Toxic Substances Control Act
INSPECTION MANUAL
U.S. Environmental Protection Agency
Volume 1
and
Volume 2
r^
VJ } Government Institutes, Inc.
, i^^Lx
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Toxic Substances Control Act
INSPECTION MANUAL
U.S. Environmental Protection Agency
Volume 1
and
Volume 2
Government Institutes, Inc.
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PUBLISHER'S NOTE
This publication was prepared by the U.S. Environmental Protection^Agency for use
within the agency. We decided that it contained information of interest to parties
outside EPA so we undertook, on our own, to reproduce this'material in order to
serve those desiring the information.
This publication is designed to provide accurate and authoritative information with
regard to the subject matter covered. It is sold with the understanding that the
publisher is not engaged in rendering legal, accounting or other professional service.
If legal advice or other expert assistance is required, the services of a competent
professional person should be sought - From a Declaration of Principles jointly
adopted by a Committee of the American Bar Association and a Committee of
Publishers.
Publication of this book does not signify that the contents necessarily reflect the
views and policies of Government Institutes, Inc.
April 1982
Published by
Government Institutes, Inc.
966 Hungerford Drive, #24
Rockville, MD 20850
U.S.A.
Printed and bound in the United States of America
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FOREWORD
The U.S. Environmental Protection Agency Toxic Substances Control Act Inspection
Manual has been developed to support inspection personnel in conducting the complex
field inspections that are fundamental to TSCA enforcement. The manual has been
designed as a series of separate, coordinated volumes to reflect the complexity and
diversity of the TSCA mandate and to accommodate expansion as new rules and
enforcement programs are developed. This format was created to provide a base
manual for general TSCA inspection information and a complementary series of
volumes relating to the specific substances or rules developed under TSCA.
• Volume One: TSCA Base Manual introduces TSCA and provides general
information relating to the Act. Inspector authorities and responsibilities
are discussed along with the elements and scope of TSCA inspections.
Procedures which are common to all TSCA inspections are outlined in
detail: Pre-Inspection Preparation, Entry, Opening Conference, Records
Inspection, Documentary Support, Sampling, Chain of Custody, Safety,
Closing Conference, and Report Preparation. Special procedures are
listed, and all TSCA forms are presented and explained. Information is
also included on data systems, warrants, shipping samples, and testifying
in court.
• Volume Two: PCB Inspection Manual supplements Volume One and pro-
vides the specific information necessary for conducting a comprehensive
inspection for PCBs. An Enforcement Strategy details EPA plans for PCB
inspection and provides an overview of the regulation. Inspecting, sam-
pling, and reporting procedures for PCBs in specific industries are
provided.
• Volume Three and Ensuing Volumes will be developed as rules are promul-
gated and will follow a format similar to Volume Two. Each will deal
with information relating to specific rules or substances and will comple-
ment Volume One. As of our publication date it was believed that
additional volumes would be released in late 1982 or 1983.
Objectives of Volume One
The overall aim of the TSCA Inspection Manual is to provide clear, straightforward
information in support of field inspection activities. The specific objectives incor-
porated into Volume One are:
• To provide a synopsis of the purpose, scope, and contents of the Act, and
to provide a general overview of the elements of TSCA inspections, and
inspector authorities and responsibilities.
• To provide detailed, standard procedures for inspecting under TSCA.
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To provide easily accessible inspection information which, in combination
with any of the substance-specific Volumes, will form a complete,
comprehensive inspection manual.
To provide a basis for general training of new inspection personnel on
TSCA inspection procedures and policies.
Using the Manual
The manual format has been designed to present the material clearly and concisely
and to allow the user to quickly locate specific information.
Volume One is organized into seven chapters, each of which contains several
sections. (Chapter Three is further divided into subsections because of the large
amount of material presented.)
Chapter and Section Numbers
The chapter number is printed at the top left of each page. Section numbers and
titles are located at the top right of each page.
Chapter Four 1 j Report Preparation
Page Numbers
Page numbering is organized by chapter. The first digit of the page number refers to
the chapter, the second to the specific page within that chapter (e.g., page 3-12
refers to page 12 in Chapter Three).
Headings
The pages in the manual are designed to be easily read. Double-lined main headings
are used instead of cumbersome outline numbers to allow a clean, clear page with
space for notations. Subheadings are underlined, and listed items are identified by
bullets.
Appendix
The Appendix, which provides supplementary details on information discussed in the
chapters, is designed to be expanded as needed. Clear references to appendix
materials are made at appropriate places in the chapters.
Index
The detailed, cross-referenced Index is provided to help locate specific material
throughout each volume of the manual.
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Toxic Substances
Controj Act
nspection Manua
Volume One:
TSCA Base Manua
January, 1980
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Volume One:
TSCA Base Manual
Contents
Contents
Page
(Detailed Tables of Contents appear at the beginning
of each chapter.)
