportation adequacy Guidance Memo No. 01-2009 Page 10 report from VDOT, the County, or the City, as applicable, in accordance with 9 VAC 20-81-460.G. in addition to any other applicable Part B modification documentation. For sanitary landfills, this report should certify sufficient infrastructure exists to safely handle the traffic flow (§ 10.1-1408.1.D.1(iii)). This report is not required for captive industrial landfills (see §10.1-1408.1 D.1. and D.2.) VI. Collaboration Process This guidance was developed internally, peer reviewed by the Regional Waste Program Managers, and issued on April 15, 2009. Kathryn Perszyk, Solid Waste Permit Coordinator, revised this guidance and the permit writers and waste program managers provided comments.
VII. Other Application Information This Guidance replaces GM 04-1999 “Guidance for Facility Property Boundary Modifications.” This revision replaces the April 15, 2009, version of this guidance and replaces the May 27, 2009, Clarification of “Expansion” and “Increase in Capacity” memo from James Golden.
Guidance Memo No. 01-2009 Page 11
Updated Virginia Alternate Concentration Limits (ACL)Doc ID: Use
COMMONWEALTH of VIRGINIA DEPARTMENT OF ENVIRONMENTAL QUALITY Street address: 629 East Main Street, Richmond, Virginia 23219 Douglas W. Domenech Mailing address: P.O. Box 1105, Richmond, Virginia 23218 David K. Paylor Secretary of Natural Resources TDD (804) 698-4021 Director www.deq.virginia.gov (804) 698-4000 1-800-592-5482
June 4, 2013
Dear Interested Stakeholder:
This letter shares the information about the newly updated Alternate Concentration Limits (ACL) Table, effective July 1, 2013. The latest table has several changes in ACL values compared to the update that is currently in use dated December 2011. The reason for many changes to the 2013 update is that DEQ has fully adopted the EPA Region 3 calculation equations which were incorporated in the November 2011 version of the EPA Regional Screening Level (RSL) Table. The changes in ACL are a result of changes in toxicity values and inclusion of dermal (skin) exposure for carcinogens and non-carcinogens. Oral, dermal, and inhalation (for VOCs only) are included in the calculations.
Some of the advantages of including dermal exposure in the calculations are better science because all exposure routes are considered and consistency across RCRA programs.
Please keep in mind that for chemicals with an MCL, the MCL will continue to be the groundwater protection standard (GPS). These changes do not impact those chemicals. They are included on the tables for completeness only. As always with metals, the Regulations allow site specific background to be used, so the facilities may use site-specific background instead of ACL for metals. Please note that copper and lead do not have an MCL but have an ‘action level.’ For the purpose of setting the GPS, these action levels are treated as MCLs. Site-specific ACLs can still be calculated using REAMS software.
VDEQ discussed these changes with the regulated community on March 26, 2013.
Based on feedback received from the regulated community, adopting the EPA methodology was the preferred option. The latest update of the ACL table, dated and effective as of July 1, 2013 is attached with this letter.Additionally, VDEQ discussed several technical and programmatic long-term options that it may consider regarding ACLs. Based upon feedback and further review, VDEQ is pursuing the development of an option which provides for risk-based levels to be tied to the location of the landfill (urban v. rural). It is expected this option would be developed by the end of the calendar year. Beyond this option, VDEQ will continue to consider the merits, necessity, and feasibility of providing a separate option for pre-1993 landfills. A summary of the feedback received by VDEQ at this meeting is attached.
We hope that this information provides insight into DEQ’s process of establishing and revising ACLs. If you have further question on the ACL development/changes please contact either Pat McMurray at (804) 698-4186 or Sonal Iyer at (804) 698-4259, or for further questions regarding the effect of the ACL revisions, please contact Geoff Christe at (804) 698-4283.
Sincerely,
Jeffery A. Steers, Director
Division of Land Protection & Revitalization
Encl:
- ACL table update July 1, 2013
- ACL Stakeholder Process ACL Stakeholder Process 2013 – Outcome and Next Steps
1) Methodology
There were no major objections to using the EPA RSL Table methodology (incl. dermal) moving forward. In order to maintain a level playing field, the new numbers will be published soon but with an effective date of July 1, applicable to sampling events occurring in the 2nd half of the calendar year. Future releases will be targeted for mid-December with an effective date of January 2.
2) Policy Options The following policy options did not receive significant support and will not be pursued further at this time: Release of updated ACL values only when significant changes occur or less frequently than annual Discontinuing agency-issued ACL values The following related policy options received significant support and will be further explored by the agency within the next six months: Set different across the board risk levels (10-6 vs. 10-5) depending on location in rural vs. urban areas. Would only apply if all conditions for urban risk level are met. These conditions would include limited or no use of groundwater. Conditions of applicability to be further defined but this may be implementable this year. Extend use of 10-5 risk level to multiple constituents depending on site-specific conditions.
Would only apply if all conditions for risk level are met. Conditions of applicability to be further defined. May be more difficult to implement than urban option. Both options would result in a second ACL column for 10-5 risk level. 3) Regulatory Options Only one regulatory option received support, i.e. to remove the pre-93 landfills from Subtitle D equivalent program. The agency will re-evaluate this option after the policy options above have been addressed and possibly implemented.
Regulatory options that did not receive support are: Eliminate ACLs entirely (i.e. rely on background or LOQ) Eliminate ACLs during assessment/Phase II monitoring (i.e. rely on background or LOQ) Including GPS (incl. ACL values) in the facility permit
VIRGINIA ALTERNATE CONCENTRATION LIMIT FOR GROUNDWATER EFFECTIVE JULY 1, 2013
ACL for VHWMR or Table 3.1 (VSWMR) constituents Users of the ACL table are requested to refer to notes provided at the end of the table and draft technical memo accompanying this table.
Toxicity values obtained using November 2012 EPA R3 RSL Table I=IRIS N=NO P=EPA PROVISIONAL PEER-REVIEWED Y=YES Cal=CA EPA N/A = Not Available H=HEAST RfDo=Oral Reference Dose (mg/kg/d) W=WORLD HEALTH ORGANIZATION RfCi=Inhalation Reference Concentration(mg/m3) E=EPA DRAFT SOIL SCREENING LEVEL So=Oral Slope Factor (mg/kg/d) M=ATSDR MRL IUR=Inhalation Unit Risk (ug/m3)-1 A=HEAST ALTERNATE ACL(ug/L)=Alternate Concentration Limit O=OTHER EPA DOCUMENTS sRfD=Subchronic RfD S = SCREENING VALUE
PARAMETERS VOC Mutagen CAS NO RfDo RfCi So IUR ACL(ug/L) MCL Table 3.1 July 2013 (ug/L) (VSWMR) constituent?
Acenaphthene Y N 83-32-9 0.06 I 0 0 0 400 N Y Acenaphthylene N N 208-96-8 0 0 0 0 N Y Acetone Y N 67-64-1 0.9 I 31 A 0 0 12000 N Y Acetophenone Y N 98-86-2 0.1 I 0 0 0 1500 N Y Acetonitrile; Methyl Cyanide Y N 75-05-8 0 0.06 I 0 0 130 N Y 2-Acetylaminofluorene;2-AAF N N 53-96-3 0 0 3.8 Cal 0.0013 Cal 0.013 N Y Acrolein Y N 107-02-8 0.0005 I 0.00002 I 0 0 0.041 N Y Acrylonitrile Y N 107-13-1 0.04 A 0.002 I 0.54 I 6.8E-05 I 0.045 N Y Aldrin N N 309-00-2 0.00003 I 0 17 I 0.0049 I 0.004 N Y Allyl Chloride Y N 107-05-1 0 0.001 I 0.021 Cal 6E-06 Cal 0.63 N Y 4-Aminodiphenyl N N 92-67-1 0 0 21 Cal 0.006 Cal 0.0026 N Y Aniline N N 62-53-3 0.007 P 0.001 I 0.0057 I 1.6E-06 Cal 12 N N Anthracene Y N 120-12-7 0.3 I 0 0 0 1300 N Y Antimony (total) N N 7440-36-0 0.0004 I 0 0 0 6 6 Y Azobenzene Y N 103-33-3 0 0.11 I 3.1E-05 I 0.1 N N Arsenic (total) N N 7440-38-2 0.0003 I 1.5E-05 Cal 1.5 I 0.0043 I 0.045 10 Y Barium (total) N N 7440-39-3 0.2 I 0.0005 H 0 0 2900 2000 Y Benzene Y N 71-43-2 0.004 I 0.03 I 0.055 I 7.8E-06 I 0.39 5 Y Benzo[a]anthracene N Y 56-55-3 0 0 0.73 O 0.00011 Cal 0.029 N Y Benzo[b]fluoranthene N Y 205-99-2 0 0 0.73 O 0.00011 Cal 0.029 N Y Benzo[k]fluoranthene N Y 207-08-9 0 0 0.073 O 0.00011 Cal 0.29 N Y Benzo[ghi]perylene N N 191-24-2 0 0 0 0 N Y Benzo[a]pyrene N Y 50-32-8 0 0 7.3 I 0.0011 Cal 0.0029 0.2 Y
PAGE 1 OF 7 VIRGINIA ALTERNATE CONCENTRATION LIMIT FOR GROUNDWATER EFFECTIVE JULY 1, 2013
PARAMETERS VOC Mutagen CAS NO RfDo RfCi So IUR ACL(ug/L) MCL Table 3.1 July 2013 (ug/L) (VSWMR) constituent?
Benzyl alcohol N N 100-51-6 0.1 P 0 0 0 1500 N Y Beryllium (total) N N 7440-41-7 0.002 I 0.00002 I 0 0.0024 I 16 4 Y BHC-alpha; HCH(alpha) N N 319-84-6 0.008 A 0 6.3 I 0.0018 I 0.0062 N Y BHC-beta; HCH(beta) N N 319-85-7 0 0 1.8 I 0.00053 I 0.022 N Y BHC-delta N N 319-86-8 0 0 0 0 N Y BHC-gamma(Lindane) N N 58-89-9 0.0003 I 0 1.1 Cal 0.00031 Cal 0.036 0.2 Y Bis(2-chlorethoxy)methane N N 111-91-1 0.003 P 0 0 0 46 N Y Bis(2-chloroethyl)ether Y N 111-44-4 0 0 1.1 I 0.00033 I 0.012 N Y Bis(2-chloro-1-methylethyl)ether; 2,2 Y N 108-60-1 0.04 I 0 0.07 H 0.00001 H 0.31 N Y Bis(2-Chloroisopropyl)ether; 2,2-DichN N 39638-32-9 0 0 0 0 N Y Bis(2-ethylhexyl)phthalate; DEHP N N 117-81-7 0.02 I 0 0.014 I 2.4E-06 I 4.8 6 Y Bromochloromethane Y N 74-97-5 0 0.04 P 0 0 83 N Y Bromodichloromethane (THM); DibroY N 75-27-4 0.02 I 0 0.062 I 3.7E-05 Cal 0.12 N Y Bromoform (tribromomethane) (THMN N 75-25-2 0.02 I 0 0.0079 I 1.1E-06 I 7.9 N Y 4-Bromophenyl phenyl ether N N 101-55-3 0 0 0 N Y Butyl benzyl phthalate;Benzyl butyl phN N 85-68-7 0.2 I 0 0.0019 P 0 14 N Y Cadmium (total) N N 7440-43-9 0.0005 I 0.00002 Cal 0 0.0018 I 6.9 5 Y Carbon disulfide Y N 75-15-0 0.1 I 0.7 I 0 0 720 N Y Carbon tetrachloride Y N 56-23-5 0.004 I 0.1 I 0.07 I 6E-06 I 0.39 5 Y Chlordane N N 12789-03-6 0.0005 I 0.0007 I 0.35 I 0.0001 I 0.19 2 Y p-Chloroaniline; 4-Chloroaniline N N 106-47-8 0.004 I 0 0.2 P 0 0.32 N Y Chlorobenzene Y N 108-90-7 0.02 I 0.05 P 0 0 72 100 Y Chlorobenzilate N N 510-15-6 0.02 I 0 0.11 Cal 3.1E-05 Cal 0.27 N Y p-Chloro-m-cresol N N 59-50-7 0.1 M 0 0 0 1100 N Y Chloroethane (Ethyl Chloride) Y N 75-00-3 0 10 I 0 0 21000 N Y Chloroform Y N 67-66-3 0.01 I 0.098 A 0.031 Cal 2.3E-05 I 0.19 N Y 2-Chloronaphthalene;beta-ChloronapY N 91-58-7 0.08 I 0 0 0 550 N Y 2-Chlorophenol Y N 95-57-8 0.005 I 0 0 0 71 N Y 4-Chlorophenyl phenyl ether N N 7005-72-3 0 0 0 0 N Y Chloroprene; 2-Chloro-1,3-butadieneY N 126-99-8 0.02 H 0.02 I 0 0.0003 I 0.016 N Y Chromium III and compounds N N 16065-83-1 1.5 I 0 0 0 16000 N N Chromium VI and compounds N Y 18540-29-9 0.003 I 0.0001 I 0.5 O 0.084 I 0.031 N N Chromium (Total) N N 7440-47-3 0 0 0 0 100 Y Chrysene N Y 218-01-9 0 0 0.0073 O 1.1E-05 Cal 2.9 N Y Cobalt (total) N N 7440-48-4 0.0003 P 6E-06 P 0 0.009 P 4.7 N Y Copper (total) N N 7440-50-8 0.04 H 0 0 0 620 1300++ Y
PAGE 2 OF 7 VIRGINIA ALTERNATE CONCENTRATION LIMIT FOR GROUNDWATER EFFECTIVE JULY 1, 2013
PARAMETERS VOC Mutagen CAS NO RfDo RfCi So IUR ACL(ug/L) MCL Table 3.1 July 2013 (ug/L) (VSWMR) constituent?
m-Cresol; 3-Methylphenol N N 108-39-4 0.05 I 0.6 Cal 0 0 720 N Y o-Cresol; 2-Methylphenol N N 95-48-7 0.05 I 0.6 Cal 0 0 720 N Y p-Cresol; 4-Methylphenol N N 106-44-5 0.1 M 0.6 Cal 0 0 1400 N Y Cyanide; Free Y N 57-12-5 0.0006 I 0.0008 O* 0 0 1.4 200 Y 2,4-D; 2,4-dichlorophenoxy acetic ac N N 94-75-7 0.01 I 0 0 0 130 70 Y 4,4-DDD N N 72-54-8 0 0 0.24 I 6.9E-05 Cal 0.027 N Y 4,4-DDE N N 72-55-9 0 0 0.34 I 9.7E-05 Cal 0.2 N Y 4,4-DDT N N 50-29-3 0.0005 I 0 0.34 I 9.7E-05 Cal 0.2 N Y Diallate N N 2303-16-4 0 0 0.061 H 0 0.46 N Y Dibenz(a,h)anthracene N Y 53-70-3 0 0 7.3 O 0.0012 Cal 0.0029 N Y Dibenzofuran N N 132-64-9 0.001 O 0 0 0 5.8 N Y Dibromochloromethane;ChlorodibromY N 124-48-1 0.02 I 0 0.084 I 2.7E-05 Cal 0.15 N Y 1,2-Dibromo-3-chloropropane (DBCPY Y 96-12-8 0.0002 P 0.0002 I 0.8 P 0.006 P 0.00032 0.2 Y 1,2-Dibromoethane; Ethylene dibromY N 106-93-4 0.009 I 0.009 I 2 I 0.0006 I 0.0065 0.05 Y Di-n-butyl phthalate N N 84-74-2 0.1 I 0 0 0 670 N Y Di-n-Octyl phthalate N N 117-84-0 0.012 P 0 0 0 190 N Y o-Dichlorobenzene; 1,2 Y N 95-50-1 0.09 I 0.2 H 0 0 280 600 Y m-Dichlorobenzene; 1,3 N N 541-73-1 0 0 0 N Y p-Dichlorobenzene; 1,4 Y N 106-46-7 0.07 A 0.8 I 0.0054 Cal 1.1E-05 Cal 0.42 75 Y 3,3-Dichlorobenzidine N N 91-94-1 0 0 0.45 I 0.00034 Cal 0.11 N Y trans-1,4-Dichloro-2-butene Y N 110-57-6 0 0 0 0.0042 P 0.0012 N Y Dichlorodifluoromethane Y N 75-71-8 0.2 I 0.1 S 0 0 190 N Y 1,1-Dichloroethane Y N 75-34-3 0.2 P 0 0.0057 Cal 1.6E-06 Cal 2.4 N Y 1,2-Dichloroethane Y N 107-06-2 0.006 S 0.007 P 0.091 I 2.6E-05 I 0.15 5 Y 1,1-Dichloroethylene;1,1-Dichloroeth Y N 75-35-4 0.05 I 0.2 I 0 0 260 7 Y cis-1,2-Dichloroethylene; cis-1,2-dichY N 156-59-2 0.002 I 0 0 0 28 70 Y trans-1,2-Dichloroethylene;Trans-1,2Y N 156-60-5 0.02 I 0.06 P 0 0 86 100 Y 2,4-Dichlorophenol N N 120-83-2 0.003 I 0 0 0 35 N Y 2,6-Dichlorophenol N N 87-65-0 0 0 0 0 N Y 1,2-Dichloropropane; Propylene dich Y N 78-87-5 0.09 A 0.004 I 0.036 Cal 0.00001 Cal 0.38 5 Y 1,3-Dichloropropane;Trimethylene di Y N 142-28-9 0.02 P 0 0 0 290 N Y 2,2-Dichloropropane;isopropylidene cN N 594-20-7 0 0 0 0 N Y 1,3-Dichloropropene Y N 542-75-6 0.03 I 0.02 I 0.1 I 4E-06 I 0.41 N N 1,1-Dichloropropene N N 563-58-6 0 0 0 0 N Y cis-1,3-Dichloropropene N N 10061-01-5 0 0 0 0 N Y trans-1,3-Dichloropropene N N 10061-02-6 0 0 0 0 N Y
PAGE 3 OF 7 VIRGINIA ALTERNATE CONCENTRATION LIMIT FOR GROUNDWATER EFFECTIVE JULY 1, 2013
PARAMETERS VOC Mutagen CAS NO RfDo RfCi So IUR ACL(ug/L) MCL Table 3.1 July 2013 (ug/L) (VSWMR) constituent?
Dieldrin N N 60-57-1 0.00005 I 0 16 I 0.0046 I 0.0015 N Y Diethyl phthalate N N 84-66-2 0.8 I 0 0 0 11000 N Y O,O-Diethyl O-2-pyrazinylphosphorotN N 297-97-2 0 0 0 0 N Y Dimethoate N N 60-51-5 0.0002 I 0 0 0 3.1 N Y p-(Dimethylamino)azobenzene N N 60-11-7 0 0 4.6 Cal 0.0013 Cal 0.0043 N Y 7,12-Dimethylbenzidine[a]anthraceneN Y 57-97-6 0 0 250 Cal 0.071 Cal 0.000086 N Y 3,3-Dimethylbenzidine N N 119-93-7 0 0 11 P 0 0.0056 N Y 2,4-Dimethylphenol; m-Xylenol N N 105-67-9 0.02 I 0 0 0 270 N Y Dimethyl phthalate N N 131-11-3 0 0 0 0 N Y m-Dinitrobenzene; 1,3 N N 99-65-0 0.0001 I 0 0 0 1.5 N Y 4,6-Dinitro-o-cresol N N 534-52-1 0.00008 O 0 0 0 1.2 N Y 2,4-Dinitrophenol N N 51-28-5 0.002 I 0 0 0 30 N Y 2,4-Dinitrotoluene N N 121-14-2 0.002 I 0 0.31 Cal 8.9E-05 Cal 0.2 N Y 2,6-Dinitrotoluene N N 606-20-2 0.001 H 0 0 0 15 N Y 2-sec-Butyl-4,6-dinitrophenol; DinoseN N 88-85-7 0.001 I 0 0 0 11 7 Y 1,4-Dioxane N N 123-91-1 0.03 I 3 Cal 0.1 I 7.7E-06 Cal 0.67 N N Diphenylamine N N 122-39-4 0.025 I 0 0 0 240 N Y Disulfoton N N 298-04-4 0.00004 I 0 0 0 0.38 N Y Endosulfan N N 115-29-7 0.006 I 0 0 0 78 N N Endosulfan I; alpha N N 959-98-8 0 0 0 0 N Y Endosulfan II N N 33213-65-9 0 0 0 0 N Y Endosulfan sulfate N N 1031-07-8 0 0 0 0 N Y Endrin N N 72-20-8 0.0003 I 0 0 0 1.7 2 Y Endrin aldehyde N N 7421-93-4 0 0 0 0 N Y Ethylbenzene Y N 100-41-4 0.1 I 1 I 0.011 Cal 2.5E-06 Cal 1.3 700 Y Ethyl methacrylate Y N 97-63-2 0.09 H 0.3 P 0 0 420 N Y Ethyl methanesulfonate N N 62-50-0 0 0 0 0 N Y Famphur N N 52-85-7 0 0 0 0 N Y Fluoranthene N N 206-44-0 0.04 I 0 0 0 630 N Y Fluorene Y N 86-73-7 0.04 I 0 0 0 220 N Y Formaldehyde N N 50-00-0 0.2 I 0.00983 A 0 1.3E-05 I 3100 N N Heptachlor N N 76-44-8 0.0005 I 0 4.5 I 0.0013 I 0.0018 0.4 Y Heptachlor epoxide N N 1024-57-3 1.3E-05 I 0 9.1 I 0.0026 I 0.0033 0.2 Y Hexachlorobenzene N N 118-74-1 0.0008 I 0 1.6 I 0.00046 I 0.042 1 Y Hexachlorobutadiene N N 87-68-3 0.001 P 0 0.078 I 2.2E-05 I 0.26 N Y Hexachlorocyclopentadiene N N 77-47-4 0.006 I 0.0002 I 0 0 22 50 Y
PAGE 4 OF 7 VIRGINIA ALTERNATE CONCENTRATION LIMIT FOR GROUNDWATER EFFECTIVE JULY 1, 2013
PARAMETERS VOC Mutagen CAS NO RfDo RfCi So IUR ACL(ug/L) MCL Table 3.1 July 2013 (ug/L) (VSWMR) constituent?
Hexachloroethane N N 67-72-1 0.0007 I 0.03 I 0.04 I 1.1E-05 Cal 0.79 N Y Hexachlorophene N N 70-30-4 0.0003 I 0 0 0 4.7 N N Hexachloropropene N N 1888-71-7 0 0 0 0 N Y 2-Hexanone; Methyl butyl ketone Y N 591-78-6 0.005 I 0.03 I 0 0 34 N Y Indeno(1,2,3-cd)pyrene N Y 193-39-5 0 0 0.73 O 0.00011 Cal 0.029 N Y Isobutyl alcohol; Isobutanol N N 78-83-1 0.3 I 0 0 0 4600 N Y Isodrin N N 465-73-6 0 0 0 0 N Y Isophorone N N 78-59-1 0.2 I 2 Cal 0.00095 I 0 67 N Y Isosafrole N N 120-58-1 0 0 0 0 N Y Kepone N N 143-50-0 0.0003 I 0 10 I 0.0046 Cal 0.003 N Y Lead (total) N N 7439-92-1 0 0 0 0 15++ Y Mercury (inorganic) Y N 7439-97-6 0 0.0003 I 0 0 0.63 2 Y Methacrylonitrile Y N 126-98-7 0.0001 I 0.03 P 0 0 1.5 N Y Methapyrilene N N 91-80-5 0 0 0 0 N Y Methoxychlor N N 72-43-5 0.005 I 0 0 0 27 40 Y Methyl bromide (Bromomethane) Y N 74-83-9 0.0014 I 0.005 I 0 0 7 N Y Methyl chloride (Chloromethane) Y N 74-87-3 0.09 I 0 0 190 N Y 3-Methylcholanthrene N Y 56-49-5 0 0 22 Cal 0.0063 Cal 0.00098 N Y Methylene bromide;DibromomethaneY N 74-95-3 0.01 A 0.004 O 0 0 7.9 N Y Methylene chloride;Dichloromethane Y Y 75-09-2 0.006 I 0.6 I 0.002 I 1E-08 I 9.9 5 Y Methyl Ethyl Ketone; MEK; 2-Butano Y N 78-93-3 0.6 I 5 I 0 0 4900 N Y Methyl iodide (Iodomethane) N N 74-88-4 0 0 0 0 N Y Methyl methacrylate Y N 80-62-6 1.4 I 0.7 I 0 0 1400 N Y Methyl methanesulfonate N N 66-27-3 0 0 0.099 Cal 2.8E-05 Cal 0.68 N Y 2-Methylnaphthalene Y N 91-57-6 0.004 I 0 0 0 27 N Y Methyl parathion; Parathion methyl N N 298-00-0 0.00025 I 0 0 0 3.4 N Y 4-Methyl-2-pentanone (MIBK);MethylY N 108-10-1 0.08 H 3 I 0 0 1000 N Y Naphthalene Y N 91-20-3 0.02 I 0.003 I 0 3.4E-05 Cal 0.14 N Y 1,4-Naphthoquinone N N 130-15-4 0 0 0 0 N Y 1-Naphthylamine N N 134-32-7 0 0 0 0 N Y 2-Naphthylamine N N 91-59-8 0 0 1.8 Cal 0 0.033 N Y Nickel (total) N N 7440-02-0 0.02 I 0.00009 A 0 0.00026 Cal 300 N Y o-Nitroaniline; 2- N N 88-74-4 0.01 O 0.00005 O 0 0 150 N Y 3-Nitroaniline N N 99-09-2 0 0 0 0 N Y 4-Nitroaniline N N 100-01-6 0.004 P 0.006 P 0.02 P 0 3.3 N Y Nitrobenzene Y N 98-95-3 0.002 I 0.009 I 0 0.00004 I 0.12 N Y
PAGE 5 OF 7 VIRGINIA ALTERNATE CONCENTRATION LIMIT FOR GROUNDWATER EFFECTIVE JULY 1, 2013
PARAMETERS VOC Mutagen CAS NO RfDo RfCi So IUR ACL(ug/L) MCL Table 3.1 July 2013 (ug/L) (VSWMR) constituent?
o-Nitrophenol N N 88-75-5 0 0 0 0 N Y p-Nitrophenol; 4- N N 100-02-7 0 0 0 0 N Y 4-Nitroquinoline-1-oxide N N 56-57-5 0 0 0 0 N N N-Nitrosodi-n-butylamine Y N 924-16-3 0 0 5.4 I 0.0016 I 0.0024 N Y N-Nitrosodiethylamine N Y 55-18-5 0 0 150 I 0.043 I 0.00014 N Y N-Nitrosodimethylamine N Y 62-75-9 8E-06 P 0.00004 O 51 I 0.014 I 0.00042 N Y N-Nitrosodiphenylamine N N 86-30-6 0 0 0.0049 I 2.6E-06 Cal 10 N Y N-Nitrosodi-n-propylamine; Di-n-propN N 621-64-7 0 0 7 I 0.002 Cal 0.0093 N Y N-Nitrosomethylethylamine N N 10595-95-6 0 0 22 I 0.0063 Cal 0.003 N Y N-Nitrosomorpholine N N 59-89-2 0 0 6.7 Cal 0.0019 Cal 0.01 N N N-Nitrosopiperidine N N 100-75-4 0 0 9.4 Cal 0.0027 Cal 0.0071 N Y N-Nitrosopyrrolidine N N 930-55-2 0 0 2.1 I 0.00061 I 0.032 N Y 5-Nitro-o-toluidine;2-Methyl-5-NitrobeN N 99-55-8 0.02 S 0 0.009 P 0 7 N Y Parathion N N 56-38-2 0.006 H 0 0 0 65 N Y Polychlorinated biphenyls; PCB's; AroN N 1336-36-3 0 0 0.07 I 0.00057 I 0.17 0.5 Y Polychlorinated dibenzo-p-dioxins; PCN N 0 0 0 0 N N Polychlorinated dibenzofurans; PCDFN N 136677-10-6 0 0 0 0 N N Pentachlorobenzene N N 608-93-5 0.0008 I 0 0 0 2.3 N Y Pentachloroethane N N 76-01-7 0 0 0.09 P 0 0.56 N N Pentachloronitrobenzene N N 82-68-8 0.003 I 0 0.26 H 0 0.1 N Y Pentachlorophenol N N 87-86-5 0.005 I 0 0.4 I 5.1E-06 Cal 0.035 1 Y Phenacetin N N 62-44-2 0 0 0.0022 Cal 6.3E-07 Cal 30 N Y Phenanthrene N N 85-01-8 0 0 0 0 N Y Phenol N N 108-95-2 0.3 I 0.2 Cal 0 0 4500 N Y p-Phenylenediamine N N 106-50-3 0.19 H 0 0 0 3000 N Y Phorate N N 298-02-2 0.0002 H 0 0 0 2.3 N Y 2-Picoline; alpha-; 2-Methylpyridine N N 109-06-8 0 0 0 0 N N Potassium N N 2023695 0 0 0 0 N N Pronamide; Kerb N N 23950-58-5 0.075 I 0 0 0 900 N Y Propionitrile; Ethyl Cyanide N N 107-12-0 0 0 0 0 N Y Pyrene Y N 129-00-0 0.03 I 0 0 0 87 N Y Pyridine Y N 110-86-1 0.001 I 0 0 0 15 N N Safrole N Y 94-59-7 0 0 0.22 Cal 6.3E-05 Cal 0.083 N Y Selenium (total) N N 7782-49-2 0.005 I 0.02 Cal 0 0 78 50 Y Silver (total) N N 7440-22-4 0.005 I 0 0 0 71 N Y Silvex (2,4,5-TP);2(2,4,5-Trichloroph N N 93-72-1 0.008 I 0 0 0 84 50 Y
PAGE 6 OF 7 VIRGINIA ALTERNATE CONCENTRATION LIMIT FOR GROUNDWATER EFFECTIVE JULY 1, 2013
PARAMETERS VOC Mutagen CAS NO RfDo RfCi So IUR ACL(ug/L) MCL Table 3.1 July 2013 (ug/L) (VSWMR) constituent?
Styrene Y N 100-42-5 0.2 I 1 I 0 0 1100 100 Y Sulfide Y N 18496-25-8 0 0 0 0 N Y 1,2,4,5-Tetrachlorobenzene N N 95-94-3 0.0003 I 0 0 0 1.2 N Y 2,3,7,8-Tetrachlorodibenzo-p-dioxin TN N 1746-01-6 7E-10 I 4E-08 C 130000 Cal 38 Cal 0.00000052 3E-05 N 1,1,1,2-Tetrachloroethane Y N 630-20-6 0.03 I 0 0.026 I 7.4E-06 I 0.5 N Y 1,1,2,2-Tetrachloroethane Y N 79-34-5 0.02 I 0 0.2 I 5.8E-05 I 0.066 N Y Tetrachloroethylene (PCE) Y N 127-18-4 0.006 I 0.04 I 0.0021 I 2.6E-07 I 9.7 5 Y 2,3,4,6-Tetrachlorophenol N N 58-90-2 0.03 I 0 0 0 170 N Y Tetraethyl dithiopyrophosphate; SulfoN N 3689-24-5 0.0005 I 0 0 0 5.3 N N Thallium (total) N N 7440-28-0 0.00001 S 0 0 0 0.16 2 Y Tin (total) N N 7440-31-5 0.6 H 0 0 0 9300 N Y Toluene Y N 108-88-3 0.08 I 5 I 0 0 860 1000 Y o-Toluidine;2-Methylaniline;2-MethylbN N 95-53-4 0 0 0 0 N Y Toxaphene N N 8001-35-2 0 0 1.1 I 0.00032 I 0.013 3 Y 1,2,4-Trichlorobenzene Y N 120-82-1 0.01 I 0.002 P 0.029 P 0 0.99 70 Y 1,1,1-Trichloroethane Y N 71-55-6 2 I 5 I 0 0 7500 200 Y 1,1,2-Trichloroethane Y N 79-00-5 0.004 I 0.0002 S 0.057 I 1.6E-05 I 0.24 5 Y Trichloroethylene Y Y 79-01-6 0.0005 I 0.002 I 0.046 I 4.1E-06 I 0.44 5 Y Trichlorofluoromethane; CFC-11 Y N 75-69-4 0.3 I 0.7 H 0 0 1100 N Y 2,4,5-Trichlorophenol N N 95-95-4 0.1 I 0 0 0 890 N Y 2,4,6-Trichlorophenol N N 88-06-2 0.001 P 0 0.011 I 3.1E-06 I 3.5 N Y 2,4,5-Trichloro-phenoxyacetic acid;2 N N 93-76-5 0.01 I 0 0 0 120 N Y 1,2,3-Trichloropropane Y Y 96-18-4 0.004 I 0.0003 I 30 I 0 0.00065 N Y O,O,O-Triethyl phosphorothioate N N 126-68-1 0 0 0 0 N Y 1,3,5-Trinitrobenzene N N 99-35-4 0.03 I 0 0 0 460 N Y Vanadium (total) N N 7440-62-2 0.005 S 0 0 0 78 N Y Vinyl acetate Y N 108-05-4 1 H 0.2 I 0 0 410 N Y Vinyl chloride;Chloroethene Y Y 75-01-4 0.003 I 0.1 I 0.72 I 4.4E-06 I 0.015 2 Y Xylene (total) Y N 1330-20-7 0.2 I 0.1 I 0 0 190 10000 Y Zinc (total) N N 7440-66-6 0.3 I 0 0 0 4700 N Y Note: (1) MCL, when available, superseeds ACL (2) ++ = The compound has Action Level, not MCL (3) Individal constituents of THM are marked with (THM) next to the constituent name (4) Individal constituents of THM compounds do not have constituent-specific MCL (5) ACL for vinyl chloride is calculated using EPA region 3 formula (6) ACL with "0" or "N/A" value or blanck means that toxicity value and ACL value are not available at this time.
PAGE 7 OF 7
Local Government Certification for LandfillsDoc ID: Local
003-2001-20-80
MEMORANDUM
TO:
Solid Waste Permit Staff
FROM: Karen Jackson Sismour Director, Waste Division
COPY: Leslie Romanchik
DATE: April 19, 2001
SUBJECT: SW 03 - 2001 (Waste Procedure #4 – Revised) Local Government Certification for Non-Captive Industrial Landfills Amendment to Va. Code Section 10.1-1408.1.B. (HB 981)
Va. Code Section 10.1-1408.B. stipulates that no application for a new solid waste management facility permit shall be complete unless it contains the following information: 1) local government certification; 2) disclosure statement; 3) for property not covered by a zoning ordinance, certification from the local government that a public hearing has been held; 4) for new sanitary landfills or transfer stations, information regarding public notice and hearing procedures undertaken prior to submittal of the notice of intent; 5) for new or expansions of exiting municipal solid waste landfills, a statement, signed by the applicant, guaranteeing that sufficient disposal capacity will be available in the facility to enable localities to comply with solid waste management plans and certifying that such localities will be allowed to contract for and reserve disposal capacity in the facility; and 6) for new or expansions of exiting municipal solid waste landfills certification that a host agreement has been reached between the applicant and the locality.
The 2000 Session of the General Assembly revised this section to expand the requirements for local government certification, or for property not covered by a zoning ordinance, certification from the local government that a public hearing has been held and the requirement for disclosure statements to an "application for a permit amendment or variance allowing a category 2 facility to expand or increase in capacity ". A category 2 facility is defined as a "nonhazardous waste facility, other than those that are located on Guidance for Implementation of Amendments to Va. Code Section 10.1-1408.1.B.
Memorandum Page 2
property owned or controlled by the generator of the waste disposed in the facility….." (i.e., a non-captive industrial waste landfill).
As a result, a non-captive industrial waste landfill that proposes to expand laterally or vertically, either under a permit amendment or a variance, must comply with all applicable requirements under Section 10.1-1408.B. as noted above. These provisions however, do not apply to facilities expanding under the provisions of Va. Code Section
10.1-1408.1.N.
These requirements will be evaluated using existing permit review procedures.
If there are any questions concerning this new requirement or the procedures for implementation, please see Leslie Romanchik.
Final Cover Design Requirements and AlternativesDoc ID: Clarification
Clarification of Required Final Cover Designs and Acceptable Alternate Designs
I. Introduction At closure, all solid waste management facilities shall install a final cover system that is designed to achieve the performance requirements of 9 VAC 20-81-160.D.2. The purpose of this guidance document is to provide clarification on the minimum required final cover and acceptable alternate designs specified under this section of the Virginia Solid Waste Management Regulations (VSWMR).
II. Background A memorandum was issued on May 18, 1993, to solid waste permit writers clarifying the required final cover and acceptable alternate designs based on the 1988 Solid Waste Management Regulations (VR 672-20-10). In those regulations, and the amendments since, allowances were included for facility owners or operators to request alternate final cover designs.
Prior to Amendment 7 of the VSWMR, the 1993 memorandum has provided the basis for reviewing proposed alternate final cover designs. Amendment 7 to the VSWMR provided alternate final cover system designs for sanitary landfills and CDD or industrial landfills separately, thus setting the new standard for minimum alternate cover designs. Outside of these new alternate designs, owners or operators of solid waste disposal facilities have the option to petition for additional alternate final cover systems meeting the requirements of 9 VAC 20-81-160.D.2.f.
III. Authority The Virginia Waste Management Act (Va. Code § 10.1-1400 et seq.) authorizes the Virginia Waste Management Board to promulgate regulations necessary to carry out its powers and duties and the intent of the Act. Va. Code § 10.1-1410.1 requires submittal of final closure plans to the Department.
In accordance with 9 VAC 20-81-470.A.2., Closure Plans are a required submittal of the Part B solid waste management facility permit application. The required content of these plans is outlined at 9 VAC 20-81-160.B. and includes providing a description of the proposed final cover system. The proposed final cover system shall be designed to achieve the performance requirements of subsection D of this section, which specifies the current minimum required final cover design appropriate for solid waste disposal facilities and provides “pre-approved” alternate final cover designs and equivalency criteria for all other approvable alternate final cover designs.
IV. Definitions The definitions in § 10.1-1400 of the Code of Virginia and § 9 VAC 20-81-10 of the VSWMR apply to the implementation of these procedures and are not included in the list below.
"Bedding layer" means a foundation layer whose purpose is to provide grade control and a smooth surface for overlying layers, typically a flexible membrane liner. Adequate bedding
Guidance Memo No. 2014-01 Page 2 of 9layers can consist of a 6 to 12 inches of soil that is free of rock, fractured stone, debris, cobbles, rubbish, and roots; geocomposite or geotextile bedding layers can also be used, and may need to be paired with a soil component depending on the condition of the intermediate cover layer.
Additionally, depending on the make-up of the bedding layer, this layer can act as a landfill gas collection layer.
"Composite liner" means a bottom liner system consisting of two components. In accordance with RCRA Subtitle D (40 CFR 258), the upper component must consist of a minimum 30-mil flexible membrane liner (60-mil if HDPE), and the lower component must consist of at least a two-foot layer of compacted soil with a hydraulic conductivity of no more than 1x10-7 cm/sec (9 VAC 20-81-130.J.1.a.). The FML/GCL alternate liner specified under 9 VAC 20-81-130.J.1.b., and all other two component liner systems meeting the minimum specifications under Subtitle D are considered a composite liner for purpose of this guidance.
"Drainage layer" means a layer consisting of a geocomposite drainage net (GDN) or alternate drainage material whose purpose is to drain the overlying erosion control/vegetative support layer, thereby reducing seepage forces above the infiltration layer.
"FML" means flexible membrane liner.
"GCL" means geosynthetic clay liner.
"Landfill Gas Collection Layer" means a granular or geosynthetic layer whose purpose is to allow for collection of landfill gas below the infiltration layer and convey the gas to a collection or venting point. In some instances, the bedding layer (defined above) can dually act as a landfill gas collection layer.
"Unlined landfill" means a sanitary landfill that is not underlain by a composite liner (a.k.a.
HB1205 landfill) or a CDD or industrial landfill that is not underlain by one of the liner systems specified under 9 VAC 20-81-130.J.2.
V. Guidance Document The intent of this guidance is to provide solid waste permit writers and solid waste landfill owner/operators and their consultants clarification on the minimum required and acceptable alternate final cover designs based on the type of disposal facility (sanitary, CDD, or industrial landfill) and the facility’s bottom liner system.
The regulations require that the permeability of the final cover system (or rate of surface water infiltration) be less than or equal to the permeability of the bottom liner system (or rate of leachate leakage). This requirement is intended to eliminate the “bathtub” effect where the containment system fills up with leachate once active operations are terminated. The table below outlines the minimum final cover design and acceptable alternate final cover designs for common liner systems. Facilities with a bottom liner system that does not fall within one of the three categories identified must still install a final cover design that meets the minimum requirements of 9 VAC 20-81-160.D.2. The following sections further relate each cover design to site-specific factors in order to meet the regulatory design requirements. The acceptable
Guidance Memo No. 2014-01 Page 3 of 9 Final Cover System – Final Cover System – Bottom Liner System REQUIRED ACCEPTABLE ALTERNATE Single GCL: 24-inch erosion control /vegetative support layer Drainage layer2 GCL Landfill gas collection layer3
Single FML: 24-inch erosion control /Subtitle D: vegetative support layer Unlined or Soil-only 6-inch vegetative support layer1 Drainage layer2 lined Landfill 18-inch infiltration layer (1x10- 5 FML (min 40-mil) cm/sec or lower) Bedding layer4
FML/Soil or FML/GCL: 24-inch erosion control /vegetative support layer Drainage layer2 FML (min 40-mil) 18-inch infiltration layer or GCL Landfill gas collection layer3 Single FML: 24-inch erosion control /vegetative support layer Drainage layer2 Composite Cap: FML (min 40-mil) 24-inch vegetative support Bedding layer4 Single synthetic-lined layer landfill FML (min 40-mil) FML/GCL alternate: 18-inch infiltration layer (1x10- 24-inch erosion control /5 cm/sec or lower) vegetative support layer Drainage layer2 FML (min 40-mil) GCL Landfill gas collection layer3 FML/GCL alternate: Composite Cap: 24-inch erosion control /24-inch vegetative support vegetative support layer layerComposite lined landfill Drainage layer2 FML (min 40-mil) FML (min 40-mil) 18-inch infiltration layer (1x10- 5 GCL cm/sec or lower) Landfill gas collection layer3 1 The regulation stipulates a minimum 6-inch vegetative support layer; however, a 24-inch layer is standard in most of Virginia in order to protect the infiltration layer from the effects of erosion, frost, and wind as stipulated in 9 VAC 20-81-160.D.2.c.(2) 2 While not required by regulation, use of a drainage layer is recommended to prevent storm water infiltration and improve stability of the landfill cap. 3 While not required by regulation, use of a landfill gas collection layer reduces pressure forces beneath the final cover system and allows for collection and removal of landfill gas. 4 While not required by regulation, use of a bedding layer provides grade control and a smooth surface to prevent damage to the FML.
Guidance Memo No. 2014-01 Page 4 of 9alternate final cover designs also include recommendations for additional layers to enhance final cover performance based on common design features seen in submitted permit applications.
Please note, these recommendations are not required design features when considering an alternate final cover design, but should be taken under consideration for site-specific suitability.
Please note, this guidance does not discuss the intermediate cover layer, which shall consist of at least one foot of compacted soil. The final cover system designs discussed in this guidance would be placed above the intermediate cover layer in accordance with the compaction and cover requirements of 9 VAC 20-81-140.B.1.d. (sanitary landfill), C.1.c. (CDD landfill), and D.1.d. (industrial landfill).
V.A Final Covers Appropriate for Unlined and Soil-only Lined Landfills Unlined landfills and those constructed with a soil liner are required to install a final cover system meeting the minimum requirements outlined under 9 VAC 20-81-160.D.2.c. This requires a final cover system consisting of, at a minimum: (1) an infiltration layer constructed of at least 18 inches of earthen material that has a hydraulic conductivity less than or equal to the hydraulic conductivity of any bottom liner sysem or natural subsoils present, but no greater than 1x10-5cm/sec; and (2) an erosion layer that contains a minimum of six inches of earthen material capable of sustaining native plant growth and protecting the infiltration layer from the effects of erosion, frost, and wind. Depending on the facility’s location in Virginia, the typical depth of frost penetration and vegetative root penetration depths may require a thicker layer (upwards of 24 inches) to protect the infiltration layer.
One alternative to the soil infiltration layer specified above, the 18-inch layer can be replaced with a single geosynthetic clay liner (GCL), resulting in a final cover system consisting of, from top down a 24-inch erosion control / vegetative growth layer; and a GCL; over the intermediate cover layer. Inclusion of a drainage layer between the erosion control / vegetative growth layer and the GCL is also recommended to prevent storm water infiltration and improve stability of the landfill cap. Requests for this final cover system will need to be accompanied by additional information citing the long-term GCL performance and stability when exposed to seasonal wet/dry and hot/cold cycles. In addition, GCL cover soils should be investigated to determine ionic content and information provided on how cations present in the soil will interact with the GCL and impacts its hydraulic conductivity.
A second alternative to the soil infiltration layer specified above is to replace the 18-inch layer with a single flexible membrane liner (FML), resulting in a final cover system consisting of, from top down a 24-inch erosion control / vegetative growth layer; a 40-mil minimum FML; and a bedding layer over the intermediate cover layer. Inclusion of a drainage layer between the erosion control / vegetative growth layer and the FML is also recommended to prevent storm water infiltration and improve stability of the landfill cap.
Facilities closing unlined and soil-only lined landfills are encouraged to construct even lower permeability final covers than the required minimum. The primary goal of the final cover system is to prevent the infiltration of rain water. A low permeability (1x10-5 cm/sec or 1x10-7 cm/sec) soil-only final cover system will continue to allow rainwater infiltration, which may be
Guidance Memo No. 2014-01 Page 5 of 9exacerbated by the annual freeze-thaw cycles, settlement due to waste decomposition, soil erosion, deep rooted vegetation, and burrowing animals. Installation of a final cover system including geosynthetics (geomembranes, geosynthetic clay liners, geocomposites, etc.) can decrease the final cover’s permeability and provide drainage of rainwater from the cap system.
Final covers using geosynthetics should be considered for facilities undergoing corrective action for groundwater at the time of closure. Thus, a third alternative to the soil-only infiltration layer specified above is to create a composite cap. This can be accomplished by adding a FML to the soil infiltration layer, resulting in a final cover system consisting of, from top down, a 24-inch vegetative support layer, a FML (min 40-mil), and an 18-inch infiltration layer (1x10-5 cm/sec or lower) or to replace the 18-inch layer with a FML/GCL combination, resulting in a final cover system consisting of, from top down, a 24-inch erosion control/vegetative growth layer; a 40-mil minimum FML; and a GCL. Both of these options are outlined under 9 VAC 20-81-160.D.2.d.
V.B. Final Covers Appropriate for Synthetic-Lined and Composite-Lined Landfills The minimum final cover for a single synthetic-lined CDD or industrial landfill or a composite-lined sanitary landfill includes, from top down, an erosion control layer consisting of 24 inches of soil capable of sustaining native plant growth and protecting the infiltration layer from the effects of erosion, frost, and wind; a geomembrane (minimum 40-mil), and an infiltration layer consisting of 18 inches of earthen material with a hydraulic conductivity less than or equal to 1x10-5 cm/sec.
For single synthetic-lined CDD and industrial landfills, alternative to a composite cap, the infiltration layer can be omitted resulting in a final cover system consisting of, from top down, a 24-inch erosion control/vegetative support layer and a 40-mil FML. A bedding layer should be placed between the FML and intermediate cover to protect the FML. A second option is to replace the soil infiltration layer specified with a GCL, resulting in a final cover system consisting of, from top down, a 24-inch erosion control/vegetative support layer, a 40-mil FML, and a GCL. Depending on the types of wastes disposed, a landfill gas collection layer may also be appropriate under the GCL. The regulation, specifically 9 VAC 20-81-160.D.2.e., allows for CDD and industrial landfills to be closed with a barrier layer consisting of a GCL paired with the 24-inch erosion control/vegetative support layer; however, this final cover system is not appropriate when the bottom liner contains an FML.
For composite-lined sanitary landfills, the 18-inch soil component in the infiltration layer may be replaced with a GCL. This results in a final cover system consisting of, from top down, a 24-inch erosion control / vegetative support layer, a minimum 40-mil FML, and a GCL over the intermediate cover. Again, the use of a drainage layer is recommended between the erosion control/vegetative support layer and FML to prevent storm water infiltration and improve stability of the landfill cap.
V.C. Other Alternate Final Covers The Director may approve other alternate final cover designs that include: (1) an infiltration layer that achieves an equivalent reduction in infiltration as 18 inches of soil with a hydraulic conductivity less than or equal to the hydraulic conductivity of the bottom liner system or natural subsoils (no greater than 1x10-5 cm/sec); and
Guidance Memo No. 2014-01 Page 6 of 9(2) a minimum 24-inch erosion layer that is capable of sustaining native plant growth and provide for protection of the infiltration layer from the effects of erosion, frost, and wind.
- The Infiltration Layer Demonstration The infiltration layer is the portion of the proposed final cover system composed of one or more sequentially-placed low permeability soil or geosynthetic layers. An adequate demonstration will provide HELP Model results and other relavent calculations showing the proposed infiltration layer meets or exceeds the above infiltration requirement. This demonstration should not solely rely on the use of a drainage layer placed above the infiltration layer in a final cover system. The purpose of a drainage layer is to facilitate the removal of rainwater from the final cover system, thus preventing infiltration and instability; thus, this layer is considered part of the erosion layer for purposes of this demonstration. The infiltration layer demonstration needs to show that the proposed alternate infiltration layer meets or exceeds the effectiveness of the infiltration layer otherwise required by regulation.
- Exceptions to the 24-inch erosion layer The requirement to install a 24-inch thick erosion layer indicates that exposed geosynthetic final cover systems are not allowed under the VSWMR. Any requests for exposed geosynthetic covers (e.g. synthetic turf, solar geomembrane covers, etc.) will require submittal of a variance petition in accordance with 9 VAC 20-81-760 that demonstrates the requirements of 9 VAC 20-81-720 are met by the proposal.
Variances for use of EGCs in lieu of installing the required 24-inch erosion layer need to address the longevity of EGCs, stormwater run-off management, anchoring of EGCs against wind uplift, and how repairs will be made from damage due to animals, material degradation, and weather events. The postclosure cost estimate and related Financial Assurance mechanism shall account for the costs associated with removal of the alternate final cover and closure of the landfill with a final cover system meeting the requirements of 9 VAC 20-81-160.D.2. Evaluations of the effectiveness of the EGC will be made during the postclosure care period. At a request for termination of Post-Closure Care, if the EGC remains, the Department will evaluate the performance of the EGC and its viability as an alternate final cover, particularly focusing on the impact of no continued maintenance. This may require a longer post-closure care period, alterations to the alternate final cover, or other actions before the Department will terminate Post-Closure Care.
- RDD Plans for testing of the construction and infiltration performance of alternative final cover systems Alternate final or interim covers can also be applied for under the Research, Development and Demonstration Plan program for sanitary landfills. Covers under these plans would allow testing of the construction and infiltration performance of alternate final cover systems, such as phytocovers or evapotranspirative/water balance covers. Information regarding the applicability and major permit modification for such an alternate final or interim cover are provided in Guidance Memo 05-2009: Research, Development and Demonstration Plans.
Guidance Memo No. 2014-01 Page 7 of 9 V.D. Administrative Procedures
- Staff Review of the Application The facility shall submit revised closure plans at least 180 days prior to the date closure activities are expected to begin. The regulation requires that the Department approve or disapprove of the submitted plan within 90 days of receipt. If the revised closure plan includes changes to the design of final closure cover, the revised closure plan shall be submitted with a major permit modification request. The Department will have 90 days to review the closure plan and indicate whether approval or denial is appropriate in accordance with 9 VAC 20-81-160.B.3. If the decision is to approve the plan (i.e. the plan is administratively complete and technically adequate), the facility shall be notified within the 90 day period of the DEQ’s intention to draft a permit and move forward with the major permit modification.
- Permit Modifications Minor Modifications: Revised closure plans that do not affect the final closure cover design require a minor permit modification to incorporate the revised plan into the facility’s permit. Once the decision to approve the plan has been determined, the regional office solid waste permit writer staff will prepare the minor modification approval letter and provide to the regional land protection manager or appropriate authority for signature. For minor modifications, the goal should be for the minor modification approval letter to be issued within the 90 day review period.
Major Modifications: Revised closure plans requiring a major permit modification require public notification of the draft permit availability with a minimum 30-day public comment period. Once the decision to approve the plan has been determined, the regional office solid waste permit writer will prepare the draft permit and public notification package. The facility will be responsible for placing the prepared public notice in a local newspaper, while staff will ensure the notice is posted on the DEQ website. If a public hearing is requested during the public comment period, the hearing shall be held in the locality of the facility. Public hearings are typically held Tuesday, Wednesday, or Thursday evenings at 7pm in the board of supervisors meeting room at the County Courthouse, other administrative building, or public libraries.
At the end of the public comment period, the Department will review all comments received and determine whether changes to the draft permit are warranted. A final decision on the draft permit will be made within 90 days of the close of the public comment period.
V. Collaboration Process No project team was formed to develop this guidance; however, DEQ Central Office and Regional staff were given opportunity to comment during development. Additionally, comments from interested parties were solicited and considered in the final version.
Guidance Memo No. 2014-01 Page 8 of 9VI. Other Applicable Information The following guidance documents also pertain to landfill closure:
Submission Instruction No. 6: Closure and Post-closure Care Plans for Solid Waste Disposal and Management Facilities
OWPC Memo 2009-04: Final Cap System Hydraulic Conductivity Testing – Infiltration Layer [link is to DEQNet]
Guidance Memo 05-2009: Research, Development and Demonstration Plans
Guidance Memo No. 2014-01 Page 9 of 9
Hazardous Waste Inspector HandbookDoc ID: 6410
HAZARDOUS WASTE
INSPECTOR HANDBOOK
APPENDICES AND
BIBLIOGRAPHY
September, 2017
A - 1Table of Contents - Appendices Appendix 1 – Checklists______________________________________________________________A-3 Appendix 2 – Inspection Letter Models__________________________________________________A-6 Appendix 3 – Links to EPA Guidance___________________________________________________A-23 Appendix 4 – DEQ Access Forms_______________________________________________________A-26 Appendix 5 – Using ECM_____________________________________________________________A-28 Appendix 6 – Applicable DEQ and EPA Policies, Memos and Procedures_____________________A-59 Appendix 7 - Resources and Tools for Inspectors________________________________________A-229 Appendix 8 – Using CEDS___________________________________________________________A-417 Bibliography____________________________________________________________________A-419 A -2 Appendix 1
Checklist Summary with
Hyperlinks to Checklists
A -3CHECKLIST MASTER SUMMARY
NOTE: Includes checklists revised in September 2017
CHECKLIST #
TITLE
HYPERLINK
CHKLIST 1 SURVEY SHEET Checklist 1 - Survey Sheet Rev Sept 2017.docx CHKLIST 2 Permitted Facility Checklist 2 - Permitted Facility September 2017.doc CHKLIST 3 Large Quantity Generator Checklist 3c - LQG September 2017.doc CHKLIST 3.A Small Quantity Generator Checklist 3a - SQG_September 2017.docx CHKLIST 3.B Conditionally Exempt SQG Checklist 3b - CESQG Sept 2017.doc CHKLIST 4 Containers Checklist 4 - Container September 2017.docx CHKLIST 5 Health & Safety Checklist 5 - Health and Safety September 2017.doc CHKLIST 6 Tanks Checklist 6 - Tanks (Short) September 2017.doc CHKLIST 6A SQG Tanks Checklist 6a - SQG Tank September 2017.doc CHKLIST 6B Tanks – Long Version Checklist 6b -Tanks Subpart J (Long) September 2017.docx CHKLIST 7 Used Oil Checklist 7 - Used Oil September 2017.doc CHKLIST 7A Used Oil Transporter Checklist 7a - Used Oil Transporter Sept 2017.doc CHKLIST 7B Used Oil Processor/Re-refiner Checklist 7b - Used Oil Processer - September 2017.doc CHKLIST 8 Universal Waste Checklist 8 - Universal Waste September 2017.docx CHKLIST 8A Lamp Crushing 2017 Checklist 8a - Lamp Crushing September 2017.doc CHKLIST 8B Lamp Crushing Facilities 2017 Checklist 8b - Lamp_Crushing for Facilities' Use 2017.doc CHKLIST 9 Solvent-Contaminated Wipes Checklist 9 - Solvent Contaminated Wipes September 2017.docx CHKLIST 10A Air Emissions Subpart AA Checklist 10 a - AA Air Emissions September 2017.doc CHKLIST 10B Air Emissions Subpart BB Checklist 10 b - BB Air Emissions Sept 2017.docx CHKLIST 10 C Air Emissions Subpart CC Checklist 10 c - CC Air Emissions Sept 2017.doc CHKLIST 11 Transporters Checklist 11 - Transporter September 2017.doc CHKLIST 12 Wood Preservers Checklist 12 - Wood Preserver September 2017.docx CHKLIST 13 Land Treatment Checklist 13 - Land Treatment September 2017.doc CHKLIST 14 Surface Impoundment Checklist 14 - Surface Impoundment September 2017.doc CHKLIST 15 Waste Piles Checklist 15 - Waste Piles September 2017.doc CHKLIST 16 Landfills Checklist 16 - Landfills September 2017.doc CHKLIST 17 Groundwater Monitoring Checklist 17 - Groundwater Monitoring September 2017.doc CHKLIST 18 Incinerator Checklist 18 - Incinerator September 2017.doc CHKLIST 18a Incinerator Health & Safety Checklist 18a - Incinerator h&s September 2017.doc CHKLIST 19 Waste Minimization Checklist 19 - Waste_minimization September 2017.doc CHKLIST 20A Condenser Checklist 20a - Condenser September 2017.doc CHKLIST 20B Thermal Vapor Incinerator Checklist 20b - Thermal Vapor Incinerator September 2017.doc CHKLIST 20C Catalytic Vapor Incinerator Checklist 20c - Catalytic Vapor Incinerator September 2017.doc CHKLIST 20 D Boiler/Process Heater Checklist 20d - Boiler Process Heater September 2017.doc CHKLIST 20E Flares Checklist 20e - Flares September 2017.doc CHKLIST 20F Carbon Adsorbers Regen Checklist 20f - Carbon Adsorbers Regen September A -4 2017.doc Checklist 20g - Carbon Adsorbers Non-regen September CHKLIST 20 G Carbon Adsorbers Non-Regen 2017.doc CHKLIST 20H Thermal Treatment Checklist 20h - Thermal_treatment September 2017.doc Checklist 21 - General Closure-PostClosure September CHKLIST 21 Closure/Post-Closure 2017.doc Permit vs. Operating Checklist 22 - Comparison of Pemit vs Op Cond September CHKLIST 22 Conditions 2017.doc Virginia-specific Checklist 23 VA-specific requirements September CHKLIST 23 Requirements 2017.doc CHKLIST 24 Waste Stream Information Checklist 24 - Waste_information September 2017.doc Land-Disposal Restrictions Checklist 25 - land disposal restrict-TSD September CHKLIST 25 TSD 2017.doc Land-Disposal Restrictions Checklist 25b - land disposal restrict - transporter CHKLIST 25B Transporter September 2017.doc CHKLIST 26 DSW - HSM Checklist 26 - DSW July 2017.doc CHKLIST 28 Non-notifier Checklist Checklist 28 -Non-notifier checklist September 2017.doc
A -5 Appendix 2
Inspection Letter Models
a. Model – Deactivation Memo b. Model – Deactivation Letter c. Model - No Violation Letter d. Model – 110 Informal Correction Letter e. Model – 119 Warning Letter (WL) f. Model – Warning Letter Return to Compliance g. Model – 120 Notice of Violation (NOV)
Revised September 2017
A -6DEACTIVATION MEMO FORMAT [Regional Letterhead]
MEMORANDUM DATE: [Date] TO: Kimberlyn Hughes, DEQ, Office of Financial Responsibility & Waste Programs FROM: [Inspector Name], Hazardous Waste Inspector, [Region] Regional Office RE: Implementer Action Requested - Deactivation [Facility Name], [EPA ID #], [Address] On [Inspection Date], DEQ staff attempted to complete a RCRA Hazardous Waste Compliance Evaluation Inspection at the referenced facility, [Facility Name]. The original hazardous waste notification was submitted on [Date of original notification], and the facility had never been inspected. The address, [Facility Address] is currently a [Current use of the property]. [Include here any necessary further discussion about the property use]. The current owner, [Owner Name], was contacted and indicated that this new company, [New Company Name], does not generate hazardous waste and is not an Other RCRA Handler. [Any other details obtained about the site or the property can be included, such as GPS data from the County website, or an aerial photo from google of an empty lot.] Based on the DEQ inspection attempt, observation of the current site conditions, and age and generality of the original notification, DEQ staff requests the following action: Deactivate, with this inspection memorandum, [EPA identification number VADxxxxxxxx], [Facility Name], [Facility Address].
A completed RCRAInfo form for this facility is attached. If you have any questions, please let me know.
A -7
MODEL DEACTIVATION LETTER [REGIONAL LETTERHEAD] [date] [RP Contact] [Title] [RP Name] [RP Address] [City, State, Zip Code]
Re: [Current Facility Name] [Facility Location] Former [Former Facility Name] EPA Identification Number [x]
Dear [Current Facility Contact or Off-site Contact for Former Facility]:
On [Inspection Date], Virginia Department of Environmental Quality (“DEQ”) staff attempted to conduct a RCRA Hazardous Waste Compliance Evaluation Inspection at the referenced facility, [Former Facility Name], located at [Former Facility address]. This facility had been identified in the RCRA Information database as a [Generator Status in RCRAInfo] of hazardous waste and previously assigned EPA identification number [EPA ID#] following Notification of Hazardous Waste Activity submitted to EPA on [original notification date]. The site had not been inspected for hazardous waste management by DEQ.
At the time of the attempted inspection, DEQ staff noted that the location is currently occupied by [any number of situational possibilities exist. Include facility-specific information, and any details related to contacts made at the facility’s former location, or corporate contacts made to verify closure of the facility at that location]. According to your response, [no hazardous waste, used oil or universal waste is generated or managed at this location.]
With your concurrence, the EPA identification number assigned to [Former facility name, address], [EPA ID#], will be deactivated effective with this letter. No further response is required.
I am your contact at DEQ in this matter. Please direct written materials to my attention. If you have questions or wish to arrange a meeting, you may reach me directly at [(xxx) xxx-xxxx] or [Contact Name]@deq.virginia.gov.
Sincerely,
[Name] Hazardous Waste Inspector
cc: Facility File
Kim Hughes, OFRWP
A -8NO VIOLATIONS LETTER FORMAT [Regional Letterhead] [DATE] [Responsible Party] [Responsible Party Address] RE: RCRA Hazardous Waste Compliance Inspection [Facility]– EPA ID # [VAXXXXXX] [Facility Address]
Dear [Responsible Party]: Thank you for your assistance during the Virginia Department of Environmental Quality (DEQ) hazardous waste compliance evaluation inspection (CEI) conducted at your facility on [inspection date]. During this inspection, the facility was evaluated to determine compliance with the Virginia Hazardous Waste Management Regulations (VHWMR).
This facility had been identified in the RCRA Information System database as a [large quantity generator (LQG), small quantity generator (SQG), conditionally exempt small quantity generator (CESQG)] of hazardous waste, generating [more than 1,000 kg (2,200 lb), between 100 kg and 1000 kg (220 lb to 2200 lb), less than 100 kg (220 lb)] per month. Based on observations and hazardous waste records reviewed during the inspection, DEQ staff noted that the facility was operating as a [LQG, SQG, CESQG] at the time of the inspection, and the facility was inspected for compliance with [LQG, SQG, CESQG] requirements.
Based on observations, personnel interviews, and a review of the documents obtained as a result of this inspection, it appears that your facility was in compliance with the VHWMR requirements.
Enclosed are copies of the survey sheet and checklists completed during the inspection.
[Additional Concerns](Optional): [Use this section to highlight any issues of future potential non-compliance and attach appropriate guidance].
Ex 1: The facility occasionally used products in aerosol cans during routine operations. The used aerosol cans would be classified as hazardous waste unless punctured and drained, and would therefore need to be disposed of accordingly. Included with this inspection report is a document on the management of aerosol cans. This document and other helpful hazardous waste guidance can be found on the DEQ website at: http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/SolidHazardousWasteRegulator yPrograms/HazardousWaste.aspx.
Ex 2: DEQ suggests and requests that the facility submit a revised (subsequent) notification to change its hazardous waste generator status to [LQG, SQG, CESQG]. A RCRA Subtitle C Identification Form (EPA Form 8700-12) is enclosed with this letter and the instructions for preparing and submitting the form may be accessed at the website link:
A -9 http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/SolidHazardousWasteRegulator yPrograms/HazardousWaste.aspx If you have any questions, please feel free to contact me at [phone number] or [email address].
Sincerely, [signature] [your name] Hazardous Waste Inspector Enclosures: [itemize enclosures]
A -10 INFORMAL CORRECTION LETTER FORMAT [Regional Letterhead] [DATE] [Responsible Party] [Responsible Party Address] RE: RCRA Hazardous Waste Compliance Inspection [Facility]– EPA ID # [VAXXXXXX] Dear [Responsible Party]: On [Inspection Date], Virginia Department of Environmental Quality (DEQ) [Region] Regional Office staff conducted a RCRA Hazardous Waste Compliance Evaluation Inspection [or Focused Compliance Inspection] of [Facility Name] located at [Facility Address]. [Reason for the inspection, if other than routine inspection – example “The inspection was completed in response to a complaint referred to DEQ regarding waste and container management practices at the facility.”] This inspection focused on a review of site operational practices with respect to compliance with the Virginia Hazardous Waste Management Regulations (“VHWMR”). Copies of the Survey Sheet and checklists completed as a part of this inspection are enclosed. This letter and enclosed inspection checklists are not a case decision or fact finding under the Administrative Process Act. VA. Code § 2.2-4001 et.seq. [Facility Name] had previously notified DEQ as a [Generator Status – Large Quantity Generator (LQG), Small Quantity Generator (SQG) or Conditionally Exempt Small Quantity Generator (CESQG)] of hazardous waste. During the site visit, apparent noncompliance with the VHWMR was observed and subsequently corrected by [Facility Name] staff as discussed in detail below. No further response or action is requested by DEQ at this time.
OBSERVATIONS AND LEGAL REQUIREMENTS The information below outlines the DEQ inspector’s observations and the applicable legal requirements.
- Observation: [Give details of factual observations only; do not describe them in terms of violation(s) or conclusions of law. Then, for each set of observations, state specifically the applicable statutory or regulatory provision that applies in a separate paragraph in bold font. This section should refer to the inspection summary or inspection checklist. Use numbered paragraphs for each factual condition being addressed.] Legal Requirements: Title 40 of the Code of Federal Regulations (40CFR) [RCRA Citation] as referenced by Title 9 of the Virginia Administrative Code (9VAC) 20-60-xxx states, “...” A -11 Corrective Action Taken [or Resolution]: [provide a brief description of the corrective action taken by the facility during the inspection or subsequent to but prior to complete of this letter to correct the alleged violation].
AREAS OF CONCERN
[If needed, include here any observations that were not violations, but if not corrected, could become violations. Indicate whether applicable guidance has been attached to the Inspection Report].
No further action is required at this time. If you have any questions or need any additional information, please do not hesitate to contact me at [e-mail] or [phone].
Sincerely,
[Inspector] Hazardous Waste Inspector
Enclosures
cc: Case File
A -12 [Letterhead]
SAMPLE WARNING LETTER
[date]
[RP Contact] [Title] [RP Name] [RP Address] [City, State, Zip Code]
WARNING LETTER
Re: WL No. 00-00-RO-000 [if numbered] [Facility Name] [Facility Location] EPA Identification Number [x]
Dear [RP Contact]:
The Department of Environmental Quality (DEQ or the Department) has reason to believe that the [RP Name] may be in violation of the Waste Management Law and Regulations at [Facility Name].
This letter addresses conditions at the facility named above, and also cites compliance requirements of the Waste Management Law and Regulations. Pursuant to Va. Code § 10.1-1455(G), this letter is not a case decision under the Virginia Administrative Process Act, Va. Code § 2.2-4000 et seq. (APA). DEQ requests that you respond within 20 days of the date of this letter.
OBSERVATIONS AND LEGAL REQUIREMENTS
On [date], DEQ staff conducted a Compliance Evaluation Inspection [or Focused Compliance Inspection] (CEI) [or FCI] of the [Facility Name]. The CEI was conducted to evaluate facility compliance with applicable Virginia Hazardous Waste Management Regulations (VHWMR). The inspection checklists are attached. The following describe the staff’s factual observations and identify the applicable legal requirements.
- Observations: [Give details of factual observations only; do not describe them in terms of violation(s) or conclusions of law. Then, for each set of observations, state specifically the applicable statutory or regulatory provision that applies in a separate paragraph in bold font. This section should refer to the inspection summary or inspection checklist. Use numbered paragraphs for each factual condition being addressed.]
Legal Requirements: Title 40 of the Code of Federal Regulations (40CFR) [RCRA Citation] as referenced by Title 9 of the Virginia Administrative Code (9VAC) 20-60-xxx states, “...”
- Observations:...
Legal Requirements: 40CFR[citation] as referenced by 9VAC[citation] states: ...
A -13ENFORCEMENT AUTHORITY Va. Code § 10.1-1455 of the Waste Management Act provides for an injunction for any violation of the Waste Management Act, Waste Management Board regulations, an order, or permit condition, and provides for a civil penalty up to $32,500 per day of each violation of the Waste Management Act, regulation, order or permit condition. In addition, Va. Code § 10.1-1455(G) authorizes the Waste Management Board to issue orders to any person to comply with the Waste Management Act and regulations, including the imposition of a civil penalty for violations of up to $100,000. Also, Va. Code § 10.1-1186 authorizes the Director of DEQ to issue special orders to any person to comply with the Waste Management Act and regulations. Va. Code §§ 10.1-1455(D) and 10.1-1455(I) provide for other additional penalties.
FUTURE ACTIONS After reviewing this letter, please respond in writing to DEQ within 20 days of the date of this letter detailing actions you have taken or will be taking to ensure compliance with state law and regulations. If corrective action will take longer than 90 days to complete, you may be asked to sign a Letter of Agreement or enter into a Consent Order with the Department to formalize the plan and schedule. It is DEQ policy that appropriate, timely, corrective action undertaken in response to a Warning Letter may avoid adversarial enforcement proceedings and the assessment of civil charges or penalties.
Please advise us if you dispute any of the observations recited herein or if there is other information of which DEQ should be aware. In the event that discussions with staff do not lead to a satisfactory conclusion concerning the contents of this letter, you may elect to participate in DEQ’s Process for Early Dispute Resolution. Also, if informal discussions do not lead to a satisfactory conclusion, you may request in writing that DEQ take all necessary steps to issue a final decision or fact finding under the APA on whether or not a violation has occurred. For further information on the Process for Early Dispute Resolution, please see Agency Policy Statement No. 8-2005 posted on the Department’s website under “Programs,” “Enforcement,” and “Laws, Regulations, & Guidance”: (http://www.deq.virginia.gov/Programs/Enforcement/Laws,Regulations,Guidance.aspx) or ask the DEQ contact listed below.
Your contact at DEQ in this matter is [Contact Name]. Please direct written materials to [his/her] attention. If you have questions or wish to arrange a meeting, you may reach [him/her] directly at [(xxx) xxx-xxxx] or [Contact Name]@deq.virginia.gov.
Sincerely, [Name] Regional Land Protection Manager cc: Facility File Hazardous Waste Inspector
A -14
SAMPLE INFORMAL CORRECTIONS LETTER
[Letterhead]
[date]
[RP Contact] [Title] [RP Name] [RP Address] [City, State, Zip Code]
Re: Inspection Report Resolutions [Facility Name] [Facility Location] EPA Identification Number [x]
Dear [RP Contact]:
On [date of document review], Virginia Department of Environmental Quality (DEQ) staff reviewed the documentation provided by [RP Name] by [response letter or email] dated [date] with respect to the hazardous waste inspection conducted at your facility on [inspection date].
The following summarizes outstanding areas of noncompliance observed during the inspection, and details actions taken to bring your facility back into compliance:
- Observation: [Block and copy the observations and legal requirements detailed in the original Warning Letter]
Legal Requirements: [Block and copy the observations and legal requirements detailed in the original Warning Letter]
Resolution: [provide a brief description of the corrective action taken by the facility to correct the alleged violation noted in the Warning Letter. Cite specific documentation or observations].
- Observation: [Block and copy the observations and legal requirements detailed in the original Warning Letter]
Legal Requirements: [Block and copy the observations and legal requirements detailed in the original Warning Letter]
Resolutions: [provide a brief description of the corrective action taken by the facility to correct the alleged violation noted in the Warning Letter. Cite specific documentation or observations].
A -15The information submitted by your facility adequately addresses the issues noted in the Warning Letter and inspection report dated [date]. No further action is required at this time.
Staff appreciates your efforts in correcting the deficiencies. If you have any questions, please contact me at [(xxx) xxx-xxxx] or [Contact Name]@deq.virginia.gov.
Sincerely,
[Inspector Name] [Title]
cc: Case File
A -16 SAMPLE NOTICE OF VIOLATION
[Regional Letterhead]
[date]
[RP Contact] [Title] [RP Name] [RP Address] [City, State, Zip Code]
NOTICE OF VIOLATION
RE: NOV No. [x] [Facility Name] [Facility Location] [EPA Identification Number] [x]
Dear [RP Contact]:
This letter notifies you of information upon which the Department of Environmental Quality (Department or DEQ) may rely in order to institute an administrative or judicial enforcement action. Based on this information, DEQ has reason to believe that the [RP Name] may be in violation of the Waste Management Law and Regulations at [Facility Name (if different than RP) and Location].
This letter addresses conditions at the facility named above, and also cites compliance requirements of the Waste Management Law and Regulations. Pursuant to Va. Code § 10.1-1455(G), this letter is not a case decision under the Virginia Administrative Process Act, Va. Code § 2.2-4000 et seq. (APA). DEQ requests that you respond within 10 days of the date of this letter to arrange a prompt meeting.
OBSERVATIONS AND LEGAL REQUIREMENTS
On [date], DEQ [Regional Office] staff conducted a Compliance Evaluation Inspection [or Focused Compliance Inspection] (CEI) [or FCI] of the [Facility Name] located at [Facility Address]. The CEI was conducted to evaluate facility compliance with applicable Virginia Hazardous Waste Management Regulations (VHWMR). Copies of the inspection checklists are attached. Staff also reviewed documents provided to DEQ during the course of the inspection.
The following describe the staff’s factual observations and identify the applicable legal requirements:
- Observations: [Give details of factual observations only; do not describe them in terms of violation(s) or conclusions of law. Then, for each set of observations, state specifically the applicable statutory or regulatory provision that applies in a separate paragraph in bold font. This section should refer to the inspection summary or inspection checklist. Use numbered paragraphs for each factual condition being addressed.]
A -17 Legal Requirements: Title 40 of the Code of Federal Regulations [40CFR] [Fed. Citation] as referenced by Title 9 of the Virginia Administrative Code [9VAC] 20-60-xxx states, “ ...”.
- Observations:...
Legal Requirements: 40CFR_____ as referenced by 9 VAC 20-60-xxx states, “ ”
ENFORCEMENT AUTHORITY
Va. Code § 10.1-1455 of the Waste Management Act provides for an injunction for any violation of the Waste Management Act, Waste Management Board regulations, an order, or permit condition, and provides for a civil penalty up to $32,500 per day of each violation of the Waste Management Act, regulation, order, or permit condition. In addition, Va. Code § 10.1-1455(G) authorizes the Waste Management Board to issue orders to any person to comply with the Waste Management Act and regulations, including the imposition of a civil penalty for violations of up to $100,000. Also, Va. Code § 10.1-1186 authorizes the Director of DEQ to issue special orders to any person to comply with the Waste Management Act and regulations. Va. Code §§ 10.1-1455(D) and 10.1-1455(I) provide for other additional penalties.
FUTURE ACTIONS
DEQ staff wishes to discuss all aspects of their observations with you, including any actions needed to ensure compliance with state law and regulations, any relevant or related measures you plan to take or have taken, and a schedule, as needed, for further activities. In addition, please advise us if you dispute any of the observations recited herein or if there is other information of which DEQ should be aware. In order to avoid adversarial enforcement proceedings, [RP Name] may be asked to enter into a Consent Order with the Department to formalize a plan and schedule of corrective action and to settle any outstanding issues regarding this matter, including the assessment of civil charges.
In the event that discussions with staff do not lead to a satisfactory conclusion concerning the contents of this letter, you may elect to participate in DEQ’s Process for Early Dispute Resolution.
Also, if informal discussions do not lead to a satisfactory conclusion, you may request in writing that DEQ take all necessary steps to issue a final decision or fact finding under the APA on whether or not a violation has occurred. For further information on the Process for Early Dispute Resolution, please see Agency Policy Statement No. 8-2005 posted on the Department’s website under “Programs,” “Enforcement,” and “Laws, Regulations, & Guidance” (http://www.deq.virginia.gov/Programs/Enforcement/Laws,Regulations,Guidance.aspx) or ask the DEQ contact listed below.
Please contact [Enforcement Staff Name] at [(xxx) xxx-xxxx] or [Contact.Name @deq.virginia.gov within 10 days to discuss this matter and arrange a prompt meeting.
Sincerely,
A -18 [Name]
Regional Land Protection Manager
cc: CASE FILE
Regional Enforcement Specialist
HW Inspector
HW Compliance Coordinator
A -19 [Regional Letterhead]
INFORMATION REQUEST LETTER
[LETTERHEAD]
[Date]
[Facility Contact] [Title] [Facility Name] [Street Address] [City, State, Zip Code]
REQUEST FOR INFORMATION
RE: [Facility name], [EPA Identification Number]
Dear [Facility Contact]:
This letter seeks your cooperation in providing certain information to the Department of Environmental Quality ("Department") to assist DEQ in its implementation and enforcement of the Waste Management Act and regulations. Please give this matter immediate attention and provide a complete response to this request for information and documents within [insert # of days] days of receipt of this letter.
BACKGROUND
[Provide summary information concerning previous compliance and enforcement actions including the date of relevant inspections, date and content of any Warning Letters or Notices of Violations, and effective date and relevant requirements of any Orders. The summary should provide the factual information based upon which DEQ believes that a violation of the relevant law, regulation, permit or order may have occurred or upon which DEQ has initiated an investigation to determine the Facility's compliance with the law, regulation or order. Do not describe the facts in terms of violations or conclusions of law.]
AUTHORITY FOR REQUEST
While DEQ prefers your cooperation in providing the information requested below, compliance with this information request is required by law. Failure to respond in a timely manner or to supply complete and truthful responses to this request may result in an enforcement action to obtain the requested information, and may result in the imposition of penalties for noncompliance.
Code § 10.1-1402 authorizes the Virginia Waste Management Board ("Board") to collect data necessary to conduct the state waste programs, including data on resource recovery and the
A -20identification of and amounts of waste generated, transported, stored, treated or disposed. The Board is also authorized to require any person who generates, collects, transports, stores or provides treatment or disposal of a hazardous waste to maintain records, manifests, and reporting systems required pursuant to federal statutes or regulation.
Code § 10.1-1458 provides that every person that DEQ has reason to believe is generating, storing, transporting, disposing of, or treating waste shall, on request of DEQ, furnish such plans, specifications, and information as the Department may require in the discharge of its duties under the Virginia Waste Management Act.
Code § 10.1.-1409 provides that any permit issued by the Director may be revoked, amended or suspended if the applicant has knowingly or willfully misrepresented or failed to disclose a material fact in applying for a permit or in his disclosure statement, or in any other report or certification required under the law or under the regulations of the Board.
Code § 10.1-1455 of the Waste Management Act provides for an injunction for any violation of the Act, any Waste Management Board regulation, any condition of a permit or certification, or order.
The same statute provides for a judicially imposed civil penalty up to $25,000 per day of such violation.
Code § 10.1-1455 also authorizes the Board to issue orders to address such violations and impose penalties up to $25,000 per violation. In addition, Code § 10.1-1186 authorizes the Director of DEQ to issue special orders to any person to comply with the Act and regulations and to impose a civil penalty of not more than $10,000.
The Court has the inherent authority to enforce its injunction, and is authorized to award the Commonwealth its attorneys' fees and costs.
Code § 10.1-1455 provides that any person who knowingly makes any false statements or representation in any application, disclosure statement, label, manifest record, report, permit, or other document filed, maintained, or used for purposes of hazardous waste program compliance shall be guilty of a felony punishable by a term or imprisonment of not less than one year nor more than five years and a fine of not more than $25,000 for each violation, either or both.
Section 3007 of the Solid Waste Disposal Act (42 USC § 6927) provides that, for the purposes of enforcing the provisions of that chapter, any person who generates, stores, treats, transports, disposes of, or otherwise handles or has handles hazardous waste shall, upon request of any duly designated officer, employee, or representative of a State having an authorized hazardous waste program, furnish information relating to such wastes and permit such person at all reasonable times to have access to, and to copy all records relating to such wastes. Virginia has an authorized state hazardous waste program. [For Permitted Facilities:] [Check to see if the permit contains a requirement to provide information. If so, reference this also.] CONFIDENTIALITY OF INFORMATION Code § 10.1-1458 provides that trade secret information included within any plans, specifications, or information submitted pursuant to that section shall be excluded from the production under the Virginia Freedom of information Act, provided that you: (i) invoke this exclusion upon submission of the data or materials for which protection from disclosure is sought, A -21 (ii) identify the data or materials for which protection is sought, and (iii) state the reasons why protection is necessary. See Va. Code § 2.2-3705.6(26). DEQ may disclose such trade secret information to the appropriate officials of the Environmental Protection Agency pursuant to the requirements of the federal Solid Waste Disposal Act, 42 U.S.C. § 3251, et seq., or as otherwise required by law.
If you request all or portion of the information submitted as a trade secret, please see DEQ's Guidance on Trade Secret Protection Requests under the Virginia Waste Management Act. The guidance can be found at: http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/LawsRegulationsGuidance/Guidanc e.aspx The Guidance contains a form that should be submitted along with your information to claim this protection.
REQUEST FOR INFORMATION AND DOCUMENTS
Terms used in this request shall have the meaning set forth in the Virginia Waste
Management Act § 10.1-1400 and accompanying regulations at 9 VAC 20-60-10 and 9 VAC 2080-10.
[Identify here the information or documents you are seeking. Questions should be clear and specific and phrased to minimize the likelihood of a nonresponsive submission.]
Your point of contact for this matter is [DEQ staff member] at (XXX) XXX-XXXX. Please submit your response to [her/him] within [thirty] days of the date of this letter. Questions concerning the information requested herein, or other information that DEQ should consider should also be directed to this contact.
Sincerely,
[Name] [Title]
Cc:
A -22 Appendix 3
Links to EPA Guidance
A -23Appendix 3 - Links to EPA Guidance and Websites Links to EPA Documents related to RCRA Compliance Monitoring RCRA Subtitle C Program Compliance Monitoring Strategy RCRA Enforcement Response Policy RCRA Enforcement Response Policy Addendum RCRA Civil Penalty Policy Link to RCRA Orientation Manual - https://www.epa.gov/sites/production/files/2015-07/documents/rom.pdf Inspection protocol manuals for the RCRA Subtitle C and D programs: Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of RCRA Guidance to aid regulated entities in complying with the regulations under Subtitle D of RCRA. http://nepis.epa.gov/Exe/ZyPDF.cgi/500001QF.PDF?Dockey=500001QF.PDF
Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under the Resource Conservation and Recovery Act Guidance to explain performance objectives for environmental auditors - summary of environmental regulations under RCRA. http://www2.epa.gov/compliance/guidance-protocol-conducting-environmental-compliance-audits-hazardous-waste-generators
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under the Resource Conservation and Recovery Act - Guidance to aid regulated entities in complying with the regulations under RCRA. http://www2.epa.gov/compliance/guidance-protocol-conducting-environmental-compliance-audits-storage-tanks-under-resource Protocol for Conducting Environmental Compliance Audits of Treatment, Storage and Disposal Facilities under the Resource Conservation and Recovery Act Guidance to explain performance objectives for environmental auditors - summary of environmental regulations under RCRA. http://www2.epa.gov/compliance/guidance-protocol-conducting-environmental-compliance-audits-treatment-storage-and
Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators under the Resource Conservation and Recovery Act Guidance to aid regulated entities in complying with the regulations under RCRA. http://nepis.epa.gov/Exe/ZyPDF.cgi/500001UN.PDF?Dockey=500001UN.PDF General Information Biennial Reports - http://www.epa.gov/osw/inforesources/data/biennialreport/index.htm Annual Enforcement and Compliance Reporting Plans - http://intranet.epa.gov/oeca/oc/etdd/reporting/index.html National Priorities - http://epa.gov/compliance/data/planning/priorities/index.html#priorities A -24 RCRA Subtitle D - www.epa.gov/epawaste/nonhaz/index.htm State Review Framework - www.epa-otis.gov/otis/stateframework.html Watch List - www.epa-otis.gov/watchlist
Link to State Review Framework oversight resources guidance documents: https://www.epa.gov/compliance/state-oversight-resources-and-guidance-documents
Guidance / Memoranda
Guidance for RCRA Core LQG Pilot Projects (Alternative Plans / State Flexibility Plans) http://www.epa.gov/compliance/resources/policies/monitoring/rcra/fy08rcraguidancelqgproject.pdf
National Program Managers Guidance (FY2010) http://www.epa.gov/ocfo/npmguidance/index.htm
Performance Based Strategies for OECA’s National Priorities FY2008-2010 http://intranet.epa.gov/oeca/oc/npmas/priorities/index.html
RCRA Inspection Manual (Revised, Nov. 1998) http://www.epa.gov/compliance/resources/policies/civil/rcra/rcrarevinspman-rpt.pdf
RCRA State Oversight Inspection Guide (Dec. 1987) http://www.epa.gov/Compliance/resources/policies/rcra/rcrastosinspgu-rpt.pdf
Review of RCRA Inspection Report Practices (2007) http://intranet/epa.gov/compliance/oc/caspd
Role of the EPA Inspector in Providing Compliance Assistance During Inspections (June 25, 2003). http://kodiak.r07.epa.gov/intranet/enviroprograms/role_of_inspector.pdf
ASTSWMO RCRAInfo User’s Manual http://astswmo.org/files/policies/Hazardous_Waste/2012.09-RCRAInfo_Guide-REVISED-FINAL.pdf
RCRA Orientation Manual 2014 https://www.epa.gov/sites/production/files/2015-07/documents/rom.pdf
Here is the link to the RCRAInfo Reporting Tool - https://cfext.epa.gov/RCRARep_MX/login/login1.cfm
Digital Image Guidance for EPA Civil Inspections and Investigations, June 2017: https://www.epa.gov/compliance/guidance-digital-image-guidance-epa-civil-inspections-and-investigations
Protocol for Conducting Environmental Compliance Audits for Hazardous Waste Generators Under RCRA: https://www.epa.gov/compliance/guidance-protocol-conducting-environmental-compliance-audits-hazardous-waste-generators
A -25 Appendix 4 DEQ Access Forms
Revised September 2017
A -26Hyperlinks to DEQ Forms DEQNet Form: http://deqnet/programs/admin/ois/forms/documents/Master_Access_Form.pdf
Computer Equipment Request Form: http://deqnet/programs/admin/ois/forms/documents/Computer_Request_Form.pdf
DEQNet/External Website Access: http://deqnet/programs/admin/ois/forms/documents/DEQNet_Form.pdf
External Agency Access: http://deqnet/programs/admin/ois/forms/documents/Admin_Access_Form.pdf
Special Network : Access Request Form: http://deqnet/programs/admin/ois/forms/documents/Special_Network_Access_Request_Form.pdf
VITA VCCC Services Procedure: http://deqnet/programs/admin/ois/vita/documents/VCCC_Request_Process.pdf
Link to Remote Outlook Web Access: https://webmail.vita.virginia.gov/owa/auth/logon.aspx?replaceCurrent=1&url=https%3a%2f%2fwebmail.vita.vi rginia.gov%2fowa%2f A -27 Appendix 5
Using ECM
A -28 APPENDIX 5
USING ECM
Please note, ECM information was obtained from DEQNet. However, much of this information is outdated and has not been updated. Where possible, outdated information has been identified. ECM rules for hazardous waste compliance documents are currently in the process of being developed and will be placed in this section during a future revision.
- Introduction - What is ECM?
ECM stands for Enterprise Content Management and is the capture, management, storage, preservation and delivery of agency information stored I digital format. This digital information includes permits, spreadsheet, presentations, photos, PDFs and other content. The current ECM system is by IBM FileNet.
FileNet includes a record manager component that will be used to track retention schedules and affect record destruction. DEQ’s ECM home page can be found at http://deqnet/programs/ecm/index.asp.
ECM makes it possible for several DEQ staff to view the same electronic documents from practically anywhere. This helps DEQ to realize its 20% telecommuting goal, and is expected to reduce operating costs through the use of less paper, reduced required lease space, energy savings, and increased efficiency.
OHW began implementation of ECM on May 1, 2009. The initial effort focused on HW permitting, closure, corrective action and groundwater files. Emergency permit files were added in 2010, and transporter permit files are due to be added in early 2011. Compliance files are being addressed as a separate effort led by the regional offices. Implementation covers storage and retrieval of existing files as well as incoming and outgoing mail and e-mail. QA/QC procedures are also being implemented.
Future enhancements to ECM will go beyond simply storage and retrieval and will include such features as routing incoming mail electronically.
This staff guide captures various elements of the implementation process. It is expected that the guide will be updated and revised based on initial comments as well as future identification of best practices once we have gained some experience with the ECM system.
HW documents to be added to ECM are defined in the program-specific HW Retention Schedule which defines the agency’s HW records and their associated retention periods.
- File Definitions
File storage in ECM is based on the retention schedule (= defines how long to keep a document before destroying it) and file series (= defines a group of related documents) approved by the Library of Virginia for hazardous waste files. Additionally, HW staff defined various general document types that are associated with each file series.
The file series and document types for the hazardous waste program’s retention schedule are compiled in the following location: HW Document Type Definitions. This information is necessary to enter documents into ECM. To determine the appropriate file series, please check the definitions first, then seek guidance from the appropriate staff or supervisor.
A -29NOTE: The document types that state “Final…” should only be used upon completion of clean closure and termination of post-closure care at an entire facility. These document types initiate the countdown for disposing of documents in accordance with the retention schedule.
- Document Rules a. The maximum file size currently accepted by ECM is 50 MB. Larger documents should be separated and paperclipped together.
b. Only final documents should be entered into ECM at the present time (no documents that are works in progress).
c. Draft permits or other documents that are going out for public comment are considered final documents. d. Documents should be in pdf format. Pdfs can be created either directly from MS Office, by using the high-volume Kofax scanners or by using the multi-function Xerox scanners. Pdfs created with the multi-function scanners may not allow “contained in” searches for words or phrases within the document. This should be considered when deciding which method to use.
e. Pdf files submitted by facilities on CDs should be checked to ensure that they can be searched.
If the document is searchable, it can be entered into ECM from the CD. (See “Adding documents to ECM from CDs”)
- Data Dictionary The following data dictionary defines the fields needed for entering a document into Filenet, either by scanning a document into ECM using the high-volume scanners, or by adding a document using the Add a Document function in ECM. The HW-specific definitions are provided below: Division/Media = Hazardous Waste Office = Central Office or appropriate Regional Office Doc owner = scanner operator or generally staff adding document to FileNet Facility number = EPA ID number (VA…. Or VAD….) Note: case sensitive Doc Date = date of document Received Date = date of “received” stamp RS::FS::DT = Retention Schedule::File Series::Document Type Functional Activity = Permit for all file series except for 9535 – Compliance Files Program/Permit Type = RCRAInfo for facilities in RCRAInfo, including CESQGs (may be a lag before facility is entered) = Provisional for facilities with provisional numbers A -30 = Emergency for facilities with emergency permits = Instate Transporter for facilities with in-state transporter permits = OOS Transporter for facilities with out-of-state transporter permits Case ID = emergency permit number for program type emergency = transporter permit number for program types in-state transporter/out-of-state transporter = [no entry] for program types RCRAInfo and provisional Doc title = is automatically generated from scanner as [fac id – doc type – date] but the fac ID should be replaced with the facility name to make searches easier; when adding documents electronically, the doc title should also include the facility name and be descriptive but not too detailed; recommended format is fac name – doc type – date to be consistent with scanned documents
- Additional Indexing Fields Additional indexing fields can be found under the Add A Document screen and should be entered as follows: Contributor = Source of document (e.g. Kofax scanner) Agency contact = gw staff for gw file series, project manager for permitting and CA file series, inspector for compliance file series Keywords = specify if oversized maps are stored in hardcopy; other additions are up to project staff, for example: treatment technologies, institutional controls, 2020 Baseline, facility lead site, … Paperclip = use to connect multiple documents transmitted under one cover letter incl. permit with attachments, workplan with appendices,…
- Active Files – File Prepping and Scanning Procedures (As of 8/2017, most active files have already been prepped and scanned. This section is included for historic accuracy.) Active files are existing files that will be scanned and have been defined for each file series as per Attachment 1. Selecting files to be scanned must be consistent with the guidelines in Attachment 1. a. File prepping and scanning order for active files should be as follows: 1) Groundwater Annual Reports and associated correspondence - 006144 2) HW permits, including all attachments, and updated to include any permit modifications – 006141 3) Emergency permits – 006146 4) Groundwater Semiannual and Quarterly Reports and associated correspondence – 006143 5) HW closure plans, post-closure plans, etc – 006141 6) HW corrective action files (workplans, reports, etc.) – 006142 A -31 b. Scanning should be done in accordance with the agency scanner guidelines. Each document that has its own date should be scanned as a separate document. Large documents with stand-alone attachments may need to be scanned separately from the attachments if file size gets too large.
Permits should be scanned in the most current version so that all permit modifications are reflected in the version of record. Replacement pages for permit modifications must be placed in the document to be scanned.
c. Technical preparation of files will be performed by admin staff and technical staff in accordance with the draft scanning and prepping guides for each file series. Each document will be marked with the file series and document type. The facility ID number must be present on the document. Physical preparation of files (removal of staples, etc.) will be performed by scanning staff, with support by admin staff and technical staff. If necessary, cubicle 508 (across the 5th floor conference room) may be used as a temporary holding area for files to be scanned.
d. Black & White scans should be used as a default scanning option. Scanning staff will use best professional judgment in deciding if color scanning is necessary. Color scanning should be used if the B&W scan would result in illegible/meaningless pages, e.g. color maps or graphs that cannot be deciphered without color.
e. Oversized pages (> 11 x 17) will need to be retained in hard copy and a page inserted into the hard copy to indicate that an oversized page is located in the appropriate file cabinet under the facility name. The placeholder page must stay with the document after scanning. If a document includes such pages, the keyword field, once added to the scanner screen, should include the phrase “oversized page(s)”. Attachment 2 includes the page to be used for unscannable pages.
f. Documents should be placed in accordion folders and maintained until such time as QA/QC has been fully completed and destruction of hard copies has been authorized by the agency.
Originals should be clearly marked (e.g. stamped) to indicate that they have been scanned.
g. An e-mail should be sent to the staff associated with the facility to indicate that the file has been scanned. Supervisors and admin staff should be copied.
QA/QC should be performed by scanner and project staff in accordance with the draft revised QA/QC guidelines. Any questions or concerns about the guidelines should be noted and communicated to the HW User Group Chair for communication to the Content Acquisition expert panel.
- Incoming Mail Procedures a. The primary recipient of the incoming mail is responsible to upload the document to ECM if the document belongs in an ECM file series.
b. Primary recipient will scan file copies as soon as possible. File copy will be placed back in cubicle 508 until such time as QA/QC has been fully completed and destruction of hard copies has been authorized by the agency. Originals should be clearly marked (e.g. stamped) to indicate that they have been scanned.
A -32 c. If incoming mail includes electronic versions of the submitted documents on CD, project manager should check to see if the format is pdf and if the pdf file can be searched. If so, project manager will indicate on scanner information sheet that file can be uploaded from CD.
d. Scanner will enter the electronic documents into FileNet using the Add a Document function and the indexing process described in item 3. Upon completion, an e-mail should be sent to the project staff and supervisor. The CD should be retained with the file copy. (See “Adding documents to ECM from CDs”)
e. Scanner will notify project staff of any needed QA/QC checks to ensure that QA/QC guidelines are met. QA/QC responsibilities will rotate among project managers.
- Outgoing Mail Procedures a. Staff responsible for creating the outgoing mail is responsible to upload the outgoing mail, if it is in an ECM file series.
b. If project managers or inspectors send correspondence via electronic mail, all recipients must be copied and the project manager/inspector must enter the signed document in pdf format into ECM using the Add a Document screen.
- E-mail Procedures The sender and primary recipient of an e-mail are responsible for entering their outgoing and incoming e-mail into ECM. To avoid duplication (or more) of emails in ECM, as a general rule, the recipient of the email should place it in ECM. In cases where there are multiple recipients, the first name on the distribution list is responsible for placing the email in ECM. For emails sent to external recipients, the sender is responsible for placing the email in ECM. If you are only copied on an email or on a document, do not enter it into ECM.
The e-mail should be saved as a .msg file (on your computer) and then put into ECM using the "Add a Document" screen. Saving as a .msg file will include any attachments with the message itself. If necessary, attachments can also be added as a separate file to facilitate search and retrieval. E-mails should be entered into ECM at the end of each business day or as soon as possible thereafter. 10. OHW TROUBLESHOOTING If there are questions during scanning or document entry using the Add a document function, please check the ECM Help pages within ECM, or the users’ forum and FAQ pages on DEQNET. If the question has not been previously answered, please send a message to the DEQ Help Desk for assistance.
A -33
ATTACHMENT 1 - HAZARDOUS WASTE PERMITTING ACTIVE FILE DEFINITIONS
- 006141 - Hazardous waste permits (operating, post-closure and Corrective Action permits)/closures- Scan all active permits and closure plans; scan related information in the files dated 01/01/03 to present; follow file retention schedule for the remainder.
- 006146 - Emergency permits- Scan permits issued over the past year; follow file retention schedule for the rest.
- 006144 - Groundwater annual reports – Scan most recent report; follow file retention schedule for previous years’ reports.
- 006143 - Groundwater records – Scan all related documents dated 01/01/03 to present; follow file retention schedule for the remainder.
- 006142 - Corrective action – Scan all related documents dated 01/01/03 to present; follow file retention schedule for the remainder.
A - 34 ATTACHMENT 2 - PLACEHOLDER SHEET
This page is a placeholder for a document which cannot be scanned.
The document is located in the paper file cabinet.
____Map ____Blueprint ____Diagram ____Picture(s) ____Colored spreadsheet
A -35ECM Frequently Asked Questions
Q: How do I log into ECM?
A: Login to ECM with your DEQ email address and COV network password.
Q: What does ECM stand for and what does it do?
A: ECM stands for Enterprise Content Management. A business or an agency such as DEQ is an enterprise that processes significant volumes of content (files, permits, reports, etc.) that will benefit from efficient handling or management. ECM is the capture, management, storage, preservation, and delivery of material related to our agency processes. ECM allows for the electronic use of agency information regardless of the original format.
Q: What if I receive files on a CD or via email?
A: ECM accepts electronic files, so scanning of those will not be required. All electronic file formats are compatible with ECM, whether they are in .pdf, spreadsheet, picture, images, documents, etc., format.
Q: How are processes standardized?
A: Each process is developed into a workflow that all offices follow. It is necessary for us to streamline and standardize our business processes. One role of the Enterprise Content Management Steering Committee, Expert Panels, and ECM Coordinator is to work with staff to reach consensus.
Q: Why is ECM implemented agency-wide?
The Governor’s office has made ECM a mandate for all state agencies.
Q: What are the benefits to state government?
A: Large annual efficiency savings are a major benefit. The primary components of the estimated savings include more efficient staff time, value of floor space now occupied by paper, supplies, and fewer copy machines and printers.
Q: Are we physically disposing our paper files after scanning and quality assurance checks?
A: Yes, the agency is realizing efficiencies and cost savings of this process. Paper files are to be recycled or place in retention.
Q: Can you please provide definitions to some of the ECM terms?
A: Business Process – A business process is a workflow. It is how a permit, for example is processed from the time we receive the application through public notice and issuance.
Taxonomy – Taxonomy is the practice and science of classification. It provides a method to categorize the products and services of an organization. For example, when you are online at the BestBuy site and the available products are in logical groups like televisions, appliances, A -36 music, movies, etc. Click on televisions and the web site directs you to limited choices such as flat screen, plasma, etc. That is taxonomy as used in ECM. DEQs products fall into categories such as permits, inspections, and compliance activities that are further classified into permit types, inspection reports, and consent orders.
Content Acquisition – Content acquisition describes how information finds its way into IBM-FileNet. The first way of acquiring information into IBM-FileNet will be the transfer of existing Keyfile images. Other ways will include scanning documents directly into IBM-FileNet and directly copying electronic files (Word documents, Excel spreadsheets, pictures, .PDFs, emails, etc.” Records Management – Records Management is DEQ’s document retention policy.
Quality Assurance – Quality assurance is the step in the process, following content acquisition, which verifies user acceptance and usability. We have all heard the phrase “garbage in, garbage out”. It is simply making sure that the electronic documents are readable and categorized correctly, e.g. to ensure that the electronic document will serve the same purpose as its predecessor paper document.
Metadata – Metadata is information about information; it is the collection of data fields in the document index and describes items like document date, document type, media, facility name, permit number, etc. Metadata is very useful in ECM applications for sorting and searching.
Schema – Schema describes the structure or organization of a database and includes metadata.
A schema in general is a specific, well-documented, and consistent plan.
A -37 Procedures for the Coordination of the Freedom of Information Act with Enterprise Content Management DEQ’s policy may be found at http://deqnet/docs/admin/admin_policy/Public%20and%20Regulatory%20Affairs%20Poli cy/FOIA%20Va%20Freedom%20of%20Info%20Act%20Compliance%202009.pdf The Enterprise Content Management system (ECM) makes fulfilling FOIA requests easier and faster and is less costly both to the Agency and to the requester. All program documents may not be in the ECM system for various reasons (physical size, type of media, etc., perhaps a map). Therefore, always verify with the program manager that there are no records either in a different storage media or located in other offices (i.e., regional offices or central offices). If there are other sources, they need to be researched before completing the FOIA response. When using ECM to search for records, leave the Agency Office field blank to capture all of DEQ and, if appropriate, change the Media field to a specific one or leave blank.
The media field would be left blank if all media are involved in the request.
Each region, division or office may have need for a “considerations” page for searching respective files. For example, if your office maintains records that contain social security numbers and/or other sensitive information, further coordination with the FOIA coordinator will be needed to prepare a final response. Some records indicate the specific location of threatened or endangered species, the release of which could compromise the species. Unless staff is aware that this information is already in the public domain, it would be withheld under FOIA; i.e., not released in response to FOIA requests when the information could jeopardize the continued existence or integrity of the resource. All exempted records must be delineated in a letter explaining what has been withheld and citing what code(s) allow the withholding.
A -38 File and Retention Notes on FOIA A good practice for maintaining files that contain FOIA-exempt information is to create a second file for records that contain this information, noting it “FOIA Exempt.” This file would contain the exempt information, but have a cover form indicating the legal authority for its withholding. The first file would contain the records with appropriate redactions, as well as the same explanatory form.
Central Office FOIA Coordinators should keep a simple spreadsheet record of FOIA requests with some detail about the response. This will serve as a reference if there are additional requests for the same records. Attached is the blank form and a sample of the form for your use.
C:\Documents and Settings\dlmonroe\My C:\Documents and Settings\dlmonroe\De The spreadsheet should be sent to the FOIA Officer on a quarterly basis. Doing so satisfies the requirement that the officer maintain records of all FOIA requests; i.e., that they were received and processed in accordance with the law and DEQ FOIA policy.
A file containing the request and the agency’s response must be kept for three years.
Although a copy of the records provided need not be included, the response must be worded adequately for a recreation of the records, if necessary, in the future. The retention period for the responsive records will govern how long they available for this potential of recreation.
At the end of the three-year retention period, the FIOA files which include the request, response, and corresponding spreadsheet for that period may be destroyed after completing an RM-18 Form in accordance with records destruction procedures.
A -39 Adding documents to ECM from CDs
- If the report includes a CD submittal, determine if report is available as a single PDF document (as opposed to multiple files) and if it has less than 50 MB file size
- Open PDF document and try to select/copy a text passage (as opposed to an image of the text); if possible, document can be uploaded to ECM using the “Add a Document” process.
- To use the Add a Document process, open ECM, then select Add a Document from the tool bar on the left and log in again.
- Scroll to the bottom of the page and click the “browse” button, then navigate to My Computer, then the CD and double-click the file to add. Modify the document title to include the facility name. This will allow for easier searches.
- Enter all the required information on the Add a Document screen until there are no more items in red font at the top. This should allow you to select the “Add a document & finish” button at the bottom.
- Mark the CD with “Added to ECM” and prep any pages for scanning that were not included in the PDF document on the CD (e.g. transmittal slips, cover letters or certification pages). Mark the hard copy of the document with “CD file added to ECM”.
A -40 Document Type Definitions – 440-006 – Hazardous Waste Program NOTE: Shaded fields are documents typically sent to DEQ by companies, facilities or other agencies, e.g. on external letterhead or with an external e-mail address. Un-shaded fields are documents typically sent by DEQ, e.g. on DEQ letterhead or with a DEQ e-mail address. The content of the letter or memo determines the document type. Do not rely on subject lines in letters or memos to determine the document type – subject lines may not reflect the actual content of the letter or memo.
File Series 006141 – Hazardous Waste Facility Permits and Closures Application Permit application package including attachments sent by facility Approval/Determination Letters signed by OD about permit modifications, closure plan, closure plan modification, etc. Any approved modification should be paperclipped to the original document.
Call-In Letters from DEQ requesting permit application from facility Closure Certification Certification (letter) by facility that hazardous waste unit has been closed in accordance with closure plan Closure Inspection Report (letter) by facility that closed unit has been inspected Closure Plan Closure plan submitted by facility detailing how a hazardous waste unit will be closed Closure Verification Letter from DEQ verifying closure of hazardous waste management unit Correspondence - General/Other Internal DEQ correspondence (e-mails, memos, etc.) from one DEQ person to another Correspondence – Incoming Umbrella category for incoming mail that does not fit in any specific category, use this as default unless a more specific category clearly fits the document Correspondence - Outgoing Umbrella category for outgoing mail that does not fit in any specific category, use this as default unless a more specific category clearly fits the document Cost Estimate/Calculation Information provided by facility about estimated costs for closure or A -41 post-closure care Deed Notation Documentation provided by facility placing use and/or activity restrictions on the facility property DEQ Guidance DEQ guidance documents – typically not correspondence Draft Permit Draft permit published by DEQ for public comment Draft Permit Modification Draft permit modification (Class 2 or 3) published by DEQ for public comment Extension Request Letter from facility requesting extension for a deliverable or action Fact Sheet Permit fact sheet prepared during the permitting process and part of the public record – typically not correspondence Final Facility Closure Approval Letter Letter signed by OD that triggers retention schedule for HW facility (all activities completed) – DO NOT USE unless entire facility is closed Final Post-Closure Care Termination Letter Letter signed by OD that triggers retention schedule for HW facility (all activities completed) – DO NOT USE unless entire facility is closed Financial Assurance Mechanism Documentation provided by facility on the financial instrument used for financial assurance Financial Assurance Review Letter from DEQ OFA stating the financial assurance review has been completed Meeting Material Handouts, minutes, public hearing transcripts etc.
Modification Request Letter from facility requesting modification of permit, closure plan or post-closure plan NOD - Notice of Deficiency Letter from DEQ requesting additional or revised information during the permit application or closure process – comment and review letters may be in this category Notification Letter from facility notifying DEQ of non-groundwater occurrences at the facility, for example temporary storage areas, non-routine events, … Other Plan Plans submitted in support of closure plan or permit as standalone A -42 documents, for example QAPP, SAP, … Permit Original permit issued by DEQ (stand-alone, separate from correspondence transmitting the draft permit to recipients) PN Authorization Form Letter sent by facility authorizing reimbursement for cost of announcing public notices on radio and in newspapers Proof of Payment Submitted by facility to demonstrate that permit application fee has been submitted Public Notice Published in newspaper to announce draft permit for public review Renewal Renewed permit issued by DEQ (stand-alone, separate from correspondence transmitting the draft permit to recipients) Report Closure report or any other non-gw report related to a permit, closure plan or post-closure plan Revoke/Re-Issue Revoked/reissued permit by DEQ, (stand-alone, separate from correspondence transmitting the draft permit to recipients) Supporting Documentation Information submitted by facility following a DEQ request for additional information Survey Plat Submitted by facility to indicate location of closed hazardous waste units, related to but separate from deed notice Temporary Authorization Letter by DEQ OD authorizing temporary activities Termination Permit termination letter from DEQ Tracking Spreadsheet Internal tracking information A -43 NOTE: Shaded fields are documents typically sent to DEQ by companies, facilities or other agencies, e.g. on external letterhead or with an external e-mail address. Un-shaded fields are documents typically sent by DEQ, e.g. on DEQ letterhead or with a DEQ e-mail address. The content of the letter or memo determines the document type. Do not rely on subject lines in letters or memos to determine the document type – subject lines may not reflect the actual content of the letter or memo.
File Series 006142 – Hazardous Waste Facility Corrective Action (CA) Approval/Determination Letters approving CA report, work plan or other CA plan (SAP, QAPP, CRP, …). If the approval is for a permit modification, use 6141 as the file series.
Correspondence - General/Other Internal DEQ correspondence (e-mails, memos, etc.) from one DEQ person to another; may also include correspondence between facilities and EPA where DEQ is copied Correspondence – Incoming Umbrella category for incoming mail that does not fit in any specific category, use this as default unless a more specific category clearly fits the document Correspondence - Outgoing Umbrella category for outgoing mail that does not fit in any specific category, use this as default unless a more specific category clearly fits the document Cost Estimate/Calculation Information provided by facility about estimated costs for corrective action activities (usually at final remedy) DEQ Guidance DEQ guidance documents on CA EI Documents Documents prepared by DEQ to demonstrate environmental indicator (EI) status Extension Request Letter from facility requesting extension for a CA deliverable or A -44 action Facility Lead Forms Copies of agreements signed between EPA and the facility that govern CA activities in the absence of a permit or order Fact Sheet CA fact sheets prepared periodically by DEQ to provide progress update or fact sheets developed by facility for specific CA activities Final Decision and Response to Comments Document Document prepared by DEQ or EPA to document remedy selection decision or CA complete decision Financial Assurance Mechanism Documentation provided by facility on the financial instrument used for financial assurance, usually at time of remedy selection Financial Assurance Review Letter from DEQ OFA stating the financial assurance review has been completed, usually at time of remedy selection Institutional Controls Information provided by facility on use or activity restrictions that are part of the final remedy Land Revitalization Indicators Form Land revitalization forms providing update on facility status Meeting Material Handouts, minutes, public hearing transcripts etc.
Other Plan Plans submitted by facility in support of work plan as standalone documents, for example QAPP, SAP, … RCRA Site Visit Report Report developed by EPA or contractor following an initial site assessment and site visit Remedy Complete Certification Letter from DEQ certifying the completion of the selected corrective action remedy at the facility Report Report submitted by facility; e.g. Phase I RFI report, Phase II RFI report, RFI report, Interim Measures report, CMS report, CMI report, risk assessment report, progress reports, … Revised Report Report submitted by facility incorporating revisions requested by DEQ Revised Workplan Workplan submitted by facility incorporating revisions requested by DEQ A -45 SIR – Supplemental Information Request Letter sent by DEQ requesting additional information or investigation SOB – Statement of Basis Document prepared by DEQ or EPA outlining the decision for a remedy selection Supporting Documentation Information submitted by facility following a DEQ request for additional information Tracking Spreadsheet Internal tracking information Workplan Workplan submitted by facility outlining proposed activities, e.g. Phase I RFI workplan, Phase II RFI workplan, RFI workplan, Interim Measures workplan, CMS workplan, CMI workplan, risk assessment workplan, etc.
NOTE: Shaded fields are documents typically sent to DEQ by companies, facilities or other agencies, e.g. on external letterhead or with an external e-mail address. Un-shaded fields are documents typically sent by DEQ, e.g. on DEQ letterhead or with a DEQ e-mail address. The content of the letter or memo determines the document type. Do not rely on subject lines in letters or memos to determine the document type – subject lines may not reflect the actual content of the letter or memo.
File Series 006143 – Hazardous Waste Facility Groundwater Records ASD Alternate Source Demonstration submitted by facility (letter and/or report) showing that a source other than the regulated hazardous waste mgmt. unit caused an impact to groundwater Correspondence - General/Other Internal DEQ correspondence (e-mails, memos, etc.) from one DEQ person to another Correspondence – Incoming Umbrella category for incoming mail that does not fit in any specific category, use this as default unless a more specific category clearly fits the document Correspondence - Outgoing Umbrella category for outgoing mail that does not fit in any specific category, use this as default unless a more specific A -46 category clearly fits the document DEQ Guidance DEQ guidance documents on CA Engineering Feasibility Plan Document submitted by facility for potential groundwater remedies, usually required upon transition from detection to compliance monitoring Groundwater Interim Report Groundwater monitoring report submitted by facility on a quarterly or semi-annual basis, any GW report that is not an annual report (file series 6144) Groundwater Monitoring Data Lab data submitted separately from groundwater monitoring report Groundwater Monitoring Plan Plan submitted as part of closure or post-closure process but as a stand-alone document NOD - Notice of Deficiency Letter from DEQ requesting additional or revised information regarding a groundwater monitoring report – comment and review letters may be in this category Notification Letter from facility notifying DEQ of groundwater-related occurrences at the facility, for example newly detected constituent, new exceedance of GPS, sampling problems, etc.
Remediation/CA Plan Plan for groundwater remediation or corrective action submitted solely for a regulated unit, i.e. not part of site-wide corrective action (file series 6142) Supporting Documentation Information submitted by facility following a DEQ request for additional information NOTE: Un-shaded fields are documents typically sent by DEQ, e.g. on DEQ letterhead or with a DEQ e-mail address. Shaded fields are documents typically sent in by companies, facilities or other agencies, e.g. on external letterhead or with an external e-mail address. Subject lines in letters or memos may not reflect the actual content of the letter or memo. The content of the letter or memo determines the document type.
A -47 File Series 006144 – Hazardous Waste Facility Groundwater Annual Reports Correspondence - General/Other Internal DEQ correspondence (e-mails, memos, etc.) from one DEQ person to another Correspondence – Incoming Umbrella category for incoming mail that does not fit in any specific category, use this as default unless a more specific category clearly fits the document Correspondence - Outgoing Umbrella category for outgoing mail that does not fit in any specific category, use this as default unless a more specific category clearly fits the document Groundwater Monitoring Data Lab data submitted separately from groundwater monitoring report Groundwater Monitoring Report Annual groundwater monitoring report submitted by facility on an annual basis for regulated units only (not part of site-wide CA, file series 6142) Supporting Documentation Information submitted by facility following a DEQ request for additional information NOTE: Shaded fields are documents typically sent to DEQ by companies, facilities or other agencies, e.g. on external letterhead or with an external e-mail address. Un-shaded fields are documents typically sent by DEQ, e.g. on DEQ letterhead or with a DEQ e-mail address. The content of the letter or memo determines the document type. Do not rely on subject lines in letters or memos to determine the document type – subject lines may not reflect the actual content of the letter or memo.
File Series 006146 – Hazardous Waste Emergency Permits Application Permit application submitted by facility Correspondence - General/Other Internal DEQ correspondence (e-mails, memos, etc.) from one DEQ person to another Correspondence – Incoming Umbrella category for incoming mail that does not fit in any specific A -48 category, use this as default unless a more specific category clearly fits the document Correspondence - Outgoing Umbrella category for outgoing mail that does not fit in any specific category, use this as default unless a more specific category clearly fits the document Permit Permit issued by DEQ Proof of Payment Submitted by facility Public Notice Published in newspaper to announce draft permit for public review Report Report submitted by facility
A -49
VIRGINIA DEPARTMENT OF ENVIRONMENTAL QUALITY
WASTE DIVISION
OFFICE OF HAZARDOUS WASTE
Memorandum
TO: Elizabeth R. Lamp Chair, ECM Steering Committee
THROUGH: James J. Golden Director, Waste Division
FROM: Leslie A. Romanchik Director, Office of Hazardous Waste
COPIES: Waste Program Managers
DATE: March 13, 2009
SUBJECT Request for Approval to Proceed with FileNet Implementation for Hazardous Waste Permitting Files
The Office of Hazardous Waste (OHW) has determined that hazardous waste permitting files are ready to be entered into FileNet as the official repository for documents of record. This determination is based on the following program preparation elements in the FileNet Implementation Plan dated March 12, 2009:
1) Scope – The scope covered by this request extends to Office of Hazardous Waste permitting files, to include transporter and emergency permits, groundwater files, corrective action files, and other permitting and closure files. These files are located in Central Office. 2) User Group – A OHW FileNet user group has been established for HW Permitting and has been involved during the last year in providing input during FileNet development. Going forward, the user group will consist of the following members: OHW Director, Groundwater Team Leader, Emergency/Transporter Permit Writer, Operating Permit Writer, Database Administrator, Admin staff and Scanner. 3) Active Files – Active Files for OHW have been defined as described in Attachment 1.
Documents that have been scanned will be placed in accordion folders and stored by facility in chronological order. 4) Document Types – Document types were established and confirmed during the FileNet development process. Current definitions are included as Attachment 2.
A -505) Retention Schedule – Retention schedules and file series were established and confirmed during the FileNet development process. Current definitions are included as Attachment 2. 6) Administration – At least one representative from the user group will participate in the Content Acquisition Expert Panel for cross media knowledge sharing.
Additionally, resources are currently available for scanning OHW permit files in Central Office where all OHW permit files are located. Production roles for assigning security levels have been assigned and were reviewed through February 27, 2009. Current designations are included as Attachment 3. Program-specific implementation guidelines, including a user dictionary for indexing, are under development and are currently under review by the user group and other staff. The facility information required for the FileNet CEDS database is currently being refreshed, and a bi-weekly refresh cycle will be initiated. The information will be located at T:\OHW ECM. Revised draft QA/QC rules, scanner guidelines and troubleshooting information will be distributed. OHW is prepared to test and provide feedback on the revised draft QA/QC rules. One or more feedback sessions for all OHW staff involved in scanning and document additions will be scheduled with OIS upon approval of this request.
The Office of Hazardous Waste (OHW) hereby requests approval of the ECM Steering Committee to proceed with FileNet implementation for hazardous waste permitting files. Upon approval of this request, hazardous waste permitting files will be added to FileNet in accordance with the completed implementation procedures. Implementation will involve both active files and daily mail. If you have any questions about this request, please contact me at ext. 4129. _______________________________ ______________________ Request Approved
Date Chair, ECM Steering Committee ________________________________ ______________________ Request Disapproved
Date Chair, ECM Steering Committee
A -51 List of Attachments:
Attachment 1 – Active File Definitions
Attachment 2 – Retention Schedule, File Series and Document Types
Attachment 3 – Security Roles A - 52 Attachment 1 - HAZARDOUS WASTE PERMITTING ACTIVE FILE DEFINITIONS
- 006140 - Hazardous waste transporter annual reports- Scan the most recent report; follow file retention schedule for the rest.
- 006141 - Hazardous waste permits (operating, post-closure and Corrective Action permits)/closures- Scan all active permits and closure plans; scan related information in the files dated 01/01/03 to present; follow file retention schedule for the remainder.
- 006145 - Hazardous waste transporter permits – Scan all active permits; scan related information in files dated 01/01/03 to present; keep the rest in file or archive them.
- 006146 - Emergency permits- Scan permits issued over the past year; follow file retention schedule for the rest.
- 006144 - Groundwater annual reports – Scan most recent report; follow file retention schedule for previous years’ reports.
- 006143 - Groundwater records – Scan all related documents dated 01/01/03 to present; follow file retention schedule for the remainder.
- 006142 - Corrective action – Scan all related documents dated 01/01/03 to present; follow file retention schedule for the remainder.
A -53Attachment 2 - HAZARDOUS WASTE PERMITTING RETENTION SCHEDULE, FILE SERIES AND DOCUMENT TYPES
006141 006142 006143 Hazardous Waste Facility Permits Hazardous Waste Facility Hazardous Waste Facility Groundwater Records and Closures Corrective Action ASD Application Approval/Determination Correspondence - DEQ and/or Source Approval/Determination Correspondence - General/Other DEQ Guidance Call-In Cost Estimate/Calculation Engineering Feasibility Plan Closure Certification DEQ Guidance Groundwater Interim Report Closure Inspection EI Documents Groundwater Monitoring Data Closure Verification Extension Request
Correspondence - General/Other Facility Lead Forms 006144 Hazardous Waste Facility Groundwater Annual Cost Estimate/Calculation Fact Sheet Reports Deed Notation Financial Assurance Mechanism Correspondence - General/Other
DEQ Guidance Financial Assurance Review Groundwater Monitoring Data
Extension Request Groundwater Monitoring Report 006140 Fact Sheet Hazardous Waste Annual Report 006145 (Transporter) Final Facility Closure Approval Letter Hazardous Waste Transporter Permits Correspondence - General/Other Application Final Post-Closure Care Termination Letter
006146 Certificate Financial Assurance Mechanism Hazardous Waste Emergency Permits Financial Assurance Review Application Correspondence - General/Other
Correspondence - General/Other Permit A - 54
PermitAttachment 3 – HAZARDOUS WASTE PERMITTING SECURITY ROLES Manager Manager Manager Staff Records Permits Records Phas Indexer Compliance Records DEQ HW e HW Two / Permit Offic Thre Indexer Compliance HW Media e Username Name Working Title e HW Waste - Hazardous CO AJALONSO Angela J Alonso Environmental Engineer X X X X
Waste - Hazardous CO CRTOMPKINS Chris R Tompkins Permit Writer (Hazardous Waste) X X X X
Cynthia S Waste - Hazardous CO CSHOUCHENS Houchens Administrative Office Manager X X X X X
Waste - Hazardous CO EJWEISSBART Erich J Weissbart Environmental Engineer Senior X X X X
Waste - Hazardous CO FZHOU Fuxing Zhou Environmental Engineer X X X X
Environmental Engineer Waste - Hazardous CO HVAKILI Hassan Vakili Consultant Senior II X X X X X
JMKING-Waste - Hazardous CO COLLINS Julia M King-Collins Environmental Engineer X X X X X
A -55Waste - Hazardous CO JSCHNEIDER Jutta Schneider Ground Water Permit Manager X X X X X X X
Director of Office of Waste Waste - Hazardous CO LAROMANCHIK Leslie A Romanchik Permitting X X X X X X X
Waste - Hazardous CO MMSTEPIEN Matthew M Stepien Environmental Engineer X X X X
Environmental Engineer Waste - Hazardous CO RJCRIQUI Richard J Criqui Consultant Senior II X X X X
Environmental Engineer Waste - Hazardous CO RJKELLY Ryan J. Kelly Consultant Senior II X X X X
Waste - Hazardous CO RLMCAVOY Russell L McAvoy Environmental Engineer Senior X X X X
Hazardous Waste Compliance Waste - Hazardous CO WPKEENE Willard P Keene Coordinator X X X X
Kimberlyn W Waste - Solid & Haz CO KWHUGHES Hughes Waste Data Specialist X X X X
SKTHIRUNAGA Sanjay K Waste - Solid & Haz CO RI Thirunagari Director of OWTS X X X X
A -56DESTRUCTION PROCESS of HW paper documents scanned into ECM
STEP 1 - Collection
- HW Destruction Report #1 includes all facilities with acceptable QA rates through 5/31/10 (see attached)
- From HW Destruction Report #1, select one Facility in general alphabetical order (to eliminates shifting binders from shelf to shelf.)
- Check for any random un-scanned files with DEQ person responsible for facility and Office Administrative Manager on 4th floor responsible for filing documents
SELECT ONE: A. If newly found, un-scanned documents with document date prior to 5/31/10 are discovered, proceed to STEP 2 B. If no un-scanned documents with document date prior to 5-31-10 are discovered, proceed to
STEP 3
STEP 2 – Newly found documents
- Have newly found documents with document date prior to 5-31-10 scanned (NOTE: All documents dated 5-31-10 or after will be deferred to later destruction period.)
- Have newly scanned found documents QA’d (only if necessary, based on QA% in HW Destruction Report #1)
- Proceed to STEP 3
STEP 3 – Notification
- Collect materials for selected facility from bookshelves and file cabinets and determine # of documents, compare to # of scanned documents
- Person performing disposal of materials to fill out a paper “Certificate of Paper Document Destruction” form (see attached)
- Records Manager to verify materials being destroyed and enter on-line the completed Certificate of Paper Document Destruction
- Once “approval” has been received from agency records manager, proceed to STEP 4
STEP 4 – Separation and Labeling
- Separate Permits/Orders to be retained and stored on designated Permit Shelf
- Begin disassembling materials keeping cover sheet from original binder, CD’s & maps
- Place CD’s, oversized maps, drawing, blueprints, etc. in binders labeled by Facility in chronological order for retention NOTE: Reuse available CD sleeves/document protectors as much as possible
- Include original binder cover sheet (or create cover sheet) to help identify CD’s & maps being kept
- After binder has been filled, prepare binders with external label indicating beginning volume number, facility name, facility number and identifying contents by date range EXAMPLE: Facility Name - #VAD000000000 – Volume 1- From 2003 to 2004
- New binders are to be placed on 4th floor metal bookshelves next to Men’s Room beginning left to right in alphabetical order A - 57 STEP 5 – Disposal of materials
- Scanned papers are to be placed in recycle receptacles
- Checks to be shredded
- Separator sheets can be placed in plastic re-cycle receptacles on 4th floor
- Empty binders are to be placed in the 4th floor cubicle across the elevator
STEP 6 – Proceed to next facility – STEP 1
RESPONSIBILITIES – TBD
Records Manager for backfiles (Leslie or Cynthia) Records Manager for incoming mail (rotating Leslie or Jutta)
NOTE: Newly created binders are permanent records and should stay separate from permits.
A - 58 Appendix 6
Applicable DEQ and EPA
Policies, Memo and Guidance
Revised September 2017
A - 59 U.S. EPA - Office of Compliance (Mail Code: 2223A) National Compliance Monitoring Policy Branch 1200 Pennsylvania Avenue, N.W. Washington,
DC 20460 EPA-305-F-06-002
Digital Camera Guidance for EPA Civil Inspections and Investigations
July 2006
A - 60July 17, 2006 EPA 305-F-06-002
USE OF DIGITAL CAMERAS FOR CIVIL INSPECTIONS AND INVESTIGATIONS
STATEMENT OF GUIDANCE
EPA has determined it is acceptable to use digital cameras/photographs for documenting civil inspections and investigations provided certain requirements are met. This document is for guidance purposes only. Photographs recorded, maintained, or reproduced in a manner other than as described in the recommended steps may nevertheless be used as evidence in developing or going forward with an agency action. However, the person responsible for such photographs should consult with EPA counsel on the appropriate use, handling, and documentation of such photographs. This document is intended for the guidance of EPA staff. It does not set forth requirements that are binding on EPA staff or on third parties or courts. The fact that a particular requirement set forth in this document is not satisfied shall not be relevant to the admissibility or legal force of a particular digital photograph.
INTRODUCTION
EPA inspectors often include photographs taken during the inspection in the inspection report to support their observations. Generally, EPA inspection manuals for specific programs address the use of photographs. In recent years, inspectors have begun to use digital cameras.
The use of digital images presents somewhat different issues related to the use of these electronic images as evidence. To be effective, the image should be of sufficient clarity and detail to support the observations, and should represent what the inspector saw with the appropriate level of detail. Credibility of the digital image (as well as any photographic image whether digital or film) and acceptability in court (i.e. evidence) depends on the ability of the photographer (or the witness who was present when the photograph was taken) to authenticate the photograph by answering the simple question: Is this a fair and accurate representation of what you saw? To address potential concerns, this document sets forth EPA's guidance on the use of digital photographs and identifies requirements necessary to ensure the integrity of the pictures.
The document addresses image capturing, storage, and handling. In addition, this document provides an overview of digital camera technology, peripheral equipment, and recommended steps found in Appendix A. Credibility of digital images in court usually depend on reliability, reproducibility, and security. It is acceptable to make changes to digital images such as cropping, enlarging, or making it lighter/darker to improve the sharpness provided the inspector does all the following:
- Records how, when, and where the picture was taken;
- Logs the steps used in processing the image when they include techniques other than those used in a traditional photographic darkroom;
A - 61July 17, 2006 EPA 305-F-06-002
Complies with a written SOP that includes the recommended steps set forth in
this document; and
Ensures the preservation of the original digital image.
RECOMMENDED PROCEDURES
Inspectors should take precautions to ensure the integrity of the digital image and resulting photographs because these are easy to manipulate. Appendix B of this document provides technical information and considerations related to digital camera use. Inspectors should ensure they meet the following minimum requirements when using digital photographs to document EPA civil inspections and investigations:
A. The integrity of the digital image should be preserved:
- When inspectors use digital photographs as evidence, the person testifying should be able to verify the authenticity of the printed image. This includes knowledge on how the image was acquired, its relevance to the case, and how it corroborates testimony as to issues which may be disputed in the case.
- The quality of the photograph should be good enough to show details, objects, and relevant information.
B. Inspectors using a digital camera for inspections should be able to capture, store, print, and handle digital images properly:
- Inspectors should have equipment which will allow the secure use and storage of the digital images such as storage media, printer, and computer. (The Basic Technical Information Section, Appendix B, provides further details on equipment).
- The inspector should follow the recommended steps for handling the digital image. Each Regional office with inspection authority using digital cameras should develop recommended steps governing their use. Appendix A of this document contains a model of the recommended steps.
- The inspector should not delete any digital images while conducting an inspection regardless of whether they are of poor quality.
- A record of any copies of the digital images given to a facility should be kept in EPA's inspection file. The record should identify and describe the digital images and can be noted in the field notes, on a Photo-Log, or as a separate list.
- Protect CBI. Digital photos which may contain Confidential Business Information (CBI) should not be sent via e-mail. When taking, storing, using, or transferring
A - 62July 17, 2006 EPA 305-F-06-002
digital photos which contain CBI data inspectors should follow standard CBI procedures regarding use of computers and electronic storage media at all times.
C. Inspectors should maintain an Archival Copy of all images taken:
- Inspector/photographer should create an archival copy' of all original images taken during the inspection as soon as practical after image capture. Inspectors should NOT delete any photographs taken. This archival copy should be labeled and maintained in the inspection file in a secure location. Any enhancements needed on the image should be made only to a working copy.2 (NEVER EDIT THE ORIGINAL IMAGES OR ARCHIVAL COPY). Ideally unalterable storage media such as a read-only Compact Disk (CD-R) should be used to create the archival copy. If this option is not available, other storage media (including alterable) may be used for the archival copy, provided the images can be verified and Chain-of-Custody procedures are followed to prevent tampering. When using an alterable storage media, cyclic redundancy check3 software can be used to verify the images.
- When mailing the archival copy via postal mail, inspectors should place the storage media in a protective jacket, pouch, or equivalent with a custody seal and follow the procedures used for mailing samples to ensure its integrity.
- If digital images are CBI, CD's containing there images should be stored following appropriate CBI procedures.
D. The inspector should keep a Photo-Log in the inspection file of all the photographs taken including the printed images referenced in the inspection report:
- The Photo-log is a record of the archival copy, which includes all the photographs taken during the inspections.
- The record should include: identity of the photographer, date, time, location, [including information identifying the location such as EPA Identification numbers, latitude, and longitude], and a brief description of the pictures, (including anything
1An archival copy is an unchanged,unedited copy of the original images that will be used as the permanent record. It is the functional equivalent to the "negatives" in film photography.
2The working copy is the "back-up" copy of the original images which may be used to make minor enhancements or edits such as cropping and improving contrast.
3Cyclic Redundancy Check (CRC) is a technique to obtain data reliability. It is used to protect blocks of data called Frames.
The CRC performs a mathematical calculation on a block of data and returns a number that represents the content and organization of that data, a checksum. By comparing the checksum of one block ofdata to another, it
can be determined wether they match.
A - 63July 17, 2006 EPA 305-F-06-002
worthy of special note). This record may be a list of the photos noted as part of the field notes, may be a separate photo list, or a separate Photo-Log.
- For working copies, If images are transferred from one storage media to another or changes are made to an image, EPA should keep a record in the inspection file of the identity of the person making the transfer/change and the date of transfer or change. The record should include the type of change. Minor edits can be made to the working copy such as cropping, reduction, enlargement, or contrast improvement. Each change should be saved as a separate image file and documented so that all enhancements can be reconstructed, if necessary.
- The inspection report should contain printed copies of the digital photos referenced in the report. The printed images should be initialed by the inspector and dated when the photo was taken (unless the photo is already imprinted with the date taken).
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REFERENCES/ADDITIONAL INFORMATION
- Berg, Erik, "Legal Ramifications of Digital Imaging In Law Enforcement" Forensic Science Communications Vol 2, No. 4, October 2000, Available at www.fbi.gov/ha/lab/fsc/backissu/oct2000/berg.htm.
- Azcarate, Penney, "Digital Imaging Technology and the Prosecutor", Prosecutor, January/February 2000, (34 FEB Prosecutor 26). Available at http://www.paamtrafficsafetv.com/hot topics/digital.odf.
- "Guidelines for Field Applications of Imaging Technologies", Scientific Working Group on Imaging Technologies (SWGIT), Version 2.0, June 8, 1999 Forensic Science Communications, Vol. 2, No. 1, January 2000, Available at www.fbi.gov/hg/lab/fsc/backissu/jan2000/swigit.htm.
- "Definitions and Guidelines for Use of Imaging Technologies in the Criminal Justice System", Scientific Working Group on Imaging Technologies, Version 2.2, December 7, 2000 Forensic Science Communications Vol. 3, No. 3, July 2001, Available at htto://www.fbi.gov/ha/lab/fsc/backissu/iulv2001/swaitltr.htm.
- Camp, William W., "Practical Uses of Digital Photography In Litigation", ATLA Annual Convention Reference Materials, July 2000, Volume 2, Attorney's Information Exchange Group
(AIEG).
- Keane, James I., "585 Prestidigitalization: Magic, Evidence and Ethics In Forensic Digital Photography", Ohio Northern Law Review, 1999, Twenty-second Annual Law Review Symposium Courtroom 2000: Technology and the Legal System Symposium Article (25 Ohio N U I. Rev.585).
- Carbine, James E. and McLain, Lynn, "Proposed Model Rules Governing the Admissibility of Computer-Generated Evidence", January 1999, Santa Clara Computer and High Technology Law Journal (15 Santa Clara Computer & High Tech L.J. 1).
- Lynch, Peter A. "Digital Cameras and the Fire Investigator: A Trap for the Unwary", Cozen & O'Connor, San Diego Regional Office. Available at www.interfire.ora/features/camera.aso.
- Staggs, Steven, "The Admissibility of Digital Photographs In Court". Available at www.crime-scene-investiaator.net/admissibilityofdigital.html.
- Herbert, Rusty and Gigger, Richard, (EPA Region 6), "Background Information for Digital and Photographic Imaging" and "Draft Region 6 Standard Operating Procedure Digital Camera Imaging" June 2001.
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11. Blitzer, Herbert L. and Jacobia, Jack, Forensic Digital Imaging and Photography, Academic Press, 2002.
12. TSCA Confidential Business Information Security Manual, Office of Pollution Prevention and Toxics, April 1995.
Websites:
- www.digital-camerastore.com/digitalinfor2.htm - good basic info and lists of cameras/prices.
