United States
Environmental Protection
Agency
Enforcement and
Compliance Assurance
(2221-A)
EPA 300-B-00-004
March 2000
Protocol for Conducting
Environmental Compliance
Audits of Facilities with
PCBs, Asbestos, and
Lead-based Paint
Regulated under TSCA
EPA Office of Compliance
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Notice
The statements in this document are intended solely as guidance to aid regulated entities in complying with the
regulations. The guidance is not a substitute for reading the regulations and understanding all the requirements as it
applies to your facility. This guidance does not constitute rulemaking by the U.S. EPA and may not be relied on to
create a substantive or procedural right or benefit enforceable, at law or in equity, by any person. U.S. EPA may
decide to update this guide without public notice to reflect changes in U.S. EPA's approach to implementing the
regulations or to clarify and update text. To determine whether U.S. EPA has revised this document and/or to obtain
copies, contact U.S. EPA's Center for Environmental Publications at 1(800) 490-9198. Additional information
regarding U.S. EPA Hotlines and further assistance pertaining to the specific rules discussed in this document can be
found at the end of the Key Compliance Requirements located in Section II. The contents of this document reflect
regulations issued as of March 13. 2000.
Acknowledgments
U.S. EPA would like to gratefully acknowledge the support of the U.S. Army Corps of Engineers Construction
Engineering Research Laboratory (CERL) for providing suggestions for overall format of this document. The Office
of Compliance at U.S. EPA gratefully acknowledges the contribution of U.S. EPA's program offices and the U.S.
EPA's Office of Counsel in reviewing and providing comment on this document.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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Table of Contents
Notice inside cover
Acknowledgment inside cover
Section 1: Introduction
Background ii
Who Should Use These Protocols? ii
U.S. EPA's Public Policies that Support Environmental Auditing iii
How To Use the Protocols iv
The Relationship of Auditing to Environmental Management Systems vi
Section II: Audit Protocol
Applicability 1
Review of Federal Legislation 1
State and Local Regulations 2
Key Compliance Requirements 2
Key Terms and Definitions for Asbestos 5
Key Terms and Definitions for Lead-based Paint 12
Key Terms and Definitions for PCBs 18
Typical Records to Review 33
Typical Physical Features to Inspect 33
List of Acronyms and Abbreviations 33
Index for Checklist Users 37
Checklist 39
Appendices
Appendix A: Fob/chlorinated Biphenyl (PCB) Label Format Al
Appendix B: Dielectric Fluid Trend Names and Manufacturers Bl
Appendix C: Serf-implementing On-site Cleanup and Disposal of Fob/chlorinated Biphenyl (PCB) Remediation
Waste: Cleanup Levels and Site Cleanup Cl
Appendix D: Polychlorinated Biphenyl (PCB) Wastes Disposal Guidance Dl
Appendix E: Respiratory Protection for Asbestos Fibers El
Appendix F: User Satisfaction Questionnaire and Comment Form F
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Section I
Introduction
Background
The Environmental Protection Agency (U.S. EPA) is responsible for ensuring that businesses and organizations
comply with federal laws that protect the public health and the environment. U.S. EPA's Office of Enforcement and
Compliance Assurance (OECA) has begun combining traditional enforcement activities with more innovative
compliance approaches including the provision of compliance assistance to the general public. U.S. EPA's Office of
Compliance Assistance was established in 1994 to focus on compliance assistance-related activities. U.S. EPA is
also encouraging the development of serf-assessment programs at individual facilities. Voluntary audit programs
play an important role in helping companies meet their obligation to comply with environmental requirements. Such
assessments can be a critical link, not only to improved compliance, but also to improvements in other aspects of an
organization's performance. For example, environmental audits may identify pollution prevention opportunities that
can substantially reduce an organization's operating costs. Environmental audits can also serve as an important
diagnostic tool in evaluating a facility's overall environmental management system or EMS.
U.S. EPA is developing 13 multi-media Environmental Audit Protocols to assist and encourage businesses and
organizations to perform environmental audits and disclose violations in accordance with OECA's Audit and Small
Business Policies. The audit protocols are also intended to promote consistency among regulated entities when
conducting environmental audits and to ensure that audits are conducted in a thorough and comprehensive manner.
The protocols provide detailed regulatory checklists that can be customized to meet specific needs under the
following primary environmental management areas:
• Generation of RCRA
Hazardous Waste
Treatment Storage and
Disposal of RCRA
Hazardous Waste
• EPCRA
• CERCLA
• Safe Drinking Water Act
• Managing Nonhazardous
Solid Waste
Clean Air Act
TSCA
Pesticides Management
(FIFRA)
• RCRA Regulated Storage
Tanks
• Clean Water Act
• Universal Waste and Used Oil
• Management of Toxic
Substances (e.g., PCBs,
lead-based paint,
and asbestos)
Who Should Use These Protocols?
U.S. EPA has developed these audit protocols to provide regulated entities with specific guidance in periodically
evaluating their compliance with federal environmental requirements. The specific application of this particular
protocol, in terms of which media or functional area it applies to, is described in Section II under "Applicability".
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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The Audit Protocols are designed for use by individuals who are already familiar with the federal regulations but
require an updated comprehensive regulatory checklist to conduct environmental compliance audits at regulated
facilities. Typically, compliance audits are performed by persons who are not necessarily media or legal experts but
instead possess a working knowledge of the regulations and a familiarity with the operations and practices of the
facility to be audited. These two basic skills are a prerequisite for adequately identifying areas at the facility
subject to environmental regulations and potential regulatory violations that subtract from the organizations
environmental performance. With these basic skills, audits can be successfully conducted by persons with various
educational backgrounds (e.g., engineers, scientists, lawyers, business owners or operators). These protocols are not
intended to be a substitute for the regulations nor are they intended to be instructional to an audience seeking a
primer on the requirements under Title 40, however, they are designed to be sufficiently detailed to support the
auditor's efforts.
The term "Protocol" has evolved over the years as a term of art among the professional practices of auditing and
refers to the actual working document used by auditors to evaluate facility conditions against a given set of criteria
(in this case the federal regulations). Therefore these documents describe "what" to audit a facility for rather than
"how" to conduct an audit. To optimize the effective use of these documents, you should become familiar with basic
environmental auditing practices. For more guidance on how to conduct environmental audits, U.S. EPA refers
interested parties to two well known organizations: The Environmental Auditing Roundtable (EAR) and the Institute
for Environmental Auditing (IEA).
Environmental Health and Safety Auditing Roundtable The Institute for Environmental Auditing
35888 Mildred Avenue Box 23686
North Ridgeville, Ohio 44039 L'Enfant Plaza Station
(216) 327-6605 Washington, DC 20026-3686
U.S. EPA's Public Policies that Support Environmental Auditing
In 1986, in an effort to encourage the use of environmental auditing, U.S. EPA published its "Environmental
Auditing Policy Statement" (see 51 FR 25004). The 1986 audit policy states that "it is U.S. EPA policy to
encourage the use of environmental auditing by regulated industries to help achieve and maintain compliance with
environmental laws and regulation, as well as to help identify and correct unregulated environmental hazards." In
addition, U.S. EPA defined environmental auditing as "a systematic, documented, periodic, and objective review of
facility operations and practices related to meeting environmental requirements." The policy also identified several
objectives for environmental audits:
• verifying compliance with environmental requirements,
• evaluating the effectiveness of in-place environmental management systems, and
• assessing risks from regulated and unregulated materials and practices.
In 1995, U.S. EPA published "Incentives for Serf-Policing: Discovery, Disclosure, Correction and Prevention of
Violations" which both reaffirmed and expanded its 1986 audit policy. The 1995 audit policy offers major
incentives for entities to discover, disclose and correct environmental violations. Under the 1995 policy, U.S. EPA
will not seek gravity-based penalties or recommend criminal charges be brought for violations that are discovered
through an "environmental audit" (as defined in the 1986 audit policy) or a management system reflecting "due
diligence" and that are promptly disclosed and corrected, provided that other important safeguards are met. These
safeguards protect health and the environment by precluding policy relief for violations that cause serious
environmental harm or may have presented an imminent and substantial endangerment.
This document is intended solely for guidance. No statutory or regulatory iii
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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In 1996, U.S. EPA issued its "Final Policy on Compliance Incentives for Small Businesses". The policy is intended
to promote environmental compliance among small businesses by providing them with special incentives to
participate in U.S. EPA compliance assistance programs. Similar to the U.S. EPA Audit Policies, the Small Business
Policy also encourages small businesses to conduct environmental audits, and then to promptly disclose and correct
violations.
More information on U.S. EPA's Small Business and Audit/Serf-Disclosure Policies are available by contacting U.S.
EPA's Enforcement and Compliance Docket and Information Center at (202) 564-2614 or visiting the U.S. EPA web
site at: http://es.EPA.gov/oeca/polguid/polguid l.html
How to Use The Protocols
Each protocol provides guidance on key requirements, defines regulatory terms, and gives an overview of the federal
laws affecting a particular environmental management area. They also include a checklist containing detailed
procedures for conducting a review of facility conditions. The audit protocols are designed to support a wide range
of environmental auditing needs; therefore several of the protocols in this set or sections of an individual protocol
may not be applicable to a particular facility. To provide greater flexibility, each audit protocol can be obtained
electronically from the U.S. EPA Website (www.EPA.gov/oeca/ccsmd/profile.html). The U.S. EPA Website offers
the protocols in a word processing format which allows the user to custom-tailor the checklists to more specific
environmental aspects associated with the facility to be audited.
The protocols are not intended to be an exhaustive set of procedures; rather they are meant to inform the auditor,
about the degree and quality of evaluation essential to a thorough environmental audit. U.S. EPA is aware that other
audit approaches may also provide an effective means of identifying and assessing facility environmental status and
in developing corrective actions.
It is important to understand that there can be significant overlap within the realm of the federal regulations. For
example, the Department of Transportation (DOT) has established regulations governing the transportation of
hazardous materials. Similarly, the Occupational Safety and Health Administration (OSHA) under the U.S.
Department of Labor has promulgated regulations governing the protection of workers who are exposed to hazardous
chemicals. There can also be significant overlap between federal and state environmental regulations. In fact, state
programs that implement federally mandated programs may contain more stringent requirements that are not
included in these protocols. There can also be multiple state agencies regulating the areas covered in these
protocols. The auditor also should determine which regulatory agency has authority for implementing an
environmental program so that the proper set of regulations is consulted. Prior to conducting the audit, the auditor
should review federal, state and local environmental requirements and expand the protocol, as required, to include
other applicable requirements not included in these documents.
Review of Federal Legislation and Key Compliance Requirements:
These sections are intended to provide only supplementary information or a "thumbnail sketch" of the regulations
and statutes. These sections are not intended to function as the main tool of the protocol (this is the purpose of the
checklist). Instead, they serve to remind the auditor of the general thrust of the regulation and to scope out facility
requirements covered by that particular regulation. For example, a brief paragraph describing record keeping and
reporting requirements and the associated subpart citations will identify and remind the auditor of a specific area of
focus at the facility. This allows the auditor to plan the audit properly and to identify key areas and documents
requiring review and analysis.
This document is intended solely for guidance. No statutory or regulatory iv
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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State and Local Regulations:
Each U.S. EPA Audit Protocol contains a section alerting the auditor to typical issues addressed in state and local
regulations concerning a given topic area (e.g., RCRA and used oil). From a practical standpoint, U.S. EPA cannot
present individual state and local requirements in the protocols. However, this section does provide general
guidance to the auditor regarding the division of statutory authority between U.S. EPA and the states over a specific
media. This section also describes circumstances where states and local governments may enact more stringent
requirements that go beyond the federal requirements.
U.S. EPA cannot overemphasize how important it is for the auditor to take under consideration the impact of state
and local regulations on facility compliance. U.S. EPA has delegated various levels of authority to a majority of the
states for most of the federal regulatory programs including enforcement. For example, most facilities regulated
under RCRA, and/or CWA have been issued permits written by the states to ensure compliance with federal and
state regulations. In turn, many states may have delegated various levels of authority to local jurisdictions.
Similarly, local governments (e.g., counties, townships) may issue permits for air emissions from the facility.
Therefore, auditors are advised to review local and state regulations in addition to the federal regulations in order to
perform a comprehensive audit.
Key Terms and Definitions:
This section of the protocol identifies terms of art used in the regulations and the checklists that are listed in the
"Definitions" sections of the Code of Federal Regulations (CFR). It is important to note that not all_definitions from
the CFR may be contained in this section, however; those definitions which are commonly repeated in the checklists
or are otherwise critical to an audit process are included. Wherever possible, we have attempted to list these
definitions as they are written in the CFR and not to interpret their meaning outside of the regulations.
The Checklists:
The checklists delineate what should be evaluated during an audit. The left column states either a requirement
mandated by regulation or a good management practice that exceeds the requirements of the federal regulations.
The right column gives instructions to help conduct the evaluation. These instructions are performance objectives
that should be accomplished by the auditor. Some of the performance objectives may be simple documentation
checks that take only a few minutes; others may require a time-intensive physical inspection of a facility. The
checklists contained in these protocols are (and must be) sufficiently detailed to identify any area of the company or
organization that would potentially receive a notice of violation if compliance is not achieved. For this reason, the
checklists often get to a level of detail such that a specific paragraph of the subpart (e.g., 40 CFR262.34(a)(l)(i))
contained in the CFR is identified for verification by the auditor. The checklists contain the following components:
• "Regulatory Requirement or Management Practice Column"
The "Regulatory Requirement or Management Practice Column" states either a requirement mandated by
regulation or a good management practice that exceeds the requirements of the federal regulations. The
regulatory citation is given in parentheses after the stated requirement. Good management practices are
distinguished from regulatory requirements in the checklist by the acronym (MP) and are printed in italics.
• "Reviewer Checks" Column:
The items under the "Reviewer Checks:" column identify requirements that must be verified to accomplish
the auditor's performance objectives. (The key to successful compliance auditing is to verify and document
site observations and other data.) The checklists follow very closely with the text in the CFR in order to
provide the service they are intended to fulfill (i.e., to be used for compliance auditing). However, they are
not a direct recitation of the CFR. Instead they are organized into more of a functional arrangement (e.g.,
recordkeeping and reporting requirements vs. technical controls) to accommodate an auditor's likely
sequence of review during the site visit. Wherever possible, the statements or items under the "Reviewer
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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Checks" column, will follow the same sequence or order of the citations listed at the end of the statement in
the "Regulatory Requirement" column.
• "NOTE:" Statements
"Note:" statements contained in the checklists serve several purposes. They usually are distinguished from
"Verify" statements to alert the auditor to exceptions or conditions that may affect requirements or to
referenced standards that are not part of Title 40 (e.g., American Society for Testing and Materials (ASTM)
standards). They also may be used to identify options that the regulatory agency may choose in interacting
with the facility (e.g., permit reviews) or options the facility may employ to comply with a given
requirement.
• Checklist Numbering System:
The checklists also have a unique numbering system that allows the protocols to be more easily updated by
topic area (e.g., RCRA Small Quantity Generator). Each topic area in turn is divided into control breaks to
allow the protocol to be divided and assigned to different teams during the audit. This is why blank pages
may appear in the middle of the checklists. Because of these control breaks, there is intentional repetition
of text (particularly "Note" Statements) under the "Reviewer Checks" column to prevent oversight of key
items by the audit team members who may be using only a portion of the checklist for their assigned area.
Environmental regulations are continually changing both at the federal and state level. For this reason, it is
important for environmental auditors to determine if any new regulations have been issued since the publication of
each protocol document and, if so, amend the checklists to reflect the new regulations. Auditors may become aware
of new federal regulations through periodic review of Federal Register notices as well as public information bulletins
from trade associations and other compliance assistance providers. In addition, U.S. EPA offers information on new
regulations, policies and compliance incentives through several Agency Websites. Each protocol provides specific
information regarding U.S. EPA program office websites and hotlines that can be accessed for regulatory and policy
updates.
U.S. EPA will periodically update these audit protocols to ensure their accuracy and quality. Future updates of the
protocols will reflect not only the changes in federal regulations but also public opinion regarding the usefulness of
these documents. Accordingly, the Agency would like to obtain feedback from the public regarding the format, style
and general approach used for the audit protocols. The last appendix in each protocol document contains a user
satisfaction survey and comment form. This form is to be used by U.S. EPA to measure the success of this tool and
future needs for regulatory checklists and auditing materials.
The Relationship of Auditing to Environmental Management Systems
An environmental auditing program is an integral part of any organization's environmental management system
(EMS). Audit findings generated from the use of these protocols can be used as a basis to implement, upgrade, or
benchmark environmental management systems. Regular environmental auditing can be the key element to a high
quality environmental management program and will function best when an organization identifies the "root causes"
of each audit finding. Root causes are the primary factors that lead to noncompliance events. For example a
violation of a facility's wastewater discharge permit may be traced back to breakdowns in management oversight,
information exchange, or inadequate evaluations by untrained facility personnel.
As shown in Figure 1, a typical approach to auditing involves three basic steps: conducting the audit, identifying
problems (audit findings), and fixing identified deficiencies. When the audit process is expanded, to identify and
correct root causes to noncompliance, the organization's corrective action part of its EMS becomes more effective.
In the expanded model, audit findings (exceptions) undergo a root cause analysis to identify underlying causes to
noncompliance events. Management actions are then taken to correct the underlying causes behind the audit findings
and improvements are made to the organizations overall EMS before another audit is conducted on the facility.
Expanding the audit process allows the organization to successfully correct problems, sustain compliance, and
This document is intended solely for guidance. No statutory or regulatory vi
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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prevent discovery of the same findings again during subsequent audits. Furthermore, identifying the root cause of
an audit finding can mean identifying not only the failures that require correction but also successful practices that
promote compliance and prevent violations. In each case a root cause analysis should uncover the failures while
promoting the successes so that an organization can make continual progress toward environmental excellence.
Figure 1 - Expanded Corrective Action Model
Improve
Environmental
Mgmt. System
Effectiveness
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
VII
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This document is intended solely for guidance. No statutory or regulatory viii
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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Section II
Audit Protocols
Applicability
This audit protocol applies to facilities that are subject to the federal regulations governing the following types of
activities:
1. the use, disposal, cleanup and storage of polychlorinated biphenyls (PCBs);
2. the removal of asbestos from buildings and its ultimate disposal, and/or;
3. notifications, training and work practice standards for lead-based paint
Not all checklist items will be applicable to a particular facility. Guidance is provided on the checklists to direct the
auditor to the regulations typically applicable to the types of activities identified above. In addition to the
regulations contained in this document, auditors should also be aware of other related requirements under the federal
Clean Air Act; 40 CFR 60, Subpart M: National Emission Standards for Asbestos. Audit guidance and technical
information regarding the federal Clean Air Act is provided in a separate series of documents titled Protocol for
Conducting Environmental Audits under the Clean Air Act (Volumes I and II) and is expected to be available in the
year 2000.
There are numerous environmental regulatory requirements administered by federal, state and local government.
Each level of government may have a major impact on areas at the facility that are subject to the audit. Therefore
auditors are advised to review federal, state, and local regulations in order to perform a comprehensive audit.
Review of Federal Legislation
The Toxic Substance Control Act (TSCA)
TSCA enacted in 1976 by Congress (Public Law 94-469), granted U.S. EPA authority to create a regulatory
framework to collect data on chemicals in order to evaluate, assess, mitigate, and control risks which may be posed
by their manufacture, processing, and use. TSCA provides a variety of control methods to prevent chemicals from
posing unreasonable risk. The term "chemical substance" is broadly defined under TSCA to include organic and
inorganic chemicals, with several exclusions. Namely, pesticides, tobacco and tobacco products, nuclear material
and byproducts, food, food additives, drugs, cosmetics, or devices (as defined in Section 201 of the Federal Food,
Drug, and Cosmetic Act) are not subject to TSCA requirements.
Under TSCA Section 6, U. S. EPA can ban the manufacture of distribution in commerce, limit the use, require
labeling, or place other restrictions on chemicals that pose unreasonable risks. Among the chemicals U.S. EPA
regulates under Section 6 authority are asbestos, chlorofluorocarbons (CFCs), lead, and polychlorinated biphenyls
(PCBs).
Facilities that manufacture, process, distribute, use, dispose, or store PCBs must comply with regulations established
in 40 CFR 761. These regulations identify storage, disposal, spill cleanup, labeling, recordkeeping, and reporting
requirements.
Title IV of TSCA governs lead exposure reduction. Regulations regarding the control of lead- based paint in
residential housing are established under 40 CFR 745. Regulated activities under 40 CFR 745 which are included in
this protocol include: notification of lead-based paint hazards, training requirements, and work practice standards.
In 1986, the Asbestos Hazard Emergency Response Act (AHERA) was signed into law and added as Title II to
TSCA. This act last amended in October 1994, 15 USC 2641-2656, and 20 USC 4014, et. al., is the federal
legislation governing the control and abatement of asbestos hazards in school buildings, and the training of asbestos
abatement professionals. The purpose of this act (15 USC 2641(b)) is:
This document is intended solely for guidance. No statutory or regulatory 1
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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1. to provide for the establishment of federal regulations which require inspection for asbestos-containing material
and implementation of appropriate response actions with respect to asbestos-containing material in the nation's
schools in a safe and complete manner;
2. to mandate safe and complete periodic reinspection of school buildings following response actions, where
appropriate;
3. to require the U.S. Environmental Protection Agency to conduct a study to determine the extent of the danger to
human health posed by asbestos in public and commercial buildings and the means to respond to any such
danger.
The federal regulations regarding the control and abatement of asbestos hazards in school buildings including
requirements for asbestos removal contractors when conducting abatement removal projects are established under 40
CFR763.
State/Local Regulations
Section 18 of TSCA (15 USC 2617), under most circumstances (the only notable exception being paragraph (2) of
Section 18), allows states and smaller governmental entities to establish or continue to enforce their own regulations
governing chemical substances, mixtures or articles containing a chemical substance or mixture. However, TSCA is
different from other federal statutes and programs (e.g., RCRA) where states are authorized by EPA to operate a
regulatory program in lieu of the federal program after the state demonstrates equivalence. The TSCA PCB program
is not delegated to the states. In accordance with Section 18 of TSCA, states may develop their own PCB
regulations providing they are consistent with the Section 18 preemption provisions.
In some cases, states regulations have been developed which regulate PCBs more stringently than the federal
program. State PCB regulations may provide additional regulatory requirements beyond the federal program to
address a specific concern or activity sensitive in that state.
Many state and local governments have enacted standards more stringent than the federal requirements concerning
certification of asbestos workers, and disposal of asbestos waste. Similarly, states and local jurisdictions may also
impose more stringent requirements for the use and removal of lead-based paint. Prior to conducting the audit,
auditors should consult the appropriate state and local agencies and determine in what ways the applicable state and
local programs and requirements differ from the requirements under TSCA.
Key Compliance Requirements
General Management of Polychlorinated Biphenyls (PCBs)
No one can manufacture PCBs for use in the U.S. or manufacture for export from the U.S without an exemption.
Additionally, no one can process or distribute in commerce in the U.S. or for export without an exemption.
Personnel disposing of PCB-Articles have to be protected from dermal exposure or inhalation of PCBs. Generators,
commercial storers, transporters, and disposers of PCB are required to have a U.S. EPA identification number (40
CFR 761.20, 761.60(b), 761.202 through 761.205).
PCB Equipment Marking
The following equipment is required to be marked indicating that they contain PCBs (40 CFR 761.40 and 761.45):
a) PCB Containers
b) PCB Transformers (500 ppm or >)
c) PCB Large High-Voltage Capacitors
d) equipment containing a PCB Transformer (500 ppm or >) or a PCB Large High-Voltage Capacitor
e) PCB Large Low-Voltage Capacitors at the time of removal from service
f) electric motors using PCB coolants
g) hydraulic systems using PCB hydraulic fluid
h) heat transfer systems (other than PCB Transformers) using PCBs
i) PCB Article Containers containing any of the above
This document is intended solely for guidance. No statutory or regulatory 2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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j) each storage area used to store PCBs and PCB Items for disposal
k) transport vehicles loaded with PCB Containers that contain more than 45 kg (99.4 Ib) of liquid
PCBs with PCBs at concentrations >/= 50 ppm or with one or more PCB Transformers
1) vault doors, machinery room doors, fences, hallways, or means of access, other than a manhole or grate cover, to
a PCB Transformer (500 ppm or >).
m) voltage regulators with a PCB concentration of >/= 500 ppm (individually)
n) vault doors, machinery room doors, fences, hallways, or means of access to voltage regulators with a PCB
concentration >/= 500 ppm.
Records for PCBs
Each owner or operator of a facility, other than a commercial storer or a disposer of PCB waste, that uses or stores
at any time at least 45 kg (99.4 Ib) of PCBs contained in PCB containers, or one or more PCB Transformers, or 50 or
more PCB Large, High-, or Low-Voltage Capacitors must develop and maintain at the facility all annual records and
a written annual document log of the disposition of PCBs and PCB items. The written annual document log must be
prepared by July 1 of each calendar year, covering the previous year. PCB chemical waste landfills, disposers,
commercial storers, incinerators, high efficiency boilers, storage and disposal facilities, importers, and manufacturers
are all required to maintain records specific to their operations. Generators are required to maintain manifests and
certificates of disposal (COD) for three years. (40 CFR 761.180)
PCB Transformers
PCB Transformers with PCBs of 500 ppm or >, that are in use or in storage for reuse, must not pose an exposure risk
to food and feed and are subject to registration requirements. Railroad transformers must not contain dielectric fluid
with > 1000 ppm PCB and must be serviced according to specific requirements. Combustible materials, including,
but not limited to, paints, solvents, plastics, paper, and sawn wood, must not be stored by a PCB Transformer. PCB
transformers of concentrations of 500 ppm or > in use in or near commercial buildings are subject to certain
requirements. PCB transformers are required to be properly serviced, and inspections must be performed once every
3 mo for all in-service transformers. If the transformer is found to be leaking, it must be repaired or replaced to
eliminate the source of the leak. When a PCB transformer is involved in a fire, the incident must be reported
immediately to the National Response Center (NRC). Mineral oil transformers which are tested and found to be
contaminated with 500 ppm PCBs or > must meet more stringent requirements. (40 CFR 761.30(a), 761.30(b),
761.120(a) through 761.120(c), 761.120(d)(2), and 761.125).
PCB Spills
Spills of 10 Ib or more of PCBs of concentrations of 50 ppm must be reported to the U.S. EPA regional office.
Spills of 1 Ib or more by weight of PCBs must be cleaned up and reported to the NRC. The criteria for cleanup is
based on whether the spill is of high or low concentration of PCBs (40 CFR 761.120 and 761.125).
PCB Items
The use of PCBs in electromagnetic switches, voltage regulators, capacitors, heat transfer and hydraulic systems,
circuit breakers, reclosers, and cable is allowed if applicable restrictions are met and precautions taken (40 CFR
761.30).
PCB Storage
PCBs and PCB Items at concentrations > 50 ppm that are to be stored before disposal must be stored in a facility that
meets structural and operational requirements. Storage prior to disposal is not to exceed 1 yr. Nonleaking and
structurally undamaged PCB Large, High-Voltage Capacitors and PCB-Contaminated Electric Equipment that have
not been drained of freeflowing dielectric fluid may be stored on pallets next to a storage area that complies with the
storage area requirements if they are checked weekly. Containers used for the storage of PCBs must comply with
the shipping container specification of the Department of Transportation (DOT). Specific requirements must be met
for the following: storage of PCB articles for re-use, storage of PCB household waste, storage of PCBs and PCB
items in areas not in compliance with the storage area requirements, and storage of bulk PCB remediation waste or
PCB bulk product (40 CFR 761.35 and 761.65).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
PCB Transportation
A generator who offers a PCB Waste for transport to commercial offsite storage or offsite disposal must prepare a
manifest. If the generator does not receive a signed copy of the manifest within 35 days from the date the waste was
accepted by the initial transporter, the generator must immediately contact the transporter and/or owner or operator
of the designated facility to determine the status of the PCB Waste (40 CFR 761.207 through 761.210 and 761.215).
PCB Disposal
PCB Liquids containing concentrations > 500 ppm must be disposed of in a U.S. EPA-approved PCB incinerator.
Transformers containing PCBs in concentrations >/= 500 ppm must be disposed of either in an U.S. EPA-approved
incinerator or a chemical waste landfill after free liquids are removed and other required procedures are followed.
PCB Capacitors must be disposed of in either a solid waste landfill (nonleaking PCB Small Capacitor only) or an
approved incinerator. For each shipment of manifested PCB Waste that a disposal facility accepts, the owner or
operator of the disposal facility must prepare a certificate of disposal (COD). PCB-contaminated fluids of
concentrations >/= 50 ppm, but less than 500 ppm, are required to be disposed of in a U.S. EPA-approved
incinerator, or chemical waste landfill, or a high efficiency boiler. PCB hydraulic machines containing PCBs at
concentrations >/= 50 ppm may be disposed of as municipal solid waste when drained. PCB-Contaminated
Electrical Equipment, except capacitors, shall be disposed of by draining off the free-flowing liquid and then
disposing of the drained equipment in: 1) a municipal solid waste unit (except thermal treatment units), 2) an
industrial furnace, or 3) any other approved disposal facility. PCB Articles and Containers shall be disposed of in a
U.S. EPA-approved incinerator or chemical waste landfill if all free-flowing liquids have been removed. Scrap metal
associated with PCB-contaminated articles may be burned in a scrap metal recovery oven or smelter under 40 CFR
761.72. The following disposal methods are prohibited for PCB disposal: 1) open burning, 2) processing of PCBs
into non-liquid forms to circumvent high temperature incineration requirements, and 3) discharging of PCBs into a
water treatment works or navigable waters (unless PCB concentration is equal to or less than 3 ppb, or is in
accordance with a PCB discharge limit set in a permit). Land disposal of PCBs must be in accordance with specific
parameters. When disposing of PCB bulk product using performance-based disposal, PCB bulk product may be
disposed of in an approved incinerator or chemical waste landfill, a permitted hazardous waste landfill, or through
any other approved alternative method. Otherwise, PCB bulk product must be disposed of in a permitted municipal
or non-municipal, non-hazardous waste landfill. PCB household waste must be disposed of in a facility permitted to
manage municipal or industrial solid waste, or in any other facility given approval to dispose of PCB bulk product
waste (40 CFR 761.50, 761.60, 761.62, 761.63 and 761.218).
Asbestos in Schools
School buildings are required to be inspected a minimum of every 3 yr for asbestos. An asbestos management plan
is required and response action must be done in a timely manner. If there is friable asbestos in the school, there must
be an O&M and repair program that limits the asbestos from becoming airborne and risking exposure to building
personnel. Warning labels will be attached immediately adjacent to any friable and nonfriable asbestos-containing
building material (ACBM) and suspected ACBM assumed to be asbestos-containing material (ACM). Staff at the
school must receive training on the hazards involved (40 CFR 763, Subpart E).
Asbestos Abatement Projects
These standards apply to asbestos abatement projects done by employers of state and local government employees
not covered by the Asbestos Standard of the Occupational Safety and Health Administration (OSHA), 29 CFR
1926.1101 (NOTE: The OSHA construction standard was moved in 1994 from 29 CFR 1926.58 to 29 CFR
1926.1101), an Asbestos Standard adopted by a state as part of a state plan approved by OSHA under section 18 of
the Occupational Safety and Health Act, or a state asbestos regulation which U.S. EPA has determined to be
comparable to or more stringent than 40 CFR 763. The standards address worker protection, removal practices,
monitoring, and training (40 CFR 763.120 and 763.121).
Asbestos Prohibitions
Manufacturers, processors, importers, and distributors are no longer allowed to deal with the following asbestos
containing materials: flooring felt, new uses of asbestos, commercial paper, corrugated paper, rollboard, and
specialty paper (40 CFR 763.160 through 763.179).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Disclosure of Lead-Based Paint (LBP) and/or LBP Hazards
When leasing or selling target housing, the facility is required to disclose any knowledge it has of the presence of
known LBP and/or LBP hazards (40 CFR 745.100). Work done related to LBP activities must be done by certified
individuals and firms according to approved work practices. In addition, a pamphlet with lead hazard information
must be provided (40 CFR 745.100 through 745.119).
Notification of LBP Hazards Prior to Renovation
Renovators are required to notify the owners and occupants of target housing prior to renovation of any LBP hazards
(40 CFR 745.81 through 745.86).
LBP Training Requirements
All LBP activities are required to be performed by certified individuals. Certification is available for inspectors, risk
assessors, supervisors, project designers, and abatement workers. Training programs must be accredited (40 CFR
745.220 through 40 CFR 745.226).
LBP Work Practice Standards
Inspections, lead hazard screening, risk assessments, and LBP abatement is required to be done according to
specified methodologies. These methodologies address reporting requirements, sampling methods, plans, and
cleanup methodologies (40 CFR 745.227).
For further information regarding the TSCA regulations, contact U.S. EPA's TSCA Assistance Information Service
(TAIS)/TSCA Hotline at (202) 554-1404 from 8:30 a.m. (EST), Monday through Friday. In addition, clarifications
and updates of the PCB rules may be found at the U.S. EPA website http://www.epa.gov/pcb . The PCB website
contains a question and answer section on the latest PCB regulations as well as other information that may be useful
to members of the regulated community.
This TSCA Hotline, operating under contract to U.S. EPA is staffed by professionals trained to provide technical
assistance and information about programs under TSCA, including the Asbestos School Hazard Abatement Act
(ASHAA), the Asbestos Hazard Emergency Response Act (AHERA), the Lead Exposure Reduction Act, and some
pollution prevention activities including the 33/50 Program. The Hotline stocks TSCA related documents, including
Federal Register notices, reports, and information brochures and booklets. These are available free of charge.
Anyone with questions about these activities may contact the Hotline for information and assistance.
Key Terms and Definitions for Asbestos
Accessible
When referring to ACM means that the material is subject to disturbance by school building occupants or custodial
or maintenance personnel in the course of their normal activities (40 CFR 763.83).
Accredited or Accreditation
When referring to a person or laboratory means that such person or laboratory is accredited in accordance with
section 206 of Title II of the Act (40 CFR 763.83).
Act
The Toxic Substance Control Act (15 U.S.C. 2601, et. seq.) (40 CFR 763.163).
Air Erosion
The passage of air over friable ACBM which may result in the release of asbestos fibers (40 CFR 763.83).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Asbestos
The asbestiform varieties of chrysotile (serpentine); crocidolite (riebeckite); amosite (cummingtonite-granerite);
tremolite; anthophyllite, and actinolite (40 CFR 763.121(b) and 763.163).
Asbestos Abatement Project
Any activity involving the removal, enclosure, or encapsulation of friable asbestos material (40 CFR 763.121(b)).
Asbestos-Containing Material (ACM)
When referring to school buildings means any material or product which contains more than 1 percent asbestos (40
CFR 763.83).
Asbestos-Containing Building Material (ACBM)
Surfacing ACM, thermal system insulation ACM, or miscellaneous ACM that is found in or on interior structural
members or other parts of a school building (40 CFR 763.83).
Asbestos-Containing Product
Any product to which asbestos is deliberately added in any concentration or which contains more than 1.0 percent
asbestos by weight or area (40 CFR 763.163).
Asbestos Debris
Pieces of ACBM that can be identified by color, texture, or composition, or means dust, if the dust is determined by
an accredited inspector to be ACM (40 CFR 763.83).
Authorized Person
Any person authorized by the employer and required by work duties to be present in regulated areas (40 CFR
763.121(b)).
Clean Room
An uncontaminated room having facilities for the storage of employees' street clothing and uncontaminated materials
and equipment (40 CFR 763.121(b)).
Commercial Paper
An asbestos-containing product which is made of paper intended for use as general insulation paper or muffler paper.
Major applications of commercial papers are insulation against fire, heat transfer, and corrosion in circumstances that
require a thin, but durable, barrier (40 CFR 763.163).
Competent Person
One who is capable of identifying existing asbestos hazards in the workplace and who has the authority to take
prompt corrective measures to eliminate them. The duties of the competent person include at least the following:
Establishing the negative-pressure enclosure, ensuring its integrity, and controlling entry to and exit from the
enclosure; supervising any employee exposure monitoring required by this subpart, ensuring that all employees
working within such an enclosure wear the appropriate personal protective equipment, are trained in the use of
appropriate methods of exposure control, and use the hygiene facilities and decontamination procedures specified in
Subpart G of 40 CFR 763; and ensuring that engineering controls in use are in proper operating condition and are
functioning properly (40 CFR 763.121(b)).
Corrugated Paper
An asbestos-containing product made of corrugated paper, which is often cemented to a flat backing, may be
laminated with foils or other materials, and has a corrugated surface. Major applications of asbestos corrugated paper
include: thermal insulation for pipe coverings; block insulation; panel insulation in elevators; insulation in
appliances; and insulation in low-pressure steam, hot water, and process lines (40 CFR 763.163).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Customs Territory of the United States
The 50 states, Puerto Rico, and the District of Columbia (40 CFR 763.163).
Damaged Friable Miscellaneous ACM
Friable miscellaneous ACM which has deteriorated or sustained physical injury such that the internal structure
(cohesion) of the material is inadequate or, if applicable, which has delaminated such that its bond to the substrate
(adhesion) is inadequate or which for any other reason lacks fiber cohesion or adhesion qualities. Such damage or
deterioration may be illustrated by the separation of ACM into layers; separation of ACM from the substrate; flaking,
blistering, or crumbling of the ACM surface; water damage; significant or repeated water stains, scrapes, gouges,
mars or other signs of physical injury on the ACM. Asbestos debris originating from the ACBM in question may also
indicate damage (40 CFR 763.83).
Damaged Friable Surfacing ACM
Friable surfacing ACM which has deteriorated or sustained physical injury such that the internal structure (cohesion)
of the material is inadequate or which has delaminated such that its bond to the substrate (adhesion) is inadequate, or
which, for any other reason, lacks fiber cohesion or adhesion qualities. Such damage or deterioration may be
illustrated by the separation of ACM into layers; separation of ACM from the substrate; flaking, blistering, or
crumbling of the ACM surface; water damage; significant or repeated water stains, scrapes, gouges, mars or other
signs of physical injury on the ACM. Asbestos debris originating from the ACBM in question may also indicate
damage (40 CFR 763.83).
Damaged or Significantly Damaged Thermal System Insulation ACM
Thermal system insulation ACM on pipes, boilers, tanks, ducts, and other thermal system insulation equipment
where the insulation has lost its structural integrity, or its covering, in whole or in part, is crushed, water-stained,
gouged, punctured, missing, or not intact such that it is not able to contain fibers. Damage may be further illustrated
by occasional punctures, gouges or other signs of physical injury to ACM; occasional water damage on the
protective coverings/jackets; or exposed ACM ends or joints. Asbestos debris originating from the ACBM in
question may also indicate damage (40 CFR 763.83).
Decontamination Area
An enclosed area adjacent and connected to the regulated area and consisting of an equipment room, shower area,
and clean room, which is used for the decontamination of workers, materials, and equipment contaminated with
asbestos (40 CFR 763.121(b)).
Demolition
The wrecking or taking out of any load-supporting structural member and any related razing, removing, or stripping
of asbestos products (40 CFR 763.121(b)).
Distribute in Commerce
Has the same meaning as in section 3 of TSCA, but the term does not include actions taken with respect to an
asbestos-containing product (to sell, resale, deliver, or hold) in connection with the end use of the product by persons
who are users (persons who use the product for its intended purpose after it is manufactured or processed). The term
also does not include distribution by manufacturers, importers, and processors, and other persons solely for purposes
of disposal of an asbestos-containing product (40 CFR 763.163).
Emergency Project
A project involving the removal, enclosure, or encapsulation of friable asbestos-containing material that was not
planned but results from a sudden unexpected event (40 CFR 763.121(b)).
Employee Exposure
That exposure to airborne asbestos would occur if the employee were not using respiratory protective equipment (40
CFR763.121(b)).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Employer
The public department, agency, or entity which hires an employee. The term includes, but is not limited to, any state,
county, city, or other local governmental entity which operates or administers schools, a department of health or
human services, a library, a police department, a fire department, or similar public service agencies or offices (40
CFR763.121(b)).
Encapsulation When Referring to Asbestos
The treatment of ACBM with a material that surrounds or embeds asbestos fibers in an adhesive matrix to prevent
the release of fibers, as the encapsulant creates a membrane over the surface (bridging encapsulant) or penetrates the
material and binds its components together (penetrating encapsulant) (40 CFR 763.83).
Enclosure When Referring to Asbestos
An airtight, impermeable, permanent barrier around ACBM to prevent the release of asbestos fibers into the air (40
CFR 763.83).
Equipment Room (change room)
A contaminated room located within the decontamination area that is supplied with impermeable bags or containers
forthe disposal of contaminated protective clothing and equipment (40 CFR 763.121(b)).
Fiber
A paniculate form of asbestos, 5 micrometers or longer, with a length-to-diameter ratio of at least 3 to 1 (40 CFR
763.121(b)).
Fiber Release Episode
Any uncontrolled or unintentional disturbance of ACBM resulting invisible emission (40 CFR 763.83).
Flooring Felt
An asbestos-containing product which is made of paper felt intended for use as an underlayer for floor coverings, or
to be bonded to the underside of vinyl sheet flooring (40 CFR 763.163).
Friable
When referring to material in a school building means that the material, when dry, may be crumbled, pulverized, or
reduced to powder by hand pressure, and includes previously nonfriable material after such previously nonfriable
material becomes damaged to the extent that when dry it may be crumbled, pulverized, or reduced to powder by hand
pressure (40 CFR 763.83).
Friable Asbestos Material
Any material containing more than 1 percent asbestos by weight which, when dry, may be crumbled, pulverized, or
reduced to powder by hand pressure (40 CFR 763.121(b)).
Functional Space
A room, group of rooms, or homogeneous area (including crawl spaces or the space between a dropped ceiling and
the floor or roof deck above), such as classroom(s), a cafeteria, gymnasium, hallway(s), designated by a person
accredited to prepare management plans, design abatement projects, or conduct response actions (40 CFR 763.83).
High-Efficiency Particulate Air (HEPA) Filter
A filtering system capable of trapping and retaining at least 99.97 percent of all monodispersed particles 0.3|im in
diameter or larger (40 CFR 763.83 and 763.121(b)).
Homogeneous Area
An area of surfacing material, thermal system insulation material, or miscellaneous material that is uniform in color
and texture (40 CFR 763.83).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Import
To bring into the customs territory of the United States, except for: (1) Shipment through the customs territory of the
United States for export without any use, processing, or disposal within the customs territory of the United States; or
(2) entering the customs territory of the United States as a component of a product during normal personal or
business activities involving use of the product (40 CFR 763.163).
Importer
Anyone who imports a chemical substance, including a chemical substance as part of a mixture or article, into the
customs territory of the United States. Importer includes the person primarily liable for the payment of any duties on
the merchandise or an authorized agent acting on his or her behalf. The term includes as appropriate (40 CFR
763.163):
1. The consignee.
2. The importer of record.
3. The actual owner if an actual owner's declaration and superseding bond has been filed in accordance with 19
CFR 141.20.
4. The transferee, if the right to withdraw merchandise in a bonded warehouse has been transferred in accordance
with Subpart C of 19 CFR 144.
Local Education Agency (TSCA Section 202(7)):
1. Any local educational agency as defined in section 8801 of Title 20.
2. The owner of any nonpublic, nonprofit elementary, or secondary school building.
The governing authority of any school operated under the defense dependent's education system provided for under
the Defense Dependents' Education Act of 1978 (20 U.S.C. 921, et seq.).
Manufacture
To produce or manufacture in the United States (40 CFR 763.163).
Miscellaneous ACM
Miscellaneous material that is ACM in a school building (40 CFR 763.83).
Miscellaneous Material
Interior building material on structural components, structural members or fixtures, such as floor and ceiling tiles,
and does not include surfacing material or thermal system insulation (40 CFR 763.83).
New Uses of Asbestos
Commercial uses of asbestos not identified in 40 CFR 763.165 the manufacture, importation or processing of which
would be initiated for the first time after August 25, 1989 (40 CFR 763.163).
Nonfriable
Material in a school building which when dry may not be crumbled, pulverized, or reduced to powder by hand
pressure (40 CFR 763.83).
Operations and Maintenance Program
A program of work practices to maintain friable ACBM in good condition, ensure clean up of asbestos fibers
previously released, and prevent further release by minimizing and controlling friable ACBM disturbance or damage
(40 CFR 763.83).
Person
Any natural person, firm, company, corporation, joint-venture, partnership, sole proprietorship, association, or any
other business entity; any state or political subdivision thereof, or any municipality; any interstate body and any
department, agency, or instrumentality of the federal government (40 CFR 763.163).
Potential Damage
Circumstances in which (40 CFR 763.83):
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
1. Friable ACBM is in an area regularly used by building occupants, including maintenance personnel, in the
course of their normal activities.
2. There are indications that there is a reasonable likelihood that the material or its covering will become damaged,
deteriorated, or delaminated due to factors such as changes in building use, changes in operations and
maintenance practices, changes in occupancy, or recurrent damage.
Potential Significant Damage
Circumstances in which (40 CFR 763.83):
1. Friable ACBM is in an area regularly used by building occupants, including maintenance personnel, in the
course of their normal activities.
2. There are indications that there is a reasonable likelihood that the material or its covering will become
significantly damaged, deteriorated, or delaminated due to factors such as changes in building use, changes in
operations and maintenance practices, changes in occupancy, or recurrent damage.
3. The material is subject to major or continuing disturbance, due to factors including, but not limited to,
accessibility or, under certain circumstances, vibration or air erosion.
Preventive Measures
Actions taken to reduce disturbance of ACBM or otherwise eliminate the reasonable likelihood of the material's
becoming damaged or significantly damaged (40 CFR 763.83).
Regulated Area
an area established by the employer to demarcate areas where airborne concentrations of asbestos exceed or can
reasonably be expected to exceed the permissible exposure limit. The regulated area may take the form of: (1) A
temporary enclosure, or (2) an area demarcated in any manner that minimizes the number of employees exposed to
asbestos (40 CFR 763.121(b)).
Removal
The taking out or the stripping of substantially all ACBM from a damaged area, a functional space, or a
homogeneous area in a school building (40 CFR 763.83).
Removal
The taking out or stripping of asbestos or materials containing asbestos (40 CFR 763.121(b)).
Renovation
The modifying of any existing structure, or portion thereof, where exposure to airborne asbestos may result (40 CFR
763.121(b)).
Repair
Returning damaged ACBM to an undamaged condition or to an intact state so as to prevent fiber release (40 CFR
763.83).
Repair
Overhauling, rebuilding, reconstructing, or reconditioning of structures or substrates where asbestos is present (40
CFR763.121(b)).
Response Action
A method, including removal, encapsulation, enclosure, repair, operations and maintenance, that protects human
health and the environment from friable ACBM (40 CFR 763.83).
Rollboard
An asbestos-containing product made of paper that is produced in a continuous sheet, is flexible, and is rolled to
achieve a desired thickness. Asbestos rollboard consists of two sheets of asbestos paper laminated together. Major
applications of this product include: office partitioning; garage paneling; linings for stoves and electric switch boxes;
and fire-proofing agent for security boxes, safes, and files (40 CFR 763.163).
This document is intended solely for guidance. No statutory or regulatory 10
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Routine Maintenance Area
An area, such as a boiler room or mechanical room, that is not normally frequented by students and in which
maintenance employees or contract workers regularly conduct maintenance activities (40 CFR 763.83).
School
Any elementary or secondary school as defined in section 8801 of Title 20 (TSCA Section 202(12)).
School Building (40 CFR 763.83):
1. Any structure suitable for use as a classroom, including a school facility such as a laboratory, library, school
eating facility, or facility used for the preparation of food.
2. Any gymnasium or other facility which is specially designed for athletic or recreational activities for an
academic course in physical education.
3. Any other facility used for the instruction or housing of students or for the administration of educational or
research programs.
4. Any maintenance, storage, or utility facility, including any hallway, essential to the operation of any facility
described in this definition of "school building" under paragraphs (a), (b), or (c).
5. Any portico or covered exterior hallway or walkway.
6. Any exterior portion of a mechanical system used to condition interior space.
Significantly Damaged Friable Miscellaneous ACM
Damaged friable miscellaneous ACM where the damage is extensive and severe (40 CFR 763.83).
Significantly Damaged Friable Surfacing ACM
Damaged friable surfacing ACM in a functional space where the damage is extensive and severe (40 CFR 763.83).
Specialty Paper
An asbestos-containing product that is made of paper intended for use as filters for beverages or other fluids or as
paper fill for cooling towers. Cooling tower fill consists of asbestos paper that is used as a cooling agent for liquids
from industrial processes and air conditioning systems (40 CFR 763.163).
State
A state, the District of Columbia, the Commonwealth of Puerto Rico, Guam, American Samoa, the Northern
Marianas, the Trust Territory of the Pacific Islands, and the Virgin Islands (40 CFR 763.83).
Stock-on-Hand
The products which are in the possession, direction, or control of a person and are intended for distribution in
commerce (40 CFR 763.163).
Surfacing ACM
Surfacing material that is ACM (40 CFR 763.83).
Surfacing Material
Material in a school building that is sprayed-on, troweled-on, or otherwise applied to surfaces, such as acoustical
plaster on ceilings and fireproofmg materials on structural members, or other materials on surfaces for acoustical,
fireproofmg, or other purposes (40 CFR 763.83).
Thermal System Insulation
Material in a school building applied to pipes, fittings, boilers, breeching, tanks, ducts, or other interior structural
components to prevent heat loss or gain, or water condensation, or for other purposes (40 CFR 763.83).
Thermal System Insulation ACM
Thermal system insulation that is ACM (40 CFR 763.83).
Vibration
The periodic motion of friable ACBM which may result in the release of asbestos fibers (40 CFR 763.83).
This document is intended solely for guidance. No statutory or regulatory 11
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Key Terms and Definitions for Lead-Based Paint (LBP)
Abatement
Any measure or set of measures designed to permanently eliminate LBP hazards. Abatement includes, but is not
limited to (40 CFR 745.223):
1. the removal of LBP and lead-contaminated dust, the permanent enclosure or encapsulation of LBP, the
replacement of lead painted surface or fixtures, and the removal or covering of lead contaminated soil;
2. all preparation, cleanup, disposal, and post-abatement clearance testing activities associated with such measures;
3. specifically, abatement includes, but is not limited to:
a) projects for which there is a written contract or other documentation, which provides that an individual or
firm will be conducting activities in or to a residential dwelling or child- occupied facilities that:
i) shall result in the permanent elimination of LBP hazards; or
ii) are designed to permanently eliminate LBP hazards;
b) projects resulting in the permanent elimination of LBP hazards, conducted by firms or individuals
who are certified, unless such projects are covered by paragraph 4 of this definition;
c) projects resulting in the permanent elimination of LBP hazards, conducted by firms or individuals
who, through their company name or promotional literature, represent, advertising, or hold themselves out
to be in the business of performing LBP activities as identified and defined in this regulation, unless such
projects are covered by paragraph 4 of this definition;
d) projects resulting in the permanent elimination of LBP hazards that are conducted in response to state or
local abatement orders;
4. abatement does not include renovation, remodeling, landscaping or other activities, when such activities are not
designed to permanently eliminate LBP hazards, but, instead, are designed to repair, restore, or remodel a given
structure or dwelling even though these activities may incidentally result in a reduction or elimination of LBP
hazards. Furthermore, abatement does not include interim controls, operations, and maintenance activities, or
other measures and activities designed to temporarily, but not permanently, reduce LBP hazards.