Foreword
iii
Chapter One; TSCA Overview
1 Int ro duct ion
2 TSCA Synopsis
3 Glossary
4 Toxic Substances Control Act
1-1
1-3
1-7
1-11
Chapter Two; The TSCA Inspector
1 Inspection Overview
2 Inspector Authority
3 Inspector Responsibilities
2-1
2-7
2-11
Chapter Three: Inspection Procedures
1 Pre-Inspect ion Preparation
2 Entry
Administrative Warrants
3 Opening Conference
4 Sampling and Documentation
Introduction
Records Inspection
3-1
3-7
3-11
3-15
3-21
3-21
3-23
TSCA Inspection Manual
Volume One
January, 1980
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Contents
Contents
Page
Inspection Procedures (continued)
Documentary Support
Physical Samples
Chain of Custody
Health and Safety
5 Closing Conference
6 Security Measures
3-31
3-37
3-43
3-47
3-61
3-65
Chapter Four; Post-Inspection Activities
1 Report Preparation
2 Appearing as a Witness
4-1
4-11
Chapter Five; Special Procedures
1 Subpoenas
5-1
Chapter Six; Forms
6-1
Chapter Seven; Data Systems
7-1
Appendix
A Shipping Samples
B Model Warrants
A-l
B-l
Index
X-l
TSCA Inspection Manual
Volume One
11
January, 1980
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Chapter One
TSCA Overview
Chapter Contents Page
1 Introduction to TSCA
Purpose 1-1
Scope 1-2
Relationship to Other Laws 1-2
EPA Authority and Responsibility 1-2
2 TSCA Synopsis
Testing of Chemicals 1-3
Manufacturing and Processing Notices 1-3
Regulation of Hazardous Chemicals 1-4
Imminent Hazards 1-4
Reporting and Retention of Information 1-4
Relationship to Other Federal Laws 1-4
Research and Development 1-4
Inspections and Subpoenas 1-5
Exports and Imports 1-5
Disclosure of Data 1-5
Prohibited Acts 1-5
Civil and Criminal Penalties 1-6
Specific Enforcement and Seizure 1_5
3 Glossary 1-7
4 Toxic Substances Control Act 1-11
TSCA Inspection Manual January, 1980
Volume One
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Chapter One
1
introduction
The Toxic Substances Control Act, Public Law 94-469, was passed by Congress
in 1976 to "regulate commerce and protect human health and the environment
by requiring testing and necessary use restrictions on certain chemical
substances, and for other purposes." The Act, referred to as "TSCA," is
codified at 15 USC et seq. A copy of the Act is provided in this section
of the manual.
Purpose _____
TSCA was designed to correct the lack of health and safety information
on chemical substances and mixtures and to prevent unreasonable risk
of injury to health or the environment. Under TSCA the term "chemical
substance" means any organic or inorganic substance of a particular
molecular identity, with certain specific exemptions such as pesticides
and tobacco. The Act states that it is the policy of the United States
that:
• Manufacturers must develop adequate data on the health and
environmental effects of chemical substances;
• Chemical substances presenting health and environmental risks
should be regulated; and
• Regulation should not create unnecessary barriers to tech-
nological innovation.
TSCA Inspection Manual 1-1 January. 1980
Volume One
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Chapter One 1 Introduction
Scope
TSCA authorizes EPA to obtain from industry data on the production, use,
health and environmental effects, and other matters concerning chemical
substances and mixtures. If warranted, EPA may regulate the manufacture,
processing, distribution in commerce, use, and disposal of a chemical
substance.
Relationship to Other Laws
The Act directs the Administrator to use other laws administered by EPA,
such as the Federal Water Pollution Control Act or the Clean Air Act, to
protect against unreasonable risks unless the Administrator determines that
it is in the public interest to protect against such risks under TSCA.
The Administrator may also determine that an unreasonable risk presented
by a chemical may be prevented or sufficiently reduced by action under a
Federal law not administered by EPA.
EPA Authority and Responsibility
The Administrator of EPA is authorized to administer the Act in a
reasonable and prudent manner and to consider the environmental, economic,
and social impact of actions taken under TSCA. Within EPA, the Pesticides
and Toxic Substances Enforcement Division (PTSED) of the Office of
Enforcement is responsible for TSCA enforcement activities.
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Volume One
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Chapter One
2
TSCA Synopsis
TSCA Provisions
The principal sections of the Act authorize testing of chemicals, pre-
manufacture notification for new substances or for significant new uses
of existing substances, regulation of chemicals which pose unreasonable
risk, and requirements for recordkeeping and reporting. The Act also
defines TSCA1s relationship with other Federal laws; authorizes research and
development; and provides specific authorities for inspections and subpoenas,
regulation of exports and imports, and imposition of prohibitions, penalties,
and injunctive relief. It also provides for protection of confidential
business information. These sections are briefly reviewed below. (A
complete copy of the Act is provided in the Appendix to this Section.)
Testing of Chemicals (Section 4)
The Administrator may by regulation require testing of substances or mixtures
suspected to be harmful. Testing and evaluation of such substances may be
required to determine health and environmental effects such as carcinogenesis,
mutagenesis, teratogenesis, chronic toxicity or behavioral disorders causing
cumulative effects, or synergistic effects. The Agency sets and reviews
standards for these tests. Manufacturers and processors may be required to
conduct these tests and/or submit existing data.
Manufacturing and Processing Notices (Section 5)
Manufacturers must submit premanufacture notices to EPA 90 days
before manufacturing any new chemical substance or beginning a
significant new use of an existing substance that is not exempt.
Any chemical not listed in the Inventory of Chemicals is con-
sidered "new" under this requirement. The Agency may limit the
production or even ban a substance which EPA feels presents an
unreasonable risk or for which there is not sufficient information
to base a decision regarding environmental and/or health effects.
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Volume One
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Chapter One 2 TSCA Synopsis
Regulation of Hazardous Chemicals (Section 6)
In cases of potential unreasonable risk of injury to health or the
environment from chemical substances, the Administrator is required to
apply by rule one or more of the following controls:
Prohibit or limit manufacture and/or processing;
Impose quality control procedures;
Prohibit or limit distribution in commerce;
Prohibit or limit use;
Require warnings and instructions by labeling or other means;
Regulate manner of disposal.
Imminent Hazards (Section 7)
EPA may ask the appropriate U.S. district court for a seizure and/or
other immediate relief when a chemical substance is found- to pose an
imminent danger.
Reporting and Retention of Information (Section 8)
The Agency may require submission of records and maintenance of records
and reports necessary for the effective implementation of the Act..
Under the Act, EPA is required to compile, and maintain an inventory of
each chemical substance manufactured or processed in the United States.
The initial Inventory of Chemical Substances was published June 1, 1979.
Section 8 also requires immediate reporting of any information indicating
that a chemical poses a substantial risk to human health or the environment.
