2. Enforcement Process

The department is charged with implementing several federal and state laws to protect the environment and the health and welfare of Missouri’s citizens. This manual contains the various tools the department uses to address violations of laws and regulations through a process of assistance and enforcement. The process escalates, if necessary in order to achieve compliance. Those in violation of the law typically receive many opportunities to correct problems and the department’s staff are committed to work through these problems and develop mutually satisfactory resolutions to the extent possible. This manual mirrors other department practices of providing information on regulatory requirements and opportunity for anyone in violation to make corrections to reach compliance. Where those opportunities are not taken, the department will proceed in a timely manner to use stronger measures to solve the problem. Some situations may require immediate action for the protection of citizens, workers, and the environment.

Inspectors, complaint investigators, emergency responders, data reviewers, and other department staff will on occasion discover violations of laws, regulations, permits, or other requirements administered by the department. At that point, it becomes the department’s responsibility to address the situation.

The department’s aim is to ensure the administration of equitable and consistent enforcement actions for violations of these requirements, and that those enforcement actions are prompt, uniform, impartial and effective. The goal of enforcement in non-emergency situations is to educate regulated parties about noncompliance, correct violations, prevent recurrence, and to prepare regulated parties to perform adequately in the future. The enforcement process benefits the state, its businesses, and its people by solving problems that pose health, environmental, or economic risks to its citizens. It also benefits those regulated by environmental laws by reaching prompt resolution of violations so that environmental liabilities are not compounded and a level playing field among competitors is established.

These procedures outline the general order of the usual steps taken for progressive enforcement. An individual case will be subject to periodic review throughout the process to ensure it is managed in the best possible way. One or more steps may be bypassed or accelerated as approved by supervisors and management. In addition, procedures followed by field offices or programs may vary from this general description. Those procedures are detailed in the program-specific subsections and are based on the media-specific authorities applicable to each type of problem. Communication between the field and program staff is essential to implementing a consistent program, and should be conducted as often as needed to carry out compliance and enforcement responsibilities.

Activities conducted by the department work together to achieve environmental protection and regulatory compliance through a progressive process. The goal is to obtain voluntary and complete compliance as quickly and efficiently as possible. Technical assistance is provided to assist regulated entities, both through on-site visits and other communication with department staff.

Inspections and investigations to determine compliance are conducted, giving the department the opportunity to teach and assist on compliance matters as a major component. When the department identifies violations, the following factors will be evaluated:

    1. Knowledge of the requirements, including through certifications, training, etc.
    2. Documentation of previous assistance or violations.
    3. Evidence of willfulness or negligence.

This evaluation may result in departmental enforcement action. Normally, the general process outlined below will be followed, however; variations to this may occur:

  1. The department will first use conference, conciliation, and persuasion, or CC&P, to try to address the situation, and will continue to use aspects of this throughout the process, especially if the
    violations are minor. If compliance is not achieved, proceed to step 2.
  2. The department will issue a Letter of Warning, or LOW, or other documentation that serves the same purpose: to report theviolation, offer to meet and provide assistance, and outline the steps required to return to compliance. The LOW also states that failure to comply will result in the department issuing a Notice of Violation, or NOV. If compliance is not achieved, proceed to step 3.
  3. The department will issue an NOV. Generally this action automatically refers the matter to the appropriate program’s Compliance and Enforcement Section for their management.

The first two processes should generally not exceed more than 90 days. The time frame may be extended if the field office and the program agree to extend the initial compliance period more than 90 days.

Compliance and enforcement actions are typically not initiated based on a finding made during an environmental assistance visit, or EAV. If an acute violation is found during one of these visits, action must be taken. If a minor noncompliance issue is discovered during an environmental assistance visit, the regional staff or the regulating program will address these issues (see program-specific information for details).

As stated above, the department will use CC&P to the extent possible throughout the compliance and enforcement process, but this may be significantly shortened, or skipped, if warranted by the situation.

A follow-up site visit will be conducted to verify compliance, and documentation stating such will be communicated to the responsible party in writing and copied to the regional and central office files.

