WIXLIB

UnitedStatesEnvironmentalProtectionAgencyOfficeof andAuditAuthoritiesManual

UNITED STATES ENVIRONMENTALPROTECTIONWASHINGTON, D.C. 20460AGENCYOFFICEOFWATERAUG 15 1986MEMORANDUMSUBJECT:PretreatmentFROM:James R. Elder, DirectorOfficeof Water EnforcementTO:Users ofand AuditComplianceInspectionsand Auditsand Permits(EN-335)the PretreatmentComplianceInspectionManual for ApprovalAuthorities(PCI)This manual providesApprovalAuthoritieswithinformationand materialon auditsand inspectionsof approvedlocalPOTWpretreatmentprograms.The manual shouldassistApprovalAuthoritiesin providingeffectiveoversightof approvedpretreatmentprogramsunder theirjurisdiction.The PCI and auditproceduresare consolidatedin thismanualbecausethe preparationand follow-upstepsfor the two activitiesare similar.Separatechecklistsfor conductingPCIs and auditsare includedin the manual.The auditchecklistaddressesallmaterialscontainedin the PCI checklist,althoughsome auditquestionsseek more detailedinformation.Auditsand PCIs are complementarymeans of its,which are more comprehensiveand resource-intensivethan PCIs, are most usefulwhen conductedapproximatelyone year afterprogramapprovaland againduringthePOTW's five-yearpermitterm,preferablycloseto the time ofpermitreissuancefor the approvedPOTW. Initialauditsallowfor identificationof any problemsthe POTW may have in implementingits program.Where appropriate,follow-upguidanceor assistance(includingcontractorassistancein some cases)may be providedby the ApprovalAuthorityto the POTW. In cases where the POTWhas failedto implementimportantaspectsof its program,theauditmay also providean opportunityto determinewhetherenforcement actionagainstthe POTW is needed.Auditsperformedjustpriorto permitreissuanceprovidethe ApprovalAuthoritywithagood opportunityto determinewhetherany modificationsneed tobe made to the pretreatmentconditionsin the POTW's NPDES permitto addressany deficienciesin the localprogram(e.g.,to providegreaterdetailon performanceexpectationsfor localpermitissuanceor complianceinspectionsfor IUs, to prescribemethodologiesfor developingor assessingthe need for locallimits,etc.)

-2PCIs are less resource-intensivethan audits.The PCI focuseson the POTW's compliancemonitoringand enforcementactivities.Optimally,PCIs shouldbe performedannuallyduringthe interimyears betweenauditsas partof routineNPDES municipalinspections.PCIs shouldbe includedin the d States.I hope thatyou willfindfor ensuringthatyour approvedbeingimplementedin accordanceGeneralPretreatmentRegulationsthismanual to be a usefultoollocalpretreatmentprogramsarewiththe requirementsof the(40 CFR Part 403).

PRETREATMENT COMPLIANCE INSPECTION AND AUDITMANUAL FOR APPROVAL AUTHORITIESOfficeof WaterEnforcementJulyU.S.and Permits1986EnvironmentalProtectionAgency401 M. St. S.W.Washington,D. C.20460

TABLE OF CONTENTSPage1.INTRODUCTION.l-l1.1 PRETREATMENT COMPLIANCEINSPECTION (PCI).l-l1.2AUDIT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-11.3ORGANIZATIONOF THE GUIDANCEMANUAL.l-21.4PCI AND AUDIT SCHEDULINGAND TEGIC PLANNING AND MANAGEMENTCOMMITMENTS.l-31.72.SOURCESOF ADDITIONAL INFORMATION.l-4OVERVIEWAND BACKGROUND. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-12.1PRETREATMENTPROGRAMAUTHORITY. . . . . . . . . . . . . . . . . . . . . . . . . . .2-12.2FEDERAL M(SPMS)Federal CategoricalPretreatmentStandards . . . . . . . .ProhibitedDischarge Standards and Local Limits . . .Overview of State Regulations . . . . . . . . . . . . . . . . . . . . .CONTROLAUTHORITY REQUIREMENTSAND RESPONSIBILITIES . . . . . .2-72.3.12.3.22.3.32-72-82-9IndustrialWaste Survey . . . . . . . . . . . . . . . . . . . . . . . . . . .IndustrialUser Monitoringand Enforcement . . . . . . . .Recordkeeping and Reporting Requirements . . . . . . . . . .PCI AND AUDIT PROCEDURES.3-l3.1INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iew of the Control Authority'sProgram Status . .Development of an Audit or InspectionPlan . . . . . . . .Notificationto the Control Authority . . . . . . . . . . . . .Equipment Preparation . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Coordinationwith Region and State . . . . . . . . . . . . . . . .3-l3-23-23-33-3.ENTRY rival . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Presentationof Credentials . . . . . . . . . . . . . . . . . . . . . . .Consent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Problems with Entry or Consent . . . . . . . . . . . . . . . . . . . .i

