Region VI 27th Annual Pretreatment Workshop Wednesday August 3, 2011 Pretreatment Audits 101 Typical Audit Format, Violations and Deficiencies “Ask the Auditor”???? Rebecca Villalba, TCEQ email@example.com
Pretreatment Program Audit and Municipal Pollution Prevention Assessment • EPA developed the audit process, including the audit report and checklist for evaluating implementation of the approved pretreatment programs • The early audits withstood the test of enforcement proceedings and judicial actions Background
Pretreatment Program Audit and Municipal Pollution Prevention Assessment • The audit includes municipal pollution prevention (P2) aspects to raise the awareness of the relationship of P2 activities to the pretreatment program • Audits have been historically performed approximately once every five years Background
Audit Process • Approval Authority (AA) announces audit (two weeks prior) • AA conducts field portion (2-5 days duration) • Initial Interview • File Review • Site Visits • Exit Meeting • AA prepares audit report • Final audit report is mailed to Control Authority (CA) and copy sent to EPA • CA submits audit response to AA
Audit Process Audit Preparation • The process begins several weeks ahead with review of: • Approved pretreatment program components • Wastewater treatment plant (WWTP) effluent monitoring data, including toxicity reduction evaluations • Conditions in the watershed
Audit Process Audit Preparation • The process begins several weeks ahead with review of: • Previous inspections and audits • Annual reports • Enforcement actions • NPDES permit requirements, including sludge disposal • Manufacturers Directory
Information Provided to City Before Initial Audit “Interview” • List of Hazardous Waste Generators • List of Manufacturers
Audit Process Components of the Audit Process • Once in the field, the main evaluation tools are: • Interview checklist • IU file review checklist • IU site visit checklist and facility tour • Examples of permits, forms, letters, reports, graphs of data tracking
Audit Process Components of the Audit Process • During the field portion of the audit, the auditors are looking for: • Knowledge of the approved pretreatment program and the regulations • Adequate control over IU discharges through permits or similar means • Timely and appropriate enforcement activities • Inventory of IUs discharging to the WWTP
Audit Process Components of the Audit Process • During the field portion of the audit, the auditors are looking for: • Adequate data management and quality assurance/quality control (QA/QC) • Correct categorical industrial user (CIU) determinations • Multijurisdictional partner responsibilities
Audit Process Components of the Audit Process • During the field portion of the audit, the auditors are looking for: • Adequate qualified personnel to implement the approved pretreatment program • Communication and familiarity with the IUs • Any aspects of the pretreatment program where the CA is voluntarily going “above and beyond” to improve the program • Enthusiasm!!
EPA Region 6Audit Checklist • Section I: General Information • Section II: Pretreatment Program Analysis • Section III: Industrial User File Evaluation PLUS: Industrial User “Site Visits”
SECTION I: GENERAL INFORMATION A. GENERAL INFORMATION Control Authority Name: NPDES #:________________________ Mailing address:_________________________________________________________ Permit Signatory:Title:____________________________ Telephone: Fax:___________ e-address:_____________________ Pretreatment Contact: Title:________________________ Pretreatment program approval date:___________________ Dates of approval of any substantial modifications:_________________ Month Annual Pretreatment Report Due:___________________ Pretreatment Year Dates: Date(s) of Audit:______________ (P2 Assessment) Inspector(s): NAMETITLE/AFFILIATIONPHONE NUMBER _______________________________________________________________________________ _______________________________________________________________________________
SECTION I: GENERAL INFORMATION (cont.) Control Authority representative(s): NAMETITLEPHONE NUMBER *________________________________________________________ ________________________________________________________ *Identifies Program Contact Dates of Previous PCIs/Audits: TYPE DATE DEFICIENCIES NOTED __________________________ __ ____________________________ _________________________________________________________ ___________________________ _____________________________
SECTION I: GENERAL INFORMATION (cont.) YESNO_ ______Is the Control Authority currently operating under any pretreatment related consent decree, Administrative Order, compliance or enforcement action? ____ ___ Is the Control Authority currently in SNC or RNC? B. TREATMENT PLANT INFORMATION 1. THIS PRETREATMENT PROGRAM COVERS THE FOLLOWING NPDES PERMITS/TREATMENT PLANTS: NPDES Effective Expiration Permit No.Name of Treatment Plant Date Date__ *___________________________ _____ _____ _______ __________________ _____ _____ * Indicates the permit number/treatment plant under which the Pretreatment Program is tracked.