- www.ciiffshade.com/dofwiw/advice.htm — "Advice for first-time digital camera users", — good overview of digital camera use with links to more information.
- www.cookino-italian-food.com/photograohy.htm — "Digital Camera Guide - Photography Definitions and Terminology", - discussion of resolution, optical/digital zoom, ISO, storage media, and other basic terminology.
- "An Introduction to Image Compression", - www.debugmode.com/imagecmp/.
- "Resolution, File Size & Image Quality" - www.haroldsphoto.com/digital.asp.
- "Frequently Asked Questions on Digital Photography" - www.photodrive.ru/fao6 e.htm.
- Maresware Forensic and Analysis Software - a list of commercial forensic software, including cyclic redundancy check. www.dmares.com/maresware/DOCS/press release.htm.
- "Error Detection and Correction", - description of Cyclic Redundancy Check -www.linktionarv.com/e/error.html.
- "Understanding Cyclic Redundancy Check" - htto://4d.com/acidoc/CMU/CMU79909.htm. a description of how the CRC error detection system algorithm works.
10. photoalley.com - on-line digital camera "store".
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APPENDIX A
Recommended Steps for the Use of Digital Cameras
A. Creating Digital Pictures
- Camera Use
The Inspector should be familiar with the camera's features before using it during inspections. He/she should read appropriate manuals and practice using the camera before an inspection. In addition, the inspector should know the following:
- How to store an image;
The capacity of the storage media being used;
- How to transfer images from one storage media to another;
- How and what is needed to print good quality images;
- How to use the different settings (resolution choice, digital zoom, close-up, flash, etc.); and
The camera's limitations (weather, zooming, lighting).
- Preparing to Take Pictures
Before taking pictures, the inspector should:
Ensure that the camera and supporting equipment are appropriate to the task.
The camera should possess appropriate resolution and capacity for the type of
photo required, including close-up or distance photos, if needed;
Ensure that the camera is in working order;
Check the settings — make sure the date/time settings are properly set;
Make sure there is adequate storage media for the projected number of photos
needed; and
Make sure that fresh and back-up batteries are available.
B. Photo Image Storage/Handling and Security.
- Storing/Handling Images.
The inspector should use the following procedures when storing/handling digital images:
A - 67Number each Storage Media (storage card, smart media, or other card) sequentially and label it with the name of the facility and date taken. Indicate what pictures from the inspection are contained on each.
Store each incident/inspection's images on one storage media card, if possible, clearly identifying pictures captured for each inspection.
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- Images from one incident/inspection should not be split between two electronic storage cards unless the storage media does not have enough memory to store all the images from one inspection/incident.
- Before each inspection create an "end-card" image label and photograph it.
- If images from more than one incident/inspection need to be captured on a single storage card, insert a "blank" image after the "end card" image.
- Ensure that there is adequate space on your hard drive, and as soon as possible after each incident/inspection, download the images from the camera's storage media to the hard drive of the computer, verifying that the images have been successfully transferred. (DO NOT CHANGE THE IMAGES IN ANY WAY).
- Using the downloaded images, copy them to a CD-R or other permanent storage media to create the archival copy. (Do not edit or change the image).
- Label the archival copy with the time, date, name of facility/site, and "Archival Copy".
- File the archival copy with inspection report in a secure location. If the archival copy is on alterable storage media, file it with a Chain of Custody form.
- Once an archival copy is securely filed, the original storage media may be erased and re-used.
- Create a second copy ("Working Images") from the downloaded images to use for enhancements such as cropping or contrast. Label this "Working Images". If any images are changed, save each change as a separate file so that it can be replicated, if necessary.
Note any image changes and record the file numbers on the Photo-Log or photo record and include it with the Inspection Report.
Once the archival copy and a working copy have been made, the images may be removed from the hard drive to free up memory, if needed.
- Image Security.
The original images and/or archival copy should be stored either with the inspection file, in a locked file cabinet, or in an other secure location. If any of the information is CBI, all CBI procedures should be followed, including use of secure computers, storage media, data
handling, and transmission. See your local Document Control Officer if you have any questions regarding proper CBI procedures.
If the archival copy is kept on alterable storage media (such as USB), each archival copy should have a Chain of Custody form to document access to the images.
The Chain of Custody form should include:
A - 691. The identity of the photographer;
- The date and location where the photos were taken;
- The file identification numbers of the photos in the set; and
- A log to record the identity, signature, date, and time of any person having access to the photos/images.
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If the archival copy is stored on alterable media:
- Each person viewing or using the archival copy should sign the Chain of Custody Log; and
- To send via postal mail to another location, place it in a jacket, pouch, or equivalent holder with a custody seal and the Chain of Custody form (follow the same procedures used when mailing samples).
The Region should have a file management procedure in place mandated by EPA
Records Schedule 211 and EPA Records Management Regulations which can
be found at: http://www.epa.qovirecordstoolicy/schedule/sched/211.htm.
Inspector should be careful when handling images and avoid extreme temperatures, electricity, x-rays (airports), power surges, or other similar events, which might cause electrostatic interference and thus impact the image quality.
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APPENDIX B
Basic Technical Information Section Related to Digital Camera Use
Digital and film photography share many similarities. Both create an image through the use of a light-sensitive medium. In the case of digital cameras, light falls on a grid of detectors known as a charge coupled device, CCD, and produces a pattern of electrical charges that are measured, converted to numbers, and stored. Each value in the grid corresponds to a picture element, (also known as a pixel) in the digital image.4 The electrical output of the CCD is sent to a converter that changes the image to a digital output which is then stored in the camera as a computer data file with each file representing a different photograph. 5 The following information includes a discussion of some important factors relevant to digital camera use.
Resolution
Digital camera resolution is the amount of sharpness or detail in the image and i s dependent on the number of pixels in the image. This is generally determined by the number of pixels across the width and height of the CCD. Pixel count is established by multiplying these numbers. Therefore, it is important to know the maximum CCD resolution (total number of pixels in a camera's sensor) in order to know the film equivalent capability of the digital camera. This is generally stated as "x" Mega Pixels. For example, 1280 x 960 pixels would give the film resolution of a 5" x 7" print and 1600 x 1200 pixels would give the film resolution of a 8" x 10" print.
For higher quality, multi-purpose use, CCD resolution in the 3.1+ mega pixel range is needed. Higher mega pixel levels allows creation of a greater number of images with a high level of detail that will not be lost if the image should be enlarged. This is important where larger photos may be necessary and/or where greater detail is important. It is also important if more than a few high resolution pictures are going to be needed during an inspection.
The quality of a printed photo is only partially dependent on the camera resolution. Printer resolution capability is also an important factor when printing photos.
Photo Storage and Printing
Storage and printing are other important considerations for the use of digital cameras.
The computer is most often the mechanism used to store and print digital photos. To transfer images from the digital camera's memory to the computer, the camera is connected to the computer using a Universal Serial Bus (USB) port. Most computers have a USB port that simply
4ErikC. Berg, "Legal Ramifications of Digital Imaging in Law Enforcement", Forensic Science Communications, October 2000.
5Penney Azcarate, "Digital Imaging Technology and the Prosecutor", Prosecutor, January/February 2000.
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connects to the camera with a plug-in cable and images can be downloaded to the hard drive. If a USB port is not available, a card reader can be connected to the printer port to transfer images to the computer and the images then can be stored on the computer's hard drive. However, if the hard drive were to fail the images could be lost so back-up storage is necessary. Some cameras are also equipped to transfer the images directly from the camera to the computer. The disadvantage of this system is that if the transfer is interrupted some images could be lost.
Images can be printed at the same time they are downloaded, or printed as needed. For truly photographic quality prints, a commercial developer is recommended, particularly if large pictures are required. (Commercial developers have access to a different process that can provide better color and resolution than that afforded by in-house processing). For in-house viewing or most general purposes, a good quality color ink-jet printer using archival inks is recommended, particularly if the photos will be stored for a long period of time. For high quality images, premium glossy photo paper will give a great degree of color accuracy, even under magnification. For general purposes plain paper, photo quality ink-jet paper, premium photo paper, etc. can be selected depending on the necessary quality outcome.
Storage Media/Memory
A digital camera uses and/or contains random access memory (RAM) to store the images. When RAM is used up, it should be restored in order to take more pictures. There are currently several types of storage media used to record digital photos. The most common ones are Smart Media, Compact Flash, and Stick Memory. Also available is another card-sized storage media, an IBM "Microdrive", which fits the Compact Flash Type II card slot and can store up to 1 gigabyte of data when used with a compatible camera. Regardless of the storage media used by the camera, pictures can be downloaded and stored either on the computer's hard drive or on a compact disk (CD) if the computer is equipped with a CD "burner".
The number of photos which can be taken per session is a function of the resolution selected and the amount of memory required. This is somewhat dependent on the file format used. Most digital cameras use a file format which "compresses" the image so that more pictures can be stored on the storage media. There are two file types used to store the digital images on the storage media. A "lossless" file is one where no data is lost. Two file format types frequently used by digital cameras to capture "lossless" images are TIFF (Tagged Image File Format) and RAW (that has not been altered, processed or manipulated in any way). Lossless files or lossless compressed files tend to be quite large. Because these images require so much memory, to store more than one or two digital images in this format requires a very high capacity (and expensive) storage media, so this is primarily used only by professional photographers using high-end equipment.
Another file type in which some data may be lost is known as a "lossy" file. Images stored this way take up less much less room but may lose some data or image quality. However, the resultant "loss" may not be significant to over-all picture quality. One type of "lossy" file format that is currently used by most digital cameras is a standard file format known as JPEG (Joint Photographic Experts Group). This file format is designed to address the known limitations of the human eye and was named for the committee that devised and wrote the standard. At the
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highest JPEG resolution, even though there may be some small loss of image quality, it would not be obvious to the human eye. (This is less true for pictures of things like signs or other very hard -edged objects). When the camera saves files in the JPEG format, the amount of compression (image quality) must be decided upon. Most cameras give you the option in the setup menu to choose the JPEG image quality: fine (1:4 compression ratio), normal (1:8 compression ratio), and basic (1:16 compression ratio). The decision is always a compromise between image quality and the number of files that can be fit on a memory card. Unless many images need to be crammed onto the card, or the final quality is not that crucial, it is recommended to always use the camera setting that delivers the highest quality (lowest compression level). In most cases, a high -quality compression setting (fine) produces excellent image quality and generates compact file sizes that will allow many images to be fit onto a storage card. Generally, a 3.1 Mega Pixel (MP) camera using a 16 Mega Byte (MB) storage medium at high resolution could store approximately only two TIFF files, but could store at least 12 JPEG photos with no noticeable image loss.
Most digital cameras come with built-in picture file identifier (which assigns a unique number to each picture), date, and time stamps. This is an important feature which can be helpful for record-keeping purposes.
Power Supply
Because they are electronic, digital cameras require significantly more power than other types. As a result, batteries can drain quickly. This can be true even when batteries are left in the camera and are not in use. Repeated viewing of images through the camera's liquid crystal display (LCD) screen can also rapidly deplete batteries. This is particularly significant for digital cameras because battery depletion can cause the camera settings to be lost, in addition to being problematic if the power suddenly disappears when needed during use.
Most digital cameras use nickel metal hydride (NiMH rechargeable batteries) others use nickel cadmium (NiCd, rechargeable), lithium (non-rechargeable), and of course, alkaline (non-rechargeable). Of these, the NiMH batteries are the most economical because of their basic cost, rechargeability, length of charge, and long service life. (They are also environmentally preferable to the nickel cadmium batteries which are gradually being phased out). The lithium batteries are useful as cold-weather back-ups. Having extra battery sets is essential when using digital cameras for anything more than a few quick shots.
Optical Zoom
Another factor affecting picture quality, particularly for close-ups or distance, is optical zoom. Optical zoom is "true zoom" or telephoto, which makes the image appear closer without losing detail (a 2x optical zoom is roughly equivalent to a 35-70 mm zoom on a film camera).
Digital zoom is really just built in image enlargement with some resulting loss of photo detail.
Cameras with a higher degree of optical zoom allow for a greater degree of flexibility in use without loss of image quality.
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Computer Requirements
If a computer is equipped with a CD "burner", the images can be stored on a read -only CD (CD-R). This has several advantages. Images stored to a CD-R are created by permanently altering the disc with a laser light beam. CD writers cannot delete laser marks, so the images can be stored without alteration and any alteration would be detectable. This is only true for CD R, not CD-RW (read-write). The "original" images could be stored this way to form an
unalterable archive and it is feasible to store large numbers of images in a small amount of space (a typical CD can store hundreds of images). Once the images are archived to a CD-R, copies of the unaltered "originals" can be made from the CD-R and any necessary enhancements, such as improving contrast or "cropping" can be done on the copies and properly noted in a Photo-Log for future reference. Each change should be saved as a separate image file and documented so that all enhancements can be reconstructed, if necessary.
An alternative to using the CD-R is to store the images on a USB Flash Drive or computer hard drive and use commercially available software to perform a "Cyclic Redundancy Check" (CRC) on the stored images. The software performs a calculation that generates a unique number which can be checked later against the stored data to ensure that they match, indicating that the data also matches.
A computer has two types of memory, hard disk storage and Random Access Memory (RAM). The computer's hard disk drive is the memory used to store the digital images before transferring them to another storage medium, such as a CD-R. A high-capacity hard drive is needed if many digital images will be downloaded at one time. A hard disk drive should not be filled to more than 70% of its maximum capacity in order to not cause performance deterioration.
A computer with at least a 10 gigabyte hard drive is recommended at a minimum, but the amount of hard drive memory needed will depend on what other programs are resident which use memory, and how many pictures will be downloaded from the camera's storage media before being transferred to CD-R or other permanent storage.
Computer speed is another consideration. Speed is normally measured in millions of cycles per second or MHz. Speed affects how fast the digital images can be downloaded or edited. A speed of at least 233 MHz is recommended, although computers are now available at speeds of 2000 MHz (2Ghz)
A - 75 Virginia Department of Environmental Quality
Hazardous Waste Program
Aerosol Can Management
April 21, 2015
Purpose
The purpose of this document is to provide compliance assistance to Virginia facilities that generate discarded aerosol cans and information on how those discarded aerosol cans may be managed to meet the requirements of the Virginia Hazardous Waste Management Regulations.
The information in this document does not apply to persons generating household hazardous waste as defined in 40 CFR 261.4(b)(1).
A flow diagram, which summarizes the decision points and applicable requirements, has been provided at the end of this document.
This information is provided for compliance assistance purposes only by the Virginia Department of Environmental Quality (DEQ). This is not a regulation and, therefore, does not add, eliminate, or change any existing regulatory requirements. The statements in this document are intended for informational purposes only.
Discussion
Discarded aerosol cans may contain unused product and excess propellant. As a result, discarded aerosol cans may be regulated as a hazardous waste due to the following:
> The chemical product that was contained within the can;
> The compressed gas used as the propellant; and/or
> The can itself (e.g., potential to be reactive).
An intact, discarded aerosol can is considered a hazardous waste if:
> The can contains a U-listed chemical and/or;
> The can contains a P-listed chemical or the residue of a P-listed chemical, and/or;
> The product, propellant or the can itself exhibits one or more of the characteristics of
hazardous waste as defined in Subpart C of 40 CFR 261.
Aerosol cans are considered “RCRA Empty” (40 CFR 261.7) when:
> The product has been expelled from the can and only residue remains and/or any liquids remaining in the can have been otherwise removed (Note: this does not apply to cans that previously held P-listed chemicals); and
A - 76> The pressure in the can approaches atmospheric pressure.
A - 77 Virginia Department of Environmental Quality
Hazardous Waste Program
Aerosol Can Management
April 21, 2015
How to meet the RCRA Empty standard:
In order to meet the requirements above, the conditions below must be met with the second condition being met in all cases.
> A can is empty when the product has been completely sprayed out as a result of normal use and minimal or no product remains in the can. (Note: Do not deliberately spray out contents to empty the can. Use the product only for the intended purpose.)
AND/OR
> An aerosol can puncturing device has been used to remove any remaining liquids from the can and/or to depressurize the can. It is recommended that the device:
o Be designed for the purpose of puncturing aerosol cans and be capable of capturing both liquids and gases that may be released; o Be operated according to the manufacturer’s specifications; and o Be secured on a container that meets all of the container management requirements of 40 CFR 262.34(a), (c) or (d), as applicable.
Accumulating Discarded Aerosol Cans
Unless the discarded aerosol cans have been evaluated and sufficient documentation is available to demonstrate that they are non-hazardous or RCRA empty, it is assumed that discarded aerosol cans are a hazardous waste.
For LQGs and SQGs hazardous waste aerosols must be accumulated in a closed container marked or labeled with:
> The words “Hazardous Waste”; and > The accumulation start date.
LQGs and SQGs must also inspect containers at least weekly and keep them closed except when adding or removing waste.
Refer to 40 CFR 262.34 for complete requirements that apply to large and small quantity generators.
Satellite Accumulation
A - 78Hazardous Waste aerosol cans may also be accumulated in compliance with the satellite accumulation rules. Under these rules, up to 55-gallons (non- P-listed wastes) may be accumulated at to near the point of generation or 1 quart of P-listed hazardous wastes). The satellite accumulation provisions may be found at 40 CFR 262.34(c)(1).
A - 79 Virginia Department of Environmental Quality
Hazardous Waste Program
Aerosol Can Management
April 21, 2015
For further facility-specific assistance with proper management of aerosol cans under the VHWMR including satellite accumulation provisions, please contact the appropriate DEQ Regional Office.
Management of aerosol cans after meeting “RCRA empty” Requirements
Once the aerosol can is RCRA empty it may be recycled or disposed of as solid waste. This does not apply to an aerosol can that held P-listed chemicals; these aerosol cans must be disposed as hazardous waste.
Management of Aerosol Can Contents after Puncturing
After puncturing, the liquid contents drain to a container. Generators should ensure that chemicals drained into the same collection container are compatible with one another. In addition, generators must make a hazardous waste determination for any liquids or gases removed from the cans and manage these wastes accordingly, either as hazardous waste or solid waste.
Filters
Most aerosol cans are pressurized with either flammable gases such as propane or isobutene, or with non-flammable gases such as carbon dioxide. Most commercially available equipment for aerosol can puncturing vent these gases through a coalescing/activated carbon filter. When disposed, these filters may be a characteristic or listed hazardous waste. As a result, generators must make a hazardous waste determination for the filters and dispose of them accordingly.
For More Information
Please contact the appropriate DEQ regional staff if you have any questions regarding applicability of these requirements to your facility.
A - 80 Virginia Department of Environmental Quality Hazardous Waste Program
Yes No Is can empty of product?
Is/was product P-listed Yes Are contents a HW?
HW?
No
Yes No
Dispose as HW
No
Has can been punctured and drained?**
Yes
Management of Options for Management drained liquids of cans
No Are drained liquids a HW?
Yes
Recycle as Dispose as scrap metal SW*** Dispose as HW
Aerosol Can Management
April 21, 2015 ** Device used for puncturing must be designed for puncturing aerosol cans that captures both liquids and gases that may be released and must be operated in accordance with manufacturer’s specifications.
A - 81*** Note: Solid waste landfills cannot accept free liquids. Please check with the landfill on acceptance
criteria.
A - 82 COMMONWEALTH OF VIRGINIA
Department of Environmental Quality
Subject: Land Protection & Revitalization Guidance Memo No. LPR-SW-2013-03 WASTE
INFORMATION REQUEST AND TRADE SECRET PROTECTION
To: Regional Land Protection Program Managers and Waste Program Staff
From: Justin Williams,
Director, Office of Waste Permitting & Compliance
Date: August 15, 2013
Copies: Deputy Director, Land Protection & Revitalization Division Director, Regional Directors, Deputy Regional Directors, Enforcement, FOIA Coordinators
Summary:
This guidance addresses information request authority for the Department under the Virginia Waste Management Act. This guidance also provides overview of trade secret protection of information submitted to the Department under the Virginia Waste Management Act. It outlines procedures for requesting and staff handling of trade secret protected information.
Electronic Copy:
An electronic copy of this guidance is available on Virginia's Town Hall website at
http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/LawsRegulationsGuidance/Gu idance.aspx.
Contact Information:
Please contact Justin Williams at (804) 698-4185 or Justin.Williams@deq.virginia.gov with any questions regarding the application of this guidance.
Disclaimer:
This document is provided cis guidance and, as such, sets forth standard operating procedures, for the agency. However, it does not mandate any particular method nor does it prohibit any
alternative method. If alternative proposals are made, such proposals should be reviewed and accepted or denied based on their technical adequacy and compliance with appropriate laws and regulations.
A - 83 WASTE INFORMATION REQUEST-. TRADE SECRET PROTECTION VIRGINIA,DF.1",,I.I.'1\11'N'l
\ (
I. Introduction
Effective July 1, 2013, the Virginia Waste Management Act provides explicit authority for the Department to request information from people who generate, store, transport, treat, or dispose of waste. This provision also provides for trade secret protection of information submitted by the Department in response to a Freedom of Information Act Request. It does allow further disclosure to the U.S. Environmental Protection Agency (EPA) and where otherwise required by law.
This Guidance addresses information requests issued by the Department as well as trade secret protection request and subsequent handling of trade secret protected information.
IL Background
Effective July 1, 2013, the Virginia Waste Management Act provides explicit authority for the Department to request information from people who generate, store, transport, treat, or dispose of waste. This provision also provides for trade secret protection of information submitted by the Department in response to a request.
Department staff will have to properly address requests for trade secret protection and properly manage information protected as a trade secret. Department staff will have to evaluate a claim for trade secret protection. Granting trade secret protection to information will require limiting accessing of this information and excluding this information in response to a FOIA request.
III. Authority
Virginia Code § 10.1-1458 provides that every person that DEQ has reason to believe is generating, storing, transporting, disposing of, or treating waste shall, on request of DEQ, furnish such plans, specifications, and information as the Department may require in the discharge of its duties under the Virginia Waste Management Act.
Virginia Code § 10.1-1458 provides that trade secret information included within any plans, specifications, or information submitted pursuant to that section shall be excluded from the production under the Virginia Freedom of Information Act, provided that you: (i) invoke this exclusion upon submission of the data or materials for which protection from disclosure is sought, (ii) identify the data or materials for which protection is sought, and (iii) state the reasons why protection is necessary. See Va. Code § 2.2-3705.6(26). DEQ may disclose such trade secret information to the appropriate officials of the Environmental Protection Agency pursuant to the requirements of the federal Solid Waste Disposal Act, 42 U.S.C. § 3251, et seq., or as otherwise required by law.
A - 84IV. Definitions
The definitions in § 10.1-1400 of the Code of Virginia (Virginia Waste Management Act), § 59.1-336 (Uniform Trade Secrets Act), and § 2.2-3701 (Virginia Freedom of Information Act), respectively, apply to this guidance document except as otherwise noted:
"Department" means the Department of Environmental Quality.
"Director" means the Director of the Department of Environmental Quality.
"Person" includes an individual, corporation, partnership, association, a governmental body, a municipal corporation or any other legal entity.
"Trade secret" means information, including but not limited to, a formula, pattern, compilation, program, device, method, technique, or process, that:
- Derives independent economic value, actual or potential, from not being generally known to, and not being readily ascertainable by proper means by, other persons who can obtain economic value from its disclosure or use, and
- Is the subject of efforts that are reasonable under the circumstances to maintain its secrecy.
V. Guidance Document
The following outlines the basis for a request for trade secret protection submitted to the Department. It also outlines the decision process for a request for trade secret protection as well as staff management of trade secret protected information. This statute also provided clear statutory authority for the Department to request information. A template Information Request Letter is provided in Attachment A.
A. Request for Trade Secret Protection
There are three requirements that must be met in order for information to be protected as a trade secret. First, the requesting party must invoke this exclusion upon submission of the data or materials for which protection from disclosure is sought. Second, the requesting party must identify the data or materials for which protection is sought. Third, the requesting party must state the reasons why protection is necessary.
In order to invoke the protection, the requesting party must do so at the time the information is provided. Therefore, the party should include the request along with the information being submitted to the Department. This can be accomplished by providing a completed Trade Protection Request Form (Attachment B) in the information submittal. If a form is not provided, the requesting party should at minimum provide written notification clearly and explicating stating that trade secret protection is being sought.
The requesting party must also be clear on what portions of the information are to be protected. This should not be a generic statement that "all or some information contained should be protected." Rather, the requesting party should clearly indicate what pages, portions, sections, etc. are being
A - 85sought to be protected. For example, a requesting party may submit a 20 page information request response and indicate that the information on pages 5-10 are being sought to be protected.
Additionally, in a permit application, the requesting party may state the portions of a particular section which includes information sought to be protected.
By providing a redacted response excluding the information sought to be protected along with a full response, this can provide the clearest demonstration of the information sought to be protected.
As this is a FOIA exemption, it should be narrowly construed and therefore a requesting party should not request protection for any more information than is necessary or seek to have any and all information submitted to the Department to be protected unless it is clearly needed.
The requesting party should be clear as why this information qualifies as a trade secret. This basis should speak directly to how the information meets the definition of a trade secret. A statement that the information is "confidential," "priority," or "not well-known" is not sufficient.
Each of the elements is provided for in the attached Trade Secret Protection Request Form (Attachment A). The requesting party should utilize this form in making a request. The requesting party should also submit two responses: 1. A redacted response which excludes the information sought to be protected and 2. A full response which includes all information.
B. Scope of Trade Secret Protection
Given that the trade secret protection is a FOIA exemption, it will be narrowly construed by the Department. Only that information which is essential to be protected and clearly meets the definition of a trade secret as demonstrated by the requestor will be granted protection.
Examples of information that would not be granted protection include, but are not limited to, emissions, compliance, or reporting data such as information required to be provided under the Superfund Amendment and Reauthorization Act, groundwater monitoring data submitted in a groundwater monitoring report, the results of a contamination investigation due to a release, a hazardous waste manifest, and similar information, and information that had been previously disclosed in a patent application and is viewable by the public.
Examples of information that may be granted protection include, but are not limited to, the formula used to derive a product that is examined during an inspection or provided during a permit process, waste management contract information detailing customers and negotiated contract prices, or information regarding a recovery or product process that are unique, specific to the entity, and not known or reproducible by others.
As indicated in the statutory provision, the Department may disclose information protected as a trade secret to EPA pursuant to the federal Solid Waste Disposal Act, 42 U.S.C. § 3251, et seq. I
The Federal Solid Waste Disposal Act (SWDA) was originally codified at 42 U.S.C. § 3251. The Resource Conservation and Recovery Act amended the SWDA and is codified at 42 U.S.C. § 6901. Therefore, disclosure to EPA would include any disclosure required under RCRA.
A - 86The Department implements a delegated program for the Resource Conservation and Recovery Act (RCRA) Subtitle C and has an approved RCRA Subtitle D program. Pursuant to this, the Department may be required to provide information to EPA. An example of this requirement is for review of RCRA Subtitle C hazardous waste permits or pursuant to a file review under the State Review Framework. EPA has its own regulations under RCRA governing confidential business information.
When trade secret information is provided to EPA, the Department will notify EPA that it contains such information and coordinate its transmission.
Additionally, as noted in the statute, the protection is only extended to information submitted pursuant to the statute. The Department will not retroactively apply trade secret protection to information previously submitted. Only new information submitted to the Department as requested or required will be eligible for the protection.
C. Decision Process and Staff Management Of Trade Secret Request and Information
Department staff who receives a trade secret protection request should forward the request to the Office of Waste Permitting and Compliance (OWPC) along with the information that is being sought to be protected. Department staff should request that the party provide the request using the Trade Secret Protection Request Form (Attachment B) and to provide a redacted copy of the submission, if the party did not already do so.
OWPC will then evaluate the protection claim and make a decision regarding whether the information should be protected. OWPC will notify the requestor and the region of the decision regarding whether the trade secret protection request applies, the basis for the decision, and the next steps, if any, a party may take regarding the decision.
At all times during this process, access to the information should be limited. Regional office staff may maintain a copy of the information but should do so only to the extent necessary and should limit the staff that has access to the information.
If the request was submitted electronically, then once regional office staff have finished reviewing the necessary information, the information should be deleted. OWPC will maintain a copy of the information and request long-term as described below. If the request was submitted in hard-copy, then the regional office may copy the submission but should forward the original to OWPC. The copy should be deleted or destroyed once the regional office no longer needs to review the information.
Regional office staff should not scan into ECM any information that is subject to a trade secret protection request. Scanning should only occur after a decision on the request has occurred and only redacted copies of submission should be scanned into ECM with the cover sheet provided (Attachment C) in the region. Hard copies of the protected information will be tagged as appropriate and scanned into ECM with the cover sheet provided.
VI. Collaboration Process
No project team was formed to develop this guidance.
A - 87VII. Attachments A. Template Information Request Letter B. Trade Secret Protection Request Form C. Cover Sheet for Redacted Documents for ECM D. Cover Sheet for Non-redacted Documents for ECM
A - 88
ATTACHMENT A
INFORMATION REQUEST LETTER
[LETTERHEAD]
[Date]
DELIVERY CONFIRMATION #
[Facility Contact] [Facility Name] [Street Address] [City, State, Zip Code]
REQUEST FOR INFORMATION
RE:
[Facility name]
[DEQ Identification Number]
Dear [Facility Contact]:
This letter seeks your cooperation in providing certain information to the Department of Environmental Quality ("Department") to assist DEQ in its implementation and enforcement of the Waste Management Act and regulations. Please give this matter immediate attention and provide a complete response to this request for information and documents within [insert # of days] days of receipt of this letter.
BACKGROUND
[Provide summary information concerning previous compliance and enforcement actions including the date of relevant inspections, date and content of any Warning Letters or Notices of Violations, and effective date and relevant requirements of any Orders. The summary should provide the factual information based upon which DEQ believes that a violation of the relevant law, regulation, permit or order may have occurred or upon which DEQ has initiated an
A - 89[Facility Name]
Request for Information Page 2
investigation to determine the Facility's compliance with the law, regulation or order. Do not describe the facts in terms of violations or conclusions of law.]
AUTHORITY FOR REQUEST
While DEQ prefers your cooperation in providing the information requested below, compliance with this information request is required by law. Failure to respond in a timely manner or to supply complete and truthful responses to this request may result in an enforcement action to obtain the requested information, and may result in the imposition of penalties for noncompliance.
Code § 10.1-1402 authorizes the Virginia Waste Management Board ("Board") to collect data necessary to conduct the state waste programs, including data on resource recovery and the identification of and amounts of waste generated, transported, stored, treated or disposed. The Board is also authorized to require any person who generates, collects, transports, stores or provides treatment or disposal of a hazardous waste to maintain records, manifests, and reporting systems required pursuant to federal statutes or regulation.
Code § 10.1-1458 provides that every person that DEQ has reason to believe is generating, storing, transporting, disposing of, or treating waste shall, on request of DEQ, furnish such plans, specifications, and information as the Department may require in the discharge of its duties under the Virginia Waste Management Act.
Code § 10.1.-1409 provides that any permit issued by the Director may be revoked, amended or suspended if the applicant has knowingly or willfully misrepresented or failed to disclose a material fact in applying for a permit or in his disclosure statement, or in any other report or certification required under the law or under the regulations of the Board.
Code § 10.1-1455 of the Waste Management Act provides for an injunction for any violation of the Act, any Waste Management Board regulation, any condition of a permit or certification, or order. The same statute provides for a judicially imposed civil penalty up to $25,000 per day of such violation. Code § 10.1-1455 also authorizes the Board to issue orders to address such violations and impose penalties up to $25,000 per violation. In addition, Code § 10.1-1186 authorizes the Director of DEQ to issue special orders to any person to comply with the Act and regulations and to impose a civil penalty of not more than $10,000.
The Court has the inherent authority to enforce its injunction, and is authorized to award the Commonwealth its attorneys' fees and costs.
A - 90[Facility Name]
Request for Information Page 3
[Also include this for Hazardous Waste cases:1
Code § 10.1-1455 provides that any person who knowingly makes any false statements or representation in any application, disclosure statement, label, manifest record, report, permit, or other document filed, maintained, or used for purposes of hazardous waste program compliance shall be guilty of a felony punishable by a term or imprisonment of not less than one year nor more than five years and a fine of not more than $25,000 for each violation, either or both.
Section 3007 of the Solid Waste Disposal Act (42 USC § 6927) provides that, for the purposes of enforcing the provisions of that chapter, any person who generates, stores, treats, transports, disposes of, or otherwise handles or has handles hazardous waste shall, upon request of any duly designated officer, employee, or representative of a State having an authorized hazardous waste program, furnish information relating to such wastes and permit such person at all reasonable times to have access to, and to copy all records relating to such wastes. Virginia has an authorized state hazardous waste program.
[For Permitted Facilities:]
[Check to see if the permit contains a requirement to provide information. If so, reference this also.]
CONFIDENTIALITY OF INFORMATION
Code § 10.1-1458 provides that trade secret information included within any plans, specifications, or information submitted pursuant to that section shall be excluded from the production under the Virginia Freedom of information Act, provided that you: (i) invoke this exclusion upon submission of the data or materials for which protection from disclosure is sought, (ii) identify the data or materials for which protection is sought, and (iii) state the reasons why protection is necessary. See Va. Code § 2.2-3705.6(26). DEQ may disclose such trade secret information to the appropriate officials of the Environmental Protection Agency pursuant to the requirements of the federal Solid Waste Disposal Act, 42 U.S.C. § 3251, et seq., or as otherwise required by law.
If you request all or portion of the information submitted as a trade secret, please see DEQ's Guidance on Trade Secret Protection Requests under the Virginia Waste Management Act. The guidance can be found at: http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/LawsRegulationsGuidance/
A - 91[Facility Name]
Request for Information Page 4
Guidance.aspx. The Guidance contains a form that should be submitted along with your information to claim this protection.
REQUEST FOR INFORMATION AND DOCUMENTS
Terms used in this request shall have the meaning set forth in the Virginia Waste
Management Act § 10.1-1400 and accompanying regulations at 9 VAC 20-60-10 and 9 VAC 2080-10.
[Identify here the information or documents you are seeking. Questions should be clear and specific and phrased to minimize the likelihood of a nonresponsive submission.]
Your point of contact for this matter is [DEQ staff member] at (XXX) XXX-XXXX. Please submit your response to [her/him] within [thirty] days of the date of this letter. Questions concerning the information requested herein, or other information that DEQ should consider should also be directed to this contact.
Sincerely,
[Name] [Title]
cc:
A - 92 ATTACHMENT B
VIRGINIA DEPARTMENT OF I '.NVIRONMENTAI. Trade Secret Protection Request Virginia Waste Management Act
I. REQUESTOR INFORMATION
A. Requestor Information 1 Name: Address: 1 ip City:
B. Contact Information Contact Person: Title: Contact Phone: E-mail:
. Facility Information (if applicable) SWP#/EPA HW ID# Facility Name: Address: City: State: Zip:
II. BASIS FOR REQUEST A. Information Sought to be Protected
B. Reason Information Qualifies as a Trade Secret
A - 93 C. Additional Information/Certification
This information derives independent economic value by virtue of being protected as a trade secret
FINO EYES
This information is not a part of the public domain or otherwise easily ascertained by the public
N O n Y E S Has this information has been deemed a trade secret by another agency, court, or governmental/judicial entity:
N/A
ENO: ___________________
EYES: ______________________
This information is covered in a registered trademark or patent:
N/A nNO_______________________________________nVES:
III. REQUESTOR SIGNATURE I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance with a system designed to assure that qualified personnel properly gather and evaluate the information submitted. Based on my inquiry of the person or persons who manage the system or those persons directly responsible for gathering the information, the information submitted is to the best of my knowledge and belief true, accurate, and complete.
Name: Title:
Signature: Date:
PLEASE INCLUDE WITH INFORMATION SUBMITTED
A - 94INCLUDE A REDACTED COPY OF SUBMISSION WITHOUT TRADE SECRET INFORMATION
A - 95 ATTACHMENT B
Instructions for Completing DEQ Form Trade Secret Protection
I. REQUESTOR INFORMATION A. Requestor Information Name: Enter the name of the requestor. This name should be the name as registered with the State Corporation Commission if the requestor is a corporation or other entity and not an individual or agency. This person should be the individual who owns or controls the information requested to be protected.
Address, City, State, and Zip: Provide the address of the requestor.
Contact Phone Number, and Email: Provide contact information for the requestor.
B. Contact Information Contact Name, Title, Phone Number, and Email: Provide contact information for the person responsible for submitting this request. DEQ will consider the person listed as the main contact for correspondence relating to the request.
C. Facility Information (if applicable): SWPVEPA HW ID#: If the information is being submitted related to a facility with a Solid Waste Permit or EPA
Hazardous Waste ID number, include that number here.
Name, Address, and Phone: Provide name and address of the facility associated with the information being submitted.
II. BASIS FOR REQUEST A. Information Sought to be Protected: Please specifically identify what information in the submission is sought to be protected. The request should be as narrow as possible and only seek to protect that information which qualifies.
For example, if the information being submitted is 100 pages but only 20 pages contain information sought to be protect then identify those pages in this section. Do not include actual information that is being sought to be protected. For example, do not include in this section the formula that is the subject of the requested protection.
B. Reason Information Qualifies as a Trade Secret: Please indentify how this information meets the definition of a trade secret. This section should indicate whether the information is a formula, pattern, compilation, program, device, method, technique, or process. It should also indicate what the formula, pattern, compilation, program, device, method, technique, or process accomplishes and how it has independent economic value. For example, if a formula is sought to be protected, this section could identify "the information is a formula which produces the end product of X which is used commercially as an industrial solvent. The formula is not a common formulation or otherwise used or produced in the marketplace."
C. Additional Information/Certification: This information derives independent economic value by virtue of being protected as a trade secret. Please check the appropriate box.
This information is not a part of the public domain or otherwise easily ascertained by the public. Please check the appropriate box.
A - 96Has this information has been deemed a trade secret by another agency, court, or governmental/judicial entity.
Please check the appropriate box. If no other agency, court, or governmental/judicial entity has reviewed this information to determine if it qualifies as a trade secret, check "N/A." If another agency, court, or governmental/judicial entity has review this information and made determination as to whether it is a trade secret,
A - 97 check "YES" or "NO" depending on the result. Also, include with "YES" or "NO," the another agency, court, or governmental/judicial entity that made the determination.
This information is covered in a registered trademark or patent.
Please check the appropriate box. If the information is not the subject of a registered trademark or patent, check "NO." If is the information is the subject of a registered trademark or patent, check "YES" and provide the registered trademark No. or Patent No.
III. REQUESTOR SIGNATURE This form must be signed by the requestor or if the requestor is a legal entity other than individual, a responsible official of the requestor. A responsible official is:
- For a business entity, such as a corporation, association, limited liability company, or cooperative: a duly authorized representative of such business entity if the representative is responsible for the overall operation of one or more operating facilities applying for or subject to a permit. The authority to sign documents must be assigned or delegated to such representative in accordance with procedures of the business entity;
- For a partnership or sole proprietorship: a general partner or the proprietor, respectively; or
- For a municipality, state, federal, or other public agency: a duly authorized representative of the locality if the representative is responsible for the overall operation of one or more operating facilities applying for or subject to a
A - 98permit. The authority to sign documents must be assigned or delegated to such representative in accordance with procedures of the locality."
A - 99 ATTACHMENT C
COMMONWEALTH OF VIRGINIA
Department of Environmental Quality
NOTICE
REDACTED INFORMATION
Please be advised that the following document has had portions redacted due to protection as a trade secret. The redacted information is not included pursuant to Va. Code § 2.2-3705.6(26).
The redacted portion includes approximately ______ pages.
If you have any questions regarding this redaction, please contact the Office of Waste Permitting
A - 100and Compliance.
A - 101 ATTACHMENT D
COMMONWEALTH OF VIRGINIA Department of Environmental Quality
NOTICE-TRADE SECRET PROTECTED INFORMATION
Please be advised that the following document contains information that is protected as a trade secret. This information should not be released under a FOIA request pursuant to Va. Code § 2.2-3705.6(26). A redacted version of this document which can be released under FOIA has been scanned into ECM as well.
If you have any questions regarding the protection and the handling of this information, please contact the Office of Waste Permitting and Compliance.
A - 102 VIRGINIA DEPARTMENT OF ENVIRONMENTAL QUALITY
AGENCY POLICY STATEMENT NO. 2-2016
SUBJECT: DEQ Logo Policy
EFFECTIVE: Upon Signature
PURPOSE
The logo designed for the Virginia Department of Environmental Quality is intended to produce a strong identity for DEQ, while combining visual images for air, land and water resources. This policy ensures that the logo appears with consistency in publications and other uses, and promotes the continued identification of the agency with the logo.
The DEQ Office of Public Information and Outreach is available to provide assistance with use of the logo.
This policy replaces the DEQ logo policy issued March 28, 1994.
LOGO USE
Agency forms, publications and presentations intended for public distribution or viewing should include the DEQ logo. No other versions of the agency logo or individual program logos should be used unless one is produced for official agency business in conjunction with this policy.
The DEQ logo does not need to be added to a form or publication that already exists, unless the form or publication is being modified. When a new form or publication is being created, the DEQ logo should be used. The DEQ logo is not required on forms, publications or other documents that contain the state seal, such as letterhead used for correspondence, permits or consent orders. The DEQ logo is not required when a form or publication is intended for incorporation into a form or publication of another agency. The DEQ logo should not be used on agency email.
A - 103LOGO SIZE AND RESOLUTION
When resizing the logo, avoid stretching or compressing it. To resize the logo, press the “shift” key while dragging a corner of the logo. When the desired size has been reached, release the corner first. Then release the “shift” key.
The logo should not appear distorted or pixilated. All components of the logo should be clearly visible and have the highest resolution possible. Only the approved colors described in this policy should be used, and the logo segments should not be altered, moved or removed.
The size of the logo should be appropriate for the design of the document or publication. It should neither dominate as a graphic element, nor should it be too small to be legible.
LOGO PLACEMENT
The logo always should be free-standing. It should not be boxed or have any type or design superimposed on it.
The DEQ Office of Public Information and Outreach makes available templates that incorporate appropriate placement of the logo in a variety of publications. The template options include reports, brochures and presentations. Recommended versions of the logo and the templates are available to DEQ staff on DEQnet (http://deqnet/programs/pao).
ONE-COLOR LOGO USE
The black-and-white logo should be used with electronic files that are intended to be photocopied or computer-printed in black and white.
For projects that are produced by a professional printer, there are three approved options for one-color reproduction of the logo:
Printed at 100 percent black. Printed at 100 percent PMS 301 (blue). (PMS, followed by a number, refers to a specific Pantone Matching System color used in printing or other artwork.) Printed in reverse from a solid-color background. For example, the logo could appear in white on an all-black brochure cover or poster background.
TWO-COLOR LOGO USE
The two-color logo should be used with electronic files that are intended for display on a computer or printed from a color printer. The two-color logo also should be used when it appears on apparel, such as shirts, caps and hardhats.
A - 104For projects that are produced by a professional printer or other service provider, there is one approved option for two-color reproduction of the logo:
The two land segments of the illustration and the large letters “DEQ” appear at 100 percent PMS 341 (green). The water and air segments of the illustration, plus the words “Virginia Department of Environmental Quality,” appear at 100 percent PMS 301 (blue).
The RGB (red, green and blue for electronic use) values for the logo are:
blue – R 0, G 103, B 165 green – R 0, G 127, B 97
LOGO USE BY DEQ PROGRAMS
Approved DEQ program logos are always to be used in conjunction with the DEQ logo to identify DEQ as the agency sponsor.
LOGO USE BY NON-DEQ ENTITIES
The logo is only for use in official agency business or other DEQ-authorized activity.
Non-DEQ entities, including local, state or federal government agencies in partnership with DEQ or other entities in formal partnership with DEQ, may be authorized to use the agency logo on a case-by-case basis. Requests should be directed to the DEQ Office of Public Information and Outreach. Non-DEQ entities may be authorized to use the agency logo only with the written consent of the DEQ Director.
If DEQ employees learn of an instance of unauthorized use of the logo, they should inform the DEQ Policy Director.
The logo should not be used by DEQ permittees or those involved with regulatory actions by DEQ.
A - 105LOGO AVAILABILITY
The DEQ logo is kept by the DEQ Office of Public Information and Outreach on DEQnet. It is available to DEQ staff in electronic format for use in accordance with this policy.
A - 106VIRGINIA FREEDOM OF INFORMATION ACT
TABLE OF CONTENTS
Page
I. Purpose ...................................................................................................................... 4
II. Background ................................................................................................................ 4 Defines who has access to public records and public meetings.
Defines who has responsibility for interpreting this policy.
Subpoenas ................................................................................................................. 4
Statement of Policy .................................................................................................... 4
IV. Requirements
A. What must be disclosed ........................................................................................ 5 B. What may be disclosed or withheld .................................................................... 5 Defines types of records that are not subject to mandatory disclosure.
C. What must be withheld........................................................................................ 10 Defines responsibilities for confidential information.
D. Nonexistent records ............................................................................................ 12 Defines excision and conversion of electronic data as existing records.
V. Procedures
A. Records disclosure procedures ........................................................................... 12
- Request for records ....................................................................................... 12
- Responses to requests for records ................................................................ 12 The agency must respond within 5 days of the agency's receipt of request. If the seven day extension is necessary, a reason for the extension must be stated. Any mandatory or discretionary withholding of documents must include a list of the withheld documents and specific reason for their exemption. Consult with the DEQ FOIA Officer when any records are deemed subject to discretionary withholding. The coordinators and DEQ FOIA Officer must maintain the response cover letter for at least three years.
- Form of release of requested records ........................................................... 15 The type of release of the requested records may be by inspection and copy by requester, or copy and mail by the coordinator. Options for handling of large volume requests; V1TAShare.
- Cost for provision of records 16
A - 107B. Assignment of records disclosure responsibilities ........................................... 17
- Custodians
- Coordinators
- DEQ FOIA Officer
- All DEQ employees
C. Penalties for violation ....................................................................................... 19
A - 108VI. Rescission ..................................................................................................................... 19
Attachments:
A. Virginia Freedom of Information Act Action Form (must use for cost recovery) ..................................................................................................... 21
B. Freedom of Information Act Response Form (may use in place of letter) .... 23 C. Example Form Letter ................................................................................... 25 Di Confidentiality of Enforcement Documents ................................................... 27
A - 109I. PURPOSE:
This policy establishes procedures for assisting employees of the Department of Environmental Quality (hereinafter "DEQ") in complying with requests pursuant to the Virginia Freedom of Information Act (VFOIA); see www.deq.virqinia.qov/info/foia.html. It is intended for use in conjunction with the VFOIA. The entire VFOIA, searchable as one file, can be found at http://www.foiacouncil.dls.virqinia.qov.
II. BACKGROUND:
The VFOIA gives the people of the Commonwealth ready access to records in the custody of public officials and free entry to meetings of public bodies in which the business of the people is conducted. Such access is provided to any citizen of the Commonwealth, representatives of newspapers and magazines with circulation in the Commonwealth, and representatives of radio and television stations broadcasting in or into the Commonwealth according to the provisions of the law, regardless of the reason for the request (collectively, "citizens"). The provisions of the law will be liberally construed to promote an increased awareness by citizens of governmental activities and to afford every opportunity for citizens to witness the operations of government.
Any exception or exemption from applicability shall be narrowly construed. In compliance with the VFOIA statute, DEQ will treat every written, electronic or oral request for records as a request under the VFOIA, whether or not that law is explicitly cited in the request. The VFOIA does not apply to requests made by individuals who are not citizens of the Commonwealth of Virginia. However, DEQ will make every attempt to honor such requests from outside the Commonwealth within a reasonable time.
Whenever the General Assembly amends the VFOIA so that any portion of this policy is inconsistent with the amended law, this policy will be interpreted in a way consistent with the amended law. The responsibility for interpreting the provisions of these procedures belongs to the DEQ FOIA Officer in consultation with the Director of DEQ (hereinafter "the Director").
When records are requested from a public body pursuant to a subpoena, the Rules of the Supreme Court of Virginia, not VFOIA, apply. (Virginia Freedom of Information Advisory Council AO-05-03)
III. STATEMENT OF POLICY:
DEQ is committed to ensuring that Virginia citizens have access to all agency information to which they are entitled under the VFOIA. We understand that an informed public can better assist us in our mission to protect and improve the environment for the well being of all Virginians. Following are the details on how this policy is implemented.
A - 110IV. REQUIREMENTS:
A. What must be disclosed:
- Except for certain types of records explained in the following subsections or as otherwise provided by law, all records held by DEQ staff pertaining to DEQ business are considered official government records ('public records") and are subject to mandatory disclosure under the VFOIA. Such records include but are not limited to the following: books, papers, letters, notes, data and databases, presentations, reports, forms, documents, meeting minutes, video and audio records, telephone logs, electronic mail transmissions, electronic data and databases, contracts, position descriptions, job classifications, payment records,' maps, charts, diagrams, or graphs. Any version of any such record, whether preliminary or final (including drafts), shall be disclosed upon request. Such records may exist in any format, including but not limited to print, handwriting, facsimile transmission, photocopy, electronic computer file, film, audiotape, videotape, photograph, or transparency. Records that are not prepared for or used in the transaction of public business are not public records. Business emails are handled under the same retention policies as other public records.
- In some instances, the Code specifically requires that certain information always be made available to the public on request. Such information includes:
a. "Emissions data" as provided in §§ 10.1-1314 and 10.1-1314.1 means the information gathered by, or submitted to, DEQ regarding the amount of pollutants emitted by sources of air pollution;
b. "Effluent data" as provided in § 62.44.21 means the information gathered by, or submitted to, DEQ regarding the amount of pollutants emitted by sources of water pollution; and
c. Any other information required by law to be made available to the public.
B. What may be disclosed or withheld:
Certain records are not subject to mandatory disclosure under the VFOIA.
These may be disclosed or withheld at the discretion of the custodian of the requested records after consultation with the DEQ FOIA Officer. If necessary, the DEQ FOIA
'These include records of salaries for employees earning more than $10,000 per year, per diem allowances, and reimbursement of expenses.
A - 111Officer will consult with the Director, or his designee, and the Office of the Attorney General (OAG) to determine the appropriate course of action.
Exclusions of general application to public bodies (5 2.2-3705.1):
- Personnel records containing information about identifiable individuals (§ 2.2-3705.1 (1));
- Written advice of legal counsel to state, regional or local public bodies or the officers or employees of such public bodies and any other records protected by the attorney-client privilege (§ 2.2-3705.1-(2));2
- Legal memoranda and other work products compiled specifically for use in litigation or for use in an active administrative investigation concerning a matter which is properly the subject of a closed meeting under § 2.2-3711 (§ 2.2-3705.1(3));3
- Any test or examination used, administered, or prepared for purposes of evaluation of any employee or employment seeker's qualifications or aptitude for employment, retention, or promotion with DEQ, or qualifications for any license or certificate issued by DEQ (§ 2.2-3705.1-(4));4
- Records recorded in or compiled exclusively for use in closed meetings lawfully held pursuant to § 2.2-3711 (§ 2.2-3705.1(5);
- Vendor proprietary information software (§ 2.2-3705.1(6));
- Computer software developed by or for a state agency (§ 2.2-3705.1(7)); and
2 Such writings include (1) records (letters, memoranda, notes of meetings and telephone calls) in which DEQ personnel seek legal advice from the OAG, (2) any written advice received and (3) internal documents reflecting either such written advice or any oral advice received. Records may not be protected by the attorney-client privilege if they have been disclosed to third parties. The attorney-client privilege belongs to DEQ, not to the attorney, and can be waived through disclosure by the client to others. Questions about the application of the attorney-client privilege should be referred to the DEQ FOIA officer who will, if necessary, contact the OAG.
3 This section includes, but is not limited to, any document specifically prepared at the request of the OAG.
4 The scoring key or any other document that would jeopardize the security of the test is also exempt from mandatory disclosure. Test scores, however, shall be disclosed. Any person who has taken an employment test shall be entitled to inspect all documents relative to his or her performance on the test.
A - 112 8. Appraisals and cost estimates of real property subject to a proposed purchase, sale, or lease, prior to the completion of such transaction (§ 2.2-3705.1(8)).
Exclusions relating to public safety (§ 2.2-3705.2):
- Those portions of engineering and construction drawings and plans submitted for the sole purpose of complying with the building code in obtaining a building permit which would identify specific trade secrets or other information, the disclosure of which would be harmful to the competitive position of the owner or lessee.
Such information shall be exempt only until the building is completed and information relating to safety or environmental soundness of any building shall not be exempt from disclosure (§ 2.2-3705.2(2));
- Documentation or other information which describes the design, function, operation, or access control features of any manual or automated security system which is used to control access to or use of any automated data processing or telecommunications system (§ 2.2-3705.2(3)); and
- Plans and information to prevent or respond to terrorist activity, the disclosure of which would jeopardize the safety of any person, including (i) critical infrastructure sector or structural components; (ii) vulnerability assessments, operational, procedural, transportation, and tactical planning or training manuals, and staff meeting minutes or other records; and (iii) engineering or architectural records, or records containing information derived from such records. The same categories of records of any governmental or nongovernmental person or entity submitted to a public body for the purpose of antiterrorism response planning may be withheld from disclosure if such person or entity in writing (a) invokes the protection of this subdivision, (b) identifies with specificity the records or portions thereof for which protection is sought, and (c) states with reasonable particularity why the protection of such records is necessary to meet the objective of antiterrorism planning and protection (§ 2.2-3705.2(4)).
Exclusions relating to administrative investigations (§ 2.2-3705.3):
- Investigator notes, correspondence, and information furnished in confidence with respect to an active investigation of individual employment discrimination complaints made to the Department of Human Resources Management.
However, nothing in this section shall prohibit the disclosure of information taken from inactive reports in a form which does not reveal the identity of charging parties, persons supplying the information, or other individuals involved in the investigation (§ 2.2-3705.3(3));
- Investigative notes, correspondence, and information furnished in confidence with respect to an investigation or conciliation process involving an alleged
A - 113unlawful discriminatory practice under the Virginia Human Rights Act (§ 2.2-3900 et seq.) (§
- 2-3705.3(5)); and
- Investigative notes, correspondence, and information furnished in
confidence, and records otherwise exempted by this chapter or any Virginia statute provided by or for the (i) Auditor of Public Accounts; (h) Joint Legislative Audit and Review Commission; or (iii) Office of the State Inspector General with respect to an investigation initiated through the State Employee Fraud, Waste and Abuse Hotline (§
- 2-3705.3(7)).
Exclusions relating to educational records and certain records of educational institutions (§ 2.2-3705.4):
- Data, records, or information of a proprietary nature produced or
collected by or for faculty or staff of public institutions of higher education in the conduct of or as a result of study or research on medical, scientific, technical, or scholarly issues, whether sponsored by the institution alone or in conjunction with a governmental body or a private concern, where such data, records, or information has not been publicly released, published, copyrighted, or patented (§ 2.2-3705.4(4)).
Exclusions relating to proprietary records and trade secrets (§ 2.2-3705.6):
- Financial statements not publicly available that are filed with applications for industrial development financing in accordance with Chapter 49 (§ 15.2-4900 et seq.)(§ 2.2-3705.6(2)); and
- Information that was filed as confidential under the Toxic Substances Information Act (§ 32.1-239 et seq.), as such Act existed prior to July 1, 1992 (§ 2.2-3705.6(4));5
- Documents and other information of a proprietary nature furnished by an agricultural landowner or operator to the Department of Conservation and Recreation, the Department of Environmental Quality, the Department of Agriculture and Consumer Services or any political subdivision, agency, or board of the Commonwealth pursuant to §§ 10.1-104.7, 10.1-104.8, and 10.1-104.9, other than when required as part of a state or federal regulatory enforcement action.
- Trade secrets, as defined in the Uniform Trade Secrets Act (§ 59.1336 et seq.), provided to DEQ pursuant to § 10.1-1458 (request for plans, specifications and information regarding waste management activities) (§ 2.2-3705.6(26)). Trade secrets that meet the criteria for protection under this subdivision are excluded from VFOIA and may not be disclosed, except to appropriate officials of the Environmental Protection Agency (EPA) pursuant to the requirements of the federal Solid Waste Disposal Act, 42 U.S.C. § 3251, et seq., or as otherwise required by law.
5 A 1992 amendment deleted "authorized disclosure" and "confidential information."
A - 114 Exclusions regarding records of specific public bodies and certain other limited exemptions (§ 2.2-3705.7):
- Working papers and correspondence of the Office of the Governor, Lieutenant Governor, the Attorney General; the members of the General Assembly or the Division of Legislative Services; the mayor or other chief executive officer of any political subdivision of the Commonwealth, or the president or other chief executive officer of any public institution of higher education in Virginia. However, no record, which is otherwise open to inspection under this chapter, shall be deemed exempt by virtue of the fact that it has been attached to or incorporated within any working paper or correspondence (§ 2.2-3705.7(2));
- Records regarding the siting of hazardous waste facilities, except as provided in § 10.1-1441, if disclosure would have a detrimental effect upon the negotiating position of a governing body or on the establishment of the terms, conditions, and provisions of the siting agreement (§ 2.2-3705.7(9));
- Records containing information on the site-specific location of rare, threatened, endangered, or otherwise imperiled plant and animal species, natural communities, caves, and significant historic and archeological sites if disclosure would jeopardize the resource. This exemption does not apply to requests from the owner of the land upon which the resource is located (§ 2.2-3705.7(10)); and
- Records of DEQ, the State Water Control Board, State Air Pollution Control Board or the Virginia Waste Management Board relating to (i) active federal environmental enforcement actions that are considered confidential under federal law and (ii) enforcement strategies, including proposed sanctions for enforcement actions.
Upon request, such records shall be disclosed after a proposed sanction resulting from the investigation has been proposed to the Director of the agency or his designee. This subdivision shall not be construed to prohibit the disclosure of records related to inspection reports, notices of violation, and documents detailing the nature of any environmental contamination that may have occurred, or similar documents (§ 2.2-3705.7(16)). See attachment D for supplemental enforcement guidance.
Exclusions regarding criminal records (§ 2.2-3706):
- Complaints, memoranda, correspondence, case files or reports, witness statements, and evidence related to a criminal investigation or prosecution, other than criminal incident information as defined in § 2.2-3706, subsection A (§ 2.2-
3706.F.(1)).
Exclusions to any other records which may be withheld from mandatory disclosure under § 2.2-3705.1- .7 and § 2.2-3706:
A - 115 DEQ shall honor the confidentiality determinations of other governmental agencies of the Commonwealth or of agencies of federal or local government only if confidentiality is required by state or federal law. If another agency transmits to DEQ a record which that agency has exempted from disclosure but which is not required to be kept confidential under law, DEQ shall make its own determination of whether the record in question qualifies for an exemption before exempting that record from disclosure.
C. What must be withheld:
- The VFOIA does not mandate the withholding of any public record.
Some records subject to mandatory withholding fall under other laws or regulations as follows:
a. The Air Pollution Control Law states that any information, except emission data, as to secret processes, formulae, or methods of manufacture or production shall be kept confidential (§§ 10.1-1314 and 1314.1). The Regulations for the Control and Abatement of Air Pollution further articulate this principle (9 VAC 5-170-60, "Availability of Information"), and it is the responsibility of the source providing confidential information, not that of DEQ, to identify the information as confidential and seek DEQ's acquiescence in that designation. DEQ is responsible for keeping such designation confidential;
b. The Water Control Law states that any information, except effluent data, as to secret formulae, processes, or secret methods shall be kept confidential (§ 62.1-44.21). It is the responsibility of the source providing confidential information, not that of DEQ, to identify the information as confidential and seek DEQ's acquiescence in that designation. DEQ is responsible for keeping such designation confidential; c. The Water Control Law for the Virginia Stormwater Management Program (VSMP) states that any personal information shall not be disclosed except to an appropriate official of the Board, DEQ, EPA, or VSMP authority or as may be authorized pursuant to VFOIA. The law also prohibits disclosure of any secret formulae, secret processes, or secret methods used by any VSMP permittee or under that permittee's direction (§ 62.1-44.15:40).
d. DEQ will withhold information claimed confidential [U.S.
Code Title 42, Subchapter III, Section 11044(a)] to the extent required by the Superfund Amendments Reauthorization Act (SARA) Title Ill statute;
e. DEQ will withhold the social security number or other identification numbers appearing on driver's licenses or information on credit cards, debit cards, bank accounts, or other electronic billing and payment systems that were supplied to the agency for the purpose of paying fees, fines, taxes or other charges collected by DEQ. The prohibition shall not apply where the disclosure of such information is required (i) to conduct or complete the transaction for which such information was submitted or (ii) by other law or court order (§ 2.2-3808.1); and A - 116 f. DEQ will not require an individual to disclose or furnish his social security account number not previously disclosed or furnished, for any purpose in connection with any activity, or to refuse any service, privilege or right to an individual wholly or partly because the individual does not disclose or furnish such number, unless the disclosure or furnishing of such number is specifically required by federal or state law (§ 2.2-3808).
g. DEQ will withhold personal information, as defined in § 2.2-3801, including electronic mail addresses, furnished to a public body for the purpose of receiving electronic mail from the public body, provided that the electronic mail recipient has requested that the public body not disclose such information. However, access shall not be denied to the person who is the subject of the record.
h. Communications and materials required to be kept confidential pursuant to § 2.2-4119 of the Virginia Administrative Dispute Resolution Act (§ 2.2-4115 et seq.).
i. Records relating to the negotiation and award of a specific contract where competition or bargaining is involved and where the release of such records would adversely affect the bargaining position or negotiating strategy of the public body. Such records shall not be withheld after the public body has made a decision to award or not to award the contract. In the case of procurement transactions conducted pursuant to the Virginia Public Procurement Act (§ 2.2-4300 et seq.), the provisions of this subdivision shall not apply, and any release of records relating to such transactions shall be governed by the Virginia Public Procurement Act.
j. Those portions of records that contain account numbers or routing information for any credit card, debit card, or other account with a financial institution of any person or public body. However, access shall not be denied to the person who is the subject of the record. For the purposes of this subdivision, "financial institution" means any organization authorized to do business under state or federal laws relating to financial institutions, including, without limitation, banks and trust companies, savings banks, savings and loan companies or associations, and credit unions.
- Certain records deemed confidential, limited distribution, or restricted use by other law or regulation. The custodian should consult with the DEQ FOIA Officer before withholding any information.
- DEQ will use its best efforts to identify and designate materials it receives as confidential upon adequate prior written notice from the person providing those documents. But in the event of error, and even as to those documents so designated, if DEQ receives a request under FOIA which covers those documents, their exempt or non-exempt status will be examined under the provisions of FOIA itself, as
A - 117well as any other relevant law by the records custodian, in consultation with the DEQ FOIA Officer, if necessary.
D. Nonexistent records:
No DEQ coordinator is required to create or prepare a particular record if it does not already exist. This includes the need to abstract or summarize information, to provide records if those records do not exist at the time of the request, to provide records that are not in the coordinator's custody at the time of the request, or to convert a record from one form into another. The coordinator, however, shall make a reasonable effort to reach an agreement with the requester concerning the production of the requested records. For electronic databases, the excision of exempt fields of information from an electronic database or the conversion of data from one available format to another shall not be deemed the creation, preparation or compilation of a new public record.
V. PROCEDURES:
A. Records disclosure procedures:
- Requests for records If a citizen of the Commonwealth of Virginia wishes to inspect or be provided with copies of any DEQ record, the request should be made to the DEQ FOIA Officer or to one of the DEQ coordinators (see Appendix
ilittp://decinet/docs/admin/admin policy/Public and Regulatory Affairs Policy/CustAndCoordList.pda The DEQ FOIA Officer or the coordinator of the requested records may request that he or she issue his or her request in writing using DEQ's online form (www.dea.virqinia.qov/Connect with DEQ/Freedom of Information Act/request form). Should the requester decline to make a written request or the coordinator choose to do so, a verbal request shall be accepted. Such requests shall be documented in writing by the coordinator to include the following: name and legal address of the requester, information requested and the date the request was received (Attachment A). This request must be phrased with reasonable specificity (§ 2.2-3704.B). Facsimile and email requests are acceptable; no original signature is necessary for a request to be valid.
The request does not have to refer specifically to the VFOIA in order to be covered by the law and by this policy.
- Responses to requests for records VFOIA directs that all public bodies and their officers and employees make reasonable efforts to reach an agreement with a requester concerning the production of the records requested. An initial response must be sent to the requesting party within five working days of the agency's receipt of the request. "Forwarding" or "receiving" a FOR request to or from another division/section/office of DEQ does not change the date for which a response is due.
Failure to respond in one of the following ways may be deemed a denial of
A - 118the request and therefore a violation of the law. Written responses may be made via email to increase the timeliness of responses.
Within five working days after receipt of the request (not counting the date of receipt) by DEQ, the coordinator of the records requested shall respond in writing in one of the following ways:
a. If the cost of providing the records is less than $10.00, the coordinator shall release the requested records within five working days at no cost to the requester; (sample letter paragraph 2)
b. If the cost of providing the records is $10.00 or more, the coordinator shall inform the requester of the costs to be recovered in complying with the request and proceed with providing the records; (sample letter paragraph 5)
c. If the cost of providing the records is determined in advance to likely exceed $200.00, before continuing to process the request, DEQ will require the requester to pay a deposit, not to exceed the amount of the estimate. This deposit will be credited toward the final cost of supplying the requested records. The response period within which DEQ shall respond under this section shall be tolled for the amount of time that elapses between notice of the advance determination and the response of the requester. Upon receipt of the deposit, the coordinator shall process the request and proceed with providing the records; (sample letter paragraph 9)
d. If the coordinator determines that it is not possible to provide the requested records, to determine the specific records requested, or to determine the cost of releasing the records within the five working-day period, he or she shall specify in writing the conditions that make a response impossible. The coordinator shall have an additional seven working days in which to provide one of the previous responses or make records available for inspection if acceptable to the requester; (sample letter paragraph 6)
e. If the coordinator determines that the volume of the requested records is extraordinary; an extraordinarily lengthy search would be required to identify the records; or that their release within the additional seven working days would prevent his or her division, region or office from meeting its operational responsibilities, he or she shall call the requester and attempt to reach an agreement on an extension of the time limit. If such an agreement can be reached, the coordinator shall send the requester a letter confirming the arrangement. If such an agreement cannot be reached, the DEQ FOIA Officer shall discuss with the OAG the possibility of petitioning an appropriate court for additional time in which to respond. Any such discussion with the OAG must be held within sufficient time for any such petition to be filed before the statutory deadline expires and default occurs; (sample letter paragraph 7)
A - 119 f. If the coordinator deems all or part of the requested records to be subject to mandatory withholding under section IV C of this policy, the requester shall be notified. The requester shall be provided with a list of the withheld documents, and the specific exemption which is claimed as to each category must be cited; (sample letter paragraph 3 or 4)
g. If the coordinator deems all or part of the requested records to be subject to discretionary withholding under IV B of this policy, or is unsure as to the appropriate action, he or she shall immediately consult with the DEQ FOIA Officer. If necessary, the DEQ FOIA Officer shall contact the Director (or his designee), and the OAG to ascertain the appropriate course of action. If all or parts of the requested records are determined to be subject to withholding, the coordinator shall so inform the requester. The requester shall be provided with a list of the withheld documents and the specific exemption, which is claimed as to each category must be cited. The coordinator shall release that portion of the requested records not subject to withholding. (sample letter paragraph 3 or 4)
h. If the requested records could not be found or do not exist in DEQ files, the coordinator shall so inform the requester. However, if the staff person or coordinator who received the request knows that another public body has the requested records, the response shall include contact information for the other public body. (sample letter paragraph 8). In the event DEQ has transferred possession of public records to any entity, including but not limited to any other public body, for storage, maintenance, or archiving, DEQ shall remain the custodian of such records for purposes of responding to requests for records and shall be responsible for retrieving and supplying such records to the requester. This ownership and responsibility shall not apply to records transferred to the Library of Virginia for permanent archiving pursuant to the duties imposed by the Virginia Public Records Act (§ 42.1-76 et seq.).
In accordance with § 42.1-79, the Library of Virginia shall be the custodian of such permanently archived records and shall be responsible for responding to requests for such records.
Any DEQ employee who receives a request for records which are in the physical possession of his or her division, region or office shall immediately route that request to the appropriate DEQ FOIA coordinator of the records for that division, region or office. Any DEQ employee who receives a request for records which are not in the physical possession of his or her division, region or office shall immediately route that request to the attention of the DEQ FOIA Officer or the appropriate coordinator, if known.
If the requester is not a citizen of Virginia, the response will explain that although the legal requirements of the VFOIA do not apply, it is DEQ's policy to respond to such requests within a reasonable time. In the case of an out-of-state firm representing a Virginia client, the coordinator will treat the request as one from a citizen of the Commonwealth.
A - 120 The coordinator shall maintain a copy of the response cover letter or record of electronic response for at least three years following the date of the letter, as required by General Records Retention and Disposition Schedule No. 101 of the Virginia State Library and Archives. The attachments do not need to be maintained in the same file as the cover letter as long as they can be clearly identified in the cover letter and can be readily retrieved.
- Form of release of requested records
a. Inspection of records If the requester wishes to inspect the original records, he or she may do so during the regular working hours of the coordinator of those records at a time mutually agreed upon by the requester and the coordinator. The coordinator shall contact the requester confirming the arrangement and document appropriately. The coordinator is not obliged to allow a requester to inspect records during an unannounced visit. The coordinator shall take all necessary precautions for the preservation and safekeeping of the records while they are being inspected, assigning an employee to monitor the inspection, if necessary. If the citizen wishes copies made of any of the inspected records, the coordinator may make such copies available according to the provisions specified below. The coordinator is not required to provide the requester with copies of the records at the time of the inspection visit. In the spirit of open government and good customer service, DEQ staff may be willing to discuss with a requester the agency's policies and procedures as well as the laws and regulations it is charged with enforcing; however, under VFOIA no DEQ employee is required to interpret, describe, summarize or answer questions for or from the requester or to any other person regarding the purpose or contents of any record produced for inspection or copying.
b. Copies of records If the requester does not wish to inspect the original records but wishes to be provided with copies of the requested records, the requester may arrange to produce his own copies. However, steps must be taken to ensure that the integrity of the original records is retained. If the custodian and requester agree, the coordinator will make copies of such records available within the statutory time limits, or an agreeable time.
The coordinator is not required to have the records delivered to the requester by any means (mail, courier service, facsimile transmission, email, etc.) but may do so at his or her discretion. If the coordinator chooses not to have the records delivered to the requester, it shall be the requester's responsibility to obtain the records from the coordinator.
c. Request for large volumes of records For large volume requests, the agency suggests that the requester inspect the records first. This would help to eliminate unwanted records by ensuring that the requester is receiving and paying for only the records asked for,
A - 121resulting in a possible cost savings to the requester. If the records are voluminous, the agency may fulfill its obligations by allowing the requester to contract with a private copying service to produce the requested records. In such instances, however, steps must be taken to ensure that the integrity of the original records is retained. If a private copying service is used, direct payment to the company is the responsibility of the requester and the cost per page will not be assessed by DEQ. DEQ now has the option of VITASHARE, a system intended to provide an enhanced form of email based communication which permits very large files to be exchanged and downloaded. The design of this system supports rapid and simple one-time large file exchanges.
VITASHARE should be used for files over 10MB since most email systems will not permit the attachment of files over this size.
- Costs for provision of records
DEQ may make reasonable charges for its actual costs incurred in accessing, duplicating, supplying, or searching for the requested records. DEQ shall not impose any extraneous, intermediary or surplus fees or expenses to recoup the general costs associated with creating or maintaining records or transacting the general business of the agency. Any duplicating fee charged by the Agency shall not exceed the actual cost of duplication. All charges for the supplying of requested records shall be estimated in advance at the request of the requester.
The policy of recovering the costs associated with responding to FOIA requests will typically not be applied to other government agencies. However, DEQ reserves the right to seek reimbursement or make other arrangements when costs become onerous.
Before processing a request for records, the coordinator shall require the requester to pay any amounts owed to DEQ for previous requests for records that remain unpaid 30 days or more after billing.
Each DEQ coordinator shall recover the costs of providing the requested records when that cost is $10.00 or more. This policy is designed to offset actual costs incurred by DEQ in processing responses to information requests and is not necessarily full cost recovery. This cost includes accessing, duplicating, supplying or searching for the requested records. The coordinator shall calculate the cost for complying with each request (Attachment A) and shall maintain that calculation in his file along with the request. It is incumbent upon the coordinator to accurately calculate the cost of preparing the response. When reimbursement is requested, a copy of Attachment A shall be sent to DEQ's Fiscal Office.
Requesters shall be encouraged to reimburse DEQ by check rather than cash. Cash payments can be accepted at the discretion of the Director, Regional Director or their designees. Checks should be made payable to the Treasurer of Virginia and mailed to the Department of Environmental Quality, Receipts Control, Post Office Box 1104, Richmond, Virginia 23218, or the appropriate regional office. In instances where the estimated cost of providing records exceeds $200, the Receipts
A - 122Control office shall notify the FOIA coordinator when the entire estimated payment has been received, after which the coordinator will process and release the requested records. In instances where the estimated cost is less than $200, the Receipts Control office shall notify FOIA coordinators of receipt of payment for the coordinators' files.
a. Photocopied records DEQ's basic charge for photocopying existing paper records is (see Appendix E) per 8 1/2" x 11" page. When the request involves hundreds of pages, the staff may estimate the pages using the formula, 2 inches equals 500 pages (1 inch equals 250 pages, etc.) which is based on the standard size of a ream of paper.
This charge includes the cost of materials, equipment, and equipment maintenance.
The cost of staff time expended in searching for, copying, and assembling the records is calculated separately and added to the basic charge, if applicable.
The cost of packing and postage, if applicable, is also calculated separately and added to the basic charge.
b. Facsimile charges DEQ's charge for providing records via facsimile is (see
Appendix II) cents per page.
c. Technical staff time DEQ's charge for providing computer data, except ECM, which involves applying knowledge of database software and record structure, including the ability to establish filters and parameters and query one or multiple databases to retrieve specific records that meet the search criteria is (see Appendix E) per half-hour, with any portion of a half-hour being charged at the full, half-hour rate. This is based on the average technical position salary.
If a database containing DEQ data is owned and operated by a consultant under contract to DEQ, the charge for providing the computer data in either electronic form or paper format is the cost to DEQ charged by the consultant.
d. Administrative staff time DEQ's charge for administrative staff time involved in retrieving, copying and assembling records pursuant to an information request shall be (see Appendix II) per half-hour. This rate is based upon the average salary for classified administrative support staff and is defined as ministerial duplication of original records or copy of a record by copier machine or to a CD or email via scanner.
It may also include retrieval from internal, on-line file system (ECM) through searches with parameters specified by the requester. The time shall be determined in half-hour increments. This charge includes the actual cost of materials, equipment, equipment maintenance and staff time expended in searching for, compiling and printing the
A - 123records or copying them onto a diskette. No staff time will be charged for the redaction of records or parts of records.
B. Assignment of records disclosure responsibilities
- Custodians
a. Each director of a DEQ division or region is the ex officio custodian for the records in the physical possession of his or her division, region or office.
b. The Director of Administration is the custodian for DEQ records that do not fall under any of DEQ's divisions, regions or offices.
c. Each division and region ex officio custodian shall designate a coordinator and an alternate coordinator for his/her respective division, region or office to track requests that are received by that office to ensure compliance with the VFOIA and with DEQ policy, and consult with DEQ's FOIA Officer as needed. This designation shall be in writing and shall be filed with the DEQ FOIA Officer.
d. Each employee is custodian of records, both paper and electronic, in his or her possession.
e. No custodian shall either disclose or withhold records subject to discretionary disclosure under Part IV B without prior consultation with the DEQ FOIA Officer.
- Coordinators
a. Each coordinator shall receive information requests appropriate for their respective division, office or region.
b. Each coordinator shall track all received information requests to ensure compliance with the VFOIA.
c. Each coordinator shall maintain a file of the information requests that they received and responded to, including the tracking system.
d. Each coordinator shall notify the VFOIA Officer of any failure to adhere to the VFOIA.
- DEQ FOIA Officer
The DEQ FOIA Officer shall be appointed by the Director. DEQ's
FOIA Officer shall perform the following functions:
A - 124 a. Update this policy as necessary in accordance with changes made by the Virginia General Assembly to the VFOIA or with other changes;
A - 125 b. Maintain a complete written record of DEQ's custodians, coordinators and alternate coordinators for VFOIA purposes;
c. Provide copies of DEQ's VFOIA policy to all appropriate state boards and DEQ custodians as necessary;
d. Report to the Director instances of non-timely response, unauthorized denial of access, or other violations of law or policy;
e. Consult with the Director and, when necessary, the OAG to ascertain the appropriate course of action when the custodian deems all or a part of a requested set of records to be subject to discretionary withholding; and
f. Coordinate responses for multi-regional and multi-program requests to ensure compliance with the Virginia Code and related DEQ policies.
- All DEQ employees
FOIA responses are time sensitive and required by law. If a FOIA is forwarded to you in error, inform the FOIA coordinator IMMEDIATELY. If, however, a FOIA request is appropriately forwarded to your division, section or office, then it is your responsibility to answer the request within the time lines established by the Virginia Freedom of Information Act and DEQ policy.
Every DEQ employee shall adhere to the procedures established in this policy and shall assist his or her custodian in complying with the provisions of the law.
Failure to respond to a request for records shall be deemed a denial of the request and shall constitute a violation of the FOIA (§ 2.2-3704.E).
Any deviation to this policy must comply with the VFOIA and have prior approval of the DEQ FOIA Officer.
C. Penalties for violation
Employees may be held personally responsible for violations of the Virginia Freedom of Information Act. The legal consequences for a DEQ employee's violation of the VFOIA are potentially severe, since any citizen denied his rights under the VFOIA has ready access to the courts via petition of mandamus or injunction. If a proceeding is commenced against any officer or employee of DEQ for a violation of the VFOIA and the court finds that a violation was willfully and knowingly made, the court shall impose upon such officer or employee of DEQ a civil penalty of not less than $500 nor more than $2,000, which amount shall be paid into the State Literary Fund. For a second or subsequent violation, such civil penalty shall be not less than $2,000 nor more than $5,000 (§ 2.2-3714).
A - 126VI. RESCISSION:
This document rest _____________agency Policy 4-2013 and supersedes any previously issued documents except for regulations relative to this matter.
Approved: Date:
A - 127ATTACHMENTS
A - 128 CANIA DEPARTMENT OF fiRONMENTAL QUALITY Attachment A
VIRGINIA FREEDOM OF INFORMATION ACTION FORM
1. DEQ COORDINATOR: _____________________________ 2. PHONE NO.: ____________________ 3. FAX NO.:__________________
PLEASE PRINT
4 .
REQUESTER
COMPANY
ADDRESS
PHONE NO. VA CITIZEN OR REPRESENTING VA COMPANY? YES OR NO
11. INFORMATION REQUESTED TO REVIEW AND/OR COPY (INCLUDE NAME, ADDRESS, PERMIT/ID NUMBERS):
- DATE REQUEST RECEIVED OR FORM COMPLETED: 12. REIMBURSEMENT - (CHECKS PAYABLE TO: TREASURER OF VIRGINIA) Verbal/phone: NO. PAGES X 0 (SINGLE-SIDED)= Written: NO. FAX PAGES X =
7. DATE RESPONSE DUE:
NO. IA HRS ADMINISTRATIVE STAFF TIME X $ = 5 working days after receipt)
NO. 1/2 HRS TECHNICAL STAFF TIME X $ =
OATES OF RESPONSES (INITIAL) EMPLOYEE NAME(S): (FINAL)
NUMBER OF DAYS TO RESPOND:
(ATTACH RESPONSE LETTER, EMAIL OR FAX
CONFIRMATION, ETC.)
OTHER SUPPLIES: REFERRED: YES NO
POSTAGE/SHIPPING:
WITHHELD INFORMATION: YES NO
REASON: TOTAL REIMBURSEMENT REQUIRED =
10. VISIT (CIRCLE ONE): SCHEDULED OR UNSCHEDULED COST CODE FUND
DATE: TIME: PROGRAM
11. IF NO REIMBURSEMENT, NO. OF PAGES: FISCAL OFFICE INFORMATION
DATE CHECK NO
AMOUNT ________________ RCD. BY _____________
MY SIGNATURE ACKNOWLEDGES THAT DEQ HAS ATTEMPTED TO PROVIDE ME WITH ALL OF THE AVAILABLE INFORMATION.
13
A - 129REQUESTERS SIGNATURE/DATE (OFFICE VISIT) DEQ EMPLOYEE'S SIGNATURE/DATE
DEQ REVIEWER'S INITIALS
A - 130 RESPONSE DOCUMENTATION
DATE:
DATE:
A - 131 VIRGINIA DEPARTMENT OP
ENVIRONMENTALQUALITY
Attachment B
VIRGINIA FREEDOM OF INFORMATION ACT RESPONSE FORM
DATE:
Dear
The Department received your Freedom of Information request on _____________ In order to respond
to your request in an expeditious manner, we have developed this form letter for our use.
Some/all of the records you have requested are not physically located at this office. Your response has been forwarded to the following departmental custodian for a response:
Custodian: Phone No.
Please feel free to contact the custodian if you have any questions or wish to discuss your request in further detail. Any additional action by this office will be indicated below.
The Department has reviewed your request and determined it is not specific enough for us to identify exactly what records you are requesting. Please submit a new request, specifying exactly what records you would like to receive/inspect.
Attached please find the records you requested. Because the time expended and the number of copies were minimal, there were no costs associated with providing you these records.
The Department has conducted a review of our files and determined the records you requested cannot be found or do not exist in DEQ files.
The Department reviewed our files and determined there are approximately _______ records available. Because of the volume of material, we are requesting you visit the office to evaluate the records. You may then copy any records you would like, and any associated charges will be in accordance with our reimbursement policy.
The Department's policy is to recover the cost of providing records, when that cost is $10.00 or more
(administrative staff time @ $ ___ per half hour, including accessing, duplicating, supplying and
searching for the requested records, five cents per page and $ per half hour for technical staff time, researching and retrieving electronic data). We have processed your request and estimated that our
A - 132cost in providing the requested records to you will be approximately $ _____ . Our invoice is enclosed.
If you wish us to mail the requested records, please contact me regarding additional charges.
It has been determined that the cost of fulfilling your request is likely to exceed $200.00; therefore,
A - 133 will require payment in the full amount of the estimate, which is $ _______ , before processing your request. Upon completion of processing your request, any payment due will be billed, and any overage paid will be refunded to you.
We are currently processing your request. As a practical matter, it is not possible for us to provide the
requested records within five (5) working days due to ________________ . We anticipate, however,
that we will be able to do so by ________ (date not to exceed twelve (12) working days after receipt of request).
Pursuant to our telephone conversation on __________________ , we have been unable to process your request as anticipated. As agreed in our discussion, we should be able to release the records by
The Department has elected to withhold specific records from release. A list of the records withheld and the statutory grounds for withholding is attached. Please find the releasable records enclosed.
Your request to visit our office to inspect records subject to VFOIA has been confirmed. Following is the agreed upon date and time:
Date: ________________________ Time: ___________________
You may copy any records you would like, and any associated charges will be in accordance with our policy.
Your payment has been received, and the records you requested are enclosed.
It has been noted that you/your company has an unpaid balance of $ . owed to DEQ for previous fulfillment of FOIA request(s); therefore, we cannot proceed with this request until the balance has been paid in full.
Other:
It should also be noted that the VFOIA pertains only to records requested by citizens of the
Commonwealth of Virginia or their representatives, representatives of newspapers and magazines with circulation in the Commonwealth and representatives of radio and television stations broadcasting in or into the Commonwealth. However, it is DEQ's policy to respond to all such requests within a reasonable time.
I am the (region or division) coordinator of records. If you have any questions, please do not hesitate to contact me at (email and phone number).
Very truly yours,
DEQ FOIA Coordinator
Attachment C
Letter Template for Various Responses - choose appropriate paragraphs; all letters should include first and last paragraphs.
Must be mailed no later than five working days after receipt of request
A - 134Dear [requester]:
- Thank you for your request for records made in accordance with the Virginia Freedom of Information Act (§
- 2-3700 et seq). You have requested records relating to (describe the records sought by the requester).
A - 1352. Enclosed are the records you requested. Because the time expended and the number of copies were minimal, there were no costs associated with providing you the records. Therefore, these records are provided to you free of charge.
, Please be advised that portions of the records you have requested relating to (describe the exempt portions generally) are exempt from disclosure under (cite specific provision in § 2.2-3705 or other applicable Code of Virginia citation). Therefore, these portions have been redacted from the records being released to you.
- This office has (describe with reasonable particularity the volume or amount of records being withheld; i.e. 20 pages of records, over 1,000 pages of records, a large database, etc.) responsive to your request.
Please be advised, however, that these records are exempt from disclosure under (cite specific provision in § 2.2-3705 or other applicable Code of Virginia citation) and therefore will not be released.
- We have determined that the cost of providing you with the requested records will be [$--]. Our cost invoice is attached. The requested documents will be ready for pickup at [location/time]. If you would like the records mailed, please contact me regarding additional charges.* **
- Please be advised that it is not possible to provide the requested records or determine whether they are available within the five working days required by FOIA because (specify the conditions that make a five-day response impossible; i.e., voluminous request, insufficient staff this week, several regions/offices involved in the research, etc.). Therefore, we are invoking subsection B4 of § 2.2-3704 to provide us with seven additional working days to respond to your request.
- We are unable to release the requested records within twelve working days due to _______________________________ . However, as agreed during our conversation on
_____________ , we will be able to do so by _________
DEQ has no records responsive to your request. (Explain the circumstances; e.g., the records do not exist because they were never created by the public body, the records do not exist because they were destroyed according to the retention schedule under the Virginia Public Records Act, the records were destroyed in a flood or fire, the records cannot be found, etc.). (If another public body is known to have the requested records, add these lines in a new paragraph).
You may wish to contact (name of contact person) at (name of the public body that has or may have the records). (He/she) may be reached at (telephone number, electronic mail address, or other contact information).
- It has been determined that the cost of fulfilling your request is likely to exceed $200.00; therefore, DEQ will require a deposit of the full amount of the estimate, which is $ _____ before processing your request.
This deposit will be credited toward the final cost of supplying the requested records and, when the request has been completed, any overage will be refunded and any additional cost invoiced.
10. I am the coordinator of the records that you have requested. Should you have any further questions or requests, please contact me at (phone and email).
Sincerely,
DEQ Fiscal Office:
A - 136 A COPY OF ATTACHMENT A (cost invoice) MUST BE SENT TO DEQ'S FISCAL OFFICE ALONG WITH A
COPY OF THIS LETTER.
if the requester does not pick up the records, the coordinator must inform DEQ's Fiscal Office that there is no oalance due.
- If the requester no longer wants records because of the cost, the coordinator must inform DEQ's Fiscal Office that there is no balance due (provided that the coordinator has already sent the "invoice' to Fiscal).
A - 137 Attachment D
CONFIDENTIALITY OF ENFORCEMENT DOCUMENTS
The Virginia Freedom of Information Act ("FOIA") provides that certain enforcement records of DEC), the State Water Control Board, the State Air Pollution Control Board, and the Virginia Waste Management Board (collectively, "DEQ Records") are exempted from mandatory disclosure under FOIA, as follows:
Records of the Department of Environmental Quality, the State Water Control Board, State Air Pollution Control Board or the Virginia Waste Management Board relating to (i active federal environmental enforcement actions that are considered confidential under federal law and (it) enforcement strategies, including proposed sanctions for enforcement actions. Upon request, such records shall be disclosed after a proposed sanction resulting from the investigation has been proposed to the director of DEQ. This subdivision shall not be construed to prohibit the disclosure of records related to inspection reports, notices of violation, and documents detailing the nature of any environmental contamination that may have occurred or similar documents. Va. Code §
- 2-3705.7(16)
Water Control Law for the VSMP contains nearly identical language, but adds that it does not protect from disclosure documents detailing the nature of any land-disturbing activity that may have occurred, or similar documents (§ 62.1-44.15:40)
A. Active Federal Enforcement Actions
Federal documents pertaining to a federal enforcement action and in the possession of DEQ are not subject to disclosure under FOIA if: (1) the enforcement action is active (Le., ongoing), and (2) the documents are considered confidential under federal law. Whether the documents are considered confidential under federal law is based upon their designation as such by the federal agency or its counsel providing the documents. State documents and data that are otherwise subject to disclosure under FOIA are not made subject to the Active Federal Enforcement Action exemption by virtue of their use or potential use in a federal action.
B. DEQ Enforcement Strategy Documents
FOIA creates a temporary exemption for DEQ Records documenting "enforcement strategies, including proposed sanctions for enforcement actions." Such documents are exempt from mandatory disclosure under FOIA, but only until "a proposed sanction resulting from an investigation has been proposed to the Director of DEQ."
For purposes of this statute, "sanctions" refer to any injunctive relief, revocation of a permit or other authorization, civil charges or other monetary penalties authorized by statute that may be imposed against a person or entity in an enforcement action, whether administrative or judicial.
DEQ enforcement strategy documents that are temporarily exempt from disclosure under this provision include, but are not limited to: enforcement recommendation and plan documents ("ERPs"); iemoranda, emails and other documents dedicated to the discussion of appropriate enforcement
A - 138strategy and its progress; documents and proposals drafted and/or received in the course of enforcement action settlement negotiations and pertaining directly thereto; draft orders, including draft findings of fact and conclusions of law; civil charge or civil penalty worksheets and documents
repared as part of the active prosecution of adversarial administrative and judicial enforcement actions.
The language of FOIA specifically excludes certain agency documents from the temporary enforcement strategies exemption. These other documents are expressly or implicitly not exempt as DEQ enforcement strategy. They are open to Virginia citizens in accordance with the statute and this Policy, unless another FOIA exemption applies. These documents include warning letters, notices of violation, inspection reports, documents detailing the nature of any environmental contamination, and other documents, information or compilations created in DEQ's ordinary course of business.
DEQ enforcement strategy exemption is only temporary, and it ends when "a proposed sanction resulting from an investigation has been proposed to the Director of DEQ." A sanction is "proposed to the Director of DEQ" or his designee as follows:
(1) For consent orders that are not subject to public comment — at the presentation of a consent order for final approval and proposed execution by the Director or his designee; (2) For consent orders and consent special orders that are subject to public comment —when the Director or his designee approves the order for public comment; and (3) For proposed administrative orders resulting from an adversarial administrative proceeding such as a formal hearing or informal fact-finding — at the presentation for final approval and proposed execution of the order by the Director or his designee, following any review requested by the Director or his designee.
After the sanction is proposed to the Director, DEQ enforcement strategy documents are available under FOIA unless another FOIA exemption applies.
A - 139 DEQ FOIA Charges Summary
For Reference Cost Category Charge Only
Administrative Staff Time $ 8.45 per 1/2 hr $16.90 per hour per 1/2 Hour
Technical Staff Time 14.30 per 1/2 hr 28.60 per hour per 1/2 Hour
Copies per side .05
Fax pages .05
Administrative staff time
DEQ's charge for administrative staff time involved in retrieving, copying and assembling records pursuant to an information request shall be (see current chart at (insert link)) per half-hour. This rate is based upon the average salary for classified administrative support staff and is defined as ministerial duplication of original records or copy of a record by copier machine or to a CD or email iia scanner. It may also include retrieval from internal, on-line file system (ECM) through searches with parameters specified by the requester. The time shall be determined in half-hour increments.
This charge includes the actual cost of materials, equipment, equipment maintenance and staff time expended in searching for, compiling and printing the records or copying them onto a diskette. No staff time will be charged for the redaction of records or parts of records.
Technical staff time
DEQ's charge for providing computer data, except ECM, which involves applying knowledge of database software and record structure, including the ability to establish filters and parameters and query one or multiple databases to retrieve specific records that meet the search criteria is (see current chart at (insert link)) per half-hour, with any portion of a half-hour being charged at the full, half-hour rate. This rate is based upon the average salary for technical positions.
If a database containing DEQ data is owned and operated by a consultant under contract to DEQ, the charge for providing the computer data in either electronic form or paper format is the cost to DEQ charged by the consultant.
A - 140Emergency Action Plan
[LAST UPDATED: Feb. 10, 2016]
A - 141 Table of Contents
Scope .................................................................................................................................................. 3
Employee and Visitor Control System ................................................................................................. 3
Security within the Office Facility ........................................................................................................ 3
Security and Safety while in the field .................................................................................................. 4
Identification and Assessment of Risks ............................................................................................... 4
Loss of Building Utilities ....................................................................................................................... 4
Fires ..................................................................................................................................................... 4
Medical Emergency Procedure ............................................................................................................ 4
Evacuation Plan ................................................................................................................................... 5
Shelter-in-Place ................................................................................................................................... 5
Weather/Natural Disasters ................................................................................................................... 5
Earthquakes .................................................................................................................................... 5
Floods .............................................................................................................................................. 5
Hurricanes ....................................................................................................................................... 6
Tornados ......................................................................................................................................... 6
Manmade Incidents ............................................................................................................................. 6
Bomb Threats .................................................................................................................................. 6
Disruptive Employee/Visitor ............................................................................................................. 6
Active Shooter ................................................................................................................................. 6
Terrorist Alerts from the US Department. of Homeland Security ..................................................... 6
Appendix A – AED Locations ............................................................................................................... 8
Appendix B – Evacuation Plan ............................................................................................................ 9
Appendix C – Incident Check Lists .................................................................................................... 15
Check List for Suspicious Package ............................................................................................... 15
Check List for Fire Drills ................................................................................................................ 16
Check List for Tornado Drills ........................................................................................................ 16
Check List for Earthquakes ........................................................................................................... 17
A - 142Appendix D – Bomb Threat ............................................................................................................... 18
Appendix E - Floor Plans ................................................................................................................... 19
A - 143Scope
The Emergency Action Plan addresses safety and security of personnel within every office of the Virginia Department of Environmental Quality (DEQ) as required by the Governor’s Office of Commonwealth Preparedness. This plan largely expands on specific issues outlined in the DEQ Safety Manual.
The Emergency Action Plan covers all employees, interns, sub-contractors and visitors. DEQ’s goal is to reduce or eliminate the potential for injury or illness to those individuals within the confines of each office and to minimize any negative impacts to agency property. The contents of this plan may be modified as necessary based upon the immediate needs of DEQ.
The Emergency Action Plan is designed to:
Detail how to evacuate the building
Detail how to Shelter-in-Place within the building Provide proper procedures to follow in case of any emergency Explain day-to-day security measures for all agency staff Identify all necessary resources available in the event of an emergency
This plan is not designed to detail the recovery of operations or how the agency will conduct its continuous business operations and plans during a long term emergency. A separate Continuity of Operations Plan (COOP) has been developed with agency wide guidance and is consistent with other information required and provided by the Commonwealth of Virginia.
Employee and Visitor Control System
In order to control access to our facilities and maintain overall security; each building has initiated an employee/visitor control policy including the following requirements:
The reception area will be continuously staffed during specific business hours. Entrance into any facility before/after normal work hours shall require the utilization of the electronic access card issues to each employee.
All DEQ employees shall readily display their agency provided ID’s and continue to wear their agency issued ID badge while in agency buildings to ensure the integrity of this policy. Non-DEQ employees are required to sign in with the receptionist and upon their signature are given a visitors name tag which must be worn at all times while in agency buildings. The receptionist will then call the responsible party who shall: 1) come to the lobby; 2) escort the visitor to the place of meeting, and 3) return the visitor to the lobby when the meeting has been completed.
In the event of any emergency, all agency employees shall be responsible for assisting their guests and for having their guests follow the appropriate procedures in accordance with this plan or other agency safety and health guidelines.
Security within the Office Facility
The entrance doors of all buildings will remain locked and only accessible by the use of the security access cards that are currently available and currently utilized within the regional/satellite offices. All other exterior doors not controlled by security access cards must not be unattended while open (this includes boat bays and warehouses).
Deliveries and/or shipments are usually delivered and handled by the Mail Room/Supply Room unless no-one is available and then the packages are delivered to the main lobby receptionist who will e-mail the recipient and advise them of their package. At no time will any delivery agent proceed to any floor or area of any building. (In the central office the Mail Room/Supply Room will retrieve any unclaimed packages from the first floor if they have not been picked up).
A - 144Security and Safety while in the field
Field personnel are responsible for remaining alert to their surroundings and to report any suspicious activity or unsafe conditions immediately to their supervisor.
Each employee will be responsible for keeping their calendars current and for sharing their schedules with their immediate supervisor. Should any emergency occur while any agency employee is working in the field, executive management will attempt to contact those affected employees to inform them of the current situation and offer guidance based upon the conditions and current policy.
All agency employees should also attempt to contact their offices immediately upon learning of a natural or man-made disaster or emergency incident.
Identification and Assessment of Risks
The Safety Committee, comprising of General Services Manager, Central Office and Regional Office Safety Officers, and office (area) Floor Wardens will monitor office buildings and operations for potential risks; and make such recommendations as necessary to ensure the safety and security of all employees and property.
The agency may solicit the help of State and local Police and local Fire/EMS Departments in assessing the possibility of (Natural and Man-made) threats to our building and to gain a better understanding of how our emergency responders will react to an actual emergency.
At least annually, evacuation plans (see Appendix B) will be reviewed, updated, evaluated, and tested as necessary. In addition, the building occupants will be tested in complete building evacuation, and shelter-in-place.
Loss of Building Utilities
If power failure occurs, the Regional Director / Director of Administration (or their designees), will make the decision about the continued use of the building. If the building will remain without power for an extended period of time, then the ranking manager will decide to continue building operation or shut it down and send all employees home, until normal service has been reestablished or COOP implemented.
At no time shall anyone use candles or any other item that requires combustion to illuminate any work area. Upon notification to vacate the building, all available personnel will exit in an orderly fashion and any individuals responsible for helping an employee with mobility restrictions should proceed to their assignments.
Fires
All fire alarms or fires shall be reported to management and immediate action taken to evacuate employees. Under no circumstance shall any employee attempt to stay and fight any type of fire.
Medical Emergency Procedure
Render first aid only if you have been trained AED machines are located in each building/facility in conspicuous locations (see Appendix A).
Stay with the person or have someone stay with them to keep them calm. Send someone to meet the emergency responders and to bring them directly to the patient. Have someone call 9-911 and report the situation. Answer all questions that the 911-dispatcher asks. Notify your supervisor of the situation and that you have called 911, and ensure that the receptionist is alerted to the fact that EMS may be arriving at our facility.
A - 145 Ask someone familiar with your floor to escort the emergency medical personnel to that floor and person.
A - 146Evacuation Plan
All employees are responsible for timely evacuation of their workplace. Central Office floor wardens will become the emergency lead for their respective floors, and Regional Safety Officers are leads for their office. Training and practice drills are to be completed annually to maintain readiness for emergency events. (See Appendix B for further information).
People with Disabilities
The first line supervisor is assigned the responsibility to assist people with disabilities under their supervision with other assistants chosen by that supervisor.
Assistants report to their assigned person, to either assist in evacuation or to assure that the person is removed from danger.
Supervisors, alternates, and the person with a disability will be trained on available escape routes, available equipment and methods of escape.
A list of people with disabilities should be kept on file in the Human Resources Office. Visitors who have disabilities will be assisted in a manner similar to that of agency employees and the host of the person with disabilities will assist in their evacuation.
Shelter-in-Place
Tornados, floods, earthquakes and certain types of terrorist attacks may require employees to shelter-in-place within the confines of the buildings. Personnel shall seek safety within an interior room without windows. No employee shall exit any safe area or evacuate until an audible all-clear signal is given by the emergency coordinator. Each office shall develop a specific plan detailing where to go for safe refuge within the building (see Appendix C for checklists).
Weather/Natural Disasters
If weather conditions warrant, the Regional Director / Director of Administration (or their designees) will monitor the local National Weather Service/ NOAA weather radio emergency notification frequency for possible tornado/severe weather warning. Not all DEQ facilities have public addressing systems, therefore should a tornado warning be issued or weather conditions dictate, notification to employees and visitors will occur via e-mail and also by the Floor Wardens or designee.
Earthquakes
All employees shall shelter-in-place during an earthquake. The following guidelines issued from FEMA are to be utilized for your protection during an earthquake.
If you are inside a building – Drop to the floor; take cover by getting under a sturdy table or other piece of furniture. Stay away from glass, windows, outside doors and walls, light fixtures, and anything that could fall.
Use a doorway for shelter only if it is in close proximity to you and if you know it is a strongly supported, load bearing doorway. Stay inside until the shaking stops and it is safe to go outside, as indicated by audible all-clear signal. DO NOT use the elevators.
Report to your designated evacuation area outside once it is safe to go outside.
If you're outside in an earthquake, stay outside. Move away from buildings, trees, streetlights, and power lines. Crouch down and cover your head. Be on the lookout for fires. This is the most common earthquake-related hazard, due to broken gas lines, damaged electrical lines or appliances, and previously contained fires or sparks being released.
Earthquakes can cause fire alarms or fire sprinklers to go off and you won’t be certain if fire threat is
real. Floods
A - 147Floods and flooding can affect our day-to-day operations and also cause a major impact to our environment. As situations warrant and with the utmost concern for employee safety and health DEQ will continue to operate only those critical services required to render aid and help to other state agencies and the general public in the aftermath of a major flood.
Care shall be exercised during any stage of a flood as it progresses throughout the Commonwealth.
A - 148Hurricanes
Hurricanes are powerful storms formed at sea that have sustained winds in excess of 74 miles per hour. Due to the size of hurricanes, they are easily spotted and can be tracked for days prior to hitting a given area. Hurricanes are often accompanied by tidal surges and flash floods, which typically cause more damage than the hurricane's wind. A severe or prolonged hurricane could result in some level of COOP implementation.
Tornados
Unlike hurricanes, tornados form quickly and travel in very unpredictable directions. DEQ employees shall seek safe refuge or shelter-in-place within agency offices during any tornado activity and until the tornado and its winds have sufficiently reduced in velocity and severity and to then proceed with extreme caution and with due regard for the safety and welfare of themselves and any other state employee or public citizen or public property.
Manmade Incidents Bomb Threats
(See: Appendix D for information
Disruptive Employee/Visitor
The regional/unit manager (or designee) must be immediately notified if any person becomes disruptive, abusive or is a threat to the safety, health or welfare of any agency employee, or visitor. As soon as possible, the manager should inform the Human Resource Director (or designee) of the situation so that all necessary and appropriate action(s) can be taken.
As appropriate, local law enforcement and/or state police may be notified.
Active Shooter
The following steps should be taken by all staff.
Do NOT sound the alarm Isolate yourself from the shooter as much as possible. Call 911 immediately Turn off all cell phones Stay calm and avoid taking any risks
Terrorist Alerts from the US Department. of Homeland Security
DEQ will modify its security and responses depending upon any alert issued by the US Department of Homeland Security.
What to do if you spot suspicious terrorist activity!
Do NOT confront the individual; call the State Terrorism Hotline at: 1-866-488-8554.
Signs of terrorist activity may include:
Someone bragging or talking about plans to harm citizens in violent attacks or who claims membership in a terrorist organization that espouses killing innocent people.
Suspicious packages, luggage, or mail that have been abandoned in a crowded place like an office building, an airport, a school, or a shopping center.
A - 149 Suspicious letter or package that arrives in your mailbox. (Stay away from the letter or package and don’t shake, bump or sniff it; wash hands thoroughly with soap and water.
A - 150 Someone suspiciously exiting a secured, non-public area near a train or bus depot, airport, tunnel, bridge, government building, or tourist attraction.
Any type of activity or circumstance that seems frightening or unusual within the normal routines of your neighborhood, community, and workplace.
Someone suspiciously watching, mapping or photographing a landmark, airport, tunnel, bridge, government building, business, or tourist attraction. Someone unfamiliar loitering in a parking lot, government building, or around a school or playground. Someone using or threatening to use a gun or other weapon, place a bomb, or release a poisonous substance into the air, water, or food supply.
Strange odors, smoke, fire, or an explosion. Abandoned vehicles.
A - 151 Appendix A – AED Locations
Building/Facility LOCATION
Central Office 2nd Floor; near Elevator
Central Office 5th Floor; near Elevator
Central Office 8th Floor; near Elevator
Central Office 11th Floor; near Elevator
AQM Data room; next to training room
BRRO-Lynchburg 2nd floor; top of the steps
BRRO-Roanoke Employee break room
NRO Main Lobby @ Front Entrance
Office of Surface Water (C’ville) 1st Aid Room; Main DOF Lobby
PRO Main Entrance, near receptionist
SWRO Employee break room
TRO Copier Room; behind receptionist
VRO Employee break room
A - 152 Appendix B – Evacuation Plan
I. Purpose
This plan provides instructions to be used during emergency evacuations for the protection and safety of all employees.
IV. Scope
This plan is designed to handle evacuation procedures for the DEQ Central Office located at 629 East Main Street, Richmond, VA but generalized enough to apply to any DEQ facility. The following procedures will be carried out by the Safety Officer (or agency designee) and Floor Wardens in the event the building should be evacuated, regardless of reason. When emergency conditions exist, the Safety Officer, local Police, and the Fire Chief may make any changes to this plan as deemed necessary to provide for a safer evacuation or safer conditions for the building occupants. This plan is prepared for emergency evacuation arising from fire, bomb threats, civil disorders, storms, and other threats to the safety of life and property.
V. Organization
The Safety Officer (or agency designee) will be responsible for developing and implementing the evacuation plan. The Safety Officer (or agency designee) will chair the Emergency Crisis Team and coordinate the planning and implementation of the evacuation plan.
The Emergency Crisis Team is comprised of a Safety Officer and his/her alternates. Where there are multiple floors, it also comprises: a Floor Warden and his/her alternate, two Zone Wardens and his/her alternates for each floor that is occupied), a Stairway Monitor and his/her alternate (for each stairwell on each floor occupied).
The director of administration or designee will chair the Emergency Crisis Team and coordinate the planning and implementation of the evacuation plan. The Emergency Crisis Team is comprised of the director of administration or their designee, a Floor Warden and his/her alternates, and two Zone Wardens and his/her alternates for each floor that is occupied), a Stairway Monitor and his/her alternates (for each stairwell on each floor occupied).
VI. Emergency Crisis Team
A. RESPONSIBILITIES
- Publish an evacuation plan, which will provide for the safe and orderly evacuation of the building. A floor plan showing each evacuation route for each individual floor is conspicuously located near the elevators and exit to the stairwells of each floor.
- Distribute the evacuation plan to all employees.
- Coordinate training sessions with the local Fire Department or other sources, to train all Floor Wardens in evacuation procedures and procedures for evacuating “special needs personnel” and obtaining emergency medical assistance for all personnel.
A - 153Virginia Department of Environmental Quality - 10 -
- Select from the occupants of each floor, personnel to serve as Floor Wardens, Zone Wardens, and Stairway Monitors.
- Maintain a list of all personnel that may need some type of special assistance during emergency evacuations. This may range from a non-ambulatory person, to a person with cardiovascular disease. They are referred to throughout this plan as “special needs personnel.”
- Designate an assembly area(s) for evacuees outside and away from the building.
- Upon notification of a fire alarm or bomb threat evacuation, the COOP coordinator and/or building manager will position him/herself at the main entrance to the building, so as not to interfere with arriving emergency personnel. The building manager receive reports from the Floor Wardens that each floor has been evacuated, inform the appropriate local official upon their arrival of any unaccounted personnel and to act as a liaison between the fire department and building personnel.
B. FLOOR WARDEN or Regional Safety Officer (RSO) RESPONSIBILITIES (see checklist in appendices)
- Become familiar with all aspects of his/her assigned floor, such as special hazards, exit locations and locations of all “special needs personnel,” etc.
- Maintain a roster of all personnel assigned to his/her floor, identify and locate all “special needs personnel” and persons assigned to assist in their evacuation, and assure that this roster is kept up-to-date at all times.
- Designate and train an alternate Floor Warden to take over responsibilities during his/her absence.
- Provide the agency designee with a list of personnel that have been assigned duties and maintain an up-to-date record on all assignment and changes of assignments for his/her floor.
- Complete the appropriate checklist (see appendices) and turn into the appropriate building manager.
1. RESPONSIBILITIES DURING EMERGENCY
a. The Floor Warden has ABSOLUTE AUTHORITY over ALL personnel on that floor
A - 154b. Upon the receipt of an alarm signal, the Floor Warden will oversee the orderly evacuation of all offices on that floor. The Floor Warden will receive reports from the two Zone Wardens that all personnel from their assigned areas have vacated and are advised of any “special needs personnel” that are present and will need assistance.
A - 155Virginia Department of Environmental Quality - 11 -
C. ZONE WARDEN RESPONSIBILITIES
- Assist the Floor Warden in overseeing the safe evacuation of people for the area within each floor.
- Become familiar with all aspects of his/her assigned zone such as special hazards, exit locations, and working locations of all “special needs personnel” etc.
- Maintain a roster of all personnel assigned to his/her zone, identify and locate all “special needs personnel” and personnel assigned to assist in their evacuation, and maintain an up-to-date roster at all times. This list should be given to both the Floor Warden and the Safety Officer.
- Upon receipt of an alarm signal, the Zone Warden will oversee the orderly evacuation of ALL offices in his/her area. If there is no immediate danger, the Zone Warden will check all file rooms, conference rooms, bathrooms, offices, etc. to be sure that every room is empty; closing all doors as he/she leaves.
- The Zone Warden will report to the Floor Warden that all personnel from their assigned areas have been vacated or confirm that any “special needs personnel” are present or need further assistance.
- The Zone Warden and Floor Warden will then vacate the floor making sure the stairway doors to their floor shut behind them.
D. STAIRWELL MONITOR
- The Stairwell Monitor is to assist in the orderly use of the assigned stairwell in the evacuation of his/her floor.
- Upon receipt of an alarm signal, Monitors will proceed to their assigned stairwell to ensure that all personnel evacuate the floor in an orderly manner. During an evacuation there is to be no pushing or shoving. The Monitor will watch for any signs of panic and, should such signs become apparent, move quickly to correct the situation and maintain order. Stairwell monitors will make sure that all personnel that are evacuating the floors should keep to the right on the stairs so as not to interfere with any emergency personnel responding to the emergency.
- Stairwell Monitors will have the responsibility of assuring that stairwell doors are kept closed except when being used to evacuate the floor.
IV. ELEVATORS
Elevator shaft air currents encourage the spread of fire; as such the use of an elevator in an actual fire emergency is extremely dangerous.
A - 156When the Fire Alarm and Warning signals are activated the elevators at 629 East Main will automatically go to the basement level and open and should remain there.
A - 157 Virginia Department of Environmental Quality - 12 -
V. FIRE ALARM AND AUDIBLE SIGNALS
A. Fire Alarms
BRRO-Lynchburg
The building at 7705 Timberlake Road is equipped with residential type fire/smoke detectors throughout the building. The building has no centralized system and there is no sprinkler system. Emergency services must be contacted by phone(9-911 from BRRO-L phones).
Smoke detectors are individually tested during the monthly building safety inspections.
BRRO-Roanoke
The regional office is located at 3019 Peters Creek Road; Roanoke, VA 24019 and is equipped with a first alert alarm which is smoke activated and has heat sensors located in our lab. The system can be activated manually at 12 Fire Pull Down stations located throughout the building Fire system is tied into BRRO-R Entrapass Security System. When fire alarm is activated, the signal goes to Security Central and Security Central notifies the Fire Department.
Central Office
The building at 629 East Main Street is equipped with fire/smoke sensors throughout the building that automatically activate the alarm system when smoke or fire is detected. This system automatically contacts the building security system (Sonitrol) which in turn automatically dispatches the fire department and police department. The main Sonitrol panel located in the basement property manager’s office will indicate what floor and location on the floor where the fire is located.
NRO
The regional office at 13901 Crown Court, Woodbridge, VA 22193, is equipped with fire/smoke sensors throughout the building that automatically activate the alarm system when smoke or fire is detected. Additionally, there are pull stations located throughout the building which will activate the alarm. This system automatically contacts the building security system (Sonitrol) which in turn automatically dispatches the fire and police departments. The fire alarm panel located in the front entranceway will indicate in which zone the fire is located.
PRO/AQM
The building located on Cox Road (Innsbrook) in Glen Allen, VA is equipped with fire/smoke sensors throughout the building that automatically activate the alarm system when smoke or fire is detected. This system automatically contacts the building security system (Sonitrol) which in turn automatically dispatches the fire department and police department.
SWRO
The building located at 355 Deadmore Street, Abingdon, VA is equipped with a water sprinkler fire suppression system that activates in the event of fire. The system is maintained by Bristol A - 158 Telephone and Security. The system has sensors that detect activation and automatically notify Bristol security through the office's electronic security system and they, in turn, notify the fire department.
TRO
The building at 5636 Southern Blvd., Va. Beach, VA is equipped with fire/smoke sensors throughout the building that automatically activate the alarm system when smoke or fire is detected. This system automatically contacts the Property Management security system which in turn automatically dispatches the fire department and police department. The main Security System panel is located in warehouse workshop area.
VRO
The building at 4411 Early Rd., Harrisonburg, VA is equipped with a Fire-Lite Alarms Inc system, which is heat and smoke activated. There are no water sprinklers; only fire extinguishers. The alarm system is monitored by Fire-Lite Alarms Inc. When the alarm is activated, Fire-Lite is notified and they in turn notify the fire company.
When the fire alarm is activated, employees should exit the building per the evacuation plan and go to the designated assembly area once outside the building. A count of personnel will be made at the assembly area. Personnel should not leave the designated assembly area without permission. If a later count is made and is different from the first, it may cause an unneeded search for that person(s).
B. Audible Signals
In the case a non-fire incident or emergency (such as a chemical spill or after an earthquake has ceased), the staff associated with evacuation should use an audible signal to alert staff of the need to evacuate the building. It is suggested staff/coordinator use whistles (or air horn) as a means to signify a necessary building evacuation for non-fire incidents.
VII. TRAINING AND DRILLS
The general services manager (or agency designee) will plan and coordinate training and develop proficiency in building/floor evacuations. Each office should conduct at least two evacuation drills a year.
DRILL PREPARATIONS AND DRILL PROCEDURES
The agency designee will notify the tenants and employees of the fire drill time and date.
The agency designee will notify the property management to activate and reset the fire alarm system; as well as notifying the: building security alarm vendor; police department; and local Fire Department.
A - 159 Occupants should leave the floor via the nearest stairwell and follow their evacuation plan.
After the fire Drill is concluded, the agency designee will meet with the evacuation team to
discuss whether all systems and plans functioned properly and to determine the overall effectiveness of the drill.
VIII. EVACUATION INSTRUCTIONS FOR EMPLOYEES
When directed by the Floor Warden (or regional coordinator) to evacuate the building or when the building Fire Alarm system is activated, each individual shall proceed to the nearest exit.
Elevators shall not be used. Anyone observing the need for first aid treatment shall immediately advise the Floor Warden.
Employees must comply with the following procedures:
Go to the hall and leave the office door open as you leave.
Proceed to the stairways, down the steps using the right side only; this leaves the left side open for fire or police personnel.
No running, pushing, or passing on the stairways. The doors at the stairwells are fire rated and it is extremely important to keep doors closed.
When exiting the back stairwell, at the exit door to the outside there is a weighed stairwell above the alley. To activate, open turn the metal gate by pushing it open toward the metal steps, this will release the latch to the metal stairs. Proceed slowly down the steps, as you proceed slowly down steps, the stairs will start to descend, stop an wait until it touches the ground, then continue on down the steps.
After evacuating the building go to the designated meeting location and wait for instruction from the Floor Warden/RSO. The Floor Warden will check the roster to make sure all employees are accounted for from his/her designated floor and complete the appropriate checklist.
No one will re-enter the building until the “all clear” signal has been given.
After the “all clear” signal has been given, by either the Fire Chief or other officer in charge, or by the police, the DEQ administering official will then give the “All Clear” signal and all personnel will return to their work stations.
AUTHORITY OF THE BUREAU OF FIRE PERSONNEL
On arrival, the Police or Fire representative will assume full command; this is state law. When all dangers are clear and the building is safe to enter, the Bureau of Fire representative will
A - 160 make the report to the agency designee, who will report to the Floor Wardens that personnel may return to their floors.
Virginia Department of Environmental Quality - 15 -
Appendix C – Incident Check Lists
Check List for Suspicious Package
To be completed by floor warden or regional safety officer
Action Comments
Was the package/envelope covered or isolated by closing the door?
Was any staff member directly exposed to the package contents (i.e. white powder on staff clothing)? + If yes, did the staff member: a) remove clothing which was exposed to the substance and b) dispose in trash can? + If exposure was limited to hands, did the
staff member wash hands w/ soap & t ?For white powder incident, has the staff member been isolated in a designated location?
Has OPGS (Jay Gutshall or Vikki Logan) been notified?
Has the floor/area been secured to prevent any other persons from entering the area?
To be completed by OPGS or Office Manager
Action Comments
Was 911 called?
Has agency & building management been notified of the incident?
A - 161Was the HVAC system shut down to prevent potential contamination or distribution?
If building conditions warrant, (i.e. excessive heat, etc.) has staff been evacuated to a designated spot(s)?
Was a list of all persons exposed to the substance created, along with person’s contact information, nature/duration of exposure, etc.?
Has a person been designated to meet law enforcement & escort them?
A - 162 Virginia Department of Environmental Quality - 16 -
Check List for Fire Drills
To be completed by floor warden or regional safety officer
Action ( Comments All staff was removed from the building/floor?
All staff office doors were closed before exiting the floor/building?
Floor warden or RSO was the last to exit the floor/building?
Did staff meet at the designated check point?
All staff was present or accounted for?
Identify staff not accounted for by name in the comment section to the right.
Provide this completed checklist to CO administration or the RO manager?
Check List for Tornado Drills
To be completed by floor warden or regional safety officer
Action ( Comments All staff relocated to an interior portion of the building and away from any windows?
All staff office doors were closed during the drill?
All staff was present or accounted for?
Identify staff not accounted for by name in the comment section to the right.
Provide this completed checklist to CO administration or the RO manager?
A - 163 Virginia Department of Environmental Quality - 17 -
Check List for Earthquakes
To be completed by floor warden or regional safety officer
Action Comments All staff took cover away from exterior walls and windows until the shaking stopped?
All staff office doors were left open during the drill?
All staff exited the building when safe to go outside ?
Did staff meet at the designated checkpoint?
All staff was present or accounted for?
Identify staff not accounted for by name in the comment section to the right.
Provide this completed checklist to CO administration or the RO manager?
A - 164Virginia Department of Environmental Quality - 18 -
Appendix D – Bomb Threat
In the event of a bomb threat, the person taking the call shall:
Get an accurate message and try to write down the message word for word.
Try to collect the following information.
A. Is the voice – male or female?
B. Is there an accent or dialect?
C. Does the caller appear sober?
D. Is caller’s speech and message – erratic or firm and emphatic E. What background noises or conversations can be heard?
F. Ask the caller where the bomb is located and when it is set to go off.
G. Ask the name of the caller or organization?
H. Try to determine the length of call.
The person receiving the call ‘SHALL NOT BROADCAST’ the matter and cause panic. The person that received the call should call the state police at 9-911. Then follow the instructions given to them by the Police Officer. The State Police or the Fire Chief will make the decision to evacuate the building.
Report the call to your supervisor.
If it has been determined that an evacuation of the floor/building is required, you will be notified by your Floor Warden or by the activation of the building fire alarm system. NO ELEVATORS
WILL BE USED FOR EVACUATION PURPOSES.
Before leaving the office area each person shall look around their area for any strange or unusual packages, and if suspected report it to the Zone Warden.
All persons will leave the building, and unless otherwise instructed to the area designated in the Evacuation Plan and remain there until the Police or Fire Chief allow you to leave
A - 165Virginia Department of Environmental Quality - 19 -
Appendix E - Floor Plans
THIS PAGE BLANK INTENTIONALLY
Each Region and Central Office should keep their floor plan copies updated.
A - 166 COMMONWEALTH of VIRGINIA
DEPARTMENT OF ENVIRONMENTAL QUALITY
Molly Joseph Ward Street address: 629 East Main Street, Richmond, Virginia 23219 Mailing David K. Paylor Secretary of Natural Resources Director address: P.O. Box 1105, Richmond, Virginia 23218 www.deq.virginia.gov (804) 698-4000
1-800-592-5482
TO: Land Protection Program Managers Hazardous Waste Compliance Inspectors
FROM: Lisa Ellis, Hazardous Waste Compliance Coordinator
Copy: Leslie Romanchik
Leslie Beckwith
DATE: February 15, 2017
RE: FY17 Grant Work Plan Goals and Measures
In response to questions from the regions about the FY17 Grant Work Plan and whether inspections will count toward the FY17 Grant Work Plan Goals, the following guidance has been developed. An explanation of the Compliance Monitoring Strategy and the FY17 Grant Work Plan Goals are provided as the framework for determining when an inspection may or may not count toward the goals.
As a state, our primary HW inspection goal will be to inspect the required TSD and LQG facilities based on the required frequency and the date of the last inspection. We will also continue to reduce the number of SQG-NI facilities statewide. For regions that have depleted their SQG-NI population, four alternatives for inspections to meet the regional SQG numbers are as follows:
- Perform SQG-NI inspections in NRO, TRO or PRO after approval from that region’s LPM;
- Inspect CESQGs that have notified but never been inspected;
- Inspect non-notifier facilities that may possibly be hazardous waste generators; and
- Renegotiate the Alternate Plan with EPA to include Used Oil and Universal Waste facilities that do not generate hazardous waste. [Note: To explore this option, the LPM must communicate to Central Office hazardous waste staff by March 31 of the fiscal year.]
A - 167 The attached Goals and Measures document details specifically how each type of inspection will be counted.
If anyone has questions about the guidance, please contact me at 804-698-4237 or lisa.ellis@deq.virginia.gov.
Attachment
2 A - 168 FY17 Goals and Measures
Compliance Monitoring Strategy
As part of RCRA’s compliance monitoring program, EPA Region 3 and the DEQ negotiate inspection goals annually. Guidance for establishing inspection goals is provided by EPA’s Office of Enforcement and Compliance Assurance (OECA) in the Compliance Monitoring Strategy for the Resource Conservation and Recovery Act (RCRA) Subtitle C Program (September 2015) (“CMS”) and the National Program Managers Guidance
(“NPMG”).
RCRA imposes inspection requirements for TSDFs, and OECA’s NPMG establishes corresponding expectations for those and other regulated operations.
The statute mandates minimum inspection frequencies for TSDFs: annually for government owned or operated TSDFs, and biennially for non-government TSDFs. OECA has established corresponding annual commitments, e.g., annually for government owned or operated TSDFs and biennially for non-government TSDFs. OECA has set minimum annual inspection requirements for LQGs: at least 20 percent of the universe.
[NOTE: States may elect to inspect SQG/CESQGs, Transporter, Non-Notifier, and/or Other RCRA Handler facilities, in lieu of inspecting 20 percent of their LQG universe, under OECA’s policy for State Alternative Plans (or “State Flexibility Plans”).]
The above minimum inspection requirements are met through the negotiated planning process between EPA Region 3 and the DEQ. If a state decides to develop and work under an Alternative Plan, the EPA and the state will negotiate the details of the Grant Work Plan and an Alternative Plan prior to the start of the fiscal year.
FY17 Grant Work Plan
For FY17, the DEQ negotiated the Grant Work Plan goals, which includes an approved Alternative Plan1. (See Table 1) The DEQ must meet the inspection numbers committed for each area of regulated operations (i.e., TSDFs, LQGs, and SQG/CESQGs) to fulfill its commitments to the goals.
1 The highlights of the Grant Work Plan goals are summarized in Table 1. To view the full goals, see the full Virginia Department of Environmental Quality, FY2017-2018 Final Grant Work Plan, FY2017 (Revised November 15, 2016).
A - 169 Table 1 – FY17 Inspection Goals
Regulated Baseline Number of Commitments Goals Operations Facilities in Virginia
3 (FCIs at RAAP, 6 Fed TSDs NSWC Dahlgren, and Inspect each government owned or operated TSDF NASA Wallops) TSDFs & annually. & 3 Private TSD Inspect each private TSDF biennially. 1 (Private TSD)
OECA Minimum: Inspect at least 20% of the universe.
FY17 State Agreement: Will inspect every LQG once every 5 year.
390 46 LQGs Alternate Plan: As part of the state’s alternate plan, will substitute 1 LQG inspection for 2 SQG inspections to make up the difference between which LQGs are required to be inspected, and 20% of the total numbers of LQGs in the baselineA
284 total, at least 64 SQGs/ 3,200 SQGs, Continue to reduce the “Never Inspected” Universe of which must be CESQGsB 5,782 CESQGs of generators at all levels of generation
SQG.
A The substitution of 2 SQGs for 1 LQG was used to develop the inspection commitments for the Alternate Plan during the negotiated development of the Grant Work Plan. Once the work plan is approved by EPA, similar substitutions may not be made during the fiscal year.
B For the purposes of the FY17 Grant Work Plan, CESQGs are included; however, regions that still have large numbers of SQG-NI facilities should continue with the SQG-NI initiative.
FY17 Measures
To measure progress against the goals contained in the FY17 Grant Work Plan, inspection activities will be tracked throughout the fiscal year. Based on actual regulated operations observed during the inspection, inspections may or may not count toward the grant work plan goals.
To determine which inspections will count toward the goals, staff will check the Handler Universe as entered in RCRAInfo and evaluate the actual regulated operations at the time of inspection. Staff will complete the appropriate checklists associated with the Handler Universe for the actual regulated operations. This information will be evaluated against the goals identified in Table 1. If the combination of Handler Universe, as identified in RCRAInfo, and the actual Handler Universe observed during the inspection match one of the grant work plan goals, the state will receive credit for the inspection. The remaining part of this section and Table 2 explain in greater detail which inspections will receive grant credit and which ones will not.
A - 170 Credit toward the grant work plan goals will be given for the following inspections:
Federal Facilities: Conduct FCI for identified focus area and complete associated checklists.
Private TSDs: Conduct CEI for all regulated operations (e.g., permitted, generator, and other handler activities) and complete associated checklists.
Generators: Conduct a CEI at facility notified as a HW generator (e.g., LQG or SQG/CESQG) and complete appropriate checklists for generator category. Receive inspection credit for either the Handler Universe identified in the most recent notification or the actual category identified during the inspection, whichever is the higher category.
Non-Notifiers: Where a facility is a generator of hazardous waste but has not notified of regulated operations as required, conduct CEI for all of the regulated activities and complete appropriate checklists for grant category.
For inspections conducted of Other RCRA Handlers,2 credit toward the grant work plan may not be available for the FY17 grant. The following guidelines apply:
If a facility is notified as a HW generator (e.g., LQG or SQG/CESQG) but does not generate HW, inspection credit toward the grant work plan goals is available when the facility generates used oil or universal waste. Conduct the CEI and complete the appropriate checklists. The state will receive inspection credit for the Handler Universe identified in RCRAInfo.
If a facility is a Non-Generator but generates used oil or universal waste, conduct an “Other RCRA Handler” inspection and complete the appropriate checklists. The inspection will not be counted toward the grant work plan goals for FY17; however the inspection will be counted as an “Other” inspection inspections in the DEQ’s report to EPA at the end of the grant year. The data will be used to inform future grant work plan negotiations.
Inspections at Transporter facilities will not be given credit toward the grant work plan goals unless the Transporter is also a TSDF or Generator (e.g., LQG or SQG/CESQG).
Inspections at Non-Generator facilities will not be given credit toward the grant work plan goals unless they were identified in RCRAInfo prior to the inspection as a higher level.
2 “Other RCRA Handlers” means Used Oil Facilities, Universal Waste Handlers, entities involved in reclamation of Hazardous Secondary Materials, and any other type of facility, operation, entity or handler subject to Subtitle C other than a Generator, Transporter, or Treatment, Storage, and Disposal facility (TSDF). See EPA’s Office of Enforcement and Compliance Assurance (OECA) in the Compliance Monitoring Strategy for the Resource Conservation and Recovery Act (RCRA) Subtitle C Program (September 2015).
A - 171 Table 2 – Inspection Measures & Credits
CMS Core Program -Notification per Regulated Operations Regulated Operations Do RCRAInfo Match RCRAInfo NOT Match RCRAInfo Non-Generator Out of Business
Grant CreditB TSDF (FCI at Fed Facs / -- -- -CEI at Private TSDs)
Generators Grant CreditB Grant CreditB Grant CreditB No CreditD
(LQG, SQG, (CEI) (CEI) (CEI) (FCI-ISI)
CESQG)A
If a TSDF or Generator, Non-Notifier -- Grant CreditB No CreditD -
(CEI)
If also a TSD or Generator Grant CreditB OtherC Transporters -- - (CEI) If Non-Generator OtherC
(CEI) If also a TSD or Generator Other RCRA Grant CreditB Handlers OtherC No CreditD (Used Oil, (CEI) No CreditD (CEI) (FCI) Universal If Non-Generator OtherC Waste)
A For the purposes of the FY17 Grant Work Plan, a Generator is a LQG, SQG, or CESQG.
B The inspection counts toward the FY17 Grant Work Plan goals for highest category.
C The inspection does not count toward the FY17 Grant Work Plan goals. However, the DEQ will report “Other” inspections in its end of year grant report to EPA.
D The inspection does not count toward the FY17 Grant Work Plan goals.
A - 172 Division of Enforcement
VIRGINIA DT:PARTMENT OF Memorandum ENVIRONMENTAL QUALITY
SUBJECT: Enforcement Guidance Memorandum No. 1-2011
Access to Private Property for Inspections and Investigations, Denial of Access,
and Obtaining Administrative Inspection Warrants
TO: Regional Directors and Division Directors
FROM: Melanie D. Davenport, Director Division of Enforcement
DATE: March 3, 2011
COPIES: Rick Weeks, James Golden, Regional Deputy Directors, Central Office and Regional Air, Water, and Land Protection Program Managers, and Central Office and Regional Compliance & Enforcement Managers
Summary: This guidance establishes procedure and describes limits to Virginia Department of Environmental Quality ("DEQ") staff's authority to access private property to conduct environmental investigations and inspections pursuant to applicable law, establishes what DEQ will consider a denial of access to property, and establishes general procedures for obtaining an administrative inspection warrant ("inspection warrant").
Electronic Copy:
An electronic copy of this guidance in PDF format is available for staff internally on DEQNET at http://deqnet/programs/enforce/AgencyEnfGuidance.asp, and for the public on the DEQ website at: http://www.deq.virginia.gov/enforcement/manual.html
Contact information:
For more information, please contact Justin Williams, Division of Enforcement, at (804) 698-
4185, or e-mail: Justin. Williams @deq. virginia. gov
Disclaimer:
This document is provided as guidance and, as such, sets forth standard operating procedures for the agency. However, it does not mandate any particular action for the Department or its employees nor does it prohibit any particular action that is within applicable law. This guidance is intended only to provide a guide for policies and A - 173procedures for the Department and its employees. Facts and circumstances may dictate varying from this polcy as appropriate.
A - 174Enforcement Guidance Memo No. 1-2011 Page 2 of 13
I. Purpose
This guidance establishes the general policy and procedure for staff to access private property to conduct investigations and inspections. It also establishes general procedures to obtain consent prior to accessing private property, procedures to be followed if consent cannot be obtained or if access is denied, and general procedures for obtaining an inspection warrant.
II. DEQ Policy and Procedures for Accessing Private Property
General Procedures: To carry out the mission of DEQ and meet the statutory mandates to protect human health, safety, and the environment, DEQ staff ("staff') often must enter onto private property' to conduct inspections and investigations, or respond to environmental contamination, threats, or hazards. In order to insure that such inspections, investigations, and responses would be legally defensible in court, they should be conducted within the confines of all laws as well as DEQ's policies and procedures.
It shall be the policy and procedure of DEQ for staff to obtain consent from the property owner or an authorized representative of the property owner prior to or at the time of conducting an inspection or investigation on private property, absent urgent circumstances.
Often, permits issued by DEQ or one of its citizen boards include right of entry and inspection provisions. Staff should review these permit provisions prior to conducting an inspection or investigation at a permitted facility. Additionally, rights of entry and inspection provisions are found in several sections of the Virginia Code.2
Also, staff is encouraged to use public spaces such as parks and roadways to perfoiin their duties.
Staff may enter a private property in cooperation with other local, state, or federal authorities if the purpose of the site inspection or visit is administrative or civil in nature and the subject of the inspection is within the authority of DEQ or one of the citizen boards.3
Private property, as used in this guidance, means property that is not owned by a governmental entity but rather a private citizen or legal entity such as a company.
2Appendix A provides the statutory language found in the Virginia Code that allows DEQ to inspect or conduct investigations.
3 Generally, staff is carrying out administrative or civil functions and not criminal functions. Different legal requirements and policies govern entry onto private property for criminal investigations. This guidance only covers access to private property for routine program inspections or administrative inspections and not criminal investigations or warrants obtained pursuant to a criminal investigation or criminal enforcement proceedings. These procedures should not be used to attempt to obtain criminal evidence or for criminal investigations. If a criminal
A - 175investigation is underway, staff must not use a civil or administrative inspection or investigation to collect or identify information or evidence for a criminal investigation.
A - 176Enforcement Guidance Memo No. 1-2011 Page 3 of 13
Inspections of Permitted and Non-Peimitted Properties: Upon arrival at the site, staff must locate the property owner or authorized representative4, present his or her DEQ credentials5, and identify the reason for being on the property.
Staff must then obtain the consent of the property owner or authorized representative of the property owner. This step is not required if previous permission has been granted to enter the property and to conduct the inspection. Also, if staff is conducting an unannounced inspection, consent should be obtained upon arrival at the site but not in advance.
For leased properties, staff must obtain consent from the person who leases the property or authorized representative, and ensure that the representative granting consent has authority to grant consent on the lessee's behalf.
Staff should conduct the inspection during regular business or operating hours. Staff should maintain a professional, courteous demeanor while gaining access and should not threaten, harass, coerce, or otherwise act unreasonable when seeking entry.
Staff may enter upon property, even property that is marked with "No Trespassing," only to determine if the property owner or authorized representative is on-site and to obtain consent.
Staff should never enter onto or remain on property where a risk to his or her safety or health is present or possible.
Upon arrival, if staff cannot locate the property owner or an authorized representative and prior permission has not been given to enter the site, staff shall not continue to conduct an inspection and must exit the property.
If staff cannot locate the property owner or authorized representative, after exiting the property, staff should discuss their findings with their immediate supervisor to determine next steps, which may include:
searching governmental agencies' websites or databases to determine if an entity is still operating or exists searching local property records to determine who the legal owner of the property is using public access points or property to observe and document issues asking adjoining property owners for access to make observations from adjacent properties petitioning the appropriate Circuit Court for access to abandoned waste sites issuing a NOAV, which cites permit provisions for the Department to be able to conduct inspections or other permit requirements such as a requirement that certain individuals to be on-site
4 An authorized representative is an individual other than the property owner who has the authority to grant access to the site. For example, environmental managers usually have the authority to allow staff on-site to conduct inspections. Other examples would include spouses, corporate officers, managers, waste water treatment plant operators, and landfill operators. If staff is not sure if the individual has such authority, staff should inquire of the individual.
A - 1775 Credentials are the employee's state-issued DEQ identification.
A - 178Enforcement Guidance Memo No. 1-2011 Page 4 of 13
Additionally, staff may consider using the procedures outlined in Section IV to obtain an inspection warrant.
Once consent has been obtained, staff does not have to be accompanied by the property owner or an authorized representative during the inspection unless it is called for under media-specific guidance, but should be accompanied by facility personnel when possible. If the property owner or authorized representative demands to be present during the inspection but is unavailable to accompany staff at the time, then staff should consult with their supervisor and may consider returning when the property owner is available or pursuing an administrative inspection warrant using the procedures outlined in Section IV, depending upon the circumstances and urgency for the inspection.