Page3.4OPENING CONFERENCE.3-43.5.DOCUMENTATION3-43.6TOUR OF THE POTW(Optional)3.7VISITS TO LOCAL INDUSTRIES (Optional)3.8CLOSING le for Report Submission .3-43-53-83.10DATA ENTRY INTO PCS.3-83.11.FOLLOW-UP RESPONSE TO THE CONTROL AUTHORITY3-83.11.13.11.24.PCI .Audit .PRETREATMENTCOMPLIANCEINSPECTION (PCI) CHECKLIST.4.14.24-1CONTROLAUTHORITY BACKGROUNDINFORMATION.4-24.1.14-2General ControlAuthorityInformation.COMPLIANCEMONITORING AND ENFORCEMENT PROCEDURESCONTROL AUTHORITY PERSONNEL ntrol AuthorityPretreatment Program Overview .Control AuthorityPretreatment Program.ModificationsControl AuthorityInspection and Monitoring ofIndustrialUsers (IUs) .Control Mechanism Evaluation .Enforcement Procedures .Compliance Tracking .COMPLIANCE MONITORING AND ENFORCEMENTIU FILEEVALUATION.4.3.14.3.24.3.34.3.44.3.54.3.6File Contents .Control Mechanism Evaluation .IU Compliance Evaluation .IU Self-MonitoringEvaluation .Control AuthorityEnforcement InitiativesNarrative 184-184-214.4SUMMARY EVALUATIONOF CONTROL 22ii

TABLE OF CONTENTS(CONTINUED)Page5.PRETREATMENTPROGRAMAUDIT CHECKLIST.5-l5.1INTRODUCTION.5-15.2OVERVIEWOF THE AUDIT 2.85.2.95.2.105.2.115.2.125.3Checklist Cover Page .Section I: Control AuthorityBackgroundInformation .Section II:POTWPretreatmentProgram FactSheet .Section III:Legal Authorityand ControlMechanism .Section IV: Applicationof PretreatmentStandards .Section-V:Compliance Monitoring .Section VI: Enforcement .Section VII:Data Management and Public.ParticipationSection VIII:Program Resources .Section IX: POTWFile Review .Section X: Evaluation and Summary.Supporting Documentation .5-15-15-l5-25-25-25-25-25-25-35-35-4AUDIT CHECKLISTTABLE2.1INDUSTRIES SUBJECT TO X A- EPA MEMORANDAFROM J. WILLIAM JORDAN AND MARTHAPROTHROInstructionsFor Completing Form 3560-3APPENDIX B- SAMPLEFOLLOW-UPLETTER TO THE CONTROL AUTHORITYAPPENDIX C- POTWPRETREATMENTPROGRAMFACT SHEETAPPENDIX D- NPDES COMPLIANCEINSPECTION REPORTFORM3560-3iii2-3