SECTION I: GENERAL INFORMATION (cont.) 2. Individual Treatment Plant Information a. Name of Treatment Plant: Location Address: Expiration Date of NPDES Permit: Treatment Plant Wastewater Flow: Design-_____MGD; Actual (Avg)-_____MGD Sewer System:_100_% Sanitary; ___0__% Combined # of SSOs due to grease blockages ____ Industrial Contribution to this Treatment Plant # of SIUs:____ # of CIUs:_____ Industrial Flow (mgd):Industrial Flow:%
SECTION I: GENERAL INFORMATION2. Individual Treatment Plant Information(cont.) Level of Treatment:Type of Process(es): Primary _____ _______________________ Secondary _____ _______________________ Tertiary _____ _______________________ Method of Disinfection: _________________ Dechlorination YES NO Effluent Discharge Receiving Stream Name: Stone Dam Creek Receiving Stream Classification: Segment 3F of the AR River Receiving Stream Use: Extraordinary Resource; Primary & Secondary Contact Recreation; Domestic Water Supply If effluent is disposed of to any location other than the receiving stream, please note: __golf course__________
SECTION I: GENERAL INFORMATION2. Individual Treatment Plant Information(cont.) Method of Sludge Disposal: Quantity of Sludge: Land Application _______dry tons/yr. Incineration _______dry tons/yr. Monofill _______dry tons/yr. Mun. Solid Waste Landfill _______dry tons/yr. Public Distribution _______dry tons/yr. Lagoon Storage _______dry tons/yr. Other (specify) _______dry tons/yr. List of toxic pollutant limits in NPDES permit: Conventionals, TRC, NH3-N, T. Phos.
SECTION I: GENERAL INFORMATION2. Individual Treatment Plant Information(cont.) YESNO Does the Control Authority hold a sludge permit or has the NPDES permit been modified to include sludge use and disposal ____ ____ requirements? If yes, specify the following: Issuing Authority:______________ Issuance Date:________________ Expiration Date:_______________ List pollutants that are specified in current sludge permit: The list of 40 CFR 503 parameters, pathogen & vector attraction reduction requirements
SECTION I: GENERAL INFORMATION2. Individual Treatment Plant Information (cont.) YESNO N/A Has the Control Authority submitted results of whole effluent biological ____ ___ ___ toxicity testing (WET)? Has there been a pattern of toxicity ____ ____ ____ demonstrated by effluent toxicity testing? If yes, explain what has been or is being done about it. (eg. Is there an ongoing TRE?)
SECTION I: GENERAL INFORMATION2. Individual Treatment Plant Information (cont.) How many times were the following monitored during the past pretreatment year? InfluentEffluentSludgeAmbient Metals * ______ _______ ______ ________ Priority ** ______ _______ ______ ________ Biomonitoring ______ _______ ______ ________ TCLP ______ _______ ______ ________ Other:________ ______ _______ ______ ________ * As identified at 40 CFR 122, Appendix D, Table III ** As identified at 40 CFR 122, Appendix D, Table II
SECTION I: GENERAL INFORMATION2. Individual Treatment Plant Information (cont.) Summarize any trends over the last five years regarding pollutant (influent, effluent and sludge) loadings. Have they increased, decreased, or stayed the same? Evaluate for each parameter measured. _____________________________________________________________ YESNO N/A ____ ___ ____ Has the POTW begun tracking the trends in the above samples? ____ ___ ____ Has the POTW violated it's NPDES Permit either for effluent limits or sludge over the last 12 months? ____ ___ ____ If yes, List the NPDES effluent and sludge limits violated and the suspected cause(s) Parameters Violated Cause(s)___________ __________________________________________________________ ____ ____ Has the treatment plant sludge violated the TCLP Test?