Accredited Training Program
A training program that has been accredited by U.S. EPA pursuant to 40 CFR 745.225 to provide training for
individuals engaged in lead-based paint activities (40 CFR 745.223).
Adequate Quality Control
A plan or design which ensures the authenticity, integrity, and accuracy of samples, including dust, soil, and paint
chip or paint film samples. Adequate quality control also includes provisions for representative sampling (40 CFR
745.223).
Agent
Any party who enters into a contract with a seller or lessor, including any party who enters into a contract with a
representative of the seller or lessor, for the purpose of selling or leasing target housing. This term does not apply to
purchasers or any purchaser's representative who receives all compensation from the purchaser (40 CFR 745.103).
Available
In the possession of or reasonably obtainable by the seller or lessor at the time of the disclosure (40 CFR 745.103).
Certified Abatement Worker
An individual who has been trained by an accredited training program, as defined by this section, and certified by
U.S. EPA pursuant to 40 CFR 745.226 to perform abatements (40 CFR 745.223).
Certified Firm
A company, partnership, corporation, sole proprietorship, association, or other business entity that performs lead-
based paint activities to which U.S. EPA has issued a certificate of approval pursuant to 40 CFR 745.226(f) (40 CFR
745.223).
This document is intended solely for guidance. No statutory or regulatory 12
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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Certified Inspector
An individual who has been trained by an accredited training program, as defined by this section, and certified by
U.S. EPA pursuant to 40 CFR 745.226 to conduct inspections. A certified inspector also samples for the presence of
lead in dust and soil for the purposes of abatement clearance testing (40 CFR 745.223).
Certified Project Designer
An individual who has been trained by an accredited training program, as defined by this section, and certified by
U.S. EPA pursuant to 40 CFR 745.226 to prepare abatement project designs, occupant protection plans, and
abatement reports (40 CFR 745.223).
Certified Risk Assessor
An individual who has been trained by an accredited training program, as defined by this section, and certified by
U.S. EPA pursuant to 40 CFR 745.226 to conduct risk assessments. A risk assessor also samples for the presence of
lead in dust and soil for the purposes of abatement clearance testing (40 CFR 745.223).
Certified Supervisor
An individual who has been trained by an accredited training program, as defined by this section, and certified by
U.S. EPA pursuant to 40 CFR 745.226 to supervise and conduct abatements, and to prepare occupant protection
plans and abatement reports (40 CFR 745.223).
Child-Occupied Facility
A building or a portion of a building constructed prior to 1978, visited regularly by the same child, 6 yr of age or
under, on at least 2 different days within any week (Sunday through Saturday period), provided that each day's visit
lasts at least 3 h and the combined weekly visit lasts at least 6 h, and the combined annual visits last at least 60 h.
Child-occupied facilities may include, but are not limited to, daycare centers, preschools, and kindergarten
classrooms (40 CFR 745.223).
Clearance Levels
Values that indicate the maximum amount of lead permitted in dust on a surface following completion of an
abatement activity (40 CFR 745.223).
Common Area
A portion of a building generally accessible to all residents/users including, but not limited to, hallways, stairways,
laundry and recreational rooms, playgrounds, community centers, and boundary fences (40 CFR 745.103).
Component or Building Component
Specific design or structural elements or fixtures of a building, residential dwelling, or child-occupied facility that
are distinguished from each other by form, function, and location. These include, but are not limited to, interior
components such as: ceilings, crown molding, walls, chair rails, doors, door trim, floors, fireplaces, radiators and
other heating units, shelves, shelf supports, stair treads, stair risers, stair stringers, newel posts, railing caps,
balustrades, windows and trim (including sashes, window heads, jambs, sills or stools and troughs), built in cabinets,
columns, beams, bathroom vanities, counter tops, and air conditioners; and exterior components such as: painted
roofing, chimneys, flashing, gutters and downspouts, ceilings, soffits, fascias, rake boards, cornerboards, bulkheads,
doors and door trim, fences, floors, joists, lattice work, railings and railing caps, siding, handrails, stair risers and
treads, stair stringers, columns, balustrades, window sills or stools and troughs, casings, sashes and wells, and air
conditioners (40 CFR 745.223).
Containment
A process to protect workers and the environment by controlling exposures to the lead-contaminated dust and debris
created during an abatement (40 CFR 745.223).
Contract for the Purchase and Sale of Residential Real Property
Any contract or agreement in which one party agrees to purchase an interest in real property on which there is
situated one or more residential dwellings used or occupied, or intended to be used or occupied, in whole or in part,
as the home or residence of one or more persons (40 CFR 745.103).
This document is intended solely for guidance. No statutory or regulatory 13
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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Course Agenda
An outline of the key topics to be covered during a training course, including the time allotted to teach each topic.
(40 CFR 745.223).
Course Test
An evaluation of the overall effectiveness of the training which shall test the trainees' knowledge and retention of the
topics covered during the course (40 CFR 745.223).
Course Test Blue Print
Written documentation identifying the proportion of course test questions devoted to each major topic in the course
curriculum (40 CFR 745.223).
Deteriorated Paint
Paint that is cracking, flaking, chipping, peeling, or otherwise separating from the substrate of a building component
(40 CFR 745.223).
Discipline
One of the specific types or categories of lead-based paint activities identified in this subpart for which individuals
may receive training from accredited programs and become certified by U.S. EPA. For example, "abatement
worker" is a discipline (40 CFR 745.223).
Distinct Painting History
The application history, as indicated by its visual appearance or a record of application, over time, of paint or other
surface coatings to a component or room (40 CFR 745.223).
Documented Methodologies
Methods or protocols used to sample for the presence of lead in paint, dust, and soil (40 CFR 745.223).
Elevated Blood Lead Level (EBL)
An excessive absorption of lead that is a confirmed concentration of lead in whole blood of 20 micrograms/deciliter
(dl) for a single venous test or of 15 -19 micrograms/dl in two consecutive tests taken 3 to 4 mo apart (40 CFR
745.223).
Emergency Renovation Operations
Renovation activities, such as operations necessitated by non-routine failures of equipment, that were not planned but
result from a sudden, unexpected event that, if not immediately attended to, presents a safety or public health hazard,
or threatens equipment and/or property with significant damage (40 CFR 745.83).
Encapsulant
A substance that forms a barrier between lead-based paint and the environment using a liquid-applied coating (with
or without reinforcement materials) or an adhesively bonded covering material (40 CFR 745.223).
Encapsulation
The application of an encapsulant (40 CFR 745.223).
Enclosure
The use of rigid, durable construction materials that are mechanically fastened to the substrate in order to act as a
barrier between lead-based paint and the environment (40 CFR 745.223).
Evaluation
A risk assessment and/or inspection (40 CFR 745.103).
This document is intended solely for guidance. No statutory or regulatory 14
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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Foreclosure
Any of the various methods, statutory or otherwise, known in different jurisdictions, of enforcing payment of a debt,
by the taking and selling of real property (40 CFR 745.103).
Guest Instructor
An individual designated by the training program manager or principal instructor to provide instruction specific to
the lecture, hands-on activities, or work practice components of a course (40 CFR 745.223).
Hands-On Skills Assessment
An evaluation which tests the trainees' ability to satisfactorily perform the work practices and procedures identified
in 40 CFR 745.225(d), as well as any other skill taught in a training course (40 CFR 745.223).
Hazardous Waste
Any waste as defined in 40 CFR 261.3 (40 CFR 745.223).
Housing for the Elderly
Retirement communities or similar types of housing reserved for households composed of one or more persons 62
years of age or more at the time of initial occupancy (40 CFR 745.103).
HUD
The U.S. Department of Housing and Urban Development (40 CFR 745.103).
Inspection
For LBP this means (40 CFR 745.103):
1. a surface by surface investigation to determine the presence of LBP as provided in section 302(c) of the Lead
Based Paint Poisoning and Prevention Act (42 USC 4822)
2. the provision of a report explaining the results of the investigation.
Interim Certification
The status of an individual who has successfully completed the appropriate training course in a discipline from an
accredited training program, as defined by this section, but has not yet received formal certification in that discipline
from U.S. EPA pursuant to 40 CFR 745.226. Interim certifications expire 6 months after the completion of the
training course, and is equivalent to a certificate for the 6-month period (40 CFR 745.223).
Interim Controls
A set of measures designed to temporarily reduce human exposure or likely exposure to lead-based paint hazards,
including specialized cleaning, repairs, maintenance, painting, temporary containment, ongoing monitoring of lead-
based paint hazards or potential hazards, and the establishment and operation of management and resident education
programs (40 CFR 745.223).
Lead-Based Paint (LBP)
Paint or other surface coatings that contain lead equal to or in excess of 1.0 mg/cm2 or 0.5 percent by weight (40
CFR 745.103 and 40 CFR 745.223).
Lead-Based Paint Activities
In the case of target housing and child-occupied facilities, inspection, risk assessment, and abatement (40 CFR
745.223).
Lead-Based Paint Free Housing
Target housing that has been found to be free of paint or other surface coatings that contain lead equal to or in excess
of 1.0 mg/cm2 or 0.5 percent by weight (40 CFR 745.103).
Lead-Based Paint Hazard
Any condition that causes exposure to lead from lead-contaminated dust, lead-contaminated soil, or lead-
contaminated paint that is deteriorated or present in accessible surfaces, friction surfaces, or impact surfaces that
This document is intended solely for guidance. No statutory or regulatory 15
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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would result in adverse human health effects as identified by the U.S. EPA or authorized regulatory agency pursuant
to TSCA section 403 (40 CFR 745.223).
Lead Contaminated Dust
Surface dust in residential dwellings, or child-occupied facilities that contains an area or mass concentration of lead
at or in excess of levels identified by the U.S. EPA or authorized regulatory agency pursuant to TSCA section 403
(40 CFR 745.223).
Lead Contaminated Soil
Bare soil on residential real property and on the property of a child-occupied facility that contains lead at or in
excess of levels identified by the U.S. EPA or authorized regulatory agency pursuant to TSCA section 403 (40 CFR
745.223).
Lead-Hazard Screen
A limited risk assessment activity that involves limited paint and dust sampling as described in 40 CFR 745.227(c)
(40 CFR 745.223).
Lessee
Any entity that enters into agreement to lease, rent, or sublease target housing, including but not limited to
individuals, partnerships, corporations, trusts, government agencies, housing agencies, Indian tribes, and nonprofit
organizations (40 CFR 745.103).
Lessor
Any entity that offers target housing for lease, rent, or sublease, including but not limited to individuals, partnerships,
corporations, trusts, government agencies, housing agencies, Indian tribes, and nonprofit organizations (40 CFR
745.103).
Living Area
Any area of a residential dwelling used by one or more children age 6 and under, including, but not limited to, living
rooms, kitchen areas, dens, play rooms, and children's bedrooms (40 CFR 745.223).
Multi-Family Dwelling
A structure that contains more than one separate residential dwelling unit, which is used or occupied, or intended to
be used or occupied, in whole or in part as the home or residence of one or more persons (40 CFR 745.223).
Multi-family Housing
A housing property consisting of more than four dwelling units (40 CFR 745.83).
Owner
Any entity that has legal title to target housing, including but not limited to individuals, partnerships, corporations,
trusts, government agencies, housing agencies, Indian tribes, and nonprofit organizations except where a mortgage
holds legal title to property serving as collateral for a mortgage loan, in which case the owner would be the
mortgagor (40 CFR 745.103).
Paint in Poor Condition
More than 10 ft2 of deteriorated paint or exterior components with large surface areas; or more than 2 ft2 of
deteriorated paint on interior components with large surface areas (e.g., walls, ceilings, floors, doors); or more than
10 percent of the total surface area of the component is deteriorated on interior or exterior components with small
surface areas (window sills, baseboards, soffits, trim) (40 CFR 745.223).
Pamphlet
The U.S. EPA pamphlet developed under section 406(a) of TSCA for use in complying with this and other
rulemakings under Title IV of TSCA and the Residential Lead-Based Paint Hazard Reduction Act, or any state or
tribal pamphlet approved by U.S. EPA pursuant to 40 CFR 745.326 that is developed for the same purpose. This
This document is intended solely for guidance. No statutory or regulatory 16
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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includes reproductions of the pamphlet when copied in full and without revision or deletion of material from the
pamphlet (except for the addition or revision of state or local sources of information) (40 CFR 745.83).
Permanently Covered Soil
Soil which has been separated from human contact by the placement of a barrier consisting of solid, relatively
impermeable materials, such as pavement or concrete. Grass, mulch, and other landscaping materials are not
considered permanent covering (40 CFR 745.223).
Person
Any natural or judicial person including any individual, corporation, partnership, or association; any Indian tribe,
state, or political subdivision thereof; any interstate body; and any department, agency, or instrumentality of the
federal government (40 CFR 745.83).
Principal Instructor
The individual who has the primary responsibility for organizing and teaching a particular course (40 CFR 745.223).
Purchaser
An entity that enters into an agreement to purchase an interest in target housing, including but not limited to
individuals, partnerships, corporations, trusts, government agencies, housing agencies, Indian tribes, and nonprofit
organizations (40 CFR 745.103).
Recognized Laboratory
An environmental laboratory recognized by U.S. EPA pursuant to TSCA section 405(b) as being capable of
performing an analysis for lead compounds in paint, soil, and dust (40 CFR 745.223).
Reduction
Measures designed to reduce or eliminate human exposure to lead-based paint hazards through methods including
interim controls and abatement (40 CFR 745.103).
Renovation
The modification of any existing structure, or portion thereof, that results in the disturbance of painted surfaces,
unless that activity is performed as part of an abatement as defined by 40 CFR 745.223. The term renovation
includes (but is not limited to): the removal or modification of painted surfaces or painted components (e.g.,
modification of painted doors, surface preparation activity (such as sanding, scraping, or other such activities that
may generate paint dust)); the removal of large structures (e.g., walls, ceiling, large surface replastering, major re-
plumbing); and window replacement (40 CFR 745.83).
Renovator
Any person who performs for compensation a renovation. (40 CFR 745.83).
Residential Dwelling
For LBP this means (40 CFR 745.103):
1. a single family dwelling, including attached structures such as porches and stoops, or
2. a single family dwelling unit in a structure that contains more than one separate residential dwelling unit, and in
which such unit is used or occupied, in whole or in part, as the residence of one or more persons.
Risk Assessment
An onsite investigation to determine and report the existence, nature, severity, and location of LBP hazards in
residential dwellings, including (40 CFR 745.103):
1. information gathering regarding the age and history of the housing and occupancy by children under the age of 6
2. visual inspections
3. limited wipe sampling or other environmental sampling techniques
4. other activity as may be appropriate
5. provision of a report explaining the results of the investigation.
This document is intended solely for guidance. No statutory or regulatory 17
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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Secretary
The Secretary of Housing and Urban Development (40 CFR745.103).
Seller
Any entity that transfers legal title to target housing, in whole or in part, in return for consideration, including but not
limited to individuals, partnerships, corporations, trusts, government agencies, housing agencies, Indian Tribes, and
nonprofit organizations. The term seller also includes (40 CFR 745.103):
1. an entity that transfers shares in a cooperatively owned project, in return for consideration
2. an entity that transfers its interest in a leasehold, in jurisdictions or circumstances where it is legally permissible
to separate the fee title from the title to the improvement, in return for consideration.
Target Housing
Any housing constructed prior to 1978, except housing for the elderly or persons with disabilities (unless any child
who is < 6 yr of age resides or is expected to reside in such housing) or any zero-bedroom dwelling (40 CFR
745.103 and 745.223).
Training Curriculum
An established set of course topics for instruction in an accredited training program for a particular discipline
designed to provide specialized knowledge and skills (40 CFR 745.223).
Training Hour
At least 50 minutes of actual learning, including, but not limited to, time devoted to lecture, learning activities, small
group activities, demonstrations, evaluations, and/or hands-on experience (40 CFR 745.223).
Training Manager
The individual responsible for administering a training program and monitoring the performance of principal
instructors and guest instructors (40 CFR 745.223).
U.S. EPA
The Environmental Protection Agency (40 CFR 745.103).
Visual Inspection for Clearance Testing
The visual examination of a residential dwelling or a child-occupied facility following an abatement to determine
whether or not the abatement has been successfully completed (40 CFR 745.223).
Visual Inspection for Risk Assessment
The visual examination of a residential dwelling or a child-occupied facility to determine the existence of
deteriorated lead-based paint or other potential sources of lead-based paint hazards (40 CFR 745.223).
Zero-Bedroom Dwelling
Any residential dwelling in which the living area is not separated from the sleeping area. The term includes
efficiencies, studio apartments, dormitory housing, military barracks, and rentals of individual rooms in residential
dwellings (40 CFR 745.103).
Key Terms and Definitions for Polychlorinated Biphenyls (PCBs)
Administrator
The Administrator of the Environmental Protection Agency, or any employee of the Agency to whom the
Administrator may either herein or by order delegate his authority to carry out his functions, or any person who shall
by operation of law be authorized to carry out such functions (40 CFR 761.3).
Agency
The United States Environmental Protection Agency (40 CFR 761.3).
This document is intended solely for guidance. No statutory or regulatory 18
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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Air Compressor System
Air compressors, piping, receiver tanks, volume tanks and bottles, dryers, airlines, and related appurtenances (40
CFR761.3).
Annual Document Log
The detailed information maintained at the facility on the PCB waste handling at the facility (40 CFR 761.3).
Annual Report
The written document submitted each year by each disposer and commercial storer of PCB waste to the appropriate
U.S. EPA Regional Administrator. The annual report is a brief summary of the information included in the annual
document log (40 CFR 761.3).
ASTM
American Society for Testing and Materials, 100 Barr Harbor Drive, West Conshohocken, PA 19428-2959 (40 CFR
761.3).
Basel Convention
The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal as
entered into force on May 5, 1992 (40 CFR 761.3).
Byproduct
A chemical substance produced without separate commercial intent during the manufacturing or processing of
another chemical substance(s) or mixture(s) (40 CFR 761.3).
Capacitor
A device for accumulating and holding a charge of electricity and consisting of conducting surfaces separated by a
dielectric. Types of capacitors are as follows (40 CFR 761.3):
1. Small capacitor- A capacitor which contains less than 1.36 kg (3 Ib) of dielectric fluid. The following
assumptions may be used if the actual weight of the dielectric fluid is unknown. A capacitor whose total volume
is less than 1,639 cm3 (100 in.3) may be considered to contain less than 1.36 kg (3 Ib) of dielectric fluid and a
capacitor whose total volume is more than 3,278 cm3 (200 in.3) must be considered to contain more than 1.36 kg
(3 Ibs.) of dielectric fluid. A capacitor whose volume is between 1,639 and 3,278 cm3 may be considered to
contain less then 1.36 kg (3 Ibs.) of dielectric fluid if the total weight of the capacitor is less than 4.08 kg (9 Ib).
2. Large high voltage capacitor- A capacitor which contains 1.36 kg (3 Ib) or more of dielectric fluid and which
operates at 2,000 volts (a.c. or d.c.) or above.
3. Large low voltage capacitor- A capacitor which contains 1.36 kg (3 Ib) or more of dielectric fluid and which
operates below 2,000 volts (a.c. or d.c.).
CERCLA
The Comprehensive Environmental Response, Compensation, and Liability Act (42 U.S.C. 9601-9657) (40 CFR
761.3).
Certification
A written statement regarding a specific fact or representation that contains the following language:
Under civil and criminal penalties of law for the making or submission of false or fraudulent statements or
representations (18 U.S.C. 1001 and 15 U.S.C. 2615), I certify that the information contained in or accompanying
this document is true, accurate, and complete. As to the identified section(s) of this document for which I cannot
personally verify truth and accuracy, I certify as the company official having supervisory responsibility for the
persons who, acting under my direct instructions, made the verification that this information is true, accurate, and
complete (40 CFR 761.3).
Chemical Substance
1. Except as provided in paragraph (2) of this definition, means any organic or inorganic substance of a particular
molecular identity, including: Any combination of such substances occurring in whole or part as a result of a
chemical reaction or occurring in nature, and any element or uncombined radical.
This document is intended solely for guidance. No statutory or regulatory 19
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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2. Such term does not include: Any mixture; any pesticide (as defined in the Federal Insecticide, Fungicide, and
Rodenticide Act) when manufactured, processed, or distributed in commerce for use as a pesticide; tobacco or
any tobacco product; any source material, special nuclear material, or byproduct material (as such terms are
defined in the Atomic Energy Act of 1954 and regulations issued under such Act); any article the sale of which
is subject to the tax imposed by section 4181 of the Internal Revenue Code of 1954 (determined without regard
to any exemptions from such tax provided by section 4182 or section 4221 or any provisions of such Code); and
any food, food additive, drug, cosmetic, or device (as such terms are defined in section 201 of the Federal Food,
Drug, and Cosmetic Act) when manufactured, processed, or distributed in commerce for use as a food, food
additive, drug, cosmetic, or device (40 CFR 761.3).
Chemical Waste Landfill
Landfill at which protection against risk of injury to health or the environment from mitigation of PCBs to land,
water, or the atmosphere is provided from PCBs and PCB Items deposited therein by locating, engineering, and
operating the landfill as required (40 CFR 761.3).
Cleanup Site
The real extent of contamination and all suitable areas in very close proximity to the contamination necessary for
implementation of a cleanup of PCB remediation waste, regardless of whether the site was intended for management
of waste (40 CFR 761.3).
Commerce
Trade, traffic, transportation, or other commerce (40 CFR 761.3):
1. Between a place in a state and any place outside of such state, or
2. Which affects trade, traffic, transportation, or commerce described in paragraph (1) of this definition.
Commercial Storer of PCB Waste
The owner or operator of each facility that is subject to the PCB storage unit standards of 40 CFR761.65(b)(l) or
(c)(7) or meets the alternate storage criteria of 40 CFR 761.65(b)(2), and who engages in storage activities involving
either PCB waste generated by others or that was removed while servicing the equipment owned by others and
brokered for disposal. The receipt of a fee or any other form of compensation for storage services is not necessary to
qualify as a commercial storer of PCB waste. A generator who only stores its own waste is subject to the storage
requirements of 40 CFR 761.65, but is not required to obtain approval as a commercial storer. If a facility's storage
of PCB waste generated by others at no time exceeds a total of 500 gallons of liquid and/or non-liquid material
containing PCBs at regulated levels, the owner or operator is a commercial storer but is not required to seek U.S.
EPA approval as a commercial storer of PCB waste. Storage of one company's PCB waste by a related company is
not considered commercial storage. A "related company" includes, but is not limited to: a parent company and its
subsidiaries; sibling companies owned by the same parent company; companies owned by a common holding
company; members of electric cooperatives; entities within the same Executive Agency as defined at 5 U.S.C. 105;
and a company having a joint ownership interest in a facility from which PCB waste is generated (such as a jointly
owned electric power generating station) where the PCB waste is stored by one of the co-owners of the facility. A
"related company" does not include another voluntary member of the same trade association. Change in ownership
or title of a generator's facility, where the generator is storing PCB waste, does not make the new owner of the
facility a commercial storer of PCB waste (40 CFR 761.3).
Designated Facility
The offsite disposer or commercial storer of PCB waste designated on the manifest as the facility that will receive a
manifested shipment of PCB waste (40 CFR 761.3).
Disposal
Intentionally or accidentally to discard, throw away, or otherwise complete or terminate the useful life of PCBs and
PCB Items. Disposal includes spills, leaks, and other uncontrolled discharges of PCBs as well as actions related to
containing, transporting, destroying, degrading, decontaminating, or confining PCBs and PCB Items (40 CFR
761.3).
This document is intended solely for guidance. No statutory or regulatory 20
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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Disposer of PCB Waste
Any person who owns or operates a facility approved by U.S. EPA for the disposal of PCB waste which is regulated
for disposal under the requirements of Subpart D of 40 CFR 761 (40 CFR 761.3).
Distribute in Commerce and Distribution in Commerce
When used to describe an action taken with respect to a chemical substance, mixture, or article containing a
substance or mixture means to sell, or the sale of, the substance, mixture, or article in commerce; to introduce or
deliver for introduction into commerce, or the introduction or delivery for introduction into commerce of the
substance, mixture, or article; or to hold or the holding of, the substance, mixture, or article after its introduction into
commerce (40 CFR 761.3).
DOT
The United States Department of Transportation (40 CFR 761.3).
Double Wash/Rinse
A minimum requirement to cleanse solid surfaces (both impervious and nonimpervious) two times with an
appropriate solvent or other material in which PCBs are at least 5 percent soluble (by weight). A volume of PCB-free
fluid sufficient to cover the contaminated surface completely must be used in each wash/rinse. The wash/rinse
requirement does not mean the mere spreading of solvent or other fluid over the surface, nor does the requirement
mean a once-over wipe with a soaked cloth. Precautions must be taken to contain any runoff resulting from the
cleansing and to dispose properly of wastes generated during the cleansing (40 CFR 761.123).
Dry Weight
The weight of the sample, excluding the weight of the water in the sample. Prior to chemical analysis, the water may
be removed by any reproducible method that is applicable to measuring PCBs in the sample matrix at the
concentration of concern, such as air drying at ambient temperature, filtration, decantation, heating at low
temperature followed by cooling in the presence of a desiccant, or other processes or combinations of processes
which would remove water but not remove PCBs from the sample. Analytical procedures which calculate the dry
weight concentration by adjusting for moisture content may also be used (40 CFR 761.3).
EPA Identification Number
The 12-digit number assigned to a facility by U.S. EPA upon notification of PCB waste activity under 40 CFR
761.205 (40 CFR 761.3).
Excluded Manufacturing Process
A manufacturing process in which quantities of PCBs, as determined in accordance with the definition of
inadvertently generated PCBs, calculated as defined, and from which releases to products, air, and water meet the
requirements of paragraphs (a) through (e) of this definition, or the importation of products containing PCBs as
unintentional impurities, which products meet the requirements of paragraphs (a) and (b) of this definition (40 CFR
761.3):
1. The concentration of inadvertently generated PCBs in products leaving any manufacturing site or imported into
the United States must have an annual average of less than 25 ppm, with a 50 ppm maximum.
2. The concentration of inadvertently generated PCBs in the components of detergent bars leaving the
manufacturing site or imported into the United States must be less than 5 ppm.
3. The release of inadvertently generated PCBs at the point at which emissions are vented to ambient air must be
less than 10 ppm.
4. The amount of inadvertently generated PCBs added to water discharged from a manufacturing site must be less
than 100 micrograms per resolvable gas chromatographic peak per liter of water discharged.
5. Disposal of any other process wastes above concentrations of 50 ppm PCB must be in accordance with Subpart
D of 40 CFR 761.
Excluded PCB Products
PCB materials which appear at concentrations less than 50 ppm, including but not limited to (40 CFR 761.3):
1. Non-Aroclor inadvertently generated PCBs as a byproduct or impurity resulting from a chemical manufacturing
process.
This document is intended solely for guidance. No statutory or regulatory 21
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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2. Products contaminated with Aroclor or other PCB materials from historic PCB uses (investment casting waxes
are one example).
3. Recycled fluids and/or equipment contaminated during use involving the products described in paragraphs (a)
and (b) of this definition (heat transfer and hydraulic fluids and equipment and other electrical equipment
components and fluids are examples).
4. Used oils, provided that in the cases of paragraphs (1) through (4) of this definition:
a) The products or source of the products containing < 50 ppm concentration PCBs were legally
manufactured, processed, distributed in commerce, or used before October 1, 1984.
b) The products or source of the products containing < 50 ppm concentrations PCBs were legally
manufactured, processed, distributed in commerce, or used, i.e., pursuant to authority granted by U.S. EPA
regulation, by exemption petition, by settlement agreement, or pursuant to other Agency-approved
programs;
c) The resulting PCB concentration (i.e. below 50 ppm) is not a result of dilution, or leaks and spills of PCBs
in concentrations over 50 ppm.
Facility
All contiguous land, and structures, other appurtenances, and improvements on the land, used for the treatment,
storage, or disposal of PCB waste. A facility may consist of one or more treatment, storage, or disposal units (40
CFR761.3).
Fluorescent Light Ballast
A device that electrically controls fluorescent light fixtures and that includes a capacitor containing 0.1 kg or less of
dielectric (40 CFR 761.3).
Generator of PCB Waste
Any person whose act or process produces PCBs that are regulated for disposal under Subpart D of 40 CFR 761, or
whose act first causes PCBs or PCB Items to become subject to the disposal requirements of Subpart D of 40 CFR
761, or who has physical control over the PCBs when a decision is made that the use of the PCBs has been
terminated and therefore is subject to the disposal requirements of Subpart D of 40 CFR 761. Unless another
provision of 40 CFR 761 specifically requires a site-specific meaning, "generator of PCB waste" includes all of the
sites of PCB waste generation owned or operated by the person who generates PCB waste (40 CFR 761.3).
High Concentration PCBs
PCBs that contain 500 ppm or greater PCBs, or those materials which the U.S. EPA requires to be assumed to
contain 500 ppm or greater PCBs in the absence of testing (40 CFR 761.123).
High-Contact Industrial Surface
A surface in an industrial setting which is repeatedly touched, often for relatively long periods of time. Manned
machinery and control panels are examples of high-contact industrial surfaces. High-contact industrial surfaces are
generally of impervious solid material. Examples of low-contact industrial surfaces include ceilings, walls, floors,
roofs, roadways and sidewalks in the industrial area, utility poles, unmanned machinery, concrete pads beneath
electrical equipment, curbing, exterior structural building components, indoor vaults, and pipes (40 CFR 761.123).
High-Contact Residential/Commercial Surface
A surface in a residential/commercial area which is repeatedly touched, often for relatively long periods of time.
Doors, wall areas below 6 feet in height, uncovered flooring, windowsills, fencing, banisters, stairs, automobiles, and
children's play areas such as outdoor patios and sidewalks are examples of high-contact residential/commercial
surfaces. Examples of low-contact residential/commercial surfaces include interior ceilings, interior wall areas
above 6 feet in height, roofs, asphalt roadways, concrete roadways, wooden utility poles, unmanned machinery,
concrete pads beneath electrical equipment, curbing, exterior structural building components (e.g., aluminum/vinyl
siding, cinder block, asphalt tiles), and pipes (40 CFR 761.123).
High Occupancy Area
Any area where PCB remediation waste has been disposed of onsite and where occupancy for any individual not
wearing dermal and respiratory protection for a calendar year is: 840 hours or more (an average of 16.8 h or more
This document is intended solely for guidance. No statutory or regulatory 22
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
per week) for non-porous surfaces and 335 hours or more (an average of 6.7 hours or more per week) for bulk PCB
remediation waste. Examples could include a residence, school, day care center, sleeping quarters, a single or
multiple occupancy 40 hours per week work station, a school class room, a cafeteria in an industrial facility, a
control room, and a work station at an assembly line (40 CFR 761.3).
Impervious Solid Surfaces
Solid surfaces which are nonporous and thus unlikely to absorb spilled PCBs within the short period of time required
for cleanup of spills under this policy. Impervious solid surfaces include, but are not limited to, metals, glass,
aluminum siding, and enameled or laminated surfaces (40 CFR 761.123).
Importer
Any person defined as an "importer" at 40 CFR 720.3(1) of this chapter who imports PCBs or PCB Items and is
under the jurisdiction of the United States (40 CFR 761.3).
Impurity
A chemical substance which is unintentionally present with another chemical substance (40 CFR 761.3).
In or Near Commercial Buildings
Within the interior of, on the roof of, attached to the exterior wall of, in the parking area serving, or within 30 meters
of a non-industrial non-substation building. Commercial buildings are typically accessible to both members of the
general public and employees, and include (40 CFR 761.3):
1. public assembly properties;
2. educational properties;
3. institutional properties;
4. residential properties;
5. stores;
6. office buildings; and
7. transportation centers (e.g., airport terminal buildings, subway stations, bus stations, or train stations).
In-service
The transformer is used electrically under loaded conditions that raise the temperature of the dielectric fluid to at
least 50°. Centigrade (40 CFR 761.30(a)(2)(v)).)
Incinerator
An engineered device using controlled flame combustion to thermally degrade PCBs and PCB Items. Examples of
devices used for incineration include rotary kilns, liquid injection incinerators, cement kilns, and high temperature
boilers (40 CFR 761.3).
Industrial Building
A building directly used in manufacturing or technically productive enterprises. Industrial buildings are not generally
or typically accessible to other than workers. Industrial buildings include buildings used directly in the production of
power, the manufacture of products, the mining of raw materials, and the storage of textiles, petroleum products,
wood and paper products, chemicals, plastics, and metals (40 CFR 761.3).
Laboratory
A facility that analyzes samples for PCBs and is unaffiliated with any entity whose activities involve PCBs (40 CFR
761.3).
Leak or Leaking
Any instance in which a PCB article, PCB container, or PCB equipment has any PCBs on any portion of its external
surface (40 CFR 761.3).
Liquid PCBs
A homogenous flowable material containing PCBs and no more than 0.5 percent by weight non-dissolved material
(40 CFR 761.3).
This document is intended solely for guidance. No statutory or regulatory 23
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Low Concentration PCBs
PCBs that are tested and found to contain less than 500 ppm PCBs or those PCB-containing materials which U.S.
EPA requires to be assumed to be at concentrations below 500 ppm (i.e., untested mineral oil dielectric fluid) (40
CFR 761.123).
Low Occupancy Area
Any area where PCB remediation waste has been disposed of onsite and where occupancy for any individual not
wearing dermal and respiratory protection for a calendar year is: less than 840 h (an average of 16.8 h/week) for non-
porous surfaces and less than 335 h (an average of 6.7 h/week) for bulk PCB remediation waste. Examples could
include an electrical substation or a location in an industrial facility where a worker spends small amounts of time
per week (such as an unoccupied area outside a building, an electrical equipment vault, or in the non-office space in
a warehouse where occupancy is transitory) (40 CFR 761.3).
Manifest
The shipping document U.S. EPA form 8700-22 and any continuation sheet attached to U.S. EPA form 8700-22,
originated and signed by the generator of PCB waste in accordance with the instructions included with the form and
Subpart K of 40 CFR 761 (40 CFR 761.3).
Manned Control Center
An electrical power distribution control room where the operating conditions of a PCB Transformer are continuously
monitored during the normal hours of operation (of the facility), and, where the duty engineers, electricians, or other
trained personnel have the capability to deenergize a PCB Transformer completely within 1 minute of the receipt of a
signal indicating abnormal operating conditions such as an overtemperature condition or overpressure condition in a
PCB Transformer (40 CFR 761.3).
Manufacture
To produce, manufacture, or import into the customs territory of the United States (40 CFR 761.3).
Manufacturing Process
All of a series of unit operations operating at a site, resulting in the production of a product (40 CFR 761.3).
Mark
The descriptive name, instructions, cautions, or other information applied to PCBs and PCB items, or other objects
subject to the regulations under 40 CFR 761 (40 CFR 761.3).
Marked
The marking of PCB Items and PCB storage areas and transport vehicles by means of applying a legible mark by
painting, fixation of an adhesive label, or by any other method that meets the requirements of these regulations (40
CFR 761.3).
Market/Marketers
The processing or distributing in commerce, or the person who processes or distributes in commerce, used oil fuels
to burners or other marketers, and may include the generator of the fuel if it markets the fuel directly to the burner
(40 CFR 761.3).
Marking
The marking of PCB items and PCB storage areas and transport vehicles by means of applying a legible mark by
painting, fixation of an adhesive label, or by any other method that meets the requirements of the regulations under
40 CFR 761 (40 CFR 761.3).
Mineral Oil PCB Transformers
Any transformer originally designed to contain mineral oil as the dielectric fluid and which has been tested and found
to contain 500 ppm or greater PCBs (40 CFR 761.3).
This document is intended solely for guidance. No statutory or regulatory 24
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Mixture
Any combination of two or more chemical substances if the combination does not occur in nature and is not, in
whole or in part, the result of a chemical reaction; except that such term does include any combination which occurs,
in whole or in part, as a result of a chemical reaction if none of the chemical substances comprising the combination
is a new chemical substance and if the combination could have been manufactured for commercial purposes without
a chemical reaction at the time the chemical substances comprising the combination were combined (40 CFR 761.3).
Municipal Solid Wastes
Garbage, refuse, sludges, wastes, and other discarded materials resulting from residential and non-industrial
operations and activities, such as household activities, office functions, and commercial housekeeping wastes (40
CFR 761.3).
Natural Gas Pipeline System
Natural gas gathering facilities, natural gas pipe, natural gas compressors, natural gas storage facilities, and natural
gas pipeline appurtenances (including instrumentation and vessels directly in contact with transported natural gas
such as valves, regulators, drips, filter separators, etc., but not including air compressors) (40 CFR 761.3).
Non-Impervious Solid Surfaces
Solid surfaces which are porous and are more likely to absorb spilled PCBs prior to completion of the cleanup
requirements prescribed in this policy. Non-impervious solid surfaces include, but are not limited to, wood,
concrete, asphalt, and plasterboard (40 CFR 761.123).
Non-Liquid PCBs
Materials containing PCBs that by visual inspection do not flow at room temperature (25 °C or 77 °F) or from which
no liquid passes when a 100 g or 100 mL representative sample is placed in a mesh number 60 +/- 5 percent paint
filter and allowed to drain at room temperature for 5 min (40 CFR 761.3).
Non-PCB Transformers
Any transformer that contains less than 50 ppm PCB except any transformer that has been converted from a PCB
Transformer or a PCB-Contaminated Transformer cannot be classified as a non-PCB Transformer until
reclassification has occurred in accordance with the requirements of 40 CFR 761.30(a)(2)(v) (40 CFR 761.3).
Non-Porous Surface
A smooth, unpainted solid surface that limits penetration of liquid containing PCBs beyond the immediate surface.
Examples are: smooth uncorroded metal; natural gas pipe with a thin porous coating originally applied to inhibit
corrosion; smooth glass; smooth glazed ceramics; impermeable polished building stone such as marble or granite;
and high density plastics, such as polycarbonates and melamines, that do not absorb organic solvents (40 CFR
761.3).
Nonrestricted Access Areas
Any area other than restricted access, outdoor electrical substations, and other restricted access locations, as defined
in this section. In addition to residential/commercial areas, these areas include unrestricted access rural areas (areas
of low density development and population where access is uncontrolled by either man-made barriers or naturally
occurring barriers, such as rough terrain, mountains, or cliffs) (40 CFR 761.123).
NTIS
The National Technical Information Service, U.S. Department of Commerce, 5285 Port Royal Rd., Springfield, VA
22161 (40 CFR 761.3).
On-Site
Within the boundaries of a contiguous property unit (40 CFR 761.3).
Open Burning
The combustion of any PCB regulated for disposal, in a manner not approved or otherwise allowed under Subpart D
of 40 CFR 761, and without any of the following (40 CFR 761.3):
This document is intended solely for guidance. No statutory or regulatory 25
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
1. control of combustion air to maintain adequate temperature for efficient combustion
2. containment of the combustion reaction in an enclosed device to provide sufficient residence time and mixing
for complete combustion
3. control of emission of the gaseous combustion products.
Other Restricted Access (Nonsubstation) Locations
Areas other than electrical substations that are at least 0.1 kilometer (km) from a residential/commercial area and
limited by man-made barriers (e.g., fences and walls) to substantially limited by naturally occurring barriers such as
mountains, cliffs, or rough terrain. These areas generally include industrial facilities and extremely remote rural
locations. (Areas where access is restricted but are less than 0.1 km from a residential/commercial area are
considered to be residential/commercial areas.) (40 CFR 761.123).
Outdoor Electrical Substations
Outdoor, fenced-off, and restricted access areas used in the transmission and/or distribution of electrical power.
Outdoor electrical substations restrict public access by being fenced or walled off as defined under 40 CFR
761.30(l)(l)(ii). For purposes of this TSCA policy, outdoor electrical substations are defined as being located at least
0.1 km from a residential/commercial area. Outdoor fenced-off and restricted access areas used in the transmission
and/or distribution of electrical power which are located less than 0.1. km from a residential/commercial area are
considered to be residential/commercial areas. (40 CFR 761.123).
PCB and PCBs
Any chemical substance that is limited to the biphenyl molecule that has been chlorinated to varying degrees or any
combination of substances which contains such substance. Refer to 40 CFR 76l.l(b) for applicable concentrations of
PCBs. PCB and PCBs as contained in PCB items are defined in 40 CFR 761.3. For any purposes under 40 CFR 761,
inadvertently generated non-Aroclor PCBs are defined as the total PCBs calculated following division of the quantity
of monochlorinated biphenyls by 50 and dichlorinated biphenyls by 5 (40 CFR 761.3).
PCB Article
Any manufactured article, other than a PCB Container, that contains PCBs and whose surface(s) has been in direct
contact with PCBs. "PCB Article" includes capacitors, transformers, electric motors, pumps, pipes and any other
manufactured item (a) which is formed to a specific shape or design during manufacture, (b) which has end use
function(s) dependent in whole or in part upon its shape or design during end use, and (c) which has either no change
of chemical composition during its end use or only those changes of composition which have no commercial purpose
separate from that of the PCB Article (40 CFR 761.3).
PCB Article Container
Any package, can, bottle, bag, barrel, drum, tank, or other device used to contain PCB articles or PCB equipment,
and whose surface(s) has not been in direct contact with PCBs (40 CFR 761.3).
PCB Bulk Product Waste
Waste derived from manufactured products containing PCBs in a non-liquid state, at any concentration where the
concentration at the time of designation for disposal was >/= 50 ppm PCBs. PCB bulk product waste does not
include PCBs or PCB Items regulated for disposal under 40 CFR 761.60(a) through (c), 761.61, 761.63, or 761.64.
PCB bulk product waste includes, but is not limited to:
1. non-liquid bulk wastes or debris from the demolition of buildings and other man-made structures manufactured,
coated, or serviced with PCBs. PCB bulk product waste does not include debris from the demolition of buildings
or other man-made structures that is contaminated by spills from regulated PCBs which have not been disposed
of, decontaminated, or otherwise cleaned up in accordance with Subpart D of 40 CFR 761.
2. PCB-containing wastes from the shredding of automobiles, household appliances, or industrial appliances.
3. plastics (such as plastic insulation from wire or cable; radio, television and computer casings; vehicle parts; or
furniture laminates); preformed or molded rubber parts and components; applied dried paints, varnishes, waxes
or other similar coatings or sealants; caulking; adhesives; paper; Galbestos; sound deadening or other types of
insulation; and felt or fabric products such as gaskets.
4. fluorescent light ballasts containing PCBs in the potting material (40 CFR 761.3).
This document is intended solely for guidance. No statutory or regulatory 26
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
PCB Capacitor
Any capacitor that contains >/= 500 ppm PCB. Concentration assumptions applicable to capacitors appear under 40
CFR761.2(40CFR761.3).
PCB Concentration Assumptions
The following assumption may be made in relation to PCB concentrations (40 CFR 761. 2(a), 761. l(b)(3) and
1. transformers with < 3 Ib (1.36 kg) of fluid, circuit breakers, reclosers, oil-filled cable, and rectifiers whose PCB
concentration is not established contain PCBs at <50 ppm;
2. mineral oil-filled electrical equipment that was manufactured before July 2, 1979, and whose PCB concentration
is not established is PCB -Contaminated Electrical Equipment (i.e., contains >/= 50 PCB, but <500 ppm PCB);
3. all pole-top and pad-mounted distribution transformers manufactured before July 2, 1979, are assumed to be
mineral -oil filled;
4. electrical equipment manufactured after July 2, 1979, is non-PCB (i.e., < 50 ppm PCBs). If the date of
manufacture of mineral oil-filled electrical equipment is unknown, assume it to be PCB -Contaminated;
5. transformers manufactured prior to July 2, 1979, that contain 1.36 kg (3 Ib) or more of fluid other than mineral
oil and whose PCB concentration is not established, are PCB Transformers (i.e., >/= 500 ppm). If the date of
manufacture and the type of dielectric fluid are unknown, assume the transformer to be a PCB Transformer;
6. a capacitor manufactured prior to July 2, 1979, whose PCB concentration is not established contains >/= 500
ppm PCBs;
7. a capacitor manufactured after July 2, 1979, is non-PCB (i.e., <50 ppm PCBs). If the date of manufacture is
unknown, assume the capacitor contains >/= 500 ppm PCBs;
8. a capacitor marked at the time of manufacture with the statement "No PCBs" in accordance with 40 CFR
761.40(g) is non-PCB;
9. provisions that apply to PCBs at concentrations of < 50 ppm apply also to contaminated surfaces at PCB
concentrations of /= 50 to <500 ppm apply also to contaminated surfaces at
PCB concentrations of >10 \ig 7100 cm2 to <100 jig/100 cm2;
11. provisions that apply to PCBs at concentrations of >/= 500 ppm apply also to contaminated surfaces at PCB
concentrations of >/= 100 jig/100 cm2.
Unless otherwise noted, PCB concentrations shall be determined on a weight-per-weight basis, or for liquids on a
weight-per-volume basis if the density of the liquid is also reported. Unless otherwise provided, PCBs are quantified
based on the formulation of PCBs present in the material analyzed.
PCB Container
Any package, can, bottle, bag, barrel, drum, tank, or other device that contains PCBs or PCB Articles and whose
surface(s) has been in direct contact with PCBs (40 CFR 761.3).
PCB-Contaminated
A non-liquid material containing PCBs at concentrations >/= 50 ppm but <500 ppm; a liquid material containing
PCBs at concentrations >/= 50 ppm but <500 ppm or where insufficient liquid material is available for analysis, a
non-porous surface having a surface concentration >10 jig/100 cm2 but <100 jig/100 cm2, measured by a standard
wipe test as defined in 40 CFR 761. 123 (40 CFR 761.3).
PCB-Contaminated Electrical Equipment
Any electrical equipment including, but not limited to, transformers (including those used in railway locomotives and
serf-propelled cars), capacitors, circuit breakers, reclosers, voltage regulators, switches (including sectionalizers and
motor starters), electromagnets, and cable, that contains PCBs at concentrations of >/= 50 ppm and <500 ppm in the
contaminating fluid. In the absence of liquids, electrical equipment is PCB-Contaminated if it has PCBs at >10
jig/100 cm2and<100 jig/100 cm2 as measured by a standard wipe test (as defined in 40 CFR 761. 123) of anon-
porous surface (40 CFR 761.3).
This document is intended solely for guidance. No statutory or regulatory 27
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
PCB Equipment
Any manufactured item, other than a PCB container or a PCB article container, which contains a PCB article or other
PCB equipment, and includes microwave ovens, electronic equipment, and fluorescent light ballasts and fixtures (40
CFR761.3).
PCB Field Screening Test
A portable analytical device or kit which measures PCBs. PCB field screening tests usually report less than or
greater than a specific numerical PCB concentration. These tests normally build in a safety factor which increases the
probability of a false positive report and decreases the probability of a false negative report. PCB field screening
tests do not usually provide: an identity record generated by an instrument; a quantitative comparison record from
calibration standards; any identification of PCBs; and/or any indication or identification of interferences with the
measurement of the PCBs. PCB field screening test technologies include, but are not limited to, total chlorine
colorimetric tests, total chlorine x-ray fluorescence tests, total chlorine microcoulometric tests, and rapid
immunoassay tests (40 CFR 761.3).
PCB Household Waste
PCB waste that is generated by residents on the premises of a temporary or permanent residence for individuals
(including individually owned or rented units of a multi-unit construction), and that is composed primarily of
materials found in wastes generated by consumers in their homes. PCB household waste includes unwanted or
discarded non-commercial vehicles (prior to shredding), household items, and appliances or appliance parts and
wastes generated on the premises of a residence for individuals as a result of routine household maintenance by or on
behalf of the resident. Bulk or commingled liquid PCB wastes at concentrations of >/= 50 ppm, demolition and
renovation wastes, and industrial or heavy duty equipment with PCBs are not household wastes (40 CFR 761.3).
PCB Item
Any PCB Article, PCB Article Container, PCB Container, PCB Equipment, or anything that deliberately or
unintentionally contains or has as a part of it any PCB or PCBs (40 CFR 761.3).
PCB/Radioactive Waste
PCBs regulated for disposal under Subpart D of 40 CFR 761 that also contain source, special nuclear, or byproduct
material subject to regulation under the Atomic Energy Act of 1954, as amended, or naturally-occurring or
accelerator-produced radioactive material (40 CFR 761.3).
PCB Remediation Waste
Waste containing PCBs as a result of a spill, release, or other unauthorized disposal, at the following concentrations:
Materials disposed of prior to April 18, 1978, that are currently at concentrations >/= 50 ppm PCBs, regardless of
the concentration of the original spill; materials which are currently at any volume or concentration where the
original source was >/= 500 ppm PCB beginning on April 18, 1978, or >/= 50 ppm PCB beginning on July 2, 1979;
and materials which are currently at any concentration if the PCBs are spilled or released from a source not
authorized for use under 40 CFR 761. PCB remediation waste means soil, rags, and other debris generated as a result
of any PCB spill cleanup, including, but not limited to (40 CFR 761.3):
1. environmental media containing PCBs, such as soil and gravel; dredged materials, such as sediments, settled
sediment fines, and aqueous decantate from sediment.
2. sewage sludge containing <50 ppm PCBs and not in use according to 40 CFR 761.20(a)(4); PCB sewage sludge;
commercial or industrial sludge contaminated as the result of a spill of PCBs including sludges located in or
removed from any pollution control device; aqueous decantate from an industrial sludge.
3. buildings and other manmade structures (such as concrete floors, wood floors, or walls contaminated from a
leaking PCB or PCB-Contaminated transformer), porous surfaces and non-porous surfaces.
PCB Sewage Sludge
Sewage sludge as defined in 40 CFR 503.9(w) which contains >/= 50 ppm PCBs, as measured on a dry weight basis
(40 CFR 761.3).
This document is intended solely for guidance. No statutory or regulatory 28
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
PCB Transformer
Any transformer that contains >/= 500 ppm PCBs. For PCB concentration assumptions applicable to transformers
containing 1.36 kg (3 Ib) or more of fluid other than mineral oil, see 40 CFR 761.2. For provisions permitting
reclassification of electrical equipment, including PCB Transformers, containing >/= 500 ppm PCBs to PCB-
Contaminated Electrical Equipment, see 40 CFR 761.30(a) and (h) (40 CFR 761.3).
PCB Waste
Those PCBs and PCB Items that are subject to the disposal requirements of Subpart D of 40 CFR 761 (40 CFR
761.3).
Performance-Based Organic Decontamination Fluid (PODF)
Kerosene, diesel fuel, terpene hydrocarbons, and terpene hydrocarbon/alcohol mixtures (40 CFR 761.3).