Conditions Imminently or Immediately Threatening Human Health or the Environment

If a violation presents an imminent or immediate threat, immediate action must be taken address the threat. Actions taken to end the threat may not address all aspects of noncompliance. Additional work may be needed to abate other continuing non-emergency violations, achieve environmental restoration, establish pollution prevention against future violations, recover costs, and assess penalties. While this work will generally occur after the immediate threat is resolved, none of these activities will be shortchanged in the process of ending the initial threat.

Non-Emergency Noncompliance

Violations by facilities or operations that have no previous serious violations are usually issued an LOW. This action may be tailored to reflect the specific violation being addressed, such as a letter of nonpayment in the case of a past due fee. The LOW step may be skipped if the department is required to respond to a particular type of violation in a given way. LOWs have specific contents, deadlines, and follow-up requirements and are described in Chapter 4.

If a violation is not resolved with an LOW, an NOV will be issued. NOVs may also be the first step of enforcement in certain matters, such as high priority violations, or if regulations require certain violations to be handled with an NOV. Like LOWs, NOVs and their transmittal letters contain specific contents, deadlines, and follow-up requirements. The issuance of an NOV will usually mark the transition of a matter from the field office to a program’s compliance and enforcement staff. Staff need to be aware of the Statute of Limitations when taking enforcement actions.  See Chapter 13 on Statute of Limitations.

Once the matter is referred to a central office program for enforcement,,the settlement offer is usually the first enforcement tool utilized. During the settlement offer stage, the department provides the violator the opportunity to avoid elevated enforcement action by agreeing to certain conditions. The settlement offer proposes the conditions that would provide a remedy for the violation, a commitment from the responsible party that certain compliance actions will follow, and an equitable resolution regarding penalties in most cases. In some instances, it will also address recovery of the department’s costs to the extent possible. Settlement offers may be modified to address the specific aspects of a violation. Settlement offer letters are described in Chapter 6.

If a violation is not resolved at the settlement offer stage, the case will be evaluated for referral to the Attorney General’s Office for litigation. This process is described in Chapter 7.

Selection of Remedies

The department may vary from this order of procedures as needed to achieve an effective resolution of a violation. Changes may include the selection of alternative enforcement tools or seek other remedies not listed here (some are described in Chapter 6). In addition, the department may initiate investigations of potential criminal activity at any point in this process. Those investigations and any criminal enforcement actions would proceed independently of civil matters.

Coordination Among Programs

In order for the department to work in an efficient manner with regulated entities, all affected programs will strive to address all violations at a specific facility or operation at the same time, if possible. This includes violations of different media and multiple laws administered by the department. In general, staff are expected to coordinate internally and address all of the violations at a facility or operation in the same time frame so the facility may achieve comprehensive environmental compliance. Actions in one media may be accelerated to avoid delaying the remedy in another media. If however, one program is able to achieve a resolution and compliance at the program level, while another program is unable to reach resolution and recommends referral to the Attorney General’s Office, the case may be split. One program may settle acknowledging to the party responsible that another program will pursue elevated enforcement action.

Before communicating with regulated parties by phone or mail, department enforcement staff should find out if staff from other parts of the department are currently communicating with that party to address violations. If so, staff will share information and documentation about the violations in order that communications with the regulated party contain all necessary information from the department. This coordination is to be done even if the CC&P process has not been completed in one area of regulatory jurisdiction. In that way, the communication will provide opportunity for the regulated party to resolve the full range of violations. In such instances, one program will take the lead and provide one point of contact for the various compliance matters. The lead program is responsible for communicating with all other involved programs on all program-specific technical issues and the proposed resolution before offers or responses to the responsible party are communicated.

Sunshine Requests for Enforcement Files

When requests from outside the department are made for records that relate to an enforcement case, all-inclusive guidance is not possible because there are many factors to consider by department managers, the department’s custodian of records, department counsel or the Attorney General’s Office.   

When a request is made, it is preferable for program enforcement section staff and regional office staff to segregate out or otherwise flag what they believe are closed or confidential records from their normal files.  But all files responsive to any records requests should be provided to records managers and our custodian of records to ensure appropriate items are disclosed or withheld.