Relationship to Other Federal Laws (Section 9)
Environmental or health risks identified by EPA, but which may be prevented
or reduced by action under a law not administered by EPA, are referred by
report to the appropriate agency. Actions under TSCA are to be coordinated
with other laws administered by EPA. The Agency is required to coordinate
with other Federal agencies for purposes of TSCA enforcement.
Research and Development (Section 10)
EPA may, in consultation with other agencies, conduct or support
research, development, and monitoring to carry out the purposes
of the Act.
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Volume One
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Chapter One 2 TSCA Synopsis
Inspections and Subpoenas (Section 11)
TSCA authorizes, upon presentation of proper credentials and notice,
inspection of establishments, facilities, and premises where chemical
substances are manufactured, processed, stored, held, or conveyed.
Inspection extends to all things within the premises that bear on the Act.
Financial, sales, pricing, personnel, or research data,may not be inspected
unless specified in the Notice of Inspection. EPA may subpoena witnesses
and documents.
Exports and Imports (Sections 12 and 13)
TSCA authorizes the regulation of a chemical intended for export only if
it presents an unreasonable risk to health or the environment of the
United States. Records and reports requirements of Section 8 apply to
exports. EPA is responsible for notifying the governments of importing
countries of any regulatory restrictions.
Imported chemical substances are subject to all requirements of TSCA. The
U.S. Treasury Department (U.S. Customs Service) is responsible for
establishing, in cooperation with EPA, procedures to ensure compliance.
Disclosure of Data (Section 14)
Section 14 of TSCA provides for protection of any confidential
business information obtained under the Act, including data obtained
during an inspection. The manufacturer, processor, or distributor
may designate information meeting specified criteria. Willful
disclosure of confidential business information by EPA employees is
subject to criminal penalty.
Prohibited Acts (Section 15)
It is unlawful to:
• Fail or refuse to comply with rules, orders, and/or
requirements under Sections 4, 5, or 6.
• Use for commercial purposes substances manufactured in
violation of Sections 5, 6, or 7.
• Fail or refuse to establish or maintain records or
submit reports.
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Volume One
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Chapter One 2 TSCA Synopsis
Civil and Criminal Penalties (Section 16)
Any person who violates Section 15 is subject to a civil penalty of up to
$25,000 per day per violation. Any person who knowingly or willfully
violates Section 15 may receive a criminal fine of up to $25,000 per day
per violation and/or be imprisoned for up to one year.
Specific Enforcement and Seizure (Section 17)
EPA can request the U.S. district court to take action.to compel com-
pliance with or restrain a violation of any provision of the Act or
rules under the Act.
EPA may also ask for seizure or condemnation of a chemical substance which
has been manufactured, processed, or distributed in commerce in violation
of the Act or rule or order under the Act.
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Volume One
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Chapter One
3
Glossary
Act
When used in this manual the word Act means the Toxic
Substances Control Act (TSCA).
Administrator
Agency
This term means the Administrator of the Environmental
Protection Agency, or any representative to whom the
Administrator may delegate his authority to carry out
his functions.
Unless otherwise specified, Agency means the United
States Environmental Protection Agency (EPA).
Byproduct
Chemical
Substance
A byproduct is a chemical substance produced without
separate commercial intent during the manufacture or
processing of another substance or mixture.
Under the Act, a chemical substance is any organic or
inorganic substance or any combination of such substances
occurring as a result of a chemical reaction or occurring
in nature. The 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;
TSCA Inspection Manual
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Chapter One
Glossary
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 4221 or any
other provision 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, additive, drug, cosmetic, or device.
Commerce
Complainant
In the Act, commerce refers to trade, traffic, trans-
portation, or other commerce (1) between a place in a
State and any place outside of such State, or (2) which
affects trade, traffic, transportation, or commerce.
In this manual, complainant refers to the Agency acting
through any person authorized by the Administrator to
issue a complaint to persons alleged to be in violation
of the Act.
Disposal
Distribute in
Commerce
Documentary
Sample
In this manual, disposal means to intentionally or
accidentally discard, throw away, eliminate, or otherwise
complete or terminate the useful life of chemical substances.
This term refers to the sale, introduction into commerce,
delivery, or holding of a substance, mixture, or article.
This term refers to documents which substantiate a sus-
pected violation relating to a chemical substance. A
documentary sample does not include a sample of the sub-
stance itself.
Duplicate
Sample
Environment
In this manual, a duplicate sample is a sample taken at
the request of a facility official that is in every
respect the same as the official sample taken by the
inspector.
The environment includes water, air, and land and the
interrelationship which exists among and between water,
air, and land, and all living things.
TSCA Inspection Manual
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Chapter One
Glossary
Facility
Health Effects
Injunction
Inspector
Impurity
Manufacture
Mixture
As defined in the manual, facility means any establishment,
site, or other premises subject to TSCA enforcement
activity.
Terms referring to the health effects of chemical
substances are defined as follows:
• Behavioral Disorder refers to a disturbance of personal
function resulting from exposure to a toxic substance.
• Carcinogenesis is the property of a substance which
causes cancer.
• Cumulative Effect refers to the accumulation of a
substance within a living organism and the increasingly
pronounced effects with each exposure.
• Mutagenesis refers to the property of a substance that
causes changes in the genetic structure of subsequent
generations.
• Synergistic Effect refers to the coordination in action
of the effects of a toxic substance.
• Teratogenesis refers to the property of a substance
that causes malformations or serious deviations from
the normal type in embryos or fetuses.
In this manual, an injunction is a court order requiring
a person to perform or to refrain from a specific action.
An inspector is a representative of the Environmental
Protection Agency authorized by the Administrator to
conduct inspections, make investigations, collect docu-
ments and samples, and otherwise monitor compliance and
enforce the Act.
In the Act, impurity refers to a substance which is
unintentionally present with another chemical substance.
Manufacture means to produce, manufacture, or import into
the customs territory of the United States.
A mixture is 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.
