Documents to be Reviewed 1 CHWMEG Audit

Transcription

1 Example 1 Provided by CHWMEG Contractor General Audit Package (if available) Certificates of Insurance Part B application 2 Documents to be Reviewed 1 CHWMEG Audit Hazardous waste permit and annual reports for the past three years 2 Agency inspection records for the past three years A random sampling of incoming and outgoing manifests and land disposal restriction forms. OSHA 200 logs for the past three years 2 Internal inspection logs for the current year Internal operations logs for the current year Laboratory log for the current year Contingency Plan/SPCC Plan/SWPP Plan 2 Closure Plan and costs 2 Waste Analysis Plan or equivalent Community Right to Know notifications Air permits 2 and reports Wastewater and stormwater permits 2 and reports Enforcement actions including consent orders 2 Site hydrogeological and groundwater sampling information 2 Subsurface geology information Process flow diagram 2 Site plan 2 1 Some information many not be available for your facility based on operations and permit status. 2 Copies of these documents or portions of the document will be requested by the auditor.

2 Example 2 Provided by CHWMEG Contractor Documents for Review Waste Analysis Plan Injury Records Equipment Specifications Operational Diagrams Site Plan Annual Throughput Amounts Permits Violation Notices Consent Orders Regulatory Inspection Reports Facility Inspection Forms SPCC Plan Emergency Contingency Plan Training File (representative) List of Training Topics Site Assessments Groundwater Results Incident Reports Closure Funding Post Closure Funding Insurance Sudden and Non-Sudden coverage Facility Security Plan Transportation Security Plan Tank List Container Inventory

3 Example 3 Provided by CHWMEG Contractor CHWMEG AUDIT Documents To Be Reviewed (1) Request that copies of the following documents or portions of these documents are copied and available for me at the start of the site visit: Site location map and facility layout plan Process flow diagram(s) Site hydrogeological and groundwater sampling information (2) Waste permits (3), waste analysis plan, and past two annual reports Wastewater and stormwater permits (3) and reports Air permits (3) and reports Closure plan and closure cost estimate Agency inspection records and enforcement actions for past three years OSHA logs for the past three years Financial data or Annual Report and Certificate of Insurance Request that these documents are available for review during the site visit: Contingency plans Random sampling of incoming and outgoing manifests (or bills of lading) and land disposal restriction forms for the previous six months Community Right-to-Know notifications Operating, laboratory, and inspection logs for the past year NOTES: (1) Some information may not be available for your facility based on your operation and permit status. (2) Key information is location of wells, parameters sampled, and summary of recent sampling results. (3) Transmittal letter from agency, permit cover page, and all site specific requirements.

4 Example 4 Provided by CHWMEG Contractor CHWMEG AUDIT Documents To Be Reviewed (1) NAME requests that copies of the following documents or portions of these documents be made available for review and/or copy during the site visit: Site location and plot plan (2) Process flow diagram(s) (2) Site hydrogeological and groundwater sampling information (3)(2) Waste permits (4), waste analysis plan (2), and past two annual reports Wastewater and storm water permits (4) and reports Air permits (4) and reports Closure Plan, Post Closure Plan and cost estimates (2) Closure and Post Closure cost assurance documents (2) Agency inspection reports, records, and enforcement actions for the past three years (2) OSHA logs for the past three years (2) Certificate of Insurance (2) If a privately held company, copies of the three previous years financial reports (audited), or the name and telephone number of the contact that can provide this information. NAME requests that these documents be available for review during the site visit: Contingency plans SPCC Plan A random sampling of incoming and outgoing manifests (or bills of lading) and land disposal restriction forms for the previous six months Community Right to Know notifications Operating, laboratory, and inspection logs for the past year NOTES: Some information may not be applicable to your facility based on your operation and permit status. Copies of these documents are requested. Key information such as location of wells, parameters sampled, and summary of recent sampling results. Transmittal letter from agency and site specific requirements (copies of permit cover sheets only are requested). It is the auditors intention to take photographs that represent facility operations on the day of the review. If advance notice or permission is required by the facility, please accept this as initial notification. It is our policy to avoid photographs that identify your clients, employees, or proprietary processes. Thank you for your assistance in preparing for this audit. The length of time on-site will be reduced depending on the availability of the documents listed and the thorough answers on the questionnaire. If you have any questions or need assistance, please contact NAME at (412)

5 Example 5 Provided by CHWMEG Contractor Documents to be Reviewed for CHWMEG Audit Information needed for verifying questionnaire responses: Current and maximum inventories (untreated and treated waste) Waste-to-date treated onsite (remaining onsite e.g. landfill, waste piles) Information on air pollution control equipment, if any Info on stormwater collection and secondary containment systems and monitoring and inspections Name and phone # of water supplier, sanitary and/or industrial sewage Copies of documents needed: Plot /site plan Process flow diagram, if available Closure Plan and cost estimates, financial assurance documentation Current insurance certificate(s) Sample Certificate of Disposal/Destruction Waste analysis characterization/ waste profile form Financial report (audited) Documents needed for review/ may need some copies: Air permits and reports (including Title V) Water, wastewater, stormwater permits and reports Waste and hazardous waste permits and reports (including annual report for past 2 years) Part B application, if appropriate Any enforcement actions (notice of violation, notice of noncompliance) Annual OSHA 300 logs for last 3 years (shows lost time, accidents, etc.) A random sample of incoming and outgoing manifests, bills of lading, waste tracking system documentation and land disposal restriction forms for the previous 6 months Maintenance program / work order system and records Operating records for last 2 years to date Internal inspection log for last 2 years to date Laboratory log for last 2 years to date Any facility assessment reports / site investigations Any Agency inspection reports (federal, state or local) from last 5 years to present Training program and internal records Contingency Plan (e.g. SPCC) Waste Analysis Plan Annual precipitation, 24-hr maximum precipitation, annual evapotranspiration Is site in 100-year flood plain? Are there wetlands or critical habitats nearby? Site hydrogeological and groundwater sampling information Surface water proximity and use Residential/commercial/industrial proximity Community Right-to-Know notifications Union/non-union workforce Note: Some information might not be available or applicable based on your facility s operations and permit status.