Generally, notices of violation, inspection reports, and final settlements (settlement agreements, agreements on consent, consent judgments, etc.) are open records.  Records (including phone log records, notes, emails, and correspondence) among and between department staff and their attorneys related to internal discussions  about the case or department negotiations with the party are usually records kept closed even after the case is resolved.

2.1 Hazardous Waste

The department’s regional offices and the Hazardous Waste Program conduct inspections under the authority of Missouri’s Hazardous Waste Management Law.

The department also has authority to conduct inspections of underground storage tanks under the Missouri Clean Water Law. The Hazardous Waste Program enforces compliance with these laws and their associated regulations, except the U.S. Environmental Protection Agency enforces the polychlorinated biphenyl requirements under the Toxic Substances Control Act.

Violations of the Missouri Hazardous Waste Management Law and Regulations; Sections 260.350 through 260.552, RSMo, and 10 CSR 25, or Missouri Clean Water Law and Regulations; Sections 319.100 through 319.139, RSMo, and 10 CSR 20 will be cause for the department to initiate conference, conciliation and persuasion and an appropriate enforcement response.

The Hazardous Waste Program enforcement process is similar to other programs in the Division of Environmental Quality. The process described below starts at the regional office level and escalating to central office level based on the severity of the violation and actions of the responsible party. For hazardous waste violations, Class II, Class I, high priority and acute are defined below, with specific descriptions of enforcement protocol. For underground storage tanks, significant operational compliance violations are those involving release prevention (spill, overfill and cathodic protection) and release detection. These types of violations are major deviations from the regulations as well as major potentials for harm.

The Hazardous Waste Program’s Compliance and Enforcement Section will keep the appropriate regional office apprised of any follow-up enforcement action taken on referred cases. The section will communicate through telephone conversations, Email messages and copies of correspondence. The Compliance and Enforcement Section will copy all correspondence to the regional office with the exception of confidential information. The inspector will review the correspondence to keep informed of the status of the case.

The Hazardous Waste Program does not implement settlement offers as described in the non-emergency noncompliance section above. Rather, settlement offers are used after compliance is gained and are usually provided to officially close the case, noting the penalty paid, penalty suspended and if there are any contingencies to the settlement.

2.1.1. Regional Office Activities

Prior to initiating enforcement action, the inspector must assess and document the environmental risk of a violation. Knowledge of the risk associated with a violation is needed for the Hazardous Waste Program to decide on appropriate remedial action and an appropriate penalty for the violation. If more information is needed for a complete assessment, the inspector must take the necessary action to obtain this information. In the interim, the inspector will consider and handle the violation based on known environmental or public health impacts.

Types of Hazardous Waste Inspection Violations

During the inspection, the inspector will discuss the findings, encourage correction of the violations and provide compliance assistance such as fact sheets or other guidance. The inspector will provide their business card at the beginning of the inspection.

No Violations

When the regional office conducts a hazardous waste inspection and finds no violations, the inspector will send a letter to the facility within 15 days and send a copy to the program. For small quantity generators the inspector should use the automated inspection report developed by the Hazardous Waste Program to create the letter. No further action from the regional office or facility is required.

Only Class II Violations

Class II violations do not meet the definition of a High Priority violation or Class I violation. They are violations that probably do not endanger public health or the environment. See Operations Manual 3.2.11 for examples. The inspector will not require documentation proving compliance for inspections with only Class II violations.

For a small quantity generator, the inspector will use the automated inspection report developed by the Hazardous Waste Program during the inspection to create the letter, the list of observations, and the list of actions that the generator should take to correct the violations. The inspector will print the list of actions the generator should take to correct the violations. The inspector will provide the list to the facility representative at the end of the inspection. All three items will be sent to the small quantity generator within 15 days of the inspection.

For a large quantity generator, the inspector will provide the generator with a copy of the checklist (by mail if the facility does not have a photocopy machine available). The inspector will send the checklist with a cover letter within 15 days of the inspection.