TSCA Inspection Manual
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Chapter One
Glossary
Person
In this manual, a person is defined as any natural or
judicial person including any individual, corporation,
partnership, or association; any State or political
subdivision thereof; any interstate body; and any
department, agency, or instrumentality of the Federal
Government.
Physical
Sample
Process
Process for
Commercial
Purposes
Processor
Respondant
Seizure
State
Toxicity
United States
Viscosity
Physical samples are samples that are representative of
a chemical substance as drawn from a container or as
contained in a medium such as soil or solvent. They
are used to confirm the presence and concentration of
a chemical substance.
Process refers to the preparation of a chemical substance
or mixture, after its maufacture, for distribution in
commerce:
• In the same or in a different physical state than that
in which it was received by the processor; or
• As part of an article containing the chemical substance
or mixture.
As defined in the Act, this means to process (1) for
distribution in commerce, including for test marketing
purposes, or (2) for use as an intermediate.
A processor is any person who processes a chemical sub-
stance or mixture.
In the Act, respondant refers to the person or company
responding to a complaint issued by the Agency.
In the Act, seizure is the condemnation and taking of
any substance, mixture, or article manufactured, processed,
or distributed in commerce in violation of the Act.
This term refers to any state of the United States, the
District of Columbia, the Commonwealth of Puerto Rico,
the Virgin Islands, Guam, the Canal Zone, American Samoa,
the Northern Mariana Islands, or any other territory or
possession of the United States.
Toxicity is the property of a chemical substance or
mixture to cause any adverse physiological effects.
When used in the geographic sense, this term means all
of the States, territories, and possessions of the
United States.
In this manual, viscosity refers to the thickness of a
liquid as measured by its ability to flow freely.
TSCA Inspection Manual
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January, 1980
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Toxic Substances
Control Act
TOXIC SUBSTANCES CONTROL ACT,
1976: PUBLIC LAW 94-469
An Act
To regulate commerce and protect human health aud the environment hy
requiring testing and necessary use restriction); on certain chemical substances,
and for other purposes.
Be it enacted by the Senate and House of Representative* of the
United State* of America in Congreii attembled.
SECTION 1. SHORT TITLE AND TABLE O? CONTENTS.
This Act may be cited as the "Toxic Substances Control Act".
TABLE OF CONTENTS
Sec. 1. short title and table of contents.
Sec. 2. Findings, policy, and intent.
Sec. 3. Definitions.
Sec. 4. Testing of chemical substances and mlltures.
Sec. 5. Manufacturing and processing notices.
Sec. 0. Regulation of hazardous chemical substances and mixture*.
Sec. 7. Imminent hazards.
Sec. 8. Reporting and retention of Information.
Sec. 9. Relationship to otber Federal laws.
Sec. 10. Research, development, collection, dissemination, and utilization of data.
Sec. 11. Inspections and aubpoenus.
Sec. 12. Exports.
Sec. 13. Entry Into customs territory of the United States.
Sec. 14. Disclosure of data.
Sec. 15. Prohibited acts.
Sec. 18. Penalties.
Sec. 17. Specific enforcement and seizure.
Sec. 18. Preemption.
Sec. 10. Judicial review.
Sec. 20. Citizens' civil actions.
Sec. 21. Citizens' petitions.
Sec. 22. National defense waiver.
Sec. 23. Employee protection.
Sec. 24. Employment effects.
Sec. 23. Studies.
Sec. 26. Administration of the Act.
s«-c. 27. Development and evaluation of test methods.
Sec. 28. State programs."
Kec. 29. Authorization for appropriations.
Sec. SO. Annual report.
Sec. 31. Effective date.
SEC. 2. FINDINGS, POLICY, AND INTENT.
(a) FiNDixus.—The Congress finds that—
(1) human beings and the environment are being exposed each
year to a large number of chemical substances and mixtures;
(2) among the many chemical substances and mixtures which
are constantly being developed and produced, there are some
whose manufacture, processing, distribution in commerce, use, or
disposal may present an unreasonable risk of injury to health or
the environment; and
(3) the effective regulation of interstate commerce in such
chemical substances and mixtures also necessitates the regulation
of intrastate commerce in such chemical substances and mixtures.
(b) POLICY.—It is the policy of the United States that—
(1) adequate data should be developed with respect to the effect
of chemical substances and mixtures on health and the environ-
ment and that the development of such datu should be the respon-
sibility of those who manufacture and those who process such
chemical substances and mixtures;
(2) adequate authority should exist to regulate chemical sub-
stances and mixtures which present an unreasonable risk of injury
to health or the environment, and to take action with respect to
chemical substances and mixtures which are imminent hazards;
and
(3) authority over chemical substances and mixtures should be
exercised in such a manner as uot to impede unduly or create
unnecessary economic barriers to technological innovation while
fulfilling the primary purpose of this Act to assure that such inno-
vation and commerce in such chemical substances and mixtures
do not present an unreasonable risk of injury to health or the
environment.
(c) IN-TEST OP CONGRESS.—It is the intent of Congress that the
Administrator shall carry out this Act in a reasonable and prudent
manner, and that the Administrator shall consider the environmental,
economic, and social impact of any action the Administrator takes or
proposes to take under this Act.
SEC. 3. DEFINITIONS.
As used in this Act:
(1) the term "Administrator' means the Administrator of the
Environmental Protection Agency.
(2) (A) Except as provided in subpavagraph (B), the term "chem-
ical substance" means any organic or inorganic substance of a particu-
lar molecular identity, including—
(i) any combination of such substances occurring in whole or
in part as a result of a chemical reaction or occurring in nature,
ana
(ii) any element or uncombined radical.
