WHAT TO DO WHEN THE INSPECTOR COMES...as referenced in Environmental Law in New York

A List of Documents That May Be Requested by the Inspector

This list is provided as a guide only and is not meant to be an all-inclusive listing of recordkeeping and documentation requirements.

State Pollutant Discharge Elimination System (SPDES)

• All recording, reporting, monitoring and sampling requirements in 40 CFR Part 122 by reference.
• All records relating to monitoring and sampling including:
• Date, exact place and time of sampling/measurements
• Date(s) analyses performed
• Individual(s) performing analyses
• Analytical techniques or methods used
• Results of analyses
• Copies of all DMRs

Stormwater General Permit:

• Pollution prevention plan and records of all monitoring information, copies of required reports and records of data used to complete NOI TT form.
• For facilities listed in Part V.B. of permit, all monitoring information collected during term of permit.
• Pollution prevention plan and all reports required by permit, records of all data used to complete NOI form.

CHEMICAL BULK STORAGE

• Valid tank registration certificate
• Records of changes in hazardous substances stored
• Guidance re recommended practices for storage and handling of hazardous chemical from manufacturer or distributor.
• Records and documents required to be in Spill Prevention Report
• Inventory records for all containers stored within the non-stationary tank storage area, including number of tanks and the contents of each
• Records of annual inspections
• Reports of other inspections or tests
• Records containing date of installation of internal coatings, condition of tank, installation methods and other pertinent information regarding internal coatings.
• Site assessment report, including records of date of closure.
• Inspector’s statement and records of test and any repairs done prior to placing tank in use
• Inspector’s statement and record of test and repairs.
• Records of inspections, procedures for inspection, names of personnel performing inspection and their qualifications

PETROLEUM BULK STORAGE

• Registration certificate
• Inventory monitoring records
• Tightness testing report consistent with 6 NYCRR 613.5(a)(4)(iii).
• Monitoring records for cathodic protection and leak detection systems consistent with 6 NYCRR 613.5(b)(4).
• Monthly and 10-year inspection reports. See 6 NYCRR 613.6(c)(2) for summary of required elements of inspection report.
• Manufacturer’s guarantee re: integrity of tank.
• Accurate drawing or as-built plans showing size and location of new underground tank and piping systems.

HAZARDOUS WASTE STORAGE AND GENERATORS

• All data used to complete permit applications.
• Documentation of notice of pre-application public notice provided by applicant for Part 373 permit.
• Documents relating to a Part 373 permit that DEC may require the facility to maintain in a document repository.
• Records demonstrating that certain petroleum refinery sludges should not be classified as F037 or F038 wastes.
• Reclamation agreements
• For offsite shipments of hazardous wastes, generator must keep copies of manifests, test results, waste analyses and other determinations, and copies of Annual Reports and Exception Reports.
• Training records, including: List of job titles for each position related to hazardous waste management; Name of employee for each hazardous waste management position; Job description; Written description of type and amount of introductory and continuing training given to each employee in hazardous waste management position; Records documenting satisfaction of personnel training requirements
• For facilities required to have a construction quality assurance (CQA) program as specified at 6 NYCRR 373-3.2(j)(1)(i), a CQA Plan
  
  Documentation of refusal of local authorities to enter into police, fire and safety arrangements if applicable
• Contingency plan and all revisions
• Operating record, including:
• Description/quantity of each hazardous waste received and methods/date of treatment, storage or disposal (including location of each hazardous waste within facility and quantity of hazardous waste on map or diagram of each cell or disposal area.) This information to have cross references to specific manifest numbers.
• Records/results of waste analyses/determinations
• Summary reports, details of incidents requiring implementation of contingency plan
• Records/results of inspections
• Monitoring, testing or analytical data
• Record of corrective action
• Closure cost estimates (for disposal facilities, post-closure cost estimates)
• Annual program certification regarding volume/toxicity reduction
• Records of quantities for each shipment placed in land disposal units under extension to effective date of any restriction
• Any applicable certifications, notices, and demonstrations
• Groundwater monitoring data, including actual levels of hazardous constituents.
• Groundwater analytical data.
• Approved post-closure plan.
• Latest closure cost estimate.
• Latest adjusted cost estimate prepared pursuant to 373-2.8(c)(2)
• Latest post-closure cost estimate.
• Latest adjusted cost estimate prepared per 373-2.8(e)(2)
• Records in support of claims of exemption for samples shipped for treatability studies, including:
• Shipping documents
• Contract with facility conducting treatability study
• Amount of waste shipped
• Name, address, EPA ID number of lab or testing facility receiving waste
• Date shipment made
• Whether unused samples were sent to generator
• All monitoring information, including calibration and maintenance records.
• Reports required by permit.
• Required certification under 373-2.5(c)(2)(ix)
• All data used to complete permit application
• Records of all groundwater monitoring.

For export of hazardous waste:

• Notification of intent to export.
• EPA acknowledgment of consent.
• Confirmation of delivery.
• Annual Report.