Apparent Violations or Circumstances Requiring Immediate Action Including Fish Kills and Suspected Spills of Hazardous or Toxic Substances: If an obvious and immediate damage to human health or the environment has occurred or is about to occur and an immediate investigation or other action to determine the source and/or mitigate its effects may be warranted, such as investigating a fish kill or spill/release of a hazardous or toxic substance, staff should immediately notify their Regional Director or designee. After notification to the Regional Director or designee, staff will notify the property owner or an authorized representative and seek immediate access to the site. If the property owner or an authorized representative cannot be reached, staff may enter the property to conduct a limited investigation to determine immediate risks to human health and the environment if the violations or circumstances involve air or water violations. However, staff should make repeated attempts to contact the property owner or an authorized representative and notify the property owner or an authorized representative after exiting the site as soon as possible.
If the apparent violations or circumstances involve waste media, staff should consult with the Central Office Division of Enforcement ("DE") prior to entering the site.
Staff should not enter the property if a risk is present to the employee's health and safety. If staff has a concern about the safety of a site, they should consult with their supervisor. If appropriate, staff should notify the proper emergency or first responders, if not already present on-site, and wait for proper clearance to enter the site.
If a property owner or authorized representative objects to staff entering their property, staff should exit the property and notify their Regional Director of the hazard, threat, damage, and other observations. Staff should then follow the procedures outlined in Section IV and discuss available options with DEQ Central Office management.
III. Denial of Access
In an attempt to conduct an investigation or inspection, DEQ may consider the following a denial of access:
Expressed denial of access to the property to conduct an investigation or inspection.
A - 179 Limiting the scope of inspection to exclude areas that are necessary to properly conduct an inspection or investigation.
A - 180Enforcement Guidance Memo No. 1-2011 Page 5 of 13
Requiring staff to sign waivers of liability or waivers limiting liability including register logs or badges which contain such language. However, staff may sign a sign-in sheet at the facility so that facility is aware of who is on-site as long as the sheet does not contain a waiver of liability or a confidentiality agreement. In this case, staff should request the ability to sign-in on a separate document or if possible strike through the waiver language and initial over the strike through. Requiring staff to sign confidentiality agreements. Denial of ability to take photographs of items that are reasonably related to the inspection or investigation or are evidence of non-compliance. Staff should check with the Media Compliance Manager and Media Enforcement Manager if a question arises as to the ability to protect information as confidential. Refusing or limiting staffs ability to use equipment necessary to conduct the inspection. Refusing or limiting staff's ability to take samples or conduct monitoring necessary to conduct the inspection. Refusing or limiting staffs ability to view documents necessary to conduct the inspection. Unreasonably delaying staff conducting the inspection. Whether a delay is unreasonable depends on the circumstances such as length, reason for the delay, urgency that the inspection needs to be conducted, and other circumstances which must be examined on a case-by-case basis. Making threats, intimidating, harassing, or coercing staff. Other unreasonable actions or conditions placed upon staff.
If an individual other than the property owner or authorized representative denies access, staff should attempt to make contact with the property owner or an authorized representative to gain access. In the case of a leased property, if a person other than the person who leases the property denies access, staff should attempt to make contact with the person who leases the property to gain access.
In the event that staff is denied access to a property, staff may ask why the individual is denying access and discuss the denial with the individual in attempt to resolve the situation.
Staff should infoiiii the individual the basis of the inspection and the Department's authority to conduct inspections. However, staff should not in any way threaten or attempt to coerce an individual who denies access. Staff should not imply any penalties, repercussions, or actions that may result against the individual or the facility if access is denied.
In the event of a denial of access, staff should note the denial and the reasons provided by the individual, and exit the property immediately. Upon exiting the property after a denial, staff should notify his or her immediate manager of the denial. In the event of a denial of access, staff should discuss next steps with his or her immediate manager, including possible actions such as using public access points or public property to observe issues of non-compliance, rescheduling the inspection, issuing an NOAV, or obtaining an inspection warrant as outlined in Section IV.
A - 181Enforcement Guidance Memo No. 1-2011 Page 6 of 13
IV. Inspection Warrants
The ability to inspect and investigate regulated facilities and possible non-compliant activity is essential to DEQ's mission. On the rare occasion that a DEQ employee is denied access or unable to gain access to a property, staff may obtain an inspection warrant to conduct the inspection or investigation.
An administrative inspection warrant is a warrant issued to conduct a regulatory inspection or investigation and is not the same as a criminal warrant to search a property or seize evidence to be used in a criminal investigation or trial. 6 Outlined below is the basis for obtaining an inspection warrant and the procedure staff should follow to attempt to obtain an inspection warrant.
Basis for Obtaining Administrative Inspection Warrants: An inspection warrant may generally be obtained under two circumstances. First, an inspection warrant may be granted by a court where the inspection or investigation and actions to be undertaken during the inspection are being conducted pursuant to reasonable "legislative or administrative standards."7 Usually, this criterion is satisfied where a facility is being inspected pursuant to routine permitting, monitoring, or federal grant commitments.
Second, an inspection warrant may be granted where probable cause exists to believe that a noncompliant activity is occurring.8 Usually, this criterion is satisfied where probable cause exists to show a violation of one of the laws or regulations under the purview of one of the citizen boards served by DEQ.
In addition to these two circumstances, staff must have either been refused admission to the property or demonstrate to the court that facts or circumstances warrant the court issuing the inspection warrant without DEQ staff having consent to enter the property. This later condition is generally satisfied where facts or circumstances indicate that evidence may be lost or destroyed if consent is first attempted to be obtained or that other actions may occur that undermine DEQ's ability to effectively enforce laws or regulations.9
Procedures to Obtain Administrative Inspection Warrants: The first step in obtaining an inspection warrant to conduct the inspection or investigation is to discuss the need for the inspection warrant with the Regional Media Program Manager. The reason may be due to a
6 "An Ninspection warrant[`] is an order in writing, made in the name of the Commonwealth, signed by any judge of the circuit court whose territorial jurisdiction encompasses the property or premises to be inspected or entered, and directed to a state or local official, commanding him to enter and to conduct any inspection, testing or collection of samples for testing required or authorized by state or local law or regulation in connection with the manufacturing, emitting or presence of a toxic substance, and which describes, either directly or by reference to any accompanying or attached supporting affidavit, the property or premises where the inspection, testing or collection of samples for testing is to occur." Va. Code § 19.2-393.
Va. Code § 19.2-394 describes the circumstances under which a Circuit Court may issue an inspection warrant. These criteria must be demonstrated to the court.
A - 1828 Va. Code § 19.2-394 describes the circumstances under which a Circuit Court may issue an inspection warrant.
The court will determine if probable cause exists based upon the information provided to the court.
9 Va. Code § 19.2-394
A - 183Enforcement Guidance Memo No. 1-2011 Page 7 of 13
denial of access, as discussed in Section II, or circumstances that indicate a preemptive inspection warrant may be needed. If staff believes that, under the circumstances, an inspection warrant may be needed; staff should implement these procedures as soon as possible.
If the Regional Media Program Manager believes an inspection warrant should be obtained, staff and the Regional Media Program Manager should discuss the issue with regional management.
Upon agreement by regional management, the regional office should contact the DE in the Central Office and Central Office Media Program Managers to discuss the basis and appropriateness for the inspection warrant and next steps, including the drafting of necessary court documents.
Upon agreement that an inspection warrant should be obtained, DE will contact and coordinate with the Office of the Attorney General ("OAG").
Obtaining an inspection warrant will require the staff member who is seeking to conduct the inspection to complete an affidavit which indicates the basis for the inspection, what is to be inspected, and whether the inspection warrant is being sought due to a denial of access or circumstances where consent should not be requested prior to the inspection. 10 Template affidavits, applications for warrants, and warrants are available from the DE.
After coordination with the OAG, staff and the OAG will present the affidavit, application for warrant, and the warrant to the Circuit Court in the jurisdiction where the inspection is to occur.
Upon Circuit Court approval, staff will immediately execute the warrant. An inspection warrant only remains valid for 10 days.0 If staff cannot execute the warrant within the time indicated in the inspection warrant, staff should notify DE, and DE will coordinate with the OAG to request an extension.
Staff may request that the warrant be served by a local or county sheriff or other law enforcement personnel. Staff may also request that a local or county sheriff or other law enforcement personnel accompany them on the inspection. Staff shall not use force to execute the inspection warrant.12
Staff must conduct the inspection or investigation as prescribed or limited in the inspection warrant and strictly adhere to any terms in the inspection warrant.
Staff should coordinate with DE and the OAG to file a return of service13 after execution of the inspection warrant in the Circuit Court where the inspection warrant was obtained.14
1° Va. Code § 19.2-394 outlines what must be contained in an affidavit to the Circuit Court.
11 Va. Code § 19.2-395
A - 18412 Va. Code § 19.2-396 prohibits use of force to execute an inspection warrant unless specifically authorized by the court under special circumstances.
13 A "return of service" is a document filed with the court affirming that the warrant has been served.
A - 185Enforcement Guidance Memo No. 1-2011 Page 8 of 13
Appendix A
State Statutes on Right of Entry by DEQ
DEQ
§ 10.1-1197.10. Right of entry to inspect, etc.; warrants.
Upon presentation of appropriate credentials and upon consent of the owner or custodian, the Director or his designee shall have the right to enter at any reasonable time onto any property to inspect, investigate, evaluate, conduct tests or take samples for testing as he reasonably deems necessary in order to determine whether the provisions of any law administered by the Director or the Department, any regulations of the Department, any order of the Department or Director or any conditions in a peiiiiit by rule, license or certificate issued by the Director are being complied with. If the Director or his designee is denied entry, he may apply to an appropriate circuit court for an inspection warrant authorizing such investigation, evaluation, inspection, testing or taking of samples for testing as provided in Chapter 24 (§ 19.2-393 et seq.) of Title 19.2.
Air Pollution Control Law
The Executive Director or an authorized DEQ staff member may use the following authority for air quality inspections:
Vac. Code § 10.1-1307.3. Executive Director to enforce laws.
A. The Executive Director or his duly authorized representative shall have the authority to:
- Supervise, administer, and enforce the provisions of this chapter and regulations and orders of the Board as are conferred upon him by the Board;
- Investigate any violations of this chapter and regulations and orders of the Board;
- Require that air pollution records and reports be made available upon request, and require owners to develop, maintain, and make available such other records and infoiination as are deemed necessary for the proper enforcement of this chapter and regulations and orders of the Board;
4. Upon presenting appropriate credentials to the owner, operator, or agent in charge:
a. Enter without delay and at reasonable times any business establishment, construction site, or other area, workplace, or environment in this Commonwealth; and
14 Va. Code § 19.2-395 A - 186Enforcement Guidance Memo No. 1-2011 Page 9 of 13
b. Inspect and investigate during regular working hours and at other reasonable times, and within reasonable limits and in a reasonable manner, without prior notice, unless such notice is authorized by the Director or his representative, any such business establishment or place of employment and all pertinent conditions, structures, machines, apparatus, devices, equipment, and materials therein, and question privately any such employer, officer, owner, operator, agent, or employee. If such entry or inspection is refused, prohibited, or otherwise interfered with, the Director shall have the power to seek from a court having equity jurisdiction an order compelling such entry or inspection;
B. The Executive Director or his duly authorized representative may pursue enforcement action for a violation of opacity requirements or limits based on (i) visual observations conducted pursuant to methods approved by the U.S. Environmental Protection Agency, (ii) data from certified continuous opacity monitors, or (iii) other methods approved by the U.S.
Environmental Protection Agency.
Va. Code § 10.1-1315. Right of entry.
Whenever it is necessary for the purposes of this chapter, the Board or any member, agent or employee thereof, when duly authorized by the Board, may at reasonable times enter any establishment or upon any property, public or private, to obtain information or conduct surveys or investigations.
Virginia Waste Management Act
The Executive Director or an authorized DEQ staff member may use the following authority for waste inspections:
Va. Code § 10.1-1456. Right of entry to inspect, etc.; warrants.
Upon presentation of appropriate credentials and upon consent of the owner or custodian, the Director or his designee shall have the right to enter at any reasonable time onto any property to inspect, investigate, evaluate, conduct tests or take samples for testing as he reasonably deems necessary in order to determine whether the provisions of any law administered by the Board, Director or Department, any regulations of the Board, any order of the Board or Director or any conditions in a peiiuit, license or certificate issued by the Board or Director are being complied with. If the Director or his designee is denied entry, he may apply to an appropriate circuit court for an inspection warrant authorizing such investigation, evaluation, inspection, testing or taking of samples for testing as provided in Chapter 24 (§ 19.2-393 et seq.) of Title 19.2.
Va. Code § 10.1-1418.4. Removal of waste tire piles; cost recovery; right of entry.
Notwithstanding any other provision, upon the failure of any owner or operator to remove or remediate a waste tire pile in accordance with an order issued pursuant to this chapter or § 10.11186, the Director may enter the property and remove the waste tires. The Director is authorized to recover from the owner of the site or the operator of the tire pile the actual and
A - 187reasonable costs incurred to complete such removal or remediation. If a request for reimbursement is not
A - 188Enforcement Guidance Memo No. 1-2011 Page 10 of 13
paid within 30 days of the receipt of a written demand for reimbursement, the Director may refer the demand for reimbursement to the Attorney General for collection or may secure a lien in accordance with § 10.1-1418.5.
Va. Code § 10.1-1406.1. Access to abandoned waste sites.
A. For the purposes of this section, "abandoned waste site" means a waste site for which (i) there has not been adequate remediation or closure as required by Chapter 14 (§ 10.1-1400 et seq.) of this title, (ii) adequate financial assurances as required by § 10.1-1410 or § 10.1-1428 are not provided, and (iii) the owner, operator, or other person responsible for the cost of cleanup or remediation under state or federal law or regulation cannot be located.
B. Any local government or agency of the Commonwealth may apply to the appropriate circuit court for access to an abandoned waste site in order to investigate contamination, to abate any hazard caused by the improper management of substances within the jurisdiction of the Board, or to remediate the site. The petition shall include (i) a demonstration that all reasonable efforts have been made to locate the owner, operator or other responsible party and (ii) a plan approved by the Director and which is consistent with applicable state and federal laws and regulations. The approval or disapproval of a plan shall not be considered a case decision as defined by § 2.24001.
C. Any person, local government, or agency of the Commonwealth not otherwise liable under federal or state law or regulation who performs any investigative, abatement or remediation activities pursuant to this section shall not become subject to civil enforcement or remediation action under this chapter or other applicable state laws or to private civil suits related to contamination not caused by its investigative, abatement or remediation activities.
D. This section shall not in any way limit the authority of the Board, Director, or Department otherwise created by Chapter 14 of this title.
§ 10.1-1425.3. Inspection of battery retailers; penalty.
The Department shall produce, print, and distribute the notices required by § 10.1-1425.2 to all places in the Commonwealth where lead acid batteries are offered for sale at retail. In performing its duties under this section, the Department may inspect any place, building, or premise subject to the provisions of § 10.1-1425.2. Authorized employees of the Department may issue warnings to persons who fail to comply with the provisions of this article. Any person found guilty of failing to post the notice required under § 10.1-1425.2 after receiving a warning to do so pursuant to this section shall be punished by a fine of not more than fifty dollars.
State Water Control Law
The Executive Director or an authorized DEQ staff member may use the following authority for water inspections:
A - 189Va. Code § 62.1-44.20. Right to entry to obtain information, etc.
A - 190Enforcement Guidance Memo No. 1-2011 Page 11 of 13
Any duly authorized agent of the Board may, at reasonable times and under reasonable circumstances, enter any establishment or upon any property, public or private, for the purpose of obtaining information or conducting surveys or investigations necessary in the enforcement of the provisions of this chapter.
State Ownership of Sub-Aqueous Bottoms, State Waters, and Aquatic Life
The Executive Director or an authorized DEQ staff member may use the following authority for inspection of water features and aquatic life:
Va. Code § 28.2-1200. Ungranted beds of bays, rivers, creeks and shores of the sea to remain in common.
All the beds of the bays, rivers, creeks and the shores of the sea within the jurisdiction of the Commonwealth, not conveyed by special grant or compact according to law, shall remain the property of the Commonwealth and may be used as a common by all the people of the Commonwealth for the purpose of fishing, fowling, hunting, and taking and catching oysters and other shellfish. No grant shall be issued by the Librarian of Virginia to pass any estate or interest of the Commonwealth in any natural oyster bed, rock, or shoal, whether or not it ebbs bare.
NOTE: The statute indicates the identified bays, rivers, creeks, and shores of the sea within the jurisdiction of the Commonwealth are public property and subject to uninterrupted entry by the Executive Director or an authorized DEQ staff member. All streambeds east of the Appalachian Mountains are public property. Some streams west of the mountains, e.g. the Jackson River, are the subject of crown grants and are privately owned. To further complicate matters, the Jackson is navigable, so staff may access the river by boat, albeit they might require landowner permission to wade in that river. See Kraft v. Burr, 252 Va. 273 (1996).
Appendix B
State Statute on Administrative Inspection Warrants
Va. Code § 19.2-393. Definitions.
An "inspection warrant" is an order in writing, made in the name of the Commonwealth, signed by any judge of the circuit court whose territorial jurisdiction encompasses the property or premises to be inspected or entered, and directed to a state or local official, commanding him to enter and to conduct any inspection, testing or collection of samples for testing required or authorized by state or local law or regulation in connection with the manufacturing, emitting or presence of a toxic substance, and which describes, either directly or by reference to any accompanying or attached supporting affidavit, the property or premises where the inspection, testing or collection of samples for testing is to occur. Such warrant shall be sufficiently
A - 191accurate in description so that the official executing the warrant and the owner or custodian of the property or premises can reasonably determine from the warrant the activity, condition,
A - 192Enforcement Guidance Memo No. 1-2011 Page 12 of 13
circumstance, object or property of which inspection, testing or collection of samples for testing is authorized.
For the purposes of this chapter, "manufacturing" means producing, formulating, packaging, or diluting any substance for commercial sale or resale; "emitting" means the release of any substance, whether or not intentional or avoidable, into the work environment, into the air, into the water, or otherwise into the human environment; and "toxic substance" means any substance, including (i) any raw material, intermediate product, catalyst, final product and by-product of any operation conducted in a commercial establishment and (ii) any biological organism, that has the capacity, through its physical, chemical, or biological properties, to pose a substantial risk to humans, aquatic organisms or any other animal of illness, death or impairment of normal functions, either immediately or over a period of time.
Va, Code § 19.2-394. Issuance of warrant.
An inspection warrant may be issued for any inspection, testing or collection of samples for testing or for any administrative search authorized by state or local law or regulation in connection with the presence, manufacturing or emitting of toxic substances, whether or not such warrant be constitutionally required. Nothing in this chapter shall be construed to require issuance of an inspection warrant where a warrant is not constitutionally required or to exclude any other lawful means of search, inspection, testing or collection of samples for testing, whether without warrant or pursuant to a search warrant issued under any other provision of the Code of Virginia. No inspection warrant shall be issued pursuant to this chapter except upon probable cause, supported by affidavit, particularly describing the place, things or persons to be inspected or tested and the purpose for which the inspection, testing or collection of samples for testing is to be made. Probable cause shall be deemed to exist if either reasonable legislative or administrative standards for conducting such inspection, testing or collection of samples for testing are satisfied with respect to the particular place, things or persons or there exists probable cause to believe that there is a condition, object, activity or circumstance which legally justifies such inspection, testing or collection of samples for testing. The supporting affidavit shall contain either a statement that consent to inspect, test or collect samples for testing has been sought and refused or facts or circumstances reasonably justifying the failure to seek such consent in order to enforce effectively the state or local law or regulation which authorizes such inspection, testing or collection of samples for testing. The issuing judge may examine the affiant under oath or affirmation to verify the accuracy of any matter indicated by the statement in the affidavit.
Va. Code § 19.2-395. Duration of warrant.
An inspection warrant shall be effective for the time specified therein, for a period of not more than ten days, unless extended or renewed by the judicial officer who signed and issued the original warrant, upon satisfying himself that such extension or renewal is in the public interest.
Such warrant shall be executed and returned to the judicial officer by whom it was issued within the time specified in the warrant or within the extended or renewed time. After the expiration of such time, the warrant, unless executed shall be void.
A - 193Enforcement Guidance Memo No. 1-2011 Page 13 of 13
Va. Code § 19.2-396. Conduct of inspection, testing or collection of samples for testing; special procedure for dwelling.
An inspection, testing or collection of samples for testing pursuant to such warrant may not be made in the absence of the owner, custodian or possessor of the particular place, things or persons unless specifically authorized by the issuing judge upon a showing that such authority is reasonably necessary to effectuate the purpose of the law or regulation being enforced. An entry pursuant to this warrant shall not be made forcibly, except that the issuing judge may expressly authorize a forcible entry where facts are shown sufficient to create a reasonable suspicion of an immediate threat to public health or safety, or where facts are shown establishing that reasonable attempts to serve a previous warrant have been unsuccessful. In the case of entry into a dwelling, prior consent must be sought and refused and notice that a warrant has been issued must be given at least twenty-four hours before the warrant is executed, unless the issuing judge finds that failure to seek consent is justified and that there is a reasonable suspicion of an immediate threat to public health or safety.
Va. Code § 19.2-397. Refusal to permit authorized inspection; penalty.
Any person who willfully refuses to permit an inspection, testing or collection of samples for testing lawfully authorized by warrant issued pursuant to this chapter shall be guilty of a Class 3 misdemeanor.
A - 194 Virginia Department of Environmental Quality Hazardous Waste Program
Management of Automotive Airbags
March, 2016
Purpose
The purpose of this document is to provide compliance assistance to Virginia facilities that generate hazardous waste and how such hazardous waste should be managed to meet the requirements of the Virginia Hazardous Waste Management Regulations. The information in this document does not apply to persons generating household hazardous waste as defined in 40 CFR 261.4(b)(1).
This information is provided for compliance assistance purposes only by the Virginia Department of Environmental Quality (DEQ). This is not a regulation and, therefore, does not add, eliminate, or change any existing regulatory requirements. The statements in this document are intended for informational purposes only.
Discussion
Is an Undeployed Airbag a Hazardous waste?
Whether an undeployed airbag is a hazardous waste or not depends on its subsequent management. If it is intact and is to be reused/re-installed as a commercial product, then it would not be a “solid waste” by 40 CFR Part 261 definition and therefore, would not be considered a hazardous waste. This is conditional on legitimate re-use as intended as a product rather than it being abandoned, accumulated without intent of use, or otherwise managed in a waste-like manner.
Alternatively, if the metal components of the airbag are to be reclaimed, then the airbag may qualify as exempt hazardous waste scrap metal being sent for reclamation/recycling.
As such, it would be exempt from the hazardous waste management requirements.
In both scenarios above, the generator must be must be able to document that the material is not a waste, or is exempt from regulation (40 CFR 261.2(f)).
If the airbag is to be disposed of or otherwise managed as a “solid waste” per 40 CFR Part 261.2 definition, then it would likely be regulated as a hazardous waste due to the Reactivity characteristic (Waste Code D003). It would not be considered a listed hazardous waste due to
A - 195the presence of an azide chemical initiator because the azide is part of the product and does not meet the listing description, but the entire discarded product could be considered a
A - 196 Virginia Department of Environmental Quality Hazardous Waste Program
Management of Automotive Airbags
March, 2016
reactive characteristic waste under 40 CFR Part 261.23. In addition, since the airbag may contain potassium nitrate and other boosters that are oxidizers, the airbag could also be considered a hazardous waste due to meeting the characteristic of Ignitability (Waste Code D001).
If the air bags are managed as a waste and considered a characteristic hazardous waste, then all applicable provisions for hazardous waste management would apply. Specific hazardous waste management requirements will depend on the quantity of hazardous waste generated in a calendar month and the amount of hazardous waste accumulated onsite. For more hazardous waste information, go to the DEQ’s hazardous waste web page.
Is a Deployed Airbag a Hazardous Waste?
A deployed airbag would only be considered a hazardous if it continues to exhibit a hazardous waste characteristic (i.e., characteristic other than reactivity). It is up to the generator to determine if the deployed airbag is a hazardous waste. This determination can be made based on either testing or knowledge. If the deployed airbag is not a hazardous waste it can be disposed as solid waste or it can be sent for reclamation/recycle as scrap metal.
Is Deploying an Airbag considered “Treatment”?
If the air bag meets the definition of a solid waste and a reactive hazardous waste and will be sent for disposal, then intentionally deploying them as a means of rendering them less hazardous would be considered a treatment as defined under 40 CFR Part 260.10. Such treatment would only be allowable under a hazardous waste management facility permit.
Deployment while in a vehicle that is destined for recycling as scrap metal would be exempt as deployment could be considered part of the reclamation process. Likewise, airbag components that are deployed and recycled separately would also be exempt.
Deploying airbags canisters accidently or intentionally is not considered hazardous waste treatment subject to licensing if components of the airbag are recycled separately or with the vehicle. Once deployed, materials from the airbag module, such as scrap metal and plastic can be safely removed for reclamation.
A - 197 Virginia Department of Environmental Quality Hazardous Waste Program
Management of Automotive Airbags
March, 2016
Is a Deployed airbag considered a Solid Waste?
If the deployed airbag does not exhibit a characteristic of a hazardous waste, then it would require management as a solid waste when disposed. However, if applicable, it may be recycled or reclaimed as scrap metal.
What about Seatbelt Pretensioners?
Vehicles can also be equipped with seatbelt pretensioners which may contain sodium azide. The same information provided above for airbags may also apply to seatbelt pretensioners. Undeployed seatbelt pretensioners containing reactive propellants or oxidizers destined for disposal must be managed as a hazardous waste.
For More Information
Please contact the appropriate DEQ regional staff if you have any questions regarding applicability of these requirements to your facility.
A - 198 Virginia Department of Environmental Quality Mission Statement and Code of Ethics
Mission Statement
The Department of Environmental Quality (DEQ) protects and enhances Virginia’s environment, and promotes the health and well-being of the citizens of the Commonwealth.
Code of Ethics
As employees:
- We are committed to support each other and the mission and values of the Agency.
- We work together and with the community to accomplish our tasks.
- We apply laws and regulations and provide public services uniformly throughout the Commonwealth.
- We evaluate and solve problems professionally, courteously and responsively with citizens, the regulated community and our co-workers.
- We exchange information openly and freely with each other and with the public.
- We provide clear, accurate, and timely information and evaluation.
- We follow through to resolve issues effectively and on time.
These are the 7 values of DEQ.
In the conduct of our work, we will:
- Dedicate our efforts toward earning the respect, trust, and confidence of the public, elected and appointed officials, and those with whom we work.
- Commit to the highest ideals in the stewardship of the Commonwealth’s public and natural resources. 10. Exercise prudence and integrity in managing the Commonwealth's finances. 11. Use public resources only for appropriate public uses, never for personal gain. 12. Strive for professional excellence by maintaining and enhancing professional knowledge, skills, and abilities for ourselves and our colleagues. 13. Maintain and promote nonpartisanship in our professional dealings. 14. Act with integrity in all relationships. 15. Abide by Virginia's Standards of Conduct for Employees and related regulations. 16. Conduct all personal and professional activities in a manner that ensures they involve no conflict of interest. 17. Sign, subscribe to or permit issuance of information only if is accurate and truthful. 18. Conduct or condone activity only if it is legal and proper. 19. Hold ourselves accountable for adhering to this Code of Ethics.
A - 199 DEPARTMENT OF ENVIRONMENTAL QUALITY
AGENCY POLICY STATEMENT NO. 4-2014
SUBJECT: Prescription Safety Glass & Protective Footwear Equipment
EFFECTIVE DATE: Same as signature date
I PURPOSE:
Establish agency specifications for personal protective equipment pertaining to foot and eye protection, as well as establishing the allowable reimbursement amounts and frequency.
II. BACKGROUND:
DEQ has reimbursed employees for protective footwear and, in some cases, prescription safety glasses. This policy provides employees with a standard reimbursement amount while allowing
managers (with input from the safety officers) the flexibility to determine employee need.
III. STATEMENTS OF POLICY:
The purchase of any prescription safety glasses, lens, or face shields shall comply with the design and construction standards described in the current version of ANSI Z87.1 - "American National Standard Practice for Occupational and Educational Eye and Face Protection", which is
incorporated by reference as specified in 29 CFR 1910.6. Reimbursement for prescription safety glasses shall not exceed $125.00 and frequency shall not exceed more than once every two years.
Any new protective footwear purchase shall comply with ASTM's F 2412-11 Standard Test Methods for Foot Protection (which replaced ANSI Z41). Reimbursement for protective footwear is broken into two reimbursement levels with replacement based on a visual inspection by a safety officer and not to exceed more than once every two years.
Level 1: $125.00 for protective footwear with steel toes targeted for use by agency inspectors, lab and surface water monitoring staff, air quality monitoring staff, and PReP staff. Footwear that meets this level 1 should be stamped "steel toe" and shall meet the ASTM standard for impact resistance. Level 2: $175.00 for protective footwear with both steel toes and steel shanks targeted for use by site assessment and solid waste staff. Footwear that meets this level 2 should be stamped "steel toe" and/or "steel shank" and shall meet the ASTM standard both for impact resistance and puncture resistance.
Reimbursement for safety glasses and protective footwear will be provided when it has been determined that their use is required by OSHA and the use will reduce or eliminate the likelihood of occupational injuries and/or illnesses. Individuals requesting this equipment must be assigned to work in areas or programs that require the employee to use either safety glasses or protective footwear. For any other positions not named in this policy, the need for this equipment shall be determined by the manager and with input from a safety officer (based on that individual's outine duties and assignments where this equipment is needed).
This policy rescinds and replaces DEQ Agency Policy Statement No. 7-2005.
A - 200David. K. Pay or V Date
A - 201Your Provisional EPA ID Number Is:
Site Name:
Site Address:
Contact Name & Number:
Date Issued:
Expiration Date:
Virginia Department of Environmental Quality (DEQ) has provided for the issuance of provisional EPA ID numbers to hazardous waste generators in cases where a site does not normally generate hazardous waste and hold a permanent ID number, but has generated hazardous waste due to some unusual circumstance, when an emergency situation arises that necessitates the expedient management of a hazardous waste, or where the waste generation activity is temporary and of short duration, such as a specific job or contract activity. DEQ's compliance assistance policy on provisional EPA ID numbers may be found on our website at: http://www.deq.virginia.gov/Portals/0/DEQ/Land/issuanceofprovisionalEPAIDnumbers.p df
The following lists the conditions for use of the provisional EPA ID number you have been assigned. Failure to comply with the conditions may impact future attempts to obtain a provisional EPA ID number, require assignment of a permanent EPA ID number to the subject site, and/or may result in enforcement action. If you have questions, please contact your DEQ regional office identified on the DEQ website at: http://www.deq.virginia.gov/Locations.aspx
CONDITIONS FOR USE OF THE PROVISIONAL EPA ID NUMBER
- The provisional EPA ID number is being issued based on information provided in the RCRA SUBTITLE C SITE IDENTIFICATION FORM (EPA Form 8700-12).
The form and instructions for completing the form may be found on DEQ’s Internet website at: http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/SolidHazardou s WasteRegulatoryPrograms/HazardousWaste.aspx.
- The provisional EPA ID number issued on this date is a temporary number. It is DEQ's position that these numbers expire thirty (30) days from the date of issue and may be used on manifests up to two times within that 30-day period for the same waste generation event. If additional time becomes necessary, the generator can request one extension to the 30-day period. Should the activity take longer than 60 days, the generator will need to obtain a permanent EPA ID number for the site. This number will be deactivated at the end of the generation event.
A - 2023. If a generator will be routinely generating hazardous waste at a fixed site on a regular or even episodic basis, a temporary number may not be used and the generator must obtain a permanent EPA ID number.
A - 203NOTE: A Large Quantity Generator (LQG) is any generator who generates greater than 1,000 kg (approx. 2,200 lbs.) of hazardous waste or greater than 1 kg of acute hazardous waste in any calendar month. A Small Quantity Generator (SQG) generates between 100-1,000 kg/month (220 - 2,200 lbs.) of hazardous waste or less than 1kg of acute hazardous waste. A Conditionally Exempt Small Quantity Generator Quantity (CESQG) generates less than 100 kg/month (<220 lbs.) hazardous waste.
A chart summarizing the generator requirements for LQGs and SQGs is attached.
REQUIREMENTS FOR LARGE QUANTITY GENERATORS (LQG) In addition to complying with the RCRA generator accumulation requirements found in the Virginia Hazardous Waste Management Regulations (VHWMR), a generator of more than 1000 kg of hazardous waste or more than 1kg of acute hazardous waste in any calendar month of the year may be subject to an annual fee as provided under 9 VAC 20-60-262 B.8 of the
VHWMR.
Please note, an LQG or SQG must continue to comply with the applicable generator requirements from the commencement of the generating activity, through the last shipment of waste from the provisional event to an off-site TSD.
- Please complete the attached sheet related to the LQG Annual Fee and send it to DEQ within 30 days of expiration of temporary number. If the original provisional EPA ID number request specifies that the generator will be a SQG, a person who becomes a LQG (after receiving the provisional EPA I.D. number) shall notify the department in writing immediately of this change in status and document the change in the operating record. Any person that applies for a provisional EPA ID number as a LQG who ceases to be a LQG shall notify the department in writing immediately of this change in status and document the change in the operating record as specified by 9VAC20-60-315.D.
- A person who is a LQG at any time during the calendar year shall be assessed an annual fee of $1000. For the evaluation of facility status or of generator status, the annual year shall be considered to be from January 1 to December 31. Please note, if hazardous waste from a single provisional EPA ID event starts in one calendar year and is completed in the next, the responsibility will be on the generator to show that the hazardous waste was generated in one or both of the calendar years. Generators requiring a provisional EPA ID number for managing waste under the conditions of 9VAC 20-60-1283.F (emergency removal under official authority) are not subject to the fee. The fees regulations are available on the DEQ website at: http://www.deq.virginia.gov/Portals/0/DEQ/Land/Guidance/dhwfr.pdf
LQGs may pay the annual fee to the DEQ upon receiving the provisional EPA ID number. If the department does not receive the payment prior to the annual billing period, the department will bill the generator for amounts due or becoming due in the immediate future. All payments are due and shall be received by the department no later than the first day of October (for the preceding annual year) unless a later
A - 204 payment date is specified by the department in writing as per 9VAC20-60-1284.A.
Please be advised that if the invoice was received but not paid, you may be subject to a late penalty.
A LQG shall submit a transmittal letter to the DEQ which shall contain the name and address of the generator, the Federal Identification Number (FIN) for the generator, the amount of the payment enclosed, and the period that the payment covers. With the transmittal letter shall be payment in full for the correct fees due for the annual period. A copy of the transmittal letter only shall be maintained at the facility or the site where the hazardous waste was generated. Fees shall be paid by check, draft or postal money order made payable to "Treasurer of Virginia" and shall be sent to:
Department of Environmental Quality
Attn: Accounts Receivable
P.O. Box 1104
Richmond, VA 23218 (as specified by 9VAC20-60-1284.B.)
- Any person who is a LQG during an odd numbered year (i.e., 2017, 2019, or 2021, etc.), is subject to the biennial hazardous waste reporting requirement as specified
A - 205by 40 CFR 262.40. Additional information about the hazardous waste report is available at: https://www.epa.gov/hwgenerators/biennial-hazardous-waste-report
A - 206Hazardous Waste Generator Status for Annual Fee
Please fill out the following form and return to the DEQ within 30 days after expiration of the provisional EPA ID number. Copies of manifests used to ship the provisionally-generated hazardous waste to a TSD should be provided along with this completed form.
Attention: Sanjay Thirunagari
Department of Environmental Quality P. O. Box 1105
Richmond, VA 23218
(Facility Name and EPA ID number)
Operated under the generator status of _________________________ during calendar
(LQG, SQG, CESQG, Non-generator)
Year .
EPA Form 8700-12 Submitted on: _______________________________
Waste generated: Start date: _________ End date: ________________
Total amount of waste generated from this event (lbs): ______________ Largest amount of waste generated in any month of the provisional event:
Facility billing contact person and billing address is as follows:
Billing contact name: ______ Billing contact phone number:
E-mail ID: _______________ Address:
A - 207All LQGs are billed an annual fee of $1000.00 per calendar year.
Prepared: 7/20/2017
A - 208 Summary Table – HW Generator Requirements
Requirement Conditionally Exempt Small Small Quantity Large Quantity Quantity Generators Generators Generators
Quantity Limits ≤100 kg/month, and >100 and <1,000 ≥1,000 kg/month, or >1 kg/month kg/month of acute The amount of hazardous ≤1 kg/month of acute hazardous waste, or waste generated per month >100 kg/month of acute hazardous waste, and categorized and what spill residue or soil regulations must be ≤100 kg/month of acute spill complied with. 262.34(d) 262.34(a) residue or soil EPA ID Number Not Required Required Required
identification number that identifies generators by site. 262.12 262.12 On-Site Accumulation ≤ 1,000 kg to remain a CESQG ≤ 6,000 kg No Limit Quantity ≤ 1 kg acute to remain a CESQG Determine amount of hazardous waste generators ≤ 100 kg of acute spill residue are allowed to "accumulate" or soil to remain a CESQG 262.34(d)(1) Accumulation Time Limits Time starts when/if a CESQG ≤180 days or ≤90 days Determine amount of time accumulates greater than ≤270 days (if transporting hazardous waste is allowed to 1,000 kg (approx.. five full 55-accumulate on site. gallon drums) – CESQG is greater than 200 miles) then an SQG 262.34(a) Accumulation Requirements None Basic requirements with Full compliance for Manage hazardous waste in technical standards for management of compliance with certain containers, tanks, drip containers, tanks, drip technical standards. pads or containment pads or containment buildings buildings
262.34(d)(2) and (3) 262.34(a) Personnel Training Not required Required Required
Ensure appropriate
personnel complete classroom or on-the-job training to become familiar with proper hazardous waste management and emergency procedures for 262.34(d)(5)(iii) 265.16 from 262.34(a)(4) the wastes handled at the Contingency Plan and Not required Basic planning required Full plan required Emergency Procedures Develop procedures to follow during an unplanned major event. 262.34(d)(5)(i-iv) Part 265 Subpart D Preparedness and Prevention Not required Required Required Develop procedures to follow in the event of an emergency. Part 265 Subpart C Part 265 Subpart C
A - 209Air Emissions Control Not required Not required Required hazardous air emissions from tanks and Part 265 Subparts AA, BB containers and CC Land Disposal Restrictions Not required Required Required Meet standards for placing on the land and associated requirements for certifications, notifications, and waste analysis plan. Part 268 Part 268 Manifest Not required Required Required
Tracking hazardous waste
copy manifest - required by the Department of Transportation (DOT) and EPA Part 262 Subpart B Part 262 Subpart B Waste Minimization None Good faith effort required Program in place required Certify steps taken to reduce or eliminate the generation of 262.27 262.27
Pre-Transport Requirements Only if required by the DOT or Required Required Package and label hazardous the state waste for shipment off site to a RCRA facility for treatment, storage, or disposal 262.30 – 262.33 262.30 – 262.33 Biennial Report Not required Not Required Required
d f ffshipments of waste during the previous calendar year 262.41 Exception and Additional Not required Required Required Reporting
Report if any required copies of signed manifests are not received back -Provide information on quantities and disposition of wastes upon 262.42(b) and 262.43 262.42 and 262.43 Recordkeeping Not required Required Required
d f fbiennial reports, exception reports and waste testing 262.40(a), (c) and (d) 262.40 Facility Type Send off- Facilities noted in 261.5(f)(3) RCRA permitted/interim RCRA permitted/interim site shipments to and (g)(3) status facility status facility appropriate facilities for management Parts 264/265, 266/267 Parts 264/265, 266/267 Closure Not required Tanks only - General 265.11(a) and 265.114 Close equipment, structures, soils and units by meeting - Unit specific Part 265, specified performance 265.201(f) Subparts I, J, W and DD standards and disposal and d
A - 210 DEQ Safety Manual
[LAST UPDATED: Feb. 10, 2016]
This document contains general information designed to promote safety both in the office and in the field for DEQ Employees. More specific information may also be provided within the Standard Operating Procedures for field staff in air, water, and land protection.
Topics are presented alphabetically and not in order of importance or significance. Within most sections are links which may provide more details for an agency policy or the applicable OSHA citations.
A - 211 Table of Contents
Accident Reporting Procedure _____________________________________________________ 3
Chemical Safety (General) _________________________________________________________ 3
Confined Space Program __________________________________________________________ 4
Emergency Action Plan ___________________________________________________________ 5
Fire Prevention Program __________________________________________________________ 5
First Aid/CPR Program ___________________________________________________________ 6
First Aid Kits _________________________________________________________________________ 6
Records ____________________________________________________________________________ 6
Flammable Liquids ______________________________________________________________ 7
Hazard Communication 7
Non-Routine Tasks ____________________________________________________________________ 7
HAZWOPER 8
Infection / Exposure Control Plan ___________________________________________________ 8
Medical Surveillance / Accidental Exposure ___________________________________________ 9
Personal Protection Equipment (PPE) ________________________________________________ 9
ANSI Vests _________________________________________________________________________ 10
Eye and Face Protection ______________________________________________________________ 10
Foot Protection _____________________________________________________________________ 10
Hand Protection ____________________________________________________________________ 11
Head Protection ____________________________________________________________________ 11
Respiratory Protection Program ___________________________________________________ 11
Vehicle Safety _________________________________________________________________ 12
Roadside Safety _____________________________________________________________________ 12
Red Light Policy _____________________________________________________________________ 12
Water Safety Program __________________________________________________________ 13
Workplace Security _____________________________________________________________ 13
A - 212Physical Access _____________________________________________________________________ 13
A - 213ACCIDENT REPORTING PROCEDURE
This procedure details steps for staff to follow should any incident, injury, or accident occur at work. It also outlines roles and responsibilities. The Accident Reporting Procedure facilitates documentation of all accidents and incidents in compliance with OSHA standards, and it helps to protect employees’ personal safety and identify areas of improvement.
DEQ’s Accident Reporting procedure can be found on the DEQnet - Health & Safety Policy page
CHEMICAL SAFETY (GENERAL)
The following general safety rules shall be observed when working with any chemical:
Read and understand the Material Safety Data Sheets (MSDS). Keep the work area clean and orderly. Use the necessary safety equipment. Carefully label every container with the identity of its contents and appropriate hazard warnings. Store incompatible chemicals in separate areas. Substitute less toxic materials whenever possible. Limit the volume of volatile or flammable material to the minimum needed for short operational periods. Provide containment for the material if equipment or containers should break or spill their contents. Dial “911” for immediate emergency medical help when an exposure or injury has occurred
Task Evaluation (Hazard Assessment)
Each task that requires the use of chemicals should be evaluated to determine the potential hazards associated with the work. This assessment must include the chemical or combination of chemicals that will be used in the work, as well as other materials that will be used near the work. If an equipment failure has the potential to cause personal or property damage, a Safe Operational Procedure should be prepared and followed. All SOP’s should be reviewed/approved by the respective Office location.
Chemical or Sample Storage
The separation of samples or chemicals during storage is necessary to reduce the possibility of unwanted hazards to employees. Samples or chemicals must not be stored in any refrigerator used for food storage, and a label must be clearly placed on refrigerators used for storing samples or chemicals.
Container Labels
It is extremely important that all containers of chemicals are properly labeled. The following requirements apply:
All containers will have the appropriate label, tag, or marking prominently displayed that indicates the identity, safety, and health hazards. All warning labels, tags, etc., must be maintained in a legible condition and not be defaced. Incoming chemicals are to be checked for proper labeling.
Incidental Spills
Evacuate all un-necessary employees from the immediate area Stop or control the release of the substance by utilizing approved methods Take necessary precautions to protect yourself and others that may be helping (use appropriate PPE).
A - 214 Clean up the spill by approved methods. Hazard Communication rules as outlined in this Safety Manual will be followed during any incidental spill and clean up.
A - 215 Store waste materials properly until they can be released for pickup and disposal.
Chemical Emergencies
Evacuate people from the facility or the immediate area. Isolate the area around the spill, setting up zones or control areas. If the material is flammable, turn off all ignition and heat sources. Only personnel specifically trained are permitted to participate in chemical emergency procedures beyond those required to evacuate the area.
Call for Emergency Response Team (HAZMAT) assistance if required.
Housekeeping
When using chemicals care must be taken in disposal to minimize the generation of hazardous waste. Maintain the smallest possible inventory of chemicals to meet immediate needs. Periodically review stock of chemicals on hand. Dispose of obsolete or out-of-date chemicals properly. Ensure that storage areas, or equipment containing large quantities of chemicals, are secure from accidental spills.
Rinse emptied bottles that contain acids or inflammable solvents before disposal. Recycle unused laboratory chemicals wherever possible. o Do not place hazardous chemicals in salvage or garbage receptacles. o Do not pour chemicals onto the ground. o Do not dispose of chemicals through the storm drain system. o Do not dispose of highly toxic, malodorous chemicals down sinks or sewer drains.
CONFINED SPACE PROGRAM
Only employees from DEQ’s Charlottesville office have job specific duties and training needs associated with confined space entry. No other employees are permitted to enter a confined space without proper training.
The Confined Space Program details safety guidelines and instructions for the safe entry into all confined spaces.
All confined spaces within the operational parameters of DEQ are to be handled as permit required confined spaces and afforded all of the regulatory guidelines. All employees working in the field must be fully aware of the hazards associated with confined spaces and of the hazards associated when entry into those confined spaces must be done.
Employee’s should have the knowledge for the potential to exposure to hazardous atmospheres, engulfment in materials, conditions which may trap or asphyxiate due to converging or sloping walls, or contains any other recognized safety or health hazard.
Further information regarding confined spaces can be downloaded or reviewed from the OSHA Website.
A - 216EMERGENCY ACTION PLAN
The Emergency Action Plan (EAP) has been developed to address emergency safety situations and Agency physical security policies and procedures.
During emergency situations the ability to communicate with staff is vitally important:
Each office should have an updated after hours contact list. Each supervisor is responsible for keeping a copy of staff contact information for use after hours.
Each employee is responsible for keeping their calendar current and for sharing their schedules with their immediate supervisor.
DEQ’s Emergency Action Plan specifically addresses:
How to evacuate the facility in the event of an emergency. How to Shelter-in-Place in the event of a natural or man-made emergency, or terrorist event.
Procedures to follow in case of a medical emergency. Communication of the day-to-day security measures to affected agency staff. Employee and visitor control system. Security within the office facility.
Security and safety while in the field. Identification and assessment of risks.
The EAP does not detail how DEQ will conduct its continuous business operations during any short or long term emergency. That information is contained in a separate Continuity of Operations Plan (COOP).
DEQ’s Emergency Crisis Plan can be found on the DEQnet - Health & Safety Policy page
FIRE PREVENTION PROGRAM
Reviews of all offices, structures and buildings are completed to ensure compliance with applicable state, local, and national fire and life safety standards. The information outlined below is in addition to specific information pertaining to fires and evacuation plans found in the Emergency Action Plan on the DEQnet - Health & Safety Policy page.
Housekeeping plays an important part in the prevention of fires at work. Consideration for the storage of files and paperwork held within each office and on each floor must be done to control the potential for a fire hazard. Storage of flammable and combustible materials must be considered prior to purchase/storage. Special cabinets which are constructed, tested and approved by Underwriters Laboratories (UL) should be used when storing any flammable or combustible material. The elimination of all potential ignition sources must be done where flammable or combustible liquids are used or stored.
A - 217Fire Extinguishers
Installation of portable fire extinguishers is required in workplaces regardless of other firefighting measures. In office locations, building management is responsible for ensuring fire extinguishers are maintained. In boats, vehicles, and field locations, DEQ staff is responsible for ensuring they are maintained. The fire extinguishers that are currently located in our facilities are classified as a general type A-B-C fire extinguisher that can be used on any type of fire. Employees should not attempt to extinguish any fire unless it is: small, self-contained; presents no apparent risk to their personal safety; and the employee has received proper fire extinguisher training. OSHA provides additional information regarding fire extinguishers.
Fire Alarms
In the event of a fire emergency, a fire alarm will sound for the building. All personnel will immediately proceed to the nearest exit and begin exiting the building, following the prescribed evacuation plan (see below) and gather at the assembly area for verification and head-counting. During any evacuation all DEQ employees shall respond in a professional demeanor and conduct themselves accordingly.
Emergency Exits
Every exit should be clearly visible, or the route to it conspicuously identified in such a manner that every occupant of the building readily knows the direction of escape from any point. At no time will exits be blocked with materials, files, boxes or anything that will hinder the free egress from the building
Evacuation Routes, Plans, and Coordinators
Emergency evacuation procedures for each DEQ facility specific are outlined in the Emergency Action Plan.
These procedures also outline roles and responsibilities for Central Office Floor Wardens and Regional Safety Officers, and also outline plans for people with disabilities.
FIRST AID/CPR PROGRAM
This program provides detailed guidelines and instructions for the administration of emergency first aid, cardiopulmonary resuscitation, and infectious disease. As referenced in the Occupational Safety and Health Administration (OSHA) 29 CFR 1910.151 and 29 CFR 1910.1030.
Each office location includes a first aid instructor who trains staff in the location on the use of AED equipment, CPR methods and First Aid. . Each location should maintain an adequate amount of first aid supplies for emergency incidents.
First Aid Kits
First-aid kit(s) for employee use will be maintained in every office and located so as to allow quick and easy access in the event of any medical emergency. First aid kits shall be readily accessible and their required contents are to be maintained in a serviceable condition. All items which must be kept sterile must be individually wrapped and sealed. Items such as scissors, tweezers, tubes of ointments with caps, or rolls of adhesive tape, need not be individually wrapped, sealed, or disposed of after a single use or application.
Records
The treatment of all emergency first aid shall be recorded and shall become permanent records for each employee. Records will be filled out for all of the following:
All incidents requiring first aid provided by the first aid provider with the exception of minor cuts, comfort care and similar minor incidents.
A - 218 All accidents that result in any type of reportable employee injury All occupational illnesses of any employee All occupational exposures of any employee
A - 219 Prior to referral to any medical provider
Confidentiality
A record of all first aid and medical events shall be kept in a separate file for each person (VSDP, WC, and benefits) and shall not be released to third parties without written authorization by the employee involved or as authorized by Virginia law.
FLAMMABLE LIQUIDS
Substitution
Flammable liquids sometimes may be substituted by relatively safe materials in order to reduce the risk of fires. Any substituted material should be stable and nontoxic and should either be nonflammable or have a high flashpoint.
Storage & Usage of Flammable Liquids
Flammable and combustible liquids require careful handling at all times. The proper storage of flammable liquids within a work area is very important in order to protect personnel from fire and other safety and health hazards. OSHA has a standard specific to flammable and combustible liquids.
HAZARD COMMUNICATION
DEQ’s Hazard Communication Program (HAZCOM) has been developed based on the OSHA Hazard Communication Standard. The program consists of the following elements:
Identification of hazardous materials Product warning labels & Material Safety Data Sheets (MSDS) for office chemicals List/inventory of all chemicals located in building, along w/ the area or office number where stored Training requirements: o Any DEQ staff or visitors (i.e. Office of Operator Training) working in the laboratory setting must complete the online training course available in the DEQ KC, o Any DEQ staff or visitors working in the laboratory setting must also be trained by the responsible/designated chemical hygiene officer (CHO) in the following: Location of Material Safety Data Sheets (MSDS) for all laboratory chemicals Chemical Hygiene Plan (includes an inventory of all chemicals stored in the lab)
- Note: The Chemical Hygiene Plan and the CHO responsibility referenced above is still in draft format. Until this plan is implemented, the employee’s supervisor or other appropriate individual should continue to conduct MSDS training for relevant staff.
Non-Routine Tasks
Non-routine tasks are defined as:
Working on, near, or with unlabeled containers or piping of an unknown substance.
A - 220 A confined space entry where a hazardous substance may be present (Note: only employees trained in confined space entry are authorized to enter a confined space). A one-time task using a hazardous substance differently than intended (example: using a solvent to remove stains from tile floors).
Steps for Non-Routine Tasks
Step 1: Hazard Determination The Regional Director and/or staff supervisor will evaluate all non-routine tasks before the task commences and make a determination of all hazards present. This determination will be conducted with quantitative/qualitative analysis (for example: air sampling, substance identification/analysis as applicable).
Step 2: Determine Precautions Once the hazard determination has been made, the Regional Director and/or supervisor will determine the necessary precautions needed to either remove the hazard, change to a non-hazard, or protect from the hazard (by use of personal protective equipment) to safeguard all employees present.
Step 3: Specific Training & Documentation If specific safety training for an employee or employees is needed, contact the Office of Training Services.
Step 4: Perform Task
HAZWOPER
DEQ personnel who engage in normal duties that involve inspections, permitting, and the response to investigation of spills, leaks, or releases of any hazardous substance or toxic chemical shall be trained under the Hazardous Waste Operations and Emergency Response (HAZWOPER) policy based upon their respective responsibilities and/or duties of employment. Further details on DEQ’s HAZWOPER program and policy provisions can be found on the DEQnet - Health & Safety Policy page.
INFECTION / EXPOSURE CONTROL PLAN
DEQ staff are not subject to the applicable terms/sections pertaining to blood borne pathogens (this includes regulated medical waste and solid waste staff involved in inspections).
However, employees associated with wastewater inspections may be occupationally exposed to other potentially infectious materials by one or more of the following routes (1) skin, (2) eye, (3) mucous membrane, and (4) oral exposure. “OSHA does not generally consider contact with diluted raw sewage not originating directly from a health care facility or other source of bulk blood or OPIM to be covered by the Blood borne Pathogens Standard”
OSHA, (2007)
In order to prevent contact with blood or any other potentially infectious materials DEQ Staff are expected to wear appropriate Personal Protective Equipment (PPE).
Gloves: gloves shall be worn when the employee has the potential for the hands to have direct skin contact with blood, other potentially infectious material, mucous membranes, non-
A - 221 intact skin, and when handling items or surfaces soiled with blood or other potentially infectious materials. o Disposable (single use) gloves, such as surgical or examination gloves shall be replaced as soon as possible when visibly soiled, torn, punctured, or when their ability to function as a barrier is compromised. They shall not be washed or disinfected for re-use. o Utility gloves may be disinfected for re-use if the integrity of the glove is not compromised, however they must be discarded if they are cracked, peeling, discolored, torn, punctured, or exhibit other sign of deterioration. Masks and eye protection or chin-length face shields: shall be worn whenever splashes, spray, spatter, droplets, or aerosols of blood or other potentially infectious materials may be generated and there is a potential for eye, nose, or mouth contamination.
Staff are also encouraged to utilize free immunizations for Hepatitis and Tetanus (which are offered as part of the state’s annual wellness visit).
Labels
(a) Warning labels shall be affixed to containers of infectious waste; refrigerators and freezers containing any potentially infectious materials; and other containers used to store or transport any potentially contaminated materials except as provided in paragraph (e) below.
(b) Labels shall include the following legend BIOHAZARD
(c) Labels shall be fluorescent orange or orange-red with letters or symbols in a contrasting color.
(d) Labels shall either be an integral part of the container or shall be affixed as close as safely possible to the container by string, wire, adhesive or other method that prevents their loss or unintentional removal.
(e) Red tags or red containers may be substituted for labels on containers of
infectious waste. Infectious Waste Disposal
All infectious waste destined for disposal shall be placed in closeable, leak proof containers or bags that are color coded or labeled. Disposal of all infectious waste shall be in accordance with all local, state and federal regulations.
MEDICAL SURVEILLANCE / ACCIDENTAL EXPOSURE
Only employees in the VA Site Assessment Program- site assessment team require baseline and annual medical monitoring. Specific requirements for medical surveillance can be found at the OSHA Website.
Enrollment Criteria
A - 222There are two circumstances under which an employee can be eligible for medical monitoring.
- If required by a grant commitment.
- If the employee receives a significant exposure to a hazard for which continued surveillance is required. (This would be considered a Post Exposure Examination).
Enrollment Procedures
For enrollment criteria #1 – the program manager will coordinate with Office of Training Services to verify the employee has a current OSHA 40 hour HAZWOPER certification and upon verification, will contact Office of Human Resources for cost coding and which medical office will perform the evaluation.
For enrollment criteria #2 – if the employee has received a significant/overt exposure where medical attention is necessary, the employee will seek medical attention and notify the immediate supervisor as soon as possible. The immediate supervisor will notify Office of Human Resources/Regional or Division Director during routine business hours
Workers Compensation (WC) Examination
Medical examinations, re-examinations, and treatment (if necessary) for any significant exposure shall be provided under DEQ's Workers Compensation Policy 2-5, when an employee reports an injury or illness due to an occupational exposure. As with any occupational injury or illness, the employee will complete the Employee's First Report of Injury Form and the Office of Human Resources will file the form with the Virginia Workers Compensation Commission. Please see the following link for the Agency’s Return to Work Policy No. 2-7.
PERSONAL PROTECTION EQUIPMENT (PPE)
This program covers the requirements for PPE with the exception of PPE used for respiratory protection or PPE required for hazardous material (HAZMAT) response to spills or releases, which are covered under separate programs. Further information may be downloaded or copied from the OSHA website.
General Policy
Engineering controls shall be the primary method used to eliminate or minimize hazard exposures in every workplace. When such controls are being implemented, or are not practical or applicable, PPE shall be employed to reduce or eliminate personnel exposure to hazards. PPE will be provided, used, and maintained when it has been determined that its use is required and that such use will lessen the likelihood of occupational injuries and/or illnesses.
Design
All PPE will be of safe design and construction for the work to be performed. Only PPE that meet National Institute of Occupational Safety and Health (NIOSH) or American National Standards Institute (ANSI) standards will be procured or accepted for use.
Hazard Assessment and Equipment Selection
A - 223 Hazard analysis procedures shall be used to assess the workplace to determine if hazards are present, or are likely to be present, which necessitate the use of PPE. If such hazards are present, or likely to be present, the following actions will be taken:
Select, and have each affected employee use, the proper PPE
Communicate selection decisions to each affected employee Select PPE that properly fits each affected employee.
Defective and Damaged Equipment
Defective or damaged PPE shall not be used.
Training
All employees who are required to use PPE shall be trained to the following OSHA Standard.
ANSI Vests
Any staff performing a DEQ activity in the right of way of a public roadway shall wear ANSI 107-2010 class 3 compliant garments. Examples of DEQ activity include (but are not limited to): PReP, accessing monitoring stations, unloading equipment, collecting samples, or any type of inspection.
Eye and Face Protection1
The majority of occupational eye injuries can be prevented by the use of suitable/approved safety spectacles, goggles, or shields. Approved eye and face protection shall be worn when there is a reasonable possibility of personal injury. Additional information may be accessed from the OSHA website
Foot Protection2
Each affected employee shall wear protective footwear when working in areas where there is a danger of foot
injuries due to falling or rolling objects, or objects piercing the sole, and where the employee's feet may be exposed to any other hazard. Additional information may be accessed from the OSHA website.
1 The Prescription Safety Glass & Protective Footwear Equipment policy provides agency employees with a standard (Z87.1) which states a reimbursement level for personal protective equipment while allowing managers the flexibility to determine an employee’s specific need.
2 IBID
Hand Protection
Hand protection is required when an employee' hands are exposed to hazards such as those from skin absorption of harmful substances; severe cuts or lacerations; severe abrasions; punctures; chemical burns; thermal burns; and harmful temperature extremes.
A - 224 Skin contact is a potential source of exposure to toxic materials; it is important that the proper steps be taken to prevent such contact. Gloves should be selected on the basis of the material being handled, the particular hazard involved, and their suitability for the operation being conducted. One type of glove will not work in all situations.
Most accidents involving hands and arms can be classified under four main hazard categories: chemicals, abrasions, cutting, and heat. Specialty gloves protect workers from any of these individual hazards or combination of hazards. Additional information may be accessed from the OSHA website.
Head Protection
Head protection will be furnished to all employees engaged in any work where there is a hazard for falling objects or bumping the head against any structure or object. Head protection will also be required to be worn by engineers, inspectors, and visitors at all construction sites. Additional information may be accessed from the OSHA website.
A hard hat doesn't have to be replaced unless it is cracked, damaged, etc. If the suspension harness inside is damaged/cut/frayed, that should be replaced. All hard hats must be labeled as meeting ANSI Z89.1 (1997 or more recent) standards and also include the type, class, & manufacturer’s date. See link at: head protection publication
RESPIRATORY PROTECTION PROGRAM
The need for hazard assessments and selection of proper respiratory protective equipment (RPE) is limited specifically, to two programs: Site Assessment and CAFO.
DEQ does not allow employees to enter into any area with a hazardous or toxic atmosphere until the area has been secured and positive documentation showing that the dangerous atmosphere has been corrected and is now safe for entry. DEQ’s goal is the control of employee exposure to those occupational diseases caused by breathing air contaminated with harmful dusts, fogs, fumes, mists, gases, smokes, sprays, or vapors.
Employees working in the field and/or on remote locations not under strict environmental control by DEQ shall minimize their potential to all exposures by withdrawing from the immediate area when in their opinion there is a likelihood of exposure to any harmful air contamination.
Employees shall not re-enter the area until proper atmospheric testing has been completed with approved documentation and the area has been cleared of any hazardous contents and is safe for human entry.
Full face respirators must meet ANSI Z87.1-2003 (or the current version enforced by OSHA) standards. Additional information may be accessed from the OSHA website
Record Keeping
The Agency will retain all documentation regarding medical evaluations, fit testing, and the respirator program for employment period + thirty years. This information will facilitate employee involvement in the respirator program; assist the Agency in auditing the adequacy and effectiveness
A - 225 of this program, and provide a record of compliance with regard to Federal and State Occupational Safety and Health Standards.
Training and Information Any employee who uses a respirator in the workplace shall receive appropriate training on the device.
Before using a respirator in the performance of an official duty, it shall be the responsibility of any employee who receives training and/or fit testing by an outside agency (such as USDA or EPA) to provide DEQ HR with the fit test records and record of the medical evaluation [to satisfy 29 CFR 1910.1020].
Physical and Medical Qualifications
Records of medical evaluations must be retained and made available in accordance with 29 CFR 1910.1020. Additional information regarding the specific requirements for medical evaluations and their retention are located at the OSHA website.
Respirator Fit Testing
Before any employee is authorized to use any type of respirator with a positive or negative pressure tightfitting face piece, that employee must be fit tested with the same make, model, style, and size of respirator that will be used.
DEQ shall ensure that an employee using a tight-fitting face piece respirator is fit tested prior to initial use of the respirator, whenever a different respirator face piece (size, style, model or make) is used, and at least annually thereafter Additional fit tests will be conducted whenever the employee reports, or the agency, physician, supervisor, or program administrator makes visual observations of, changes in the employee's physical condition that could affect respirator fit. Such conditions include, but are not limited to, facial scarring, dental changes, cosmetic surgery, or an obvious change in body weight.
Fit test records shall be retained for respirator users until the next fit test is administered, these records shall be maintained by the program supervisor for a period of five years, and made available to the affected employee upon his/her written request.
Additional information on respirators and fit test requirements as stated in 29 CFR 1910.134 can be found at the OSHA website.
VEHICLE SAFETY
General Vehicle Policy
The Commonwealth’s Vehicle Safety policy outline specific policy provisions, procedures, and safety guidelines for staff to follow when driving a state-owned or leased vehicle. In addition to adhering to policy, all classified and wage employees who use a state-owned vehicle must complete the DGS/Fleet Driver Safety online course, available in the DEQ KC.
Roadside Safety
A - 226DEQs staff and vehicles maybe involved in state-required environmental activities. Any DEQ staff working in the Virginia Department of Transportation right of way must adhere to the current version of the document: Temporary Traffic Control Plan for VADEQ employees.
Red Light Policy
This program outlines safe operation requirements for agency owned or leased vehicles during responses to spills or releases of hazardous materials or toxic substances by the Office of Spill Response and Remediation Pollution Response Program (PReP).
All PReP responders upon completion of training shall be authorized to use the red-light during a non-emergency response to an environmental incident for the sole purpose of moving through congested traffic as caused by the environmental incident.
DEQ vehicles shall not be operated as “emergency vehicles” during the response to any incident. An “Emergency Vehicle” is defined by the code is any Federal, State and local law enforcement vehicles, any Fire/Rescue/Ambulance Vehicle, Department of Emergency Management, Office of Emergency Medical Services, and the Department of Corrections.
No other DEQ employees without the training are authorized to use the red-lights.
For detailed information see Red Lights and You on the DEQnet - Health & Safety Policy page.
WATER SAFETY PROGRAM
For detailed information about Water Safety, please see Procedures and Guidelines for Boating Operations and Water Safety (BoWS).
WORKPLACE SECURITY
General Philosophy
DEQ is committed to maintaining a safe, healthful, and efficient working environment where employees and customers are free from the threat of violence regardless of the source or type.
Specific workplace security plans cover all areas under the DEQ’s control. Specific plans include but are not limited to Central Office and each Regional Office. DEQ protects from fire, theft, or other property damage by use of an electronic access control system, burglar/fire alarm system, as well as guidelines for employee behavior and precautions.
Physical Access
All DEQ employees should wear and display their Identification Badge at all times. Building security access cards and employee Identification cards for all employees (full-time, part-time, and temporary) will be issued on the first day of employment. Employees should contact HRO if their ID card is lost, stolen, or their name changes, and the General Services Manager (or Regional Office Manager) if they have questions about their building access cards.
The General Services Manager is responsible for:
A - 227 Issuing security access cards to new employees and collecting cards from exiting employees, or deactivating access cards if not returned. Monitoring security activity on the security activity reports. Replacing lost or defective access cards.
Employees must notify the General Service Manager or Regional Office Manager if a security access card is
lost or stolen, so that the original card will be deactivated and a new card issued. Fellow employees may open the door from the inside for employees who cannot open the door with their access card.
The following procedure is to be followed for employees to allow visitors access to a DEQ building:
All non-employees must check in with the main receptionist so that the employee(s) can be notified of their presence. All non-employees must fill out and wear a temporary ID badge while in the building. An employee will meet their guest in the reception area and escort them until they leave the building If a non-employee is seen without an ID badge and/or escort the Regional Office Manager or General Services manager should be notified immediately. All non-employees must return their temporary ID badge to the receptionist and sign out when leaving the building.
See the Emergency Action Plan for further information about DEQ’s Visitor Control System.
A - 228 Appendix 7
Resources and Tools for Inspectors
Useful Links
- Acknowledgement of Receipt of Health & Safety Plan
- Checklist to Determine Product Vs. Waste
- Citation Format in NOVs/Orders
- CME Codes & Definitions
- DEQ Hazardous Waste Expert Listing
- DEQ Program Contacts
- ECHO and ECHO Registration
- EPA Expert Listing
- HW Questions for Site Investigations 10. Hazardous Waste Storage Incompatibility Chart 11. HW 45-Day Memo to File 12. Inspection Decision Flow Chart 13. Inventory of Accumulation Locations 14. Photo Documentation Template 15. Provisional EPA ID # Guidance 16. RCRARep Info 17. RCRA Section 3007 18. RCRAInfo Form – Blank 19. RCRARep Info 20. SAA vs Subpart K for Labs 21. Summary Chart UW Regs 22. Synopsis of Paperwork Requirements for SQGs and LQGs 23. Tip Sheet Photography 24. Tool 2012 25. Used Oil Flowchart 26. Virginia Project Management Responsibilities
A - 229 Acknowledgement of Receipt of Health & Safety Plan/Contingency Plan/Emergency Plan
Name: ___________________________________________________________
Local Authority name: _______________________________________________
Address: _________________________________________________________
Phone: ___________________________________________________________
Email: ____________________________________________________________
Circle one: Fire Police EMS Hospital
Emergency Response Team
Company Name: ________________________
Company Location: ______________________
Types of Hazardous Waste Handled/Generated:
Properties of the Waste: ___________________________________
Location of Hazardous Waste Generation/Storage Areas (attach map)
Location of Evacuation Routes (attach map)
I acknowledge that I have received a copy of ________________________ (document name) from
______________________ (company name) dated __________________________ (document date).
A - 230Signed: _____
Representing:
Date:
A - 231 UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
OFFICE OF
SOLID WASTE AND
V Subject: A
T From:
1 anagement Division To: EMERGENCY RESPONSE 4 rIt3
Checklist to Assist in Evaluating Whether Commercial Chemical Products Are Solid and Hazardous Waste under the Resource Conservation and Recovery Act
Betsy Devlin, Director Materials Recovery and
RCRA Division Directors, Regions 1-10
RCRA Enforcement Managers, Regions 1-10
A - 232 Association of States and Territorial Solid Waste Management Officials
(ASTS WMO)
Attached is a revised memorandum supporting the Commercial Chemical Product Checklist. This revised memorandum includes Figures 1-4 that were inadvertently excluded, and corrects the references associated with speculative accumulation.
If you have any questions, please contact Jim O'Leary of my staff at (703) 308-8827 or oleary.jim@epa.gov.
A - 233 UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
OFFICE OF
APR 2 91113
SOLID WASTE AND
Subject: Checklist to Assist in Evaluating Whether Commercial Chemical Products are Solid and Hazardous Waste under the Resource Conservation and Recovery Act
From: Suzanne Rudzinski, Director fr#)"'°"4—Office of Resource Conservation and Recovery
To: RCRA Division Directors, Regions 1-10
RCRA Enforcement Managers, Regions 1-10
Association of States and Territorial Solid Waste Management Officials
(ASTSWMO)
This memorandum provides EPA regions and states a checklist designed to assist in evaluating the regulatory status under the Resource Conservation and Recovery Act (RCRA) hazardous waste management regulations of materials that would, under usual circumstances, be considered products. Under the RCRA regulations these materials are termed Commercial Chemical Products (CCP). The checklist is included as Attachment A of this memorandum.1
We developed this checklist in response to requests for assistance in evaluating the regulatory status of CCPs from regional and state regulators and from the regulated community. One common situation in which this question arises is during a facility inspection.
As an example, an inspector who observes a material being stored on-site may question facility representatives about the regulatory status of the material. If the facility claims that the material is a product and not a solid or hazardous waste, yet the observed management of the material or other information suggests otherwise, the inspector should gather additional information to support a regulatory status evaluation. The attached checklist will assist in gathering the appropriate supporting information and in making a regulatory status evaluation for CCPs.
Abandoned CCPs can and have caused environmental damages through leaks, spills, volatilization, fires, and explosions. Such damages and the associated clean up costs can be significant. To avoid such situations, facility owners or operators should be aware that abandoned CCPs may be solid and hazardous waste, and if so should be managed under the hazardous waste regulations. These regulations are designed to ensure that hazardous waste is managed in ways that are protective of human health and the environment. Figures 1-4, found at the end of this memorandum, provide photographs of examples encountered during inspections that suggest abandonment of CCPs.
A - 234Generators may also want to use the checklist to evaluate the regulatory status of their own CCPs.
A - 235Applicable Regulations
EPA’s authority under Subtitle C of RCRA covers management of solid and hazardous wastes, but does not extend to management of materials that are products. Note, however, that there may be regulations applicable to products under other environmental regulations, such as the regulation of toxic substances in products under the Toxic Substances Control Act (TSCA), or under programs managed by other federal agencies, such as the Occupational Safety and Health Administration (OSHA) and the Food and Drug Administration (FDA).
In the RCRA hazardous waste management regulations the term commercial chemical product generally refers to materials that would, under usual circumstances, be considered products and not wastes, but if they are solid wastes would be hazardous because they are listed as hazardous waste or exhibit a characteristic of hazardous waste.2
The RCRA regulatory definition of solid waste, found in 40 CFR 261.2, prescribes what materials are solid wastes because they are discarded, and thus are potentially hazardous waste. Under 40 CFR 261.2, three provisions address situations in which a CCP may be discarded and thus a solid waste:
40 CFR 261.2(b) specifies that materials (including CCPs) are solid waste if they are abandoned, including being disposed of, incinerated, or when they are accumulated, stored, or treated (but not recycled) before, or in lieu of, being abandoned or otherwise being disposed.
40 CFR 261.2(c)(3) and Table 1 specify that CCPs are not solid waste when legitimately reclaimed.
40 CFR 261.2(c)(4) and Table 1 specify that CCPs are not solid waste when accumulated before legitimate recycling; i.e., speculative accumulation does not apply.3
Taken together, and in context, these provisions provide the regulatory structure for determining whether a CCP is a solid waste. They establish that:
CCPs are not solid waste if they are:
o Appropriately stored or managed for use, o Legitimately reclaimed, or o Appropriately stored or managed for legitimate reclamation.
2 From the comment at the end of 40 CFR 261.33(d): The phrase “commercial chemical product or manufacturing chemical intermediate having the generic name listed in...” refers to a chemical substance which is manufactured or formulated for commercial or manufacturing use which consists of the commercially pure grade of the chemical, any technical grades of the chemical that are produced or marketed, and all formulations in which the chemical is the sole active ingredient.
3 Speculative accumulation is defined in 40 CFR 261.1(c)(8) as accumulation before recycling. 40 CFR 261.1(c)(8) further provides specific details about how to determine whether materials are speculatively accumulated.
A - 236 CCPs are solid waste if they are:
o Abandoned by being accumulated, or by being stored, or treated before, or as
a means of, being disposed.
The attached checklist is designed to assist in applying this regulatory structure to specific situations and evaluating whether a particular CCP, managed in a particular way, is a solid waste.
If a CCP is a solid waste, it then must be determined if the CCP is listed as a hazardous waste in 40 CFR part 261 subpart D, or exhibits a characteristic of hazardous waste as described in 40 CFR part 261 subpart C. 4 If the CCP is a solid and hazardous waste, it must be managed in compliance with the RCRA Subtitle C hazardous waste management regulations.
In order to conduct this analysis, EPA and state inspectors have the authority to gather information when they encounter CCPs that appear abandoned or are being managed in a questionable manner. In fact, both EPA and the states have successfully enforced against facilities that falsely claimed that their abandoned materials were CCPs.
As additional background, EPA has previously discussed when CCPs are solid wastes. In the 1983 Definition of Solid Waste proposed rule, the Agency explained how the regulations address whether CCPs that could potentially be recycled are solid waste:
If, however, a recycling market does not develop and one is not expected within a reasonable time period, or if insufficient amounts of these materials are being recycled, we would consider these commercial chemical products as being stored for discard, and thus subject to regulatory control. We are not setting any time period for determining when these commercial chemical products would become wastes. However, we do expect persons storing these materials to have appropriate documentation or information to support their claim that these materials have recycling potential and that the materials are accumulating for eventual recycling. (48 FR 14489–14490, April 4, 1983)
The preamble to the 1985 Definition of Solid Waste final rule reiterated these points, stating that these materials (e.g., commercial chemical products)
....are wastes when discarded or intended for discard (by means of abandonment), and are not wastes when stored for recycling. (50 FR 636, January 4, 1985)
The Importance of Checklists
Checklists have proven to be valuable tools for obtaining well-reasoned, consistent and well-documented information across different operational processes—including RCRA facility inspections.5 In practice, checklists are designed to support good inspection practices, including
4 See 50 FR 14219.
A - 2375 See The Checklist Manifesto—How to Get Things Right, Atul Gawande, Metropolitan Books, Henry Holt and Company, 2009, for a discussion on the value of checklists.
A - 238facility process-based inspection techniques that incorporate valuable open-ended questioning. Checklists are not intended to be used alone, but to supplement inspection findings. Similarly, inspectors should strive to ensure that appropriate facility representatives provide the requested information and should document who provided the information and their qualifications for providing it.
The use of RCRA checklists will vary from inspector to inspector and from state to state.
Some inspectors, particularly experienced inspectors, use checklists as reference materials to assist them in preparing for a facility inspection. Less experienced inspectors, however, may use checklists as guides in posing questions to facility personnel or operators. Similarly, some states mandate the use of checklists by inspectors to support their inspection results, while other states leave it to the discretion of the inspector.
Checklist Questions
The checklist found in Attachment A groups a series of questions into three sections.
The first section includes questions that focus on observations the inspector may make concerning the management of the material. Managing a CCP as a valuable commodity is a good indicator that it has not been abandoned, and thus is more likely a product rather than a waste. However, if the material is being managed in a manner that suggests it has no little or no value (e.g., the containers are crushed, corroded, dusty, leaking, incompatible, open, or overpacked), then inspectors may want to pursue their inquiry further.
The second section builds on the results of the first section and focuses on materials used by the facility in the production of its products or in support of production operations.
These questions focus on whether an internal market currently exists or could exist for the material. The third section also builds on the results of the first section but questions focus on materials sold into commerce. In other words, the second and third series of questions focus on the front-end and back-end of the facility’s production processes.
Even if the material in question may be poorly managed, if a market or potential market exists internally or in commerce for such material, then the material may still be a product. However, if the accumulated evidence suggests that the material is both poorly managed and no market or even a potential market exists for the material, then the material is likely an abandoned material that may be subject to regulation under RCRA.
How to Use This Checklist
This checklist is designed to assist inspectors in gathering information to help differentiate between materials that are products and materials that have been abandoned, or stored in lieu of abandonment. In cases where material mismanagement has been observed, an inspector may wish to issue a request for more information under RCRA section 3007. In other situations, the results of the inspection may lead to initiation of a case against the facility after additional field work has been completed. Since every facility is unique, inspectors will always need to take into consideration site-specific characteristics in making these determinations.
A - 239 This checklist was developed with the help of experienced regional and state representatives in response to requests for assistance on this issue. We appreciate their assistance with this effort and welcome any feedback so that we can improve the checklist’s usefulness.
If you have any questions, please contact Jim O’Leary, of my staff, at (703) 308-8827 or oleary.jim@epa.gov.
cc: Betsy Devlin Charlotte Mooney
Tracy Atagi Alan Carpien Steve Simoes Jon Roberts Ed Hammerberg
Jerry Sanger
A - 240 Examples of Potential Mismanagement of a Commercial Chemical Product
- Example of materials found by inspector during facility inspection. Are these materials products or abandoned materials?
A - 2412. Example of materials found by inspector during facility inspection. Are these materials products or abandoned materials?
A - 2423, Example of materials found by inspector during facility inspection. Are these materials products or abandoned materials?
A - 2434. Example of materials found by inspector during facility inspection. Are these materials products or abandoned materials?
A -244 Attachment A
CHECKLIST: To Assist in Evaluating Whether Commercial Chemical Products are Solid and Hazardous Waste under the Resource Conservation and Recovery Act (RCRA)
Disclaimer: This checklist is a support tool provided by EPA for the convenience of the EPA Regions, states, and the regulated community. It is not a regulation, nor can it be considered a substitute for the actual regulations or for related laws and applicable court decisions. For individuals in the regulated community using this guidance tool, EPA recommends you contact your authorized state agency or EPA regional office should you have any concerns or doubts about whether your commercial chemical product is in compliance with the applicable RCRA regulations.
A - 245The purpose of this checklist is to assist EPA and state inspectors in gathering information to help them distinguish between 1) commercial chemical products (CCPs) listed under 40 CFR 261.33 (e) and (f), or CCPs that exhibit a hazardous waste characteristic; and 2) abandoned materials or materials stored in lieu of abandonment (see 40 CFR 261.2(a)(2)(i) and 261.2(b)(3)).
This checklist should only be used in cases where it is not clear to the inspector if a material is a CCP or a waste. This includes situations where the material is not being managed in a manner consistent with a facility claim that the material has value (i.e., either for use on-site or in commerce).
There is no “bright line” for how many questions or which checklist questions provide a definitive answer to the CCP vs. abandoned waste question. Instead, site specific circumstances will most likely dictate the outcome of any determination.
This checklist should be completed for each material being evaluated.
A - 246 *********************************************
Section 1: Does the facility appear to be managing the material being evaluated in a manner that suggests it is a product (as opposed to being abandoned or stored in lieu Yes No N/A Comment of abandonment)?
Note: Where the inspector observes questionable management practices that suggest abandonment of a material (see below), take pictures to document these observed
Are the containers used to store the material in good condition (vs. crushed, bulging, 1 corroded, dusty, leaking, incompatible with the contents, open, or overpacked)?
Are the containers of concern stored in a manner that suggests the material has 2 value? (For example, is the material protected from precipitation, locked-up when the facility is not operating, or stored in a fenced/secure area?) Does the management of the containers appear to preserve the material's integrity 3 and serve to prevent the material from becoming unstable, unusable or
4 Do the containers have labels that identify the contents as product?
Do the container labels have information, such as lot number, manufacture date, 5 or expiration date, to help determine the age/viability of the material, particularly if a recommended expiration date has been exceeded?
If a container is not labeled, can the facility support a claim that the contents is a product (e.g., provide analytical testing results to verify that the material 6 meets specifications for use, or explain that it recently had to transfer contents to a new container due to damage to the original container and can provide record of purchase)?
Does the condition of the material suggest it is a valuable product? (For example, 7 no crystals have formed inside or outside the container, the material is not discolored, there is no phase separation evident) Does the facility manage the material as a valuable commodity by limiting access to 8 the material and having security procedures in place to prevent unauthorized removal of the material?
A - 247NOTES SUPPORTING OBSERVATIONS
A - 248Section 2: Does the facility appear to be using the material being evaluated in the production of its products or in support of production operations (as opposed to Yes No N/A Comment being abandoned or stored in lieu of abandonment)?
Can the facility describe how the material is used or show where the material is 1 used in the facility?
Do the containers storing the material in question appear to be stored in an appropriate location?
- Is the material stored according to manufacturer recommendations 2 (e.g., recommended temperatures, light)?
- Are the containers accessible?
Do product specifications exist for the material or process in which it is to be used 3 (e.g., minimum concentration of an active ingredient, maximum concentrations of contaminants, or dates beyond which the material should not be used)?
Is there a process in place for the facility to compare the properties of the material in question to specifications that must be met in order for the material to be used 4 for the claimed purpose, or is documentation available to support a facility claim that the material meets such specifications?
Does it appear that the facility has purchased new material that will be used for the 5 same purpose as the material in question? If yes, explain in the Notes section Are records available to demonstrate that the facility has NOT written off the 6 material as a loss (indicating that the facility still believes that the material has a use)?
A - 249NOTES SUPPORTING OBSERVATIONS
A - 250Section 3: Does the facility appear to be selling into commerce the material being Yes No N/A Commentevaluated (as opposed to being abandoned or stored in lieu of abandonment)?
1 Does the facility have “active” customers or a market for the material?
If yes, can the facility provide a list of such customers and document recent shipments of the material for subsequent distribution in commerce, or provide 2 copies of contracts from past or future sales?
Note: The inspector may want to obtain contact information for the receiving f ilit f iliti ( di t ib t t ) Can the facility identify any competitors for the sale of the material to support 3 a claim that there is an existing or potential market for the material?
Can the facility provide a list of inactive or past customers that purchased 4 the material?
5 Can the facility provide any information about a future market for the material?
Is a Material Safety Data Sheet (MSDS) or SDS under OSHA’s new Globally 6 Harmonized System available for the material (supporting a claim that the material has been in, or will enter, commerce)?
Does the facility have a system for accepting/managing returned or off-7 specification products it produced and utilizing that material to produce a new product? If so, is this system documented?
Has the material been recalled or returned from a customer? If so, can the facility 8 explain how it intends to use the material? Is there a market for the returned
Bottom Line:
Overall, does the facility appear to be managing the material in question as a valuable commodity; i.e., in a manner that preserves the material’s integrity and does not cause it to become unusable? If not, explain why not and provide supporting comments/observations below to support a conclusion that the material is being abandoned, or stored in a manner that suggests abandonment.
A - 251NOTES SUPPORTING OBSERVATIONS
A - 252 Citation Format in Consent Orders and Agreements
Va. Code § 10.1-1408.1(N)(3) and Va. Code § 62.1-44.34:20(C)(4) (with “Va. Code” defined - use parentheses and no spaces, except after §) (follows format used by Virginia courts rather than format in the Virginia Register)
9 VAC 20-81-250(A)(1)(b) and (c) (with “VAC” defined) (same)
42 USC § 6927(b)(3)(B) (with “USC” defined)
40 CFR Part 273 (with “CFR” defined)
40 CFR § 262.34(a)(1)(iv)(B) (with “CFR” defined)
Supplemental Environmental Projects (SEPs), Enf. Guidance Memo. No. 3-2006 (September 19, 2006).
A - 253RCRAInfo CM&E Module Version 3 Codes and Definitions Revised May 2008 A - 254 Nationally Defined Commitment Types Note-Additionalimplementer-definedvalueswillbeallowed.
Code Description
LQG Large Quantity Generator
Mineral Non-Phosphor Mineral Processing Non-Phosphoric
Mineral Phosphoric Mineral Processing Phosphoric
Petroleum Refining Petroleum Refining
Small Business Small Business
SQG Small Quantity Generator
Tribal School Tribal School
Tribal Waste Mgmt Tribal Waste Management
A - 255TSD Treatment Storage Disposal
A - 256 Nationally Defined Evaluation Type Note:NoImplementerDefinedEvaluationTypesareallowed.
Type Name Description
Corrective An evaluation of a site’s compliance with the corrective action requirements of a Action permit or an order. When a CAC is conducted as part of another inspection type CAC Compliance (CEI, GME, etc.), a separate entry for a CAC should be made in RCRAInfo for Evaluation the CAC component.
The compliance assistance activity that a region or state conducts at a specific site to assist the site in achieving compliance as outlined in the OECA Operating Principles (URL:http://www.epa.gov.compliance/resources/policies/planning/state/oprin-integ-mem.pdf). A CAV evaluation does not include evaluation events that would Compliance otherwise qualify as another type of evaluation such as a CEI or OAM CAV Assistance evaluation or conducted under the auspices of a confidentiality agreement via a Activity small business or local government assistance program (sometimes referred to as an amnesty program). However, this CAV activity code would include technical site-specific compliance assistance not considered solely “interpretive technical assistance.” CAVs are conducted without the threat of enforcement.
Therefore, CAVs should not be linked to violations or enforcement actions.
A CDI evaluation is an on-site inspection conducted for the sole purpose of Case gathering additional information that supports the evidence (i.e., samples, on-site CDI record review, interview, etc.) for a potential or pending enforcement case. A Development CDI is performed only after an initial evaluation has resulted in the observation of Inspection potential violations.
A CEI evaluation is primarily an on-site evaluation of the compliance status of the site with regard to all applicable RCRA Regulations and Permits (with the exception of groundwater monitoring and financial assurance requirements).
Although portions of a CEI evaluation may routinely be conducted in an agency office setting, such “office” evaluations are considered an integral part of a CEI 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
CEI.
Compliance CEI Evaluation The major function of a CEI is an overall review of the site's performance. The Inspection 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. Where appropriate, it includes groundwater monitoring assessment outlines or plans, closure/post-closure plans, contingency plan reviews, waste analysis plan reviews, and preparedness and prevention plan reviews. Specifically excluded from the CEI type of evaluation are financial assurance requirements and inspections of groundwater monitoring systems. A review of financial assurance requirements is most often conducted by "agency experts", and appropriately coded as a Financial Record Review (FRR) evaluation. Inspections of d i i d d i h GME OAM An evaluation conducted to verify compliance with an enforceable compliance Compliance schedule associated with a formal enforcement action. When a CSE is CSE Schedule conducted as part of another inspection type (CEI, GME, etc.), a separate CSE Evaluation entry should be made in RCRAInfo for the CSE component.
Focused An FCI is an on-site inspection that addresses only a specific portion or Subpart FCI Compliance of the RCRA regulations or authorized State regulations/programs. Some
A - 257 Nationally Defined Evaluation Type Note:NoImplementerDefinedEvaluationTypesareallowed.
Type Name Description Inspection examples of an FCI are a Subpart CC inspection, BIF inspection, Universal Waste Rule inspection, closure verification inspection, training inspections, etc.
Nationally defined Focus Areas may be used with this evaluation type to further An extensive detailed review of a handler's compliance with financial Financial Record FRR responsibility requirements. Financial Record Reviews are conducted in the Review Agency office and not on-site.
Indication that a handler has self-disclosed the existence of a violation and/or Facility Self FSD performed an audit and has submitted the information as appropriate to the Disclosure State or EPA.
A partial on-site inspection conducted to verify the status of violations cited during a previous evaluation. An FUI 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. Includes inspections following up to formal/informal actions where no enforceable compliance schedule has been Follow-Up FUI established. Does not include any inspections involving an enforceable Inspection compliance schedule associated with a formal enforcement action. When an FUI inspection is conducted as part of another inspection type (CEI, GME, etc.), a separate FUI entry should be made in RCRAInfo for the FUI component. Please note that new violations may be cited as a result of an FUI evaluation, and those new violations would be linked to the FUI.
A detailed evaluation of the adequacy of the design and operation of a facility's groundwater monitoring system as per EPA's Final RCRA Compliance Groundwater Monitoring Evaluation Guidance Document. Evaluation of the groundwater monitoring system design should be conducted by a hydro geologist and includes the review of the owner/operator's (o/o's) characterization of the hydro geology beneath hazardous waste management units, monitoring well placement and depth/spacing, and well design and construction. It is Groundwater essential that the CME ensure that the o/o has designed an adequate GME Monitoring groundwater monitoring system. In addition, an integral part of the CME is the Evaluation review of the operation of the groundwater monitoring system through an evaluation of the o/o's sampling and analysis plan and its implementation. CMEs should be scheduled, to the maximum extent possible, to coincide with o/o sampling events to permit the field evaluation of sampling techniques. Inspectors should collect splits or conduct EPA/State sampling as a random check of groundwater quality data at any wells, which may have indicated releases to support enforcement of corrective action.
No 3007 Information Agency conducted an in-agency office review and determined a failure to NIR Request respond to a 3007 information request.
Received Non-financial An evaluation conducted in the Agency office involving a detailed review of NRR Record Review non-financial records.
A - 258 Nationally Defined Evaluation Type Note:NoImplementerDefinedEvaluationTypesareallowed.
Type Name Description The Operation and Maintenance Inspection is a periodic inspection of how well a groundwater monitoring system continues to function once it is considered well designed. The inspection focuses on the condition of wells and sampling devices.
Evaluation of well recovery notes, turbidity of water, total depth, depth to water, Operation and etc. should be made and compared to historic data. Sampling devices should be OAM Maintenance tested and if necessary pulled and visually inspected. The findings of an O&M Inspection inspection will indicate whether case development is warranted and/or will serve to focus future CMEs. The inspector should be experienced in evaluation of groundwater monitoring systems, e.g., hydrogeologist. This inspection can include sampling. However, if a great deal of sampling is conducted, a separate sampling inspection should be recorded.
A determination has been made to remove the SNC designation for a facility.
This can be as a result of the facility returning to full physical compliance with Not a Significant regulatory and/or statutory requirements or with a compliance schedule. Note: SNN Non- This is an orphan evaluation record that is not linked to any specific violation or enforcement action. The implementer should enter an SNN record to Complier(SNC) supersede an SNY record when all outstanding violations have returned to full physical compliance.
A determination has been made to classify a facility as a SNC using the following guidelines as set forth in the March 15, 1996 Hazardous Waste Civil Enforcement Response Policy (ERP). A SNC is a facility, which has caused actual exposure or a substantial likelihood of exposure to hazardous waste or hazardous waste constituents; is a chronic or recalcitrant violator; or deviates substantially from the terms of a permit, order, agreement or from RCRA statutory or regulatory requirements. The actual or substantial likelihood of exposure should be evaluated using facility specific environmental and exposure information whenever possible. This may include evaluating potential exposure A Significant pathways and the mobility and toxicity of the hazardous waste being managed.
SNY Non-Complier However, it should be noted that environmental impact alone is sufficient to cause a facility to be a SNC, particularly when the environmental media affected (SNC) require special protection (e.g., wetlands or sources of underground drinking water). Facilities should be evaluated on a multi-media basis; however, a facility may be found to be a chronic or recalcitrant violator based solely on prior RCRA violations and behavior.
Note: This is an orphan evaluation record that is not linked to any specific violation or enforcement action. This determination should be entered into RCRAInfo within 90 days after the implementer (EPA/State) determination i d i th SNC d i ti ill b d bli l il bl
A - 259 Nationally Defined FCI Focus Areas Note:Implementerdefinedcodesareallowed.
Value Description Definition Regulation Specific Inspection focused on compliance with regulatory BIF Boiler/Industrial Furnace Inspection requirements for boilers and industrial furnaces.
Inspection focused on compliance with air emission standards for tanks, surface CCI Subpart CC Inspection impoundments, and containers as covered in 40 CFR 264 and 265, subparts CC.
Focused inspection at a commercial facility’s (i.e., CFI Commercial Facility Inspection sites covered under the EPA Off-Site Policy) that does not constitute a CEI.
Hazardous Waste Incinerator Inspection/observation of the other incinerator INC Inspection activities.
Inspections focused on compliance with the land ban restrictions.
LDR Land Ban Restrictions Note: This Focus Area is only for use with historical evaluations. THIS WILL NOT BE ALLOWED FOR NEW EVALUATIONS PTB Performance Test (Trial Burns) Inspection to evaluate trial burn performance.
Inspection to evaluate performance under Subpart X PTX Performance Test (Subpart X) requirements.
Compliance monitoring inspections focused on specific regulatory requirements of Hazardous THI TSD HWMU Inspection Waste management Units (tanks, surface impoundments, drip pads, etc.).
Evaluation of compliance with underground injection UIC Underground Injection Control control requirements.
Inspections focused on compliance with Used UOI Used Oil Inspection Oil regulations as covered by 40 CFR 279.
Inspections focused on compliance with the UWR Universal Waste Rule Inspection Universal Waste Rule as covered by 40 CFR 273.
Routine/Standardized Inspection focused on the oversight of corrective action or State remediation activities. Use this code Corrective Action/Remediation only when the oversight does not represent an CAR Oversight evaluation of the site’s compliance with the corrective action requirements present in a permit or order (definition of CAO Evaluation type).
Inspection focused on oversight of CPC Closure/Post-Closure Inspection closure/post-closure activities, including certification of closure/post-closure.
Inspections to verify information related to variance DOS Definition of Solid Waste requests, delisting, solid/hazardous waste determination, speculative accumulation, etc.
RCRA activities related to emergency response EMR Emergency Response Activity and subsequent clean-up.
A - 260 Nationally Defined FCI Focus Areas Note:Implementerdefinedcodesareallowed.
Value Description Definition Inspections to evaluate regulatory compliance for IEI Import/Export Inspection hazardous waste imports and exports.
Inspections to verify the status of a site. This code ISI Inactive Site Inspection should only be used when the site’s status was verified as inactive.
Inspections of a transporter’s vehicle and associated RTI Remote Transporter Inspection manifesting documentation from a remote location (i.e., in transit).
A - 261 Nationally Defined Violation Types Note:NoImplementerdefinedViolationTypesareallowed.
Code Description Definition
ID and Listing of HW: 261.A General HW identification as covered in 40CFR 261 Subpart A.
General
ID and Listing of HW: Criteria for Identifying the General Criteria for HW identification as covered in 40CFR 261.B Characteristics of HW and for 261 Subpart B.
Listing of HW ID and Listing of HW: 261.C Characteristics for HW as covered by 40CFR 262 Subpart C.
Characteristics of HW ID and Listing of HW: Lists 261.D Lists of HW as covered in 40CFR 261 Subpart D. of HW Standards Applicable to General requirements for Generators as covered in 40CFR 262 262.A Generators of HW: General Subpart A.
Standards Applicable to Manifest requirements for Generators as covered in 40CFR 262.B Generators of HW: Manifest 262 Subpart B.
Standards Applicable to Export requirements for Generators as covered in 40CFR 262.C Generators of HW: Pre- 262 Subpart C Transport Requirements Standards Applicable to Generators of HW: Import requirements for Generators as covered in 40CFR 262 262.D Recordkeeping and Subpart D.
Reporting Standards Applicable to Export requirements for Generators as covered in 40CFR 262.E Generators of HW: Exports 262 Subpart E. of HW Standards Applicable to Import requirements for Generators as covered in 40CFR 262 262.F Generators of HW: Imports Subpart F. of HW Standards Applicable to Generators of HW: Generator requirements for the OECD as covered in 40CFR 262.H Transfrontier Shipments of 262 Subpart H.
HW for Recovery within the OECD Standards Applicable to General requirements for transporters as covered in 40CFR 263.A Transporters of HW: 263 Subpart A.
General Standards Applicable to Transporters of HW: General requirements for transporters as covered in 40CFR 263.B Compliance with the Manifest 263 Subpart B.
System and Recordkeeping Standards Applicable to Transporter requirements for TSDs as covered in 40CFR 263.C Transporters of HW: HW 263 Subpart C.
Discharges
A - 262 Nationally Defined Violation Types Note:NoImplementerdefinedViolationTypesareallowed.
Code Description Definition
Standards for Owners and Preparedness and Disposal facilities (TSDs as covered in 40CFR 264.A Operators of HW TSDs: 264 Subpart A.
General Standards for Owners and General facility standards for TSDs as covered in 40CFR 264 264.B Operators of HW TSDs: Subpart B.
General Facility Standards Standards for Owners and Preparedness and prevention standards for TSDs as covered 264.C Operators of HW TSDs: in 40CFR 264 Subpart C.
Preparedness and Prevention Standards for Owners and Operators of HW TSDs: Contingency plan and emergency standards for TSDs as covered in 264.D Contingency Plan and 40CFR 264 Subpart D.
Emergency Procedures Standards for Owners and Operators of HW TSDs: Manifest system, recordkeeping, and reporting requirements for 264.E Manifest System, TSDs as covered in 40CFR 264 Subpart E.
Recordkeeping, and Reporting Standards for Owners and Operators of HW TSDs: Standards governing releases from solid waste management units 264.F Releases from Solid Waste as covered in 40CFR 264 Subpart F.
Management Units (SWMUs) Standards for Owners and Closure and post-closure standards for TSDs as covered in 264.G Operators of HW TSDs: 40CFR 264 Subpart G.
Closure and Post-Closure Standards for Owners and Financial requirements for TSDs as covered in 40CFR 264 264.H Operators of HW TSDs: Subpart H.
Financial Requirements Standards for Owners and Operators of HW TSDs: Use Standards for use and management of containers by TSDs 264.I and Management of as covered in 40CFR 264 Subpart I.
Containers Standards for Owners and 264.J Operators of HW TSDs: Tank Standards for TSD tank systems as covered in 40 CFR Subpart J.
Systems Standards for Owners and 264.K Operators of HW TSDs: Standards for TSDs as covered in 40CFR 264 Subpart K.
Surface Impoundments Standards for Owners and 264.L Operators of HW TSDs: TSD standards for TSDs as covered in 40CFR 264 Subpart L.
Waste Piles Standards for Owners and 264.M Operators of HW TSDs: Land TSD standards for TSDs as covered in 40CFR 264 Subpart M.
Treatment Standards for Owners and 264.N Operators of HW TSDs: Landfill standards for TSDs as covered in 40CFR 264 Subpart N.
Landfills A - 263A - 264 Nationally Defined Violation Types Note:NoImplementerdefinedViolationTypesareallowed.
Code Description Definition
Standards for Owners and 264.O Operators of HW TSDs: Standards for TSDs as covered in 40CFR 264 Subpart O.
Incinerators Standards for Owners and Operators of HW TSDs: 264.S Standards for TSDs as covered in 40CFR 264 Subpart S.
Special Provisions for Cleanups Standards for Owners and 264.W Operators of HW TSDs: Drip Standards for TSDs as covered in 40CFR 264 Subpart W.
Standards for Owners and Standards for process vents at TSDs as covered by 40CFR 264.X Operators of HW TSDs: 264 Subpart X.
Miscellaneous Units Standards for Owners and Operators of HW TSDs: Air Air emission standards for process vents at TSDs as covered 264.AA Emission Standards for in 40CFR 264 Subpart AA.
Process Vents Standards for Owners and Operators of HW TSDs: Air Air emission standards for equipment leaks at TSDs as covered 264.BB Emission Standards for in 40CFR 264 Subpart BB.
Equipment Leaks Standards for Owners and Operators of HW TSDs: Air Emission Standards for Air emission standards for TSDs as covered in 40CFR 264 264.CC Tanks, Surface Subpart CC.
Impoundments, and Containers Standards for Owners and Containment building standards for TSDs as covered in 40CFR 264.DD Operators of HW TSDs: 264 Subpart DD.
Containment Buildings Standards for Owners and Operators of HW TSDs: HW Hazardous waste munitions and explosives storage standards for 264.EE Munitions and Explosives TSDs as covered in 40CFR 264 Subpart EE.
Storage Interim Status Standards for General requirements for TSDs in Interim Status as covered 265.A Owners and Operators of HW in 40CFR 265 Subpart A.
TSDs: General Interim Status Standards for Owners and Operators of HW General facility standards for TSDs in Interim Status as covered 265.B TSDs: General Facility in 40CFR 265 Subpart B.
Standards Interim Status Standards for Owners and Operators of HW Preparedness and prevention requirements for TSDs in 265.C TSDs: Preparedness and Interim Status as covered in 40CFR 265 Subpart C.
Prevention
A - 265 Nationally Defined Violation Types Note:NoImplementerdefinedViolationTypesareallowed.
Code Description Definition
Interim Status Standards for Owners and Operators of HW Contingency plan and reporting requirements for TSDs in 265.D TSDs: Contingency Plan and Interim Status as covered in 40CFR 265 Subpart D.
Emergency Procedures Interim Status Standards for Owners and Operators of HW Groundwater monitoring requirements for TSDs in Interim Status 265.E TSDs: Manifest System, as covered in 40CFR 265 Subpart E.
Recordkeeping, and Reporting Interim Status Standards for Owners and Operators of HW Groundwater monitoring requirements for TSDs in Interim Status 265.F TSDs: Ground-water as covered in 40CFR 265 Subpart F.
Monitoring Interim Status Standards for Owners and Operators of HW Financial requirements for TSDs in Interim Status as covered 265.G TSDs: Closure and Post- in 40CFR 265 Subpart G.
Closure Interim Status Standards for Owners and Operators of HW Financial requirements for TSDs in Interim Status as covered 265.H TSDs: Financial in 40CFR 265 Subpart H.
Requirements Interim Status Standards for Owners and Operators of HW Tank system standards for TSDs in Interim Status as covered 265.I TSDs: Use and Management in 40CFR 265 Subpart I. of Containers Interim Status Standards for Tank system standards for TSDs in Interim Status as covered 265.J Owners and Operators of HW in 40CFR 265 Subpart J.
TSDs: Tank Systems Interim Status Standards for Owners and Operators of Waste pile standards for TSDs in Interim Status as covered 265.K HW TSDs: Surface in 40CFR 265 Subpart K.
Interim Status Standards for Waste pile standards for TSDs in Interim Status as covered 265.L Owners and Operators of HW in 40CFR 265 Subpart L.
TSDs: Waste Piles Interim Status Standards for Landfill standards for TSDs in Interim Status as covered in 40CFR 265.M Owners and Operators of HW 265 Subpart M.
TSDs: Land Treatments Interim Status Standards for Landfill standards for TSDs in Interim Status as covered in 40CFR 265.N Owners and Operators of HW 265 Subpart N.
TSDs: Landfills Interim Status Standards for Incinerator standards for TSDs in Interim Status as covered 265.O Owners and Operators of HW in 40CFR 265 Subpart O.
TSDs: Incinerators
A - 266 Interim Status Standards for Thermal treatment standards for TSDs in Interim Status as 265.P Owners and Operators of HW covered in 40CFR 265 Subpart P.
TSDs: Thermal Treatment
A - 267 Nationally Defined Violation Types Note:NoImplementerdefinedViolationTypesareallowed.
Code Description Definition
Interim Status Standards for Owners and Operators of HW Drip pad standards for TSDs in Interim Status as covered in 265.Q TSDs: Chemical, Physical, 40CFR 265 Subpart Q. and Biological Treatment Underground Injection applicability as covered in 40CRR 265.R Underground Injection 265 Subpart R.
Interim Status Standards for Drip pad standards for TSDs in Interim Status as covered in 265.W Owners and Operators of HW 40CFR 265 Subpart W.
TSDs: Drip Pads Interim Status Standards for Owners and Operators of HW Air emission standards for process vents at TSDs in Interim 265.AA TSDs: Air Emission Status as covered in 40CFR 265 Subpart AA.
Standards for Process Vents Interim Status Standards for Owners and Operators of HW Air emission standards for TSDs in Interim Status as covered 265.BB TSDs: Air Emission in 40CFR 265 Subpart BB.
Standards for Equipment Leaks Interim Status Standards for Owners and Operators of HW Standards for munitions and containers at TSDs in Interim Status 265.CC TSDs: Air Emission as covered in 40CFR 265 Subpart CC.
Standards for Tanks, Surface
I d t d Interim Status Standards for Owners and Operators of HW Containments building standards for TSDs in Interim Status 265.DD TSDs: Containment as covered in 40CFR 265 Subpart DD.
Buildings Interim Status Standards for Owners and Operators of HW Standards for munitions and explosive storage at TSDs in 265.EE TSDs: HW Munitions and Interim Status as covered in 40CFR 265 Subpart EE.
Explosives Storage Standards for the Management of Specific HW and Specific types of HW Standards for management of recyclable materials used in a manner 266.C Management Facilities: constituting disposal as covered in 40CFR 266 Subpart C.
Recyclable Materials Used in a Manner Constituting Disposal Standards for the Management of Specific HW and Specific types of HW Standards for management of recyclable materials utilized for 266.F Management Facilities: precious metal recovery as covered in 40CFR 266 Subpart F.
Recyclable Materials utilized for Precious Metal Recovery
A - 268 Nationally Defined Violation Types Note:NoImplementerdefinedViolationTypesareallowed.
Code Description Definition
Standards for the Management of Specific HW and Specific types of HW Standards for management of spent lead-acid batteries 266.G Management Facilities: being reclaimed as covered in 40CFR 266 Subpart G.
Spent Lead-Acid Batteries Being Reclaimed Standards for the Management of Specific HW and Specific types of HW Standards for management of hazardous waste burned in boilers 266.H Management Facilities: HW and disposal as covered in 40CFR 266 Subpart H.
Burned in Boilers and Industrial Furnaces Standards for the Management of Specific HW Standards for management of military munitions as covered 266.M and Specific types of HW in 40CFR 266 Subpart M.
Management Facilities: Military Munitions Standards for the Management of Specific HW and Specific types of HW Standards for conditional exemption for low-level mixed Management Facilities: 266.N waste storage, treatment, transportation, and disposal as Conditional Exemption for covered in 40CFR Subpart N.
Low-Level Mixed Waste Storage, Treatment, Transportation, and Disposal Land Disposal Restrictions: General Land Disposal Restriction (LDR) requirements as 268.A General covered in 40CFR 268 Subpart A.
Land Disposal Restrictions: Schedule for Land Disposal Schedule for land disposal prohibition and establishment of 268.B treatment standards as covered by 40CFR 268 Subpart B. Prohibition and Establishment of Treatment
Land Disposal Restrictions: 268.C Prohibitions on Land Prohibitions on land disposal as covered by 40 CFR 268 Subpart C.
Disposal Land Disposal Restrictions: 268.D Treatment standards for LDR as covered in 40CFR 268 Subpart D.
Treatment Standards Land Disposal Restrictions: 268.E Storage prohibitions for LDR as covered in 40CFR 268 Subpart E.
Prohibitions on Storage EPA Administered Permit General information and requirements for hazardous waste 270.A Programs: the HW Permit permit as covered in 40CFR 270 Subpart A.
Program General Information EPA Administered Permit Application requirements for a hazardous waste permit as 270.B Programs: the HW Permit covered in 40CFR 270 Subpart B.
Program Permit Application
A - 269 Nationally Defined Violation Types Note:NoImplementerdefinedViolationTypesareallowed.
Code Description Definition
EPA Administered Permit Permit conditions for a hazardous waste permit as covered in 270.C Programs: the HW Permit 40CFR 270 Subpart C.
Program Permit Conditions EPA Administered Permit Changes to hazardous waste permits as covered in 40CFR 270.D Programs: the HW Permit 270 Subpart D.
Program Changes to Permits EPA Administered Permit Programs: the HW Permit Special forms of hazardous waste permit as covered in 40CFR 270.F Program Special Forms of 270 Subpart F.
Permits EPA Administered Permit Interim status standards for a hazardous waste permit as covered 270.G Programs: the HW Permit in 40CFR 270 Subpart G.
Program Interim Status EPA Administered Permit Programs: the HW Permit 270.H Remedial action plans (RAPs) as covered in 40CFR 270 Subpart H.
Program Remedial Action Plans (RAPs) EPA Administered Permit Programs: the HW Permit Program Integration with Integration with Maximum Achievable control Technology 270.I Maximum Achievable Control (MACT) Standards as covered in 40CFR 270 Subpart I.
Technology (MACT) Standards Requirements for Authorization of State HW 271.A Programs: Requirements for Authorization Standards for Universal General requirements for management of universal waste 273.A Waste Management: General as covered in 40CFR 273 Subpart A.
Standards for Universal Waste Management: Standards for small quantity handlers of universal waste as 273.B Standards for Small Quantity covered in 40CFR 273 Subpart B.
Handlers of Universal Waste Standards for Universal Waste Management: Standards for large quantity handlers of universal waste as 273.C Standards for Large Quantity covered in 40CFR 273 Subpart C.
Handlers for Universal Waste Standards for Universal Standards for transporters of universal waste as covered in 273.D Waste Management: 40CFR 273 Subpart D.
Standards for Universal
Standards for Universal Waste Management: Standards for destination facilities of universal waste as covered in 273.E Standards for Destination 40CFR 273 Subpart E.
Facilities
A - 270 Nationally Defined Violation Types Note:NoImplementerdefinedViolationTypesareallowed.
Code Description Definition
Standards for Universal 273.F Waste Management: Import Requirements Standards for the Applicability of the standards for management of used oil as 279.A Management of Used Oil: covered in 40CFR 279 Subpart A.
Definitions Standards for the Applicability of the standards for management of used oil as 279.B Management of Used Oil: covered in 40CFR 279 Subpart B.
Applicability Standards for Used Oil Standards for used oil generators as covered in 40CFR 279 279.C Generators Subpart C.
Standards for Used Oil Standards for used oil collection centers and aggregation points 279.D Collection Centers and as covered in 40CFR 279 Subpart D.
Aggregation Points Standards for Used Oil Standards for used oil transporters and transfer facilities as 279.E Transporter and Transfer covered in 40CFR 279 Subpart E.
Facilities Standards for Used Oil Standards for used oil processors and re-refiners as covered 279.F Processors and Re-Refiners in 40CFR 270 Subpart F.
Standards for Used Oil Burners of Off-Specification Standards for used oil burners who burn off-specification used oil 279.G Used Oil for Energy for energy recovery as covered in 40CFR 279 Subpart G.
Recovery Standards for Used Oil Fuel Standards for used oil fuel marketers as covered in 40CFR 279.H Marketers 279 Subpart H.
Standards for Used Oil Dust Standards for use as a dust suppressant and disposal of used oil 279.I Suppressant and Disposal of as covered in 40CFR 279 Subpart I.
Used Oil Formal Enforcement FEA Violation of a formal enforcement agreement or order.
Agreement or Order
FSS Federal or State Statute Violations of a Federal or State Statute.
Permit Condition or PCR Violations of a Permit Condition or Requirement.
Requirement State statutory or regulatory requirements that are broader-in-scope than federal RCRA requirements.
XXS State Statute or Regulation Note: Implementers who are broader-in-scope will be able to use Violation Coverage Area code XXS. Additional clarification h ld b dd d th h f th Cit ti fi ld
A - 271 Return to Compliance (RTC) Qualifier Code Name Description
Site demonstrated that it is in full physical compliance by filing D Documented appropriate documentation with the implementing agency.
Verified by on-site inspection that this violation is now in full physical O Observed compliance.
Situations where, although the original violations may still exist or may never have been corrected, there is no further legal action that the agency can pursue to compel the site to bring the violation into full physical compliance. Therefore, the open status of the violation is being closed out. Examples of circumstances that could considered "not N Not Resolvable resolvable" include, among others, scenarios involving bankruptcy (company has no financial means to continue efforts to return to compliance), statute of limitations restrictions, and violations which were referred from RCRA to CERCLA (enforcement type 830), Referrals to other RCRA Programs (enforcement type 850), or Referrals Other Programs (enforcement type 860).
Situations where it is not possible to verify whether or not the original violation still exists or if it was ever corrected and returned to compliance. This would apply to a variety of scenarios, including: (a) a site is closed and out of business; (b) a facility's permit has expired and the regulated activity is no longer being conducted; (c) a site's U Unobserved operational status has changed from active to inactive; and (d) a site appears to be in full physical compliance but correction of the original violation can not be validated (e.g., the violation was for an unlabeled drum and, based on subsequent inspection, all observed drums on-site are now labeled but it is not possible to determine if the original drum observed to be unlabeled is among the drums currently on-site).
A - 272 Citation Types
Note:NoImplementerDefinedCodesareallowed.
Code Description Definition
FR Federal Regulation Citations of the federal regulations in 40 CFR
FS Federal Statute Citations of the federal statute (RCRA).
Citations of terms or conditions of a formal enforceable OC Order Condition action.
Citations of conditions and requirements of a PC Permit Condition RCRA permit.
SR State Regulation Citations of State regulations.
SS State Statute Citations of a State statute.
Code used for conversion of V2 EPA discovered violations or violations which EPA is responsible V3 Converted from V2 for, since in V3 all EPA violations must have at least one Citation. No new data entry will be allowed for this code.
Business Rules:
Citation type: OC will always be violation type FEA.
Citation type: PC can be violation type PCR but can also be to other violation types.
Citation type: FS will always be violation type FSS.
Citation type: SS will always be violation type FSS.
All EPA violations must have at least one Citation - both EPA discovered violations and
violations which EPA is now responsible for. (State transferred the violation to EPA with an 810
enforcement action.)
HQs Federal Citations Note:HQshaslinkedviolationtypestocitationsatthelowestReferenceLevel[ex. 263.20(f)(1)(iii)(A){Part,Section,Subsection,Paragraph,Subparagraph,andReference.}]No citationisatalevelhigherthansubsection.ForalistofthecompleteHQsViolation-Citation table,youcanlookinRCRAInfoHelp.
A - 273 Note:ImplementerdefinedEnforcementtypesareallowedtothe3rddigit(ex.121)
Enforcement Type
Type Description Definition
Informal Administrative Actions - Written and non-written actions that are 100 communications from EPA or a State agency that notify a hazardous waste site there is a Series problem and violations exist. Informal actions neither propose nor assess penalties.
Oral notification by an agency representative informing a RCRA hazardous waste site that they violated applicable 110 Verbal Informal laws or requirements. No further action is taken if the site achieves compliance in a timely manner.
A written notification by an agency representative informing and notifying a RCRA hazardous waste site 120 Written Informal that they violated applicable laws or requirements, advising the site of what to correct and by what date the correction should take place.
A written notification by an agency representative to a 130 Notice of Determination RCRA site in response to the specific site’s self-disclosure of specific RCRA violations or requirements.
A written notification by an agency representative notifying a RCRA hazardous waste site of further Letter of Intent to Initiate 140 follow-up enforcements action by the responsible Enforcement Action agency. In some instances, these actions may be considered Notices of Intent or Show Cause letters.
Initial Formal Administrative Actions - Initial formal administrative enforcement 200 actions issued by the implementing agency asserting the agency's position that violations Series have occurred and that require hazardous waste sites to correct violations within a specified period and may propose penalties.
Initial formal administrative enforcement action issued by the implementing agency asserting the agency's position that violations have occurred. The respondent/defendant 210 Initial 3008(a) Compliance is afforded the opportunity to appeal the agency's
determination of violations to a trier of fact. These Initiald formalf administrativei l iorder issued byd the l i Initial Imminent and implementing agency addressing conditions which may 220 Substantial Endangerment present an imminent and substantial endangerment to Order public health or the environment.
Initial formal administrative order issued by the Initial Monitoring, Analysis, 230 implementing agency addressing situations that Test Order require monitoring, testing and/or analysis.
Initial 3008(h) Interim Status Initial formal administrative order issued by the 240 Corrective Action Order (only implementing agency addressing corrective action. for non-HSWA violations)
A - 274 Enforcement Type
Note:ImplementerdefinedEnforcementtypesareallowedtothe3rddigit(ex.121)
Type Description Definition
An expedited initial formal administrative enforcement action addressing violations observed. These actions are 250 Field Citation often issued directly to a site in the field and assess penalties. In some instances, these actions may be considered Atickets.@ Final Formal Administrative Actions - Final formal administrative enforcement actions 300 initiated by the implementing agency asserting the agency's position that violations have Series occurred and that require hazardous waste sites to correct violations within a specified period and may propose penalties.
Final formal administrative order issued by the implementing agency asserting the agency's position Final 3008(a) Compliance 310 that remedial action is required. The Order respondent/defendant is afforded the opportunity to appeal the agency's determination to a trier of fact.
Final formal administrative order issued by the implementing agency addressing conditions which may 320 Final Imminent Hazard Order present an imminent and substantial endangerment to public health or the environment.
Final formal administrative order issued by the Final Monitoring, Analysis, 330 implementing agency addressing situations that Test Order require monitoring, testing and/or analysis.
Final 3008(h) Interim Status Final formal administrative enforcement action issued by Corrective Action Orders 340 the implementing agency addressing corrective action (only for non-HSWA remediation needs. violations) Final formal enforcement code to be used when a super CA/FO is issued pursuant to Part 22.13(b). These Super CA/FOs require a CA/FO sequence number which will 380 Multi Site Super CA/FO be used to tie together all sites involved in this case. (Note: These actions MUST have a CA/FO sequence number, since it always has multiple sites.
Final formal enforcement code to be used when a super CA/FO is issues pursuant to Part 22.13(b). (Note: These 385 Single Site Super CA/FO actions CANNOT have a CA/FO sequence number. The enforcement involves only one site.) Civil Judicial Referrals - A formal written request to another agency or unit of 400 government to proceed with judicial enforcement (e.g., civil/judicial action)Actions recorded Series in the 400 series are generally followed by filing of formal actions recorded in the 500 series.
Referral to Attorney General A formal written request to Attorney General to proceed 410 with judicial enforcement.
Referral to DepartmentG of A formal written request to the Department of Justice 420 Justice (DOJ) to proceed with judicial enforcement.
Referral to DOJ to Collect A formal written request to the Department of Justice 425 Penalties to collect penalties.
Referral to District A formal written request to a District Attorney, City Attorney/City Attorney, County Attorney, or State Attorney to proceed 430 Attorney/County with judicial enforcement (all judicial referrals levels Attorney/State Attorney lower than DOJ and AG level)
A - 275 Enforcement Type
Note:ImplementerdefinedEnforcementtypesareallowedtothe3rddigit(ex.121)
Type Description Definition
Initial Civil Judicial Actions - Initial formal legal actions taken (formally filed) for 500 violation(s) that are not criminal actions, which may seek the imposition of penalties.
Series Actions recorded in the 500 series are generally initiated as a result of a referral as recorded in the 400 series.
Initial Civil Judicial Action for Initial formal legal actions taken (formally filed) for 510 Compliance and/or Monetary violation(s) that are not criminal actions, which require Penalty compliance and/or assessment of monetary penalties.
Initial Civil Action for Initial formal legal action filed in court to address 520 Imminent and Substantive conditions which may present an imminent and Endangerment substantial endangerment.
Initial formal legal action filed in court to address Initial Civil Judicial Action for 530 situations where violations require corrective Corrective Action action remediation response.
Final Civil Judicial Actions - Final formal legal actions taken (formally filed) for 600 violation(s) that are not criminal actions, which may seek the imposition of penalties.
Series Actions recorded in the 600 series are generally initiated as a result of a referral as recorded in the 500 series.
Final Civil Judicial Action for Final formal legal actions taken (formally filed) for 610 Compliance and/or Monetary violation(s) that are not criminal actions, which require Penalty compliance and/or assessment of monetary penalties.
Final formal legal action filed in court to address Final Civil Judicial Action for conditions which may present an imminent and 620 Imminent and Substantial substantial endangerment to public health or Endangerment the environment.
Final formal legal action filed in court to address Final Civil Judicial Action of 630 situations where violations require corrective Interim Corrective Action action remediation response.
Criminal Actions - Formal legal actions taken for knowing violations and knowing 700 endangerments or for placing another person in imminent danger or death or serious bodily Series i j A formal request to another agency or unit of government 710 Referral to Criminal to proceed with criminal enforcement.
A written notification advising a hazardous waste site 720 Criminal Indictment they have been charged with a criminal offense.
A court ruling which finds a hazardous waste site guilty 730 Criminal Conviction of a criminal offense.
A court ruling which finds a hazardous waste site not 740 Criminal Acquittal guilty and has been set free from the charge of an offense by verdict, sentence, or other legal process. 800 Administrative Referrals - A formal written request to another agency or unit of Series government to proceed with enforcement or to proceed with compliance investigation.
State to EPA Administrative A formal written request to EPA from a State to 810 Referral proceed with enforcement.
EPA to State Administrative A formal written request to a State from EPA to 820 Referral proceed with enforcement.
EPA RCRA to EPA CERCLA A formal written request from a State or EPA RCRA 830 Administrative Referral program to a State or EPA CERCLA program.
A - 276 A formal written request from an EPA Region(s) to EPA EPA Regions to EPA HQ840 Headquarters (HQ) that includes Federal Facilities Administrative Referral and/or other cases to be handled at the HQ level.
A - 277 Enforcement Type
Note:ImplementerdefinedEnforcementtypesareallowedtothe3rddigit(ex.121)
Type Description Definition
A formal written request from a RCRA regulatory Administrative Referrals to program that is referred to another RCRA regulatory 850 other RCRA Programs program, including UST, Corrective Action, and Municipal Solid Waste.
A formal written request form a RCRA regulatory program Administrative Referrals to 860 that is referred to other regulatory programs such as Air, other Programs Water, OSHA, etc.
A formal written request to the U.S. Treasury Department 865 Referral to US Treasury to collect penalties.
A - 278 Disposition Status Codes
Code Description Definition AS Action Satisfied The specific enforcement action is officially closed and has no (Case Closed) outstanding settlement payment or other terms or conditions remaining to be satisfied.
DR Dropped The specific enforcement action has been rejected, terminated, or removed from further consideration.
DS Dismissed The specific enforcement action has been dismissed by the court.
PC Public Review The specific enforcement action has completed it=s Public Completed Review period.
PR Open for Public The specific enforcement action is open for Public Review.
Review RI Reinstated The specific enforcement action was reinstated after having been dropped, returned, revoked, withdrawn RT Returned The specific enforcement action has been returned from the agency the case had been referred to without an enforcement action being taken. (For example, a case referred to DOJ was returned because DOJ declined to pursue the case and, as a result, the referral was returned to the referring agency for them to reconsider other enforcement options.) RV Revoked The specific enforcement action has been annulled, rescinded, repealed, canceled or otherwise made void.
WD Withdrawn The specific enforcement action has been officially withdrawn.
A - 279 Media Types Type Description Definition AIR Air Clean Air Act and other air programs Comprehensive Environmental CRE EPA CERCLA Response, Compensation, and Liability Act program (EPA) State programs similar in type to CRS State CERCLA – Type Programs the federal CERCLA program Emergency Planning and Community EPC EPCRA Right to Know Act program Federal Insecticide, Fungicide, FIF FIFRA and Rodenticide Act program RCRA Municipal Solid Waste program MSW RCRA Municipal Solid Waste (Federal or State type program) Other regulatory programs ORP Other Regulatory Programs (including OSHA and other miscellaneous programs) Toxic Substances Control Act PCB TSCA PCB (Polychlorinated Biphenyls) program RCA RCRA Corrective Action RCRA Corrective Action program Spill Prevention and Control and SPC SPCC Countermeasures program Toxic Substances Control Act TSC TSCA (non-PCB) (non-PCB) program UIC UIC Underground Injection Control program UST UST Underground Storage Tanks program Clean Water Act, Safe Drinking WAT Water Water Act, and other water programs WET Wetlands Wetlands program
A - 280 Penalty Type Type Code Name Description For 100 Series Enforcement Action Types: These actions are informal enforcement actions. No penalties should be associated with this type of enforcement action series.
- None For 200 and 300 Series Enforcement Action Types: These actions may involve penalties or no penalty at all. Since these series will are used to track formal enforcement actions from initial filing through to issuance of a final order or agreement and payment of penalty, all penalty code descriptors can be used.
Proposed Monetary The amount of the total penalty in dollars proposed in an initial PMP Penalty enforcement action.
The amount of the total penalty in dollars a site named in an Final Monetary enforcement action must pay directly to the responsible FMP Penalty agency (for consent agreements with SEP, this is exclusive of SEP credits).
The amount referenced in an enforcement action, at the issuance of the agreement, as the cost in dollars to the site of FSC Final SEP Cost a supplemental environmental project (SEP). The amount is used as the basis to determine how much of the cost may be applied as a SEP Credit (SCR) to offset a portion of a penalty.
The actual or estimated credit in dollars allowed by the agency for the completed SEP and applied towards the total final settlement amount. This is the dollar amount used as an SCR SEP Credit offset to the actual penalty amount, and usually represents only a portion of the actual cost (FSC) of the SEP. Note: Once actual final SEP amount is known this field should be modified to reflect the actual amount.
Used to track a final monetary penalty of zero to allow the recording of circumstances where the State or Region accessed a monetary penalty but later, through whatever means available, justified that the facility is unable to pay a penalty.
ZAP Zero Ability to Pay Penalty type “ZAP” allows the tracking of this final assessed/settled penalty of $0. Note: The penalty amount for penalty type “ZAP” can only be $0 (zero) and implementers must enter an explanation as to why there was an inability to pay the penalty into the penalty notes field. The notes field for penalty type “ZAP” will be enforcement sensitive and will never be released to the public.
A - 281 Penalty Type Type Code Name Description For 400 Series Enforcement Action Types: These actions may or may not involve recommendations for proposed penalties. If a proposed penalty is being included in the referral, it may be captured by using the Proposed Monetary Penalty code (PMP).
No other code may be associated with 400 series actions.
Proposed Monetary The amount of the total penalty in dollars proposed in an initial PMP Penalty enforcement action.
Used to track a final monetary penalty of zero to allow the recording of circumstances where the State or Region accessed a monetary penalty but later, through whatever means available, justified that the facility is unable to pay a penalty.
ZAP Zero Ability to Pay Penalty type “ZAP” allows the tracking of this final assessed/settled penalty of $0. Note: The penalty amount for penalty type “ZAP” can only be $0 (zero) and implementers must enter an explanation as to why there was an inability to pay the penalty into the penalty notes field. The notes field for penalty type “ZAP” will be enforcement sensitive and will never be released to the public.
For 500 and 600 Enforcement Action Types: These are the actions taken as a result of referrals made in the 400 series. For the 500 and 600 series, all penalty type codes may be used, as appropriate.
Proposed Monetary The amount of the total penalty in dollars proposed in an initial PMP Penalty enforcement action.
The amount of the total penalty in dollars a site named in an Final Monetary enforcement action must pay directly to the responsible FMP Penalty agency (for consent agreements with SEP, this is exclusive of SEP credits).
The amount referenced in an enforcement action, at the issuance of the agreement, as the cost in dollars to the site of FSC Final SEP Cost a supplemental environmental project (SEP). The amount is used as the basis to determine how much of the cost may be applied as a SEP Credit (SCR) to offset a portion of a penalty.
The actual or estimated credit in dollars allowed by the agency for the completed SEP and applied towards the total final settlement amount. This is the dollar amount used as an SCR SEP Credit offset to the actual penalty amount, and usually represents only a portion of the actual cost (FSC) of the SEP. Note: Once actual final SEP amount is known this field should be modified to reflect the actual amount.
Used to track a final monetary penalty of zero to allow the recording of circumstances where the State or Region accessed a monetary penalty but later, through whatever means available, justified that the facility is unable to pay ZAP Zero Ability to Pay a penalty.
Penalty type “ZAP” allows the tracking of this final assessed/settled penalty of $0. Note: The penalty amount for penalty type “ZAP” can only be $0 (zero) and implementers
A - 282 Penalty Type Type Code Name Description must enter an explanation as to why there was an inability to pay the penalty into the penalty notes field. The notes field for penalty type “ZAP” will be enforcement sensitive and will never be released to the public.
For 700 Enforcement Action Types: These actions involve enforcement actions to address criminal activity. In criminal actions, program offices will not be aware of any penalties until a fine has been handed down after conviction of the violator. At that point, the penalty is considered “final.” Accordingly, in cases where fines are included in the sentencing by a judge, the fine should be recorded as a Final Monetary Penalty (FMP).
The amount of the total penalty in dollars a site named in an Final Monetary enforcement action must pay directly to the responsible FMP Penalty agency (for consent agreements with SEP, this is exclusive of SEP credits).
Used to track a final monetary penalty of zero to allow the recording of circumstances where the State or Region accessed a monetary penalty but later, through whatever means available, justified that the facility is unable to pay a penalty.
ZAP Zero Ability to Pay Penalty type “ZAP” allows the tracking of this final assessed/settled penalty of $0. Note: The penalty amount for penalty type “ZAP” can only be $0 (zero) and implementers must enter an explanation as to why there was an inability to pay the penalty into the penalty notes field . The notes field for penalty type “ZAP” will be enforcement sensitive and will never be released to the public.
For 800 Enforcement Action Types: These actions are administrative referrals to other regulatory program offices to address. No penalties should be associated with this type of enforcement action series.
- None Total Final Settlement Total Final Settlement is another type of penalty amount which is not included as a value under Type of Penalty Amount Indicator. The Total Final Settlement must be calculated by summing the amount of the Final Monetary Penalty and the amount of the SEP Credit. For example, a final settlement could have a total settlement amount of $100,000. The settlement might require the site to send the responsible agency a check for $80,000 and engage in one or more supplemental environmental projects for which the agency would allow $20,000 in credit. To calculate Total Final Settlement: Sum the Penalty Amount field for penalty types “FMP” and “SCR”.
A - 283 Nationally Defined Supplemental Environmental Project (SEP) Codes Note:ImplementerdefinedEnforcementtypesareallowed.
Code Description Definition
Environmental Audits and EAA SEP types that involve auditing and assessment activities.
Assessment
Environmental Awareness SEP types that involve education and outreach activities, EAP Programs to both regulated and non-regulated communities.
Emergency Planning and SEP types involving emergency planning, preparedness, EPP Preparedness and related emergency management activities.
SEP types involving environmental restoration ERE Environmental Restoration and revitalization activities.
SEP types involving Environmental Management Systems.
EnvironmentalEMS Note: These types of SEPs must still be approved by HQ prior to issuance. Management Systems PHE Public Health SEP types involving activities impacting on public health.
Pollution Prevention and SEP types involving pollution prevention and/or PPR Reduction pollution reduction activities.