Class I Violations

Class I violations are deviations from laws, regulations, permit conditions, administrative orders, consent agreements, or court decrees that could result in the hazardous waste generator not sending hazardous waste to an authorized facility, not preventing releases of hazardous waste or constituents, or not performing emergency cleanup operations or other corrective actions for releases. See Operations Manual 3.2.11 for examples. The inspector will require documentation proving compliance for inspections with Class I violations.

For a small quantity generator, the inspector will use the automated inspection report developed by the Hazardous Waste Program during the inspection to create the letter of warning (see Section 4.3 Letter of Warning, Hazardous Waste Program), the list of observations and the list of actions that the generator should take to correct the violations. The inspector will print the list of actions and provide it to the facility representative at the end of the inspection. In the exit conference, the inspector will tell the facility representative that if the Class I violations continue for more than 30 days it will result in issuance of a notice of violation. All three items will be sent to the small quantity generator within 15 days of the inspection.

For a large quantity generator, the inspector will provide the generator with a copy of the checklist (by mail if the facility does not have a photocopy machine available). The checklist will include enough detail to support enforcement action, including legal action. In the exit conference, the inspector will tell the facility representative that if the Class I violations continue for more than 30 days it will result in issuance of a notice of violation. The inspector will send the checklist with a letter of warning within 15 days of the inspection. The letter of warning will include direction for correcting each violation.
The letter of warning will require a response within 30 days from the inspection. The inspector will evaluate the facility’s response to the letter of warning. If the response documents a return to compliance, the inspector will send a return-to-compliance letter to the facility. No further action is warranted.

For those facilities that have not returned to compliance or adequately responded, the inspector will call the facility representative who is responsible for compliance. The inspector will ask the facility representative if he or she received the letter of warning, tell the facility representative that a notice of violation will be issued because of inadequate response and will ask if the facility representative has any questions about the content of the letter of warning. The inspector will issue a notice of violation, thus referring the case to the Hazardous Waste Program.

Acute or High Priority Violations

Acute violations are imminently or immediately harmful to human health or the environment. High priority violations cause actual exposure or a substantial likelihood of exposure to hazardous waste or hazardous constituents. See Operations Manual 3.2.11 for examples. Both types of violations are major deviations from the regulations. If the facility has acute or high priority violations, the inspector will immediately determine any actions needed to protect human health and the environment and encourage quick correction of the violations. Upon issuance of a notice of violation, the Hazardous Waste Program will take the lead in follow-up activities, including enforcement actions.

For a small quantity generator, the inspector will use the automated inspection report developed by the Hazardous Waste Program during the inspection to create the notice of violation (see Section 5.3), the list of observations, the list of actions that the generator should take to correct the violations and the letter to convey these documents. The inspector will print the list of actions and provide it to the facility representative at the end of the inspection. In the exit conference, the inspector will tell the facility representative that he or she will discuss the violations with the Hazardous Waste Enforcement Unit chief to verify their findings and a notice of violation is likely to be issued. The notice of violation should not be handed out during the inspection. For Acute violations, the notice of violation, the list of observations, the list of actions that the generator should take to correct the violations and the letter items will be sent to the small quantity generator immediately. For high priority violations, these documents will be sent to the small quantity generator within 15 days of the inspection.

For a large quantity generator, the inspector will provide the generator with a copy of the checklist (by mail if the facility does not have a photocopy machine available). The checklist will include enough detail to support enforcement action, including legal action. In the exit conference, the inspector will tell the facility representative that he or she will discuss the violations with the Hazardous Waste Enforcement Unit chief to verify their findings and a notice of violation is likely to be issued. For acute violations, the notice of violation, the list of observations, the list of actions that the generator should take to correct the violations and the letter items will be sent to the large quantity generator immediately. For high priority violations, these documents will be sent to the large quantity generator within 15 days of the inspection. The inspector will provide copies of the documents to the Hazardous Waste Program.

If acute violations are found during environmental assistance visits, the inspector will inform the facility
that a full-scale compliance inspection is starting and will follow the directions above.

Hazardous Waste Program Activities

The Hazardous Waste Program’s Compliance and Enforcement Section enforces laws and regulations pertaining to hazardous waste, underground storage tanks and polychlorinated biphenyls.