SECTION II: PROGRAM ANALYSIS AND PROFILEC. Control Authority Pretreatment Program Modification [403.18] YESNO Has public comment been solicited during revisions to the Sewer use ordinance and/or local limits since the last program modification? ___ ___ [403.5(c)(3)] [Editor’s note: perCFR 403.8(f)(4), “Local limits. The POTW shall develop local limits as required in §403.5(c)(1), or demonstrate that they are not necessary.”] Have any substantial modifications been made or requested to any pretreatment program components ___ ___ since the last audit? If yes, identify below:
C. Control Authority Pretreatment Program Modifications [403.18] (cont.) 1. Modifications: Date Date incorporated in Approved Ordinance Citation/ NPDES Permit by [State] Nature of Modification _________ _________________________ __________ _________ _________________________ __________ 2. Modifications in Progress: Date RequestedNature of Modification ____________ _________________________ ____________ _________________________ ____________ _________________________
C. Control Authority Pretreatment Program Modifications [403.18] (cont.) YESNO Have any changes been made to any pretreatment program components (excluding any listed ___ ___ above)? If yes: Has the Control Authority notified the Approval ___ ___ Authority of all program changes? (e.g., Modified forms, procedures, legal authorities). If no, please copy and attach the modified form, etc.
SECTION II: PROGRAM ANALYSIS AND PROFILE D. Legal Authority [403.8(f)(1)] Date of original Pretreatment Program approval: [WENDB-PTIM] ___________ Date of most recent Ordinance approved by the Control authority:___________ Date of most recent Pretreatment Program modification approval:___________
D. Legal Authority (cont.) Does the Control Authority's legal authority enable it to: [403.8(f)(1)(i-vii)] YESNO __✓ ____ Deny or condition pollutant discharges __✓ ____ Require compliance with standards __✓ ____ Control discharges through permit or similar means __✓ ____ Require compliance schedules and IU reports __✓ ____ Carry out inspection and monitoring activities __✓ ____ Obtain remedies for noncompliance __✓ ____ Comply with confidentiality requirements ____ NO Establish Pollution Prevention (P2) ____ NO Has the city developed and adopted a P2 policy?
D. Legal Authority (cont.) YESNO ✓ ___ Has the Control Authority experienced difficulty in implementing the sewer use ordinance? If yes, identify reason: No oversight authority No inspection authority No remedies for noncompliance No "equivalent" standard ✓No clear delineation of responsibility for program implementation Interjurisdictional agreements not entered into ✓ Other, Specify: POLITICS!!!!!
D. Legal Authority (cont.) YESNO ____ ___ Are all industrial users located within the jurisdictional boundaries of the Control Authority? If no: __?_ ___ Has the Control Authority negotiated all legal agreements necessary to ensure that pretreatment standards will be enforced in contributing jurisdictions? ____ NO Have provisions been made for the incorporation of Pollution Prevention (P2) policies by contributing jurisdictions?
D. Legal Authority (cont.) List the name of contributing jurisdictions, if any, the number of CIUs, SIUs and type of multijurisdictional agreements in those jurisdictions: Number Number of Type of Name of Jurisdictionof CIUs Other SIUsAgreement __________________ _______ ___________ ___________ __________________ _______ ___________ ___________ __________________ _______ ___________ ___________
D. Legal Authority (cont.) If relying on activities of contributing jurisdictions, indicate which activities are performed by jurisdictions and describe any problems in their implementation. Problems Updating industrial waste survey ________ Notification of IUs yes___ Permit issuance ________ Receipt and review of IU reports ________ Inspection and sampling of IUs ________ Assessment of IUs for P2 activity yes___ Analysis of samples ________ Enforcement yes___ Other: POLITICS!!! yes___
D. Legal Authority (cont.) Identify any IUs that have caused problems of interference, upset, pass through, sludge contamination, problems in the collection system, or worker health and safety in the past 12 months: NPDES Permit Violation IU Name Problem Yes No __N/A and almost impossible to determine a single (or multiple) culprit if pass-through or interference occurs. Although SSOs due to grease blockages are, or should be easier to track down.