A - 284 HAZARDOUS WASTE PROGRAM INFORMATION & CONTACT LISTING
(LAST UPDATED SEPTEMBER, 2017)
Function/Issue Responsible E-mail Address Phone Website Person Air Bags http://www.deq.virginia.gov/Portals/0/DEQ/Land/ManagementofAutomotive.Airbags.pdf Aerosol Cans http://www.deq.virginia.gov/Portals/0/DEQ/Land/mac10.pdf Analytical Testing Methods https://www.epa.gov/hw-sw846 Authorization Gary Graham Gary.Graham@deq.virginia.gov 804-698-4103 https://www3.epa.gov/epawaste/laws-regs/state/stats/safrn/va.htm Biennial Report Sanjay Sanjay.thirunagari@deq.virginia.gov 804-698-4193 Thirunagari Boilers, Industrial Furnaces, Ashby Scott Ashby.scott@deq.virginia.gov 804-698-4467 Incinerators, & Miscellaneous Units (Subpart X) Clandestine Labs/Illegal Meth http://www.deq.virginia.gov/Portals/0/DEQ/Land/ManagementofWastefrom Illegal Meth Labs Labs.pdf Closure Requirements Leslie Romanchik Leslie.romanchik@deq.virginia.gov 804-698-4129
Code of Federal Regulations https://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFR&searchPat (40 CFR) h=Title+40%2FChapter+I%2FSubchapter+I&oldPath=Title+40%2FChapter+I&isCollapsed=t rue&selectedYearFrom=2015&ycord=1546 Corrective Action (RCRA Brett Fisher Brett.Fisher@deq.virginia.gov 804-698-4219 Subtitle C – site-wide)
Definition of Solid Waste Leslie Romanchik Leslie.romanchik@deq.virginia.gov 804-698-4129 (DSW) Rule & Recycling of Hazardous Waste Delisting Leslie Romanchik Leslie.romanchik@deq.virginia.gov 804-698-4129 ECHO (Enforcement & https://echo.epa.gov Compliance History Online) E-manifest (Electronic https://www.epa.gov/hwgenerators/hazardous-waste-electronic-manifest-system-e-Manifest) manifest E-waste (Electronic Waste) http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/RecyclingandLitterP reventionPrograms/ElectronicsRecycling/eWasteManagement.aspx Emergency Permits Ashby Scott Ashby.scott@deq.virginia.gov 804-698-4467 Enforcement Kristen Sadtler Kristen.sadtler@deq.virginia.gov 804-698-4149 Federal Register https://www.gpo.gov/fdsys/browse/collection.action?collectionCode=FR Financial Assurance Suzanne Taylor Suzanne.taylor@deq.virginia.gov 804-698-4146 Freedom of Information Act Cynthia Houchens Cynthia.houchens@deq.virginia.gov 804-698-4145 (FOIA) Requests (CO HW Files Only) Foreign Shipments (including Lisa Silvia Lisa.silvia@deq.virginia.gov 757-518-2140
A - 285import/export) Generator Improvements Lisa Silvia Lisa.silvia@deq.virginia.gov 757-518-2140 Rule
A - 286Generator Issues, General Lisa Ellis Lisa.ellis@deq.virginia.gov 804-698-4237 Graphical Information Allyson Lackey Kari.lackey@deq.virginia.gov 804-698-4421 Systems (GIS) Groundwater Monitoring Brett Fisher Brett.fisher@deq.virginia.gov 804-698-4219 Hazardous Materials State Police http://www.vsp.virginia.gov/Safety.shtm#FAQSafety Transportation Hazardous Waste Facility Leslie Romanchik Leslie.romanchik@deq.virginia.gov 804-698-4129 Siting Hazardous Waste Notification Kim Hughes Kimberlyn.hughes@deq.virginia.gov 804-698-4210 (8700-12 Form) Hazardous Waste Tracking Kim Hughes Kimberlyn.hughes@deq.virginia.gov 804-698-4210 Worksheets Hazardous Waste Leslie Romanchik Leslie.romanchik@deq.virginia.gov 804-698-4129 Transportation Household Hazardous Waste http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/RecyclingandLitterP reventionPrograms/HouseholdHazardousWasteManagement.aspx Land Disposal Restrictions Hassan Vakili Hassan.vakili@deq.virginia.gov 804-698-4155 (LDR) Laboratory Certification http://dgs.virginia.gov/DivisionofConsolidatedLaboratoryServices/Services/LaboratoryCer tification/tabid/508/Default.aspx Long Term Stewardship Brett Fisher Inspections MyRCRAID Kim Hughes Mixed Waste Leslie Romanchik National Enforcement https://www.epa.gov/compliance/national-enforcement-training-institute-neti-elearning-Training Institute (NETI) e- center Learning Center Performance Partnership Sanjay Sanjay.thirunagari@deq.virginia.gov 804-698-4193 Grant (PPG) Thirunagari Permitting Leslie Romanchik Leslie.romanchik@deq.virginia.gov 804-698-4129 Pharmaceuticals Proposed https://www.epa.gov/hwgenerators/proposed-rule-management-standards-hazardous-Rule (Management Standards waste-pharmaceuticals for Hazardous Waste Pharmaceuticals Pharmaceuticals Waste http://www.deq.virginia.gov/Portals/0/DEQ/Land/Guidance/faqawp.pdf Management Post-Closure Permits Leslie Romanchik Leslie.romanchik@deq.virginia.gov 804-698-4129 Provisional EPA ID Numbers Kim Hughes Kimberlyn.hughes@deq.virginia.gov 804-698-4210 Lisa Ellis Lisa.ellis@deq.virginia.gov 804-698-4237 Resource Conservation & https://www.epa.gov/laws-regulations/summary-resource-conservation-and-recovery-Recovery Act (RCRA) act RCRAInfo Kim Hughes Kimberlyn.hughes@deq.virginia.gov 804-698-4210 RCRAInfo Reports (RCRARep) https://cfext.epa.gov?RCRARep_MX/login/login1.cfm RCRA Online https://yosemite.epa.gov/osw/rcra.nsf/how+to+use?openform Regulatory Interpretation Lisa Ellis Lisa.ellis@deq.virginia.gov 804-698-4237
A - 287 Hassan Vakili Hassan.vakili@deq.virginia.gov 804-6984155 Statistics Hasan Keceli Hasan.keceli@deq.virginia.gov 804-698-4246 Solvent-Contaminated Wipes http://www.deq.virginia.gov/Portals/0/DEQ/Land/Solvent_Contaminated_Wipes_Compli ance_Assistance_Doc.pdf Subpart AA/BB/CC (air Ashby Scott Ashby.scott@deq.virginia.gov 804-698-4467 emissions) Training for HW Inspectors Lisa Ellis Lisa.ellis@deq.virginia.gov 804-698-4237 Surface Impoundments Leslie Romanchik Leslie.romanchik@deq.virginia.gov 804-698-4129 Universal Waste http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/SolidHazardousWas teRegulatoryPrograms/HazardousWaste/UniversalWasteManagement.aspx Universal Waste Lamp Ashby Scott Ashby.scott@deq.virginia.gov 804-698-4467 Crushing Variances Leslie Romanchik Leslie.romanchik@deq.virginia.gov 804-698-4129 Used Oil http://www.deq.virginia.gov/Portals/0/DEQ/Land/recyclablematerials.pdf Virginia Environmental Meghann Quinn Meghann.Quinn@deq.virginia.gov 804-698-4021 http://www.deq.virginia.gov/programs/pollutionprevention/virginiaenvironmentalexcelle Excellence Program (VEEP) nceprogram.aspx Virginia Waste Management http://www.deq.virginia.gov/LawsRegulations/CitizenBoards.aspx Board Waste “Frequent Questions” https://waste.zendesk.com/hc/en-us and “Ask a Question” EPA Waste Determinations Hassan Vakili Hassan.vakili@deq.virginia.gov 804-698-4155 Waste Management Act http://law.lis.virginia.gov/vacode/title10.1/chapter14/Waste Sampling https://www3.epa.gov/epawaste/laws-regs/state/stats/safrn/va.htm
A - 288 DEQ Program Contacts
PROGRAM NAME TITLE or FUNCTIONAL AREA EMAIL PHONE # OFFICE
FA/Waste Leslie Beckwith Director, Office of Financial Responsibility & Waste Programs Leslie.Beckwith@deq.virginia.gov (804) 698-4123 CO
Suzanne Taylor Financial Responsibility Programs Coordinator, VEERF suzanne.taylor@deq.virginia.gov (804) 698-4146 CO
Katy Dacey Financial Assurance, EIR Katy.Dacey@deq.virginia.gov (804) 698-4274 CO Financial Assurance Carlos Martinez Financial Assurance (Tanks), Waste Tires Carlos.Martinez@deq.virginia.gov (804) 698-4575 CO
Josiah Bennett Financial Assurance Josiah.Bennett@deq.virginia.gov (804) 698-4205 CO
Kathryn Perszyk Solid Waste Permit Coordinator Kathryn.Perszyk@deq.virginia.gov (703) 583-3856 NRO
Solid Waste Priscilla Fisher Solid Waste Compliance Coordinator Priscilla.Fisher@deq.virginia.gov (540) 574-7852 VRO
Geoff Christe Solid Waste Groundwater Program Coordinator Geoff.Christe@deq.virginia.gov (804) 698-4283 CO
Leslie Romanchik Hazardous Waste Program Manager Leslie.Romanchik@deq.virginia.gov (804) 698-4129 CO
Lisa Ellis Hazardous Waste Compliance Coordinator Lisa.Ellis@deq.virginia.gov (804) 698-4237 CO
Angela Alonso Hazardous Waste Permit Writer (HW Emergency Permits) Angela.Alonso@deq.virginia.gov (804) 698-4328 CO
Hazardous Ashby Scott Hazardous Waste Permit Writer Ashby.Scott@deq.virginia.gov (804) 698-4467 CO Waste
Russell McAvoy Hazardous Waste Permit Writer Russell.McAvoy@deq.virginia.gov (804) 698-4194 CO
Hassan Vakili Hazardous Waste Permit Writer Hassan.Vakili@deq.virginia.gov (804) 698-4155 CO
Kari Lackey GIS Technician/HW Inspector Kari.Lackey@deq.virginia.gov (804) 698-4421 CO
Data Management Program Manager, Billing, SWIA, Recycling Planning & Sanjay Thirunagari Sanjay.Thirunagari@deq.virginia.gov (804) 698-4193 CO Equipment Certifications, Tier II, SARA Title III, RCRA Grants Data Reporting Virginia (Ginny) Butler SWIA Coordinator, Financial Assurance, EIR's, Recycling Virginia.Butler@deq.virginia.gov (804) 698-4053 CO
A - 289 Kim Hughes RCRA Data Administrator / Environmental Data Analyst kimberlyn.hughes@deq.virginia.gov (804) 698-4201 CO
Hasan Keceli Statistician (Groundwater, Hazardous Waste, etc.) Hasan.Keceli@deq.virginia.gov (804) 698-4246 CO
Prina Chudasama Solid Waste Management Plans, Litter Grants, Tier II Prina.Chudasama@deq.virginia.gov (804) 698-4159 CO
Waste Data Management Support, Billing, EPA Provisional Nos., Maria Livaniou maria.livaniou@deq.virginia.gov (804) 698-4208 CO Biennial Reports
Shawn Davis Program & Data Assessment/Audit Coordinator Shawn.Davis@deq.virginia.gov (804) 698-4471 CO
Land Protection and Revitalization Legal Services Officer Russell Deppe Russell.Deppe@deq.virginia.gov (804) 698-4251 CO (Contact for waste enforcement cases prior to 6/10/16) Enforcement Enforcement Specialist - Stormwater & Waste Kristen Sadtler Kristen.Sadtler@deq.virginia.gov (804) 698-4149 CO (Contact for waste enforcement cases after 6/10/16)
Chris Evans Director, Office of Remediation Programs, Risk Assessment Chris.Evans@deq.virginia.gov (804) 698-4336 CO
Office of Brett Fisher RCRA Corrective Action Brett.Fisher@deq.virginia.gov (804) 698-4219 CO Remediation Programs Meade Anderson Voluntary Remediation & Brownfields Program J.Meade.Anderson@deq.virginia.gov (804) 698-4179 CO
(ORP)
Karen Doran Federal Facilities, CERCLA/Superfund Karen.Doran@deq.virginia.gov (804) 698-4594 CO
Devlin Harris Site Assessment Devlin.Harris@deq.virginia.gov (804) 698-4226 CO
Michelle Payne UECA Coordinator Michelle.Payne@deq.virginia.gov (804) 698-4014 CO
Betty Lamp Director, Office of Spill Response & Remediation Betty.Lamp@deq.virginia.gov (804) 698-4322 CO
John Giese AST/UST Tank Technical Manager John.Giese@deq.virginia.gov (804) 698-4287 CO
Office of Spill Vacant- refer to John PREP, Waste Complaints Response & Giese Remediation (OSSR) Russ Ellison Underground Storage Tank (UST) Compliance Program Russell.Ellison@deq.virginia.gov (804) 698-4269 CO
Kevin Greene Aboveground Storage Tank (AST) Compliance Program Kevin.Greene@deq.virginia.gov (804) 698-4236 CO
James Barnett Leaking Underground/Aboveground Storage Tanks James.Barnett@deq.virginia.gov (804) 698-4289 CO
A - 290 Renee Hooper Tank Regulatory & Legal Manager Renee.Hooper@deq.virginia.gov (804) 698-4018 CO
Alicia Meadows Underground Storage Tank (UST) Compliance Program Alicia.Meadows@deq.virginia.gov (434) 582-6201 BRRO
Marilynn Alfaro CEDS Business Analyst Marilynn.Alfaro@deq.virginia.gov (804) 698-4397 CO
Todd Alonzo Manager, Air Compliance Program Todd.Alonzo@deq.virginia.gov (804) 698-4280 CO
Lisa Ehrhart Technical and Procedural Coordinator Lisa.Ehrhart@deq.virginia.gov (804) 698-4035 CO
Air Megan Joyce Enforcement and Data Quality Coordinator Megan.Joyce@deq.virginia.gov (804) 698-4247 CO Compliance
Sherry Tostenson Regulatory and Centralized Compliance Coordinator Sherry.Tostenson@deq.virginia.gov (804) 698-4050 CO
Debbie White CEDSAir Business Analyst Deborah.White@deq.virginia.gov (804) 698-4408 CO
Tamera Thompson Manager, Air Permit Program Tamera.Thompson@deq.virginia.gov (804) 698-4502 CO Air Permits Amber Foster Title V Coordinator Amber.Foster@deq.virginia.gov (804) 698-4086 CO
Neil Zahradka Director, Office of Land Application Programs Neil.Zahradka@deq.virginia.gov (804) 698-4102 CO
Betsy Bowles Animal Feeding Operations (AFO) Betsy.Bowles@deq.virginia.gov (804) 698-4059 CO Land Application Bryan Cauthorn Biosolids Bryan.Cauthorn@deq.virginia.gov (804) 698-4592 CO Programs Christina Wood Biosolids Christina.Wood@deq.virginia.gov (804) 698-4263 CO
Valerie Rourke Water Reclamation & Reuse Valerie.Rourke@deq.virginia.gov (804) 698-4158 CO
Allan Brockenbrough Manager, Office of VPDES Permits Allan.Brockenbrough@deq.virginia.gov (804) 698-4147 CO
Curt Linderman Guidane & Regulation Coordinator Curtis.Linderman@deq.virginia.gov (804) 698-4468 CO VPDES Permits Matthew Richardson Individual & General Permits (Industrial Stormwater GP) Matthew.Richardson@deq.virginia.gov (804) 698-4195 CO
Jaime Bauer MS4 Permits, Team Leader Jaime.Bauer@deq.virginia.gov (804) 698-4416 CO
Ben Leach Manager, Office of Stormwater Management Benjamin.Leach@deq.virginia.gov (804) 698-4037 CO Stormwater Management Robert Cooper Stormwater BMP Technical Specialist Robert.Cooper@deq.virginia.gov (804) 698-4033 CO
A - 291 Larry Gavan Stormwater Plan Review Coordinator Larry.Gavan@deq.virginia.gov (804) 698-4040 CO
Heather McAlister Stormwater Plan Reviewer Heather.McAlister@deq.virginia.gov (804) 698-4215 CO
Holly Sepety Stormwater Permit Specialist Holly.Sepety@deq.virgina.gov (804) 698-4039 CO
David Davis Director, Office of Wetlands & Stream Protection Dave.Davis@deq.virginia.gov (804) 698-4105 CO Wetlands & Stream Steve Hardwick VWP Permit Coordinator Steven.Hardwick@deq.virginia.gov (804) 698-4168 CO Protection Brenda Winn Senior Program Coordinator Brenda.Winn@deq.virginia.gov (804) 698-4516 CO
Jerome Brooks Manager, Office of Water Compliance jerome.brooks@deq,virginia.gov (804) 698-4403 CO
Yieng-Hsien Choi VPDES Compliance Auditors (Coordinator) Lily.choi@deq.virginia.gov (804) 698-4054 CO
Water Troy Nipper VPDES Compliance/Inspections (Coordinator) Troy.nipper@deq.virginia.gov (804) 698-4535 CO Compliance
James Harper MS4 Stormwater Compliance/Inspections (Coordinator) mason.harper@deq.virginia.gov (804) 698-4023 CO
Matthew Stafford Construction Stormwater Compliance/Inspections (Coordinator) Matthew.stafford@deq.virginia.gov (804) 698-4097 CO
Directors & Managers are in bold font
A - 292ECHO and ECHO REGISTRATION Here is the link to the main ECHO page - https://echo.epa.gov/?redirect=echo Here is the link to register to set up an account to access additional information -https://echo.epa.gov/user/register A - 293 EPA Region 3 RCRA Expertise Contact Listing - Last Updated 3/15/2016
Function Responsible Person E-mail Adddress Phone #
Analytical Testing Methods Terry Simpson Simpson.terry@epa.gov 410-305-2739
Authorization & RCRA C (Hazardous Waste) Grant Issues Andrea Barbieri - PA, VA Barbieri.andrea@epa.gov 215-814-2953
Sara Kinslow - DC Kinslow.sara@epa.gov 215-814-5577
Cassie McGolrick - WV Mcgoldrick.catherin@epa.gov 215-814-3399
Stacie Pratt - DE, MD Pratt.stacie@epa.gov 215-814-5173
Boilers, Industrial Furnaces, Incinerators, & Miscellaneous Units (Subpart X) Gary Gross* Gross.gary@epa.gov 215-814-3412
Coal Combustion Residual (CCR) Rule Andrea Barbieri Barbieri.andrea@epa.gov 215-814-2953
Corrective Action Paul Gotthold - PA gotthold.paul@epa.gov 215-814-3410
A - 294 Luis Pizarro - DE, DC, MD, VA, and WV pizarro.luis@epa.gov 215-814-3444
Defintion of Solid Waste (DSW) Rule & Recycling of Hazardous Waste Sara Kinslow - DC Kinslow.sara@epa.gov 215-814-5577
E-manifest Andrea Barbieri Barbieri.andrea@epa.gov 215-814-2953
Enforcement Carol Amend Amend.carol@epa.gov 215-814-5430
Financial Assurance Cassie McGoldrick Mcgoldrick.catherin@epa.gov 215-814-3399
Foreign Shipments (including Import/Export) Andrew Ma Ma.andrew@epa.gov 410-305-3429
Generator Improvements Rule & Generator Issues, General Sara Kinslow Kinslow.sara@epa.gov 215-814-5577
Stacie Pratt Pratt.stacie@epa.gov 215-814-5173
Greener Cleanups Deb Goldblum Goldblum.deborah@epa.gov 215-814-3432
Hydrogeology & Geology Reviews Joel Hennessy Hennessy.joel@epa.gov 215-814-3390
Land Disposal Restrictions (LDR) & Delisting Andrea Barbieri Barbieri.andrea@epa.gov 215-814-2953
A - 295Medical Waste Cassie McGoldrick Mcgoldrick.catherin@epa.gov 215-814-3399
Nonhazardous Secondary Materials (NHSM) Rule Gary Gross* Gross.gary@epa.gov 215-814-3412
Permitting Issues, General Andrea Barbieri Barbieri.andrea@epa.gov 215-814-2953
Stacie Pratt Pratt.stacie@epa.gov 215-814-5173
Pharmaecuticals Rule Cassie McGoldrick Mcgoldrick.catherin@epa.gov 215-814-3399
Post-Closure Permits Andrea Barbieri Barbieri.andrea@epa.gov 215-814-2953
Quality Assurance Debra Forman Forman.debra@epa.gov 215-814-2073
RCRAInfo Cassie McGoldrick Mcgoldrick.catherin@epa.gov 215-814-3399
Redevelopment/Reuse Sharon Kenny Kenny.sharon@epa.gov 215-814-3417
Risk Assessment:
Ecological Ruth Prince Prince.ruth@epa.gov 215-814-3118
Human Health Ruth Prince Prince.ruth@epa.gov 215-814-3118
A - 296 Elizabeth Ann Quinn Quinn.elizabeth@epa.gov 215-814-3388
Subpart AA/BB/CC Stacie Pratt Pratt.stacie@epa.gov 215-814-5173
Surface Impoundments Stacie Pratt Pratt.stacie@epa.gov 215-814-5173
Sustainable Materials Management Deb Goldblum Goldblum.deborah@epa.gov 215-814-3432
Food Recovery Luke Wolfgang Wolfgang.luke@epa.gov 215-814-2913
Tom O'Donnell Odonnell.tom@epa.gov 215-814-2874
Federal Green Challenge & Fed Facility Sustainability David Iacono Iacono.david@epa.gov 1
Anaerobic Digestion & Composting Melissa Pennington Pennington.melissa@epa.gov 215-814-3372
E-cycling Dan Gallo Gallo.dan@epa.gov 215-814-2091
Landfills & Composting & Solid Waste (Subtitle D) Mike Giuranna Giuranna.mike@epa.gov 215-814-3298
Used Oil Cassie McGoldrick Mcgoldrick.catherin@epa.gov 215-814-3399
Vapor Intrusion/Groundwater Ruth Prince Prince.ruth@epa.gov 215-814-3118
A - 297 Elizabeth Ann Quinn Quinn.elizabeth@epa.gov 215-814-3388
Andrew Clibanoff Clibanoff.andrew@epa.gov 215-814-3391
Waste Determinations Stacie Pratt Pratt.stacie@epa.gov 215-814-5173
A - 298Hazardous Waste Questions to ask during PReP visits:
Auto Body Shops:
Do you have parts washer machines? How many? Who services them? How often? Are they normal parts washers or “hot” (self-distilling) parts washers? If they are the hot kind, what do you do with the bottoms that accumulate?
Do you use carburetor cleaner? What kind? Does it come in a can?
Do you use rags to clean off parts or carburetors with cleaner? What do you do with the rags? How often?
Do you use aerosol cans? What do you do with them?
Does your facility have fluorescent lights? What do you do with the bulbs when they burn out?
Do you generate Used Oil? Where do you store it? How often is it picked up and by whom?
Do you put any other wastes into your used oil?
What do you do with your oil filters? If you drain them, how do you drain them?
Do you paint vehicles? If you do, do you generate waste paint or solvent? How do you clean up from painting?
What do you do with lead acid batteries? Who picks them up?
Do you wash any chemicals down the drain?
Salvage Yards:
Do you accept used vehicles? Do you drain them? Where do you drain them? How do you collect the fluids that you drain? What do you do with the vehicles after that? Do any fluids remain in the vehicle while it is being kept for parts? How long does it stay on site? Where does it go when it is removed from the site?
What do you do with used oil filters removed from vehicles? If you drain them, how do you drain them?
Do you remove unexploded airbags from the vehicle? What do you do with them?
What do you do with waste Freon? What do you do with waste antifreeze?
How do you store used oil? How often is it picked up? Who picks it up and what do they do with it? Is anything mixed with the used oil?
Do you do any painting?
Do you use aerosol cans? What do you do with the empty cans?
Are there any wastes that you place into junk vehicles before you send them off-site as scrap metal?
What other wastes do you accept besides vehicles? Do you salvage empty drums? What do you do with them?
A - 299Do you maintain your own work vehicles here on site? If so, do you have parts washer machines? How many? Who services them? How often? Are they normal parts washers or “hot” (self-distilling) parts washers? If they are the hot kind, what do you do with the bottoms that accumulate?
Do you use carburetor cleaner? What kind? Does it come in a can?
Do you use rags to clean off parts or carburetors with cleaner? What do you do with the rags? How often?
Does your facility have fluorescent lights? What do you do with the bulbs when they burn out?
Do you paint vehicles? If you do, do you generate waste paint or solvent? How do you clean up from painting?
What do you do with lead acid batteries? Who picks them up?
Do you wash any chemicals down the drain?
A - 300 Hazardous Waste Storage Incompatibility Chart
If the waste contains: It may not be stored with any of the following: Acid (pH below 2.0) Caustics (pH above 12.5) Reactive Metals Alcohol Water Aldehydes Halogenated, Nitrated, or Unsaturated Hydrocarbons Reactive Organic Compounds and Solvents Spent Cyanide and Sulfide Solutions Oxidizers Caustic (pH above 12.5) Acid (pH below 2.0) Reactive Metals Alcohol Water Aldehydes Halogenated, Nitrated, or Unsaturated Hydrocarbons Reactive Organic Compounds and Solvents Reactive Metals Caustics Acids Alcohol Aldehydes Halogenated, Nitrated or Unsaturated Hydrocarbons Reactive Organic Compounds and Solvents Oxidizers Reactive Organic Compounds and Solvents Caustics Acids
R ti M t l Spent Cyanide and Sulfide Solutions Acids Oxidizers Acetic or Other Organic Acids Concentrated Mineral Acids Reactive Metals Reactive Organic Compounds and Solvents Ignitable Wastes Bolded Wastes have examples listed on the next page
In general: Reactives must be segregated from Ignitables
Acids must be segregated from Caustics
Corrosives should be segregated from Ignitables
Oxidizers should be segregated from EVERYTHING
Many Corrosives are “water reactive”
Most Organic Reactive must be segregated from Inorganic Reactives (Metals)
Some Deadly Combinations:
Acids + Oil/Grease = Fire Ignitable Liquids + Hydrogen Peroxide = Fire/Explosion
A - 301Acids + Caustics = Heat/Spattering Aluminum Powder + Ammonium Nitrate = Explosion
Caustics + Epoxies = Extreme Heat Sodium Cyanide + Sulfuric Acid = Lethal Hydrogen Cyanide
Chlorine Gas + Acetylene = Explosion Ammonia + Bleach = Noxious Fumes
A - 302 Some Examples of Common Chemicals and their Reactive Groups
Ignitables (Flammable/Combustible) Corrosive - Acids Corrosive - Bases Carburetor Cleaner Battery Acids Acetylene Sludge Alkaline Battery Acids Engine Cleaner Degreasers and Engine Cleaners Alkaline Cleaners Alkaline DegreasersEpoxy, Resin, Adhesive, Rubber Cement Etching Fluids Alkaline Etching Fluids Finishes Hydrobromic Acid Lime and Water Lime Wastewater Fuels Hydrochloric (Muriatic) Acid Potassium Hydroxide Lacquers Nitric Acid (< 40%) (Potash) Paints Phosphoric Acid Rust Removers Paint Thinners Rust Remover Sodium Hydroxide (Caustic Paint Wastes Sulfuric Acid Soda)
Pesticides that contain Solvents (such as Methyl
Alcohol, Ethyl Alcohol, Isopropyl Alcohol,
Toluene, Xylene)
Petroleum Solvents (Drycleaning Fluid)
Solvents (Acetone, Benzene, Carbon
Tetrachloride, Ethanol, Ethyl Benzene,
Isopropanol, Kerosene, Methanol, MEK,
Petroleum Distillates, Tetrahydrofuran, Reactive Metals Reactive Organic Compounds Oxidizers and Solutions Lithium (Batteries) Alcohols Chlorine Gas Aluminum Nitric Acid (> 40% aka AldehydesBeryllium Red Fuming Nitric) Calcium Nitrates Chromic Acids (from plating, Magnesium Stripping and anodizing) Sodium Perchlorates Cyanides (from electroplating) Perchloric Acid Zinc Powder Hypochlorides (from WWTP) Peroxides Organic Peroxides Perchlorates Calcium Hypochlorite (> 60%)
A - 303 Was facility operating Inspector Writes Deactivation and still performing a TSDF/Generator/ Preliminary Memo and Completes RCRA-regulated Other RCRA Handler tracking sheet RCRAInfo form, fills in tracking Inspection completion activity? N sheet
Y
Apparent Inspector Writes No Apparent Violations? Violations Letter w/Finalized Inspector sends email to facility Y Additional N N inspection report, Completes Information RCRAInfo Form, Fills in Tracking Sht. needed from Y facility?
Apparent Y Violations? Inspector Writes Informal Corrections All information Y Are the apparent violations received? letter w/ finalized inspection report, SNC violations or is the facility N completes RCRAInfo form, fills in N a chronic offender? tracking sheet
N Y Inspector Writes No Apparent N Violations Letter w/Finalized Inspector Writes Warning LetterSend Formal inspection report, Completes Y Apparent Violations w/Finalized Inspection Report, CompletesRequest for RCRAInfo Form, Fills in Tracking corrected prior to N Information with RCRAInfo Form, Fills in Tracking inspection report hard deadline issuance?
Y Y
All information Inspector Prepares NOV for Enforcement Adequate, Timelyreceived? N Review w/ Finalized Inspection Report, Response Received? N Completes RCRAInfo form when NOV is Y issued, fills in tracking sheet ***
Return Facility to Compliance – Letter Enforcement tracks or email to Facility,*** Subject to Enforcement Discretion return to compliance revised RCRAInfo form to Kim Hughes
A - 304
INSPECTION DECISION FLOW CHARTINVENTORY OF ACCUMULATION LOCATIONS
Name of Area Where Type of Waste(s) Person or Description of Number of Comments Location Located Accumulated Operator Container(s) or Containers Accumulation Responsible Tank(s) and/or Tanks
A - 305 VIRGINIA DEPARTMENT OF ENVIRONMENTAL QUALITY ___ Regional Office
Photos have not been altered except to change the size of the file.
Site Name: Permit# Taken By: < Inspector Name >
Photo Number: 1 Date:
Comments:
Photo Number: 2 Date:
Comments:
A - 306Photo Number: 3 Date: Comments: Photo Number: 4 Date: Comments:
A - 307 Form 1
Your Provisional EPA ID Number Is:
Site Name:
Site Address:
Contact Name & Number:
Date Issued:
Expiration Date:
Virginia Department of Environmental Quality (DEQ) has provided for the issuance of provisional EPA ID numbers to hazardous waste generators in cases where a site does not normally generate hazardous waste and hold a permanent ID number, but has generated hazardous waste due to some unusual circumstance, when an emergency situation arises that necessitates the expedient management of a hazardous waste, or where the waste generation activity is temporary and of short duration, such as a specific job or contract activity. DEQ's compliance assistance policy on provisional EPA ID numbers may be found on our website at: http://www.deq.virginia.gov/Portals/0/DEQ/Land/issuanceofprovisionalEPAIDnumbers.p df
The following lists the conditions for use of the provisional EPA ID number you have been assigned. Failure to comply with the conditions may impact future attempts to obtain a provisional EPA ID number, require assignment of a permanent EPA ID number to the subject site, and/or may result in enforcement action. If you have questions, please contact your DEQ regional office identified on the DEQ website at: http://www.deq.virginia.gov/Locations.aspx
CONDITIONS FOR USE OF THE PROVISIONAL EPA ID NUMBER
- The provisional EPA ID number is being issued based on information provided in the RCRA SUBTITLE C SITE IDENTIFICATION FORM (EPA Form 8700-12).
The form and instructions for completing the form may be found on DEQ’s Internet website at: http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/SolidHazardou s WasteRegulatoryPrograms/HazardousWaste.aspx.
- The provisional EPA ID number issued on this date is a temporary number. It is DEQ's position that these numbers expire thirty (30) days from the date of issue and may be used on manifests up to two times within that 30-day period for the same waste generation event. If additional time becomes necessary, the generator can request one extension to the 30-day period. Should the activity take longer than 60 days, the generator will need to obtain a permanent EPA ID number for the site. This number will be deactivated at the end of the generation event.
A - 3083. If a generator will be routinely generating hazardous waste at a fixed site on a regular or even episodic basis, a temporary number may not be used and the generator must
A - 309 obtain a permanent EPA ID number.
NOTE: A Large Quantity Generator (LQG) is any generator who generates greater than 1,000 kg (approx. 2,200 lbs.) of hazardous waste or greater than 1 kg of acute hazardous waste in any calendar month. A Small Quantity Generator (SQG) generates between 100-1,000 kg/month (220 - 2,200 lbs.) of hazardous waste or less than 1kg of acute hazardous waste. A Conditionally Exempt Small Quantity Generator Quantity (CESQG) generates less than 100 kg/month (<220 lbs.) hazardous waste.
A chart summarizing the generator requirements for LQGs and SQGs is attached.
REQUIREMENTS FOR LARGE QUANTITY GENERATORS (LQG) In addition to complying with the RCRA generator accumulation requirements found in the Virginia Hazardous Waste Management Regulations (VHWMR), a generator of more than 1000 kg of hazardous waste or more than 1kg of acute hazardous waste in any calendar month of the year may be subject to an annual fee as provided under 9 VAC 20-60-262 B.8 of the
VHWMR.
Please note, an LQG or SQG must continue to comply with the applicable generator requirements from the commencement of the generating activity, through the last shipment of waste from the provisional event to an off-site TSD.
- Please complete the attached sheet related to the LQG Annual Fee and send it to DEQ within 30 days of expiration of temporary number. If the original provisional EPA ID number request specifies that the generator will be a SQG, a person who becomes a LQG (after receiving the provisional EPA I.D. number) shall notify the department in writing immediately of this change in status and document the change in the operating record. Any person that applies for a provisional EPA ID number as a LQG who ceases to be a LQG shall notify the department in writing immediately of this change in status and document the change in the operating record as specified by 9VAC20-60-315.D.
- A person who is a LQG at any time during the calendar year shall be assessed an annual fee of $1000. For the evaluation of facility status or of generator status, the annual year shall be considered to be from January 1 to December 31. Please note, if hazardous waste from a single provisional EPA ID event starts in one calendar year and is completed in the next, the responsibility will be on the generator to show that the hazardous waste was generated in one or both of the calendar years. Generators requiring a provisional EPA ID number for managing waste under the conditions of 9VAC 20-60-1283.F (emergency removal under official authority) are not subject to the fee. The fees regulations are available on the DEQ website at: http://www.deq.virginia.gov/Portals/0/DEQ/Land/Guidance/dhwfr.pdf
LQGs may pay the annual fee to the DEQ upon receiving the provisional EPA ID number. If the department does not receive the payment prior to the annual billing period, the department will bill the generator for amounts due or becoming due in the
A - 310 immediate future. All payments are due and shall be received by the department no later than the first day of October (for the preceding annual year) unless a later payment date is specified by the department in writing as per 9VAC20-60-1284.A.
Please be advised that if the invoice was received but not paid, you may be subject to a late penalty.
A LQG shall submit a transmittal letter to the DEQ which shall contain the name and address of the generator, the Federal Identification Number (FIN) for the generator, the amount of the payment enclosed, and the period that the payment covers. With the transmittal letter shall be payment in full for the correct fees due for the annual period. A copy of the transmittal letter only shall be maintained at the facility or the site where the hazardous waste was generated. Fees shall be paid by check, draft or postal money order made payable to "Treasurer of Virginia" and shall be sent to:
Department of Environmental Quality
Attn: Accounts Receivable
P.O. Box 1104
Richmond, VA 23218 (as specified by 9VAC20-60-1284.B.)
- Any person who is a LQG during an odd numbered year (i.e., 2017, 2019, or 2021, etc.), is subject to the biennial hazardous waste reporting requirement as specified
A - 311by 40 CFR 262.40. Additional information about the hazardous waste report is available at: https://www.epa.gov/hwgenerators/biennial-hazardous-waste-report
A - 312Form 2
Hazardous Waste Generator Status for Annual Fee
Please fill out the following form and return to the DEQ within 30 days after expiration of the provisional EPA ID number. Copies of manifests used to ship the provisionally-generated hazardous waste to a TSD should be provided along with this completed form.
Attention: Sanjay Thirunagari
Department of Environmental Quality P. O. Box 1105
Richmond, VA 23218
(Facility Name and EPA ID number)
Operated under the generator status of _________________________ during calendar
(LQG, SQG, CESQG, Non-generator)
Year .
EPA Form 8700-12 Submitted on: _______________________________
Waste generated: Start date: _________ End date: ________________
Total amount of waste generated from this event (lbs): ______________ Largest amount of waste generated in any month of the provisional event:
Facility billing contact person and billing address is as follows:
Billing contact name: ______ Billing contact phone number:
E-mail ID: _______________ Address:
A - 313All LQGs are billed an annual fee of $1000.00 per calendar year.
Prepared: 7/20/2017
A - 314 Summary Table – HW Generator Requirements
Requirement Conditionally Exempt Small Small Quantity Large Quantity Quantity Generators Generators Generators
Quantity Limits ≤100 kg/month, and >100 and <1,000 ≥1,000 kg/month, or >1 kg/month kg/month of acute The amount of hazardous ≤1 kg/month of acute hazardous waste, or waste generated per month >100 kg/month of acute hazardous waste, and categorized and what spill residue or soil regulations must be ≤100 kg/month of acute spill complied with. 262.34(d) 262.34(a) residue or soil EPA ID Number Not Required Required Required
identification number that identifies generators by site. 262.12 262.12 On-Site Accumulation ≤ 1,000 kg to remain a CESQG ≤ 6,000 kg No Limit Quantity ≤ 1 kg acute to remain a CESQG Determine amount of hazardous waste generators ≤ 100 kg of acute spill residue are allowed to "accumulate" or soil to remain a CESQG 262.34(d)(1) Accumulation Time Limits Time starts when/if a CESQG ≤180 days or ≤90 days Determine amount of time accumulates greater than ≤270 days (if transporting hazardous waste is allowed to 1,000 kg (approx.. five full 55-accumulate on site. gallon drums) – CESQG is greater than 200 miles) then an SQG 262.34(a) Accumulation Requirements None Basic requirements with Full compliance for Manage hazardous waste in technical standards for management of compliance with certain containers, tanks, drip containers, tanks, drip technical standards. pads or containment pads or containment buildings buildings
262.34(d)(2) and (3) 262.34(a) Personnel Training Not required Required Required
Ensure appropriate
personnel complete classroom or on-the-job training to become familiar with proper hazardous waste management and emergency procedures for 262.34(d)(5)(iii) 265.16 from 262.34(a)(4) the wastes handled at the Contingency Plan and Not required Basic planning required Full plan required Emergency Procedures Develop procedures to follow during an unplanned major event. 262.34(d)(5)(i-iv) Part 265 Subpart D Preparedness and Prevention Not required Required Required Develop procedures to follow in the event of an emergency. Part 265 Subpart C Part 265 Subpart C
A - 315Air Emissions Control Not required Not required Required hazardous air emissions from tanks and Part 265 Subparts AA, BB containers and CC Land Disposal Restrictions Not required Required Required Meet standards for placing on the land and associated requirements for certifications, notifications, and waste analysis plan. Part 268 Part 268 Manifest Not required Required Required
Tracking hazardous waste
copy manifest - required by the Department of Transportation (DOT) and EPA Part 262 Subpart B Part 262 Subpart B Waste Minimization None Good faith effort required Program in place required Certify steps taken to reduce or eliminate the generation of 262.27 262.27
Pre-Transport Requirements Only if required by the DOT or Required Required Package and label hazardous the state waste for shipment off site to a RCRA facility for treatment, storage, or disposal 262.30 – 262.33 262.30 – 262.33 Biennial Report Not required Not Required Required
d f ffshipments of waste during the previous calendar year 262.41 Exception and Additional Not required Required Required Reporting
Report if any required copies of signed manifests are not received back -Provide information on quantities and disposition of wastes upon 262.42(b) and 262.43 262.42 and 262.43 Recordkeeping Not required Required Required
d f fbiennial reports, exception reports and waste testing 262.40(a), (c) and (d) 262.40 Facility Type Send off- Facilities noted in 261.5(f)(3) RCRA permitted/interim RCRA permitted/interim site shipments to and (g)(3) status facility status facility appropriate facilities for management Parts 264/265, 266/267 Parts 264/265, 266/267 Closure Not required Tanks only - General 265.11(a) and 265.114 Close equipment, structures, soils and units by meeting - Unit specific Part 265, specified performance 265.201(f) Subparts I, J, W and DD standards and disposal and d
A - 316Sample PN Forward E-mail:
Subject: Provisional EPA ID# VAP
[Fill in Requestor Name],
Your assigned temporary EPA ID number is noted in the subject line above as well as entered onto a copy of the scanned form received and attached. Please also see the attached document for additional information regarding your provisional number. Pay particular attention to the additional requirements applicable to large quantity generators of hazardous waste. In addition, the attached letter includes a form that must be returned to DEQ. The form may be returned to me electronically, as hard copy, or mailed directly to the address on the form. (I suggest you attach the manifest(s) or similar shipping document and provide a statement as to time period of generation to support the statement on the
document.) The mailing address for DEQ __________ Regional Office follows my name below.
NOTE: Your provisional number has been issued through [EXPIRATION DATE].
If you have any questions, please feel free to contact me. Thank you.
A - 317RCRARep Information
Here is the link to the RCRAInfo Reporting Tool - https://cfext.epa.gov/RCRARepMX/login/login1.cfm
More info is here - http://www.epa.gov/rcrarep/
Your user ID and password are the same as the ones for RCRAInfo.
A - 318RCRA Section 3007 (As Amended by the Solid Waste Disposal Act of 1980 and the Hazardous and Solid Waste Amendments of 1984) INSPECTIONS Sec. 3007. (a) ACCESS ENTRY.— For purposes of developing or assisting in the development of any regulation or enforcing the provisions of this title, any person who generates, stores, treats, transports, disposes of, or otherwise handles or has handled hazardous waste shall, upon request of any officer, employee or representative of the Environmental Protection Agency, duly designated by the Administrator, or upon request of any duly designated officer, employee or representative of a State having an authorized hazardous waste program, furnish information relating to such wastes and permit such person at all reasonable times to have access to, and to copy all records relating to such wastes. For the purposes of developing or assisting in the development of any regulation or enforcing the provisions of this title, such officers, employees or representatives are authorized — (1) to enter at reasonable times any establishment or other place where hazardous wastes are or have been generated, stored, treated, disposed of, or transported from; (2) to inspect and obtain samples from any person of any such wastes and samples of any containers or labeling for such wastes.
Each such inspection shall be commenced and completed with reasonable promptness. If the officer, employee, or representative obtains any samples, prior to leaving the premises, he shall give to the owner, operator, or agent in charge a receipt describing the sample obtained and if requested a portion of each such sample equal in volume or weight to the portion retained. If any analysis is made of such samples, a copy of the results of such analysis shall be furnished promptly to the owner, operator, or agent in charge. (b) AVAILABILITY TO PUBLIC.—1) Any records, reports, or information (including records, reports, or information obtained by representatives of the Environmental Protection Agency) obtained from any person under this section shall be available to the public, except that upon a showing satisfactory to the Administrator (or the State, as the case may be) by any person that records, reports, or information, or particular part thereof, to which the Administrator (or the State, as the case may be) or any officer, employee or representative thereof has access under this section if made public, would divulge information entitled to protection under section 1905 of title 18 of the United States Code, such information or particular portion thereof shall be considered confidential in accordance with the purposes of that section, except that such record, report, document, or information may be disclosed to other officers, employees, or authorized representatives of the United States concerned with carrying out this Act, or when relevant in any proceeding under this Act. (2) Any person not subject to the provisions of section 1905 of title 18 of the United States Code who knowingly and willfully divulges or discloses any information entitled to protection under this subsection shall, upon conviction, be subject to a fine of not more than $5,000 or to imprisonment not to exceed one year, or both. (3) In submitting data under this Act, a person required to provide such data may — (A) designate the data which such person believes is entitled to protection under this subsection, and (B) submit such designated data separately from other data submitted under this Act.
A designation under this paragraph shall be made in writing and in such manner as the Administrator may prescribe.
A - 319 (4) Notwithstanding any limitation contained in this section or any other provision of law, all information reported to, or otherwise obtained by, the Administrator (or any representative of the Administrator) under this Act shall be made available, upon written request of any duly authorized committee of the Congress, to such committee. (c) FEDERAL FACILITY INSPECTIONS.—Beginning twelve months after the date of enactment of the Hazardous and Solid Waste Amendments of 1984, the Administrator shall, or in the case of a State with an authorized hazardous waste program the State may, undertake on an annual basis a A - 320 thorough inspection of each facility for the treatment, storage, or disposal of hazardous waste which is owned or operated by a Federal agency to enforce its compliance with this subtitle and the regulations promulgated thereunder. The records of such inspections shall be available to the public as provided in subsection (b). (d) STATE-OPERATED FACILITIES.—The Administrator shall annually undertake a thorough inspection of every facility for the treatment, storage, or disposal of hazardous waste which is operated by a State or local government for which a permit is required under section 3005 of this title. The records of such inspection shall be available to the public as provided in subsection (b). (e) MANDATORY INSPECTIONS.—(1) The Administrator (or the State in the case of a State having an authorized hazardous waste program under this subtitle) shall commence a program to thoroughly inspect every facility for the treatment, storage, or disposal of hazardous waste for which a permit is required under section 3005 no less often than every two years as to its compliance with this subtitle (and the regulations promulgated under this subtitle). Such inspections shall commence not later than twelve months after the date of enactment of the Hazardous and Solid Waste Amendments of 1984. The Administrator shall, after notice and opportunity for public comment, promulgate regulations governing the minimum frequency and manner of such inspections, including the manner in which records of such inspections shall be maintained and the manner in which reports of such inspections shall be filed. The Administrator may distinguish between classes and categories of facilities commensurate with the risks posed by each class or category. (2) Not later than six months after the date of enactment of the Hazardous and Solid Waste Amendments of 1984, the Administrator shall submit to the Congress a report on the potential for inspections of hazardous waste treatment, storage, or disposal facilities by nongovernmental inspectors as a supplement to inspections conducted by officers, employees, or representatives of the Environmental Protection Agency or States having authorized hazardous waste programs or operating under a cooperative agreement with the Administrator. Such report shall be prepared in cooperation with the States, insurance companies offering environmental impairment insurance, independent companies providing inspection services, and other such groups as appropriate. Such report shall contain recommendations on provisions and requirements for a program of private inspections to supplement governmental inspections.
[42 U.S.C. 6927]
A - 321
INSP ENFC RTC
N
Page 1 RCRA Evaluation - Violation - Enforcement Form Rev. 10/5/16
1 HANDLER INFORMATION
Handler's EPA ID Number: RCRA Non-Notifier:
Handler's Name (CURRENT/OLD RCRAINFO NAME):
Handler's Name (NEW FACILITY NAME):
Physical Address: City: State: Zip Code:
Physical Address (NEW): N/A City: N/A State: N/A Zip Code: N/A
County or City: Address Confirmed: NO Contact/Title:
Mailing Address: City: State: Zip Code:
Universe Change Required: Indi the RCRA Generator Universe Status of a RCRA Non-Notifier:
Facility's CURRENT/OLD Generator Universe in RCRAInfo:
Facility's NEW Generator Universe: NEW Generator Universe Effective Date:
<-- If Deactivating If New Generator Universe is Non-Generator, Deactivate? then the facility cannot be conducting any RCRA activities Grant Category for the RCRA Grant Work Plan: for Grant calculation only <--NotinRCRAInfo;
Inspection Category (for SQG/CESQG Commitments): <--Sub-categories for SQG/CESG commitments only
Comments:
DATA ENTRY INSTRUCTIONS
- Fill in the facility's Handler Information above. The Handler Id and Handler Name will self-populate throughout the entire form. (Please include physical address for verification of facility identity by data analyst.)
- If you are in Compliance and entering an Inspection, please go to the COMPLIANCE tab and fill in the appropriate information.
A - 3223. If you are in Compliance and entering an Enforcement Action, please go to Section 4 on the COMPLIANCE tab (page C2) and enter the appropriate information.
- To Return to Compliance cited violations, please go to the COMPLIANCE tab and fill in the RTC Dates and Qualifier for the affected Violations.
- If you are in Enforcement and entering an Enforcement Action , please use the ENFORCEMENT tab and enter the appropriate information. *****Violations on the COMPLIANCE tab are carried over to the ENFORCEMENT tab*****
- The ADDITIONAL DATA tab contains: Additional Violations, Additional Technical Requirement Milestones, and SEP.
A - 323 RCRA Compliance Form Page C1 Handler's EPA ID Number: 0 Handler's Name: 0
1 EVALUATION
Inspector: Region: Check one or both --> State Lead: EPA Lead: For EPA lead inspections, enter violations subjected to State Authority only.
Action Evaluation Type Eval Date Day Zero FCI Type
(A)
(B) <--- Select SNY to indicate if Facility is a SNC; if so, please fill in dates.
Evaluation Indicator: Citizen Complaint Multimedia Inspection Sampling Not Subtitle C
Inspection Report or Memo Filed:* Date Completed:* <--- * BOTH ARE REQUIRED *
Comments:
2 VIOLATIONS * Violation Viol Viol Date RTC Dates Action Seq Link Type Region Person Regulation Citation Comments S h d l d A t l
A - 324* If needed, continue Violations on pgs. C2-C4. More Violation entries are located on pg. A1 of the 'ADDITIONAL DATA' tab.
A - 325 Page C2 Handler's EPA ID Number: 0 Handler's Name: 0
3 ENFORCEMENT ACTIONS - BY COMPLIANCE STAFF
Inspector: Region:
Action Enforcement Type Enfc Date Multi-Media Enfc Code Contains CA Reqmts?
(A)
(B)
Comments:
Outstanding Violations Covered by the Above Enforcement Action Viol Seq Viol. Type Person Date Determined Viol Seq Viol Type Person Date Determined Viol Seq Viol Type Person Date Determined
A - 326A - 327Page C3 Handler's EPA ID Number: 0 Handler's Name: 0 4 VIOLATIONS... Continued Violation Viol Viol Date RTC Dates Region Person Regulation Citation Qual. Comments Action Seq Link Type S h d l d
A - 328A - 329Page C4 Handler's EPA ID Number: 0 Handler's Name: 0
5 VIOLATIONS... Continued Violation Viol Viol Date RTC Dates Link Region Person Regulation Citation Qual. Comments Action Seq Type
A - 330A - 331 RCRA Enforcement Form Page E1 Handler's EPA ID Number: 0 Handler's Name: 0
1 ENFORCEMENT ACTIONS - ENFORCEMENT
ENFORCEMENT Add Update Delete
- Enforcement Date * Enforcement Type Region Responsible Person (mm/dd/yyyy)
Comments:
If this facility is a SNC, does this Enforcement Action address the SNC determination?
Yes No If yes, please provide the date below:
* SNY Evaluation Start Date:
Does this Enforcement Action Contain Corrective Action Requirements? Yes No
Do you want to link Media? Yes No
If yes, please select from the list to the right:
- LINK VIOLATIONS TO THE ABOVE ENFORCEMENT ACTION? If Yes, review the pre-filled Violations below, originating from the Violations section on the
Yes No
2 VIOLATIONS Scheduled Actual RTC RTC Link * Date *Seq. * Viol. Already Violatio Determined Comments No. Type RTC'd? RTC Date Date Qualifier n (mm/dd/yyyy) An RTC Qualifier is required if entering an Actual
A - 332A - 333Page E2 Handler's EPA ID Number: 0 Handler's Name: 0 3 VIOLATIONS... Continued Scheduled Actual RTC RTC Link * Date *Seq. * Viol. Already Violatio Determined Comments No. Type RTC'd? RTC Date Date Qualifier n (mm/dd/yyyy) An RTC Qualifier is required if entering an Actual
A - 334A - 335Page E3 Handler's EPA ID Number: 0 Handler's Name: 0
4 PENALTY SECTION
PENALTY Add Update Delete Link to Above Enforcement: * Penalty Amount *Penalty Type Penalty Comments (Total)
PENALTY PAYMENT Add Update Delete Scheduled Date Paid Date Sequence No. Scheduled Amount Paid Amount Comments (mm/dd/yyyy) (mm/dd/yyyy)
PENALTY PAYMENT Add Update Delete Scheduled Date Paid Date Sequence No. Scheduled Amount Paid Amount Comments (mm/dd/yyyy) (mm/dd/yyyy)
PENALTY PAYMENT Add Update Delete Scheduled Date Paid Date Sequence No. Scheduled Amount Paid Amount Comments (mm/dd/yyyy) (mm/dd/yyyy)
PENALTY PAYMENT Add Update Delete
Scheduled Date Paid Date Sequence No. Scheduled Amount Paid Amount Comments (mm/dd/yyyy) (mm/dd/yyyy)
PENALTY PAYMENT Add Update Delete Scheduled Date Paid Date Sequence No. Scheduled Amount Paid Amount Comments (mm/dd/yyyy) (mm/dd/yyyy)
PENALTY PAYMENT Add Update Delete Scheduled Date Paid Date Sequence No. Scheduled Amount Paid Amount Comments (mm/dd/yyyy) (mm/dd/yyyy)
PENALTY PAYMENT Add Update Delete Scheduled Date Paid Date Sequence No. Scheduled Amount Paid Amount Comments (mm/dd/yyyy) (mm/dd/yyyy)
PENALTY PAYMENT Add Update Delete Scheduled Date Paid Date Sequence No. Scheduled Amount Paid Amount Comments (mm/dd/yyyy) (mm/dd/yyyy)
PENALTY PAYMENT Add Update Delete Scheduled Date Paid Date Sequence No. Scheduled Amount Paid Amount Comments (mm/dd/yyyy) (mm/dd/yyyy)
A - 336A - 337 Page E4 Handler's EPA ID Number: 0 Handler's Name: 0
TECHNICAL REQUIREMENT MILESTONE SECTION 5
Add Update Delete Link to Above Enforcement: *Technical Requirement Number:
*Technical Requirement Description:
Scheduled Completion Date: Actual Completion Date: Defaulted Date: (All mm/dd/yyyy format)
Notes:
Add Update Delete Link to Above Enforcement: *Technical Requirement Number:
*Technical Requirement Description:
Scheduled Completion Date: Actual Completion Date: Defaulted Date: (All mm/dd/yyyy format)
Notes:
Add Update Delete Link to Above Enforcement: *Technical Requirement Number:
*Technical Requirement Description:
Scheduled Completion Date: Actual Completion Date: Defaulted Date: (All mm/dd/yyyy format)
Notes:
Add Update Delete Link to Above Enforcement: *Technical Requirement Number:
*Technical Requirement Description:
Scheduled Completion Date: Actual Completion Date: Defaulted Date: (All mm/dd/yyyy format)
Notes:
Add Update Delete Link to Above Enforcement: *Technical Requirement Number:
*Technical Requirement Description:
Scheduled Completion Date: Actual Completion Date: Defaulted Date: (All mm/dd/yyyy format)
Notes:
Add Update Delete Link to Above Enforcement: *Technical Requirement Number:
*Technical Requirement Description:
Scheduled Completion Date: Actual Completion Date: Defaulted Date: (All mm/dd/yyyy format)
Notes:
Add Update Delete Link to Above Enforcement: *Technical Requirement Number:
*Technical Requirement Description:
Scheduled Completion Date: Actual Completion Date: Defaulted Date: (All mm/dd/yyyy format)
A - 338Notes:
A - 339 Page A1 Handler's EPA ID Number: 0 Handler's Name: 0
1 ADDITIONAL VIOLATIONS Violation V i o l LinkViolation Region Person Date Regulation Citation RTC Dates Qual. Comments Action S e q Type
A - 340 Page A2 Handler's EPA ID Number: 0 Handler's Name: 0
2 ADDITIONAL TECHNICAL REQUIREMENT MILESTONES
Add Update Delete Link to Above Enforcement:
*Technical Requirement Number:
- Technical Requirement Description: Actual Completion Date Defaulted Date Scheduled Completion Date (mm/dd/yyyy) (mm/dd/yyyy) (mm/dd/yyyy)
Notes:
Add Update Delete Link to Above Enforcement:
*Technical Requirement Number:
- Technical Requirement Description: Actual Completion Date Defaulted Date Scheduled Completion Date (mm/dd/yyyy) (mm/dd/yyyy) (mm/dd/yyyy)
Notes:
Add Update Delete Link to Above Enforcement:
*Technical Requirement Number:
- Technical Requirement Description: Actual Completion Date Defaulted Date Scheduled Completion Date (mm/dd/yyyy) (mm/dd/yyyy) (mm/dd/yyyy)
Notes:
Add Update Delete Link to Above Enforcement:
*Technical Requirement Number:
- Technical Requirement Description: Actual Completion Date Defaulted Date Scheduled Completion Date (mm/dd/yyyy) (mm/dd/yyyy) (mm/dd/yyyy)
Notes:
A - 341 Page A3 Handler's EPA ID Number: 0 Handler's Name: 0
SUPPLEMENTAL ENVIRONMENTAL PROJECT 3
Add Update Delete
- Link to Enforcement on RCRAInfo CM&E Enforcement Form? Yes No If Yes, attach enforcement form. If No, fill in the information below.
Enforcement Identifier: Enforcement Date (mm/dd/yyyy) : Enforcement Type:
- Scheduled Completion Actual Completion Date Defaulted Date * SEP Type
Notes:
Add Update Delete *Link to Enforcement on RCRAInfo CM&E Enforcement Form? Yes No If Yes, attach enforcement form. If No, fill in the information below.
Enforcement Identifier: Enforcement Date (mm/dd/yyyy) : Enforcement Type:
- Scheduled Completion Actual Completion Date Defaulted Date * SEP Type
Notes:
Add Update Delete
- Link to Enforcement on RCRAInfo CM&E Enforcement Form? Yes No If Yes, attach enforcement form. If No, fill in the information below.
Enforcement Identifier: Enforcement Date (mm/dd/yyyy) : Enforcement Type:
- Scheduled Completion Actual Completion Date Defaulted Date * SEP Type
Notes:
Add Update Delete *Link to Enforcement on RCRAInfo CM&E Enforcement Form? Yes No If Yes, attach enforcement form. If No, fill in the information below.
Enforcement Identifier: Enforcement Date (mm/dd/yyyy) : Enforcement Type:
- Scheduled Completion Actual Completion Date Defaulted Date * SEP Type
Notes:
A - 342 Page A4 Handler's EPA ID Number: 0 Handler's Name: 0 SUPPLEMENTAL ENVIRONMENTAL PROJECT... continued 4 (To add a SEP, a penalty type of FSC or SCR must exist.)
Add Update Delete
- Link to Enforcement on RCRAInfo CM&E Enforcement Form? Yes No If Yes, attach enforcement form. If No, fill in the information below.
Enforcement Identifier: Enforcement Date (mm/dd/yyyy) : Enforcement Type:
- Scheduled Completion Actual Completion Date Defaulted Date * SEP Type
Notes:
Add Update Delete
- Link to Enforcement on RCRAInfo CM&E Enforcement Form? Yes No If Yes, attach enforcement form. If No, fill in the information below.
Enforcement Identifier: Enforcement Date (mm/dd/yyyy) : Enforcement Type:
- Scheduled Completion Actual Completion Date Defaulted Date * SEP Type
Notes:
Add Update Delete *Link to Enforcement on RCRAInfo CM&E Enforcement Form? Yes No If Yes, attach enforcement form. If No, fill in the information below.
Enforcement Identifier: Enforcement Date (mm/dd/yyyy) : Enforcement Type:
- Scheduled Completion Actual Completion Date Defaulted Date * SEP Type
Notes:
A - 343ENFORCEMENT CODES Penalty Type:
PMP Proposed Monetary Penalty FMP Final Monetary Penalty FSC Final SEP Cost SCR SEP Credit USM Up to the Statutory Maximum
ZAP Zero Ability to Pay SEP Type:
EAA Environmental Audits and Assessment Enforcement Type NOTE: Some of these codes are not generally used and are not referenced in the drop menu. 119 - VA Warning Letter 120 W itt I f l 122 - Referral to Enforcement 123 - VA Termination of Enforcement Order 130 - HQ Notice of Determination 140 - HQ Letter of Intent to Initiate Enforcement Action 210 - Initial 3008(a) Compliance Order 208 - VA Initial Formal Administrative Enforcement Action (draft Consent Order) 209 - VA Revised Formal Administrative Enforcement Action (revised Consent Order) 220 - Imminent & Substantial Endangerment Order
A - 344 EAP Environmental Awareness Programs EPP Emergency Planning and Preparedness ERE Environmental Restoration EMS Environmental Management Systems PHE Public Health PPR Pollution Prevention and Reduction A - 345 318 - VA Special Order pursuant to §10.1-1186 319 - VA Administrative Order pursuant to §10.1-1455.G 320 - Final Imminent Hazard Order 330 - Final Monitoring, Analysis, Test Order 340 - Final 3008(h) I.S. CA Order 380 - HQ Multi-site CA/FO 385 - HQ Single Site CA/FO 410 - Referral to the Attorney General 420 - Referral to the Dept.of Justice 425 - Referral to DOJ to Collect Penalties 430 - Ref. to District/City/County/State Attorney 510 - Civil Judicial Action for Compliance and/or Monetary Penalty 520 - Civil Judicial Action for Imminent & Substantial Endangerment 530 - Initial Civil Judicial Action for Corrective Action 610 - Final Civil Judicial Action for Compliance and/or Monetary Penalty 620 - Final Civil Judicial Action for Imminent & Substantial Endangerment 630 - Final Civil Judicial Action for Interim Corrective Action 710 - Referral to Criminal Enforcement 720 - Criminal Indictment 730 - Criminal Conviction 740 - Criminal Acquital A - 346 810 - State to EPA Administrative Referral 820 - EPA to State Administrative Referral 830 - RCRA to CERCLA Administrative Referral 840 - EPA Regions to EPA HQ Administrative Referral 850 - HQ Administrative Referrals to Other RCRA Programs 860 - HQ Administrative Referrals to Other Programs 865 - HQ Referral to US Treasury Evaluation Types:
CAC - CORRECTIVE ACTION COMPLIANCE EVALUATION
CAV - COMPLIANCE ASSISTANCE VISIT
CDI - CASE DEVELOPMENT INSPECTION
CEI - COMPLIANCE EVALUATION INSPECTION ON-SITE
CSE - COMPLIANCE SCHEDULE EVALUATION
FCI - FOCUSED COMPLIANCE
FRR - FINANCIAL RECORD REVIEW
A - 347
FSD - FACILITY SELF DISCLOSURE
FUI - FOLLOW-UP INSPECTION
GME - GROUNDWATER MONITORING EVALUATION
NIR - NO 3007 INFORMATION REQUEST
NRR - NON-FINANCIAL RECORD REVIEW
OAM - OPERATION AND MAINTENANCE INSPECTION
SNN - NOT A SIGNIFICANT NON-COMPLIER
SNY - SIGNIFICANT NON-COMPLIER
Media Types:
AIR - Clean Air Act & Other Air Programs
CRE-EPA CERCLA
CRS-State CERCLA-Type Programs
EPC-EPCRA
FIF - FIFRA
MSW - RCRA Municipal Solid Waste
ORP - Other Regulatory Programs
PCB - TSCA PCB
RCA - RCRA Corrective Action
SPCC - Spill Prevention Control & Countermeasures
TSC - TSCA (Non-PCB)
A - 348UIC - Underground Injection
UST - Underground Storage Tanks Program
WAT - Clean Water Act, Safe Drinking water & other
WET - Wetlands program
http://deqnet/docs/waste/ waste progs/Hazardous Waste Data Management/RCRAInfo/v3codecrosswalks.pdf
http://deqnet/docs/waste/ waste progs/Hazardous Waste Data Management/RCRAInfo/hqsv3codes.pdf
http://www.epa.gov/RCRAInfo/
http://deqnet/docs/waste/ waste progs/Hazardous Waste Data Management/RCRAInfo/hqscitationlist.pdf
A - 349RCRARep Information
Here is the link to the RCRAInfo Reporting Tool - https://cfext.epa.gov/RCRARepMX/login/login1.cfm
More info is here - http://www.epa.gov/rcrarep/
Your user ID and password are the same as the ones for RCRAInfo.
A - 350Side-by-Side Comparison: Satellite Accumulation vs. Academic Labs Rule
Laboratories that Operate as Laboratories that Operate Under the Satellite Accumulation Areas (SAA) Academic Laboratories Rule (Subpart K) Regulatory Citation 40 CFR 262.34(c) 40 CFR Part 262 Subpart K Applicability Any SQG or LQG may establish an Any CESQG, SQG or LQG that is an eligible SAA “at or near any point of academic entity may opt into Subpart K generation” An eligible academic entity is a o College or university (C/U), or o Teaching hospital or non-profit research institute that is owned by or has a formal written affiliation agreement Terminology for regulated materials Hazardous waste Unwanted material Acute hazardous waste Reactive acutely hazardous unwanted material Maximum accumulation time in lab No time limit, unless maximum Six months accumulation volumes are exceeded (see below) Maximum accumulation volume in lab 55 gallons of hazardous waste 55 gallons of unwanted material Total of 1 quart of 124 P-listed Total of 1 quart of 6 P-listed reactive acute hazardous wastes acutely hazardous unwanted materials Time allowed to exceed maximum 3 calendar days 10 calendar days volumes in lab Container labeling in lab “Hazardous waste” or “Unwanted material” or “other “Other words that identify the equally effective term,” and contents of the container” Information re: contents of the container, and Sufficient information to make a hazardous waste determination, and Accumulation start date
A - 351 Hazardous waste determination Must be made at the point of generation: Choice of where and when to make:
In the SAA In the lab, before it is shipped off-site When the waste is first generated Within 4 days of arriving at on-site Central Accumulation Area (CAA) Withi 4 d f i i t it TSD
This chart is a summary of federal regulations and is not intended to be exhaustive. Prepared by EPA, July 2009
A - 352 Laboratories that Operate as Laboratories that Operate Under the Satellite Accumulation Areas (SAA) Academic Laboratories Rule (Subpart K) Acutes – Hazardous waste Any of 124 P-listed acute hazardous Any of 124 P-listed acute hazardous determination and generator status waste codes could apply waste codes could apply LQG status if >1 kg/month LQG status if >1 kg/month Training None required for laboratory personnel Training that is “commensurate with duties” is Training required for personnel required for lab workers and students in labs outside of SAA Training required for personnel outside of lab (“trained professionals”) Container management Containers must be in good condition Containers must be in good condition Contents must be compatible with Contents must be compatible with container container Containers must be kept closed except: Containers must be kept closed except: o When adding, removing, or consolidating o When adding or removing waste unwanted materials o Working containers may remain open until the end of shift or procedure, whichever is first o When venting is necessary On-site consolidation of containers Transfer of containers between SAAs is Transfer of containers between labs is not allowed, therefore on-site allowed, therefore on-site consolidation consolidation of containers may not of containers may occur without a 90/180 occur without a 90/180 day area day area Laboratory clean-outs Maximum volumes are easily Incentives provided to conduct clean-exceeded and excess volumes must be outs: (limited to once per lab per 12 removed within 3 days months) Often results in an increase in 30 days to conduct a clean-out generator status (episodic generation) Do not have to count hazardous waste from a clean-out toward generator status if it is UNUSED i l h i l d t
A - 353 Laboratory management plan (LMP) Not required 2-Part LMP required with 9 elements: Contents of Part I are enforceable o 2 elements in Part I Contents of Part II are NOT enforceable 7 elements in Part II
This chart is a summary of federal regulations and is not intended to be exhaustive. Prepared by EPA, July 2009
A - 354 Summary Chart of Universal Waste Regulations* (40 CFR Part 273)
Universal Waste Labeling Waste Notifications Management and Storage Employee Response to Off-site Tracking Requirements Requirements Time Limits Training Releases Shipments Marketing
Small Inform Immediately Only to other UW Quantity Identify employees of contain releases Handler, No Prevent One Year Handlers of specific type proper and properly Destination No Requirements Releases LimitUniversal of UW handling and manage released Facility or foreign RequirementsWaste emergency waste destination responses
Large Ensure Immediately Only to other UW Maintain Quantity Must notify Identify employee contain releases Handler, Prevent One Year receiving and Handlers of VA DEQ of specific type familiarity with and properly Destination Releases Limit shipping Universal activities of UW proper handling manage released Facility or foreign records for Waste and emergency waste destination three years
Only to UW Universal Immediately Handler, Waste Comply with Comply Comply with Comply with contain releases Destination Ten Day Comply with DOTTransporters DOT with DOT DOT DOT and properly Facility or foreign Limit Requirementsand Transfer manage released destination.
Facilities Requirements Requirements Requirement Requirements waste Comply with DOT Requirements
Only to UW Comply with Comply with Comply with Comply with Comply with Comply with Handler, Maintain Destination RCRA TSDF RCRA TSDF RCRA TSDF RCRA TSDF RCRA TSDF RCRA TSDF Destination Facilities Requirements Requirements Requirements Requirements Requirement Requirement Facility or foreign receiving records destination for three years
A - 355Acronyms
RCRA = Resource Conservation and Recovery Act
TSDF = Treatment, Storage or Disposal Facility
UW = Universal Waste
VA DEQ = Virginia Department of Environmental Quality
A - 356 Synopsis of Paperwork Requirements for SQGs and LQGs
SQG Paperwork Requirements: LQG Paperwork Requirements:
- Fire control equipment w/ inspection logs • HW Manifests
- Documentation of agreements with • UW and Used Oil Manifests or shipping local authorities papers (if applicable)
- Identification of Emergency Coordinator • Biennial Reports
- Emergency phone numbers posted • AA Inspection logs (if applicable)
- Location of fire extinguishers/evacuation plan • Analytical testing results/waste determinations
- HW manifests • Exception reports
- Inspection logs • Proof of fee payment (??)
- Analytical testing results/waste determinations • LDR form(s)
- UW and Used Oil Manifests or shipping papers • Inspection Logs (if applicable) • Waste Analysis plan (if required)
- LDR Notification Form(s) • Written training program, including UW
- Written training program – general and UW (if training (if applicable) applicable) • Job titles/descriptions for HW management
- Documentation of UW stored < 1 year. positions
- Training director training documents
- Contingency plan or SPCC plan including emergency coordinators and contact info, control procedures, and evacuation routes
- Documentation of agreements with local authorities
A - 357 Division of Enforcement
FAQs and Tips
7/28/05 Incident and Evidence Photography Before you shoot ...
Observe the whole scene Plan the story you want to tell
When you shoot...
Overall View
Capture the entire scene Take the photo from a natural perspective Take a minimum of four photos Take the photo from at least 75 to 100 feet
Mid-View
Connect the overall view to detailed close-ups Relate specific details and evidence to overall photos Use photos to continue the story
Close-Up Details
Take photos of specific items and evidence Fill the entire frame to get details Relate details to other objects and to scale
Supplemental Photos
Photos taken next day or later Aerial photos Special position photos Photos from witnesses’ perspectives Photos of crowd or surroundings
Authenticate
Don’t forget to Date, Sign and Identify each photo
A - 358? Observe And remember...
? Plan There’s no second chance to take that initial photo.
However, you can never take too many, because you ? Shoot may find new details in each photo you see.
A - 359 Division of Enforcement
FAQs and Tips
8/15/05Using Overfly (Aerial) Photography This photography is useful when you need to ...
Show an overview of the impact of the environmental conditions at a site Document impact in an area where access is difficult Obtain an administrative warrant
There are several options available ...
Historic
2002 GIS data-based 2002 statewide overfly photos (to be updated in 2006) 1992-96 color infrared overfly imagery Images are available in DEQ databases Current Digital pictures of an area or site involved in an environmental ermergency “Real time” digital satellite images that can be e-mailed to a ground location DEQ personnel may also be able to observe a site from the air. To schedule overfly photography requests for DEQ purposes, contact Central Office Enforcement. Overflights can be scheduled at 48 hours notice; cost is free or minimal.
A - 360Geo-referenced overfly photography exhibit of the Battle Creek Landfill used in the DEQ vs. Page County case
A - 361Hazardous Waste Generator Regulations A User-Friendly Reference Document Version 6: August 2012 This EPA document can be found at the following: https://www.epa.gov/hwgenerators/hazardous-waste-generator-regulations-user-friendly-reference-document A - 362 Table of Contents
General Hazardous Waste Generator Resources .............................................................. 10
CESQG Requirements......................................................................................................... 11
Applicability ................................................................................................................... 11
Generator Status Determination ................................................................................... 11
Hazardous Waste Determination ................................................................................... 12
Scope of Regulation....................................................................................................... 13
Acute Hazardous Wastes ............................................................................................... 13
Management Requirements .......................................................................................... 15
Mixing ............................................................................................................................. 15
On-site Accumulation Quantity Limits ........................................................................... 16
Consequences of Exceeding Quantity Limits ................................................................. 16
Subpart K—Alternative Requirements for Laboratories Owned by Eligible Academic
Entities ........................................................................................................................... 18
SQG Requirements ............................................................................................................. 34
Applicability .................................................................................................................... 34
Generator Status Determination ................................................................................... 36
Hazardous Waste Determination ................................................................................... 37
On-site Accumulation Time Limits ................................................................................. 38
On-site Accumulation Quantity Limits ........................................................................... 39
Consequences of Exceeding Quantity Limits ................................................................. 39
EPA ID Number ............................................................................................................... 40
Accumulation Requirements for Storage Units: Containers .......................................... 40
Accumulation Requirements for Storage Units: Tanks .................................................. 42
Satellite Accumulation ................................................................................................... 45
Marking and Labeling ..................................................................................................... 46
Personnel Training.......................................................................................................... 46
A - 363 Recordkeeping and Reporting ........................................................................................ 47
Additional Reporting ......................................................................................................47
Preparedness and Prevention ........................................................................................ 47
Emergency Procedures and Response ........................................................................... 49
Land Disposal Restrictions .............................................................................................. 50
Pre-transport Requirements .......................................................................................... 97
Manifest ......................................................................................................................... 98
Appendix to Part 262—Uniform Hazardous Waste Manifest and Instructions) ........ 106
Exception Reporting .................................................................................................... 119
Exports ......................................................................................................................... 120
Imports ........................................................................................................................ 127
Transfrontier Shipments of Hazardous Waste for Recovery within the OECD ............127
Farmers .........................................................................................................................144
Subpart K—Alternative Requirements for Laboratories Owned by Eligible Academic
Entities ......................................................................................................................... 145
LQG Requirements ...........................................................................................................161
Applicability ................................................................................................................. 161
Generator Status Determination ................................................................................ 163
A - 364Hazardous Waste Determination ................................................................................ 164
EPA ID Number ............................................................................................................ 165
On-site Accumulation Time Limits ............................................................................. 165
Consequences of Exceeding On-site Accumulation Time Limits ................................. 166
Accumulation Requirements for Storage Units: Containers ...................................... 167
Accumulation Requirements for Storage Units: Tanks ............................................... 168
Satellite Accumulation................................................................................................ 184
Marking and Labeling ................................................................................................. 185
Personnel Training ...................................................................................................... 186
Recordkeeping and Reporting .................................................................................... 187
Biennial Report ............................................................................................................ 188
Additional Reporting .................................................................................................. 189
Preparedness and Prevention .................................................................................... 189
Emergency Procedures and Response ....................................................................... 191
Land Disposal Restrictions .......................................................................................... 195
Pre-transport Requirements ....................................................................................... 244
Manifest....................................................................................................................... 245
Appendix to Part 262—Uniform Hazardous Waste Manifest and Instructions .......... 252
Exception Reporting .................................................................................................... 265
Exports ......................................................................................................................... 266
Imports ........................................................................................................................ 273
Transfrontier Shipments of Hazardous Waste for Recovery within the OECD ........... 274
Farmers ........................................................................................................................ 291
Accumulation Requirements for Storage Tanks: Drip Pads ........................................ 291
Accumulation Requirements for Storage Units: Containment Buildings .................... 297
Air Emissions ................................................................................................................ 303
Closure and Post-closure ............................................................................................. 403
Special Requirements for Generators of F006 ............................................................ 409 A - 365 Special Requirements for Performance Track Members ............................................ 411
Subpart K—Alternative Requirements for Laboratories Owned by Eligible Academic
Entities ......................................................................................................................... 414
Miscellaneous Resources ................................................................................................ 429
Co-Generation ............................................................................................................. 429
Empty Containers ........................................................................................................ 429
Treatment .................................................................................................................... 430
A - 366 Summary Chart
Hazardous Waste Generator Regulatory Requirements
REQUIREMENT CESQG SQG LQG
1 Purpose, Scope and See 40 CFR See 40 CFR See 40 CFR Applicability 262.10 (a) and (b)
2 Generator Status Determination See 40 CFR See 40 CFR See 40 CFR 261.5(c) and (d) 261.5(c) and (d) 261.5(c) and (d)
3 Hazardous Waste Determination See 40 CFR See 40 CFR See 40 CFR
262 11 262 11 262 11 4 Acute Hazardous Wastes See 40 CFR See 40 CFR See 40 CFR 261.5 (e) and (f) ( ) ( ) ( ) ( ) and (c) (2) and (c) (2)
5 Mixing See 40 CFR N/A* N/A 261.5 (h)-(j)
6 N/A See 40 CFR See 40 CFR On-site Accumulation Time Limits 262.34 (d)-(f) 262.34 (a)
7 On-Site Accumulation Quantity See 261.5 (a) See 40 CFR N/A Limits 262.34 (d)
8 Consequences of Exceeding See 261.5 (g) See 40 CFR N/A Quantity Limits 262.34 (f)
9 Consequences of Exceeding N/A See 40 CFR See 40 CFR Time Limits 262.34 (e) 262.34 (b)
10 Management Requirements See 40 CFR See Items 11- See Items 11-261.5 (g) 37, as 18, 20-30, 37, as applicable applicable 11 EPA ID Number N/A See 40 CFR See 40 CFR
262 12 262 12 12 Accumulation Requirements for N/A See 40 CFR See 40 CFR Storage Units: Containers and 177
13 Accumulation Requirements for N/A See 40 CFR See 40 CFR Storage Units: Tanks and 202
A - 367 REQUIREMENT CESQG SQG LQG
14 Satellite Accumulation N/A See 40 CFR See 40 CFR 262.34 (c) 262.34 (c)
15 Marking and Labeling N/A See 40 CFR See 40 CFR
( )( ) ( )( ) and (a)(3) and (a)(3)
16 Personnel Training N/A See 40 CFR See 40 CFR 262.34(d)(5)(iii)
17 Recordkeeping N/A See 40 CFR See 40 CFR
262 44 262 40 18 Emergency Procedures and N/A See 40 CFR See 40 CFR Response (d)( ) (i)-(ii) and (iv)
19 Biennial Report N/A N/A 40 CFR 262.41
20 Additional Reporting N/A 40 CFR 262.43 40 CFR262.43
21 Preparedness and Prevention N/A See 40 CFR See 40 CFR
265 30 37 265 30 37 22 Land Disposal Restrictions N/A See 40 CFR 268 See 40 CFR 268
23 Pre-transport Requirements N/A See 40 CFR See 40 CFR
262 30-33 262 30 33
24 Manifests N/A See 40 CFR See 40 CFR
25 Exception Reporting N/A See 40 CFR See 40 CFR
262 42
26 Appendix to Part 262—Uniform N/A See 40 CFR See 40 CFR Hazardous Waste Manifest and Appendix to Appendix to Instructions Part 262 Part 262
27 Exports N/A See 40 CFR See 40 CFR
28 Imports N/A See 40 CFR See 40 CFR
262 60 262 60
A - 368 REQUIREMENT CESQG SQG LQG
29 Transfrontier Shipments of N/A See 40 CFR See 40 CFR Hazardous Waste for Recovery within the OECD
30 Farmers N/A See 40 CFR See 40 CFR
262 70 262 70 31 Accumulation Requirements for N/A N/A See 40 CFR Storage Units: Containment Buildings
32 Accumulation Requirements for N/A N/A See 40 CFR Storage Units: Drip Pads
33 Air Emissions N/A N/A Subpart AA See 40 CFR
See 40 CFR Subpart BB 26 0 0 06 See 40 CFR Subpart CC 265 1080 1090 34 Closure and Post-Closure N/A N/A See 40 CFR 265.111 and 114
35 Special Requirements for N/A N/A See 40 CFR Generators of F006 262.34 (d)-(i)
36 Special Requirements for N/A N/A See 40 CFR Performance Track Members 262.34 (j) and (k)
37 Subpart K—Alternative See 40 CFR See 40 CFR See 40 CFR Requirements for Hazardous 262 200-216 Waste Determination and Accumulation of Unwanted Material for Laboratories Owned by Eligible Academic Entities
- N/A = not applicable
A - 369 9General Hazardous Waste Generator Resources
Hazardous Waste Management System: Definitions
Resource Conservation and Recovery Act: 2011 Orientation Manual
RCRA Training Modules
RCRA Hazardous Waste Generator Training Module
RCRA Hazardous Waste Identification Training Module
EPA Office of Enforcement and Compliance Assurance: Compliance Assistance Centers
Small Quantity Generator Handbook on Managing Hazardous Waste
Frequently Asked Questions on Waste
Important Federal Register (FR) Documents
Preamble to Original Hazardous Waste Generator Regulations (See 45 FR 33142) May 19, 1980, as amended at 45 FR 86970, December 31, 1980. 47 FR 1251, January 11, 1982 as related to Purpose, scope and applicability at 40 CFR 262.10 and Accumulation Time at 40 CFR 262.34. 51 FR 10146, March 24, 1986 as related to regulations for Small Quantity Generators. 51 FR 25422, July 14, 1986 as related to hazardous waste tank standards 70 FR 10776, March 4, 2005 and 70 FR 35034, June 16, 2005 as related to the hazardous waste manifest regulations. 71 FR 16862, April 4, 2006, as related to RCRA Burden Reduction Initiative. 73 FR 72912, December 1, 2008 as related to Subpart K and the Academic Laboratories regulations.
A - 370 10CESQG Requirements
General Information on Conditionally Exempt Small Quantity Generators (CESQGs) Frequently Asked Questions on Waste Hazardous Waste Management System: Definitions
Related Resources:
Amount of Waste Generated Per Month Determines Generator Status Management of Hazardous Waste Generated in Quantities Less Than 100 kg and Those That Are Thrown Away With Ordinary Garbage Generator Quantity Determination for Mixtures Generator Quantity Determinations for F006 Listed Sludge (8/16/2002) Elementary Neutralization Units Generator Counting Requirement for Solvent Stills
What makes a Waste Hazardous? Waste Analysis at Facilities that Generate, Treat, Store, and Dispose of Hazardous Waste: A Guidance Manual Policies Regarding Self-Certification of Non-Hazardous Waste Analytes to Look For When Performing RCRA Analysis Conditionally Exempt Small Quantity Generators Treating in Elementary Neutralization Units
Accumulation Time for Acute and Non-Acute Hazardous Wastes
Related Resources:
Clarification of §261.5(g)(3)(iv) Conditionally Exempt Small Quantity Generator Provisions
A - 371Relates Resources:
Generator Quantity Determination for Mixtures
Related Resources:
Conditionally Exempt Small Quantity Generator Provisions Amount of Waste Generated per Month Determines Generator Status
Related Resources:
Amount of Waste Generated per Month Determines
Summary of Regulatory Requirements Small Quantity Generator Handbook on Managing Hazardous Waste Frequently Asked Questions on Waste Hazardous Waste Management System: Definitions
Related Resources:
Amount of Waste Generated Per Month Determines Generator Status Determining Generator Status By Including Wastes Collected at Satellite Accumulation Areas Generator Quantity Determination for Mixtures Generator Quantity Determinations for F006 Listed Sludge (8/16/2002) Weight of Container for Quantity Determinations (6/1/1994) Elementary Neutralization Units Generator Counting Requirement for Solvent Stills Containment Buildings as Generator Accumulation Units
Related Resources:
What Makes a Waste Hazardous? Waste Analysis at Facilities that Generate, Treat, Store, and Dispose of Hazardous Waste: A Guidance Manual Policies Regarding Self-Certification of Non-Hazardous Waste Analytes to Look For When Performing RCRA Analysis
A - 372Related Resources:
100-1000 kg/mo Generators Classification and Possible Modification of the 90-Day Generator Rule Small Quantity Generator Accumulation Frequently Asked Questions on Generator Treatment Generator Treatment in Accumulation Tanks and Containers Treatment in Accumulation Tanks and Containers Allowed for All Generators Subject to 262.34
Related Resources:
Management of Hazardous Waste Generated in Quantities Less Than 100 kg and those that are Thrown Away with Ordinary Garbage Frequently Asked Questions on Hazardous Waste Generator Requirements Generator Quantity Determinations for F006 Listed Sludge Weight of Container for Quantity Determinations Amount of Waste Generated per Month Determines Generator Status
Related Resources:
Managing Your Hazardous Waste: A Guide for Small Businesses
Related Resources:
Hazardous Waste Container Storage Requirements Treating Wastes in Generators Accumulation Tanks and Containers Containers Storing Hazardous Waste, Requirements Containers for Safe and Economical Storage, Transport, and Disposal of Hazardous Waste Frequently Asked Questions on Generator Treatment Guidance on What Constitutes Closed Containers
Related Resources:
Hazardous Waste Tanks Inspection Manual Hazardous Waste Tanks Hazardous Waste Tanks - Installation/Certification of Secondary Containment Hazardous Waste Tanks/Containers – Capacity of Secondary Containment Releases From 90 Day Accumulation Tanks Secondary Containment for Hazardous Waste Tanks Secondary Containment Systems for Hazardous Waste Tanks Hazardous Waste Tank - Leak Detection
A - 373 Tank Integrity Assessments Tanks Holding Hazardous Waste Integrity Assessment for Hazardous Waste Tanks and Post-Closure Requirements Accumulation of Hazardous Waste in Tanks (90-Day) Inspections Requirements for Hazardous Waste Tanks Tank Replacement Start Dates on Large Quantity Generator Tanks Clarification of Requirements for Secondary Containment Systems Associated With Hazardous Waste Tanks Turnover of Hazardous Wastes Stored in Generator Accumulation Tanks
Regulation of Carbon Adsorption System
Related Resources:
Clarification of Section 262.34(A) Accumulation Time for Excess of 55-Gallon Limit in Satellite Accumulation Areas Frequently Asked Questions about Satellite Accumulation Areas Satellite Accumulation Satellite Accumulation Area and Regulations Cabinets as Satellite Accumulation Areas Clarification: Satellite Accumulation Provision Determining Generator Status by Including Wastes Collected at Satellite Accumulation Areas Clarification of the Satellite Accumulation Provision for Hazardous Waste Generators Clarification of Section 262.34(a) Accumulation Time for Excess of 55-Gallon Limit in Satellite Accumulation Areas
Generator Satellite Accumulation/Counting Requirements Satellite Accumulation Area Regulations Regulations That Apply to Generators Who Accumulate Waste in Containers At Or Near the Point of Generation
Related Resources:
Small Quantity Generator Accumulation Hazardous Waste Container Labeling Requirements
Related Resources:
A - 374 Episodic Generators and Personnel Training Clarification on the Amount, Type, and Frequency of Training Required for Personnel Handling Hazardous Waste at Facilities Interpretation of the Annual Training Requirements Training Employees Generator Personnel Training Requirements Hazardous Waste Training Under 40 CFR 262.34 Training and Manifest Signature Requirements for Generators
Related Resources:
Recordkeeping Requirements for Owners or Operators Assuming Generator Responsibilities Recordkeeping Requirements for Small Quantity Generators Subject to Land Disposal Restrictions Interpretation of 40 CFR 268.7 Requirements Amendments to Part 262 Hazardous Waste Determination and Recordkeeping Requirements of Part 262 and 268
Interpretation of Generator Requirements as Applied to Various On-Site and Off-Site Scenarios Interpretation of RCRA Regulations Pertaining to the Remediation of Contamination
.
A - 375Related Resources:
Land Disposal Restrictions: Summary of Requirements Land Disposal Restrictions Land Disposal Restrictions for F001-F005 Solvent Wastes Land Disposal Restriction Requirements For Characteristic Wastes LDR Notification for Listed and Characteristic Wastes Questions Regarding the Land Disposal Restrictions (LDR) Notification Regulations at 40 CFR 268.7 Recordkeeping Requirements for Small Quantity Generators Subject to Land Disposal Restrictions Land Disposal Restrictions Notification Requirements for Contaminated Soil One-Time Notification Requirement Under §268.7(a)(6) Land Disposal Restrictions- Land Disposal Definition, Lab Packs, Conditionally Exempt SQG Waste, Empty Containers
Related Resources:
Hazardous Waste Transport Between Contiguous Properties Manifest Exemption for Shipments Between Sites on Certain Contiguous Properties Labeling of Steel Drums Need Not Include Previous Contents Hazardous Waste Container Labeling Requirements
Related Resources:
Instructions for Completing the Hazardous Waste Manifest Environmental Fact Sheet: Hazardous Waste Manifest System Streamlined Instructions for Preparing Application Materials for Submittal to EPA’s Manifest Registry Federal Policy on Several Issues Related to the Use of the Hazardous Waste Manifest by Hazardous Waste Transporters Off-Site Shipments of Hazardous Waste to Designated Facilities Use of the Hazardous Waste Manifest for Import Shipments of Maquiladora Hazardous Wastes Uniform Manifest Form, Use of Continuation Sheet Manifesting Requirements Date of Shipment Determines Time Period for Exemption Reporting The Hazardous Waste Manifest System Hazardous Waste Manifest Provision for Rejected Shipments and Residues
A - 376 Date of Shipment
Related Resources:
Applicability of Transporter Requirements to Hazardous Waste Imports and Exports Generator as Primary Exporter Facts on Hazardous Waste Exports Broker as Intermediary Arranging for Export Tolling Agreements and Exports Export Requirements for Transportation Through Transit Countries Notification Requirements for Exported Wastes Exportation of Hazardous Waste Land Disposal Restrictions Applied to Exported Wastes Exporters of Hazardous Waste to Mexico, Responsibilities of Hazardous and Municipal Waste Imports and Exports Between the U.S. and Canada
Hazardous and Municipal Waste Imports and Exports Between the U.S. and Canada RCRA Hazardous Waste Import Requirements Concerns About Importing of Toxic Waste Accumulation Time for Hazardous Waste Importers
the waste hazardous. All responsibilities of the U.S. importer/exporter shift to the importer/exporter of the OECD Member country that considers the waste hazardous unless the parties make other arrangements through contracts.
Note to Paragraph (a)(2): Some wastes subject to the Amber control procedures are not listed or otherwise identified as hazardous under RCRA, and therefore are not subject to the Amber control procedures of this subpart. Regardless of the status of the waste under RCRA, however, other Federal environmental statutes ( e.g., the Toxic Substances Control Act) restrict certain waste imports or exports. Such restrictions continue to apply with regard to this subpart.
(3) Procedures for mixtures of wastes.
(i) A Green waste that is mixed with one or more other Green wastes such that the resulting mixture is not considered hazardous under U.S. national procedures as defined in §262.80(a) shall be subject to the Green control procedures, provided the composition of this mixture does not impair its environmentally sound recovery.
A - 377Note to Paragraph (a)(3)(i): The regulated community should note that some OECD Member countries may require, by domestic law, that mixtures of different Green wastes be subject to the Amber control procedures.
(ii) A Green waste that is mixed with one or more Amber wastes, in any amount, de minimis or otherwise, or a mixture of two or more Amber wastes, such that the resulting waste mixture is considered hazardous under U.S. national procedures as defined in §262.80(a) are subject to the Amber control procedures, provided the composition of this mixture does not impair its environmentally sound recovery.
Note to Paragraph (a)(3)(ii): The regulated community should note that some OECD Member countries may require, by domestic law, that a mixture of a Green waste and more than a de minimis amount of an Amber waste or a mixture of two or more Amber wastes be subject to the Amber control procedures.
(4) Wastes not yet assigned to an OECD waste list are eligible for transboundary movements, as follows:
(i) If such wastes are considered hazardous under U.S. national procedures as defined in §262.80(a), such wastes are subject to the Amber control procedures.
A - 378(ii) If such wastes are not considered hazardous under U.S. national procedures as defined in §262.80(a), such wastes are subject to the Green control procedures.
(b) General conditions applicable to transboundary movements of hazardous waste: (1) The waste must be destined for recovery operations at a facility that, under applicable domestic law, is operating or is authorized to operate in the importing country;
(2) The transboundary movement must be in compliance with applicable international transport agreements; and
Note to Paragraph (b)(2): These international agreements include, but are not limited to, the Chicago Convention (1944), ADR (1957), ADNR (1970), MARPOL Convention (1973/1978), SOLAS Convention (1974), IMDG Code (1985), COTIF (1985), and RID (1985).
(3) Any transit of waste through a non-OECD Member country must be conducted in compliance with all applicable international and national laws and regulations.
(c) Provisions relating to re-export for recovery to a third country: (1) Re-export of wastes subject to the Amber control procedures from the United States, as the country of import, to a third country listed in §262.58(a)(1) may occur only after an exporter in the United States provides notification to and obtains consent from the competent authorities in the third country, the original country of export, and any transit countries. The notification must comply with the notice and consent procedures in §262.83 for all countries concerned and the original country of export.
The competent authorities of the original country of export, as well as the competent authorities of all other countries concerned have thirty (30) days to object to the proposed movement.
(i) The thirty (30) day period begins once the competent authorities of both the initial country of export and new country of import issue Acknowledgements of Receipt of the notification.
(ii) The transboundary movement may commence if no objection has been lodged after the thirty (30) day period has passed or immediately after written consent is received from all relevant OECD importing and transit countries.
(2) In the case of re-export of Amber wastes to a country other than those listed in §262.58(a)(1), notification to and consent of the competent authorities of the original OECD Member country of export and any OECD Member countries of transit is required as specified in paragraph (c)(1) of this section, in addition to compliance with all international agreements and arrangements to which the first importing OECD Member country is a party and all applicable regulatory requirements for exports from the first country of import.
A - 379(d) Duty to return or re-export wastes subject to the Amber control procedures. When a transboundary movement of wastes subject to the Amber control procedures cannot be
A - 380completed in accordance with the terms of the contract or the consent(s) and alternative arrangements cannot be made to recover the waste in an environmentally sound manner in the country of import, the waste must be returned to the country of export or reexported to a third country. The provisions of paragraph (c) of this section apply to any shipments to be re-exported to a third country. The following provisions apply to shipments to be returned to the country of export as appropriate:
(1) Return from the United States to the country of export: The U.S. importer must inform EPA at the specified address in §262.83(b)(1)(i) of the need to return the shipment. EPA will then inform the competent authorities of the countries of export and transit, citing the reason(s) for returning the waste. The U.S. importer must complete the return within ninety (90) days from the time EPA informs the country of export of the need to return the waste, unless informed in writing by EPA of another timeframe agreed to by the concerned Member countries. If the return shipment will cross any transit country, the return shipment may only occur after EPA provides notification to and obtains consent from the competent authority of the country of transit, and provides a copy of that consent to the U.S. importer.
(2) Return from the country of import to the United States: The U.S. exporter must provide for the return of the hazardous waste shipment within ninety (90) days from the time the country of import informs EPA of the need to return the waste or such other period of time as the concerned Member countries agree. The U.S. exporter must submit an exception report to EPA in accordance with §262.87(b).
(e) Duty to return wastes subject to the Amber control procedures from a country of transit. When a transboundary movement of wastes subject to the Amber control procedures does not comply with the requirements of the notification and movement documents or otherwise constitutes illegal shipment, and if alternative arrangements cannot be made to recover these wastes in an environmentally sound manner, the waste must be returned to the country of export. The following provisions apply as appropriate:
(1) Return from the United States (as country of transit) to the country of export: The U.S. transporter must inform EPA at the specified address in §262.83(b)(1)(i) of the need to return the shipment. EPA will then inform the competent authority of the country of export, citing the reason(s) for returning the waste. The U.S. transporter must complete the return within ninety (90) days from the time EPA informs the country of export of the need to return the waste, unless informed in writing by EPA of another timeframe agreed to by the concerned Member countries.
(2) Return from the country of transit to the United States (as country of export): The U.S. exporter must provide for the return of the hazardous waste shipment within ninety (90) days from the time the competent authority of the country of transit informs EPA of the need to return the waste or such other period of time as the concerned Member countries agree. The U.S. exporter must submit an exception report to EPA in accordance with §262.87(b).
A - 381Related Resources:
Frequently Asked Questions on Imports and Exports of Hazardous Waste Between Members of the Organization for Economic Cooperation and Development (OECD) Frequently Asked Questions on the Basel Convention Revisions to OECD Imports and Exports Rule
Related Resources:
Scope of Farmer Exemption at 40 CFR §262.10(D) and 262.51
Related Resources:
Hazardous Waste Generated in Laboratories
LQG Requirements
Resources for Large Quantity Generators Frequently Asked Questions on Waste Hazardous Waste Management System: Definitions
Related Resources:
Amount of Waste Generated Per Month Determines Generator Status Determining Generator Status By Including Wastes Collected at Satellite Accumulation Areas Generator Quantity Determination for Mixtures Generator Quantity Determinations for F006 Listed Sludge (8/16/2002) Weight of Container for Quantity Determinations (6/1/1994) Elementary Neutralization Units Generator Counting Requirement for Solvent Stills Containment Buildings as Generator Accumulation Units
Related Resources:
What Makes a Waste Hazardous? Waste Analysis at Facilities that Generate, Treat, Store, and Dispose of Hazardous Waste: A Guidance Manual Policies Regarding Self-Certification of Non-Hazardous Waste
A - 382 Analytes to Look For When Performing RCRA Analysis
Managing Your Hazardous Waste: A Guide for Small Businesses
Related Resources:
Accumulation of Hazardous Waste in Tanks (90-day) Extension to Generator Accumulation Time Limits For Unforeseen, Temporary Circumstances Generator Accumulation Time Requirements Frequently Asked Questions on Hazardous Waste Generator Requirements Classification and Possible Modification of the 90-Day Generator Rule
Related Resources:
Hazardous Waste Container Storage Requirements Treating Wastes in Generators Accumulation Tanks and Containers Containers Storing Hazardous Waste, Requirements Containers for Safe and Economical Storage, Transport, and Disposal of Hazardous Waste LQG Compliance with Part 265 Guidance on What Constitutes Closed Containers Hazardous Waste Tanks Inspection Manual Hazardous Waste Tanks Hazardous Waste Tanks - Installation/Certification of Secondary Containment Hazardous Waste Tanks/Containers – Capacity of Secondary Containment Releases From 90 Day Accumulation Tanks Secondary Containment for Hazardous Waste Tanks Secondary Containment Systems for Hazardous Waste Tanks Hazardous Waste Tank - Leak Detection Tank Integrity Assessments Tanks Holding Hazardous Waste Integrity Assessment for Hazardous Waste Tanks and Post-Closure Requirements Accumulation of Hazardous Waste in Tanks (90-Day) Inspections Requirements for Hazardous Waste Tanks Tank Replacement Start Dates on Large Quantity Generator Tanks
A - 383 Clarification of Requirements for Secondary Containment Systems Associated With Hazardous Waste Tanks Turnover of Hazardous Wastes Stored in Generator Accumulation Tanks LQG Compliance with Part 265 Regulation of Carbon Adsorption System
Clarification of Section 262.34(A) Accumulation Time for Excess of 55-Gallon Limit in Satellite Accumulation Areas Frequently Asked Questions about Satellite Accumulation Satellite Accumulation Satellite Accumulation Area and Regulations Cabinets as Satellite Accumulation Areas Clarification: Satellite Accumulation Provision Determining Generator Status by Including Wastes Collected at Satellite Accumulation Areas Clarification of the Satellite Accumulation Provision for Hazardous Waste Generators Clarification of Section 262.34(a) Accumulation Time for Excess of 55-Gallon Limit in Satellite Accumulation Areas Generator Satellite Accumulation/Counting Requirements Satellite Accumulation Area Regulations Regulations That Apply to Generators Who Accumulate Waste in Containers At Or Near the Point of Generation
Related Resources:
Hazardous Waste Container Labeling Requirements Start Dates on Large Quantity Generator Tanks
Related Resources:
Episodic Generators and Personnel Training Clarification on the Amount, Type, and Frequency of Training Required for Personnel Handling Hazardous Waste at Facilities Interpretation of the Annual Training Requirements Training Employees Generator Personnel Training Requirements Hazardous Waste Training Under 40 CFR 262.34 Training and Manifest Signature Requirements for Generators
Related Resources
A - 384 Biennial Reporting for Wastes Treated in Exempt Units
Clarification of Requirements Involving the counting of Wood PreservingWaters for Biennial Reporting
Related Resources:
Recordkeeping Requirements for Owners or Operators Assuming Generator Responsibilities Interpretation of 40 CFR 268.7 Requirements Amendments to Part 262 Hazardous Waste Determination and Recordkeeping Requirements of Part 262 and 268
Related Resources:
LQG Compliance with Part 265
Related Resources:
Land Disposal Restrictions: Summary of Requirements Land Disposal Restrictions Land Disposal Restrictions for F001-F005 Solvent Wastes Land Disposal Restriction Requirements For Characteristic Wastes Land Disposal Restrictions Notification Requirements for Decharacterized Waste LDR Notification for Listed and Characteristic Wastes Questions Regarding the Land Disposal Restrictions (LDR) Notification Regulations at 40 CFR 268.7 Land Disposal Restrictions Notification Requirements for Contaminated Soil One-Time Notification Requirement Under §268.7(a)(6) Land Disposal Restrictions- Land Disposal Definition, Lab Packs, Conditionally Exempt SQG Waste, Empty Containers
A - 385Related Resources:
Hazardous Waste Transport Between Contiguous Properties Manifest Exemption for Shipments Between Sites on Certain Contiguous Properties Labeling of Steel Drums Need Not Include Previous Contents
Related Resources:
Instructions for Completing the Hazardous Waste Manifest Environmental Fact Sheet: Hazardous Waste Manifest System Streamlined Instructions for Preparing Application Materials for Submittal to EPA’s Manifest Registry Federal Policy on Several Issues Related to the Use of the Hazardous Waste Manifest by Hazardous Waste Transporters Off-Site Shipments of Hazardous Waste to Designated Facilities Use of the Hazardous Waste Manifest for Import Shipments of Maquiladora Hazardous Wastes DOT Manifest Requirements Uniform Manifest Form, Use of Continuation Sheet Manifesting Requirements Date of Shipment Determines Time Period for Exemption Reporting The Hazardous Waste Manifest System
2010] Related Resources:
Date of Shipment
Related Resources:
Applicability of Transporter Requirements to Hazardous Waste Imports and Exports Generator as Primary Exporter Facts on Hazardous Waste Exports Broker as Intermediary Arranging for Export Tolling Agreements and Exports Export Requirements for Transportation Through Transit Countries Notification Requirements for Exported Wastes Exportation of Hazardous Waste Land Disposal Restrictions Applied to Exported Wastes
Exporters of Hazardous Waste to Mexico, Responsibilities of Hazardous and Municipal Waste Imports and Exports Between the U.S. and Canada
A - 386Related Resources:
Hazardous and Municipal Waste Imports and Exports Between the U.S. and Canada RCRA Hazardous Waste Import Requirements Concerns About Importing of Toxic Waste Accumulation Time for Hazardous Waste Importers
(3) Company name and EPA ID number of all transporters;
(4) Identification (license, registered name or registration number) of means of transport, including types of packaging envisaged;
(5) Any special precautions to be taken by transporter(s);
(6) Certification/declaration signed by the exporter that no objection to the shipment has been lodged, as follows:
I certify that the above information is complete and correct to the best of my knowledge. I also certify that legally-enforceable written contractual obligations have been entered into, that any applicable insurance or other financial guarantees are or shall be in force covering the transboundary movement, and that:
- All necessary consents have been received; OR
- The shipment is directed to a recovery facility within the OECD area and no objection has been received from any of the countries concerned within the thirty (30) day tacit consent period; OR
- The shipment is directed to a recovery facility pre-approved for that type of waste within the OECD area; such an authorization has not been revoked, and no objection has been received from any of the countries concerned.
(Delete sentences that are not applicable)
Name: __ Signature: Date:
A - 387 (7) Appropriate signatures for each custody transfer ( e.g., transporter, importer, and owner or operator of the recovery facility).
(c) Exporters also must comply with the special manifest requirements of 40 CFR 262.54(a), (b), (c), (e), and (i) and importers must comply with the import requirements of 40 CFR part 262, subpart F.
Related Resources:
Frequently Asked Questions on Imports and Exports of Hazardous Waste Between Members of the Organization for Economic Cooperation and Development (OECD) Frequently Asked Questions on the Basel Convention Revisions to OECD Imports and Exports Rule
Scope of Farmer Exemption at 40 CFR §262.10(D) and 262.51
Options for CCA Wood Treatment Plants Converting to Preservatives That Do Not Generate Hazardous Waste Drip Pad Leakage Collection System Requirements Drip Pad Closure Notification and Certification Requirements LQG Compliance with Part 265
Containment Buildings as Secondary Containment Containment Building Certification Containment Buildings as Generator Accumulation Units
(1) A schedule of monitoring. (2) The percent of valves found leaking during each monitoring period. (j) The following information shall be recorded in a log that is kept in the facility operating record:
(1) Criteria required in Sec. Sec. 265.1052 (d)(5)(ii) and 265.1053(e)(2) and an explanation of the criteria. (2) Any changes to these criteria and the reasons for the changes. (k) The following information shall be recorded in a log that is kept in the facility operating record for use in determining exemptions as provided in the applicability section of this subpart and other specific subparts:
(1) An analysis determining the design capacity of the hazardous waste management unit.
A - 388(2) A statement listing the hazardous waste influent to and effluent from each hazardous waste management unit subject to the requirements in Sec. Sec. 265.1052 through 265.1060 and an analysis determining whether these hazardous wastes are heavy liquids. (3) An up-to-date analysis and the supporting information and data used to determine whether or not equipment is subject to the requirements in Sec. Sec. 265.1052 through 265.1060. The record shall include supporting documentation as required by Sec. 265.1063(d)(3) when application of the knowledge of the nature of the hazardous waste stream or the process by which it was produced is used. If the owner or operator takes any action (e.g., changing the process that produced the waste) that could result in an increase in the total organic content of the waste contained in or contacted by equipment
331
A - 389determined not to be subject to the requirements in Sec. Sec. 265.1052 through 265.1060, then a new determination is required.
(l) Records of the equipment leak information required by paragraph (d) of this section and the operating information required by paragraph (e) of this section need be kept only 3 years. (m) The owner or operator of any facility with equipment that is subject to this subpart and to leak detection, monitoring, and repair requirements under regulations at 40 CFR part 60, part 61, or part 63 may elect to determine compliance with this subpart either by documentation pursuant to Sec. 265.1064 of this subpart, or by documentation of compliance with the regulations at 40 CFR part 60, part 61, or part 63 pursuant to the relevant provisions of the regulations at 40 part 60, part 61, or part 63. The documentation of compliance under regulation at 40 CFR part 60, part 61, or part 63 shall be kept with or made readily available with the facility operating record.
[55 FR 25512, June 21, 1990, as amended at 56 FR 19290, Apr. 26, 1991; 61 FR 59971, Nov. 25, 1996; 62 FR 64662, Dec. 8, 1997]
Subpart CC: Air Emission Standards for Tanks, Surface Impoundments, and Containers
§265.1080: Applicability.
Source: 59 FR 62935, Dec. 6, 1994, unless otherwise noted.
(a) The requirements of this subpart apply to owners and operators of all facilities that treat, store, or dispose of hazardous waste in tanks, surface impoundments, or containers subject to either subpart I, J, or K of this part except as Sec. 265.1 and paragraph (b) of this section provide otherwise. (b) The requirements of this subpart do not apply to the following waste management units at the facility: (1) A waste management unit that holds hazardous waste placed in the unit before December 6, 1996, and in which no hazardous waste is added to the unit on or after December 6, 1996. (2) A container that has a design capacity less than or equal to 0.1 m\3\. (3) A tank in which an owner or operator has stopped adding hazardous waste and the owner or operator has begun implementing or completed closure pursuant to an approved closure plan. (4) A surface impoundment in which an owner or operator has stopped adding hazardous waste (except to implement an approved closure plan) and the owner or operator has begun implementing or completed closure pursuant to an approved closure plan. (5) A waste management unit that is used solely for on-site treatment or storage of hazardous waste that is placed in the unit as a result of implementing remedial activities required under the corrective action authorities of RCRA sections 3004(u), 3004(v), or 3008(h); CERCLA authorities; or similar Federal or State authorities.
A - 390(6) A waste management unit that is used solely for the management of radioactive mixed waste in accordance with all applicable regulations under the authority of the Atomic Energy Act and the Nuclear Waste Policy Act.
332
A - 391(7) A hazardous waste management unit that the owner or operator certifies is equipped with and operating air emission controls in accordance with the requirements of an applicable Clean Air Act regulation codified under 40 CFR part 60, part 61, or part 63. For the purpose of complying with this paragraph, a tank for which the air emission control includes an enclosure, as opposed to a cover, must be in compliance with the enclosure and control device requirements of Sec. 265.1085(i), except as provided in Sec. 265.1083(c)(5). (8) A tank that has a process vent as defined in 40 CFR 264.1031. (c) For the owner and operator of a facility subject to this subpart who has received a final permit under RCRA section 3005 prior to December 6, 1996, the following requirements apply:
(1) The requirements of 40 CFR part 264, subpart CC shall be incorporated into the permit when the permit is reissued in accordance with the requirements of 40 CFR 124.15 or reviewed in accordance with the requirements of 40 CFR 270.50(d). (2) Until the date when the permit is reissued in accordance with the requirements of 40 CFR 124.15 or reviewed in accordance with the requirements of 40 CFR 270.50(d), the owner and operator is subject to the requirements of this subpart. (d) The requirements of this subpart, except for the recordkeeping requirements specified in Sec. 265.1090(i) of this subpart, are administratively stayed for a tank or a container used for the management of hazardous waste generated by organic peroxide manufacturing and its associated laboratory operations when the owner or operator of the unit meets all of the following conditions:
(1) The owner or operator identifies that the tank or container receives hazardous waste generated by an organic peroxide manufacturing process producing more than one functional family of organic peroxides or multiple organic peroxides within one functional family, that one or more of these organic peroxides could potentially undergo self-accelerating thermal decomposition at or below ambient temperatures, and that organic peroxides are the predominant products manufactured by the process.
For the purpose of meeting the conditions of this paragraph, ̏organic peroxide" means an organic compound that contains the bivalent -O-O- structure and which may be considered to be a structural derivative of hydrogen peroxide where one or both of the hydrogen atoms has been replaced by an organic radical. (2) The owner or operator prepares documentation, in accordance with the requirements of Sec. 265.1090(i) of this subpart, explaining why an undue safety hazard would be created if air emission controls specified in Sec. Sec. 265.1085 through 265.1088 of this subpart are installed and operated on the tanks and containers used at the facility to manage the hazardous waste generated by the organic peroxide manufacturing process or processes meeting the conditions of paragraph (d)(1) of this section. (3) The owner or operator notifies the Regional Administrator in writing that hazardous waste generated by an organic peroxide manufacturing process or processes meeting the conditions of paragraph (d)(1) of this section are managed at the facility in tanks or containers meeting the conditions of paragraph (d)(2) of this section. The notification shall state the name and address of the facility, and be signed and dated by an authorized representative of the facility owner or operator.
A - 392(e)(1) Except as provided in paragraph (e)(2) of this section, the requirements of this subpart do not apply to the pharmaceutical manufacturing facility, commonly referred to
333
A - 393as the Stonewall Plant, located at Route 340 South, Elkton, Virginia, provided that facility is operated in compliance with the requirements contained in a Clean Air Act permit issued pursuant to 40 CFR 52.2454. The requirements of this subpart shall apply to the facility upon termination of the Clean Air Act permit issued pursuant to 40
CFR 52.2454.
(2) Notwithstanding paragraph (e)(1) of this section, any hazardous waste surface impoundment operated at the Stonewall Plant is subject to the standards in Sec. 265.1086 and all requirements related to hazardous waste surface impoundments that are
referenced in or by Sec. 265.1086, including the closed-vent system and control device requirements of Sec. 265.1088 and the recordkeeping requirements of Sec. 265.1090(c). (f) This section applies only to the facility commonly referred to as the OSi Specialties Plant, located on State Route 2, Sistersville, West Virginia (“Sistersville Plant").
(1)(i) Provided that the Sistersville Plant is in compliance with the requirements of paragraph (f)(2) of this section, the requirements referenced in paragraph (f)(1)(iii) of this section are temporarily deferred, as specified in paragraph (f)(3) of this section, with respect to the two hazardous waste surface impoundments at the Sistersville Plant.
Beginning on the date that paragraph (f)(1)(ii) of this section is first implemented, the temporary deferral of this paragraph shall no longer be effective.
(ii)(A) In the event that a notice of revocation is issued pursuant to paragraph (f)(3)(iv) of this section, the requirements referenced in paragraph (f)(1)(iii) of this section are temporarily deferred, with respect to the two hazardous waste surface impoundments, provided that the Sistersville Plant is in compliance with the requirements of paragraphs (f)(2)(ii), (f)(2)(iii), (f)(2)(iv), (f)(2)(v), (f)(2)(vi) and (g) of this section, except as provided under paragraph (f)(1)(ii)(B) of this section. The temporary deferral of the previous sentence shall be effective beginning on the date the Sistersville Plant receives written notification of revocation, and continuing for a maximum period of 18 months from that date, provided that the Sistersville Plant is in compliance with the requirements of paragraphs (f)(2)(ii), (f)(2)(iii), (f)(2)(iv), (f)(2)(v), (f)(2)(vi) and (g) of this section at all times during that 18-month period. In no event shall the temporary deferral continue to be effective after the MON Compliance Date.
(B) In the event that a notification of revocation is issued pursuant to paragraph (f)(3)(iv) of this section as a result of the permanent removal of the capper unit from methyl capped polyether production service, the requirements referenced in paragraph (f)(1)(iii) of this section are temporarily deferred, with respect to the two hazardous waste surface impoundments, provided that the Sistersville Plant is in compliance with the requirements of paragraphs (f)(2)(vi), and (g) of this section. The temporary deferral of the previous sentence shall be effective beginning on the date the Sistersville Plant receives written notification of revocation, and continuing for a maximum period of 18 months from that date, provided that the Sistersville Plant is in compliance with the requirements of paragraphs (f)(2)(vi) and (g) of this section at all times during that 18-month period. In no event shall the temporary deferral continue to be effective after the MON Compliance Date.
A - 394(iii) The standards in Sec. 265.1086 of this part, and all requirements referenced in or by Sec. 265.1086 that otherwise would apply to the two hazardous waste surface impoundments, including the closed-vent system and control device requirements of Sec. 265.1088 of this part.
(A) at the point of waste treatment of each waste stream exiting the process (Ca) during the run shall be determined in accordance with the requirements of paragraph (b)(3) of this section. (iv) The waste volatile organic mass flow entering the process (Eb) and the waste volatile organic mass flow exiting the process (Ea) shall be calculated by using the results determined in accordance with paragraph (b)(5)(iii) of this section and the following equations:
367
A - 395Where:
Ea = Waste volatile organic mass flow exiting process, kg/hr.
Eb = Waste volatile organic mass flow entering process, kg/hr.
m = Total number of runs (at least 3)
j = Individual run ``j''
Qb = Mass quantity of hazardous waste entering process during run ̏j," kg/hr.
Qa = Average mass quantity of hazardous waste exiting process during run ̏j," kg/hr.
Ca = Average VO concentration of hazardous waste exiting process during run ``j'' as determined in accordance with the requirements of Sec. 265.1084(b)(3) of this subpart, ppmw.
Cb = Average VO concentration of hazardous waste entering process during run ``j'' as determined in accordance with the requirements of Sec. 265.1084(a)(3) of this subpart, ppmw.
(v) The organic reduction efficiency of the process shall be calculated by using the results determined in accordance with paragraph (b)(5)(iv) of this section and the following equation:
Where:
R = Organic reduction efficiency, percent.
Eb = Waste volatile organic mass flow entering process as determined in accordance with
the requirements of paragraph (b)(5)(iv) of this section, kg/hr.
Ea = Waste volatile organic mass flow exiting process as determined in accordance with
the requirements of paragraph (b)(5)(iv) of this section, kg/hr.
(6) Procedure to determine the organic biodegradation efficiency (Rbio) for a treated hazardous waste.
A - 396(i) The fraction of organics biodegraded (Fbio) shall be determined using the procedure specified in 40 CFR part 63, appendix C of this chapter. (ii) The Rbio shall be calculated by using the following equation:
Where:
A - 397 368Rbio = Organic biodegradation efficiency, percent.
Fbio = Fraction of organic biodegraded as determined in accordance with the requirements
of paragraph (b)(6)(i) of this section.
(7) Procedure to determine the required organic mass removal rate (RMR) for a treated hazardous waste.
(i) All of the hazardous waste streams entering the treatment process shall be identified. (ii) The average VO concentration of each hazardous waste stream at the point of waste origination shall be determined in accordance with the requirements of paragraph (a) of this section. (iii) For each individual hazardous waste stream that has an average VO concentration equal to or greater than 500 ppmw at the point of waste origination, the average volumetric flow rate and the density of the hazardous waste stream at the point of waste origination shall be determined.
(iv) The RMR shall be calculated by using the average VO concentration, average volumetric flow rate, and density determined for each individual hazardous waste stream, and the following equation:
Where:
RMR = Required organic mass removal rate, kg/hr.
y = Individual hazardous waste stream ``y" that has an average VO concentration equal to
or greater than 500 ppmw at the point of waste origination as determined in accordance
with the requirements of Sec. 265.1084(a) of this subpart.
n = Total number of ̏y" hazardous waste streams treated by process.
Vy = Average volumetric flow rate of hazardous waste stream ̏y" at the point of waste
origination, m3/hr.
ky = Density of hazardous waste stream ̏y," kg/m3
Cy = Average VO concentration of hazardous waste stream ̏y" at the point of waste
origination as determined in accordance with the requirements of Sec. 265.1084(a) of this
subpart, ppmw.
A - 398(8) Procedure to determine the actual organic mass removal rate (MR) for a treated hazardous waste.
(i) The MR shall be determined based on results for a minimum of three consecutive runs. The sampling time for each run shall be 1 hour. (ii) The waste volatile organic mass flow entering the process (Eb) and the waste volatile organic mass flow exiting the process (Ea) shall be determined in accordance with the requirements of paragraph (b)(5)(iv) of this section. (v) The MR shall be calculated by using the mass flow rate determined in accordance with the requirements of paragraph (b)(8)(ii) of this section and the following equation:
369
A - 399MR=Eb-Ea
Where:
MR=Actual organic mass removal rate, kg/hr.
Eb=Waste volatile organic mass flow entering process as determined in accordance with
the requirements of paragraph (b)(5)(iv) of this section, kg/hr.
Ea=Waste volatile organic mass flow exiting process as determined in accordance with
the requirements of paragraph (b)(5)(iv) of this section, kg/hr.
(9) Procedure to determine the actual organic mass biodegradation rate (MRbio) for a treated hazardous waste.
(i) The MRbio shall be determined based on results for a minimum of three consecutive runs. The sampling time for each run shall be 1 hour. (ii) The waste organic mass flow entering the process (Eb) shall be determined in accordance with the requirements of paragraph (b)(5)(iv) of this section. (vi) The fraction of organic biodegraded (Fbio) shall be determined using the procedure specified in 40 CFR part 63, appendix C of this chapter. (vii) The MRbio shall be calculated by using the mass flow rates and fraction of organic biodegraded determined in accordance with the requirements of paragraphs (b)(9)(ii) and (b)(9)(iii) of this section, respectively, and the following equation:
MRbio=EbxFbio
Where:
MRbio=Actual organic mass biodegradation rate, kg/hr.
Eb=Waste organic mass flow entering process as determined in accordance with the
requirements of paragraph (b)(5)(iv) of this section, kg/hr.
Fbio=Fraction of organic biodegraded as determined in accordance with the requirements
of paragraph (b)(9)(iii) of this section.
(c) Procedure to determine the maximum organic vapor pressure of a hazardous waste in a tank.
(1) An owner or operator shall determine the maximum organic vapor pressure for each hazardous waste placed in a tank using Tank Level 1 controls in accordance with the standards specified in Sec. 265.1085(c) of this subpart. (2) An owner or operator shall use either direct measurement as specified in paragraph (c)(3) of this section or knowledge of the waste as specified by paragraph
A - 400(c)(4) of this section to determine the maximum organic vapor pressure which is representative of the hazardous waste composition stored or treated in the tank. (3) Direct measurement to determine the maximum organic vapor pressure of a hazardous waste. (i) Sampling. A sufficient number of samples shall be collected to be representative of the waste contained in the tank. All samples shall be collected and handled in accordance with written procedures prepared by the owner or operator and documented in a site sampling plan. This plan shall describe the procedure by which representative samples of
370
A - 401the hazardous waste are collected such that a minimum loss of organics occurs throughout the sample collection and handling process and by which sample integrity is maintained. A copy of the written sampling plan shall be maintained on-site in the facility operating records. An example of acceptable sample collection and handling procedures may be found in Method 25D in 40 CFR part 60, appendix A.
(ii) Analysis. Any appropriate one of the following methods may be used to analyze the samples and compute the maximum organic vapor pressure of the hazardous waste:
(A) Method 25E in 40 CFR part 60 appendix A; (B) Methods described in American Petroleum Institute Publication 2517, Third Edition, February 1989, ̏Evaporative Loss from External Floating-Roof Tanks," (incorporated by reference--refer to Sec. 260.11 of this chapter); (C) Methods obtained from standard reference texts; (D) ASTM Method 2879-92 (incorporated by reference--refer to Sec. 260.11 of this chapter); and
(E) Any other method approved by the Regional Administrator. (4) Use of knowledge to determine the maximum organic vapor pressure of the hazardous waste. Documentation shall be prepared and recorded that presents the information used as the basis for the owner's or operator's knowledge that the maximum organic vapor pressure of the hazardous waste is less than the maximum vapor pressure limit listed in Sec. 265.1085(b)(1)(i) of this subpart for the applicable tank design capacity category. An example of information that may be used is documentation that the hazardous waste is generated by a process for which at other locations it previously has been determined by direct measurement that the waste maximum organic vapor pressure is less than the maximum vapor pressure limit for the appropriate tank design capacity category. (d) Procedure for determining no detectable organic emissions for the purpose of complying with this subpart:
(1) The test shall be conducted in accordance with the procedures specified in Method 21 of 40 CFR part 60, appendix A. Each potential leak interface (i.e., a location where organic vapor leakage could occur) on the cover and associated closure devices shall be checked. Potential leak interfaces that are associated with covers and closure devices include, but are not limited to: The interface of the cover and its foundation mounting; the periphery of any opening on the cover and its associated closure device; and the sealing seat interface on a spring-loaded pressure relief valve. (2) The test shall be performed when the unit contains a hazardous waste having an organic concentration representative of the range of concentrations for the hazardous waste expected to be managed in the unit. During the test, the cover and closure devices shall be secured in the closed position. (3) The detection instrument shall meet the performance criteria of Method 21 of 40 CFR part 60, appendix A, except the instrument response factor criteria in section
- 1.2(a) of Method 21 shall be for the average composition of the organic constituents in the hazardous waste placed in the waste management unit, not for each individual organic constituent. (4) The detection instrument shall be calibrated before use on each day of its use by the procedures specified in Method 21 of 40 CFR part 60, appendix A.
A - 402(5) Calibration gases shall be as follows:
(i) Zero air (less than 10 ppmv hydrocarbon in air), and (ii) A mixture of methane or n-hexane and air at a concentration of approximately, but less than, 10,000 ppmv methane or n-hexane. (6) The background level shall be determined according to the procedures in Method 21 of 40 CFR part 60, appendix A. (7) Each potential leak interface shall be checked by traversing the instrument probe around the potential leak interface as close to the interface as possible, as described in Method 21 of 40 CFR part 60, appendix A. In the case when the configuration of the cover or closure device prevents a complete traverse of the interface, all accessible portions of the interface shall be sampled. In the case when the configuration of the closure device prevents any sampling at the interface and the device is equipped with an enclosed extension or horn (e.g., some pressure relief devices), the instrument probe inlet shall be placed at approximately the center of the exhaust area to the atmosphere. (8) The arithmetic difference between the maximum organic concentration indicated by the instrument and the background level shall be compared with the value of 500 ppmv except when monitoring a seal around a rotating shaft that passes through a cover opening, in which case the comparison shall be as specified in paragraph (d)(9) of this section. If the difference is less than 500 ppmv, then the potential leak interface is determined to operate with no detectable organic emissions. (9) For the seals around a rotating shaft that passes through a cover opening, the arithmetic difference between the maximum organic concentration indicated by the instrument and the background level shall be compared with the value of 10,000 ppmw. If the difference is less than 10,000 ppmw, then the potential leak interface is determined to operate with no detectable organic emissions.
[61 FR 59974, Nov. 25, 1996, as amended at 62 FR 64664, Dec. 8, 1997; 64 FR 3390, January 21, 1999]
§265.1085 Standards: Tanks.
(a) The provisions of this section apply to the control of air pollutant emissions from tanks for which Sec. 265.1083(b) of this subpart references the use of this section for such air emission control. (b) The owner or operator shall control air pollutant emissions from each tank subject to this section in accordance with the following requirements, as applicable: (1) For a tank that manages hazardous waste that meets all of the conditions specified in paragraphs (b)(1)(i) through (b)(1)(iii) of this section, the owner or operator shall control air pollutant emissions from the tank in accordance with the Tank Level 1 controls specified in paragraph (c) of this section or the Tank Level 2 controls specified in paragraph (d) of this section.
A - 403(i) The hazardous waste in the tank has a maximum organic vapor pressure which is less than the maximum organic vapor pressure limit for the tank's design capacity category as follows:
(A) For a tank design capacity equal to or greater than 151 m3, the maximum organic vapor pressure limit for the tank is 5.2 kPa.
372
A - 404(B) For a tank design capacity equal to or greater than 75 m3 but less than 151 m3, the maximum organic vapor pressure limit for the tank is 27.6 kPa. (C) For a tank design capacity less than 75 m3, the maximum organic vapor pressure limit for the tank is 76.6 kPa. (ii) The hazardous waste in the tank is not heated by the owner or operator to a temperature that is greater than the temperature at which the maximum organic vapor pressure of the hazardous waste is determined for the purpose of complying with paragraph (b)(1)(i) of this section. (iii)The hazardous waste in the tank is not treated by the owner or operator using a waste stabilization process, as defined in Sec. 265.1081 of this subpart. (2) For a tank that manages hazardous waste that does not meet all of the conditions specified in paragraphs (b)(1)(i) through (b)(1)(iii) of this section, the owner or operator shall control air pollutant emissions from the tank by using Tank Level 2 controls in accordance with the requirements of paragraph (d) of this section. Examples of tanks required to use Tank Level 2 controls include: A tank used for a waste stabilization process; and a tank for which the hazardous waste in the tank has a maximum organic vapor pressure that is equal to or greater than the maximum organic vapor pressure limit for the tank's design capacity category as specified in paragraph (b)(1)(i) of this section. (c) Owners and operators controlling air pollutant emissions from a tank using Tank Level 1 controls shall meet the requirements specified in paragraphs (c)(1) through (c)(4) of this section:
(1) The owner or operator shall determine the maximum organic vapor pressure for a hazardous waste to be managed in the tank using Tank Level 1 controls before the first time the hazardous waste is placed in the tank. The maximum organic vapor pressure shall be determined using the procedures specified in Sec. 265.1084(c) of this subpart.
Thereafter, the owner or operator shall perform a new determination whenever changes to the hazardous waste managed in the tank could potentially cause the maximum organic vapor pressure to increase to a level that is equal to or greater than the maximum organic vapor pressure limit for the tank design capacity category specified in paragraph (b)(1)(i) of this section, as applicable to the tank. (2) The tank shall be equipped with a fixed roof designed to meet the following specifications: (i) The fixed roof and its closure devices shall be designed to form a continuous barrier over the entire surface area of the hazardous waste in the tank. The fixed roof may be a separate cover installed on the tank (e.g., a removable cover mounted on an open-top tank) or may be an integral part of the tank structural design (e.g., a horizontal cylindrical tank equipped with a hatch). (ii) The fixed roof shall be installed in a manner such that there are no visible cracks, holes, gaps, or other open spaces between roof section joints or between the interface of the roof edge and the tank wall. (iii)Each opening in the fixed roof, and any manifold system associated with the fixed roof, shall be either: (A) Equipped with a closure device designed to operate such that when the closure device is secured in the closed position there are no visible cracks, holes, gaps, or other open spaces in the closure device or between the perimeter of the opening and the closure device; or
A - 405373 A -406 (B) Connected by a closed-vent system that is vented to a control device. The control device shall remove or destroy organics in the vent stream, and shall be operating whenever hazardous waste is managed in the tank, except as provided for in paragraphs (c)(2)(iii)(B)(1) and (2) of this section.
(1) During periods it is necessary to provide access to the tank for performing the activities of paragraph (c)(2)(iii)(B)(2) of this section, venting of the vapor headspace underneath the fixed roof to the control device is not required, opening of closure devices is allowed, and removal of the fixed roof is allowed. Following completion of the activity, the owner or operator shall promptly secure the closure device in the closed position or reinstall the cover, as applicable, and resume operation of the control device. (2) During periods of routine inspection, maintenance, or other activities needed for normal operations, and for the removal of accumulated sludge or other residues from the bottom of the tank. (iv) The fixed roof and its closure devices shall be made of suitable materials that will minimize exposure of the hazardous waste to the atmosphere, to the extent practical, and will maintain the integrity of the fixed roof and closure devices throughout their intended service life. Factors to be considered when selecting the materials for and designing the fixed roof and closure devices shall include: Organic vapor permeability, the effects of any contact with the hazardous waste or its vapors managed in the tank; the effects of outdoor exposure to wind, moisture, and sunlight; and the operating practices used for the tank on which the fixed roof is installed.
(3) Whenever a hazardous waste is in the tank, the fixed roof shall be installed with each closure device secured in the closed position except as follows: (i) Opening of closure devices or removal of the fixed roof is allowed at the following times:
(A) To provide access to the tank for performing routine inspection, maintenance, or other activities needed for normal operations. Examples of such activities include those times when a worker needs to open a port to sample the liquid in the tank, or when a worker needs to open a hatch to maintain or repair equipment. Following completion of the activity, the owner or operator shall promptly secure the closure device in the closed position or reinstall the cover, as applicable, to the tank. (B) To remove accumulated sludge or other residues from the bottom of tank. (ii) Opening of a spring-loaded pressure-vacuum relief valve, conservation vent, or similar type of pressure relief device which vents to the atmosphere is allowed during normal operations for the purpose of maintaining the tank internal pressure in accordance with the tank design specifications. The device shall be designed to operate with no detectable organic emissions when the device is secured in the closed position.
The settings at which the device opens shall be established such that the device remains in the closed position whenever the tank internal pressure is within the internal pressure operating range determined by the owner or operator based on the tank manufacturer recommendations, applicable regulations, fire protection and prevention codes, standard engineering codes and practices, or other requirements for the safe handling of flammable, ignitable, explosive, reactive, or hazardous materials. Examples of normal operating conditions that may require these devices to open are during those
A - 407times when the tank internal pressure exceeds the internal pressure operating range for the tank as a result of loading operations or diurnal ambient temperature fluctuations.
374
A - 408 Related Resources:
Frequently Asked Questions on the 40 CFR PART 264/265, Subpart CC Air Emission Standards RCRA Organic Air Emission Standards for TSDFs and Generators Applicability of Subpart CC Air Emission Regulations RCRA Organic Air Emissions Training and Assistance: RCRA Subpart AA, BB and CC Regulations Body of Knowledge
Technical Guidance Document for RCRA Air Emission Standards for Process Vents and Equipment Leaks Background Information Document for Promulgated Organic Air Emission Standards for Tanks, Surface Impoundments, and Containers Subpart CC Waste Determination Options Applicability of Parts 264/265, Subparts AA, BB and CC Waste Analysis Information for Purposes of Subpart CC Compliance Clarification of Subpart CC Standards Applicability of Subpart CC Air Emission Regulations
Related Resources:
Generator Closure Requirements Contents of Closure Plan Drip Pad Closure Notification and Certification Requirements
Related Resources:
Hazardous Waste Generated in Laboratories
Miscellaneous Resources
A - 409 Co-Generation
Regulatory Status of Waste Generated by Contractors and Resident from Lead-Based Paint Activities Conducted in Households (7/31/2000) Co-Generator Policy And Exceptions When a Generator Is Designated By A Mutual Agreement Among Co-Generators Frequently Asked Questions on Wastes Generator Status of Contractors Who Remove Lead-Based Paint Interpretation of Generator Requirements as Applied to Various On-Site and Off-Site Scenarios Ships as Generators and EPA Identification Numbers Contractors and Generator Responsibilities
Empty Containers
Regulatory Status of Residues Removed from Empty Containers Burning of Residues Remaining in Empty Containers Empty Containers Regulatory Status Policy on the Management of Rinsate from Empty Containers Triple Rinsing of Empty Containers Containers That Held Commercial Chemical Products, Definition of Empty Empty Container Residue Handling Empty Tank Cars That Contained Commercial Chemical Product Empty Container Rule Applied to Tanker or Vacuum Trucks Empty Container Regulations Steam-Spraying of an Empty Tank When Residue in an Empty Container is No Longer Regulated Empty Container Definition
Treatment
Generator Treatment in Accumulation Tanks and Containers Treatment in Accumulation Tanks and Containers Allowed for All Generators Subject to 262.34 Frequently Asked Questions on Generator Treatment Generator Treatment in Accumulation Tanks and Containers Treatment in Accumulation Tanks and Containers Allowed for All Generators Subject to 262.34 Treatment in a Generator’s 90-Day Containment Building Regulatory Clarification of Totally Enclosed Treatment Facility
A - 410 Virginia Project Management Responsibilities – Permitting and Corrective Action
Facility Name EPA ID # Permit CA/GW staff Units Authority Writer Aerojet Rocketdyne Inc. VAD981112618 Ashby Scott Kurt Kochan OB/OD, Containers Permit, CL Arlington County Equipment VAD988204921 NA Brett Fisher Surface Imp., Waste UECA Division Pile Ashland Hercules/ Courtland VAD003122165 NA Tara Mason Incinerator EPA CO Atlantic Research Center VAD023741705 NA EPA/Tara Mason OB/OD EPA CO Avionics Specialties Inc. VAD089027759 NA EPA/Tara Mason EPA CO BAE Systems Norfolk Ship Repair VAD003175072 NA EPA/Ryan Kelly Containers UECA BASF Corp. VAD990710642 NA Kurt Kochan Tank Treatment, FL Containers, Surface Imp.
Beazer East Inc. (Koppers Ind. VAD003125770 Angela Alonso Brett Fisher Surface Imp. Permit Salem) Containers Blue Ridge Talc VAD003124625 NA EPA/Brett Fisher Surface Imp.
Bohler-Uddeholm Specialty Metals VAD089022685 Ashby Scott Ryan Kelly Surface Imp. Permit BWX Technologies VAD046960449 Ashby Scott Kurt Kochan Landfills EPA CO, permit BWX Technologies VAD046960449 Ashby Scott Kurt Kochan Cold Pond EPA CO, CL Celanese Acetate VAD005007679 NA EPA/ Ryan Kelly Containers, Surface FL Imp.
Chemetrics VAR000010165 NA Tara Mason Tanks, Surface Imp., CO Other Chemical Carrier Corp. (ABC) VAD000799379 NA EPA/Ryan Kelly Tanks Chem-Solv Inc. VAD980721088 Angela Alonso Kurt Kochan Tanks EPA CO Chesapeake Products Inc. VAD003180015 NA Tara Mason Tank, Waste Pile Clean Harbors Env. Serv. Inc. VAD988175055 NA Ryan Kelly Tank storage, tank FL treatment, other Continental Teves, Inc. VAD030341077 Angela Alonso Brett Fisher Containers, surface imps. Permit
Cook Composites and Polymers Co. VAD055046049 Angela Alonso Brett Fisher Incinerator, tanks, Permit (Polynt) SWMU Cooper Industries VAD023717853 NA EPA/Brett Fisher Containers, tank EPA CO treatment, surface imp.
CSX Transportation Inc. (Koppers VAD003121977 Angela Alonso EPA/Brett Fisher Surface imp. Permit Richmond) DC Department of Corrections VAD980830988 NA EPA/Kurt Kochan Suface Imp.
DuPont Martinsville VAD003114865 Angela Alonso Tara Mason Containers, SWMU Permit DuPont Spruance VAD009305137 Angela Alonso Tara Mason Containers, SWMU Permit DuPont Teijin Films VAD000019273 NA EPA/Tara Mason Containers EPA CO DuPont Waynesboro VAD003114832 Angela Alonso EPA/Vince Containers, SWMU Permit Maiden DuPont Waynesboro (South River) VAD003114832 Angela Alonso Vince Maiden Containers, SWMU Permit Alco Controls (Emerson Electric) VAD065415457 NA Ryan Kelly Containers FL Emporia Foundry Inc. VAD023720105 NA Tara Mason Landfill, containers, Permit other Federal Mogul Corp. Blacksburg VAD054039961 Angela Alonso Ryan Kelly Surface imp. Storage, Permit surface imp. treatment Federal Mogul Corp. Winchester VAD003070976 Angela Alonso Ryan Kelly Surface imp. Permit Treatment, tank treatment, waste pile J.W. Fergusson & Sons LLC VAD003109360 NA EPA/Ryan Kelly Containers Firestone Fibers Hopewell VAD003112588 NA EPA/Ryan Kelly Waste pile, containers, tank storage, other Former Exxon Mobil Manassas VAD048565279 NA Kurt Kochan Tank storage & DEQ CO (Sunoco Mobil Manassas Term.) treatment, surface imp. Storage, other Fort Belvoir Eng. Proving Ground VA1210000906 NA EPA/Ashby Scott Containers, tank EPA CO
A - 411A7-1
A - 412 storage, surface imp. treatment Fort Belvoir Main Base Garrison VA7213720082 NA EPA/Ashby Scott Containers, tank Permit storage, surface imp.