(B) Such term does not include—
(i) any mixture,
(ii) any pesticide (as denned in the Federal Insecticide, Fungi-
cide, and Rodenticide Act) when manufactured, processed, or
distributed in commerce for use as a pesticide,
(iii) tobacco or any tobacco product,
(iv) 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),
(v) any article the sale of which is subject to the tax imposed
by section 4181 of the Internal Revenue Code of 1954 (deter-
mined without regard to any exemptions from such tax provided
by section 4182 or 4221 or any other provision of such Code), and
(vi) 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.
The term "food'' as used in clnuse (vi) of this subparn«raph includes
poultry and poultry products (as defined in sections 4(e) and 4(f)
of the Poultry Products Inspection Act), meat and meat food prod-
ucts (as defined in section l(j) of the Federal Meat Inspection Act),
and eggs and egg products (as defined in section 4 of the Egg Prod-
ucts Ir,M>ection Act).
(3) The term "commerce" means trade, traffic, transportation, or
other commerce (A) between a place in a State and any place outside
1-11
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TSCA
of such State, or (B) which affects trade, traffic, transportation, or
commerce described in clause (A).
(4) The terms "distribute in commerce" and "distribution in com-
merce" when used to describe an action taken with respect to a chem-
ical substance or mixture or article containing a substance or mixture
mean to sell, or the sale of, the substance, mixture, or article in com-
merce ; to introduce or deliver for introduction into commerce, or the
introduction or delivery for introduction into commerce of, the sub-
stance, mixture, or article j or to hold, or the holding of, the substance,
mixture, or article after its introduction into commerce.
(5) The term "environment7" includes water, air, and land and the
interrelationship which exists amon-
stance which is not included in the chemical substance list compiled
and published under section 8(b).
(10) The term "process" means the preparation of a chemical sub-
stance or mixture, after its manufacture, for distribution in
commerce—
(A) in the same form or physical state as, or in a different
form or physical state from, that in which it wag received by the
person so preparing such substance or mixture, or
(B) as part of an article containing the chemical substance
or mixture.
(11) The term "processor" means any person who processes a chemi-
cal substance or mixture.
(12) The term "standards for the development of test data7" means
u prescription of—
(A) the-
(i) health and environmental effects, and
(ii) information relating to toxicity, persistence, and other
characteristics which affect health and the environment,
for which test data for a chemical substance or mixture are to
be developed and any analysis that is to be performed on such
data, and
(B) to the extent necessary to assure that data respecting such
effects and characteristics are reliable and adequate—
(i) the manner in which such data are to be developed,
(ii) the specification of any test protocol or methodology
to be employed in the development of such data, and
(iii) such other requirements as are necessary to provide
inch assurance.
(13) The term "State" means any State of the United States, the
District of Columbia, the Commonwealth of Puerto Rico, the Virgin
Islands, Guam, the Canal Zone, American Samoa, the Northern
Mariana Islands, or any other territory or possession of the United
States.
(14) The term ''United States"', when used in the geographic sense,
means all of the States.
SEC 4. TESTING OF CHEMICAL SUBSTANCES AND MIXTURES.
(a) TESTING IVKKI-IBUMEN-TS.—If the Administrator finds that—
(l)(A)(i") the manufacture, distribution in commerce, proc-
essing, use, or disposal of » chemical substance or mixture, or that
any combination of sucli activities, may present an unreasonable
risk of injury to health or the environment,
(ii) then? are insufficient data and experience upon which the
effects of such manufacture, distribution in commerce, processing,
use, or disposal of such substance or mixture or of any combina-
tion of such activities on health or the environment can reason-
ably be determined or predicted, and
(iii) testing of such substance or mixture with respect to such
effects is necessary to develop such data; or
(B) (i) a chemical substance or mixture is or will be produced
in substantial quantities, and (I) it enters or may reasonably be
anticipated to enter the environment in substantial quantities or
(II) there is or may be significant or substantial human exposure
to such substance or mixture,
(ii) there are insufficient data and experience upon which the
effects of the manufacture, distribution in commerce, processing,
use, or disposal of such substance or mixture or of any combina-
tion of such activities on health or the environment can reason-
ably be determined or predicted, and
(iii) testing of such substance or mixture with respect to such
effects is necessary to develop such data; and
(2) in the case 9f a mixture, the effects which the mixtures
manufacture, distribution in commerce, processing, use, or dis-
posal or any combination of such activities may have on health or
the environment may not be reasonably and more efficiently deter-
mined or predicted by testing the chemical substances which com-
prise the mixture;
the Administrator shall by rule require that testing be conducted on
such substance or mixture to develop data with respect to the health
and environmental effects for which there is an insufficiency of data
and experience and which are relevant to a determination that the
manufacture, distribution in commerce, processing, use, or disposal
of such substance or mixture, or that any combination of such activities,
does or does not present an unreasonable risk of injury to health or
the environment.
(b) (1) TESTIXO REQUIREMENT RULE.—A rule under subsection (a)
shall include—
(A) identification of the chemical substance or mixture for
which testing is required under the rule,
(B) standards for the development of test data for such sub-
stance or mixture, and
(C) with respect to chemical substances which are not new
chemical substances and to mixtures, a specification of the period
(which period may not be of unreasonable duration) within
which the persons required to conduct the testing shall submit to
the Administrator data developed in accordance with the stand-
ards referred to in subparagraph (B).
In determining the standards and: period to be included, pursuant to
subparagraphs (B) and (C), in a rule under subsection (a), the
Administrator's considerations shall include the relative costs of the
various teat protocols and methodologies which may be required under
the rale and the reasonably foreseeable availability of the facilities
and personnel needed to perform the testing required under the rule.
Any such rule may require the submission to the Administrator of pre-
liminary data during the period prescribed under subparagraph (C).
