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07/30/2024

[Duplicate] The Importance of Keeping Records

Source: Stephanie Jarrett, Fishbeck, July 17, 2024

Now that the year is almost over and most of the environmental reporting is complete for many facilities, this is good time to talk about the importance of keeping environmental records. While not every facility is audited by their state or region’s environmental agency, the US EPA sets goals for how frequently facilities should be evaluated by the authorized enforcement agency. The frequency is based on the program [i.e. Clean Air Act (CAA), Clean Water Act (CWA), Resource Conservation and Recovery Act (RCRA)] and the type or size of the facility. For smaller sources, many state agencies try inspecting at least once every five years. Even if your facility has never been audited by your state or region’s environmental agency, you should still have a robust recordkeeping program. It only takes one complaint, or a random drive by an agency inspector who views your baghouse or stacks from a road, to prompt an inspection. Following an inspection by your regions environmental authority will typically lead to your facility being added to a database for future inspections. Regulators also talk to other inspectors outside of there divisions. For example, a source may be inspected by the waste division, which then prompts an inspection by another division based on observations made (i.e., the facility had baghouse and the air division was notified). It’s important to have a good grasp on the types of records you need based on the environmental regulation you are subject to. If your facility does not have a good handle on what these records are, you may consider an audit by an environmental consulting firm to go through your program and provide recommendations.

We recently completed an audit for a printing facility that wanted to know what their environmental obligations were so they could implement a program to ensure they had the proper permits in place, were completing applicable reporting, and maintaining required records. In 2024, we had two printing/packaging related facilities that had impromptu air inspections and during both of those inspections, it was determined that proper recordkeeping was not available to demonstrate compliance. One facility had a “very old” air permit for a baghouse that no one at the facility was aware of, the old permit required daily observations of the baghouse stack. The second facility did not have readily available information to demonstrate they were meeting a permit exemption being used for plate making. For the second facility, the air inspector decided that with the absence of any emissions records, he was going to assume that all the solvent purchased in one month was used in the same month. Based on this incorrect assumption, the facility was “out of compliance” with the exemption they were using, which would mean an air permit was required. Once an agency grasps onto an idea, it can be hard to convince them of an alternative. In our response to the agency, we had to describe that if the states assumption was they used all the purchased solvent in one month, then that would also mean they only made plates 3 out 12 months a year, which was clearly not the case and could easily be confirmed had the state asked for customer sales information.

Not having proper records can lead to notices of violations, which then take time and effort to respond too. Additionally, depending on the magnitude of items found during the inspection, a letter of violation may lead to enforcement and ultimately fines.

So what types of records do you need? This is not an easy question to answer, and in all likelihood, could not be answered in a single article without just making lists that would not be useful.  Below are some of the records that your facility may need. Based on the magnitude of environmental regulations promulgated, and the efforts to periodically update those regulations, means you should have a program in place for review and continuous improvement.

It’s been my experience that most regulators want their sources to be in compliance. Non-compliance not only means more effort by the facility, but it is ultimately more work for the regulator as well. Many states have compliance assistance programs and they publish useful documents for the regulated community. Ohio has a document called “Violations Most Frequently Cited by Hazardous Waste Program Inspectors,” which provides helpful compliance hints. Michigan and Kentucky also have useful published guidance on hazardous waste.

Under the hazardous waste regulations, your facility is required to make a determination for each waste stream. Generators are required to properly prepare, maintain and submit records.

Some common recordkeeping examples include:

  • Records of hazardous waste and nonhazardous waste determinations
    • Waste profiles
    • Waste codes and US DOT descriptions
    • Land disposal restriction (LDR) notification and waste analysis documents (if applicable).
  • Records of how much waste is generated per month
  • Copies of manifests signed by designated facility
    • Notifications to the state or regional authority if signed manifests are not received
    • Records of correspondence with transporter or disposal facility attempting to obtain the signed manifest and confirmation of disposal
  • Records of periodic inspections of hazardous storage waste areas
  • Personnel training records (initial and annual) for large quantity generators

Air regulations and records, are typically much more site specific; however some common recordkeeping examples include:

  • Determinations on if process equipment needs an air permit, general air permit, is exempt from permitting, or subject to permit by rule requirements
  • Monthly air emission records, but some permits and regulations may require more frequent records (ie daily)
    • Review permits and exemptions for record requirements
  • Process and operational records
    • Amounts of solvent and inks used, along with chemical composition
    • Records of inspections on control devices, this could include pressure drop on baghouses, temperature on thermal oxidizers, etc
  • Preventative maintenance records

Clean Water Act records may include:

  • No exposure certifications, if applicable
  • Notice of Intent and applicable Storm Water Pollution Prevention Plan (SWPPP)
    • Documentation of quarterly comprehensive inspections
    • Documentation of quarterly visual assessments
    • Annual review documentation
  • Documentation of Spill Prevention Plan inspections
  • Waste water discharge permit records
    • Analytical documentation, if applicable

There are numerous environmental regulations, and we only touched on a handful of record requirements.  However, keeping these records are paramount to facility compliance. The EPA, State agencies, and authorized representatives have broad authority to conduct compliance inspections at any premise potentially subject to environmental regulations. EPA, State or Regional inspectors are allowed to have access to any records, inspect any monitoring equipment, and sample to check compliance with standards and regulations. Having records available during inspections (or shortly thereafter) is vital to a facility's compliance strategy. If your facility is unsure of what regulations apply to you, and the types of records that are required, consider having an audit conducted by an environmental consulting firm.

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