Storage, OB/OD, General Electric Winchester Plant VAD070360219 NA EPA/Ryan Kelly Containers UECA (Rubbermaid) Genicom Corp. VAD003132438 NA EPA/Brett Fisher Tank storage, surface EPA CO impoundment storage Phillips PENAC – The Genie Co. VAD000019620 NA Kurt Kochan Waste Pile DEQ CO, FL Giant-Western Refining Yorktown VAD050990357 NA EPA/Brett Fisher Land application, EPA CO other treatment, tank storage Griffin Pipe Products Inc. VAD065417008 Ashby Scott Ryan Kelly Tank storage, SWMU Permit Griffin Pipe Thomas Rd. Landfill VAD000800532 NA EPA/Ryan Kelly Landfill Voluntary Hand Craft Cleaners VAD988169819 NA Brett Fisher Waste Pile, other DEQ CO, FL storage Hercules Hopewell VAD003121928 NA EPA/Brett Fisher Surface imp. storage, FL surface imp. disposal, containers Honeywell International Hopewell VAD065385296 Angela Alonso EPA/Kurt Kochan Tank storage, Permit incinerator, containers, other storage Honeywell Resins Chester VAD023690183 NA EPA/Kurt Kochan Containers Voluntary Hoover Treated Wood Products VAD988190021 Angela Alonso Tara Mason Tank treatment, Permit surface imp. storage IBM Manassas VAD064872575 NA EPA/Kurt Kochan Containers, tank EPA CO storage Intermet Archer Creek VAD000820506 NA EPA/Ryan Kelly Containers, waste pile, tank treatment, other treatment Intermet Radford – VCI/Grede VAD010063006 NA EPA/Ryan Kelly Containers, waste pile, VAD981730930 tank treatment, other treatment International Paper Franklin Mill VAD003112265 Angela Alonso Tara Mason Containers, surface Permit imp. Storage, SWMU International Paper - Richmond VAD046979498 NA EPA/Tara Mason Boiler UECA Intrapac Harrisonburg VAD000485078 NA EPA/Brett Fisher Containers, tank EPA CO storage ITT Night Vision/Exelis VAD980550909 NA EPA/Kurt Kochan Tank storage EPA CO ITT Night Vision/Exelis VAD003123072 NA EPA/Kurt Kochan Tank storage EPA CO Former J.G. Wilson Corp. VAR000000125 NA Tara Mason Tank storage, UECA containers J.P. Keegan NA Tara Mason DEQ CO KLI site (Keller Ladders Milford) VAD052356623 Angela Alonso Tara Mason Tank storage, surface Permit imp. storage Marine Corps Base Quantico VA1170024722 Angela Alonso Ryan Kelly Containers, OB/OD, Permit surface imp. Storage, landfill, surface imp. storage Merck & Co. Inc. VAD001705110 Angela Alonso Kurt Kochan Containers, surface Permit imp. storage, tank treatment Motiva Pickett Road VAD093952935 NA EPA/Kurt Kochan MW Manufacturers VAD058205170 NA Tara Mason Containers EPA CO NASA GSFC Wallops Flight Fac. VA7800020888 Ashby Scott Tara Mason OB/OD Permit Naval Station Norfolk VA1170024813 Angela Alonso NA Containers, tank Permit storage, Norfolk Naval Shipyard VA6170061463 Angela Alonso NA Containers, tank Permit treatment, tank storage Nevamar Waverly (Int. Paper) VAD044736213 NA Tara Mason Waste pile, containers, FL other treatment Newport News Shipbuilding & DD VAD001307495 Angela Alonso Brett Fisher SWMU, Surface imp. Permit (Huntington Ingalls) treatment, containers, Northrup Grumman – Sperry VAD003123833 NA EPA/Kurt Kochan Waste Pile FL Marine
A - 413A7-2
A - 414US Navy Dahlgren OB/OD VA7170024684 Ashby Scott Tara Mason Surface imp. storage, Permit OB/OD, containers US Navy Dahlgren Cont. Storage VA7170024864 Ashby Scott NA Containers Permit Radford Army Ammunition Plant VA1210020730 Ashby Scott Kurt Kochan OB/OD, Tank storage, #5, #16 – Permit Incinerator, surface #13 – Permit imp. storage, landfill, Permit – CA SWMU Permit – Tank/Incinerato r Safety-Kleen Systems Inc. VAD000737346 Angela Alonso NA Tank treatment, tank Permit Chesapeake storage, Containers Safety-Kleen Systems Inc. Chester VAD981043011 Angela Alonso NA Tank treatment, tank Permit storage, Containers Safety-Kleen Systems Inc. Vinton VAD000737361 Angela Alonso NA Tank treatment, tank Permit storage, Containers Schrader-Bridgeport International VAD082881970 Angela Alonso Ryan Kelly Surface imp. storage, Permit, EPA other treatment, tank CO treatment, waste pile SIMS Recycling VAD980918221 NA EPA/Ryan Kelly Containers, waste pile, UECA tank storage Solite LLC - Arvonia VAD042755082 Ashby Scott Ryan Kelly Aggregate kiln, Permit SWMU Giant Resource Recovery Arvonia VAD098443443 Ashby Scott Ryan Kelly Containers, tank Permit storage, Subpart X, SWMU Steel Dynamics Roanoke Bar Div. VAD003122553 NA EPA/Tara Mason Waste pile, tank EPA CO treatment Sterling Casket Hardware Co. VAD000020115 NA Tara Mason Surface imp. disposal, UECA other treatment Univar USA Inc. (Prillaman VAD003111416 Angela Alonso Tara Mason Tank storage, Permit Martinsville) containers VDOT Culpeper District Complex VAD980715064 Angela Alonso Brett Fisher Landfill, surface imp. Permit storage, VDOT Sandston Elko Labs VAD980918189 NA Tara Mason Landfill, surface imp. FL storage, VA Emergency Fuel Storage VAD988193223 NA EPA/Ryan Kelly Containers VA Tech VAD074747908 NA EPA/Kurt Kochan Waste pile, containers EPA CO Viasystems Tech. Corp. LLC VAD066000993 NA EPA/Kurt Kochan Containers, Tank EPA CO, UECA (Lucent, Circo Craft, AT&T) storage, Washington Dulles Intern. Apt. VA6690500909 NA EPA/Kurt Kochan Surface imp. storage, containers, waste pile Wheelabrator Corp. Landfill VAD000063669 NA Tara Mason Landfill UECA Wilson Jones Co. (Acme Visible VAD003124989 Angela Alonso Ryan Kelly SWMU Permit Records) Wood Preservers, Inc. VAD003113750 Angela Alonso Brett Fisher Surface imp. storage, DEQ CO, FL Fareva/Wyeth Richmond VAD188141626 NA EPA/Brett Fisher FL
Key: CA = Corrective Action
CL = Closure
CO = Consent Order
FL = Facility-Lead Agreement
UECA = Uniform Environmental Covenant Act
A - 415A7-3 A - 416 Appendix 8
Using DEQNet and CEDS
Revised April 2017
A - 417 USING DEQNet and CEDS
DEQ has an internal website for general information about what’s going on at DEQ, links to training and forms, and program specific guidance and policies.
Here is the link to DEQNet: http://deqnet/
Here is the link to the DEQNet USER guide: http://deqnet/help/userguide.asp
DEQ maintains an enterprise database system identified as the Comprehensive Environmental Data System (CEDS) that supports staff in accomplishing the agency's mission. Hazardous waste data has not yet been incorporated into CEDS. However, the historical and current data contained in CEDS for other DEQ programs can be useful during pre-inspection file reviews.
http://deqnet/programs/cedswaste/
Link to Access CEDS: http://ecmiis/ui/
Information on CEDS Modernization: http://deqnet/programs/waste/documents/Cedsmodernization2015.asp
Link to Solid Waste CEDS files: http://deqnet/documents/index.asp?path=/docs/waste/SOLIDWASTE/CEDS
General information on CEDS login: http://deqnet/programs/cedswaste/openandlogin.asp
General information on ORACLE: http://deqnet/programs/cedswaste/generalinfo.asp
CEDS DATA Conventions: http://deqnet/programs/cedswaste/dataconvention.asp
How to Query CEDS in general: http://deqnet/programs/cedswaste/querying.asp
How to Query for a specific facility record: http://deqnet/programs/cedswaste/queryforcedsfac.asp
A - 418 Appendix 9 Bibliography
Revised September 2017
A - 419 Bibliography
ASTSWMO RCRAInfo User’s Manual
Basic Inspector Training Course, Essential Inspector Skills, March 2017
Basic Inspector Training Course, Fundamentals of Environmental Compliance Inspections, 1989
Checklist to Assist in Evaluating Whether Commercial Chemical Products are Solid and Hazardous Waste Under the Resource Conservation and Recovery Act, May 14, 2013
Compliance Assistance, Regulations Applications Advice and Case Decisions – DEQNet -HW Compendium
Compliance Assistance Procedures, Compliance Assistance Visits (CAVs), Willard Keene 3/6/2008
Compliance Assistance Procedures, Compliance Assistance Visits (CAVs), Willard Keene 5-7-2008
Compliance Assistance, Regulations Applications Advice and Case Decisions, Steve Frazier, 3/24/2006
Compliance Monitoring Strategy for the Resource Conservation and Recovery Act (RCRA) Subtitle C Program, September 2015.
DEQ Civil Enforcement Manual, revised December 2016
DEQ, Division of Enforcement, FAQs and Tips, Incident and Evidence Photography, 7/28/05
DEQ, Division of Enforcement Guidance Memorandum, Chapter 2 – General Enforcement Procedures, May 11, 2012
DEQ, Division of Enforcement Guidance Memorandum, Chapter 2A - Attachments, revised December 2016
DEQ, Enforcement Guidance Memorandum No. 1-2011: Access to Private Property for Inspections and Investigations, Denial of Access, and Obtaining Administrative Inspection Warrants – January 2011
DEQ, Guidelines for Performing a RCRA Compliance Assistance Visit for RCRA Generators
DEQ, Land Protection & Revitalization Guidance Memo No. LPR-SW-2013-03, Waste Information Request and Trade Secret Protection, August 15, 2013
DEQ Safety Manual, 2/10/2016
DEQ Summary Chart of Universal Waste Regulations
A - 420DEQ, Waste Guidance Memorandum No. 02-2010, Solid Waste Compliance Program Inspection Manual,
DEQ, January 3, 2011
Digital Camera Guidance for EPA Civil Inspections and Investigations, EPA, July 2006.
General Inspection Guidance for Waste Management Units Requiring Air Emission Controls Under RCRA Air Standard Subpart CC, 27 November 2000, EPA Region IV.
Hazardous Waste Civil Enforcement Response Policy, EPA, December 2003.
Hazardous Waste Civil Enforcement Response Policy, EPA, December 1999.
Hazardous Waste Generator Regulations, A User-Friendly Reference Document, Version 6: August 2012
Hazardous Waste Tank System Inspection Manual, EPA, September 1988
Nationally-Defined Citations in RCRAInfo, Revised February 2012
National Policy – Requirements for Retaining Inspection Field Notes, February 26, 2009
Protocol for Conducting Environmental Compliance Audits of Storage Tanks Under the Resource, Conservation and Recovery Act, March 2000
Protocol for Conducting Environmental Compliance Audits for Hazardous Waste Generators under RCRA, June 2001
RCRA Section 3007
RCRAInfo CM&E Module Version 3 Codes and Definitions, Revised May 2008
RCRA Orientation Manual, 2014
Revised RCRA Inspection Manual, EPA, OSWER Directive 9938.02b, November 1998
Side-by-Side Comparison: Satellite Accumulation vs. Academic Labs Rule, EPA, July 2009
Virginia Department of Environmental Quality, Storage Tank Program Technical Manual, Fourth Ed.
Virginia Hazardous Waste Inspector Reference Guide, September 30, 2015
Virginia Hazardous Waste Management Regulations
Inspector Handbooks from the Following States:
Arizona Power Point – Oh No! The RCRA Inspector is Here!
Arkansas Compliance Monitoring Procedures, 2-2-2015
California Guidance Document for Inspection and Enforcement, April 15, 2008
A - 421Connecticut – The Inspection Process (Power Point); Field Component of the Enforcement Process
(Power Point); Guidelines for Performing a RCRA Compliance Assisance Audit for RCRA Generators
A - 422Kansas - Training/Compliance Manual (for Compliance with the Resource Conservation and Recovery
Act (RCRA)/Hazardous Waste Regulations)
Georgia - Guidance Document for Georgia’s Land Protection Branch/Hazardous Waste Management
Program and Hazardous Waste Corrective Action Program, Revised July 2015
Maryland - Quality Assurance Program Plan for the Land Management Administration, Solid Waste
Program, Compliance Division, April 2016
Nevada – Hazardous Waste Enforcement Policy and Procedure – Staff Guide, April 2015
New Hampshire – Hazardous Waste Generator RCRA Inspection Checklist
New Mexico – Various Inspection Checklists and Fact Sheets
New York – NYSDEC RCRA-C Compliance Inspection Guide, July 2013
North Carolina – Guidance for Inspections of Generators Conducted by the Hazardous Waste Section
Compliance Branch
Ohio – Inspection Procedures Manual, Division of Hazardous Waste Management, December 2009
Oregon – Field Manual for Hazardous Waste Inspections and Site Visits, Updated 5/29/2015
Rhode Island – Hazardous Waste Compliance Workbook for Rhode Island Hazardous Waste Generators,
December 2015.
Washington - Inspector’s Guidance Manual, Hazardous Waste and Toxics Reduction Program, Revised
2013
Wisconsin – Wisconsin’s Hazardous Waste Inspection Procedures, Revised 7/22/2015
Wyoming – Various Inspection Checklists
A - 423
Director's Determination and Permit-by-Rule GuidanceDoc ID: Guidance
20-80-001-2001 Guidance Number 06-2001-20-80
GUIDANCE ON THE DIRECTOR'S DETERMINATION OF §10.1-1408.1D1
AND PERMIT BY RULE APPLICATIONS
Final Interpretation The provisions of §10.1-1408.1.D.1 of the Waste Management Act (the director's determination) do not apply to permits-by-rule (PBR).
Supporting Information and Basis §10.1-1408.1.D.1 states that prior to issuing a new permit, an expansion, or an increase in capacity, the director will make a determination after investigation and analysis. A permit-by-rule (PBR) is not an issuance as described in the statute. 9 VAC 20-80-480.E (Virginia Solid Waste Management Regulations, VSWMR), the provisions for a PBR, state that an applicant is deemed to have a solid waste permit if certain items have been submitted and certain conditions are met. Since the director does not issue a PBR, and a facility owner or operator is deemed to have a permit when all required items are submitted to the department, the elements of §10.1-1408.1.D.1 do not apply to a PBR.
§10.1-1408.1.D.1 was modified to include new items in the 1999 legislative session.
However, the requirements for public hearings when a permit is issued were required prior to the 1999 session. Since public hearings have not been required as part of the PBR process, the interpretation that the director's determination is not required for PBR is consistent with past practice.
In accordance with §10.1-1408.1.E the director has the option to include provisions that are protective of human health and the environment in any permit. 9 VAC 20-80-490 VSWMR further clarifies the concept of permit conditions by stating that the director can include conditions that are protective of human health and the environment when a permit is issued. Therefore, under the current VSWMR conditions cannot be applied to a permit-by-rule. Although it is assumed that the regulations incorporate provisions to protect human health and the environment consistent with §10.1-1408.1.E in the PBR application process, if it is found that the regulations are not protective, the VSWMR Page 2
Guidance Number SW 01-2001 will be modified in the future to include any items from the director's determination and any other provisions deemed appropriate.
It should be clear that the letter provided as a final response to a PBR submission is not an approval of any kind. The PBR is not issued. The letter acknowledges that the facility is deemed to have a permit. Since the letter/response is not a permit, but an acknowledgement that the facility is deemed to have a permit, the letter may, for the convenience of the owner/operator, cite requirements of the regulations, requirements of an administrative order or portions of the PBR submission deemed appropriate. Any approved variances to the regulations can also be noted in the letter. No permit conditions can be included in a PBR letter. If requirements are included in the PBR letter beyond those requirements of the regulations, law or administrative order they will not be enforceable. It should be clear that these statements are not conditions in a permit, but are a reemphasis of requirements that already exist.
__[Signed}___________________________ ___08/09/01_____ Karen Jackson Sismour, Director
Date Division of Waste Program Coordination
Management of Sharps Disposal GuidelinesDoc ID: Management
MEMORANDUM Department of Environmental Quality Mail Address: Location: P.O. Box 1105 629 East Main Street Richmond, VA 23218 Richmond, VA 23219 Division of Land Protection and Revitalization Guidance Memo No. 2016-01 Management of Sharps SUBJECT: Regional Land Protection Program Managers, Solid Waste Compliance Inspectors, and Solid Waste Permit Writers TO: Leslie Beckwith Director, Office of Financial Responsibility & Waste Programs FROM: April 22, 2016
DATE:
COPIES: Director of the Division of Land Protection and Revitalization, Solid Waste Compliance Coordinator, and Solid Waste Permit Coordinator Summary: This guidance document is intended to clarify management requirements for sharps as defined by the Virginia Regulated Medical Waste Management Regulations (VRMWMR). 9 VAC 20-120-10 et seq. This document updates and supersedes former guidance document Solid Waste Interpretive Guidance Statement: Disposal of Sharps dated August 12, 1996.
Electronic Copy: An electronic copy of this guidance is available on the Department's website at: Virginia DEQ — Land Protection and Revitalization — Laws, Regulations, and Guidance - Guidance Contact Information: Please contact Solid Waste Compliance Coordinator Priscilla Fisher at (540) 574-7852 or Priscilla.Fishera,deq.virginia.gov with any questions regarding the application of this guidance.
Disclaimer: This document is provided as guidance and, as such, sets forth standard operation procedures for the agency. However, it does not mandate any particular method nor does it prohibit any alternative method. If alternative proposals are made, such proposals will be reviewed and accepted or denied based upon their technical adequacy and compliance with appropriate laws and regulations.
Guidance Memo No. 2016-01 Page 1 of 8 Management of Sharps
I. Introduction This guidance has been created in response to inquiries from the regulated community and general public concerning the management and disposal of sharps. This document updates and supersedes former agency guidance and provides further clarification of packaging, labeling, and disposal requirements to be implemented by generators of sharps in accordance with the Virginia Regulated Medical Waste Management Regulations (VRMWMR), 9 VAC 20-120 et seq.
II. Background The Virginia Waste Management Board adopted the VRMWMR in order to protect public health, safety and welfare, and the environment from harmful results of mismanagement of regulated medical waste by generators, transporters, and storage, treatment, and disposal facilities. The VRMWMR establish minimum packaging, labeling, treatment, and disposal requirements for discarded sharps, which are solid wastes subject to management as regulated medical wastes. In accordance with regulatory exclusion 9 VAC 20-120-130.C.2 of the VRMWMR, discarded household sharps (except for sharps resulting from the provision of professional health care services on the premises) are solid wastes excluded from management as regulated medical waste, provided they are placed in an opaque container with a high degree of puncture resistance and labeled "do not recycle, household sharps" or otherwise managed in accordance with a local "safe sharps" program, if applicable, before being mixed with other wastes or disposed. Household sharps excluded from management as regulated medical waste are still subject to management as solid waste under the Virginia Solid Waste Management Regulations, 9 VAC 20-81-10 et seq.
The Department periodically receives inquiries from solid waste management facilities, localities, and the general public about the disposal requirements for household sharps. Some localities and organizations have published guidelines for safe packaging, labeling, and disposal of household sharps in homemade sharps containers. In addition, the U.S. Food and Drug Administration (FDA) has evaluated and approved containers specifically designed to safely and effectively manage household sharps. FDA-cleared household sharps containers are available for purchase at pharmacies, commercial retail stores, and online. Solid waste management facility operators encounter both homemade and FDA-cleared household sharps containers in the waste stream. This guidance further clarifies minimum requirements needed to meet the regulatory exclusion for household sharps disposal under VRMWMR 9 VAC 20-120-130.C.2.
III. Authority §10.1-1402 of the Virginia Waste Management Act, Chapter 14 (§10.1-1400 et seq.) of Title 10.1 of the Code of Virginia, authorizes the Virginia Waste Management Board to promulgate regulations necessary to carry out its powers and duties and the intent of the Act, to supervise and control waste management activities in the Commonwealth, and to provide technical assistance and advice concerning all aspects of waste management.
________________________________________________________________ Guidance Memo No. 2016-01 Page 2 of 8IV. Definitions The definitions in 9 VAC 20-120-10 of the Virginia Regulated Medical Waste Management Regulations (VRMWMR) apply to this guidance document, and a complete listing of these definitions is not included. Key definitions applicable to this guidance from the VRMWMR are identified below. Additional definitions specific to this guidance are also provided.
"Container" means any portable enclosure in which a material is stored, transported, treated, or otherwise handled.
"Discard" means to throw away or reject. When a material is soiled, contaminated or no longer usable and it is placed in a waste receptacle for disposal or treatment prior to disposal, it is considered discarded.
"Etiologic agents" means the specific organisms defined to be etiologic agents in 42 CFR 72.3.
In general, etiologic agents as defined in 42 CFR 72.1 means a viable microorganism or its toxin which causes or may cause human disease.
"Generate" means to cause waste to become subject to regulation. When regulated medical waste is first discarded, it must be appropriately packaged in accordance with this regulation. At the point a regulated medical waste is discarded it has been generated. Note: Timeframes associated with storage and refrigeration are no longer linked to the "date of generation."
"Generator" means any person, by site location, whose act or process produces regulated medical waste identified or listed in Part III (9VAC20-120-80 et seq.) of the VRMWMR or whose act first causes a regulated medical waste to become subject to the VRMWMR.
"Health Care Professional" means a medical doctor or nurse practicing under a license issued by the Department of Health Professions.
“Household sharps” means sharps generated at any of the following locations: single or multiple residences, hotels, motels, bunkhouses, ranger stations, crew quarters, campground, picnic grounds and day-use recreation areas, except for regulated medical waste resulting from the provision of professional health care services on the premises, provided that all medical sharps discarded at those locations are placed in an opaque container with a high degree of puncture resistance and labeled "do not recycle, household sharps" or otherwise managed in accordance with a local "safe sharps" program before being mixed with other wastes or disposed.
"Packaging" means the assembly of one or more containers and any other components necessary to assure compliance with minimum packaging requirements under the Virginia Regulations Governing the Transportation of Hazardous Materials (9 VAC 20-110-10 et seq.) or this chapter.
"Regulated medical waste" or "RMW" means solid wastes defined to be regulated medical wastes in Part III of the VRMWMR (9VAC20-120-80 et seq.).
"Regulated medical waste sharps" are sharps that are likely to be contaminated with organisms that are pathogenic to healthy humans, and all needles, syringes with attached needles, suture
________________________________________________________________ Guidance Memo No. 2016-01 Page 3 of 8needles, and scalpels that do not meet the definition of household sharps. This includes sharps generated through veterinary practice.
"Safe sharps program" means a program supported by a city, county, town or public authority that is intended to enhance the safe disposal of sharps discarded by private individuals.
"Sharps" means needles, scalpels, knives, syringes with attached needles, pasteur pipettes and similar items having a point or sharp edge or that are likely to break during transportation and result in a point or sharp edge.
"Storage" means the holding, including during transportation, of more than 200 gallons of waste, at the end of which the regulated medical waste is treated or stored elsewhere.
V. Guidance
V.A. Definition of Sharps "Sharps" means needles, scalpels, knives, syringes with attached needles, pasteur pipettes and similar items (e.g. suture needles, lancets, auto injectors such as insulin pens, etc.) having a point or sharp edge or that are likely to break during transportation and result in a point or sharp edge.
There are two types of sharps: Regulated Medical Waste Sharps: In accordance with 9 VAC 20-120-150.4 of the VRMWMR, sharps (regardless of whether they have been used) are regulated medical waste when discarded. Sharps likely to be contaminated with organisms that are pathogenic to healthy humans, and all needles, syringes with attached needles, suture needles, and scalpels are regulated medical wastes. This includes sharps generated through veterinary practice. Sharps generated at a household by a professional health care service while in that household are also regulated medical waste. An example would be a diabetic individual having insulin shots administered to him/her, in his/her home, by a health care provider. In this case, the professional health care service provider is the generator of the sharps and is responsible for their proper management and disposal as regulated medical waste. All regulated medical waste sharps shall be managed in accordance with the VRMWMR (See Section V.B. Management of Regulated Medical Waste Sharps).
Household sharps: In accordance with regulatory exclusion 9 VAC 20-120-130.C.2 of the VRMWMR, discarded sharps that are generated at a household (except for regulated medical waste resulting from the provision of professional health care services on the premises), are not regulated medical waste provided they are disposed of in accordance with additional requirements of the regulatory exclusion (See Section V.C. Management of Household Sharps). An example of household sharps use would be a diabetic individual administering his/her own insulin shots in his/her home. In this case, the household is the generator of the sharps and is responsible for their proper management and disposal as solid waste. Sharps produced by home health care workers (physicians, nurses, etc.) providing services at a household DO NOT qualify for the regulatory exclusion for household sharps and should therefore be managed and disposed of as regulated medical waste by the health care service provider. ________________________________________________________________ Guidance Memo No. 2016-01 Page 4 of 8Abandoned sharps and sharps that are improperly packaged or labeled should be managed in accordance with the procedures outlined in Section V.D of this guidance document.
V.B. Management of Regulated Medical Waste Sharps All discarded sharps that are a regulated medical waste (i.e. not excluded by 9 VAC 20-120-130.C.2) should be packaged and labeled by the generator at the site of generation in accordance with 9 VAC 20-120-200 through 260, and the Standards for Occupational Exposure to Bloodborne Pathogens, 16 VAC 25-90-1910.1030(d)(4)(iii)(A). Contractors may assist generators by packaging or repackaging at the site of generation prior to transportation, storage, treatment, or disposal. Unless the generator qualifies for an exemption under 9 VAC 20-120-170 A or C, sharps are subject to special storage requirements (sanitation, access, temperature control, storage period, drainage and ventilation) per 9 VAC 20-120-330 et seq.
The following requirements are applicable to generators of regulated medical waste sharps.
Additional requirements not included in this guidance may be applicable to regulated medical waste transporters and storage, treatment, and disposal facilities.
PACKAGING: Immediately following use, carefully discard regulated medical waste sharps directly into containers that are closable, puncture resistant, constructed to prevent leakage, and closed to prevent spillage during handling. Commercial, FDA-cleared sharps containers are designed specifically to meet these requirements. Full containers should be sealed such that no waste materials can leak and/or spill from the container. If leakage and/or spillage are possible, the container should be placed in a secondary container that is closable, constructed to prevent leakage, and properly labeled. Prior to transporting, regulated medical waste sharps should be packaged in accordance with 49 CFR Part 173 or an exemption approved by the U.S. Department of Transportation.
LABELING: A label should be securely attached to or printed on packaging. The label may be a tag securely affixed to the package. The label and the information provided on the label should be clearly legible, and include the following information in indelible ink: o Generator’s name, address and business telephone number, o "Regulated Medical Waste" in large print, and o The Biological Hazard Symbol In accordance with the general industry standards for Occupational Exposure to Bloodborne Pathogens, red containers or fluorescent orange or orange-red labels, with lettering and symbols in contrasting colors, should be used. Unless exempt by 9 VAC 20-120-170.A or C, the first date the regulated medical waste is placed in storage should be affixed to the outer packaging. Note that even though exempt facilities are not required to date packaged RMW, facilities should maintain records to ensure compliance with the exemption. Immediately following each time a reusable sharps container is emptied and prior to being reused, it should be thoroughly cleaned with detergent or general purpose disinfectant (9 VAC 20-120-260.2). However, reusable containers should not be opened, emptied, or
________________________________________________________________ Guidance Memo No. 2016-01 Page 5 of 8 cleaned manually or in any other manner which would expose employees to the risk of percutaneous injury (1910.1030(d)(4)(iii)(A)(4)).
Note: Etiological agents should be packaged and labeled in accordance with 49 CFR parts 171 through 178.
TREATMENT AND DISPOSAL: Regulated medical waste sharps properly packaged and labeled in containers meeting the above guidelines should be treated at a permitted regulated medical waste treatment facility in accordance with 9 VAC 20-120-520 through 660 (i.e., incineration, steam sterilization, or approved alternate treatment technology). DO NOT place sharps containers in recycling bins. DO NOT place loose needles or other sharps directly into trash cans, trash bags, red biological hazard bags, or public or private solid waste receptacles. Upon authorized treatment and management in accordance with the VRMWMR, the solid waste or its non-hazardous ash is not regulated medical waste and may be disposed of at a sanitary landfill or other solid waste management facility permitted to receive municipal solid waste or garbage, provided the disposal is in accordance with the Solid Waste Management Regulations (9 VAC 20-81) and other applicable regulations and standards.
Additional packaging and labeling requirements are applicable to treated wastes and are not addressed in this guidance.
Please note that no regulated medical waste containing radioactive materials should be treated unless its management and treatment are in compliance with regulations promulgated by the United States Nuclear Regulatory Commission and the Virginia Department of Health and are deemed by both regulations not to represent a threat to public health and the environment.
Regulated medical waste management facilities should also comply with applicable sections of the Hazardous Waste Management Regulations (9 VAC 20-60), and intrastate shipment of hazardous materials is subject to the Regulations Governing the Transportation of Hazardous Materials (9 VAC 20-110). Generators should provide treatment and disposal facilities with a signed certificate or signed and effective contract indicating that each load received or to be received by the treatment or disposal facility does not contain hazardous waste or radioactive materials, except as provided in 9 VAC 20-120-320.
V.C. Management of Household Sharps Household sharps can be disposed of as solid waste provided the following procedures are implemented to meet requirements of VRMWMR regulatory exclusion 9 VAC 20-120-130.C.2:
PACKAGING: Carefully discard household sharps directly into an empty, non-leaking, opaque container with a high degree of puncture resistance. Commercially sold containers specifically designed to hold household sharps OR homemade sharps containers made from rigid, heavy-duty plastic (such as detergent or bleach bottles, or similar materials) are allowable. Seal the container with a tight-fitting lid or screw cap. Wrap heavy-duty tape around the lid or cap of homemade household sharps containers.
________________________________________________________________ Guidance Memo No. 2016-01 Page 6 of 8 DO NOT place household sharps in glass containers, two-liter or smaller plastic soda bottles, milk jugs, aluminum soda cans, or similar items, as these materials are breakable (in the case of glass) or could easily be punctured by the contents. DO NOT attempt to overfill household sharps containers. FDA-cleared household sharps containers are typically marked with a line that recommends filling the container to approximately 2/3 to 3/4 of the volume of the container for safety purposes.
LABELING: Use indelible ink to label the container to indicate that the contents include household sharps and should not be recycled. “DO NOT RECYCLE – HOUSEHOLD SHARPS,” “HOME GENERATED SHARPS,” or similar text should be used. The label and information provided on the label should be in LARGE, clearly legible print. Commercially sold, FDA-cleared, household sharps containers are often pre-labeled with the biological hazard symbol and red in color. Household sharps packaged in these containers meet the regulatory exclusion as long as the label CLEARLY indicates that the sharps were generated by a household and not by a professional health care service provider.
DISPOSAL: Household sharps excluded by 9 VAC 20-120-130.C.2 and properly packaged and labeled in containers meeting the above guidelines may be disposed with other household trash or taken directly to a permitted solid waste management facility (e.g. transfer station or landfill) for disposal. DO NOT place household sharps or household sharps containers in recycling bins. DO NOT place loose needles or other household sharps directly into trash cans, trash bags, red biological hazard bags, or public or private solid waste receptacles. DO NOT flush household sharps down the toilet.
Please note that there may be other options for safe management of household sharps in your community. For example, a number of pharmacies and health care facilities (hospitals, doctor’s offices, nursing homes, etc.) administer collection programs for household sharps. Mail-back programs are also available for some manufactured household sharps containers, though a disposal fee or other requirements from the vendor may apply. Check with your health care provider or pharmacy for availability of these programs. In addition, there may be information posted on your local government’s website describing a preferred management program or additional guidelines for properly disposing of household sharps in your locality.
V.D. Management of Abandoned or Improperly Packaged/Labeled Sharps When improperly packaged or labeled sharps are discarded, and the generator cannot be determined (such as abandoned needles found in a parking lot, park, or other publicly accessible property), it is recommended that the discovered sharps and material associated with the sharps be handled as regulated medical waste per the procedures outlined in Section V.B of this guidance document. The sharps should be isolated and contained until arrangements can be made for removal by a person authorized to transport such waste to a permitted waste management facility approved to receive it for treatment or disposal. In accordance with 9 VAC 20-120-280, following a spill of regulated medical waste or its discovery, responders ________________________________________________________________ Guidance Memo No. 2016-01 Page 7 of 8should take appropriate precautions to ensure personnel do not come into contact with any contaminants by wearing appropriate personal protective equipment. Areas having been contacted by regulated medical wastes should be cleaned using disinfectants effective against mycobacteria. This guidance encourages the property owner, the person who discovers the sharps, or any responder to request assistance from a health care professional, trained HAZMAT or emergency services coordinator, or other qualified contractor to identify or handle the waste.
VI. Collaboration Process DEQ Central Office Solid Waste Coordinators and regional Solid Waste Compliance and Permitting staff assisted in the development of this guidance. Other DEQ Central Office and regional Solid Waste staff were also given opportunity to provide comments during development.
VII. Reference Documents Regulations Governing the Transportation of Hazardous Materials, 9 VAC 20-110-10 et seq.
Standards for Occupational Exposure to Bloodborne Pathogens, 16 VAC 25-90-1910.1030 Virginia Hazardous Waste Management Regulations, 9 VAC 20-60-12 et seq.
Virginia Regulated Medical Waste Management Regulations, 9 VAC 20-120-10 et seq.
Virginia Solid Waste Management Regulations, 9 VAC 20-81-10 et seq.
Virginia Waste Management Act, §10.1-1400 et seq.
________________________________________________________________ Guidance Memo No. 2016-01 Page 8 of 8
Groundwater Monitoring for Landfill Natural AttenuationDoc ID: Submission
SUBMISSION INSTRUCTIONS NO. 21
GROUNDWATER MONITORING PROGRAMS AT REGULATED LANDFILLS UNDERGOING Monitored Natural Attenuation (MNA)-BASED CORRECTIVE ACTION
Developed by
Virginia Department of Environmental Quality Office of Waste Permitting Groundwater 629 East Main Street Richmond, VA 23219
v. 08/23/04
- 0 APPLICABILITY OF INSTRUCTIONS These instructions are applicable to all solid waste facilities conducting groundwater monitoring under the requirements contained in the Virginia Solid Waste Management Regulations (VSWMR), promulgated by the Virginia Waste Management Board, December 21, 1988, as amended.
- 0 INTENT OF INSTRUCTIONS These instructions have been developed to assist the Permittee in developing a monitoring well network and groundwater sampling program supportive of the implementation of a Monitored Natural Attenuation (MNA)-based Corrective Action Program (CAP), and which provides the type of data needed to measure the performance of the natural attenuation process in the aquifer.
The content of these instructions has been modeled, in part, after several existing references listed at the end of this document. It is important to note that other data or reporting requirements contained in the sources listed, which are not applicable to the contaminant types expected to be associated with solid waste landfills, have not been made part of these instructions.
These instructions have been developed as guidance, not a rule. They have not gone through public comment. They may be altered to fit facility-specific conditions where needed. The Department understands the importance of site-specific considerations and technical details in defining the final content of an MNA-based Corrective Action Monitoring Plan (CAMP), and has developed these submission instructions as an outline of the minimum technical content to be addressed within an MNA-based CAMP.
3.0 BENEFITS OF INSTRUCTIONS The Department believes these submission guidelines will:
- provide the minimum technical information expected of an MNA-based CAMP,
- expedite internal Department review time, and
- assist the regulated community with preparing technically complete documents.
4.0 BACKGROUND INFORMATION
Definition Natural attenuation is a process within the aquifer media that acts without human intervention to reduce the mass, volume, and concentration of contaminants via: chemical or biologic destruction, physical dispersion, dilution, adsorption, or volatilization.
The last four mechanisms are non-destructive attenuation avenues and are applicable to Presumptive Remedies (discussed in a separate Submission Instruction). The use of measurable natural chemical or biologic mechanisms is commonly referred to as MNA.
The NRC (2000) specifically noted that MNA should never be considered a Presumptive Remedy.
EPA (1997) defined MNA as an acceptable Corrective Action method as long as a Permittee can design a monitoring program that has the ability to measure and demonstrate that chemical or biologic mechanisms are taking place in the aquifer. NRC(2000) stated that the MNA monitoring program must have the ability to show the contaminant mass is being destroyed, not simply diluted or adsorbed to the aquifer matrix.
While MNA has been shown to be effective in reducing contaminant levels on many sites, Wiedemeier (1999) noted that there had been no cases where MNA alone has been successful in meeting groundwater clean-up goals. Therefore, the success of MNA hinges greatly on whether or not it is augmented by other source controls such as a impermeable landfill cover, leachate collection, landfill gas collection and treatment, enhanced bio-remediation or other types of contaminant source reduction.
Feasibility Considerations (Off-Site Impact) MNA may not be applicable or adequate at every landfill, which proposes its use under the Corrective Action Program. If off-site plume migration is identified, or on-site receptors are present (including surface waters), MNA may not be appropriate unless a successful risk assessment has been completed. The facility must prove that MNA has the ability to satisfy the performance criteria under 9 VAC 20-80-310.B.3.
(Monitoring Requirements) An MNA groundwater network involves measuring additional parameters or indicators and has strict requirements regarding design, sampling frequency, and sample constituent lists. MNA may require significant modifications to a facility’s existing (pre-CAP) monitoring well network.
(Performance Criteria) MNA has strict periodic performance review requirements that are discussed in detail in a separate section below.
Application The applicability of MNA on any site will be considered using the below-listed technical factors at a minimum:
1] Evidence already indicates there’s a reduction in contaminant concentrations along flow paths - historical data + Nature and Extent Study (NES) results (EPA 1999)
2] Contaminant reduction is supported by chemical/geochemical data or a microbiological survey - NES results (EPA 1999)
3] Evidence indicates the plume is NOT expanding - historical data + NES results
(EPA 2001)
4] Evidence indicates there are NO current on-site or off-site receptors (i.e., surface water, wetlands, supply wells) - NES results (EPA 1998)
5] Reduction rates are sufficient to bring contamination levels below the GPS within a reasonable timeframe – Assessment of Corrective Measures (ACM) modeling
(EPA, 2001)
6] Clean-up timeframe is comparable to active remediation - ACM (EPA, 1990)7] All source areas on site are capped with an impermeable cover, as defined by EPA
(EPA, 2001)
8] The application of MNA on site will not conflict with any provision of State Water Law (62.1-44.5) or State Water Regulation (9 VAC 25-26-20; 25-31-50; 25-32-30)
9] Using MNA for impacted, off-site areas is technically supportable. The Department has no Regulatory authority to require that any impacted off-site (third-party) landowner accept application of an MNA-based clean-up approach to address the off-site contamination.
10] Site geology / aquifer conditions allow for a definition of the groundwater flow field
Regarding item 2 above, Wiedemeier et al. (1998) noted that the microcosm study is only a strict requirement when geochemical data are insufficient to document the MNA process.
Regarding item 5 above, neither EPA nor the VSWMR have defined “reasonable” timeframe. Since all groundwater in the Commonwealth is considered by the Department to be a potential source of drinking water, restoration of the aquifer should proceed at a pace quick enough to be comparable with other, more active restoration remedies such as groundwater pump & treat, enhanced bioremediation, groundwater extraction systems, etc. In addition, for facilities in the Post-closure monitoring period, Corrective Action must be successfully completed prior to any decision to allow the termination of Post-closure requirements.
Regarding item 7 above, while neither EPA guidance (1999 & 2001) nor the VSWMR restrict the application of MNA on sites without full containment (impermeable cap) over all the source areas, EPA (1999) and Wiedemeier et al. (1999) have documented that the effectiveness of MNA may be negatively impacted if a site does not have containment over all potential source areas (including unregulated areas) that may be adding contaminant mass to the aquifer system.
Regarding item 9 above, the Department does not have the authority to force any impacted, off-site landowner to accept the use of MNA on any impacted off-site property.
Application of MNA as a form of Corrective Action on properties with off-site plume is allowable under EPA guidance (1999), but only when supported by the results of a full risk assessment, and the technical investigation.
Regarding item 10 above, EPA (1998) noted that the proper siting of wells is of a greater concern at MNA sites when compared to sites undergoing a different form of Corrective Action. Wiedemeier (1999) has noted that in cases where the groundwater flow field can not be determined with certainty (e.g., fractured bedrock, karst), the accurate evaluation of the performance of MNA can be difficult to complete. In cases such as these, the number of wells needed as part of the remedy will be greater than that for more isotropic aquifers, thus adding additional long-term sampling and analytical costs that may outweigh the cost savings when compared to another more active clean-up remedy. Well Network For the purposes of MNA applied to Corrective Action Plans designed under 9 VAC 20-80-310, three separate well classifications will be required as part of the MNA-based
CAMP:
1] Compliance wells (including site background) 2] Performance wells (to prove MNA is working successfully on site), and 3] Sentinel wells (to monitor for plume movement toward receptors or property boundaries).
Following EPA guidance (1998), these wells must have the ability to provide data on both the vertical and horizontal extent of the groundwater impact. NRC (2000) has noted that at least one nested well pair should be installed in the middle of the groundwater plume.
Regarding item 1 above, compliance wells are not strictly part of an MNA network as defined by Wiedemeier (1999) or the EPA, but they are included in the Corrective Action network because of requirements of 9 VAC 20-80-310.A.2.
Regarding item 2 above, these wells must be demonstrated to be installed in the interior of the plume and along distinct flow paths downgradient from the Groundwater Protection Standards (GPS)-exceeding compliance well. The intent, following the discussion of Wiedemeier (1999), is to monitor a “specific” slug of groundwater over time and distance as it moves from a compliance well through one or more performance wells. If a performance well is not installed along a discreet flow path downgradient from an exceeding well, the sampling results may show the effects of plume dispersion and dilution and not chemical or biologic attenuation. The linear (downgradient) distance between the compliance well and a performance well should be no more than an estimated 5-year groundwater travel time distance (derived from the EPA’s 5-year periodic NPL remedy review process), or other timeframe supported by site-specific conditions.
Following the methodology of Wiedemeier (1999) and Wiedemeier et al. (1999), the Permittee should prove each well proposed for use as a performance well actually resides in the plume of contamination by sampling each proposed performance well for the contaminant(s) of concern, and in cases where those constituents are below the limits of detection (LOD), the following MNA fingerprint compounds:
1] dissolved oxygen (concentration levels below background may be indicative of aerobic respiration). 2] nitrate (concentration levels below background may be indicative of anaerobic biodegradation via dentrification process). 3] sulfate (concentration levels below background may be indicative of sulfate reduction). 4] Fe (II) (concentration levels of the soluble form of iron above background may be indicative of anaerobic biodegradation). 5] methane (concentration levels above background may be indicative of methanogenesis). 6] chloride or alkalinity (concentration levels above background may be indicative of a release of carbon dioxide or chloride as end products of the biodegradation of petroleum or chlorinated hydrocarbons).The resulting fingerprint data should be compared to the results of sampling of the site background wells. Wiedemeier (1999) has demonstrated that there should be a marked difference in the concentrations of these fingerprint compounds in the background well vs. the performance wells, if the performance wells are accurately positioned to reside within the groundwater plume. This sampling effort should be completed during the initial Corrective Action sampling event.
Regarding item 3 above, this well type is correlative to the “Point of Action” wells defined by Wiedemeier (1999). For the purposes of the VSWMR, the sentinel well is defined as a well that is positioned outside the leading edge or lateral sides of the groundwater plume in a location that can act as a sensor to detect plume movement toward a receptor (seep, spring, wetlands, surface water body, irrigation well, agricultural well, potable well, etc.) or a property boundary. As a guide, the lateral spacing between sentinel wells should be no more than 500 feet, and the distance between the sentinel well and the receptor should be no less than 50 feet. The location of the sentinel wells (outside the plume) can be verified using the fingerprint compounds listed above.
Sampling Frequency The sampling frequency requirements concerning evaluating the effectiveness of MNA are separate from the sampling requirements called for under the VSWMR regarding routine compliance monitoring. The statistical method may dictate that groundwater sampling be conducted temporarily at a frequency greater than that which would otherwise be required by the VSWMR.
EPA (1998) has indicated that groundwater should be sampled at a quarterly frequency once Corrective Action has begun. Quarterly sampling should continue until such time as there are sufficient data collected to perform a Corrective Action Site Evaluation
(CASE).
Most statistical-trend or regression analysis requires a minimum of 10 independent data points before a valid statistical conclusion can be reached. If the Corrective Action Plan sets a 3 year CASE submission timeframe, quarterly sampling would be required during the first 2 years of the Corrective Action program in order to collect 10 data points within 3 calendar years. If a 4-year CASE study submission timeframe is required, quarterly sampling would be required during the first year of the Corrective Action program in order to collect 10 data points within 4 calendar years. If a 5-year CASE study submission timeframe is required, quarterly sampling would not be required in order to collect 10 data points within 5 calendar years.
The frequency of the CASE report submissions will be established in the facility’s Permit and will be based on site specific data including estimated groundwater flow rate, proximity of the plume to receptors, and presence or absence of off-site impact. Once sufficient data has been collected to perform CASE statistics, the groundwater sampling requirements of 9 VAC 20-80-310.A.2.b and 310.C.1.a.(2) and (3) would be applicable for future sampling events.
Sampling Constituents Sampling of compliance wells shall continue under the respective monitoring program (Assessment or Phase 2) during the Corrective Action process. Regarding the performance and sentinel wells, the VSWMR requirements are applicable and EPA guidance should be considered.9 VAC 20-80-310.A.2 requires that, while a facility is in the Corrective Action program, the Permittee must continue to meet the applicable requirements of 9 VAC 20-80-300 (Assessment or Phase II programs). With regard to 9 VAC 20-80-310.C.1.a(2), EPA (1998) and Wiedemeier (1999) have documented that the following constituents should be monitored in order to document the performance of the MNA process.
This MNA performance list includes:
1] dissolved oxygen 2] nitrate 3] Fe (II) 4] sulfate 5] methane 6] chloride 7] alkalinity 8] oxidation reduction potential 9] conductivity 10] temperature 11] ethane 12] ethene
These 12 constituents should be sampled for at a minimum at each performance well and at the site background well(s) each time groundwater is sampled during the Corrective Action program. If a Permittee believes that one or more of the performance list constituents is not applicable to the site contaminants of concern (e.g., site is characterized by solely aerobic vs. anaerobic degradation), the Permittee may request a site-specific list of MNA performance constituent(s).
Regarding sentinel wells, the monitoring requirements are for contaminants of concern (or their metabolic breakdown products) as suggested under EPA guidance (i.e., GPS-exceeding constituents of concern and their related breakdown products).
Based on the purpose of sentinel wells, the 12 constituents noted above, or the site-specific MNA performance constituents, if different, should be sampled for at least on an annual basis to detect plume movement toward any receptors or property boundaries.
Interpretation of data and design of CASE Reports The intent of the Corrective Action Site Evaluation (CASE) report is to document, on a periodic basis (timeframe to be established in the facility’s Permit), the performance of the MNA program on site. EPA guidance (1999 & 2001) requires a minimum of three demonstrations:
1] proof that there is a statistical reduction in contaminant concentrations along distinct flow paths
2] a demonstration that contaminant reduction is driven by chemical or biologic attenuation of the contaminant(s) of concern
3] sampling data that proves the plume has stabilized in horizontal and vertical extentRegarding item 1 above, using data obtained during the Corrective Action program, the Permittee should construct two-dimensional, time-specific, constituent-specific, bar graphs with a vertical axis showing constituent concentration, and a horizontal axis scaled to show linear (ground) distance along the flow path.
Regarding item 2 above, using data obtained during the Corrective Action program, the Permittee should construct constituent-specific (including each of the MNA performance sampling constituents) trend or regression analyses (Wilcoxon rank – sum test, Spearmans’s test, or Mann-kendall test) with a normal or semi-log vertical axis showing constituent concentration, and a normal horizontal axis scaled to represent the dates sampling events took place during the 3-, 4-, or 5-year CASE reporting period. Facilities that have pre-Corrective Action program sampling data may voluntarily add this data to the analysis for reference. Additionally, the Permittee may choose to graphically represent the MNA performance constituent data on multi-axis SEQUENCE-redux radial diagrams (plotted against data obtained from site background, and each performance well’s historical data).
Regarding item 3 above, using data obtained during the Corrective Action program, the Permittee should construct two-dimensional, time-specific, constituent-specific, plume delineation maps showing both the horizontal and vertical extent of the groundwater plume, and noting whether or not the margins of the plume have expanded or decreased since initiating Corrective Action.
- 0 REPORT FORMAT The MNA-based CAMP will be submitted as part of the Corrective Action Plan documentation, and shall be an attachment to the facility’s Permit. The CAMP should be a stand-alone technical document, certified by a qualified groundwater professional. For the sake of consistency and to ensure an expeditious review, the information (technical content) of the CAMP should be arranged in the order presented within these submission instructions as outlined in Table C of these instructions.
The sections listed herein shall be considered standard technical content. Please note that submissions that do not provide the standard technical content outlined here may be judged incomplete during technical review.
The Department notes that there may be some site-specific instances where a facility’s technical data may require additional information beyond that listed in these submission instructions as a means of more fully characterizing the technical data available and conclusions derived thereof. These instructions set no limit on the number or content of additional report sections as long as the information included directly pertains to that required of an MNA-based CAMP.
The administrative and technical content expected for each section of the CAMP is briefly described on the following pages.
Cover Page – Provide the following information:
- Landfill Name
- Landfill location
- DEQ Permit #
- Name & Address of the Consultant
- Name & Address of the Permittee• Report Date
Signature Page – This page should contain the signature & seal of a qualified groundwater professional certifying the content of the CAMP.
Table of Contents – Specify the order and organization of the report sections as outlined in Attachment C of these instructions.
Introduction – States, in general terms, that the actions described in the CAMP are designed to meet the requirements of 9 VAC 20-80-300; 310.A.2; and 310.C.1.a.
The Permittee should indicate the CAMP was submitted in a format consistent with these submission instructions and applicable reference(s) in the VSWMR. The report should describe any limitations (company specific language), as well as definitions for any technical or laboratory terminology used in the report. The report shall describe the QA/QC procedures used during ASD sampling if applicable.
Technical Content – The technical content of the Corrective Action CAMP shall include that specified under the Department’s Submission Instructions #12 augmented by the information discussed above. Specifically, the MNA-based CAMP shall include a fully defined monitoring network, including well identification, well classification, well sampling constituent listing and sampling frequency description. The CAMP shall state the type of analytical methods used (including those for the MNA performance constituent list), laboratory limits of detection (LOD) and quantitation (LOQ) and a notation that the methods used meet or exceed those listed in SW-846 as updated [9 VAC 20-80-300].
The CAMP shall describe (in general detail) the materials/information that shall be included in the periodic CASE reports. The CAMP shall identify a neutral location in which copies of the Corrective Action related site documents will be stored for public review.
Figures – Provide at a minimum copies of the:
- USGS 7 ½-minute topographic map - showing the site location
- Site Plan - to include topographic contours, permanent structures, surface water features, a bar scale, north arrow, facility boundary, waste management unit boundary, and all monitoring wells or sampling points relevant to the MNA-based
CAP.
- Recent Potentiometric map
- Optional figures - may include copies of published geologic maps, US Department of Agriculture soils maps, geologic cross-sections, etc.
Appendices – Provide at a minimum, copies of the following:
- Boring logs for all Corrective Action monitoring program wells/borings
- Sample Field Sampling Sheets
- Sample Chain of Custody Records
- Copy of off-site access agreement (if applicable)
- 0 SUBMISSION TIMELINES The current VSWMR do not specifically list a submission timeframe for the MNA-based CAMP. However, 9 VAC 20-80-310.C.1.a requires that a CAMP must be ready forimplementation at the time of Corrective Action initiation. Therefore, the facility should develop and submit the CAMP at the same time it submits the MNA-based proposed Corrective Action Plan.
- 0 DEPARTMENT REVIEW PROCESS 9 VAC 20-80-310.B.7 requires the Director to issue a decision on the merits of the proposed Corrective Action. Since the CAMP is based on the proposed clean-up remedy, the Department will undertake a technical review of the content of the CAMP to ensure it meets the requirements included in this Submission Instruction. Revisions to the CAMP based on the Department’s technical comments will be requested concurrent with revisions to the corrective action plan (CAP). ATTACHMENTS
A - REFERENCE LISTING Environmental Protection Agency, 1998, Monitored Natural Attenuation for Groundwater EPA/625/K-98/001.
Environmental Protection Agency, 1999, Use of Monitored Natural Attenuation at Superfund, RCRA, Corrective Action and Underground Storage Tank Sites OSWER Policy Directive 9200.4-17P.
Environmental Protection Agency, 2001, Handbook of Groundwater Protection and Cleanup Policies for RCRA Corrective Action EPA/530/R-01/015.
National Research Council (Committee on Intrinsic Remediation), 2000, Natural Attenuation for Groundwater Remediation, National Academy Press, 274p.
Wiedemeier, T. H., 1999, Designing Monitoring Programs to evaluate the performance of natural attenuation, in: Alleman, B. C., and Leeson, A., Natural Attenuation of Chlorinated Solvents, Petroleum Hydrocarbons, and Other Organic Compounds, Battle Press, pp313-323.
Wiedemeier, T. H., Rifai, H. S., Newell, C. J., and Wilson, J. T., 1999, Natural Attenuation of Fuels and Chlorinated Solvents in the Subsurface, John Wiley & Sons, 617p.B – SAMPLE MNA DECISION CHECKLISTS Applicability of MNA on site? 1] Are all source areas on site capped with an impermeable (as defined by EPA) cover?
If no, then performance of the MNA may be adversely affected.
2] Does site groundwater data already indicate there’s a reduction in contaminant concentrations along flow paths? If no, then plume may still be expanding at a rate faster than which can be chemically or biologically attenuated.
3] Does site groundwater data indicate the plume is stable in both vertical and horizontal extent? If no, see 2] above
4] Did the ACM/Pilot Study contain chemical/geochemical data or a microbiological survey proving attenuation is taking place? If no, data may not be present which will be adequate justification to propose MNA as a form of Corrective Action.
5] Does site evidence indicate there are on-site or off-site sensitive receptors (i.e., surface water, wetlands, supply wells) immediately downgradient of the plume? If yes, a risk assessment showing no unacceptable impact to sensitive receptors and a correctly designed monitoring network would be required prior to approval of MNA-based Corrective Action.
6] Are calculated attenuation rates high enough to bring exceeding levels to GPS in a reasonable timeframe compared to active remedies? If no, use of MNA as a stand alone Corrective Action may not be appropriate.
Accurate development of an MNA monitoring network on site? 1] Does the facility define each function of the monitoring wells on site? If no, further description is needed.
2] Is there at least one nested well in the core of the plume? If no, additional wells will be required to meet EPA guidance requirements.
3] Can the GPS-exceeding and performance well(s) be proven to be on distinct flowpaths, with at least one flowpath being in the center of the plume? If no, additional wells will be needed.
4] Is the linear spacing between flowpath exceeding and performance wells appropriate for the groundwater flow rate calculated for the site? If no, additional wells will be needed.
5] Have the performance wells (in cases where GPS-exceeding compound(s) are non-detect) been tested for the 6 MNA-fingerprint signature constituents? If no, testing should be undertaken as soon as possible.
6] Are Sentinel Wells located appropriately at each receptor? If no, additional wells will be required.
7] Is the lateral spacing between Sentinel Wells no greater than 500’ and the distance to the receptor no less than 50’? If no, wells to close the spacing will be required.• Note that if the answer to any question is no, the modification to the network may be placed in the facility-specific Corrective Action Permit module.
C - TABLE OF CONTENTS
TABLE OF CONTENTS
- 0 Introduction
- 0 Monitoring Program
- 1 Site Location Description
- 2 Description of Aquifer
- 3 Monitoring System (well type definitions)
- 4 Well Installation Procedures
- 5 Well Construction Procedures
- 6 Well Development
- 7 Well Abandonment
- 8 Well Documentation
- 9 Well Certification
- 0 Sampling Program
- 1 Constituent(s) Listing (well specific)
- 2 Sample Collection Frequency
- 3 Sample Preservation/Handling
- 4 Chain of Custody Procedure
- 5 Field Book Records
- 6 Laboratory Procedures
- 7 QA/QC Program
- 8 Statistical Trend Evaluations
- 9 Interpretation of GW Elevation Data
- 10 Record Keeping
- 0 Reporting Schedule
- 1 GPS Exceedance Notifications
- 2 CASE Reports
- 3 Off-Site Impact Notifications
- 4 Miscellaneous Reporting
- 0 Well O&M Program
- 0 Figures
- 1 Site Location Map (USGS Quadrangle)
- 2 Site Plan
- 3 Misc. Maps (geology, soils, etc.)
- 0 Appendices A Off-site Access Agreement B Boring Logs C Well Completion documentation D Sample Field Sheets E Sample Chain of Custody G Miscellaneous
Land Protection and Waste Facility Inspection GuideDoc ID: Solid
COMMONWEALTH OF VffiGINIA Department of Environmental Quality
Subject: Land Protection and Revitalization Guidance Memo No. LPR-SW-02-2010 Solid Waste Compliance Program Inspection Manual
To: Regional SolidWasteComplianceInspectors
From: Justin Williams, Director, Division of Land on and Revitalization
Date: September24, 2019
Copies: Regional Land Protection Managers
Summary: The Virginia DEQ Solid Waste Compliance Program conducts periodic inspections of waste management facilities subject to the Virginia Waste Management Act and its associated waste regulations. This manual provides procedural guidance on how to conduct a legally defensible inspection, and is designed to promote umformity and consistency among DEQ Regional Offices.
Procedures include pre-inspection prq)aration, on-site inspection protocols, and post-inspection procedures for report preparation and responding to observations of compliance and non-compliance.
Suspected noncompliance is addressed using a classification system of severity levels to identify the significance of various noncompliance observations so a prioritized compliance and enforcement response may be initiated to resolve the matter. Attachments to this manual provide boilerplate forms and letters used to note, formalize and publish inspection observations.
Electronic Copy: An electronic copy ofthis guidance is available on the Virginia Regulatory Town Hall website at: http ://townhall .virginia. ^ov/iyViewGDoc. cfm? gdid=43 91
Contact Information: Please contact the solid waste compliance coordinator, Priscilla Rohrer, at (540) 574-7852 or priscilla. rohrer(%deq. virginia. gov with any questions regarding the application of this guidance.
Certification: As required by Subsection B of § 2.2-4002. 1 of the APA, the agency certifies that this guidance document conforms to the definition of a guidance document in § 2.2-4101 of the Code of Virginia.
Disclaimer: This document is provided as guidance and, as such, sets forth standard operating procedures for the agency. However, it does not mandate any particular method nor does it prohibit any alternative method. Ifalternative proposals are made, suchproposals shouldbereviewed andaccepted or denied based on their technical adequacy and compliance with appropriate laws and regulations.Division of Land Protection & Revitalization Office of Financial Responsibility & Waste Programs Solid Waste Compliance Program Inspection Manual Revision 5 September 2019
FORWARD
The procedures set forth here are designed to promote uniformity and consistency throughout the Department to conduct a legally defensible inspection. This manual provides guidance to Virginia Department of Environmental Quality (DEQ or the Department) staff conducting inspections under the Virginia Solid Waste Compliance Program at solid waste management facilities (SWMF) under.
Chapter 81 - Solid Waste Management Regulations Chapter 85 - Coal Combustion By-Product Regulations Chapter 120 - Regulated Medical Waste Management Regulations Chapter 170 - Transportation of Solid and Medical Wastes on State Waters
Disclaimer: This document is provided as guidance and, as such, sets forth standard operating procedures for the Virginia Department of Environmental Quality (DEQ). The procedures established in this document are intended solely for the guidance of employees of the DEQ. They are not intended and cannot be relied upon to create any rights enforceable by any party in litigation. DEQ reserves the right to act at variance with policies and procedures and to change them at any time without public notice.
2 TABLE OF CONTENTS
CHAPTER 1 – PURPOSE AND SCOPE 6
- 1 Adherence to Other DEQ Policies 7
- 2 Solid Waste Complaints at Unpermitted Sites 7
- 3 Solid Waste Complaints at Permitted Facilities 8
CHAPTER 2 - DEQ AUTHORITIES AND RESPONSIBILITIES 10
- 1 Inspector Authority and Limitations 10
- 2 Inspections 11
- 3 Inspector Responsibility 12
- 4 Regional Land Protection Manager (LPM) Responsibilities 13
CHAPTER 3 – PREPARING FOR THE INSPECTION 14
- 1 Inspection Purpose and Scope 14
- 2 Pre-inspection File Review 15
- 3 Inspection Coordination 16
- 4 Inspection Strategies 19
- 5 Sampling Considerations 20
- 6 Health and Safety 21
- 7 Accident Reporting 21
CHAPTER 4 – CONDUCTING THE INSPECTION 22
- 1 Arrival & Facility Entry 22
- 2 Consent 23
- 3 Opening Conference 25
- 4 Record Review 26
- 5 Site Walkover 26
- 6 Recording Observations 29
- 7 Exit Interview 31
CHAPTER 5 – CLASSIFYING AND RESOLVING NON-COMPLIANCE 34
- 1 Severity Level Classification of Non-Compliance 34
- 2 Instruments to Address Non-Compliance 36
- 3 Selection of Appropriate Instrument to Address Non-Compliance 43
- 4 Further Considerations in Selecting Non-Compliance Instruments 44
- 5 Inability to Meet Compliance Deadlines 47
CHAPTER 6 – PREPARING INSPECTION REPORTS 48
- 1 Reviewing the Information 48
- 2 Preparing the Checklists 48
36.3 Writing the Cover Letter 49
- 4 Finalizing the report 49
- 5 Updating CEDS Inspection Event Codes 50
CHAPTER 7 – TRACKING COMPLIANCE 51
- 1 Facility Return-To-Compliance 51
- 2 RTC under Consent Orders and Letters of Agreement 51
- 3 Maintaining CEDS and ECM 52
- 4 Logi AdHoc Shared Reports 52
4 ATTACHMENTS
1: Solid Waste Compliance Risk Based Inspection Strategy (RBIS)
2: Pre-inspection Worksheet or Checklist
3: On-Site Records Review Checklist
4: Site Walkover Review Checklist
5: Photo Documentation Template
6: No Deficiency Letter Boilerplate
7: Deficiency Letter Boilerplate
8: Warning Letter Boilerplate
9: Notice of Violation Boilerplate
10: Documentation of Alleged Violations Subject to Pending or Executed
Enforcement Orders
11: Pending Enforcement Letter Boilerplate
12: 24-hr/5-day Reporting Requirements
13: Inspection Manual Revision Log
5CHAPTER 1 – PURPOSE AND SCOPE
The Virginia Department of Environmental Quality (DEQ or Department) conducts periodic inspections of solid waste management facilities. The purpose of this manual is to promote uniformity and consistency among DEQ regional offices by providing guidance on how to conduct a legally defensible inspection.
This manual provides procedural guidance for performing inspections of permitted facilities and other sites subject to the Virginia Waste Management Act and its associated waste regulations.
Procedures include pre-inspection preparation, on-site inspection protocols, and post-inspection procedures for report preparation and responding to observations of compliance and non-compliance. Attachments to this manual provide boilerplate forms and letters used to note, formalize and publish inspection observations.
This manual intends to act as a Quality Management Plan for the Solid Waste Compliance Program. Where deviations from these procedures occur, regional program staff and management should maintain appropriate written documentation and justification regarding the specific actions taken.
DEQ staff should strive to achieve the Solid Waste (SW) Program Mission which is:
“To protect air, water, and land and ensure a healthy environment by promoting, guiding, and regulating the effective management of solid waste”
PRINCIPLES: We achieve the SW Program Mission through:
- A collaborative focus on the environmental benefits as well as the impacts to those we regulate, agency resources, and the community.
- Development of regulations that are clear and no more complex than necessary to achieve environmental results.
- Prioritizing agency actions and resources based on existing and potential environmental threats.
- Development of policies and practices that promote and facilitate waste minimization, beneficial reuse, and recycling.
- Timely and consistent application of regulations and guidance while taking responsibility to proactively consider alternatives and find workable solutions.
- Consideration and understanding of other agency programs and responsibilities.
- Clear and certain internal and external communication (two-way, active listening, one DEQ voice).
- Meeting our commitments to timeliness and quality.
6This manual is designed to assist compliance staff with implementation of waste statutes and regulations for which the DEQ is authorized or approved to implement. Nothing in this manual may interfere or limit the agency or its personnel from fully implementing the solid waste program as designed and intended. If any information or procedure herein conflicts with other DEQ procedures or other state or federal statutes and regulations, regional staff or management should notify the Solid Waste Compliance Coordinator and obtain clarification before any action is taken.
Further, if a planned compliance action is not covered by this Manual or applicable regulation or if it is the first time a procedure or regulation is applied, the proposed action should be discussed with the Solid Waste Compliance Coordinator for possible precedent and for consultation with outside agencies.
- 1 Adherence to Other DEQ Policies
Compliance staff is responsible for adhering to all other DEQ policies and procedures including internal guidance memos issued by the Division of Land Protection & Revitalization and applicable external guidance available on the Virginia Regulatory Town Hall website, including, but not limited to:
General Compliance Procedures Civil Enforcement Manual Implementation of the New Operations Manual Requirements (LPR-SW-01- 2011A) Solid Waste Special Waste Disposal Requests (LPR-SW-02-2012) Financial Assurance for Stockpiles of Materials for Beneficial Use or Other Uses (LPR-SW-04-2011) Landfill Mining Applicability and Application Requirements (LPR-SW-2013-02) Permitting, Sampling, Analysis, and Data Reporting associated with Solid Waste Landfill Underdrain Systems (LPR-SW-2016-02) Clarification of Landfill Gas Regulatory Requirements (LPR-SW-2017-01) Odor Guidance for Solid Waste Management Facilities (LPR-SW-2019-01)
- 2 Solid Waste Complaints at Unpermitted Sites
This manual does not detail the complete protocol for investigating solid waste complaints and incidents at unpermitted sites (i.e. sites not operating under a solid waste permit or solid waste permit-by-rule). Investigations of solid waste complaints or incidents at unpermitted sites should be conducted in accordance with the procedures outlined in the Pollution Response Program (PREP) Manual (PREP-2017-01), which provides:
General guidance on responding to, investigating, and resolving complaints and pollution-related incidents, Minimum requirements for documenting investigations in CEDS PREP and ECM, Instructions for when and how to complete the Pollution Investigation Report, Criteria for selecting an appropriate compliance instrument (Request for Corrective Action (RCA), Warning Letter, or Notice of Violation), and Case closure procedures.
7All solid waste complaints at unpermitted sites should be tracked in CEDS PREP under a PREP Incident Report (IR). Step-by-step instructions for using CEDS PREP are provided in the PREP Tutorials and How-to-Guides on DEQnet. Each PREP IR is assigned to a DEQ employee who is responsible for investigating and responding to the complaint, updating all information and events in CEDS PREP, and uploading documents to ECM.
The records retention schedule for PREP requires that complaint-related documents are stored in ECM under the PREP IR# and retained for 5 years after the last case activity (e.g. closure or referral date).
Some investigations of unpermitted sites result in the facility pursuing a permit, permit-by-rule, authorization, or other approval. Once an application for a permit or authorization has been received, staff should close the PREP IR and transition to tracking facility information in the CEDS Solid Waste module under the appropriate permit or authorization number.
From that point forward, the application and any new documents will be stored in ECM under the solid waste permit or authorization number in accordance with the records retention schedule for solid waste.
On occasion, other unpermitted sites (such as pre-1988 landfills, legacy solid waste sites, and some releases of solid waste) may require more long-term groundwater and/or gas monitoring, closure, or post-closure care outside of a permit in order to achieve compliance with the regulations and/or fulfill requirements of an enforcement order. These sites may be tracked in CEDS and ECM under a UNP#, which allows documents to be managed in ECM in accordance with the solid waste records retention schedule (i.e. longer than the 5-year PREP records retention schedule).
- 3 Solid Waste Complaints at Permitted Facilities
Investigations of solid waste complaints at permitted solid waste management facilities should be conducted in accordance with the procedures outlined in this manual, including documentation in CEDS and ECM. As the CEDS PREP module is the official and central repository for ALL complaints received by DEQ, complaints regarding permitted facilities should initially receive a PREP IR# to alert other staff that the complaint was received and is being addressed. If an inspector receives and addresses a complaint and does not document it in the PREP module, the PREP coordinator or other staff may receive a call about the same incident and begin an investigation not knowing that the incident is already being addressed by the SW program. The PREP IR may then be closed following the instructions below, and the complaint and follow-up investigation should be documented in a SW inspection report and ECM under the solid waste permit or permit-by-rule number.
1.3.1 Documenting Complaints at Permitted Solid Waste Facilities:
- Assign PREP IR to SW inspector & complete applicable fields on IR General tab.
- Associate (link) PREP IR to the Solid Waste Permit and Core Facility in CEDS
- Close PREP IR and select closure reason “Pollution report being managed by media-specific program." In the PREP IR Closure Comments, specify which SW inspector is investigating the complaint and note that it will be documented in a solid waste inspection report under SWP# (or PBR#) with documents in ECM under SWP# (or PBR#).
84. Document the complaint(s) and investigation in a SW inspection report under the solid waste permit. This may include doing a focused complaint inspection (FCI-Complaint inspection type), or for ongoing complaint investigations, the inspector may summarize information (such as new complaints received and updates on investigative or remedial actions) in the report for the next routine SW inspection.
- Upload related complaint documents (e.g. emails, other correspondence, solid waste inspection report and cover letter, etc.) to ECM under the SWP# or PBR#.
- 3.2 Ongoing Complaints (such as Odor Complaints)
Normally, each individual complaint is documented in CEDS PREP as a separate incident. However, if frequent or numerous complaints are received for a permitted solid waste facility (e.g. odor complaints), documenting each complaint in CEDS PREP as a separate incident would be tedious and time consuming. In that case, each subsequent complaint does not have to be documented in CEDS PREP.
However, all complaint records should still be uploaded to ECM under the SWP# or PBR #, and all complaints should still be referenced in a solid waste inspection report.
Tracking complaints in a spreadsheet that is periodically uploaded to ECM under the permit number may also be helpful in organizing information from ongoing complaints, especially for FOIA purposes. Some complaints may continue to be received through the DEQ public website or entered into CEDS PREP by staff outside of the SW program, and those PREP IRs can be closed out using the procedure outlined above in Section 1.3.1.
9CHAPTER 2 - DEQ AUTHORITIES AND RESPONSIBILITIES
DEQ is authorized to conduct inspections of permitted solid waste management facilities and other waste management sites for purposes of determining compliance with the requirements of the statute, regulations, and permits.
- 1 Inspector Authority and Limitations
Right of entry to regulated facilities and access to abandoned waste sites is granted to DEQ representatives under the Code of Virginia
§10.1-1406.1.A. states, in part: “For the purposes of this section, "abandoned waste site" means a waste site for which (i) there has not been adequate remediation or closure as required by Chapter 14 (§ 10.1-1400 et seq.) of this title, (ii) adequate financial assurances as required by § 10.1-1410 or § 10.1-1428 are not provided, and (iii) the owner, operator, or other person responsible for the cost of cleanup or remediation under state or federal law or regulation cannot be located.”
§10.1-1456 states, in part: “Upon presentation of appropriate credentials and upon consent of the owner or custodian, the Director or his designee shall have the right to enter at any reasonable time onto any property to inspect, investigate, evaluate, conduct tests or take samples for testing as he reasonably deems necessary in order to determine whether the provisions of any law administered by the Board, Director or Department, any regulations of the Board, any order of the Board or Director or any conditions in a permit, license or certificate issued by the Board or Director are being complied with. If the Director or his designee is denied entry, he may apply to an appropriate circuit court for an inspection warrant authorizing such investigation, evaluation, inspection, testing or taking of samples for testing as provided in Chapter 24 (§ 19.2-393 et seq.) of Title 19.2.”
§ 10.1-1186. General powers of the Department states, in part, “The Department shall have the following general powers, any of which the Director may delegate as appropriate: …11. Perform all acts necessary or convenient to carry out the purposes of this chapter.”
Also, facility permits and enforcement orders convey DEQ inspection authority. Typical permit provisions include Permit Module I, Condition I.B.7 which states:
“The permittee shall allow the Director, or an authorized representative, at a reasonable time, upon the presentation of appropriate credentials, to:
I.B.7.a. Enter the permitted facility where a regulated unit or activity is located or conducted, or where records must be kept under the conditions of this permit;
I.B.7.b. Have access to and copy any records that must be kept under the conditions of this permit;
I.B.7.c. Inspect any unit, equipment (including monitoring and control equipment), practices, or operations regulated or required under this permit; and
10 I.B.7.d. Sample or monitor, for the purposes of assuring permit compliance or as otherwise authorized by Virginia Waste Management Act, any substances or parameters at any location within his control.”
Each permit is unique and “right of entry” provisions may be located in a different section or include different language than stated here. DEQ enforcement orders follow boilerplate formats in the Enforcement Manual.
When conducting an inspection or investigation, inspectors should focus on areas within the purpose and scope of the inspection, avoiding areas outside of general DEQ authority.
If issues are identified outside the scope of the inspector’s responsibilities or authorities, the inspector should simply identify and document the problem for future referral to appropriate staff or authorities for follow-up.
- 2 Inspections
DEQ inspects solid waste management facilities and other sites as part of an overall compliance monitoring program. The inspections are conducted to verify:
accuracy of information submitted by owners or operators, adequacy of methods and practices used by owners or operators to achieve or demonstrate compliance, and compliance with statutes, regulations, permits, and approved plans.
Through the course of verifying compliance, alleged violations may be identified.
The inspection process consists of several steps including:
pre-inspection preparation on-site inspection protocols, and post-inspection procedures and follow-up.
- 2.1 Inspection Frequency
The frequency of routine inspections is set in accordance with the Solid Waste Compliance Risk Based Inspection Strategy (RBIS, Attachment 1). Under this Department strategy, an inspection schedule is developed on an annual basis by the regional offices based on the risk-based criteria. Depending on other factors, the schedule may be adjusted during the year if warranted and with notification to the Solid Waste Compliance Coordinator.
- 2.2 Additional Inspections
Other inspections may be conducted in response to complaints or in support of an active Enforcement Order. Regional Office and PREP Program procedures should be followed when coordinating complaint investigations. Inspections focusing solely on Enforcement Orders should be coordinated for inclusion in routine inspections, where possible.
112.3 Inspector Responsibility
It is essential that inspections be performed in a legally defensible and technically correct manner. Observing inspection protocols and procedures is fundamental to a successful inspection and purposeful use of the inspection findings. All legal and technical protocols should be observed during the inspection process. Failure to follow established procedures may limit or prohibit use of inspection findings.
- 3.1 Duties
In performing their duties, inspectors should:
Follow inspection procedures contained herein. Identify, document, and report applicable facts of an inspection completely and accurately. Brief facility/site personnel on compliance observations in general or more specific terms as necessary. Continue to improve their knowledge and technical skills in conducting inspections and investigations. Avoid actions (or failure to act) that may be motivated by personal reasons or for personal gain.
Inspections and investigations should be conducted in a professional, courteous, and responsible manner.
- 3.2 Working Relationships
Inspectors should obtain and maintain cooperation and a good working relationship with the public and the regulated community through the use of diplomacy and tact. Hostile individuals should be treated with courtesy and respect. Inspectors should avoid offering personal opinions concerning any individual, facility/site representative, contractor, or other regulated entity including other governmental agencies. Information acquired during an inspection or investigation is for official use and becomes a part of the DEQ administrative record.
- 3.3 Conflict of Interest
Inspectors should be skilled in dealing with facility representatives, consultants, business owners, and the general public and in identifying conflicts of interest. A conflict of interest may occur when an inspector has personal or private interests in a matter related to their official responsibilities. Avoiding the appearance of a ‘conflict of interest’ projects a credible image of DEQ and the inspector.
If a bribe is blatantly offered or attempted, an appropriate response is to:
1) Ask why the offer is being made. 2) Politely decline and explain acceptance may violate Virginia law. 3) Document the incident fully and in detail. 4) The inspector should immediately report such incidences to the LPM.
12 Under no circumstances should an inspector accept money or goods in conflict with Virginia laws or the Employee Handbook, which states:
“As a state employee, you are in a position of public trust. Therefore, you may not accept gifts, gratuities, favors, or rewards for any services you perform in connection with state employment other than from the agency where you work.
Likewise, it is unlawful for employees to solicit, offer, or accept money or any thing of value in exchange for appointment or selection to a position at a higher salary, or for special privilege with any state agency. Violation of this policy will be handled through the Standards of Conduct.”
- 4 Regional Land Protection Manager (LPM) Responsibilities
LPMs are responsible for ensuring quality and consistency of inspections and reports, which should be accomplished through the following opportunities:
Conduct pre-inspection meetings, as necessary, with inspectors to discuss recent permitting or enforcement activities, correspondence with the facility, or changes in facility plans or compliance expectations, and to identify outstanding issues with the facility. Conduct post-inspection debriefings when necessary to discuss observations so compliance/enforcement actions and corrective measures can be prioritized and initiated in a timely manner. Ensure timely review and approval of inspection reports for uniformity and consistency with established procedures. Facilitate compliance coordination and tracking at the program level, ensuring required inspections are performed in accordance with the RBIS; Participation in (or direct oversight of) high-profile or complex inspections. Arrange for staff training or assistance in the field during inspections, as needed.
LPMs should encourage compliance staff to understand and develop knowledge of current interpretations and the intent of existing regulatory standards for specific subject areas and to keep track of the changes. Inspectors should promote development of other staff by sharing and exchanging knowledge in these subject areas.
13CHAPTER 3 – PREPARING FOR THE INSPECTION
Preparation is the key to performing a proper inspection. Adequate preparation results in complete, efficient, and accurate inspections, avoiding delays and ensuring timely inspection reports. Also, proper preparation minimizes disruption of site activities.
Prior to conducting an inspection, the inspector should:
Determine the purpose and scope of the inspection. Review available information to develop a complete and thorough understanding of both regulatory and technical facility standards. Review relevant DEQ policy and guidance on the Virginia Town Hall website. Coordinate with appropriate DEQ staff or outside agencies as necessary. Develop an inspection strategy for conducting on-site inspections. Identify equipment needs.
Typically, inspection preparation takes longer than the site visit. The following Sections describe in further detail the inspection preparation process.
- 1 Inspection Purpose and Scope
The purpose of the inspection is to:
Assess overall facility compliance with laws, regulations, permit conditions, and Enforcement Orders. Collect information and document observations about current facility operations. Confirm the accuracy of information submitted by owners or operators. Address any deficiencies identified.
The scope of the inspection may vary and will depend on the factors surrounding the inspection. The scope of the inspection is influenced by:
Risk Based Inspection Strategy Compliance and enforcement history The potential for (or nature of) any releases Current and/or future site-specific permit conditions
The purpose and scope will assist an inspector in identifying the:
Files and database records to be reviewed before the site visit, Appropriate DEQ staff or outside agencies to coordinate with, Areas or aspects of facility operations to focus on during the site visit, Records or plans to be reviewed or copied while on-site, Necessity for any field measurements during the inspection, and Appropriate response resulting from the pre-inspection preparation and the on-site inspection.
143.2 Pre-inspection File Review
DEQ maintains an administrative record for each regulated solid waste management facility. The administrative record includes, but is not limited to:
General correspondence, Permits and approvals, Plans and approvals, Certifications and Notifications, Monitoring reports and data, CEDS Inspection reports and responses, and Enforcement documents.
DEQ’s administrative and inspection records are maintained in the Enterprise Content Management system (ECM). Some historical records (pre-2013) or hard copies of documents may be located in the Regional Offices, and some program records may be located in Central Office such as recycling tax credits, solid waste management plans, etc.
Key facility information is available to all DEQ offices through the Comprehensive Environmental Database System (CEDS).
- 2.1 Conducting the File Review
Prior to conducting any inspection, available files should be reviewed. The information gathered during the review may provide:
Insight into historical and current practices and expected conditions at the facility. A better understanding of applicable facility compliance standards.
During the file review, field checklists should be reviewed for compliance issues that were identified prior to visiting the facility. This will help identify which documents should be obtained or reviewed during the site visit.
CEDS also provides Permit/Compliance Summaries for each permitted facility as well as blank inspection checklists for each unit type that can be reviewed prior to the inspection or printed for the inspector to use as a reference while onsite.
From the file review, the inspector should have an understanding of:
Facility siting, design, construction, operation, monitoring, closure, and post-closure care technical requirements; Authorized wastes including waste management methods and practices; Waste management units employed and their status; Monitoring requirements for groundwater, surface water, underdrains, or gas, as applicable, including knowledge of compliance monitoring networks (wells, probes, or other sampling locations)
15 Permit and compliance history of the facility including previous non-compliance and facility efforts to return to compliance. This should include any potential non-compliance that has not been remedied; Potential non-compliance to be evaluated during the inspection. This may be based on complaints, unresolved issues from previous inspections, or inconsistencies in file materials; and Applicable compliance standards and expectations from the laws, regulations, Enforcement Orders, and permits.
After the file review, the inspector should have a thorough understanding of permits, other site-specific documents and enforcement documents pertaining to the facility. It is important that inspectors use the most current information available. Often, solid waste management facilities are developed in stages.
Permits and plans are continually amended and updated as the facility develops over time. Typically, the current permit or plans in effect at the time of the inspection should identify applicable compliance standards. Any proposed permit or plan amendment requests (not yet approved) should not be reflected in current compliance standards or considered enforceable.
- 3 Inspection Coordination
From the file review, the inspector should be able to identify what DEQ program staff or offices may be interested in the inspection. The inspector should contact interested parties to coordinate inspection needs and potential uses of inspection findings.
Coordinating inspections will enhance and strengthen the overall program.
- 3.1 Coordinating with Permit Writers
Prior to each inspection, the inspector should consult with the solid waste permit writers, particularly on permit amendment actions, authorizations, permit issuances, or monitoring and reporting requirements. The permit writer may be a valuable resource for information on current and proposed facility operations and plans and may have information from meetings held with the facility which is not available in the file. Also, they may have some informational needs that can be fulfilled during the inspection such as verifying on-site activities, operations, or structures.
When a permit is issued for a new facility, the permit writer can provide useful information for understanding site-specific requirements for construction, operation, monitoring, and closure as well as any compliance schedule imposed by the permit, which should be evaluated during the inspection. The permit writer can help identify potential problem areas that the inspector should evaluate during initial and future inspections.
- 3.2 Coordinating with Groundwater Staff
Prior to inspecting a facility subject to groundwater monitoring, the inspector should consult with regional solid waste groundwater staff to discuss any new or pending changes to the facility’s groundwater and/or corrective action monitoring plans or compliance networks. Groundwater staff can indicate site-specific conditions or
16requirements that the inspector may need to verify in the field, such as new monitoring well installations, repairs, replacements, or abandonments.
Groundwater staff can also alert compliance staff of any new offsite contamination identified or corrective action remedy that should be in place at the facility, including any required operational or maintenance procedures.
Inspectors are encouraged through the LPM to periodically invite groundwater staff to accompany them on inspections, especially to facilities in groundwater corrective action.
- 3.2.1 Non-compliance Identified by Groundwater Staff
Groundwater specialists are responsible for the review of groundwater-related submittals, including, but not limited to, monitoring plans, annual and semi-annual monitoring reports, corrective action reports, and exceedance notifications. If non-compliance with regulatory or permit requirements (such as late submittals or notifications, failure to report GPS exceedances, failure to sample in accordance with the monitoring plan, etc.) is identified, then groundwater staff should provide the observation language to the inspector to include as an alleged violation in both the CEDS inspection checklist and appropriate non-compliance instrument (Deficiency Letter, Warning Letter, or NOV).
If an upcoming inspection is already planned for the facility (e.g. within the quarter), the inspector may include the groundwater alleged violation in the upcoming inspection report. If an upcoming inspection is not scheduled, the inspector should promptly complete a CEDS Record Review Inspection and issue a DL, WL, or NOV as appropriate.
The inspector may direct the facility to contact groundwater staff for follow-up on groundwater alleged violations as appropriate, and the inspector should track the return to compliance in CEDS. Inspection reports should be uploaded to ECM under the Compliance File Series.
Separately, groundwater staff should continue to prepare and issue groundwater report reviews or other documents as necessary.
- 3.3 Coordinating with Enforcement Specialists
For any facility subject to an enforcement action, close coordination between the inspector and enforcement staff is necessary to ensure timely and appropriate resolution of previous or on-going non-compliance issues. Specifically, the inspector should advise the enforcement specialist of the date and time of the planned inspection and meet before the inspection to review the status of the enforcement action and compliance schedule. Enforcement staff may be able to explain the specifics of the enforcement action and help identify areas that should be evaluated during the facility inspection. Also, they can discuss the schedule of compliance and expected outcomes that resolve the non-compliance.
Enforcement staff may ask that an inspector discuss or field verify compliance with scheduled milestone dates during the upcoming inspection.
17If an anticipated inspection interferes with an on-going enforcement action or occurs before a critical milestone date in the compliance schedule, the inspector and enforcement specialist may coordinate a future date and time for the inspection. Occasionally, deferral of an inspection may be necessary; however, staff should coordinate closely with enforcement staff and ensure the facility is inspected at the appropriate frequency based on the RBIS.
Following the inspection, the inspector should share their observations with the enforcement specialist and discuss whether the observations have any impact on the enforcement actions and how they should be reported. Typically, inspection results are documented in the inspection report. However, results may need to be submitted via memorandum to enforcement personnel to expedite an enforcement action or response.
- 3.4 Coordinating with Financial Assurance Staff
The Office of Financial Responsibility and Waste Programs (OFRWP) evaluates SWMFs for compliance with financial assurance requirements, including the posting of financial assurance and any necessary updates for inflation. If non-compliance is identified, Deficiency Letters are prepared and issued by OFRWP staff. If necessary, Warning Letters and NOVs are prepared by OFRWP and then signed and issued by the regional LPM. It is not necessary for the inspector to include these types of alleged violations on the CEDS inspection checklist.
Deficiency Letters and Warning Letters direct the facility to follow-up with OFRWP staff, whereas NOVs direct the facility to follow-up with regional enforcement staff.
OFRWP staff provide any necessary support to the region and should be updated on the status of any regional efforts to address the non-compliance. OFRWP staff also track the issuance of financial assurance compliance letters (Deficiency Letters, WLs, and NOVs) and return-to-compliance in CEDS under the financial assurance events tab.
While OFRWP staff handles the routine review of financial assurance, regional permit writers review and approve cost estimates and notify OFRWP of any approved changes. Regional compliance staff may evaluate whether conditions on-site (including stockpiles) are adequately reflected in the current cost-estimate and resulting posted financial assurance. If compliance staff identifies that current conditions on-site require a change to the cost-estimate for closure or post-closure and thus the resulting financial assurance, staff should consult and coordinate with OFRWP staff on the financial assurance portion of the alleged non-compliance.
Identification of the non-compliance and resulting enforcement would be handled by the region. This is a unique situation and should not be interpreted to indicate that routine review of financial assurance should be conducted by compliance staff; this process should only be followed where identified site conditions viewed by the inspector are not adequately accounted for in the cost estimates and financial assurance.
- 3.5 Coordinating on Multi-Media Inspections
While preparing for an inspection, the inspector should check with their LPM to determine if the facility has been selected for a multi-media inspection with the air,
18 water or hazardous waste compliance programs. If the facility has been selected for a multi-media inspection, the inspector should work with the other staff to share information about the facility and discuss any potential issues ahead of the inspection. Specifically, the inspectors should collaborate on a strategy prior to the inspection to ensure the inspection is conducted efficiently to minimize disruption of facility operations. (Multi-media inspections are generally announced inspections. See Section 4.1.)
- 3.6 Coordinating with Local Inspectors
Before, during, or after an inspection, solid waste inspectors may encounter issues that are also subject to local ordinances or other requirements specific to the locality where the facility is located. In order to gain more information or resolve overlapping issues, inspectors may need to coordinate with local officials specializing in public works, zoning, planning, erosion and sediment control, or a variety of other programs, as applicable. Some localities in Virginia even administer their own landfill inspection program, where they may have an on-site inspector assigned to a particular facility or an inspector who inspects multiple facilities. Where appropriate, inspectors may coordinate with local inspectors or other personnel before the on-site inspection and integrate them into the inspection process. The DEQ inspector may allow the local inspector to accompany him or her during the on-site inspection for observation purposes. Local inspectors can often provide valuable insight into issues based on their own observations and familiarity with daily operations and activities of the facility. DEQ can assist localities with concerns raised by local inspectors since DEQ is the primary regulatory authority over solid waste management in Virginia.
- 4 Inspection Strategies
The inspection strategy or plan is a general plan for conducting the on-site inspection and should be based on the purpose and scope of the inspection, as previously discussed.
During the actual inspection, the inspection strategy may be adjusted to investigate potential non-compliance conditions identified while on-site.
When planning your pre-inspection strategy, you may mentally walk through the inspection process by considering the following areas, which are covered in greater detail in Chapter
Notification Site Walkover Facility Entry Interviews Record Review Exit Interview
- 4.1 Equipment Considerations
Appropriate equipment and personal protective equipment (PPE) should be assembled prior to conducting any inspection. Typical equipment and PPE that may be utilized during inspections is listed below.
19 Typical Inspection Equipment
Camera Calculator Tape measure Pens, pencils, highlighters Measuring wheel Ruler Flashlight (non-sparking) Regulations Binoculars Brief case or backpack Multi-tool Checklists and field notebook Photo ID Current Permit and last inspection report DEQ badge Business cards Compass or GPS unit
Personal Protective Equipment
Hard hat Safety vest Ear plugs Bug spray Steel-toed puncture Sun screen resistant boots Disposable towels or napkins Hand sanitizer Disposable nitrile gloves Safety glasses Splash protection (e.g. mask, face shield) Sunglasses Disinfectant spray
Inspectors should use the most appropriate PPE for the type of facility inspected.
PPE should be donned as soon as arriving at the site (i.e. before or when exiting the vehicle and prior to entering the facility). If boots or other items become soiled during the inspection, they should be cleaned before returning to the vehicle or placed in a bag to be cleaned after returning to the office. If disinfection of PPE is needed, it is recommended that EPA-registered disinfectants effective against mycobacterium be used. Please note that all disinfectants should be used in accordance with the manufacturer’s directions. Some products are not meant for direct contact with skin and have a minimum surface contact time to be effective.
If new or additional PPE is needed, the inspector may request it through their regional Office Manager. PPE related to eye, face, and foot protection must comply with the agency’s Prescription Safety Glasses and Protective Footwear Policy.
Types of PPE used to prevent contact with blood or any other potentially infectious materials are described in the agency’s Infection/Exposure Control Plan.
Not all equipment will be carried throughout the inspection but may be kept in the facility office or secured in the DEQ vehicle so it is available if needed.
The pre-inspection worksheet in Attachment 2 also identifies materials to assemble and review prior to conducting an inspection. The guide may be modified to address specific inspection needs.
- 5 Sampling Considerations
In cases where sampling of environmental media is needed, qualified staff or contractors with an appropriate Sampling and Analysis Plan (SAP) and equipment will be used. Since sampling will require extensive pre-planning, e.g., target constituents, analytical methods, sampling containers and so forth, the inspector should coordinate closely with the LPM.
203.6 Health and Safety
All staff should be familiar with the DEQ Safety Manual and other agency health and safety policies addressing safety both in the office and in the field.
Staff that conduct inspections, site visits, and/or respond to pollution incidents and complaints should receive certain safety training relevant to job duties. For example, solid waste inspectors must complete an initial 24 hours of Hazardous Waste Operations and Emergency Response (HAZWOPER) training and an annual 8-hour refresher course in accordance with the agency’s HAZWOPER Policy. However, solid waste inspectors are generally not trained or permitted for confined space entry.
Solid waste inspectors are also encouraged to utilize free immunizations for Hepatitis and Tetanus, which are offered as part of the state’s annual wellness visit.
- 7 Accident Reporting
Staff should IMMEDIATELY notify their supervisor and regional safety officer of all incidents, accidents, injuries, or illnesses related to work (including tick bites) in accordance with the agency’s Accident Reporting Procedures. "Immediately" means after seeking or receiving emergency medical treatment (for example, in the case of a life-threatening injury), and in non-emergency situations, as soon as possible.
If away from the office, inspectors are encouraged to call their supervisor to make them aware of the situation, though accidents should still be reporting in writing (via email). It is critical to document all incidents thoroughly (including date, time, location, persons involved, and details of the incident).
Supervisors should immediately forward incident notifications to appropriate Human Resources personnel if considered a reportable or major incident, or if a worker’s compensation claim may be filed.
Additional resources regarding accident reporting and worker’s compensation claims are available as follows:
Incident Description - To Record or Not to Record
Recording First Aid v. Medical Treatment & Significant Diagnosed Injury or Illness
Worker's Compensation FAQ
Commonwealth of VA Worker's Compensation Services Website
21CHAPTER 4 – CONDUCTING THE INSPECTION
An effective on-site visit is fundamental to a successful inspection. The on-site inspection process includes: Arrival and facility entry Opening conference Record review Site walkover Interview owner/operators Exit interview.
Inspectors may adjust the order of activities to meet the purpose of the inspection.
- 1 Arrival & Facility Entry
As discussed in Section 2.1, DEQ authority to conduct inspections and investigations is contained in the Virginia Waste Management Act and facility permits. The DEQ may conduct announced or unannounced inspections.
Compliance inspectors typically conduct unannounced inspections but have the flexibility and discretion to arrange for announced inspections when the circumstances, facility history, security concerns, or facility personnel availability warrant it. Prior to a routine compliance or multi-media inspection, inspectors may notify a facility of the inspection in order to coordinate access and ensure that a facility representative is available when the inspector(s) arrives. VEEP E3 and E4 facilities are normally given a minimum 24-hour courtesy call before an inspection. Focused compliance inspections and investigations in response to a complaint are preferably unannounced inspections (i.e. no 24-hour courtesy call is given). However, if a facility is in Closure or Post-closure care, a facility representative may not be available unless notified in advance. Heightened security at certain military or supporting civilian facilities may require prior notification of inspections to coordinate access.
Considering the inspection strategy, the inspector should arrive early enough to allow all inspection activities to be completed during regular business or operating hours. Upon arrival, the inspector must:
Locate appropriate facility personnel (owner or authorized representative) and determine who has authority to assist with the inspection (i.e., on-site access, custody of records, tour of facility, answer questions, etc.). State the reason for being at the facility (i.e., to conduct a compliance inspection). Present state-issued DEQ employee identification to appropriate personnel even when not requested. Display identification in sight while trying to locate appropriate facility personnel. Document entry in field notebook (or on inspection checklist) by indicating date, time, and name/title of facility personnel encountered that authorize (or deny) access to the site and consent to perform the inspection.
22Upon arrival, if the property owner or authorized representative cannot be located and prior permission has not been given to enter a site, inspectors shall not continue to conduct an inspection and must exit the property.
Inspectors may be requested to sign a guest register or logbook upon arrival. These ledgers record visitor names, affiliations, and contact information and are useful in the event of a major emergency such as a fire or explosion where evacuation of personnel becomes necessary. Inspectors may sign guest registers but must not sign any waivers or other legal documents limiting the inspector’s rights or the owner’s responsibilities while at the facility. Also, the inspector should not sign any documents intended to limit the facility’s liability in the event of an accident. See DEQ guidance memos dated February 18, 1992 and September 6, 2001, regarding waivers.
- 2 Consent
The owner or operator in charge at the time of the inspection must give consent to inspect the facility. Inspectors should be aware that consent to inspect may be withdrawn at any time by the facility representative.
If consent is withdrawn during an inspection, any portion of the inspection completed prior to such withdrawal is valid. If a facility representative withdraws consent, this equates to “denial of access” and should be addressed accordingly. See the section below for further discussion. Consent to enter a facility is not required for inspectors to make observations from public areas, such as public roadways and right-of-ways.
During an inspection, a facility representative may limit or prohibit access to certain portions of the facility (including records) temporarily or permanently. Such actions are similar to being denied access.
- 2.1 Denied Access
An inspector may be denied access for legitimate reasons such as failure to have proper ID or appropriate safety equipment, or if there is an on-going emergency creating unsafe conditions. In most cases, it is possible to gain access later that day or the next day by satisfying the objections. A warrant is not needed in these cases.
Refer to Enforcement Guidance Memorandum No. 1-2011, which identifies situations that may be considered a denial of access.
If access is denied, an inspector should:
politely ask the reason for denied access and document the responses in writing; not argue or threaten with potential action such as penalties; advise the facility of DEQ’s right of entry under the Waste Management Act and the facility’s permit and request entry again; document the date, time, names and titles of persons and reasons for denying access. If possible, obtain the signature of the facility representative denying access;
23 exit premises and document all observations made relevant to the site conditions and the denial, particularly if there is any suspicious activities that may be indicative of non-compliance. report access denial to immediate supervisor and request direction on appropriate action; and consider options such as re-negotiating site access or obtaining administrative warrants.
- 2.2 Access by Warrant
Where necessary, enforcement personnel may prepare or assist the inspector with preparing relevant documents to obtain an inspection warrant. An affidavit will be developed to justify why an inspection warrant is necessary. When a warrant is obtained, it will be forwarded to the inspector or appropriate law enforcement authority who will accompany the inspector to the facility.
Refer to Enforcement Guidance Memorandum No. 1-2011, which establishes general procedures for obtaining an administrative inspection warrant.
When accessing a facility under an inspection warrant, the inspector should: Read and understand the warrant, including its authorities and limitations. If anything is unclear, questions should be asked and addressed prior to arrival at the facility. Be accompanied by a State Police Officer or equivalent local law enforcement officer particularly when there is a high probability site access will be refused again or have been threats of violence; and Not attempt to make forceful entry into a facility or enter in a manner inconsistent with the terms of the warrant.
- 2.3 Conducting Inspections under a Warrant
Inspections conducted under warrant must be performed in strict accordance with the terms of the warrant. The warrant may restrict the scope of the inspection to very specific areas or only certain records. The inspector must adhere to all warrant conditions and restrictions.
- 2.4 Dealing with Threats
In rare cases, inspectors may be threatened during inspections. The manner in which individuals conduct themselves and the nature of the threat will dictate the most appropriate response.
Non-violent threats, such as complaining to an inspector’s supervisor, are not grounds for terminating the inspection unless accompanied by access denial or withdrawal of consent. In these cases, circumstances should be fully documented per Section 4.6 and the inspector should avoid making any statements to the facility officials that could be construed as inflammatory, threatening, or retaliatory.
24 If violence is threatened directly or indirectly, or a real threat is perceived, the inspector should terminate the inspection and follow procedures for “Denied Access” in Section 4.2.1. but most importantly the inspector should leave the premises immediately. In these cases, the inspector should not return to the facility until further discussion with his/her supervisor and/or unless accompanied by other appropriate DEQ staff or law enforcement.
- 3 Opening Conference
After locating the appropriate facility representative, the inspector should conduct a brief Opening Conference. During the Opening Conference, the inspector should:
Discuss the inspection purpose and scope. Establish the inspection schedule, identify critical records to review and establish when key personnel will be needed to assist with the walkover. Verify current facility status and discuss any changes since the last inspection; Provide any new information on program requirements. Set up an Exit Interview to brief the facility on inspection observations and provide a final opportunity to gather information, answer questions, and explain any future actions to be taken by DEQ or the facility.
The Opening Conference allows the inspector to establish control of the inspection in a firm and professional manner. Inspectors should remember they are in-charge of the inspection; facility personnel should not be allowed to direct or otherwise steer the course of the inspection.
In some cases, conducting the Opening Conference immediately after obtaining access may not be the most strategic approach. For example, the inspector may want to go directly to an area that is the subject of a complaint or is an area of suspected non-compliance to observe an activity before facility personnel have an opportunity to stop, or otherwise conceal the condition. In these cases, the opening conference may be held while gaining entry or en route to the area of interest with a full Opening Conference being deferred until later.
After the Opening Conference, the inspector should proceed based on their inspection strategy. The inspector should act as an auditor, and investigate all aspects of the facility to verify compliance.
- 3.1 Interviewing
During the site walkover and the file review, the inspector may have the opportunity to interview facility personnel about operations, inspection, monitoring, and recordkeeping activities. These discussions allow the inspector to:
obtain answers to questions identified during the pre-inspection review; gain a thorough understanding of facility operations as the facility understands them; gauge the effectiveness of the facility’s training programs; identify changes in facility operations since the last inspection; and
25 reconcile discrepancies between the pre-inspection file review and the operations described by facility personnel.
Discussions may be formal or informal, as appropriate.
- 4 Record Review
Facilities are required to maintain a variety of records and make them available to DEQ upon request. Records provide insight into facility operations and site conditions on days DEQ is not present. The record review process allows the inspector to become familiar with facility activities and past site conditions, and can help identify specific areas that should be investigated further during the site walkover.
The inspector should verify that records and documents are complete, accurate, and consistent with applicable requirements. The inspector may use the checklist in Attachment 3 as a field reference for reviewing records. Throughout the record review, the inspector should complete appropriate sections of field checklists and leave blank any items to be evaluated during the site walkover.
The inspector may also follow-up on any facility noncompliance or unusual conditions reported to DEQ since the last inspection. Unless otherwise specified, incidents shall be reported to DEQ orally within 24 hours and submitted in writing within 5 facility working days from the time the permittee becomes aware of the circumstances. An email will suffice for either/both the 24 hour (oral) and 5 day (written) notification as long as it contains the information required by the regulation. See Attachment 12 for more info.
Any records, logs and other materials documenting potential non-compliance should be photocopied. All copies should be clear and legible. The inspector should immediately highlight areas of potential non-compliance for discussion during the exit interview and in the inspection report. If copies are not made available, the inspector should record the location, title, date, and specific content of each record or document so it can be properly referenced in the future. Some records may be maintained at alternate locations, which should be factored into the inspection strategy and schedule. Electronic storage of records (via computer, smartphone, tablet, etc.) is acceptable as long as the records are retained in accordance with required timeframes and available for review upon request.
- 5 Site Walkover
The site walkover should proceed per the inspection strategy and the inspector should ensure that the facility is evaluated in the preferred order. However, the inspector should remain flexible and adjust the planned approach to accommodate or capitalize on information gathered during the opening conference, record review, interviews, and site conditions encountered as the walkover progresses.
During the initial inspection, the inspector may best understand how waste is managed by following waste flow from ‘first receipt through final disposition.’ Ancillary operations can then be evaluated to understand how they support the overall waste management operation.
26Following this approach ensures that the inspector identifies and evaluates the following:
practices and procedures implemented by the facility, waste management units and sub-systems, compliance monitoring networks, as applicable, areas where wastes may be released or discharged, and suspicious conditions or activities that may indicate non-compliance.
The inspector should complete the remaining field checklist items as the walkover proceeds. After a few inspections, the best route for the site walkover will be identified.
The inspector should conduct the site walkover with the facility representative(s) and for safety reasons should avoid conducting a site walkover alone.
The inspector should not feel hurried or pressured by facility personnel, nor should facility personnel be allowed to direct the course of the walkover. The inspector should be able to ask questions of facility personnel to verify information regarding waste management procedures. This may reveal the adequacy of facility training programs as consistent answers indicate a high level of training and use of established procedures.
The inspector should walk the site to ensure all areas are evaluated, and a site plan/map and compass/GPS may prove useful for this purpose. Inspectors should continually re-orient themselves to ensure accurate identification of facility features, potential release points, and any areas of non-compliance. Facility operators may assist by identifying key points of reference throughout the site.
For efficiency, both vehicular and walking tours may be employed at larger facilities. The inspector should always direct the course of facility tours, requiring frequent stops at all appropriate locations and features.
If an inspection cannot be completed during normal working hours, it should be continued on the next business day or as soon as possible. An inspection may be completed after normal working hours if facility representatives do not object and there is sufficient time to do so.
The inspector may use the checklist in Attachment 4 as a reference for completing the site walkover.
- 5.1 Compliance Evaluations of the Groundwater Monitoring Program
Inspectors’ evaluations of facility groundwater monitoring and corrective action programs (if applicable) should focus on the in-field elements that need to be reviewed to demonstrate compliance with the VSWMR and permit, as these aspects of the groundwater monitoring program are not routinely reviewed by the regional groundwater staff. The following questions may be used to gather information for evaluation of the compliance monitoring network and other in-field groundwater monitoring and corrective action requirements as applicable:
- Are the groundwater monitoring wells maintained to ensure functionality?
- Who performs maintenance of the wells (facility staff or consultant staff)?
27 3. Were any wells found to be damaged or non-functional since the last inspection? If so, was the condition reported to DEQ?
- Were any wells installed, replaced, repaired, or abandoned since the last inspection?
- Are the wells labeled with ID #s such that individual sampling points can be identified as shown on the facility’s current site plan?
- Are the wells locked to prevent unauthorized access or cross contamination and ensure no foreign material can be introduced into the casing?
- Are the concrete well pads or aprons intact to prevent infiltration of runoff down the well bore?
- Are the wells properly landscaped to prevent surface runoff infiltration?
- Is there visual evidence of cracking, erosion, subsidence, or sedimentation around any well pad or apron? 10. Is access to and around the wells kept reasonably clear of vegetation? 11. Are the wells accurately located on the current site plan? 12. How is purge water from groundwater sampling collected and managed? 13. Have there been any unusual, discolored, or odorous end-of-pipe discharges, seeps, or suspected chemical or biological/benthic impairments to surface water, stormwater or sediment ponds? 14. Where is the facility’s data repository for groundwater records and does it include historical reports, sampling records, approved variances, and other related documents? 15. Are records of the most recent groundwater monitoring event maintained at the facility?
The following are applicable to corrective action remedial systems/equipment:
16. Have there been any maintenance issues you are aware of with the corrective action remedial system? 17. Has the equipment been non-functional for any point of time since the last inspection? If so, was this reported to DEQ? 18. Who performs maintenance of the system (facility or consultant staff)? 19. Does the remedial system have an auto OFF mechanism?
At a minimum, inspectors should physically inspect each well in the compliance monitoring network once per year. Wells located near active facility operations should be checked during each inspection.
If groundwater compliance issues are observed, the inspector should coordinate with the groundwater staff and LPM after the inspection. If surface water or benthic impacts are observed, the issue may also need to be discussed with the regional biologist, and if issues with stormwater or sediment ponds are identified, the VPDES program may need to be consulted.
Note: The procedures for addressing alleged violations identified by groundwater staff during their review of groundwater submittals are detailed in Chapter 3, Section 3.3.2.1.
284.6 Recording Observations
Thorough and accurate documentation of inspection observations is key to completing the inspection process and pursuing necessary and successful enforcement actions. The inspector should record the observations or findings using:
Field checklists Field notebook Photographs Maps, sketches or diagrams Photocopied records
- 6.1 Documentation of Findings
Inspectors should use the field checklists or CEDS inspection checklists to guide them through the inspection process and ensure areas of the facility are identified and evaluated. Field checklists are tools for organizing and recording inspection observations. The inspection should not be limited solely to the items listed on the field checklist, particularly at unique or complex facilities. When exploring potential non-compliance, the inspector should never feel limited by the field checklists.
Generally, the inspector will verify items on the field checklists and make extensive notes or comments in the field notebook where explanations or sketches can be used to fully and completely document inspection activities and observations.
It is strongly recommended that the inspector record information collected during an inspection in the following types of records only: field notebooks, checklists, photographs, maps, and drawings.
Use of a field notebook in conjunction with field checklists is strongly encouraged.
A waterproof legal logbook is not necessary or required, but a bound notebook of any type is acceptable.
Field notebooks are used to document inspection activities and the following information is required for each inspection:
- Facility Name
- Solid Waste Permit Number or PBR number
- Facility Type (i.e. landfill, transfer station, MRF, composting facility, etc.)
- Inspection Date
- Approximate Arrival and Departure Times
- Inspector (and names of any other DEQ staff present)
- Facility Staff (Name/title of person authorizing/denying access and/or other facility staff accompanying inspector on inspection)
- Inspection Method (Unannounced or Announced)
- Inspection Type
- Weather conditions
When documenting weather conditions, avoid subjective descriptions (such as “hot” or “cold”) and instead use standard weather terminology (e.g. partly
29 cloudy, sunny, overcast, etc.) and approximate quantitative measurements for temperature, precipitation, or wind as applicable.
The following should be included as appropriate:
• Observations:
- Notes on conversations and verbal comments,
- Photography points, sketches, diagrams,
- Areas of potential non-compliance and compliance; and
- Summary of the opening conference and exit interview.
Field notebooks are considered part of DEQ’s administrative record, not the inspector’s personal records.
- 6.2 Photographs
Photographs should be used to support field observations, as appropriate, particularly when documenting alleged violations. If the facility does not give the inspector permission to take a photo, the inspector may request that the facility provide a photo to DEQ.
For each photograph, a notation should be made in the field notebook which identifies the: Facility name and permit number Date and time Photographer’s name Location within the facility Direction of the photograph Unique or non-compliant item or area photographed Any other pertinent information (i.e., weather)
Photographs can provide excellent documentation of site conditions and may be the best way to document situations that are difficult to describe verbally or in writing. Photographs can provide information for use in:
Preparing the inspection report, Briefing other staff not present during the inspection, Meetings, and Preparing for future inspections.
Maps may be used to show photograph points and their direction. When taking photographs, it may be useful to include an item for scale. Items of suspected non-compliance should be highlighted for future identification.
Whether digital or film, photographs should never be altered. Relevant photos should be labeled and included with the inspection report. Inspectors may use the Photo Documentation Template (Attachment 5) or a similar format to document and attach photos to the report. Digital images should also be saved on a ‘read only’ computer media for archiving in the administrative record. The ‘read only’
30 format ensures the original image cannot be altered. Photos that are not used as part of the compliance record or other purpose may be discarded.
All staff have access to agency cameras or other approved devices that can capture photographs. Inspectors should use agency cameras whenever possible and are discouraged from using personally owned devices (such as cell phones, tablets, cameras, etc.) to capture photos for work-related purposes as personal equipment could be subject to confiscation and review if the photographs are used as evidence in court. Furthermore, in accordance with the DEQ Computer, Internet, and Electronic Communication Acceptable Use Policy, personally owned devices must not be used to transport or store DEQ data without an approved exception from the DEQ Information Security Officer.
- 6.3 Maps
Maps, sketches and diagrams can provide accurate, graphic representations of facility features and conditions. Maps and diagrams should be simple and clear.
Avoiding overly detailed maps and diagrams eliminates the potential for confusion or misinterpretation later. Maps should include compass points for orientation.
- 7 Exit Interview
The Exit Interview allows the inspector to meet with facility officials to ask follow-up questions, review inspection findings, and respond to questions. It is held at the end of the inspection and is lead by the inspector. This meeting is an opportunity to: Ask and answer questions, Obtain documents not previously gathered from the facility, Request additional information not available at the time of the inspection, Provide information about program changes and impact on their facility, and Advise the facility of inspection observations and potential actions from DEQ.
The inspector should take a few minutes to prepare prior to conducting this meeting. In preparing, the inspector should:
Review their inspection notes, Identify any questions that still require answers before leaving the facility, Determine the best order and approach to discuss inspection findings, Consider how definitively to present inspection findings, and Anticipate questions the facility may ask and be prepared to respond to them.
Facility personnel will be anxious to hear and discuss the inspection findings. The inspector should maintain a professional and courteous demeanor, even if facility representatives are not cordial or polite.
The inspector should discuss non-compliant conditions observed or identified during the inspection, including potential DEQ responses to them. The inspector should stress that all inspection observations are preliminary and final compliance status will be provided in a written inspection report issued by DEQ. The inspector is not expected or obligated to finalize inspection findings at the end of the inspection.
31The inspector should avoid overly detailed discussions on tentative observations when further review is required to determine compliance. In such cases, the inspector should inform the facility of the each suspect condition and briefly discuss how the compliance determination will be made.
Facility personnel may challenge specific observations, ask for clarification of requirements, or request assistance in understanding how to correct or respond to non-compliance. Inspectors should be prepared to answer relevant compliance questions, but should not hesitate to defer answering questions for which they are uncertain or do not have authority. In these instances, the inspector should simply advise the facility of plans to follow-up on deferred questions or refer them to appropriate DEQ staff for answers to questions outside the inspector’s authority.
The exit interview is a good time to provide compliance assistance and discuss any operational issues observed at a facility that, if left unaddressed, could become alleged violations in the future. Identifying operational issues early on provides the facility an opportunity to take action before the issue becomes an alleged violation. If the facility fails to address an issue prior to the next inspection, the inspector should re-evaluate the issue and determine whether observed conditions have changed and whether the facility remains in compliance with the statute, regulations, permit, and/or enforcement orders.
Types of issues that may be brought to the facility’s attention during the exit interview or as a general comment (not an alleged violation) in the inspection checklist include:
Blowing Litter – When natural or severe weather conditions (e.g., high winds, heavy rainfall and excessive snow fall) occur on the day of or on the days preceding the inspection, provided the facility has blowing litter control measures in place (e.g., litter control fencing), the facility is actively addressing the problem (e.g., scheduled pickups), and the blowing litter is not causing a health, environmental, vector or nuisance problem. Blowing litter should not be accumulating in state waters or on neighboring properties.
Daily Cover – If a small amount of waste (boards, pipe, plastic bags, etc.) protrudes from daily, intermediate, or periodic covers at landfills. If pods or clusters of trash are visible within the cover, the problem should be addressed as an alleged violation.
Intermediate Cover – If minor erosion rills are present in the intermediate cover and it has rained within the past week. 9 VAC 20-81-140.B.1.d. states, “…all areas with intermediate cover exposed shall be inspected as needed, but not less than weekly. Additional cover material shall be placed on all cracked, eroded, and uneven areas as required to maintain the integrity of the intermediate cover system.” This allows a facility one week to fix eroded or desiccated intermediate cover. If erosion exists and it has not rained at the facility in over a week, then an alleged violation should be issued.
Mud, Dust & Odor – If DEQ has received complaints about mud on roads, blowing dust or odors, but on-site inspections reveal no problems or minimal problems.
32 Stormwater Structures – If a stormwater ditch or pond is starting to accumulate significant amounts of sediment, but the normal function of the structure is not impaired.
Small Leachate Seeps – If a small leachate seep appears on a landfill slope, is not causing an odor, vector or health problem, does not move beyond the edge of waste into stormwater ditches or surface waters, and is immediately addressed by the facility.
The inspector should be tactful when discussing problems and providing compliance assistance and avoid dictating, demanding, or recommending a specific action be taken.
The facility is ultimately responsible for determining how best to meet the compliance standard. Inspectors should avoid making guarantees that performing certain actions will obtain compliance. The inspector should not make recommendations that imply DEQ has a “consultant” role. Further, the inspector should not recommend any specific consultant or consulting firm, even upon request. If requested, simply recommend the facility perform an Internet search or consult the phone directory.
33CHAPTER 5 – CLASSIFYING AND RESOLVING NON-COMPLIANCE
All non-compliance is subject to enforcement action by the Department. This principle applies to all solid waste management facilities (permitted, permit-by-rule, unpermitted, exempted, conditionally exempted, etc). Because of the minimal nature of federal oversight of RCRA Subtitle D, there is no federal classification or federal enforcement policy to address non-compliance with solid waste program requirements. DEQ addresses suspected noncompliance in the manner consistent with the Department’s Office of Financial Responsibility & Waste Programs philosophies and guidance, as well as the Department Division of Enforcement’s Enforcement Manual and guidance. This chapter explains the:
Severity Level classifications of Non-compliance; Instruments to Address Non-Compliance; and Selection of Appropriate Instrument to Address Non-Compliance
The classification system of severity levels is used to identify the significance of various noncompliance observations so a prioritized compliance and enforcement response can be initiated to resolve the matter. These systems do not imply that lower severity violations will not be subject to enforcement or that corrective action taken by the facility will fully resolve the matter at hand. It merely indicates the level of attention that should be given to non-compliance and should be based on the violation’s environmental and programmatic significance.
In order to protect human health and the environment (HH&E) and ensure responsible parties are adhering to the agency’s regulations, DEQ must take consistent and fair actions to resolve non-compliance. This means that the regulated community should expect a similar response to a comparable violation regardless of the region in which it occurs. While it is important to recognize that each case is fact-specific and must be managed accordingly, consistency should always be a factor in determining the appropriate compliance action. Consistency does not mean, however, unnecessary adherence to past decisions that may no longer be appropriate for one reason or another.
DEQ believes fairness will result when compliance is determined consistently and in accordance with the law and applicable regulations. To ensure fairness, DEQ remains receptive to good-faith claims - based on fact, state or federal law, or policy - that a given situation is different and should be treated differently or that a facility is in fact in compliance.
The appropriate compliance response to a situation is one that will achieve DEQ’s goals of compliance, correction, and deterrence. It is DEQ’s intent, however, to use the full range of compliance and enforcement instruments available to it as necessary to achieve its mission and goals.
- 1 Severity Level Classification of Non-Compliance
The Solid Waste Program generally classifies noncompliance by assigning Severity Levels to specific regulatory citations. Non-compliance is identified by selecting the “Alleged Violation” status on the CEDS inspection checklist. A ‘Severity Level’ is assigned to each regulatory citation on the CEDS inspection checklist. The Severity Level acts as a general indicator of significance for violation of the specified standard(s). The Severity
34Levels generally consider the 1) risk of exposure to humans or other environmental receptors; and 2) adverse effect on statutory or regulatory purposes or procedures for implementing the regulatory program.
Three (3) Severity Levels are used to classify violations and progress downward in significance:
Severity III violations are ones where (1) the violation has caused actual exposure or presents a substantial risk of exposure of humans or other environmental receptors to waste or constituents; and/or (2) the actions have or may have a substantial adverse effect on statutory or regulatory purposes or procedures for implementing the regulatory program.
Typically, Severity III violations are those that: have caused actual exposure or a substantial likelihood of exposure to solid waste or hazardous constituents from solid waste; have deviated substantially from the terms of a permit, permit-by-rule, approval, order, agreement or from the Solid Waste statutory or regulatory requirements; or will result in corrective actions that will take 90 days or longer from the evaluation date.
The actual or substantial likelihood of exposure should be evaluated using facility-specific environmental and exposure information whenever possible. This may include evaluating potential exposure pathways and the mobility and toxicity of the solid waste being managed including examining proximity of receptors such as groundwater or surface water. It should be noted, however, that environmental impact alone is not required for consideration of a violation to be equal to a Severity III; particularly where the environmental media affected or threatened requires special protection (e.g., wetlands or sources of underground drinking water).
Severity II violations are ones where (1) the violation presents or may present a significant risk of exposure of humans or other environmental receptors to waste or constituents; and/or (2) the actions have or may have a significant adverse effect on statutory or regulatory purposes or procedures for implementing the regulatory program.
Typically, Severity II violations are those that: have caused actual exposure or a significant likelihood of exposure to solid waste or hazardous constituents from solid waste; have moderate environmental impact; have deviated significantly from the terms of a permit, permit-by-rule, approval, order, agreement or from the Solid Waste statutory or regulatory requirements; or will result in corrective actions that can be completed within 90 days of the evaluation date.
The actual or significant likelihood of exposure should be evaluated using facility-specific environmental and exposure information whenever possible. This may include evaluating potential exposure pathways and the type of solid waste being managed.
35Severity I violations noncompliance issues are ones where (1) the violation presents or may present a relatively low risk of exposure of humans or other environmental receptors to waste or constituents; and/or (2) the actions have or may have a small adverse effect on statutory or regulatory purposes or procedures for implementing the regulatory program.
Typically, Severity I violations are those that: pose no actual threat or a low potential threat of exposure to solid waste or hazardous constituents from solid waste; have no environmental impact; have deviated slightly from the terms of a permit, permit-by-rule, approval, order, agreement or from the Solid Waste statutory or regulatory requirements are first time occurrences of minor issues that do not meet the criteria listed above for Severity II or III violations; occur at a facility that is not a chronic violator facility; or will result in corrective actions that can be completed within 30 days of the evaluation date.
Inspectors can determine the Severity Level associated with a particular violation by examining the inspection checklist provided in CEDS. The Department has assigned a Severity Level to each regulatory requirement for various regulated entities. If the inspector cannot identify an associated Severity Level for a violation, he or she should check with the regional Land Protection Program Manager or Solid Waste Compliance Coordinator.
If a Severity Level has not been previously assigned to a violation, the Regional Office, in conjunction with the Central Office, should use the criteria provided above to determine the appropriate Severity Level.
Additionally, the Department may occasionally revise or update Severity Levels for each regulatory requirement.
- 2 Instruments to Address Non-Compliance
Where non-compliance is identified, there are a variety of instruments available to DEQ staff to address the issues and bring facilities and sites into compliance. The least adversarial method is considered informal enforcement that notifies a facility of suspected noncompliance and encourages self-correction without further Department action. In such a case, the Department does not progress to another level of enforcement or render any decisions regarding whether violations have actually occurred so long as the non-compliance is timely and appropriately corrected. This “informal correction” method is accomplished through use of compliance instruments called Deficiency Letters (DL), and Warning Letters (WL).
Deficiency Letters are used for low severity violations with infrequent occurrences.
Warning Letters are used for medium severity violations of infrequent occurrence.
Deficiency and Warning Letters are effective compliance instruments with many benefits including preservation of scarce DEQ resources, since the informal letters typically resolve
36non-compliance without the use of further enforcement action. These instruments are typically used in concert with personal contact, telephone calls, emails, and informal meetings to bring facilities into compliance expeditiously and to reach a mutual understanding about actions necessary to resolve suspected noncompliance.
The formal enforcement method involves use of a high-level compliance instrument called a Notice of Alleged Violation (NOV), which acts as a referral for enforcement action by the DEQ. In response to an NOV, the enforcement action typically results in issuance of a Consent Order but includes more formal actions such as special orders or a judicial decree. Examples of the more formal enforcement methods include Consent Orders, Informal Fact Finding proceedings, Formal Hearings, 1186 Special Order proceedings, Emergency Order proceedings, and civil suits.
- 2.1 Deficiency Letters
The Deficiency Letter is the most basic approach for rectifying suspected noncompliance. It is used by the compliance staff when responding to observed facts that suggest a noncompliance situation may exist. This is an Informal Correction method and is intended for: Suspected deficiencies that can usually be corrected within 30 days or less, and are a Severity Level I violation that has not been previously documented and unaddressed.
Upon obtaining reliable information that suggests a violation may exist, the compliance staff should do the following: Document the information; Inform the facility of the information in its possession either while on-site or at a later time when information is received in submittal; Document that the facility was so informed of the potential alleged violation by recording the date, time, place, and person notified.
A Deficiency Letter is not a case decision or determination that violations have in fact occurred, which would require administrative process to be afforded to the facility prior to such a decision or determination being made.
- 2.1.1 General
Compliance staff is encouraged to discuss the alleged violation in person or contact the facility by telephone or email. Also, staff may wish to hold an informal meeting with the facility to discuss the situation and circumstance involved. Compliance assistance should be provided on-site whenever possible if warranted under the circumstances.
Compliance staff should also seek a response from the facility regarding when it intends to take action to correct the alleged violation and, if so, within what time period. This information should be given to the facility orally and followed up in writing through an informal or formal compliance response. If the facility agrees and takes corrective action within 30 days, no further enforcement action should be required. All contacts and
37requests to the facility should be well-documented in the file to avoid any confusion or rebut any challenges or claims which may be made in the future by the facility or their legal representatives.
No civil charge or Consent Order is associated with a Deficiency Letter and management is minimally involved above the compliance staff level. The corrective action outcome should be documented in an inspection report or other document. However, as with all compliance actions, a Deficiency Letter may be the initial pre-cursor of a higher level informal or formal enforcement later. Therefore, appropriate documentation is key to establishing a firm foundation for potential future actions that may be required by the DEQ later.
- 2.1.2 Content of Deficiency Letters
The following should be included in a Deficiency Letter: A named responsible party verified through the State Corporation Commission, land records, or other appropriate means. The name may or may not match the name on the permit; Facility name and permit or permit-by-rule number; A statement that DEQ has reason to believe that the responsible party may be in violation of applicable laws, regulations, or permit requirements at the facility; Observations: a description of each alleged violation – what was seen by DEQ staff, stated by facility representatives, or reported by the facility. The observations should correlate with the legal requirements that follow. Observations are not speculations, opinions or conclusions. Letters must not conclude that the observed or reported condition “has violated,” “has failed to meet,” or “is in violation of” an environmental requirement because that may imply incorrectly that a case decision has been made; Legal Requirements: the specific provision of law, regulation, permit condition, order or enforceable certification that has been allegedly violated. This includes a citation to the requirement and a concise quotation of the applicable portion of the requirement (not paraphrased), both in bold font. Legal requirements are set out adjacent to the related observations; Request that responsible party respond within 20 days detailing the corrective action it has or will take and a compliance schedule for intended actions, if necessary; Statement that this matter is being tracked by compliance staff; Statement explaining how compliance will be verified; Disclaimer that the letter is not a case decision under the Administrative Process Act, Va. Code § 2.2-4000 et seq.; DEQ contact information; and A copy of any supporting documentation to include the inspection checklist(s), photos, or other documentation of the alleged deficiency.
38 5.2.1.3 Boilerplate Deficiency Letter
A boilerplate Deficiency Letter is found at Attachment 7 and should be used for the issuance of all Deficiency Letters except where the boilerplate does not address a particular or unique situation. In these cases, the Solid Waste Compliance Coordinator should be contacted and approval gained before proceeding with use of a modified Deficiency Letter boilerplate.
- 2.1.4 Additional Deficiency Letters
Additional Deficiency Letters should not be issued for suspected violations which have not been resolved. Instead, more serious enforcement action should be taken through issuance of a Warning Letter in accordance with this Manual and the Department’s Division of Enforcement Manual and guidance. Additionally, if the responsible party does not respond to the initial Deficiency Letter, a Warning Letter should be issued.
See also Section 5.5, Inability to Meet Compliance Deadlines
- 2.2 Warning Letters
The Warning Letter is an informal enforcement action initiated by DEQ, upon compliance staff recommendation, to clarify the nature of the alleged violation for the benefit of the facility and to address alleged violations that: can usually be corrected within 90 days or less, and are a Severity Level II violation that has not been previously documented and unaddressed.
A Warning Letter is not a case decision or determination that violations have in fact occurred, which would require administrative process to be afforded to the facility prior to such a decision or determination being made.
Warning Letters should not be used for: serious threats to human health or the environment, uncontrolled environmental releases, high severity violations, chronic non-compliers, when the alleged violations would trigger the issuance of a Notice of Violation, or where it is anticipated that corrective action will take longer than 90 days.
- 2.2.1. General
The Warning Letter should be provided in a timely manner to the operator of the facility, with a copy sent to the owner. Issuance of a Warning Letter requires a written confirmation that the suspected violation was addressed.
This may be done by receiving written information submittal demonstrating compliance, a follow-up site visit for visual verification, or both. Receipt of demonstration documents should be reviewed and compliance acknowledged in writing in either a subsequent letter or follow-up
39 inspection report to document the return to compliance. Follow-up site visits must be documented in the file and should be followed in writing to acknowledge return to compliance. Compliance assistance decisions at this level should be made with broad staff participation.
- 2.2.2. Content of Warning Letters
The following should be included in a Warning Letter: Items listed in Section 5.2.1.2 (Content of Deficiency Letter); Statement of statutory authority and enforcement options available to the agency; Statement of future actions and a request that the responsible party respond within 20 days, detailing the corrective action it has or will take; Request that the responsible party advise DEQ staff of any disputed observations or other pertinent information; The process for obtaining a case decision or fact finding on whether or not a violation has occurred, including the Process for Early Dispute Resolution (PEDR); and Signature by LPM.
- 2.2.3. Boilerplate Warning Letter
A boilerplate Warning Letter is found in Attachment 8 and should be used for the issuance of all Warning Letters except where the boilerplate does not address a particular or unique situation. In these cases, the Solid Waste Compliance Coordinator should be contacted and approval gained before proceeding with use of a modified Warning Letter boilerplate.
- 2.2.4. Additional Warning Letters
Additional Warning Letters should not be issued for suspected violations that have not been resolved. Instead, more serious enforcement action should be taken through issuance of a Notice of Alleged Violation (NOV) in accordance with this Manual and the Department’s Division of Enforcement Manual and guidance. Additionally, if the responsible party does not respond to the initial Warning Letter, an NOV should be issued.
See also Section 5.5, Inability to Meet Compliance Deadlines
- 2.3 Notices of Alleged Violation (NOVs)
An NOV is a written notice to a facility informing it of facts that suggest a possible violation of the law or regulations may have occurred, coupled with an invitation to respond. An NOV does not include suggested actions to be taken to comply.
An NOV is not a “case decision” or determination that violations have in fact occurred, which would require some type of administrative process (i.e., Informal Fact Finding or Formal Hearing) be afforded to the facility prior to such a decision or determination being made. For a more thorough discussion of case decisions
40and these types of proceedings, see the Enforcement Manual and Case Decision Guidance.
The inspector and LPM are encouraged to consult with the regional enforcement specialist during preparation of an NOV to inform them of the alleged violations at the site and ensure that there are no concerns with issuing an NOV to the Responsible Party.
Once an NOV is issued, the Regional Office enforcement staff initiates talks with the facility, if it has not done so already, to achieve compliance as expeditiously as possible. Issuance of an NOV acts as formal referral to the Enforcement Program for those items of non-compliance. Upon referral, the Compliance staff provides technical and regulatory support to the Enforcement Program as they work to resolve the noted non-compliance issue(s). The Compliance Program retains compliance oversight responsibilities for all other aspects of the regulated facility and should coordinate future compliance actions which may affect any on-going enforcement response by DEQ.
- 2.3.1 Appropriate Uses of NOVs
NOVs should be used whenever the staff has facts giving it reason to believe that one of the following situations may exist. This is not an exhaustive list.
Uncontrolled environmental release(s). High severity violations. Where it is anticipated that corrective action will take longer than 90 days. Repeated and/or continuing suspected violations despite previous informal actions, chronic non-compliers. An environmental impact or evidence of suspected violations which appear to have caused potential or demonstrated adverse human health or environmental impacts. Serious threat to human health or the environment or suspected violations which appear to present an imminent and substantial hazard to human health or the environment. Suspected significant violations of administrative orders or judicial mandates and decrees. Failure to report violations when required by law. Failure to pay civil charges. Failure to take timely and appropriate required action in response to a spill or other release to the environment. Suspected falsification of certifications, reports, or other documents. Suspected violations that appear to include gross negligence and/or that appear to be knowing or willful. Cumulative violations of the Waste Program requirements, not necessarily repeated or continuing which demonstrate chronic non-compliance.
41 Multiple Severity II or I alleged violations of a regulation or permit for which previous informal actions have not resolved. Where a facility fails to comply with a condition of the Letter of Agreement (LOA) or Consent Order Where a facility does not resolve non-compliance identified in a Warning Letter within 90 days and no extension has been requested by the facility or granted by DEQ. Failure to meet a submission date required by law or regulation Failure to meet a compliance schedule in the law, regulations, permit, enforcement action, or other approval (including approved extensions).
- 2.3.2 Content of NOVs
The following should be included in an NOV: Items listed in Section 5.2.1.2 (Content of Deficiency Letter); Statement of statutory authority and enforcement options available to the agency; Statement of future actions and a request that the responsible party respond within 10 days to arrange a meeting with DEQ to discuss corrective actions it has or will take and a compliance schedule for intended actions, if necessary; Request that the responsible party advise DEQ staff of any disputed observations or other pertinent information; The process for obtaining a case decision or fact finding on whether or not a violation has occurred, including the Process for Early Dispute Resolution (PEDR); and Signature by LPM.
- 2.3.3 Boilerplate NOVs
A boilerplate NOV form is found at Attachment 9. The boilerplate should be used for the issuance of all NOVs except where the boilerplate does not address a particular or unique situation. In these cases, the Solid Waste Compliance Coordinator should be contacted and approval gained before proceeding with use of a modified NOV.
- 2.3.4 Additional NOVs
Where a responsible party has been issued an NOV and is negotiating a Letter of Agreement or Consent Order with Enforcement staff, the responsible party should continue to receive NOVs pursuant to any subsequent inspection where the violation is on-going unless the Enforcement Specialist advises otherwise.
Where a responsible party has already received an NOV and requested the Process for Early Dispute Resolution (PEDR), then no further NOVs should be sent to the responsible party while the PEDR is pending.
42 Where non-compliance is being addressed pursuant to a fully executed Consent Order, then an additional NOV should not be sent for the underlying violation if the return-to-compliance action items in the Consent Order Appendix (Schedule of Compliance) are being addressed by the responsible party. However, non-compliance with an enforcement agreement or Consent Order should be noted as an alleged violation on the inspection checklist, and regional enforcement staff will determine if another NOV (or different response) is appropriate. In instances where the responsible party is noncompliant with a Consent Order requirement, elevation to an NOV is likely. Compliance staff should consult with regional enforcement staff to ensure compliance with a Consent Order and that underlying violations are being properly addressed.
If the responsible party is subject to a Letter of Agreement (LOA), compliance staff should note any missed deadlines or noncompliance with the LOA in the inspection checklist and consult with regional enforcement staff to discuss appropriate next steps for addressing the underlying alleged violation.
See Attachment 10 (Scenario 2) for additional guidance on how to address alleged violations observed during inspections conducted when the responsible party is subject to an LOA or Consent Order.
- 2.4 Pending Enforcement Letters
When inspections are conducted while an enforcement agreement or order is being developed or negotiated (but is not yet final), the inspector may continue to observe the same or on-going alleged violations cited in the previous NOV. Alleged violations should be documented in the inspection checklist, and the Enforcement Specialist and LPM should be consulted to determine whether another NOV should be issued.
If the Enforcement Specialist determines that issuing another NOV may negatively impact negotiation of the pending enforcement action, then it may be more appropriate to issue a Pending Enforcement Letter. A Pending Enforcement Letter notes that the alleged violation is still ongoing and references the previous NOV and pending enforcement action.
See Attachment 10 (Scenario 1) for additional guidance on when to issue a Pending Enforcement Letter. A boilerplate Pending Enforcement Letter is included as Attachment 11.
- 3 Selection of Appropriate Instrument to Address Non-Compliance
When addressing non-compliance issues, the appropriate instrument (Deficiency Letter, Warning Letter, or NOV) should be selected. The instrument should be commensurate with the significance and occurrence(s) of non-compliance identified and allow for the most prompt and appropriate return to compliance.
The Severity Level classifications are designed to assist compliance staff with properly identifying the significance of noncompliant issues which may be identified. The system
43allows for a ‘weighted’ consideration of noncompliance issues so the most effective compliance instrument can be selected to resolve the matter.
In the case of escalating or repeat continuing non-compliance, the instrument selected should increase in significance over time until the facility resolves the non-compliant condition(s). Issuance of an NOV and referral for enforcement action should be utilized for an environmental impact, serious threats to human health or the environment, uncontrolled environmental releases, high severity violations, and chronic non-compliers.
Table I outlines the baseline application of compliance instruments based on the general Severity Level and Occurrences of violations.
Table I
1st Consecutive 2nd Consecutive Violation 1st Occurrence of Unaddressed Unaddressed Level Violation Violation Violation Severity I Deficiency Letter Warning Letter NOV Severity II Warning Letter NOV NOV Severity III NOV NOV NOV
The matrix in Table I should be followed when selecting the most appropriate instrument for non-compliance, absent extraordinary circumstances. In using the matrix, compliance staff should use the highest Severity Level violation(s) identified during the inspection.
Additionally, where more than one violation exists of the same Severity Level, compliance staff should consider using the most appropriate compliance instrument available given the number of violations identified. Generally, where several Severity Level I violations have been identified, compliance staff should consider using a Warning Letter in lieu of a Deficiency Letter.
One exception to the matrix is as illustrated on the Landfill Gas Exceedances Flowchart located in Land Protection and Revitalization Guidance Memo No. LPR-SW-2017-01, Clarification of Landfill Gas Regulatory Requirements. In this case, the selection of the non-compliance instrument will be determined primarily by whether the responsible party is adequately and timely addressing these issues in accordance with the VSWMR.
All non-compliance is subject to enforcement action appropriate to the significance of the violation. Appropriate enforcement action means that the mechanism used by DEQ to achieve compliance is proportional to the alleged violation, responsive to the facility’s compliance history, consistent with prior enforcement action, and protective of human health and the environment. In addition, an appropriate enforcement action, which may include referral for formal enforcement and a civil charge (including recovery of economic benefit), sends a message of deterrence to the regulated community.
- 4 Further Considerations in Selecting Non-Compliance Instruments
When considering selecting a non-compliance instrument other than the one presented in the matrix, compliance staff should take in account the following factors:
- Risk of Exposure. Risk of exposure involves both the probability of exposure and potential consequences that may result from exposure.
44a. Probability of Exposure. Where a violation involves the actual management of waste, the selection of non-compliance instrument should reflect the probability that the violation could have or has resulted in a release of waste or constituents or could have or has resulted in a condition that creates a threat of exposure to waste or waste constituents. The likelihood of a release is determined based on whether the integrity and/or stability of the waste management unit is likely to have been compromised. Some factors to consider in making this determination are:
(1) Evidence of release (e.g., existing soil, air, surface water or groundwater contamination), (2) Evidence of waste mismanagement (e.g., waste disposal on or in the ground or surface water), and (3) Adequacy of provisions for detecting and preventing a release (e.g., monitoring equipment and inspection procedures).
A selection of a non-compliance instrument higher in the enforcement hierarchy (i.e. an NOV instead of a WL) would be appropriate where the violation significantly impairs the ability of the waste management system to prevent and/or detect releases of waste or constituents.
b. Potential Consequences. In considering risk of exposure, compliance staff should weigh the harm that would result if the waste or constituents were in fact released to the environment. Some factors to consider in making this determination are:
(1) Quantity and toxicity of wastes (potentially) released; (2) Likelihood or fact of transport by way of environmental media (e.g., air, surface water and groundwater); and (3) Existence, size, and proximity of receptor populations (e.g., local residents, fish and wildlife, including threatened or endangered species) and sensitive environmental media (e.g., surface waters, wetlands and aquifers).
When considering the risk of exposure, emphasis should be placed on the potential for harm posed by a violation rather than on whether harm actually occurred. The presence or absence of direct harm in a noncompliance situation is something over which the facility may have no control. Such facilities should not be rewarded with lower ranking of non-compliance simply because the violations happened not to have resulted in actual harm.