(2) (A) The health and environmental effects for which standards
for the development of test data may be prescribed include carcino-
genesis, mutagenesis, teratogenesia, behavioral disorders, cumulative
or synergistic effects, and any other effect which maypresent an unrea-
sonable risk of injury to health or the environment. The characteristics
of chemical substances and mixtures for which such standards may
be prescribed include persistence, acute toxicity, subacute toxicity.
chronic toxicity, and any other characteristic which may present such
a risk. The methodologies that may be prescribed in such standards
include epidemiologic studies, serial or hierarchical tests, in vitro tests.
and whole animal tests, except that before prescribing epidemiologic
studies of employees, the Administrator shall consult with the Director
of the National Institute for Occupational Safety and Health.
(B) From time to time, but not less than once "each 12 months, the
Administrator shall review the adequacy of the standards for develop-
ment of data prescribed in rules under subsection (a) and shall, if
necessary, institute proceedings to make appropriate revisions of such
standards.
(3) (A) A rule under subsection (a) respecting a chemical substance
or mixture shall require the persons described in subparagraph (B)
to conduct tests and submit data to the Administrator on such sub-
stance or mixture, except that the Administrator may permit two or
more of such persons to designate one such person or a qualified third
party to conduct such tests and submit such data on behalf of the pt-r-
sons making the designation.
(B) The following persons shall be required to conduct tests and
submit data on a chemical substance or mixture subject to a rule under
subsection (a):
(i) Each person who manufactures or intends to manufacture
such substance or mixture if the Administrator makes a finding
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described in subsection (n) (1) (A.) (ii) or (o) (1) (B) (ii) with
respect to the manufacture of such substance or mixture.
(ii) Each person who processes or intends to process such sub-
stance or mixture if the Administrator makes a finding described
in subsection (a) (1) (A) (ii) or (a) (1) (B) (ii) with respect to
the processing of such substance or mixture.
(iii) Each person who manufactures or processes or intends to
manufacture or process such substance or mixture if thr Adminis-
trator makes a finding described in subsection (a) (1) (A) (ii) or
(a) (1) (B) (ii) with respect to the distribution in commerce, use,
or disposal of such substance or mixture.
(4) Any rule under subsection (a) requiring the testing of and
submission of data for A particular chemical substance or mixture
shall expire at the end of the reimbursement period (as defined in sub-
section (c) (3) (B)) which is applicable tn test data for such substance
or mixture unless the Administrator repeals the rule before such date;
and a rule under subsection (a) requiring the testing of and submission
of data for a category of chemical substances or mixtures shall expire
with respect to a chemical substance or mixture included in the cate-
gory at the end of the reimbursement period (as so defined) which is
applicable to test data for such substance or mixture unless the Admin-
istrator before such date repeals the application of the rule to such
substance or mixture or repeals the rule.
(5) Ifules issued under subsection (a) (and any substantive amend-
ment thereto or repeal thereof) shall be promulgated pursuant to
section :>53 of title 5, United States Code, except that (A) the Admin-
istrator shall give interested persons an opportunity for the oral pres-
entation of data, views, or arguments, in addition to an opportunity to
make written submissions; (B) a transcript shall be made of any oral
presentation; and (C) the Administrator shall make and publish with
the rule the findings described in paragraph (1)(A) or (1)(B) of
subsection (a) and, in the case of a rule respecting a mixture, the
finding described in paragraph (2) of such subsection.
(c) E.xKMpnox.— (l) Any person required by a rule under subsec-
tion (n) to conduct tests and submit data on a chemical substance or
mixture may apply to the Administrator (in such form and manner
ns the Administrator shall prescribe) for an exemption from such
requirement.
(•2) If, upon receipt of an application under paragraph (1), the
Administrator determines that—
(A) the chemical substance or mixture with respect to which
such application was submitted is equivalent to a chemical sub-
stance or mixture for which data has been submitted to the Admin-
istrator in accordance with a rule under subsection (a) or for
which data is being developed pursuant to such a rule, and
(B) submission of dita py the applicant on such substance or
mixture would be duplicative of data which has been submitted
to the Administrator in accordance with such rule or which is
being developed pursuant to such rule,
tlie Administrator shall exempt, in accordance with paragraph (3)
or (4), the applicant from conducting tests and submitting data on
such substance or mixture under the rule with respect to which such
application \vas submitted.
(3) (A) If the exemption under paragraph (2) of any person from
the requirement to conduct tests and submit test data on a chemical
substance or mixture is granted on the basis o~ the existence of previ-
ously submitted test data and if such exemption is granted during the
reimbursement period for such test data (as prescribed by subpara-
grnph (B)). then (unless such person and the persons referred to in
clauses (i) and (ii) agree on the amount and method of reimburse-
ment ) the Administrator shall order the person granted the exemption
to provide fair and equitable reimbursement (in an amount deter-
mined under rales of the Administrator)—
(i) to the person who previously submitted such test data, for
n portion of the costs incurred by such person in complying with
the requirement to submit such data, and
(ii) to any other person who has been required under this sub-
paragraph to contribute with respect to such costs, for a portion
of the amount such person was required to contribute.
In promuleating rules for the determination of fair and equitable
reimbursement to the persons described in clauses (i) and (ii) for
costs incurred with respect to a chemical substance or nurture, the
Administrator shall, after consultation with the Attorney General
and the Federal Trade Commission, consider all relevant factors,
including the effect on the competitive position of the person required
to provide reimbursement in relation to the person to be reimbursed
ana the share of the market for such substance or mixture of the per-
son required to provide reimbursement in relation to the share of such
market of the persons to be reimbursed. An order under this sub-
paragraph shall, for purposes of judicial review, be considered final
agency action.
(B) For purposes of subparagraph (A), the reimbursement period
for any test data for a chemical substance or mixture is a period—
(i) beginning on the date such data is submitted in accordance
with a rule promulgated under subsection (a), and
(ii) ending—
(I) five years after the date referred to in clause (i), or
(II) at the expiration of a period which begins on the date
referred to in clause (i) and which is equal to the period
which the Administrator determines was necessary to develop
such data,
whichever is later.