Porous Surface
Any surface that allows PCBs to penetrate or pass into itself including, but not limited to, paint or coating on metal;
corroded metal; fibrous glass or glass wool; unglazed ceramics; ceramics with a porous glaze; porous building stone
such as sandstone, travertine, limestone, or coral rock; low-density plastics such as styrofoam and low-density
polyethylene; coated (varnished or painted) or uncoated wood; concrete or cement; plaster; plasterboard; wallboard;
rubber; fiberboard; chipboard; asphalt; or tar paper. For purposes of cleaning and disposing of PCB remediation
waste, porous surfaces have different requirements than non-porous surfaces (40 CFR 761.3).
Posing an Exposure Risk to Food or Feed
An exposure risk to food or feed being in any location where human food or animal feed products could be exposed
to PCBs released from a PCB Item. A PCB Item poses an exposure risk to food or feed if PCBs released in any way
from the PCB Item have a potential pathway to human food or animal feed. U.S. EPA considers human food or
animal feed to include items regulated by the U.S. Department of Agriculture or the Food and Drug Administration
as human food or animal feed; this includes direct additives. Food or feed is excluded from this definition if it is used
or stored in private homes (40 CFR 761.3).
Process
The preparation of a chemical substance or mixture, after its manufacture, for distribution in commerce (40 CFR
761.3):
1. In the same form or physical state as, or in a different form or physical state from, that in which it was received
by the person so preparing such substance or mixture, or
2. As part of an article containing the chemical substance or mixture.
Qualified Incinerator
1. An incinerator approved under the provisions of 40 CFR 761.70. Any level of PCB concentration can be
destroyed in an incinerator approved under 40 CFR 761.70., OR
2. A high efficiency boiler which complies with the criteria of 40 CFR761.71(a)(l), and for which the operator has
given written notice to the appropriate U.S. EPA Regional Administrator in accordance with the notification
requirements for the burning of mineral oil dielectric fluid under 40 CFR 761.71(a)(2), OR
3. An incinerator approved under section 3005(c) of the Resource Conservation and Recovery Act (42 U.S.C.
6925(c)) (RCRA), OR
4. Industrial furnaces and boilers which are identified in 40 CFR 260.10 and 40 CFR 279.61 (a)(l) and (2) when
operating at their normal operating temperatures (this prohibits feeding fluids, above the level of detection,
during either startup or shutdown operations) (40 CFR 761.3).
Quantifiable Level/Level of Detection
2 micrograms per gram from any resolvable gas chromatographic peak, i.e. 2 ppm (40 CFR 761.3).
RCRA
The Resource Conservation and Recovery Act (40 U.S.C. 6901 et seq.) (40 CFR 761.3).
This document is intended solely for guidance. No statutory or regulatory 29
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Recycled PCBs
Those PCBs which appear in the processing of paper products or asphalt roofing materials from PCB-contaminated
raw materials. Processes which recycle PCBs must meet the following requirements (40 CFR 761.3):
1. There are no detectable concentrations of PCBs in asphalt roofing material products leaving the processing site.
2. The concentration of PCBs in paper products leaving any manufacturing site processing paper products, or in
paper products imported into the United States, must have an annual average of less than 25 ppm with a 50 ppm
maximum.
3. The release of PCBs at the point at which emissions are vented to ambient air must be less than 10 ppm.
4. The amount of Aroclor PCBs added to water discharged from an asphalt roofing processing site must at all times
be less than 3 |ig/L for total Aroclors (roughly 3 ppb). Water discharges from the processing of paper products
must at all times be less than 3 \igfL for total Aroclors (roughly 3 ppb), or comply with the equivalent mass-
based limitation.
5. Disposal of any other process wastes at concentrations of 50 ppm or greater must be in accordance with Subpart
D of 40 CFR 761.
Requirements and Standards (40 CFR 761.123):
1. "Requirements" as used in this policy refers to both the procedural responses and numerical decontamination
levels set forth in this policy as constituting adequate cleanup of PCBs.
2. "Standards" refers to the numerical decontamination levels set forth in this policy.
Research and Development (R&D) for PCB Disposal
Demonstrations for commercial PCB disposal approvals, pre-demonstration tests, tests of major modifications to
previously approved PCB disposal technologies, treatability studies for PCB disposal technologies which have not
been approved, development of new disposal technologies, and research on chemical transformation processes
including, but not limited to, biodegradation (40 CFR 761.3).
Residential/Commercial Areas
Those areas where people live or reside, or where people work in other than manufacturing or farming industries.
Residential areas include housing and the property on which housing is located, as well as playgrounds, roadways,
sidewalks, parks, and other similar areas within a residential community. Commercial areas are typically accessible
to both members of the general public and employees and include public assembly properties, institutional
properties, stores, office buildings, and transportation centers (40 CFR 761.123).
Responsible Party
The owner of the PCB equipment, facility, or other source of PCBs or his/her designated agent (e.g., a facility
manager or foreman). (40 CFR 761.123).
Retrofill
To remove PCB or PCB contaminated dielectric fluid and replace it with either PCB, PCB-contaminated, or non-
PCB dielectric fluid (40 CFR 761.3).
Rupture of a PCB Transformer
A violent or nonviolent break in the integrity of a PCB Transformer caused by an overtemperature and/or
overpressure condition that results in the release of PCBs (40 CFR 761.3).
Sale
For purposes other than resale, sale of PCBs for purposes of disposal and for purposes of use, except where use
involves sale for distribution in commerce. PCB Equipment which is first leased for purposes of use any time before
July 1, 1979, will be considered sold for purposes other than resale (40 CFR 761.3).
Sewage Sludge
Sewage sludge as defined in 40 CFR 503.9(w) of this chapter that contains < 50 ppm (on a dry weight basis) PCBs
(40 CFR 761.3).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Small Quantities
For research and development, any quantity of PCBs (a) that is originally packaged in one or more hermetically
sealed containers of a volume of no more than five (5.0) milliliters, and (b) that is used only for purposes of scientific
experimentation or analysis, or chemical research on, or analysis of, PCBs, but not for research or analysis for the
development of a PCB product (40 CFR 761.3).
Soil
All vegetation, soils and other ground media, including but not limited to, sand, grass, gravel, and oyster shells. It
does not include concrete and asphalt (40 CFR 761.123).
Soil Washing
The extraction of PCBs from soil using a solvent, recovering the solvent from the soil, separating the PCBs from the
recovered solvent for disposal, and then disposal or reuse of the solvent (40 CFR 761.3).
Spill
Both intentional and unintentional spills, leaks, and other uncontrolled discharges where the release results in any
quantity of PCBs running off or about to run off the external surface of the equipment or other PCB source, as well
as the contamination resulting from those releases. This policy applies to spills of 50 ppm or greater PCBs. The
concentration of PCBs spilled is determined by the PCB concentration in the material spilled as opposed to the
concentration of PCBs in the material onto which the PCBs were spilled. Where a spill of untested mineral oil
occurs, the oil is presumed to contain greater than 50 ppm, but less than 500 ppm PCBs and is subject to the relevant
requirements of this policy (40 CFR 761.123).
Spill Area
The area of soil on which visible traces of the spill can be observed plus a buffer zone of 1 foot beyond the visible
traces. Any surface or object (e.g., concrete sidewalk or automobile) within the visible traces area or on which visible
traces of the spilled material are observed is included in the spill area. This area represents the minimum area
assumed to be contaminated by PCBs in the absence of precleanup sampling data and is thus the minimum area
which must be cleaned (40 CFR 761.123).
Spill Boundaries
The actual area of contamination as determined by postcleanup verification sampling or by precleanup sampling to
determine actual spill boundaries. U.S. EPA can require additional cleanup when necessary to decontaminate all
areas within the spill boundaries to the levels required in this policy (e.g., additional cleanup will be required if
postcleanup sampling indicates that the area decontaminated by the responsible party, such as the spill area as
defined in this section, did not encompass the actual boundaries of PCB contamination) (40 CFR 761.123).
Standard Wipe Sample
A sample collected for chemical extraction and analysis using the standard wipe test as defined in 40 CFR 761.123.
Except as designated elsewhere in 40 CFR 761, the minimum surface area to be sampled shall be 100 cm2 (40 CFR
761.3).
Standard Wipe Test
For spills of high-concentration PCBs on solid surfaces, a cleanup to numerical surface standards and sampling by a
standard wipe test to verify that the numerical standards have been met. This definition constitutes the minimum
requirements for an appropriate wipe testing protocol. A standard-size template (10 centimeters (cm) x 10 cm) will
be used to delineate the area of cleanup; the wiping medium will be a gauze pad or glass wool of known size which
has been saturated with hexane. It is important that the wipe be performed very quickly after the hexane is exposed to
air. U.S. EPA strongly recommends that the gauze (or glass wool) be prepared with hexane in the laboratory and that
the wiping medium be stored in sealed glass vials until it is used for the wipe test. Further, U.S. EPA requires the
collection and testing of field blanks and replicates (40 CFR 761.123).
Storage for Disposal
Temporary storage of PCBs that have been designated for disposal (40 CFR 761.3).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
SW-846
The document having the title "SW-846, Test Methods for Evaluating Solid Waste," which is available from either
the National Technical Information Service (NTIS, U.S. Department of Commerce, 5285 Port Royal Rd.,
Springfield, VA 22161, telephone: (703) 487-4650 or the U.S. Government Printing Office (U.S. GPO, 710 North
Capitol St., NW., Washington, DC 20401, telephone: (202) 783-3238 (40 CFR 761.3).
Totally Enclosed Manner
Any manner that will ensure no exposure of human beings or the environment to any concentration of PCBs (40 CFR
761.3).
Transfer Facility
Any transportation-related facility including loading docks, parking areas, and other similar areas where shipments of
PCB waste are held during the normal course of transportation. Transport vehicles are not transfer facilities under
this definition, unless they are used for the storage of PCB waste, rather than for actual transport activities. Storage
areas for PCB waste at transfer facilities are subject to the storage facility standards of 40 CFR 761.65, but such
storage areas are exempt from the approval requirements of 40 CFR 761.65(d) and the recordkeeping requirements
of 40 CFR 761.180, unless the same PCB waste is stored there for a period of more than 10 consecutive days
between destinations (40 CFR 761.3).
Transporter of PCB Waste
For the purposes of Subpart K of 40 CFR 761.3, any person engaged in the transportation of regulated PCB waste by
air, rail, highway, or water for purposes other than consolidation by a generator (40 CFR 761.3).
Transport Vehicle
A motor vehicle or rail car used for the transportation of cargo by any mode. Each cargo-carrying body (e.g., trailer,
railroad freight car) is a separate transport vehicle (40 CFR 761.3).
Treatability Study
A study in which PCB waste is subjected to a treatment process to determine (40 CFR 761.3):
1. Whether the waste is amenable to the treatment process;
2. What pretreatment (if any) is required;
3. The optimal process conditions needed to achieve the desired treatment;
4. The efficiency of a treatment process for the specific type of waste (i.e., soil, sludge, liquid, etc.); or,
5. The characteristics and volumes of residuals from a particular treatment process. A "treatability study" is not a
mechanism to commercially treat or dispose of PCB waste. Treatment is a form of disposal under 40 CFR 761.
TSCA
The Toxic Substances Control Act (15 U.S.C. 2601 et seq.) (40 CFR 761.3).
TSCA PCB Coordinated Approval
The process used to recognize other federal or state waste management documents governing the storage, cleanup,
treatment, and disposal of PCB wastes. It is the mechanism under TSCA for accomplishing review, coordination, and
approval of PCB waste management activities which are conducted outside of the TSCA PCB approval process, but
require approval under the TSCA PCB regulations at 40 CFR 761 (40 CFR 761.3).
Unit
A particular building, structure, or cell used to manage PCB waste (including, but not limited to, a building used for
PCB waste storage, a landfill, an industrial boiler, or an incinerator) (40 CFR 761.3).
U.S. GPO
The U.S. Government Printing Office, 710 North Capitol St., NW., Washington, DC 20401 (40 CFR 761.3).
Waste Oil
Used products primarily derived from petroleum, which include, but are not limited to, fuel oils, motor oils, gear
oils, cutting oils, transmission fluids, hydraulic fluids, and dielectric fluids (40 CFR 761.3).
This document is intended solely for guidance. No statutory or regulatory 32
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Wet Weight
Reporting chemical analysis results by including either the weight, or the volume and density, of all liquids (40 CFR
761.3).
Typical Records To Review
• Inspection, storage, maintenance, and disposal records for PCBs/PCB Items
• PCB Equipment inventory and sampling results
• Manifests and CODs
• Correspondence with regulatory agencies concerning noncompliance situations
• Annual reports
• Asbestos management plan and operating plan
• Notification to regulators concerning asbestos disposal
• Records of onsite disposal and transportation and offsite disposal of asbestos
• Regulatory inspection reports
• Documentation of asbestos sampling and analytical results
• Documentation of preventive measures or action
• Results of air sampling at the conclusion of response action
• Records of asbestos training program
• List of buildings insulated with asbestos or housing ACM
• Record of demolition or renovation projects in the past 5 yr that involved friable asbestos
• Decision documents/records of decision
• Administrative record
• Facility Master Plan Document
• Spill Prevention Control and Countermeasure (SPCC) Plan
Typical Physical Features To Inspect
• PCB storage areas
• Equipment, fluids, and other items used or stored at the facility containing PCBs
• Pipe, spray-on, duct, and troweled cementitious insulation and boiler lagging
• Ceiling and floor tiles
List of Acronyms and Abbreviations
ACBM Asbestos-Containing Building Material
a.c./d.c. Alternating Current/Direct Current
ACM Asbestos-Containing Material
AHERA The Asbestos Hazard Emergency Response Act of 1986
ASTM American Society for Testing and Materials
Btu British Thermal Unit
C Celsius
CERCLA The Comprehensive Environmental Response, Compensation, and Liability Act
CERL U.S. Army Corps of Engineers Construction Engineering Research Laboratory
CFR Code of Federal Regulations
cm Centimeter
cm2 Square Centimeter
CM Chemical Manufacturers Association
COD Certificate of Disposal
This document is intended solely for guidance. No statutory or regulatory 33
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
CWA Clean Water Act
DOD Department of Defense
DOT Department of Transportation
dscf dry standard cubic foot
EBL Elevated Blood Lead Level
EO Executive Order
EPA Environmental Protection Agency
F Fahrenheit
FR Federal Register
ft Foot/Feet
ft2 Square Feet
ft3 Cubic Feet
gal Gallon
h Hour
HEPA High-Efficiency Paniculate Air
HMR DOT Hazardous Materials Regulations at 49 CFR 171 through 180.
HUD The U.S. Department of Housing and Urban Development
in. Inch
kg Kilogram
km Kilometer
L Liter
Ib Pound
LBP Lead-Based Paint
m Meter
m2 Square Meter
m3 Cubic Meter
|j,g Microgram
mg Milligram
min Minute
mL Milliliter
|jm Micrometer
mo Month
MODEF Mineral Oil Dielectric Fluid
MP Management Practice
MRI Midwest Research Institute
MSHA Mine Safety and Health Administration
NACE National Association of Corrosion Engineers
NB S National Bureau of Standards
NESHAP National Emission Standards for Hazardous Air Pollutants
NIOSH National Institute of Occupational Safety and Health
NIST National Institute of Standards and Technology
NOV Notice of Violation
NRC National Response Center
NTIS The National Technical Information Service
NVLAP National Voluntary Laboratory Accreditation Program
O & M Operations & Maintenance
ORM OSHA Reference Method
OSHA Occupational Safety and Health Administration
PEL Permissible Exposure Limit
PCB Fob/chlorinated Biphenyl
PLM Polarized Light Microscopy
PODF Performance-Based Organic Decontamination Fluid
ppb Parts Per Billion
ppm Part Per Million
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
ppmv Part Per Million by Volume
RACM Regulated Asbestos-Containing Material
RCRA Resource Conservation and Recovery Act
R&D Research and Development
s Second
SPCC Spill Prevention Control and Countermeasure Plan
TEAM The Environmental Assessment and Management Guide
TSCA The Toxic Substances Control Act
TWA Time-Weighted Average
[Lg Microgram
|j,g/g Microgram/gram
|j,g/L Microgram Per Liter
USC U.S. Code
U.S. EPA U.S. Environmental Protection Agency
U.S. GPO U.S. Government Printing Office
USPS U.S. Postal Service
XRF X-Ray Fluorescence
yd2 Square Yard
yr Year
> greater than
< less than
>/= greater than or equal to
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Index for Checklist Users
Categories
General
Polychlorinated Biphenyls (PCBs)
General Management
General Usage
Documentation
Transformers
PCB Items
Incinerators
High Efficiency Boilers
Scrap Metal Recovery Ovens and
Smelters
Chemical Waste Landfills
Used in Research
Storage
Spills and Cleanup
Remediation Waste
Transportation
Disposal
Decontamination
Import/Export
Asbestos
In Schools
Abatement Projects
Prohibition on Manufacturing,
Importing, Processing, and
Distributing in Commerce of
Certain Asbestos Containing
Products
Lead-Based Paint (LBP)
Notifications
Training Requirements
Work Practice Standards
Refer To:
Checklist Items:
TT. 1.1 through TT. 1.3
TT.10.1 through TT. 10. 6
TT.20.1 through TT.20.7
TT.30.1 through TT.30. 13
TT.40.1 through TT.40. 10
TT.50.1 through TT.50.4
TT.60.1 through TT.60.5
TT.70.1andTT.70.2
TT.80.1
TT.90.1
TT. 100.1 and TT. 100.2
TT. 110. IthroughTT.llO. 10
TT. 120.1 through TT. 120.7
TT. 130.1 through TT. 130.3
TT. 140.1 through TT. 140.5
TT. 150.1 through TT. 150.20
TT. 160.1 through TT. 160.6
TT. 170.1 and TT. 170.2
TT.200.1 through TT.200. 13
TT.230.1 through TT.230. 10
TT.260.1 through TT.260.5
TT.300.1 through TT.300.4
TT.320.1andTT.320.2
TT.350.1 through TT.350.4
Page Number
39
41
47
53
71
79
83
89
93
95
99
103
111
119
125
133
145
151
153
169
181
185
191
193
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Checklist
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
GENERAL
TT.l
TT.1.1. The current status of
any ongoing or unresolved
consent orders, compliance
agreements, notice of
violations (NOVs), inter-
agency agreements, or
equivalent state enforcement
actions should be examined.
Determine if noncompliance issues have been resolved by reviewing a copy of the
previous report, consent orders, compliance agreements, NOVs, interagency
agreements, or equivalent state enforcement actions.
(NOTE: For those open items, indicate what corrective action is planned and
milestones established to correct problems.)
TT.1.2. Facilities are
required to comply with all
applicable federal regulatory
requirements not contained in
this checklist.
Determine if any new regulations have been issued since the finalization of this
document. If so, annotate checklist to include new standards.
Determine if the facility has activities or facilities which are regulated, but not
addressed in this checklist.
Verify that the facility is in compliance with all applicable and newly issued
regulations.
TT.1.3. Facilities are required
to comply with state and local
regulations concerning PCBs,
Asbestos, and LBP.
Verify that the facility is complying with state and local requirements.
Verify that the facility is operating according to permits issued by the state or local
agencies.
(NOTE: Issues typically regulated by state and local agencies include:
-definitions of PCB-contaminated
- PCB storage, labeling, and disposal requirements
- certification of individuals sampling and/or working with asbestos
- asbestos handling and disposal procedures
- renovation and demolition procedures
- certification of individuals sampling and/or working with LBP
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory 40
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
POLYCHLORINATED
BIPHENYLS (PCBs)
TT.10
General Management
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
TT.10.1. PCB Concentrations
are required to be established
by certain methods (40 CFR
761.1(b)(4)and761.2(b)).
Verify that PCB concentrations have been established one of the following ways:
- testing the equipment
- permanent label, mark, or other documentation from the manufacturer of the
equipment indicating its PCB concentration at the time of manufacture
- service records or other documentation indicating the PCB concentration of
all fluids used in servicing the equipment since it was first manufactured.
(NOTE: See the definition of PCB Concentration Assumptions for further
clarification.)
Verify that any person determining PCB concentrations for non-liquid PCBs does
so on a dry weight basis.
Verify that any person determining PCB concentrations for liquid PCBs does so
on a wet weight basis and liquid PCBs containing more than 0.5 percent by weight
non-dissolved material are analyzed as multi-phasic non-liquid/liquid mixtures.
Verify that any person determining the PCB concentration of samples containing
PCBs and non-dissolved non-liquid materials >/= 0.5 percent, separates the non-
dissolved materials into non-liquid PCBs and liquid PCBs.
Verify that, for multi-phasic non-liquid/liquid or liquid/liquid mixtures, the phases
are separated before chemical analysis.
Verify that, following phase separation, the PCB concentration in each non-liquid
phase is determined on a dry weight basis and the PCB concentration in each
liquid phase are determined separately on a wet weight basis.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
41
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that any person disposing of multi-phasic non-liquid/liquid or liquid/liquid
mixtures use the PCB disposal requirements that apply to the individual phase with
the highest PCB concentration except where otherwise noted.
(NOTE: Phases may be separated and disposed of using the PCB disposal
requirements that apply to each separated, single-phase material.)
TT.10.2. No person may
manufacture PCBs for use
within the United States or
manufacture PCBs for export
from the United States without
an exemption (40 CFR
761.1(f)(l)and761.20(b)).
Verify that manufacturers of PCBs for use within the United States or
manufactures of PCBs for export from the United States have an exemption.
(NOTE: An exemption is not required for persons who inadvertently manufacture
or import PCBs generated as unintentional impurities in an excluded
manufacturing process (see definitions), provided they meet the requirements in 40
CFR 761.180 through 761.193 on records and reports (see checklist items
TT.30.1, TT.30.3 through TT.30.9, and TT. 140.3).)
TT.10.3. No persons may
process or distribute in
commerce any PCB, or any
PCB Item regardless of
concentration, for use within
the United States or for export
from the United States without
an exemption unless specific
requirements are met (40 CFR
761.20(c)).
Verify that no PCB, or any PCB Item regardless of concentration, is processed or
distributed in commerce for use within the United States or for export from the
United States without an exemption.
(NOTE: An exemption is not required to process, distribute in commerce or use,
PCBs or PCB Items resulting from an excluded manufacturing process, or to
process or distribute in commerce recycled PCBs, or to process or distribute in
commerce excluded PCB products, provided they meet the requirements in 40
CFR 761.180 through 761.193 on records and reports (see checklist items
TT.30.1, TT.30.3 through TT.30.9, and TT. 140.3). PCBs and PCB items may be
exported for disposal only if they contain concentrations less than 50 ppm of
PCBs. Otherwise, a rulemaking exemption is required to allow exports of PCBs
and PCB items with concentrations greater than or equal to 50 ppm.)
Verify that, if the following activities are being conducted without an exemption,
the specified conditions are being met:
- sale of PCBs at concentrations of 50 ppm or greater, or PCB Items with PCB
concentrations of 50 ppm or greater, for purposes other than resale may be
distributed in commerce only in a totally enclosed manner (NOTE: In
addition, there must be a record of transfer of ownership.)
-processing and distribution in commerce for disposal of PCBs at
concentrations of >/= 50 ppm, or PCB Items with PCB concentrations of >/=
50 ppm, if they comply with the following:
- processing activities which are primarily associated with and facilitate
storage or transportation for disposal do not require a Toxic Substances
Control Act (TSCA) PCB storage or disposal approval.
- processing activities which are primarily associated with and facilitate
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
42
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
treatment, or disposal have a TSCA PCB disposal approval unless they
are part of an existing approval, are part of a self-implementing activity
under, or are otherwise specifically allowed
-processing, diluting, or otherwise blending of waste prior to being
introduced into a disposal unit for purposes of meeting a PCB
concentration limit is done in accordance with a TSCA PCB disposal
approval or complies with the requirements of 40 CFR 761.79 (see
checklist items TT. 160.1 through TT. 160.6)
- where the rate of delivering liquids or non-liquids into a PCB disposal
unit is an operating parameter, this rate is a condition of the TSCA PCB
disposal approval for the unit when an approval is required.
-PCBs and PCB Items are exported for disposal in accordance 40 CFR 761.91
through 761.99 (see checklist items TT. 170.1 and TT. 170.2)
- PCBs, at concentrations of < 50 ppm, or PCB Items, with concentrations of <
50 ppm, are processed and distributed in commerce for purposes of disposal.
(NOTE: Any person may distribute in commerce equipment, structures, or other
liquid or non-liquid materials that were contaminated with PCBs >/= 50 ppm,
including those not otherwise authorized for distribution in commerce if one of the
following applies:
- the materials were appropriately decontaminated
-if not previously decontaminated, the materials now meet an applicable
decontamination standard.)
TT.10.4. Any person with
access to, or in direct contact
with, PCB-Contaminated
surfaces must be protected
from dermal exposure to those
surfaces (40 CFR
761.60(b)(6)(iv)).
Verify that persons disposing of PCB Articles wear or use protective clothing or
equipment to protect against dermal contact with or inhalation of PCBs, or
materials containing PCBs.
TT.10.5. Storage rooms and
certain equipment that
contains PCBs must be
marked with an ML marking
(40 CFR 761.40 and 761.45).
(NOTE: Marking Format Large PCB Mark (ML) letters and striping, on a white or
yellow background, sufficiently durable to equal or exceed the life of the PCB
Article. The size shall be 15.25 cm (6 in.) on each side. If the article is too small
to accommodate this size, a smaller label (Ms) may be used.)
Verify that the following equipment is marked with an ML marking that can be
easily read by any person inspecting or servicing the equipment (see Appendix A
of this document for a sample of the marking):
-PCB Containers with PCBs in concentrations of 50 ppm to 500 ppm at the
time of manufacture, at the time of distribution in commerce if not already
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
43
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
marked, and at the time of removal from use if not already marked
- PCB Transformers (500 ppm or greater)
- PCB Large High-Voltage Capacitors at the time of manufacture, at the time
of distribution in commerce if not already marked, and at the time of removal
from use if not already marked
- equipment containing a PCB Transformer (500 ppm or greater) or a PCB
Large High-Voltage Capacitor at the time of manufacture, at the time of
distribution in commerce if not already marked, and at the time of removal
from use if not already marked
- PCB Large Low-Voltage Capacitors at the time of removal from service
- electric motors using PCB coolants with a concentration 50 ppm to 500 ppm
- hydraulic systems using PCB hydraulic fluid with concentrations 50 ppm to
500 ppm
-heat transfer systems (other than PCB Transformers) using PCB
concentrations 50 ppm to 500 ppm
-PCB Article Containers containing any of the above
- each storage area used to store PCBs and PCB Items for disposal
-transport vehicles loaded with PCB Containers that contain > 45 kg (99.4 Ib)
of liquid PCBs with PCBs at concentrations >/= 50 ppm or with one or more
PCB Transformers with PCB concentrations of > 500 ppm are marked on
each end and side
-vault doors, machinery room doors, fences, hallways, or means of access,
other than a manhole or grate cover, to a PCB Transformer (500 ppm or
greater)
-voltage regulators which contain 1.36 kg (3 Ib) or more of dielectric fluid
with a PCB concentration of >/= 500 ppm (individually)
-vault doors, machinery room doors, fences, hallways, or means of access,
other than grates or manhole covers, to voltage regulators which contain
1.36 kg (3 Ib) or more of dielectric fluid with a PCB concentration of >/=
500 ppm.
Verify that, if one or more PCB Large High-Voltage Capacitors is installed in a
protected location such as a pole, structure, or behind a fence, the pole, structure,
or fence is marked and a record or procedure identifying the PCB Capacitor is
maintained.
Verify that all PCB Equipment containing a PCB Small Capacitor is marked at the
time of manufacture with the statement "This equipment contains PCB
Capacitor(s)." Marking requirements for small capacitors apply to equipment
manufactured as of January 1, 1979.
Verify that each Large Low voltage Capacitor, each Small Voltage Capacitor
normally used in alternating current circuit, and each fluorescent light ballast built
between July 1, 1978, and July 1, 1998, that do not contain PCBs were marked at
the time of manufacture with the statement "No PCBs"
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
44
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that all marks are placed in a position on the exterior of the PCB Items,
storage units, or transport vehicles so that the marks can be easily read by any
person inspecting or servicing the marked PCB Items, storage units, or transport
vehicles.
(NOTE: Marking of PCB-Contaminated Electrical Equipment (50 to 500 ppm) is
not required.)
Verify that, after April 26, 1999, PCB Large Low Voltage Capacitors not
previously marked, are marked individually.
(NOTE: Inaccessible capacitors may be marked on the outside of the equipment
instead of on each individual capacitor if one or more such Capacitors in a
protected location such as on a power pole, or in a structure, or behind a fence, the
pole, fence, or structure is marked.)
Verify that any containers of chemical substances or mixtures that is manufactured
and that contains < 500 ppm PCB (0.05% on a dry weight basis), including PCB
that is a byproduct or impurity, is marked according to any permit requirements
contained in the U.S. EPA exemption to manufacture.
Verify that a record is maintained after April 26, 1999, of those PCB Large Low
Voltage Capacitors in a protected location.
Verify that after April 26, 1999, all equipment containing a PCB Transformer or a
PCB Large, High, or Low Voltage Capacitor are marked.
(NOTE: Appendix B of this document contains a list of manufacturers that
produced PCB-Contaminated dielectric fluid.)
Verify that the vault door, machinery room door, fence, hallway, or means of
access, other than grates and manhole covers, to a PCB Transformer are marked
with the ML mark.
(NOTE: A mark other than the ML mark may be used if:
-the program using an alternative mark was started prior to August 15, 1985,
and can be substantiated with documentation
-prior to August 15, 1985, coordination between the transformer owner and
primary fire department occurred, and the primary fire department knows,
accepts, and recognizes what the alternative marks mean and this can be
substantiated with documentation
-the U.S. EPA Regional Administrator was informed in writing of the use of
the alternative mark by October 3, 1988
-the U.S. EPA Regional Administrator approved the use of an alternative
mark.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
45
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
(NOTE: The annual document log/inventory should contain a list of all PCB
equipment at the site.)
TT.10.6. Generators,
commercial storers,
transporters, and disposers of
PCB waste are required to
have a U.S. EPA
identification number (40
CFR 761.202 through
761.205).
(NOTE: Some facilities are exempt from the notification requirement if they do
not have a specified PCB storage area as regulated by 40 CFR 761.65 (see
checklist items TT.30.10 through TT.30.13, TT. 110.1 through TT.110.6 and
TT. 110.9) and just temporarily store before they transport for disposal.)
Determine if the facility is a generator, commercial storer, transporter, or disposer
of PCB waste.
Verify that generators of PCB waste have a U.S. EPA identification number
before processing, storing, disposing of, transporting, or offering for transport
PCB waste.
Verify that transporters, disposers, or commercial storers of PCB waste have a
U.S. EPA identification number.
(NOTE: A generator of PCB waste who is exempted from notification, or who
notified the U.S. EPA in a timely manner, but has not yet received a unique
identification number shall be regarded as having received the identification
number "40 CFR 761".)
(NOTE: a disposer of PCB waste who owns more than one disposal facility or
mobile treatment unit shall accept waste unless the disposer has received an U.S.
EPA identification number for each facility or mobile unit.)
Verify that, if required, Form 7710-53, Notification of PCB Waste Activity, was
filed with U.S. EPA by April 4, 1990, or prior to engaging in PCB waste handling
activities and a U.S. EPA identification number was obtained.
(NOTE: When a facility has previously notified U.S. EPA of its PCB waste
handling activities using U.S. EPA Form 7710-53 and those activities change, the
facility must resubmit U.S. EPA Form 7710-53 to reflect those changes no later
than 30 days from when a change is made. Examples of when a PCB waste handler
must renotify U.S. EPA include, but are not limited to, the following: the company
changes location of the facility; or the company had notified solely as engaging in
a certain type of PCB waste handling activity and now wishes to engage in another
PCB waste activity (e.g., previously only commercially stored PCB waste and now
wishes to transport PCB waste).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
46
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
POLYCHLORINATED
BIPHENYLS (PCBs)
TT.20
General Usage
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
TT.20.1. PCBs or PCB Items,
regardless of concentration,
are required to be used in a
totally enclosed manner (40
CFR 761.20(a) and 761.30(f),
761.30(k), and761.30(r)).
Verify that no PCB, or PCB Item, regardless of concentration, is used in any
manner other than in a totally enclosed manner within the United States except
that:
-an authorization is not required to use those PCBs or PCB Items which
consist of excluded PCB products
-an authorization is not required to use those PCBs or PCB Items resulting
from an excluded manufacturing process or recycled PCBs
-an authorization is not required to use those PCB Items which contain or
whose surfaces have been in contact with excluded PCB products
-an authorization is not required to use sewage sludge where the uses are
regulated at 40 CFR 257, 258, and 503.
(NOTE: The following are exemptions to this requirement:
- carbonless copy paper containing PCBs may be used in a manner other than a
totally enclosed manner indefinitely.
-PCBs may be used indefinitely in scientific instruments, for example, in
oscillatory flow birefringence and viscoelasticity instruments for the study of
the physical properties of polymers, as microscopy mounting fluids, as
microscopy immersion oil, and as optical liquids in a manner other than a
totally enclosed manner
-PCBs may be used as an immersion oil in fluorescence microscopy, in a
manner other than a totally enclosed manner indefinitely.
- PCBs may be used as optical liquids in a manner other than a totally enclosed
manner indefinitely
-PCBs may be used at any concentration in rectifiers for the remainder of the
PCBs' useful life, and may use PCBs <50 ppm in servicing (including
rebuilding) rectifiers
For additional activities which are authorized pursuant to section 6(e)(2)(B) of
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
47
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TSCA under 40 CFR 761.30 (see checklist items TT.20.1 through TT.20.5,
TT.40.1 through TT.40.10, TT.50.1 through TT.50.4, and TT. 100.1).)
Verity that no person blends or otherwise dilutes PCBs regulated for disposal,
including PCB sewage sludge and sewage sludge not used pursuant to 40 CFR
257, 258, and 503, for purposes of use or to avoid disposal requirements.
Verify that, except as explicitly provided in 40 CFR 761.50 through 761.79, no
person disposes of regulated PCB wastes including, but not limited to, PCB
remediation waste, PCB bulk product waste, PCBs, and PCB industrial sludges,
into treatment works.
TT.20.2. When using
equipment, structures, other
non-liquid or liquid materials
that were contaminated with
PCBs during manufacture,
use, servicing, or because of
spills from, or proximity to,
PCBs >/=50 ppm, specific
requirements must be met (40
CFR761.30(u)).
Verify that the following are met when using equipment, structures, other non-
liquid or liquid materials that were contaminated with PCBs during manufacture,
use, servicing, or because of spills from, or proximity to, PCBs >/=50 ppm,
including those not otherwise authorized for use under 40 CFR 761:
-the materials were decontaminated in accordance with a Toxic Substances
Control Act (TSCA) PCB disposal approval issued under 40 CFR 761,
Subpart D, 40 CFR 761.79, or applicable U.S. EPA PCB spill cleanup
policies in effect at the time of the decontamination
-if not previously decontaminated, the materials now meet an applicable
decontamination standard.
Verify that materials decontaminated or meeting an applicable decontamination
standard are not used or reused in direct contact with food, feed, or drinking water
unless otherwise allowed under these regulations.
(NOTE: Any person may use water containing PCBs at concentrations /= 50 ppm:
- the source of PCB contamination is removed or contained to prevent further
release to porous surfaces
- if the porous surface is accessible to superficial surface cleaning, a double
wash rinse procedure (as specified in 40 CFR 761.360 through 761.378) is
conducted on the surface to remove surface PCBs and the treated surface is
allowed to dry for 24 h.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
48
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that after accessible surfaces have been cleaned, and for all surfaces
unaccessible to cleanup:
- the surface is completely covered with one of the following to prevent the
release of PCBs:
- two solvent resistant and water repellent coatings of contrasting colors
to allow for a visual indication of wear through or loss of outer coating
integrity
- a solid barrier fastened to the surface and covering the contaminated
area or all accessible parts of the contaminated area.
-the surface is marked with the ML Mark in a location easily visible to
individuals present in the area; the ML Mark is placed over the encapsulated
area or the barrier to the encapsulated area
- ML Marks are replaced when worn or illegible.
Verify that the removal of a porous surface contaminated with PCBs from its
location or current use is not done except for removal for disposal (as specified in
40 CFR 761.61 or 761.79 for surfaces contaminated by spills, or 40 CFR 761.62
for manufactured porous surfaces).
TT.20.4. When PCBs are
used in air compressor system,
specific parameters must be
met(40CFR761.30(s)).
Verify that the concentration of PCBs in air compressor systems is < 50 ppm.
Verify that, if concentrations are >/= 50 ppm, the following are met:
- all free-flowing liquids containing PCBs >/=50 ppm are removed from the air
compressor crankcase and the crankcase is refilled with non-PCB liquid
-other air compressor system components contaminated with PCBs >/=50
ppm, are decontaminated or disposed of
-air compressor piping with a nominal inside diameter of <2 in. is
decontaminated by continuous flushing for 4 h, at no < 300 gal/h.
(NOTE: The requirements if PCBs are >/= 50 ppm must be completed by August
30, 1999, or within 1 yr of the date of discovery of PCBs at >/=50 ppm in the air
compressor system, whichever is later. The U.S. EPA Regional Administrator for
the U.S. EPA Region in which an air compressor system is located may, at his/her
discretion and in writing, extend this timeframe.)
TT.20.5. The use of PCBs in
gas or liquid transmission
systems must meet specific
requirements (40 CFR
761.30(t)).
Verify that PCBs used in intact and non-leaking gas or liquid transmission systems
are at concentrations <50 ppm PCBs.
(NOTE: PCBs are authorized for use at concentrations >/=50 ppm in intact and
non-leaking gas or liquid transmission systems not owned or operated by a seller
or distributor of the gas or liquid transmitted in the system.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
49
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
(NOTE: Any person may use PCBs at concentrations >/=50 ppm in intact and non-
leaking gas or liquid transmission systems, with the written approval of the
Director, National Program Chemicals Division.)
TT.20.6. The use of waste oil
that contains any detectable
concentration of PCB as a
sealant, coating, or dust
control agent is prohibited (40
CFR761.20(d)).
Verify that waste oil that contains any detectable concentration of PCB is not used
as a sealant, coating, or dust control agent.
(NOTE: Prohibited uses include, but are not limited to, road oiling, general dust
control, use as a pesticide or herbicide carrier, and use as a rust preventative on
pipes.)
TT.20.7. Marketers and
burners of used oil who
market (process or distribute
in commerce) for energy
recovery, used oil containing
any quantifiable level of PCBs
must meet specific
requirements (40 CFR
761.20(e)).
(NOTE: these are in addition to the requirements found in 40 CFR 279.)
Verify that used oil containing any quantifiable level of PCBs (2 ppm) is marketed
only to:
- qualified incinerators as defined in 40 CFR 761.3
- marketers who market off-specification used oil for energy recovery only to
other marketers who have notified U.S. EPA of their used oil management
activities, and who have an U.S. EPA identification number where an
identification number is required by 40 CFR 279.73
-burners identified in 40 CFR 279.61(a)(l) and (2).
(NOTE: Only burners in the automotive industry may burn used oil generated
from automotive sources in used oil-fired space heaters provided the provisions of
40 CFR 279.23 are met. The U.S. EPA Regional Administrator may grant a
variance for a boiler that does not meet the 40 CFR 279.61(a)(l) and (2) criteria
after considering the criteria listed in 40 CFR 260.32 (a) through (f).)
(NOTE: Used oil to be burned for energy recovery is presumed to contain
quantifiable levels (2 ppm) of PCB unless the marketer obtains analyses (testing)
or other information that the used oil fuel does not contain quantifiable levels of
PCBs.)
Verify that the person who first claims that a used oil fuel does not contain
quantifiable level (2 ppm) PCBs obtains analyses or other information to support
that claim.
(NOTE: Testing to determine the PCB concentration in used oil may be
conducted on individual samples, or in accordance with the testing procedures
described in 40 CFR 761.60(g)(2). However, for purposes of 40 CFR 761, if any
PCBs at a concentration of 50 ppm or greater have been added to the container or
equipment, then the total container contents must be considered as having a PCB
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
50
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
concentration of 50 ppm or greater for purposes of complying with the disposal
requirements of 40 CFR 761.)
(NOTE: Other information documenting that the used oil fuel does not contain
quantifiable levels (2 ppm) of PCBs may consist of either personal, special
knowledge of the source and composition of the used oil, or a certification from
the person generating the used oil claiming that the oil contains no detectable
PCBs.)
Verify that used oil containing any quantifiable levels of PCB is burned at an
approved facility for energy recovery only when such facilities are operating at
normal operating temperatures (this prohibits feeding these fuels during either
startup or shutdown operations).
Verify that before a burner accepts from a marketer the first shipment of used oil
fuel containing detectable PCBs (2 ppm), the burner provides the marketer a one-
time written and signed notice certifying that:
-the burner has complied with any notification requirements applicable to
"qualified incinerators" (40 CFR 761.3) or to "burners" regulated under 40
CFR 279, Subpart G
- the burner will burn the used oil only in an approved combustion facility and
identify the class of burner he qualifies.
Verify that marketers who first claim that the used oil fuel contains no detectable
PCBs retains copies of the analysis or other information documenting his claim,
and a copy of each certification notice received or prepared relating to transactions
involving PCB-containing used oil.
Verify that burners maintain a copy of each certification notice that he sends to a
marketer.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
51
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory 52
requirements are in any way altered by any statement(s) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
POLYCHLORINATED
BIPHENYLS (PCBs)
TT.30
Documentation
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
TT.30.1. A written annual
document log must be
prepared by July 1 of each
calendar year, covering the
previous year when at least 45
kg (99.4 Ib) of PCBs
contained in PCB Containers
or one or more PCB
Transformers (500 ppm or
greater), or 50 or more PCB
Large, High-, or Low-Voltage
Capacitors is used or stored at
any time (40 CFR
761.180(a)).
(NOTE: This requirement does not apply to a commercial storer or disposer of
PCB waste.)
Verify that the annual document log and annual records (manifests, records of
inspections and cleanups, certificates of disposal) are kept for at least 3 yr after
PCBs and PCB items are no longer used or stored in the listed quantities.
Verify that the log is completed by July 1 for the previous year.
Verify the written annual document log includes the following:
-the name, address, and U.S. EPA identification number of the facility
covered by the annual document log and the calendar year covered by the
annual document log
-the unique manifest number of every manifest generated by the facility
during the calendar year
-from each manifest and for unmanifested waste that may be stored at the
facility, the following information
-for bulk PCB waste (e.g., in a tanker or truck), its weight in kilograms,
the first date it was removed from service for disposal, the date it was
placed into transport for offsite storage or disposal, and the date of
disposal, if known
- the serial number (if available) or other means of identifying each PCB
Article (e.g., transformer or capacitor), the weight in kilograms of the
PCB waste in each transformer or capacitor, the date it was removed
from service for disposal, the date it was placed in transport for offsite
storage or disposal, and the date of disposal, if known
- a unique number identifying each PCB Container, a description of the
contents of each PCB Container, such as liquid, soil, cleanup debris,
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
53
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
etc., including the total weight of the material in kilograms in each PCB
Container, the first date material placed in each PCB Container was
removed from service for disposal, and the date each PCB Container
was placed in transport for offsite storage or disposal, and the date of
disposal (if known)
- a unique number identifying each PCB Article Container, a description
of the contents of each PCB Article Container, such as pipes,
capacitors, electric motors, pumps, etc., including the total weight in
kilograms of the content of each PCB Article Container, the first date a
PCB Article placed in each PCB Article Container was removed from
service for disposal, and the date the PCB Article Container was placed
in transport for offsite storage or disposal, and the date of disposal (if
known)
- the total number by specific type of PCB Articles and the total weight in
kilograms of PCBs in PCB Articles, the total number of PCB Article
Containers and total weight in kilograms of the contents of PCB Article
Containers, the total number of PCB Containers and the total weight in
kilograms of the contents of PCB Containers, and the total weight in
kilograms of bulk PCB waste that was placed into storage for disposal or
disposed during the calendar year
- the total number of PCB Transformers and total weight in kilograms of PCBs
contained in the transformers remaining in service at the end of the calendar
year
- the total number of Large High or Low Voltage PCB Capacitors remaining in
service at the end of the calendar year
- the total weight in kilograms of any PCBs and PCB Items in PCB Containers,
including the identification of container contents, remaining in service at the
facility at the end of the calendar year
-for any PCBs or PCB item received from or shipped to another facility
owned or operated by the same generator, the following information:
-for bulk PCB waste (e.g., in a tanker or truck), its weight in kilograms,
the first date it was removed from service for disposal, the date it was
placed into transport for offsite storage or disposal, and the date of
disposal, if known
- the serial number (if available) or other means of identifying each PCB
Article (e.g., transformer or capacitor), the weight in kilograms of the
PCB waste in each transformer or capacitor, the date it was removed
from service for disposal, the date it was placed in transport for offsite
storage or disposal, and the date of disposal, if known
- a unique number identifying each PCB Container, a description of the
contents of each PCB Container, such as liquid, soil, cleanup debris,
etc., including the total weight of the material in kilograms in each PCB
Container, the first date material placed in each PCB Container was
removed from service for disposal, and the date each PCB Container
was placed in transport for offsite storage or disposal, and the date of
disposal (if known)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
54
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
- a unique number identifying each PCB Article Container, a description
of the contents of each PCB Article Container, such as pipes,
capacitors, electric motors, pumps, etc., including the total weight in
kilograms of the content of each PCB Article Container, the first date a
PCB Article placed in each PCB Article Container was removed from
service for disposal, and the date the PCB Article Container was placed
in transport for offsite storage or disposal, and the date of disposal (if
known.)
- a record of each telephone call, or other means of verification agreed upon
by both parties, made to each designated commercial storer or designated
disposer to confirm receipt of PCB waste transported by an independent
transporter
- the name, address, and telephone number of the person to whom an item was
transferred, date of transfer, and the serial number of the item or the internal
identification number, if a serial number is not available, whenever a PCB
Item, excluding small capacitors, with a concentration of >/=50 ppm is
distributed in commerce for reuse.
NOTE: In this context, PCB Voltage Regulators will be recorded as PCB
Transformers.)
Determine if the following information is provided by reviewing the annual
document log:
- all signed manifests generated or received during the calendar year
- all CODs that have been generated or received during the calendar year.
TT.30.2. Certain records must
be kept in relation to PCB
cleanup (40 CFR
761.125(b)(3) and
761.125(c)(5)).
Verify that after completing the cleanup of low concentration spills of < 1 Ib of
PCBs (< 270 gal of untested mineral oil), the cleanup is documented with records
and certification containing the following:
-identification of the source of the spill
- estimated or actual date and time of the spill occurrence
- the date and time cleanup was completed or terminated
- a brief description of the spill location
- precleanup sampling data used to establish the spill boundaries if required
because of insufficient visible traces, and a brief description of the sampling
methodology used
- a brief description of the solid surfaces cleaned and of the double wash/rinse
method used
-approximate depth of the solid surface cleaned and the amount of soil
removed
- a certification statement signed by the responsible party stating the cleanup
requirements have been met and that the information contained in the record
is true to the best of his/her knowledge.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
55
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that after completing cleanup of high-concentration spills and low
concentration spills involving 1 Ib or more of PCBs by weight (270 gal or more of
untested mineral oil), the cleanup is documented with records and certification
containing the following:
-identification of the source of the spill
- estimated or actual date and time of the spill occurrence
- the date and time cleanup was completed or terminated
-a brief description of the spill location and the nature of the materials
contaminated
- precleanup sampling data used to establish the spill boundaries if required
because of insufficient visible traces, and a brief description of the sampling
methodology used
- a brief description of the solid surfaces cleaned
- approximate depth of soil excavation and the amount of soil removed
- postcleanup verification sampling data, and, if not otherwise apparent from
the documentation, a brief description of the sampling methodology and
analytical techniques used.
Verify that all records are maintained for 5 yr.
TT.30.3. Disposers and
commercials storers of PCB
waste are required to keep
certain records (40 CFR
761.180(b)(l) through
761.180(b)(3), and
761.180(b)(5)).
(NOTE: These requirements apply beginning February 5, 1990, to each owner or
operator of a facility (including high efficiency boiler operations) used for the
commercial storage or disposal of PCBs and PCB Items.)
Verify that the written annual document log is prepared by July 1 for the previous
calendar year (January through December).
Verify that the written annual document log is maintained at each facility for at
least 3 yr after the facility is no longer used for the storage or disposal of PCBs
and PCB Items except that, in the case of chemical waste landfills, the annual
document log is maintained at least 20 yr after the chemical waste landfill is no
longer used for the disposal of PCBs and PCB Items.
Verify that the annual records are maintained for the same period as the annual
document log.
Verify that the annual records and written annual document log are available at the
facility for inspection by authorized representatives of the U.S. EPA.
(NOTE: All records and annual documents required to be prepared and
maintained prior to February 5, 1990 shall continue to be maintained at the
facility for the same time as the annual records and the annual document log. The
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
annual document for 1989 shall cover the period from January 1, 1989 to February
5, 1990.)
Verify that the annual report is submitted by July 15 of each year for the preceding
calendar year.
Verify that, if a facility stops commercial PCB storage or disposal operations, the
owner or operator of the facility provides at least 60 days advance written notice to
the Regional Administrator for the region in which the facility is located of the
date the facility intends to begin closure.
Verify that the annual records include:
- all signed manifests generated or received at the facility during the calendar
year
-all COD that have been generated or received by the facility during the
calendar year
- records of inspections and cleanups performed.