- Effect on the regulatory program. There are some requirements of the Waste Program that, if violated, may not likely give rise directly or immediately to a significant risk of environmental contamination or threat to human health. Nonetheless, all regulatory requirements are fundamental to the continued integrity of the regulatory program. Violations of such requirements may have serious implications and merit a non-compliance instrument higher in the enforcement hierarchy (i.e. an NOV instead of a WL) where the violation undermines the statutory or regulatory purposes or procedures for implementing the regulatory program. Examples of regulatory harm include, but are not limited to:
Failure to obtain a permit, permit-by-rule, or approval to own/operate a regulated unit or solid waste management facility
45 Failure to comply with financial assurance requirements (Central Office staff will coordinate with the region to issue any compliance instruments related to financial assurance requirements; see Chapter 3, Section 3.3.4). Failure to submit a timely/adequate solid waste Part B application or amendment request Failure to respond to a formal information request Failure to prepare, maintain, and update monitoring, closure, or post-closure care plans Failure to install or conduct adequate groundwater, gas, or leachate monitoring Certain failures to comply with recordkeeping that undermine DEQ’s ability to determine compliance or implement the Solid Waste Program
- Extent of deviation from the regulatory requirement. This factor takes into account the degree to which the violation represents a deviation from the regulations, permit, statute, or Consent Order. As noted in the example above, where a Severity Level is tied to a regulatory requirement that has multiple requirements, then adjustment to the non-compliance instrument selected may be appropriate to reflect the number or extent that any of the multiple requirements were not met.
- Multi-media impacts. This factor takes into account whether the responsible party has allegedly violated additional legal requirements under laws, regulations, or permit conditions enforced by another media (such as the Air, Water, or Petroleum Program, etc.). Compliance staff should consult with potentially impacted programs (as well as enforcement staff) to assist with selecting the appropriate non-compliance instrument. The severity level of an alleged violation may be elevated if additional legal requirements apply, and this could result in selection of a non-compliance instrument higher in the enforcement hierarchy (i.e. an NOV instead of a WL).
- Repeat nature of the violation. This factor takes into account whether the particular violation has been previously identified during an inspection without any interim corrective action or return to compliance. A repeat violation that has not been properly addressed or corrected warrants a non-compliance instrument higher in the enforcement hierarchy (i.e. an NOV instead of a WL), or a repeated violation particularly having a greater threat to human health or the environment or impact on the regulatory program.
- Amount of time required to correct the violation. A violation which cannot be corrected with the timeframe specified above for each Severity Level may require adjustment to the Severity Level to reflect the time required for corrective action.
- Responsible party self-reports a violation. Where a responsible party self-reports a violation, compliance staff, in conjunction with Enforcement staff and LPMs, should consult with the Department’s Guidance on Voluntary Environmental Assessments to determine if immunity from enforcement is appropriate. Where certain conditions are met, responsible parties are not subject to administrative penalties and disclosure of certain documents. These conditions are described in the Department’s Enforcement Guidance (Memorandum 01-2006; TH No. CEM-09); the guidance should be fully reviewed and applied to the facts prior to any decisions are made regarding immunity.
46Taking into account the above factors, compliance staff may select a non-compliance instrument different from the one proposed in the matrix where extraordinary circumstances warrant. In doing so, regional staff should seek input and concurrence from Central Office staff. Additionally, documentation should be placed in the file to demonstrate why a different non-compliance instrument was selected other than the instrument provided for in the matrix in Table I.
- 5 Inability to Meet Compliance Deadlines
The responsible party is solely responsible for compliance at all times. If a facility is unable to meet a compliance deadline, the facility should immediately notify DEQ and provide it with documentation supporting the inability to do so. A compliance date may be extended by DEQ if the delay is caused by circumstances beyond the facility’s control and not due to a lack of good faith or diligence on its part and if the facility has notified the Department as soon as those circumstances became apparent.
It is incumbent upon the responsible party to make timely notification and provide sufficient, legitimate supporting documentation. DEQ typically requires at least 7 working days from the time of submittal to evaluate and respond to these notifications. Facilities are solely responsible for compliance before, during and after these notifications.
All extension requests and supporting documents must be reviewed for legitimacy, and only extension requests with merit should be granted. Any extension by DEQ should be done in writing and should specify:
the reason for the extension, the duration of the extension, and actions which may be taken if the extended deadline is not met.
Failure to meet the extended deadline without just cause or a failure to notify DEQ of the inability to meet the deadline should result in an escalation in the type of enforcement pursued. The first day in exceedance of the compliance date should be the Evaluation Date for compliance tracking purposes.
47CHAPTER 6 – PREPARING INSPECTION REPORTS
The inspection report organizes and documents the inspector’s observations as related to the facility’s compliance status. The inspection report includes only pertinent and accurate information relevant to inspection observations.
A typical inspection report includes the:
cover letter, inspection checklists, and supporting documentation.
The cover letter follows a boilerplate format (e.g., Attachments 6 through 11). Applicable inspection checklists should be completed and attached, followed by all supporting documentation that is either included or referenced in the inspection report.
- 1 Reviewing the Information
Prior to developing the inspection report, the inspector should assemble and organize all information collected during the inspection and review it for relevance and completeness.
Any additional or outstanding information required to complete the inspection should be obtained and reviewed promptly. When additional information is gathered subsequent to the inspection, the inspector should document the data source and the date acquired.
Information received subsequent to the onsite inspection may also be addressed in the next inspection report if not required to complete the current/pending report. Where information does not clearly indicate compliance or non-compliance, the inspector should discuss the inspection observations with the LPM or other appropriate staff and obtain guidance for evaluating compliance.
- 2 Preparing the Checklists
All applicable checklists should be completed in CEDS, per the CEDS Solid Waste Compliance Manual, for inclusion in the inspection report. Field checklists and notebook entries completed during the on-site inspection will assist the inspector in entering the information into CEDS. For each area evaluated on the CEDS checklist, the compliance status must be indicated, and where appropriate, a comment provided to support the compliance observations.
Operational issues observed at a facility that, if left unaddressed, could become alleged violations in the future, may be brought to the attention of the facility through a general comment on the CEDS inspection checklist.
Alleged violations should be described in a clear and concise manner. Inspectors should not include a description or verbatim wording of the legal requirements related to a particular reference in the comment section of the inspection checklist. The Department is providing notice of the legal requirement by providing the Code or Regulatory citation.
In the event of an alleged violation, the wording of the legal requirement is included in the cover letter.
48Do not state that a facility “has to,” “must,” or “shall” take a specific action or course of actions to comply with a particular requirement because the DEQ cannot direct, dictate, or compel anyone to take any specific action. The facility is free to take any action it wishes. Instead, the inspector may state what actions “should be taken” to comply with a specific standard or citation. Ex: “To comply with 9 VAC 20-81-140.B.1.c, the facility should apply daily cover at the end of each operating day.”
Compliance items that remain outstanding from the previous inspection should be carried forward into the new inspection report. This ensures tracking of outstanding compliance issues.
- 3 Writing the Cover Letter
The cover letter should present inspection observations in a clear and objective manner so the reader has a complete overview and understanding of compliance issues.
Cover letters should follow formats provided in Attachments 6 through 11. Each boilerplate format allows the inspector to present inspection observations and legal requirements in a consistent, uniform manner and has been developed to meet specific legal requirements. The inspector should prepare a complete, concise narrative by keeping observations brief and to the point, avoiding sentences that recommend specific follow-up actions. The inspector should not use language in the observations that could be interpreted as a case decision and should avoid paraphrasing legal requirements so there is no room for misinterpretation. The legal requirements in the cover letter should be consistent with the references marked as alleged violations on the inspection checklist.
- 3.1 No Deficiency Cover Letter
A No Deficiency Letter (NDL) is used for facilities which are found to be fully compliant and no compliance issues are identified during the inspection cycle.
This letter documents the basic factual points of the inspection and identifies the facility as compliant. No further action is required by the facility or department and compliance is reassessed during the next compliance cycle. A boilerplate No Deficiency Letter is included in Attachment 6.
- 3.2 Alleged Non-Compliance
Refer to Chapter 5 – Classifying and Resolving Non-Compliance, for guidance in preparing a Deficiency Letter (Attachment 7), a Warning Letter (Attachment 8), and a Notice of Violation (Attachment 9).
- 4 Finalizing the report
After completing the cover letter, the inspector should assemble and organize all checklists and supporting documentation and coordinate with the LPM on the review process for their regional office. Cover letters should be signed by the appropriate staff (inspector or manager) as designated in the boilerplates (Attachments 6 through 11).
Staff may use e-signatures (i.e. a scanned image or gif in place of a wet signature) unless advised otherwise.
Once the inspection report is finalized, the report should be sent to the facility and a copy should be placed in ECM as soon as possible and managed per the file retention policies.
49Compliance staff should follow the Solid Waste ECM Guidelines, including the SW ECM Document Title Guidelines, when uploading documents to ECM.
Inspection reports should be emailed or mailed to the facility within 30 days of the inspection. For overly-complex cases or NOVs that require additional review and concurrence by other staff, the inspection report may be emailed or mailed to the facility up to 45 days of the inspection.
For the majority of correspondence, delivery by email or first-class mail will suffice. Staff will know that the email or first class mail was received when the facility contacts them as directed in a non-compliance notice. It is recommended that certified mail be used strategically when effective delivery is uncertain. The inspector may also contact the facility by email, telephone, or follow-up letter, or hand-deliver the report, if necessary, to confirm that the facility has received the correspondence.
- 5 Updating CEDS Inspection Event Codes
Inspectors are responsible for entering all inspection event codes into CEDS. Once the report has been provided to the facility, the inspector should update the CEDS event code with the date and letter type of the report issued. The inspection report cover letter date, the CEDS event code date, and the ECM Doc Date should all be consistent in order for the report to be linked from ECM to CEDS. The inspection record will be labeled “Draft” until an appropriate event code is entered. If a facility response is requested (such as when issuing a Deficiency Letter, Warning Letter, or NOV), the event code for the date the response is received by DEQ should also be updated in CEDS.
50CHAPTER 7 – TRACKING COMPLIANCE
Inspectors are responsible for entering all compliance actions into CEDS to document administrative timelines are met and to address non-compliance. Compliance and enforcement activities should follow the guidance in Chapter 5 and the Enforcement Manual and should be entered into CEDS according to the CEDS Solid Waste Compliance Manual.
Tracking and follow-up are critical to the success of the agency's effort to emphasize compliance assistance. Every deadline for corrective action should be tracked in CEDS and checked within 15 working days after the established deadline date. Any correspondence with the responsible party regarding resolution of alleged violations should be maintained in ECM. Unless the responsible party provides reliable written or electronic verification of its actions, the inspector should verify the responsible party’s action onsite during the next scheduled inspection or sooner as needed. If the deadline has not been met, follow-up action should be initiated at the next highest level so that the compliance effort increases until compliance is achieved. Follow-up action should be coordinated with the next scheduled inspection or sooner, as necessary.
- 1 Facility Return-To-Compliance
Tracking the facility’s return-to-compliance (RTC) date is imperative to maintaining a complete and accurate compliance record. All alleged violations are tracked in CEDS with a RTC Status of “unresolved” or “resolved.” An alleged violation remains “unresolved” in the CEDS database until an Actual Compliance Date is entered to signify that the facility has resolved that particular compliance issue.
The Actual Compliance Date is the earliest day the alleged violation is considered by DEQ to have been resolved by the facility. This may be the date a letter is received from the facility (or resolution date referenced in a letter) providing sufficient documentation that the alleged violation has been resolved. It could also be the date of field verification by DEQ (e.g. date of next inspection or site visit).
The inspector should update CEDS to identify any resolved alleged violations as soon as possible after resolution in order to ensure that the agency’s database is a current and accurate reflection of the facility’s compliance record.
- 2 RTC under Consent Orders and Letters of Agreement
- 2.1 Consent Orders
A Consent Order effectively resolves alleged violations by establishing an enforceable schedule that compels the facility to return to compliance in an expeditious manner. If a Consent Order has effectively resolved an alleged violation, the Actual Compliance Date is the effective date of the Consent Order.
In other words, the inspector does not have to wait until the facility completes the items in the Consent Order’s Schedule of Compliance to note the alleged violation as resolved in CEDS.
Further, if the alleged violation was actually resolved prior to finalizing a Consent Order (e.g. the issue is no longer ongoing but an Order and civil charge may be pending), then CEDS should reflect the earlier (actual) date that the alleged
51 violation was resolved by the facility rather than the effective date of the Order.
- 2.2 Letters of Agreement
RTC is handled differently under a Letter of Agreement (LOA). An LOA is an informal enforcement tool that represents an agreement between the Responsible Party and the DEQ following the issuance of an NOV to return the Responsible Party to compliance within 12 months. An LOA does not effectively resolve an alleged violation, so the Actual Compliance Date will be left blank until the Responsible Party completes all actions in the LOA’s Schedule of Compliance OR a Consent Order is executed to resolve the alleged violation.
- 3 Maintaining CEDS and ECM
The LPM and the inspector should ensure CEDS and ECM are properly maintained so complete, accurate, and current information is available to coordinate and track compliance activities throughout each inspection cycle. This ensures that all necessary work is conducted and completed as required, including resolution of non-compliance.
The LPM and the inspector may confer monthly to evaluate on-going compliance actions and pending compliance resolutions that are due. At a minimum, compliance actions and non-compliance resolution tracking should be reviewed quarterly.
As part of the Solid Waste Quarterly Compliance Report and other relevant agency reports, solid waste inspection activities are tracked. It is important to keep CEDS up to date with the most recent inspection data so that the Regional Office is given appropriate credit for its compliance activities. Maintaining CEDS with up-to-date data will assist regional management and staff with program management. Additionally, if solid waste compliance staff perform inspections not captured in CEDS, regional management may wish to track that information so that appropriate credit is also provided for that work effort.
- 4 Logi AdHoc Shared Reports
Logi AdHoc Shared Reports have been created specific to Solid Waste Compliance and are available for all compliance staff and managers to review detailed summaries or lists of compliance inspections and reports completed by each inspector, which can facilitate the evaluation of regional and statewide workflow. Specific Logi Reports have also been created to quickly identify draft inspection reports, unresolved alleged violations, and facility responses that are due to DEQ.
52ATTACHMENTS
53Attachment 1: Solid Waste Compliance Risk Based Inspection Strategy (RBIS) Solid Waste Compliance
RISK BASED INSPECTION STRATEGY (RBIS)
- Introduction
The Department of Environmental Quality's (DEQ's) Solid Waste Compliance Program encompasses permitting, monitoring, inspection, and enforcement to assure solid waste is properly managed in accordance with applicable regulations. Inspections are the primary mechanism for ensuring compliance verification. Inspections may be initiated as part of regular compliance oversight of permitted waste management facilities, for administrative or verification purposes such as pre-operational inspections and closure verification inspection, or “for cause” where probable non-compliance has been observed or brought to the attention of DEQ through reporting, complaints, or other mechanism.
- Purpose
The purpose of this plan is to set forth the Risk Based Inspection Strategy (RBIS) and its approach for DEQ's solid waste inspection program. This strategy identifies inspection authorities, objectives, types, frequencies, scheduling, and reporting.
- Strategy Goals
The major goal of this strategy is to help focus agency efforts based on areas that are of the highest risk to human health and/or the environment. This strategy will assist the regional offices in implementation of a risk based compliance inspection plan and will: provide a framework for compliance and assure optimum coverage and thoroughness during inspection activities of the regulated community; assure that obligations under the solid waste regulations are met; provide guidance and assistance for commitments, budgeting, and resource requirements; ensure inspections are conducted in a consistent manner; provide for cross media training; and provide a framework for a risk based inspection protocol.
- Inspection Authority
DEQ is authorized to conduct inspections of permitted solid waste management facilities and other waste management sites for purposes of determining compliance with the requirements of the statute, regulations, and permits. The DEQ's authority to conduct inspections is provided for in the VSWMR, 9VAC20-81-490. Per this section, each facility permitted to accept solid waste requires periodic inspection and review of records and reports. The permittee by accepting the permit or permit-by-rule agrees to these periodic inspections.
- Inspection Types
Solid waste inspections are necessary to insure compliance with the regulatory requirements by permittees and others. To that end, various types of inspections are regularly conducted.
These types are: Regular Compliance Inspections are routine inspections of permitted and permit-by-rule solid waste treatment, storage, and disposal facilities. The purpose is to evaluate and determine facility compliance with requirements of applicable laws, regulations, and permit or permit-by-rule documents. o Compliance Evaluation Inspections (CEIs) are the standard inspection type for routine, scheduled site inspections, during which the facility is comprehensively evaluated for all applicable statutory, regulatory, and permit or permit-by-rule requirements on the CEDS inspection checklist. o Focused Compliance Inspections (FCIs) may be conducted as a routine site inspection as part of the risk based inspection strategy, in lieu of or in addition to CEIs based on the application of the Risk Based Inspection Strategy, during which the facility is evaluated for specific requirements applicable to the facility that have the greatest potential to impact human health or the environment. An FCI may focus on only a specific portion or section of the applicable laws, regulations, or permit conditions on the inspection checklist. Special Purpose Inspections are non-routine inspections of permitted and permit-by-rule solid waste treatment, storage, and disposal facilities. The purpose is to evaluate and determine facility compliance with specific requirements or milestone of applicable laws, regulations, and permit or permit-by-rule documents, or determine facility compliance with specific provisions of an Enforcement Order (or equivalent). o Record Reviews may be used to evaluate compliance with specific gas or groundwater monitoring data or other facility reports, notifications, or records submitted to DEQ, particularly when evaluation of the data does not coincide with a regularly scheduled onsite CEI or FCI. o Other Investigations/Inspections are non-routine special purpose inspections not part of the regular inspection schedule that are conducted as needed throughout the year to evaluate a particular area or activity at the facility. For example, an inspection may be conducted to verify appropriate installation of an active gas system or other engineered structure; to observe construction or monitoring procedures; to inspect the partial or complete closure of a disposal unit; to assess the status of a previously observed alleged violation; to verify actions taken to return-to-compliance; or to assess progress with a schedule of compliance in an enforcement order; etc. Complaint Investigations are inspections of facilities or sites that are triggered by a compliant regarding actual or potential mismanagement of solid waste. The purpose is to evaluate and determine compliance with applicable laws, regulations, and/or permit or permit-by-rule documents. Complaint investigations may be full (CEI – Complaint Received) or focused (FCI – Complaint Received). Compliance Assistance Visits are site visits conducted for the purpose of providing any information or technical assistance to assist the regulated community in meeting the requirements of the law, regulations, or permit.
The risk based inspection strategy is to be applied to the regular compliance inspections only.
Other inspections will need to be conducted at the frequencies dictated by their particular drivers, such as enforcement order provisions, complaints received, etc.
- Risk Based Protocol This initiative is a process designed to direct staff resources towards facilities with higher risk factors and/or poor performance records. Resources to conduct these higher risk inspections will be made available by conducting focused inspections and/or decreasing inspection frequency at facilities that historically demonstrate excellent compliance and pose less risk of impact to human health or the environment. The following is a generalized discussion of risk factors that could be applied to compliance program inspection strategies in order to accomplish environmental protection goals or to insure resources are used in the most environmentally effective manner as possible. These factors will be used to evaluate each facility on a case-by-case and such evaluation may be required to be documented per Attachment A for any facility deemed to be a reduced risk.
The risk factors are divided into categories that are facility specific, programmatic, or Agency specific. Primary and secondary risk factors may be applicable. For instance, a facility with an excellent compliance history (primary risk factor) may be deemed suitable for a reduced inspection frequency; however, the facility is of a type/class or at a location for which the Agency has an initiative in place for further evaluation (secondary risk factor). Therefore, a reduced inspection schedule may not be suitable. The following risk factors should be evaluated when proposing the risk based inspection plan/schedule: Virginia Environmental Enhancement Program (VEEP) Participation (EE) - Facilities that have achieved E3 or E4 status are eligible for reduced frequency or focused inspections. Other facilities participating in DEQ VEEP program or EPA performance track may also be candidates for reduced inspection frequency or focused inspections.
Compliance History and Facility Type (CH) - The compliance history is the major consideration for risk based inspection scheduling. This factor in consideration with facility type should be used to determine whether fewer or more focused inspections are necessary at a facility with a good compliance history or whether increased inspections are necessary for facilities with on-going issues. Compliance history shall be considered with type of unit(s) at a facility to ensure the value added for conducting the inspection is equivalent to the resources expended. For "minor" storage or treatment units with good compliance histories (such as small scale onsite regulated medical waste treatment units/autoclaves, transfer stations, materials recovery facilities, and category I compost facilities) lesser inspection frequency based on less risk posed may be appropriate.
Environmental Sensitivity (ES) - If the facility is located in areas of particular environmental or public health concern, increased inspection frequency may be necessary.
Multi-media Applicability (MM) – Evaluate risk based plans to include potential multi-media opportunities ranging from single inspectors covering simple multiple program areas to a team approach for larger more complex facilities. For instance, a permitted landfill may be a potential impact to an impaired watershed in which case a surface water issue may need to be brought to a water compliance inspector's attention. Other options would include solid waste compliance inspectors attending an inspection with inspectors from another media to a smaller or minor type facility (cross-training), or going to a larger facility with multi-media programs as part of an inspection team.
Agency Exposure/Sectors (AES) – Evaluate agency obligations relative to legislative mandates and sector initiatives (i.e., identification of particular groups or categories) relative to risk. If we lack the resources to complete everything then what we do not accomplish should be based on an evaluation of risk to the agency. These risks may include consideration of concerns by staff or public regarding a particular facility, or identification of particular sectors for any number of considerations including any newly regulated/permitted facilities, particular pollutant concerns, minimal agency resources applied historically, etc.
Specific metrics for the above categories are provided below for regional office use. These metrics can help identify which facilities may require more or less compliance attention.
However, the best measure for that determination is the compliance history and inspector's knowledge of the facility.
Risk Factor Criteria Metric Lesser Risk: Elevated Risk: Reduced or Increased focused inspections? inspections?
VEEP Participant (EE) EE Participation EE Ranking E3 or E4 NA
Compliance History and Facility Type (CH) Inspection Related Inspection Reports Satisfactory reports; Unresponsive, Compliance Good operations and chronic non-maintenance (i.e., compliance, or Less than 2 operational and deficiency or warning maintenance issues. letters within last 2 years; No NOVs Outstanding within last 3 years) NOVs/enforcement issues.
Monitoring Data Gas Data and Below established Alleged violations of Groundwater Data permit or regulatory regulatory or permit limits limits; Deficiencies in data QA/QC Type Unit Type Unit type poses less Disposal units risk to human health and/or the environment, such as storage units (MRFs and transfer stations), smaller capacity units (such as small units for regulated medical waste treatment), or category I compost units.
Environmental Sensitivity (ES) Surrounding Land Public Use - Public water supply; Drinking water wells Use residential, non-residential in close proximity; recreational; surrounding area residents, parks, Ecological daycares, hospitals, Sensitive Areas; etc. in proximity;
Potable Water endangered species Supply or habitat located nearby Risk Factor Criteria Metric Lesser Risk: Elevated Risk: Reduced or Increased focused inspections? inspections?
Proximity to Proximity to Discharges or environmentally impaired water potential to discharge sensitive areas body to and impaired water body Non-attainment and attainment maintenance areas Source Permit Type PBR Permit Full Permit Classification Intake Volumes <1000 tons/day >1000 tons/day Environmental Not within or adjacent Facility within or Justice to EJ areas adjacent to EJ areas Population Population Density Rural areas Suburban/Urban areas Multimedia (MM)
Multi-Media Issues TBD by Regional TBD by Regional TBD by Regional Program Managers Program Managers Program Managers (Facility is included on more than one media’s RBS inspection list) Agency Exposure/Sectors (AES) Community Complaints No complaints or only Multiple substantiated Concerns minor or unfounded complaints from complaints received different sources regarding facility.
Funding Sources Mandated priorities Non-EPA or State EPA or State mandated priority mandated priority
Regions have two options for high performing facilities; to either perform a lower intensity inspection (e.g. focused inspection in lieu of a full compliance evaluation inspection), and/or to reduce the inspection schedule to less than the baseline schedule. The focused compliance inspection shall key in on inspection parameters which have the greatest potential to impact human health or the environment. For instance, examples of focused inspection types for the Solid Waste programs are listed below: Waste screening at permitted facilities Groundwater monitoring at permitted landfills Methane emissions at permitted landfills Leachate management at permitted landfills
The option chosen is a function of many factors. In addition to the above, regions should carefully consider mitigating factors such as: the last compliance evaluation inspection date; the condition of the facility; the size of the facility; facility appearance and maintenance; and regional inspection resources. Permittees participating in the Virginia Environmental Excellence Program (VEEP) that have attained E3 or E4 status are eligible for reduced inspection frequency. E3 and E4 facilities are identified in CEDS and listed on the DEQ’s VEEP webpage.Additionally, Inspectors familiar with the SWMFs should participate in identifying facilities with good operations, monitoring, and maintenance that are candidates for reduced/focused inspection activity.
As an example, the following could be used to identify a particular facility for a decreased inspection activity: Excellent facility compliance history based on last three years of inspections (CH); Facility groundwater monitoring data indicates no GPS exceedance and facility gas monitoring data indicates no action/compliance level exceedance (ES);
Based on the above, the facility was determined to qualify as a lesser risk facility. Therefore, for the inspections that are reduced in scope (focused compliance inspection or FCI) or are not done, the risk based factor evaluation for lower inspection frequency will be CH and ES.
Another advantage of the risk based protocol is that it provides DEQ an opportunity to focus multi-media inspection resources on specific areas of concern for the Agency, such as impaired watersheds or mercury reduction initiatives. The risk based protocol can be used to determine if a permitted SWMF is contributing to the initiative. This will require that coordination take place between different program areas and media to insure coverage of all permitted facilities. For these types of added inspections, a brief narrative in the inspection schedules should be added describing the purpose of the initiative. Year end reporting which details the inspection findings may be necessary to evaluate and determine future activities and should be coordinated with other media programs, as necessary.
- Inspection Frequency Under a normal solid waste compliance inspection frequency, DEQ inspects solid waste management facilities operating under permits and permit-by-rule status at the following minimum frequency: o Active and inactive facilities inspected quarterly; and o Closed facilities subject to Post-Closure Care inspected annually.
This normal inspection frequency is determined by the operational status of the permit or permit-by-rule SWMF. If a SWMF is deemed to be a lower risk based on evaluation of the risk based factors and, therefore, would qualify for a reduced inspection frequency, the suggested inspection frequency for these lower risk SWMFs during the compliance year is: Lower risk full permit SWMFs: conduct semi-annual inspections with a minimum of two full CEIs OR one full CEI and one FCI (for a minimum of two inspections per year); Lower risk permit-by-rule SWMFs: conduct at least an annual CEI; Lower risk closed landfills under post-closure care: conduct at least one CEI biennially; and Lower risk barge receiving facilities: conduct at least quarterly inspections, a maximum of two of which may be FCIs (for a minimum of four inspections).
For all other facilities that would not qualify for decreased CEIs or FCIs, the minimum inspection frequency shall be the applicable baseline inspection schedule. Conversely, if a facility is deemed to be a higher risk based upon the evaluation of the risk factors, additional inspections beyond the baseline frequency may be necessary. The suggested inspection frequency for these higher risk SWMFs during the compliance year is: Higher risk full permit SWMFs: conduct one CEI per quarter and an additional two FCIs (for a total of six inspections); Higher risk permit-by-rule SWMFs: conduct one CEI per quarter and an additional two FCIs (for a total of six inspections); Higher risk closed landfills under post-closure care: conduct at least one annual CEI and one additional CEI or FCI (for a total of two inspections); and Higher risk barge receiving facilities: conduct at least quarterly CEIs and an additional two FCIs (for a total of six inspections).
- Inspection Scheduling
As noted in Section 7, the operational status of the facility is used for the normal inspection frequency. This normal inspection frequency is used to create a ‘baseline' inspection schedule.
The Risk Based Protocols, described in the Section 6, are then applied to this baseline schedule to decide at which facilities a change in inspection frequency is warranted.
Scheduling Process Using the Risk Based Protocols:
- Develop a schedule for solid waste compliance evaluation inspections on a federal fiscal year basis (October 1 through September 30th) conforming to the normal inspection frequencies as listed in Section 7. This is your baseline schedule.
- Apply the risk based protocols to the facilities on this baseline inspection schedule to determine which facility inspections are modified (added, reduced, postponed, focused) from the baseline inspection schedule to develop the risk based inspection schedule (see format example in Table 1 below).
- By August 15th of each year, Regional Office Land Protection Program Managers shall send their Region's finalized Risk Based Inspection Schedule to the Central Office (CO) Solid Waste Compliance Coordinator. The excel format as provided below shall be used (see Table 1). During the course of the compliance year, please update the RBI excel spreadsheet and email changes to the RBI schedule to the Solid Waste Compliance Coordinator as they occur along with the reason for the change.
Table 1. Risk Based Inspection Schedule Region Permit Facility Unit Type Unit Annual Inspections Annual Risk No. Name Status Baseline Added or Risk Based Factors Inspections Reduced Inspections Applied per Risk (indicate if doing focused inspections) County ABC Sanitary XXRO SWP001 Active 4 1 5 CH, AES Landfill Landfill Solid Waste Transfer XXRO PBR111 Active 4 -2 2 CH TS Station Waste Materials XXRO PBR116 Material Recovery Active 4 -2 2 CH Recovery Facility Yard Waste Compost XXRO PBR219 Composting Active 4 -2 2 CH, ES Facility Facility 4. Central Office may request that the region use Attachment A to document the risk based decision to reduce inspection frequency at a facility. If requested, place this document in the facility’s inspection/compliance file describing the rationale. This documentation provides an easy to follow paper trail for anyone reviewing the file.
- If requested, each region will also develop a multi-media plan. Air, Waste, and Water Compliance Program Managers shall meet to review their inspection plans and, based on the below criteria, draft a list of multi-media inspections/initiatives for their Region.
Criteria for multi-media consideration are: a. Same facility on two or more inspection lists b. Facility holds multiple media permits c. Similar agency priorities for sectors of facilities d. Multi-media compliance issues or complaints at same facility e. Multi-media cross training opportunity
- If requested, by November 1st of each year, the Regional Deputy Director shall submit the region’s multi-media plan to each media’s CO compliance program coordinator.
- Resources and Reporting
If assistance is needed with implementation or clarification of the risk based strategy, please contact the Solid Waste Compliance Coordinator. Please note that CEDS and Logi will be utilized to pull quarterly and annual inspection summaries for distribution within the agency regarding the solid waste compliance program. Staff should utilize the Solid Waste Compliance CEDS Manual to document the type of inspections conducted in support of the RBIS. Attachment A Department of Environmental Quality Documentation of Baseline Inspection Frequency Reduction
Regional Office: ___________ _ ____________ LPM Initials & Date: ______________ _
Facility Name: _________________________________________________________
Solid Waste Permit Type: Full SW Permit Permit-by-Rule
Solid Waste Permit Number: _______________________________
Facility Type: Sanitary Landfill Transfer Station Surface Impoundment CDD Landfill MRF Barge Facility Industrial Landfill Incinerator RMW Facility Compost Facility Waste to Energy Facility Other: ____________ __
Federal Fiscal Year: _____________________________________________________
Date of last COMPLIANCE EVALUATION INSPECTION: ________________________
Date of last Inspection: ___________________________________________________
Reason for Change (check all that apply): Compliance History (CH) Multi-media (MM) Environmental Excellence (EE) Agency Exposure/Sectors (AES) Environmental Sensitivity (ES)
Justification (provide short synopsis of why specific factors were chosen):
Proposed Actions: FCI in lieu of CEI Number of CEIs reduced to FCIs: _____________
Reduced # of Inspections from the Baseline Inspection Frequency Number of Inspections reduced: ______________
Other Comments:Attachment 2: Pre-Inspection Worksheet or Checklist Inspector(s) _ Date Time_
Site_ _ Permit # ________________________________________ ___________________ __________________________________ __________ ______ _____ Complete and verify general information on field checklists _____ Identify, acquire, and review all relevant file information such as: _____ Applicable regulations and statutes _____ Permit (including all attachment and approved or pending amendments) _____ Recent inspection reports and facility responses _____ Associated enforcement documents _____ Disclosure Statement _____ Operator Certifications _____ Plans and approvals (such as closure, post-closure care, special wastes, etc.) _____ Environment monitoring plans and associated reports or notifications (such as groundwater, gas, or odor management) _____ Solid Waste Information & Assessment Report (Form DEQ 50-25) _____ Detailed maps and drawings _____ Notifications or Certifications _____ Construction quality assurance documents _____ Records of recent phone conversations with the facility _____ Recent permit amendment requests and agency responses _____ Incident notifications to DEQ _____ Records of any recent complaints _____ Collect and assemble inspection equipment _____ Discuss inspection purpose and strategy with the LPM, solid waste permit writer, groundwater staff, and enforcement staff.
Attachment 3: On-Site Records Review Checklist
Inspector(s) ___________________________________ Date __________Time_______ Site__________________________________________ Permit # ___________________
The Waste Management Act, regulations, and permits (or equivalent) include the requirements for facilities to keep and maintain records available for DEQ access. Facility specific requirements should be found in the facility’s permit.
____ Disclosure statement _____ Operator’s certification (license) _____ 24 hr/5-day incident notifications to DEQ _____ Solid Waste Information Assessment (SWIA) Report (DEQ Form 50-25) _____ Control Plan for Unauthorized Waste _____ Unauthorized waste inspection reports (random load inspection records) _____ Daily waste tonnage received and processed _____ Operations manual and annual certification _____ Facility self-inspection records _____ Equipment maintenance records _____ Safety plan and OSHA accident notifications _____ Safety training records _____ Written emergency contingency plan _____ VPDES permit or Stormwater Pollution Prevention Plan _____ Disease vector control – Federal Fish and Wildlife Depredation Permit _____ Design plans _____ Construction, operation, and maintenance records _____ Closure and post-closure care plans _____ Gas monitoring plans and monitoring data _____ Leachate monitoring data _____ Leachate transport and treatment invoices _____ Groundwater monitoring plans and monitoring data _____ Groundwater corrective action program records _____ Special waste disposal requests, evaluations, and analyses _____ Asbestos containing material disposal documentation _____ Petroleum contaminated soil (PCS) analysis _____ Tire or white good transport documentation or invoices _____ Other records as specified by statute, regulation, permit, or enforcement order
Permit-specific notes _________________________________________________________________________ ___ ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________Attachment 4: Site Walkover Review Checklist Inspector(s) _ Date Time_
Site_ _ Permit # __________________________ __________ ______ ________ ________________________________________ ___________________ The Waste Management Act, regulations, and permits (or equivalent) include the requirements for facility operations. _____Road condition, grading, and materials _____ Run-on/runoff control structures such as ditches, sedimentation traps/basins, etc. _____ Condition of side slopes and vegetative cover _____ Leachate outbreaks on-site or off-site _____ Seeps _____ Releases of uncontrolled leachate or waste that may be leaving the disposal unit _____ Cover systems including daily, intermediate, and final _____ Gas management system including wells, vents, or flares _____ Groundwater wells or remediation system components _____ Leachate collection system components, e.g., piping, pump stations, tanks, ponds _____ Leachate re-circulation _____ Areas used for mulching, scrap metal, tire storage, HHW (speculative accumulation) _____ Maintenance facilities _____ Vehicle routing patterns and waste unloading areas _____ Waste handling techniques _____ Sufficient equipment and operators _____ Number of spotters and local inspectors _____ Workface size and authorized waste acceptance _____ Amount and availability of cover material stockpiles _____ Unauthorized waste inspection areas and processes _____ Methods for controlling blowing litter _____ Methods for controlling vectors _____ Unauthorized waste accumulation and storage areas _____ Other areas that may require further on-site evaluation _____ Alternate Daily Cover (ADC) Demonstrations Permit specific/Notes ____________________________________________________________________________ _________________________ ____________________________________________________________________________ ___________________________________________________ ____________________________________________________________________________ Attachment 5: Photo Documentation Template
VIRGINIA DEPARTMENT OF ENVIRONMENTAL QUALITY ___________ Regional Office Photos have not been altered except to change the size of the file.
Facility Name: Permit# Taken By: [Inspector Name]
Photo Number: 1 Date: Comments: [e.g. location within the facility, direction of the photograph, unique or non-compliant item or area photographed, any other pertinent information such as weather]
Photo Number: 2 Date: Comments:Attachment 6: No Deficiency Letter Boilerplate
[AGENCY LETTERHEAD]
[Date]
[Facility Contact] [Title] [Facility Name] [Street Address] [City, State, Zip Code]
NO DEFICIENCY LETTER
Re: [Facility Name] – [Facility Location] [Solid Waste Permit (SWP) or Permit-by-Rule (PBR) #]
Dear [Facility Contact]:
On [Date], the Virginia Department of Environmental Quality [Regional office] staff conducted a compliance inspection of the solid waste management facility operating under [SWP or PBR #].
During this inspection, the facility was evaluated for compliance with the Virginia Waste Management Act, Va. Code § 10.1-1400 et seq. (“Act”), the Virginia Solid Waste Management Regulations, 9 VAC 20-81-10 et seq. (“Regulations”), [specify other regulations as applicable], and [SWP or PBR # and/or any applicable enforcement documents].
During the inspection, no apparent violations of the Act, Regulations, or [SWP or PBR # and/or any applicable enforcement documents] were observed. A copy of the inspection checklist is enclosed.
If you have any questions, please contact me at [(xxx) xxx-xxxx] or [Name]@deq.virginia.gov.
Sincerely,
[Name] RO Solid Waste Compliance Inspector
cc: ECM – [SWP or PBR #]Attachment 7: Deficiency Letter Boilerplate [AGENCY LETTERHEAD] [Date] [Facility Contact] [Title] [Facility Name] [Street Address] [City, State, Zip Code] DEFICIENCY LETTER Re: [Facility Name] – [Facility Location] [Solid Waste Permit (SWP) or Permit-by-Rule (PBR) #] Dear [Facility Contact]: On [Date], the Virginia Department of Environmental Quality [Regional office] staff conducted a compliance inspection of the solid waste management facility operating under [SWP or PBR #].
During this inspection, the facility was evaluated for compliance with the Virginia Waste Management Act, Va. Code § 10.1-1400 et seq. (“Act”), the Virginia Solid Waste Management Regulations, 9 VAC 20-81-10 et seq. (“Regulations”), [specify other regulations as applicable], and [SWP or PBR # and/or any applicable enforcement documents]. A copy of the inspection checklist is enclosed.
Based on review of observations, responses, and documents obtained during this inspection, the Department has reason to believe that [Facility Name] may be in violation of the Act, Regulations, and/or [SWP or PBR # and/or any applicable enforcement documents]. This information is noted on the enclosed inspection checklist and is summarized below:
- Observations: [Give details of factual observations only; do not describe them in terms of violation(s) or conclusions of law. Then, for each set of observations, state specifically the applicable statutory or regulatory provision and/or permit condition that applies in a separate paragraph in bold font. This section should refer to the inspection summary or inspection checklist, and may include a brief discussion of recommendations for corrective measures; avoid mandates. Use numbered paragraphs for each factual condition being addressed.] Legal Requirements: 9 VAC 20-81-xxx states “…”
- Observations: … Legal Requirements: 9 VAC 20-81-xxx states “…” These issues were discussed with facility representatives during the inspection. Please advise this office in writing within 20 calendar days of receipt of this letter if your facility has taken or intends to take corrective action to address these issues, or if there is other information that DEQ should consider.
A schedule should be provided for any intended actions.
Your letter will assist our staff in maintaining a complete and accurate record of the compliance status of your facility. Compliance may be verified by on-site inspection or other appropriate means.
Pursuant to Va. Code § 10.1-1455(G), this letter is not a case decision under the Virginia Administrative Process Act, Va. Code § 2.2-4000 et seq. (“APA”). In the event that discussions with staff do not lead to a satisfactory conclusion concerning the contents of this letter, you may elect to participate in DEQ’s Process for Early Dispute Resolution, or you may request in writing that DEQ take all necessary steps to issue a final decision or fact finding under the APA on whether or not a violation has occurred.
If you have any questions, please contact me at [(xxx) xxx-xxxx] or [Name]@deq.virginia.gov.
Sincerely,
[Name] RO Solid Waste Compliance Inspector
cc: [Name], CO Solid Waste Compliance Coordinator ECM – [SWP or PBR #]Attachment 8: Warning Letter Boilerplate [AGENCY LETTERHEAD] [Date] [Facility Contact] [Title] [Facility Name] [Street Address] [City, State, Zip Code] WARNING LETTER Re: WL No. 00-00-RO-000 [if numbered] [Facility Name] – [Facility Location] [Solid Waste Permit (SWP) or Permit-by-Rule (PBR) #] Dear [Facility Contact]: The Department of Environmental Quality (“DEQ” or “Department”) has reason to believe that the [Facility Name] may be in violation of the Virginia Waste Management Act, Va. Code § 10.1-1400 et seq. (“Act”), the Virginia Solid Waste Management Regulations, 9 VAC 20-81-10 et seq. (“Regulations”), [specify other regulations as applicable], and/or [SWP or PBR # and/or any applicable enforcement documents].
This letter addresses conditions at the facility named above and also cites compliance requirements of the Act, Regulations, and [SWP or PBR # and/or any applicable enforcement documents]. Pursuant to Va. Code § 10.1-1455 (G), this letter is not a case decision under the Virginia Administrative Process Act, Va. Code § 2.2-4000 et seq. (“APA”). DEQ requests that you respond within 20 days of the date of this letter.
OBSERVATIONS AND LEGAL REQUIREMENTS On [Date], DEQ [Regional Office] staff conducted a compliance inspection of the [Facility Name]. A copy of the inspection checklist is attached. [Staff also reviewed documents provided to DEQ during the course of the inspection.] The following describe the staff’s factual observations and identify the applicable legal requirements.
- Observations: [Give details of factual observations only; do not describe them in terms of violation(s) or conclusions of law. Then, for each set of observations, state specifically the applicable statutory or regulatory provision and/or permit condition that applies in a separate paragraph in bold font. This section should refer to the inspection summary or inspection checklist. Use numbered paragraphs for each factual condition being addressed.] Legal Requirements: 9 VAC 20-81-xxx states “…”
- Observations: … Legal Requirements: 9 VAC 20-81-xxx states “…”
ENFORCEMENT AUTHORITY
Va. Code § 10.1-1455 of the Waste Management Act provides for an injunction for any violation of the Waste Management Act, Waste Management Board regulations, an order, or permit condition, and provides for a civil penalty up to $32,500 per day of each violation of the Waste Management Act, regulation, order or permit condition. In addition, Va. Code § 10.1-1455 (G) authorizes the Waste Management Board to issue orders to any person to comply with the Waste Management Act and regulations, including the imposition of a civil penalty for violations of up to $100,000. Also, Va. Code § 10.1-1186 authorizes the Director of DEQ to issue special orders to any person to comply with the Waste Management Act and regulations. Va. Code §§ 10.1-1455(D) and 10.1-1455(I) provide for other additional penalties.
FUTURE ACTIONS
After reviewing this letter, please respond in writing to DEQ within 20 days of the date of this letter detailing actions you have taken or will be taking to ensure compliance with state law and regulations. If corrective action will take longer than 90 days to complete, you may be asked to sign a Letter of Agreement or enter into a Consent Order with the Department to formalize the plan and schedule. It is DEQ policy that appropriate, timely, corrective action undertaken in response to a Warning Letter may avoid adversarial enforcement proceedings and the assessment of civil charges or penalties.
Please advise us if you dispute any of the observations recited herein or if there is other information of which DEQ should be aware. In the event that discussions with staff do not lead to a satisfactory conclusion concerning the contents of this letter, you may elect to participate in DEQ’s Process for Early Dispute Resolution. Also, if informal discussions do not lead to a satisfactory conclusion, you may request in writing that DEQ take all necessary steps to issue a final decision or fact finding under the APA on whether or not a violation has occurred. For further information on the Process for Early Dispute Resolution, please see Agency Policy Statement No. 8-2005 posted on the Department’s website under “Programs,” “Enforcement,” and “Laws, Regulations, & Guidance” (http://www.deq.virginia.gov/Programs/Enforcement/Laws,Regulations,Guidance.aspx) or ask the DEQ contact listed below.
Your contact at DEQ in this matter is [Contact Name]. Please direct written materials to [his/her] attention. If you have questions or wish to arrange a meeting, you may reach [him/her] directly at [(xxx) xxx-xxxx] or [Contact Name]@deq.virginia.gov.
Sincerely,
[Name] RO Land Protection Program Manager
cc: [Name], RO Solid Waste Compliance Inspector [Name], CO Solid Waste Compliance Coordinator ECM – [SWP or PBR #]Attachment 9: Notice of Violation Boilerplate [AGENCY LETTERHEAD] [Date] [Facility Contact] [Title] [Facility Name] [Street Address] [City, State, Zip Code]
NOTICE OF VIOLATION RE: NOV No. [x] [Facility Name] – [Facility Location] [Solid Waste Permit (SWP) or Permit-by-Rule (PBR) #] Dear [Facility Contact]: This letter notifies you of information upon which the Department of Environmental Quality (“Department” or “DEQ”) may rely in order to institute an administrative or judicial enforcement action.
Based on this information, DEQ has reason to believe that the [Facility Name] may be in violation of the Virginia Waste Management Act, Va. Code § 10.1-1400 et seq. (“Act”), the Virginia Solid Waste Management Regulations, 9 VAC 20-81-10 et seq. (“Regulations”), [specify other regulations as applicable], and/or [SWP or PBR # and/or any applicable enforcement documents].
This letter addresses conditions at the facility named above and also cites compliance requirements of the Act, Regulations, and [SWP or PBR # and/or any applicable enforcement documents]. Pursuant to Va. Code § 10.1-1455 (G), this letter is not a case decision under the Virginia Administrative Process Act, Va. Code § 2.2-4000 et seq. (“APA”). DEQ requests that you respond within 10 days of the date of this letter to arrange a prompt meeting.
OBSERVATIONS AND LEGAL REQUIREMENTS On [Date], DEQ [Regional Office] staff conducted a compliance inspection of the [Facility Name]. A copy of the inspection checklist is attached. [Staff also reviewed documents provided to DEQ during the course of the inspection.] The following describe the staff’s factual observations and identify the applicable legal requirements:
- Observations: [Give details of factual observations only; do not describe them in terms of violation(s) or conclusions of law. Then, for each set of observations, state specifically the applicable statutory or regulatory provision and/or permit condition that applies in a separate paragraph in bold font. This section should refer to the inspection summary or inspection checklist. Use numbered paragraphs for each factual condition being addressed.] Legal Requirements: 9 VAC 20-81-xxx states “…”
- Observations: … Legal Requirements: 9 VAC 20-81-xxx states “…”
ENFORCEMENT AUTHORITY
Va. Code § 10.1-1455 of the Waste Management Act provides for an injunction for any violation of the Waste Management Act, Waste Management Board regulations, an order, or permit condition, and provides for a civil penalty up to $32,500 per day of each violation of the Waste Management Act, regulation, order, or permit condition. In addition, Va. Code § 10.1-1455 (G) authorizes the Waste Management Board to issue orders to any person to comply with the Waste Management Act and regulations, including the imposition of a civil penalty for violations of up to $100,000. Also, Va. Code § 10.1-1186 authorizes the Director of DEQ to issue special orders to any person to comply with the Waste Management Act and regulations. Va. Code §§ 10.1-1455 (D) and 10.1-1455 (I) provide for other additional penalties.
FUTURE ACTIONS
DEQ staff wishes to discuss all aspects of their observations with you, including any actions needed to ensure compliance with state law and regulations, any relevant or related measures you plan to take or have taken, and a schedule, as needed, for further activities. In addition, please advise us if you dispute any of the observations recited herein or if there is other information of which DEQ should be aware. In order to avoid adversarial enforcement proceedings, [Facility Name] may be asked to enter into a Consent Order with the Department to formalize a plan and schedule of corrective action and to settle any outstanding issues regarding this matter, including the assessment of civil charges.
In the event that discussions with staff do not lead to a satisfactory conclusion concerning the contents of this letter, you may elect to participate in DEQ’s Process for Early Dispute Resolution. Also, if informal discussions do not lead to a satisfactory conclusion, you may request in writing that DEQ take all necessary steps to issue a final decision or fact finding under the APA on whether or not a violation has occurred. For further information on the Process for Early Dispute Resolution, please see Agency Policy Statement No. 8-2005 posted on the Department’s website under “Programs,” “Enforcement,” and “Laws, Regulations, & Guidance” (http://www.deq.virginia.gov/Programs/Enforcement/Laws,Regulations,Guidance.aspx) or ask the DEQ contact listed below.
Please contact [Enforcement Staff Name] at [(xxx) xxx-xxxx] or [Contact.Name]@deq.virginia.gov within 10 days to discuss this matter and arrange a prompt meeting.
Sincerely,
[Name] RO Land Protection Program Manager
cc: [Name], RO Enforcement Specialist [Name], RO Solid Waste Compliance Inspector [Name], CO Solid Waste Compliance Coordinator ECM – [SWP or PBR #]Attachment 10: Documentation of Alleged Violations Subject to Pending or Executed Enforcement Orders MEMORANDUM Department of Environmental Quality Division of Land Protection & Revitalization Mail Address: Location: P.O. Box 1105 629 East Main Street Richmond, VA 23218 Richmond, VA 23219 SUBJECT: Documentation of Alleged Violations Subject to Pending or Executed Enforcement Orders TO: Regional Land Protection Managers FROM: Leslie Beckwith, Director of the Office of Financial Responsibility & Waste Programs DATE: June 21, 2017 COPIES: Regional Solid Waste Compliance Inspectors, Regional Enforcement Specialists, Priscilla Fisher, Kristen Sadtler The Solid Waste Compliance Program’s Risk Based Inspection Strategy (RBIS) establishes the baseline inspection frequency for permitted solid waste management facilities based on the operational status of the facility. Active and inactive facilities are routinely inspected on a quarterly basis, and closed facilities subject to Post-Closure Care are routinely inspected on an annual basis. The RBIS allows for inspection frequencies to be increased or decreased based on defined risk factors, including but not limited to, compliance history, environmental sensitivity, community concerns, and multi-media issues.
When an alleged violation is identified during a routine inspection, DEQ may address the issue in accordance with the Solid Waste Inspection Manual using informal or formal compliance and enforcement methods depending upon the severity of the alleged violation. This includes determining the risk of exposure to humans or other environmental receptors and the degree of adverse effect on statutory regulatory purposes or procedures for implementing the regulatory program. If compliance cannot be achieved following informal compliance methods OR if the severity of the alleged violation warrants it, a Notice of Violation (NOV) may be issued, which acts as a referral for enforcement action by the DEQ. Enforcement actions typically involve the execution of a Letter of Agreement (LOA) or Consent Order, but could also result in a hearing or other action.
Following the issuance of an NOV or an executed LOA or Consent Order, DEQ staff may conduct additional inspections of the facility (beyond the baseline inspection frequency) in order to: Observe potential or actual releases or risks to human health and/or the environment resulting from alleged non-compliance Observe whether alleged non-compliance is still ongoing or if corrective actions have been taken Obtain additional information that will inform the development of a pending order Determine compliance with specific provisions of an executed enforcement order, including assessing progress made towards items in the order’s Schedule of Compliance The regional Enforcement Specialist is responsible for monitoring the facility’s compliance with terms of an enforcement agreement or order unless other staff has been designated in writing. However, solid waste inspectors may assist with checking the facility’s progress towards a Schedule of Compliance.
Additional inspections (beyond the baseline) may be comprehensive or focused, and the frequency may vary from one additional inspection to daily inspections, depending upon site-specific conditions and risk factors. Inspectors should always consult the regional enforcement specialist to confirm that an inspection will not negatively impact negotiation of a pending enforcement order (such as when the draft order has already been presented to the RP for concurrence). It may be necessary to postpone an inspection unless site-specific risk factors (including environmental sensitivity or community concerns) outweigh the potential impacts to enforcement order negotiations. Regional Enforcement staff should consult with Central Office Enforcement staff for concurrence as appropriate.
The program recognizes that when a facility is inspected more than once per quarter due to ongoing alleged violations or risk to human health and the environment, it may be difficult to make distinct compliance determinations and issue the inspection report for each individual inspection before the next inspection occurs. For that reason, these guidelines establish the protocol for documenting additional inspections in a manner that is: appropriate for the conditions observed consistent and fairly implemented beneficial to any pending or executed time and resource-efficient enforcement action properly recorded in CEDS and ECM
Implementation Guidelines
The inspector should discuss observations and potential alleged violations with facility representatives during the exit interview OR immediately following the inspection via phone call or email if facility staff is not available for an exit interview. DEQ should always notify the facility of alleged violations and any non-compliance with an enforcement agreement or order, and all CEDS inspection reports should be shared with the facility. All efforts should be made to issue the inspection report to the facility within 30 days of the inspection. For complex cases or NOVs that require additional review and concurrence by other staff, the inspection report may be issued to the facility within 45 days of the inspection.
When a facility is inspected multiple times per quarter (especially if monthly, weekly, or daily), the program recognizes that the amount of time and resources needed to evaluate and document the inspections is compounded. If it is not feasible to issue a report for each individual inspection before the next subsequent inspection occurs, then multiple inspections may be addressed under one correspondence. For example, if a facility is inspected weekly for one month, then all four weekly inspection checklists may be attached to one cover letter. In order to avoid accumulating a backlog of unissued inspection reports, the inspector should issue an appropriate letter with attached inspection checklist(s) a minimum of once per quarter when multiple inspections are conducted within that quarter. Each CEDS inspection record’s event code should reflect which letter was issued.
The following protocols should be followed to address ongoing compliance issues following the issuance of an NOV or an executed LOA or Consent Order.
Scenario 1: Inspections are conducted while an enforcement agreement or order is being developed or negotiated to address alleged violation(s) cited in a previous NOV.
A. Same/Ongoing Alleged Violations If the same alleged violation (as identified in the previous NOV) continues to be observed during the inspection, AND there are NO NEW alleged violations, then the inspector should document the ongoing alleged violation in the CEDS inspection checklist, and immediately consult the regional LPM and Enforcement Specialist to determine the appropriate response, which may include issuing another NOV.However, if the Enforcement Specialist determines that issuing another NOV may negatively impact negotiation of the pending enforcement action, it may be more appropriate to issue the inspection report using the boilerplate letter provided as an attachment to this memorandum. In lieu of issuing another NOV, this letter notes that the alleged violation is still ongoing and references the previous NOV and pending enforcement action. The letter and attached inspection checklist(s) should be issued to the facility with a copy retained in ECM under the Waste Facility Compliance Inspections and Correspondence File Series and SW Compliance Inspection Report (CIR) Document Type with the keywords “Pending Enforcement.” The CEDS inspection event code “PENDENF” with description “Send Letter Referencing NOV and Pending Enforcement” should be used.
B. New Alleged Violations (Not Previously Addressed) If a NEW alleged violation (not addressed by the previous NOV) is observed during the inspection, the inspector should document the alleged violation in the CEDS inspection checklist and then immediately consult the regional LPM and Enforcement Specialist to determine the appropriate response. The response may include issuance of a DL, WL, or NOV as appropriate, depending upon the severity level of the new alleged violation and its impact on negotiating the pending enforcement order. If new/subsequent alleged violations are identified prior to execution of an LOA or Consent Order, the draft LOA or order and any civil charge may need to be modified to address those alleged violations as appropriate.
Scenario 2: Inspections are conducted following execution of an LOA or Consent Order.
A. Compliance If the facility is in compliance with the LOA or Consent Order’s Schedule of Compliance during an inspection, and no new alleged violations are observed, the inspector should document compliance in the inspection checklist, clearly indicating there were no new alleged violations. A No Deficiency Letter should be issued to the facility with attached inspection report. An LOA does not effectively resolve an alleged violation, so the Return-to-Compliance (RTC) date in CEDS for the original alleged violation will be left blank until all items in the LOA’s Schedule of Compliance are completed OR a Consent Order is executed to resolve the alleged violation. A Consent Order does, however, effectively resolve alleged violations by establishing an enforceable schedule that compels the facility to return to compliance in an expeditious manner. Therefore, the CEDS RTC date for alleged violations in a Consent Order is the effective date of the order. If a violation is actually resolved prior to finalizing an order (e.g. the issue is no longer ongoing but an Order and civil charge may be pending), then the RTC date is the earlier (actual) date the violation was resolved by the facility.
B. Non-Compliance with LOA or Consent Order If the facility is NOT in compliance with an LOA or Consent Order’s Schedule of Compliance during an inspection, the inspector should document the alleged violation in the CEDS inspection checklist and immediately consult the regional Land Protection Manager (LPM) AND Enforcement Specialist to determine the appropriate response. The response may include issuing another NOV and/or amending the current LOA or Consent Order as appropriate.
C. New Alleged Violations (Not Previously Addressed by LOA or Consent Order) If a NEW alleged violation (not captured by the current LOA or Consent Order) is observed during the inspection, the inspector should document the alleged violation in the inspection checklist and consult with the regional LPM and Enforcement Specialist prior to issuing a Deficiency Letter, Warning Letter, or NOV as appropriate, depending upon severity level of the new alleged violation.
Attachment 11: Pending Enforcement Letter Boilerplate
[AGENCY LETTERHEAD]
[Date]
[Facility Contact] [Title] [Facility Name] [Street Address] [City, State, Zip Code]
INSPECTION REPORT
Re: [Facility Name] – [Facility Location] [Solid Waste Permit (SWP) or Permit-by-Rule (PBR) #]
Dear [Facility Contact]:
On [Date], the Virginia Department of Environmental Quality’s [Regional office] staff conducted a compliance inspection of the solid waste management facility operating under [SWP or PBR #]. During this inspection, the facility was evaluated for compliance with the Virginia Waste Management Act, Va. Code § 10.1-1400 et seq. (“Act”), the Virginia Solid Waste Management Regulations, 9 VAC 20-81-10 et seq. (“Regulations”), [specify other regulations as applicable], and [SWP or PBR # and/or any applicable enforcement documents].
Alleged violations identified during the inspection will be addressed under a pending [Letter of Agreement/Consent Order] for similar alleged violations observed during a previous compliance inspection which resulted in a Notice of Violation dated [DATE]. A copy of the inspection checklist is enclosed. Pursuant to Va. Code § 10.1-1455 (G), this letter is not a case decision under the Virginia Administrative Process Act, Va. Code § 2.2-4000 et seq.
If you have any questions, please contact me at [(xxx) xxx-xxxx] or [Name]@deq.virginia.gov.
Sincerely,
[Name] RO Solid Waste Compliance Inspector
cc: [Name], RO Enforcement Specialist [Name], RO Land Protection Program Manager [Name], CO Solid Waste Compliance Coordinator ECM – [SWP or PBR #]Attachment 12: 24-hr/5-day Reporting Requirements VSWMR Permittee Reporting Requirements 9VAC20-81-530.C.3 The permittee shall report to the department any noncompliance or unusual condition that may endanger health or environment. Any information shall be provided orally within 24 hours from the time the permittee becomes aware of the circumstances. A written submission shall also be provided within five days of the time the permittee becomes aware of the circumstances. The written submission shall contain a description of the circumstances and its cause; the period of occurrence, including exact dates and times, and, if the circumstance has not been corrected, the anticipated time it is expected to continue. It shall also contain steps taken or planned to reduce, eliminate, and prevent reoccurrence of the circumstances resulting in an unusual condition or noncompliance.
Applicable Conditions The following list includes examples of noncompliant or unusual situations that may endanger human health or the environment, and would therefore require the permittee to notify DEQ within 24 hours and submit a written report within 5 working days. An email will suffice for either/both the 24-hr and 5-day notifications as long as the email contains the information required by the VSWMR. A separate 5-day email is needed only if the initial 24-hr email does not contain all information required for the written submittal. This list is not intended to be all-inclusive, but is provided as guidance for compliance inspectors in order to promote consistent application of the VSWMR requirements. The facility should report accordingly unless a variance has been approved regarding a site-specific allowance.
Pollution incidents that may endanger human health or the environment (such as fires, explosions, and leachate or waste releases to surface waters) may also require PREP or multi-media response.
Landfill Gas & Odor Damage to gas monitoring well that would impair function, prevent representative sampling, introduce surface water, leachate, or otherwise contaminate the well [9VAC20-81-200.B] Methane at or above LEL at compliance boundary or 25% LEL in structure [9VAC20-81-200.C.5] Compliance level exceedances detected during routine or non-routine maintenance activities [9VAC20-81-200.C.5] Planned or unplanned shutdowns of active gas control or remediation systems (including odor systems) lasting longer than 48 hours [9VAC20-81-200.C.5] Other noncompliance or unusual conditions that may endanger health or environment, such as when an active gas remediation system is damaged or not operating in a manner to maintain compliance [9VAC20-81-200.C.5] Odor complaint received from public (if notification required by odor management plan) [9VAC20-81- 200.D.1] Leachate Control Unauthorized discharge of leachate, washwater, or other pollutant to surface water (i.e., offsite, natural water body or tributary, including wetlands) [9VAC20-81-140.A.6; -340.A.1.g; -A.2.i; -B.4; -C.5; -D.5;
- E.5; -F.4] Leachate overflow, leachate in sediment basin, or failure of leachate collection system [9VAC20-81-140.A.14; -210; -340.A.1.g; -A.2.i; -B.4; -C.5; -D.5; -E.5; -F.4] Punctures or other failures of a leachate basin, tank, secondary containment, or piping system conveying leachate to a storage structure or sanitary sewer [9VAC20-81-140.A.14; -210; -530.C.3] Leachate Control Leachate seeps resulting in leachate outside the lined waste disposal area [9VAC20-81-210.F] Leachate head exceeding 30 cm (12 in) on bottom liner system (or alternate head/timeline in permit) [9VAC20-81-210.A.2] Temporary or emergency storage of leachate in landfill causing leachate head to exceed 30 cm (12 in) to facilitate repairs or prevent releases [9VAC20-81-210.A.2] Power (or other) failures at the pump station resulting in a spill [9VAC20-81-210] Authorized leachate disposal method is disrupted or halted [9VAC20-81-210] Releases from pump & haul trucks when within the facility boundary [9VAC20-81-210] Unauthorized Waste Control & Operations Unauthorized waste discovered at facility (e.g. regulated hazardous waste, PCB waste, RMW, friable asbestos or other inadequately characterized wastes) [9VAC20-81-100.E.5.e; -140.B.4; - 300.F.2] Exceedance of daily disposal limit, process rate, or permitted capacity [9VAC20-81-100.B; -130.A; - 300.B] Unable to apply daily cover at end of workday or intermediate or progressive cover at the frequency required by the permit [9VAC20-81-140.B.1; -C.1; -D.1] Unable to remove putrescible waste from tipping floor at end of workday [9VAC20-81-340.B.1; - D.1; -E.1; -F.1] Failure to obtain substitute equipment within 24 hours of landfill operational equipment becoming inoperable or unavailable [9VAC20-81-140.A.15] Any interruption to operations that requires diversion of waste to another solid waste management facility [9VAC20-81-140; -340; -530.C.3] Any interruption to operations that requires the operator to implement emergency or contingency plans [9VAC20-81-140; -340; -485; -530.C.3] Other Noncompliance or Unusual Conditions that May Endanger Human Health or Environment Any explosion or fire at a facility (including landfill surface or subsurface fires, subsurface reactions, equipment fires, tipping floor fires, etc.) [9VAC20-81-140.A.4; -340; -530.C.3] Slope failure associated with the waste fill, final cover, or supporting slopes & structures (including MSE berms) [9VAC20-81-140.B.1; -C.1; D.1; -170.A.1.a] Suspected damage to landfill liner or cap system, liner support berm, or leachate collection system [9VAC20-81-140.A.14] Reportable spills of any regulated substance at facility, such as those covered under a 40CFR112 SPCC Plan Groundwater extraction system or other corrective action remedy nonoperational [9VAC20-81- 140.A.14; -260.E] Other Noncompliance or Unusual Conditions that May Endanger Human Health or Environment Damage to groundwater monitoring well that would impair function, prevent representative sampling, introduce surface water, leachate, or otherwise contaminate the well [9VAC20-81-250.A.3.e] Attachment 13: Inspection Manual Revision Log Revision Number Date Description 1 May 2011 General revisions 2 October 2017 General revisions Remove superseded Landfill Gas Guidance and Flowchart Remove references to Areas of Concern (no longer using) Add solid waste complaint procedures consistent with PREP Manual Clarify compliance evaluations of the groundwater monitoring program Incorporate financial assurance procedures Add policies for maintaining CEDS, ECM, and Logi Add Risk Based Inspection Strategy (Attachment 1) Add Photo Documentation Template (Attachment 5) Update Boilerplate Letters (Attachments 6 through 9) Add Documentation of Alleged Violations Subject to Pending or Executed Enforcement Orders (Attachment 10) Add Pending Enforcement Letter Boilerplate (Attachment 11) Add Inspection Manual Revision Log (Attachment 12) 3 May 2018 Add 24-hr/5-day Reporting Requirements (new Attachment 12) 4 December 2018 Update inspection equipment and PPE considerations Add agency safety policies and accident reporting procedures Update recommendations for capturing inspection photos Clarify additional considerations in selecting non-compliance instruments (including NOVs) 5 September 2019 Update procedures for tracking and documenting solid waste complaints received for unpermitted sites and permitted facilities
Virginia Waste Tire Use in Septic DrainfieldsDoc ID: Virginia
VIRGINIA WASTE TIRE PROGRAM
STANDARDS FOR USE OF TIRE CHIPS IN A
RESIDENTIAL SEPTIC DRAINFIELD
No. 160 8/97
APPLICATION
Tire chips are approved by the Virginia Department of Health (VDH) and the Virginia Department of Environmental Quality (DEQ) for use as course aggregate in non-proprietary subsurface absorption fields and may be substituted for stone aggregate on a one-on-one basis volumetrically.
Trenches design, installation and location are to remain unchanged. Untreated building paper or a geotextile (synthetic) fabric cover shall be use to cover the tire chips before backfilling.
Each installation must have a valid VDH permit; must be authorized by the property owner and certified by VDH and the installation contractor using the 4 part VDH-DEQ Certification of Use of Tire Chips in a Residential Septic Drainfield.
Propriety systems and systems designed by a professional engineer are not automatically authorized for use of tire chips. Changes to the aggregate must be approved in writing by either the manufacturer or the professional engineer, prior to approval.
CHIP SPECIFICATIONS
Chips are to be a nominal 2 inches in size and may range from one-half (2) to a maximum of four (4) inches in any one dimension.
Exposed wire may protrude no more than one-half (2) inch from the chip.
At least 95% of the aggregate by weight shall comply with the above specifications.
Fines, defined as any material less than 2mm in size, are prohibited.
Note: For questions concerning the septic installation, contact the local VDH environment health specialist. For questions on tire chips and potential suppliers, please contact the Waste Tire Program at (804) 698-4210.
Tax Certification Guidance for Pollution Control EquipmentDoc ID: Tax
MEMORANDUM Department of Environmental Quality Waste Division SUBJECT: Guidance Memo No. 03-2003(Code of Virginia Chapter 859 of the 2003 Acts of the Assembly and Section 58.1-609.3 and 58.1-3660) Tax Certification for Pollution Control Materials and Equipment
TO: Waste Compliance/Permit Mangers, Solid Waste Permit Writers
FROM: Karen Jackson Sismour, Director of Waste Division
DATE: APPROVED 06/18/2003
COPIES: John Ely, Leslie Romanchik, Paul Farrell, Mike Dieter
The 2003 General Assembly amended legislation (HB 2726) for Tax Certification for Pollution Control Equipment and Materials. Prior to the amendment, the Code authorized DEQ to certify tax exemptions for pollution equipment and material that met two criteria: 1.) the equipment and material had to be required by regulation and permit and 2.) the material and equipment was used primarily to prevent or abate pollution. The amendment to the Code allowed mulching equipment and material to be considered for tax exemption. Since the Code amendment does not require DEQ certification for mulching equipment and because mulching equipment is not required by regulation to prevent or abate pollution, the Department can not certify mulching equipment or materials.
Attached to this memo is provided written guidance for the Solid Waste Permitting staff to review and process requests for Certification. In addition to the written guidance are a revision to the Permit Manual, example letters for approval and NOD’s, and a review checklist.
A draft of the guidance and letters were sent to the Regions and the OTA staff. The draft guidance generated 8 comment submittals with extensive comments. Thank you to the commenters. A review checklist was added to the guidance package after the draft was sent.
Formal submission instructions have not been developed for the guidance because the “certification” that DEQ provides is not considered to be a solid waste permit. The informal submission instructions are provided in the form of the revision to the Permit Manual that is included in this package.
VIRGINIA DEPARTMENT OF ENVIRONMENTAL QUALITY
WASTE DIVISION
OFFICE OF WASTE PERMTTING
PERMITTING GUIDANCE FOR CERTIFYING POLLUTION CONTROL
EQUIPMENT FOR EXEMPTION FROM STATE SALES TAX
The procedures set forth in this document are intended solely for the guidance of solid waste permit writers at the Department of Environmental Quality (Department). They are not intended to, nor do they constitute rulemaking by the Department. They may not be relied upon to create a right or benefit, substantive or procedural, enforceable at law or in equity, by any person. Whether and how the Department applies these procedures in any given case will depend on the facts of the case.
- Introduction
Solid Waste Disposal Facilities must install controls that comply with Virginia Solid Waste Management Regulations [Regulations]. The materials that are purchased for the construction or operation of the controls at these facilities are exempt from State Sales Tax as long as those materials are “certified” by the DEQ Waste Program. Any Company or Facility owner who purchases these materials must request [by letter] a certification from the Solid Waste Permtting Program. The certification is then prepared by DEQ and sent to the State Tax Department. The type of materials purchased must be used primarily for the purpose of abating or preventing pollution of the atmosphere or waters of the Commonwealth and must meet the requirements for abatement or control of water or atmospheric pollution or contamination as contained in the Regulations.
Legislation was passed and signed into Law in 2003 that amended the original Act for certification. The amendment to the Act allowed for wood mulching equipment to be included in the statutory definition of Certified Pollution Control Equipment and Facilities. However, mulching equipment and property is not required by the Regulations. Therefore, DEQ can not provide certification of equipment and material that is purchased which is not required by the Regulations to prevent or abate pollution. This guidance provides example letters to be prepared by the Department for certification. It also provides a response letter to requests for certification of mulching equipment.
- Authority
Chapter 859 of the 2003 Acts of the Assembly and Section 58.1-609.3 and 58.1-3660 of the Code of Virginia relates to certification of pollution control equipment and facilities classification. Italicized text indicates changes made to the Code of Virginia by Chapter 859 of the 2003 Acts of the Assembly.
Be it enacted by the General Assembly of Virginia:
- That §§ 58.1-609.3 and 58.1-3660 of the Code of Virginia are amended and reenacted as
2follows: § 58.1-609.3. Commercial and industrial exemptions.
The tax imposed by this chapter or pursuant to the authority granted in §§ 58.1-605 and 58.1-606 shall not apply to the following:
- (i) Certified pollution control equipment and facilities as defined in § 58.1-3660, except for any equipment that has not been certified to the Department of Taxation by a state certifying authority pursuant to such section and (ii) effective retroactive to July 1, 1994, and ending July 1, 2006, certified pollution control equipment and facilities as defined in § 58.1-3660 and which, in accordance with such section, have been certified by the Department of Mines, Minerals and Energy for coal, oil and gas production, including gas, natural gas, and coalbed methane gas.
- Definitions
The definitions in § 58.1-609.3 of the Code of Virginia apply to these Procedures.
Certified pollution control equipment and facilities.
A. Certified pollution control equipment and facilities, as defined herein, are hereby declared to be a separate class of property and shall constitute a classification for local taxation separate from other such classification of real or personal property and such property. The governing body of any county, city or town may, by ordinance, exempt or partially exempt such property from local taxation.
B. As used in this section: "Certified pollution control equipment and facilities" shall mean any property, including real or personal property, equipment, facilities, or devices, used primarily for the purpose of abating or preventing pollution of the atmosphere or waters of the Commonwealth and which the state certifying authority having jurisdiction with respect to such property has certified to the Department of Taxation as having been constructed, reconstructed, erected, or acquired in conformity with the state program or requirements for abatement or control of water or atmospheric pollution or contamination. Such property shall include, but is not limited to, any equipment used to grind, chip, or mulch trees, tree stumps, underbrush, and other vegetative cover for reuse as mulch, compost, or fuel, whether or not such property has been certified to the Department of Taxation by a state certifying authority.
State certifying authority shall mean the State Water Control Board, for water pollution; the State Air Pollution Control Board, for air pollution; the Department of Mines, Minerals and Energy, for coal, oil, and gas production, including gas, natural gas, and coalbed methane gas; and the Virginia Waste Management Board, for waste disposal facilities, and shall include any interstate agency authorized to act in place of a certifying authority of the Commonwealth.
- Requirements-Permit Manual
Section VI TAX CERTIFICATION
3A. REQUEST PROCESSING
- Permit Writers must receive the request and check to make sure that the property that certification is requested, has been constructed inspected and approved by DEQ. The property described in the request must be explained in enough detail that the permit writer can associate the property with a unit or cell at the facility that has been approved.
A request must contain a description of the materials and equipment that were purchased to construct a facility. The materials purchased must be those materials or equipment, which are listed in the Specifications in the Design Report or Closure Plan of the Permit, typically Module III, IV, V or XII.
- Some materials or equipment in the specifications of the permit may not qualify for certification because the materials or equipment are not used primarily for the purpose of abating or preventing pollution of the atmosphere or waters of the Commonwealth.
Example: A public water drinking fountain in the scale house may have a specification in the Design Report, but because a drinking fountain is not used to abate pollution, it does not qualify for certification. A list of the specific materials or equipment that are eligible to be certified is not provided because the number of potential items is extensive. Typical possibilities include, but are not limited to, liner components, leachate management materials, gas collection components and final cover components. If you are unsure whether the material or equipment that may be requested is eligible, contact the Regional Waste Compliance/Permit Manager. Any further questions can be directed to the Permit Coordinator.
- Labor associated with construction is not property and therefore cannot be certified.
Quantity of materials or equipment is not required to be included in the request and will not be listed in the DEQ approval. The applicant will address quantity of materials and tax credit directly with the State Tax Department.
- For any request associated with an existing permitted facility, the permit writer will either prepare an approval letter to the State Tax Department and by letter copy notify the Facility that DEQ has certified or send a NOD to the property owner that the Department has comments on the request. Sample approval letter, NODs and approval memorandum and review checklist are provided in this guidance.
- All tax certification requests must be associated with a current permit and completed facility construction activity that has received DEQ approval, i.e., CTO approvals.
4TAX EXEMPT CERTIFICATION CHECKLIST
Chapter 859 of the 2003 Acts of the Assembly and Section 58.1-609.3 and 58.1-3660 of the Code of Virginia relates to certification of pollution control equipment and material classification. This requirement is state statute only. There is no promulgated Regulation on this requirement.
PROJECT: _____________________________________________________________________________
REVIEWER: ___________________________________________________________________________
DATE: ________________________________________________________________________________
SITE NAME: ___________________________________________________________________________
APPLICANT:___________________________________________________________________________ Provided Complete Technically See Attached Location of Information
Adequate Comments
(Y/N)
(Y/N)
(Y/N) I Permit Number _________ __________ __________ __________ __________________________________________________
II Unit Designation __________ __________ __________ __________ __________________________________________________ Phase or Cell III DEQ Construction Approval __________ __________ __________ __________ __________________________________________________
IV Dates and/ or Units of Prior
Certifications __________ __________ __________ __________ __________________________________________________
V Material or Equipment List __________ __________ __________ __________ __________________________________________________
VI M/E Specs in Permit __________ __________ __________ __________ __________________________________________________
VII M/E Abate Or Prevent
Pollution __________ __________ __________ __________ __________________________________________________
VIII Labor Not Included __________ __________ __________ __________ __________________________________________________
CERTIFICATIION APPROVAL LETTER ALL COLOR AREAS NEED EDITING AS APPROPRIATE (Color letters are italicized) Month Day, 200X
Virginia Department of Taxation Taxpayer Assistance Section Post Office Box 1115 Richmond, Virginia 23218-1115 RE: Name Waste Management Facility, Permit #XXX
Name County, Virginia
Dear Sir or Madam: In accordance with Virginia Code Section 58.1-3660, the Department of Environmental Quality, on behalf of the Virginia Waste Management Board, certifies to the Department of Taxation that the enclosed information from Company or Owner, [Inc.], describes property that have been constructed, erected, or acquired in conformity with the state program or requirements for abatement or control of pollution or contamination. The submittal provides information regarding the construction of Cell 2, Cells 3A-S and 3B-S, and Cell B at the Name Waste Management Facility. The applicant should be able to provide proof of cost, installation location, or other documentation that the Department of Taxation might require in order to further determine eligibility for (or the amount of) the tax exemption being requested.
If we may be of further assistance, please do not hesitate to contact Permit Writer at
XXX-XXX-XXXX.
Sincerely, Name Land Protection Manager
Attachments [Request Letter from Company or Owner]
C: DEQ – Name Regional Office (letter only) DEQ – Permit Writer, Waste Permitting Facility Permittee
CERTIFICATIION APPROVAL MEMO ALL COLOR AREAS NEED EDITING AS APPROPRIATE (Color letters are italicized) Month Day, 200X
MEMORANDUM
TO:
Solid Waste Compliance/Permit Manager, Name Regional Office
FROM: Name, Environmental Engineer Senior, Regional Office
SUBJECT: Name County, Tax Certification Approval Tax exemption certification has been submitted for equipment and/or material cost associated with the installation of pollution control equipment and/or materials installed by Company, Inc., at the Name Waste Management Facility, Permit # 000, and is attached. The tax exemption has been requested for Cells 3A-N and 3B-N. The facility units for which certification have been requested have been inspected and have been approved for operation; therefore, the requirements of Virginia Code 58.1-3660 have been met.
The staff recommends that you approve this tax exemption certification and sign the attached letter.
CERTIFICATIION- NOTICE OF DEFICIENCY ALL COLOR AREAS NEED EDITING AS APPROPRIATE (Color letters are italicized) Month Day, 200X Mr. Representative Company or Owner, Inc.
Post Office Box XXXX City or Town, Virginia 2XXXX RE: Name Waste Management Facility, Permit #XXX
Name County, Virginia
Dear Mr./Ms. Representative: This is to advise that this Department has received your Tax Certification request dated Month Day, 200X. In accordance with Virginia Code Section 58.1-3660, the Department of Environmental Quality, on behalf of the State Water Control Board, State Air Pollution Control Board and Virginia Waste Management Board reviews requests for Certification. The type of materials purchased must be used primarily for the purpose of abating or preventing pollution of the atmosphere or waters of the Commonwealth and must meet the requirements contained in the Regulations and the Facility Permit.
This is to advise you that the Department has reviewed your request and has the following comments:
All property for which certification is requested must have been installed and constructed in accordance with a solid waste permit and must be approved by the Department. If you have any questions on this letter, please do not hesitate to contact me at XXX-XXX-XXXX.
Sincerely,
Permit Writer
C: DEQ – Name Regional Office DEQ – Permit Manger, Waste Permitting
CERTIFICATIION- NOTICE OF DEFICIENCY FOR MULCH ALL COLOR AREAS NEED EDITING AS APPROPRIATE (Color letters are italicized) Month Day, 200X Mr. Representative Company or Owner, Inc.
Post Office Box XXXX City or Town, Virginia 2XXXX RE: Name Mulch Facility
Name County, Virginia
Dear Mr./Ms. Representative: This is to advise that this Department has received your Tax Certification request dated Month Day, 200X. In accordance with Virginia Code Section 58.1-3660, the Department of Environmental Quality, on behalf of the State Water Control Board, State Air Pollution Control Board and Virginia Waste Management Board reviews requests for Certification. Your request provides information regarding the purchase of materials or equipment used to grind, chip, or mulch trees, tree stumps, underbrush, and other vegetative cover for reuse as mulch, compost, or fuel.
This is to advise you that this office is not able to provide certification for the equipment or materials you have described. The items, you describe, are not used primarily for the purpose of abating or preventing pollution of the atmosphere or waters of the Commonwealth and the DEQ Solid Waste Program does not have regulations that require this material or equipment to be constructed or installed.
A tax exemption related to property used for mulching or grinding of wood contained in Virginia Code Section 58.1-3660 and 58.1-609.3 is an issue that you will need to discuss directly with the Department of Taxation. If we you have any questions on this letter, please do not hesitate to contact me at XXX-XXX-XXXX.
Sincerely,
Permit Writer
C: DEQ – Name Regional Office DEQ – Permit Manger, Waste Permitting
Surface Water Impacts at LandfillsDoc ID: Surface
COMMONWEALTH OF VIRGINIA
DEPARTMENT OF ENVIRONMENTAL QUALITY SUBJECT: Waste Guidance Memorandum No. 01-2008
Water Guidance Memorandum No. 08-2002
Surface Water Impacts at Solid Waste Landfills
TO:
Regional Directors
FROM:
Ellen Gilinsky, Water Quality Division Director
Karen Jackson Sismour, Waste Division Director
COPY:
Rick Weeks
James Golden
Debra Miller
Regional Water Permit Managers
Regional Water Compliance Managers
Regional Waste Program Managers
DATE:
February 22, 2008
EXECUTIVE SUMMARY
The Department of Environmental Quality’s (“Department”) Waste and Water Programs both have the authority to resolve regulatory violations caused by unpermitted landfill-derived discharges to surface water or groundwater. This guidance defines the goals for addressing unpermitted discharges to surface water caused by releases from solid waste landfills. Most commonly, landfill-derived surface water impact mitigation will proceed as part of site wide groundwater corrective action under the oversight of the Department’s Waste Program. When such groundwater remedial actions would also require a Virginia Pollution Discharge Elimination System (VPDES) permit for a surface water discharge, the permit should be issued with conditions which satisfy the applicable requirements of both the Water and Waste Programs.
This guidance establishes that VPDES permits should not be issued to discharges of contaminated groundwater in cases where the discharge is not related to some form of active remediation/treatment, otherwise part of groundwater corrective action.
Electronic copy: An electronic copy of this document is available for staff internally on the DEQnet, and for the public on DEQ’s website at http://www.deq.virginia.gov/waterguidance/permits.html.
Contact Information: For questions regarding the application of the guidance, please contact Allan Brockenbrough, Office of Water Permit Programs, (804) 698-4147; abrockenbrough@deq.virginia.gov or Geoff Christe, Office of Solid Waste, (804) 698-4283; gxchriste@deq.virginia.gov.
Disclaimer: This document is provided as guidance and, as such, sets forth standard operating procedures for the agency. It does not mandate any particular method nor does it prohibit any particular method for the analysis of data, establishment of a Waste load allocation, or establishment of a permit limit. If alternative proposals are made, such proposals should be reviewed and accepted or denied based on their technical adequacy and compliance with appropriate laws and regulations.
Surface Water Impacts at Solid Waste Landfills
LIMITATIONS
This guidance applies to all solid waste landfill sites which have surface water impacts resulting from unpermitted discharges including landfills which are lined, unlined, active, closed, permitted, unpermitted, or those declared open dumps. This guidance does not apply to hazardous waste landfills or any other landfill otherwise exempt from groundwater monitoring requirements under 9 VAC 20-80-10 et. seq.
Surface water impacts recognized as a result of storm water management issues shall be addressed under existing Water Program policy and permitting guidance. This guidance does not cover cases where the surface water impact results from non-compliance with an existing, landfill-issued VPDES permit. Mitigation of the surface water impairment in such instances shall proceed as allowed under existing Water permitting guidance and policy. However, on a case-by-case basis permitting staff may choose to adopt permit conditions contained in this guidance to address impairments recognized at previously VPDES permitted landfills.
This guidance augments existing Water guidance 00-2010 which addresses how to handle unpermitted discharges. Undertaking any actions under this guidance to mitigate a surface water impact using the Solid Waste Management Regulations (9 VAC 20-80-10) shall not supersede, restrict or replace any of the Water Program’s permitting or compliance authorities.
This guidance uses the surface water definitions of “permanent”, “intermittent”, and “ephemeral” as used in Water Guidance 91-002. This guidance also uses the existing definitions of surface water related ‘compliance’ points for the purposes of dealing with impacted groundwater during the groundwater corrective action process.
The definition of “leachate” used in this guidance is consistent with that found in 40 CFR 257 & 258, EPA’s Glossary of Terms (1997), and 9 VAC 20-80-10.
The use of the term “discharge” to surface water as it appears in this Guidance is consistent with
9 VAC 25-31-10.
For internal purposes only, the definition of the term “free” in 9 VAC 25-260-20, is herein understood to mean constituent levels which are below the laboratory limit of detection (LOD).
The LOD represents the lowest concentration of a constituent which can be recognized by the analytical test as being present with 99% chance of certainty. Although LOD levels may be below that which can be assigned a numerical value, constituents detected are considered to be physically present in the sample with a 99% certainty. Because this definition does not take into account potential background concentrations otherwise naturally present in the surface water, interpretation of sampling results should not be used as the sole basis for any determination of non-compliance with regulatory requirements under 9 VAC 25-260-20.
This guidance does not define the process to follow in addressing potential non-compliance with any aspect of the Water and/or Waste Regulations, but instead defers to the procedures already established in the Department’s 1999 Enforcement Manual.
2Surface Water Impacts at Solid Waste Landfills
PURPOSE
This guidance satisfies Va. Code 10.1 – 1425.19, which requires intra-program coordination during multimedia inspections and with Va. Code 10.1 – 1402(9), which requires that the Waste Board coordinate with other government entities in order to achieve maximum effectiveness while imposing the least burden of duplicate regulatory requirements. Most importantly, this guidance clarifies the response of the Waste and Water Programs to landfill-related, unpermitted discharges and their impacts to surface waters.
A discussion of the authority upon which this guidance is based is presented in Appendix A. In general, this guidance is based on the requirements of both the Waste and Water Programs found under 9 VAC 20-80-10 et seq., 9 VAC 25-31-10 et seq., and 9 VAC 25-260-05 et seq. This guidance sets forth the following four policy goals regarding surface water:
- LIMIT CROSS-MEDIA CONTAMINANT TRANSFER Consistent with existing EPA Corrective Action guidance (EPA/530/R-01/015), Federal solid waste disposal facility criteria under 40 CFR 258.27 and preamble language to 40 CFR 257 (44 FR 53438 – 53468), cross media transfer of landfill-derived contaminants from groundwater to surface water should not take place unless such transfer is governed by a discharge permit. Any such permit issued should contain discharge limitations which satisfy applicable conditions of both the Water and Waste Programs.
- CONSISTENT USE OF GROUNDWATER PROTECTION STANDARDS Consistent with 9 VAC 20-80-10, leachate impacted groundwater is regulated as contaminated groundwater, and remediation of contaminated groundwater must achieve site-specific groundwater protection standards (GPS) established under 9 VAC 20-80-300 before Corrective Action can be considered complete under 9 VAC 20-80-310.
Surface water quality standards under 9 VAC 25-260-5 et seq., do not supersede or negate the requirement to meet the standards of groundwater remediation required under the Solid Waste Regulations.
- UTILIZE COORDINATION IN VPDES PERMIT CONDITION DEVELOPMENT VPDES permits should not be issued to a landfill owner/operator for a discharge of leachate-impacted groundwater unless the discharge is related to remediation/treatment of the impacted groundwater. If a VPDES permit is issued, it should contain those conditions required by the Water regulations, as well as those conditions which may be considered necessary by the Regional Waste Program Manager to address operational or post-closure provisions in the Virginia Solid Waste Management Regulations or which may be required as part of groundwater Corrective Action.
- UTILIZE THE SURFACE WATER GENERAL STANDARD No proposed groundwater Corrective Action Plan should include a remedy (or presumptive remedy) which would contribute to surface water conditions that would conflict with any provision found under the General Standard of 9 VAC 25-260-20 which requires all State waters be free from waste substances in concentrations or combinations which contravene established standards or which are inimical or harmful to human, animal, plant, or aquatic life, or which nourish undesirable or nuisance aquatic plant life. 3 Surface Water Impacts at Solid Waste Landfills MAKING THE CASE FOR SURFACE WATER IMPACT If possible, any suspected case of landfill-related surface water impact should be verified through one or more of the following methods:
- Photographic or video evidence of impact obtained during the site inspection (examples given in Appendix D).
- Analysis of surface water samples (acquired by either Department staff, or representatives of the Permittee) collected in a manner consistent with applicable U.S. Geological Survey, EPA, or other accepted environmental protocols.
- Results of a benthic macroinvertebrate survey, with results compared to a similar survey undertaken at an unimpacted reference section (preferably onsite).
ADDRESSING SURFACE WATER IMPACTS AT LANDFILLS Detailed examples of how to best address surface water impacts recognized at solid waste landfills are presented in Appendix B & C. In general, should evidence of surface water impact be observed during the field inspection, or brought to the attention of the Department in response to a complaint, the solid waste inspector should determine whether either of the two following scenarios applies to the site:
- Does the landfill already have a VPDES Permitted discharge which appears to be the cause of the impact? If so, then mitigation of the surface water impairment in such instances shall proceed as allowed under existing Water permitting guidance and policy, and the matter simply has to be referred from the Waste Program to the appropriate contact in the Water Program for action. The Water program shall keep the Waste Program informed of the measures (if any) required by the Permittee to address the noted impact.
- If no VPDES permit has been issued to the landfill, has the landfill exceeded any of its groundwater protection standards and/or is the landfill monitoring in the groundwater Corrective Action Program? If so, the impairment may be addressed in a manner consistent with the groundwater remediation plan under development or via amendment to the implemented remediation plan. If needed, the inspector may contact the Regional Groundwater Remediation Specialist to determine if site groundwater monitoring data suggests a contaminant plume is discharging to, or migrating to surface water.
If neither of these scenarios apply to the impact, the impact should be first addressed under the applicable authority of the VSWMR under the landfill operational (20-80-250.C; 260.C; 270.C) or closure (20-80-250.E; 260.E; 270.E) provisions. If the VSWMR does not provide the authority to completely mitigate a point source discharge, a VPDES permit may be issued to the discharge and its impacts. In such cases, the Permit shall not contain conditions which are in conflict with VSWMR (including groundwater protection standards) or limit the enforcement authority of the Waste Program to address violations of the VSWMR which may be causing or contributing to the surfacewater impairment. 4 Surface Water Impacts at Solid Waste Landfills
CONCLUSIONS
Provisions under VSWMR, the State Water Control Law, the Virginia Water Quality Standards, and the VPDES and VPA Regulations give the Department the authority to address landfill-derived surface water impacts. Staff should use whatever regulatory tools are available to address landfill-derived surface water impacts in a manner that is consistent with the following four guiding principles:
LIMIT CROSS-MEDIA CONTAMINANT TRANSFER
CONSISTENCY
IN
APPLICATION
OF
GROUNDWATER
PROTECTION
STANDARDS
COORDINATION IN VPDES PERMIT CONDITION DEVELOPMENT
CONSISTENCY IN APPLICATION OF THE SURFACE WATER GENERAL
STANDARD
REFERENCES
US EPA, 1997, Terms of Environment – Glossary, Abbreviations, and Acronyms. Office of Communications, Education, and Public Affairs. EPA/175/B-97/001.
US EPA, 2001, Handbook of Groundwater Protection and Clean-up Policies for RCRA Corrective Action. Office of Solid Waste and Emergency Response. EPA/530/R-01/015.
Virginia DEQ, 1991, Use of Water Quality Standards in the VPDES Permit Program. Office of Water Resource Management. Water Guidance memorandum 91-002.
Virginia DEQ, 1999, Enforcement Manual, 167p.
Virginia DEQ, 2000, Protocol for DEQ Action in the Event Unpermitted Discharges are Identified. Division of Water Program Coordination. Water Guidance memorandum 00-2010.
Virginia DEQ, 2000, Guidance on Preparing VPDES Permit Limits. Water Guidance memorandum 00-2011. 5 Surface Water Impacts at Solid Waste Landfills
APPENDIX A
HISTORICAL BACKGROUND
The Department administers and implements the Waste Management Act and State Water Control Law, each of which contains provisions regulating the discharge of leachate or other pollutants into state waters. The responsibility of addressing landfill-derived surface water impacts was ceded to the Department of Waste Management by the Water Control Board in 1988.
The 1988 Water Control Board guidance noted that: “The State Water Control Board will provide assistance as requested to the Department of Waste Management”,[and]“The Department of Waste Management will have exhausted all other possible remedies before deferring the matter to the Water Control Board for issuance of a Permit”.
Concerning unpermitted discharges, more recent guidance (Water Guidance 00-2010), established that: “Upon identification and documentation of an unpermitted discharge, the facility owner or operator must be formally notified. In cases where environmental harm has occurred or the discharge is a repeat violation, initial notification may be in the form of a Notice of Violation.”
“The notification should inform the facility owner or operator … that action needs to be taken to bring the facility into compliance”.
This guidance establishes that whenever possible, the mitigation of the surface water impacts at landfills should proceed under the landfill operational (20-80-250.C; 260.C; 270.C), closure (20-80-250.E; 260.E; 270.E), or corrective action (9 VAC 20-80-310) provisions of the VSWMR.
Even though mitigative actions for surface water impacts may proceed under the authority of the VSWMR, close coordination with the Water Program is required to remain consistent with provision/policies in existing Water Program guidance, ensure the development of robust enforcement cases, as well as ensuring full protection of human health and the environment.
AUTHORITY & RESPONSIBILITY
Title 62.1 – 44.5 of the State Water Law prohibits the discharge or other quality alterations of state waters except as authorized by Permit. Virginia’s Water and Solid Waste Management regulations also contain a number of restrictions regarding surface water quality which may be applicable at landfill sites including: 9 VAC 25-260-20, which requires all State waters be free from waste substances in concentrations or combinations which contravene established standards or which are inimical or harmful to human, animal, plant, or aquatic life, or which nourish undesirable or nuisance aquatic plant life; 9 VAC 25-260-140, which requires that in-stream water quality not be acutely or chronically toxic except as allowed in mixing zones; 9 VAC 25-31-50, which prohibits discharge into State Waters or the alteration of the physical, chemical or biological properties of State Waters making them detrimental to public health, animal, or aquatic life, unless in compliance with a VPDES Permit; and, 9 VAC 25-32-30, which prohibits the discharge into State Waters or the alteration of the physical, chemical or biological properties of State Waters making them detrimental to public health, animal or aquatic life, unless in compliance with a VPA Permit. 6 Surface Water Impacts at Solid Waste Landfills Surface water quality provisions for operating sanitary landfills may be found under 9 VAC 20-80-250.C which prohibits: solid waste from being deposited in, or being permitted to enter any surface water or groundwater (C.10); any violations of the Clean Water Act, VPDES permit, or Virginia Water Quality Standards (C.12.a); and non-point source discharges in violation of an area-wide or state-wide water quality management plan approved under section 208 or 319 of the Clean Water Act, or Virginia Water Quality Standards (C.12.b).
Surface water quality provisions for operating non-sanitary landfills may be found under 9 VAC 20-80-260.C.14 and 9 VAC 20-80-270.C.19 which prohibit the draining or discharge of leachate into surface waters except as authorized by a VPDES Permit.
Provisions for closed landfills may be found under 9 VAC 20-80-250.E.1.a; 9 VAC 20-80-260.E.1.a; and 9 VAC 20-80-270.E.1.a; each require a landfill to be closed in a manner that controls, minimizes, or eliminates, … the post-closure escape of uncontrolled leachate, surface runoff, or waste decomposition products to … surface water.
Provisions for unpermitted landfills may be found under 9 VAC 20-80-180.B.3 which prohibits an unpermitted landfill from causing a discharge into State Waters in violation of VPDES or VPA requirements.
CONSISTENCY WITH EPA
When issuing the Federal Solid Waste Disposal regulations, EPA noted that: “It is essential that solid waste activities not adversely affect the quality of the nation’s surface water” [44 FR 53443 (1979)]; [56 FR 51054 (1991)].
Concerning potential impacts from groundwater plumes, EPA noted that: “Non-point source pollution from solid waste disposal activities must not be in violation of legal requirements established to implement a water quality management plan under Section 208 (or section 319) of the Clean Water Act” [44 FR 53444 (1979)]; [56 FR 51054 (1991)].
When dealing with groundwater remediation at solid waste management sites, EPA noted that: “… (Subtitle D) rule allows an approved State to determine that remediation of a release of an appendix II constituent is not necessary in situations where the MSWLF is located over an aquifer that is not currently or reasonably expected to be a source of drinking water, and that is not interconnected with (surface) waters to which the hazardous constituents are migrating, or likely to migrate in a concentration(s) that would exceed the groundwater protection standards” [56 FR 50996 (1991)].
In other words, EPA did not rely on separate surface water quality criteria values as a remediation end point. Instead EPA set GPS as the benchmark regarding surface water impacts, and required groundwater to be remediated if it was known to be, or reasonably expected to be discharging 7 Surface Water Impacts at Solid Waste Landfills into surface water at levels which would otherwise exceed GPS levels. The language found in this Guidance is consistent with EPA’s position on solid waste related impacts to surface water.
RECOGNITION OF SURFACE WATER IMPACTS AT LANDFILLS
It in not the intent of this guidance to require solid waste inspectors to make definitive decisions regarding surface water impacts at landfills during site inspections. Rather, this guidance only establishes a responsibility on the part of the inspector for recognizing conditions which may indicate a surface water impairment on site. The following site conditions should be considered:
- Are surface water bodies present within or along the permitted solid waste facility boundary?
- Is the surface water feature permanent, intermittent or ephemeral in nature?
- Is there visual evidence of potential landfill-derived surface water impact such as: 1) evidence of blowing trash or excessive sedimentation from failure to manage stormwater runoff, 2) presence of abnormal or unusual growth of bacterial mats coating the channel bottom and sides [commonly orange, grey, or black in color; and bulbous, spongy, or filamentous in form], 3) dead aquatic life, or 4) odors or coloration which might suggest chemical discharge. 8 Surface Water Impacts at Solid Waste Landfills
APPENDIX B
MITIGATING NON-POINT SOURCE SURFACE WATER IMPACTS
Additionally, where landfill-derived surface water impacts are documented, the Waste Program shall ensure that the groundwater Corrective Action include a remedy (or Presumptive Remedy) which can be shown to have the ability to meet the requirements of both 9 VAC 20-80-310.B as well as the General Standard surface water provisions of 9 VAC 25-260-20.
Non-Point Source Impacts Landfills not in groundwater Corrective Action:
Where surface water impacts result from non-point source discharge related to non-compliance with operational or closure requirements of the VSWMR without the landfill being in groundwater corrective action; impact mitigation will proceed under the direction of the Regional Waste Program Manager via allowable solid waste enforcement mechanisms or an amendment to the existing solid waste permit. The Regional Biologist may be asked for assistance (macroinvertebrate survey) in cases where the allowable Waste Program enforcement mechanisms fail to adequately address the surface water impacts.
Non-Point Source Impacts Landfills already in groundwater Corrective Action:
For those landfills already in groundwater corrective action, per 9 VAC 20-80-310.B.2, a remediation plan that achieves the groundwater protection standards and is protective of human health and the environment (including surface water) will be required. In any case where landfill-derived surface water impacts are documented, groundwater Corrective Action must include a remedy (or Presumptive Remedy) which can be shown to have the ability to meet the requirements of both 9 VAC 20-80-310.B and 9 VAC 25-260-20, even in those cases where the impaired surface water body may already be impacted by other non-landfill sources. Allowing additional landfill-derived impacts to surface water may counteract mitigative actions required under the TMDL Program.
To measure the effectiveness of the remedy selected, a surface water monitoring component may be required (under the authority of 9 VAC 20-80-490 and 9 VAC 20-80-310.B.2) as part of corrective action and may include: sampling, macro-invertebrate monitoring and, water quality assessments performed in accordance with Virginia Stream Condition Index protocols. 9 Surface Water Impacts at Solid Waste Landfills
APPENDIX C
MITIGATING POINT SOURCE SURFACE WATER IMPACTS
Unpermitted Point Source Impacts Landfills not in groundwater Corrective Action:
In cases where the surface water impact results from an existing unpermitted point source discharge of underdrain, leachate collection, groundwater dewatering actions, or seep/spring collection systems at a landfill that shows no evidence of groundwater impact and is not in the Solid Waste Corrective Action Program, the Permittee may apply to permit the discharge through the VPDES Program. If a VPDES permit is issued, it should contain those conditions required by the Water regulations, as well as those conditions which may be considered necessary by the Regional Waste Program Manager to address operational or post-closure provisions in the Virginia Solid Waste Management Regulations.
Unpermitted Point Source Impacts Landfills already in groundwater Corrective Action:
In cases where the surface water impacts result from an existing unpermitted point source discharge, or a new proposed point source discharge related to underdrain, leachate collection, groundwater dewatering actions, or seep/spring collection at a landfill which is already in the Corrective Action Program, the Permittee may still apply to permit the discharge through the VPDES Program but any VPDES permit for a landfill facility within known groundwater impacts should be designed to include the Solid Waste Corrective Action Monitoring special condition described separately below.
Permitted Point Source Impacts Landfills not in groundwater Corrective Action:
This guidance does not cover cases where the surface water impact results from non-compliance with an existing, landfill-issued VPDES permit. Mitigation of the surface water impairment in such instances shall proceed as allowed under existing Water permitting guidance and policy.
However, on a case-by-case basis permitting staff may choose to adopt permit conditions contained in this guidance to address impairments recognized at previously VPDES permitted landfills. Mitigative action oversight from the Waste Program would only occur if the surface water impacts could be tied back to non-compliance with any of the operational or closure requirements of the VSWMR.
Permitted Point Source Impacts Landfills in groundwater Corrective Action [with active remediation systems]:
When, as part of the Solid Waste Corrective Action Program, the landfill owner/operator proposes to install a ground water remediation system which would include a new point source discharge, a VPDES permit will be required. If use of the remediation system could include instream impacts such as constructed wetlands, then a VWP permit may also be required. Any VPDES or VWP related activities should follow the individual requirements of those programs in addition to any remedial objectives of the facility’s Corrective Action Plan.
Two key considerations must be kept in mind regarding the issuance of VPDES permits in situations resulting from the extraction and treatment of contaminated groundwater. Because 10 Surface Water Impacts at Solid Waste Landfills both Water and Waste regulations may be applicable, the VPDES application and draft permit shall be forwarded to the Regional Waste Program Manager and Groundwater Program Coordinator for review and comment prior to permit issuance to ensure the permit does not contain conditions or allowances which would conflict or otherwise restrict the ability of the Waste Program to enforce the closure or corrective action provisions of the Waste Regulations.
These review coordination actions should be undertaken in a timeframe which does not otherwise negatively impact VPDES permit processing.
For the purposes of determining where the point source derived impacts to water quality standards (WQS) criteria apply, Water Program staff should follow the procedures established in Water Guidance Memorandum 00-2011. WQS apply to:
- all perennial streams and any intermittent streams originating outside (off of) the landfill Permittee’s property.
- the downstream property line for any ephemeral streams or intermittent streams that originate on the Permittee’s property. Please note, as discussed in Guidance Memorandum 00-2011, it is not the intent to suggest or recommend that owners may avoid the proper application of the WQS by purchasing the entire watershed of an intermittent stream.
VPDES permits issued under this guidance for the discharge of contaminated groundwater associated with landfills should include:
- Treatment of any contaminated groundwater prior to discharge
- Acute or chronic Whole Effluent Toxicity (WET) limits, depending on the discharge duration).
- Parameter-specific effluent limitations for any constituent for which monitoring results indicate a potential to exceed a Virginia water quality criterion (see GM00-2011)..
- In-stream macroinvertebrate monitoring and water quality assessments performed in accordance with the Virginia Stream Condition Index to document any impacts of the discharge/remediation system on the receiving stream (see example below).
- For facilities in Corrective Action, end-of-pipe monitoring necessary to prove attainment of groundwater clean-up standards consistent with completion of groundwater corrective action under 9 VAC 20-80-310 (see example below).
Example Special Condition and Fact Sheet Language:
- Qualitative Benthic Macroinvertebrate Study Special Condition
Annual benthic macroinvertebrate studies shall be performed on the receiving stream to assess impacts of the discharge and shall be conducted between mid-August and October.
The first benthic study shall be conducted within one year following the effective date of the permit during the designated months. The study protocol shall use A Stream Condition Index for Virginia Non-Coastal Streams, Tetra Tech, Inc., September, 2003.
The study protocol, including sampling locations, survey methods, data analysis, etc. shall be submitted to and approved by DEQ Water Division staff prior to initiation of testing. The benthic reports shall be due February 10th of each year with an additional copy supplied to the Regional Waste Program Manager. 11 Surface Water Impacts at Solid Waste Landfills
- Qualitative Benthic Macroinvertebrate Study Fact Sheet Language
Rationale: This condition requires annual benthic macroinvertebrate instream studies to determine if the corrective actions taken are protective of the instream benthic population. In accordance with 9 VAC 25-31-220.D.1.b, instream studies may be used to characterize the reasonable potential for the discharge to cause or contribute to an instream excursion above a narrative or numeric criteria within a Virginia water quality standard.
- Solid Waste Corrective Action Monitoring Special Condition
A] The Permittee shall monitor the discharge for the below-listed solid waste groundwater constituents found under Table 5.1 of 9 VAC 20-80-300.D. Monitoring of these constituents shall take place quarterly and shall be compared to the site-specific groundwater protection standards (Solid Waste remediation goals) developed under 9 VAC 20-80-300.B or C. These results shall be used as a means to evaluate the effectiveness of the remediation system implemented under 9 VAC 20-80-310.C.1 to achieve the groundwater protection standard, as well as to help in determining when the Permittee has achieved the remediation goals established under 9 VAC 20-80-310.C.
B] The monitoring of these solid waste constituents shall have no bearing on the determination of compliance or non-compliance with the effluent limitations expressed elsewhere in this Permit.
C] The monitoring results shall be submitted to the Regional Waste Program Manager at the following address ___________________ by April 10th, July10th, October 10th and January 10th of each year, with an additional copy issued to the Groundwater Program Coordinator in Richmond.
D] Solid Waste constituents which shall be monitored include the following as identified in Module XIV of the facility’s Solid Waste Permit:
Constituent Name [__] – Ground water Protection Standard set as xx ppb Constituent Name [__] – Ground water Protection Standard set as xx ppb Constituent Name [__] – Ground water Protection Standard set as xx ppb
- Solid Waste Corrective Action Monitoring Fact Sheet Language
Rationale: This condition requires quarterly monitoring for landfill-derived constituents identified in the facility’s Corrective Action Plan as ones which exceed site specific groundwater protection standards. Consistent with the requirements of 9 VAC 20-80-310.B.2 and C.5.b, the Permittee must sample for the included constituents as a means of measuring the success of the implemented groundwater remedy as well as to determine when sampling actions under Corrective Action may terminate. 12 Surface Water Impacts at Solid Waste Landfills
APPENDIX D
Two examples of impact from groundwater plumes discharging into the base of streams with bedrock channel bottoms.
13Surface Water Impacts at Solid Waste Landfills
Two examples of impact from groundwater plumes discharging into the base of streams with channel bottoms of unconsolidated sediment.
14Surface Water Impacts at Solid Waste Landfills
Impact from groundwater plume discharging at a spring head.
Impact from leachate impacted surface water diverted beneath an unlined waste mass and issuing from a pipe outlet.
15
Hazardous Waste Inspector GuidanceDoc ID: 6409
HAZARDOUS WASTE
INSPECTOR HANDBOOK
September, 2017 HAZARDOUS WASTE INSPECTOR HANDBOOK
Acronyms
APA - Administrative Process Act BR - Biennial Report CEDS - Comprehensive Environmental Data System CEI - Compliance Evaluation Inspection CESQG - Conditionally exempt small quantity generator CFR – Code of Federal Regulations CMS - Compliance Monitoring Strategy CO - Central Office (DEQ) COV - Code of Virginia DEQ - Department of Environmental Quality DEQnet - DEQ Intranet website DSW - Definition of Solid Waste ECM – Enterprise Content Management EPA - Environmental Protection Agency FCI - Focused Compliance Inspection FF - Federal Facilities FOIA - Freedom of Information Act HSM - Hazardous Secondary Material HSWA - Hazardous and Solid Waste Amendments of 1984 HW - Hazardous Waste HWCC - Hazardous Waste Compliance Coordinator (CO) LDF - Land Disposal Facility LPM - Land Protection Manager (DEQ Regional Offices) LQG - Large Quantity Generator LQH - Large Quantity Handler (UW) NOV - Notice of (Alleged) Violation OFRWP - Office of Financial Responsibility and Waste Programs (DEQ) OSHA - Occupational Safety & Health Administration PPG - Performance Partnership Grant RCRA - Resource Conservation and Recovery Act RCRAInfo - RCRA Information data system RO - Regional Office RP - Responsible Party SDR - Site Detail Report SNC - Significant Non-Complier SQG - Small Quantity Generator SQH - Small Quantity Handler SRF - State Review Framework SV - Secondary Violator SW - Solid Waste TSD(F) - Treatment, Storage and/or Disposal (Facility) UO - Used Oil USC - United States Code UW - Universal Waste VAC - Virginia Administrative Code
Page 2HAZARDOUS WASTE INSPECTOR HANDBOOK
VDQ -
Virginia Department of Environmental Quality VHWMR -Virginia Hazardous Waste Management Regulations
WL -
Warning Letter Page 3 HAZARDOUS WASTE INSPECTOR HANDBOOK Hazardous Waste Inspector Handbook – Table of Contents Acronym List________________________________________________________________________2 Table of Contents_____________________________________________________________________4 Chapter 1 – Introduction_______________________________________________________________9 A. General__________________________________________________________________________9 B. Purpose of the Handbook___________________________________________________________10 Chapter 2 – Inspection Workload Development__________________________________________11 A. General_________________________________________________________________________11 B. Grant Commitments_______________________________________________________________11 C. Initiatives________________________________________________________________________12 D. Assignment of Inspection Numbers to Regions__________________________________________12 E. Changes to Grant Commitments During the Year________________________________________13 F. Inspection Referrals From Other Programs or Agencies___________________________________13 G. Other Evaluation Types_____________________________________________________________13 Chapter 3 - Minimum Training Standards for Inspectors___________________________________15 A. General________________________________________________________________________15 B. Inspector Training Requirements_____________________________________________________15 C. Database/Drive Access_____________________________________________________________20 D. Additional Inspector Considerations__________________________________________________21 E. Training Checklist for New Inspectors_________________________________________________21 Chapter 4 – Evaluation Types_________________________________________________________24 A. Compliance Monitoring & Enforcement Types__________________________________________24 B. Focused Compliance Inspection Focus Areas___________________________________________28 C. Performing a CEI Vs. an FCI_________________________________________________________29 Chapter 5 - Inspection Types__________________________________________________________31 A. General________________________________________________________________________31 B. Compliance Evaluation Inspections___________________________________________________32 1) CEI – Conditionally Exempt Small Quantity Generators________________________________33 2) CEI - Small Quantity Generators___________________________________________________34 3) CEI - Large Quantity Generators___________________________________________________35 4) Comparison of Generator Requirements____________________________________________35 a) Identification and Counting of Waste________________________________________36 b) EPA Identification Number________________________________________________37 c) Accumulation and Storage Requirements____________________________________37 d) Satellite Accumulation Area Management___________________________________37 e) <90 Day/180 Day Accumulation____________________________________________38 f) Pre-Transport Requirements_______________________________________________38 g) Land Disposal Restrictions_________________________________________________38 Page 4 HAZARDOUS WASTE INSPECTOR HANDBOOK h) Shipment Tracking_______________________________________________________39 i) Emergency Plan_________________________________________________________39 j) Personnel Training_______________________________________________________39 k) Recordkeeping and Reporting_____________________________________________40 l) Waste Minimization/Pollution Prevention___________________________________40 5) CEI - Permitted/Interim Status TSD Facilities________________________________________40 6) CEI – Hazardous Waste Transporter Inspections______________________________________42 7) CEI - Other RCRA Handlers_______________________________________________________43 a) Used Oil Handlers_______________________________________________________43 b) Universal Waste Handlers_________________________________________________43 c) Excluded Solvent-Contaminated Wipes______________________________________44 d) Non-Notifier Facilities____________________________________________________44 e) HSM Notifiers__________________________________________________________44 C. Compliance Assistance Visits________________________________________________________45 Chapter 6 - Preparing for the Inspection________________________________________________46 A. General_________________________________________________________________________46 B. Coordination with Other Programs and Other Agencies___________________________________46 C. Preparation______________________________________________________________________47 1) General______________________________________________________________________47 2) Pre-Inspection File Review_______________________________________________________48 a) ECM__________________________________________________________________48 b) CEDS__________________________________________________________________49 c) RCRAInfo______________________________________________________________49 3) Pre-Inspection Regulatory Review_________________________________________________50 4) Facility-Specific Inspection Plans__________________________________________________50 5) Announced vs. Unannounced____________________________________________________51 6) Safety Considerations___________________________________________________________52 7) Physical Preparation____________________________________________________________54 a) Inspection Equipment____________________________________________________54 b) Logistics_______________________________________________________________55 8) Pre-Inspection Checklist_________________________________________________________55 Chapter 7 - Conducting the Inspection___________________________________________________57 A. Legislative Authorities for Conducting Inspections______________________________________57 B. Safety Equipment _________________________________________________________________58 C. Arrival & Facility Entry _____________________________________________________________58 1) Guest Registers and Waivers (refer to DEQ Guidance dated 2/18/92 and 9/6/01)________59 2) Safety Briefing_____________________________________________________________59 3) Consent__________________________________________________________________59 4) Access Denial______________________________________________________________60 5) Access By Warrant__________________________________________________________61 6) Dealing With Threats________________________________________________________62 Page 5 HAZARDOUS WASTE INSPECTOR HANDBOOK 7) Apparent Violations or Situations Requiring Immediate Action_______________________62 D. General Inspection Procedures_______________________________________________________63 1) Opening interview__________________________________________________________63 2) Physical Site Inspection______________________________________________________65 3) Records Review____________________________________________________________68 E. Specific Inspection Procedures_______________________________________________________70 1) Small Quantity Generator Inspections__________________________________________70 2) Large Quantity Generator Inspections__________________________________________71 3) Conditionally Exempt Small Quantity Generator Inspections________________________71 F. Documentation of inspection ______________________________________________________72 1) Field notes_______________________________________________________________72 2) Photographs______________________________________________________________72 a) General___________________________________________________________72 b) Recommended Photography Procedures_________________________________74 c) Photographic Inclusion in Inspection Reports_____________________________74 3) Copies of Records_________________________________________________________74 G. Exit Interview___________________________________________________________________75 H. Conducting Compliance Assistance Visits_______________________________________________76 Chapter 8 - Inspection Checklists______________________________________________________79 A. Hazardous Waste Survey Sheet______________________________________________________79 B. Checklists________________________________________________________________________83 1) Generator Category Checklists________________________________________________85 2) Permitted TSD Facilities______________________________________________________85 3) Facilities with Multiple Handler Types__________________________________________86 4) Other Handler and Unit/Waste Checklists_______________________________________86 5) Inspector Comments on Checklists_____________________________________________86 Chapter 9 – Post-Inspection Procedures_________________________________________________88 A. Post-Inspection Supervisory/Enforcement Concurrence___________________________________88 B. Written Follow-Up To An Inspection__________________________________________________88 1) Request for Information_____________________________________________________88 2) Inspection Letter/Inspection Report____________________________________________89 a) Deactivation Memo/Deactivation Letter______________________________90 b) No Violations Letter______________________________________________90 c) Informal Correction Letter_________________________________________90 d) Formal Correction Letter__________________________________________91
I.
Warning Letter_______________________________________________92
II.
Notice of Alleged Violation______________________________________93 e) Signature_________________________________________________________97 C. Violations_______________________________________________________________________97 1) Violation Classification______________________________________________________97 a) Significant Non-compliers (SNC)_____________________________________98 Page 6 HAZARDOUS WASTE INSPECTOR HANDBOOK b) Secondary Violations (SV)_________________________________________100 c) SNC and SV Examples_____________________________________________100 2) Possible RCRA Violation Citations____________________________________________103 D. Inspection Report________________________________________________________________108 1) General Report Writing Tips_________________________________________________108 2) Attachments______________________________________________________________108 3) On-line Checklists__________________________________________________________109 4) Photograph Inclusion______________________________________________________109 E. Peer Review_____________________________________________________________________109 F. Finalizing and Issuing the Inspection Report___________________________________________110 G. Copies_________________________________________________________________________111 H. Enforcement Referrals____________________________________________________________111
I.
Timeline_______________________________________________________________________112
Chapter 10 - Inspection Follow-Up____________________________________________________115 A. Hazardous Waste Tracking Workbook________________________________________________115 1) Tracking Tabs_____________________________________________________________116 2) Inspector Tabs____________________________________________________________117 B. Entering Files into ECM (refer to guidance in Appendix 5)________________________________119 C. RCRAInfo form___________________________________________________________________119 D. Inspection Report Response________________________________________________________119 E. Return to Compliance_____________________________________________________________120 F. Inspection/Inspector Assessments/Audits_____________________________________________121 G. State Review Framework__________________________________________________________122 Chapter 11 – RCRAInfo_____________________________________________________________124 A. Commonly Used Terms____________________________________________________________124 B. Instructions on Completing Handler Evaluation Log_____________________________________126 C. RCRAInfo Codes for Actions________________________________________________________133 Chapter 12 – Other Inspector Duties___________________________________________________138 A. Issuance of Provisional EPA Identification Numbers_____________________________________138 B. FOIA Requests___________________________________________________________________142 C. Public Education and Outreach_____________________________________________________143 D. Performing Site Investigations______________________________________________________143 E. Responding to Routine Compliance Inquiries and Regulatory Interpretation__________________143 Form 1 – Provisional ID Form_______________________________________________________145 Form 2 – Hazardous Waste Generator Status for Annual Fee______________________________148 Sample E-mail for Provisional ID Issuance_____________________________________________153 Page 7 HAZARDOUS WASTE INSPECTOR HANDBOOK The following Appendices and Bibliography can be found in the Appendices Attachment: Appendix 1 – Checklists Appendix 2 – Inspection Letter Models Appendix 3 – Links to EPA Guidance Appendix 4 – DEQ Access Forms Appendix 5 – Using ECM Appendix 6 – Applicable DEQ and EPA Policies, Memos and Procedures Appendix 7 - Resources and Tools for Inspectors_ Appendix 8 – Using CEDS Bibliography Page 8
HAZARDOUS WASTE INSPECTOR HANDBOOK CHAPTER 1 - INTRODUCTION Note: This Hazardous Waste Inspector Handbook should be considered a companion document to existing Virginia and Federal regulations and guidance.
A. General The mission of the Virginia Department of Environmental Quality (DEQ; Department) is to protect and enhance Virginia's environment, and to promote the health and well-being of the citizens of the Commonwealth. As part of this mission, through delegated authority from the United States Environmental Protection Agency (EPA) pursuant to the Resource Conservation and Recovery Act (RCRA) of 1976, Section 3006 (42 U.S.C. 6926), the DEQ administers the RCRA hazardous waste compliance monitoring and enforcement programs.
RCRA is the primary statute governing the regulation of solid and hazardous waste at the federal level - the hazardous waste requirements are found in Subtitle C of RCRA. The RCRA Subtitle C requirements applicable to Virginia have been adopted and incorporated into the Virginia Hazardous Waste Management Regulations (VHWMR). The VHWMR must: be equivalent to the federal RCRA Subtitle C program; be consistent with, and no less stringent than, the federal program and other authorized state programs; and provide adequate enforcement of compliance with Subtitle C requirements.
The RCRA compliance monitoring program is designed to attain and maintain a high level of compliance throughout the regulated community with statutory requirements, and applicable RCRA regulations, permits, orders, and settlement agreements. This is achieved through a comprehensive monitoring and inspection program, and addressing the most serious violators with timely, effective and appropriate enforcement action.
Implementation of RCRA compliance monitoring activities is a collaborative effort between EPA Regions and authorized states. States determine facility compliance, and have primary responsibility for ensuring adequate inspection coverage of the regulated universe for its general deterrent effect.
In general, the relationship between EPA and DEQ is a Performance Partnership. Where a facility is subject to joint federal/state authority, inspections may be conducted by both federal EPA and DEQ inspectors, jointly or separately. Additionally, EPA will have certain sectors of the regulated community that they are interested in during any given year. As a result, EPA may conduct additional inspections within the state to support these sector initiatives each year.
The RCRA Subtitle C program encompasses compliance monitoring for a variety of hazardous waste operations, including:
- Treatment, Storage, and Disposal Facilities;
- Generators -- Large Quantity Generators (LQGs), Small Quantity Generators (SQGs), and Conditionally-Exempt Small Quantity Generators (CESQGs);
- Transporters; and
- Other RCRA Handlers.
Page 9 HAZARDOUS WASTE INSPECTOR HANDBOOK DEQ continually strives to ensure that administration of the hazardous waste program incorporates the Department’s values of commitment, collaboration, consistency, customer service, communication, certainty, and closure, in every aspect. This Hazardous Waste Inspector Handbook has been developed to ensure that hazardous waste inspectors are properly prepared to execute their duties and to most efficiently act as public servants of the Commonwealth of Virginia.
This inspector’s handbook assumes that a hazardous waste inspector has a basic understanding of the RCRA program, the Virginia Hazardous Waste Management Regulations, the definitions of solid waste and hazardous waste, exemptions & exclusions from these definitions, basic generator requirements for each level of generator, and which types of facilities need permits. Some of these concepts will be described within this handbook. However, a new hazardous waste inspector must complete the requisite training listed in Chapter 3, Minimum Training Standards for Inspectors, prior to undertaking any hazardous waste inspections. Inspectors must also be familiar with the operations and practices of the facility to be inspected.
B. Purpose of the Handbook The purpose of this Inspector Handbook is to establish inspection procedures for DEQ Hazardous Waste Inspectors, and to also: Provide a detailed overview of the elements of Compliance Evaluation Inspections (CEI); Describe the scope of inspector authorities and responsibilities; Provide detailed standard procedures for conducting RCRA inspections; Provide general inspection information that is comprehensive in scope and complements more detailed guidance on inspecting particular types of hazardous waste facilities; To provide a basis for general training of new hazardous waste inspection personnel; and To make essential regulatory information readily accessible to inspectors.
A key objective of all RCRA Subtitle C compliance monitoring should be to determine whether facilities:
- Have identified all of their regulated waste streams;
- Have properly characterized each hazardous waste stream; and
- Are properly managing each hazardous waste stream.
All hazardous waste inspections consist of the following elements, which will be described in detail in the chapters of this handbook:
Setting Up the Inspection
Pre-Inspection File Review
Gearing Up for the Inspection
On-site Activities
Inspection Report Write-Up
Inspection Follow-Up Page 10
HAZARDOUS WASTE INSPECTOR HANDBOOK CHAPTER 2 – INSPECTION WORKLOAD DEVELOPMENT A. General Virginia is authorized by EPA to administer the RCRA Subtitle C Compliance Program on behalf of EPA in Virginia. In order to fulfill the requirements of this authorization, DEQ must comply with EPA’s inspection strategies. These strategies are found in EPA’s Compliance Monitoring Strategy (CMS) [2015] document: https://www.epa.gov/sites/production/files/2013-11/documents/rcracms.pdf.
The CMS is intended: To promote understanding of, and compliance with, minimum program requirements; To clarify the respective roles and responsibilities of EPA Regions and states; To promote National consistency in program implementation while allowing appropriate flexibility to improve health and environmental outcomes; and To begin to shift the perspective of the national program from solely counting outputs (e.g., inspections) to encompass identifying environmental outcomes (e.g., increasing the degree to which hazardous waste is properly handled as a result of inspections).
Inspections will be conducted at the frequency specified in the CMS. Each DEQ HW inspector and Regional Land Protection Manager is encouraged to review and become familiar with the CMS document.
B. Grant Commitments As explained fully in the sections hereafter, EPA requires a certain inspection frequency for different types of facilities. EPA’s Office of Enforcement and Compliance Assurance (OECA) through the CMS and the National Program Manager’s Guidance (NPMG) contain expectations for TSDFs and other types of facilities. In summary: The RCRA statute mandates minimum inspection frequencies for TSDFs: annually for government-owned or operated TSDFs, and biennially for non-government TSDFs. OECA has established corresponding commitments. TSDFs that are no longer operating but still have compliance requirements must be inspected every three years. OECA has set annual inspection expectations for LQGs: at least 20 percent of the universe must be inspected each year. However, states may elect to inspect SQG, CESQG, Transporters, Non-Notifiers, and/or Other RCRA Handler facilities, in lieu of inspecting 20 percent of their LQG universe, under OECA’s policy for State Alternative Plans (or “State Flexibility Plans”).
Prior to the beginning of each fiscal year, DEQ will establish, with the assistance of EPA Region 3, DEQ’s HW compliance goals for the upcoming fiscal year. Based on those goals, and based on the universe of regulated facilities in Virginia, a proposed DEQ HW Compliance Work Plan will be prepared to submit to EPA for approval. This Work Plan takes into account the required frequency of inspections noted above, and any inspection initiatives agreed to by the state and EPA, as well as the notifier universe for Virginia.
Page 11 HAZARDOUS WASTE INSPECTOR HANDBOOK This Work Plan includes total numbers of specific types of facilities that must be inspected that fiscal year in each category, such as LQG, SQG, TSD, LDF, etc.
C. Initiatives According to the CMS, in addition to inspecting facilities at the required frequencies specified earlier, EPA Regions and States should also focus compliance monitoring efforts on facilities that pose the greatest risk to human health or the environment. As a result, annual Initiatives are established by EPA and DEQ in order to target certain types of facilities perceived to pose a high risk. These initiatives might include: OECA National Priorities; Never-inspected LQGs; Non-notifiers believed to generate hazardous waste in quantities that would require notification; Persons that generate, treat, store, or dispose of significant quantities of hazardous waste, particularly those in proximity to population centers, areas with environmental justice concerns, or environmentally sensitive areas; Repeat violators; Facilities with complex operations or processes that increase the likelihood of missing waste streams or making improper exemption determinations; Facilities that are the subject of citizen complaints.
EPA will inform DEQ of any national initiatives during the Work Plan negotiations for the upcoming year.
DEQ will evaluate which initiatives would work best in Virginia, and propose to incorporate them into the Work Plan. Past initiatives have included the retail sector, hospitals, and plating shops.
D. Assignment of Inspection Numbers to Regions Once EPA approves the proposed DEQ HW Compliance Work Plan, the Hazardous Waste Compliance Coordinator (HWCC) will break down the overall state inspection commitment numbers into DEQ regional commitment numbers. In these regional commitments, specific TSDs, LDFs, Federal Facilities (FF), and LQGs for each region will be specified by name based on which facilities are due to be inspected in any given year. The numbers of these types of inspections are not negotiable since they are based on the time since the previous inspection, and the number requiring inspection in each region in any given year will vary.
SQGs and CESQGs will have a total target amount for each region to complete. This number is determined based on the total number of HW inspectors in each region [BRRO (2), NRO (1), PRO (1), SWRO (1), TRO (1.5), VRO (1)], and the number of TSD, LDF, FF and LQG facility inspections required in that region based on the CMS frequency requirements. There is no set formula for this numerical breakdown for the regions. However, an informal calculation is made where each TSD, LDF, FF and LQG count as one point, each SQG/CESQG counts as ½. The relative experience of the inspectors in each region is also taken into account, as is whether or not a region is performing an initiative.
Page 12 HAZARDOUS WASTE INSPECTOR HANDBOOK Each regional DEQ office is responsible to meet the inspection commitment for that region; however, results will be reported as state-wide total inspections in each category to EPA at the end of each fiscal year. The inspection period for each fiscal year is October 1 through September 30 of the following year.
E. Changes to Grant Commitments During the Year Because DEQ proposes an exact number of LQGs to be inspected based on those that are due that fiscal year, the number of LQGs is set for that year. Those LQGs to be inspected are provided by name to the DEQ regional offices by Central Office – those are the facilities that are required to be inspected that fiscal year. Any deviation from the listed LQG facilities specified at the beginning of the year must be approved by the Regional LPM with the concurrence of CO. If for some reason a listed LQG inspection cannot be performed, a replacement facility may be selected from the list of those due for inspection by the next fiscal year, or from the list of facilities that have newly notified or newly become LQGs, or from those facilities determined during PReP or other investigations to be possible LQGs.
It is possible for DEQ Regional Offices to “trade” inspections, or for the inspectors from one region to perform inspections on behalf of another region should the need arise. These types of activities can be pursued if needed, but only with advance notice and concurrence of the regional LPM managers and CO program staff.
F. Inspection Referrals From Other Programs or Agencies Additional inspections beyond the regional grant numbers in any generator category may always be completed by DEQ HW inspectors based on activities taking place in any region. Despite the breakdown of regional numbers, DEQ staff members work as a team. Extra inspections in one region might help another region that loses an inspector or cannot accomplish its inspections for some other reason.
These additional inspections or site investigations might be referred to an inspector in the form of a referral from DEQ’s Pollution Response and Preparedness (PReP) program as a complaint or indication that a company may not be in full compliance. Referrals also may come from EPA or its complaint programs, other DEQ media programs, and other agencies, such as state OSHA or local fire marshals and storm water programs. Extra inspections are encouraged since DEQ reports accomplishments to EPA as total numbers in each category.
Because the quantity of these types of inspections in any given year cannot be determined in advance, this number cannot be included in the fiscal year Compliance Work Plan that is pre-negotiated.
However, if these inspections turn out to be SQG or CESQG facilities, they can count toward the region’s SQG/CESQG total number for the year if an actual hazardous waste compliance evaluation inspection is performed during the investigation or thereafter. If a referred inspection is an LQG, it can only count toward the grant commitment as an extra LQG which is helpful if any region cannot complete its LQG requirement, or it can replace an LQG on the list if it is determined after Work Plan negotiation that the LQG on the list cannot be inspected or does not need an inspection.
G. Other Evaluation Types DEQ inspectors can sometimes be called upon to perform other types of hazardous waste evaluations not included in the Compliance Work Plan, but that are necessary to further the mission of the DEQ.
Page 13 HAZARDOUS WASTE INSPECTOR HANDBOOK These evaluations could include: reviewing submissions of data on behalf of enforcement staff in order to return a facility to compliance; inspecting a facility that has voluntarily self-disclosed violations; performing a focused inspection at the request of the facility to help to determine the regulatory status of a new waste stream; and many other possible scenarios. While these activities don’t “count”, they should be logged into RCRAInfo and reported to EPA at the end of the year.
Page 14
HAZARDOUS WASTE INSPECTOR HANDBOOK
CHAPTER 3 – MINIMUM TRAINING STANDARDS FOR INSPECTORS
A. General DEQ Hazardous Waste Inspectors are skilled professionals who represent DEQ and the Commonwealth of Virginia when dealing with industry and the public. As a result, inspection personnel are expected to perform their duties in a professional and responsible manner, incorporating DEQ’s Seven Values (the Seven Cs) where applicable: Commitment, Collaboration, Consistency, Customer Service, Communication, Certainty and Closure found at http://www.deq.virginia.gov/aboutus/mission.aspx.
Each DEQ HW Inspector is required to have a certain baseline of RCRA knowledge prior to conducting any inspections. The following table of Inspector training requirements identifies courses, self-study reading material, and online training each inspector should complete prior to completing specific hazardous waste inspector training. If new inspectors have already successfully completed this training, they do not have to repeat the same training. Refresher training classes are listed in the table as well for experienced new inspectors, as well as DEQ inspectors who have already completed the basic training.
Inspectors should also review major new regulations (including preambles) as they are promulgated, be familiar with new and existing guidance on inspecting, and be aware of new and existing technical guidance that could provide information on other types of facilities and practices.
Please note, in addition to the required training materials, new inspectors must accompany more senior inspectors on at least two inspections prior to leading an inspection. A new inspector Training Checklist can be found at the end of this Chapter to assist in tracking each required training element that is completed.
B. Inspector Training Requirements
BASIC TRAINING FOR ALL INSPECTORS
Pre-Requisite Training Requirements Pre-requisite training requirements - https://www.epa.gov/compliance/national-enforcement-training-institute-neti-elearning-center Health and Safety Training (OSHA 24 Hour) - https://covlc.virginia.gov/Default.aspx and Environmental Statutes Review Course - https://www.epa.gov/compliance/national-enforcement-training-institute-neti-elearning-center
Mandatory and Recommended Training and Self-Study/Review Requirements Mandatory Training
- RCRA Training – includes Fundamentals for RCRA Inspectors Training, Hazardous Waste Determinations Course, Process-Based Inspections Course, and RCR110W – RCRA Subparts AA, BB, & CC - https://www.epa.gov/compliance/national-enforcement-training-institute-neti-elearning-center Page 15 HAZARDOUS WASTE INSPECTOR HANDBOOK Mandatory Self-Study/Review Guidance/Reference Materials RCRA Inspection Manual (1998) – https://www.fdlp.gov/.../1890-revised-rcra-inspection-manual/file Virginia Hazardous Waste Management Regulations -http://law.lis.virginia.gov/admincode/title9/agency20/chapter60/ Virginia Waste Management Act -http://law.lis.virginia.gov/vacode/title10.1/chapter14/ RCRA On-Line - https://yosemite.epa.gov/osw/rcra.nsf/how+to+use?openform.
Inspector must be competent in using online system. DEQ Civil Enforcement Manual -http://www.deq.virginia.gov/Programs/Enforcement/Laws,Regulations,Guidance.aspx Waste Information and Trade Secret Protection http://townhall.virginia.gov/L/GetFile.cfm?File=C:\TownHall\docroot\GuidanceDocs\44 0\GDoc_DEQ_5322_v1.pdf Must review a minimum of two completed inspection reports for each type of RCRA inspection. The regional LPM can require more than two inspection reports for each type of RCRA inspection. HW Inspection Checklists -http://deqnet/documents/index.asp?path=/docs/waste/Hazardous_Waste_Complianc e/HW_Checklists Optional Training Sampling for Hazardous Materials Course -https://trainex.org/offeringslist.cfm?courseid=20 (as available & funding allows) Chemistry for Environmental Professionals – Fundamentals -https://trainex.org/offeringslist.cfm?courseid=16 (as available & funding allows) Chemistry for Environmental Professionals – Applied -https://trainex.org/offeringslist.cfm?courseid=66 (as available & funding allows) Recommended Self-Study/Review RCRA Orientation Manual (2014) – https://www.epa.gov/sites/production/files/2015-07/documents/rom.pdf Managing Your Hazardous Waste: A Guide for Small Businesses – https://www.epa.gov/sites/production/files/2014-12/documents/k01005.pdf HW Compliance Assistance Documents on the DEQ HW Page -http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/SolidHazardousWa steRegulatoryPrograms/HazardousWaste.aspx (right hand side under “Featured Topics” Page 16 HAZARDOUS WASTE INSPECTOR HANDBOOK Mandatory Refresher Training: Program specific refresher training as identified by supervisor. New Regulations & Policies: As new RCRA regulations and policies are issued, inspectors are expected to obtain the additional training necessary to ensure that they are sufficiently qualified to lead inspections. This will typically be arranged/scheduled by the CO HW Compliance Coordinator. OSHA 8- Hour Update (annual) - https://covlc.virginia.gov/Default.aspx Annual DEQ Hazardous Waste Inspector Workshop EPA Region III Inspector Workshop (as offered, typically held every 18 months to two years) Additional requirements apply depending on what type of inspection will be conducted: Level 1 or Level 2.
TRAINING FOR RCRA - LEVEL 1 INSPECTORS - Inspectors who conduct inspections at Conditionally Exempt Small Quantity Generators, Small Quantity Generators, Large Quantity Generators (with simple processes and/or no VOC air emissions concerns), Transporters, and Used Oil Collection and or Storage Facilities must complete the following training requirements in addition to the requirements listed above for ALL RCRA Inspectors.
