, United States
^Environmental Protection
Agency
OPA 129/9
August 1979
Inspecting
Records
Penalties
EPA's inspections of company records will
be conducted in a manner which will cause
the least possible inconvenience to the
company. Inspections will be sought only
at "reasonable times," or when the pro-
ducer is ordinarily open for business. EPA
is well aware that some of the records it
requires to be kept are, for a variety of
reasons, particularly sensitive. EPA inspec-
tors will examine these records only with
the prior approval of the appropriate EPA
Regional Administrator or his designated
representative. This provision covers:
(1) the formula of an unregistered product,
a product for which no registration applica-
tion has been filed, or one not being pro-
duced under an experimental use permit;
(2) the specifications or directions of a
foreign purchaser of pesticides or devices
produced solely for export; (3) records
of tests conducted on humans; and
(4) research data on registered pesticides.
The failure to keep the required records or
refusal to grant records access to a duly
authorized inspector is punishable by civil
or criminal penalties. Generally, any regis-
trant, commercial applicator, wholesaler,
dealer, retailer, or other distributor who
violates the pesticides law may be assessed
a civil penalty up to $5,000 for each
offense. Registrants, commercial applicators,
wholesalers, dealers, retailers, or other
distributors who knowingly violate the law
may be fined up to $25,000, or imprisoned
for up to one year, or both.
Distributors, Although distributors, dealers and carriers
rtanlnrtt nnrl are not required to keep any records under
ueaierv, ana Section 8 of tne Act tney must allow
Carriers access to and copying- of any records that
they do keep which pertain to the quantity,
date of shipment and receipt of any pesti-
cides or devices, names and addresses of
consignors and consignees, and any guar-
antees received. If a distributor or dealer
cannot furnish the requested records, he
must supply any other papers which con-
tain the same information. Dealers and dis-
tributors are not required to keep or permit
access to any records relating to financial
data, sales data other than shipping data,
personnel data, and research data other
than that relating to registered pesticides.
The record keeping requirements of the
pesticide law are comparatively simple. But
they are essential to EPA's efforts to retain
the benefits of pesticides while protecting
man and his environment from harm.
EPA is charged by Congress to protect the Nation's land, air and water
systems. Under a mandate of national environmental laws focused on air
and watei quality, solid waste management and the control of toxic
substances, pesticides, noise and radiation, the Agency strives to formulate
and implement actions which lead to a compatible balance between human
activities and the ability of natural systems to support and nurture life.
Office of Enforcement
If you have suggestions, questions
or requests for further information, they
may be directed to your nearest
EPA Regional public information office.
EPA Region 1 JFK
Federal Bldg. Boston
MA 02203 Connec-
ticut, Maine. Massachu-
setts, New Hampshire,
Rhode Island, Vermont
617-223-7223
EPA Region 2 26
Federal Plaza New
York NY 10007* New
Jersey. New York, Puer-
to Rico, Virgin Islands
212-264-2515
EPA Region 3 6th
and Walnut Streets
Philadelphia PA 19106
Delaware, Maryland,
Pennsylvania, Virginia,
West Virginia, District of
Columbia
215-597-4081
EPA Region 4 345
Courtland Street NE
Atlanta GA 30308
Alabama, Georgia,
Florida, Mississippi,
North Carolina, South
Carolina, Tennessee,
Kentucky
404-881-3004
EPA Region 5* 230 S.
Dearborn Chicago IL
606O4 Illinois, Indiana,
Ohio, Michigan, Wiscon-
sin, Minnesota
312-353-2072
EPA Region 6* 1201
Elm Street Dallas TX
75270 Arkansas. Loui-
siana, Oklahoma, Texas,
New Mexico
214-767-2630
EPA Region 7 324
East 11th Street*
Kansas City MO
64106 Iowa. Kansas.
Missouri. Nebraska
816-374-6201
EPA Region 8* 1860
Lincoln Street
Denver CO 80295 Col-
orado. Utah, Wyoming,
Montana, North Dakota,
South Dakota
303-837-3878
EPA Region 9. 215
Fremont Street San
Francisco CA 94105
Arizona, California, Hawaii.
Nevada. Pacific Islands
.415-556-1840
EPA Region 10* 1200
Sixth Avenue Seattle
WA98101 'Alaska.
Idaho. Oregon, Washing-
ton 206-442-1203
Keeping the
Pesticides
Records
Straight
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Pesticide
Records
Chemicals have been used for a long time
to control the multitude of pests that
plague mankind. Over the years several
hundred basic chemicals have been devel-
oped and marketed in thousands of dif-
ferent formulations to try to get rid of, or
at least control, unwanted insects, plants,
fungus growths, soil nematodes, small
mammals and other pests.
Without question, pesticides have pro-
duced substantial benefits all over the
world. They have helped increase food pro-
duction and control fatal diseases such as
malaria and encephalitis. But, beneficial as
they are, many pesticides are toxic to the
human species as well as other forms of
life.
Recognizing that the benefits of pesti-
cides were not being gained without risk.
Congress amended the Federal Insecticide,
Fungicide and Rodenticide Act in 1972, in
1975 and again in 1978 to give the U.S.
Environmental Protection Agency broad
new authority to regulate pesticide produc-
tion and use. Today all pesticides intended
for sale in the United States must be
registered with EPA. The old law covered
only pesticides sold in interstate commerce.