Verify that the written annual document log includes the following:
-the name, address, and U.S. EPA identification number of the storage or
disposal facility covered by the annual document log and the calendar year
covered by the annual document log
-for each manifest generated or received by the facility during the calendar
year, the unique manifest number and the name and address of the facility
that generated the manifest and the following information
-for bulk PCB waste (e.g., in a tanker or truck), its weight in kilograms,
the first date PCB waste placed in the tanker or truck was removed from
service for disposal, the date it was received at the facility, the date it
was placed in transport for offsite disposal (if applicable), and the date
of disposal, (if known)
- the serial number or other means of identifying each PCB Article, not in
a PCB Container or PCB Article Container, the weight in kilograms of
the PCB waste in the PCB Article, the date it was removed from service
for disposal, the date it was received at the facility, the date it was
placed in transport for offsite disposal (if applicable), and the date of
disposal (if known)
-the unique number assigned by the generator identifying each PCB
Container, a description of the contents of each PCB Container, such as
liquid, soil, cleanup debris, etc., including the total weight of the PCB
waste in kilograms in each PCB Container, the first date PCB waste
placed in each PCB Container was removed from service for disposal,
the date it was received at the facility, the date each PCB Container was
placed in transport for offsite storage or disposal (as applicable), and
the date the PCB Container was disposed of (if known)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
57
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
-the unique number assigned by the generator identifying each PCB
Article Container, a description of the contents of each PCB Article
Container, such as pipes, capacitors, electric motors, pumps, etc.,
including the total weight in kilograms of the PCB waste in each PCB
Article Container, the first date a PCB Article placed in each PCB
Article Container was removed from service for disposal, the date it
was received at the facility, the date each PCB Article Container was
placed in transport for offsite storage or disposal (as applicable), and
the date the PCB Article Container was disposed of (if known)
-disposers of PCB waste include the confirmed date of disposal for items
- for any PCB waste disposed at a facility that generated the PCB waste or any
PCB waste that was not manifested to the facility, the following:
-for bulk PCB waste (e.g., in a tanker or truck), its weight in kilograms,
the first date PCB waste placed in the tanker or truck was removed from
service for disposal, the date it was received at the facility, the date it
was placed in transport for offsite disposal (if applicable), and the date
of disposal, (if known)
- the serial number or other means of identifying each PCB Article, not in
a PCB Container or PCB Article Container, the weight in kilograms of
the PCB waste in the PCB Article, the date it was removed from service
for disposal, the date it was received at the facility, the date it was
placed in transport for offsite disposal (if applicable), and the date of
disposal (if known)
-the unique number assigned by the generator identifying each PCB
Container, a description of the contents of each PCB Container, such as
liquid, soil, cleanup debris, etc., including the total weight of the PCB
waste in kilograms in each PCB Container, the first date PCB waste
placed in each PCB Container was removed from service for disposal,
the date it was received at the facility, the date each PCB Container was
placed in transport for offsite storage or disposal (as applicable), and
the date the PCB Container was disposed of (if known)
-the unique number assigned by the generator identifying each PCB
Article Container, a description of the contents of each PCB Article
Container, such as pipes, capacitors, electric motors, pumps, etc.,
including the total weight in kilograms of the PCB waste in each PCB
Article Container, the first date a PCB Article placed in each PCB
Article Container was removed from service for disposal, the date it
was received at the facility, the date each PCB Article Container was
placed in transport for offsite storage or disposal (as applicable), and
the date the PCB Article Container was disposed of (if known)
-disposers of PCB waste include the confirmed date of disposal for items
Verify that the owner or operator of a PCB disposal facility (including one who
disposes of his/her own waste and does not receive or generate manifests) or a
commercial storage facility submits an annual report, which briefly summarizes
the records and annual document log to the U.S. EPA Regional Administrator of
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
58
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
the U.S. EPA Region in which the facility is located by July 15 of each year,
beginning with July 15, 1991.
(NOTE: The first annual report submitted on July 15, 1991, is for the period
starting February 5, 1990, and ending December 31, 1990.)
Verify that the annual report contains the following:
-the name, address, and U.S. EPA identification number of the facility
covered by the annual report for the calendar year
-a list of the numbers of all signed manifests of PCB waste initiated or
received by the facility during that year
-the total weight in kilograms of bulk PCB waste, PCB waste in PCB
Transformers, PCB waste in PCB Large High or Low Voltage Capacitors,
PCB waste in PCB Article Containers, and PCB waste in PCB Containers in
storage at the facility at the beginning of the calendar year, received or
generated at the facility, transferred to another facility, or disposed of at the
facility during the calendar year
- the total number of PCB Transformers, the total number of PCB Large High
or Low Voltage Capacitors, the total number of PCB Article Containers, and
the total number of PCB Containers in storage at the facility at the beginning
of the calendar year, received or generated at the facility, transferred to
another facility, or disposed of at the facility during the calendar year
-the total weight in kilograms of each of the following PCB categories: bulk
PCB waste, PCB waste in PCB Transformers, PCB waste in PCB Large High
or Low Voltage Capacitors, PCB waste in PCB Article Containers, and PCB
waste in PCB Containers remaining in storage for disposal at the facility at
the end of the calendar year
- the total number of PCB Transformers, the total number of PCB Large High
or Low Voltage Capacitors, the total number of PCB Article Containers, and
the total number of PCB Containers remaining in storage for disposal at the
facility at the end of the calendar year
-the requirement to submit annual reports to the U.S. EPA Regional
Administrator continues until the submission of the annual report for the
calendar year during which the facility ceases PCB storage or disposal
operations. Storage operations have not ceased until all PCB waste, including
any PCB waste generated during closure, has been removed from the facility.
(NOTE: PCB Voltage Regulators shall be recorded and reported as PCB
Transformers.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
59
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.30.4. Incineration
facilities are required to
maintain specific records (40
CFR761.180(c)).
Verify that each owner or operator of a PCB incinerator facility collects the
following information, in addition to the information required for disposers in 40
CFR 761.180(b) (see checklist items TT.30.3 and TT.140.3):
-when PCBs are being incinerated, the following continuous and short-
interval data:
- rate and quantity of PCBs fed to the combustion system
-temperature of the combustion process
- stack emission product to include O2, CO, and CO2
-when PCBs are being incinerated, data and records on the monitoring of
stack emissions
- total weight in kilograms of any solid residues generated by the incineration
of PCBs and PCB Items during the calendar year, the total weight in
kilograms of any solid residues disposed of by the facility in chemical waste
landfills, and the total weight in kilograms of any solid residues remaining on
the facility site.
when PCBs and PCB Items are being incinerated, additional periodic data
collected and maintained as specified by the U.S. EPA Regional
Administrator.
Verify that upon any suspension of the operation of any incinerator, the owner or
operator prepares a document which, at a minimum, includes the date and time of
the suspension and an explanation of the circumstances causing the suspension of
operation.
Verify that the suspension document is sent to the appropriate Regional
Administrator within 30 days of any such suspension.
Verify that records are maintained for 5 yr after collection.
TT.30.5. Owners and
operators of PCB chemical
waste landfills shall keep
records on water analysis and
operational records, including
burial coordinates, for 20 yr
after disposal has ceased (40
CFR761.180(d)).
Verify that records on water analysis and operations are being kept for the
required 20 yr in addition to the information required for disposers in 40 CFR
761.180(b) (see checklist items TT.30.3 and TT.140.3):
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
60
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.30.6. Owners and
operators of high efficiency
boilers used for the disposal
of liquids between 50 and 500
ppm PCB are required to keep
specific records (40 CFR
761.180(e)).
Verify that each owner or operator of a high efficiency boiler used for the disposal
of liquids between 50 and 500 ppm PCB collects the following information, in
addition to the information required for disposers in 40 CFR 761.180(b) (see
checklist items TT.30.3 and TT. 140.3):
-for each month PCBs are burned in the boiler the carbon monoxide and
excess oxygen data
-the quantity of PCBs burned each month
-for each month PCBs (other than mineral oil dielectric fluid) are burned,
chemical analysis data of the waste.
Verify that records are maintained for 5 yr after collection.
TT.30.7. Storage and disposal
facilities for PCBs shall
maintain specific records (40
CFR761.180(f)).
Verify that facilities which store or dispose of PCBs collect and maintain the
following records in addition to those required in 40 CFR 761.180(b) through
761.180(e) (see checklist items TT.30.3 through TT.30.6 and TT. 140.3):
-all documents, correspondence, and data that have been provided to the
owner or operator of the facility by any state or local government agency and
that pertain to the storage or disposal of PCBs and PCB Items at the facility
-all documents, correspondence, and data that have been provided by the
owner or operator of the facility to any state or local government agency and
that pertain to the storage or disposal of PCBs and PCB Items at the facility
- any applications and related correspondence sent by the owner or operator of
the facility to any local, state, or federal authorities in regard to wastewater
discharge permits, solid waste permits, building permits, or other permits or
authorizations.
Verify that the written annual document log is maintained at each facility for at
least 3 yr after the facility is no longer used for the storage or disposal of PCBs
and PCB Items except that, in the case of chemical waste landfills, the annual
document log is maintained at least 20 yr after the chemical waste landfill is no
longer used for the disposal of PCBs and PCB Items.
TT.30.8. Importers and
persons generating PCBs in
excluded manufacturing
processes must meet specific
reporting and recordkeeping
requirements (40 CFR
761.185)
Verify that manufacturers with processes inadvertently generating PCBs and
importers of products containing inadvertently generated PCBs report to U.S. EPA
any excluded manufacturing process or imports for which the concentration of
PCBs in products leaving the manufacturing site or imported is > 2 |j,g/g, roughly 2
ppm) for any resolvable gas chromatographic peak.
Verify that reports are filed within 90 days of having processes or imports for
which the reports are required.
Verify that manufacturers who are required to report transmit a letter notifying
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
U.S. EPA of the number, the type, and the location of excluded manufacturing
processes in which PCBs are generated when the PCB level in products leaving
any manufacturing site is > 2 |ig/g for any resolvable gas chromatographic peak.
Verify that importers which are required to report transmit a letter notifying U.S.
EPA of the concentration of PCBs in imported products when the PCB
concentration of products being imported is > 2 |ig/g for any resolvable gas
chromatographic peak.
Verify that the following are also certified:
-compliance with all applicable requirements of 40 CFR 761.1(f), including
any applicable requirements for air and water releases and process waste
disposal
-whether determinations of compliance are based on actual monitoring of
PCB levels or on theoretical assessments
- that determinations of compliance are being maintained
- if the determination of compliance is based on a theoretical assessment, the
letter notifies U.S. EPA of the estimated PCB concentration levels generated
and released.
Verify that, if the facility is reporting to U.S. EPA any excluded manufacturing
process or imports for which the concentration of PCBs in products leaving the
manufacturing site or imported is > 2 |ig/g, roughly 2 ppm) for any resolvable gas
chromatographic peak, it:
-performed either a theoretical analysis or actual monitoring of PCB
concentrations
- maintains for a period of 3 yr after ceasing process operations or importation,
or for 7 yr, whichever is shorter, records containing the following
information:
-for theoretical analysis: the reaction or reactions believed to be
generating PCBs; the levels of PCBs generated; and the levels of PCBs
released. Importers records must include: the reaction or reactions
believed to be generating PCBs and the levels of PCBs generated; the
basis for all estimations of PCB concentrations; and the name and
qualifications of the person or persons performing the theoretical
analysis
- for actual monitoring:
- the method of analysis
-the results of the analysis, including data from the Quality
Assurance Plan
- description of the sample matrix
-the name of the analyst or analysts
-the date and time of the analysis
- numbers for the lots from which the samples are taken.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that the certification is signed by a responsible corporate officer.
Verify that the certification is maintained by each facility or importer for a period
of 3 yr after ceasing process operation or importation, or for 7 yr, whichever is
shorter, and is made available to U.S. EPA upon request.
(NOTE: A responsible corporate officer means:
-a president, secretary, treasurer, or vice-president of the corporation in
charge of a principal business function, or any other person who performs
similar policy or decision-making functions for the corporation
- the manager of one or more manufacturing, production, or operating facilities
employing more than 250 persons or having gross annual sales or
expenditures exceeding $25,000,000 (in second quarter 1980 dollars), if
authority to sign documents has been assigned or delegated to the manager in
accordance with corporate procedures.)
Verify that any person signing a document makes the following certification:
I certify under penalty of law that this document and all attachments were
prepared under my direction or supervision in accordance with a system
designed to assure that qualified personnel properly gather and evaluate
information. Based on my inquiry of the person or persons directly
responsible for gathering information, the information is, to the best of
my knowledge and belief, true, accurate, and complete. I am aware that
there are significant penalties for falsifying information, including the
possibility of fines and imprisonment for knowing violations.
Dated:
Signature:
(NOTE: This certification process must be repeated whenever process conditions
are significantly modified to make the previous certification no longer valid.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.30.9. Persons who import,
manufacture, process,
distribute in commerce, or use
chemicals containing PCBs
present as a result of
inadvertent generation or
recycling who perform any
actual monitoring of PCB
concentrations must maintain
certain records (40 CFR
761.193).
Verify that persons who import, manufacture, process, distribute in commerce, or
use chemicals containing PCBs present as a result of inadvertent generation or
recycling who perform any actual monitoring of PCB concentrations maintain the
following information:
- the method of analysis
- the results of the analysis, including data from the Quality Assurance Plan
- description of the sample matrix
-the name of the analyst or analysts
-the date and time of the analysis
- numbers for the lots from which the samples are taken.
Verify that records are maintained for a period of 3 yr after a process ceases
operation or importing ceases, or for 7 yr, whichever is shorter.
TT.30.10. Commercial storers
of PCB waste are required to
have a closure plan (40 CFR
761.65(e)(l) through
761.65(e)(5)and761.65(h)).
Verify that the commercial storer of PCB waste has a written closure plan
identifying the steps that the owner or operator will take to close the PCB waste
storage facility in a manner that eliminates the potential for post-closure releases
of PCBs which may present an unreasonable risk to human health or the
environment.
Verify that the closure plan includes, at a minimum, all of the following:
- a description of how the PCB storage areas of the facility will be closed in a
manner that eliminates the potential for post-closure releases of PCBs into
the environment
- an identification of the maximum extent of storage operations that will be
open during the active life of the facility, including an identification of the
extent of PCB storage operations at the facility relative to other wastes that
will be handled at the facility
- an estimate of the maximum inventory of PCB wastes that could be handled
at one time at the facility over its active life, and a detailed description of the
methods or arrangements to be used during closure for removing,
transporting, storing, or disposing of the facility's inventory of PCB waste,
including an identification of any offsite facilities that will be used
- a detailed description of the steps needed to remove or decontaminate PCB
waste residues and contaminated containment system components,
equipment, structures, and soils during closure, including a description of the
methods for sampling and testing of surrounding soils, and the criteria for
determining the extent of removal or decontamination
- a detailed description of other activities necessary during the closure period
to ensure that any post-closure releases of PCBs will not present
unreasonable risks to human health or the environment. This includes
activities such as ground-water monitoring, runon and runoff control, and
facility security.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
- a schedule for closure of each area of the facility where PCB waste is stored
or handled, including the total time required to close each area of PCB waste
storage or handling, and the time required for any intervening closure
activities
- an estimate of the expected year of closure of the PCB waste storage areas, if
a trust fund is opted for as the financial mechanism.
(NOTE: A written closure plan determined to be acceptable by the Regional
Administrator (or the Director, National Program Chemicals Division, if the
commercial storage area is ancillary to a disposal facility approved by the
Director, National Program Chemicals Division) shall become a condition of any
approval granted.)
(NOTE: A separate and new closure plan need not be submitted in cases where a
facility is currently covered by a TSCA approval or a RCRA permit, upon a
showing to the satisfaction of the U.S. EPA Regional Administrator (or the
Director, National Program Chemicals Division, if the commercial storage area is
ancillary to a disposal facility approved by the Director, National Program
Chemicals Division) that the existing closure plan is substantially equivalent to
current requirements for closure plans, and that the plan adequately accounts for
PCB waste inventories.)
Verify that the commercial storer of PCB waste submits a written request to the
U.S. EPA Regional Administrator (or the Director, National Program Chemicals
Division, if he approved the closure plan) for a modification to its storage
approval to amend its closure plan, whenever:
- changes in ownership, operating plans, or facility design affect the existing
closure plan
- there is a change in the expected date of closure, if applicable
- in conducting closure activities, unexpected events require a modification of
the approved closure plan.
TT.30.11. Commercial storers
of PCB waste are required to
comply with a specific closure
schedule and closure practices
(40 CFR 761.65(e)(6) through
761.65(e)(8)
Verify that the commercial storer notifies, in writing, the U.S. EPA Regional
Administrator or the Director, National Program Chemicals Division if he
approved the closure plan, at least 60 days prior to the date on which final closure
of its PCB storage facility is expected to begin.
(NOTE: The date when a commercial storer of PCB waste "expects to begin
closure" shall be no later than 30 days after the date on which the storage facility
received its final quantities of PCB waste. For good cause shown, the U.S. EPA
Regional Administrator or the Director, National Program Chemicals Division if
he approved the closure plan, may extend the date for commencement of closure
for an additional 30-day period.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
65
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that, within 90 days after receiving the final quantity of PCB waste for
storage, a commercial storer of PCB waste removes all PCB waste in storage at the
facility from the facility in accordance with the approved closure plan.
(NOTE: For good cause shown, the U.S. EPA Regional Administrator or the
Director, National Program Chemicals Division if he approved the closure plan,
may approve a reasonable extension to the period for removal of the PCB waste.
Verify that the commercial storer of PCB waste completes closure activities in
accordance with the approved closure plan and within 180 days after receiving the
final quantity of PCB waste for storage at the facility.
(NOTE: For good cause shown, the U.S. EPA Regional Administrator or
Director, National Program Chemicals Division if he approved the closure plan,
may approve a reasonable extension to the closure period.)
Verify that during the closure period, all contaminated system component
equipment, structures, and soils are disposed of in accordance with the disposal
requirements, or, if applicable, decontaminated in accordance with the levels
specified in the PCB Spills Cleanup Policy.
(NOTE: When PCB waste is removed from the storage facility during closure, the
owner or operator becomes a generator of PCB waste subject to the generator
requirements of 40 CFR 761.180 through 761.193 (see checklist items TT.30.1,
TT.30.3 through TT.30.9, and TT. 140.3).
Verify that within 60 days of completion of closure of each facility for the storage
of PCB waste, the commercial storer of PCB waste submits to the U.S. EPA
Regional Administrator (or Director, National Program Chemicals Division if he
approved the closure plan), by registered mail, a certification that the PCB storage
facility has been closed in accordance with the approved closure plan.
Verify that the certification is signed by the owner or operator and by an
independent registered professional engineer.
(NOTE: Within 60 days after receiving certifications from the owner or operator
and an independent registered professional engineer that final closure has been
completed in accordance with the approved closure plan, the U.S. EPA Regional
Administrator or the Director, National Program Chemicals Division, if he
approved the closure plan, will notify the owner or operator in writing that the
owner or operator is no longer required by this section to maintain financial
assurance for final closure of the facility, unless the U.S. EPA Regional
Administrator or the Director, National Program Chemicals Division, if he
approved the closure plan, has reason to believe that final closure has not been
completed in accordance with the approved closure plan. The U.S. EPA Regional
Administrator or the Director, National Program Chemicals Division, if he
approved the closure plan, shall provide the owner or operator with a detailed
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
written statement stating the reasons why he believed closure was not conducted in
accordance with the approved closure plan.
TT.30.12. Commercial storers
of PCB waste are required to
have a written cost estimate
for and financial assurance for
closure (40 CFR 761.65(f)
and761.65(g)).
Verify that the commercial storer of PCB wastes has a detailed written estimate, in
current dollars, of the cost of closing the facility in accordance with its approved
closure plan.
Verify that the closure cost estimate is certified by the person preparing it and
meets the following criteria:
- the closure cost estimate equals the cost of final closure at the point in the
PCB storage facility's active life when the extent and manner of PCB storage
operations would make closure the most expensive, as indicated by the
facility's closure plan
- the closure cost estimate is based on the costs to the owner or operator of
hiring a third party to close the facility, and the third party is not be either a
corporate parent or subsidiary of the owner or operator, or member in joint
ownership of the facility
- the owner or operator includes in the estimate the current market costs for
offsite commercial disposal of the facility's maximum estimated inventory of
PCB wastes, except that onsite disposal costs may be used if onsite disposal
capacity will exist at the facility at all times over the life of the PCB storage
facility
- the closure cost estimate does not incorporate any salvage value that may be
realized with the sale of wastes, facility structures or equipment, land, or
other assets associated with the facility at the time of closure.
Verify that, during the active life of the PCB storage facility, the commercial
storer of PCB waste adjusts the closure cost estimate annually for inflation within
60 days prior to the anniversary date of the establishment of the financial
instruments used to demonstrate financial responsibility for closure, except that
owners or operators who use the financial test or corporate guarantee adjust their
closure cost estimates for inflation within 30 days after the close of the storer's
fiscal year.
Verify that, when the U.S. EPA Regional Administrator (or the Director, National
Program Chemicals Division, if he approved the closure plan) approves a
modification to the facility's closure plan, and that modification increases the cost
of closure, the owner or operator revises the closure cost estimate no later than 30
days after the modification is approved.
Verify that the most recent cost estimate is kept at the facility during its operating
life.
Verify that a commercial storer of PCB waste establishes financial assurance for
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
TT.30.13. Unless specific
conditions are met,
laboratories have to comply
with specific reporting and
documentation requirements
(40 CFR 761.65(i))
REVIEWER CHECKS
closure of each PCB storage facility that he owns or operates.
Verify that, if the laboratory is not storing samples held for disposal in a facility
that complies with the standards in 40 CFR 761.65(b)(l)(i) through (b)(l)(iv) (see
checklist item TT. 110.1), it meets the notification and approval requirements for a
commercial storer
Verify that laboratory samples are manifested unless:
-the sample is being transported to a laboratory for the purpose of testing
- the sample is being transported back to the sample collector after testing
-the sample is being stored by the sample collector before transport to a
laboratory for testing
- the sample is being stored in a laboratory before testing
-the sample is being stored in a laboratory after testing but before it is
returned to the sample collector
-the sample is being stored temporarily in the laboratory after testing for a
specific purpose (for example, until conclusion of a court case or
enforcement action where further testing of the sample may be necessary).
Verify that laboratories and sample collectors which do not comply with the
following when transporting samples meet the notification and approval
requirements for commercial storers in 40 CFR 761.65(d) through (h):
-comply with applicable U.S. DOT or U.S. Postal Service (USPS) shipping
requirements, found respectively in 49 CFR 173.345 and U.S. Postal
Regulations 652.2 and 652.3
- assure that the following information accompanies the sample:
- the sample collector's name, mailing address, and telephone number
- the laboratory's name, mailing address, and telephone number.
-the quantity of the sample
- the date of shipment
- a description of the sample.
-package the sample so that it does not leak, spill, or vaporize from its
packaging.
(NOTE: When the concentration of the PCB sample has been determined, and its
use is terminated, the sample must be properly disposed. A laboratory must either
manifest the PCB waste to a disposer or commercial storer, retain a copy of each
manifest, and follow up on exception reporting, or return the sample to the sample
collector who must then properly dispose of the sample. If the laboratory returns
the sample to the sample collector, the laboratory must:
-comply with applicable U.S. DOT or U.S. Postal Service (USPS) shipping
requirements, found respectively in 49 CFR 173.345 and U.S. Postal
Regulations 652.2 and 652.3
- assure that the following information accompanies the sample:
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
- the sample collector's name, mailing address, and telephone number
- the laboratory's name, mailing address, and telephone number.
-the quantity of the sample
- the date of shipment
- a description of the sample.
-package the sample so that it does not leak, spill, or vaporize from its
packaging.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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based Paint Regulated under TSCA
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This document is intended solely for guidance. No statutory or regulatory 70
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
POLYCHLORINATED
BIPHENYLS (PCBs)
TT.40
Transformers
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
TT.40.1. PCB Transformers
with PCBs of 500 ppm or
greater that are in use or in
storage for reuse shall not
pose an exposure risk to food
and feed (40 CFR
Determine if there are any PCB Transformers in use or in storage for reuse, that
pose an exposure risk to food and feed, by reviewing the inventory. More use
restrictions are presented below.
TT.40.2. PCB Transformers
with concentrations of PCBs
of 500 ppm or greater are
subject to certain registration
requirements (40 CFR
Verify that all PCB Transformers, including those in storage for reuse, are
registered with the U.S. EPA, National Program Chemicals Division, Office of
Pollution Prevention and Toxics with the following information:
- name and address
- contact name and telephone number
- address where transformers are located, for mobile sources such as a ship
provide the name of the ship
-number of PCB Transformers and total weight in kilograms of PCBs
contained in the transformers
- whether any transformers at the location contain flammable dielectric fluid
(optional)
- signature of the owner, operator, or other authorized representative certifying
the accuracy of the information submitted.
(NOTE: A transformer owner who assumes a transformer is a PCB-Contaminated
transformer, and discovers after December 28, 1998, that it is a PCB-Transformer,
must register the newly-identified PCB Transformer, in writing, with the U.S. EPA
no later than 30 days after it is identified as such. This requirement does not
apply to transformer owners who have previously registered with the U.S. EPA
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
PCB Transformers located at the same address as the transformer that they
assumed to be PCB-Contaminated and later determined to be a PCB Transformer.
(NOTE: A person who takes possession of a PCB Transformer after December
28, 1998 is not required to register or re-register the transformer with the U.S.
EPA.)
Verify that records of each registration (e.g., a copy of the registration and the
return receipt signed by U.S. EPA) are retained with the required inspection
records.
TT.40.3. PCB Transformers
of concentrations of 500 ppm
or greater in use in or near
commercial buildings are
subject to certain
requirements (40 CFR
761.30(a)(l)(ii) through
761.30(a)(l)(v) and
Determine if any transformers are located in or near commercial buildings by
reviewing the inventory.
Verify that no network PCB Transformers with higher secondary voltages (=/>
than 480 V, including 480/277 V systems) are in or near commercial buildings.
Verify that network PCB Transformers with higher secondary voltages which are
removed from service are either reclassified to PCB Contaminated or non-PCB
status, placed into storage for disposal, or disposed.
Verify that procedure/policy exists prohibiting installation of PCB Transformers
that have been placed into storage for reuse or that have been removed from
another location.
(NOTE: Retrofilled mineral oil PCB Transformers may be installed for
reclassification purposes. But, it must be tested 3 mo after installation and
appropriately classified based on the results of testing the fluid within. If the PCB
concentration remains at 500 ppm or >, the transformer must be retrofilled again
until the transformer can be classed a non-PCB or PCB-Contaminated or removed
from service.)
Verify that all higher secondary voltage radial PCB transformers in use in or near
commercial buildings, and lower secondary voltage network PCB Transformers
are equipped with electrical protection to avoid transformer ruptures caused by
high current faults (i.e., current limiting fuses).
Verify that all lower secondary voltage network PCB Transformers not located in
sidewalk vaults (network transformers with secondary voltages below 480 volts),
in use in or near commercial buildings which have not been protected from
transformer rupture, have been removed from service.
Verify that all lower secondary voltage radial PCB Transformers are equipped
with electrical protection to detect sustained high current faults and provide for the
complete deenergization of the transformer of the complete deenergization of the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
faulted phase of the transformer within several hundredths of a second.
Verify that all radial PCB Transformers with higher secondary voltages (480 volts
and above, including 480/277 volt systems) in use in or near commercial buildings
are equipped with protection, including the following, to avoid transformer
ruptures caused by sustained low current faults:
- pressure and temperature sensors (or other equivalent technology which has
been demonstrated to be effective in early detection of sustained low current
faults)
-disconnect equipment, which meets the following, to insure complete
deenergization of the transformer in the event of a sensed abnormal condition
(e.g., an overpressure or overtemperature condition in the transformer),
caused by a sustained low current fault:
-operates automatically within 30 s to 1 min of the receipt of a signal
indicating an abnormal condition from a sustained low current fault, or
can be configured to allow for manual deenergization from a manned
onsite control center upon the receipt of an audio or visual signal
indicating an abnormal condition caused by a sustained low current
fault
-manual deenergization from a manned onsite control center occurs
within 1 min of the receipt of the audio or visual signal indicating an
abnormal condition caused by a sustained low current fault
- when automatic operation is selected and a circuit breaker is utilized for
disconnection, it has the capability to be manually opened if necessary
-the required enhanced electrical protective system for the detection of
sustained low current faults and the complete and rapid deenergization of
transformers is be properly installed, maintained, and set sensitive enough (in
accordance with good engineering practices) to detect sustained low current
faults and allow for rapid and total deenergization prior to PCB Transformer
rupture (either violent or nonviolent rupture) and release of PCBs.
Verify that PCB Transformers in use in or near commercial buildings are
registered with the building's owner and includes the following information:
- specific location
-principal constituent of the dielectric fluid
-the type of transformer installation (e.g., 208/120 volt network, 208/120 volt
radial).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
73
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.40.4. Combustible
materials, including but not
limited to paints, solvents,
plastics, paper, and sawn
wood, must not be stored by a
PCB Transformer (40 CFR
Verify that all combustible materials have been removed from the area within a
PCB transformer enclosure (i.e., vault or partitioned area) and the area within 5 m
of a PCB transformer or PCB transformer enclosure.
TT.40.5. Railroad
transformers must not contain
dielectric fluid with > 1000
ppm PCB and must be
serviced according to specific
requirements (40 CFR
761.30(b)((l), and
761.30(b)(2).
Verify that railroad transformers do not exceed 1000 ppm PCB.
Verify that servicing of a railroad transformer is only done with dielectric fluid
containing < 1000 ppm PCB.
Verify that, if the coil is removed from the casing of a railroad transformer, it is
refilled with dielectric fluid containing 50 ppm or less PCB.
(NOTE: Dielectric fluid may be filtered through activated carbon or otherwise
industrially processed for the purpose of reducing the PCB concentration in the
fluid.)
Verify that any PCB dielectric fluid used to service PCB railroad transformers is
stored in accordance with the storage for disposal requirements of 40 CFR 761.65
(see checklist items TT.30.10 through TT.30.13, TT. 110.1 through TT. 110.6, and
TT.110.9).
Verify that after July 1, 1979, processing and distribution in commerce of PCBs
for purposes of servicing railroad transformers is done only for persons who are
granted an exemption under TSCA section 6(e)(3)(B).
(NOTE: A PCB Transformer may be converted to a PCB-Contaminated
Transformer or to a non-PCB Transformer by draining, refilling, and/or otherwise
servicing the railroad transformer. In order to reclassify, the railroad transformer's
dielectric fluid must contain < 500 ppm (for conversion to PCB-Contaminated
Transformer) or < 50 ppm PCB (for conversion to a non-PCB Transformer) after a
minimum of 3 mo of in-service use subsequent to the last servicing conducted for
the purpose of reducing the PCB concentration in the transformer.)
TT.40.6. PCB transformers
are required to be properly
serviced (40 CFR
761.30(a)(2)).
Verify that servicing activities are properly conducted as follows by reviewing
servicing records:
-transformers classified as PCB-Contaminated Electrical Equipment (50 to
500 ppm PCBs) are only serviced with dielectric fluid containing < 500 ppm
PCB.
-the transformer coil is not removed from the casing during servicing
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
(including rebuilding) of PCB Transformers with PCB concentrations of 500
ppm or greater
-PCBs removed during servicing are captured and are either reused as
dielectric fluid or disposed of properly
-the PCBs from a PCB Transformer with PCB concentrations of 500 ppm or
greater are not mixed with or added to dielectric fluid from PCB-
Contaminated Electrical Equipment (50 to 500 ppm PCBs)
-dielectric fluids containing < 500 ppm PCBs that are mixed with fluids
containing 500 ppm or greater are not used as dielectric fluid in any
transformers classified as PCB-Contaminated Electrical Equipment (50 to
500 ppm PCBs).
(NOTE: PCB Transformers may be serviced with dielectric fluid at any
concentration.)
(NOTE: A PCB Transformer may be converted to PCB-Contaminated Electrical
Equipment or to a non-PCB Transformer and a transformer that is classified as
PCB-Contaminated Electrical Equipment may be reclassified to a non-PCB
Transformer by draining, refilling and/or otherwise servicing the transformer. In
order to reclassify, the transformer's dielectric fluid must contain < 500 ppm PCB
(for conversion to PCB-Contaminated Electrical Equipment) or < 50 ppm PCB
(for conversion to a non-PCB Transformer) after a minimum of 3 mo of in-service
use subsequent to the last servicing conducted for the purpose of reducing the PCB
concentration in the transformer.
Verify that all PCBs removed from transformers for purposes of reducing PCB
concentrations are disposed of according to the disposal requirements of 40 CFR
761.60 (see checklist items TT. 100.2, TT. 120.7, TT.130.2, TT.150.2 through
TT. 150.9, TT. 150. 14 through TT. 150. 16, TT. 150.20, and TT. 150.21).
Verify that any dielectric fluid containing 50 ppm or greater PCB used for
servicing transformers is stored in accordance with the storage for disposal
requirements of 40 CFR 761.65 (see checklist items TT.30.10 through TT.30.13,
TT. 110.1 through TT. 110.6, and TT. 110.9)
(NOTE: Processing and distribution in commerce of PCBs for purposes of
servicing transformers is permitted only for persons who are granted an exemption
under TSCA 6(e)(3)(B).)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.40.7. Inspections must be
performed once every 3 mo
for all in use or stored for
reuse PCB Transformers with
> 500 ppm PCB (40 CFR
761.30(a)(l)(ix) and
761.30(a)(l)(xii) through
761.30(a)(l)(xiv)).
Verify that applicable transformers in use or stored for reuse are inspected at least
once every 3 mo by reviewing inspection records.
Verify that there are 30 days between inspections.
(NOTE: These inspections may take place any time during the 3-month periods:
January-March, April-June, July-September, and October-December as long as
there is a minimum of 30 days between inspections. The visual inspection must
include investigation for any leak of dielectric fluid on or around the transformer.
The extent of the visual inspections will depend on the physical constraints of each
transformer installation and should not require an electrical shutdown of the
transformer being inspected.)
Verify that the following information is recorded for each PCB Transformer
inspection:
- location of transformer
- dates of each visual inspection
- date when any leak was discovered
- name of person conducting inspection
- location and estimate of the dielectric fluid quantity for any leaks
- date and description of any cleanup, containment, or repair performed
-results of any containment daily inspections for transformers with
uncorrected active leaks
- registration of the PCB Transformer
-records of transfer of ownership in compliance with 40 CFR
761.180(a)(2)(ix) (see checklist item TT.30.1).
(NOTE: Reduced visual inspections of at least once every 12 mo is allowed for
PCB Transformers with either of the following:
-impervious, undrained, secondary containment capacity of at least 100
percent of the total dielectric fluid volume of all transformers so contained
- a PCB Transformer which has been tested and found to contain < 60,000
ppm PCBs (after 3 mo of in service use if the transformer has been serviced
for purposes of reducing the PCB concentration).
These inspections may take place any time during the calendar year as long as
there is a minimum of 180 days between inspections.)
(NOTE: Increased visual inspections of once a week are required for any PCB
Transformer in use or stored for reuse that poses an exposure risk to food or feed.)
Verify that records of inspection and maintenance are kept for 3 yr after disposal.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
76
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.40.8. PCB Transformers
with PCB concentrations of
500 ppm or greater found to
be leaking during an
inspection must be repaired or
replaced to eliminate the
source of the leak (40 CFR
761.30(a)(l)(x)).
Determine whether any PCB Transformers have been leaking.
Verify that, if a PCB Transformer is found to have a leak which results in any
quantity of PCBs running off or about to run off the external surface of the
transformer, then the transformer is repaired or replaced to eliminate the source of
the leak.
Verify that cleanup and/or containment of released PCBs has been initiated within
48 h of its detection or as soon as possible.
Verify that leaking PCB Transformers are inspected daily.
Verify that cleaned up material is disposed of according to appropriate
requirements.
(NOTE: Until appropriate action is completed, any active leak of PCBs must be
contained to prevent exposure of humans or the environment. Trenches, dikes,
buckets, and pans are examples of proper containment measures.)
TT.40.9. When a PCB
Transformer with
concentrations of PCBs 500
ppm or greater is involved in a
fire, the incident must be
immediately reported to the
NRC (40 CFR
Determine if any PCB Transformers have been involved in any incident where
sufficient heat and/or pressure was generated to result in the violent or nonviolent
rupture of a PCB Transformer and the release of PCBs.
Verify that the NRC was notified and the following measures were taken:
- floor drains were blocked
-water runoff was contained
-control and treatment (prior to release) of any water used in subsequent
cleanup operations.
TT.40.10. Mineral oil
transformers which are tested
and found to be contaminated
with 500 ppm or greater must
meet specific requirements
(40CFR761.30(a)(l)(xv).
Verify that mineral oil transformers that are tested and found to be contaminated
with 500 ppm PCB or greater meet all the storage and handling requirements of 40
CFR 761.
Verify that the following additional steps are taken:
- fire-related incidents are reported immediately after discovery
- mark the transformer within 7 days after discovery
- mark the vault door, machinery room door, fence, hallway, or other means of
access to the PCB Transformer within 7 days after discovery
- register the transformer in writing with the building owner within 30 days of
the discovery
-install electrical protective equipment on a radial PCB Transformer and a
non-sidewalk vault, lower secondary voltage network PCB Transformer in or
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
77
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
near a commercial building within 18 mo of discovery or by October 1,
1990, whichever is later
-remove a non-sidewalk vault, lower secondary voltage network PCB
Transformer in or near a commercial building, if electrical protective
equipment is not installed, within 18 mo of discovery or by October 1, 1993,
whichever is later
- remove a lower secondary voltage network PCB Transformer located in a
sidewalk vault in or near a commercial building, within 18 mo of discovery
or by October 1, 1993, whichever is later
-retrofill and reclassify a radial PCB Transformer or a lower or higher
secondary voltage network PCB Transformer, located in other than a
sidewalk vault in or near a commercial building, within 18 mo or by October
1, 1990, whichever is later
- retrofill and reclassify a lower secondary voltage network PCB Transformer,
located in a sidewalk vault, in or near a commercial building within 18 mo or
by October 1, 1993, whichever is later
- retrofill and reclassify a higher secondary voltage network PCB Transformer,
located in a sidewalk vault, in or near a commercial building within 18 mo or
by October 1, 1990, whichever is later.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
78
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
POLYCHLORINATED
BIPHENYLS (PCBs)
TT.50
PCB Items
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
TT.50.1. PCBs may be used
in heat transfer and hydraulic
systems in a manner other
than a totally enclosed manner
at concentrations < 50 ppm if
specific requirements are met
(40 CFR 761.30(d) through
761.30(e)).
Determine if testing has been conducted to demonstrate that heat transfer or
hydraulic systems that formerly contained PCBs at a concentration > 50 ppm now
contain < 50 ppm PCB.
Verify that no fluid containing > 50 ppm PCB is added to heat transfer or
hydraulic systems and that they are only serviced with fluids containing < 50 ppm
PCBs.
TT.50.2. Electromagnets,
switches, and voltage
regulators may contain PCBs
at any concentration if certain
requirements are met (40 CFR
761.30(h)).
Verify that no electromagnets are used or stored that contain > 500 ppm PCB and
pose an exposure risk to food or feed.
Verify that the use and storage for reuse of voltage regulators that contain 1.36 kg
(3 Ib) or more of dielectric fluid with a PCB concentration of >/= 500 ppm meet
the following:
- mark the regulator as required in 40 CFR 761.40 (see checklist item TT. 10.5)
- report any fire-related incidents immediately to the NRC
- conduct inspections as applicable to PCB Transformers
-comply with the recordkeeping and reporting requirements of 40 CFR
761.180.
(NOTE: The owner of a voltage regulator that assumes it contains <500 ppm
PCBs and discovers by testing that it is contaminated at >/=500 ppm PCBs, must
mark the regulator within 7 days after the discovery, and institute reporting,
recordkeeping, and inspection requirements immediately upon discovery.)
Verify that no servicing (including rebuilding) of any electromagnet, switch, or
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
79
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
voltage regulator with a PCB concentration of 500 ppm or > which requires the
removal and rework of the internal components is done.
Verify that electromagnets, switches, and voltage regulators classified as PCB-
Contaminated Electrical Equipment are serviced (including rebuilding) only with
dielectric fluid containing < 500 ppm PCB.
Verify that PCBs removed during any servicing activity are captured and either
reused as dielectric fluid or disposed of in accordance with the requirements of 40
CFR761.60.
Verify that PCBs from electromagnets switches, and voltage regulators with a
PCB concentration of at least 500 ppm, are not mixed with or added to dielectric
fluid from PCB-Contaminated Electrical Equipment.
(NOTE: Regardless of its PCB concentration, dielectric fluids containing < 500
ppm PCB that are mixed with fluids that contain 500 ppm or > PCB must not be
used as dielectric fluid in any electrical equipment. The entire mixture of dielectric
fluid must be considered to be > than 500 ppm PCB and must be disposed of in an
incinerator that meets the requirements of 40 CFR 761.70.)
(NOTE: An electromagnet, switch or voltage regulator with a PCB concentration
of at least 500 ppm may be converted to PCB-Contaminated Electrical Equipment
or to a non-PCB classification and PCB-Contaminated Electrical Equipment may
be reclassified to a non-PCB classification by draining, refilling and/or otherwise
servicing the equipment. In order to be reclassified, the equipment's dielectric fluid
must contain < 500 ppm PCB (for conversion to PCB-Contaminated Electrical
Equipment) or < 50 ppm PCB (for conversion to a non-PCB classification) after a
minimum of 3 mo of in-service use subsequent to the last servicing conducted for
the purpose of reducing the PCB concentration in the equipment. In-service use
means the equipment is used electrically under loaded conditions. The U.S. EPA
Assistant Administrator may grant, without further rulemaking, approval for the
use of alternative methods that simulate the loaded conditions of in-service use.
All PCBs removed from this equipment for purposes of reducing PCB
concentrations are subject to the disposal requirements of 40 CFR 761.60 (see
checklist items TT. 100.2, TT. 120.7, TT. 130.2, TT. 150.2 through TT. 150.9,
TT. 150.14 through TT. 150.16, TT. 150.20, and TT. 150.21).)
Verify that any dielectric fluid containing 50 ppm or > PCB used for servicing
electromagnets, switches, or voltage regulators is stored in accordance with the
storage for disposal requirements of 40 CFR 761.65 (see checklist items TT.30.10
through TT.30.13, TT. 110.1 through TT. 110.6, and TT. 110.9).
(NOTE: Processing and distribution in commerce of PCBs for purposes of
servicing electromagnets, switches or voltage regulators is permitted only for
persons who are granted an exemption under TSCA 6(e)(3)(B).)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.50.3. Capacitors may
contain PCBs at any
concentration subject to
certain requirements (40 CFR
761.30(1)).
Verity that all PCB Large, High- and Low-Voltage Capacitors that pose an
exposure risk to food and feed have been removed.
Verify that all PCB Large, High- and Low-Voltage Capacitors are in use only in
restricted-access electrical substations, or in a contained and restricted-access
indoor area.
Verify that capacitors are free from leaks of dielectric PCBs.
TT.50.4. Circuit breakers,
reclosers, and cable may
contain PCBs at any
concentration for remainder of
their useful lives subject to
certain conditions (40 CFR
761.30(m)).
Verify that any circuit breakers, reclosers, and cables used are serviced using only
dielectric fluid which contains < 50 ppm PCB and have been free from leaks.
Verify that any circuit breaker, recloser or cable found to contain at least 50 ppm
PCBs is serviced according to the requirements for electromagnets, switches, and
voltage regulators in 40 CFR 761.30(h)(2) (see checklist item TT.50.2).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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based Paint Regulated under TSCA
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This document is intended solely for guidance. No statutory or regulatory 82
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
POLYCHLORINATED
BIPHENYLS (PCBs)
TT.60
Incinerators
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
TT.60.1. Prior to the
incineration of PCBs and PCB
Items the owner or operator of
an incinerator is required to
receive written approval (40
CFR761.70(d)(l)).
Verify that prior to the incineration of PCBs and PCB Items the owner or operator
of an incinerator received the written approval of the U.S. EPA Regional
Administrator for the region in which the incinerator is located, or the Director,
National Program Chemicals Division.
Verify that an application for approval has been submitted which contains:
the location of the incineration
-a detailed description of the incinerator including general site plans and
design drawings of the incinerator
- engineering reports or other information on the anticipated performance of
the incinerator
- sampling and monitoring equipment and facilities available
- waste volumes expected to be incinerated
- any local, state, or federal permits or approvals
- schedules and plans for complying with the approval requirements of this
regulation.
TT.60.2. When required,
trails burns of the incinerators
are required to be conducted
according to certain
parameters (40 CFR
761.70(d)(2)
(NOTE: Following receipt of the application to operate, the U.S. EPA Regional
Administrator or the Director, National Program Chemicals Division shall
determine if a trial burn is required and notify the person who submitted the report
whether a trial burn of PCBs and PCB Items must be conducted.)
Verify that, if a trial burn is to be held, the individual who submitted the
application to operate submits to the U.S. EPA Regional Administrator or the
Director, National Program Chemicals Division a detailed plan for conducting and
monitoring the trial burn.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
83
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that, at a minimum, the trial burn plan includes:
- date trial burn is to be conducted
- quantity and type of PCBs and PCB Items to be incinerated
- parameters to be monitored and location of sampling points
- sampling frequency and methods and schedules for sample analyses
-name, address, and qualifications of persons who will review analytical
results and other pertinent data, and who will perform a technical evaluation
of the effectiveness of the trial burn.
(NOTE: Following receipt of the trial burn plan, the U.S. EPA Regional
Administrator or the Director, National Program Chemicals Division will approve
the plan, require additions or modifications to the plan, or disapprove the plan. If
the plan is disapproved, the U.S. EPA Regional Administrator or the Director,
National Program Chemicals Division will notify the person who submitted the
plan of such disapproval, together with the reasons why it is disapproved. That
person may submit a new plan. If the plan is approved (with any additions or
modifications which the U.S. EPA Regional Administrator or the Director,
National Program Chemicals Division may prescribe), the U.S. EPA Regional
Administrator or the Director, National Program Chemicals Division will notify
the person who submitted the plan of the approval.)
Verify that, once the plan is approved, the trial burn takes place at a date and time
agreed upon between the U.S. EPA Regional Administrator or the Director,
National Program Chemicals Division and the person who submitted the plan.
TT.60.3. Incinerators used to
incinerate liquid PCBs must
meet specific requirements
(40CFR761.70(a))
Verify that incinerators used for incinerating PCBs are approved by an U.S. EPA
Regional Administrator or the Director, National Program Chemicals Division.
(NOTE: Requests for approval of incinerators to be used in more than one region
must be submitted to the Director, National Program Chemicals Division, except
for research and development involving < 500 Ib of PCB material. Requests for
approval of incinerators to be used in only one region must be submitted to the
appropriate U.S. EPA Regional Administrator. Requests for waivers from any of
the incinerator requirements at 40 CFR 761.60(a) are addressed under 40 CFR
761.60(a)(5).)
Verify that combustion criteria meets one of the following:
-maintenance of the introduced liquids for a 2-s dwell time at 1200 °C +/- 100
°C) and 3 percent excess oxygen in the stack gas
-maintenance of the introduced liquids for a 1 1/2 second dwell time at 1600
°C +/-100 °C) and 2 percent excess oxygen in the stack gas.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that combustion efficiency is at least 99.9 percent.
Verify that the rate and quantity of PCBs which are fed to the combustion system
are measured and recorded at regular intervals of no longer than 15 min.
Verify that the temperatures of the incineration process are continuously measured
and recorded.
(NOTE: The combustion temperature of the incineration process is based on
either direct (pyrometer) or indirect (wall thermocouple-pyrometer correlation)
temperature readings.)
Verify that the flow of PCBs to the incinerator stops automatically whenever the
combustion temperature drops below the required temperatures.
Verify that monitoring of stack emission products is conducted:
- when an incinerator is first used for the disposal of PCBs
- when an incinerator is first used for the disposal of PCBs after the incinerator
has been modified in a manner which may affect the characteristics of the
stack emission products
-at a minimum, for O2, CO, CO2, NOx, HC1, Total Chlorinated Organic
Content (RC1), PCBs, and Total Paniculate Matter.
Verify that, at a minimum, monitoring and recording of combustion products and
incineration operations for the following parameters whenever the incinerator is
incinerating PCBs:
- O2, continuous monitoring
- CO, continuous monitoring
- CO2. periodic monitoring, at a frequency specified by the U.S. EPA Regional
Administrator or Director, National Program Chemicals Division.
Verify that the flow of PCBs to the incinerator stops automatically when any one
or more of the following conditions occur, unless a contingency plan is submitted
by the incinerator owner or operator and approved by the U.S. EPA Regional
Administrator or Director, National Program Chemicals Division:
- failure of monitoring operations
-failure of the PCB rate and quantity measuring and recording equipment
- excess oxygen falls below the specified percentage.
Verify that water scrubbers are used for HC1 control during PCB incineration and
they meet any performance requirements specified by the appropriate U.S. EPA
Regional Administrator or the Director, National Program Chemicals Division.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
85
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that scrubber effluent is monitored and complies with applicable effluent or
pretreatment standards, and any other state and federal laws and regulations.
(NOTE: An alternate method of HC1 control may be used if the alternate method
has been approved by the U.S. EPA Regional Administrator or the Director,
National Program Chemicals Division. (The HC1 neutralizing capability of cement
kilns is considered to be an alternate method.).)
(NOTE: Recordkeeping requirements for PCB incinerators are listed under
checklist item TT.30.4 of this document.)
TT.60.4. Incinerators used to
incinerate non-liquid PCBs
must meet specific
requirements (40 CFR
761.70(b))
Verify that incinerators used for incinerating nonliquid PCBs, PCB Articles, PCB
Equipment, or PCB Containers are approved by the appropriate U.S. EPA
Regional Administrator or the Director, National Program Chemicals Division
(NOTE: Requests for approval of incinerators to be used in more than one region
must be submitted to the Director, National Program Chemicals Division except
for research and development involving < 500 Ib of PCB material. Requests for
approval of incinerators to be used in only one U.S. EPA Region must be
submitted to the appropriate U.S. EPA Regional Administrator. Requests for
waivers from any of the incinerator requirements at 40 CFR 761.60(a) are
addressed under 40 CFR 761.60(a)(5).)
Verify that the mass air emissions from the incinerator are no > 0.001 g PCB/kg of
the PCB introduced into the incinerator.
Verify that combustion efficiency is at least 99.9 percent.
Verify that the rate and quantity of PCBs which are fed to the combustion system
are measured and recorded at regular intervals of no longer than 15 min.
Verify that the temperatures of the incineration process are continuously measured
and recorded.
(NOTE: The combustion temperature of the incineration process is based on
either direct (pyrometer) or indirect (wall thermocouple-pyrometer correlation)
temperature readings.)
Verify that monitoring of stack emission products is conducted:
- when an incinerator is first used for the disposal of PCBs
- when an incinerator is first used for the disposal of PCBs after the incinerator
has been modified in a manner which may affect the characteristics of the
stack emission products
-at a minimum, for O2, CO, CO2, NOx, HC1, Total Chlorinated Organic
Content (RC1), PCBs, and Total Particulate Matter.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
86
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that, at a minimum, monitoring and recording of combustion products and
incineration operations for the following parameters whenever the incinerator is
incinerating PCBs:
- O2, continuous monitoring
- CO, continuous monitoring
- CO2. periodic monitoring, at a frequency specified by the U.S. EPA Regional
Administrator or Director, National Program Chemicals Division.
Verify that the flow of PCBs to the incinerator stops automatically when any one
or more of the following conditions occur, unless a contingency plan is submitted
by the incinerator owner or operator and approved by the U.S. EPA Regional
Administrator or Director, National Program Chemicals Division:
- failure of monitoring operations
-failure of the PCB rate and quantity measuring and recording equipment
Verify that water scrubbers are used for HC1 control during PCB incineration and
they meet any performance requirements specified by the appropriate U.S. EPA
Regional Administrator or the Director, National Program Chemicals Division.
Verify that scrubber effluent is monitored and complies with applicable effluent or
pretreatment standards, and any other state and federal laws and regulations.
(NOTE: An alternate method of HC1 control may be used if the alternate method
has been approved by the U.S. EPA Regional Administrator or the Director,
National Program Chemicals Division. (The HC1 neutralizing capability of cement
kilns is considered to be an alternate method.).)
TT.60.5. Specific actions are
required when transferring
ownership in an incinerator or
the property it stands upon, or
transferring the right to
operate the incinerator (40
CFR761.70(d)(8)).
Verify that any person who owns or operates an approved incinerator notifies U.S.
EPA at least 30 days before transferring ownership in the incinerator or the
property it stands upon, or transferring the right to operate the incinerator.