Mandatory and Recommended Training and Self-Study/Review Requirements: Mandatory Training RCRAInfo - https://rcrainfo.epa.gov/ (contact RCRAInfo database administrator for log on credentials and training.) RCRA Info LearningZen – Online Training – access once you are logged in to RCRAInfo. Hazardous Waste Tracking Works Sheets – contact the HW Compliance Coordinator in
CO.
Mandatory Self-Study/Review Statutes/Regulations The Resource Conservation and Recovery Act (RCRA), http://www4.law.cornell.edu/uscode/42/ch82schI.html
RCRA Hazardous Waste, Universal Waste, Used Oil Regulations Hazardous Waste Management System: General; Identification and Listing of Hazardous Waste; Standards Applicable to Generators of Hazardous Waste (40 CFR Parts 260, 261and 262) Standards Applicable to Transporters of Hazardous Waste (40 CFR Part 263) Standards for the Management of Specific Hazardous Wastes and Specific Types of Hazardous Waste Management Facilities (40 CFR Part 266) Page 17 HAZARDOUS WASTE INSPECTOR HANDBOOK Land Disposal Restrictions (40 CFR Part 268) Standards for Universal Waste Management (40 CFR Part 273) Standards for the Management of Used Oil (40 CFR Part 279) Guidance/Reference Materials RCRA Training Modules: Definition of Solid Waste and Hazardous Waste Recycling;
Generators; Hazardous Waste Identification; Solid Waste Programs; Used Oil; Land Disposal Restrictions; State Programs; Exclusions; Transporters; and Universal Waste -https://www.epa.gov/rcra/resource-conservation-and-recovery-act-rcra-training-modules Recommended Training No additional training beyond that for pre-requisite and basic.
Recommended Self-Study/Review Hazardous Waste Compendium -http://deqnet/documents/index.asp?path=/docs/waste/Hazardous_Waste_Compliance /HW_Compendium. Become familiar with FAQ type questions/answers for RCRA regulation application and compliance implementation and assistance. Protocol for Conducting Environmental Compliance Audits of Hazardous Waste Generators under the Resource Conservation and Recovery Act -http://www2.epa.gov/compliance/guidance-protocol-conducting-environmental-compliance-audits-hazardous-waste-generators Protocol for Conducting Environmental Compliance Audits of Storage Tanks under the Resource Conservation and Recovery Act - http://www2.epa.gov/compliance/guidance-protocol-conducting-environmental-compliance-audits-storage-tanks-under-resource Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators under the Resource Conservation and Recovery Act -http://nepis.epa.gov/Exe/ZyPDF.cgi/500001UN.PDF?Dockey=500001UN.PDF
Mandatory On-the-Job Training (OJT): All RCRA Level 1 inspectors are required to participate in OJT by accompanying a Waste Inspector Senior/Senior II and/or CO Hazardous Waste Compliance Coordinator lead on at least two complete RCRA inspections. Each new RCRA inspector also will be required to lead at least two complete RCRA inspections while being observed by an experienced and fully qualified RCRA inspector. Note: This includes inspection preparation procedures with a senior inspector.
The actual number of inspections required before the inspector is approved to lead inspections will be determined by the inspector’s supervisor.
Page 18 HAZARDOUS WASTE INSPECTOR HANDBOOK TRAINING FOR RCRA LEVEL 2 INSPECTORS - Inspectors who conduct inspections at complex LQGs and Hazardous Waste Treatment, Storage, and Disposal Facilities (TSDs) must complete the following training requirements in addition to the requirements listed above for ALL RCRA Inspectors and the requirements listed above for Level 1 inspectors
Mandatory and Recommended Training and Self-Study/Review Requirements: Mandatory Training No additional beyond Pre-Requisite, Basic and Level One.
Mandatory Self-Study/Review Statutes/Regulations Standards for Owners and Operators of Hazardous Waste Treatment, Storage, and Disposal Facilities (40 CFR Part 264) Interim Status Standards for Owners and Operators of Hazardous Waste Treatment, Storage, and Disposal Facilities (40 CFR Part 265)
Guidance/Reference Materials RCRA Training Modules: Air Emission Standards; Containers; Land Disposal Units; RCRA Corrective Action; Treatment, Storage, and Disposal Facility Criteria; Tanks;
Closure/Post-Closure; Containment Buildings; Drip Pads; Groundwater Monitoring;
Miscellaneous and Other Units, Hazardous Waste Incinerators, Permits and Interim Status - https://www.epa.gov/rcra/resource-conservation-and-recovery-act-rcra-training-modules Recommended Training Criminal Enforcement for Civil Enforcement Inspectors -https://www.epa.gov/compliance/national-enforcement-training-institute-neti-elearning-center (under “Skills Refresher Training”) Compliance Assistance Policy - https://www.epa.gov/compliance/national-enforcement-training-institute-neti-elearning-center (under “Skills Refresher Training”) Recommended Self-Study/Review Compliance Monitoring Strategy for the Resource Conservation and Recovery Act -https://www.epa.gov/compliance/compliance-monitoring-strategy-resource-conservation-and-recovery-act Protocol for Conducting Environmental Compliance Audits of Treatment, Storage and Disposal Facilities under the Resource Conservation and Recovery Act -http://www2.epa.gov/compliance/guidance-protocol-conducting-environmental-compliance-audits-treatment-storage-and A Guidance Manual: Waste Analysis at Facilities that Generate, Treat, Store, and Dispose of Hazardous Wastes - https://www.epa.gov/hwgenerators/guidance-manual-Page 19 HAZARDOUS WASTE INSPECTOR HANDBOOK waste-analysis-facilities-generate-treat-store-and-dispose-hazardous Introduction to Land Disposal Restrictions -https://www.epa.gov/sites/production/files/2015-09/documents/ldr05.pdf
Mandatory On-the-Job (OTJ): Prior to leading inspections at TSDs, RCRA Level 2 inspectors are required to complete all OJT training associated with Level 1 inspections and participate in additional OJT by accompanying a Waste Inspector Senior/Senior II and/or CO Hazardous Waste Compliance Coordinator lead on at least two complete RCRA inspections at TSD facilities. Additionally, new Level 2 RCRA inspectors are required to lead at least two complete RCRA inspections at TSD facilities while being observed by an experienced and fully qualified RCRA Level 2 inspector. Note: This includes inspection preparation procedures with a senior inspector. The actual number of inspections required before the inspector is approved to lead inspections will be determined by the inspector’s supervisor.
Additionally, EPA has outlined training requirements for inspectors as follows:
EPA Executive Order – Training Requirements for inspectors: https://trainex.org/pdf/3500-1_2014.pdf EPA Training Requirements for HW Inspectors - https://trainex.org/pdf/3500_1%20rcra.pdf EPA Online training - https://www.epa.gov/compliance/national-enforcement-training-institute-neti-elearning-center - aka NETI Online – state personnel need to register for an account to access the training – see instructions on the webpage.
Guidance for Issuing Federal EPA Inspector Credentials to Authorize Employees of State/Tribal Governments to Conduct Inspections on Behalf of EPA: https://www.epa.gov/sites/production/files/2013-09/documents/statetribalcredentials.pdf C. Database/Drive Access DEQ HW inspectors must obtain access to the DEQ RCRAinfo (rcrainfo$) drive on their work computers.
This can be done by submitting the appropriate access request form to DEQ Office of Information Systems (OIS). A copy of the form can be found in Appendix 4 of this Handbook. Once the RCRA drive is accessed, the inspector’s LPM or the Central Office Hazardous Waste Compliance Coordinator can provide information to the inspector on how to use the tracking spreadsheets and other information stored on this drive.
DEQ HW inspectors must also obtain access to the EPA RCRAInfo site, EPA’s RCRA website and database.
More information is provided regarding RCRAInfo in Chapter 11. RCRAInfo houses guidance documents, training courses, and data for companies that generate, treat, store or dispose of hazardous waste.
Page 20 HAZARDOUS WASTE INSPECTOR HANDBOOK Initial Login Access to RCRAInfo can be obtained from the Manager of Waste Planning, Data & Reporting in the Office of Financial Responsibility & Waste Programs in Central Office.
D. Additional Inspector Considerations Inspectors are skilled field professionals who represent DEQ from a regulatory standpoint when dealing with industry and the public. As a result, inspection personnel are expected to perform their duties in a professional and responsible manner. Inspectors are required to: Develop and report the facts of an investigation completely, accurately, and objectively; Conduct themselves at all times in accordance with Commonwealth of Virginia Employee Handbook as well as relevant DEQ policies and procedures; Avoid, in the course of an investigation, any act or failure to act which could be considered motivated by reason of personal or private gain; and Continually improve their professional knowledge and technical skill in conducting hazardous waste inspections.
The DEQ Code of Ethics can be found at: http://deqnet/docs/admin/admin_hr/First%20Day%20NEO%20Material/Code%20of%20Ethics.pdf
A conflict of interest may exist whenever an inspector has a personal or private interest in a matter which is related to his or her official duties and responsibilities. It is important to avoid even the appearance of a conflict of interest to avoid damaging the integrity of DEQ or DEQ employees. All employees must therefore be constantly aware of situations which are, or give the appearance of being, conflicts of interest when dealing with others inside or outside of the government.
Also, it is important that cooperation be obtained from, and good working relations established with, EPA, other DEQ staff, the public, and the regulated community. This can be accomplished by using tact, diplomacy and persuasion. Even a hostile person should be treated with courtesy and respect. Personnel should not offer opinions concerning any person, regulatory agency, manufacturer or industrial product.
All information acquired in the course of duty is for official use only.
Gifts, meals and gratuities should not be accepted from any group that has a contractual or financial relationship with DEQ, has an interest that may be substantially affected by an employee’s official actions, or that conducts operations regulated by DEQ/EPA. Money in varying amounts may be offered by persons whose activities are being investigated. Inspectors should ask “What is this for?” if offered something of value. The inspector should then explain politely, if the offer is repeated, that both parties to such transactions may be guilty of violating state and federal laws. The inspector should decline money or goods of any kind, and then report immediately any such incident in detail to his or her supervisor.
E. TRAINING CHECKLIST FOR NEW INSPECTORS (To assist in tracking Mandatory Training prior to conducting inspections) If courses were taken during former employment, please indicate so and provide approximate date.
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HAZARDOUS WASTE INSPECTOR HANDBOOK RCRA LEVEL 1 INSPECTOR Course Name
Date Taken/Reviewed Basic Inspector Course
__________ OSHA 24- or 40-Hour Health & Safety
__________ Environmental Statutes Review Course
__________ Fundamentals for RCRA Inspectors
__________ Hazardous Waste Determinations
__________ RCRA Inspection Manual (1998)
__________ RCRA On-Line
__________ DEQ Civil Enforcement Manual
__________ Waste Information & Trade Secret Protection
__________ Two LQG Inspection Reports
__________ Two SQG Inspection Reports
__________ Two CESQG Inspection Reports
__________ Hazardous Waste Inspection Checklists
__________ RCRAInfo Training
__________ RCRAInfo LearningZen – Online Training on RCRAInfo
__________ Hazardous Waste Tracking Worksheets
__________ The Resource Conservation and Recovery Act (RCRA)
__________ RCRA Parts 260, 261, 262 (Applicability, Identification, and Gen. Rqmts.) __________ RCRA Part 263 (Transporters)
__________ RCRA Part 266 (Specific HW at Specific Facilities)
__________ RCRA Part 268 (Land Disposal Restrictions)
__________ RCRA Part 273 (Universal Waste Management)
__________ RCRA Part 279 (Used Oil Management)
__________ RCRA Training Modules
__________
All RCRA Level 1 inspectors are required to participate in OJT by accompanying a Waste Inspector Senior/Senior II and/or CO Hazardous Waste Compliance Coordinator lead on at least two complete RCRA inspections. Each new RCRA inspector also will be required to lead at least two complete RCRA inspections while being observed by an experienced and fully qualified RCRA inspector. Note: This includes inspection preparation procedures with a senior inspector. The actual number of inspections required before the inspector is approved to lead inspections will be determined by the inspector’s supervisor.
Level 1 Accompanied Inspection #1
__________ Level 1 Accompanied Inspection #2
__________ Level 1 Lead Accompanied Inspection #1
__________ Level 1 Lead Accompanied Inspection #2
__________
RCRA Level 2 Inspector All of the RCRA Level 1 Training Requirements
__________ Page 22 HAZARDOUS WASTE INSPECTOR HANDBOOK RCRA Part 264 Standards for Owners & Operators of HW TSD Facilities __________ RCRA Part 265 Interim Status Standards
__________ RCRA Training Modules
__________ Process-Based Inspections
__________ RCR110W – RCRA Subparts AA, BB & CC
__________ Two TSD Inspection Reports
__________ Two LDF Inspection Reports
__________
Prior to leading inspections at TSDs, RCRA Level 2 inspectors are required to complete all OJT training associated with Level 1 inspections and participate in additional OJT by accompanying a Waste Inspector Senior/Senior II and/or CO Hazardous Waste Compliance Coordinator lead on at least two complete RCRA inspections at TSD facilities. Additionally, new Level 2 RCRA inspectors are required to lead at least two complete RCRA inspections at TSD facilities while being observed by an experienced and fully qualified RCRA Level 2 inspector. Note: This includes inspection preparation procedures with a senior inspector. The actual number of inspections required before the inspector is approved to lead inspections will be determined by the inspector’s supervisor.
Level 2 Accompanied Inspection #1
__________ Level 2 Accompanied Inspection #2
__________ Level 2 Lead Accompanied Inspection #1
__________ Level 2 Lead Accompanied Inspection #2
__________ Page 23
HAZARDOUS WASTE INSPECTOR HANDBOOK
CHAPTER 4: EVALUATION TYPES
Prior to evaluating a facility, a HW inspector must determine the type of evaluation which needs to be performed at that facility. The type of evaluation that is typically included in the Compliance Work Plan is a Compliance Evaluation Inspection (CEI). A CEI is generally what is meant when we discuss HW compliance inspections. However, there are many other different types of evaluations that can be performed. Some of the evaluations require an on-site visit; other types of evaluations can be performed in the inspector’s office. Not all evaluations can count toward the fiscal year grant commitment. A CEI is always able to be counted against the grant commitment. A Groundwater Monitoring Evaluation (GME) performed by a trained geologist or Corrective Action staff can count as an LDF inspection. Other types of evaluations, such as CAVs, can only be counted if they were included in the Fiscal Year Work plan negotiated with EPA. A Follow-Up Inspection (FUI) is not typically a full CEI inspection and would not count against the grant if performed in the same year as the initial CEI. If an FUI is conducted in a different year than the original CEI, it should be conducted as a full CEI in order to count. If an FUI is conducted where only portions of the facility are inspected based on alleged violations noted during a previous inspection, the FUI is a type of Focused Compliance Inspection (FCI), which would not count against the grant commitment. It should be noted however, that all inspections are reported to EPA as a DEQ accomplishments for a given fiscal year, and are necessary elements of a good hazardous waste compliance program whether or not they can be counted against grant commitment required inspections. The Fiscal Year Work plan primarily requires DEQ to perform CEI inspections. In order for an inspection to be counted as a CEI, all RCRA aspects of the facility must be inspected including (but not limited to) hazardous waste, used oil, universal waste, transporter activities, etc.
Following completion of the evaluation, EPA requires all evaluations of hazardous waste generator facilities to be entered into the national database known as RCRAInfo. The type of evaluation conducted by DEQ inspectors must be identified on each RCRAInfo form for submission to the Office of Waste Planning, Data & Reporting and subsequent entry into the RCRAInfo database. Following are the different types of evaluations:
A. Comprehensive Monitoring Evaluation (CME) Types:
CODE DESCRIPTION Corrective Action Compliance – An evaluation of a site’s compliance with the corrective action requirements of a permit, Agency agreement (e.g., EPA facility lead agreement), or an order. When a CAC is conducted as part of another inspection type (CEI, GME, etc.), a separate entry for a CAC should be done for the CAC component.
CAC CAV Compliance Assistance Visit – The compliance assistance activity is conducted to assist the site in achieving compliance. A CAV evaluation does not include evaluation events that would otherwise qualify as another type of evaluation such as a CEI or OAM evaluation, or conducted under a confidentiality agreement via a small business assistance or local government assistance program (amnesty program). However, this CAV activity code would include technical site-specific Page 24 HAZARDOUS WASTE INSPECTOR HANDBOOK compliance assistance not considered “interpretive technical assistance.” CAVs are conducted without the threat of enforcement (unless high priority violations are observed). CAVs cannot be linked to violations or enforcement actions. Issues of concern should be noted in the RCRAInfo Notes field. A CAV does not count toward the grant commitment unless it is followed by a CEI. EPA compliance assistance tools and resources can be found at: https://www.epa.gov/compliance/resources-and-guidance-documents-compliance-assistance CDI Case Development Inspection – A CDI is an on-site inspection conducted for the sole purpose of gathering additional information that supports the evidence (i.e., samples, on-site record review, interview, etc.) for a potential or pending enforcement case. A CDI is performed only after an initial evaluation of another type (e.g., CEI) has resulted in the observation of potential violations.
CEI Compliance Evaluation Inspection – A CEI evaluation is the primary on-site evaluation of the compliance status of the site with regard to all applicable RCRA regulations and permits (with the exception of groundwater monitoring and financial assurance requirements) and is considered the standard for achieving a grant commitment. Although portions of a CEI evaluation may routinely be conducted in an agency office setting, such evaluations are considered an integral part of a CEI 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 one CEI. The major function of a CEI 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. Where appropriate, it can include groundwater monitoring assessment outlines or plans, closure & post-closure plans, contingency plan reviews, waste analysis plan reviews, and preparedness and prevention plan reviews. Specifically excluded from the CEI type of evaluation are financial assurance requirements and inspections of groundwater monitoring systems. A review of financial assurance requirements is most often conducted by DEQ experts in the Office of Financial Responsibility & Waste Programs, and appropriately coded as a Financial Record Review (FRR) evaluation. Inspections of groundwater monitoring systems are coded as either a GME or OAM and conducted typically by Office of Remediation Programs staff.
CSE Compliance Schedule Evaluation – An evaluation conducted to verify compliance with an enforceable compliance schedule associated with a formal enforcement action. When a CSE is conducted as part of another inspection type (CEI, GME, etc.), a separate CSE entry should be made in RCRAInfo for the CSE component.
FCI Focused Compliance Inspection – An FCI is an on-site inspection that addresses specific portions or subparts of RCRA or the VHWMR. Some examples of an FCI are a Subpart CC inspection, BIF inspection, Universal Waste inspection, closure verification inspection, training inspection, etc.
Nationally defined Focus Areas must be used with this evaluation type to further define the specific scope of the FCI. An FCI typically will not count toward the grant commitment unless it has been Page 25 HAZARDOUS WASTE INSPECTOR HANDBOOK negotiated with EPA during the work plan negotiations. An example would be an FCI of a TSD component of a Federal Facility without also inspecting the facility’s generator activities. Definition and types of focus areas, and when an FCI may be used for grant commitments are discussed later in this chapter.
FRR Financial Record Review – An extensive, detailed review of a site’s compliance with financial assurance responsibility requirements. FRRs are conducted by DEQ’s Office of Financial Responsibilities and Waste Programs, Division of Financial Responsibility.
FSD Facility Self-Disclosure – Indication that a site has self-disclosed the existence of a violation and/or performed an audit and has submitted the information as appropriate to DEQ or EPA. While not available as a grant commitment type, an FSD may be followed by a CEI or FCI. FSDs will also often result in some form of enforcement, including referral for formal action.
FUI Follow-up Inspection – A partial on-site inspection conducted to verify the status of violations cited during a previous evaluation. An FUI code should only be used if the effort involved or extent of areas inspected are insufficient to qualify as one of the more comprehensive evaluation types.
Follow-up inspections include those inspections following formal/informal enforcement actions where no enforceable compliance schedule has been established. Follow-up inspections do not include any inspections involving an enforceable compliance schedule association with a formal enforcement action. When an FUI inspection is conducted as part of another inspection type (CEI, GME, etc.), a separate FUI entry should be made in RCRAInfo for the FUI component. Please note than new violations may be cited as a result of an FUI evaluation, and those new violations should be linked to the FUI. If noncompliance observed in the initial evaluation (e.g., CEI) is observed as a continuing noncompliance during the FUI, it should be linked to both the original evaluation and the FUI.
GME Groundwater Monitoring Evaluation – A detailed evaluation of the adequacy of the design and operation of a site’s groundwater monitoring system in accordance with EPA guidance. Evaluation of the groundwater monitoring system design should be conducted by a hydrogeologist and include the review of the Owner/Operator’s (O/O) characterization of the hydrogeology beneath hazardous waste management units, monitoring well placement and depth/well spacing, and well design and construction. It is essential for the GME to ensure that the O/O has designed an adequate groundwater monitoring system. In addition, an integral part of the GME is the review of the operation of the groundwater monitoring system through an evaluation of the O/O’s sampling and analysis plan, and its implementation. GMEs should be scheduled, to the extent possible, to coincide with the O/O sampling events to permit the field evaluation of sampling techniques.
Inspectors should collect splits or conduct EPA/DEQ sampling as a random check of groundwater quality data at any wells that may have indicated releases to support enforcement or corrective action. A comparison of EPA/DEQ and O/O analytical results can be used to assess laboratory accuracy and establish the reliability of O/O submitted data. A GME should encompass everything Page 26 HAZARDOUS WASTE INSPECTOR HANDBOOK covered in the CEI for groundwater monitoring facilities. In addition, GMEs should include: A detailed investigation of the engineering features and effectiveness of the groundwater monitoring system; A detailed review of the site’s groundwater sampling and analysis plan; Re-calculation of statistics at detection monitoring facilities to ensure that the site should not be in assessment; Detailed examination of the site’s assessment monitoring plan & field implementation; A substantial amount of sampling.
A GME can count as a CEI for a land disposal facility. These are performed by the Office of Remediation Programs as part of RCRA Corrective Action.
NRR Non-financial Record Review – An evaluation conducted in the DEQ office involving a detailed review of non-financial records. Use this when reviewing a facility’s response to an NOV or GW plans or reports, etc. It can also be used to review non-routine documents not associated with another evaluation. NRRs do not count toward the grant commitment.
OAM Operation & Maintenance Inspection – Periodic inspection of how effectively a groundwater monitoring system continues to function once it is considered well designed. The inspection focuses on the condition of wells and sampling devices. Evaluation of well recovery notes, turbidity of water, total depth, depth to water, etc. should be made and compared to historic data. Sampling devices should be tested and if necessary pulled and visually inspected. The findings of an OAM inspection will indicate whether case development is warranted and/or will focus future GMEs. The inspection should be experienced in evaluating groundwater monitoring systems (i.e., hydrogeologist). This inspection may include sampling and is typically performed by Groundwater Corrective Action staff in the Office of Remediation Programs.
SNN No Longer a Significant Non-Complier – A determination has been made to remove the SNC designation for a site. Entry of an SNN record is required to remove a site from being a SNC. Often submitted in conjunction with a final order (enforcement code 310) and return to compliance of violations linked to the order.
SNY Significant Non-Complier – A determination has been made to designate a site as a SNC using guidelines as set forth in the current version of the Hazardous Waste Civil Enforcement Response Policy (ERP). A SNC is a site that has caused actual exposure or a substantial likelihood of exposure to hazardous waste or hazardous waste constituents; is a chronic or recalcitrant violator; or deviates substantially from the terms of a permit, order, agreement, or from RCRA and VHWMR requirements. In evaluating whether there has been actual or likely exposure to hazardous waste or hazardous waste constituents, implementers should consider both environmental and human health concerns. However, environmental impact or a substantial likelihood of impact alone is sufficient to cause a violator to be a SNC, particularly when the environmental media affected Page 27 HAZARDOUS WASTE INSPECTOR HANDBOOK require special protection (e.g. wetlands or sources of underground drinking water). Additionally, when deciding whether a violator meets this criterion, implementers should consider the potential exposure of workers to hazardous waste or hazardous waste constituents. Further, although consideration should be given to compliance status with other environmental statutes and regulations, a SNC in RCRAInfo should be linked to all applicable violations that contributed to the SNC designation. Although there are benefits to doing so, linkage of SNY determination to specific RCRA violations is optional. A SNC determination is a post-CEI determination regarding the type of violations found at a facility. SNY is often submitted in conjunction with a referral to enforcement (enforcement code 122).
B. Focused Compliance Inspection (FCI) Focus Areas The Focused Compliance Inspection (FCI) category must identify one of the following specific types :
CODE
DESCRIPTION BIF Boiler/Industrial Furnace Inspection – Inspections focused on compliance with regulatory requirements for boilers and industrial furnaces.
CAR Corrective Action/Remediation Oversight – Inspections focused on the oversight of corrective action or DEQ remediation activities. Use this code only when the oversight does not represent an evaluation of the site’s compliance with the corrective action requirements present in a permit or order. This latter would be a CAC evaluation type.
CCI Subpart CC Inspection – Inspections focused on compliance with air emission standards for tanks, surface impoundments, and containers as covered in 40 CFR Parts 264 and 265, Subparts CC.
CPC Closure/Post-Closure Inspection - Inspections focused on oversight of closure/post-closure activities, including certification of closure/post-closure.
DOS Definition of Solid Waste – Inspections to verify information related to variance requests, delisting, solid/hazardous waste determination, speculative accumulation, on-site review of Hazardous Secondary Materials (HSM), etc.
EMR Emergency Response Activity – RCRA activities related to emergency response and subsequent cleanup.
IEI Import/Export Inspection – Inspections to evaluate regulatory compliance for hazardous waste imports and exports.
INC Hazardous Waste Incinerator Inspection – Inspection/observation of other incinerator activities.
ISI Inactive Site Inspection – Inspections to verify the status of a site. This code should only be used when the site’s status was verified as inactive.
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HAZARDOUS WASTE INSPECTOR HANDBOOK OTH Other - Used when DEQ Inspector conducts inspection of Virginia-specific regulations while accompanying EPA on an EPA-lead inspection.
PTB Performance Test (Trial Burn) – Inspection to evaluate trial burn performance.
PTX Performance Test (Subpart X) - Inspection to evaluate performance under Subpart X requirements.
UOI Used Oil Inspection – Inspections focused on compliance with the Used Oil regulations as covered by 40 CFR Part 279.
UWR Universal Waste Rule Inspection – Inspections focused on compliance with the Universal Waste Rule as covered by 40 CFR Part 273.
The codes noted above are the specific codes that need to be entered onto the RCRAInfo form following completion of an FCI. Completion of the RCRAInfo form is detailed in Chapter 11, RCRAInfo.
C. Performing a CEI vs an FCI: An FCI is performed when a complete facility inspection is not needed. This could be in response to a complaint, as a follow-up to an enforcement action or previous inspection, when inspecting Virginia-specific requirements during an EPA-lead inspection, at an inactive site to verify generator status, or in the case of an FCI at a TSD facility, when the FCI has been pre-negotiated with EPA for inclusion in the Compliance Work Plan for that fiscal year. Typically, FCI inspections do not count against the grant commitments in any given fiscal year to evaluate permitted units only; however, FCIs at TSDs can count when certain conditions exist, and when the FCI is included in the Work Plan for that year. This decision is typically made in Central Office with the concurrence of EPA and the LPM in the regional office. Once a state has become adequately familiar with a TSDF and has established that the facility has a good track record of compliance, an FCI may be substituted for a CEI if: At least two CEIs have already been conducted at the facility; The facility must not have received a formal enforcement action as a result of the most recent CEI; The facility must not be identified as a current significant non-complier (SNC).
Additional rules include: FCIs may only be substituted for CEIs twice consecutively; A CEI must be conducted following renewal of a facility permit; A CEI must conducted following the change of a facility owner or operator; A CEI must be conducted following a significant change in process, operating procedure, production, or the wastes generated or managed at a facility, etc.
When an FCI is conducted in lieu of a CEI at a TSDF, EPA’s CMS states that the following should be inspected at a minimum: Page 29 HAZARDOUS WASTE INSPECTOR HANDBOOK Financial Assurance; Determine if all waste streams have been identified and properly characterized, and all hazardous waste streams are being handled properly; Evaluate facility operations to determine if any process changes have occurred at the facility since the last inspection that would affect hazardous waste management practices; Spot check facility compliance with the regulations and permit requirements for those areas that have not changed.
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CHAPTER 5 – INSPECTION TYPES
A. General There are many types of inspections. Inspections are one type of evaluation that might be performed at a regulated facility. Others were identified in Chapter 4. Types of inspections differ based upon the purpose, facility status, and the probable use of inspection results. However, the Compliance Evaluation Inspection (CEI) is the primary mechanism for assessing compliance and for detecting and verifying RCRA violations by hazardous waste generators, transporters and TSDFs. The purpose of this section is to describe the different types of hazardous waste inspections, and to establish a uniform, consistent process for conducting CEIs at small quantity generators, large quantity generators, permitted/interim status TSD facilities, transporters, used oil generators, universal waste handlers and other types of facilities. The following table describes the different types of inspections in the RCRA universe.
Table 5-1 Inspection Types Type of Inspection Description Applicable Guidance
- Compliance CAVs can take place at facilities that have never been inspected, Assistance Visit (CAV) or have had a change in management or operating status. These visits are designed to help a facility determine its compliance requirements, and to help a facility find waste minimization and pollution prevention opportunities.
- Compliance CEIs are routine inspections of hazardous waste generators, Revised RCRA Inspection Manual Evaluation Inspection transporters, and TSD facilities to evaluate compliance with the (November 1998 Revision); (CEI) requirements of RCRA. CEIs encompass a file review prior to the site visit, an on-site examination of generation, treatment, Hazardous Waste Tank Systems storage and/or disposal areas, and a review of records. Inspection Manual OSWER Dir.
Inspections of facilities with delisted waste may be conducted as 9938.1A 1988 part of a CEI. Also correction action inspections are specifically intended to evaluate facilities’ compliance with consent orders or Hazardous Waste Incinerator agency agreements and/or permits. The compliance evaluation Inspection Manual OSWER Dir. inspection (CEI) is an on-site evaluation of a hazardous waste 9938.6, 1989 handler's compliance with RCRA regulations and permit standards. The purpose of the CEI is to gather information Guidance for Inspection of necessary to determine compliance and support enforcement Facilities with Delisted Waste, actions. OSWER Dir. 9938.2B
Conducting RCRA Inspections at Mixed Waste Facilities OSWER Dir. 9938.9, 1991
- Focused FCIs are inspections of hw generators, transporters, and TSD Compliance facilities to evaluate compliance with a subset of the full Inspections (FCI) requirements of RCRA. FCIs are conducted, to review a specific compliance issue, or can be used to evaluate inactive facilities.
FCI types are described fully in Chapter 4, Evaluation Types.
- Case Development CDIs are conducted when RCRA violations are suspected or Technical Case Development revealed during a CEI for the specific purpose of gathering Guidance Document OSWER Dir.
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Inspection (CDI) additional data in support of a pending or proposed enforcement 9938.9, 1991 action.
- Comprehensive CMEs are conducted to ensure that the groundwater monitoring RCRA Groundwater Monitoring Groundwater systems are designed and function properly at RCRA land disposal Technical Enforcement Guidance Monitoring facilities. In addition to the CEI activities, CMEs include Document, OSWER Dir. No.
Evaluation (GME) observation of sampling and analysis of the facility’s groundwater 9950.1, September 1986. monitoring system and hydrogeological conditions.
Comprehensive Groundwater Monitoring Evaluation Guidance Document OSWER Dir. No. 9950.2, March 1988
Compliance Sampling CSIs are inspection in which samples are collected for laboratory Inspection (CSI) analysis. A sampling inspection may be conducted in conjunction with a CEI or any other type of inspection except a CDI. Virginia DEQ does not typically perform CSIs.
- Operation & O&M inspections of land disposal facilities are conducted to Operation and Maintenance Maintenance determine the adequacy of the operation and maintenance of Inspections for Groundwater Inspection (OAM) groundwater monitoring systems at RCRA facilities after a land Monitoring (RCRA Groundwater disposal facility has closed. O&M inspections are usually Monitoring Systems), OSWER Dir. conducted at facilities that have already received a thorough No. 9950.3, March 1988. evaluation of the groundwater monitoring system. Periodic inspection of how effectively a groundwater monitoring system continues to function once it is considered well designed. The inspection focuses on the condition of wells and sampling devices. The inspector should be experienced in evaluation of groundwater monitoring systems (e.g., hydrogeologist). This inspection may include sampling.
State Oversight State oversight inspections are conducted by EPA personnel to RCRA State Oversight Inspection Inspection determine the effectiveness of state hazardous waste Guide, OSWER Dir. No. 9946.1, management programs and to determine facility compliance. December 1987
- Conducted by DEQ HW inspectors. **Conducted by DEQ Corrective Action staff.
B. Compliance Evaluation Inspections The Compliance Evaluation Inspection (CEI) is the primary mechanism for detecting and verifying RCRA compliance by hazardous waste generators, transporters, and TSD facilities. EPA policy has established that a CEI is intended to be a comprehensive evaluation of the compliance status of a facility under all applicable RCRA regulations and permits. Thus, upon completion of a CEI, the DEQ inspector should fully understand not only the plant’s permit and compliance status, but also the extent of the facility’s operations related to hazardous waste, including:
What are the facility’s business or operations and how all major processes operate; Whether all waste streams have been identified, including those generated during start-up, shut-down, turnaround, and malfunction;
Page 32HAZARDOUS WASTE INSPECTOR HANDBOOK Whether proper hazardous waste determinations have been made for all waste streams generated by those processes; and Whether waste is being handled properly.
In order for a facility to ensure, and an inspector to verify, its compliance status, the facility must first determine what hazardous wastes it generates and how much of each waste stream is being generated on a monthly basis in order to determine its generator status.
The complexity of a CEI is specific to the amounts of waste generated and the types of waste management being conducted at a facility. During the CEI inspection, the inspector will verify that each waste stream generated by a facility has been characterized properly. The inspector will ensure that the facility has counted its waste properly to determine its correct level of generation and subsequent generator requirements. The inspector will ensure that any exclusions and exemptions being applied by the generator to his waste are being applied correctly. The inspector will ensure that any listings applied to wastes have been applied correctly. The inspector will do these things by looking at facility processes, waste profiles, waste analysis data, and waste generation and management records. Once the inspector is sure of how much hazardous waste is generated by a facility on a monthly basis, and how much is being accumulated prior to shipping off site, the inspector can determine whether a facility has correctly interpreted those generator requirements which apply to that facility.
Additionally, the inspector can determine what other types of regulated activities are taking place at the facility. These may include hazardous waste transportation, used oil and/or universal waste management, treatment of waste on site, storage of hazardous waste, etc. Inspections have available a selection of checklists to guide the inspector through that type of inspection. Choice of checklist(s) will be discussed later in this chapter.
The compliance responsibilities at any particular facility are based on the amount of hazardous waste being generated in one calendar month. Hazardous wastes include spent solvents, paint, contaminated antifreeze or oil, wastewater treatment sludge, heavy metals, and many other types of manufacturing and process wastes. Hazardous wastes also include discarded and off-spec commercial products. There are three classifications of hazardous waste generators discussed below. The requirements for these three levels of generator are also summarized in the associated Inspection Checklist for that type of facility. Inspection Checklists can be found in Appendix 1 of this handbook.. 1) CEI – Conditional Exempt Small Quantity Generator (CESQG) A CESQG generates less than 100 kg (220 lb.) of hazardous waste or 1 kg (2.2 lb.) of acutely hazardous waste in a calendar month. [Note: 100 kg is the equivalent of approximately one half of a 55-gallon drum containing hazardous waste with at least the density of water (8.34 lb/gallon)]. A CESQG also may not accumulate on-site more than 1,000 kg (2,200 lb.) of hazardous waste at any one time. [Note: 1,000 kg is the equivalent of approximately five full 55-gallon drums of waste with at least the density of water (8.34 lb/gallon)]. When either the weight of hazardous waste produced in one calendar month exceeds 100 kg (220 lb.), or when more than 1,000 kg (2,200 lb.) of hazardous waste have accumulated on-site, the facility is required to comply with the more Page 33 HAZARDOUS WASTE INSPECTOR HANDBOOK stringent standards applicable to a Small Quantity Generator (SQG). When the volume of acutely hazardous waste exceeds 1 kg , or spill residue, contaminated soil, waste or other debris from acutely hazardous waste exceeds 100 kg, then the waste is subject to standards applicable to large quantity generators (LQGs). A CESQG does not have a time limitation on accumulating hazardous waste unless/until the CESQG has accumulated enough on site to become an SQG (2,200 lb). At the point at which a CESQG has accumulated 2,200 lb and become an SQG, the 180/270-day time limitation for accumulation begins.
CESQG requirements are: To identify their hazardous waste; to comply with storage limitations; and to treat or dispose of their hazardous waste in an on-site or off-site hazardous waste TSDF, state-permitted, licensed or registered solid waste disposal facility; recycling facility; or universal waste facility. It should be noted that no municipal solid waste landfill in Virginia has been approved to accept hazardous waste from CESQGs.
Checklists completed for every CESQG inspection consist of a Survey and the CESQG checklist.
Possible extra checklists that may be applicable are the Used Oil Checklist, Universal Waste Checklist, and Excluded Solvent-Contaminated Wipes Checklist. No container management checklist is required as CESQGs are not subject to container management requirements; however, the requirements for container management found in the regulations would be an applicable best management practice (BMP) for CESQGs.
In order to keep track of CESQG inspections for facilities that may not have an EPA ID number for facilities that are not willing to obtain a number on their own since none is required, HW inspectors can assign these locations a Virginia CESQG number. There is a separate tab on the Hazardous Waste Tracking Sheet for each region that will assign numbers to CESQGs based on the date when the number is assigned. Additional guidance is provided in Chapter 10. 2) CEI - Small Quantity Generator (SQG) A SQG generates between 100 kg (220 lb.) and 1,000 kg (2,200 lb.) of hazardous waste in a calendar month. Hazardous waste generated by an SQG cannot accumulate on site for more than 180 days (unless the waste is transported more than 200 miles to an approved destination facility in which case the SQG can accumulate on site for up to 270 day). At no time can an SQG accumulate more than 6,000 kg (13,200 lb.) of hazardous waste at his facility [Note: This is the equivalent of approximately 30 full 55-gallon drums]. If the volume of hazardous waste generated by an SQG in one month exceeds 1,000 kg (2,200 lb.) of non-acutely hazardous waste or 1 kg (2.2 lb.) of acutely hazardous waste, the SQG becomes a large quantity generator. If the accumulation time limit for an SQG is exceeded, or if the facility accumulates more than 6,000 kg (13,200 lb.) of hazardous waste onsite at one time, the SQG is an operator of a storage facility required to obtain a storage permit and comply with the requirements of 40 CFR 264 and 40 CFR 265. Checklists typically completed during a SQG inspection include the Survey, SQG checklist, plus unit-specific checklists (containers and/or tanks). Used Oil, Universal Waste and Excluded Solvent-Contaminated Wipes checklists may also apply.
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3) CEI - Large Quantity Generator (LQG) An LQG generates more than 1,000 kg (2,200 lb.) of non-acute, or more than 1 kg of acute, hazardous waste in a calendar month. (NOTE: This is approximately five full 55-gallon drums of hazardous waste, assuming the waste is at least as dense as water [8.34 lb/gallon]). Inspections of LQGs generally should be CEIs, and should verify compliance with at least the following requirements: Identification of all hazardous waste streams, and proper characterization of all hazardous waste. Provision of information on the general chemical composition of hazardous waste to persons transporting, treating, storing and disposing such waste to ensure proper completion of manifests and LDR notifications, and correctly applied hazardous waste codes. Recordkeeping on the management and disposition of waste. Proper labeling and identification of waste for storage, transport, and disposal. Proper handling of hazardous waste on-site, including use of a containment building, proper containers, and tanks and drip pads. Use of the manifest system and all other means necessary to ensure that hazardous waste is sent to the appropriate destination facility. Submission of Biennial Reports reporting the waste generated. Contingency plan, general inspection requirements, security, and preparedness and prevention. Proper training of staff involved in HW and UW management.
4) Comparison of RCRA Generator Requirements Whether the facility is a CESQG, SQG, or a LQG determines whether and how the RCRA regulations apply to that facility. Regardless of the amount of hazardous waste generated, the regulations require every facility to test or use knowledge of materials or processes to determine if its waste is a listed hazardous waste or exhibits one of four hazardous characteristics (ignitability, corrosivity, reactivity , toxicity).
LQGs and SQGs are subject to regulations contained in 40 CFR Part 262 and 9 VAC 20-60-262 that require each generator to: identify and count waste; obtain an EPA identification number; comply with accumulation and storage requirements; provide for training, contingency planning, and emergency arrangements; prepare the waste for transportation; track the shipment and receipt of waste; and meet recordkeeping and reporting requirements. A synopsis of these regulatory requirements is found in Table 5-2.
Table 5-2 Comparison of Generator Requirements Requirement CESQG SQG LQG Determine Whether Solid Waste is Yes Yes Yes Hazardous Non-acute Waste ≤100 kg/mo (220 lb./mo) 100 kg/mo (220 lb.) to >1,000 kg/mo (2,200 Quantity Limits 1,000 kg/mo (2,200 lb.) lb./mo) Acute Waste Quantity ≤1 kg/mo (2.2 lb./mo) ≤1 kg/mo (2.2 lb./mo) >1 kg (2.2 lb/mo) Page 35 HAZARDOUS WASTE INSPECTOR HANDBOOK
Limits EPA ID Number Not required Required Required
Facility Receiving State approved, RCRA RCRA permitted, interim RCRA permitted, interim Waste permitted, interim status, status, or exempt status, or exempt or exempt recycling recycling facility recycling facility facility Use Manifests No Yes, unless the waste is Yes, unless the waste is reclaimed under reclaimed under contractual agreement contractual agreement in in accordance with the accordance with the requirements of 40 CFR requirements of 40 CFR 262.20 (e). 262.20 (e).
Manifest Exception Not required Required within 60 days Required within 45 days Reporting of hazardous waste of hazardous waste being being accepted by initial accepted by initial transporter transporter
On-site Accumulation 1,000 kg (2,200 lb.) 6,000 kg (13,200 lb.) No limit Limits (without permit) Accumulation Time None 180 days [or 270 days if 90 days DEQ may grant Limits (without permit) transported more than an additional 30 days for 200 mi. (321.87 km)] unforeseen, temporary, DEQ may grant an and uncontrollable additional 30 days for circumstances. unforeseen, temporary, and uncontrollable circumstances.
Storage Requirements None Basic requirements with More stringent for Accumulated technical standards for requirements with Hazardous Waste containers or tanks technical standards for management of containers or tanks RCRA Personnel Training Not required Basic training required Required Contingency Planning None Basic emergency info Required Biennial Report Not required Not required Required
a) Identification and Counting of Waste A facility that generates solid waste of any kind is responsible for determining if that waste meets the definition of hazardous waste, either through analysis or through knowledge of the waste stream including materials used or processes being conducted. Once a facility determines each hazardous waste stream it is generating, the facility must count the hazardous waste it generates on a monthly basis in order to determine the generator requirements to which it must adhere. Failure to make waste determinations and/or failure to properly count waste to
Page 36HAZARDOUS WASTE INSPECTOR HANDBOOK determine generator status are both potential violations of the regulations and may increase the likelihood for additional potential violations for management of the waste. b) EPA Identification Number Each LQG and SQG of hazardous waste is required to obtain an EPA Identification Number.
CESQGs are not required to have an EPA Identification number; however, many CESQGs have obtained an EPA ID number.
Anyone (except CESQGs) who generates, treats, stores, disposes, transports or offers for transportation any hazardous waste is required to have an EPA Identification Number. A generator also may not offer his waste to a TSD that does not have an EPA Identification Number.
Locations that do not normally generate hazardous waste but have a one-time need for an EPA ID number can obtain a Provisional EPA Identification Number through the appropriate DEQ Regional Office. Provisional ID numbers are discussed in Chapter 12 of this handbook. c) Accumulation and Storage Requirements LQGs and SQGs are subject to the waste management standards found in 40 CFR Part 262 and cross referenced to Part 265, as applicable.
LQGs may accumulate waste properly in containers, tanks, drip pads or containment buildings.
Containers must be closed, and containers and tanks must be managed in accordance with the regulations. Tanks and containers must be marked with the date on which accumulation began and the generator must ensure and document that the waste is shipped off site within 90 days.
SQGs may accumulate waste properly in containers or tanks. Containers must be closed, and containers and tanks must be marked in accordance with the regulations. Tanks and containers must be marked with the date on which accumulation began and the SQG must ensure and document that the waste is shipped off site within 180 days, or 270 days if the destination facility is greater than 200 miles away. An SQG may never accumulate more than 6,000 kg (13,200 lbs) [approx. 30 full 55-gallon containers] on site at any one time.
CESQGs do not have a limit on accumulation time. Accumulation time for a CESQG does not start until the CESQG has accumulated 1,000 kg (approximately five full 55-gallon containers). At that point, the CESQG becomes an SQG, subject to SQG requirements, and must ensure and document that the waste is shipped off site within 180 days (or 270 days as stated above) as well as complying with other SQG requirements. Unless and until a CESQG accumulates 1,000 kg, no accumulation or storage requirements apply to a CESQG. d) Satellite Accumulation Area Management A satellite accumulation area (SAA) is an area at or near the point of generation where no more than 55-gallons of a hazardous waste or one quart of acutely hazardous waste is accumulated.
Page 37 HAZARDOUS WASTE INSPECTOR HANDBOOK The satellite accumulation area must remain under the control of a single operator, which is typically interpreted to mean within the line of sight of the operator and housed within the same room. When the 55-gallon limit is reached within a SAA, the operator has three days to date and move the excess waste to a <90 day or <180/270-day accumulation area or a permitted TSDF. These standards apply to SQGs and LQGs only. e) <90 Day or <180/270-Day Areas A <90 day or <180/270- day storage area is an accumulation area where hazardous waste is accumulated or stored before being sent off-site for disposal. Storage in these areas is temporary, and the permissible length of time for accumulation depends on whether the facility is classified as an LQG, SQG, or CESQG. f) Pre-Transport Requirements In developing hazardous waste pre-transport regulations, EPA adopted DOT’s regulations for packaging, labeling, marking and placarding found at 49 CFR Parts 172, 173, 178 and 179.
Essentially, hazardous waste shipped off-site by SQGs and LQGs must be properly packaged to prevent leakage of hazardous waste during both normal transport conditions and potentially dangerous situations. Containers must be packaged, labeled and marked to identify characteristics and dangers associated with its transport. The vehicles used to transport the waste must be placarded in accordance with DOT regulations. There are no pre-transport requirements for CESQGs; however, DEQ HW inspectors can recommend closed, labeled containers and other best management practices where necessary.
g) Land Disposal Restrictions In order to keep generators and facilities from managing hazardous waste in land-based units (i.e., land treatment units, landfills, surface impoundments or waste piles), which have a high potential to threaten human health and the environment through groundwater contamination, RCRA was amended in 1984 under the Hazardous and Solid Waste Amendments (HSWA) to include Land Disposal Restrictions (LDRs) for untreated hazardous waste. Treated hazardous wastes must meet specific treatment standards before they can be disposed.
LDR requirements are applicable to SQGs, LQGs, TSDs and LDFs. LDR requirements do not apply to the following: wastes generated by CESQGs; waste pesticides and container residues disposed of by farmers on their own land; newly identified or newly listed hazardous wastes for which EPA has not promulgated treatment standards; and certain waste releases mixed with a facility’s wastewater and discharged pursuant to the Clean Water Act.
There are three main components to the LDR program: the disposal prohibition, the dilution prohibition, and the storage prohibition. LDRs require facilities to identify waste streams, and underlying hazardous constituents of waste streams, and notifying the designated TSD facility for each type of hazardous waste generated. LDRs also require facilities to provide LDR notifications and certifications with hazardous waste manifests, and keep appropriate records.
Page 38 HAZARDOUS WASTE INSPECTOR HANDBOOK HW Inspectors must inspect each facility’s notifications, certifications and records applicable to LDR. HW Inspectors must also ensure that underlying hazardous constituents are identified for characteristic hazardous waste, no land application is taking place, no dilution is taking place, and that LDR restricted wasted are not being stored for greater than one year unless the facility has proved that such storage is being maintained in order to accumulate quantities necessary for effective treatment or disposal. The LDR requirements are found on the LQG and SQG checklists. h) Shipment Tracking The RCRA Subtitle C program is designed to manage hazardous waste from cradle to grave. The Uniform Hazardous Waste Manifest (EPA Form 8700-22) plays a critical part in this management system. The manifest allows all parties involved in hazardous waste management to track the movement of hazardous waste from the point of generation to the point of ultimate treatment, storage, and/or disposal.
LQGs and SQGs are required to use manifests to ship hazardous waste, and retain these manifests for at least three years. Electronic copies of manifests are acceptable records. Key elements to be inspected on a manifest include: Name, address and EPA ID number of the generator, transporter(s), and designated facility; DOT proper shipping name; Quantities and container types of the wastes being transported; Accurate descriptions of wastes, correct hazardous waste codes, and waste minimization certification; Dates and signatures for each transfer of waste made; and Final signature by the designated facility. It should be noted that the use of manifest is not required for CESQGs, who may ship hazardous waste using a shipping paper in lieu of a manifest.
i) Emergency Plan LQGs are required to have a formal written contingency plan and emergency procedures in place in case of a spill or release of hazardous waste.
SQGs are not required to have written contingency plans. They are required to ensure that an emergency coordinator is on the premises or on-call at all times, and they must have basic facility safety information readily accessible. CESQGs are not required to have any emergency planning or an emergency coordinator. However, once again, this would be a BMP. j) Personnel Training At an LQG facility, facility personnel must be trained in the proper handling of hazardous waste and emergency procedures through an established training program. This training program must include a list of job titles and job descriptions for employees involved in hazardous waste management at the facility. Annual updates to the training are also required. Additional training requirements exist if the LQG also manages UW.
Page 39 HAZARDOUS WASTE INSPECTOR HANDBOOK SQGs are not required to have an established training program. However, SQGs must ensure that employees handling hazardous waste are familiar with proper handling and emergency procedures. Additional training requirements exist if the SQG also manages UW.
There are no general training requirements specific to CESQGs. However, if the CESQG manages universal waste, there are universal waste training requirements that must be met. k) Recordkeeping and Reporting Multiple recordkeeping and reporting requirements are applicable depending upon a facility’s generator status. LQGs must submit a biennial Hazardous Waste Report (BR). LQGs and TSDs must report by March 1 of each even-numbered year regarding activities conducted during the previous odd-numbered year. When shipments of hazardous waste are shipped off-site and a signed copy of the manifest is not received back from the designated facility, an exception report must be filed with DEQ. All hazardous waste documents have a three-year retention requirement, which must be extended for any issues undergoing enforcement during that time period.
SQGs are not subject to the biennial Hazardous Waste Report. SQGs are required within sixty days of the signature of the last transporter on a shipment to send a copy of the original manifest to DEQ with a note indicating that a signed copy has not been received from the designated facility. SQGs must also retain copies of all documents related to hazardous waste management for a period of three years. l) Waste Minimization/Pollution Prevention Waste minimization and pollution prevention programs are being increasingly discussed and implemented by both environmental managers and environmental policy makers. Usually defined as a reduction in the volume and toxicity of waste, waste minimization often pays for itself through reduced disposal costs, operating costs, and liability. While these cost savings are often enough to justify a program, there are an increasing number of voluntary and mandatory programs that drive waste minimization/pollution prevention.
Under RCRA, LQGs are required to sign a certification on each manifest stating that they have a program in place to reduce waste to the degree that is economically feasible and to select a disposal method that minimizes threats to human health and the environment. SQGs must show a “good faith effort” to minimize waste and to select the best waste management method available. 5) CEI – Permitted/Interim Status TSD Facility : A TSD is a treatment, storage/and or disposal facility. Facilities that perform certain kinds of treatment, storage and disposal of hazardous waste are required to have a permit to conduct these activities. Other types of facilities are exempted under the regulations and do not require a permit.
TSD inspections conducted by DEQ are for those facilities that do require a permit. There are two types of TSD facilities – permitted and interim status. Interim Status facilities are facilities that Page 40 HAZARDOUS WASTE INSPECTOR HANDBOOK existed and were in operation prior to the development of current permitted TSD standards, and a permit has not yet been issued. Interim status facilities were given strict deadlines in RCRA by which to come into compliance with the applicable RCRA requirements. Once the facility is in compliance with the TSD requirements, a permit would be issued. The requirements for TSD facilities are found in 40 CFR Part 264 for facilities with permits, and in Part 265 for facilities with Interim Status. TSDs have both general facility standards and technical facility standards with which to comply, and these standards are identified in both the regulations and the facility’s site-specific permit.
TSD facility inspections should verify compliance with at least the following requirements: Maintaining records of all hazardous waste that is treated, stored, or disposed, and the manner in which all such waste is treated, stored, or disposed. Satisfactory reporting and compliance with the manifest system. Proper treatment, storage, or disposal of all waste received by the facility. Establishing contingency plans for effective action to minimize unanticipated damage from any treatment, storage, or disposal of hazardous waste. Submission of required Reports. General inspection requirements, security, and preparedness and prevention. Personnel training, as applicable (e.g., financial assurance is not required for federally-owned facilities). Financial responsibility. The facility must have a closure plan for the treatment, storage and/or disposal units.
The inspector should inspect the facility for any permit-specific requirements contained in the facility permit. The inspector should also ensure that all permitted aspects of the facility remain in good condition and are properly maintained. The inspector should complete every checklist that is applicable to activities being conducted at the permitted facility.
If a TSD facility is also a generator, the appropriate level generator inspection should be conducted in addition to the TSD inspection. If the facility is also a transporter, a transporter inspection must be done as well. To get full credit for a CEI, the DEQ HW inspector must inspect all the different RCRA-regulated aspects of the facility unless otherwise instructed.
Occasionally a HW inspector will inspect a generator facility that is operating as an unpermitted TSD facility because it has been found to be storing greater than the time allowed for its generator class, or it is treating its hazardous wastes by methods that are not specifically excluded and would normally require a permit. Unpermitted TSDs are inspected as the generator class into which they fall.
Inspectors should keep in mind that certain types of treatment and recycling, as well as certain activities subject to permits from different environmental programs, are exempted from RCRA permitting requirements. For a TSD, HW inspectors will have to inspect the facility against a permit summary created for that facility, in additional to other applicable inspection checklists.
Page 41 HAZARDOUS WASTE INSPECTOR HANDBOOK 6) CEI – Hazardous Waste Transporter Hazardous waste transporters who conduct off-site transportation of hazardous waste by air, rail, highway or water are regulated by both RCRA and DOT standards. The hazardous waste transporter regulations were developed jointly by EPA and the DOT. Transporter DOT requirements can be found in 49 CFR Parts 171-179. Transporter RCRA requirements can be found in 40 CFR Part 263. A DEQ HW inspector should review the DOT Transporter requirements at least once prior to inspecting any HW transporters.
Transporter regulations only apply to the off-site transportation of hazardous waste. Off-site transportation does not include transportation to geographically contiguous properties unless travel along public roads is required – travel directly across public roads to a contiguous property would not require compliance with transporter regulations.
Transporter inspections should verify compliance with at least the following requirements: Proper notification of HW transporter activities to obtain an EPA Identification number which are assigned to the transportation company as a whole. Recordkeeping. Properly labeled waste. Use of the manifest system. Compliance with transfer facility requirements, if applicable. Proper management of hazardous waste during transportation, including managing any hazardous waste spills or discharges. Hazardous waste delivered to designated facilities permitted to accept such waste.
If the transporter is also a hazardous waste generator, a CEI should be performed on the generator aspects of the facility as well as the transporter requirements.
A transporter may not accept hazardous waste from an SQG or LQG without a manifest.
Transporters must retain the transporter copy of a manifest for at least three years.
A transporter can operate a transfer facility without having a RCRA permit. A transfer facility is a transportation-related facility, including loading docks and parking and storage areas where shipments of hazardous waste are temporarily held during the normal course of transportation. A transfer facility can temporarily store a manifested shipment of hazardous waste for ten days or less without a TSD permit. However, a transporter that stores wastes at a transfer facility for longer than ten days is subject to all TSD permitting requirements.
Page 42 HAZARDOUS WASTE INSPECTOR HANDBOOK 7) CEI - Other RCRA Handlers a) Used Oil Handlers Used Oil is regulated under Part 279 of RCRA. Compliance with Used Oil management requirements is 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 only compliance evaluation Inspections may also be 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. Facilities that commonly generate used oil include: Machine shops. Automobile repair shops. Automobile dealers. Salvage yards. Trucking companies. Power plants. Any company with moving machinery.
Companies that do not generate hazardous waste but do generate and/or manage used oil in some way are subject to the RCRA Used Oil requirements. Every CEI should include a review of Used Oil management and a Used Oil Checklist should be completed, if applicable.
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 DEQ of their activities using an EPA Form 8700-12. A copy of the EPA Form 8700-12 can be accessed on the DEQ external website at: http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/SolidHazardousWasteRegu latoryPrograms/HazardousWaste.aspx, and can also be found in Appendix 7 of this document .
Used oil burners, used oil marketers, used oil processors and re-refiners and used oil transporters and transfer facilities are also required to notify DEQ and obtain an EPA Identification Number. b) Universal Waste Universal Waste is regulated under Part 273 of RCRA. In Virginia, universal waste currently consists of batteries, lamps, certain pesticides, and mercury-containing equipment. It is possible for a company that does not generate hazardous waste to generate universal waste, and that company would therefore be subject to the RCRA universal waste requirements. Every CEI should include a review of Universal Waste management practices and a Universal Waste Checklist should be completed, if applicable.
Page 43 HAZARDOUS WASTE INSPECTOR HANDBOOK c) Excluded Solvent-Contaminated Wipes Under the VHWMR, wipes that are contaminated with solvents that are either cleaned at industrial laundries or dry cleaners and reused, or sent for disposal to a municipal solid waste landfill or a solid waste combustor, are conditionally excluded from certain hazardous waste requirements provided they are not hazardous waste due to the presence of trichloroethylene.
However, all required conditions must be met in order for the wipes to be excluded from full regulation. To be excluded, solvent-contaminated wipes must be managed in closed, labeled containers and cannot contain free liquids at the point in time when they are sent for cleaning or disposal. Facilities generating these wipes also must comply with recordkeeping requirements and may not accumulate wipes for longer than 180 days. There is a specific checklist for facilities that manage solvent-contaminated wipes under the exclusion. d) Non-Notifying Facilities Occasionally, a DEQ HW inspector will inspect a company that has never been inspected and that does not have an EPA Identification number. Sometimes one of these facilities is found to be handling hazardous waste at a generator level that requires the facility to have an EPA Identification number. These types of facilities should be inspected and if found to be generating or otherwise managing any RCRA-regulated wastes, should be evaluated against the appropriate regulations using the appropriate checklists. These inspections would count toward the grant commitment in the applicable generator category.
If the facility is a non-notifier and no hazardous wastes are generated, but the facility is an Other RCRA Handler (i.e., transporter, e-waste processor, Used Oil generation, or UW generation), the inspection would only count if Other RCRA Handler inspections are included in that year’s Fiscal Year Work plan. If the facility does not generate hazardous waste, the company may generate Used Oil or Universal Waste, or may not generate anything at all. In order to keep track of non-notifying facilities that are inspected by DEQ so that they are not visited again in the future, HW inspectors will need to assign these locations a Virginia Non-Notifier number. There is a separate tab on the Hazardous Waste Tracking Sheet for each region that will assign numbers to non-notifiers based on the date when the number is assigned. Additional guidance is provided in Chapter 10.
e) Hazardous Secondary Materials Notifiers In 2014, EPA revised Part 261 to define certain types of hazardous secondary materials now exempted from the definition of solid waste, which also exempted them from HW regulation.
Any facility claiming this exclusion must submit a notification to DEQ using Form 8700-12 prior to managing hazardous secondary materials under the exclusion, and every two years thereafter. Persons recycling hazardous secondary materials or hazardous wastes under any RCRA Subtitle C recycling provision also must notify DEQ if their recycling process has levels of hazardous constituents that are not comparable to or unable to be compared to a legitimate product or intermediate, but which is still legitimate recycling. An example of hazardous secondary materials that might be excluded could be spent solvents that are reclaimed on-site and reused in the original process.
Page 44 HAZARDOUS WASTE INSPECTOR HANDBOOK Inspections of HSM handling facilities will seek to verify that all new notifications have been properly submitted, that the hazardous secondary material being generated is actually HSM and not hazardous waste, that the generator controlled recycling activity being conducted is legitimate, and that any recyclers to whom the HSM is being sent are legitimate recyclers.
C. Compliance Assistance Visits (CAVS): Compliance Assistance Visits, or CAVs, are essentially inspections to assist a facility with how to comply with the regulations rather than to assess compliance. CAVs are typically performed at facilities that have never been inspected, or that have come under new management, or that have never notified.
CAVs may also be conducted when there is some significant change in operating status at a facility. DEQ may get requests for CAVs from numerous business types, but CAVs should be limited each fiscal year to groups specified in the work plan or as discussed prior to the start of the fiscal year to support the DEQ grant commitment.
The general program protocol is that DEQ will perform a CAV at the target facility, provide them with verbal and written assessments of their facility’s compliance based on the inspector’s evaluation, and follow-up with a regular CEI at some later date (after 90 days but during the same fiscal year). DEQ would defer any potential enforcement for minor alleged violations of the regulations discovered during the CAV until after the follow-up CEI if any areas of concern remain uncorrected. CAVs with no compliance issues should be written up as CEIs as these will not need to be re-inspected. Please keep in mind that unless CAVs are specified in DEQ’s fiscal year planning and become part of the fiscal year Work Plan, DEQ does not get inspection credit for CAVs, only for the follow-up CEI inspection. If a DEQ HW inspector performs a CAV, a follow-up CEI must be completed during the same fiscal year to get credit for the inspection that year.
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HAZARDOUS WASTE INSPECTOR HANDBOOK
CHAPTER 6 – PREPARING FOR THE INSPECTION
A. General A successful on-site inspection is predicated on thorough preparation. Typically, inspectors have only a relatively brief period of time on-site in which to perform an inspection; therefore, it is crucial that an inspector properly prepare off-site in order to maximize use of the inspection time.
Before conducting an inspection, the inspector needs to determine the purpose and scope of the inspection. Typically the purpose will be a routine periodic assessment of RCRA compliance. However, an inspection can also be a review of facility activities or status with respect to an enforcement action, a review of facility compliance with deadlines set forth in the facility’s RCRA permit, a response to information received concerning alleged violations at the facility, or many other possible purposes.
Knowledge of the purpose and scope will enable to inspector to properly prepare for the right type of inspection.
Routine compliance inspections are generally broad in scope. However, inspections performed for other purposes (e.g. response to reported alleged violations) may target more specific areas based on the intended purpose of the inspection. An inspection might be multi-media in nature which would require coordination and planning with other State/Federal agencies. The purpose of the inspection will dictate the specific types of preparation that need to be conducted before the site visit.
B. Coordination With Other DEQ Programs and Agencies Inspectors should identify the other offices within their agency, or other local, state or federal agencies, that might be interested in the results of or participating in an inspection. This could include the permit writer assigned to a facility, Corrective Action, Federal Facilities, Air or Water staff. Other offices or agencies, such as the Department of Health or the Department of Transportation, may be interested in an inspection for several reasons.
Scheduling joint inspections with other DEQ offices or local, state or federal agencies allows inspectors to maximize the use of state resources. Offices may be able to share resources and information or conduct concurrent multi-media inspections. The inspection might be performed in part or exclusively at another office’s request. Another office might share jurisdiction for RCRA enforcement at the facility, making the scheduling of a joint inspection desirable. Another office may be pursuing a planned action that might be interfered with by the inspection or enhanced through coordination. The inspection may provide incidental information or identify cross-program compliance issues that would be useful to another office in their regulatory or enforcement activities.
Coordination allows an inspector to schedule an inspection to avoid interference with planned activities of other agencies or offices. Conferring with other offices or agencies will enable the inspector to ensure that the inspection satisfies their information needs. Obtaining relevant information on the facility’s administrative or enforcement status, such as pending enforcement actions under RCRA or other programs and clarifying the scope of an inspection and areas of particular interest to another office will ensure that all information needs are met. Obtaining technical information on a facility from a permit Page 46 HAZARDOUS WASTE INSPECTOR HANDBOOK writer (all media) and obtaining facility information from other agencies can also help to further the goals of a Memorandum of Understanding between regions and state agencies.
If an inspector is conducting an inspection to support an enforcement action (e.g. to determine if a facility has come into compliance with the terms of an enforcement order), the inspector must coordinate the inspection with the appropriate Regional enforcement case manager for that facility. If the case has been referred to Central Office enforcement staff, coordination must be with Central Office. Those individuals will be able to explain the specifics of the action and identify important areas for review at the facility.
C. Preparation 1) General Preparing for an inspection consists of ensuring all applicable available information has been reviewed and necessary resources have been acquired prior to the inspection. Preparation for an inspection should include the following activities: Determine inspection objectives and identify needed preparation to achieve those objectives; Coordinate with other local, state and/or federal agencies, if applicable; Schedule the inspection at the facility if you intend to perform an announced inspection; Review the Facility’s Website; Review general information about the type of business you are visiting; Review the current status of the facility in RCRAInfo (including compliance, permitting and corrective action history); Review relevant Permits (all media if time permits); Review Facility Developments/Correspondence in Enterprise Content Management (ECM) database; Review Previous/Past inspections – Written Reports; Check for Past Violations/Enforcement Activity – Was the facility returned to compliance? Review applicable regulations or guidance documents; Speak with Previous Inspector(s) and Enforcement staff regarding any ongoing activity; Review the Biennial Report for the most recent reporting Year(s); Identify Past Waste Streams; Identify Accumulation Areas ; Make copies of specific checklists for that facility; Make a copy of the inspection report/WL/NOV from the last HW inspection the facility had, if applicable, and take this document with you to the inspection; Reserve the use of a state vehicle, if needed; For regions with tolled roads, reserve an EZ Pass or similar payment form. Assemble required personal protective equipment; Get directions to the facility, if needed.
Page 47 HAZARDOUS WASTE INSPECTOR HANDBOOK Prior to conducting an inspection/investigation, the Inspector should become familiar with the facility to be visited. This can be accomplished by reviewing the facility’s website, checking RCRAInfo, and reviewing all pertinent files in DEQ’s Electronic Content Management (ECM) database for the subject facility. Note all DEQ and EPA data systems require authorized access which is obtained by completing and submitting a computer access request form. For additional instructions for this form, refer to Appendix 4 – DEQ Access Forms.
RCRAInfo is EPA’s electronic database to track facilities in the RCRA program. Additional information on RCRAInfo can be found in Chapter 11 of this Handbook. Current status of the facility based on the most recent Notification of Hazardous Waste Activity, as well as summaries of each Notification made by the company, can be accessed on RCRAInfo.
ECM is DEQ’s electronic filing system where facility records are stored including inspection reports, NOVs, facility-submitted documentation, and other correspondence. The inspector should use ECM to access previous inspection reports and other facility records. Instructions on using ECM are located in Appendix 5 of this Handbook. More detailed discussion of the file review is discussed in the next section. It should be noted that sometimes documents exist that have not been uploaded to ECM by enforcement, compliance and permitting staff at the time of the inspector’s file review.
Therefore, it is important to also seek out the appropriate DEQ staff to determine their knowledge of the current status of the facility.
DEQNet is DEQ’s internal website. The most updated policies and procedures governing the DEQ can be found here. Updated checklists can be found in the HW Compendium on DEQNet. Other regulatory guidance can also be found in the Compendium. Inspectors should periodically review the hazardous waste content found on DEQNet. 2) Pre-Inspection File Review A comprehensive file review for the facility must be conducted prior to the inspection. Through the file review, the inspector should develop a thorough technical understanding of a facility, the wastes managed, waste management units, and the processes which generate and treat the waste, if applicable. The inspector should also develop an understanding of the compliance history of the facility, including past violations, facility efforts to correct compliance problems, and potential violations that may not yet have been remedied. The inspector can also determine applicable regulations for the facility in order to review those as well (discussed in the next section). a) ECM Inspectors should review prior enforcement documents for the facility, and talk to enforcement staff responsible for developing these enforcement documents. These enforcement documents can help to determine specific activities or issues of interest at a facility, specific non-complying conditions or potential for violations, specific activities that should have been performed to return to compliance from a previous inspection, and the compliance schedule and intermediate milestones toward completion of required activities.
Page 48 HAZARDOUS WASTE INSPECTOR HANDBOOK Speaking with enforcement staff will ensure that the inspector has been made aware of any enforcement developments that have not yet been included in facility files.
The Inspector can also review cross-program files in ECM (as time allows) to determine if there are any possible issues that may relate to hazardous waste that have been noted by other DEQ media programs. These files include permits, permit modifications, permit applications, general correspondence, previous inspection reports and any other relevant files in the database for that facility. This step is especially crucial when visiting a site for the first time for hazardous waste compliance.
Inspectors should contact the responsible permit writer before inspecting permitted or interim status TSD facilities. If the facility’s permit application is undergoing review, the permit writer and application will usually provide valuable information about the facility, or the permit writer may have information needs that the inspectors can fulfill during an inspection. If a facility has received its permit, the permit imposes site-specific requirements that are subject to enforcement and should be evaluated during the inspection. In addition, the permit writer may be able to identify suspected problem areas at the facility. b) CEDS Hazardous waste facilities are not currently tracked in the CEDS system at DEQ. However sometimes a facility that has hazardous waste issues may also have issues in other DEQ regulatory programs that are tracked in CEDS. The Inspector can review cross-program data in CEDS (as time allows) to determine if there are any possible issues that may relate to hazardous waste that have been noted by other DEQ media programs, and whether or not a facility has permits in other media that could possibly impact issues during the inspection. waste compliance.
c) RCRAInfo The inspector should review the status of the facility in RCRAInfo. The inspector should review the most recent Biennial Report for the facility, if applicable. The Site ID portion of the BR for LQGs and TSDs will have the most recent information about facility contacts and wastes generated by the facility. Review the amounts of wastes and waste types generated during that previous reporting year. The types of violations from past evaluations can also be reviewed on RCRAInfo.
In the absence of any other type of files, the Inspector can review EPA guidance specific to the type of industry to be inspected (if available) on EPA’s website.
Specific information that should be obtained during the Pre-Inspection File Review includes: The name and telephone number of the facility contact person; Waste codes identified on the facility’s most recent RCRA Subtitle C Site Identification Form; Waste codes identified by the facility’s Part A application, if applicable;
Page 49 HAZARDOUS WASTE INSPECTOR HANDBOOK Manufacturing process at the facility, including waste management activities and design capacities; Biennial Report information; Any site-specific variances; Outstanding, uncorrected or recurring violations; Status of outstanding enforcement actions; Any complaints made against the facility; Waste shipments made, received, treated, stored and/or disposed; Treatment, storage, and/or disposal facilities used; Financial assurance records, if applicable; Permit information and permit-specific conditions, if applicable; Part B application, if applicable; All checklists that are applicable to the facility being inspected; A copy of the facility’s last inspection report.
To avoid photocopying, all pre-inspection information may be recorded on the Pre-Inspection Worksheet found in this Handbook in Section 6.C.8. 3) Pre-Inspection Regulatory Review Based on information obtained from the facility file review, an inspector should have a good idea of what might be encountered at the facility being inspected. The inspector should use the pre-inspection period as an opportunity to review current, up-to-date regulations and guidance that might be applicable to the facility in question. For instance, if the facility claimed that an exclusion or an exemption applied during the last inspection, guidance on that exclusion or exemption should be reviewed during the inspection to ensure that the regulation was appropriately applied.
The inspector should especially review changes in any applicable regulations or any new regulations that may have changed how wastes must be managed at the facility.
DEQ’s external website, http://www.deq.virginia.gov, can be used to access the most up-to-date regulations and guidance available.
EPA’s RCRAOnline database can be used to find guidance documents and directives applicable to regulatory issues. This database can be accessed at: https://yosemite.epa.gov/osw/rcra.nsf/How+To+Use 4) Facility-Specific Inspection Plans For federal RCRA inspections, EPA recommends the development by the inspector of a brief inspection plan for each facility that is based upon the type and size of the facility, previous regulatory and enforcement issues, the reason for the inspection, the size of the facility, any issues regarding the facility, and the estimated time necessary to conduct the inspection. This inspection plan outlines steps that an inspector will take once on-site at the facility, and highlights any Page 50 HAZARDOUS WASTE INSPECTOR HANDBOOK particular questions that the inspector needs to address or answer during the inspection. The plan considers whether an inspection should be announced or unannounced, in what order the steps of the inspection will be performed, what will be discussed in the opening conference, which facility records to focus on, the route to take through the facility based upon previous maps submitted by the facility and Google Earth, best starting and stopping times for the inspection, coordination of inspection efforts, and any other pertinent issues. While DEQ does not require that an inspection plan be written, it might be helpful to a newer inspector, and might help the inspector to not overlook important issues at the facility. 5) Announced Versus Unannounced Site Visits The option to conduct an announced versus unannounced inspection is at the discretion of the inspector and the LPM for that Regional Office. Issues that should be taken into account when determining announced versus unannounced include the purpose of the inspection and the inspection strategy, whether an inspector suspects that a facility is engaged in non-compliant activities, and the length of time the inspection is expected to require.
A company that has had complaints made against it or unlawful activity alleged by an informant should receive an unannounced inspection. A facility that is in the DEQ’s Virginia Environmental Excellence Program (VEEP) should receive advance notice of any inspections. Inspections to follow up a Compliance Assistance Visit (CAV) should be unannounced. Inspectors have a right to access the facility at all reasonable times, whether announced or unannounced. However, an inspector needs to keep in mind that sometimes unannounced inspections can set a negative tone for certain facilities if the inspection disrupts some kind of meeting or other planned activity at the facility. An unannounced lengthy inspection can be even more disruptive. DEQ staff should try to courteous.
But when you are conducting an announced inspection, remember that you are not asking the facility’s permission to inspect. You are merely extending the courtesy of advance notice, and you will accommodate the facility to the extent that you can within reason.
For an unannounced inspection, an inspector should research the company’s hours and days of operation, and any other information on the company’s website or in facility files that might assist in planning the inspection. The names of key staff members or department names can be determined by reviewing a company website. An inspector needs to keep in mind, for an unannounced inspection, that the possibility exists that the appropriate contact will not be present at the facility that day, or might be tied up in meetings or important business activities. Summer and holiday seasons might not be the best times of year to attempt an unannounced inspection. Additionally, for larger companies with a corporate presence in another location, the inspector might be asked to postpone the inspection until the appropriate staff members for corporate headquarters can be in attendance as well. The inspector should mentally prepare what his/her response will be in that situation. An inspection can still be performed without all the appropriate facility staff in attendance; however, it might not be the most complete inspection, and there could be knowledge gaps that can only be filled by the missing contact person. This could result in the need to extend the inspection into a second day.
Page 51 HAZARDOUS WASTE INSPECTOR HANDBOOK If the inspection will be an announced inspection, the Inspector should contact the facility prior to the inspection in order to establish an inspection date and time. Following the establishment of the time and date of the inspection, an confirmation e-mail can be sent to the facility to reiterate the agreed upon date and time, as well as to inform the facility of the types of records that should be available during the inspection, and what type of personal protective equipment (PPE) is required to be worn by the inspector(s). A sample confirmation e-mail can be found in Figure 1.
Figure 1__Sample Email to Facility Contact For Announced Inspection____________________ (Facility Contact), As we discussed today on the phone, the Department of Environmental Quality (DEQ) will conduct a hazardous waste compliance evaluation inspection at (Facility Name) on (Day of the Week), (Date), meeting at (established time).
The inspection will consist of: An entrance interview---to discuss the facility’s processes, history, and general layout; A walk-through inspection---to observe all production processes and waste accumulation areas/used oil storage and universal waste storage areas, including maintenance shops; A record review of the following documentation:
- Waste profiles/determination (sample analytical data if applicable);
- Waste manifests and land disposal restriction notices;
- Exception reports;
- Hazardous waste accumulation area weekly inspection logs;
- Emergency Planning and Preparedness Plan (if LQG or TSD);
- Biennial Report for (most recent reporting year);
- Training documentation;
- Documentation of arrangements with local authorities;
- Any other applicable documentation; An inspection summary/closing comments.
The complete hazardous waste management regulations and laws may be obtained on the DEQ Hazardous Waste homepage. Should you have additional questions regarding the inspection, please contact me at (email and phone). 6) Safety Considerations An inspector must take health and safety considerations into account when preparing for an inspection. Inspectors will select equipment to take into the field depending on the kind of inspection they plan to perform and the type of facility that will be inspected. Inspectors must also be thoroughly familiar with the OSHA health and safety regulations found in OSHA Subpart H of 29 CFR Part 1910 at https://www.gpo.gov/fdsys/granule/CFR-2013-title29-vol5/CFR-2013-title29-vol5-Page 52 HAZARDOUS WASTE INSPECTOR HANDBOOK part1910 to ensure compliance with those requirements that are applicable to the inspection process. Inspectors must complete the health and safety required training identified in Chapter 3 of this Handbook.
All hazardous waste management facilities pose some degree of hazard to personnel present on site, including inspectors. This hazard increases in direct proportion to the decrease in the amount and quality of information available to these personnel on facility operations and practices.
Therefore, it is extremely important that inspectors understand a facility’s processes and hazardous waste management practices prior to entering a facility so that they are aware of all the potential health and safety issues, arrive prepared at the facility with the appropriate safety gear, and follow the appropriate procedures specific to the facility during an inspection. Where feasible, inspection staff is encouraged to keep a stocked field bag with commonly used gear and take it with them each time they go in the field in the event of an unexpected need. This bag might include steel-toed shoes/boots, ear protection, eye protection, hard hat, reflective safety vest, rain gear (see also the section below).
Although routine inspections generally do not involve activities in which inspectors must physically contact hazardous wastes, there is always the potential for inspectors to be exposed to hazardous waste or substances during the course of an inspection. In planning an inspection, the inspector should: Determine the nature of chemical hazards that may be encountered; Identify and obtain proper safety equipment; Become familiar with the proper use of safety equipment; Obtain and become familiar with all applicable safety guidance and practices; and Determine any facility-specific safety requirements by contacting the facility (for announced inspections) or by reviewing previous inspection reports.
The following information on Safety and Security While in the Field comes from DEQ’s Emergency Action Plan, dated February 10, 2016: Field personnel are responsible for remaining alert to their surroundings and to report any suspicious activity or unsafe conditions immediately to their supervisor. Each employee will be responsible for keeping their calendars current and for sharing their schedules with their immediate supervisor. Should any emergency occur while any agency employee is working in the field, executive management will attempt to contact those affected employees to inform them of the current situation and offer guidance based upon the conditions and current policy. All agency employees should also attempt to contact their offices immediately upon learning of a natural or man-made disaster or emergency incident.
Additional information on safety gear can be found in Chapter 7.
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7) Physical Preparation
a) Inspection Equipment
Table 6-2: Inspection Equipment and Safety Gear General Equipment
Camera Flashlight and batteries Calculator Ruler Tape Measure Disposal towels, rags and/or wipes Clipboard Pens, pencils & markers, including waterproof Magnifying Glass Safety Equipment
Safety Glasses or Goggles Rubber-soled Shoes Ear Protection Steel-Toed Shoes or Boots, including metatarsal Coveralls protection, where available Hardhat Rubber Gloves Shoe Covers Reflective Safety Vest
General Paperwork
Business Cards Checklists DEQ Identification Card Last Inspection Report Driver’s License Field Logbook Facility Map Notebook Any relevant Guidance Sampling Equipment
Generally not applicable for hazardous waste inspections. Where sampling is mandated, check with your LPM for regional or Central Office options.
In some cases inspectors will have limited information about a facility, or may be inspecting an uncontrolled site. Inspectors should be prepared to encounter the worst conditions in such cases. Inspectors should never proceed with inspections involving site conditions for which they are not prepared and do not have the proper safety equipment. If conditions appear unsafe, do not proceed. This applies to physical, respiratory, and/or meteorological hazards.
Page 54HAZARDOUS WASTE INSPECTOR HANDBOOK b) Logistics Prior to embarking on an inspection, a DEQ inspector, if applicable, needs to reserve a state vehicle to use for transportation to the inspection.
Different Regional Offices and different programs have different vehicle sign-up procedures.
Each inspector should check with their LPM to determine what the applicable procedure is for their region. If an inspector anticipates the need to use a toll road, check with your LPM and follow regional protocols for reserving and obtaining an EZ Pass or other payment.
Inspectors should also attempt to keep in mind DEQ’s Environmental Management System (EMS) program when scheduling inspections. If an inspection is at a distant location, it might be more practical to schedule multiple potential inspections in one day to minimize the need to make a second long trip to a location near the first.
An inspector should plan the travel route(s) and may either use their personal GPS device, print directions from a web-based source, or map out prior to departure. 8) Pre-Inspection Checklist The following checklist may be used by inspectors to assist in preparing for inspections.
Task Completed Description of Activity Determine inspection objectives and identify needed preparation to achieve those objectives;
Coordinate with/notify other local, state and/or federal agencies, if applicable;
Schedule the inspection at the facility if you intend to perform an announced inspection;
If inspection is announced, follow-up scheduling with an email outlining the inspection objectives; If the inspection is unannounced, inspector should be prepared to determine appropriate facility contact upon arrival. If appropriate contact is unavailable, inspector can conduct the physical portion of the inspection with an alternate contact, or can re-schedule the inspection for a date in the future.
Review the status of the facility in RCRAInfo;
Review Facility Notifications/Developments/Correspondence in ECM database;
Review the Biennial Report for the most recent reporting Year in ECM (if applicable);
Identify Past Waste Streams;
Review Previous/Past inspections – Written Reports in ECM;
Page 55 HAZARDOUS WASTE INSPECTOR HANDBOOK Identify Accumulation Areas ; Look for Accumulation Area Notification (if LQG) Make a copy of the inspection report/WL/NOV from the last HW inspection the facility had, if applicable, and take this document with you to the inspection;
Check for Past Violations/Enforcement Activity – Was the facility returned to compliance?
Speak with Previous Inspector(s) and Enforcement staff regarding any ongoing activity;
Review relevant Permits (all media if time permits);
Review the Facility’s Website;
Review general information about the type of business you are visiting;
Review applicable regulations or guidance documents;
Make copies of specific checklists for that facility;
Secure the use of a state vehicle, and tolled road payment, if needed;
Assemble required personal protective equipment;
Map travel route(s) to the facility, if needed.
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CHAPTER 7 - CONDUCTING THE ON-SITE INSPECTION
As described previously, the major elements of most hazardous waste inspections are as follows:
Setting Up the Inspection – Announced vs. Unannounced
Pre-Inspection File Review
Gearing Up for the Inspection
On-site: Entrance Interview
On-site: The Walk-Through
On-site: The Paperwork Review
On-site: The Closing Interview/Summation
Inspection Write-Up
Inspection Follow-Up
This chapter will address the four parts of the inspection process that actually take place at the facility, indicated in bold above, and will detail some specific procedural differences that will occur during different types of inspections.
A. Legislative Authorities for Conducting Inspections Inspectors are authorized under RCRA to: Enter any establishment or location where hazardous wastes are, or have been, generated, transported, stored, treated, or disposed; Obtain samples for the inspection of any such wastes as well as inspection of any containers or labeling for such wastes; and Access and copy all records relating to such wastes. Please note that DEQ HW inspectors do not typically sample wastes; however, inspectors may request that the facility sample waste for any unknown and/or uncharacterized wastes and provide results to DEQ.
The portion of RCRA dealing with inspector access can be found in RCRA Section 3007, and is included in Appendix 3.
Code § 10.1-1402 authorizes the Virginia Waste Management Board (“Board”) to collect data necessary to conduct the state waste programs, including data on resource recovery and the identification of and amounts of waste generated, transported, stored, treated or disposed. The Board is also authorized to require any person who generates, collects, transports, stores or provides treatment or disposal of a hazardous waste to maintain records, manifests, and reporting systems required pursuant to federal statutes or regulation.
Code § 10.1-1455 of the Waste Management Act provides for an injunction for any violation of the Act, any Waste Management Board regulation, any condition of a permit or certification, or order. The same statute provides for a judicially imposed civil penalty up to $25,000 per day of such violation.
Code § 10.1-1455 also authorizes the Board to issue orders to address such violations and impose penalties up to $25,000 per violation. In addition, Code § 10.1-1186 authorizes the Director of DEQ to issue special orders to any person to comply with the Act and regulations and to impose a civil penalty of not more than $10,000.
Page 57 HAZARDOUS WASTE INSPECTOR HANDBOOK The Court has the inherent authority to enforce its injunction, and is authorized to award the Commonwealth its attorneys' fees and costs.
Code § 10.1-1455 provides that any person who knowingly makes any false statements or representation in any application, disclosure statement, label, manifest record, report, permit, or other document filed, maintained, or used for purposes of hazardous waste program compliance shall be guilty of a felony punishable by a term of imprisonment of not less than one year nor more than five years and a fine of not more than $25,000 for each violation, either or both.
Section 3007 of the Solid Waste Disposal Act (42 USC § 6927) provides that, for the purposes of enforcing the provisions of that chapter, any person who generates, stores, treats, transports, disposes of, or otherwise handles or has handles hazardous waste shall, upon request of any duly designated officer, employee, or representative of a State having an authorized hazardous waste program, furnish information relating to such wastes and permit such person at all reasonable times to have access to, and to copy all records relating to such wastes. Virginia has an authorized state hazardous waste program.
B. Safety Equipment The DEQ HW Inspector should ensure that he/she is wearing the appropriate safety gear for whatever type of facility is being inspected in order to meet with all applicable OSHA requirements, facility requirements, as well as to be protected. At a minimum, safety gear typically includes safety glasses, hearing protection, and steel-toed shoes.
If the facility is a manufacturing facility, or any facility with overhead work taking place, a hard hat would also be appropriate. If the facility has moving machinery, a safety vest could be required. If an inspector does not know what safety gear will be needed at a facility, the facility representative should be asked ahead of time for an announced inspection. For an unannounced inspection, the inspector should be prepared for all types of safety requirements. However, as noted in Section C, extensive or unusual safety gear requirements at a facility might be viewed by DEQ as a denial of facility access.
Typically, larger facilities that require more extensive safety gear, such as booties or coveralls such as flame retardant clothing (FRC), will have gear available to be borrowed by site visitors. DEQ employees should never enter into any site situation which makes them feel unsafe.
Additional Information on Safety Gear can be found in the DEQ Safety Policy Manual dated February 2016 and in Chapter 6 of this Handbook.
C. Arrival and Facility Entry Prior to arriving at a facility, an inspector should, to the extent possible, observe the facility from outside the facility property line, using adjacent properties (if possible) or other accessible public surrounding areas. Do not trespass on private property without the owner’s permission. Any anomalies noted on the aerial map of the area obtained during the file review should be noted from outside the facility property line, if possible. Any observations made during this time should be written in the field notes. Any issues that appear to exist should be noted and reviewed further once on facility property.
Page 58 HAZARDOUS WASTE INSPECTOR HANDBOOK Arrival at the facility should occur during normal working hours, unless mitigating circumstances, such as an emergency, require immediate response during off-hours. The facility should be entered through the main gate, except where a facility has designated another entrance. 1) Guest Registers and Waivers Upon arrival at the facility, the inspector will present DEQ identification to the reception personnel, state the purpose of the visit, and ask for the appropriate facility contact. The facility owner or agent-in-charge should be located as soon as the inspector or inspection team arrives on the premises to obtain consent for the inspection. If the inspection is an unannounced inspection and the facility contact is not known or is unavailable, the inspector should ask to see any of the following: Plant Manager, Environmental Manager, Shop Foreman, General Manager, or any other person in charge. When the inspector explains the purpose of the visit to the reception staff of the facility, the inspector will usually be informed who the appropriate contact is for the purpose of an inspection.
Occasionally, to gain access to a facility, an inspector is asked to sign a Guest Register in order to be able to enter the facility. It is acceptable to sign a sign-in sheet provided there is no restrictive language associated with it. Sometimes an inspector will be asked to sign a form which includes some type of waiver of liability for the company being inspected. This waiver might be on the form, in the Guest Register, or on a badge. An inspector should not sign any waiver of rights prior to entering a facility. A facility that will not allow the inspection to take place unless the inspector signs the waiver is denying access, discussed in Section 4 below. Some facilities will have an alternate sign-in form available for government employees who are not permitted to waive their rights.
However, refusal to sign a waiver form does not preclude an inspector from accessing a facility.
Please see DEQ Guidance dated February 18, 1992, and September 6, 2001, in Appendix 6. 2) Safety Briefing Sometimes inspectors will be required to read safety information or observe a safety video prior to being able to enter a facility. If the inspection is announced, the inspector should inquire when setting up the inspection what safety requirements need to be met in order to enter the facility. The inspector should plan accordingly. The viewing of a safety video should not be regarded as denial of access, unless passing a test following the safety briefing is a condition of site entry. The inspector should comply with routine company procedures to the extent possible provided they do not include a waiver of the inspector’s rights, or an inordinate delay in or denial of access. 3) Consent Despite the statutory authority to enter a regulated facility, a DEQ HW inspector should not enter a facility, other than into the main entrance area, without the consent of authorities at the facility in order to ensure that such inspections, investigations or responses would be legally defensible in court. Consent means the intentional foregoing of right to privacy that has not resulted from fear, ignorance, or trickery. In other words, consent to enter must be given knowingly and freely. While Page 59 HAZARDOUS WASTE INSPECTOR HANDBOOK absence of express denial constitutes consent in EPA guidance, it is DEQ policy (see “DEQ’s Enforcement Guidance Memorandum No. 1-2011: Access to Private Property for Inspections and Investigations, Denial of Access, and Obtaining Administrative Inspection Warrants” in Appendix 6 of this Handbook) that staff must obtain consent from the property owner or an authorized representative of the property owner prior to or at the time of conducting an inspection or investigation on private property, unless urgent circumstances require otherwise. Consent must be given by the owner/operator of the premises authorized by the company to give consent, or some other person with authority to give consent at the time of the inspection. In the absence of a possessor, the inspector must make a good faith effort to determine who is in charge of the establishment or is otherwise in a position to consent to entry.
Riding around the perimeter of a facility and observing the facility from adjacent public roads is allowed and does not require consent. However, accessing a property via a remote road or gate, or from a contiguous private property without the knowing consent of the facility is not allowed.
DEQ staff may enter upon property, even property that is marked with “No Trespassing” only to determine if the property owner or authorized representative is on-site and to obtain consent.
If, upon arrival at a facility, DEQ staff cannot locate the property owner or an authorized representative and prior permission has not been given to enter the site, staff cannot continue to conduct an inspection and must exit the property. Following exit, the staff should contact their supervisor to determine what the next steps will be for the facility in question. 4) Access Denial Denial of inspector access can take different forms, including the following: Express denial of access to the property; Limiting the scope of the inspection to exclude certain areas without acceptable explanation, such as US government secured areas requiring top security clearance; Requiring staff to sign waivers of liability; Requiring staff to sign confidentiality agreements; Denial of ability to take or request photographs of items that are reasonably related to the inspection or are evidence of non-compliance; Refusing or limiting staff’s use of equipment necessary to conduct the inspection; Refusing or limiting staff’s ability to take samples or conduct monitoring; Refusing or limiting staff’s ability to view documents necessary to conduct the inspection; Unreasonably delaying staff conducting the inspection; Making threats, intimidating, harassing, or coercing staff; Requiring provision of unusual safety equipment to gain access without offering facility-owned equipment for use Other unreasonable actions or conditions placed upon the staff.
Page 60 HAZARDOUS WASTE INSPECTOR HANDBOOK DEQ Guidance Memorandum No. 1-2011 (see Appendix 6) specifically details actions to be taken should access in some way be denied. Essentially, the inspector should kindly thank the facility representative(s), leave the site, and then contact his/her supervisor to determine how the supervisor would like the inspector to proceed.
Under no circumstances should the inspector discuss potential penalties or do anything that might be construed as coercive or threatening. If the inspector were allowed to enter a facility in response to a threat of enforcement liability, it is likely that any information or evidence obtained through such an inspection would be challenged as inadmissible should apparent violations lead to any type of legal action. An inspector may, however, inform the facility representative that he intends to seek a warrant to compel inspection. If entry is still denied after attempting to resolve obstacles, the inspector should withdraw from the premises.
A facility that asks an inspector to return at a later time and date because the appropriate facility contacts are not present should be accommodated to the extent possible if the inspection is unannounced. This is not necessarily denial of access. If the nature of the circumstances surrounding the inspection, such as a complaint or anonymous tip, warrant immediate follow up, the inspector can offer to reschedule the paperwork part of the inspection; however, the HW inspector can request any responsible facility employee to accompany the inspector on a site tour if immediate problems or violations are suspected and the inspector may decline the facility’s request to return at a later date. If the facility insists on rescheduling, access has been denied.
Occasionally a facility may consent to an inspection and later withdraw the consent while the inspection is in progress. Withdrawal of consent may be a refusal to permit entry. However, the circumstances around the withdrawal of consent should be evaluated. If the inspection has taken long, and the facility contact has a previously scheduled meeting or appointment, other arrangements can be made to return to the facility. An inspector needs to objectively review the facts surrounding the withdrawal of consent. If the facility contact seems to withdrawal consent to avoid showing the inspector certain documents or a certain area of the facility, the inspector should proceed as if access has been denied. The inspector will have to use their best judgment to determine what is really taking place with regard to withdrawal of consent.
Please note, even if a facility withdraws consent, all activities conducted and information obtained prior to the withdrawal of consent remain valid for the inspection. The person, time, and point during the on-site inspection of withdrawal of consent should be noted in the field log. 5) Access By Warrant A warrant is a judicial authorization for an appropriate official to enter a specifically described location and perform specifically described inspection functions. An administrative inspection warrant is a warrant issued to conduct a regulatory inspection or investigation, and is not the same as a criminal warrant to search a property or seize evidence. An administrative warrant can be obtained: in advance of the inspection; when facility officials have denied entry to an inspector; or when consent to inspect has been withdrawn during an inspection.
Page 61 HAZARDOUS WASTE INSPECTOR HANDBOOK An inspection warrant may generally be obtained under two circumstances. First, an inspection warrant may be granted by a court where the inspection or investigation and actions to be undertaken during the inspection are being conducted pursuant to reasonable legislative or administrative standards. Second, an inspection warrant may be granted where probable cause exists to believe that a non-compliant activity is occurring. In addition to either of these two circumstances, staff must have either been refused admission to the property or demonstrate to the court that facts or circumstances warrant the court issuing the inspection warrant without DEQ staff having consent to enter the property.
The first step in obtaining an inspection warrant is for the inspector to discuss the need with the Regional Land Protection Manager. If the Regional LPM believes an inspection warrant should be obtained, the inspector and the Regional LPM should further discuss the issue with regional management. Upon agreement by regional management, the regional office should contact the Director of Enforcement (DE) in Central Office to discuss the basis and appropriateness for the inspection warrant, and next steps to be taken. Upon agreement that an inspection warrant should be obtained, the DE will contact and coordinate with the Office of the Attorney General.
Legal citations for obtaining warrants, and additional descriptions of legal activities that take place prior to the issuance of the warrant, can be found in DEQ Guidance Memorandum 1, located in Appendix 6. 6) Dealing With Threats Rarely, an inspector may feel threatened, intimidated, or harassed by the actions of a facility contact during or after the inspection. Any of these actions constitute a denial of access. The threat can be openly made, or implied. If an inspector feels threatened during an inspection, the inspector should leave the facility immediately and report the threat to his/her supervisor as soon as possible. The inspector should take note of what was said or done, by whom it was said or done, and under what circumstances it was said or done. If an inspector feels immediately threatened and in danger, the inspector should call 9-1-1, and follow up with the supervisor as soon as possible.
DEQ’s Agency Emergency Action Plan (link found in Appendix 7) states that Field personnel are responsible for remaining alert to their surroundings and to report any suspicious activity or unsafe conditions immediately to their supervisor. 7) Apparent Violations or Situations Requiring Immediate Action If an obvious or immediate damage to human health or the environment has occurred or is about to occur, such as a fish kill or a release of hazardous or toxic substances, and an immediate investigation or other action to determine the source and/or mitigate its effects may be warranted, the DEQ HW inspector should immediately notify their Regional Director or designee. After notifying the RD, DEQ staff should notify the property owner or authorized representative and seek immediate access to the site. If the property owner or an authorized representative cannot be reached and the apparent violations or circumstances involve waste media, staff should consult with Page 62 HAZARDOUS WASTE INSPECTOR HANDBOOK the Central Office Division of Enforcement prior to entering the site. DEQ staff may enter the property to conduct a limited investigation to determine immediate risks to human health and the environment if the suspected violations or circumstances involve apparent environmental violations.
However staff should continue to attempt to contact the property owner or an authorized representative, even after exiting the property.
DEQ STAFF SHOULD NOT ENTER THE PROPERTY IF A RISK TO THE EMPLOYEE’S HEALTH AND SAFETY IS PRESENT. If the DEQ inspector is concerned about the level of risk at a site, the inspector’s supervisor should be contacted immediately for further instructions. If you suspect a fire or hazardous materials incident is imminent, call 911.
D. General Inspection Procedures This section describes basic inspection procedures common to most types of inspections. Further details will be provided later in this chapter for specific types of inspections.
Depending on what is observed during the pre-inspection drive around (from public access) or based upon past compliance history of the company (open containers or delays in entry) or any reports of alleged non-compliance, the inspector may elect to go straight to the storage area(s) first, and then obtain the information referenced in this section. 1) Opening Interview Prior to beginning any inspection, the inspector should meet with the facility representative(s) to clearly state the purpose of the inspection, any background information regarding why the facility is being inspected, and should establish how the rest of the inspection will progress. During this interview, the inspector should question the facility representatives about the function of the business, a description of any processes conducted, a brief overview of wastes generated and how they are managed, and anything else that might be pertinent to completion of the survey sheet. It is important to remember that the inspector should be the one determining how the inspection will progress. An inspector should not allow himself/herself to be steered toward certain topics and away from others, or away from certain areas of the facility during the walk-through inspection. The DEQ inspector leads the inspection.
Regardless of the facility type, all inspections begin with completion of the Survey Sheet (see Chapter 8 on Inspection Checklists for completion instructions). The Survey Sheet is used in order to determine which generator standards a facility must comply with (if this information is not already known). Generators are required to identify each waste stream that they generate, both solid and hazardous wastes, and determine all applicable listings and characteristics. After determining which wastes are hazardous, each month the generator must total or count the weight of all hazardous wastes generated in that month in order to determine if they will be regulated as an LQG, an SQG, or a CESQG for that particular month. The Survey Sheet can be used to take notes on monthly generation rates, and waste accumulation amounts, to ensure that the generator has properly determined his generation level for each month of the inspected period. Information that should be noted on the Survey Sheet, either in response to a specific question or in the comments section, are Page 63 HAZARDOUS WASTE INSPECTOR HANDBOOK found below. The inspector should collect specific information about the facility EACH TIME THE FACILITY IS INSPECTED, including: Owner of the facility. Number of years at the current site. Number of employees and shifts worked. Number of employees involved in handling hazardous waste. Size of the facility and property boundaries. Adjacent properties and their uses (if pertinent). A facility map, if available. A description of the facility’s operations, including a description of all processes at the facility (especially those processes and units generating and storing hazardous waste). Process flow diagrams, if available. Raw materials used in the operations. Products that are manufactured. Hazardous wastes generated from each process. Written waste profiles if available. Waste codes and description of each waste stream. Generation rate of each waste stream. Destination for each waste stream (including recycling facilities and disposal facilities). Description of the number and location of all satellite accumulation areas, and the type and volume of each satellite container. How the waste from satellite areas is transferred to the storage area. How and where the hazardous waste is stored on-site. Type and size of containers used to store the waste. How often waste is shipped off-site and who transports it?. Name and location of off-site destination facilities. Description of any used oil generated from the facility, and the generation rate, if applicable. Name and location of the used oil transporter and receiving facility. Description of universal waste generated from the facility and the generation rate, if applicable; How the universal waste is managed and the receiving facility. Any resource recovery operations at the facility. Information pertaining to the facility’s waste minimization plan, if applicable. Information on any wastewater pretreatment operations, if applicable.
After all the information concerning the facility’s operations and hazardous waste management activities has been collected, the inspector can begin the visual inspection of the facility, followed by the review of pertinent records.
During this entrance-interview, the inspector should let the facility know how their generator status is currently identified in RCRAInfo, and inquire as to whether the facility is still generating Page 64 HAZARDOUS WASTE INSPECTOR HANDBOOK consistently in that generator category. If applicable, the inspector should obtain a map of the facility. Also, on the survey sheet the inspector may elect to include flow diagrams of facility processes that generate waste. If the facility already has flow diagrams available, the inspector should ask for a copy to append to the inspection report.
Each inspection of a facility represents a facility’s compliance during a specific period of time, and is independent of any previous inspections conducted at that location. Each time an inspector performs a CEI, facility processes and waste determinations should be carefully reviewed as if the inspector had not been there before to determine whether proper waste characterizations have been made. Waste analysis data should be reviewed each time an inspection is performed.
Manifests, waste generation rates, storage times and amounts, and contingency plans/emergency arrangements should all be carefully reviewed. INSPECTORS SHOULD NOT RELY ON INFORMATION THEY RECEIVED DURING PREVIOUS INSPECTIONS. All checklist questions should be asked, information reviewed, processes examined, changes in waste streams determined EACH TIME AN
INSPECTOR INSPECTS.
Information obtained from the entrance interview, as well as from the previous inspection report or other files reviewed during the pre-inspection file review, will assist the inspector in determining which checklists will need to be completed for each specific facility that is inspected. These checklists are described more fully in Chapter 8 and included in Appendix 1. 2) Physical Site Inspection After the objectives of the inspection have been identified, and the inspector is satisfied that all relevant facility information has been gathered and all applicable pre-inspection documents have been reviewed, the inspector may ask the facility representative for a tour of the facility. During this tour, the inspector will make a visual inspection of manufacturing processes, hazardous waste generation, and waste management locations. The inspection should also conduct a visual inspection of the grounds surrounding the manufacturing building(s) and/or waste management areas. The purpose of the “walk through” is to verify: Physical compliance with waste management requirements; Proper/accurate identification of all hazardous waste generated and/or handled; Volume of wastes generated and/or handled; Any changes in operating and/or waste management practices since prior inspections; Waste minimization/pollution prevention opportunities.
Please note, the visual inspection may be conducted prior to the opening interview 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 the materials used and all waste streams generated from the process. The inspector should take careful note of all trashcans, Page 65 HAZARDOUS WASTE INSPECTOR HANDBOOK bins, floor drains, sumps, drums, or any other type of container where waste is being placed. The inspector should never handle any waste or container. If such handling is necessary, the inspector should make every attempt to request the facility staff 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.
The Survey Sheet and Checklists are used during facility inspections as a tool for organizing, conducting, and recording the results of the inspection. All checklists should be printed prior to the inspection/ investigations, and should be filled out completely and comprehensively while on site.
Ideally, there should be no blank areas of the checklists remaining at the end of the inspection.
Inspectors should ensure that they have a copy of each type of inspection checklist available to them, as needed, during each inspection that they conduct.
Virginia DEQ does not typically take samples or split samples during hazardous waste inspections. If a waste container of unknown contents is discovered at the facility, or it is determined that the facility has an uncharacterized waste stream, the DEQ inspector can ask the facility to obtain a sample and have the sample analyzed to determine its proper waste characterization. This can be accomplished by simply requesting the facility to characterize the waste, sending the facility a formal Request for Information after the inspection (discussed further in Chapter 9 Post-Inspection Procedures), or citing the facility for the apparent failure to determine the regulatory status of the unknown waste.
While performing the Walk Through portion of the inspection, the inspector should be taking notes, in both field notes and on checklists, of any observations of possible non-compliance that are observed, or any issues that might be of concern for further discussion. The inspector should, where applicable, show the facility representative the non-compliant observation. If the facility corrects the non-compliance at the time of the inspection, the inspector should make note of the correction that was made in the logbook as well. If the facility representative indicates that the non-compliance has been noted and will be corrected after the inspection, make sure the representative is aware of the type of documentation that must be sent to DEQ to support return to compliance for that alleged violation.
When the inspector observes any hazardous waste satellite accumulation area, the area and satellite containers should be evaluated to ensure compliance with SAA requirements. The inspector should ensure that no more than 55-gallons of non-acute hazardous waste total, or one quart of acute waste total, is in a single satellite accumulation area, and that the area is at or near the point of generation, within the sight line and under the control of the operator. 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 or Page 66 HAZARDOUS WASTE INSPECTOR HANDBOOK otherwise handled, as applicable. Make sure that satellite accumulation area containers are properly marked with the words “Hazardous Waste” or words that describe the contents, and kept closed except as necessary to add or remove waste from the container.
Common satellite accumulation area violations include: Not labeling/marking containers; Not keeping containers closed; Accumulating more than a total of 55-gallons and not dating and/or removing the excess within three days; Having evidence of releases on or around the containers;
Having containers that are in poor condition; Not performing waste determinations; and Placing containers in areas that are not at or near the point of generation and/or not under the control of the operator.
If any apparent violations are observed, the inspector should point out the apparent noncompliance 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 possible violations in the comment section of the checklist. The inspector should obtain photographic documentation of any apparent violation if it is practical and does not pose a physical hazard. The inspector should make note if the apparent violation is immediately corrected and how.
If a facility does not allow the use of a camera, request the facility representative to take a picture of the noted apparent violation and forward it to you via email. Take note of which pictures were requested during the inspection.
It is important for the inspector, when noting possible violations, to fully document the conditions related to the observation and all relevant details. For example, the inspector should note: The type of waste (e.g., liquid, solid, ignitable, corrosive). The estimated volume of waste and number of containers. Situations that may pose additional hazards (e.g., close to an ignition source, in an area accessible to the public). The length of time the apparent violation has been occurring, if known. Any other situation or condition that may exacerbate the actual or potential danger, or threat to human health and the environment.
After the inspector is finished observing each process and satellite accumulation point at the facility, the inspector should ask to see the hazardous waste accumulation area(s). 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 the waste inside the container is what is marked on the outside of the container, he or she may request the appropriately trained facility representative open the container to observe the contents. Also observe access, containment structures as applicable, and fire and spill control equipment in the areas.
Page 67 HAZARDOUS WASTE INSPECTOR HANDBOOK Common noncompliance at hazardous waste accumulation areas include improper labeling and dating on containers, open containers, evidence of releases or leaks, containers in poor condition, dates on containers older than 90 or 180 days, and inadequate aisle space/labels not visible for inspection.
The inspector should not let the facility representative lead them through the inspection. Instead, the inspector should lead the inspection, and ensure that 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 and disposal practices.
Any areas where access is denied should be carefully noted by the inspector.
Some general problems often noted at facilities include failure to make waste determinations, failure to recognize and act on compliance responsibilities, failure to perform self-assessments of programs and establish standard operating procedures, and failure to quickly correct problems that are noted.
When the inspector is satisfied that all areas of the facility have been evaluated, the inspector should request to conduct the record review while at the facility. 3) Records Review After the completion of the walk through/visual portion of the inspection, the record review portion of the inspection can commence. The DEQ inspector will review all applicable records related to hazardous waste management activities at the facility, including but not limited to: Waste analysis plans or sample results used for waste identification. Safety Data Sheets for materials used resulting in waste generation. Hazardous waste manifests for waste shipments made during the past three years (or since the last inspection if less than three years) along with any “Bills of Lading” or other shipping documents that indicate hazardous waste shipments. Note: SQGs should be generating at a rate low enough and shipping infrequently enough that the inspector can easily review all the manifests from the past three years. However, at LQGs, for very large amounts or very frequent inspections, it might be difficult for the inspector to review every manifest from the past three years because of the large number of manifests. This will be discussed under LQG inspections. The corresponding Land Disposal Restriction notifications. [Note: Notifications should be reviewed at a minimum back to the date of the last inspection. If the facility has never been inspected, all notifications for the last three years should be reviewed.] Tolling agreements.
Page 68 HAZARDOUS WASTE INSPECTOR HANDBOOK Emergency coordinator contact information, if applicable. Documentation of arrangements with local emergency authorities. Written inspection plan. Documentation of waste determinations. Personnel training plan. Documentation of training completed by personnel. Contingency plan. Tank integrity testing results, if applicable. Biennial Hazardous Waste Reports. Documentation on the location of fire extinguishers and spill control equipment. Inspection records for emergency equipment. Weekly inspection records for container storage areas and/or daily inspection records for tank storage areas if maintained. Daily inspection records for areas subject to spills, if maintained. Any permits for discharge to a Publicly Owned Treatment Works. Documentation of any other waste disposal, including Used Oil and Universal Wastes.
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.
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.
If an inspector feels that a more detailed review is warranted than can fit into the time frame of a regular inspection, the inspector can ask for copies of documents for which further review is intended in order to review the documents once the inspector is back at DEQ. The inspector should also obtain copies of any documents that reflect apparent violations of the VHWMR, such as incomplete or incorrectly completed manifests or LDR notifications. If the facility will not provide copies of documents during the inspection, if the inspector needs the documents, notes should be carefully taken on the documents that are needed. These documents can then be requested via a formal Request for Information following the inspection. The inspector should keep in mind, however, to only request copies of essential documents for waste minimization and data storage reasons.
For generators that store hazardous waste in tanks, additional documentation is required as outlined in the Tank Checklist found in Appendix 1. Certain other equipment may be associated with hazardous waste management at large quantity generators and may also be subject to the RCRA air Page 69 HAZARDOUS WASTE INSPECTOR HANDBOOK 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 and complete the appropriate section of the Container Checklist or a stand-alone Subpart CC checklist..
In addition to the records above, some generators operate units or perform other types of hazardous waste management requiring additional documentation. Examples are resource recovery, universal waste generation, and used oil generation. Procedures related to record reviews and visual inspections of facilities with the above-mentioned operations are discussed later in this chapter.
E. Specific Inspection Procedures 1) Small Quantity Generator Inspections Small quantity generator (SQG) inspections are conducted at facilities that generate more than 100 kilograms (220 pounds) of non-acute hazardous waste in any calendar month, but less than 1,000 kilograms (2,200 pounds) of non-acute hazardous waste and/or less than one kilogram (2.2 pounds) of acutely hazardous waste per month at their facility, and do not accumulate greater than 6,000 kilograms (approximately 13,200 pounds or 30 drums) at any time. The SQG requirements include: Identifying and counting waste; Obtaining an EPA Identification Number; Complying with accumulation and storage requirements, including requirements for training, contingency planning, and emergency arrangements; Preparing the waste for transportation; Tracking the shipment and receipt of waste; and Meeting Recordkeeping and Reporting Requirements.
Checklists to be completed during a SQG inspection are, at a minimum, the survey sheet and the SQG checklists. If the facility accumulated hazardous waste in containers, the container checklist should be completed. If the SQG accumulates hazardous waste in tanks, the SQG tank checklist should be completed. If the facility generates Used Oil or Universal Waste, those checklists should be completed. The inspector should familiarize himself/herself with the list of possible checklists (see Appendix 1) and bring the appropriate checklists to the inspection.
Page 70 HAZARDOUS WASTE INSPECTOR HANDBOOK 2) Large Quantity Generator Inspections Large quantity generator inspections are conducted at facilities that generate 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 in any calendar month.
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 facility.
The procedures for conducting the visual inspection at a large quantity generator are the same as the procedures for small quantity generators.
The type of information the inspector needs to collect for a large quantity generator is the same as for a small quantity generator. After the initial discussion, and 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.
The inspector should verify three years of manifests are being retained. The inspector should ensure that every manifest from this time period should be reviewed. If there are time constraints that will not allow the review of each manifest, the inspector should review at least the manifests from the last twelve months and a random sampling of manifests from each of the two preceding years.
Alternately, the inspector can ask for copies of manifests so that they might be reviewed once the inspector has returned to DEQ. This is easy to accomplish if the manifests are already in electronic format.
3) Conditionally Exempt Small Quantity Generators (CESQGs) CESQGs generator inspections are conducted at facilities that generate less than 100 kilograms (about 220 pounds, or roughly ½ of a 55-gallon drum) of non-acute hazardous waste, or more than one kilogram (2.2 pounds) of acutely hazardous waste in any calendar month.
CESQGs do not have to submit a Notification of Hazardous Waste Activity or obtain an EPA identification number for their hazardous waste generation activities. They are not required to use a uniform hazardous waste manifest when shipping hazardous waste off-site. CESQGs do not have any container, labeling or dating requirements. CESQGs ARE required to make a hazardous waste determination on any solid waste streams that they generate. If a CESQG determines that a solid waste stream is hazardous, the CESQG must ensure that the waste is delivered to a facility that is authorized or permitted to manage that hazardous waste. This would include permitted hazardous waste treatment, storage, and/or disposal facilities, or recycling facilities. Some states allow CESQG hazardous waste to go to in-state municipal landfills; however, Virginia does not allow solid waste landfills to accept hazardous waste. The inspector should complete a Survey Sheet and a CESQG checklist.
Page 71 HAZARDOUS WASTE INSPECTOR HANDBOOK If a CESQG also generates and manages Used Oil and/or Universal Waste, the applicable checklists for these inspections should also be completed. All the UO and UW requirements apply to CESQGs that apply to SQGs or LQGs.
F. Documentation of Inspection 1) Field Notes Each inspector should record all information collected during an inspection/investigation in a field logbook or notebook. The inspector may also choose to use blank checklists in the field as a reference tool or to complete. Checklists can be found in Appendix 1, and will be updated periodically and placed in the HW Compendium on DEQNet. The field notes are the basis for fully completing checklists and writing inspection reports, and must contain only facts and observations.
The notations must be objective, factual, and free of personal feelings or conjecture. The notes should be of sufficient detail to recreate the events at the facility during the report writing. The field logbook or notebook should also be used to document any photographs taken during the inspection. The logbook should remain in the possession of the inspector or in a secure location at all times. Inspection logbooks or notebooks should include all observations, facts, interviews, sketches, photographs, and other relevant inspection information recorded on paper by inspectors.
The field notes should also document the exit briefing that is conducted prior to leaving the inspection.
The documentation should include any issues that were discussed, or comments/rebuttal made by the facility.
Virginia DEQ does not currently have a policy on field note retention.
2) Photographs a) General EPA has determined that it is acceptable to use digital cameras/photographs for documenting civil inspections and investigations provided certain requirements are met. Please refer to EPA’s Digital Camera Guidance for EPA Civil Inspections and Investigations, July 2006. A link to this guidance can be found in Appendix 3.
Photographs provide the most accurate documentation of inspectors’ observations during an inspection. Photographs can also be used to review past site conditions prior to future inspections, at informal meetings, and at hearings. Each Regional Office should provide a digital camera(s) for use by HW Inspectors.
Documentation of a photograph’s origin is crucial to its validity as a representation of an existing situation. It is helpful to maintain a photographic log in the inspector’s logbook or notebook of any photographs taken while on site. The log should contain any observations pertinent to the scene. The photographic log should include information on the subject of the photograph, time of the photograph, and any other relevant details about the photo. Be sure to photograph Page 72 HAZARDOUS WASTE INSPECTOR HANDBOOK evidence of non-compliance or return to compliance, if applicable. These photographs may be used as documentation to support a Notice of Violation or Warning Letter issued as a result of the inspection. Due to electronic storage limitations, avoid taking photos of compliance.
Occasionally a facility will request that the facility representative be the one to take the photos, and will then provide DEQ with copies. Sometimes the inspector will be asked to provide the facility with copies of photographs that the inspector takes. Regardless, the inspector should still make note of each photograph taken or requested, and should not rely strictly on photographs to explain any apparent violations that are noted. Careful notes must be kept in case the photographs are not accessible following the inspection.
If a facility does not allow the use of a camera, request the facility representative to take a picture of the noted apparent violation and forward it to you via email. Take note of which pictures were requested during the inspection.
Inspectors should note, in a field notebook, photo log, or on a facility map, the following information about each photograph that is taken:
- Date
- Time
- Photographer
- General direction faced while taking photograph
- General description of photo
- Location of photographed area at the site
- Other comments (e.g., weather conditions) When taking photos, inspectors should include in the photograph a ruler or other item, as appropriate, for showing the scale of the object being photographed. If inspectors have cameras available to them that have video capability, videos are also an excellent means of documentation; however, videos cannot be attached to a Notice of Violation.
For both digital and video cameras, prior to an inspection, the inspector should make sure the date and time on the camera are correct.
To be effective, the image taken by the camera should be of sufficient clarity and detail to support the observations, and should represent what the inspector saw with the appropriate level of detail. According to EPA guidance, it is acceptable to make changes to digital images, such as cropping, enlarging, or changing the brightness to improve contrast, provided the inspector does the following:
- Records how and when the picture was taken;
- Logs the steps used to process the image;
- Complies with the Recommended Procedures found in this Handbook section; and Page 73
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- Ensures the preservation of the original digital image. b) Recommended Photography Procedures Inspectors should ensure that they meet the following minimum requirements when using digital photographs to document DEQ inspections and investigations:
The integrity of the digital image should be preserved. The quality of the photograph should be good enough to show details, objects and relevant information. Inspectors should have equipment which will allow the secure use and storage of the digital images. The inspector should follow the recommended steps for handling the digital image. The inspector should not delete any digital images during the inspection regardless of the quality. A record of any copies of digital images given to a facility should be kept in the inspector’s notes or photo log. Protect confidential business information. c) Photographic Inclusion in Inspection Reports If a facility is inspected by a HW inspector and found to have apparent violations, noncompliance should be documented (for other than apparent paperwork violations) with photographs using the above procedures.
Once the inspector is preparing the inspection report, if the Inspection Letter type is a Warning Letter or Notice of Violation, there should be an attachment to the letter showing photographs of the noncompliance. This attachment will be retained in the files as part of the inspection report. The attachment should clearly show each photographable potential violation, and be captioned with a description of the location and the observed condition shown in the photograph.
Once photographs have been incorporated into the WL or NOV as an attachment, the attachment must be uploaded to ECM as part of the WL or NOV. The original digital files for the photo included with the WL or NOV do not need to be uploaded separately to ECM; however, the inspector should maintain these original photographs until any enforcement action has been completed.
A sample attachment format for the photograph attachment to a WL or NOV can be found in Appendix 7. 3) Copies of Records Copies of facility records can be used to determine compliance with regulations. Ideally, an inspector will review all applicable and necessary paperwork while on site. However, the inspector Page 74 HAZARDOUS WASTE INSPECTOR HANDBOOK should ask for copies of any paperwork that document non-compliance. These copies should be saved and included with the inspection reports as attachments. Some records may already exist in DEQ files/ECM and may be reviewed in the office after the site visit. For example contingency plans may be part of a larger integrated contingency plan submitted to the DEQ above ground tanks program, and biennial data may be available in ECM and RCRAInfo.
Copies of facility records that do not reflect non-compliance do not need to be included with an inspection report. However, if a facility submits documents in support of inspection findings, those documents must be uploaded to ECM and maintained with the facility file.
Effective July 1, 2013, the Virginia Waste Management Act provides explicit authority for the Department to request information from people who generate, store, transport, treat, or dispose of waste. This provision also provides for trade secret protection of information submitted by the Department in response to a request. Requirements for DEQ staff to recognize and properly manage potentially restricted documents can be found in Appendix 6 in “Land Protection & Revitalization Guidance Memo No. LPR-SW-2013-03, Waste Information Request and Trade Secret Protection.”
G. Exit Interview Once an inspector has completed the walk-through portion of the inspection, reviewed all applicable facility records, obtained copies and photographs as necessary, and reviewed all applicable inspection checklist items, the closing interview can be conducted with facility representatives. The purpose of the closing interview is to inform the facility of the findings of the inspection. The participants of the exit briefing and the topics of discussion should be documented in the field logbook or notebook.
During the closing interview, the inspector will discuss observations noted during the facility, issues that do not appear to be in compliance with the regulations, and any data gaps the facility still needs to fill or action items that the facility or inspector must complete. The inspector should stress that any discussion of findings are only preliminary, and that a thorough review of the information gathered during the inspection will be conducted and the results documented and transmitted to the facility in writing at a later date. The inspector should document in his field notes any issues discussed during the exit briefing, and any comments/rebuttals made by the facility.
While at the facility, the inspector should not commit to the facility about writing a certain type of inspection report (e.g. Warning Letter vs. Notice of Violation), as this might be subject to change after discussion with DEQ personnel back in the office. The inspector should also not instruct the facility what actions must be taken. The inspector should just present factual observations, and can indicate to a facility what the regulatory requirement is for each item inspected.
Prior to leaving the facility, the inspector should ensure that he has written down the names and contact information (including email addresses, if applicable) for all the representatives of the facility that participated in the inspection. The inspector can also give the facility an indication of the time frame in which they might expect to receive an inspection report.
Page 75 HAZARDOUS WASTE INSPECTOR HANDBOOK H. Conducting Compliance Assistance Visits (CAVs)
Typically, DEQ does not perform CAVs unless a CAV initiative has been incorporated into the fiscal year work plan prior to the start of the fiscal year. The general protocol for CAVs is that DEQ will perform a CAV at the target facility, provide them with verbal and written assessments of our evaluation, and follow-up with a regular CEI at some later date within the fiscal year. We would defer any potential enforcement for minor violations of the regulations until the follow-up CEI if any areas of concern remain uncorrected. DEQ does not get credit for a CAV unless it is part of the fiscal year work plan. DEQ would only get credit for the CEI that followed up the CAV.
CAVs can take place at facilities that have never been inspected, or have had a change in management or operating status. These visits are designed to help a facility determine its compliance requirements, and to help a facility find waste minimization and pollution prevention opportunities. When choosing candidate facilities, inspectors should explain to them the background and ‘ground rules’ (especially about the follow-up CEI and ‘worst case scenario’ described below) when they set up the visit. Although it may be possible to conduct an effective CAV unannounced, the intent of this program is to offer it at the facility’s request or by their voluntary choice when it is proposed to them.
Please bear in mind that the CAV approach is generally applicable to non-compliance areas of a minor nature (ERP2003 “secondary violations” [SV] https://www.epa.gov/enforcement/hazardous-waste-civil-enforcement-response-policy).
- IF AT ANY TIME DURING ANY CAV YOU ENCOUNTER A SITUATION WHICH IS A SERIOUS VIOLATION OF RCRA REGULATIONS, THE CAV SHOULD BE TERMINATED AND THE INSPECTION CONTINUED AS A REGULAR CEI. *** For example, illegal hazardous waste treatment, storage, or disposal which causes harm to human health or release to the environment will trigger a significant non-compliance violation (SNC). However, waste characterization irregularities should be considered as a proper element of the CAV without penalty unless the inspector has reason to believe that a facility’s intentional failure to characterize has resulted in an improper treatment or disposal.
If serious violations are observed, please inform facility personnel at once and be certain to get their consent to continue the inspection as a regular CEI, just as you would for normal inspections. Otherwise, it could jeopardize their rights under due process and pose serious consequences for any potential enforcement actions we may pursue. For serious violations, be aware that the Department may only “consider” enforcement discretion for voluntary disclosure immunity from criminal penalties (case-by-case depending on the particular circumstances leading to the discovery; Virginia’s disclosure law has been ruled not applicable to federal programs by the Virginia AGO), and that final compliance resolution may require remediation or potential RCRA closure under a consent order. If a facility declines to continue as a CEI, we should schedule a regular inspection as soon as practical.
Page 76 HAZARDOUS WASTE INSPECTOR HANDBOOK Target facilities are to be inspected for compliance with the regulations while also evaluating them for waste minimization/pollution prevention (WM/P2) opportunities. Inspectors are encouraged to take WM/P2 staff with them unless they feel competent to assess opportunities and make recommendations to the facility in those areas. While most of our staff is eminently qualified in waste management areas, there may be other WM/P2 opportunities for water or air media and any collaborative assistance available from respective media personnel is encouraged.
For the Compliance Assistance review, inspectors should use the inspection procedures described below, the CAV checklist, regular inspection checklists, and issue the follow-up with a letter using the conventional inspection report format. However, the language used will differ slightly from an inspection letter (warning letter) in that these inspections are being undertaken as an advisory/ consulting role, wherein we indicate to the facility how to achieve compliance with the regulations, suggest best management practices, and/or recommend alternatives to their procedures to better ensure conformity with regulations if this were an actual inspection. Please also see the document titled “Compliance Assistance, Regulations Applications Advice and Case Decisions” located at: http://deqnet/docs/waste/Hazardous_Waste_Compliance/HW_Assistance_Papers/Case_Decisions_and_C ompliance_Assistance.doc The elements of a CAV are as follows:
Verify physical address for the facility. Meet with the owner or manager and explain your intention to perform a walk-through inspection with the purpose of helping the business to understand the hazardous waste management laws and regulations. Inform them they will receive a report of your inspection findings and a request to correct any potential violations noted. Explain that unless you see SNC–type High Priority Violations (see descriptions in Chapter 9), your inspection will remain a CAV, and you will not issue a letter of warning or notice of violation for potential violations noted. Answer questions and provide guidance regarding the management of hazardous waste. Discuss appropriate regulatory requirements, explain how to access the regulations, and guide the facility to the fact sheets on the internet or on the DEQ website. Conduct a walk-through inspection of the facility using the appropriate checklists to evaluate the generator’s hazardous waste management practices and note any potential violations. If you discover a high priority potential violation (see Chapter 9) during the compliance assistance visit, inform the facility that you are discontinuing the CAV and proceeding with the inspection in accordance with standard hazardous waste facility inspection procedures as described herein. If a hazardous substance release is observed or suspected at the facility, inform the facility contact of their reporting requirements and call the DEQ Pollution Response and Prevention Program (PreP) at 800-592-5482, and then proceed with the inspection.
Page 77 HAZARDOUS WASTE INSPECTOR HANDBOOK In the event of discovery of non-SNC potential violations (see descriptions below), explain the potential violation and provide assistance regarding possible remedies. Note the potential violation in the Compliance Assistance Visit form as an area of concern. Meet with the owner or manager at the end of the Compliance Assistance Visit. Discuss findings and provide general guidance to the facility representative on what is needed to achieve compliance. Note any status (or other) changes that need to be made to the facility’s Notification of Hazardous Waste Activity Form 8700-12. Inform the generator of the need to submit a revised Notification of Regulated Waste Activity for any changes. Provide the generator with a copy of the inspection checklist, the corrected Notification of Regulated Waste Activity and any written guidance as needed. Direct the facility to the Notification of Regulated Waste Activity form on the Virginia DEQ website. If the Compliance Assistance Visit was conducted at a facility that has never notified of hazardous waste activity, the inspector may advise the facility to request a Provisional EPA Identification number to manage wastes accumulated on-site at the time of the inspection, and if necessary, a permanent EPA identification number for SQGs and LQGs that continue to generate hazardous wastes.
When completing the CAV report the inspector should describe the outcomes of the CAV including: changes in the facility’s understanding of environmental requirements as a result of assistance activities, behavior changes or changes in facility management practices as a result of assistance activities; and pollutants and/or pounds of pollutants reduced as result of assistance activities (as specified in State Review Framework “SUGGESTED DISCUSSION GUIDES FOR COMPLIANCE ASSISTANCE”, Table 1: http://deqnet/docs/enforce/StateReviewFramework/Tab11/e13-caguide.pdf).
- If facility personnel have a question regarding other media program areas, inspectors should note them in the follow-up report and forward them to appropriate regional staff or conduct their own follow-up which can help us to become more cross-media proficient. * https://www.epa.gov/compliance/resources-and-guidance-documents-compliance-assistance Page 78
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CHAPTER 8 – INSPECTION SURVEY AND CHECKLISTS
Checklists should be used during an inspection as a tool for preparing, organizing, conducting, recording the results of an inspection, and evaluating compliance with regulations, a permit and/or consent agreement/order. Links to all checklists can be found in Appendix 1. Applicable checklists should be selected prior to the inspection and filled out completely on site, to the extent possible. This may consist of printing paper copies prior to the site visit and completing by hand or by completing forms with an electronic device, if available (e.g., laptop or tablet). Checklists will be finalized as an electronic document upon return to the DEQ and enclosed with a cover letter as components of the inspection report sent to the facility.
A.
HAZARDOUS WASTE SURVEY SHEET The most important “checklist” that a DEQ Hazardous Waste inspector will complete is the Hazardous Waste Survey Sheet (“the Survey”). A Survey must be completed for every inspection. The Survey is designed to provide a general overview of the facility, its processes that generate waste, the hazardous and non-hazardous waste generated, the amount generated, and how the waste is managed. DEQ staff should provide notations within any section of the Survey that does not apply to the facility or was not evaluated. There should be no blank areas on the form when final. When an inspector is done completing the Survey, the inspector should know the handler status of the facility being inspected and which other checklists should be completed for the inspection. Guidance for completing each section of the Survey follows.
General facility, contact and inspection information: Enter all information in the upper boxes of the Survey, including a facility telephone number and the facility contact’s email address. Ask the facility contact who the inspection report should be sent to, and ensure that you have the correct mailing address. Make sure all facility representatives who attended any part of the inspection, any local, state or federal agency representatives, and all DEQ staff in attendance are identified. Any facility information in this section that differs from current RCRAInfo data should be discussed in Section 13 General Comments.
Section 1 Business Description: Describe the primary, and where applicable, secondary business activities of the facility. Be sure to provide sufficient details about operations to support or correlate the appropriate industrial classification code(s), as discussed next.
SIC [Standard Industrial Classification] Code(s)/NAICS [North American Industry Classification System] Code(s): Include both code types if the facility knows both. The NAICS codes are included on a facility’s notification form and/or biennial Hazardous Waste Report. If not available, request the facility identify the appropriate code(s) and provide to DEQ staff after the site visit, if necessary. While these codes are used by federal statistical agencies to classify business establishments for collection, analysis, and publication of statistical data, we also know that certain listed waste codes are tied to SIC/NAICS codes.
Therefore this information is very important.
Page 79 HAZARDOUS WASTE INSPECTOR HANDBOOK Description of Process(es): Provide a description of all the processes at the facility including processes that generate wastes. It is important to identify and include intermediate by-products and/or wastes, waste management units, recycling and reclamation units, wastewater treatment units, and any other types of activities that may be regulated under RCRA or excluded or conditionally exempted under RCRA. By providing thorough process descriptions, DEQ staff will be able to determine if the facility has overlooked any regulated activities at the facility.
In addition to the narrative description of the processes, DEQ staff should include a flow diagram for each process from the point of generation to off-site management. Flow diagrams are not required for simple processes, such as used oil management or solvent rags. However, flow diagrams are strongly encouraged for complicated and/or multi-step processes. In many cases, it is easier to ask the facility to provide flow diagrams of their processes which may be attached to the Survey. DEQ staff should double check a facility-provided flow diagram with observations made during the site visit for accuracy. The instruction to this section of the Survey includes a hyperlink to an online flow charting tool.
Section 2 Wastestream(s): Provide a brief description of EVERY waste stream generated by the facility, including non-hazardous (solid) waste streams and/or excluded and conditionally exempted wastes. If any of the waste streams is already known to be hazardous, identify the applicable hazardous waste code(s). Provide as much information as possible about the chemical makeup of a waste stream. For example, if the facility generates sludge, the description might read as “hazardous waste sludge (F006)” or “wastewater treatment sludge (K044)”. Chemical names and DOT proper shipping names, as found on manifests or other shipping documents, should also be included.
Section 3 Generation Rate(s): List the greatest amounts of hazardous waste generated in any month for each hazardous waste stream, as identified in section 2 above. Determining this information will require looking at manifests, inspection logs, processes, the amount of waste on hand at the time of the inspection, and any other information or calculations that the facility has to support their generator category. DEQ staff should review the last three years of records or since the last DEQ inspection if the last inspection was conducted less than three years ago. Unless the inspector has knowledge that a process has a continuous and consistent waste generation rate, manifest volumes should not be averaged over the time between shipments. While information in a facility’s biennial Hazardous Waste Reports may identify waste streams generated, the report is not an accurate determination of monthly generation but of a total annual amount, and as above, should not be averaged unless supported by process knowledge.
With regard to the greatest amounts ever accumulated, DEQ staff should look at manifests, inspection logs, and amount of waste on site at the time of the inspection. One way to determine if a facility is storing in excess of its volume or time limitation is to note the volumes of hazardous waste shipped on each manifest and time period between shipments. However, reviewing the time between manifests can be misleading if waste is not generated continuously. Use manifest dates in conjunction with other documents and process knowledge.
Page 80 HAZARDOUS WASTE INSPECTOR HANDBOOK It should be noted that monthly generation amounts and maximum accumulation on site are separate determinations for compliance with the generator category. DEQ staff should consider processes for generation amounts, as well as frequency and quantities reported on manifests. For example, by regulatory definition, a SQG may generate up to 1,000 kilograms (or 2,200 pounds) per month, but may not accumulate more than 6,000 kilograms (or 13,200 pounds) on site. If the SQG ships waste greater than 200 miles, the facility may accumulate for up to 270 days. However, if the SQG generates near to 1,000 kilograms per month, the facility will reach the maximum accumulation threshold well before it reaches the allowable time limit of 270 days. In addition, some waste streams, such as spent solvent from a continuous-use parts washing unit, has a single point in time for generation (once removed from the unit) and possibly no accumulation (shipped same day as generated).
Section 4 Acute Hazardous Waste: DEQ inspection staff is likely to encounter P-listed or other listed acute hazardous wastes at chemical distribution facilities, research laboratories, and hospitals, to name a few. DEQ staff should review packing lists associated with lab packs to ensure all hazardous waste codes have been appropriately identified. Management of acute hazardous waste presents unique challenges, including determining generator category due to more stringent maximum monthly generation and accumulation value (1 kilogram or 2.2 pounds) and managing empty containers. If the facility manages P-listed commercial chemical products and does not triple rinse containers, the empty container can be P-listed, as is the rinsate.
Section 5 Exclusions: Provide the basis, including the regulatory citation, for any excluded or conditionally exempted waste stream, process or unit at the facility. The excluded waste should also have been detailed in Section 1. Determine whether the exclusion is legitimately being applied to the waste, process or unit or whether it should be regulated. Common examples of excluded waste streams or processes are listed in the instruction to this section. Additional common examples are wastes discharged to a publicly-owned treatment works under a Clean Water Act pre-treatment permit, on-site wastewater treatment units, elementary neutralization, and hazardous secondary material determinations.
Section 6 Precious Metals Recycling: Describe any processes that recover precious metals, as listed in the instruction to this section. This section is less common with the use of digital photography and x-rays, however, DEQ staff should ask about any processes that involve one or more of the precious metals listed. Review manifests for shipment of these metals. If the facility stores the precious metal to encourage recycling, review inventory records for speculative accumulation. See Part 266, Subpart F of RCRA for more information.
Section 7 Spent Lead-Acid Batteries: Lead-acid batteries not being managed as universal waste must be managed as either hazardous waste in accordance with all applicable RCRA requirements, or as hazardous waste exempt from most requirements under RCRA Part 266 Subpart G. This section of the Survey is used to determine which of the non-universal waste management methods a facility is using for its lead-acid batteries, if any. DEQ staff should review the table in Part 266, Subpart G of RCRA for requirements depending upon who manages the batteries and how reclaimed. Often overlooked by Page 81 HAZARDOUS WASTE INSPECTOR HANDBOOK facilities is the potential requirement for a one-time land disposal restriction notification from the generator to the reclamation facility.
Section 8 Accumulation Time and Quantity: DEQ staff should attempt to verify and/or determine generator category by reviewing the information contained in the previous sections. This section evaluates generator category, as well as episodic events. Part (a) addresses compliance with accumulation and time and part (b) with monthly generation.