Hazardous waste enforcement procedures begin when a notice of violation is issued, and at that point, the files are held confidential until the case is reved. The Hazardous Waste Program’s Compliance and Enforcement Section will notify the appropriate regional office and the program’s file room manager so the files may be closed.

The case managers will check with the remaining environmental programs to see if violations of their regulations warrant further action. Staff will document telephone contacts with facility representatives through telephone logs, memos or Email messages, which are placed in the facility file. Hazardous waste case managers will send a copy to the appropriate regional office. Case managers will document telephone calls, correspondence and other actions in the appropriate databases.

Enforcement of the Hazardous Waste Management laws and regulations will proceed according to the diagram on the following page.

When a facility is referred, the Compliance and Enforcement Section will contact the facility by telephone and in writing. During the telephone call, the case manager will identify and speak to the appropriate facility contact. The case manager will ask the facility representative if he or she received the notice of violation, if the facility representative has any questions about the content of the notice of violation, what actions the facility has taken to correct the violations and when the violations will be corrected. The case manager will also tell the facility representative that correspondence will follow.

The Compliance and Enforcement Section letter will reiterate the uncorrected violations, ask for demonstration that the violations have been resolved and note that the facility must respond within 30 days. After the facility provides a response, the case managers will review for accuracy and completeness before resolving the violations. If the facility has resolved all issues, a return-to-compliance letter will be sent noting penalty expectations. The Compliance and Enforcement Section will then pursue a penalty. Please see Penalty Steps.

For unresolved violations, the case manager will send a second letter with a notice of violation. The facility has 15 days to respond to the notice of violation. If the facility responds and has resolved all issues, the case manager will send a return-to-compliance letter noting penalty expectations. See Penalty Steps on the next page. For unresolved violations, calculate the penalty and follow Section 7.3 Referral to the Attorney General’s Office, Hazardous Waste Program.

Acute Violations - Under Section 260.420, RSMo., the department director may directly refer such emergencies to the Attorney General’s Office. Because of the emergency nature, all action relating to such referrals should concentrate on helping the Attorney General’s Office take action to stop the emergency. Pertinent information should be presented and prioritized on that basis. When a facility is referred, the case manager will immediately contact the facility by telephone. During the telephone call, the case manager will identify and speak to the appropriate facility contact. The case manager will ask the facility representative if he or she received the notice of violation, if the facility representative has any questions about the content of the notice of violation, what actions the facility has taken to correct the violations and when the violations will be corrected. The case manager will also tell the facility representative that correspondence will follow. The case manager should document the phone call with a follow-up letter then proceed with referral to the Attorney General’s Office.

The following flow chart depicts the normal process of hazardous waste inspection and followup.

Hazardous Waste Inspection and Followup Flow Chart
Flow Chart for Hazardous Waste Inspection and Followup

Authority for implementation of the program is provided under the Missouri Safe Drinking Water Law (Sections 640.100 - 640.140, RSMo) and the Missouri Safe Drinking Water Regulations (10 CSR 60-1.010 through 10 CSR 60-16.030).

2.2 Drinking Water - Public Drinking Water Branch

The mission of the Public Drinking Water Branch is to ensure that all public water systems provide safe and adequate drinking water to the public. The primary goals of the branch are:

Authority for implementation of the program is provided under the Missouri Safe Drinking Water Law (Sections 640.100 - 640.140, RSMo) and the Missouri Safe Drinking Water Regulations (10 CSR 60-1.010 through 10 CSR 60-16.030).

Inspections of Public Water Systems

Regional office employees inspect public water systems on a priority basis following the annual public drinking water work plans. The purpose of the inspection is to improve water systems through elimination of unsatisfactory sanitary features, secure improvement of operation and maintenance, determine the compliance status of the systems, notify and resolve compliance problems; and promote a greater local interest in the water system and the production and distribution of safe drinking water to the public.