Verify that the transferor submits to U.S. EPA, at least 30 days before such
transfer, a notarized affidavit signed by the transferee which states that the
transferee will abide by the transferor's U.S. EPA incinerator approval.
(NOTE: Within 30 days of receiving such notification and affidavit, U.S. EPA
will issue an amended approval substituting the transferee's name for the
transferor's name, or U.S. EPA may require the transferee to apply for a new
incinerator approval. In the latter case, the transferee must abide by the transferor's
U.S. EPA approval until U.S. EPA issues the new approval to the transferee.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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based Paint Regulated under TSCA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
POLYCHLORINATED
BIPHENYLS (PCBs)
TT.70
High Efficiency Boilers
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
TT.70.1. A high efficiency
boiler burning mineral oil
dielectric fluid containing a
PCB concentration of >/= 50
ppm but < 500 ppm must
operate according to certain
parameters (40 CFR
761.71(a)).
Verify that high efficiency boilers burning mineral oil dielectric fluid containing a
PCB concentration of >/= 50 ppm, but <500 ppm meet the following criteria:
- the boiler is rated at a minimum of 50 million BTU hours
- if the boiler uses natural gas or oil as the primary fuel, the CO concentration
in the stack is
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
measurement falls below the levels specified in this section, the flow of
mineral oil dielectric fluid to the boiler is stopped immediately.
Verify that 30 days before any person burns mineral oil dielectric fluid in the
boiler, written notice is given to the U.S. EPA Regional Administrator for the U.S.
EPA Region in which the boiler is located.
Verify that the notice contains the following information:
- the name and address of the owner or operator of the boiler and the address
of the boiler
- the boiler rating in units of BTU/hour
- the carbon monoxide concentration and the excess oxygen percentage in the
stack of the boiler when it is operated in a manner similar to the manner in
which it will be operated when mineral oil dielectric fluid is burned
- the type of equipment, apparatus, and procedures to be used to control the
feed of mineral oil dielectric fluid to the boiler and to monitor and record the
carbon monoxide concentration and excess oxygen percentage in the stack.
Verify that, when burning mineral oil dielectric fluid, the boiler operates at a level
of output no less than the output at which the required measurements were taken.
Verify that any person burning mineral oil dielectric fluid in a boiler obtains the
following information and retains the information for 5 yr at the boiler location
- the data which is required to be collected
- the quantity of mineral oil dielectric fluid burned in the boiler each month.
TT.70.2. A high efficiency
boiler burning liquids other
than mineral oil dielectric
fluid containing a PCB
concentration of >/= 50 ppm
but < 500 ppm must operate
according to certain
parameters (40 CFR
761.71(b)).
Verify that a high efficiency boiler burning liquids other than mineral oil dielectric
fluid containing a PCB concentration of >/= 50 ppm but < 500 ppm meets the
following criteria:
- the boiler is rated at a minimum of 50 million BTU/hour
- if the boiler uses natural gas or oil as the primary fuel, the carbon monoxide
concentration in the stack is
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
-continuously monitor and record the carbon monoxide concentration
and excess oxygen percentage in the stack gas while burning waste fluid
- if the boiler will burn <30,000 gal of waste fluid per year, measure and
record the carbon monoxide concentration and excess oxygen
percentage in the stack gas at regular intervals of no longer than 60 min
while burning waste fluid
- the primary fuel feed rate, waste fluid feed rate, and total quantities of both
primary fuel and waste fluid fed to the boiler are measured and recorded at
regular intervals of no longer than 15 min while burning waste fluid
-the carbon monoxide concentration and the excess oxygen percentage are
checked at least once every hour that the waste is burned. If either
measurement falls below the specified levels, the flow of waste to the boiler
is stopped immediately.
Verify that approval is obtained from the U.S. EPA Regional Administrator prior
to burning liquids other than mineral oil dielectric fluid containing a PCB
concentration of >/= 50 ppm but < 500 ppm.
Verify that the request for approval contains the following:
- the name and address of the owner or operator of the boiler and the address
of the boiler
- the boiler rating in units of BTU/hour
- the carbon monoxide concentration and the excess oxygen percentage in the
stack of the boiler when it is operated in a manner similar to the manner in
which it will be operated when low concentration PCB liquid is burned
- the type of equipment, apparatus, and procedures to be used to control the
feed of mineral oil dielectric fluid to the boiler and to monitor and record the
carbon monoxide concentration and excess oxygen percentage in the stack
-the type of waste to be burned (e.g., hydraulic fluid, contaminated fuel oil,
heat transfer fluid, etc.)
-the concentration of PCBs and of any other chlorinated hydrocarbon in the
waste and the results of analyses using the American Society of Testing and
Materials (ASTM) methods
-the quantity of wastes estimated to be burned in a 30-day period
- an explanation of the procedures to be followed to ensure that burning the
waste will not adversely affect the operation of the boiler such that
combustion efficiency will decrease.
(NOTE: On the basis of the information in the request for approval, and any other
available information, the U.S. EPA Regional Administrator may, at his/her
discretion, find that the alternate disposal method will not present an unreasonable
risk of injury to health or the environment and approve the use of the boiler.)
Verify that, when burning PCB wastes, the boiler operates at a level of output no
less than the output when it is operated in a manner similar to the manner in which
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
it will be operated when low concentration PCB liquid is burned.
Verify that the following information is obtained and retained for 5 yr at the boiler
location:
- the data required to be collected
- the quantity of low concentration PCB liquid burned in the boiler each month
- the analysis of the waste required once a month for each month during which
low concentration PCB liquid is burned in the boiler.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
92
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
POLYCHLORINATED
BIPHENYLS (PCBs)
TT.80
Scrap Metal Recovery
Ovens and Smelters
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
TT.80.1. Scrap metal
recovery ovens or smelters
being used for the disposal of
PCBs must meet specific
requirements (40 CFR
761.72).
(NOTE: Any person may dispose of residual PCBs associated with PCB-
Contaminated articles regulated for disposal under 40 CFR 761.60(b), metal
surfaces in PCB remediation waste regulated under 40 CFR 761.61, or metal
surfaces in PCB bulk product waste regulated under 40 CFR 761.62(a)(6) and 40
CFR 761.79(c)(6), from which all free-flowing liquids have been removed: in a
scrap metal recovery oven or a smelter meeting the requirements specified below.)
Verify that the scrap metal recovery oven meets the following:
-it has at least two enclosed (i.e., negative draft, no fugitive emissions)
interconnected chambers
- equipment with all free-flowing liquid removed is first placed in the primary
chamber at room temperature
-the primary chamber operates at a temperature between 537 °C and 650 °C
for a minimum of 2 1/2 hours and reaches a minimum temperature of 650 °C
(1,202 ° F) once during each heating cycle or batch treatment of unheated,
liquid-free equipment
-heated gases from the primary chamber feed directly into the secondary
chamber (i.e., afterburner) which operates at a minimum temperature of
1,200 °C (2,192 °F) with at least a 3 percent excess oxygen and a retention
time of 2.0 s with a minimum combustion efficiency of 99.9 percent
-heating of the primary chamber does not commence until the secondary
chamber has reached a temperature of 1,200 +/-100 °C (2,192 +/-180 °F)
-continuous emissions monitors and recorders for carbon dioxide, carbon
monoxide, and excess oxygen in the secondary chamber and continuous
temperature recorders in the primary and secondary chambers are installed
and operated while the primary and secondary chambers are in operation to
assure that the two chambers are within the specified operating parameters
- emissions from the secondary chamber are vented through an exhaust gas
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
stack in accordance with either of the following:
-valid state and local air regulations and permits
-particulates < 0.015 grains/dscf, sulfur dioxide < 35 ppmv, nitrogen
oxide < 150 ppmv, carbon monoxide < 35 ppmv, and hydrogen
chloride < 35 ppmv
-exhaust gas stack emissions are: particulates < 0.015 grains/dscf, sulfur
dioxide < 35 ppmv, nitrogen oxide < 150 ppmv, carbon monoxide < 35
ppmv, and hydrogen chloride < 35 ppmv
- a measurement of the temperature in the secondary chamber at the time the
primary chamber starts heating is taken, recorded and retained at the facility
for 3 yr from the date each charge is introduced into the primary chamber.
Verify that the smelter meets the following:
-the operating temperature of the hearth is at least 1,000 °C at the time it is
charged with any PCB-Contaminated non-porous surface
- each charge containing a PCB-Contaminated item is added into molten metal
or a hearth at >/= 1,000 °C
-successive charges are not introduced into the hearth in less than 15-min
intervals.
- the smelter operates in compliance with any applicable emissions standards
in40CFR60
- the smelter has an operational device which accurately measures directly or
indirectly, the temperature in the hearth
- takes, records and retains at the disposal facility for 3 yr from the date each
charge is introduced, a reading of the temperature in the hearth at the time it
is charged with a non-porous surface item.
Verify that scrap metal recovery ovens and smelters either have a final permit
under RCRA or be operating under a valid state air emissions permit which
includes a standard for PCBs.
Verify that scrap metal recovery ovens and smelters disposing of PCBs provide
notification as disposers of PCBs and otherwise comply with all applicable
provisions of 40 CFR 761, Subparts J and K, as well as other applicable federal,
state, and local laws and regulations.
(NOTE: Scrap metal recovery ovens and smelters are not required to submit
annual reports)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
POLYCHLORINATED
BIPHENYLS (PCBs)
TT.90
Chemical Waste Landfills
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
TT.90.1. A chemical waste
landfill used for the disposal
of PCBs and PCB Items is
required to receive approval
and meet specific technical
requirements (40 CFR
761.75(a)and761.75(b)).
Verify that a chemical waste landfill used for the disposal of PCBs and PCB Items
is approved by the U.S. EPA Regional Administrator.
(NOTE: The U.S. EPA Regional Administrator may add or waive requirements
different from those listed below. (See 40 CFR 761.75(c)(4).)
Verify that chemical waste landfills used for the disposal of PCBs and PCB Items
meet the following technical requirements:
- the landfill site is located in thick, relatively impermeable formations such as
large-area clay pans. Where this is not possible, the soil shall have a high
clay and silt content with the following parameters
- in-place soil thickness, 4 ft or compacted soil liner thickness, 3 ft
~ permeability (cm/sec), equal to or less than 1 x 10"7
-percent soil passing No. 200 Sieve, >30
- liquid Limit, >30
-plasticity Index >15
- synthetic membrane liners when, in the judgment of the U.S. EPA Regional
Administrator, the hydrologic or geologic conditions at the landfill require
such a liner in order to provide an appropriate permeability equivalent
- whenever a synthetic liner is used at a landfill site, special precautions are
taken to insure that its integrity is maintained and that it is chemically
compatible with PCBs
-adequate soil underlining and soil cover is provided to prevent excessive
stress on the liner and to prevent rupture of the liner
- a liner has a minimum thickness of 30 mils
- the bottom of the landfill is above the historical high groundwater table as
provided below
- floodplains, shorelands, and groundwater recharge areas are avoided
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
- there is no hydraulic connection between the site and standing or flowing
surface water
- the site has monitoring wells and leachate collection
- the bottom of the landfill liner system or natural in-place soil barrier is at
least 50 ft from the historical high water table
-if the landfill site is below the 100-year floodwater elevation, the operator
provides surface water diversion dikes around the perimeter of the landfill
site with a minimum height equal to 2 ft above the 100-year floodwater
elevation
-if the landfill site is above the 100-year floodwater elevation, the operators
provide diversion structures capable of diverting all of the surface water
runoff from a 24-h, 25-yr storm
- the landfill site is located in an area of low to moderate relief to minimize
erosion and to help prevent landslides or slumping.
Verify that monitoring systems meet the following technical requirements:
- water sampling:
-for all sites receiving PCBs, the ground and surface water from the
disposal site area is sampled prior to commencing operations under an
approval for use as baseline data
-any surface watercourse designated by the U.S. EPA Regional
Administrator is sampled at least monthly when the landfill is being
used for disposal operations
-any surface watercourse designated by the U.S. EPA Regional
Administrator is sampled for a time period specified by the Regional
Administrator on a frequency of no less than once every 6 mo after final
closure of the disposal area
- groundwater monitor wells:
-if underlying earth materials are homogenous, impermeable, and
uniformly sloping in one direction, only three sampling points are
necessary. These three points are equally spaced on a line through the
center of the disposal area and extending from the area of highest water
table elevation to the area of the lowest water table elevation on the
property
- all monitor wells are cased and the annular space between the monitor
zone (zone of saturation) and the surface is completely backfilled with
Portland cement or an equivalent material and plugged with Portland
cement to effectively prevent percolation of surface water into the well
bore
- the well opening at the surface has a removable cap to provide access
and to prevent entrance of rainfall or stormwater runoff
- the well is pumped to remove the volume of liquid initially contained in
the well before obtaining a sample for analysis
-the discharge is treated to meet applicable state or federal discharge
standards or recycled to the chemical waste landfill
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
-all samples are analyzed for the following parameters: PCBs, pH, specific
conductance, and chlorinated organics.
Verify that leachate collection systems meet the following:
- a leachate collection monitoring system is installed above the chemical waste
landfill
-the system is monitored monthly for quantity and physicochemical
characteristics of leachate produced
- the leachate is either treated to acceptable limits for discharge in accordance
with a state or federal permit or disposed of by another state or federally
approved method
- leachate monitoring/collection system is one of the following designs:
-a simple leachate collection consisting of a gravity flow drainfield
installed above the waste disposal unit liner
- a compound leachate collection consisting of a gravity flow drainfield
installed above the waste disposal unit liner and above a secondary
installed liner
-suction lysimeters consisting of a network of porous ceramic cups
connected by hoses/tubing to a vacuum pump. (NOTE: Cups and
suction lysimeters must be installed along the sides and under the
bottom of the waste disposal unit liner.)
Verify that PCBs and PCB Items are placed in a landfill in a manner that will
prevent damage to containers or articles.
Verify that other wastes placed in the landfill that are not chemically compatible
with PCBs and PCB Items, including organic solvents, are segregated from the
PCBs throughout the waste handling and disposal process.
Verify that an operation plan is developed and submitted to the U.S. EPA
Regional Administrator for approval.
Verify that the plan includes detailed explanations of the procedures to be used for
recordkeeping, surface water handling procedures, excavation and backfilling,
waste segregation burial coordinates, vehicle and equipment movement, use of
roadways, leachate collection systems, sampling and monitoring procedures,
monitoring wells, environmental emergency contingency plans, and security
measures to protect against vandalism and unauthorized waste placements.
Verify that, if the facility is to be used to dispose of liquid wastes containing
between 50 ppm and 500 ppm PCB, the operations plan includes procedures to
determine that liquid PCBs to be disposed of at the landfill do not exceed 500 ppm
PCB and measures to prevent the migration of PCBs from the landfill.
(NOTE: Bulk liquids not exceeding 500 ppm PCBs may be disposed of provided
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
such waste is pretreated and/or stabilized (e.g., chemically fixed, evaporated,
mixed with dry inert absorbant) to reduce its liquid content or increase its solid
content so that a non-flowing consistency is achieved to eliminate the presence of
free liquids prior to final disposal in a landfill. PCB Container of liquid PCBs with
a concentration between 50 and 500 ppm PCB may be disposed of if each
container is surrounded by an amount of inert sorbant material capable of
absorbing all of the liquid contents of the container.)
Verify that ignitable wastes are not disposed of in chemical waste landfills.
(NOTE: Liquid ignitable wastes are wastes that have a flash point < 60 °C (140
Verify that records include information on the PCB concentration in liquid wastes
and the three dimensional burial coordinates for PCBs and PCB Items.
(NOTE: Recordkeeping requirements for landfills used for the disposal of PCBs
and PCB items are listed under checklist item TT.30.5 of this document.)
Verify that a 6 ft woven mesh fence, wall, or similar device is placed around the
site to prevent unauthorized persons and animals from entering.
Verify that roads are maintained to and within the site which are adequate to
support the operation and maintenance of the site without causing safety or
nuisance problems or hazardous conditions.
Verify that the site is operated and maintained in a manner to prevent safety
problems or hazardous conditions resulting from spilled liquids and windblown
materials.
(NOTE: Owners or operators of an approved chemical waste landfill must notify
U.S. EPA at least 30 days before transferring ownership of the property or
transferring the right to conduct the chemical waste landfill operation. The
transeror must also submit to U.S. EPA at least 30 days before such a transfer, a
notarized affidavit signed by the transferee which states that the transferee will
abide by the transferor's U.S. EPA chemical waste landfill approval.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.100
POLYCHLORINATED
BIPHENYLS (PCBs)
Used in Research
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
TT.100.1. The use of PCBs in
research is subject to certain
conditions (40 CFR
761.300)).
Verify that, if PCBs are used for research and development in a manner other than
a totally enclosed manner, the following are met:
-the PCBs and PCBs in analytical reference samples derived from waste
materials are obtained from authorized sources
- storage of all PCB wastes resulting from R&D activities is in compliance
with 40 CFR 761.65(b) (see checklist items TT. 110.1 and TT. 110.2) and
disposed of in accordance with 40 CFR 761.64
-there is no manufacture, processing, or distribution for research and
development without a TSCA Section 6(e)(3)(B) exemption to do so.
(NOTE: Authorized R&D activities include, but are not limited to: the chemical
analysis of PCBs, including analyses to determine PCB concentration;
determinations of physical properties of PCBs; studies of environmental transport
processes; studies of biochemical transport processes; studies of effects of PCBs
on the environments; and studies of health effects. Authorized R&D activities do
not include research, development, or analysis for the development of any PCB
product.)
TT.100.2. When conducting
R&D for PCB disposal,
specific conditions must be
met(40CFR761.60(j)).
Verify that the following conditions are met if conducting R&D for PCB disposal
without prior written approval from U.S. EPA:
- a notification is filed and U.S. EPA identification number obtained
-the U.S. EPA Regional Administrator, the state environmental protection
agency, and local environmental protection agency, having jurisdiction where
the R&D for PCB disposal activity will occur is notified in writing at least 30
days prior to the commencement of any R&D for PCB disposal activity.
-the amount of material containing PCBs treated annually by the facility
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
during R&D for PCB disposal activities does not exceed 500 gal or 70 ft3 of
liquid or non-liquid PCBs and does not exceed a maximum concentration of
10,000 ppm PCBs
- no more than 1 kg total of pure PCBs per year is disposed of in all R&D for
PCB disposal activities at a facility
- each R&D for PCB disposal activity lasts no more than 1 calendar year
- all PCB wastes (treated and untreated PCB materials, testing samples, spent
laboratory samples, residuals, untreated samples, contaminated media or
instrumentation, clothing, etc.) are stored in compliance with 40 CFR
761.65(b) (see checklist items TT.110.1 and TT.110.2) and disposed of
according to the undiluted PCB concentration prior to treatment
-use manifests for all R&D PCB wastes being transported from the R&D
facility to an approved PCB storage or disposal facility. However, 40 CFR.
761.207 through 761.218 do not apply if the residuals or treated samples are
returned either to the physical location where the samples were collected or a
location where other regulated PCBs from the physical location where the
samples were collected are being stored for disposal
- package and ship all PCB wastes according to DOT requirements under 49
CFR 171 through 180
-comply with the recordkeeping requirements of 40 CFR 761.180 (see
checklist items TT.30.3, TT.30.6, TT.30.7 and TT.30.13).
Verify that each written notification includes the U.S. EPA identification number
of the site where the R&D for PCB disposal activities will be conducted, the
quantity of PCBs to be treated, the type of R&D technology to be used, the general
physical and chemical properties of material being treated, and an estimate of the
duration of the PCB activity.
(NOTE: The U.S. EPA Regional Administrator, the state environmental protection
agency, and the local environmental protection agency may waive notification in
writing prior to commencement of the research.)
Verify that material limitations and time limitations are not exceeded without prior
written approval from U.S. EPA.
(NOTE: Requests for approval to exceed the material limitations or time
limitations for PCBs in R&D for PCB disposal activities as specified in this
section must be submitted in writing to the U.S. EPA Regional Administrator for
the U.S. EPA Region in which the facility conducting R&D for PCB disposal
activities is located. Each request shall specify the quantity or concentration
requested or additional time needed for disposal and include a justification for
each increase. For extensions to the duration of the R&D for PCB disposal
activity, the request shall also include a report on the accomplishments and
progress of the previously authorized R&D for PCB disposal activity for which the
extension is sought. The U.S. EPA Regional Administrator may grant a waiver in
writing for an increase in the volume of PCB material, the maximum concentration
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
of PCBs, the total amount of pure PCBs, or the duration of the R&D activity.
Approvals will state all requirements applicable to the R&D for PCB disposal
activity.)
(NOTE: The U.S. EPA Regional Administrator for the U.S. EPA Region in which
an R&D for PCB disposal activity is conducted may determine, at any time, that
an R&D PCB disposal approval is required to ensure that any R&D for PCB
disposal activity does not present an unreasonable risk of injury to health or the
environment.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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This document is intended solely for guidance. No statutory or regulatory 102
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
POLYCHLORINATED
BIPHENYLS (PCBs)
TT.110
Storage
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
TT.110.1. PCB waste, PCBs
and PCB Items at
concentrations of 50 ppm or
more that are to be stored
before disposal must be stored
in a facility meeting specific
structural requirements (40
CFR 761.65(a) through
761.65(b)(l)).
Verify that the following provisions are present by inspecting the PCB storage
area:
-the roof and walls of the building in which the PCBs are stored are
constructed so as to exclude rainfall from contacting PCBs and PCB items
- an adequate floor that has continuous curbing with a minimum 6 in high curb.
The curbing will provide a containment volume equal to at least two times
the internal volume of the largest PCB Article or PCB Container or 25% of
the total internal volume of all PCB Articles or PCB Containers stored there,
whichever is greater
-drains, valves, floor drains, expansion joints, sewer lines or other openings
that would allow liquids to flow from the curbed area are not present
-floors and curbing are constructed of Portland cement, concrete, or a
continuous, smooth, nonporous surface that prevents or minimizes
penetration of the PCBs
- location is not below a 100-yr flood water elevation
- the storage area is marked with the label in Appendix A of this document.
Verify that PCB waste is removed from storage within 9 mo and disposed of
within 1 yr from the date it was determined to be PCB waste and the decision was
made to dispose of it.
(NOTE: This date is the date of removal from service for disposal and the point at
which the 1-yr time frame for disposal begins.)
(NOTE: Any person storing PCB waste that is subject to the 1-yr time limit may
provide written notification to the U.S. EPA Regional Administrator for the U.S.
EPA Region in which the PCB waste is stored that their continuing attempts to
dispose of or secure disposal for their waste within the 1-yr time limit have been
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
unsuccessful. Upon receipt of the notice by the U.S. EPA Regional Administrator,
the time for disposal is automatically extended for 1 additional year (2 years total)
if the following conditions are met:
-the notification is received by the U.S. EPA Regional Administrator at least
30 days before the initial 1-yr time limit expires and the notice identifies the
storer, the types, volumes, and locations of the waste and the reasons for
failure to meet the initial 1-yr time limit
- a written record documenting all continuing attempts to secure disposal is
maintained until the waste is disposed of
-the written record required is available for inspection or submission if
requested by U.S. EPA
- continuing attempts to secure disposal were initiated within 270 days after
the time the waste was first subject to the 1-yr time limit requirement.
Failure to initiate and continue attempts to secure disposal throughout the total
time the waste is in storage automatically disqualifies the notifier from receiving
an automatic extension under this section.)
Verify that, except as listed, any PCB Article with PCB concentration >/= 50 ppm
is stored in accordance with 40 CFR 761.65 (see checklist items TT.30.10 through
TT.30.13, TT. 110.1 through TT. 110.6, and TT. 110.9) prior to disposal:
-PCB Small Capacitors
-hydraulic machines that comply with municipal solid waste disposal
provisions.
TT.110.2. PCBs and PCB
Items may also be stored in
other areas that do not comply
with the storage area
requirements when specific
parameters are met (40 CFR
761.65(b)(2) and
761.65(c)(l)).
Verify that, if PCBs and PCB Items designated for disposal are stored in a storage
unit that is not approved and does not meet design requirements, the unit meets
one of the following conditions:
-it is permitted under Section 3004 of RCRA to manage hazardous waste in
containers and spills of PCBs are properly cleaned up
-it qualifies for interim status under section 3005 of RCRA to manage
hazardous waste in containers, meets the requirements for containment at 40
CFR. 264.175, and spills of PCBs are properly cleaned up
- it is permitted by a state authorized under section 3006 of RCRA to manage
hazardous waste in containers, and spills of PCBs are properly cleaned up
-it is approved or otherwise regulated pursuant to a state PCB waste
management program no less stringent in protection of health or the
environment than the applicable TSCA requirements
-it is subject to a TSCA Coordinated Approval that includes provisions for
storage of PCBs
- it has a TSCA PCB waste management approval that includes provisions for
storage.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that only the following PCB Items are stored and a notation is attached to
the PCB Item or Container indicating the date the item was removed from service
for storage in noncompliant storage areas used as a temporary 30-day storage area:
- nonleaking PCB Articles and PCB Equipment
-leaking PCB Articles and PCB Equipment placed in a nonleaking PCB
Container that contains sufficient sorbent material to absorb liquid contained
on the PCB Article or equipment
- PCB Containers in which nonliquid PCBs have been placed
-PCB Containers containing liquid PCBs at a concentration >/= 50 provided a
Spill, Prevention, Control, and Countermeasure (SPCC) (40 CFR 112) plan
has been prepared for the temporary storage area and the liquid PCB waste is
in DOT authorized packaging or stationary bulk storage tanks.
TT.110.3. Nonleaking and
structurally undamaged PCB
Large, High- Voltage
Capacitors and PCB-
contaminated Electric
Equipment that have not been
drained of free flowing
dielectric fluid may be stored
on pallets next to a storage
area that complies with the
storage area requirements (40
CFR761.65(c)(2)).
Determine if available unfilled storage space in the storage area is equal to at least
10 percent of the volume of capacitors and electrical equipment stored outside.
Verify that capacitors and equipment stored outside the storage facility are on
pallets and inspected at least weekly.
TT.110.4. Specific
operational procedures are
required at PCB storage units
(40 CFR 761.65(c)(4),
761.65(c)(5), and
761.65(c)(8)).
Verify that the following practices are conducted at any area where PCBs or PCB
Items are stored:
-movable equipment used for handling PCBs and PCB Items that directly
contact PCBs is not removed from storage unit unless decontaminated
- inspections for leaks of all PCB Items in storage are done at least once every
30 days
-any leaking PCB Items and their contents are immediately transferred to
properly marked non-leaking containers and the spilled or leaked materials
are immediately cleaned up and any spill absorbent material properly
disposed
- PCB Items are marked with the date when they are removed from service for
disposal
- PCB Items are positioned so that they can be located by the marked date
-stationary storage containers for liquid PCBs have a record that includes
quantity and date of each batch added to the container or removed from the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
container
-comply with the recordkeeping requirements of 40 CFR 761.180(a) and (b)
(see checklist items TT.30.10 through 30.13).
TT.110.5. Containers used for
the storage of PCBs must
comply with the shipping
container specification of the
DOT (40 CFR 761.65(c)(6)
and761.65(c)(7)).
Verify that any container used for the storage of liquid or non-liquid PCB waste is
in accordance with the requirements in the DOT Hazardous Materials Regulations
(HMR) at 49 CFR 171 through 180.
Verify that PCB wastes not subject to the HMR (i.e., PCB wastes at
concentrations of <20 ppm or <1 Ib of PCBs regardless of concentration) are
packaged in accordance with Packaging Group III, unless other hazards associated
with the PCB waste cause it to require packaging in accordance with Packaging
Groups I or II.
(NOTE: For purposes of describing PCB waste not subject to DOT's HMR on a
manifest, one may use the term "Non-DOT Regulated PCBs.")
(NOTE: The following DOT-specified containers that conform to the
requirements of 49 CFR, chapter I, subchapter C in effect on September 30, 1991,
may be used for storage and transportation activities that are not subject to DOT
regulation, and may be used on a transitional basis as permitted at 49 CFR 171.14.
For liquid PCBs: Specification 5 container without removable head, Specification
5B container without removable head, Specification 6D overpack with
Specification 2S or 2SL polyethylene containers, or Specification 17E container.
For non-liquid PCBs: Specification 5 container, Specification 5B container, or
Specification 17C container.)
(NOTE: Stationary storage containers for liquid PCBs can be larger than those
specified in DOT Specs 5, 5B, or 17C may be used for nonliquid PCBs when such
containers will provide as much protection against leaking and exposure to the
environment as the DOT-specified containers.)
Verify that, if containers larger than DOT approved containers are used, an SPCC
plan covering the containers storing PCBs has been prepared.
(NOTE: See checklist item TT. 110.10 and TT. 150.18 for details on the storage of
radioactive PCB waste.)
TT.110.6. Commercial storers
of PCB Waste must have final
storage approval (40 CFR
761.65(d)).
Verify that the commercial storer has final storage approval from the U.S. EPA
regional administrator for PCB waste.
(NOTE: Commercial storers were required to file for final storage approval by
August 2, 1990. After filing for final approval, they will operate under interim
approval until the a final decision is made on approval. Some facilities are still
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
under interim approval.)
(NOTE: The following storage facilities may be exempt from this requirements
for storage approval:
-storage areas at transfer facilities unless the PCB waste is stored at the
transfer facility for more than 10 consecutive days between destinations
-storage areas at RCRA-permitted facilities if the facility proves to the
regional administrator that the facility's existing RCRA closure plan
substantially meets the requirements for a TSCA closure plan
- storage areas ancillary to a TSCA approved disposal facility if the disposal
approval contain an expiration date and the current disposal approval's
closure and financial responsibility conditions specifically extend to storage
areas ancillary to disposal
-storage areas where the storer is storing his/her own waste (i.e., not
commercial storage).)
TT.110.7. PCB Articles may
be stored for reuse if specific
parameters are met (40 CFR
761.35)
Verify that PCB Articles are not stored for reuse in an area that is not designed,
constructed, and operated in compliance with 40 CFR 761.65(b) (see checklist
items TT. 110.1 and TT. 110.2) for more than 5 yr after the date the Article was
originally removed from use or 5 yr after August 28, 1998, whichever is later.
Verify that, when storing PCB Articles for reuse in a noncompliant area, the
following are met:
- all applicable use and marking requirements are met
- records including the following are kept, starting at the time the PCB Article
is removed from use or August 28, 1998:
-the date of removal or August 28, 1998, if the removal date is not
known
-projected location and future use of the Article
- the date the PCB Article is scheduled for repair, if applicable.
(NOTE: Storage for reuse may be done in a noncompliant area for more than 5 yr
if written approval has been received from the U.S. EPA Regional Administrator.)
(NOTE: A PCB Article may be stored for reuse indefinitely in:
-a unit in compliance with 40 CFR 761.65(b) (see checklist items TT. 110.1
and TT. 110.2)
- a unit permitted to manage hazardous waste containers either under Section
3004 or 3006 of RCRA.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.110.8. PCB household
waste must be stored
according to specific
parameters (40 CFR 761.63).
Verify that PCB household waste stored in a unit regulated for storage of PCB
waste is not commingled with PCB waste.
TT.110.9. The storage of bulk
PCB remediation waste or
PCB bulk product waste must
meet certain requirements (40
CFR761.65(c)(9)).
Verify that Bulk PCB remediation waste or PCB bulk product waste is not stored
at the clean-up site or site of generation for more than 180 days.
Verify that the following conditions are met when stored at the clean-up site or site
of operation for less than 180 days.:
- the waste is placed in a pile designed and operated to control dispersal of the
waste by wind, where necessary, by means other than wetting
-the waste does not generate leachate through decomposition or other
reactions
-the storage site has a liner that meets all of the following requirements:
-is designed, constructed, and installed to prevent any migration of
wastes off or through the liner into the adjacent subsurface soil,
groundwater, or surface water at any time during the active life
(including the closure period) of the storage site
- is constructed of materials that have appropriate chemical properties
and sufficient strength and thickness to prevent failure due to pressure
gradients (including static head and external hydrogeologic forces),
physical contact with the waste or leachate to which they are exposed,
climatic conditions, the stress of installation, and the stress of daily
operation
-is placed upon a foundation or base capable of providing support to the
liner and resistance to pressure gradients above and below the liner to
prevent failure of the liner due to settlement, compression, or uplift
- is installed to cover all surrounding earth likely to be in contact with the
waste
- has an appropriate cover that covers all of the stored waste likely to be
contacted by precipitation, and is secured so as not to be functionally
disabled by winds expected under normal seasonal meteorological
conditions at the storage site
-has a run-on control system designed, constructed, operated, and
maintained such that:
- it prevents flow onto the stored waste during peak discharge from
at least a 25-yr storm
- it collects and controls at least the water volume resulting from a
24-h, 25-yr storm.
Verify that collection and holding facilities (e.g., tanks or basins) are emptied or
otherwise managed expeditiously after storms to maintain design capacity of the
system.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.110.10. The storage of
PCB/Radioactive waste >/=
50 ppm must take both the
PCB concentration and
radioactive properties into
account (40 CFR
761.50(b)(7)(i))
Verify that the storage of PCB/Radioactive waste >/= 50 ppm takes both the PCB
concentration and radioactive properties into account.
Verify that disposal occurs within 1-year from the date it was determined to be
PCB waste and the decision was made to dispose of it.
(NOTE: This date is the date of removal from service for disposal and the point at
which the 1-year time frame for disposal begins. PCB/radioactive waste removed
from service for disposal is exempt from the 1-year time limit if the following are
met and the waste is managed in accordance with all other applicable federal,
state, and local laws and regulations for the management of radioactive material:
- a written record documenting all continuing attempts to secure disposal is
maintained until the waste is disposed of
- the written record is available for inspection or submission if requested by
U.S. EPA.
Verify that there is an adequate floor that has continuous curbing with a
containment volume equal to at least two times the internal volume of the largest
PCB Article or PCB Container or 25% of the total internal volume of all PCB
Articles or PCB Containers stored there, whichever is greater.
Verify that, if containers other than those meeting HMR performance standards
are used for storage of PCB/radioactive waste, the following requirements are met:
- containers are non-leaking
- containers are designed to prevent the buildup of liquids if such containers
are stored in an area meeting containment requirements as well as all other
applicable state or federal regulations or requirements for control of
radioactive materials
-containers meet all regulations and requirements pertaining to nuclear
criticality safety.
(NOTE: Acceptable container materials currently include polyethylene and
stainless steel provided that the container material is chemically compatible with
the wastes being stored. Other containers may be used to store both liquid and
non-liquid PCB/radioactive wastes if the users are able to demonstrate, to the U.S.
EPA Regional Administrator and other appropriate regulatory authorities (i.e.,
Nuclear Regulatory Commission, Department of Energy or the Department of
Transportation), that the use of such containers is protective of health and the
environment as well as public health and safety.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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based Paint Regulated under TSCA
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This document is intended solely for guidance. No statutory or regulatory 110
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs), ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
POLYCHLORINATED
BIPHENYLS (PCBs)
TT.120
Spills and Cleanup
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
TT.120.1. Certain spills of
PCBs are required to be
reported (40 CFR
761.50(a)(4), 761.120(a)(l),
and761.125(a)(l)).
(NOTE: Spills and other uncontrolled discharges of PCBs at concentrations of
>/= 50 ppm constitute the disposal of PCBs.)
Verify that the following reporting is done for all spills in excess of 50 ppm in
addition to the reporting required under the CWA or CERCLA:
- where a spill directly contaminates surface water, sewers, or drinking water
supplies, notify the appropriate U.S. EPA Regional office and obtain
guidance for appropriate cleanup measures in the shortest possible time after
discovery, but not later than 24 h after discovery
- where a spill directly contaminates grazing lands or vegetable gardens, notify
the appropriate U.S. EPA Regional office and proceed with the immediate
cleanup requirements in 40 CFR 761.125(b) and 761.125(c) (see checklist
items TT.30.2, TT.120.2, and TT.120.3) depending on the source of the spill,
in the shortest possible time after discovery, but not later than 24 h after
discovery
-when a spill is > 10 Ib PCBs by weight and does not directly contaminate
surface water, sewers, drinking water supplies, grazing lands, or vegetable
gardens, notify the appropriate U.S. EPA Regional office and proceed to
decontaminate the area according to TSCA policy in the shortest possible
time after discovery, but not later than 24 h after discovery.
(NOTE: When a spill is < 10 Ib PCBs by weight and does not directly
contaminate surface water, sewers, drinking water supplies, grazing lands, or
vegetable gardens, U.S. EPA notification is not required. But, appropriate cleanup
must occur.)
(NOTE: Certain records must be kept in relation to PCB cleanup (see checklist
item TT.30.2 in this document).)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Ill
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs), ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
(NOTE: Under the CWA, all spills 1 Ib or more by weight of PCBs must be
reported to the NRC.)
(NOTE: The U.S. EPA has developed a Spill Cleanup Policy (see 40 CFR 761,
Subpart G) which establishes criteria EPA will use to determine the adequacy of
the cleanup of spills resulting from the release of materials containing PCBs at
concentrations of 50 ppm or greater which occur after May 4, 1987. The Spill
Cleanup Policy does not apply to spills prior to May 4, 1987 because:
- for old spills which have already been discovered, this policy is not intended
to require additional cleanup where a party has already cleaned a spill
according to the requirements imposed by U.S. EPA Regional Offices. It is
also not intended to interfere with ongoing litigation or enforcement action
which bring into issue PCB spill cleanups. The Spill Cleanup Policy may not
be used to clean up an old spill and may only be used if cleanup begins
within 24 to 48 hours after the discovery of a fresh spill
-U.S. EPA recognizes that more recently discovered old spills will require
site-by-site evaluation.)
TT.120.2. Cleanup of low
concentration spills of < 1 Ib
of PCBs (< 270 gal of
untested mineral oil) must be
done according to specific
requirements (40 CFR
761.50(a)(4), 761.120(a)(l),
761.120(a)(2),
through
761.120(b)
761.120(d),
761.125(a)(2), 761.125(a)(3),
761.125(b)(l),
761.125(b)(2)).
and
(NOTE: Spills and other uncontrolled discharges of PCBs at concentrations of
>/= 50 ppm constitute the disposal of PCBs.)
(NOTE: The U.S. EPA has developed a Spill Cleanup Policy (see 40 CFR 761,
Subpart G) which establishes criteria EPA will use to determine the adequacy of
the cleanup of spills resulting from the release of materials containing PCBs at
concentrations of 50 ppm or greater which occur after May 4, 1987. The Spill
Cleanup Policy does not apply to spills prior to May 4, 1987 because:
- for old spills which have already been discovered, this policy is not intended
to require additional cleanup where a party has already cleaned a spill
according to the requirements imposed by U.S. EPA Regional Offices. It is
also not intended to interfere with ongoing litigation or enforcement action
which bring into issue PCB spill cleanups. The Spill Cleanup Policy may not
be used to clean up an old spill and may only be used if cleanup begins
within 24 to 48 hours after the discovery of a fresh spill
-U.S. EPA recognizes that more recently discovered old spills will require
site-by-site evaluation.)
Verify that, when there is evidence of a leak or spill, but no visible traces, the
boundaries of the spill are determined by using statistically based sampling
scheme.
Verify that solid surfaces are double washed/rinsed and all indoor, residential
surfaces other than vault areas are cleaned to 10 jig/100 cm2 by standard
commercial wipe tests.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs), ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that all soil within the spill area (visible traces of soil and buffer of 1 lateral
ft around the visible traces) is excavated and the ground restored to its original
status by backfilling with clean soil (soil with < 1 ppm PCBs).
Verify that all concentrated soils, solvents, rags, and other materials resulting from
the cleanup of PCBs are properly stored, labeled and disposed of in accordance
with 40 CFR 761.50 through 761.79 (see checklist items TT. 110 and TT.150).
(NOTE: Completion of a cleanup may be delayed beyond 48 h in cases of
circumstances including, but not limited to: civil emergency, adverse weather
conditions, lack of access to the site, and emergency operating conditions. The
occurrence/discovery of the spill on the weekend or overtime costs are not
considered acceptable reasons to delay response. Cleanup may only be delayed
for the duration of the adverse condition.)
(NOTE: The final numerical cleanup standards do not apply to spills directly into
surface waters, drinking water, sewers, sewage treatment systems, grazing lands,
and vegetable gardens.)
(NOTE: The U.S. EPA may impose more stringent or less stringent cleanup
requirements on a case by case basis depending on conditions such as possibility
of ground water contamination.)
TT.120.3. Cleanup of high-
concentration spills and low
concentration spills involving
1 Ib or more of PCBs by
weight (270 gal or more of
untested mineral oil) must be
done according to specific
requirements (40 CFR
761.50(a)(4), 761.120(a)(l),
761.120(a)(2),
through
761.120(b)
761.120(d),
761.125(a)(2), 761.125(a)(3),
and 761.125(c)(l) through
761.125(c)(4)).
(NOTE: Spills and other uncontrolled discharges of PCBs at concentrations of
>/= 50 ppm constitute the disposal of PCBs.)
(NOTE: The U.S. EPA has developed a Spill Cleanup Policy (see 40 CFR 761,
Subpart G) which establishes criteria EPA will use to determine the adequacy of
the cleanup of spills resulting from the release of materials containing PCBs at
concentrations of 50 ppm or greater which occur after May 4, 1987. The Spill
Cleanup Policy does not apply to spills prior to May 4, 1987 because:
- for old spills which have already been discovered, this policy is not intended
to require additional cleanup where a party has already cleaned a spill
according to the requirements imposed by U.S. EPA Regional Offices. It is
also not intended to interfere with ongoing litigation or enforcement action
which bring into issue PCB spill cleanups. The Spill Cleanup Policy may not
be used to clean up an old spill and may only be used if cleanup begins
within 24 to 48 hours after the discovery of a fresh spill
-U.S. EPA recognizes that more recently discovered old spills will require
site-by-site evaluation.)
Verify that, when there is evidence of a leak or spill, but no visible traces, the
boundaries of the spill are determined by using statistically based sampling
scheme.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs), ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that the following actions are taken within 24 h (or within 48 h for PCB
Transformer with PCB concentrations of > 500 ppm) of discovery of the spill:
- notification of the U.S. EPA regional office and the NRC
-the area of the spill is cordoned off or otherwise identified to include the area
with visible traces of the spill and a 3 ft buffer zone
- clearly visible signs are placed advising persons to avoid the area
-the area of visible contamination is recorded and documented, identifying the
extent and center of the spill
- cleanup of visible traces of the fluid from hard surfaces is initiated
- initiate removal of all visible traces of the spill on soil and other media such
as gravel, sand, etc., is started
- estimate and cordon off the area of suspect contamination if there has been a
delay in reaching the site and there are insufficient traces of visible PCBs
remaining.
Verify that, if the spill occurs in an outdoor substation:
- contaminated solid surfaces, impervious and non-impervious, are cleaned to
a PCB concentration of 100 |ig/cm2 (as measured by standard wipe tests)
- soil contaminated by the spill is cleaned to either 25 ppm PCBs by weight or
50 ppm PCBs by choice of the facility if a label to notice is placed in the area
indicating the level of cleanup.
(NOTE: At such times as outdoor electrical substations are converted to another
use, the spill site will be cleaned up to the nonrestricted access requirements.)
Verify that, if the spill occurs in a restricted access area other than an outdoor
substation:
-high-contact solid surfaces are cleaned to 10 |j,g/100 cm2 (as measured by
standard wipe tests)
-low-contact, indoor, impervious solid surfaces are decontaminated to 10
M.g/100 cm2
-low contact, indoor, nonimpervious surfaces are cleaned to either 10 jig or
100 jig/100 cm2 and encapsulated at the option of the facility
-low-contact, outdoor surfaces (both impervious and nonimpervious) are
cleaned to 100 n.g/100 cm2
- soil contaminated by the spill is cleaned to 25 ppm PCBs by weight
-post-cleanup sampling is done.
(NOTE: At such times as restricted access areas other than outdoor electrical
substations are converted to another use, the spill site will be cleaned up to the
nonrestricted access area requirements.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
114
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs), ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that spills in nonrestricted access locations are decontaminated as follows:
- furnishings, toys, and other easily replaceable household items are disposed
of and replaced
- indoor solid surfaces and high-contact outdoor solid surfaces are cleaned to
10 |ig/100 cm2 (as measured by standard wipe tests)
- indoor vault areas and low-contact, outdoor, impervious solid surfaces are
decontaminated to 10 |j,g/100 cm2
-at the option of the facility, low-contact, outdoor, nonimpervious solid
surfaces are cleaned to either 10 or 100 jig/100 cm2 and encapsulated
- soil is decontaminated to 10 ppm PCBs by weight provided that the soil is
excavated to a minimum depth of 10 in. and replaced with clean soil
-post-cleanup sampling is done.
Verify that all concentrated soils, solvents, rags, and other materials resulting from
the cleanup of PCBs are properly stored, labeled and disposed of in accordance
with 40 CFR 761.50 through 761.79 (see checklist items TT. 110 and TT.150).
(NOTE: Completion of a cleanup may be delayed beyond 48 h in cases of
circumstances including, but not limited to: civil emergency, adverse weather
conditions, lack of access to the site, and emergency operating conditions. The
occurrence/discovery of the spill on the weekend or overtime costs are not
considered acceptable reasons to delay response. Cleanup may only be delayed
for the duration of the adverse condition.)
(NOTE: The final numerical cleanup standards do not apply to spills directly into
surface waters, drinking water, sewers, sewage treatment systems, grazing lands,
and vegetable gardens.)
(NOTE: The U.S. EPA may impose more stringent or less stringent cleanup
requirements on a case by case basis depending on conditions such as possibility
of ground water contamination.)
TT.120.4. Postcleanup
sampling is required in
specific circumstances (40
CFR 761.120(a)(l) and
761.130).
Verify that postcleanup sampling is done after cleanup of high-concentration spills
and low concentration spills involving 1 Ib or more of PCBs by weight (270 gal or
more of untested mineral oil) at the following:
- outdoor electrical substations
- other restricted access areas
- nonrestricted access areas.
(NOTE: The responsible party may use any statistically valid, reproducible,
sampling scheme (either random samples or grid samples) provided that the
requirements outlined here are satisfied.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs), ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that the sampling area is the greater of:
- an area equal to the area cleaned plus an additional 1-ft boundary
- an area 20 percent larger than the original area of contamination.
Verify that the sampling scheme ensures 95 percent confidence against false
positives.
Verify that the number of samples is sufficient to ensure that areas of
contamination of a radius of 2 ft or more within the sampling area will be detected,
except that the minimum number of samples is 3 and the maximum number of
samples is 40.
Verify that the sampling scheme includes calculation for expected variability due
to analytical error.
(NOTE: U.S. EPA recommends the use of a sampling scheme developed by the
Midwest Research Institute (MRI) for use in U.S. EPA enforcement inspections:
"Verification of PCB Spill Cleanup by Sampling and Analysis." Guidance for the
use of this sampling scheme is available in the MRI report "Field Manual for Grid
Sampling of PCB Spill Sites to Verify Cleanup." Both the MRI sampling scheme
and the guidance document are available from the Director, Environmental
Assistance Division (7408), Office of Pollution Prevention and Toxics, U.S.
Environmental Protection Agency, Room E-543B, 401 M St., SW., Washington,
DC, 20460, Telephone: (202) 554-1404, TDD: (202) 544-0551. The major
advantage of this sampling scheme is that it is designed to characterize the degree
of contamination within the entire sampling area with a high degree of confidence
while using fewer samples than any other grid or random sampling scheme. This
sampling scheme also allows some sites to be characterized on the basis of
composite samples.)
(NOTE: U.S. EPA may, at its discretion, take samples from any spill site. If U.S.
EPA's sampling indicates that the remaining concentration level exceeds the
required level, U.S. EPA will require further cleanup.)
(NOTE: The U.S. EPA has developed a Spill Cleanup Policy (see 40 CFR 761,
Subpart G) which establishes criteria EPA will use to determine the adequacy of
the cleanup of spills resulting from the release of materials containing PCBs at
concentrations of 50 ppm or greater which occur after May 4, 1987. The Spill
Cleanup Policy does not apply to spills prior to May 4, 1987 because:
- for old spills which have already been discovered, this policy is not intended
to require additional cleanup where a party has already cleaned a spill
according to the requirements imposed by U.S. EPA Regional Offices. It is
also not intended to interfere with ongoing litigation or enforcement action
which bring into issue PCB spill cleanups. The Spill Cleanup Policy may not
be used to clean up an old spill and may only be used if cleanup begins
within 24 to 48 hours after the discovery of a fresh spill
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
116
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs), ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
-U.S. EPA recognizes that more recently discovered old spills will require
site-by-site evaluation.)
TT.120.5. The collection and
analyzing of samples to verify
the cleanup and onsite
disposal of PCB waste must
be done according to specific
parameters (40 CFR
761.61(a)(6)).
Verify that any person collecting and analyzing samples to verify the cleanup and
onsite disposal of bulk PCB remediation wastes and porous surfaces do so in
accordance with Subpart O of 40 CFR 761.
Verify that any person collecting and analyzing samples from non-porous surfaces
does so in accordance with 40 CFR 761, Subpart P.
Verify that any person collecting and analyzing samples from liquids does so in
accordance with 40 CFR 761.269.
(NOTE: Any person conducting interim sampling during PCB remediation waste
cleanup to determine when to sample to verify that cleanup is complete, may use
PCB field screening tests.)
(NOTE: Where sample analysis results in a measurement of PCBs less than or
equal to the levels specified in Appendix C of this document, serf-implementing
cleanup is complete.)
TT.120.6. Caps for PCB
cleanup sites are required to
meet specific requirements
(40 CFR 761.61(a)(7) and
761.61(a)(8)).
(NOTE: A cap means, when referring to onsite cleanup and disposal of PCB
remediation waste, a uniform placement of concrete, asphalt, or similar material of
minimum thickness spread over the area where remediation waste was removed or
left in place in order to prevent or minimize human exposure, infiltration of water,
and erosion.)
Verify that any cap is designed and constructed in accordance with 40 CFR
264.310(a), and complies with the permeability, sieve, liquid limit, and plasticity
index parameters in 40 CFR 761.75(b)(l)(ii) through (b)(l)(v).
Verify that a cap of compacted soil has a minimum thickness of 25 cm (10 in).
Verify that a concrete or asphalt cap has a minimum thickness of 15 cm (6 in).
Verify that the cap is of sufficient strength to maintain its effectiveness and
integrity during the use of the cap surface which is exposed to the environment.
Verify that a cap is not contaminated at a level >/= 1 ppm PCB per Aroclor™ (or
equivalent) or per congener.
Verify that repairs begin within 72 h of discovery for any breaches which would
impair the integrity of the cap.
Verify that, when there is a fence or cap, the fence or cap is maintained in
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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perpetuity.
Verify that, whenever a cap, or the procedures and requirements for a low
occupancy area, are used, the owner of the site meets the following conditions:
- within 60 days of completion of a cleanup activity, the owner of the property
records, in accordance with state law, a notation on the deed to the property,
or on some other instrument which is normally examined during a title
search, that will in perpetuity notify any potential purchaser of the property:
- that the land has been used for PCB remediation waste disposal and is
restricted to use as a low occupancy area
- of the existence of the fence or cap and the requirement to maintain the
fence or cap
-the applicable cleanup levels left at the site, inside the fence, and/or
under the cap
- within 60 days of completion of a cleanup activity, the owner of the property
submits a certification to the U.S. EPA Regional Administrator, signed by the
owner, that he/she has recorded the required notation.