Section 9 Off-Site Shipment: List all transporters and destination (e.g., treatment, storage or disposal [TSD]) facilities and their respective EPA identification numbers, as applicable. List the city and state location of the destination facilities. This information can be found on manifests or other shipping documents. DEQ staff should review the required documents for the three years prior to the inspection, or the biennial Hazardous Waste Reports for the facility. Be sure to review the return copies of manifests to obtain names and EPA identification numbers of secondary transporters.
The third column on the table in Section 9 is for any on-site treatment of waste at the facility. Ideally, this treatment was already detailed in a flow diagram or in narrative in section 1 and/or discussed in section 5 if an excluded waste or process. DEQ staff should identify the waste or process here and refer the reader to the appropriate section(s) for more detail.
Section 10 Facility Universe: DEQ staff will evaluate all of the information obtained from the facility to identify the facility’s generator status and universe at the time of the inspection. DEQ staff may choose to identify the handler status for the facility listed in RCRAInfo prior to the site visit or leave this section blank. In most cases this section will not be completed until conclusion of the inspection and therefore need not be completed in the field.
Section 11 Virginia-Specific Requirements for Notification and Fees: This section reviews compliance with Virginia-specific requirements for generator notification and annual fees, as applicable to the facility. Review facility manifests, inspection logs or other records for identification of possible previous episodic LQG events for which the facility did not provide notice to DEQ. Notification for a previous episodic generation event should be available in RCRAInfo, regional hazardous waste tracking sheets, and ECM file records.
For facilities that identify as a LQG or Permitted Facility, ask the facility contact if fee invoices have been paid. Most facilities will have copies of payments available for review during the inspection. As with Section 10, since this section is based on determination of the generator status of the facility, DEQ staff may not be able to complete this section in the field. Copies of annual fee invoices and payments information is posted on DEQNet under Documents/Waste/Waste_Tech_Support/FEE Implementation/HW Billing Information.
Section 12 Virginia Environmental Excellence Program (VEEP): DEQ staff may find information for this section prior to the site visit.
VEEP participants can be found at: Page 82 HAZARDOUS WASTE INSPECTOR HANDBOOK http://www.deq.virginia.gov/Programs/PollutionPrevention/VirginiaEnvironmentalExcellenceProgram/Members.aspx.
For a facility that is not a VEEP participant, DEQ staff should ask the facility whether it has or is developing an Environmental Management System (EMS), or has completed any audits, such as ISO14000 series. DEQ staff should encourage any proactive environmental management facility to consider VEEP membership and include the web page hyperlink for the DEQ VEEP or provide DEQ VEEP staff contact information in this report.
Section 13 General Comments: The General Comments section of the Survey is available for DEQ staff to provide additional details for sections above or information not covered in the sections above or in enclosed checklists. Examples of additional information that DEQ staff might include are: -The purpose for the inspection if beyond a routinely scheduled inspection (neutral risk).
Examples include inspections in response to: a complaint; a referral from another DEQ media program or other agency (local, state, or federal); as a follow-up to an earlier DEQ evaluation such as a compliance assistance visit, initial compliance evaluation inspection (if this is a case development inspection), or facility self-disclosure; required by a consent order compliance schedule or significant non-complier designation; or DEQ regional initiative. -Facility information differs from data in RCRAInfo and the facility is being asked to submit a subsequent RCRA Subtitle C Site Identification Form (EPA Form 8700-12). A link to the form, or a hard copy of the form, should be included or attached. -Information on the number of employees and working shifts, the length of time at the current location, and a description of the physical size and layout of the operation and its buildings, if pertinent to describing waste streams or processes. -Management of hazardous secondary materials’ management and accompanying recordkeeping. DEQ staff should discuss how the facility is legitimately recycling the hazardous secondary material as per the four criteria listed in RCRA at 260.43. -The status of closure or corrective action activities if applicable and not discussed elsewhere. -Suggestions for better management practices or pollution prevention/waste minimization opportunities. Provide hyperlinks to DEQ program web pages and/or guidance. -WellAny information that DEQ staff feels is pertinent to describing a facility’s processes, waste streams, waste management, or overall operations that is not covered in sections above or in enclosed checklists.
B.
CHECKLISTS The following checklists are most often used for inspections conducted by DEQ Hazardous Waste staff: Page 83 HAZARDOUS WASTE INSPECTOR HANDBOOK Hazardous Waste Large Quantity Generator Hazardous Waste Small Quantity Generator Hazardous Waste Conditionally Exempt Small Quantity Generator Container Management Tanks (short and long versions) Health & Safety Used Oil Universal Waste Management Permitted Facility (checklist and/or narrative summary)
Other process-, unit-, and waste-specific checklists are available as applicable to the facility. (This list may change with development of new regulations or guidance.)
Hazardous Waste Transporter Used Oil Transporter SQG Tank Systems Solvent-Contaminated Wipes Universal Waste Lamp Crushing Air Emissions (Subparts AA, BB, CC) Hazardous Waste Wood Preserver Thermal treatment Boiler/Process Heater Carbon Adsorbers (Regenerative and Non-regenerative) Catalytic Vapor Incinerator Condenser Flares Incinerator (unit and health & safety) Thermal Vapor Incinerator Comparison of Permit and Operating Conditions (for thermal units) Land Treatment Landfills Surface Impoundments Waste Piles Land Disposal Restriction Requirements (TSD and Transporter) Groundwater Monitoring Hazardous Waste Closure/Post-Closure (general and for landfills) Waste minimization Virginia-Specific Requirements Non-notifier Checklist Page 84 HAZARDOUS WASTE INSPECTOR HANDBOOK As part of the preparation for an inspection, DEQ staff should attempt to pre-determine the checklists that will be needed. It is also helpful to have extra copies of common checklists available, such as other generator types or common waste management units (e.g., containers and tanks).
The most current versions of the Survey and checklists are available on DEQNet at: http://deqnet/documents/index.asp?path=/docs/waste/Hazardous_Waste_Compliance/HW_Checklists The Survey and checklists are also included in this Inspector Handbook as Appendix 1. 1) Generator Category Checklists An inspector must evaluate a facility’s compliance for the rate of generation at the time of the inspection, not necessarily at what category the facility has notified. Based upon what DEQ staff has observed as the facility’s current generation rate, the appropriate level of generator checklist should then be completed. In some instances a facility may generate episodically during the calendar year, such as an SQG who is episodically LQG each year, and therefore chooses to notify and comply, at all times, at a higher generator category and the more stringent level of standards. For this type of facility, the more stringent checklist should be used.
The checklists reflect the different requirements for different categories of generators, as well as waste management types and units. Typically, for a CESQG, an inspector would complete a Survey and a CESQG checklist. For an SQG, an inspector would complete a Survey, an SQG checklist, and a Container Management and/or Tanks checklist for hazardous wastes accumulated on site.
For an LQG, an inspector would complete a Survey, an LQG checklist, a Health & Safety Checklist, and a Container Management and/or Tanks checklist. If the LQG with Tanks generates wastes with volatile organic compounds, the air emissions checklists (Subparts AA, BB, and/or CC) would need to be completed. Most LQGs with container management only choose to comply with Level One controls under Subpart CC and do not need to have a separate air emissions checklist completed, as this is included on the container management checklist. However, if an LQG uses containers in a hazardous waste accumulation area that are greater than 119 gallons in volume or non-DOT approved, be prepared to complete an air emissions checklist. 2) Permitted Treatment, Storage or Disposal Facilities (“Permitted facilities”) Permitted facilities have additional general and unit-specific checklists and/or narratives which should be completed in addition to the Survey. The applicable checklists completed are dependent upon what type of unit(s) is permitted at that facility. A Permitted facility will typically also be a generator of hazardous waste, with hazardous waste accumulation areas and satellite accumulation areas in addition to the permitted unit(s) (see Facilities with Multiple Handler Types below). Facility-specific conditions based on the permit should be reviewed prior to the inspection, and the inspector may choose to develop a facility-specific checklist or narrative summary for that facility based upon the pre-inspection file review. This facility-specific checklist or narrative summary would be completed in addition to any other applicable checklists for inclusion in the inspection report provided to the facility.
Page 85 HAZARDOUS WASTE INSPECTOR HANDBOOK 3) Facilities with Multiple Handler Types Sometimes an inspector will encounter a facility that can be identified by multiple types of regulated handler categories, such as an LQG who also transports hazardous waste or who has a closed land disposal unit on site. The type(s) of inspection(s) (and checklists) that need to be completed at that facility should be discussed with your Regional Land Protection Manager and the Hazardous Waste Compliance Coordinator in Central Office prior to completing the inspection. DEQ is credited with only one handler inspection category for grant commitments, even if three types of inspections were completed and three different types of handler checklists were completed at the facility.
However, in order for the inspection to count as a full CEI, EPA requires that all applicable RCRA aspects of a facility be inspected. 4) Other Handler and Unit/Waste Checklists The above discussion represents the minimum required checklists for each category of generator and permitted facility inspection. Additional checklists should be added and completed during the inspection based on activities conducted at the facility, such as management of used oil, universal waste, or solvent-contaminated wipes.
During a full compliance evaluation inspection (“CEI”), ALL of the checklists applicable to a facility must be completed. DEQ hazardous waste inspectors are encouraged to keep extra blank copies of commonly-used inspection checklists with their other inspector tools in case a facility that had not previously been conducting certain activities is observed performing those types of activities, such as universal waste lamp crushing or management of solvent-contaminated wipes. 5) Inspector Comments on Checklists Checklists typically have spaces to indicate Yes, No, Not Applicable (NA), or Non-Compliant (NC).
Each section or line item on a checklist corresponds to a specific regulatory citation. For those items that apply to the facility being evaluated, simple comments of how the facility does or does not comply with the citation may be inserted into the line item itself. For more detailed discussion or comments, the inspector may refer to the General Comments at the conclusion of the checklist and provide additional comments there. Any entry under General Comments should identify the applicable line item(s) on the checklist as cross reference. If details were previously provided in the Survey, a simple statement may still be entered into the applicable line item of the checklist but detailed comments need not be duplicated in the General Comments.
For facilities that appear to be non-compliant for any regulatory requirement, an explanation of the apparent violation(s) should be provided on the line item or in the General Comments section of the checklist(s). Comments should detail the specifics of the observation as it relates to the regulatory requirement and any corrective actions already completed by the facility. If no further corrective action is requested by DEQ staff from the facility, the inspector is encouraged to include that statement in the observation.
Page 86 HAZARDOUS WASTE INSPECTOR HANDBOOK A list of the checklists completed for an inspection should be identified as enclosures at the conclusion of the cover letter that accompanies the report. Any attachments included should also be listed on the cover letter. This provides a cross reference in the event portions of the full report become separated. An inspection report is considered to be a cover letter with enclosures consisting of the Survey and completed checklists, and any attachments, as applicable.
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HAZARDOUS WASTE INSPECTOR HANDBOOK CHAPTER 9: POST-INSPECTION PROCEDURES A. Post-Inspection Supervisory/Enforcement Concurrence Upon returning from an inspection, the Inspector should brief the Land Protection Manager (LPM) for the appropriate Regional DEQ office on the preliminary findings of the inspection. The inspector should discuss with the regional LPM and/or Central Office Hazardous Waste Compliance Coordinator any difficult issues requiring a compliance determination. The inspector should compare the information gathered during the site visit with the information gathered during the pre-inspection review. If necessary, the inspector should re-review any specific documents in order to properly classify apparent violations discovered.
Occasionally an inspector might have to make a follow-up visit to a facility to review additional paperwork that was not available during the inspection, or to speak with a facility contact that was not available during the inspection. In the event of the need for another site visit, the visit should be made as soon as possible after the initial inspection so that the preparation of the inspection report is not delayed.
Inspectors should keep in mind that if multiple facilities are inspected prior to writing inspection reports for these facilities (such as inspections on back-to-back days, or multiple inspections in one day), it becomes more difficult to keep mental track of observations made at each facility. Field notebooks or logbooks are essential in the preparation of good Inspection Reports. Procrastination in writing Inspection Reports should be avoided if at all possible.
B. Written Follow-ups to an Inspection 1) Request For Information If an inspector conducts an inspection and determines that there are data gaps in the information obtained during the inspection, or that additional information is needed in order to make a compliance determination, a HW Inspector can do any of the following: Send the facility an Informal Email Request for Information (can be followed by additional informal requests, a Formal Written Request, or an Inspection Report with Informal Correction Letter, WL or NOV); Conduct an Informal Telephone call to the facility requesting information (followed by an email to document the verbal request); or Send the facility a formal, written Request for Information [RFI] (which will be followed by an Inspection Report with an Informal Correction Letter, a WL or an NOV).
If the apparent violations are of a low-priority nature and not recurrent, an Informal email request or follow-up phone call to the facility for information is appropriate. Where possible, the inspector should establish a deadline for receipt from the facility of additional documentation or return-to-compliance documentation. Any phone calls should be followed by an email reiterating what was discussed during the phone conversation, and putting any agreed upon deadlines in writing.
Page 88 HAZARDOUS WASTE INSPECTOR HANDBOOK If no response is received to the informal email request in a timely manner, or if the potential violations requiring additional information are high-priority, the request for information can take the form of a formal written Request for Information to the facility. A copy of a sample RFI can be found in Appendix 2.
If no response to the formal Request for Information is received, the HW inspector should proceed with drafting the Inspection Report including a Warning Letter or Notice of Violation (as appropriate) based on the inspection findings and lack of response from the facility. 2) Inspection Letter/Inspection Report Once an inspector has determined that all requested information has been provided by the facility, all data gaps have been filled, and all preliminary compliance discussions/determinations have been completed, the next step will be the drafting of the Inspection Letter and Inspection Report by the inspector.
The inspection report is an extremely important part of the compliance and enforcement process. It can be the instrument by which compliance with the regulations is conveyed to a facility, or it can be the instrument by which apparent non-compliance is conveyed. Therefore, the facts, observations, and statements documented in the inspection report should be regarded as potential evidence.
Every inspection report should be written with detail and clarity. Almost any case initiated by an inspection could result in legal action against a facility. The successful resolution of the case depends greatly on the quality of the inspection, the report details regarding the potential violations, and on the supporting evidence.
The inspection letter that accompanies the inspection report can consist of any of the following, as appropriate: a) Deactivation Memo (with or without Deactivation Letter to facility/Request for revised EPA Form 8700-12); b) No Violation Letter; c) Informal Correction Letter - Minor (non-SNC) Violations but resolved prior to drafting of inspection letter and report; d) Warning Letter; or e) Notice of Alleged Violation [NOV] DEQ staff uses the three types of written correspondence in iii., iv. and v. above to notify facilities of apparent violations following an inspection. The type of letter that is written is based on the apparent violations that were noted. This is discussed in the next section of this handbook. Letters found in i. and ii. above are for cases where a facility is no longer operating, or cases where no violations were noted.
Deactivation Memos, No Violation Letters, Informal Corrections and Warning Letters are issued by DEQ compliance staff. NOVs mark the transition from compliance to enforcement. Compliance, Page 89 HAZARDOUS WASTE INSPECTOR HANDBOOK enforcement, and (as needed) permitting and program staff should consult on the NOV before issuance. NOVs are drafted by compliance staff, and finalized with input from enforcement staff.
Boilerplates of each type of inspection letter can be found in Appendix 2. a) Deactivation Memo/Deactivation Letter A deactivation memo follows up attempted inspections of CESQGs, SQGs and LQGs that are found to be permanently closed, or where a new company has replaced the former company, and the new company is not a generator of hazardous waste or an “Other RCRA Handler” of wastes (Used Oil, Universal Waste, Transporter, or Excluded Solvent-Contaminated Wipes).
Inspectors submit this memo to the RCRAInfo RCRA Data Administrator in Central Office, and upload the memo to ECM. A completed copy of the RCRAInfo form (See Chapter 11) should accompany the submission. The suggested format for this memo is provided in Appendix 2. The memo should note that the facility was closed at the time of inspection, along with the circumstances, observations and any information obtained about current site ownership. If possible, include a photograph or photographs of the site.
If the company at the location indicated during the inspection that they no longer generate hazardous waste, are not an Other RCRA Handler, and want their number deactivated, the new company should be sent a deactivation letter with a request for them to complete a new Notification of Hazardous Waste Activity (EPA Form 8700-12) updating their current status to non-generator. The sample Deactivation Letter appears in Appendix 2. b) No Violations Letter A facility with no apparent violations observed during the inspection will get a No Violation Letter (see Appendix 2 for example letter formats), accompanied by the Survey Sheet and completed Inspection Checklists. A No Violation letter can include a section titled “Areas of Concern” that outlines potential future violations, areas where safety issues exist, areas where better hazardous waste management is possible, or issues/possible violations that were discussed during the inspection but that were not observed by the inspector during the inspection. No Violations Letters should not require a response from the facility. c) Informal Correction Letter Informal Corrections are used when all of the following conditions are met: Issues can be corrected within 30 days or prior to the issuance of the inspection letter/report; Issues do not present a substantial or significant threat to human health or the environment and do not result in actual harm; Issues are not substantial or significant deviations from fundamental components of the regulatory program (i.e. non-SNC violations [defined later in this chapter]); and The facility is not a frequent violator.
Page 90 HAZARDOUS WASTE INSPECTOR HANDBOOK Informal Corrections are used to notify facilities concerning environmental requirements and apparent violations when the HW inspector expects that a problem can be corrected in 30 days or less, unless a higher level response is required by law, regulation, or guidance. If the facility completes and documents a satisfactory and durable return-to-compliance within the time allowed, the matter can be closed without further action. Informal Corrections letters can also be used to itemize low-priority, non-SNC, non-recurring violations that were returned to compliance either during the inspection, or during the time between the inspection and the finalizing of the inspection report, are Informal Corrections letters. This letter should be sent to the facility along with the completed Survey Sheet and completed Checklists from the inspection.
Staff must not make a case decision when issuing an Informal Correction or other notification.
Under the Administrative Process Act (APA), Va. Code § 2.2-4001: "Case" or "case decision" means any agency proceeding or determination that, under laws or regulations at the time, a named party as a matter of past or present fact, or of threatened or contemplated private action, either is, is not, or may or may not be (i) in violation of such law or regulation or (ii) in compliance with any existing requirement for obtaining or retaining a license or other right or benefit (emphasis added).
In particular, an Informal Correction should not state that an RP “has violated” or “is in violation of” an environmental requirement, because that might imply incorrectly that DEQ has made a case decision. The RP is entitled to notice and a process to dispute alleged violations before a case decision is made or a corrective action imposed.
DEQ compliance staff convey the Informal Correction to the RP promptly after discovering an issue or concern using informal means (onsite conversation, facsimile, email, multi-part form, or letter). DEQ staff may contact the RP by telephone to discuss the issue or hold an informal meeting at the RO or onsite. Usually, the RP informs DEQ staff what steps it is undertaking and when they will be complete. DEQ Staff documents all contacts, requests to the facility, and RP actions in the DEQ file and the relevant database and may send an acknowledgement (Sample in Appendix 2). If the RP does not return to compliance within 30 days (or longer time as prescribed in program guidance) and if the issue or concern describes an alleged violation, staff should issue a Warning Letter.
Sample format is included in Appendix 2. d) Formal Correction Letter Formal Corrections include Warning Letters (WLs) and Notices of Alleged Violations (NOVs).
Page 91 HAZARDOUS WASTE INSPECTOR HANDBOOK i.
Warning Letter Inspections at any type of facility where non-SNC, non-recurring apparent violations are found that were not corrected during or immediately after the inspection should be issued a Warning Letter. Typically WLs would be issued when the HW inspector expects that the apparent violation(s) can be corrected within 30 to 90 days.
The elements of a Warning Letter are as follows: A named responsible party verified through the State Corporation Commission (SCC), land records, and other appropriate means. This may or may not match the name on the permit; The facility name and its EPA Identification Number; A statement that DEQ has reason to believe that the responsible party may be in violation of applicable laws, regulations, or permit requirements at the facility; Disclaimer that the Warning Letter is not a case decision under the Administrative Process Act (APA); A description of each alleged violation (the observations) – what was seen by DEQ staff, stated by facility representatives, or reported by the facility or source. The observations should correlate with the legal requirements that follow. Observations are not speculations, opinions, or conclusions. In particular, Warning Letter should not conclude that the observed or reported condition “has violated” or “is in violation of” an environmental requirement; The specific provision of law, regulation, permit condition order or enforceable certification that has been allegedly violated (the legal requirements). This includes a citation to the requirement and a concise quotation of the applicable portion of the requirement (not paraphrased) both in bold font. Legal requirements are set out adjacent to the related observations; The enforcement authority and options available to DEQ; Statement of future actions and a request that the RP respond within 20 days of a Warning Letter detailing the corrective action it has or will take; Request that the responsible party advise DEQ staff of any disputed observations or other pertinent information; The process for obtaining a case decision or fact-finding on whether or not a violation has occurred, include the Process for Early Dispute Resolution; and DEQ Contact information.
The completed Survey Sheet and Checklists, transmitted to the facility with the Warning Letter, constitutes the inspection report. Sample format for a Warning Letter is provided in Appendix 2.
DEQ compliance staff can issue additional Warning Letters for alleged violations found during subsequent inspections, site visits and/or record reviews, unless the alleged violations demonstrate conditions to support a Notice of Alleged Violation (NOV).
Page 92 HAZARDOUS WASTE INSPECTOR HANDBOOK If the RP agrees to, completes, and documents a satisfactory and durable return to compliance, staff should send an acknowledgement (see Appendix 2) and close the matter.
If the RP fails to adequately respond to the Warning Letter within 20 days or fails to return to compliance within 90 days, staff should promptly issue an NOV and refer the case for enforcement action, or take other action as specified in program guidance.
If an RP cannot meet a date in its plan to return to compliance, the RP should notify DEQ immediately and provide documentation why it is unable to do so. DEQ may extend the date for RP action for good cause if the RP has notified the DEQ as soon as those circumstances became apparent. Extensions must be documented to the file and may require a Letter of Agreement (LOA) or consent order. The extension should clearly state that it does not relieve the RP from its obligation to comply with applicable environmental requirements. If an RP misses a deadline without good cause or fails to notify DEQ, staff should promptly issue an NOV and refer the case for enforcement action, unless program guidance requires a different action. ii.
Notice of Alleged Violation (NOV) DEQ staff use NOVs to notify the RP of alleged violation(s) and to signify that the alleged noncompliance is ongoing, persistent, severe, or of such significance that the case is appropriate for further enforcement action and may warrant a civil charge or civil penalty.
NOVs mark the transition from compliance to enforcement. If the alleged violations are confirmed, DEQ usually resolves NOVs by Consent Order, or other formal enforcement tool.
NOVs request the RP to contact DEQ within 10 days to discuss the alleged violations, the steps necessary to return to compliance, a prompt meeting date, and possible future enforcement actions.
NOVs are generally drafted by compliance staff with the input of enforcement staff.
Compliance, enforcement, and (as needed) permitting and program staff should collaborate before initiating formal compliance.
Typical circumstances warranting NOVs include but are not limited to: Alleged violations that present an imminent and substantial hazard to human health or the environment; Alleged violations that have demonstrated substantial adverse impacts to human health or the environment, or have substantial potential for such impacts; Alleged violations of Consent Orders; SNC Violations, described later in this chapter; Alleged violations that staff expect to take more than 90 days to return to compliance; Ongoing or persistent noncompliance, including repeated or continuing alleged violations by the Responsible Party (RP) despite previous compliance activity or informal actions; Seasonal violations that need quick elevation when consistent with program guidance;
Page 93 HAZARDOUS WASTE INSPECTOR HANDBOOK Failure to report significant noncompliance where such reporting is required; Failure to pay civil charges and required fees or costs, where collection procedures have been unsuccessful; Failure to take timely and appropriate required action in response to a spill or other release to the environment; Alleged falsification of certifications, reports, or other documents submitted to DEQ, and alleged violations that appear to include gross negligence and/or that appear to be knowing or willful; or Other noncompliance as identified in program guidance.
Notices of Alleged Violation (NOVs) are written communication by the DEQ that must include: A named responsible party verified through the State Corporation Commission, land records, or other appropriate means. The name may or may not match the name on the permit; The facility or source name and its permit, registration, or pollution complaint/ incident response number; A statement that DEQ has reason to believe that the responsible party may be in violation of applicable laws, regulations, or permit requirements at the facility or source; Disclaimer that the Notice of Violation is not a case decision under the Administrative Process Act; A description of each alleged violation (the observations) – what was seen by DEQ staff, stated by facility representatives, or reported by the facility or source. The observations should correlate with the legal requirements that follow. Observations are not speculations, opinions or conclusions. In particular, Notices of Alleged Violation should not conclude that the observed or reported condition “has violated” or “is in violation of” an environmental requirement; The specific provision of law, regulation, permit condition, order or enforceable certification that has been allegedly violated (the legal requirements). This includes a citation for the requirement and a concise quotation of the applicable portion of the requirement (not paraphrased), both in bolded font. Legal requirements are set out adjacent to the related observations; Statement of the enforcement authority and options available to DEQ; Statement of future actions and a request that the responsible party respond within a specified time period, detailing the corrective action it has or will take; Request that the responsible party advise DEQ staff of any disputed observations or other pertinent information; The process for obtaining a case decision or fact finding on whether or not a violation has occurred, including the Process for Early Dispute Resolution (PEDR); and DEQ contact information. The contact for an NOV is the DEQ staff member who will be responsible for the enforcement case.
Page 94 HAZARDOUS WASTE INSPECTOR HANDBOOK An NOV should not state that a responsible party “has violated” or “is in violation of” an environmental requirement because that might imply incorrectly that DEQ has made a case decision. The responsible party is entitled to notice and a process to dispute alleged violations before a case decision is made or a corrective action imposed.
NOVs are not case decisions. NOVs merely capture DEQ staff’s observations at a facility and notify a Responsible Party of any alleged noncompliance. Because compliance status may be reported to EPA and the public, in the highly unusual case that an NOV is completely in error, then a letter rescinding the NOV should be sent. NOVs are specifically not exempt from production under the Virginia Freedom of Information Act as a DEQ enforcement strategy document. If DEQ staff and the responsible party disagree about observations or legal requirements, the responsible party can avail themselves of the Process for Early Dispute Resolution.
A NOV should be issued following any inspection where apparent SNC-violations or recurring violations are found. A Notice of Alleged Violation must be accompanied by the survey sheet and completed checklists. A sample Notice of Alleged Violation is included in Appendix 2.
A NOV must include the observations made by the inspector, as well as a list of the regulatory or statutory provisions the facility violated during the inspection. Specific information about each alleged violation should be reported as follows: State the apparent violation with the corresponding regulatory and/or statutory citation as completely and specifically as possible. Be complete, accurate and clear. Include additional wording from the statute or regulation if appropriate to guide compliance. Cite alleged violations individually (do not combine alleged violations). 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 alleged violation and its severity. Make clear reference in the narrative description of each potential violation linking it to the supporting evidence. Evidence should be included in the ATTACHMENTS section of the report (see ATTACHMENTS, below). Make additional comments, if necessary, if you want to document any information that is important but does not relate to the violations, if you want to request information from the facility on environmental issues that do not constitute alleged violations, if you want to make additional general recommendations to correct problems that do not constitute violations, or if you want to report other observations that do not support any violation. These may include observations that may constitute violations upon Page 95 HAZARDOUS WASTE INSPECTOR HANDBOOK further development of information or during subsequent inspections. These may also include observations pertinent to other environmental programs. Table 9-2 is a synopsis of RCRA regulatory citations. This can be used to help find the appropriate regulatory citations for inclusion in WLs and NOVs. It is important that details regarding the facility operations and violations are described in detail on the checklists to substantiate the alleged violations noted in the inspection report. It will be the responsibility of the HW Inspector to ensure that all violations are corrected following the inspection when a Warning Letter is issued. In the event that the facility does not respond to the WL with a schedule, or does not correct the violations in a timely manner, a re-inspection can be conducted or a Notice of Violation can be issued as described below. If there are any concerns regarding the appropriate action to take, the inspector should contact the regional Land Protection Manager or the Hazardous Waste Compliance Coordinator to discuss. DEQ staff may issue additional Warning Letters for alleged violations found during subsequent inspections, site visits and/or record reviews, unless the alleged violations demonstrate conditions to support a Notice of Violation, or program policy requires otherwise.
The completed Survey Sheet and Checklists, transmitted to the facility with the NOV, constitutes the inspection report. Sample format for a Notice of Violation is provided in Appendix 2.
NOVs, once drafted, are reviewed by the LPM in the Regional Office and forwarded to the Regional enforcement case manager for assignment to an enforcement staff member for review. This enforcement staff member will be included as the contact on the Notice of Violation.
Where available, staff may attach materials that support the NOV and help the RP understand the alleged violations. These materials can include inspection reports, photographs, maps, and copies of relevant regulations or laws. If the RP has already returned to compliance and the order is for penalties only, a consent order can be prepared and sent with the NOV. In such cases, the RP should be notified in advance.
Successful delivery of NOVs is critical to ensuring that RP decision-makers are aware of the nature and significance of the alleged violations. Copies of an NOV can be sent concurrently to several persons in addition to the RP contact (e.g., registered agent, Board of Supervisors) to ensure that the NOV has reached RP decision makers. DEQ staff should strategically employ delivery confirmation or delivery receipt methods when receipt of ordinary mail is uncertain. For the majority of correspondence, staff will know that first class mail has sufficed when the RP contacts them as directed in the instructions in the NOV. If no response has been received within 30 days (or sooner as appropriate) from the date of the NOV, or if the RP indicates it is unwilling to resolve the matter by consent, a follow-up letter Page 96 HAZARDOUS WASTE INSPECTOR HANDBOOK enclosing a copy of the NOV should be sent with delivery confirmation or delivery receipt (Appendix 2). If an RP refuses delivery, other means, such as service of process or hand-delivery, may be employed.
Additional NOVs usually document continued or additional alleged violations based on subsequent inspections, reports, or other information. Such NOVs may also be issued to reinforce the alleged violation’s severity or the importance of a return to compliance.
While the Process for Early Dispute Resolution (PEDR) is being utilized, DEQ continues to perform all necessary inspections and record potential violations but does not, except in cases of emergency, issue NOVs to the RP for the same or related alleged violation that is the subject of the PEDR. Since two NOVs for the same or substantially related violations at the same site are required for a formal hearing for civil penalties the DEQ Adjudications Manager must be consulted when drafting subsequent NOVs in anticipation of a formal hearing. Additional NOVs, however, are not issued where the RP has signed a proposed consent order for the same issues that is pending approval by a Board. e) Signature The issue of who can sign different types of Inspection Letters varies from Region to Region.
Typically the HW inspector will sign Deactivation Letters, No Violations Letters, and Informal Correction Letters. Warning Letters and Notices of Violation can be signed by any DEQ staff with written authorization from his or her Regional Director or Division Director (including as a job duty in an approved Employee Work Profile). Typically this might include the Land Protection Manager, the Deputy Regional Director, or the Regional Director.
A Flow Chart of the Inspection Decision Process can be found in Appendix 7.
C. Violations The type and nature of inspection letter that is sent to a facility following an inspection is based on the type, nature, and recurrence of potential violations noted on the inspection checklists during the inspection. 1) Violation Classification Because Virginia has been granted EPA authorization, DEQ uses EPA’s Hazardous Waste Civil Enforcement Response Policy [ERP] (2003) to classify suspected hazardous waste violations for the purpose of determining a timely and appropriate enforcement response. The 2003 ERP Policy classifies alleged non-compliance based upon an analysis of the facility’s overall compliance with Subtitle C of RCRA – not on an individual violation basis – which includes prior recalcitrant behavior and history of non-compliance.
The Policy establishes two classifications of violators: Significant Non-compliers and Secondary Violators. Significant Non-compliers (SNCs) are those facilities where high priority alleged violations Page 97 HAZARDOUS WASTE INSPECTOR HANDBOOK are taking place. Secondary Violators (SVs) are those facilities where lower priority alleged violations are taking place. a) Significant Non-compliers SNCs are those facilities that: have caused actual exposure or substantial likelihood of exposure to hazardous waste or hazardous waste constituents; are chronic or recalcitrant violators; have deviated 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, DEQ 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 SNC, 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, DEQ 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.
Under this criterion, DEQ need not identify significant damage to the environment or human health to justify a SNC classification. Rather, the mere fact of exposure or a substantial likelihood of exposure is sufficient to satisfy this criterion. Additionally, even in situations involving a minor release, the type of hazardous waste involved (e.g., mobility, exposure to air) or the location of the release (e.g., located in a populated area or in a building to which the public has access) may lead DEQ to conclude that this criterion has been met.
EPA suggests that DEQ look beyond actual releases to threatened releases. A threatened release is sufficient to meet this criterion if there is a substantial likelihood that the release would result in exposure to hazardous waste or hazardous waste constituents. Also, releases that might otherwise be considered insignificant should be examined in the larger context of the overall management of the hazardous waste. If a minor release, taken together with other factors, suggests an ongoing threat of future releases, DEQ should determine that SNC criterion has been met.
The following are several examples of suspected violations that would generally cause either an actual exposure or a substantial likelihood of exposure to hazardous waste and would warrant the potential violator being classified a SNC: a potential violator that did not determine that the waste it generates is a hazardous waste and the waste is not managed properly; a potential violator that disposed of hazardous waste in violation of the Land Disposal Restrictions; a facility that did not have an adequate ground water monitoring system; or a possible violator that failed to comply with the requirements for storing ignitable, reactive or incompatible wastes. These few examples are provided for illustration only and are not meant to comprise anything approaching a complete list. In situations where a regional office has general or site-specific Page 98 HAZARDOUS WASTE INSPECTOR HANDBOOK questions regarding the appropriate classification(s), it should consult with the CO HWCC, CO Waste Program Manager, or CO HW Enforcement Coordinator.
With respect to chronic or recalcitrant potential violators, DEQ should to obtain and consider multi-media information. In many cases, the evaluation will provide insight into the overall environmental management practices and may indicate whether a violator will be responsive to an informal enforcement action. To the extent practicable, DEQ should also consider previous potential violations by the same individual or entity at other locations.
In weighing the apparent violations that make up a regulated entity’s compliance history, DEQ should give the heaviest weight to similar potential violations and to multiple potential violations at the same process or unit. In addition, while there is no set time period for evaluating the alleged violator’s past conduct, misconduct occurring less than three years ago should be weighted more than misconduct occurring beyond a three year period. DEQ should consider but give less weight to apparent violations of other media requirements. Similarly, DEQ should consider but give less weight to possible violations by the same regulated individual or entity at other locations. The exception to this last principle is where the previous alleged violation was identical to the one currently identified by DEQ. In such cases, the previous alleged violation should be given considerable weight.
With respect to substantial deviation from the terms of a permit, order, agreement or from RCRA statutory or regulatory requirements, this criterion involves a judgment call based on the totality of circumstances associated with the violator. DEQ should keep in mind the following principles when making this determination.
First, DEQ should not consider the size or financial viability of a business when determining whether the violator is a SNC. After DEQ discovers a potential violation, the size and viability of the business should be factors in deciding the appropriate relief sought in any formal enforcement action that ensues, not in determining the level of potential violation.
Second, DEQ should focus on the importance of the particular requirement potentially violated and how substantially the alleged violator failed to comply with it. For instance, apparent violations that enable an alleged violator subject to Subtitle C to remain outside the scope of the regulatory program are, by their very nature, substantial deviations from the regulatory program. When applying this principle, DEQ does not necessarily need to evaluate the percentage of the total applicable requirements that were potentially violated.
The more important the requirement in terms of furthering RCRA’s statutory or regulatory purposes or procedures, the less DEQ should tolerate deviation from the requirement without formal enforcement. In determining the importance of the requirement, DEQ should consider the direct contribution that the provision offers to protect human health or the environment.
Additionally, DEQ should remember that a particular requirement may be important because Page 99 HAZARDOUS WASTE INSPECTOR HANDBOOK the information it requires to be maintained or provided to another individual is essential to the integrity of the RCRA regulatory program.
The following are examples of possible violations that generally constitute substantial deviations from the terms of a permit, order, agreement or other RCRA statutory or regulatory requirements and warrant the possible violator being designated a SNC: the possible violator did not have adequate financial assurance; a potential violator is operating as a treatment, storage or disposal facility without a permit or interim status; a facility failed to manifest its waste; or a possible violator offered waste to a transporter without an EPA ID number. Once again, these examples are not meant to comprise anything approaching a complete list.
Other alleged violations should be considered and discussed as part of a case-by-case analysis/discussion with the Regional office.
Finally, in marginal situations, DEQ should consider any steps the potential violator has taken to expeditiously come into compliance prior to discovery by the government and to mitigate any risks resulting from its apparent violation. In some circumstances, the deviation from the requirements may not be considered substantial if the potential violator, on its own initiative, identifies the apparent violation soon after it begins, takes steps to resolve the apparent violation as expeditiously as possible, and mitigates any potential harm to the environment or the regulatory program.
In summary, SNC violations are imminently or immediately harmful to human health or the environment. SNC violations cause actual exposure or a substantial likelihood of exposure to hazardous waste or hazardous constituents. SNC violations are major deviations from the regulations and would typically warrant issuance of a Notice of Violation to the SNC facility. b) Secondary Violations (SVs) SVs, which are not High Priority cases, are suspected potential violators that do not meet the criteria listed above for SNCs. SVs are typically first time potential violators and/or potential violators that pose no actual threat or low potential for threat of exposure to hazardous waste or constituents. A facility classified as an SV should not have a history of recalcitrant or non-compliant conduct. Suspected violations associated with an SV should be of a nature to permit prompt return to compliance with all applicable rules and regulations.
SV 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 without a substantial of harm to human health or the environment. SV violations would typically result in issuance of a Warning Letter or an Informal Corrections letter to the facility. c) SNC and SV Examples The items listed below are some examples from the March 1996 (revised December 1, 1999) version of EPA’s Civil Enforcement Response Policy. The 1999 CERP was replaced by the 2003 Page 100 HAZARDOUS WASTE INSPECTOR HANDBOOK CERP version which supersedes all previous versions, and the 2003 version does not break out SNCs in as much detail as the 1999 version. However, the determination of SNC versus SV lies with Regional and Central Office Compliance and Enforcement staff based on the criteria established above.
Possible examples of SNC violations may include: Visible evidence that hazardous waste has been released onto the ground (SNC). Hazardous waste released into waters of the state (SNC). Hazardous waste burned on-site in an unauthorized unit (SNC). An ignition source in area that stores ignitable characteristic hazardous waste, or other failure to properly handle ignitable, reactive, or incompatible wastes including incompatible hazardous wastes stored in the same container, tank or secondary containment structure (SNC). Hazardous wastes not compatible with the containers that hold them (SNC). Failure to carry out waste analysis for a waste stream (SNC). If, however, subsequent analysis indicates that the stream is not a hazardous waste, the appropriate classification would be SV. Failure to comply with the 90-day storage limit by a generator is an SV, unless there is significant deviation from the requirement, or failure to rectify the apparent violation upon notice which elevates the apparent violation to SNC. Commencing construction prior to permit approval at a new facility or modifications to an existing facility requiring a permit before such construction is commenced (SNC). Systematic failure of a generator or transporter to comply with the manifest system or substantial deviation from manifest requirements (SNC). Routine manifest violations of a limited nature may only warrant an SV designation. Failure to satisfy manifest discrepancy reporting requirements (SNC). Failure to prevent the unknowing entry or prevent the unauthorized entry of person or livestock into the waste management area is such failure substantially increases the potential for harm to the health of humans or livestock (SNC). Disposal of hazardous waste by a waste handler in a regulated quantity at a non-regulated treatment, storage, and/or disposal facility (SNC). Improper or unpermitted disposal of waste in violation of the Land Disposal Restrictions [LDRs] (SNC). Mixing, solidifying or otherwise diluting waste to circumvent LDRs (SNC). Incorrectly certifying a waste for disposal/treatment in violation of the LDRs (SNC). Failure to submit notification/certifications as required by LDRs (SNC). Failure of an owner/operator of a TSD facility to have a closure or post closure plan or cost estimates, or failure to establish or maintain financial assurance for closure and/or post-closure care (SNC). Failure to conduct required inspections (SNC).
Page 101 HAZARDOUS WASTE INSPECTOR HANDBOOK Failure to correct hazardous conditions detected during a generator inspection (SNC).
Failure to correct conditions noted during an inspection that are less hazardous could be considered an SV violation. Failure to follow emergency procedures or a Contingency Plan during an emergency that could result in serious harm (SNC). Storage of hazardous waste in containers or tanks that are in poor condition (SNC). Failure to label hazardous waste drums, or a lack of knowledge of the contents of waste drums (SNC). Violation of any agreement condition or required compliance schedule (e.g., consent order or other enforcement compliance schedule) (SNC). Treatment, storage or disposal of hazardous waste without a permit or interim status. Violation of the “substantial” conditions of a permit or certification (e.g., facility capacity, unauthorized waste streams, unauthorized treatment or disposal methods or capacities, management in unauthorized areas). Any situation where actual “imminent hazard” of fire, explosion or release concerning hazardous waste or hazardous constituents can be documented in a hazardous waste management area (e.g., unsafe condition or operation of storage tank or impoundment, open flames or sparks around ignitable waste). “High Priority” violations of requirements, such as the complete absence of a containment system, contingency plan or personnel training plan (SNC). If the item is present, but deficient in some way, an SV designation would be appropriate.
Examples of SV violations include: Failure to assure early detection of releases (SV). Failure to notify DEQ of implementation of Contingency Plan (SV). Failure to maintain appropriate training records (SV). Failure to fulfill proper recordkeeping requirements (SV). Failure to submit a biennial report (SV). However, repeated failure may be considered recalcitrant behavior and warrant elevation of the violation to SNC status. Failure to perform clean-up operations or other corrective actions for non-emergency situations (SV). Improper labeling of drums (SV). Failure to date containers/tanks with an accumulation date if records otherwise document the accumulation date and for first occurrence (SV). Where an accumulation date is unknown and undocumented, or for recalcitrant or repeat offenses, a SNC designation would be appropriate. Violation of any schedule or condition of any written agreement, permit, license or certification entered between the inspected party and the state of Missouri (e.g., consent decree, consent agreement, permit, enforcement compliance schedule). Violation of “non-substantial” requirements. If items are present but have deficiencies or need updating (e.g., such as contingency plans, personnel training plans and documentation, closure plans and closure cost estimates) (SV).
Page 102 HAZARDOUS WASTE INSPECTOR HANDBOOK Similar partial violations such as failure to provide all the correct information when filling out a manifest or to affix all the proper marks and labels to hazardous waste containers being stored (SV). Anything else not serious enough to be considered a High Priority SNC violation should be considered an SV violation.
Note: One of the examples identified in the list of acute violations is also identified in the non-acute significant violations list (hazardous waste not compatible with the containers holding them). The reason for this is the possibility that an inspector will be 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 container has extensive staining along the entire extent of its bottom accompanied by 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. 2) Possible RCRA Violation Citations The following table of regulatory citations can assist the inspector in identifying the appropriate citations for violations noted during an inspection. A more complete list is referenced in Appendix 6.
These citations will appear in Formal Corrections Letters, as well as on the RCRAInfo form, detailed in Chapter 10 of this Handbook. Please note, these citations are based on the pre-May 30, 2017 effective date for the Generator Improvements Rule. Citations will change after DEQ’s adoption of the changes implemented as a result of the GIR.
Table 9-2: RCRA Citations
CODE DESCRIPTION Part 260 Hazardous Waste Management System: General 260.A General 260.B Definitions 260.C Rulemaking Petitions Part 261 Identification & Listing of Hazardous Waste 261.A General 261.B Criteria for Identifying the Characteristics of Hazardous Waste & For Listing Hazardous Wastes 261.C Characteristics of Hazardous Waste Page 103
HAZARDOUS WASTE INSPECTOR HANDBOOK 261.D Lists of Hazardous Waste 261.E Exclusions/Exemptions 261.H Financial Requirements for Management of Excluded Hazardous Secondary Materials Part 262 Standards Applicable to Generators of Hazardous Waste 262.A General 262.B The Manifest 262.C Pre-Transport Requirements 262.D Recordkeeping and Reporting 262.E Exports of Hazardous Waste 262.F Imports of Hazardous Waste 262.G Farmers 262.H Transboundary Movements of Hazardous Waste for Recovery Within the OECD Part 263 Standards Applicable to Transporters of Hazardous Waste 263.A General 263.B Compliance With the Manifest System and Recordkeeping 263.C Hazardous Waste Discharges Part 264 Standards for Owners and Operators of Hazardous Waste Treatment, Storage and Disposal Facilities 264.A General 264.B General Facility Standards 264.C Preparedness and Prevention 264.D Contingency Plan and Emergency Procedures 264.E Manifest System, Recordkeeping, and Reporting 264.F Releases from Solid Waste Management Units 264.G Closure and Post-Closure 264.H Financial Requirements 264.I Use and Management of Containers 264.J Tank Systems 264.K Surface Impoundments 264.L Waste Piles 264.M Land Treatment 264.N Landfills 264.O Incinerators 264.S Special Provisions for Cleanup 264.W Drip Pads 264.X Miscellaneous Units 264.AA Air Emission Standards for Process Vents 264.BB Air Emission Standards for Equipment Leaks 264.CC Air Emission Standards for Tanks, Surface Impoundments, and Containers 264.DD Containment Buildings Page 104
HAZARDOUS WASTE INSPECTOR HANDBOOK 264.EE Hazardous Waste Munitions and Explosives Storage Part 265 Interim Status Standards for Owners and Operators of Hazardous Waste Treatment, Storage, and Disposal Facilities 265.A General 265.B General Facility Standards 265.C Preparedness and Prevention 265.D Contingency Plan and Emergency Procedures 265.E Manifest System, Recordkeeping, and Reporting 265.F Groundwater Monitoring 265.G Closure and Post-closure 265.H Financial Requirements 265.I Use and Management of Containers 265.J Tanks Systems 265.K Surface Impoundments 265.L Waste Piles 265.M Land Treatment 265.N Landfills 265.O Incinerators 265.P Thermal Treatment 265.Q Chemical, Physical and Biological Treatment 265.R Underground Injection 265.W Drip Pads 265.AA Air Emission Standards for Process Vents 265.BB Air Emission Standards for Equipment Leaks 265.CC Air Emission Standards for Tanks, Surface Impoundments, and Containers 265.DD Containment Buildings 265.EE Hazardous Waste Munitions and Explosives Storage Part 266 Standards for the Management of Specific Hazardous Wastes and Specific Types of Hazardous Waste Management Facilities 266.C Recyclable Materials Used in a Manner Constituting Disposal 266.F Recyclable Materials Utilized for Precious Metal Recovery 266.G Spent Lead-Acid Batteries Being Reclaimed 266.H Hazardous Waste Burned in Boilers and Industrial Furnaces 266.M Military Munitions 266.N Conditional Exemption for Low-Level Mixed Waste Storage, Treatment, Transportation, and Disposal Part 267 Standards for Owners and Operators of Hazardous Waste Facilities Operating Under a Standardized Permit 267.A General 267.B General Facility Standards 267.C Preparedness and Prevention Page 105
HAZARDOUS WASTE INSPECTOR HANDBOOK 267.D Contingency Plan and Emergency Procedures 267.E Recordkeeping, Reporting & Notifying 267.F Releases from Solid Waste Management Units 267.G Closure 267.H Financial Requirements 267.I Use and Management of Containers 267.J Tank Systems 267.DD Containment Buildings Part 268 Land Disposal Restrictions 268.A General 268.B Schedule for Land Disposal Prohibition and Establishment of Treatment Standards 268.C Prohibitions on Land Disposal 268.D Treatment Standards 268.E Prohibitions on Storage Part 270 EPA Administered Permit Programs: The Hazardous Waste Permit Program Part 271 Requirements for Authorization of State Hazardous Waste Programs Part 272 Approved State Hazardous Waste Management Programs Part 273 Standards for Universal Waste Management 273.A General 273.B Standards for Small Quantity Handlers of Universal Waste 273.C Standards for Large Quantity Handlers of Universal Waste 273.D Standards for Universal Waste Transporters 273.E Standards for Destination Facilities 273.F Import Requirements 273.G Petitions to Include Other Wastes Under 40 CFR Part 273 Part 279 Standards for the Management of Used Oil 279.A Definitions 279.B Applicability 279.C Standards for Used Oil Generators 279.D Standards for Used Oil Collection Centers and Aggregation Points 279.E Standards for Used Oil Transporter and Transfer Facilities 279.F Standards for Used Oil Processors and Re-Refiners 279.G Standards for Used Oil Burners Who Burn Off-Specification Used Oil for Energy Recovery 279.H Standards for Used Oil Fuel Marketers 279.I Standards for Use as a Dust Suppressant and Disposal of Used Oil Part 280 Technical Standards and Corrective Action Requirements for Owners and Operators of Underground Storage Tanks Part 148 Hazardous Waste Injection Restrictions Chapter 60 Virginia Hazardous Waste Management Regulations Page 106 HAZARDOUS WASTE INSPECTOR HANDBOOK Section 12 Definitions derived from the Code of Virginia Section 14 Definitions derived from incorporation of reference texts Section 17 Definitions created by these regulations Section 18 Applicability of incorporated references based on the dates on which they became effective Section 20 Authority for Chapter Section 30 Purpose of Chapter Section 40 Administration of Chapter Section 50 Application of Chapter Section 70 Public Participation Section 80 Enforcement and appeal procedures; offenses and penalties Sections 124, 260, 261, 262, 263, 264, 265, 266, 268, 270, 273, 279 Adoption of 40 CFR by reference Section 305 General (Generator) Section 315 Notification Section 325 Prohibition Section 328 EPA identification number Section 420 General (Transporter) Section 430 Recordkeeping and reporting requirements Section 440 Identification number Section 480 Acceptance, shipment and delivery of hazardous waste Section 490 Discharges Section 500 Transfer facilities Section 1260 Purpose, scope, and applicability Section 1270 Determination of application fee amount Section 1280 Payment of application fees Section 1283 Determination of annual fee amount Section 1284 Payment of annual fees Section 1285 Permit application fee and annual fee schedules Section 1286 Discounted annual fees for Environmental Excellence program participants Section 1370 General Section 1380 Changes to identification and listing of hazardous wastes Section 1390 Changes in classifications as a solid waste Section 1400 Changes in process classification Section 1410 Changes in the required management procedures Section 1420 Administrative procedures Section 1430 Petitions to include additional hazardous wastes Section 1435 Petitions for site-specific variance from the applicable treatment standard Page 107 HAZARDOUS WASTE INSPECTOR HANDBOOK under the land disposal restrictions Section 1495 General provisions Section 1505 Additional universal wastes
D.
Inspection Report A complete inspection report consists of the signed inspection letter and inspection report consisting of the survey sheet, checklists, photos, and all relevant attachments and supporting documentation.
Inspection reports should be written so that a person unfamiliar with the facility can understand how the plant is organized; against what standards it was inspected; and what waste streams were identified, how they were determined, and how those streams are handled by the facility. Inspection reports should document that all required procedures have been followed. All persons present during the inspection should be identified, to the extent possible. Reports should also contain references to any attachments used to substantiate the report’s findings. A “Model” RCRA Inspection Report Outline (based on EPA guidance) can be found in Appendix 6. 1) General Report Writing Tips Write the report to meet the needs of the regulated community, the public, DEQ, EPA, and an administrative or judicial law judge. State the apparent violations, observations and legal requirements accurately. Provide detail to support the alleged violations and other problems, so that the facility can easily understand how to correct the problems. Make factual statements and provide any supporting evidence. Provide details to completely describe the facility processes, products, waste management practices, inspection procedures and the potential violations noted, regardless of facility complexity. Write your personal observations in first person. Use your field notes, checklists and evidentiary documentation collected to prepare the report. Prepare the report shortly after the inspection while the details are still fresh. Avoid any personal comments, especially those of a prejudicial or derogatory nature when taking notes. Destroy notes after the report is completed, except for any part(s) considered necessary report attachments. Complete a survey sheet and inspection checklists for every inspection, even if the facility has no apparent violations or is conditionally exempt from regulation. The survey sheet and inspection checklists are an integral part of the inspection report. Make sure all applicable boxes are checked and nothing is left blank. Provide explanatory comments for any apparent violations. 2) Attachments Include as an attachment to the inspection report any document that is relevant to the inspection or narrative. Examples: Page 108 HAZARDOUS WASTE INSPECTOR HANDBOOK Electronic copies of Inspection checklists created from handwritten checklists completed during the inspection. Process diagrams provided by the facility. 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 apparent physical violations and reference at the appropriate places in the narrative inspection report. A sample log sheet for use in organizing photographs to attach to the inspection report can be found in Appendix 6. Copies of sampling and analysis reports provided by the facility if sampling was conducted in conjunction with the inspection and if such a report is available. Copies of written and signed statements taken by the inspector from facility personnel, if applicable. Copies of documents supporting and illustrating statements made during the inspection. This might include 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. 3) On-Line Checklists A critical part of the Inspection Report is the completed inspection checklists. As part of drafting the inspection, the HW inspector should enter all the information that was handwritten on the paper copies of inspection checklists during the inspection, and any other applicable handwritten notes from the inspection, onto the electronic Survey Sheet and applicable electronic checklists. Each checklist should be fully completed, with comments regarding the inspection included as appropriate. Any pertinent comments or observations from the inspector’s notes should be included on the electronic inspection checklists.
The current electronic versions of all the checklists are found on DEQNet, as well as in Appendix 2 of this handbook. 4) Photographic Inclusion Photos taken during the inspection that document any instances of possible non-compliance should be included with the inspection report. Detailed information on taking and logging photographs can be found in Chapter 7. A sample photo log sheet that can be used to include photographs in an inspection report can be found in Appendix 6.
E. Peer Review Once the report is prepared by the inspector it is submitted through the appropriate chain of command for comment/concurrence. Each regional office may establish its own chain of required review.
Typically, the review process would consist of the team leader/technical reviewer, LPM, and Page 109 HAZARDOUS WASTE INSPECTOR HANDBOOK enforcement staff for any Notices of Violation. The following information should be submitted as part of the draft package to be reviewed:
Inspection Letter, Warning Letter, or Notice of Violation Completed Checklists Attachments pertinent to the review process Inspection photographs, if applicable Completed RCRAInfo form
The inspector should make any necessary changes after internal reviews have been completed.
Inspectors are responsible to ensure that inspection reports are complete and accurate.
F. Finalizing and Issuing the Inspection Report The finalized, signed Inspection Letter should be saved in PDF format. NEVER SEND DOCUMENTS THAT HAVE BEEN SAVED IN WORD AS THEY CAN BE ALTERED. All inspection checklists and attachments should also be saved in PDF.
The inspector will have to compile and merge the different pieces that make up the Inspection Report prior to sending to the facility as a complete document. The preferred order of documents in the inspection report (if they are present) is as follows:
- Inspection Letter
- Photo Attachments
- Survey Sheet
- Facility checklist (TSD/LDF)
- LQG, SQG or CESQG Generator Checklist
- Transporter checklist
- Container Checklist
- Tank Checklist
- Other Storage/Treatment Area Checklist (Drip Pad, Waste Pile, Surface Impoundment, Landfill) 10. Health & Safety Checklist 11. Universal Waste Checklist 12. Used Oil Checklist 13. Any other applicable checklists Depending on Regional Office preference, the finalized Inspection Report can be sent via email or by hard copy through the U.S. Mail. In either case, the document should be sent Return Receipt Requested.
If the document is sent via email, the inspector should merge the inspection letter, the survey sheet, and the inspection reports prior to emailing. The attachments can be included separately with the email. The email used to forward the Inspection Report to the facility should also become a part of the inspection record. Sample wording for a forwarding email can be found in Appendix 7.
Page 110 HAZARDOUS WASTE INSPECTOR HANDBOOK G. Copies Necessary copies of Inspection Reports are determined by the type of Inspection Letter/Inspection Report that is issued. Internally, all Inspection Reports including checklists and forwarding emails should be entered into the appropriate facility file in ECM. The HW inspector who conducted the inspection should keep a copy of the email and inspection report. Any other DEQ staff member with an interest in the inspection report can be copied. Send a copy of the inspection report to other DEQ programs or divisions if you suspect violations in other media or if they are involved in any way. Externally, the facility contact with whom the inspection was conducted should be the primary recipient of an Informal Correction Letter. The Environmental Manager or Company Manager/President should be the recipient of a Warning Letter or Notice of Violation. Send copies of the cover letter and inspection report to other company personnel as requested during the inspection or if appropriate.
Copies of all correspondence received from facilities in response to any request for information or in response to any type of inspection should be uploaded to the facility file in ECM.
H. Enforcement Referrals The DEQ’s issuance of a NOV implies that further enforcement action will follow. Through review of a draft NOV by enforcement staff, and reference of the DEQ enforcement staff as the contact person in the NOV, the NOV acts to refer the matter for formal enforcement action. After referral, enforcement staff has the responsibility for resolving the case. Enforcement staff will evaluate the facts and appropriate legal authority, and apprise compliance staff of the case status. In collaboration, compliance staff support the enforcement staff, attend any enforcement meetings with the facility at enforcement’s request, review any responses or return-to-compliance documents at enforcements request, continue compliance activities (unless otherwise agreed), and communicate effectively to ensure a case is appropriately resolved. The NOV should be entered into ECM using the enforcement retention schedule (ECM 123-1).
As stated previously in this Handbook, DEQ uses EPA’s Hazardous Waste Civil Enforcement Response Policy (March 15, 1996) to classify suspected hazardous waste violations for the purpose of determining a timely and appropriate enforcement response. The March 1996 Policy classifies alleged non-compliance based upon an analysis of the facility’s overall compliance with Subtitle C of RCRA – not on an individual violation basis – which includes prior recalcitrant behavior and history of non-compliance.
The Policy establishes two classifications of potential violators: Significant Non-compliers (SNC) and Secondary Violators (SV). SNCs are those facilities where suspected high priority violations are taking place. SVs are those facilities where apparent lower priority violations are taking place. High Priority SNC 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. SV 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 without a substantial of harm to human health or the environment. Appropriate enforcement actions are tied to the two levels of violations. Examples of violations that would fall under each of these categories can be found in Chapter 8 of this Handbook.
Page 111 HAZARDOUS WASTE INSPECTOR HANDBOOK When a possible violation is detected, an enforcement action may be initiated to compel the violator to return to compliance and/or possibly make compensation. EPA/states may use the evidence collected through inspections to determine which enforcement option to pursue. Options include Informal enforcement (Informal Corrections Letter or Warning Letter), Formal enforcement (Notice of Violation), Administrative Action, Civil Court Action, and Criminal Court Action. A decision to pursue one or more of these options should be based on the nature and severity of the apparent violation and the strength of the available evidence. Remember, however, that it is not the HW Inspector’s responsibility to make case decisions. A HW Inspector can make observations, take notes, and photograph potential areas of non-compliance during an inspection. The HW Inspector should then return to his/her regional DEQ office and discuss the potential violations and potential outcomes with the regional LPM and regional enforcement staff.
Informal Corrections and Warning Letters are issued by DEQ compliance staff. NOVs should be issued by whoever has been delegated authority in that Regional Office, with the assigned enforcement staff member shown as the contact on the NOV. NOVs mark the transition from compliance to enforcement.
Compliance, enforcement, and (as needed) permitting program staff should consult on the NOV before issuance.
Based upon EPA guidance, Informal enforcement response is necessary for all Secondary Violators. An informal enforcement response typically consists of a Warning Letter containing a recitation of the observations and corresponding legal requirement, and a request for the facility to propose a schedule for returning the facility to compliance within 20 days of the date on the Warning Letter. The Warning Letter format is provided in Appendix 7 of this Handbook. Warning Letters are drafted by the inspector and approved by the LPM for that Regional Office. Warning Letters can be signed by the inspector, or by the LPM, whichever is appropriate for the region in question. A facility that fails to submit a schedule as requested by a Warning Letter, or fails to return to compliance in accordance with the schedule they have proposed, should be reclassified as a SNC and a formal enforcement action taken (see below).
If the facility with apparent SV violations corrected the suspected violations during the inspection, or immediately thereafter, and provided DEQ with adequate documentation of the corrections, DEQ can issue a “Informal Corrections” letter in lieu of a Warning Letter to the facility.
Formal enforcement actions are the minimally appropriate enforcement response for all Significant Non-Compliers. A formal enforcement response must mandate compliance and initiate a civil, criminal, or administrative process that results in an enforceable agreement or order. The formal enforcement response should seek injunctive relief that ensures the non-compliant facility expeditiously returns to full physical compliance. High Priority SNC violations are major deviations from the regulations and would typically warrant issuance of a Notice of Violation to the SNC facility.
I. Timeline All inspection reports are to be written in draft for review by the appropriate regional Land Protection Manager, regional technical reviewer (region-specific), and/or regional enforcement staff in a timely manner. Inspectors should have the goal of issuing the inspection report, including Warning Letters or Notices of Violation, and submitting the completed RCRAInfo form (See Chapter 11) in 45 days or less from the date of the inspection. While this is not always possible, inspection reports should be finalized Page 112 HAZARDOUS WASTE INSPECTOR HANDBOOK as quickly as possible. If activities during inspection report writing necessitate additional time to complete the inspection report beyond the 45 allotted days, the inspector must complete a memo justifying the need for additional time. This memo should then be signed by the LPM and uploaded to the facility file in ECM (see ECM in Appendix 3). The blank form for this memo can be found in Appendix 2, Checklists.
To help facilitate the upcoming draft/review process, inspectors should notify their Land Protection Manager as soon as possible after an inspection by telephone, email or in person when the inspector believes High Priority Violations or other complicated compliance issues were observed during the inspection.
Send the inspection report, including inspection letter or NOV or WL, checklists, and any attachments to the hazardous waste generator within 45 days of the inspection. Send the WL or NOV by priority email with Acknowledgement of Receipt requested, if available. If Regional protocol requires, follow up with a signed hard copy sent in the mail.
Resolution of informal and formal enforcement actions must occur within the restraints of the following timeline from EPA’s Civil Enforcement Response Policy. For actions that take longer than the timeline, the inspector should place a memo in the facility file indicating the need for extended time.
Day 0 – Evaluation/Inspection Date The evaluation/inspection date is defined as the first day of any inspection or record review during which a possible violation is identified, regardless of the duration of the inspection or the stage in the inspection at which the possible violation is identified. For apparent violations detected through some other method than record reviews or inspection (such as facility self-disclosure), the evaluation date will be the date upon which the information became available to DEQ.
If a facility is reclassified from an SV to a SNC as a result of failure to follow the schedule to return to compliance that came as a result of a Warning Letter, the new evaluation date will be considered the first day of discovery of non-compliance with the compliance schedule established through the informal enforcement response.
Day 45 – Informal Enforcement Response Under the policy, the inspector goal is to issue Inspection Reports with informal enforcement responses (Warning letters or Violations Corrected Letters) within 30 days of the Evaluation/Inspection Date.
However, EPA Region III has extended this deadline to 45 days for Virginia. If an inspector cannot achieve this goal, a memo must be placed in the facility file justifying the failure to achieve a 45-day response goal.
The inspector goal for issuance of formal enforcement responses (Notices of Violation) is also 45 days.
However, it is acknowledged that it is far less likely to accomplish this task in 45 days than it would be for an informal response. A justification memo must still be placed in the facility file.
Page 113 HAZARDOUS WASTE INSPECTOR HANDBOOK Day 90 – Informal/Formal Enforcement Response Deadline Typically, informal enforcement responses will be issued much sooner than 90 days after the Evaluation/Inspection Date. Under the policy, in ALL cases, however, the determination must be made and the informal response issued within 90 days of the evaluation date.
Formal enforcement responses must be initiated by the issuance of an NOV by no later than 90 days after the evaluation date.
While inspectors do not have control over the speed of draft NOV reviews by enforcement staff, the inspectors have the responsibility to track the status of draft documents, and to keep enforcement staff and their LPM aware of approaching deadlines for issuance.
Day 180 – Informal Return to Compliance, Formal Consent Order Informal enforcement response must result in a return to compliance by day 180. If a return to compliance has not been achieved by day 180, the facility will be reclassified as a SNC, and a new evaluation date established. This second evaluation date will be considered the first day of discovery of noncompliance with the compliance schedule established by the informal enforcement response, but in no case shall the new evaluation date be established later than 180 days following the initial evaluation date.
It is the inspector’s responsibility to do the following: Know the EPA March 16, 1996 Civil Enforcement Response Policy; Know the schedule requirements for completing inspections and issuing informal and formal enforcement responses; Initiate activities as necessary to meet the schedule; Ensure that the appropriate LPM is kept informed of potential schedule problems; and If, at any time during the process, it becomes apparent that the alleged violation will not be resolved administratively (e.g., through a consent order), this information must be conveyed to the appropriate LPM as soon as possible.
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HAZARDOUS WASTE INSPECTOR HANDBOOK CHAPTER 10 – INSPECTION FOLLOW-UP A. Hazardous Waste Tracking Workbook Through cooperative efforts, the EPA and DEQ implement the RCRA compliance and enforcement program. EPA delegated authority to DEQ to administer the program; however, the two agencies collaborate on overall program management strategies and implementation mechanisms. This Federal-State partnership is known as the National Environmental Performance Partnership System. One component of the NEPPS is the performance partnership grant (PPG) in which EPA allocates Federal financial resources to the DEQ for the administration of the hazardous waste (and other environmental) programs. Consistent with NEPPS and PPG policy, DEQ implements comprehensive and thorough tracking of the PPG work plan goals which are reported to EPA. Inspection tracking is necessary to ensure that the financial resources are utilized efficiently and assists with future inspection planning and Agency staffing.
Each DEQ HW Inspector is responsible for tracking the hazardous waste inspections he/she has been assigned in a fiscal year. Tracking spreadsheets have been developed for each Regional Office, and can be found on the RCRA drive of each inspector’s computer. If the inspector has not already obtained access to the RCRA drive, forms to complete and submit to DEQ’s Office of Information Services (OIS) to obtain this access can be found in Appendix 1 of this Handbook.
To access the tracking spreadsheets (also known as Inspector Workbooks), an inspector needs to open the RCRA drive (rcrainfo$//deqfile1). In addition to the tracking spreadsheets, there is a lot of valuable information located in the directory for this drive, and the inspector should find an opportunity, at some time, to explore the guidelines and information that can be accessed here. However, the most important folder on this drive for hazardous waste inspectors is the folder called “Haz Waste Tracking Worksheets”. The inspector should open the drive and then open the Haz. Waste Tracking Worksheet folder.
Once the inspector opens the folder, he will see historic tracking information from past fiscal years for different aspects of the RCRA program. The subfolders entitled FFY08, FFY09, FFY10, etc., contain the tracking spreadsheets for previous federal fiscal years (FFYs). The inspector will need to open the subfolder for the current FFY to find the appropriate Region’s current hazardous waste tracking spreadsheet. Other subfolders that are helpful in this folder are those entitled “FY__ Inspection Planning”. The contents of this subfolder will help the inspector determine exactly what his/her inspection commitments are for the current fiscal year. However, this information will also be distributed to the inspectors by the HWCC prior to the beginning of the Federal Fiscal Year (which runs October 1 through September 30).
The next step is to open the hazardous waste tracking sheet subfolder for the current fiscal year. When that folder is opened, a separate spreadsheet for each regional office is found. All inspectors have access to all the regional spreadsheets. This can be helpful if an inspector wants to compare how he is entering data compared to other inspectors; however, an inspector will only be entering data into the spreadsheet for his/her regional office. An inspector can also look at the spreadsheet for his/her region Page 115 HAZARDOUS WASTE INSPECTOR HANDBOOK from a previous year to see what type of inspections have been done in the past by inspectors in that region. 1) Tracking Tabs Once the inspector opens the tracking sheet for the correct region, he will be able to view any page from the tracking spread sheet. The spreadsheets have numerous pages that are accessed by tabs at the bottom of the page. The following tabs will be present in each regional tracking workbook: Summary – The summary page provides an overview of the number and types of inspections that are due to be completed by the region that fiscal year.
Due FF__ - Large Quantity Generator inspections, Land Disposal facility inspections, and Federal TSD facility inspections due that fiscal year are identified on these pages.
Inspector 1, 2, 3, etc. - Each inspector in the same region will have their own Inspector tab in the tracking spreadsheet. These pages will be used by the inspectors to input their inspected facilities.
The page can also be used to track the due date of the inspection report, and the remaining number of each type of facility to be inspected that fiscal year to meet the regional grant commitment for that inspector. The remaining tabs in the spreadsheet for that region are for use by all the inspectors. More information on completing the inspector tracking sheet is found later in this chapter.
CEG Numbers – Since conditionally exempt small quantity generators are not required to obtain an EPA Identification number, not every CESQG has a number. If an inspector inspects a CESQG that does not have a number, a state number can be assigned from this tab in the tracking worksheet.
Non-Generator IDs – If an inspector inspects a non-notifier who is subsequently found to be a non-generator, the inspector will use this page to assign a Non-Generator ID# to the facility. These numbers will help DEQ track non-notifier visits and non-generator facilities.
Provisionals and Episodics – Provisional ID numbers are issued by regional inspectors to facilities who do not normally generate hazardous waste but have a one-time generation, or other extenuating circumstances. Episodics are facilities that notify DEQ that they have temporarily become LQGs. More information on these is found in Chapter 12.
Links for Issues - Information on deactivating EPA Identification numbers is linked under this table.
LQG and SQG GIS Data – The information under this tab includes any requested information for grouped inspections, such as all on the same road, or all in the same city or county.
RCRA Data Pull – This tab contains a listing of all the facilities in that region. The list can be filtered by the inspector as needed to show only one type of facility or only never-inspected facilities or to group by location.
Page 116 HAZARDOUS WASTE INSPECTOR HANDBOOK 2) Inspector Tab As soon as possible after the completion of an inspection (within five workdays), the inspector must enter the inspection information onto the appropriate inspector tab of the appropriate regional inspection tracking sheet. The following headings appear on the table on the Inspector sheets of Hazardous Waste Tracking Worksheet. Items noted in red are required to be entered by the inspector. All items are further described on the following pages. In some cases not all information can be filled in by the inspector right after the inspection. At a minimum, the inspector needs to complete those items indicated by an *. If at any time the information about an inspection changes, such as a regional office decides to issue a Warning Letter when the inspector thought it would be an NOV, the inspector should change the information entered into the table. If a RCRAInfo form has already been submitted for the inspection, a new RCRAInfo form may need to be submitted to correct the information entered into RCRAInfo. RCRAInfo Facility Name * EPA ID Number * Universe Category * Evaluation Type * SNY Inspection Category * Grant Category * Inspection Date * FCI Type * Report or Status Report Due Date Report Date Number of Days Response Due Response Received Return to Compliance Date 8700-12?
RCRAInfo – Entered by OFRWP Data staff. Indicates whether the RCRAInfo form has been received in OFRWP from the inspector;
Facility Name – The name of the facility as it appeared in RCRAInfo prior to the inspection;
EPA ID Number – The EPA ID number assigned to the location inspected. If the inspector assigned a CEG or VAN number, these would go in as the EPA ID Number;
Universe Category – The generator status of the facility in RCRAInfo prior to the inspection, not what it was determined to be during or after the inspection;
Page 117 HAZARDOUS WASTE INSPECTOR HANDBOOK Evaluation Type – See Chapter 4. Most HW inspections are some type of Comprehensive Monitoring Evaluation (CME). In most cases, HW inspections fall under the category CEI as Evaluation Type;
SNY – Stands for Significant Non-Complier. This designation is appropriate for facilities with more severe or repeat violations. Where SNY is indicated as YES, the Report Status should be 120 for Notice of Violation;
Inspection Category – Applicable only to Small Quantity Generator Inspections. SQGNI is for SQGs that have never been inspected. RS is for SQGs that have previously been inspected, or non-notifiers found to be SQGs. Leave blank if the pre-inspection RCRAInfo status was not SQG. Leave this column blank if inspection was anything other than SQG;
Grant Category – For grant category purposes, an inspection “counts” as the highest generator level it was either in RCRAInfo prior to the inspection or during the inspection. For a facility in RCRAInfo as a SQG, if the facility is determined to be an LQG during the inspection, the grant category is LQG.
Similarly, a SQG in RCRAInfo prior to the inspection that is found to be a CESQG during the inspection will have the grant category SQG. CAVs and other types of inspections that don’t count would be grant category “MISC”;
Inspection Date – The first day of the inspection at the facility. If the inspection took multiple days, this should still indicate the first day;
FCI Type – These are described in Chapter 4. For a facility that is found to no longer be at a location, the inspection is a FCI, with type ISI for Inactive Site Inspection. This is the FCI most frequently used by inspectors;
Report or Status – These are the RCRAInfo codes for the type of inspection report that will be written based on the findings of the inspection. OK means no violations. 110 means Informal Correction, referring to facilities with possible violations that were corrected either during the inspection or immediately thereafter. 119 refers to a Warning Letter. 120 refers to a Notice of Violation;
Report Due Date – The due date for the inspection report is automatically calculated as 45 days after the inspection date;
Report Date – Actual date of the inspection report. The inspector needs to fill this date in when the inspection report is finalized and sent to the facility;
Number of Days – Automatically calculates the actual number of days the inspection report took to be finalized. If this number is greater than 45 days, the inspector must put a 45 Day Exceedance Memo into the facility file. The blank form for this Exceedance Memo can be found on DEQNet with the inspection checklists. The link can be found in Appendix 2;
Response Due – If the inspection letter required the facility to respond in some way by a certain date, this date should be indicated in this column of the table;
Page 118 HAZARDOUS WASTE INSPECTOR HANDBOOK Response Received – The date the response was actually received.
Return to Compliance Date – The date the facility was returned to compliance. This is applicable for 110 Informal Correction Letters and 119 Warning Letters. NOVs are returned to compliance by enforcement staff; 8700-12? – If the facility submitted a revised 8700-12 form as a result of the inspection, it should be indicated in this column.
Some important points related to HW inspection tracking are as follows: No double dipping. If you went to an inspection with EPA that is EPA-lead, DEQ does not get credit for the CEI. The inspection can only be entered into the tracking sheet as a DEQ FCI if the inspector inspected state-specific requirements, or other RCRA-regulated waste management, such as UW and Used Oil aspects of the facility. If the inspector did inspect these aspects, however, and FCI inspection report must be written. But these FCI inspections will not count toward the DEQ grant commitment. The code NRR (non-Financial Record Review) can be used on the tracking sheet to show that reports or data packages submitted by a facility were reviewed in order to evaluate a facility’s possible return to compliance. Performing a file or permit review prior to performing an inspection is not an NRR, it is part of the pre-inspection file review and is a necessary component of a CEI, not an independent NRR. If a DEQ HW inspector does not finalize a HW inspection within 45 days of the inspection date, a memo to file justifying the delay is required. This is for DEQ internal and EPA audit purposes. If a VAP number winds up on the SQG-NI list for a region, it should not be there. HW inspectors should not inspect VAPs unless there is some kind of question about what is currently taking place at that location. Typically, there will be no ongoing activities at a provisional ID number location, and it would therefore not count as a completed HW CEI inspection.
B. Entering Inspection Reports and other information submitted by facilities into ECM See Appendix 3 for complete ECM information.
C. RCRAInfo Form The RCRAInfo form must completed by the inspector after the Inspection Report is finalized. Completed RCRAInfo forms are sent to the Data staff (currently Kim Hughes) in the Division of Waste Planning, Data and Reporting in the OFRWP, who uploads the information to the RCRAInfo database. Directions on completing the RCRAInfo form are found in Chapter 11. It is important that HW inspectors complete a revised RCRAInfo form if any information about the inspection changes after the initial RCRAInfo form has been submitted, such as additional potential violations determined during follow-up inspections, or return-to-compliance of previously noted inspections.
D. Inspection Report Response A No Violation inspection report does not require a response.
Page 119 HAZARDOUS WASTE INSPECTOR HANDBOOK When, during an inspection, a facility is found to have alleged violations of RCRA and the VHWMR, there are three types of inspection reports that can result from the Compliance Evaluation Inspection: An Informal Correction Letter, a Warning Letter or a Notice of Violation. These were described previously in this Handbook.
An Informal Correction Letter inspection report will identify potential violations of the VHWMR noted during the inspection that were either corrected during the inspection or corrected in the period of time between the inspection and the writing of the inspection report. These letters establish in the inspection letters that violations have already been corrected, what the corrective actions were, and that no further action is necessary to bring the facility back into compliance. Usually, these letters can be written as a result of interaction between the inspector and the facility both during and immediately following the inspection. Non-significant violations that can be corrected within thirty days are contained in the Informal Correction letter. Facilities will submit documentation after, or make observable corrections during the inspection in response to comments about potential non-compliance with the regulations noted during the inspection.
A Warning Letter will identify apparent violations noted during the inspection, and ask the facility to respond to the WL within 20 days with a proposed schedule to make corrections and return the facility to compliance.
A Notice of Violation requests the facility contact DEQ within ten days to set up a meeting to discuss areas of potential non-compliance. Usually at that meeting, the facility will discuss the alleged violations, any corrections that have been made since the inspection, and future intended actions. DEQ will usually negotiate a Consent Order with the facility to ensure that these actions are taken, and to assess a civil penalty, if applicable.
E. Return to Compliance (RTC) Documentation submitted by facilities to support RTC where possible violations were noted is typically evaluated by HW inspection staff. There are different procedures to follow depending upon whether the RTC is full or partial, and whether the documentation was submitted in response to a Warning Letter or Notice of Deficiency, or documentation submitted during or after an inspection to document RTC from Informal Corrections observations made during the inspection or immediately thereafter.
For alleged violations that a facility has successfully returned to compliance: 1) Informal Corrections Letters – If an Informal Correction Letter is issued with an inspection report, a facility has already RTC’d for all potential violations noted, either during the inspection, or after the inspection but prior to the issuance of the inspection report. In these cases, the corrections that have been made by the facility are noted along with the apparent violations in the Informal Correction Letter. The RCRAInfo form (see Chapter 11) that is completed following the issuance of the Informal Correction Letter/Inspection Report shows both the alleged violations and the dates that corrections were observed, or the date that documentation of corrections was received.
Page 120 HAZARDOUS WASTE INSPECTOR HANDBOOK 2) Warning Letters – If a Warning Letter is issued with an inspection report, a facility is given twenty days in the WL in which to respond to DEQ with a schedule for correcting the noted apparent violations. As information is received from the facility to document the corrections, the inspector will have to review it and determine if the facility has made the appropriate corrections to rectify the alleged violations noted during the inspection. Usually the facility will submit a response to the inspection letter that will detail everything the facility has done up until that point to make corrections. In some cases, however, corrections may have begun but have not been completed as of the writing of the response. In this case, an inspector cannot return every potential violation to compliance; the inspector can only partially return the facility to compliance. The inspector will have to write a response to the inspection report response from the facility acknowledging steps the facility has already taken, identifying which of the potential violations noted in the original inspection report were corrected, how the potential violations were corrected, what the outstanding potential violations are, and what the facility must do to return to compliance from the outstanding potential violations. A facility cannot be fully RTC’d until all alleged violations have been adequately addressed.
If a Warning Letter was issued with the inspection report, and the facility has adequately responded to every noted apparent violation within the appropriate time period, the facility can be fully RTC’d. The inspector will have to write a response to the inspection report response from the facility. A sample format for this RTC letter can be found in Appendix 7. Essentially, the inspector will itemize each observation and legal requirement as written in the original WL.
After each legal requirement, the inspector will note the resolution or correction made for each apparent violation. At the end of the letter, the facility should be informed that no further action is necessary at this time. Following issuance of the RTC letter, the inspector should complete a RCRAInfo form for the RTC of apparent violations noted during the inspection. 3) Notices of Violation – If a Notice of Violation is issued with an inspection report, the case has been turned over to DEQ Enforcement Staff. HW Inspectors will be asked to attend the first meeting with the facility at which the Notice of Violation will be reviewed. The inspector may also be asked to review documentation and/or data submitted by the facility to support RTC for the potential violations during the enforcement process. However, typically when an NOV is issued, DEQ enters into a Consent Order with the facility that will detail a schedule by which the facility must take corrective measures. A facility cannot be RTC’d until the terms of the Consent Order have been met. The DEQ Enforcement staff assigned to the facility will acknowledge the completion of the terms of the Consent Order, and submit a RCRAInfo form returning the facility to compliance at the appropriate time.
F. Inspection/Inspector Assessments/Audits Annually, after the end of the inspection year, an assessment will conducted of the hazardous waste compliance inspection reports, hazardous waste tracking sheets, and ECM uploads. These audits will be performed by the Central Office Hazardous Waste Compliance Coordinator in an effort to ensure consistency between regions, to promote the production of high quality inspection reports, and to achieve optimal use of current and new resources by embracing continuous improvement in program Page 121 HAZARDOUS WASTE INSPECTOR HANDBOOK development by incorporating LEAN elements (reduce waste and inefficiencies, increase process speed, identify non-value added steps and causes of delay) into the hazardous waste inspection process.
Typical items that will be audited during an inspection include inspection documentation including inspection report quality and accuracy, checklist completion, ECM uploads, inspection report turn-around time, and submission of RCRAInfo forms state-wide (i.e., in CO, NRO, TRO, SWRO, BRRO, PRO and VRO).
The overall objective of this program audit is to ensure regulation and guidance implementation consistency, consistency in technical application and operational issues, and identification of potential training needs in the hazardous waste compliance program, while eliminating waste, inefficiency, and redundancy. Specific objectives are as follows: Verify that environmental laws, regulations and DEQ guidance are applied consistently; Identify innovative and efficiency techniques to promote statewide improvements; Identify areas for improvement and potential enhancements within the program operational process; Identify agency wide environmental and operational program impacts for quality measures found to be deficient; and Identify future training needs
The scope of the DEQ Hazardous Waste Compliance audit program will include a file review for the period of time being audited, ideally in one year increments, as well as interviews with inspectors, as necessary, to answer any questions regarding inspections reports and files.
The audit report that will be created following the audit will include generic observations and recommendations on Regional Office HW inspection programs, and is intended to stimulate cooperation and consistency between Regional and Central Office staff. Any issues noted during the audit will be included in a Regional Office Summary, as well as in the overall review of the HW Compliance Program as a whole.
The intent of the audit is finding any deficiencies in the program and present them to inspectors for future reference and application during future inspections. The audit will also identify inspection reports to inspectors that cannot be located in ECM at the time of the audit.
G. State Review Framework The State Review Framework (SRF) consistently assesses EPA and state enforcement of the Clean Water Act, Clean Air Act and RCRA. The program was designed collaboratively by EPA and the Environmental Council of the States (ECOS). EPA works in partnership with each state to create a final SRF report. These SRF reports allow EPA to identify recommendations for improvement to ensure fair and consistent enforcement and compliance programs across the states.
As part of its oversight of state programs, EPA conducts regional and state reviews on a five year cycle using national and state data, enforcement file reviews, commitments made in annual agreements and discussions with senior management. Once EPA completes its review, EPA creates a final report. If the Page 122 HAZARDOUS WASTE INSPECTOR HANDBOOK report identifies issues for resolution, EPA and the state will address them collaboratively. EPA will capture any resulting measures in future grant agreements.
The next SRF review of DEQ by EPA Region 3 will take place in 2019 from FY18 inspection data. Any applicable issues identified by EPA during its review process that appear in the SRF report will be shared with regional DEQ compliance staff.
Page 123 HAZARDOUS WASTE INSPECTOR HANDBOOK CHAPTER 11 - RCRAInfo RCRAInfo is the latest in a series of EPA data management systems developed to record and manage the massive amount of information related to hazardous waste activities performed by the regulated community, and to document the monitoring activities performed by various State and US EPA regulators, i.e., the hazardous waste facility database used by both EPA and the States. RCRAInfo is used to report to Congress and various state legislatures, communicate the success and viability of the RCRA Program, and track progress and program performance on State and US EPA Regional RCRA grant activities. RCRAInfo contains general facility information as well as facility compliance history including specific regulatory citations for previously documented alleged violations. RCRAInfo also generates reports such as biennial report and user-defined queries, and provides access to Learning Zen, a training function.
DEQ Central Office has a RCRA data administrator in the Office of Waste Planning, Data & Reporting.
Technical issues and specific questions regarding RCRAInfo should be brought to the attention of CO RCRA data staff.
A. Commonly Used Terms The following terms are used in RCRAInfo:
Universe Category: The generator level of a facility, or its status as a TSD, transporter, UW handler, Used Oil generator or Used Oil transporter. It is important that the inspector confirm the facility universe prior to the on-site inspection (if possible) so that the proper checklists can be brought to the facility, and the proper type of inspection performed. Facilities are now able to use myRCRAid, an electronic submission alternative for subsequent notification. [Formerly, the only alternative to update status was by submitting a paper copy of EPA Form 8700-12 to DEQ.] Therefore, a facility’s universe status may change at any time without notification to DEQ/the inspector, so it is important for inspectors to check a facility’s status on RCRAInfo prior to inspecting.
At DEQ, inspection planning begins for an upcoming fiscal year at the end of the previous fiscal year.
Performance Partnership Grant (PPG) inspection Work plan commitments for LQG facilities are determined based on the universe of LQGs at the time of inspection planning. DEQ commits to inspecting 20% of its LQG universe annually; therefore, all LQGs are inspected once every five years.
It is not uncommon for the universe status of a generator to change. If at the time of the inspection an LQG facility that was included in the Inspection Work plan at the onset of the fiscal year is determined to be an SQG (not an LQG), the inspection will count as an LQG toward the PPG commitment – an inspection counts as the higher level of status during planning versus status at the time of the inspection. If however, the facility has re-notified prior to Work plan negotiation and the facility is an SQG at the time of negotiation but is erroneously included in the Work plan as an LQG, that inspection will only count as an SQG inspection (unless the facility has become an LQG again prior to or at the time of the inspection). In this case it would then be necessary for the inspector to perform an alternate LQG at a different facility to make up for the error in counting LQGs with the assistance of the CO HWCC to identify a different LQG that is due for an inspection.
Page 124 HAZARDOUS WASTE INSPECTOR HANDBOOK Site Detail Report (SDR): The SDR is a report that can be obtained from RCRAInfo that provides general information about the facility including site location and contact information; generator status; and hazardous waste codes generated by the facility. The SDR also includes a summary of facility Notifications (8700-12 or Biennial Report Site Identifications) over time. This SDR report should be reviewed and saved and/or printed prior to the inspection. At the time of the inspection, the inspector should ask the facility to review the information on the SDR and confirm accuracy or advise the facility to submit a subsequent Notification of Hazardous Waste Activity (EPA Form 8700-12 – See Appendix 6) to update information. Businesses are frequently changing ownership, organizational structure, personnel, and sometimes hazardous wastes generated. It is necessary for the information in RCRAInfo to be as current and accurate as possible. Inspections are an opportune time for DEQ to obtain updated information.
Compliance History: The inspection and compliance history recorded in RCRAInfo should be reviewed prior to the inspection as part of the file review conducted for a facility. EPA sometimes conducts compliance evaluation inspections of LQG and TSD facilities on behalf of Virginia; however, these inspection reports have not always been made available to DEQ and are not always available in ECM.
The inspector should take note of any alleged violations cited during the EPA inspection.
It is also important for the inspector to review the RCRAInfo inspection history to determine if EPA has conducted an inspection within the past five years at an LQG facility being inspected. If the LQG facility on the Work plan was inspected by EPA within the most recent five years, the inspector should report this to the CO Hazardous Waste Compliance Coordinator and the LPM. After discussion with CO hazardous waste program management and the LPM, an alternate LQG facility should be chosen for inspection.
Biennial Reports (BR): The BR data may be obtained in RCRAInfo. The inspector should run a report of applicable BR reporting years prior to conducting an on-site inspection to ensure the facility is compliant with this regulation, and to also review the facility’s expected approximate rate of generation.
Handler Evaluation Logs: In order to convey information determined during the inspection to the RCRAInfo database, the inspector is required to complete a Handler Evaluation Log (see Appendix 6) to translate inspection and enforcement information into computer data. The information from the Handler Evaluation Log form is entered into the RCRAInfo national database by DEQ’s RCRAInfo Data support staff. EPA Region 3, EPA Headquarters and Congress use RCRAInfo as their primary source for information on hazardous waste activity, facility status, and compliance in the state. EPA also uses RCRAInfo when evaluating DEQ’s inspection and enforcement performance. DEQ’s Office of Waste Planning, Data and Reporting personnel use the information contained in the RCRAInfo database to determine BR reporting amounts and annual hazardous waste LQG and TSD fees, as well as tracking inspections and enforcement actions.
A Handler Evaluation Log form must be completed and include all potential hazardous waste violations and any enforcement activities related to that inspection each time an inspection is performed at a facility.
Page 125 HAZARDOUS WASTE INSPECTOR HANDBOOK Handler Evaluation Log forms are required to be completed for: Compliance Assistance Visits. Compliance Evaluation Inspections. Case Development Inspections. Focused Compliance Inspections. o Closure/Post Closure Inspections. o E-Scrap Recycler Inspections. o Used Oil Inspections. o Universal Waste Rule Inspections. Non-financial record reviews. Follow-up inspections. Financial record reviews. Documenting various enforcement actions such as: o Assignment to enforcement. o Letters of warning. o Notices of violation. o Penalty negotiation letters. o Referrals to the Attorney General’s Office. o Civil actions (settlements and orders). o Final consent decrees. o Judicial orders. o Referrals to EPA.
Anytime a facility returns to compliance after being notified of noncompliance, a new Handler Evaluation Log must be completed that places a return to compliance date in the right column on a copy of the original Handler Evaluation Log. The return to compliance date should be the date the department verified compliance by visual assessment or date stamped on the return to compliance letter if compliance is verified by correspondence/documentation from the facility.
Following the issuance of a DEQ inspection report or any other event that requires update to a facility’s inspection status/history, a Handler Evaluation Log form should be completed and sent to the RCRAInfo Database Administrator in the Office of Waste Planning, Data & Reporting. 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 submitted for those apparent violations. If compliance was verified by correspondence from the facility, submit the facility’s correspondence as well. Please note, Return to Compliance following issuance of a Notice of Violation will be performed by Enforcement staff, not by inspection staff.
B. Instructions on completing a RCRAInfo Handler Evaluation Log Remember to always provide accurate and complete information.
A Handler Evaluation Log, known by inspectors as a RCRAInfo form, has multiple sections found on multiple tabs within an Excel Form. On the Handler Tab (Tab 1) is general facility information, and the data entry instructions for the whole form. Tab 2 is the Compliance Tab for information related to a Page 126 HAZARDOUS WASTE INSPECTOR HANDBOOK specific inspection, including information on apparent violations and the type of Enforcement Action taken by compliance staff. Tab 3 is the Enforcement Tab for data to be entered by Enforcement staff for facilities that have been issued a Notice of Violation and referred to Enforcement. Tab 4 is the Additional Data tab for any additional potential violations that won’t fit on the compliance tab, additional technical requirement milestones in returning to compliance, and any information on a supplemental environmental project performed by a facility in lieu of paying a penalty under a consent order. The Reference and RCRA Codes tabs list Enforcement Codes, Enforcement Types, Evaluation Types, Media Types, Grant Plan Universe, Generator Universe, Inspection Categories, Focus Areas, and Violation Types.
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 PPG reporting.
For all inspections, include actual compliance dates for those apparent violations corrected during the inspection. If potential 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 potential 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.
DEQ staff also document enforcement actions such as Notices of Violation, Consent Orders, and Appeals. In each of these cases, Enforcement staff will complete a Handler Evaluation Log form to document the action that has been taken. However, HW Inspectors will have to review any submissions by the facility, and return the facility to compliance at the appropriate time. For returns to compliance, the potential violations which led to the enforcement action are also included on the Handler Evaluation Log form.
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.
Handlers that have at least one suspected high priority violation and are recalcitrant or negligent in returning to compliance are designated in RCRAInfo as Significant Non-compliers (SNY in RCRAInfo, SNC for discussion purposes). Consequently, in addition to completing Handler Evaluation Logs for Notices of Violation and Handler Evaluation Logs for Warning Letters, the Hazardous Waste Inspector will need to complete the Handler and Evaluation sections on the 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 Hazardous Waste inspector responsible for the facility 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.
Complete Handler Evaluation Log forms for subsequent enforcement actions using the Microsoft Excel version of the form. Directions follow.
Page 127 HAZARDOUS WASTE INSPECTOR HANDBOOK Handler Section: EPA Identification Number - Enter the 12-digit EPA identification number (three digits per box). If there is no number assigned, verify this fact by checking the facility’s address in RCRAInfo. If no number exists, for CESQGs, you can assign a VACESQG number on the tracking sheet. For non-generators, you can assign a VAN number on the tracking sheet. For any other temporary or permanent numbers, contact the RCRA Data Administrator in the Office of Waste Planning, Data & Reporting. RCRA Non-notifier - If no EPA ID number was found, indicate that the facility is a RCRA Non-Notifier by pulling down a “yes”. If there was a number, pull down a “no”. Handler’s Name (Current/Old RCRAInfo Name) – Indicate the facility name as it appears in RCRAInfo for that location. If the facility is new to RCRAInfo, put N/A on this line. Handler’s Name (New Facility Name) – If the name at the time of the inspection was not the same as the name in RCRAInfo, indicate the new name in this blank. If the name is the same, put N/A on this line. Physical Address – Indicate the physical address as it appears in RCRAInfo. Include all parts of the address, and do not omit the zip code. Physical Address (new) – If the address is anything other than as listed in RCRAInfo, indicate the new facility address here. Include all parts of the address and do not omit the zip code. If the address is not different, write N/A. County or City – Find the county or city the location is in on the pull down responses. Address Confirmed – If you inspected the facility and it was at the address indicated in RCRAInfo, choose “Yes”. Otherwise, choose “No”. Contact/Title – Indicate the contact name and contact title of the person at the facility with whom the inspection was performed. Mailing Address – If mailing address is different from the physical address, indicate the mailing address here. Otherwise write N/A. Universe Change Required – If you inspected the facility and found them to be generating at a level different from their last notification form, a universe change is required. Pull down “Yes”. Otherwise pull down “No”. Indicate the RCRA Generator Universe Status of a RCRA Non-notifier – If a non-notifier was found to be generating hazardous waste, indicate the generator status in this block from the pull down choices. These include: o CESQG - Conditionally exempt small quantity generator o SQG - Small quantity generator. o LQG - Large quantity generator. o LDF – Land Disposal Facility o Federal TSD – Federally-owned Treatment, Storage and/or Disposal Facility o State/Local TSD – Any other publicly owned TSD o Private TSD – Privately owned TSD o HW Transporter– Transporters.
Page 128 HAZARDOUS WASTE INSPECTOR HANDBOOK Facility’s Current/Old Generator Universe in RCRAInfo – Generator status of the facility in RCRAInfo prior to the inspection. Facility’s New Generator Universe – Generator status of the facility at the time of the inspection. New Generator Universe Effective Date – Date that facility changed status, or date that the inspector determined that the facility changed status. If New Generator Universe is Non-Generator, Deactivate? If the business at the address that corresponds to an EPA identification number is not a hazardous waste generator, ask the facility if they want to deactivate their EPA ID#. Grant Category for the RCRA Grant Work Plan –The higher of status between what the facility was identified in RCRAInfo and what the facility was at the time of the inspection. Inspection Category (for SQG/CESQG) – If the facility has never been inspected, indicate NI.
Otherwise, choose RS for regional selection Comments – Any comments related to the inspection and/or its outcome.
Evaluation Section Type – Enter the appropriate type code by clicking on the down arrow and choosing the appropriate type.
Compliance Assistance Visit A compliance assistance visit does not include evaluation events that would qualify as another Inspection type such as a Compliance Evaluation Inspection. Compliance assistance visit include technical site-specific compliance assistance and are conducted without the threat of enforcement.
Therefore, compliance assistance visits cannot be linked to enforcement actions. However, compliance assistance is not a substitute for the regulated industries’ responsibility to learn and comply with laws and regulations. Compliance assistance complements but does not replace appropriate enforcement.
Compliance Assistance Visits may be performed at conditionally exempt and small quantity hazardous waste generators, large quantity generators that have come under new management or have never been inspected before, or new businesses that have never registered. Compliance assistance visits may also be conducted when there are transfers of ownership; a change in manager, operator or other key persons at a facility; or significant changes in operational status (e.g., moving from small to large quantity hazardous waste generator status).
Typically, compliance assistance visit are conducted upon request from the facility; however, at times there may be compliance assistance initiatives proposed by the department to address emerging waste streams, (e,g., pharmaceutical wastes). Choose “CAV – Compliance Assistance Visit” as the type.
Case Development Inspection A Case Development Inspection is an on-site inspection conducted for the sole purpose of gathering additional information that supports the evidence (e.g., on-site record review, interview) for a potential or pending enforcement case. A Case Development Inspection is performed only after an initial evaluation has resulted in the observation of potential violations. Case Development Inspections are conducted by both regional inspectors and enforcement case managers. Choose “CDI – Case Development Inspection” as the type.
Page 129 HAZARDOUS WASTE INSPECTOR HANDBOOK 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 re-inspection 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. Permitting staff also performs 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.
Page 130 HAZARDOUS WASTE INSPECTOR HANDBOOK 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 alleged 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.
Page 131 HAZARDOUS WASTE INSPECTOR HANDBOOK 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 "SNN – Not 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 alleged violations covered in the current enforcement action. This information must be provided for all kinds of inspections, including Compliance Evaluation Inspections, Case Development Inspections, Focused Compliance Inspections, Follow-up Inspections and compliance assistance visits. Violation Type – Enter the appropriate violation type code by clicking on the down arrow and choosing the appropriate type. The code chosen should correspond to the code associated with the apparent violation cited on the checklist. Date Determined – The form uses the evaluation date as the date determined, but the date determined may be changed, if appropriate. For Compliance Evaluation Inspections and compliance assistance visits, enter the date of the inspection or visit. For non-financial record reviews, enter the date the review was completed. Actual Compliance Date (Qualifier) - Enter the date on which the facility actually returned to compliance regarding the apparent violation. In most cases, this is the date of the “no further action needed” letter sent by the region to the facility after they have provided documentation Page 132 HAZARDOUS WASTE INSPECTOR HANDBOOK that demonstrated that the apparent violation had been corrected. This would also apply in cases where a follow-up inspection is required to verify a return to compliance.
F. Enforcement Section Type – Enter the appropriate enforcement type code by clicking on the down arrow and choosing the appropriate type. Date - Enter the date the enforcement action was issued (e.g., the date issued in person, or the date of the letter transmitting the Notice of Violation or the Consent Order final signature date). Responsible Person – Enter the last name and first initial (Doe, J.) of the person responsible for the enforcement action. Hazardous Waste Program Compliance and Enforcement Section staff enters the Calculated Penalty and the Settlement Amount. If penalties have been collected, then enter the amounts in the Calculated Penalty and Settlement Amount fields. The calculated penalty is the total penalty from the original penalty calculation. The settlement amount is the total penalty a facility must pay according to a signed formal document, such as a Settlement Agreement, Consent Judgment, or Court Order. The Hazardous Waste Program enforcement staff enters the SEP Code and SEP Amount Spent.
When the terms of a Settlement Agreement or Consent Judgment include a Supplemental Environmental Project, enter the appropriate SEP Code and enter the dollar amount to be expended on the project. Enforcement Comments - Enter any comments in this area to give detail to further describe the enforcement action. Warning Letter numbers and Notice of Violation numbers should be listed in the comments.
C. RCRAInfo Codes for Actions The following table represents the CME Enforcement Types/Codes that can be put into RCRAInfo.
However, please note that DEQ Compliance Staff will only be using the following four codes: 110 – Informal Correction Letter; 119 – Warning Letter; 120 – Notice of Violations; 122 – Referral to Enforcement.
Code Description Definition 100 Informal Actions (series) Written and non-written actions that are communications from US EPA or a State agency that notify a hazardous waste site there is a problem and possible violations exist. Informal actions neither propose nor assess penalties 110 Verbal Informal Informal Corrections Letter - Oral notification by an agency representative informing a RCRA hazardous waste site that they violated applicable laws or requirements. No further action is taken if the site achieves compliance Page 133 HAZARDOUS WASTE INSPECTOR HANDBOOK in a timely manner. 119 VA Warning Letter Warning Letter 120 Written Informal Notice of Violation - A written notification by an agency representative informing and notifying a RCRA hazardous waste site that they violated applicable laws or requirements, advising the site of what to correct and by what date the correction should take place. 122 Referral to Enforcement
123 VA Termination of Enforcement Order 130 Notice of Determination A written notification by an agency representative to a RCRA site in response to the specific site's self-disclosure of specific RCRA violations or requirements 140 Letter of Intent to Initiate Enforcement Action A written notification by an agency representative notifying a RCRA hazardous waste site of further follow-up enforcement action by the responsible agency. In some instances, these actions may be considered Notices of Intent or Show Cause letters 200 Initial Formal Actions (series) Initial formal administrative enforcement actions issued by the implementing agency asserting the agency's position that violations have occurred and that require hazardous waste sites to correct violations within a specific period and may propose penalties. 208 VA Initial Formal Administrative Enforcement Action Draft Consent Order 209 VA Revised Formal Administrative Enforcement Action Revised Consent Order 210 Initial 3008(a) Compliance Initial formal administrative enforcement action issued by the implementing agency asserting the agency's position that violations have occurred. The respondent/defendant is afforded the opportunity to appeal the agency's determination of violations to a trier of fact. These orders often impose penalties or proposed penalties. 220 Initial Imminent and Substantial Endangerment Order Initial formal administrative order issued by the implementing agency addressing conditions which may present an imminent and substantial endangerment to public health or the environment. 230 Initial Monitoring, Analysis, Test Order Initial formal administrative order issued by the implementing agency addressing situations that require monitoring, testing and/or analysis. 240 Initial 3008(h) IS CA Order Initial formal administrative order issued by the implementing agency addressing corrective action.
Page 134 HAZARDOUS WASTE INSPECTOR HANDBOOK 250 Field Citation An expedited initial formal administrative enforcement action addressing violations observed. These actions are often issued directly to a site in the field and assess penalties. In some instances, these actions may be considered “tickets.” 300 Final Formal Actions (series) Final formal administrative enforcement actions initiated by the implementing agency asserting the agency’s position that violations have occurred and that require hazardous waste sites to correct violations within a specified period and may propose penalties. 310 Final 3008(a) Compliance Order Final formal administrative order issued by the implementing agency asserting the agency’s position that remedial action is required. The respondent/defendant is afforded the opportunity to appeal the agency’s determination to a trier of fact. 316 VA Notice of Informal Fact Finding Procedure 317 VA Notice of Formal Hearing 318 VA Special Order pursuant to §10.1-1186 319 VA Administrative Order pursuant to §10.1-1455.G 320 Final Imminent Hazard Order Final formal administrative order issued by the implementing agency addressing conditions that may present an imminent and substantial endangerment to public health or the environment. 330 Final Monitoring, Analysis, Test Order Final formal administrative order issued by the implementing agency addressing situations that require monitoring, testing and/or analysis. 340 Final 3008(h) IS CA Order Final formal administrative enforcement action issued by the implementing agency addressing corrective action remediation needs. 380 Multi-site CA/FO Final formal enforcement code to be used when a super CA/FO is issued pursuant to Part 22.13(b). 385 Single site CA/FO Final formal enforcement code to be used when a single site CA/FO is issued pursuant to Part 22.13(b). 400 Civil Judicial Referrals (series) A formal written request to another agency or unit of government to proceed with judicial enforcement (e.g., civil judicial action). Actions recorded in the 400 series are generally followed by filing of formal actions recorded in the 500 series. 410 Referral to the Attorney General A formal written request to Attorney General to proceed with judicial enforcement. 420 Referral to Department of Justice A formal written request to the Department of Justice to proceed with judicial enforcement. 425 Referral to DOJ to Collect Penalties A formal written request to the Department of Justice to collect penalties. 430 Referral to District Attorney/City Attorney/County Attorney/State A formal written request to a District Attorney, City Attorney, County Attorney, or State Attorney to proceed with judicial enforcement (all judicial referrals levels lower than DOJ and AG levels).
Page 135 HAZARDOUS WASTE INSPECTOR HANDBOOK 500 Initial Civil Judicial Actions (series) Initial formal legal actions taken (formally filed) for violation(s) that are not criminal actions, which may seek the imposition of penalties. Actions recorded in the 500 series are generally initiated as a result of a referral as recorded in the 400 series. 510 Initial Civil Judicial Action for Compliance and/or Monetary Penalty Initial formal legal actions taken (formally filed) for violation(s) that are not criminal actions, which require compliance and/or assessment of monetary penalties.
520 Civil Action for Imminent and Substantial Endangerment Initial formal legal action filed in court to address conditions which may present an imminent and substantial endangerment. 530 Initial Civil Judicial Action for Compliance and/or Monetary Penalty Initial formal legal action filed in court to address situations where violations require corrective action remediation response.
600 Final Civil Judicial Actions (series) Final formal legal actions taken (formally filed) for violation(s) that are not criminal actions, which may seek the imposition of penalties. Actions recorded in the 600 series are generally initiated as a result of a referral as recorded in the 500 series. 610 Final Civil Judicial Action for Compliance and/or Monetary Penalty Final formal legal actions taken (formally filed) for violation(s) that are not criminal actions, which require compliance and/or assessment of monetary penalties. 620 Final Civil Action for Imminent and Substantial Endangerment Final formal legal action filed in court to address conditions that may present an imminent and substantial endangerment to public health or the environment.
630 Final Civil Judicial Action for Compliance and/or Monetary Penalty Final formal legal action filed in court to address situations where violations require corrective action remediation 700 Criminal Actions (series) Formal legal actions taken for knowing violations and knowing endangerments or for placing another person in imminent danger or death or serious bodily injury. 710 Referral to Criminal Enforcement A formal request to another agency or unit of government to proceed with criminal enforcement. 720 Criminal Indictment A written notification advising a hazardous waste site they have been charged with a criminal offense. 730 Criminal Conviction A court ruling which finds a hazardous waste site guilty of a criminal offense. 740 Criminal Acquittal A court ruling which finds a hazardous waste site not guilty and has been set free from the charge of an offense by verdict, sentence, or other legal process. 800 Administrative Referrals (series) A formal written request to another agency or unit of government to proceed with enforcement or to proceed with compliance investigation. 810 State to EPA – Administrative Referral A formal written request to US EPA from a State to proceed with enforcement. 820 EPA to State A formal written request to a State from US EPA to proceed with Page 136 HAZARDOUS WASTE INSPECTOR HANDBOOK Administrative Referral enforcement. 830 RCRA to CERCLA Administrative Referral A formal written request from a State or US EPA RCRA program to a State or US EPA CERCLA program. 840 EPA Regions to EPA HQ Administrative Referral A formal written request from a US EPA Region(s) to US EPA Headquarters (HQ) that includes Federal Facilities and/or other cases to be handled at the HQ level. 850 Administrative Referrals to Other RCRA Programs A formal written request from a RCRA regulatory program that is referred to another RCRA regulatory program, including UST, Corrective Action, and Municipal Solid Waste. 860 Administrative Referrals to Other Programs A formal written request from a RCRA regulatory program that is referred to other regulatory programs such as Air, Water, OSHA, etc. 865 Referral to US Treasury A formal written request to the US Treasury Department to collect penalties.
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HAZARDOUS WASTE INSPECTOR HANDBOOK CHAPTER 12 – OTHER INSPECTOR DUTIES In addition to performing hazardous waste inspections under RCRA and the VHWMR, inspectors have additional job duties that may be assigned. These job duties could include any of the following: Issuance of Provisional Identification Numbers; FOIA Requests; Public Education and Outreach; Performing Site Investigations; Responding to Routine Compliance Inquiries and Regulatory Interpretation.
A. Issuance of Provisional EPA Identification Numbers: Occasionally, a company or location that does not already have an EPA Identification number will generate hazardous waste, whether through a one-time clean out, site maintenance, or some type of removal action, and need to dispose of the waste. In general, anyone or any facility generating hazardous waste is required to obtain an EPA Identification Number for their specific site location by filing a Notification of Hazardous Waste Activity through EPA Form 8700-12 ( see Appendix 6) and obtaining a permanent EPA ID number for that site.
However, Virginia has provided for the issuance of Provisional EPA ID Numbers to generators in cases where a site does not normally hold a permanent EPA ID number, but has generated hazardous waste due to some unusual circumstance, or in cases when an emergency situation arises necessitating expedient management of a hazardous waste, or in cases where the waste generation activity will only be temporary and of short duration, such as a specific job or contract activity.
Provisional numbers allow a mechanism for generators to meet the EPA ID Number / Notification requirement without congesting the RCRAInfo data management system with permanent numbers that may only be temporal. Typically, inspectors (region-specific, check with your LPM) will be the ones to issues these Provisional EPA ID Numbers. Regional LPMs should also be able to issue these numbers. In the event that regional staff is unavailable to issue a Provisional EPA Identification Number, the Central Office Hazardous Waste Compliance Coordinator can serve as the backup for this function, as can the RCRAInfo Staff in the Waste Planning, Data and Reporting Division of the Office of Financial Responsibility and Waste Programs.
The regulatory language under 9 VAC 20-60-328.D. states "If an emergency or other unusual incident occurs which causes a necessity for the rapid transport of a hazardous waste to an authorized hazardous waste management facility, the generator involved in such a circumstance can telephone the Department of Environmental Quality (804-698-4000) and obtain a provisional identification number. Applicants receiving such a number will be mailed a blank EPA Form 8700-12 that shall be completed and returned to the Department of Environmental Quality regional office within 10 calendar days." Like routine generators, generators obtaining provisional EPA ID numbers are also required to submit a Notification form 8700-12. This does not establish a permanent EPA ID number provided Page 138 HAZARDOUS WASTE INSPECTOR HANDBOOK the form is correctly completed, but is required as part of DEQ’s provisional number protocol.
Notification Forms submitted in support of a provisional number must be sent directly to the DEQ Regional Office issuing the number.
Issuance of provisional numbers for situations other than an "emergency or other unusual incident" is solely at the discretion of DEQ staff in accordance with the principles described herein. For situations where it is determined that issuance of a provisional number is inappropriate, the generator may apply for and will be issued a permanent EPA ID number in accordance with federal and state regulations. As a matter of policy, the 8700-12 form must be completed and faxed or mailed to the issuing Regional Office BEFORE the number is issued. We require this because there have been numerous instances where the Provisional ID number recipient fails to return the required form for verbally issued numbers. This is a particularly serious concern if there are repeat occurrences of this type of behavior, usually involving jobbers/contractors, and the Department may consider possible enforcement action in such cases as a 'failure to notify' violation of the regulations. However, a Provisional ID number will be issued verbally by the regional office or central office immediately in cases of extreme emergency involving a hazardous waste threat to public health and safety or the environment. The recipient is still required to complete and submit a copy of the 8700-12 notification form within 10 days as part of the required paperwork. Generators who may require a Provisional ID number should make arrangements to obtain it in advance of their anticipated need, to the extent possible.
In some cases, contractors performing the work at a job site will request the provisional ID number instead of the property owner/contracting agent. While DEQ would certainly encourage and recommend that the contracting agent exercise primary responsibility for obtaining the number because they are the primary generator sharing co-generator responsibilities with the contractor, it is not a specific regulatory requirement. Nonetheless, DEQ regional staff may use discretion in issuing provisional EPA ID numbers directly to co-generator contractors, and must be assured in such cases that the primary generator/contracting agent is cognizant of his generator responsibilities under the regulations and those that are implied by issuance of the number.
In general, provisional numbers are NOT issued to contractors working on a fixed site to which a Permanent EPA Identification Number has already been issued. Contractors are usually working on a fixed site as a result of being hired/contracted by the property owner, who will have primary responsibility as the site hazardous waste generator even though the contractor is also acting as, and has responsibilities as, the co-generator. Provisional numbers are not usually issued to landfills or other fixed site locations that have established permanent household hazardous waste (HHW) collection programs at their facilities and require a number for shipping the waste to a TSD facility.
However, provisional numbers may be issued to one-day-event type collection programs, or for temporary "sweep" programs such as mercury or pesticide collection under the universal waste rule.
Any determinations for these unusual circumstances will have to be made on a case-by-case basis.
Of course, if a handler will be routinely generating hazardous waste at a fixed site on a regular or even episodic basis, he must obtain a permanent EPA ID number if his generation category requires Page 139 HAZARDOUS WASTE INSPECTOR HANDBOOK it (i.e., anything greater than CESQG). In such cases a provisional number is inappropriate. For example, a college or university that may routinely exceed CESQG waste generation levels during semester changeovers when cleaning out chemical stocks or lab waste, or a fuel storage facility that becomes a large generator when cleaning out tanks once a year, would be candidates for a permanent number.
It has been DEQ’s practice that PNs expire thirty (30) days from the date of issuance and may be used up to two times within that 30 day period (for the same waste generation operation).
However, there may be certain situations where a provisional number can be issued for a project that may last for a longer period (e.g. a bridge repainting operation, or short term lead paint abatement project). Such determination must be made on a case-by-case basis. The following describes some possible scenarios where a provisional number may also require use more than once: A handler has filed a Notification for a permanent number but the number has not yet been issued. Hazardous waste has been discovered on the same property, and shipments must be made separately to different TSD facilities or on different days, or if subsequent discovery occurs at some interval shortly after the first discovery. When there is a short-term remediation project extending over a 30-day period that may involve more than one shipment, which takes place at the same location.
Guidance to the regulated community on how to obtain a provisional EPA ID number can be found on the DEQ website. The generator, or contractor working on behalf of a generator, must submit the completed Form 8700-12, indicating on the form that the generation of the waste is temporary.
Upon receipt of the completed Form 8700-12/provisional EPA ID# request, DEQ regional staff must first determine if the location requesting a PN has previously had an EPA ID number. This can be done by looking at the address in ECM, or by checking RCRAInfo by address for both active and inactive sites. If no previous EPA ID# has been issued, the assigned staff member can proceed.
The person processing the request will first review the request, and make sure that the Form 8700-12 is complete and accurate, and all necessary boxes have been filled. If not, the inspector processing the form would call or email the requestor, and provide information to assist them in revising their form. Once the submitted form is deemed complete and accurate, the inspector will record information contained on the Form 8700-12 on the Provisional EPA ID# tracking tab on the hazardous waste tracking sheet on the RCRA drive. Additionally, the information might have to be logged into a Regional logbook, or by some other permanent system specified by the LPM for that Regional Office. The tracking sheet or log must include the following: The Provisional Number; The generator/contractor contact information (or both); Date;
Page 140 HAZARDOUS WASTE INSPECTOR HANDBOOK Generator Location; Generator type; and Amount of waste being managed.
Also, an expiration date for the number is put into the tracking sheet. This date should be thirty days from the date of number issuance. If the PN is for VDOT or another requestor who has indicated that the project needs to go up to 60 days, a 60 day expiration period can be set.
Provisional Numbers are generated as follows using the Hazardous Waste Tracking Sheet for the appropriate regional office: A Provisional Number always begins with the three letters VAP. The next digit of the PN is the Regional Office number for the issuing Region: Southwest - 1 Blue Ridge - 2 Valley - 3 Northern - 4 Piedmont – 5 Tidewater - 6 The next two digits are the month of the calendar year of the PN request. The next four digits are the current calendar year of the PN request. The last two digits is the number of that provisional quest in that Region for the calendar year.
For example, a Provisional request in Piedmont Region received on January 15, 2017 is the fourth request of the year. That request will have the following provisional ID number:
VAP + 5 + 01 + 2017 + 04 = VAP501201704.
Once the PN has been determined, the inspector should print out the facility’s electronic completed form 8700-12 (if the request was submitted via hard copy, omit this step). The inspector should write the PN that was assigned on to all applicable sections of the 8700-12. There are places for this number on the first page and at the top of each subsequent page. Each time the number is written onto the form, the inspector should initial it. On the final page, the inspector needs to sign the sheet, identify the date, and identify the regional office that assigned the PN. After all these items have been written onto the 8700-12, the completed form should be scanned back to the inspector’s computer for issuance.
There are two forms that need to be sent to the requestor along with their completed 8700-12 form. Copies of these forms appear at the end of this Chapter and in Appendix 7 of this handbook.
The first form should be completed when issuing a Provisional Number. The completed form should be emailed to the requestor along with the blank follow-up form, which is the second form after this section. The requestor must complete the follow-up form after the end of the expiration period, and submit it back to DEQ.
Page 141 HAZARDOUS WASTE INSPECTOR HANDBOOK The completed PN package that gets emailed to the requester is as follows: the completed Form 8700-12, the completed Form 1 and a blank Form 2, along with a forwarding email. A sample email to accompany the PN package is found at the end of this chapter.
The Regional Office should also maintain a copy of the 8700-12 form, as well as forwarding a copy of the form to the data group in Central Office, Office of Financial Resources and Waste Programs.
Regional Offices issuing Provisional EPA ID#s may also request information on the transporter and destination TSD facility to verify that they hold proper authorizations or permits to manage hazardous waste.
Please note with regard to PNs, all the normal generator requirements apply. There are no exclusions from the full generator requirements just by benefit of obtaining a provisional number. A provisional number is an EPA ID number to use on a manifest for unusual circumstances of waste generation at facilities not normally generating hazardous waste. In general, the number is used for an ad hoc application for unusual waste generation and shipment without accumulation. However if the generator accumulates any waste on-site rather than just generate and ship (presumably within 3 days following the satellite accumulation strategy) then all 262.34 requirements apply. A provisional number does not relieve the generator of any of the generator requirements.
Note: The generator will also need to complete a biennial generator report if they exceed generator quantities for the event (1000 kg/mo) and if it is a reporting year, and will have to pay the annual LQG fee to DEQ for that calendar year.
B. FOIA Requests DEQ’s FOIA Policy can be found in Appendix 4.
The Virginia Freedom of Information Act (VFOIA) gives the people of the Commonwealth ready access to records in the custody of public officials, and free entry into meetings of public bodies in which the business of the people is conducted. Such access is provided to any citizen of the Commonwealth, representatives of newspapers and magazines with circulation in the Commonwealth, and representatives of newspapers and magazines with circulation in the Commonwealth, and representatives of radio and television stations broadcasting in or into the Commonwealth according to the provisions of the law, regardless of the reason for the request.
Each DEQ employee Is a custodian of records, both paper and electronic, in his or her possession. No custodian shall either disclose or withhold records subject to discretionary disclosure (see DEQ FOIA Policy Part IVB) without prior consultation with the DEQ FOIA officer.
Inspectors may get FOIA requests that are identified as FOIA requests. Inspectors may also get RFIs that are not specifically identified as FOIA requests. Inspectors may be asked to provide information for FOIAs received by other individuals in DEQ. In compliance with the VFOIA, DEQ’s FOIA policy states that DEQ will treat every written, electronic or oral request for records as a request under the VFOIA, whether or not that law is explicitly cited in the request. The required response time to FOIA requests is within five days of DEQ’s receipt of request unless a seven day extension to the five days Page 142 HAZARDOUS WASTE INSPECTOR HANDBOOK has been justified.
While the VFOIA does not apply to requests made by individuals who are not citizens of the Commonwealth of Virginia, DEQ will make every attempt to honor such requests from outside the Commonwealth within a reasonable time.
In order to facilitate the fulfillment of future FOIA requests, it is imperative that information related to each inspection be uploaded to ECM in a timely manner. This would include the inspection report and any supporting documentation received from the facility. It would also include any photographs necessary to document non-compliance. The inspector, if required to perform ECM uploads, within thirty days of the completion of the inspection. If there is a regional scanner who performs the ECM uploads, the information should be forwarded to that scanner within thirty days of the completion of the inspection.
C. Public Education and Outreach DEQ HW Inspectors are sometimes asked to give presentations to the regulated community in their Region on compliance topics. To assist with this, past DEQ and EPA presentations on numerous topics are linked at DEQNET/Programs/Land_Division/Hazardous_Waste/Presentations or HW_Presentations. The CO HWCC is available to assist with development of any presentations to be given by the HW Inspectors, or is available to do presentations in the regions in lieu of the regional inspectors.
D. Performing Site Investigations Response to, and investigation of, reports of improper waste management is a part of each HW Inspector’s Employee Work Profile. Occasionally a HW inspector will be asked to respond to a Pollution Response and Preparedness (PReP) call, or to attend a PReP call with the regional PReP coordinator to determine the applicability of the VHWMR to the site being investigated. This investigation could include a site visit, preparation of a site visit report, and a follow up to the facility that was investigated. It could also involve a formal hazardous waste inspection.
The HW inspector is responsible to take complete, accurate information on any complaints received, to file proper forms, to take every opportunity to explain proper waste management waste minimization, beneficial reuse, and recycling. The HW Inspector must investigate the assigned complaints and direct appropriate abatement, enforcement, or referral action to insure that monitoring efforts and documentation are consistent. The HW Inspector must also supply information to keep the complaint (PREP) database up to date and/or recommend closing cases or transferring to another DEQ staff member’s responsibility.
The HW Inspector must also Supply information to complainants in accordance with the regulations, and review complaints to assure that proper follow-up has taken place.
E. Responding to Routine Compliance Inquiries and Regulatory Interpretation It is our responsibility as an agency to interpret our regulations and offer guidance to the regulated community. Generators, consultants, contractors, attorneys and others commonly seek our advice on regulations outside the scope of an inspection, compliance evaluation or enforcement action.
Page 143 HAZARDOUS WASTE INSPECTOR HANDBOOK This sometimes results in protracted discussions and negotiations, or even escalation to executive management levels. It is in everyone’s best interest to ensure that our mutual goals are met to protect the environment, ensure regulatory compliance, and provide fair and equitable treatment of all parties influenced by our agency’s actions.
Generators questioning applicability of a regulation or situation of interest to them often seek concurrence that their position does not conflict with DEQ’s regulations. This may involve waste management processes that they have not yet applied or applications they may be unclear on. DEQ may also become involved in issues that are not yet subject to our compliance/enforcement process, but which indicate potential non-compliance consequences. It should be clear in these situations that DEQ is acting in an advisory and compliance assistance role to resolve conflicts that are not the direct result of an inspection or compliance/enforcement effort.
The ultimate decision to undertake any of our compliance recommendations is the generator’s sole responsibility. DEQ offers opinions based on our expertise, research, EPA and internal policies, and precedents on how we intend to interpret our regulations. Whether the generator chooses to follow our recommendation or not is his sole decision. DEQ does not make the decision for him nor compel him to follow any advice we offer. We do not tell the regulated community what they “must” do.
Our mechanism to ensure compliance following any action, or inaction, by a generator after we have made a best effort to offer compliance assistance is to follow established compliance and enforcement protocols, including administrative, civil and/or criminal actions. DEQ does have authority, and responsibility, to interpret our own regulations and fulfill our compliance and enforcement obligations. Some issues may ultimately be matters for the courts to resolve. EPA may also be asked, or choose, to become involved with RCRA Subtitle C regulation interpretation, or use their own investigation and compliance/enforcement authorities after the fact.
But, it should be clearly understood and represented to the generator that we are offering advice in his best interest, not compelling specific actions except through the authority of our enforcement instruments. It is his decision to choose or reject our recommendations. The self-implementing structure of RCRA Subtitle C places the duty to comply on the generator. If a generator chooses to follow a course of action contrary to our recommendation and/or interpretation of our regulations, resulting in significant and/or overt acts of non-compliance, we can and should pursue remedies available to us through the compliance/enforcement process. However, in our eagerness to enforce our regulations and resolve disputed or difficult situations, an inadvertent case decision is not in our best interest. Of equal, if not greater, concern is lending official support to questionable interpretations or disputed positions that are likely to conflict with our or EPA’s regulations.
Give the best advice we have, seek solutions to solve problems to the extent possible while protecting the interests of the agency and our duty to follow the law, do not commit to or agree with a position that we cannot support and believe is in conflict with our responsibilities as an agency and under the law, do not compel an action that may impede a facility’s rights under the APA. We can both take it from there.
Page 144 HAZARDOUS WASTE INSPECTOR HANDBOOK Form 1 Your Provisional EPA ID Number Is: Site Name: Site Address: Contact Name & Number: Date Issued: Expiration Date: Virginia Department of Environmental Quality (DEQ) has provided for the issuance of provisional EPA ID numbers to hazardous waste generators in cases where a site does not normally generate hazardous waste and hold a permanent ID number, but has generated hazardous waste due to some unusual circumstance, when an emergency situation arises that necessitates the expedient management of a hazardous waste, or where the waste generation activity is temporary and of short duration, such as a specific job or contract activity. DEQ's compliance assistance policy on provisional EPA ID numbers may be found on our website at: http://www.deq.virginia.gov/Portals/0/DEQ/Land/issuanceofprovisionalEPAIDnumbers.pdf The following lists the conditions for use of the provisional EPA ID number you have been assigned.
Failure to comply with the conditions may impact future attempts to obtain a provisional EPA ID number, require assignment of a permanent EPA ID number to the subject site, and/or may result in enforcement action. If you have questions, please contact your DEQ regional office identified on the DEQ website at: http://www.deq.virginia.gov/Locations.aspx
CONDITIONS FOR USE OF THE PROVISIONAL EPA ID NUMBER
- The provisional EPA ID number is being issued based on information provided in the RCRA SUBTITLE C SITE IDENTIFICATION FORM (EPA Form 8700-12).
The form and instructions for completing the form may be found on DEQ’s Internet website at: http://www.deq.virginia.gov/Programs/LandProtectionRevitalization/SolidHazardousWasteRegulatoryProgra ms/HazardousWaste.aspx.
- The provisional EPA ID number issued on this date is a temporary number. It is DEQ's position that these numbers expire thirty (30) days from the date of issue and may be used on manifests up to two times within that 30-day period for the same waste generation event. If additional time becomes necessary, the generator can request one extension to the 30-day period. Should the activity take longer than 60 days, the generator will need to obtain a permanent EPA ID number for Page 145 HAZARDOUS WASTE INSPECTOR HANDBOOK the site. This number will be deactivated at the end of the generation event.
- If a generator will be routinely generating hazardous waste at a fixed site on a regular or even episodic basis, a temporary number may not be used and the generator must obtain a permanent EPA ID number.
NOTE: A Large Quantity Generator (LQG) is any generator who generates greater than 1,000 kg (approx. 2,200 lbs.) of hazardous waste or greater than 1 kg of acute hazardous waste in any calendar month. A Small Quantity Generator (SQG) generates between 100-1,000 kg/month (220 - 2,200 lbs.) of hazardous waste or less than 1kg of acute hazardous waste. A Conditionally Exempt Small Quantity Generator Quantity (CESQG) generates less than 100 kg/month (<220 lbs.) hazardous waste.
A chart summarizing the generator requirements for LQGs and SQGs is attached.
REQUIREMENTS FOR LARGE QUANTITY GENERATORS (LQG) In addition to complying with the RCRA generator accumulation requirements found in the Virginia Hazardous Waste Management Regulations (VHWMR), a generator of more than 1000 kg of hazardous waste or more than 1kg of acute hazardous waste in any calendar month of the year may be subject to an annual fee as provided under 9 VAC 20-60-262 B.8 of the VHWMR.
Please note, an LQG or SQG must continue to comply with the applicable generator requirements from the commencement of the generating activity, through the last shipment of waste from the provisional event to an off-site TSD.
- Please complete the attached sheet related to the LQG Annual Fee and send it to DEQ within 30 days of expiration of temporary number. If the original provisional EPA ID number request specifies that the generator will be a SQG, a person who becomes a LQG (after receiving the provisional EPA I.D. number) shall notify the department in writing immediately of this change in status and document the change in the operating record. Any person that applies for a provisional EPA ID number as a LQG who ceases to be a LQG shall notify the department in writing immediately of this change in status and document the change in the operating record as specified by 9VAC20-60-
315.D.
- A person who is a LQG at any time during the calendar year shall be assessed an annual fee of $1000. For the evaluation of facility status or of generator status, the annual year shall be considered to be from January 1 to December 31. Please note, if hazardous waste from a single provisional EPA ID event starts in one calendar year and is completed in the next, the responsibility will be on the generator to show that the hazardous waste was generated in one or both of the Page 146 HAZARDOUS WASTE INSPECTOR HANDBOOK calendar years. Generators requiring a provisional EPA ID number for managing waste under the conditions of 9VAC 20-60-1283.F (emergency removal under official authority) are not subject to the fee. The fees regulations are available on the DEQ website at: http://www.deq.virginia.gov/Portals/0/DEQ/Land/Guidance/dhwfr.pdf LQGs may pay the annual fee to the DEQ upon receiving the provisional EPA ID number. If the department does not receive the payment prior to the annual billing period, the department will bill the generator for amounts due or becoming due in the immediate future. All payments are due and shall be received by the department no later than the first day of October (for the preceding annual year) unless a later payment date is specified by the department in writing as per 9VAC20-60-1284.A. Please be advised that if the invoice was received but not paid, you may be subject to a late penalty.
A LQG shall submit a transmittal letter to the DEQ which shall contain the name and address of the generator, the Federal Identification Number (FIN) for the generator, the amount of the payment enclosed, and the period that the payment covers. With the transmittal letter shall be payment in full for the correct fees due for the annual period. A copy of the transmittal letter only shall be maintained at the facility or the site where the hazardous waste was generated. Fees shall be paid by check, draft or postal money order made payable to "Treasurer of Virginia" and shall be sent to: Department of Environmental Quality Attn: Accounts Receivable P.O. Box 1104 Richmond, VA 23218 (as specified by 9VAC20-60-1284.B.)
- Any person who is a LQG during an odd numbered year (i.e., 2017, 2019, or 2021, etc.), is subject to the biennial hazardous waste reporting requirement as specified by 40 CFR 262.40. Additional information about the hazardous waste report is available at: https://www.epa.gov/hwgenerators/biennial-hazardous-waste-report Page 147 HAZARDOUS WASTE INSPECTOR HANDBOOK Form 2
Hazardous Waste Generator Status for Annual Fee Please fill out the following form and return to the DEQ within 30 days after expiration of the provisional EPA ID number. Copies of manifests used to ship the provisionally-generated hazardous waste to a TSD must be provided along with this completed form.
Attention: Sanjay Thirunagari Department of Environmental Quality P. O. Box 1105 Richmond, VA 23218
(Facility Name and EPA ID number)
Operated under the generator status of ___________________________during calendar
(LQG, SQG, CESQG, Non-generator) Year ___________.
EPA Form 8700-12 Submitted on: ___________________________________
Waste generated: Start date: ___________ End date: _________________
Total amount of waste generated from this event (lbs): ____________________ Largest amount of waste generated in any month of the provisional event: __________
Facility billing contact person and billing address is as follows:
Billing contact name: ____________________________________________________ Billing contact phone number: ______________________________________________ E-mail ID: _____________________________________________________________ Address: ______________________________________________________________________________ ______________________________________________________________________________ ____________________________________________________________ ________________________________________________________________________
All LQGs are billed an annual fee of $1000.00 per calendar year.
Prepared: 7/20/2017 Page 148
HAZARDOUS WASTE INSPECTOR HANDBOOK
Summary Table – HW Generator Requirements
Requirement Conditionally Exempt Small Small Quantity Large Quantity Quantity Generators Generators Generators
Quantity Limits ≤100 kg/month, and >100 and <1,000 ≥1,000 kg/month, or The amount of hazardous ≤1 kg/month of acute kg/month >1 kg/month of acute waste generated per hazardous waste, and hazardous waste, or month determines how a ≤100 kg/month of acute spill >100 kg/month of acute generator is categorized residue or soil spill residue or soil and what regulations must be complied with. 261.5 (a) and (e) 262.34(d) 262.34(a)
EPA ID Number Not Required Required Required Acquire a unique EPA identification number that identifies generators by site.
262.12 262.12
On-Site Accumulation ≤ 1,000 kg to remain a CESQG ≤ 6,000 kg No Limit Quantity Determine amount of ≤ 1 kg acute to remain a hazardous waste CESQG generators are allowed to ≤ 100 kg of acute spill residue"accumulate" on site or soil to remain a CESQGwithout a permit. 261.5(f)(2) and (g)(2) 262.34(d)(1)
Accumulation Time Limits Time starts when/if a CESQG ≤180 days or ≤90 days Determine amount of time accumulates greater than ≤270 days (if transporting hazardous waste is 1,000 kg (approx.. five full 55- greater than 200 miles) allowed to accumulate on gallon drums) – CESQG is then site. an SQG
262.34(d)(2) and (3) 262.34(a)
Page 149 HAZARDOUS WASTE INSPECTOR HANDBOOK
Accumulation None Basic requirements with Full compliance for Requirements technical standards for management of Manage hazardous waste containers, tanks, drip containers, tanks, drip in compliance with certain pads or containment pads or containment technical standards. buildings buildings
262.34(d)(2) and (3) 262.34(a)
Personnel Training Not required Required Required Ensure appropriate
personnel complete classroom or on-the-job training to become familiar with proper hazardous waste management and emergency procedures for the wastes handled at the facility.
262.34(d)(5)(iii) 265.16 from 262.34(a)(4)
Contingency Plan and Not required Basic planning required Full plan required Emergency Procedures Develop procedures to follow during an unplanned major event.
262.34(d)(5)(i-iv) Part 265 Subpart D
Preparedness and Not required Required Required Prevention Develop procedures to follow in the event of an Part 265 Subpart C Part 265 Subpart Cemergency.
Air Emissions Not required Not required Required Control hazardous air emissions from tanks and Part 265 Subparts AA, BB containers and CC
Land Disposal Restrictions Not required Required Required Meet standards for placing on the land and associated requirements for certifications, notifications, and waste analysis plan.
Page 150 HAZARDOUS WASTE INSPECTOR HANDBOOK
Part 268 Part 268
Manifest Not required Required Required Tracking hazardous waste shipments using the multiple-copy manifest -required by the Department of Part 262 Subpart B Part 262 Subpart B Transportation (DOT) and
EPA
Waste Minimization None Good faith effort required Program in place required Certify steps taken to reduce or eliminate the 262.27 262.27 generation of hazardous waste
Pre-Transport Only if required by the DOT or Required Required Requirements the state Package and label hazardous waste for shipment off site to a RCRA facility for treatment, storage, or disposal 262.30 – 262.33 262.30 – 262.33
Biennial Report Not required Not Required Required Report data from off-site shipments of waste during the previous calendar year 262.41
Exception and Additional Not required Required Required Reporting Report if any required copies of signed manifests are not received back -Provide information on quantities and disposition of wastes upon request 262.42(b) and 262.43 262.42 and 262.43
Recordkeeping Not required Required Required Maintain records of manifests, biennial reports, exception reports 262.40(a), (c) and (d) 262.40and waste testing
Facility Type Facilities noted in 261.5(f)(3) RCRA permitted/interim RCRA permitted/interim
Page 151 HAZARDOUS WASTE INSPECTOR HANDBOOK
Send off-site shipments to and (g)(3) status facility status facility appropriate facilities for management Parts 264/265, 266/267 Parts 264/265, 266/267 and 270 and 270
Closure Not required Tanks only - General 265.11(a) and Close equipment, 265.114 structures, soils and units by meeting specified - Unit specific Part 265, performance standards 265.201(f) Subparts I, J, W and DD and disposal and decontamination requirements
Page 152 HAZARDOUS WASTE INSPECTOR HANDBOOK
Sample E-mail To Accompany Provisional ID Number
Subject: EPA Provisional ID Number VAP______________________ - [LOCATION NAME]
[Facility Contact Name],
The assigned temporary EPA ID number is noted in the subject line above as well as entered onto a copy of the scanned form received, and attached. Please also see the attached document for additional information regarding your provisional number. In addition, the attached letter includes a form that must be returned to DEQ. (I suggest you attach the manifest(s) or similar shipping document and provide a statement as to time period of generation to support the statement on the document.)
NOTE: Your provisional number has been issued through [EXPIRATION DATE – 30 DAYS FROM EFFECTIVE
DATE].
If you have any questions, please feel free to contact me. Thank you.
[Provisional ID Number Processor Name] [Provisional ID Number Processor Title]
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Executive Summary
The enhanced compliance analysis of Department of Environmental Quality guidance documents has achieved an overall reduction of 19.5% across 56 documents.