(4) (A) If the exemption under paragraph (2) of any person from
the requirement to conduct tests and submit test data on a chemical
substance or mixture is granted on the basis of the fact that test data
is being developed by one or more persons pursuant to a rule promul-
gated under subsection (a), then (unless such person and the persons
referred to in clauses (i) and (ii) agree on the amount nnd method
of reimbursement) the Administrator shall order the person granted
the exemption to provide fair and equitable reimbursement (in an
amount determined under rules of the Administrator) —
(i) to each such person who is developing such test data, for a
portion of the costs incurred by each such person in complying
with such rule, and
(ii) to any other person who has been required under this sub-
paragraph to contribute with respect to the costs of complying
with such rule, for a portion of the amount such person was
required to contribute.
In promulgating rules for the determination of fair and equitable
reimbursement to the persons described in clauses (i) and (ii) for
costs incurred with respect to a chemical substance or mixture, the
Administrator shall, after consultation with the Attorney General and
the Federal Trade Commission, consider the factors described in the
second sentence of paragraph (3) (A). An order under this subpara-
graph shall, for purposes of judicial review, be considered final agency
action.
(B) If any exemption is granted under paragraph (2) on the basis
of the fact that one or more persons are developing test data pursuant
to a rule promulgated under subsection (a) and if after such exemp-
tion is granted the Administrator determines that no such person has
complied with such rule, the Administrator shall (i) after providing
written notice to the person who holds such exemption and an oppor-
tunity for a hearing, by order terminate such exemption, and (ii)
notify in writing such person of the requirements of the rule with
respect to which such exemption was granted.
(d) NOTICE.—Upon the receipt of any test data pursuant to a rule
under subsection (a), the Administrator shall publish a notice of the
receipt of such data in the Federal Register within 15 days of its
receipt. Subject to section 14, each such notice shall (1) identify the
chemical substance or mixture for which data have Iwen received;
(2) list the uses or intended uses of such substance or mixture and the
information required bv the applicable standards for the development
of test data; and (3) describe the nature of the test data developed.
Except as otherwise provided in section 14, such data sluill l>e made
available by the Administrator for examination by any person.
(e) I'liionmr LIST.— (1)(A) There is established a committee to
make recommendations to the Administrator respecting the cliomical
substances and mixtures to which the Administrator should give
priority consideration for the promulgation of a rule under sulisec-
tion (a). In making such a recommendation with respect to any chein-
icul substance or mixture, the committee shall consider all relevant
factors, including—
(i) the quantities in which the substance or mixture is or \ull
lie manufactured,
(ii) the quantities in which the substance or mixture enters or
will outer the environment,
(iii) the number of individuals who are or will be exposed to the
substance or mixture in their places of employment and the dura-
tion of such exposure,
(iv) the extent to which human beings are or will be exposed to
the substance or mixture,
(v) the extent to which the substance or mixture is closely
related to a chemical substance or mixture which is known to
present nn unreasonable risk of injury to health or the environ-
ment,
(vi) the existence of data concerning the effects of the substance
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or mixture on health or the environment, .
(vii) the extent to which testing of the substance or mixture
may mult in the development of data upon which the effects of
the sulmtance or mixture on health or the environment can rea-
sonably bo determined or predicted, and
(nil) the reasonably foreseeable availability of facilities and
personnel for performing testing on the substance or mixture.
The recommendations of the committee shall he in the form of a list
of cHemiciil substances and mixtures which shall be set forth, either by
individual sulstance or mixture or by groups of substances or mix-
tures, in the order in which the committee determines the Administra-
tor should take action under subsection (a) with respect to the
snbstuiutR and mixtures. In establishing such list, the committee shall
give priority attention to those chemical substances and mixtures
which are known to cause or contribute to or which are suspected of
causing or contributing to cancer, gene mutations, or birth detects. The
committee shall designate chemical substances and mixtures on the list
with respect to which the committee determines the Administrator
should, within 12 months of the date on which such substances and
mixtures are first designated, initiate a proceeding under subsection
(a). The total number of chemical substances and mixtures on the list
which nre designated under the preceding sentence may not. at my
time, exceed SO.
(B) As soon as nrncticnble but not Inter than nine months after
the. effective dote of this Act. the committee shall publish in the Fed-
eral Register nnd transmit to the Administrator the list and designa-
tions required liy siibparugraph (A) together with the reasons for the
commit tee's inclusion of each chemical substance or mixture on the list.
At least even- six months after the date of the transmission to the Ad-
ministrator of the list pursuant to the preceeding sentence, the commit-
tee shall make such revisions in the list as it determines to be necessary
and shall transmit them to the Administrator together with the com-
mittee's reasons for the revisions, Upon receipt of any such revision,
the Administrator shall publish in the Federal Register the list with
such revision, the reasons for such revision, and the designations made
under subparagraph (A). The Administrator shall provide reasonable
opportunity to any interested person to file with the Administrator
written comments on the committee's list, any revision of such list
by the committee, and designations made by the committee, and shall
moke such comments available to the public. Within the 12-month
period beginning on the date of the first inclusion on the list of a
chemical substance or mixture designated by the committee under sub-
paragraph (A) the Administrator shall with respect to such chemical
substance or mixture either initiate a rulemaldng proceeding under
subsection (a) or if such a proceeding is not initiated within such-
period, publish in the Federal Register the Administrator's reason for
not initiating such a proceeding.
(2) (A) The committee established by paragraph (1) (A) shall con-
sist of eight members as follows:
(f) One member appointed by the Administrator from the
Environmental Protection Agency.
(ii) One member appointed by the Secretary of Labor from
officers or employees of the Department of Labor engaged in the
Secretary's activities under the Occupational Safety and Health
Act of 19TO.
(iii) One member appointed by the Chairman of the Council
on Environmental Quality from the Council or its officers or
employees.
(iy) One member appointed by the Director of the National
Institute for Occupational Safety and Health from officers or
employees of the Institute,
(v) One member appointed by the Director of the National
Institute of Environmental Health Sciences from officers or
employees of the Institute.