(NOTE: The owner of a site being cleaned up may remove a fence or cap after
conducting additional cleanup activities and achieving cleanup levels which do not
require a cap or fence. The owner may remove the notice on the deed no earlier
than 30 days after achieving the cleanup levels which do not require a fence or
cap.)
TT.120.7. PCBs resulting
from the cleanup and removal
of spills, leaks, or other
uncontrolled discharges, must
meet specific storage and
disposal requirements (40
CFR761.60(d)).
Verify that PCBs resulting from the cleanup and removal of spills, leaks, or other
uncontrolled discharges, are stored and disposed of in accordance with 40 CFR
761.60(a) (see checklist items TT.130.2, TT.150.2, TT.150.3, TT.150.14, and
TT.150.15).
(NOTE: These regulations do not exempt any person from any actions or liability
under other statutory authorities, including but not limited to the CWA, RCRA,
andCERCLAof 1980.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REQUIREMENT OR
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POLYCHLORINATED
BIPHENYLS (PCBs)
TT.130
Remediation Waste
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
TT.130.1. PCB remediation
wastes cleanup and disposal
must be managed according to
specific provisions (40 CFR
761.50(b)(3) and 761.61(a)(l)
through 761.61(a)(5)).
(NOTE: PCB remediation waste includes PCB sewage sludge.)
Verify that, for the following, the waste is disposed of in accordance with 40 CFR
761.61 such that an unreasonable risk of injury no longer exists at the direction of
the U.S. EPA Regional Administrator:
- PCB waste at as-found concentrations >/= 50 ppm placed in a land disposal
facility, spilled, or otherwise released into the environment prior to April 18,
1978, regardless of the concentration of the spill or release
- a spill or release which >/= 50 ppm but < 500 ppm placed in a land disposal
facility, otherwise released into the environment on or after April 18, 1978,
but prior to July 2, 1979.
(NOTE: Unless directed by the U.S. EPA Regional Administrator to dispose of
PCB waste in accordance with the above, any person responsible for PCB waste at
as-found concentrations >/= 50 ppm that was either placed in a land disposal
facility, spilled, or otherwise released into the environment prior to April 18, 1978,
regardless of the concentration of the spill or release; or placed in a land disposal
facility, spilled, or otherwise released into the environment on or after April 18,
1978, but prior to July 2, 1979, where the concentration of the spill or release was
>/= 50 ppm but < 500 ppm, who unilaterally decides to dispose of that waste (for
example, to obtain insurance or to sell the property), is not required to clean up in
accordance with 40 CFR 761.61.)
(NOTE: Unless directed by the U.S. EPA Regional Administrator to dispose of
PCB remediation waste, any person responsible for PCB remediation waste placed
in a land disposal facility, spilled, or otherwise released into the environment prior
to April 18, 1978, who unilaterally decides to dispose of that waste (for example,
to obtain insurance or to sell the property),is not required to cleanup in accordance
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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with 40 CFR 761.61. Disposal of the PCB remediation waste must comply with
40 CFR 761.61. However, cleanup of those wastes that is not in complete
compliance with 40 CFR 761.61 will not afford the responsible party with relief
from the applicable PCB regulations for that waste.)
Verify that any person responsible for PCB waste at as-found concentrations >/=
50 ppm that was either placed in a land disposal facility, spilled, or otherwise
released into the environment on or after April 18, 1978, but prior to July 2, 1979,
where the concentration of the spill or release was >/= 500 ppm; or placed in a
land disposal facility, spilled, or otherwise released into the environment on or
after July 2, 1979, where the concentration of the spill or release was >/= 50 ppm,
disposes of it in accordance with either of the following:
-in accordance with the PCB Spill Cleanup Policy (40 CFR 761, Subpart G)
for those PCB remediation wastes that meet the criteria of the Policy
- in accordance with 40 CFR 761.61.
(NOTE: Complete compliance with 40 CFR 761.61 does not create a presumption
against enforcement action for penalties for any unauthorized PCB disposal.)
(NOTE: The owner or operator of a site containing PCB remediation waste has
the burden of proving the date that the waste was placed in a land disposal facility,
spilled, or otherwise released into the environment, and the concentration of the
original spill.)
Verify that serf-implementing onsite cleanup and disposal of PCB remediation
waste is only used for a general, moderately-sized site where there should be low
residual environmental impact from remedial activities and is not used to clean up
the following:
- surface or ground waters
- sediments in marine and freshwater ecosystems
- sewers or sewage treatment systems
- any private or public drinking water sources or distribution systems
- grazing lands
-vegetable gardens.
(NOTE: The self-implementing cleanup provisions shall not be binding upon
cleanups conducted under other authorities, including but not limited to, actions
conducted under section 104 or section 106 of CERCLA, or section 3004(u) and
(v) or section 3008(h) of RCRA.)
Verify that, when conducting serf-implementing cleanup of PCB remediation
waste, the site is adequately characterized to be able to provide the required
notification information.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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(NOTE: Subpart N of 40 CFR 761 provides a method for collecting new site
characterization data or for assessing the sufficiency of existing site
characterization data.)
Verify that at least 30 days prior to the date that the serf-implementing cleanup of
a site begins, the person in charge of the cleanup or the owner of the property
where the PCB remediation waste is located notifies, in writing, the U.S. EPA
Regional Administrator, the director of the state or tribal environmental protection
agency, and the director of the county or local environmental protection agency
where the cleanup will be conducted.
Verify that the serf-implementing cleanup notice includes:
-the nature of the contamination, including kinds of materials contaminated
- a summary of the procedures used to sample contaminated and adjacent areas
and a table or cleanup site map showing PCB concentrations measured in all
pre-cleanup characterization samples
-the location and extent of the identified contaminated area, including
topographic maps with sample collection sites cross referenced to the sample
identification numbers in the data summary
-a cleanup plan for the site, including schedule, disposal technology, and
approach
- a written certification, signed by the owner of the property where the cleanup
site is located and the party conducting the cleanup, that all sampling plans,
sample collection procedures, sample preparation procedures, extraction
procedures, and instrumental/chemical analysis procedures used to assess or
characterize the PCB contamination at the cleanup site, are on file at the
location designated in the certificate, and are available for U.S. EPA
inspection
- when applicable, a statement that alternate methods for chemical extraction
and chemical analysis for site characterization will be used and that a
comparison study which meets or exceeds the requirements of Subpart Q of
40 CFR 761, and for which records are on file, has been completed prior to
verification sampling.
(NOTE: Within 30 calendar days of receiving the notification, the U.S. EPA
Regional Administrator will respond in writing approving of the serf-implementing
cleanup, disapproving of the serf-implementing cleanup, or requiring additional
information. If the U.S. EPA Regional Administrator does not respond within 30
calendar days of receiving the notice, the person submitting the notification may
assume that it is complete and proceed with the cleanup according to the
information the person provided to the U.S. EPA Regional Administrator.)
Verify that once the serf-implementing cleanup is underway, the person conducting
the cleanup provides any proposed changes from the notification to the U.S. EPA
Regional Administrator in writing no less than 14 calendar days prior to the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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proposed implementation of the change.
(NOTE: The U.S. EPA Regional Administrator will determine in his or her
discretion whether to accept the change, and will respond to the change
notification verbally within 7 calendar days and in writing within 14 calendar days
of receiving it. If the U.S. EPA Regional Administrator does not respond verbally
within 7 calendar days and in writing within 14 calendar days of receiving the
change notice, the person who submitted it may deem it complete and acceptable
and proceed with the cleanup according to the information in the change notice
provided to the U.S. EPA Regional Administrator.)
(NOTE: Any person conducting a cleanup activity may obtain a waiver of the 30-
day notification requirement, if they receive a separate waiver, in writing, from
each of the agencies they are required to notify. The person must retain the
original written waiver.)
Verify that the cleanup levels and procedures outlined in Appendix C of this
document are met.
(NOTE: The U.S. EPA Regional Administrator, as part of his or her response to a
notification, may require cleanup of the site, or portions of it, to more stringent
cleanup levels than are otherwise required, based on the proximity to areas such as
residential dwellings, hospitals, schools, nursing homes, playgrounds, parks, day
care centers, endangered species habitats, estuaries, wetlands, national parks,
national wildlife refuges, commercial fisheries, and sport fisheries.)
(NOTE: Any person may decontaminate bulk PCB remediation waste and return
the waste to the cleanup site for disposal as long as the cleanup standards are met.)
TT.130.2. Liquid PCB
remediation waste must either
be decontaminated or
disposed of according to
specific parameters (40 CFR
761.60(a)(l) through
761.60(a)(3), and
Verify that PCB liquids removed from use are either decontaminated or disposed
of.
(NOTE: For determining compliance with decontamination standards (40 CFR
761.79), see checklist items TT.160.1 through TT. 160.6.)
Verify that, when using disposal, except as identified below, PCB liquids at
concentration >/= 50 ppm are disposed of in an incinerator that meets the
requirements of 40 CFR 761.70:
- if mineral oil dielectric fluid with PCB concentrations at >/= 50 ppm and <
500 ppm are disposed of in a high efficiency boiler, the boiler meets the
requirements in 40 CFR 761.71 (a)
- if liquids with PCB concentrations at >/= 50 ppm and < 500 ppm other than
mineral oil dielectric fluid are disposed of in a high efficiency boiler, the
boiler meets the requirements in 40 CFR 761.71(b)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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- liquids from incidental sources, such as precipitation, condensation, leachate,
or load separation with PCB concentrations at >/= 50 ppm and < 500 ppm,
are associated with PCB Articles or non-liquid PCB wastes are disposed of in
a chemical waste landfill that complies with 40 CFR 761.75 and; information
is provided to or obtained by the owner of operator of the chemical waste
landfill that shows the liquids do not exceed 500 ppm and are not an ignitable
waste.
TT.130.3. Non-liquid PCB
remediation waste must be
disposed of according to
specific requirements (40
CFR761.61(b)(2)
Verify that non-liquid PCB remediation waste is decontaminated or disposed of by
one of the following methods:
- in an approved high temperature incinerator
- an alternate approved disposal method
- an approved chemical waste landfill
- in a facility with a coordinated approval.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REQUIREMENT OR
MANAGEMENT
PRACTICE
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POLYCHLORINATED
BIPHENYLS (PCBs)
TT.140
Transportation
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
TT.140.1. A generator who
relinquishes control over PCB
wastes by offering for
transport by his own vehicle
or by a vehicle owned by
another person, PCB waste for
commercial offsite storage or
offsite disposal must prepare a
manifest (40 CFR 761.207
761.208(a), and761.209(a)).
(NOTE: This applies to PCB wastes as defined in 40 CFR 761.3. This includes
PCB wastes with PCB concentrations below 50 ppm where the PCB concentration
below 50 ppm was the result of dilution. But there is no manifest requirement for
material currently below 50 ppm that derives from pre-April 18, 1978, spills of
any concentration, pre-July 2, 1979, spills of < 500 ppm PCBs, or decontaminated
materials.)
Verify that a manifest has been prepared when needed and that it contains (use
U.S. EPA Form 8700-22):
-the identity of PCB Waste, the earliest date of removal from service for
disposal and the weight in kilograms of the waste for bulk load of PCBs
-the unique identifying number of each PCB Article Container or PCB
Container, the date of removal from service, type of waste, and the weight of
PCB waste contained
- the serial number if available or other identification for each PCB Article not
in a PCB Container or PCB Article Container, the date of removal from
service for disposal, and weight in kilograms of the PCB waste in each PCB
Article.
Verify that the generator designated one offsite commercial storage or disposal
facility for the commercial storage or disposal of the PCBs and PCB Items
described on the manifest.
Verify that the generator designated an alternate facility when notified by the
transporter as unable to deliver the PCB waste to the facility designated on the
manifest.
Verify that sufficient copies are prepared to supply the generator, the initial
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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transporter, each subsequent transporter, and the owner or operator of the disposal
facility with one legible copy each for their records, and one additional copy to be
signed and returned to the generator by the owner or operator of the disposal
facility.
Verify that the generator:
- signs the manifest certification by hand
-obtains the handwritten signature of the initial transporter and date of
acceptance on the manifest
- retains one copy among its records
-gives the transporter the remaining copies of the manifest that will
accompany the shipment of PCB waste.
Verify that, for bulk shipments of PCB waste within the United States transported
solely by water, the generator sends three copies of the manifest dated and signed
directly to the owner or operator of the designated commercial storage or disposal
facility.
Verify that, for rail shipments of PCB waste within the United States which
originate at the site of generation, the generator sends at least three copies of the
manifest dated and signed to:
- the next non-rail transporter, if any
- the designated commercial storage or disposal facility if transported solely by
rail.
Verify that, when a generator employs an independent transporter to transport the
PCB waste to a commercial storer or disposer, the generator:
- confirms by telephone, or by other means of confirmation agreed to by both
parties, that the commercial storer or disposer actually received the
manifested waste
- confirms receipt of the waste by close of business the day after he receives
the manifest hand-signed by the commercial storer or disposer.
Verify that a copy of each manifest is kept until the generator receives a signed
copy from the designated commercial storer or disposal facility which received the
waste.
Verify that, if the generator has to produce an annual document log, they maintain
a copy of the signed manifest for at least 3 yr after receipt of waste by the initial
transporter.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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TT.140.2. If the generator
does not receive a signed copy
of the manifest within 35 days
of the date the waste was
accepted by the initial
transporter, the generator is
required to immediately
contact the transporter and/or
owner or operator of the
designated facility to
determine the status of the
PCB Waste (40 CFR
761.215(a)and761.215(b)).
Verify that a procedure is in place so that if the generator does not receive a copy
within 35 days of the date the waste was accepted by the initial transporter, the
transporter and/or designated facility is immediately contacted.
Verify that, if the generator does not receive a copy within 45 days of the date the
waste was accepted by the initial transporter, an Exception Report is filed with the
U.S. EPA no later than 45 days from the date on which the generators should have
received the manifest.
Verify that the Exception Report contains the following information:
-a legible copy of the manifest for which the generator does not have
confirmation of delivery
-a cover letter signed by the generator or his authorized representative
explaining the efforts taken to locate the PCB Waste and the results of those
efforts.
TT.140.3. Commercial storers
or disposers of PCB waste
must meet specific
manifesting requirements (40
CFR 761.180(b)(4),
761.208(c), and761.209(c)).
Verify that, whenever a commercial storer of PCB waste accepts PCBs or PCB
Items at his storage facility and transfers the PCB waste offsite to another facility
for storage or disposal, a manifest is started for the transfer of PCBs or PCB Items
to the next storage or disposal facility.
(NOTE:: Any requirements for weights in kilograms of PCBs may be calculated
values if the internal volume of PCBs in containers and transformers is known and
included in the reports, together with any assumptions on the density of the PCBs
contained in the containers or transformers. If the internal volume of PCBs is not
known, a best estimate may be used.)
Verify that, if a commercial storage or disposal facility receives an offsite
shipment of PCB waste accompanied by a manifest, the owner or operator, or his
agent:
- sign and date each copy of the manifest to certify that the PCB waste covered
by the manifest was received
-note any significant discrepancies in the manifest on each copy of the
manifest
- immediately give the transporter at least one copy of the signed manifest
-within 30 days after the delivery, send a copy of the manifest to the generator
- retain a copy of each manifest among the facility's records.
Verify that, if a commercial storage or disposal facility receives PCB waste from a
rail or water (bulk shipment) transporter accompanied by a shipping paper
containing all the information required on the manifest except the U.S. EPA
identification numbers, generator's certification, and signatures, the owner or
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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operator, or his agent:
- signs and dates each copy of the manifest or shipping paper to certify that the
PCB waste covered by the manifest or shipping paper was received
- notes any significant discrepancies in the manifest or shipping paper on each
copy of the manifest or shipping paper
-immediately give the rail or water transporter at least one copy of the
manifest or shipping paper, if applicable
-within 30 days after the delivery, sends a copy of the signed and dated
manifest to the generator; however, if the manifest has not been received
within 30 days after delivery, the owner or operator sends a copy of the
shipping paper signed and dated to the generator
- retains at the commercial storage or disposal facility a copy of the manifest
and shipping paper, if signed in lieu of the manifest.
Verify that, whenever an offsite shipment of PCB waste is initiated from a
commercial storage or disposal facility, the owner or operator of the commercial
storage or disposal facility complies with the manifest requirements that apply to
generators of PCB waste.
Verify that the owner or operator of a PCB commercial storage or disposal facility
that receives offsite shipments of PCB waste retains at the facility for at least 3 yr
a copy of each manifest or shipping paper that the owner or operator signs.
TT.140.4. Commercial storers
or disposers of PCB waste
which receive any shipment
of PCB waste from an offsite
source without an
accompanying manifest or
shipping paper are required to
take specific actions (40 CFR
761.211)
Verify that, if a PCB commercial storage or disposal facility receives any shipment
of PCB waste from an offsite source without an accompanying manifest or
shipping paper, and any part of the shipment consists of any PCB waste regulated
for disposal, then the owner or operator attempts to contact the generator, to obtain
a manifest or to return the PCB waste.
Verify that, if the owner or operator of the commercial storage or disposal facility
cannot contact the generator of the PCB waste, he notifies the U.S. EPA Regional
Administrator of the U.S. EPA Region in which his facility is located of the
unmanifested PCB waste so that the U.S. EPA Regional Administrator can
determine whether further actions are required before the owner or operator may
store or dispose of the unmanifested PCB waste.
Verify that, within 15 days after receiving the unmanifested PCB waste, the owner
or operator prepares and submits a report including the following information to
the U.S. EPA Regional Administrator for the U.S. EPA Region in which the
commercial storage or disposal facility is located and to the U.S. EPA Regional
Administrator for the U.S. EPA Region in which the PCB waste originated, if
known:
-the U.S. EPA identification number, name, and address of the PCB
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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commercial storage or disposal facility
- the date the commercial storage or disposal facility received
- the unmanifested PCB waste
-the U.S. EPA identification number, name, and address of the generator and
transporter, if available
-a description of the type and quantity of the unmanifested PCB waste
received at the facility
- a brief explanation of why the waste was unmanifested, if known
- the disposition made of the unmanifested waste by the commercial storage or
disposal facility, including:
- if the waste was stored or disposed by that facility, was the generator
identified and was a manifest subsequently supplied
- if the waste was sent back to the generator, why and when.
(NOTE: The report may be submitted on U.S. EPA Form 8700-13B, or by a
written letter designated "Unmanifested Waste Report.")
TT.140.5. Transporters are
required to meet specific
operational requirements (40
CFR 761.208(b) and
761.209(b)).
Verify that the transporter does not accept PCB waste from a generator unless it is
accompanied by a manifest signed by the generator, except that a manifest is not
required if any one of the following conditions exists:
-the shipment of PCB waste consists solely of PCB wastes with PCB
concentrations < 50 ppm, unless the PCB concentration < 50 ppm was the
result of dilution
- the PCB waste is accepted by the transporter for transport only to a storage
or disposal facility owned or operated by the generator of the PCB waste.
Verify that, before transporting the PCB waste, the transporter signs and dates the
manifest acknowledging acceptance of the PCB waste from the generator.
Verify that the transporter returns a signed copy to the generator before leaving the
generator's facility.
Verify that the transporter ensures that the manifest accompanies the PCB waste.
Verify that a transporter who delivers PCB waste to another transporter, or to the
designated commercial storer or disposer of PCB waste:
- obtains the date of delivery and the handwritten signature of the subsequent
transporter of PCB waste, or of the owner or operator of the designated
commercial storage or disposal facility on the manifest
- retains one copy of the manifest
- gives the remaining copies of the manifest to the accepting transporter of
PCB waste, or to the designated commercial storage or disposal facility.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
(NOTE: The requirement to ensure the manifest accompanies the waste and the
requirements for when the transporter who delivers PCB waste to another
transporter, or to the designated commercial storer or disposer of PCB waste do
not apply to transporters of bulk shipments by water if all of the following
conditions are met:
-the PCB waste is delivered by water (bulk shipment) to the designated
commercial storage or disposal facility
-a shipping paper containing all the information required on the manifest
(excluding U.S. EPA identification number, generator certification, and
signatures) accompanies the PCB waste
- the transporter delivering the PCB waste obtains the date of delivery and
handwritten signature of the owner or operator of the designated commercial
storage or disposal facility on either the manifest or the shipping paper
-the person delivering the PCB waste to the initial water (bulk shipment)
transporter obtains the date of delivery and signature of the water (bulk
shipment) transporter on the manifest and forwards it to the designated
facility
- a copy of the shipping paper or manifest is retained by each water (bulk
shipment) transporter.)
(NOTE: The requirement to ensure the manifest accompanies the waste and the
requirements for when the transporter who delivers PCB waste to another
transporter, or to the designated commercial storer or disposer of PCB waste do
not apply to shipments involving rail transportation.)
Verify that the transporter delivers the entire quantity of PCB waste accepted from
a generator or transporter to either of the following destinations
- the designated commercial storage or disposal facility listed on the manifest
-the next designated transporter of PCB waste.
Verify that, if the PCB waste cannot be delivered, the transporter contacts the
generator for further directions and revises the manifest and/or returns the PCB
waste according to the generator's instructions.
Verify that the transporter of PCB waste keeps a copy of the manifest signed by
the generator, transporter, and the next designated transporter, if applicable, or the
owner or operator of the designated commercial storage or disposal facility for a
period of at least 3 yr from the date the PCB waste was accepted by the initial
transporter.
Verify that, for shipments of PCB waste delivered to the designated commercial
storage or disposal facility by water (bulk shipment), each water (bulk shipment)
transporter retains a copy of the shipping paper described in for a period of 3 yr
from the date the PCB waste was accepted by the initial transporter.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that, for shipments of PCB waste by rail within the United States:
- the initial rail transporter keeps a copy of the manifest and the shipping paper
required to accompany the PCB waste for at least 3 yr from the date the PCB
waste was accepted by the initial transporter
- the final rail transporter keeps a copy of the signed manifest, or the required
shipping paper if signed by the designated facility in lieu of the manifest, for
at least 3 yr from the date the PCB waste was accepted by the initial
transporter.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
POLYCHLORINATED
BIPHENYLS (PCBs)
TT.150
Disposal
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
(NOTE: For information on the disposal of additional types of PCB wastes,
please see Appendix D of this document.)
TT.150.1. For each shipment
of manifested PCB waste that
a disposal facility accepts, the
owner or operator of the
disposal facility must prepare
a certificate of disposal
(COD) for the PCBs and PCB
Items disposed of at the
facility (40 CFR 761.218).
Verify that a COD has been prepared containing the following information:
-the identity of the disposal facility by name, address, and U.S. EPA
identification number
-the identity of the PCB Waste affected by the COD including reference to the
manifest number for the shipment
-a statement certifying the fact of disposal of the identified PCB waste,
including the date of disposal, and identifying the disposal process used
- a certification as defined in 40 CFR 761.3.
Verify that a copy of the COD was:
- sent to the generator identified on the manifest within 30 days of the date that
disposal of the PCB waste was completed unless another time frame is
agreed to
- retained with the annual records.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.150.2. PCB liquids
removed from use must either
be decontaminated or
disposed of according to
specific parameters (40 CFR
761.50(b)(l), and
761.60(a)(l) through
761.60(a)(3))
Verify that PCB liquids removed from use are either decontaminated or disposed
of.
(NOTE: For determining compliance with decontamination standards (40 CFR
761.79), see checklist items TT.160.1 through TT. 160.6)
Verify that, when using disposal, except as identified below, PCB liquids at
concentration >/= 50 ppm are disposed of in an incinerator that meets the
requirements of 40 CFR 761.70:
- if mineral oil dielectric fluid with PCB concentrations at >/= 50 ppm and <
500 ppm are disposed of in a high efficiency boiler, the boiler meets the
requirements in 40 CFR 761.71 (a)
- if liquids with PCB concentrations at >/= 50 ppm and < 500 ppm other than
mineral oil dielectric fluid are disposed of in a high efficiency boiler, the
boiler meets the requirements in 40 CFR 761.71(b)
- liquids from incidental sources, such as precipitation, condensation, leachate,
or load separation with PCB concentrations at >/= 50 ppm and < 500 ppm,
are associated with PCB Articles or non-liquid PCB wastes are disposed of in
a chemical waste landfill that complies with 40 CFR 761.75 and:
- disposal does not violate land disposal restriction regulations
- information if provided to or obtained by the owner of operator of the
chemical waste landfill that shows the liquids do not exceed 500 ppm
and are not an ignitable waste.
TT.150.3. PCB Transformers
with PCB concentrations of
500 ppm or greater shall be
decontaminated or disposed of
in either a U.S. EPA approved
incinerator or a chemical
waste landfill (40 CFR
761.50(b)(2) and
761.60(b)(l)).
Determine if PCB Transformers are going for disposal or being decontaminated.
(NOTE: For determining compliance with decontamination standards (40 CFR
761.79), see checklist items TT.160.1 through TT. 160.6)
Verify that, if PCB Transformers are going for disposal, it is to a U.S. EPA-
approved incinerator or a chemical waste landfill.
Verify that, if disposal is being done at a chemical waste landfill, the transformer
is drained of all free-flowing liquids, filled with solvent, allowed to stand for at
least 18 h, and then drained thoroughly.
TT.150.4. PCB Capacitors
must be decontaminated or
disposed of in accordance
with certain requirements (40
CFR 761.50(b)(2),
761.60(b)(2), and
Determine if PCB Capacitors are going for disposal or being decontaminated.
(NOTE: For determining compliance with decontamination standards (40 CFR
761.79), see checklist items TT.160.1 through TT. 160.6)
Verify that disposal of PCB Capacitors was done as follows:
-PCB Small Capacitors (< 1.36 kg (3 Ib) of PCBs) are disposed of in a solid
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
waste landfill
-PCB Large, High-, or Low-Voltage Capacitors (> 1.36 kg (3 Ib) of PCBs)
containing more than 500 ppm are incinerated in a U.S. EPA-approved
incinerator.
Verify that Large Capacitors that contain >/= 50 ppm but < 500 ppm are disposed
of in a U.S. EPA approved disposal facility.
Verify that any person who manufactures or at any time manufactured PCB
Capacitors or PCB Equipment, and acquired the PCB Capacitor in the course of
such manufacturing, places the PCB Small Capacitors in a container meeting the
DOT packaging requirements at 49 CFR 171 through 180 and dispose of them in
accordance with either of the following:
- a compliant incinerator
-until March 1, 1981, a compliant chemical waste landfill.
(NOTE: Certain PCB capacitors may be disposed of in compliant PCB chemical
waste landfills after March 1, 1981, if the Assistant Administrator for Prevention,
Pesticides and Toxic Substances publishes a notice in the Federal Register
declaring that those landfills are available for such disposal and explaining the
reasons for the extension or reopening. An extension or reopening for disposal of
PCB capacitors is subject to such terms and conditions as the Assistant
Administrator may prescribe and shall be in effect for such period as the Assistant
Administrator may prescribe. The Assistant Administrator may permit disposal of
PCB capacitors in U.S. EPA approved chemical waste landfills after March 1,
1981, if in his opinion:
- adequate incineration capability for PCB capacitors is not available
-the incineration of PCB capacitors will significantly interfere with the
incineration of liquid PCBs
- there is other good cause shown.)
Verify that prior to disposing of large PCB capacitors or small PCB capacitors in a
chemical waste landfill, the capacitors are first placed in a container meeting the
DOT packaging requirements at 49 CFR 171 through 180 and the interstitial space
in the container is filled with sufficient absorbent material (such as soil) to absorb
any liquid PCBs remaining in the capacitors.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.150.5. PCB hydraulic
machines containing PCBs at
concentrations >/= 50 ppm
must be decontaminated or
disposed of according to
specific parameters (40 CFR
761.50(b)(2) and
761.60(b)(3)).
Determine if PCB hydraulic machines are going for disposal or being
decontaminated.
(NOTE: For determining compliance with decontamination standards (40 CFR
761.79), see checklist items TT.160.1 through TT. 160.6)
(NOTE: All heat transfer and hydraulic systems were to be serviced to below 50
ppm PCBs by July 1, 1984.)
Verify that PCB hydraulic machines with PCB concentrations at >/= 50 ppm, such
as die casting machines, are disposed of by one of the following methods:
-in accordance with decontamination standards and procedures in 40 CFR
761.79
-in a facility that is permitted, licensed, or registered to manage municipal
solid waste or nonmunicipal nonhazardous waste (excluding thermal
treatment units)
- in a scrap metal recovery oven or smelter operating in compliance with 40
CFR 761.72
- in a disposal facility approved under 40 CFR 761.
Verify that all free-flowing liquid is removed from each machine and disposed of
appropriately.
(NOTE: If the PCB liquid contains >/= 1000 ppm, the hydraulic machine must be
decontaminated or flushed with a listed solvent that contains < 50 ppm PCB prior
to disposal.)
TT.150.6. PCB-Contaminated
Electrical Equipment, except
capacitors, must meet specific
disposal requirements (40
CFR 761.50(b)(2) and
761.60(b)(4)).
Verify that any person disposing of PCB-Contaminated Electrical Equipment,
except capacitors, does so by removing all free-flowing liquid from the equipment.
Verify that free-flowing liquid is disposed of as required under 761.60(a) (see
checklist items TT. 130.2, TT. 150.2, TT. 150.3, TT.150.14, and TT.150.15).
Verify that the equipment is disposed of with no free-flowing liquids by one of the
following methods:
- in accordance with 40 CFR 761.79
-in a facility that is permitted, licensed, or registered to manage municipal
solid waste or nonmunicipal nonhazardous waste (excluding thermal
treatment units)
- in a scrap metal recovery oven or smelter operating in compliance with 40
CFR 761.72
- in a disposal facility approved under 40 CFR 761.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
TT.150.7. PCB Articles not
otherwise addressed in this
section shall be
decontaminated or disposed of
properly (40 CFR
761.50(b)(2), 761.60(b)(6)(i),
761.60(b)(6)(ii), and
761.60(b)(8)).
REVIEWER CHECKS
Verify that any person disposing of Large Capacitors that contain >/= 50 ppm but
< 500 ppm PCBs does so in a disposal facility approved under 40 CFR 761.
Determine if PCB Articles are going for disposal or being decontaminated.
(NOTE: For determining compliance with decontamination standards 40 CFR
761.79, (see checklist items TT.160.1 through TT. 160.6).)
Verify that PCB Articles with concentrations at 500 ppm or greater are disposed of
in either:
- an incinerator approved under and in compliance with 40 CFR 761.70
- a chemical waste landfill approved under and in compliance with 40 CFR
761.75 if all free-flowing liquids have been removed.
Verify that PCB Articles with PCB concentration between 50 and 500 ppm are
drained of all free-flowing liquid.
Verify that free-flowing liquid is disposed of as required under 761.60(a) (see
checklist items TT. 130.2, TT. 150.2, TT. 150.3, TT.150.14, and TT. 150. 15).
Verify that PCB-Contaminated Articles with no free-flowing liquids are disposed
of by one of the following methods:
- in accordance with 40 CFR 761.79
-in a facility that is permitted, licensed, or registered to manage municipal
solid waste or nonmunicipal nonhazardous waste (excluding thermal
treatment units)
- in a scrap metal recovery oven or smelter operating in compliance with 40
CFR 76 1.72
- in a disposal facility approved under 40 CFR 761.
(NOTE: Storage for disposal of PCB-Contaminated Articles from which all free-
flowing liquids have been removed is not regulated under 40 CFR 761.50 through
761.79.)
(NOTE: Recordkeeping and reporting requirements in 40 CFR 761. 180 through
761.218 do not apply to PCB-Contaminated Articles from which all free-flowing
liquids have been removed.)
Verify that persons disposing of PCB Articles wear or use protective clothing or
equipment to protect against dermal contact or inhalation of PCBs or materials
containing PCBs (see checklist item TT. 10.4).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.150.8. PCB Containers
shall be disposed of properly
(40CFR761.60(c)).
Determine if PCB Containers are going for disposal or being decontaminated.
(NOTE: For determining compliance with decontamination standards, 40 CFR
761.79, (see checklist items TT.160.1 through TT. 160.6).)
Verify that PCB Containers with concentrations of 500 ppm or greater are
disposed of in one of the following ways:
- in a U.S. EPA-approved incinerator
- in a chemical waste landfill if first the container is drained of any liquid
PCBs.
Verify that PCB Containers used to contain only PCBs at concentrations < 500
ppm are drained of PCB liquid prior to disposal as municipal solid waste.
Verify that prior to disposal, a PCB container with PCB concentrations at 50 ppm
or > is stored in a unit in compliance with 40 CFR 761.65 (see checklist items
TT.30.10 through TT.30.13, TT. 110.1 through TT. 110.6, and TT. 110.9).
TT.150.9.
methods
prohibited
761.50(a)(l)
761.50(a)(3)
761.50(a)(5))
Certain disposal
for PCBs are
(40 CFR
through
and
Verify that no open burning of PCBs is performed.
Verify that liquid PCBs are not processed into nonliquid forms to circumvent high
temperature incineration requirements.
Verify that water containing PCBs are not discharged to a treatment works or to a
navigable waters unless the PCB concentration is 3 |ig/L (approximately 3 ppb), or
unless the discharge is in accordance with a PCB discharge limit included in a
permit.
(NOTE: When land disposing of nonliquid PCBs, otherwise applicable sampling
requirements may be avoided by presuming that the PCBs are >/= 500 ppm (or
>/= 100 jig cm2 if no free-flowing liquids are present).)
TT.150.10. Performance-
based disposal of PCB bulk
product waste must be in
accordance with specific
parameters (40 CFR
761.50(b)(4), 761.62(a) and
761.62(c)).
Verify that PCB bulk product waste is disposed of as follows when using
performance-based disposal:
- in an incinerator approved under 40 CFR 761.70
- in a chemical waste landfill approved under 40 CFR 761.75
- in a permitted hazardous waste landfill
-under an alternate disposal method approved under 40 CFR 761.60(e)
- in accordance with the decontamination provisions of 40 CFR 761.79
-for metal surfaces in contact with PCBs, in accordance with the thermal
decontamination provisions of 40 CFR. 761.79(c)(6)
-in accordance with a TSCA PCB Coordinated Approval issued under 40
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
CFR761.77.
Verify that, if bulk product waste is disposed of in a manner other than prescribed
in 40 CFR 761.62(a) or 761.62(b), approval has been received from the U.S. EPA
Regional Administrator in the U.S. EPA Region where the disposal site is located
for disposal or storage occurring in a single U.S. EPA Region; or the Director of
the National Program Chemicals Division, for disposal occurring in more than one
U.S. EPA Region.
(NOTE: This applies to PCB Items where PCB Articles are no longer intact and
non-leaking.)
TT.150.11. Disposal of PCB
bulk product waste in solid
waste landfills must be in
accordance with specific
parameters (40 CFR
761.62(b) through 761.62(d)).
Verify that, when PCB bulk product waste is disposed of in a solid waste landfill,
the landfill is facility permitted, licensed, or registered by a state as a municipal or
nonmunicipal nonhazardous waste landfill.
(NOTE: The following PCB bulk product waste may be disposed of in a facility
permitted, licensed, or registered by a state as a municipal or nonmunicipal
nonhazardous waste landfill:
-plastics (such as plastic insulation from wire or cable; radio, television, and
computer casings; vehicle parts; or furniture laminates); pre-formed or
molded rubber parts and components; applied dried paints, varnishes, waxes
or other similar coatings or sealants; caulking; Galbestos; nonliquid building
demolition debris; or nonliquid PCB bulk product waste from the shredding
of automobiles or household appliances from which PCB small capacitors
have been removed (shredder fluff)
-other sampled PCB bulk product waste that leaches PCBs at <10 |ig/L of
water measured using a procedure used to simulate leachate generation.)
Verify that, if materials other than those listed in the above NOTE statement are
disposed of in a facility that is permitted, licensed, or registered by a state to
manage municipal solid waste or nonmunicipal nonhazardous waste, the following
are met:
- the PCB bulk product waste is segregated from organic liquids disposed of in
the landfill unit
- leachate is collected from the landfill unit and monitored for PCBs.
Verify that, if materials other than those listed in the above NOTE statement are
disposed at a waste management facility not having a commercial PCB storage or
disposal approval, a written notice to the facility a minimum of 15 days in advance
of the first shipment from the same disposal waste stream and with each shipment
thereafter.
Verify that, if disposal of offsite PCB bulk product waste is done at a waste
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
management facility not having a commercial PCB storage or disposal approval, a
written notice is provided to the facility a minimum of 15 days in advance of the
first shipment from the same disposal waste stream.
Verify that the written notice states that the PCB bulk product waste may include
components containing PCBs at >/= 50 ppm based on analysis of the waste in the
shipment or application of a general knowledge of the waste stream (or similar
material) which is known to contain PCBs at those levels, and that the PCB bulk
product waste is known or presumed to leach >/= 10 |j,g/L PCBs.
Verify that the notice states that the PCB bulk product waste may include
components containing PCBs at >/= 50 ppm based on analysis of the waste in the
shipment or application of a general knowledge of the waste stream (or similar
material) which is known to contain PCBs at those levels, and that the PCB bulk
product waste is known or presumed to leach >/= 10 |ig/L PCBs.
Verify that, for any disposal of PCB bulk product waste, a written record is
maintained of all sampling and analysis of PCBs or notifications made for 3 yr
from the date of the waste's generation.
Verify that any release of PCBs (including but not limited to leachate) from the
landfill unit is cleaned up in accordance with 40 CFR 761.61.
(NOTE: Bulk product waste as described in the above NOTE statement may be
disposed of as daily landfill cover as long as the daily cover remains in the landfill
and is not released or dispersed by wind or other action or under asphalt as part of
a road bed.)
Verify that any person disposing of PCB bulk product waste maintains a written
record of all sampling and analysis of PCBs or notifications for 3 yr from the date
of the waste's generation.
(NOTE: The requirements in 40 CFR 761, Subpart C: Marking of PCBs and PCB
Items, Subpart J: General Record and Reports, and Subpart K: PCB Waste
Disposal Records and Reports do not apply to the wastes addressed in this
checklist item.)
Verify that, if bulk product waste is disposed of in a manner other than prescribed
in 40 CFR 761.62(a) or 761.62(b), approval has been received from the U.S. EPA
Regional Administrator in the U.S. EPA Region where the disposal site is located
for disposal or storage occurring in a single U.S. EPA Region; or the Director of
the National Program Chemicals Division, for disposal occurring in more than one
U.S. EPA Region.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.150.12. PCB household
waste must be disposed of
according to specific
parameters (40 CFR
761.50((b)(5) and 761.63)
Verify that PCB household waste is managed in a facility permitted, licensed, or
registered by a state to manage municipal or industrial solid waste, or in a facility
with an approval to dispose of PCB bulk product waste.
(NOTE: PCB household waste managed according to these parameters is not
subject to any other requirements under 40 CFR 761.)
TT.150.13. Fluorescent light
ballasts with PCBs must meet
specific requirements for
disposal (40 CFR
761.50(b)(2), 761.60(b)(2)(ii),
and761.60(b)(6)(iii)).
(NOTE: Fluorescent light ballasts containing PCBs only in an intact and non-
leaking PCB Small Capacitor can be disposed of as municipal solid waste. The
exception to this is any person who manufactures or at any time manufactured
PCB Capacitors or PCB Equipment, and acquired the PCB Capacitor in the course
of such manufacturing. In that case, the PCB Small Capacitors are to be placed in
a container meeting the DOT packaging requirements at 49 CFR 171 through 180
and disposed of at an approved incinerator.)
Verify that fluorescent light ballasts containing PCBs in their potting material are
disposed of in a TSCA-approved disposal facility, as bulk product waste under 40
CFR 761.62 (see checklist items TT.150.11 and TT.150.12), as household waste
under 40 CFR 761.63 (where applicable) (see checklist items TT.110.8 and
TT.150.13), or in accordance with the decontamination provisions of 40 CFR
761.79 (see checklist items TT. 160.1 through TT.160.6).
TT.150.14. Material
containing PCBs that has been
dredged or excavated from
waters of the United States
must be managed and
disposed of according to
specific parameters (40 CFR
761.60(a)(5) and
761.61(b)(3)).
Verify that dredged materials containing PCBs at concentrations of 50 ppm or >
are disposed of:
- in a compliant incinerator
- in a compliant chemical waste landfill
-using a disposal method approved by the U.S EPA Regional Administrator in
the U.S. EPA Region in which the PCBs are located.
Verify that material containing < 50 ppm PCBs that has been dredged or
excavated from waters of the United States is managed or disposed of as follows:
- in accordance with a permit that has been issued under section 404 of the
Clean Water Act, or the equivalent of such a permit as provided for in
regulations of the U.S. Army Corps of Engineers at 33 CFR 320
-in accordance with a permit issued by the U.S. Army Corps of Engineers
under section 103 of the Marine Protection, Research, and Sanctuaries Act,
or the equivalent of such a permit as provided for in regulations of the U.S.
Army Corps of Engineers at 33 CFR 320.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.150.15. Municipal
sewage treatment sludges are
required to be disposed of
according to certain
parameters (40 CFR
761.60(a)(5)).
Verify that municipal sewage treatment sludges containing PCBs at concentrations
of 50 ppm or > are disposed of:
- in a compliant incinerator
- in a compliant chemical waste landfill
-using a disposal method approved by the U.S EPA Regional Administrator in
the U.S. EPA Region in which the PCBs are located.
TT.150.16. PCB wastes
generated during and as a
result of research and
development or wastes
generated during the chemical
analysis of samples containing
PCBs must meet specific
parameters (40 CFR
761.50((b)(6)and761.64).
(NOTE: For determining the presence of PCBs in samples, chemical analysis
includes: sample preparation, sample extraction, extract cleanup, extract
concentration, addition of PCB standards, and instrumental analysis. Portions of
samples of a size designated in a chemical extraction and analysis method for
PCBs and extracted for purposes of determining the presence of PCBs or
concentration of PCBs are unregulated for PCB disposal under 40 CFR 761.)
Verify that liquid wastes, including rinse solvents, are disposed of according to 40
CFR761.61(a)(5)(iv).
Verify that non-liquid wastes are disposed of in the same manner as non-liquid
cleaning materials and personal protective equipment waste according to 40 CFR
761.61(a)(5)(v)(A).
TT.150.17. The disposal of
PCB/Radioactive waste must
take both the PCB
concentration and radioactive
properties into account (40
CFR761.50(b)(7)(ii))
Verify that both the PCB concentration and radioactive properties are considered
prior to disposal.
(NOTE: If, taking into account only the properties of the PCBs in the waste (and
not the radioactive properties of the waste), the waste meets the requirements for
disposal in a facility permitted, licensed, or registered by a state as a municipal or
non-municipal non-hazardous waste landfill (e.g., PCB bulk product waste), then
the person may dispose of the PCB/radioactive waste, without regard to the PCB
component of the waste, on the basis of its radioactive properties in accordance
with all applicable requirements for the radioactive component of the waste.)
TT.150.18. The disposal of
porous surfaces must meet
specific requirements (40
CFR761.50(b)(8)).
(NOTE: In most cases a person must dispose of porous surfaces as materials
where PCBs have penetrated far beneath the surface, rather than a simple surface
contamination.)
Verify that the disposal of porous surfaces on which PCBs have been spilled and
which meet the definition of PCB remediation waste is done in accordance with
40 CFR 761.61(a)(5)(iii).
Verify that the disposal of porous surfaces which are part of manufactured non-
liquid products containing PCBs and meeting the definition of PCB bulk product
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
waste is done in accordance with 40 CFR 761.62.
(NOTE: Any person may decontaminate concrete surfaces upon which PCBs have
been spilled in accordance with 40 CFR 761.79(b)(4), if the decontamination
procedure is commenced within 72 h of the initial spill of PCBs to the concrete or
portion thereof being decontaminated. Any person may decontaminate porous non-
liquid PCBs in contact with non-porous surfaces, such as underground metal fuel
tanks coated with fire retardant resin or pitch, for purposes of unrestricted use or
disposal in a smelter in accordance with 40 CFR 761.79(b)(3).
TT.150.19. When a facility is
required to use incineration as
a disposal method under 40
CFR 761.60, but, an
alternative method is
pursued, specific reporting
requirements must be met (40
CFR761.60(e)).
Verify that a request is submitted for a waiver from incineration requirements by
any person who is required to incinerate any PCBs and PCB Items under 40 CFR
761.60 and who can demonstrate that an alternative method of destroying PCBs
and PCB Items exists and that this alternative method can achieve a level of
performance equivalent to an approved incinerator or a compliant high efficiency
boiler
(NOTE: Requests for approval of alternate methods that will be operated in more
than one U.S. EPA Region must be submitted to the Director, National Program
Chemicals Division except for research and development activities involving <
500 Ib of PCB material. Requests for approval of alternate methods that will be
operated in only one U.S. EPA Region must be submitted to the appropriate U.S.
EPA Regional Administrator. The applicant must show that his or her method of
destroying PCBs will not present an unreasonable risk of injury to health or the
environment. On the basis of such information and any available information, the
U.S. EPA Regional Administrator or the Director, National Program Chemicals
Division may, in his or her discretion, approve the use of the alternate method.
Any approval must be stated in writing and may include additional conditions and
provisions.)
Verify that, if operating under a waiver, all conditions of the waiver are being met.
Verify that the alternate method of destroying PCBs or PCB Items is not used
prior to obtaining permission from the appropriate U.S. EPA official.
TT.150.20. Each operator of
a chemical waste landfill,
incinerator, or
approved alternative to
incineration must give written
notices to the state and local
governments (40 CFR
761.60(f)).
Verify that each operator of a chemical waste landfill, incinerator, or approved
alternative to incineration gives the following written notices to the state and local
governments within whose jurisdiction the disposal facility is located:
-notice at least 30 days before a facility is first used for disposal of PCBs
required by these regulations
- at the request of any state or local government, annual notice of the quantities
and general description of PCBs disposed of during the year.
(NOTE: The U.S. EPA Regional Administrator may reduce the notice period
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
from 30 days to a period of no less than 5
approval of the chemical waste landfill located
days in order to expedite interim
in Sedgwick County, Kansas.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
POLYCHLORINATED
BIPHENYLS (PCBs)
TT.160
Decontamination
(NOTE: 40 CFR 761 applies to all persons who manufacture, process, distribute
in commerce, use, or dispose of PCBs or PCB Items. Substances that are
regulated include, but are not limited to: dielectric fluids; solvents; oils; waste oils;
heat transfer fluids; hydraulic fluids; paints or coatings; sludges; slurries;
sediments; dredge spoils; soils; materials containing PCBs as a result of spills; and
other chemical substances or combinations of substances, including impurities and
byproducts and any byproduct, intermediate, or impurity manufactured at any
point in a process. Requirements applicable to PCBs at concentrations < 50 ppm
also apply to contaminated surfaces at PCB concentrations /= 50 ppm to < 500 ppm
also apply to contaminated surfaces at PCB concentrations > 10|j,g/100 cm2 to <
100 jig/100 cm2. Requirements applicable to PCBs at concentrations >/= 500 ppm
also apply to contaminated surfaces at PCB concentrations >/= 100|ig/100 cm2.
See also the definition for PCB Concentration Assumptions (40 CFR 761.1(b)(l),
761.l(b)(3) and 761.2).)
TT.160.1. Decontamination
is required to be done to
certain standards (40 CFR
761.79(a), 761.79(b), and
761.79(f)).
(NOTE: Decontamination in accordance with these standards does not require a
disposal approval under 40 CFR 761, Subpart D. Materials from which PCBs
have been removed by decontamination may be distributed in commerce.
Materials from which PCBs have been removed by decontamination may be used
or reused (see checklist items TT.10.3 and TT.20.2). Materials from which PCBs
have been removed by decontamination, not including decontamination waste and
residuals, are unregulated for disposal.)
Verify that any person decontaminating porous surfaces other than concrete and
non-porous surfaces covered with a porous surface, such as paint or coating on
metal, obtains an alternative decontamination approval.
Verify that the following standards are met when using chopping (including wire
chopping), distilling, filtering, oil/water separation, spraying, soaking, wiping,
stripping of insulation, scraping, scarification or the use of abrasives or solvents
may to remove or separate PCBs from liquids, concrete, or non-porous surfaces:
- for water containing PCBs:
-< 200 [ig/L (i.e., 200 ppb PCBs) for non-contact use in a closed system
where there are no releases
- for water discharged to a treatment works or to navigable waters, <3
[LgfL (approximately <3 ppb) or a PCB discharge limit included in a
permit issued under section 307(b) or 402 of the Clean Water Act
-
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
-for non-porous surfaces previously in contact with liquid PCBs at
any concentration, where no free-flowing liquids are currently
present,
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.160.2. When using self-
implementing
decontamination procedures,
specific requirements must be
met (40 CFR 761.79(c) and
761.79(f)(2)).
(NOTE: Self-implementing decontamination procedures are available as an
alternative to the measurement-based decontamination methods.)
Verify that PCB Containers are decontaminated by flushing the internal surfaces of
the container three times with a solvent containing <50 ppm PCBs and each rinse
uses a volume of the flushing solvent equal to approximately 10 percent of the
PCB Container capacity.
Verify that movable equipment contaminated by PCBs, tools, and sampling
equipment is decontaminated by:
- swabbing surfaces that have contacted PCBs with a solvent
- a double wash/rinse in accordance with 40 CFR 761.360 through 761.378
- another applicable decontamination procedure.
Verify that a non-porous surface in contact with free-flowing mineral oil dielectric
fluid (MODEF) at levels /= 20 C
- drain the PODF from the surfaces
- dispose of the drained PODF in accordance with 40 CFR 761.79(g).
(NOTE: Approved PODFs include kerosene, diesel fuel, terpene hydrocarbons,
and mixtures of terpene hydrocarbons and terpene alcohols.)
Verify that, when decontaminating a non-porous surface in contact with free-
flowing MODEF containing >10,000 ppm PCB in MODEF or askarel PCB (up to
70 percent PCB in a mixture of trichlorobenzenes and tetrachlorobenzenes), the
following is done:
- drain the free-flowing MODEF or askarel and allow the residual surfaces to
drain for an additional 15 h
- dispose of drained MODEF or askarel in accordance with 40 CFR 761.79(g)
- soak the surfaces to be decontaminated in a sufficient amount of clean PODF
(containing < 2 ppm PCBs) such that there is a minimum of 800 mL of
PODF for each 100 cm2 of contaminated or potentially contaminated surface
foratleastl5hat>/=20°C
- drain the PODF from the surfaces
- dispose of the drained PODF in accordance with 40 CFR 761.79(g)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
-resoak the surfaces to be decontaminated in a sufficient amount of clean
PODF (containing < 2 ppm PCBs) such that there is a minimum of 800 mL
of PODF for each 100 cm2 of surface for at least 15 h at >/= 20 °C
- drain the PODF from the surfaces
- dispose of the drained PODF in accordance with 40 CFR 761.79(g).