Statutory authority for conducting inspections is provided in Section 640.100.4, RSMo, which states, “The department of natural resources shall establish and maintain an inventory of public water supplies and conduct sanitary surveys of public water systems. Such record shall be available for public inspection during regular business hours.” and in Section 640.120.5, RSMo, which states, “Duly authorized representatives of the department of natural resources, with prior notice, may enter at reasonable times upon any private or public property to inspect and investigate conditions relating to the construction, maintenance and operation of a public water supply, and take samples for analysis. If the director or his representative has probable cause to believe that a public water supply system is located on any premises, he shall be granted entry for the purpose of inspection and sample collection. Should entry be denied, a suitably restricted search warrant, upon a showing of probable cause in writing and upon oath, shall be issued by any judge or associate circuit judge having jurisdiction to any representative of the department to enable him to make such inspections.”

Detailed policy and procedures for conducting public water system inspections and sanitary surveys are provided in the department’s Operations Manual.

Enforcement

The Public Drinking Water Branch has authority to use enforcement referrals and litigation against public water system violators if CC&P and other provisions fail. The Public Drinking Water Branch, however, prefers to return violators to compliance through CC&P, bilateral compliance agreements, or negotiated settlements before considering more formal enforcement actions. The exception is Acute violations that pose an immediate threat to the health of consumers that may require issuance of boil water orders or emergency abatement orders to avert the threat to public health and ensure timely compliance.

Detailed enforcement policy and procedures are provided throughout this document.

2.3 Water Pollution Control Branch

Inspections and Investigations

The purpose of each inspection or investigation is to determine the characteristics of facility operations or site conditions, assess the status of compliance with the applicable operating permit, Clean Water Commission regulations and the Missouri Clean Water Law, verify the accuracy of information submitted to the Department by the permittee, and the adequacy of sampling and monitoring conducted by the permittee.  Other purposes include the gathering of evidence to support enforcement actions, obtaining information to support the permitting process and assessing compliance with enforcement or court order.

The Water Pollution Control Branch recognizes a variety of situations and facilities, and a comprehensive evaluation is not needed each time staff responds to an event or evaluates a facility or site. In many circumstances, a less comprehensive evaluation of a site or facility will fulfill the “need to know” requirements of the Department and represents an effective and efficient approach to environmental evaluations. Staff may exercise a flexible approach to the environmental evaluation activity.

This flexibility can be described in general considerations related to the overall inspection process and in more specific considerations related to:

• The complexity of the facility or site.
• The information that is needed for decision-making about the compliance status of the facility or site.

General Considerations

The inspector, exercising professional judgment and discretion, needs to make sufficient observations and collect appropriate samples to determine facility or site characteristics and assess compliance status.  An inspector should always be prepared for the situation that may be encountered in the field. This may require prior review of appropriate file and other background materials to the extent information is available and there is time for review.

An inspector should always be prepared to conduct field observations and analyses of water quality and collect effluent and in stream water samples for laboratory analysis.  Prior to the field activity, the inspector should prepare field testing and sampling equipment for the variety of situations that may be encountered, gather needed supplies, forms, containers, and preservatives, etc., and verify the equipment is operating correctly.  A sampling plan should be developed to guide the actual sampling and the sample handling and transport that shall follow Chapter 4 of the Environmental Quality Operations Manual and the Environmental Services Program standard operating procedures.

A critical part of every inspection or investigation is determining effects on environmental quality that result from the discharge or regulated activity.  Every inspection or investigation should include an observation of the surface water receiving the water contaminants. If the receiving stream is visually impacted, the inspector should conduct the appropriate field observations and analyses and collect samples of the discharge, upstream of the discharge and downstream of the discharge.

Evaluation of infiltration and inflow and inspection of sanitary sewer overflows are important components of the overall assessment of compliance at a municipality. The Water Protection Program issued guidance addressing considerations and procedures that relate to sanitary sewer overflows inspections. Sanitary Sewer Overflow inspection guidance and related considerations were transmitted in memoranda dated Feb. 21, 2008 and April 4, 2007. This link is to those documents, and the documents are also available on internal network drives at T:\_Permitting Documents\SSOs.