1. INTRODUCTIONThe pretreatmentcompliance inspection(PCI) and the pretreatmentprogramaudit have been establishedto allow onsitereview of pretreatmentprogramsin approved publicly ownedtreatment works (POTWs). The intent of this manualis to provide guidance to EPA Regions and State personnel who are responsiblefor conducting PCIs and audits.1.1PRETREATMENTCOMPLIANCEINSPECTION (PCI)The PCI will expand the scope of existingmunicipal NPDES inspectionstoinclude an evaluationof the approved POTWpretreatmentprogram.The PCI isdesigned to verify the compliance status of the POTWand focuses primarilyonthe compliance monitoring and enforcement activitiesof the POTW. It alsoattempts to ascertain whether there have been changes to the approved programwhich have not been reviewed by the Approval Authority.The PCI shouldnormally be conducted as an adjunct to other NPDES inspectionsto conservetravel costs and staff time. Additionally,consolidationallows the inspectorto more easily integrateinformationabout all areas of the POTW's operations.PcIs are compatible with the followingNPDES inspections: Compliance Evaluation Inspections(CEI)Compliance Sampling Inspections(CSI)Performance Audit Inspections(PAI)DiagnosticInspections,andOther nonroutine types of inspectionssuch as toxicsbiomonitoringinspections.While not included in the PCI checklist,include additionalactivitieswith the PCI.are not limited to the following:samplingandthe EPA Region or State mayThese activitiesmay include but IndustrialUser Inspection OverviewThe inspector my overview thePOTW's industrialinspectionand/or sampling procedures. Sampling InspectionsThe inspector my actuallysample industrialusers within the POTWdirectlyto determine compliance withpretreatmentstandards. QA/QC Procedure InspectionsThe inspector can review either the POTWor industrialuser (IU) or both to assess the adequacy of qualityassurance and qualitycontrol analyticalprocedures at the laboratory.This Manual, along with a PCI Workshop (offeredStates),provides basic guidance to conduct a PCI.1.2by EPA to Regions andAUDITPOTWpretreatmentprogram audits are also performed as a mans ofevaluatingpretreatmentprogram implementation.The audit is a comprehensivereview of all elements of an approved POTWpretreatmentprogram.The auditaddresses all materialscontained in the basic PCI although audit questionsare in some instances worded differently,and seek more detailedinformation.The audit includes a review of the followingelements of the POTW's program:l-l

Changes to the pretreatmentprogram since approval Legal authorityand control mechanism Applicationof pretreatmentstandards (categoricalstandards and local limits) Compliance monitoring and enforcement efforts Data management and public participation Program resources.pretreatmentIn most instances,the audit is an independent activitywhich will notbe conducted with an NPDES inspection.Also, the audit is generally performedby program office personnel rather than an inspector.While the results ofthe PCI or audit may be the basis for enforcement activity,the audit is alsodesigned to provide guidance and technicalassistance to the Control Authorityand to assess the need for modificationsto the approved pretreatmentprogram.Consequently,the audit is designed to answer the followingquestions: Is the POTWcomplying with existingrequirements in its permit,approved program, and the General Pretreatment Regulations? Are any changes that the POTWis proposing to make in its programappropriateand should such changes be n? Are elements of the previouslyapproved program proving to be deficientthrough experiences in implementation,and should changes in theapproved program be required via the NPDES permit? Can the POTWbenefit from specificand availableApproval Authoritycan provide such as guidanceprograms, etc.?resourcesdocuments,which thecomputer What follow-upactions on the part of the POTWare recommended toimprove the effectivenessof the existingprogram?1.3ORGANIZATIONOF THE GUIDANCEMANUALThis Manual is organizedintofivechapters: Chapter One: Introductionprovides a definitionof the PCI and theaudit; describes the organizationof the Manual and addresses theissues of scheduling,resource requirements and StrategicPlanningand Management System (SPMS) commitments. Chapter Two: Overview describes the National PretreatmentProgram andprovides general informationrelatingto the principalresponsibilitiesof POTWs, otherwise known as Control Authorities. Chapter Three:PCI and Audit Procedures discusses those elements ofthe PCI and audit that differfrom other NPDES inspectionproceduresincludingspecificaspects of preinspectionpreparation,entry, openingconference, documentation,closing conference,inspectionreport, andfollow-upresponses to the Control Authority.1-2

Chapterof theappearsitselfFour:PC1 Checklist provides narrativeguidance to the userchecklist.An explanationof the questions in t

The audit checklist addresses all materials contained in the PCI checklist, although some audit questions seek more detailed information. Audits and PCIs are complementary means of achieving effective pretreatment program oversight. Audits, which are more comprehensive and resource-intensive than PCIs, are most useful when conducted approximately one year after program approval and again .