E. Industrial User Characterization [403.8(f)(2)(i)] YES NO ______✓ Has the Control Authority updated its Industrial Waste Survey (IWS) to identify new Industrial Users (IUs) or changes in wastewater discharges at existing IUs? ____ __✓ If yes, while conducting the IWS, was each potential IU evaluated by the CA for the possibility of incorporating P2 activities? ____ __✓ Does the Control Authority have written procedures to update its Industrial Waste Survey (IWS) to identify new Industrial Users (IUs) or changes in wastewater discharges at existing IUs?
E. Industrial User Characterization (cont.) YES NO ______✓ If yes, do the written procedures include provisions for the assessment of potential new IUs to incorporate P2 activity and the distribution of P2 reference materials to the IUs which qualify? What methods are used to update the IWS: Review of newspaper/phone book NOReview of plumbing/building permits Review of water billing records __ Permit reapplication requirements Onsite inspections Citizen involvement Other (specify)
E. Industrial User Characterization (cont.) How often is the survey to be updated? “ongoing” Are there any problems that the Control Authority has in identifying and categorizing SIUs: some cities have problems correctly identifying production based categorical IU’s “subparts” YESNO ______✓ Have any new SIUs been identified within the last 12 months? If yes: Is the IU Name of IUType of IndustryPermitted? __________ ______________ __________ __________ ______________ __________
E. Industrial User Characterization (cont.) How many IUs are currently identified by the Control Authority in each of the following groups: a. SIUs (As defined by the Control Authority) [WENDB-SIUS] b. Categorical Industrial Users [WENDB-CIUS] c. ___ Noncategorical SIUs d. Other regulated nonsignificant IUs (Describe) porta potties & landfill leachate TOTAL of a. + d.
E. Industrial User Characterization (cont.) YESNO ______✓ Has the POTW identified any IUs with Pollution Prevention opportunities? __✓ ____ Is the Control Authority's definition of "significant industrial user" the same as EPA's? [403.3(v)(1-3)] If not, the Control Authority has defined "significant industrial user" to mean: Most cities have adopted the CFR 403 “Streamlining” revised definition or are in the process of drafting final ordinance changes.
F. Control Mechanism (Permits) Evaluation [403.8(f)(1)(iii)] YESNO ______✓ Has the Control Authority asked for Best Management Practices (BMPs) or P2 assessments as part of the permit application? Describe the Control Authority's approved control mechanism (e.g., permit, etc.): permits What is the maximum term of the control mechanism? 5 years
F. Control Mechanism (Permits) Evaluation (cont.) ______ How many SIUs are not covered by an existing, unexpired permit or other control mechanism? [WENDBs-NOCM] If there are any SIUs without current (unexpired) permits, please complete the information below: PERMIT EXPIRATION IU NAME DATE_____ ___________________________________________ ___________________________________________
F. Control Mechanism (Permits) Evaluation (cont.) YESNO __✓ ____Does the Control Authority accept trucked septage wastes? __✓ ____Does the Control Authority accept other trucked wastes? ______✓ Does the Control Authority have a control mechanism for regulating trucked wastes? If yes, answer the following: __✓ ____Does Control Mechanism designate a discharge point? [403.5(b)(8)] ______✓ Are all applicable categorical standards and local limits applied to trucked wastes ?
F. Control Mechanism (Permits) Evaluation (cont.) List all pollutants and applicable limits, other than local limits and categorical standards, that are applied to waste haulers: Pollutant Limit Usually just the general and specific prohibitions in CFR 403.5(a) & (b) Describe the discharge point(s) (including security procedures): “at headworks witnessed by W.W. plant personnel testing for pH and periodically taking samples.”