Following each inspection and investigation the inspector should prepare a report documenting observations made during the inspection.  The degree of complexity and thoroughness of inspection reports should match the nature of the inspection or investigation that was conducted. Refer to the Operations Manual for specific, detailed direction on preparing inspection reports.  All inspection reports should be written in clear, concise language at an appropriate level for the intended audience, which is normally the facility representative. Inspection report writers should avoid the use of numerous acronyms and jargon.

Exit interviews should be conducted following the inspection and should convey findings and any needed actions to the facility representative before the inspector leaves the facility or site, unless the facility representative is not present. The inspection report should be completed and sent to the facility representative within two weeks of the inspection or investigation. If sampling was done as part of the inspection and the report of sample analysis has not been received from the Environmental Services Program, the inspection report should be sent to the facility representative noting that the sample results will be forwarded when available.

Facility or Site Considerations

There are two inspection classes that are keyed to the complexity of the facility or site (e.g., land disturbance or land application) or to the information needed to determine compliance.  All inspections are be entered and tracked in the Missouri Clean Water Information System database using the appropriate Compliance Monitoring Activity type and Workplan Category.

Class I Inspection

A Class I inspection is a brief on-site or at-location visual observation of one or more components of a facility or characteristics of a controlled site.  A Class I may become a Class II inspection if violations are found that justify a comprehensive review.  The objectives of a Class I inspection include the following:

Contact with the facility representative during the inspection or prior to the inspection is encouraged if the person is available at the site.  A Class I inspection includes:

Class II Inspection

A Class II inspection is a thorough evaluation and assessment of an environmental control facility or activity, an on-site observation of facility components or site characteristics and immediate off-site effects. As a cross-reference, Class II inspections for Water Pollution Control Branch are the type of inspections described in Chapter 3.4 of the Operations Manual.

A Class II inspection is the normal, routine inspection performed at municipal and non-municipal facilities and may include inspection wastewater collection system components and review of sanitary sewer overflow reports submitted to the Department compared to reports maintained by the facility owner. It is the routine type of inspection for agricultural, commercial and industrial facilities that may be complex in terms of waste streams, wastewater treatment processes, production processes and multiple environmental media requirements, or have comprehensive inspection requirements specified in statutory or regulatory provisions.

A Class II inspection has three major components: pre-inspection, at and on-site activities, and post-inspection.  Details on the three major components are located in Chapter 3.4 of the Operations manual.   Class II inspections will include but not be limited to the following:

Water Pollution Emergency

Water pollution complaint investigations and field responses for water pollution incidents or emergencies, including spills and fish kills are considered Water Pollution Emergencies and should be coded as such in MoCWIS.   Contact with the facility representative during the inspection or prior to the inspection is encouraged if the person is available at the site. A water pollution emergency inspection may include but not be limited to the following:

Immediate contact with the owner and/or operator is required if there is a bypass, sanitary sewer overflow or a violation represents and imminent, immediate or a serious threat to public health or the environment.  Department staff must contact the owner and/or operator immediately to inform them of the violation and require immediate action to correct the violation.

Compliance Monitoring/Wastewater Sampling at Wastewater Treatment Facilities

Compliance Monitoring is a specialized sample collection and evaluation activity completed by staff of the Environmental Services Program or Regional staff with proper equipment and training. This sample collection activity can be a standalone sample collection effort, or included as an accompaniment to Class II inspection.  A report of sample analysis results is required and may include a description of sampling procedures and observations.  These reports are to be prepared and distributed in accord with the Quality Assurance Project Plan for the sampling event.  The report of sample results will be provided to the facility representative with the inspection report if results are timely enough to achieve that, and separately if not.  Follow-up actions may be necessary if the analysis result in a violation that warrants a Letter of Warning or Notice of Violation as described in Chapters 4.6 and 5.6 of the Compliance Manual.

2.A Forms and Appendices

Return to Compliance Letter (Word® Document)
Enforcement Policy of the Wellhead Protection Section, Water Protection Program (Word® Document)
Enforcement Tools of the Wellhead Protection Section, Water Protection Program (Word® Document)

  End Chapter 2 Next Chapter