Verify that the decontamination of piping and air lines in an air compressor system
is done as follows:
-before decontamination proceeds, disconnect or bypass the air compressors
and air dryers from the piping and air lines and decontaminate the air
compressors and air dryers separately
- dispose of filter media and desiccant in the air dyers based on their existing
PCB concentration
- test the connecting line and appurtenances of the system to assure that there
is no leakage by introducing air into the closed system at from 90 to 100 psi.
Only if there is a pressure drop of <5 psi in 30 minutes may decontamination
take place.
- when there is no leakage, fill the piping and air lines with clean (containing
<2 ppm PCBs) solvent. Solvents include PODF, aqueous potassium
hydroxide at a pH between 9 and 12, or water containing 5 percent sodium
hydroxide by weight
- circulate the solvent to achieve turbulent flow through the piping and air lines
in the air compressor system until the total volume of solvent circulated
equals 10 times the total volume of the particular article being
decontaminated, then drain the solvent
- calculate the total volume of solvent circulated by multiplying the pump rate
by the time of pumping
-refill the system with clean solvent and repeat the circulation and drain
process.
Verify that, when using thermal processes to decontaminate metal surfaces in
contact with PCBs, one of the following options is used:
- surfaces in contact with liquid and non-liquid PCBs at concentrations < 500
ppm may be decontaminated in a scrap metal recovery oven or smelter for
purposes of disposal
- surfaces in contact with liquid or non-liquid PCBs at concentrations >/= 500
ppm may be smelted in a smelter, but must first be decontaminated to a
surface concentration of 100 jig/100 cm2.
Verify that a written record documenting compliance with the self-implementing
decontamination procedures, as outlined above, is retained for 3 yr after
completion of the decontamination procedures (e.g., video recordings,
photographs).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.160.3. Decontamination
solvents are required to meet
specific criteria (40 CFR
761.79(d)).
Verify that, unless otherwise provided, the solubility of PCBs in any solvent used
for purposes of decontamination under this section is 5 percent or more by weight.
(NOTE: The solvent may be reused for decontamination so long as its PCB
concentration is <50 ppm.)
(NOTE: Solvents may be tested and validated for performance-based
decontamination of non-porous surfaces contaminated with MODEF or other PCB
liquids, in accordance with the self-implementing procedures. Specific conditions
for the performance-based testing from this validation are determined in the
validation study.)
TT.160.4. Any person
conducting decontamination
activities shall limit their
exposure and take necessary
measures to protect against
direct release of PCBs to the
environment from the
decontamination area (40
CFR761.79(e)).
Verify that individuals conducting decontamination activities take necessary
measures to protect against direct release of PCBs to the environment from the
decontamination area.
Verify that individuals participating in decontamination activities wear or use
protective clothing or equipment to protect against dermal contact or inhalation of
PCBs or materials containing PCBs (see checklist item TT. 10.4).
TT.160.5. Decontamination
waste and residues shall be
disposed of at their existing
PCB concentration unless
otherwise specified (40 CFR
761.79(g)).
(NOTE: Distillation bottoms or residues and filter media are regulated for
disposal as PCB remediation waste.)
Verify that PCBs physically separated from regulated waste during
decontamination are disposed of at their original concentration.
Verify that hydrocarbon solvent used or reused for decontamination that contains
< 50 ppm PCB is burned and marketed in accordance with the requirements for
used oil in 40 CFR. 761.20(e), disposed of in accordance with 40 CFR. 761.60(a)
(see checklist items TT. 130.2, TT. 150.2, TT. 150.3, TT.150.14, and TT.150.15) or
761.60(e) (see checklist item TT.150.20), or decontaminated.
Verify that chlorinated solvent at any PCB concentration used for decontamination
are disposed of in an incinerator in accordance with 40 CFR 761.70 or
decontaminated.
Verify that solvents >/= 50 ppm other than those described above are disposed of
in accordance with 40 CFR. 761.60(a) (see checklist items TT. 130.2, TT. 150.2,
TT. 150.3, TT.150.14, and TT.150.15) or decontaminated.
Verify that non-liquid cleaning materials and personal protective equipment waste
at any concentration, including non-porous surfaces and other non-liquid materials
such as rags, gloves, booties, other disposable personal protective equipment, and
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
similar materials resulting from decontamination are disposed of in accordance
with 40 CFR 761.61(a)(5)(v).
TT.160.6. Any person
wishing to decontaminate
material or perform sampling
using an alternate method is
required to apply in writing to
the U.S. EPA Regional
Administrator (40 CFR
761.79(h)).
Verify that any person wishing to decontaminate material using an alternate
method applies in writing to the U.S. EPA Regional Administrator in the U.S.
EPA Region where the activity would take place, or the Director of the National
Program Chemicals Division, for the decontamination activity occurring in more
than one U.S. EPA Region.
Verify that each application describes the material to be decontaminated and the
proposed decontamination method, and demonstrates that the proposed method is
capable of decontaminating the material to the applicable level.
(NOTE: 40 CFR 761.79(h)(l) and 40 CFR 761.79(h)(2) are slightly different from
one another. 40 CFR 761.79(h)(l) applies to alternatives to 40 CFR 761.79(b)
measurement-based methods. 40 CFR 761.79(h)(2) applies to performance-based
methods.)
Verify that any person wishing to sample decontaminated material in an alternate
manner applies in writing to the U.S. EPA Regional Administrator in the U.S.
EPA Region where the activity would take place, or the Director of the National
Program Chemicals Division for decontamination activity occurring in more than
one U.S. EPA Region.
Verify that each application contains a description of the material to be
decontaminated, the nature and PCB concentration of the contaminating material
(if known), the decontamination method, the proposed sampling procedure, and a
justification for how the proposed sampling is equivalent to or more
comprehensive that the usual required sampling procedure.
(NOTE: U.S. EPA will issue a written decision on each application for risk-based
decontamination or sampling.
Verify that nobody conducts decontamination or sampling using an alternate
methodology prior to obtaining written approval from U.S. EPA.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
POLYCHLORINATED
BIPHENYLS (PCBs)
TT.170
Import/ Export
(NOTE: These requirements apply to the shipment of PCB Items into and out of
the United States for disposal.)
TT.170.1. The import of PCB
Items for disposal is subject to
certain restrictions (40 CFR
761.93(a) and 761.99).
Determine if the facility receives imported PCB Items for disposal.
Verify that PCBs and PCB Items are not imported for disposal without an
exemption issued under the authority of TSCA section 6(e)(3).
(NOTE: The following transboundary shipments are not considered imports:
-PCB waste generated in the U.S., transported outside the Customs Territory
of the U.S. (including any residuals resulting from cleanup of spills of such
wastes in transit) through another country or its territorial waters, or through
international waters, and returned to the U.S. for disposal
- PCB waste in transit, including any residuals resulting from cleanup of spills
during transit, through the U.S. (e.g., from Mexico to Canada, from Canada
to Mexico).
TT.170.2. The export PCBs
or PCB Items for disposal is
subject to certain restrictions
(40 CFR 761.97 and 761.99).
Verify that the facility is not exporting PCBs or PCB Items for disposal without an
exemption.
(NOTE: PCBs and PCB Items at concentrations < 50 ppm ( or < 10 jig PCB/100
cm2 if no free-flowing liquids are present) may be exported for disposal.)
(NOTE: In relation to export for disposal, PCBs and PCB Items of unknown
concentrations are to be treated as if they contain >/= 50 ppm.)
(NOTE: The following transboundary shipments are not considered exports:
-PCB waste generated in the U.S., transported outside the Customs Territory
of the U.S. (including any residuals resulting from cleanup of spills of such
wastes in transit) through another country or its territorial waters, or through
international waters, and returned to the U.S. for disposal
- PCB waste in transit, including any residuals resulting from cleanup of spills
during transit, through the U.S. (e.g., from Mexico to Canada, from Canada
to Mexico).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
ASBESTOS
TT.200
In Schools
(NOTE: This protocol does not include coverage of the requirements under 40
CFR 61, Subpart M (National Emission Standards for Hazardous Air Pollutants
(NESHAP)).)
TT.200.1. Each building that
is leased, owned, or otherwise
used as a school building is
required to be inspected, and
reinspected, for asbestos
containing building materials
(ACBM) and a report
generated (40 CFR 763.85).
(NOTE: Any building that is leased or acquired on or after October 12, 1988, that
is to be used as a school building must be inspected prior to use as a school
building. If emergency use of a building as a school building is required,
inspection will occur within 30 days.)
Verify that all school buildings have been inspected for friable and nonfriable
ACBM, including sampling, as required by an accredited inspector.
Verify that, for each area of a school building, each person performing an
inspection:
-visually inspects the area to identify the locations of all suspected ACBM
- touches all suspected ACBM to determine whether they are friable
-identifies all homogeneous areas of friable suspected ACBM and all
homogeneous areas of nonfriable suspected ACBM
- assume that some or all of the homogeneous areas are ACM, and, for each
homogeneous area that is not assumed to be ACM, collects and submits for
analysis bulk samples
-assesses friable material in areas where samples are collected, friable
material in areas that are assumed to be ACBM, and friable ACBM identified
during a previous inspection
- record the following and submit a copy of such record for inclusion in the
management plan within 30 days of the inspection:
-an inspection report with the date of the inspection signed by each
accredited person making the inspection, state of accreditation, and if
applicable, his or her accreditation number
- an inventory of the locations of the homogeneous areas where samples
are collected, exact location where each bulk sample is collected, dates
that samples are collected, homogeneous areas where friable suspected
ACBM is assumed to be ACM, and homogeneous areas where
nonfriable suspected ACBM is assumed to be ACM
- a description of the manner used to determine sampling locations, the
name and signature of each accredited inspector who collected the
samples, state of accreditation, and, if applicable, his or her
accreditation number
-a list of whether the homogeneous areas identified are surfacing
material, thermal system insulation, or miscellaneous material
- assessments made of friable material, the name and signature of each
accredited inspector making the assessment, state of accreditation, and
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
if applicable, his or her accreditation number.
Verify that, in each school building, reinspection of all friable and nonfriable
known or assumed ACBM is done every 3 yr by an accredited inspector after a
management plan is in place.
Verify that, for each area of a school building, each person performing a
reinspection:
-visually reinspects, and reassesses, the condition of all friable known or
assumed ACBM
-visually inspects material that was previously considered nonfriable ACBM
and touches the material to determine whether it has become friable since the
last inspection or reinspection
- identifies any homogeneous areas with material that has become friable since
the last inspection or reinspection
- for each homogeneous area of newly friable material that is already assumed
to be ACBM, bulk samples are collected and submitted for analysis
- assesses the condition of the newly friable material in areas where samples
are collected, and newly friable materials in areas that are assumed to be
ACBM
-reassesses the condition of friable known or assumed ACBM previously
identified
- records the following and submits a copy for inclusion in the management
plan within 30 days of the reinspection:
-the date of the reinspection, the name and signature of the person
making the reinspection, state of accreditation, and if applicable, his or
her accreditation number, and any changes in the condition of known or
assumed ACBM
- the exact locations where samples are collected during the reinspection,
a description of the manner used to determine sampling locations, the
name and signature of each accredited inspector who collected the
samples, state of accreditation, and, if applicable, his or her
accreditation number
- any assessments or reassessments made of friable material, the name
and signature of the accredited inspector making the assessments, state
of accreditation, and if applicable, his or her accreditation number.
(NOTE: Thermal system insulation that has retained its structural integrity and
that has an undamaged protective jacket or wrap that prevents fiber release is
treated as nonfriable and therefore is subject only to periodic surveillance and
preventive measures as necessary.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.200.2. Sampling and
analysis of asbestos in schools
is required to be done
according to specific
parameters (40 CFR 763.86
and 763.87).
Verify that an accredited inspector collects, in a statistically random manner that is
representative of the homogeneous area, bulk samples from each homogeneous
area of friable surfacing material that is not assumed to be ACM, and collects the
samples as follows:
-at least three bulk samples from each homogeneous area that is 1,000 ft2 or
less, except a homogeneous area is determined to contain ACM based on a
finding that the results of at least one sample collected from that area shows
that asbestos is present in an amount > 1 percent
- at least five bulk samples from each homogeneous area that is > 1,000 ft2 but
1 percent
-at least seven bulk samples from each homogeneous area that is > 5,000 ft2,
except a homogeneous area is determined to contain ACM based on a finding
that the results of at least one sample collected from that area shows that
asbestos is present in an amount > 1 percent.
Verify that, an accredited inspector collects, in a randomly distributed manner, at
least three bulk samples from each homogeneous area of thermal system insulation
that is not assumed to be ACM.
Verify that, an accredited inspector collects at least one bulk sample from each
homogeneous area of patched thermal system insulation that is not assumed to be
ACM if the patched section is < 6 linear or square feet.
Verify that, in a manner sufficient to determine whether the material is ACM or
not ACM, an accredited inspector collects bulk samples from each insulated
mechanical system that is not assumed to be ACM where cement or plaster is used
on fittings such as tees, elbows, or valves, except a homogeneous area is
determined to contain ACM based on a finding that the results of at least one
sample collected from that area shows that asbestos is present in an amount > 1
percent.
(NOTE: Bulk samples are not required to be collected from any homogeneous
area where the accredited inspector has determined that the thermal system
insulation is fiberglass, foam glass, rubber, or other non-ACBM.)
Verify that, in a manner sufficient to determine whether material is ACM or not
ACM, an accredited inspector collects bulk samples from each homogeneous area
of friable miscellaneous material that is not assumed to be ACM.
Verify that, if any homogeneous area of nonfriable suspected ACBM is not
assumed to be ACM, an accredited inspector collects, in a manner sufficient to
determine whether the material is ACM or not ACM, bulk samples from the
homogeneous area of nonfriable suspected ACBM that is not assumed to be ACM.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that local education agencies have bulk samples analyzed for asbestos using
laboratories accredited by the National Bureau of Standards (NBS).
(NOTE: The National Bureau of Standards is now known as the National Institute
for Standards and Technology (NIST). NIST operates a National Voluntary
Laboratory Accreditation Program (NVLAP).)
Verify that local education agencies use laboratories which have received interim
accreditation for polarized light microscopy (PLM) analysis under the U.S. EPA
Interim Asbestos Bulk Sample Analysis Quality Assurance Program until the NBS
PLM laboratory accreditation program for PLM is operational.
(NOTE: Bulk samples shall not be composited for analysis and shall be analyzed
for asbestos content by PLM, using the "Interim Method for the Determination of
Asbestos in Bulk Insulation Samples" found at appendix E of 40 CFR 763,
Subpart E.)
(NOTE: A homogeneous area is considered not to contain ACM only if the results
of all samples required to be collected from the area show asbestos in amounts of 1
percent or less. A homogeneous area shall be determined to contain ACM based
on a finding that the results of at least one sample collected from that area shows
that asbestos is present in an amount > 1 percent.)
Verify that the name and address of each laboratory performing an analysis, the
date of analysis, and the name and signature of the person performing the analysis
is submitted for inclusion into the management plan within 30 days of the analysis.
TT.200.3. Each inspection or
reinspection is required to
result in a written assessment
of all friable known or
assumed ACBM in the school
building (40 CFR 763.88).
Verify that an accredited inspector provides a written assessment of all friable
known or assumed ACBM in the school building.
Verify that each accredited inspector providing a written assessment signs and
dates the assessment, provides their state of accreditation, and if applicable,
accreditation number, and submits a copy of the assessment for inclusion in the
management plan within 30 days of the assessment.
Verify that the assessment classifies the ACBM and suspected ACBM assumed to
be ACM into one of the following categories:
- damaged or significantly damaged thermal system insulation ACM
- damaged friable surfacing ACM
- significantly damaged friable surfacing ACM
- damaged or significantly damaged friable miscellaneous ACM
- ACBM with potential for damage
- ACBM with potential for significant damage
- any remaining friable ACBM or friable suspected ACBM.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
(NOTE: The assessment may include the following considerations:
- location and the amount of the material, both in total quantity and as a
percentage of the functional space
-condition of the material, specifying:
-type of damage or significant damage (e.g., flaking, blistering, water
damage, or other signs of physical damage)
-severity of damage (e.g., major flaking, severely torn jackets, as
opposed to occasional flaking, minor tears to jackets)
- extent or spread of damage over large areas or large percentages of the
homogeneous area
- whether the material is accessible
- the material's potential for disturbance
-known or suspected causes of damage or significant damage (e.g., air
erosion, vandalism, vibration, water)
-preventive measures which might eliminate the reasonable likelihood of
undamaged ACM from becoming significantly damaged.)
(NOTE: The local education agency shall select a person accredited to develop
management plans to review the results of each inspection, reinspection, and
assessment for the school building and to conduct any other necessary activities in
order to recommend in writing to the local education agency appropriate response
actions. The accredited person shall sign and date the recommendation, provide
his or her state of accreditation, and, if applicable, provide his or her accreditation
number, and submit a copy for inclusion in the management plan.)
TT.200.4. An asbestos
management plan is required
for each school building (40
CFR763.93).
Verify that asbestos management plans have been submitted to an agency
designated by the governor of the state in which the local education agency is
located, and that they include all buildings that the local education agency leases,
owns or otherwise uses as school buildings prior to their use as school buildings.
(NOTE: The plan may be submitted in stages that cover a portion of the school
buildings under the authority of the local education agency.)
Verify that the plan is kept current and up-to-date with ongoing operational and
maintenance, periodic surveillance, inspection, reinspection and response action
activities.
Verify that the plan was developed by an accredited management planner and
includes:
- a list of the name and address of each school building and whether the
building contains friable ACBM, nonfriable ACBM, and friable and
nonfriable suspected ACBM assumed to be ACM
-for each inspection done before December 14, 1987:
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
-date of the inspection
- a blueprint, diagram or written description of each school building that
identifies clearly each location and approximate square or linear
footage of any homogeneous or sampling area where material was
sampled for ACM, and, if possible, the exact locations where bulk
samples were collected, and the dates of collection
- a copy of the analyses of any bulk samples, dates of analyses, and a
copy of any other laboratory reports pertaining to analyses
- a description of any response actions or preventive measures taken to
reduce asbestos exposure, including if possible, the names and
addresses of all contractors involved, start and completion dates of the
work, and results of any air samples analyzed during and upon
completion of the work
- descriptions of any assessments required to be made under 40 CFR
763.88, of material that was identified before December 14, 1987, as
friable ACBM or friable suspected ACBM assumed to be ACM, and
the name and signature, state of accreditation, and if applicable,
accreditation number of each accredited person making the assessments
- for each inspection and reinspection:
- the date of the inspection or reinspection and the name and signature,
state of accreditation and, if applicable, the accreditation number of
each accredited inspector performing the inspection or reinspection
- a blueprint, diagram, or written description of each school building that
identifies clearly each location and approximate square or linear
footage of homogeneous areas where material was sampled for ACM,
the exact location where each bulk sample was collected, date of
collection, homogeneous areas where friable suspected ACBM is
assumed to be ACM, and where nonfriable suspected ACBM is
assumed to be ACM
- a description of the manner used to determine sampling locations, and
the name and signature of each accredited inspector collecting samples,
the state of accreditation, and if applicable, his or her accreditation
number
- a copy of the analyses of any bulk samples collected and analyzed, the
name and address of any laboratory that analyzed bulk samples, a
statement that the laboratory meets applicable requirements, the date of
analysis, and the name and signature of the person performing the
analysis
-a description of assessments of all ACBM and suspected ACBM
assumed to be ACM, and the name, signature, state of accreditation,
and if applicable, accreditation number of each accredited person
making the assessments.
- the name, address, and telephone number of the person designated to ensure
that the duties of the local education agency are carried out, and the course
name, and dates and hours of training taken by that person to carry out the
duties
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
- the recommendations made to the local education agency regarding response
actions, the name, signature, state of accreditation of each person making the
recommendations, and if applicable, his or her accreditation number
- a detailed description of preventive measures and response actions to be
taken, including methods to be used, for any friable ACBM, the locations
where such measures and action will be taken, reasons for selecting the
response action or preventive measure, and a schedule for beginning and
completing each preventive measure and response action.
- with respect to the person or persons who inspected for ACBM and who will
design or carry out response actions, except for operations and maintenance,
with respect to the ACBM, one of the following statements:
- if the state has adopted a contractor accreditation program under section
206(b) of Title II of TSCA, a statement that the person(s) is accredited
under such plan
- a statement that the local education agency used (or will use) persons
who have been accredited by another state which has adopted a
contractor accreditation plan under section 206(b) of Title II of TSCA
or is accredited by an U.S. EPA-approved course under section 206(c)
of Title II of TSCA.
- a detailed description in the form of a blueprint, diagram, or in writing of any
ACBM or suspected ACBM assumed to be ACM which remains in the
school once response actions are undertaken. This description is updated as
response actions are completed.
- a plan for reinspection, a plan for operations and maintenance activities, and
a plan for periodic surveillance, a description of the recommendation made
by the management planner regarding additional cleaning as part of an
operations and maintenance program, and the response of the local education
agency to that recommendation
- a description of steps taken to inform workers and building occupants, or
their legal guardians, about inspections, reinspections, response actions, and
post-response action activities, including periodic reinspection and
surveillance activities that are planned or in progress
-an evaluation of the resources needed to complete response actions
successfully and carry out reinspection, operations and maintenance
activities, periodic surveillance and training
- with respect to each consultant who contributed to the management plan, the
name of the consultant and one of the following statements:
- if the state has adopted a contractor accreditation plan under section
206(b) of Title II of TSCA, a statement that the consultant is accredited
under such plan
- a statement that the contractor is accredited by another state which has
adopted a contractor accreditation plan under section 206(b) of Title II
of TSCA, or is accredited by an U.S. EPA-approved course developed
under section 206(c) of Title II of TSCA.
(NOTE: A local education agency may require each management plan to contain
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
a statement signed by an accredited management plan developer that such person
has prepared or assisted in the preparation of such plan or has reviewed such plan,
and that such plan is in compliance. Such statement may not be signed by a person
who, in addition to preparing or assisting in preparing the management plan, also
implements (or will implement) the management plan.)
Verify that the management plans are available, without cost or restriction, for
inspection by representatives of U.S. EPA and the state, the public, including
teachers, other school personnel and their representatives, and parents.
Verify that each local education agency maintains in its administrative office a
complete, updated copy of a management plan for each school under its
administrative control or direction. The management plans shall be available,
during normal business hours, without cost or restriction, for inspection by
representatives of U.S. EPA and the state, the public, including teachers, other
school personnel and their representatives, and parents. (NOTE: The local
education agency may charge a reasonable cost to make copies of management
plans. A management plan must be available for inspection without cost or
restriction to workers before work begins in an area of the school building.).
(NOTE: The local education agency shall notify, in writing, any relevant parent,
teacher or employee organizations, of the availability of the plans and shall include
in the plans: a description of the steps taken to notify such organizations and dated
copies of the notifications.)
Verify that each school maintains in its administrative office a complete, updated
copy of the management plan for that school.
Verify that each management plan contains a true and correct statement, signed by
the individual designated by the local education agency, which certifies that the
general, local education agency responsibilities, have been met or will be met.
TT.200.5. Periodic
surveillance is required at
least once every 6 mo after a
management plan is in effect
(40 CFR 763.92(b), 763.90(a)
and763.90(b)(2)).
Verify that, at least once every 6 mo after a management plan is in effect, each
local education agency conducts periodic surveillance in each building that it
leases, owns, or otherwise uses as a school building that contains ACBM or is
assumed to contain ACBM.
Verify that individuals performing periodic surveillance:
-visually inspected all areas that are identified in the management plan as
ACBM or assumed ACBM
- record the date of the surveillance, his or her name, and any changes in the
condition of the materials
- submits to the person designated to carry out general local education agency
responsibilities a copy of the surveillance record for inclusion in the
management plan.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
(NOTE: The local education agency must select and implement, in a timely
manner, the appropriate response action, consistent with the written assessment,
that protects human health and the environment in the least burdensome manner,
considering local circumstances and economic concerns.)
TT.200.6. Response actions
are required to be selected and
implemented in a timely
manner and according to
specific methods (40 CFR
763.90).
Verify that, if damaged or significantly damaged thermal system insulation ACM
is present in the building, the local education agency will:
- at least repair the damaged area
-remove the damaged material if it is not feasible, due to technological
difficulties, to repair the damage
- maintain all thermal system insulation ACM and its coverings in an intact
state and undamaged condition.
Verify that, if damaged friable surfacing ACM or damaged friable miscellaneous
ACM is present, the local education agency selects from the following response
actions:
- encapsulation
- enclosure
- removal
- repair.
Verify that, if significantly damaged friable surfacing ACM or significantly
damaged friable miscellaneous ACM is present in a building, the local education
agency:
- immediately isolates the functional space and restricts access unless isolation
is not needed to protect human health and the environment
-removes the material in the functional space or, depending on whether
enclosure or encapsulation is sufficient to protect human health and the
environment, enclose or encapsulate.
Verify that, if any friable surfacing ACM, thermal system insulation ACM, or
friable miscellaneous ACM that has potential for damage is present in the
building, an appropriate operations and maintenance (O&M) program is
implemented.
Verify that, if any friable surfacing ACM, thermal insulation ACM, or friable
miscellaneous ACM that has potential for significant damage is present, the local
education agency:
- implements an appropriate O&M program
-institutes preventative measures to eliminate the reasonable likelihood that
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
the ACM or its covering will become significantly damaged, deteriorated, or
delaminated
- removes the material as soon as possible if appropriate preventative measures
cannot be effectively implemented and isolates the area and restricts access is
necessary to avoid an imminent and substantial endangerment to human
health and the environment, unless other response actions are determined to
protect human health or the environment.
Verify that response actions including removal, encapsulation, enclosure, or repair,
other than small-scale, short-duration repairs, are designed and conducted by
persons accredited to design and conduct response actions.
Verify that, at the conclusion of any action to remove, encapsulate, or enclose
ACBM or material assumed to be ACBM, a person designated by the local
education agency visually inspects each functional space where the action was
conducted to determine whether the action has been properly completed.
Verify that the person designated by the local education agency collects air
samples using aggressive sampling as described in Appendix A of 40 CFR 763,
Subpart E to monitor air for clearance after each removal, encapsulation, and
enclosure project involving ACBM, except for projects that are of small-scale,
short-duration.
Verify that the local education agency arranges for air samples to be analyzed for
asbestos using laboratories accredited by the National Institute of Standards and
Technology (NIST) or, under circumstances described in 40 CFR 763.80 through
763.98, laboratories enrolled in the American Industrial Hygiene Association
Proficiency Analytical Testing Program for phase contrast microscopy (PCM).
TT.200.7. A person must be
designated by the local
education agency to perform
specific tasks and functions
(40CFR763.84(g)).
Verify that the person designated to ensure that requirements concerning asbestos
in schools are implemented correctly is trained in the following:
- health effects of asbestos
- detection, identification, and assessment of ACM
- options for controlling ACM
- asbestos management programs
- relevant state and federal regulations.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.200.8. An operations,
maintenance and repair
program is required to be
developed whenever any
friable ACBM is present or
assumed to be present in a
building that is used as a
school building (40 CFR
763.9 l(a) through 763.91(e)).
(NOTE: Any material identified as nonfriable ACBM or nonfriable assumed
ACBM must be treated as friable ACBM when the material is about to become
friable as a result of activities performed in the school building.)
Verify that employees of local education agencies are protected according to the
standards in 40 CFR 763.121 (see checklist items TT.230.1 through TT.230.9)
while performing operations, maintenance, and repair (O&M) activities involving
ACM and who are not covered by the Asbestos Standard of the Occupational
Safety and Health Administration (OSHA), 29 CFR 1926.1101, or an asbestos
standard adopted by a state as part of a state plan approved by OSHA under
Section 18 of OSHA or a state asbestos regulation which the U.S. EPA has
determined to be more stringent than 40 CFR 763.120 through 763.126.
Verify that, unless the building has been cleaned using equivalent methods within
the previous 6 mo, all areas of a school building where friable ACBM, damaged or
significantly damaged thermal system insulation ACM, or friable suspected
ACBM assumed to be ACM are present are cleaned at least once after the
completion of the required inspection and before the initiation of any response
action, other than O&M activities or repair, according to the following procedures:
- HEP A-vacuum or steam-clean all carpets
- HEP A-vacuum or wet-clean all other floors and all other horizontal surfaces
-dispose of all debris, filters, mopheads, and cloths in sealed, leak-tight
containers.
Verify that the accredited management planner makes a written recommendation
to the local education agency whether additional cleaning is needed, and if so, the
methods and frequency of such cleaning.
Verify that the following actions are taken for any O&M operations disturbing
friable ACBM:
- entry is restricted into the area by persons other than those needed to perform
the maintenance project (this can be done by isolating the area or by
scheduling)
- signs are posted to prevent entry by unauthorized persons
- air-handling systems are shutoff or temporarily modified and other sources of
air movement are restricted
- whatever work practices are required to prohibit the spread of any released
fibers are used
- all fixtures or other components in the immediate work area are cleaned
- the asbestos debris and other cleaning materials are placed in a sealed, leak-
tight container.
Verify that response actions for any maintenance activities disturbing friable
ACBM, other than small-scale, short-duration maintenance are designed by
persons accredited to design response actions and conducted by persons accredited
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
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to conduct response actions.
TT.200.9. Warning labels are
required to be attached
immediately adjacent to any
friable and nonfriable ACBM
and suspected ACBM
assumed to be ACM located
in routine maintenance areas
(such as boiler rooms) at each
school building (40 CFR
763.95).
Verify that labels are in place in the following areas:
- where friable ACBM was responded to by any means other than removal
- where there is ACBM for which no response action was carried out.
Verify that labels are displayed in highly visible places and remain posted until the
ACBM that is labeled is removed.
Verify that the label reads, CAUTION: ASBESTOS. HAZARDOUS. DO NOT
DISTURB WITHOUT PROPER TRAINING AND EQUIPMENT.
TT.200.10. All members of
the school maintenance and
custodial staff who might
work in a building that
contains ACBM are required
to receive at least 2 h of
awareness training whether or
not they are required to work
with ACBM (40 CFR
763.92(a)(l) and
763.92(a)(3)).
Verify that the school maintenance and custodial staff has been trained.
Verify that new personnel are trained within 60 days after start of employment.
Verify that the training has included:
- information regarding asbestos and the various uses and forms
- information on the health effects associated with asbestos exposure
- locations of all ACBM identified throughout each school building in which
they work
- recognition of damaged, deterioration, and delamination of ACBM
-name and telephone number of the person designated to carry out
responsibilities for asbestos management and the availability and location of
the management plan.
(NOTE: Local education agency maintenance and custodial staff who have
attended U.S. EPA-approved asbestos training or received equivalent training for
O&M and periodic surveillance activities involving asbestos shall be considered
trained.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.200.11.
maintenance
staff that
activities that
disturbance
required to
additional 14
CFR 763.
763.92(a)(3))
School
and custodial
conduct any
will result in the
of ACBM are
received an
h of training (40
92(a)(2) and
Verify that staff has received additional training that includes:
- descriptions of the proper methods of handling ACBM
-information on the use of respiratory protection as contained in the U.S.
EPA/NIOSH (National Institute for Occupational Safety and Health) Guide
to Respiratory Protection for the Asbestos Abatement Industry
-the requirements found in 40 CFR 763.91, 763.92 and Appendices A, B, C,
and D of 40 CFR 763 Subpart E (763.80 through 763.99)
-abatement requirements in 40 CFR 763.120 through 763.126 and 40 CFR
61.140 through 61.157
- OSHA regulations contained in 29 CFR 1926.1101
-hands-on training in the use of respiratory protection, other personal
protection measures, and good work practices.
(NOTE: Local education agency maintenance and custodial staff who have
attended U.S. EPA-approved asbestos training or received equivalent training for
O&M and periodic surveillance activities involving asbestos shall be considered
trained.)
TT.200.12. Specific actions
are required to be taken in
response to a fiber release
episode (40 CFR 763.91(f)).
Verify that the following procedures are implemented in the event of a minor fiber
release episode (i.e., the falling or dislodging of 3 square or linear feet or less of
friable ACBM):
- thoroughly saturate the debris using wet methods
- clean the area
- place the asbestos debris in a sealed, leak-tight container
-repair the area of damaged ACM with materials such as asbestos-free
spackling, plaster, cement, or insulation, or seal with latex paint or an
encapsulant, or immediately have the appropriate response action
implemented.
Verify that the following procedures are implemented in
the event of a major fiber release episode (i.e., the falling or dislodging of more
than 3 square or linear feet of friable ACBM):
- restrict entry into the area and post signs to prevent entry into the area by
persons other than those necessary to perform the response action
-shut off or temporarily modify the air-handling system to prevent the
distribution of fibers to other areas in the building
-the response action for any major fiber release episode is designed by
persons accredited to design response actions and conducted by persons
accredited to conduct response actions.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.200.13. Records
pertaining to asbestos in
schools are required to be
maintained in a central
location in the administrative
office of both the school and
the local education agency (40
CFR763.94).
Verify that required records are maintained in a centralized location in the
administrative office of both the school and the local education agency as part of
the management plan.
Verify that records for each homogeneous area where all ACBM has been
removed, are retained for 3 yr after the next reinspection, or for an equivalent
period.
Verify that, for each preventive measure and response action taken for friable and
nonfriable ACBM and friable and nonfriable suspected ACBM assumed to be
ACM, the local education agency provides:
- a detailed written description of the measure or action, including methods
used, the location where the measure or action was taken, reasons for
selecting the measure or action, start and completion dates of the work,
names and addresses of all contractors involved, and if applicable, their state
of accreditation, and accreditation numbers, and if ACBM is removed, the
name and location of storage or disposal site of the ACM
- the name and signature of any person collecting any air sample required to be
collected at the completion of certain response actions, the locations where
samples were collected, date of collection, the name and address of the
laboratory analyzing the samples, the date of analysis, the results of the
analysis, the method of analysis, the name and signature of the person
performing the analysis, and a statement that the laboratory is compliant.
Verify that, for each person required to be trained, the local education agency
provides the person's name and job title, the date that training was completed by
that person, the location of the training, and the number of hours completed in
such training.
Verify that, for each time that periodic surveillance is performed, the local
education agency records the name of each person performing the surveillance, the
date of the surveillance, and any changes in the conditions of the materials.
Verify that, for each time that cleaning is performed, the local education agency
records the name of each person performing the cleaning, the date of such
cleaning, the locations cleaned, and the methods used to perform such cleaning.
Verify that, for each time that operations and maintenance activities under are
performed, the local education agency records the name of each person performing
the activity, the start and completion dates of the activity, the locations where such
activity occurred, a description of the activity including preventive measures used,
and if ACBM is removed, the name and location of storage or disposal site of the
ACM.
Verify that, for each time that major asbestos activity is performed, the local
education agency provides the name and signature, state of accreditation, and if
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
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applicable, the accreditation number of each person performing the activity, the
start and completion dates of the activity, the locations where such activity
occurred, a description of the activity including preventive measures used, and if
ACBM is removed, the name and location of storage or disposal site of the ACM.
Verify that, for each fiber release episode, the local education agency provides the
date and location of the episode, the method of repair, preventive measures or
response action taken, the name of each person performing the work, and if
ACBM is removed, the name and location of storage or disposal site of the ACM.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
ASBESTOS
TT.230
Abatement Projects
(NOTE: The requirements in TT.230 must be followed during asbestos abatement
projects by employers of state and local government employees not covered by the
Asbestos Standard of the Occupational Safety and Health Administration (OSHA),
29 CFR 1926.1101, an Asbestos Standard adopted by a state as part of a state plan
approved by OSHA under section 18 of the Occupational Safety and Health Act,
or a state asbestos regulation which U.S. EPA has determined to be comparable to
or more stringent than 40 CFR 763. The rule covers those employees who take
part in asbestos abatement work (40 CFR 763.120).)
TT.230.1. Specific standards
on permissible exposure limits
and communication are
required to be met (40 CFR
763.121(c)and763.121(d)).
Verify that the employer ensures no employee is exposed to an airborne
concentration of asbestos in excess of 0.2 fiber/cm3 of air as an 8-hour time-
weighted average (TWA).
Verify that, on multi-employer worksites, an employer performing asbestos work
requiring the establishment of a regulated area informs other employers on the site
of the nature of the employer's work with asbestos and of the existence of and
requirements pertaining to regulated areas.
TT.230.2. Regulated areas
are required to be established
and managed according to
certain parameters (40 CFR
763.121(e)).
Verify that a regulated area is established in work areas where airborne
concentrations of asbestos exceed or can reasonably be expected to exceed the
permissible exposure limit (PEL) of 0.2 fiber/cm3 of air as an 8-hour TWA.
Verify that the regulated area is demarcated in any manner that minimizes the
number of persons within the area and protects persons outside the area from
exposure to airborne concentrations of asbestos in excess of the PEL.
Verify that access to regulated areas is limited to authorized persons.
Verify that all persons entering a regulated area are supplied with an appropriate
respirator.
Verify that employees do not eat, drink, smoke, chew tobacco or gum, or apply
cosmetics in the regulated area.
Verify that, wherever feasible, the employer establishes negative-pressure
enclosures before commencing removal, demolition, and renovation operations.
Verify that the employer designates a competent person to perform or supervise
the following duties:
- set up the enclosure
- ensure the integrity of the enclosure
- control entry to and exit from the enclosure
- supervise all required employee exposure monitoring
- ensure that employees working within the enclosure wear required respirators
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
and protective clothing
- ensure that employees are trained in the use of engineering controls, work
practices, and personal protective equipment
-ensure that employees use the hygiene facilities and observe the required
decontamination procedures
- ensure that engineering controls are functioning properly.
Verify that the competent person is trained in all aspects of asbestos abatement,
the contents of this regulation, the identification of asbestos and its removal
procedures, and other practices for reducing the hazard.
(NOTE: For small-scale, short-duration operations, such as pipe repair, valve
replacement, installing electrical conduits, installing or removing drywall, roofing,
and other general building maintenance or renovation, the employer is not required
to designate a competent person or perform the actions associated with the
competent person or establish negative-pressure enclosures before commencing
removal, demolition, and renovation operations.)
TT.230.3. Exposure
monitoring is required to be
done according to specific
parameters (40 CFR
763.121(f)).
Verify that each employer performs monitoring to determine accurately the
airborne concentrations of asbestos to which employees may be exposed.
Verify that determinations of employee exposure are made from breathing zone air
samples that are representative of the 8-hour TWA of each employee.
Verify that representative 8-hour TWA employee exposure is determined on the
basis of one or more samples representing full shift exposure for employees in
each work area.
Verify that initial monitoring is performed at the initiation of each asbestos job to
determine accurately the airborne concentrations of asbestos to which employees
may be exposed.
(NOTE: The employer may demonstrate that employee exposures are below the
action level by means of objective data demonstrating that the product or material
containing asbestos cannot release airborne fibers in concentrations exceeding the
action level under those work conditions having the greatest potential for releasing
asbestos. Where the employer has monitored each asbestos job, and the data were
obtained during work operations conducted under workplace conditions closely
resembling the processes, type of material, control methods, work practices, and
environmental conditions used and prevailing in the employer's current operations,
the employer may rely on such earlier monitoring results to satisfy the
requirements for initial monitoring (This process is called an "exemption."
Exemptions are specifically discussed at TT.230.9).)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that daily monitoring is done that is representative of the exposure of each
employee who is assigned to work within a regulated area.
(NOTE: When all employees within a regulated area are equipped with supplied-
air respirators operated in the positive-pressure mode, the employer may dispense
with the daily monitoring.)
(NOTE: If the periodic monitoring reveals that employee exposures, as indicated
by statistically reliable measurements, are below the action level, the employer
may discontinue monitoring for those employees whose exposures are represented
by such monitoring.)
Verify that all samples taken are personal samples collected following the
procedures specified in Appendix A of 40 CFR763.121.
Verify that all samples are evaluated using the U.S. EPA/OSHA Reference
Method (ORM) specified in Appendix A of 40 CFR 763.121, or an equivalent
counting method.
(NOTE: If an equivalent method to the ORM is used, the employer ensures that
the method meets the following criteria:
- replicate exposure data used to establish equivalency are collected in side-by-
side field and laboratory comparisons
- the comparison indicates that 90 percent of the samples collected in the range
0.5 to 2.0 times the permissible limit have an accuracy range of plus or minus
25 percent of the ORM results with a 95 percent confidence level as
demonstrated by a statistically valid protocol
-the equivalent method is documented and the results of the comparison
testing are maintained.
Verify that affected employees are notified of the monitoring results that represent
the employees' exposure as soon as possible following receipt of monitoring
results.
(NOTE: Notification can be in writing either individually or by posting at a
centrally located place that is accessible to affected employees.)
Verify that the employer provides affected employees or their designated
representatives an opportunity to observe any monitoring of employee exposure to
asbestos.
Verify that, when observation of the monitoring of employee exposure to asbestos
requires entry into an area where the use of protective clothing or equipment is
required, the observer is provided with and required to use such clothing and
equipment and comply with all other applicable safety and health procedures.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.230.4. Employers are
required to use an approved
method to achieve compliance
with the PEL (40 CFR
763.121(g)).
Verify that the employer uses one or any combination of the following control
methods to achieve compliance with the PEL:
- local exhaust ventilation equipped with HEPA filter dust collection systems
- general ventilation systems
-vacuum cleaners equipped with HEPA filters
- enclosure or isolation of processes producing asbestos dust
-use of wet methods, wetting agents, or removal encapsulates to control
employee exposures during asbestos handling, mixing, removal, cutting,
application, and cleanup
-prompt disposal of wastes contaminated with asbestos in leak-tight containers
-use of work practices or other engineering controls that the U.S. EPA or
authorized regulatory agency can show to be feasible.
Verify that, wherever the feasible engineering and work practice controls are not
sufficient to reduce employee exposure to or below the PEL, the employer uses
them to reduce employee exposure to the lowest levels attainable by these controls
and supplements them by the use of respiratory protection.
Verify that high-speed abrasive disc saws that are not equipped with appropriate
engineering controls are not used for work related to asbestos.
Verify that compressed air is not used to remove asbestos materials containing
asbestos unless the compressed air is used in conjunction with an enclosed
ventilation system designed to capture the dust cloud created by the compressed
air.
Verify that materials containing asbestos are not applied by spray methods.
(NOTE: The employer shall not use employee rotation as a means of compliance
with the exposure limit.)
TT.230.5. Respirators are
required to be used in certain
circumstances and meet
certain operating requirements
(40CFR763.121(h)).
Verify that respirators are used in the following circumstances:
- during the interval necessary to install or implement feasible engineering and
work practice controls
-in work operations such as maintenance and repair activities, or other
activities for which engineering and work practice controls are not feasible
- in work situations where feasible engineering and work practice controls are
not yet sufficient to reduce exposure to or below the exposure limit
- in emergencies.
Verify that, where respirators are used, the employer selects and provide, at no
cost to the employee, the appropriate respirator as specified in Appendix E of this
document and ensures that the employee uses the respirator provided.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
(NOTE: The employer shall select respirators from among those jointly approved
as being acceptable for protection by the Mine Safety and Health Administration
(MSHA) and the National Institute for Occupational Safety and Health (NIOSH)
under the provisions of 30 CFR 11.)
Verify that the employer provides a powered, air-purifying respirator in lieu of any
negative-pressure respirator specified in Appendix E of this document whenever
both of the following are met:
- an employee chooses to use this type of respirator
- this respirator will provide adequate protection to the employee.
Verify that, where respiratory protection is used, the employer institutes a
respirator program including all information and guidance necessary for their
proper selection, use, and care and emergency use.
(NOTE: Although the regulations 40 CFR 763.121(h)(3)(i) use the term
"employee," the preamble to the final rule states: "The employer must develop a
respirator program" (see 52 FR 5618.5260 (February 25, 1987)).)
Verify that the employer permits each employee who uses a filter respirator to
change the filter elements whenever an increase in breathing resistance is detected
and maintains an adequate supply of filter elements.
Verify that employees who wear respirators are permitted to leave work areas to
wash their faces and respirator facepieces whenever necessary to prevent skin
irritation associated with respirator use.
(NOTE: No employee shall be assigned to tasks requiring the use of respirators if,
based on his or her most recent examination, an examining physician determines
that the employee will be unable to function normally wearing a respirator, or that
the safety or health of the employee or of other employees will be impaired by the
use of a respirator. Such employee shall be assigned to another job or given the
opportunity to transfer to a different position, the duties of which he or she is able
to perform, with the same employer, in the same geographical area, and with the
same seniority, status, and rate of pay he or she had just prior to such transfer, if
such a different position is available.)
Verify that the respirator is fitted properly.
Verify that either quantitative or qualitative (for half-mask respirators, where
permitted) face fit tests are performed at the time of initial fitting and at least every
6 mo thereafter for each employee wearing a negative-pressure respirator.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
TT.230.6. Protective clothing
and hygiene will be provided
and used (40 CFR 763.121(1),
763.121(j) and 765.121(1)(2)).
Verify that protective clothing, such as coveralls or similar whole-body clothing,
head coverings, gloves, and foot coverings is provided for any employee exposed
to airborne concentrations of asbestos that exceed the PEL.
Verify that the laundering of contaminated clothing is done so as to prevent the
release of airborne asbestos in excess of the PEL.
(NOTE: Any employer who gives contaminated clothing to another person for
laundering shall inform such person of the requirement to prevent the release of
airborne asbestos in excess of the exposure limit.)
Verify that asbestos waste scrap, debris, bags, containers, equipment and
contaminated clothing consigned for disposal are collected and disposed of in
sealed, labeled impermeable bags or other closed, labeled and impermeable
containers.
Verify that contaminated clothing is transported in sealed impermeable bags, or
other closed, impermeable containers, and is properly labeled.
Verify that a competent person periodically examines worksuits worn by
employees for rips or tears that may occur during performance of work.
Verify that, when rips or tears are detected while an employee is working within a
negative-pressure enclosure, they are immediately mended, or the worksuit is
immediately replaced.
Verify that clean change areas are provided for employees required to work in
regulated areas or required to wear protective clothing.
(NOTE: Instead of the change area requirement, the employer may permit
employees engaged in small-scale, short-duration operations to clean their
protective clothing with a portable HEPA-equipped vacuum before leaving the
area where maintenance was performed.)
Verify that change areas are equipped with separate storage facilities for protective
clothing and street clothing.
Verify that, whenever food or beverages are consumed at the worksite and
employees are exposed to airborne concentrations of asbestos in excess of the
permissible exposure limit, the employer provides lunch areas in which the
airborne concentrations of asbestos are below the action level.
Verify that, except for small-scale, short-duration operations, the employer
establishes a decontamination area that is adjacent and connected to the regulated
area for the decontamination of employees contaminated with asbestos.
(NOTE: The decontamination area consists of an equipment room, shower area,
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
and clean room in series. The employer shall ensure that employees enter and exit
the regulated area through the decontamination area.)
Verify that the clean room is equipped with a locker or appropriate storage
container for each employee's use.
Verify that, where feasible, shower facilities are provided.
Verify that the showers are contiguous both to the equipment room and the clean
change room, unless the employer can demonstrate that this location is not
feasible.
Verify that, where the employer can demonstrate that it is not feasible to locate this
shower between the equipment room and the clean change room, the employer
ensures that employees do one or both of the following:
- remove asbestos contamination from their worksuits using a HEPA vacuum
before proceeding to a shower that is not contiguous to the work area
- remove their contaminated worksuits, don clean worksuits, and proceed to a
shower that is not contiguous to the work area.
Verify that the equipment room is supplied with impermeable, labeled bags and
containers for the containment and disposal of contaminated protective clothing
and equipment.
Verify that employees:
- enter the decontamination area through the clean room
- remove and deposit street clothing within a locker provided for their use
- put on protective clothing and respiratory protection before leaving the clean
room.
Verify that employees pass through the equipment room before entering the
enclosure.
Verify that employees remove all gross contamination and debris from their
protective clothing before leaving the regulated area.
Verify that employees remove their protective clothing in the equipment room and
deposit the clothing in labeled impermeable bags or containers.
Verify that employees do not remove their respirators in the equipment room.
Verify that employees shower prior to entering the clean room.
Verify that, after showering, employees enter the clean room before changing into
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
TT.230.7. Employers are
required to communicate
hazards to employees (40
CFR763.121(k)).
REVIEWER CHECKS
street clothes.
Verify that warning signs that demarcate the regulated area are provided and
displayed at each location where airborne concentrations of asbestos may be in
excess of the exposure limit.
Verify that signs are posted at such a distance from such a location that an
employee may read the signs and take necessary protective steps before entering
the area marked by the signs.
Verify that the signs have the following information:
DANGER
ASBESTOS
CANCER AND LUNG DISEASE HAZARD
AUTHORIZED PERSONNEL ONLY
RESPIRATORS AND PROTECTIVE CLOTHING ARE REQUIRED
IN THIS AREA
Verify that labels are affixed to all products containing asbestos and to all
containers containing such products, including waste containers.
Verify that, where feasible, installed asbestos products contain a visible label.
Verify that labels are printed in large, bold letters on a contrasting background and
contain the following information:
DANGER
CONTAINS ASBESTOS FIBERS
AVOID CREATING DUST
CANCER AND LUNG DISEASE HAZARD
Verify that labels contain a warning statement against breathing airborne asbestos
fibers.
(NOTE: The provisions for labels being affixed to products and container
containing asbestos do not apply where:
- asbestos fibers have been modified by a bonding agent, coating, binder, or
other material, provided that the manufacturer can demonstrate that, during
any reasonably foreseeable use, handling, storage, disposal, processing, or
transportation, no airborne concentrations of asbestos fibers in excess of the
action level (oil fibers/cm3 of air as an 8 hr TWA) will be released
- asbestos is present in a product in concentrations < 0. 1 percent by weight.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that the employer starts a training program for all employees exposed to
airborne concentrations of asbestos at or above the action level and ensures their
participation in the program.
Verify that training is provided prior to or at the time of initial assignment, (unless
the employee has received equivalent training within the previous 12 mo) and at
least annually thereafter.
Verify that the training program is conducted in a manner that the employee is able
to understand and each employee is informed of the following:
- methods of recognizing asbestos
- the health effects associated with asbestos exposure
- the relationship between smoking and asbestos in producing lung cancer
-the nature of operations that could result in exposure to asbestos, the
importance of necessary protective controls to minimize exposure including,
as applicable, engineering controls, work practices, respirators, housekeeping
procedures, hygiene facilities, protective clothing, decontamination
procedures, emergency procedures, and waste disposal procedures, and any
necessary instruction in the use of these controls and procedures
- the purpose, proper use, fitting instructions, and limitations of respirators
- the appropriate work practices for performing the asbestos job
- medical surveillance program requirements
-the federal regulations under 40 CFR 763.120 through 763.126, including
appendices.
Verify that all written materials relating to the employee training program are
readily available, including a copy of the regulation.
TT.230.8. Employers are
required to implement a
medical surveillance program
(40CFR763.121(m)).
Verify that a medical surveillance program has been started for all employees
engaged in work involving levels of asbestos at or above the action level for 30 or
more days per yr, or who are required to wear negative-pressure respirators.
Verify that all medical examinations and procedures are performed by or under the
supervision of a licensed physician, and are provided at no cost to the employee
and at a reasonable time and place.
(NOTE: Persons other than such licensed physicians who administer the
pulmonary function testing shall complete a training course in spirometry
sponsored by an appropriate academic or professional institution.)