F. Control Mechanism (Permits) Evaluation (cont.) YES NO ______✓ Does the Control Authority accept Underground Storage Tank (UST) cleanup wastes? ___N/A____ Does the Control Authority have a control mechanism for regulating wastes from UST sites? List all pollutants and applicable limits, other than local limits and categorical standards, that are applied to UST cleanup sites: Pollutant Limit ____________________
G. Application of Pretreatment Standards and Requirements YES NO __✓* ____Has the POTW notified the IUs of their potential requirement to report hazardous wastes to EPA, the State, and the POTW? [*Twenty years ago? STRONGLY RECOMMEND IT BE SENT AGAIN!!] Date Notified 5/91?Method of Notification letter* [*Of course documentation is LONG gone!] How does the Control Authority keep abreast of current regulations to ensure proper implementation of standards? Federal Register _✓Journals, Newsletters _✓Meetings, Training _✓Other Internet _✓Government Agency _✓ Other Listserves
G. Application of Pretreatment Standards and Requirements(cont.) YES NO ______✓ Is the Control Authority in the process of making any changes to its local limits or have limits changed since the last PCI, Audit, or Annual Report? If yes, complete the information below: Pollutant Old New Reason Changed Limit Limit for Change _____________________________________________
G. Application of Pretreatment Standards and Requirements (cont.)[TBLLs / MAHLs] YES NO __✓ ____Has the Control Authority technicallyevaluatedthe need for local limits for all required pollutants listed below? [WENDB-EVLL] [403.5(c)(1); 403.8(f)(4)] | | | | V
G. Application of Pretreatment Standards and Requirements(TBLLs / MAHLs, cont.) Headworks Local Local Numerical Analysis Limits Limits Limit / MAHL Completed? Needed? Adopted? Adopted Yes No Yes No Yes No (mg/l) Arsenic (As) __✓____ ____ __✓ ____ __✓ _______ Cadmium (Cd) __✓ ____ ____ __✓ ____ __✓ _______ Chromium-Total __✓ ____ ______✓____ __✓_______ Copper (Cu) __✓ ____ __✓ ____ __✓____ _______ Cyanide (CN) __✓________ __✓ ____ __✓_______ Lead (Pb) __✓ __________✓____ __✓_______ Mercury (Hg) __✓____ _✓ ____ __✓____ _______ Molybdenum (Mo) *✓ ____ ____ __✓ ____ __✓_______ Nickel (Ni) __✓____ ____ __✓ ____ __✓_______ Selenium (Se) *__✓ ____ __✓____ __✓___________ Silver (Ag) __✓____ ____ __✓ ____ __✓_______ Zinc (Zn) __✓ ____ ____ __✓ ____ __✓_______ *If necessary for biosolids land application option if chosen
G. Application of Pretreatment Standards and Requirements(cont.) YES NO __✓ ____Where it has been determined that certain pollutants need to have limits, has the POTW identified the sources of the pollutants? [Except for Hg – it’s sources are not wholly identified] What method of allocation was used for local limits for each pollutant that has a local limit in-place? TYPE OF ALLOCATION (for all parameters mentioned previously) If there is more than one treatment plant, were the local limits established specifically for each plant or were local limits applied uniformly to all plants? The most stringent TBLLs / MAHLs are applied to all the Control Authorities’ POTWs
H. COMPLIANCE MONITORING Compliance Monitoring and Inspection Requirements: Approved Federal Explain Program Aspect ProgramRequirementDifference • Inspections: CIUs 1-2/yr 1/year 1/year TO KEEP Other SIUs 1-2/yr 1/year 1/year • Sampling: CIUs 1-12/yr 1/year 1/year THEIR INDUSTRIES Other SIUs 1-52/yr 1/year 1/year • Reporting: CIUs 2-12/yr 2/year 2/year ON THEIR Other SIUs 2-12/yr 2/year 2/year • Self-Monitoring: CIUs2-12/yr 2/year 2/year TOES!!!!!! Other SIUs 2-52/yr 2/year 2/year