Storage of Hazardous Waste in Tanks:

• Written assessment of integrity of existing tank system
• Written assessment of new tank system design and installation
• Inspection schedule
• Inspection Log, including
• Date/time of inspection
• Inspector’s name
• Notation of the observations made
• Date and nature of any repairs or other remedial actions
• For tank systems not meeting secondary containment requirements, written assessment of tank’s integrity.
• Written statements certifying design and installation of the tank system.
• Assessments required to obtain a variance from tank secondary containment under 6 NYCRR 373-2.10(d).
• Records of inspections of tank inspections required by 6 NYCRR 373-2.10(f)(1-3).
• For 90-day storage exemption:
• Description of procedures that will be followed to ensure that all wastes are removed every 90 days
• Documentation of each waste removal, including the quantity of waste removed from drip pad and the sump or collection system and the date and time of removal
• Description of procedures that will be followed to ensure that each waste volume remains in the building no more than 90 days
• Written description of the waste generation and management practices for the facility and documentation that the procedures are complied with
• Documentation that building is emptied at least once every 90 days
• All monitoring information including all calibration and maintenance records and all original strip chart recordings from continuous monitoring instrumentation
• Waste analysis plan.
• Inspection schedule.
• Inspection log or summary, including:
  • Date/time of inspection
  • Inspector’s name
  • Notation of the observations made
  • Date and nature of any repairs or other remedial actions
• Training records, including:
  • List of job titles for each position related to hazardous waste management
  • Name of employee for each hazardous waste management position
  • Job description
  • Written description of type and amount of introductory and continuing training given to each employee in hazardous waste management position
  • Records documenting satisfaction of personnel training requirements
  • For facilities required to have a construction quality assurance program as specified at 6 NYCRR 373-2.2(k)(1)(i), a CQA plan and data specified at 373-2.2(k)(2)
  • Documentation of refusal of local authorities to enter into police, fire and safety arrangements if applicable
• Contingency plan.
• Records of incidents requiring implementation of contingency plan.
• All manifests and shipping papers as well as tracking documents
• Land Treatment Facilities
• Hazardous waste application dates and rates.
• Waste Piles
• Record of first date that remediation waste was placed in a staging pile.
• Landfills
• Records of location, dimension, depth and contents of landfill cells.
• Map with exact location and dimensions including depth to each cell with respect to permanently surveyed landmarks.
• Contents of each cell, location of each type of waste within each cell.
• Incinerators
• Monitoring and inspection data, including:
• ###Combustion temperature, waste feed rate and indicator of combustion gas velocity
• Continual CO monitoring
• Sampling/analyses of the waste and exhaust emissions
• At least daily visual inspections of the incinerator and associated equipment
• Weekly testing of emergency waste feed cut off system and associated alarms
• Drip Pads
• Documentation of past operating and waste handling practices. Copy of inspection performed by PE after construction or installation.
• Process Vents-Air Emission Standards
• Documentation of compliance with standards in 373-2.27(c)(d) including but not limited to identification of all process vents, estimated emission rates, and records of compliance testing. The regulations contain detailed requirements for documentation that must be kept.
• Information and data used to determine whether or not a process vent is subject to 373-2.27(c) including supporting documentation.
• Air Emission Standards for Equipment Leaks
• Detailed documentation which must be kept, including but not limited to design documentation and monitoring, operating and inspection information for each closed vent system (373-2.28(o)(5)) and control device and detailed information on each leak detected (373-2.28(o)(4)).
• Air Emission Standards for Tanks, Surface Impoundments and Containers
• Detailed documentation that must be kept as set forth in 6 NYCRR 373-2.29.
• Containment Building Design and Operating Standards
• Certification that containment building design meets requirements of 373-2.30 (b)
• Record of detection of a condition that has led to the release of hazardous waste.
• Description of operating procedures used to maintain the integrity of areas without secondary containment.
• Records of weekly inspections of data gathered from monitoring equipment and leak detection equipment.
• Hazardous Waste Burned in Industrial Furnaces and Boilers
• All information and data required by 374-1.8(c)(5) including waste analyses, emissions data, and test burn data.
• Records documenting eligibility for small quantity on-site burner exemption, including hazardous waste quantity, firing rate, and heating value.
• Records of inspections required by 6 NYCRR 374-1.8(l)(5)(iii).
• Records of levels of hazardous constituents in waste combustion residues and normal residues and analyses of effects on residual concentrations of changing raw materials or fuels.
• Used Oil Marketers
• Information documenting that used oil to be burned for energy recovery meets specifications for used oil under 374-2.2(b)
• Certification from used oil burner that it has notified DEC and EPA of its location and used oil management activity and burns used oil only in industrial furnaces or boilers identified in 374.2(b)(1)

Land Disposal Restrictions:

For generators:

• Waste Analysis Plan (if managing and treating prohibited waste)
• All notices, certifications, waste analysis data, and other documentation
• For treatment facilities:
• Notices and certifications
• Records of all inspections, evaluations, and analyses of treated debris made to determine compliance with treatment standards
• Records of any data treater obtains during treatment of the debris that identifies key operating parameters of the treatment unit
• For disposal facilities:
• Notices and certifications