Records
The new law gives EPA the authority to
require producers of pesticides, producers
of active ingredients used in producing a
pesticide subject to the act and producers
of pesticide devices, to maintain certain
records. In September 1974 EPA promul-
gated regulations which specify the scope
and type of records which have to be kept,
the length of time they have to be retained,
and the procedures EPA will use to inspect
certain sensitive records. The Agency has
imposed only such record keeping require-
ments as are essential to current enforce-
ment responsibilities. Therefore, .as long as
the records provide EPA with all informa-
tion necessary to track defective or unsafe
products when necessary, the records may
be kept in whatever manner best suits the
company. Computerized or centralized
record-keeping systems are fully accept-
able. These records should also help pro-
ducers prepare the reports which must be
filed annually with the EPA.
Production
Most of the required records pertain to
production, batch identification, quantity,
inventory, and shipments. The following
records of pesticides, pesticide active ingredi-
ents, and pesticide devices must be set up
and retained for two years:
For each pesticide or active ingredient
produced: product name; EPA registration
number; experimental permit number (if any);
batch identification; and the amount (weight
or volume) per batch. .
For each device manufactured: brand
name and quantity.
For each shipment: brand name of prod-
uct; quantity; name and address of con-
signee; name of the originating carrier; and
the date shipped or delivered for shipment.
For each shipment received: brand
name; quantity; date received; name and
address of shipper; and name of the deliv-
ering carrier.
Shipping records must be kept even if
the shipment is between plants owned or
controlled by the same person. It is not,
however, necessary for producers to keep
records of products used in internal
maintenance, extermination or sanitation
programs. For EPA purposes, it is only
necessary to retain the latest inventory
records.
Disposal,
Testing
and Research
EPA also requires records to be maintained
on the disposal of all pesticides,'pesticide
active ingredients, and' pesticide containers,
testing on humans, adverse environmental
effects, as well as research data. This infor-
mation will help EPA identify pesticides which
may harm man or the natural environment.
Because of the possibility of long-term
impacts, records of disposal and human
testing must be kept for 20 years. EPA
recognizes that such a long retention period
could cause storage problems. Although
companies are required to keep physical
custody of these records for at least three
years, if desired, the firm may then transfer
the records to the appropriate EPA Regional
Office.
Pesticides disposal records must include
the types and amounts of pesticides dis-
posed of, the methods of disposal, the
location of disposal sites and the dates of
disposal. It is not necessary to keep detailed
records on the disposal of pesticide con-
tainers. If a company follows a standard
container disposal procedure, EPA will
accept a statement from a responsible com-
pany official indicating how and where
disposal takes place. From then on, it is
only necessary to record any deviations
from the standard procedure.
Disposal of pesticides and pesticide con-
tainers poses not only a potential short
term danger to the environment, but also
potential long term hazards including the
contamination of drinking water. Mainte-
nance of disposal records can help prevent
these hazards. For example, if there is
evidence of pesticide contamination of a
stream or drinking water supply, a review
of disposal records might indicate the
source, and corrective measures could be
taken. Maintenance of disposal records
should also make it possible to avoid
inadvertent disturbance of disposal sites by
future construction.
It is, of course, illegal to test the effects
of pesticides on humans unless the individ-
uals have volunteered and have been fully
informed of the nature and purpose of the
test and of any reasonably foreseeable
physical or mental health consequences.
Records of pesticide testing conducted on
humans by a pesticide producer, or on his
behalf, must include: type and date(s) of
test; name and address of subjects; the
written consent of each subject; a copy of
all information and instructions given to the
subjects regarding the nature and purpose
of the test; any physical or mental health
consequences which were reasonably fore-
seen therefrom; and any adverse effects on
the subjects, including any which may
come to the producer's attention after the
test has been completed.
Adverse
Effects
Producers of pesticides and pesticide active
ingredients must keep a record of any unrea-
sonable adverse effects their products have on
humans, animals, plants, air, water, land or
other elements of the environment. EPA needs
these records to help monitor potential
pesticide hazards. These records will also help
determine whether a registered pesticide
should be suspended, cancelled or its classifi
cation changed. In the event a producer
obtains information of unreasonable adverse
effects after the pesticide has been registered
with EPA, that information must be reported
promptly to EPA. Producers must keep a
record of these effects for as long as the
registration is valid and the producer
remains in business, or for two years after
submitting the information to EPA.
Research
Records must be kept on the research con-
ducted on registered pesticides for as long
as the registration is valid and the producer
is in business.
Advertising
EPA will monitor advertising for pesticide
products to ensure that the product's use
and effectiveness is being properly
described. Producers are required to keep
for two years copies of all domestic adver-
tisingincluding radio and television
scriptsof restricted-use pesticides.
Guarantees
A copy of each product guarantee must be
retained for one year after the expiration of
the guarantee.
Exports
EPA is proposing to require producers to
keep copies of labeling used on exported
pesticides and devices, as well as copies of
the acknowledgement statements required
from foreign purchasers of unregistered
pesticides per FIFRA Section 17(a). Also,
these record keeping requirements are ex-
tended to producers of active ingredients
used in producing pesticides. The require-
ment that the producer must keep on file a
copy of the foreign purchaser's specifica-
tions or directions for two years after the
expiration of the contract remains in effect.
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