Verify that medical examinations and consultations are made available on the
following schedules:
-prior to assignment of the employee to an area where negative-pressure
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
respirators are worn
- when the employee is assigned to an area where exposure to asbestos may be
at or above the action level for 30 or more days per yr, within 10 working
days following the thirtieth day of exposure
- at least annually thereafter.
(NOTE: No medical examination is required of any employee if adequate records
show that the employee has been examined within the past 1-yr period.)
Verify that medical examinations include:
- a medical and work history with special emphasis directed to the pulmonary
cardiovascular and gastrointestinal systems
- on initial examination, the standardized questionnaire contained in Appendix
D, part 1 of 40 CFR 763.121 and, on annual examination, the abbreviated
standardized questionnaire contained in Appendix D, part 2 of 40 CFR
763.121
-a physical examination directed to the pulmonary and gastrointestinal
systems, roentgenograms to be administered at the discretion of the
physician, and pulmonary function tests of forced vital capacity (FVC) and
forced expiratory volume at one second (FEV). Interpretation and
classification of chest roentgengrams must be conducted in accordance with
Appendix E of 40 CFR 761.121
-any other examinations and tests deemed necessary buy the examining
physician.
Verify that the employer provides the following information to the physician:
-a copy of 40 CFR 763, Subpart G and Appendices D and E of 40 CFR
761.121
-a description of the affected employee's duties as they relate to the
employee's exposure
-the employee's representative exposure level or anticipated exposure level
- a description of any personal protective and respiratory equipment used or to
be used
- information from previous medical examinations of the affected employee
that is no otherwise available to the examining physician.
Verify that the employer obtains a written opinion from the examining physician
and that the written opinion contains the results of the medical examination and
includes:
- the physicians opinion as to whether the employee has any detected medical
conditions that would place the employee at an increased risk of material
health impairment from exposure to asbestos
- any recommended limitations on the employee or on the use of personal
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
TT.230.9. Employers are
required to maintain certain
records (40 CFR 763.121(n)).
REVIEWER CHECKS
protective equipment such as respirators
- a statement that the employee has been informed by the physician of the
results of the medical examinations and of any medical condition that may
result from asbestos exposure.
Verify that a copy of the physician's written opinion is provided to the affected
employee within 30 days from its receipt.
Verify that an accurate record is maintained of data used to support exemptions,
including the following:
- the product qualifying for exemption
-the source of the objective data
- the testing protocol, results of testing, and/or analysis of the material for the
release of asbestos
-a description of the operation exempted and how the data support the
exemption
-other data relevant to the operations, materials, processing, or employee
exposures covered by the exemption.
Verify that records of objective data supporting exemptions are maintained for the
duration of the employer's reliance upon such objective data.
Verify that an accurate record is kept for at least 30 yr of all measurements taken
to monitor employee exposure to asbestos, including:
- the date of measurement
- the operation involving exposure to asbestos that is being monitored
- sampling and analytical methods used and evidence of their accuracy
- number, duration, and results of samples taken
-type of protective devices worn, if any
-name, social security number, and exposure of the employees whose
exposures are represented.
Verify that medical surveillance records are kept for the duration of employment
plus 30 yr, and include the following information:
-the name and social security number of the employee
- a copy of the employee's medical examination results, including the medical
history, questionnaire responses, results of any tests, and physician's
recommendations
- physician's written opinions
- any employee medical complaints related to exposure to asbestos
- a copy of the information provided to the physician.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that all employee training records are kept for 1 yr beyond the last date of
employment by that employer.
Verify that the employer, upon request, makes any required exposure records
available for examination and copying to affected employees, former employees,
designated representatives, and the U.S. EPA Administrator.
Verify that the employer, upon request, makes required medical records available
for examination and copying to the subject employees, anyone have the specific
written consent of the subject employee, and the U.S. EPA Administrator.
(NOTE: Whenever the employer ceases to operate and there is no successor
employer to receive and retain the records for the prescribed period, the employer
shall notify the U.S. EPA Administrator at least 90 days prior to disposal and,
upon request, transmit them to the U.S. EPA Administrator.)
TT.230.10. Employers are
required to report to U.S. EPA
about asbestos abatement
projects (40 CFR 763.124).
Verify that employers report to the Regional Asbestos Coordinator for the U.S.
EPA Region in which the asbestos abatement project is located at least 10 days
before any such project except:
- one that involves less than either 3 linear feet or 3 square feet of friable
asbestos material
-an emergency project (which must be reported as soon as possible but in no
case more than 48 hours after the project begins).
Verify that the report includes:
-the employer's name and address
-the location, including street address, of the asbestos abatement project
- the scheduled starting and completion dates for the project.
(NOTE: Employers do not have to file a report if they submit a notice to U.S. EPA
under the National Emission Standard for Asbestos, 40 CFR 61.146, at least 10
days before they begin the asbestos abatement project and that notice clearly
indicates that employees covered by the rule will perform some or all of the
asbestos abatement work.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
ASBESTOS
TT.260
Prohibition on
Manufacturing, Importing,
Processing and Distributing
in Commerce of Certain
Asbestos-Containing
Products
TT.260.1. Manufacturers and
importers are required to
comply with prohibitions
related to asbestos-containing
products (40 CFR 763.165).
Verify that after August 27, 1990, no person manufactures or imports the
following asbestos-containing products, either for use in the United States or for
export:
- flooring felt
- new uses of asbestos.
Verify that after August 26, 1996, no person manufactures or imports the
following asbestos-containing products, either for use in the United States or for
export:
- commercial paper
- corrugated paper
- rollboard
- specialty paper.
(NOTE: These import prohibitions do not prohibit either of the following:
-the import into the customs territory of the United States of products
imported solely for shipment outside the customs territory of the United
States, unless further repackaging or processing of the product is performed
in the United States
- activities involving purchases or acquisitions of small quantities of products
made outside the customs territory of the United States for personal use in
the United States.)
TT.260.2. Processors are
required to comply with
prohibitions related to
asbestos-containing products
(40 CFR 763.167).
Verify that after August 27, 1990, no person processes for any use, either in the
United States or for export, any of the following asbestos-containing products:
- flooring felt
- new uses of asbestos.
Verify that after August 26, 1996, no person processes for any use, either in the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
United States or for export, any of the following asbestos-containing products:
- commercial paper
- corrugated paper
- rollboard
- specialty paper.
TT.260.3. Certain
prohibitions apply when
distributing asbestos-
containing products in
commerce (40 CFR 763.169).
Verify that, after August 25, 1992, no person distributes in commerce, either for
use in the United States or for export, any of the following asbestos-containing
products:
- flooring felt
- new uses of asbestos.
Verify that after August 25, 1997, no person distributes in commerce, either for
use in the United States or for export, any of the following asbestos-containing
products:
- commercial paper
- corrugated paper
- rollboard
- specialty paper.
(NOTE: A manufacturer, importer, processor, or any other person who is subject
to a ban on distribution in commerce must, within 6 mo of the effective date of the
ban of a specific asbestos-containing product from distribution in commerce,
dispose of all their remaining stock-on-hand of that product, by means that are in
compliance with applicable local, state, and federal restrictions which are current
at that time.)
TT.260.4. Manufacturers,
importers, and processors are
required to abide by certain
labeling requirements for
asbestos-containing products
(40 CFR 763.171).
Verify that after August 27, 1990, manufacturers, importers, and processors of the
following asbestos-containing products label the products at the time of
manufacture, import, or processing:
- flooring felt
- new uses of asbestos.
(NOTE: This requirement includes labeling all manufacturers', importers', and
processors' stock-on-hand as of August 27, 1990.)
Verify that after August 25, 1995, manufacturers, importers, and processors of the
following asbestos-containing products label the products at the time of
manufacture, import, or processing:
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
- commercial paper
- corrugated paper
- rollboard
- specialty paper.
(NOTE: This includes labeling all manufacturers', importers', and processors'
stock-on-hand as of August 25, 1995.)
Verify that the label is placed directly on the visible exterior of the wrappings and
packaging in which the product is placed for sale, shipment, or storage.
Verify that, if the product has more than one layer of external wrapping or
packaging, the label is attached to the innermost layer adjacent to the product.
Verify that, if the innermost layer of product wrapping or packaging does not have
a visible exterior surface larger than 5 in2, either a tag is securely attached to the
product's innermost layer of product wrapping or packaging, or a label is attached
to the next outer layer of product packaging or wrapping.
Verify that any products that are distributed in commerce to someone other than
the end user, shipped, or stored without packaging or wrapping are labeled or
tagged directly on a visible exterior surface of the product.
Verify that labels are either printed directly on product packaging or in the form of
a sticker or tag made of plastic, paper, metal, or other durable substances.
Verify that labels are attached so that they cannot be removed without defacing or
destroying them.
(NOTE: Product labels shall consist of block letters and numerals of color that
contrasts with the background of the label or tag. Labels shall be sufficiently
durable to equal or exceed the life, including storage and disposal, of the product
packaging or wrapping. The size of the label or tag must be at least 15.25 cm (6
inches) on each side. If the product packaging is too small to accommodate a label
of this size, the label may be reduced in size proportionately to the size of the
product packaging or wrapping down to a minimum 2.5 cm (1 inch) on each side if
the product wrapping or packaging has a visible exterior surface larger than 5
square inches. Products shall be labeled in English as follows:
NOTICE
This product contains ASBESTOS. The U.S. Environmental Protection Agency
has banned the distribution in U.S. commerce of this product under section 6 of
the Toxic Substances Control Act (15 U.S.C. 2605) as of (insert effective date
of ban on distribution in commerce). Distribution of this product in commerce
after this date and intentionally removing or tampering with this label are
violations of federal law.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that no one intentionally removes, defaces, covers, or otherwise obscures or
tampers with a label or sticker that has been applied, except when the product is
used or disposed of.
TT.260.5. Manufacturers,
importers, processors, and
distributors are required to
maintain specific records (40
CFR763.178)
Verify that manufacturers, importers, and processors perform an inventory of the
stock-on-hand of each banned product as of the effective date of the ban for that
product for the applicable activity.
Verify that the inventory is in writing and includes the type of product, the number
of product units currently in the stock-on-hand of the person performing the
inventory, and the location of the stock.
Verify that results of the inventory for a banned product are maintained by the
person for 3 yr after the effective date of the 40 CFR 763.165 or 40 CFR 763.167
ban on the product (see checklist items TT.260.1 and TT.260.2).
Verify that manufacturers, importers, processors, and distributors subject to the
asbestos bans for a product, between the effective dates, keep records of all
commercial transactions regarding the product, including the dates of purchases
and sales and the quantities purchased or sold.
Verify that these records are maintained for 3 yr after the effective date of the 40
CFR 763.169 ban for the product (see checklist item TT.260.3).
Verify that each person required to meet labeling requirements, keeps a copy of
the label used in compliance with 40 CFR 763.171 for 3 yr after the effective date
of the ban on distribution in commerce for the product for which the 40 CFR
763.171 requirements apply.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
LEAD-BASED PAINT
(LBP)
TT.300
Notification Requirements
TT.300.1. The lessor is
responsible for informing
lessees of target housing (see
definitions) of the presence of
any known LBP and/or LBP
hazards according to specific
parameters (40 CFR 745.100,
745.101, 745.107,
745.113(b), and 745.113(c)).
(NOTE: The deadlines for these requirements were as follows:
- for owners of more than four residential dwellings, September 6, 1996
-for owners of one to four residential dwellings, December 6, 1996.)
(NOTE: The disclosure requirements do not imply a positive obligation on the
lessor to conduct any evaluation or reduction activities.)
Verify that in the disclosure process the lessor provides the following prior to
signature on a lease:
- a copy of a U.S. EPA approved lead hazard information pamphlet
- the presence of any known LBP and/or LBP hazards in the target housing
being leased
- any additional information available concerning the known LBP and/or LBP
hazards such as the basis for determination that LBP or LBP hazards exist,
the location of the LBP or LBP hazards, and the condition of the painted
surfaces
- copies of records or reports available pertaining to LBP or LBP hazards in
the target housing, including reports regarding common areas
- records or reports regarding other residential dwelling in multifamily target
housing if the information is a part of an evaluation or reduction of LBP
and/or LBP hazard in the target housing as a whole.
Verify that the contracts to lease target housing include an attachment containing
the following elements in the language of the contract:
- a lead warning statement (appropriate language can be found in 40 CFR
745.113)
- a statement by the lessor disclosing the presence of known LBP or LBP
hazards in the target housing, or a statement indicating no knowledge of the
presence of LBP and/or LBP hazards
- any additional information available concerning the known LBP and/or LBP
hazards such as the basis for determination that LBP or LBP hazards exist,
the location of the LBP or LBP hazards and the condition of the painted
surfaces
- a list of records/reports available to the lessor pertaining to the LBP and/
LBP hazards that have been provided to the purchaser
- a statement by the lessee indicating the above items have been received
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
- signatures of lessees, agents, lessors certifying the accuracy of the statements
- a statement (when one or more agents are involved) that:
- the agent has informed the lessor of the lessor obligations under 42
U.S.C. 4852 d, and
-the agent is aware of his/her duty to ensure compliance with the
requirements of 40 CFR 745.
Verify that the lessor retains a copy of the contract attachments for no less than 3
yr from the start of the leasing period.
(NOTE: The following are exempted from these notification requirements:
- sales of target housing at foreclosure
- leases of target housing that have been found to be LBP free by an inspector
certified under the federal certification program or under a federally
accredited state or tribal certification program
- short-term leases of 100 days or less where no lease renewal or extension can
occur
-renewal of existing leases in target housing where all required LBP
disclosures have previously occurred (renewal includes both renegotiation of
existing lease terms and/or ratification of a new lease).)
TT.300.2. The seller is
responsible for informing
purchasers of target housing
of the presence of any known
LBP and/or LBP hazards
according to specific
parameters (40 CFR 745.100,
745.101, 745.107, 745.110,
745.113(a), and 745.113(c))
(NOTE: The deadlines for these requirements were as follows:
- for owners of more than four residential dwellings, September 6, 1996
-for owners of one to four residential dwellings, December 6, 1996.)
(NOTE: The disclosure requirements do not imply a positive obligation on the
seller to conduct any evaluation or reduction activities.)
Determine if the facility is in the process of selling any target housing.
Verify that in the disclosure process the seller provides the following to the
purchaser prior to the purchaser being obligated under any contract:
- a copy of a U.S. EPA approved lead hazard information pamphlet
- the presence of any known LBP and/or LBP hazards in the target housing
being sold
- any additional information available concerning the known LBP and/or LBP
hazards such as the basis for determination that LBP or LBP hazards exist,
the location of the LBP or LBP hazards, and the condition of the painted
surfaces
- copies of records or reports available pertaining to LBP or LBP hazards in
the target housing, including reports regarding common areas
- records or reports regarding other residential dwelling in multifamily target
housing if the information is a part of an evaluation or reduction of LBP
and/or LBP hazard in the target housing as a whole.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
(NOTE: Before a purchaser is obligated under any contract to purchase target
housing, the seller has to permit the purchaser a 10-day period to conduct a risk
assessment or inspection for the presence of LBP and/or LBP hazards. A different
period of time may be used if both parties mutually agree in writing. A purchaser
may waive the opportunity to conduct the risk assessment or inspection, but must
do so in writing.)
Verify that the contracts to sell target housing include an attachment containing the
following elements in the language of the contract:
- a lead warning statement (appropriate language can be found in 40 CFR
745.113)
- a statement by the seller disclosing the presence of known LBP or LBP
hazards in the target housing, or a statement indicating no knowledge of the
presence of LBP and/or LBP hazards
- any additional information available concerning the known LBP and/or LBP
hazards such as the basis for determination that LBP or LBP hazards exist,
the location of the LBP or LBP hazards, and the condition of the painted
surfaces
- a list of records/reports available to the seller pertaining to the LBP and/or
LBP hazards that have been provided to the purchaser
- a statement by the purchaser indicating the above items have been received
- a statement by the purchaser that they have either:
- received the opportunity to conduct a risk assessment or inspection
- waived the opportunity
-signatures of sellers, agents, purchasers certifying the accuracy of the
statements
- a statement (when one or more agents are involved) that:
- the agent has informed the lessor of the lessor obligations under 42
U.S.C. 4852 d, and
-the agent is aware of his/her duty to ensure compliance with the
requirements of 40 CFR 745.
Verify that the seller retains a copy of the contract attachments for no less than 3
yr from the start of the leasing period.
(NOTE: The following are exempted from these notification requirements:
- sales of target housing at foreclosure
- leases of target housing that have been found to be LBP free by an inspector
certified under the federal certification program or under a federally
accredited state or tribal certification program
- short-term leases of 100 days or less where no lease renewal or extension can
occur
-renewal of existing leases in target housing where all required LBP
disclosures have previously occurred (renewal includes both renegotiation of
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
existing lease terms and/or ratification of a new lease).)
TT.300.3. Specific
notifications must be issued
prior to the renovation of any
residential unit of target
housing (40 CFR 745.81,
745.82 and 745.85).
(NOTE: This requirement is in effect as of June 1, 1999, and applies to all
renovations of target housing performed for compensation.)
(NOTE: This requirement does not apply to renovation activities that are limited
to the following:
- minor repair and maintenance activities (including minor electrical work and
plumbing, that disrupts 2 ft2 or less of painted surface per component
- emergency renovation operations
- renovations in target housing in which a written determination has been made
by a certified inspector that the components affected by the renovation are
free of paint or other surface coatings that contain lead =/> 1.0 mg/cm2 or
0.5% by weight, where the renovator has obtained a copy of the
determination.)
Verify that no more than 60 days prior to starting renovation activities in any
residential dwelling unit of target housing, the renovator:
- provides the owner of the unit with a pamphlet and obtains either a written
acknowledgment from the owner or a certificate of mailing at least 7 days
prior to the renovation
- provides the adult occupant of the unit if the unit is not owner occupied, and
obtains one of the following:
- from the adult occupant, a written acknowledgment that the occupant
has received the pamphlet; or written certification that a pamphlet has
been delivered to the dwelling and that the renovator has been
unsuccessful in obtaining a written acknowledgment from an adult
occupant
- a certificate of mailing at least 7 days prior to the renovation.
(NOTE: A certificate of mailing must include the address of the unit undergoing
renovation, the date and method of delivery of the pamphlet, names of the persons
delivering the pamphlet, reason for lack of acknowledgment (e.g., occupant
refuses to sign, no adult occupant available), the signature of the renovator, and
the date of signature.)
Verify that no more than 60 days prior to starting renovation activities in common
areas of multifamily housing, the renovator:
- provides the owner with the pamphlet and obtains written acknowledgment
from the owner or a certificate of mailing at least 7 days prior to the
renovation
-notifies in writing, or ensures written notification of, each unit of the
multifamily housing and makes the pamphlet available upon request prior to
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
the start of renovation
-prepares, signs, and dates a statement describing the steps performed to
notify all occupants of the intended renovation activities and to provide the
pamphlet
-provides further written notification if the scope, locations, or expected
starting and ending dates of the planned renovation activities change after the
initial notification providing revised information on the ongoing or planned
activities.
(NOTE: Subsequent notification must be provided before the renovator initiates
work beyond that which was described in the original notice.)
Verify that the notification for renovation in common areas describes the general
nature and locations of the planned renovation activities, the expected starting and
ending dates, and a statement of how the occupant can obtain the LBP pamphlet at
no charge from the renovator.
TT.300.4. Certain records are
required to be kept in relation
to notification of LBP
renovations (40 CFR 745.81,
745.82 and 745.86).
(NOTE: This requirement is in effect as of June 1, 1999, and applies to all
renovations of target housing performed for compensation.)
(NOTE: This requirement does not apply to renovation activities that are limited
to the following:
- minor repair and maintenance activities (including minor electrical work and
plumbing, that disrupts 2 ft2 or less of painted surface per component
- emergency renovation operations.)
Verify that all records necessary to demonstrate compliance with this requirement
are maintained for 3 yr, including:
-reports by a certified inspector that the components affected by the
renovation are free of paint or other surface coatings that contain lead =/> 1.0
mg/cm2 or 0.5% by weight, where the renovator has obtained a copy of the
determination
- signed and dated acknowledgments of receipt
- certifications of attempted delivery
-records of notification activities performed relating to common area
renovations.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
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COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
LEAD-BASED PAINT
(LBP)
TT.320
Training Requirements
(NOTE: These requirements apply:
- to all individuals and firms engaged in LBP activities except persons who
perform these activities within residential dwellings that they own, unless one
of the following circumstances is present:
- the residential dwelling is occupied by a person or persons other than
the owner or the owners immediate family while these activities are
being performed
- a child residing in the building has been identified as having an elevated
blood lead level (EBL)
- only in those states or Indian Country that do not have an authorized state or
tribal program (40 CFR 745.220(b)).)
(NOTE: This protocol does not include the requirements for training providers
(e.g. course and curriculum requirements specified under 40 CFR 745.225 and
745.226).)
TT.320.1. All LBP activities
are required to be performed
by certified individuals and
firms (40 CFR 745.220(a),
745.226(a)(3), 745.226(a)(5),
745.226(e), 745.226(f)(l),
and 745.233).
(NOTE: This requirement is effective as of March 1, 2000.)
Verify that all LBP activities in target housing or child occupied facilities are
performed by U.S. EPA certified individuals or firms.
(NOTE: Certification is available for inspectors, risk assessors, supervisors,
project designers, or abatement workers.)
Verify that recertification is done:
- every 3 yr if the individual completed a training course with a course test and
hands-on assessment
- every 5 yr if the individual completed a training course with a proficiency
test.
(NOTE: It shall be a violation of TSCA for an individual or firm to conduct any
of the lead-based paint activities described in 40 CFR 745.227 (see checklist items
TT.350.1 through TT.350.4) after March 1, 2000, if that individual has not been
certified by U.S. EPA to do so.)
TT.320.2. Training programs
for LBP activities are required
to be accredited (40 CFR
745.225).
(NOTE: This requirement is effective as of August 30, 1999.)
Determine if the facility provides training in LBP removal.
Verify that the training is U.S. EPA accredited.
(NOTE: Training programs in states and Indian Country that do not have
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
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authorized state programs in place by August 31, 1998, may first apply to the U.S.
EPA for accreditation on or after August 31, 1998.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
LEAD-BASED PAINT
(LBP)
TT.350
Work Practice Standards
(NOTE: These requirements apply:
- to all individuals and firms engaged in LBP activities except persons who
perform these activities within residential dwellings that they own, unless one
of the following circumstances is present:
- the residential dwelling is occupied by a person or persons other than
the owner or the owners immediate family while these activities are
being performed
- a child residing in the building has been identified as having an EBL
- only in those states or Indian Country that do not have an authorized state or
Tribal program (40 CFR 745.220(b)).)
TT.350.1. Inspections are
required to be done according
to specific methodologies (40
CFR 745.227(a)(l).
745.227(b), and 745.227(f)).
(NOTE: These requirements are effective as of March 1, 2000.)
Verify that inspections are done by U.S. EPA certified inspectors.
Verify that inspections were performed according to a documented methodology
(documented methodologies that are appropriate for this task are listed in 40 CFR
745.227(a)(3)) and include testing of:
- in a residential dwelling and child-occupied facility, each component with a
distinct painting history and each exterior component with a distinct painting
history is tested for LBP, except for components which are determined to
have been replaced after 1978 or to not contain LBP at all
- in a multi-family dwelling or child occupied facility, each component with a
distinct painting history in every common area, except those components
which have been determined to have been replaced after 1978 or to not
contain LBP.
Verify that an inspection report is prepared that includes the following:
- date of each inspection
- address of building
- date of construction
- apartment numbers (if applicable)
-name, address, and telephone number of the owner or owners of each
residential dwelling or child-occupied facility
- name, signature, and certification number of each certified inspector and/or
risk assessor conducting testing
- name, address, and telephone number of the certified firm employing each
inspector and/or risk assessor, if applicable
- each testing method and device and/or sampling procedures employed for
paint analysis, including quality control data and, if used the serial number of
any x- ray fluorescence (XRF) device
- specific location of each painted component tested for the presence of LBP
- the results of the inspection expressed in terms appropriate to the sampling
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
method used.
Verify that any paint chip, dust, or soil samples collected are collected by persons
certified by the U.S. EPA and analyzed by a U.S. EPA recognized laboratory.
TT.350.2. Lead hazard
screens are required to be
done according so specific
methodologies (40 CFR
745.227(a)(l), 745.227(c),
and745.227(f)).
(NOTE: These requirements are effective as of March 1, 2000.)
Verify that lead hazard screens are only done by a person certified by the U.S.
EPA as a risk assessor.
Verify that lead hazard screens were performed according to a documented
methodology and included:
-background information is collected on the physical characteristics of the
residential dwelling or child-occupied facility and occupant use patterns that
may cause LBP exposure to one or more children age 6 yr or under
- a visual inspection of the residential dwelling or child-occupied facility is
conducted to determine if deteriorated paint is present and locate at least two
dust sampling locations
- each surface with deteriorated paint which is determined, using documented
methodologies, to be in poor condition and to have a distinct painting history
is tested for the presence of lead
- in residential dwellings two composite dust samples are collected, one from
the floors and the other from the windows, in rooms, hallways, or stairwells
where one or more children age 6 and under are most likely to come in
contact with dust
- in multi-family dwellings and child-occupied facilities in addition to floor
and window samples, composite dust samples are collected from common
areas where one or more children, age 6 and under, are most likely to come
into contact with dust.
(NOTE: Sampling and testing methodologies are prescribed by the U.S. EPA
under 40 CFR 745.227(a)(3).)
Verify that a lead hazard screen report is produced which contains the following:
- date of each screening
- address of building
- date of construction
- apartment numbers (if applicable)
-name, address, and telephone number of the owner or owners of each
residential dwelling or child-occupied facility
- name, signature, and certification number of each risk assessor conducting
testing
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
- name, address, and telephone number of the certified firm employing each
risk assessor, if applicable
-name, address, and telephone number of each recognized laboratory
conducting analysis of collected samples
- results of the visual inspection
- each testing method and device and/or sampling procedures employed for
paint analysis
- specific location of each painted component tested for the presence of LBP
- all data collected from onsite testing, including quality control data and, if
used, the serial number of any XRF device all results of laboratory analysis
on collected paint, soil, and dust samples
- any other sampling results
- any background information
- recommendations.
Verify that any paint chip, dust, or soil samples collected are collected by persons
certified by the U.S. EPA and analyzed by a U.S. EPA recognized laboratory.
TT.350.3. Risk assessments
are required to be done
according to specific
methodologies (40 CFR
745.227(a)(l), 745.227(d).
and745.227(f)).
(NOTE: These requirements are effective as of March 1, 2000.)
Verify that risk assessments are only done by a person certified by the U.S. EPA
as a risk assessor.
Verify that risk assessments were performed according to a documented
methodology (documented methodologies that are appropriate for this task are
listed in 40 CFR 745.227(a)(3)), and include:
-background information is collected on the physical characteristics of the
residential dwelling or child-occupied facility and occupant use patterns that
may cause LBP exposure to one or more children age 6 yr or under
- a visual inspection of the residential dwelling or child-occupied facility is
conducted to determine if deteriorated paint is present, assess the extent and
causes of deterioration, and other potential LBP hazards
- each surface with deteriorated paint which is determined, using documented
methodologies, to be in poor condition and to have a distinct painting history
is tested for the presence of lead
- surfaces determined, using documented methodologies, to be a potential LBP
hazard and having a distinct painting history are tested for lead
-in residential dwelling dust samples (either composite or single surface
samples) are collected from the floors the windows in all living areas where
one or more children age 6 and under are most likely to come in contact with
dust
- in multi-family dwellings and child-occupied facilities in addition to floor
and window samples, dust samples (either composite or single surface) are
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
collected from common areas adjacent to the sample residential dwelling or
child- occupied facility and other common areas where one or more children,
age 6 and under, are likely to come into contact with dust
-for child occupied facilities, window and floor dust samples (either
composite or single surface samples) are collected in each room, hallway, or
stairwell utilized by one or more children age 6 and under, and in other
common areas in the child-occupied facility where one or more children, age
6 and under, are likely to come into contact with dust
-soil samples are collected and analyzed for lead concentration in exterior
play areas where bare soil is present and dripline/foundation areas where
bare soil is present.
(NOTE: Sampling and testing methodologies are prescribed by the U.S. EPA.)
Verify that a risk assessment report is produced which contains the following:
- date of assessment
- address of building
- date of construction
- apartment numbers (if applicable)
-name, address, and telephone number of the owner or owners of each
building
- name, signature, and certification number of each risk assessor conducting
testing
- name, address, and telephone number of the certified firm employing each
risk assessor, if applicable
-name, address, and telephone number of each recognized laboratory
conducting analysis of collected samples
- results of the visual inspection
- each testing method and device and/or sampling procedures employed for
paint analysis
- specific location of each painted component tested for the presence of LBP
- all data collected from onsite testing, including quality control data and, if
used, the serial number of any XRF device
- all results of laboratory analysis on collected paint, soil, and dust samples
- any other sampling results
- any background information
- results of previous inspections or analyses to the extent they are used as a
part of the hazard determination
-a description of the location,, type, and severity of identified LBP hazards
and any other potential lead hazards
- a description of interim controls and/or abatement options for each identified
LBP hazard and a suggested prioritization for addressing each hazard.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that, if the report suggests using encapsulation or enclosure, a maintenance
schedule and monitoring schedule is recommended in the report.
Verify that any paint chip, dust, or soil samples collected are collected by persons
certified by the U.S. EPA and analyzed by a U.S. EPA recognized laboratory.
TT.350.4. LBP abatement is
required to be done according
to specific methodologies (40
CFR 745.227(a)(l),
745.227(e), and 745.227(f)).
(NOTE: These requirements are effective as of March 1, 2000.)
Verify that each abatement project has a certified supervisor that is onsite during
all work site preparation and during the post-abatement cleanup of work areas.
Verify that, when abatement activities are being conducted, the supervisor is either
onsite or available by telephone, pager, or answering service and able to be present
at the work site in not more than 2 h.
Verify that the U.S. EPA was notified prior to the start of abatement activities.
Verify that a written occupant protection plan was developed for all projects
describing the measures and management procedures that will be taken during the
abatement to protect the building occupants from LBP exposure and is unique to
each dwelling and each child occupied facility.
Verify that any paint chip, dust, or soil samples collected are collected by persons
certified by the U.S. EPA and analyzed by a U.S. EPA recognized laboratory.
Verify that the occupant protection plan was prepared by a certified supervisor or
project designer.
Verify that the following constraints are followed during the abatement:
- there is no open-flame burning or torching of LBP
- machine sanding or grinding or abrasive blasting of LBP is not done unless
used with HEP A exhaust control which removes particles of 0.3 microns or
larger from the area at 99.97 percent or greater efficiency
-dry scrapings are done only in conjunction with heat guns or around
electrical outlets or when treating defective paint spots totaling no more than
2 ft2 in any one room, hallway or stairwell or totaling no more than 20 ft2 on
exterior surfaces
- operating a heat gun on LBP is done only at temperatures below 1100 °F.
Verify that soil abatement is done by either replacing the soil with soil that is not
lead contaminated or permanently covering it.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that the following post-abatement procedures are performed by a certified
inspector or risk assessor in accordance with 40 CFR 745.223:
- a visual inspection to determine if deteriorated paint and visible dust, debris,
or residue are present
- elimination of deteriorated paint and visible dust, debris, or residue before
clearance continues
- clearance sampling for lead contaminated dust are taken a minimum of 1 h
after completion of final post-abatement cleanup activities.
- when there has been containment between abated and unabated areas, one
dust sample is taken from one window (if available) and one dust sample
from the floor of no less than four rooms (or all such spaces if there are fewer
than four rooms), hallways, or stairwells within the containment area
- when there has been containment between abated and unabated areas, one
dust sample is taken from the floor outside the containment area
-when there has been no containment, two dust samples (one dust sample
from one window and one from the floor) are taken from no less than four
rooms (or all such spaces if there are fewer than four rooms), hallways, or
stairwells in the residential dwelling or child-occupied facility
- for an exterior paint abatement, a visible inspection is performed to identify
dust and paint chips.
Verify that residual lead levels from each dust sample are compared with
applicable clearance levels for lead in dust on floors and windows and if the
residual level exceed the clearance levels, all components represented by the failed
test are recleaned and retested.
(NOTE: In a multi-family dwelling with similarly constructed and maintained
residential dwelling, random sampling for the purpose of clearance may be done
if:
- the certified individuals who abate or clean the residential dwelling do not
know which residential dwellings will be selected for random sampling
-a sufficient number of residential dwellings are selected to provide a 95
percent level of confidence that no more than 5 percent or 50 of the
residential dwellings (whichever is smaller) in the randomly sampled
population exceed the appropriate clearance levels.)
Verify that an abatement report is prepared by a certified supervisor or project
designer and contains the following information:
- start and completion dates
- the name and address of each certified firm conducting the abatement and the
name of each supervisor assigned to the abatement project
- the occupant protection plan
- the name, address, and signature of each certified risk assessor or inspector
conducting clearance sampling and the date of clearance testing
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
COMPLIANCE CATEGORY:
PCBs, ASBESTOS, AND LBP MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
- the results of clearance testing and all soil analyses and the name of each
recognized laboratory that conducted the analyses
- a detailed written description of the abatement, including abatement methods
used, locations of rooms and/or components where abatement occurred,
reason for selecting particular abatement methods for each component, and
any suggested monitoring or encapsulants or enclosures.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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based Paint Regulated under TSCA
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This document is intended solely for guidance. No statutory or regulatory 200
requirements are in any way altered by any statement(s) contained herein.
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Facilities with PCBs, Asbestos, and Lead-Based Paint Regulated
under TSCA
Appendix A:
Polychlorinated Biphenyl (PCB) Label Format (40 CFR 761.45)
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based Paint Regulated under TSCA
Polychlorinated Biphenyl (PCB) Label Format
(40 CFR 761.45)
CAUTION
Contains
PCBS
(Polychlorinated Biphenyls)
A toxic environmental contaminant requiring
special handling and disposal in accordance with
U.S. Environmental Protection Agency Regulations
40 CFR 761 — For disposal information contact
the nearest U.S. U.S. EPA Office
In case of accident or spill, call toll free the U.S.
Coast Guard National Response Center
800-424-8802
Also Contact:
Tel No.
(NOTE: See the text of 40 CFR 761.45 for details on the exact measurements of the label.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Al
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based Paint Regulated under TSCA
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This document is intended solely for guidance. No statutory or regulatory A2
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Protocol for Conducting Environmental Compliance Audits at
Facilities with PCBs, Asbestos, and Lead-Based Paint Regulated
under TSCA
Appendix B:
Dielectric Fluid Trend Names and Manufacturers
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Dielectric Fluid Trend Names and Manufacturers
1. U.S. Manufactured Dielectrics:
Name
Apirilio
Aroclor
Aroclor B
Asbestol
Asbestol
Askarel Hevi-Duty
Askarel *
Askarel
Askarel
Askarel
Askarel
Askarel
Askarel
Chlorextol
Chlorinol
Chlorinol
Chlorinol
Chlorinol
Chlorphen
Diaclor
Dykanol
Dykanol
EEC-18
EEC-18
Elemex
Manufacturer
York Electronics
Monsanto
P.R. Mallory and Co.
Axel Electronics
American Corporation
Hevi-Duty Corporation
Ferranti-Packard,Ltd.
Research-Cottrell
Universal Mfg. Corp.
Van Tran Electric
ESCO Mfg. Co.
Niagara Transformer Corp.
Universal Mfg. Co.
Allis-Chalmers
Stens Magnetics
Tobe Deutschmann Labs
Standard Transformer Co.
Sprague Electric Co.
Jard Company
Sangamo Electric
Cornell Dubilier
Dings Co.
Power Zone Transformer
Niagara Transformer Corp.
Maloney Electric
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Bl
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Name
Elemex
Eucarel
Eucarel
Eucarel
Eucarel
Hyvol
Inclor
Inerteen
Inerteen
Kaneclor
Nepolin
No-Flamol
Non-Flammable Liquid
Phyralene
Phyralene
Phyralene
Pydraul
Pyranol
Pyranol
Pyranol
Pyranol
Pyranol
Saf-T-Kuhl
Santovac 1 and 2
Therminol
* Generic name used for insulating
Manufacturer
McGraw Edison
Electric Utilities Co.
Electro Engineering Works
Electromagnetic Filter Co.
Envirotech Buell
Aerovox
Capacitor Specialities
York Electronics
Westinghouse Electric
York Electronics
York Electronics
Wagner Electric
ITE Circuit Breaker
Reliance Electric Co.
R.F. Interonics
R.C. Uptegaff
Monsanto
Geneva Industries
H.K. Porter
Helena Corp.
General Electric
Eriez Magnets
Kuhlman Electric
Monsanto
Monsanto
; liquids in capacitors and transformers.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
2. Foreign Manufactured Dielectrics:
Name Manufacturer
Aroclor Monsanto (UK)
Clophen Bayer (Germany)
Dk Caffaro (Italy)
Fenclor Caffaro (Italy)
Inclor Caffaro (Italy)
Inclor Chemko (Czechoslovakia)
Kennechlor Kanegafuchi (Japan)
Phenoclor Prodelec (France)
Phyralene Prodelec (France)
Pyroclor Monsanto (UK/Europe)
Santotherm FR Monsanto (UK/Japan)
Solvol USSR
3. Transformers that list other dielectrics or do not bear a manufacturer's identification or service plate on
the transformer: if the transformer contains any of the dielectrics (commonly referred to as askarels), it is
to be certified as a PCB Transformer containing in excess of 500 ppm PCB and no laboratory testing is
necessary.
This document is intended solely for guidance. No statutory or regulatory B3
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
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This document is intended solely for guidance. No statutory or regulatory B4
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Protocol for Conducting Environmental Compliance Audits at
Facilities with PCBs, Asbestos, and Lead-Based Paint Regulated
under TSCA
Appendix C:
Self-implementing On-site Cleanup and Disposal of Polychlorinated
Biphenyl (PCB) Remediation Waste: Cleanup Levels and Site
Cleanup (40 CFR 761.61(a)(4) and 761.61(a)(5))
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Self-implementing On-site Cleanup and Disposal of Polychlorinated Biphenyl (PCB)
Remediation Waste: Cleanup Levels and Site Cleanup
(40 CFR 761.61(a)(4) and 761.61(a)(5))
Cleanup Levels
Cleanup levels are based on the kind of material and the potential exposure to PCBs left after cleanup is completed.
Bulk PCB remediation waste includes, but is not limited to, the following non-liquid PCB remediation waste: soil,
sediments, dredged materials, muds, PCB sewage sludge, and industrial sludge.
- The cleanup level for bulk PCB remediation waste in high occupancy areas is 1 ppm
and 25 ppm and 25 ppm and
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
- A non-chlorinated solvent is used.
- The process occurs at ambient temperature.
- The process is not exothermic.
- The process uses no external heat.
- The process has secondary containment to prevent any solvent from being released to the underlying or
surrounding soils or surface waters.
- Solvent disposal, recovery, and/or reuse is in accordance with relevant provisions of issued approvals.
Bulk PCB remediation waste may be sent offsite for decontamination or disposal provided the waste is either
dewatered onsite or transported offsite in containers meeting the requirements of the DOT Hazardous Materials
Regulations (HMR) at 49 CFR 171 through 180.
Removed water shall be disposed of as PCB liquid.
Offsite disposal of dewatered bulk PCB remediation waste shall be done as follows:
- Unless sampled and analyzed for disposal, the bulk PCB remediation waste shall be assumed to contain
>/=50ppmPCBs.
- Bulk PCB remediation wastes with a PCB concentration of <50 ppm shall be disposed of in a facility
permitted, licensed, or registered by a state to manage municipal solid waste
- Bulk PCB remediation wastes with a PCB concentration >/= 50 ppm shall be disposed of in a hazardous
waste landfill permitted by U.S. EPA under section 3004 of RCRA, or by a state authorized under section
3006 of RCRA, or a PCB disposal facility approved under 40 CFR 761.
-Provide written notice, including the quantity to be shipped and highest concentration of PCBs (using
extraction U.S. EPA Method 3500B/3540C or Method 3500B/3550B followed by chemical analysis using
U.S. EPA Method 8082 in SW-846 or methods validated under Subpart Q of 40 CFR 761) at least 15
days before the first shipment of bulk PCB remediation waste from each cleanup site by the generator, to
each offsite facility where the waste is destined for an area not subject to a TSCA PCB Disposal
Approval.
Non-porous surfaces.
PCB remediation waste non-porous surfaces shall be cleaned onsite or offsite for disposal onsite, disposal offsite, or
use, as follows:
- For onsite disposal, non-porous surfaces shall be cleaned onsite or offsite to the levels required under 40
CFR 761.61(a)(4)(ii) using:
-Procedures approved under 40 CFR 761.79
- Technologies approved under 40 CFR 761.60(e)
-Procedures or technologies approved under 40 CFR 761.61(c) disposal approval
For offsite disposal, non-porous surfaces:
-Having surface concentrations <100 |j,g/100 cm2 shall be disposed of in accordance with
761.61(a)(5)(i)(B)(2)(ii). Metal surfaces may be thermally decontaminated in accordance with 40 CFR
761.79(c)(6)(i).
-Having surface concentrations >/= 100 |j,g/100 cm2 shall be disposed of in a hazardous waste landfill
permitted by U.S. EPA under section 3004 of RCRA, by a state authorized under section 3006 of RCRA,
or a PCB disposal facility approved under 40 CFR 761. Metal surfaces may be thermally decontaminated
in accordance with 40 CFR 761.79(c)(6)(ii).
For use, non-porous surfaces shall be decontaminated onsite or offsite to the standards specified in 40 CFR
761.79(b)(3) or in accordance with 40 CFR 761.79(c).
Porous surfaces.
Porous surfaces shall be disposed onsite or offsite as bulk PCB remediation waste according to 40 CFR
761.61(a)(5)(i) or decontaminated for use according to 40 CFR 761.79(b)(4) as applicable.
This document is intended solely for guidance. No statutory or regulatory C2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Liquids.
Any person disposing of liquid PCB remediation waste shall either:
-Decontaminate the waste to the levels specified in 40 CFR 761.79(b)(l) or 761.79(b)(2)
- Dispose of the waste in accordance with paragraph (b) of 40 CFR 761.61 or an approval issued under
paragraph (c) of 40 CFR 761.61.
Cleanup wastes.
Any person generating the following wastes during and from the cleanup of PCB remediation waste shall dispose of
or reuse them using one of the following methods:
- Non-liquid cleaning materials and personal protective equipment waste at any concentration, including
non-porous surfaces and other non-liquid materials such as rags, gloves, booties, other disposable
personal protective equipment, and similar materials resulting from cleanup activities shall either be
decontaminated in accordance with 40 CFR761.79(b) or761.79(c) or be disposed of in: a facility
permitted, licensed, or registered by a state to manage municipal solid waste subject to 40 CFR 258; or a
facility permitted, licensed, or registered by a state to manage non-municipal non-hazardous waste subject
to 40 CFR 257.5 through 257.30; a hazardous waste landfill permitted by U.S. EPA or a state under
section 3006 of RCRA to accept PCB waste; or a PCB disposal facility approved under 40 CFR 761.
Cleaning solvents, abrasives, and equipment may be reused after decontamination in accordance with 40 CFR
761.79.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
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This document is intended solely for guidance. No statutory or regulatory C4
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits at
Facilities with PCBs, Asbestos, and Lead-Based Paint Regulated
under TSCA
Appendix D:
Polychlorinated Biphenyl (PCB) Wastes Disposal Guidance
(40 CFR 761.50(b))
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based Paint Regulated under TSCA
Polychlorinated Biphenyl (PCB) Wastes Disposal Guidance
(40 CFR 761.50(b))
Waste
Applicable Standard
Checklist Item
number
PCB liquids
Disposal - 40 CFR 761.60(a)
TT. 130.2, TT. 150.2,
TT.150.3, TT.150.14,
and TT. 150.15
PCB Item containing an intact and non-leaking PCB
Article
Decontamination - 40 CFR 761.79
Disposal - 40 CFR 761.60(b)
TT. 160.1 through
TT. 160.6
TT. 10.4, TT.150.3
through TT. 150.7,
TT.150.13
PCB Item containing a PCB Article which is not intact
and non-leaking
Decontamination - 40 CFR 761.79
Disposal - 40 CFR 761.62(a) or
761.62(c)
TT. 160.1 through
TT. 160.6
TT. 150.10 and
TT.150.11
Fluorescent light ballasts containing PCBs only in an Disposal - 40 CFR 761.60(b)(2)(ii) TT. 150.13
intact and non-leaking PCB Small Capacitor
Fluorescent light ballasts containing PCBs in the potting Disposal - 40 CFR 761.60(b)(6)(iii) TT. 150.13
material
PCB Remediation Waste, including PCB sewage sludge Cleanup and Disposal - 40 CFR 761.61 TT. 120.5, TT. 120.6,
TT. 130.1 through
TT.130.3, TT.150.14
PCB Bulk Product Waste
PCB Household Waste
PCB R&D Waste
Disposal-40 CFR 761.62
Disposal - 40 CFR 761.63
Disposal-40 CFR 761.64
TT. 150.10 and
TT.150.11
TT. 110.8 and
TT.150.12
TT.150.16
PCB/Radioactive Waste
Disposal must be done taking into
account both its PCB concentration and
radioactive properties
Porous Surfaces on which PCBs have been spilled and Disposal - 40 CFR 761.61(a)(5)(iii)
meeting the definition of remediation waste.
TT.130.1
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Dl
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint Regulated under TSCA
Waste Applicable Standard Checklist Item
number
Porous surfaces which are part of manufactured non- Disposal -40 CFR761.62 TT.150.10 and
liquid products containing PCBs and meeting the TT. 150.11
definition of PCB bulk product waste
Concrete surfaces on which PCBs have been spilled Decontamination - 40 CFR TT. 160.1
761.79(b)(4) is started within 72 h of
the initial spill
Porous non-liquid PCBs in contact with non-porous Decontaminate -40 CFR761.79(b)(3) TT. 160.1
surfaces, such as underground metal fuel tanks coated for purposes of unrestricted use or
with fire retardent resin or pitch. disposal in a smelter.
This document is intended solely for guidance. No statutory or regulatory D2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits at
Facilities with PCBs, Asbestos, and Lead-Based Paint Regulated
under TSCA
Appendix E:
Respiratory Protection for Asbestos Fibers
(40 CFR 763.121(h)(2)(iv))
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint under TSCA
Respiratory Protection for Asbestos Fibers
(40 CFR 763.121(h)(2)(iv))
Airborne concentration of asbestos
Required respirator
Not in excess of 2 f/cc (10 x PEL).
Not in excess of 10 f/cc (50 x PEL).
Not in excess of 20 f/cc (100 x PEL)
1. Half-mask air-purifying respirator other
than disposable respirator equipped with
high-efficiency filters.
1. Full facepiece air-purifying respirator
equipped with high-efficiency filters.
1. Any powered air-purifying respirator
equipped with high-efficiency filters.
2. Any supplied-air respirator operated in
continuous flow mode.
Not in excess of 200 f/cc (1,000 x PEL).
> 200 f/cc (>1,000 x PEL) or
unknown concentration.
1. Full facepiece supplied-air respirator
operated in pressure demand mode.
1. Full facepiece supplied air respirator
operated in pressure demand mode
equipped with an auxiliary positive pressure
serf-contained breathing apparatus.
Note: a. Respirators assigned for higher environmental concentrations may be used at lower concentrations.
b. A high-efficiency filter means a filter that is at least 99.97 percent efficient against mono-dispersed particles
of 0.3 micrometers in diameter or larger.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
El
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Protocol for Conducting Environmental Compliance Audits of Facilities with PCBs, Asbestos, and Lead-
based Paint under TSCA
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This document is intended solely for guidance. No statutory or regulatory E2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits at
Facilities with PCBs, Asbestos, and Lead-Based Paint Regulated
under TSCA
Appendix F:
User Satisfaction Questionnaire and Comment Form
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User Satisfaction Survey
(OMB Approval No. 1860.01)
Expires 9/30/2001
We would like to know if this Audit Protocol provides you with useful information. This information
will be used by EPA to measure the success of this tool in providing compliance assistance and to
determine future applications and needs for regulatory checklists and auditing materials.
1. Please indicate which Protocol(s) this survey applies to:
Title:
EPA Document Number:
2. Overall, did you find the Protocol helpful for conducting audits:
Yes No
If not, what areas of the document are difficult to understand?
3. How would you rate the usefulness of the Protocol(s) for conducting compliance audits on a
scale of 1-5?
1 = not useful or effective, 3 = somewhat useful/effective, 5 = very useful/effective
Low Medium High
12345 Introduction Section
12345 Key Compliance Requirements
12345 Key Terms and Definitions
12345 Checklist
4. What actions do you intend to take as a result of using the protocol and/or conducting the audit?
Please check all that apply.
Contact a regulatory agency
Contact a compliance assisstance provider (e.g., trade association, state agency, EPA)
Contact a vendor
Disclose violations discovered during the audit under EPA's audit Policy
Disclose violations discovered under EPA's Small Business Policy
Obtain a permit or certification
Change the handling of a waste, emission or pollutant
Change a process or practice
Purchase new process equipment
Install emission control equipment (e.g., scrubbers, wastewater treatment)
Install waste treatment system (control technique)
Implement or improve pollution prevention practices (e.g., source reduction, recycling)
Improve organizational auditing program
Institute an Environmental Management System
Improve the existing Environmental Management System (e.g., improve training, clarify standard
operating procedures, etc.)
Other
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5. What, if any, environmental improvements will result from the actions to be taken (check all that
apply)?
reduced emissions
waste reduction
reduced risk to human health and the environment due to better management practices
reduced quantity and toxicity of raw materials
water conservation
energy conservation
conserved raw materials
conservation of habitat or other environmental stewardship practice:
other:
no environmental improvements are likely to result from the use of this document
6. How did you hear about this document?
trade association
state technical assistance provider
EPA internet homepage or website
document catalog
co-worker or business associate
EPA, state, or local regulator
other (please specify)
7. In order to understand your response, we would like to know what function you perform with respect
to environmental compliance and the size of your organization.
Company Personnel Trade Association Compliance Assistance
Environmental Auditor National Provider
Corporate Level Regional EPA
Plant-level Local State
Legal Manager State Small Business
Environmental Manager Information Specialist Assistance
Operator - (e.g., Local
Pollution Control Other
Equipment
Other:
Regulatory Personnel Vendor/Consultant
State Environmental Auditor
Local Environmental
EPA Engineer/Scientist
Attorney
How many employees are located at your facility (including full-time contractors?)
0-9 10-49 50-100 101-500 More than 500
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Optional (Please Print)
Name: Address:
Title: City: State:
Zip code:
Organization Name:
Phone: ( ) E-mail:
Please return all pages (1 thru 3) of this survey by folding pages 1 and 2 into page 3 and using the preprinted, pre-
stamped address on the reverse side of page 3. If you have accessed this document electronically from one of EPA's
web sites, simply e-mail this questionnaire to: satterfield.richard(@,epa.gov.
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