AIR RESOURCES

• Records of all equipment maintenance or start-up/shutdown activities when they can be expected to result in an exceedence
• Contemporaneous operating log or other relevant evidence of emergency.
• All records to demonstrate that the emission source meets criteria of an exempt activity.
• All records to demonstrate that the emission source meets criteria of a trivial activity.
• Date of description of changes that meet criteria for operational flexibility set forth in 201-5.4(b)(1)(i)-(iii)
• Records relating to actual emissions from insignificant source. (Insignificance determined based on potential emissions if records not kept).
• Records of all monitoring data and support information the following information must be included in records and reports.
• Support information includes all calibration and maintenance records and all original strip-chart recordings for continuous monitoring instrumentation, all quality assurance information and copies of all reports required by permit.
• Record shift from one alternative operating scenario to another in a log.
• Synthetic Minors: All required records.
• Capped by Rule: All required records. Detailed lists of specific records to be retained are given by the type of operation. See 201-7.3(h)(5) for recordkeeping requirements for combustion sources.
• Copy of emission statement and records indicating how information submitted in the emission statement was obtained, including calculations, data, measurements, and estimates
• Episode Action Plan (if requested by Department)
• Facilities that accept enforceable conditions to avoid RACT must maintain records on monthly basis verifying facility’s actual annual emissions

Sulfur in Fuel limits:

• Data collected pursuant to 6 NYCRR 25-1.7 tabulated and summarized.
• Fuel analyses, information on quantity of fuel received, burned or sold, and results of stack sampling, stack monitoring and other procedures to ensure compliance (optional with DEC).

NOx RACT for combustion:

• Permanently bound log book or other format approved by DEC in writing documenting boiler tune-up, including (1) date on which combustion process last adjusted; (2) name, title and affiliation of person who made adjustment; and (3) other information DEC requires in permit.
• Emission, monitoring, and operating parameter records or measurements, quarterly and annual summaries and any additional monitoring required by the DEC.
• Petroleum Storage - Petroleum Liquid External Floating Roof Tanks
• Dates and results of annual inspections and annual secondary seal gap measurements.
• VOC Storage
• For facilities that have capped, records verifying that annual potential to emit VOCs is below applicability thresholds
• Capacity of tanks in gallons

SOLID WASTE

Operational Requirements For All Solid Waste Management Facilities

• Records of all unauthorized waste accepted
• Inspection log of self-inspections performed pursuant to 360-1.14(f), including date and time of inspection, name of inspection, description of inspection, observations and remedial actions or responses as a result of the inspection
• All data used to develop or support permit applications
• Supplemental information required by Part 360
• Records pertaining to construction of the facility
• Water quality records
• Operational records
• Monitoring information including calibration and maintenance records, including date, time, name of individual, analytical techniques used, and results

Landfills

• Municipal Solid Waste Landfills Subject to 360-2.21(c)(2) (capacity >=2.5 million megagrams and 2.5 million cubic meters)
• Design capacity report showing current amount of solid waste in place, year by year waste acceptance and waste acceptance rate
• Controlled Landfills
• Vendor specifications, initial compliance determination or performance test of all control equipment
• Subsequent tests or monitoring
• Continuous records of equipment monitoring parameters specified in 360-2.21(g) and exceedences of the type s listed in 360-2.21(i)(3)(i)
• Records of all periods of boiler operation of boiler or process heater with a design heat input capacity >= 44 megawatts
• Landfills - Gas Collection and Control Systems
• Plot map showing each existing and planned collection system
• Installation date and location of newly installed collectors
• Location, amount, nature, date of deposition of asbestos-containing or nondegradable waste excluded from collection as provided by 360-(j)(1)(iii)(a)
• Records on collection and control system exceedences of operat6ional standards in 360-2.21(d) and the reading in the month subsequent to the exceedence
• Landfill Owners Who Convert Design Capacity from Volume to Mass or Mass to Volume
• Annual recalculation of site specific density, design capacity, and supporting documentation
• Solid Waste Incinerators – Training Programs
• Title of each position related to solid waste management; name of employee filling position, job description for that position
• Written description of type and amount of both introductory and continuing training that will be given to each person
• Documentation that the required training or job experience has been given to and completed by facility personnel
• Solid Waste Incinerators – Contingency Plan
• Copy of plan and all revisions

Solid Waste Incinerators – Ash Residue Testing

• Ash residue test results

Liquid Storage -- Underground Tanks

• Inspection and leak detection monitoring reports

C&D Landfills

• Operating permit, O&M Manual, and most recent annual report

Used Oil

• Contingency plan and all revisions thereto
• Records for acceptance and delivery of all grades of used oil a specified by permit

Operating Record including:

• Name, address and EPA ID number of all transporters
• Date of shipment or receipt
• Quantity shipped or received
• Type of used oil, results of analysis performed under waste analysis plan, and method of determination
• Summary of all spills and emergencies
• Copies of all invoices
• Records of inspections
• C&D Processing
• Annual Reports
• Daily facility monitoring logs