(vi) One member appointed by the Director of the National
Cancer Institute from officers or employees of the Institute.
(vii) One member appointed by the Director of the National
Science Foundation from officers or employees of the Foundation.
(viii) One member appointed by the Secretary of Commerce
from officers or employees of the Department of Commerce.
(B) (i) An appointed member may designate an individual to serve
on the committee on the member's behalf. Such a designation may be
made only with the approval of the applicable appointing authority
and only if the individual is from the entity from which the member
was appointed.
(ii) No individual may serve as a member of the committee for more
than four years in the aggregate. If any member of the committee
leaves the entity from which the member was appointed, such member
may not continue as a member of the committee, and the member's
position shall be considered to be vacant A vacancy in the committee
shall be filled in the same manner in which the original appointment
was made.
(iii) Initial appointments to the committee shall be made not later
than the 60th day after the effective date of this Act. Not later than
the 90th day after such date the members of the committee shall hold a
meeting for the selection of a chairperson from among their number.
(C) (i) No member of the committee, or designee of such member,
shall accept employment or compensation from any person subject to
any requirement of this Act or of any rule promulgated or order issued
thereunder, for a period of at least 12 months after termination of
service on the committee.
(ii) No person, while serving as a member of the committee, or des-
ignee of such member, may own any stocks or bonds, or have any
pecuniary interest, of substantial value in any person engaged in the
manufacture, processing, or distribution in commerce of any chemical
substance or mixture subject to any requirement of this Act or of any
rule promulgated or order issued thereunder.
(iii) The Administrator, acting through attorneys of the Environ-
mental Protection Agency, or the Attorney General may bring an
action in the appropriate district court of the United States to restrain
any violation of this subparagraph.
(D) The Administrator shall provide the committee such admin-
istrative support sen-ices as may be necessary to enable the committee
to carry out its function under this subsection.
(f) REQUIRED ACTIONS.—Upon the receipt of—
(1) any test data required to be submitted under this Act, or
(2) any other information available to the Administrator,
which indicates to the Administrator that there may be a reasonable
basis to conclude that a chemical substance or mixture presents or will
present a significant risk of serious or widespread harm to human
beings from cancer, gene mutations, or birth defects, the Administra-
tor shall, within the 180-day period beginning on the date of the receipt
of such data or information, initiate appropriate action under section
5, 6, or 7 to prevent or reduce to a sufficient extent such risk or publish
in the Federal Register a finding that such risk is not unreasonable. For
good cause shown the Administrator may extend such period for an
additional period of not more than 90 days. The Administrator shall
publish in the Federal Register notice of any such extension and the
reasons therefor. A finding by the Administrator that a risk is not
unreasonable shall be considered agency action for purposes of judicial
review under chapter T of title 5, United States Code. This subsection
shall not take effect until two years after the effective date of this Act
(g) PETITION FOR STANDARDS FOR THE DEVELOPMENT OP TEST DATA.—
A person intending to manufacture or process a chemical substance
for which notice is required under section 5(a) and who is not required
under a rule under subsection (a) to conduct tests and submit data
on such substance may petition the Administrator to prescribe stand-
ards for the development of test data for sucli substance. The Admin-
istrator shall by order either grant or deny any such petition within
BO days of its receipt. If the petition is granted, the Administrator
shall prescribe such standards for such substance within 75 days of
the date the petition is granted. If the petition is denied, the Admin-
istrator shall publish, subject to section 14, in the Federal Register the
reasons for such denial.
SEC 5. MANUFACTURING AND PROCESSING NOTICES.
(a) IN GINEBAI.—(1) Except as provided in subsection (h), no
person may—
(A) manufacture a new chemical substance on or after the 30th
day after the date on which the Administrator first publishes the
list required by section 8(b), or
(B) manufacture or process any chemical substance for a use
which the Administrator lias determined, in accordance with
paragraph (2), is a significant new use,
unless such person submits to the Administrator, at least 90 days before
such manufacture or processing, a notice, in accordance with subsection
(d), of such person's intention to manufacture or process such sub-
stance and such person complies with any applicable requirement of
subsection (b).
(2) A determination by the Administrator that a use of a chemical
substance is a significant new use with respect to which notification
is required under paragraph (1) shall be made by a rule promulgated
after a consideration of all relevant factors, including—
f A) the projected volume of manufacturing and processing of
a chemical substance.
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(B) the extent to which a use changes the type or form of
exposure of human beings or the environment to a chemical
substance,
(C) the extent to which a use increased the magnitude and
duration of exposure of human beings or the environment to a
chemical substance, and
(D) the reasonably anticipated manner and methods of manu-
facturing, processing, distribution in commerce, and disposal of
• chemical substance.
(b) StJWossiON OF TEST DATA.—(1) (A) If (i) a person is required
by subsection (a) (1) to submit a notice to the Administrator before
beginning the manufacture or processing of a chemical substance,
and (ii) such person is required to submit test data for such sub-
stance pursuant to a rule promulgated under section 4 before the
submission of such notice, such person shall submit to the Adminis-
trator such data in accordance with such rule at the time notice is
submitted in accordance with subsection (a) (1).
(i) a person is required by subsection (»)(!) to submit a
notice to the Administrator, and
(ii) such person has been granted an exemption under section
4(c) from the requirements of a rule promulgated under section
4 before the submission of such notice,
such person may not, before the expiration of the 90 d»y period which
begins on the date of the submission in accordance with such rule of
the test data the submission or development of which was the basis
for the exemption, manufacture such substance if such person is
subject to subsection (a)(l)(A) or manufacture or process such
substance for a significant new use if the person is subject to subsection
"(2) (i) If a person—
(i) is required by subsection (a) (1) to submit a notice to the
Administrator before beginning the manufacture or processing
of a chemical substance listed under paragraph (4), and
(ii) is not required by a rule promulgated under section 4
before the submission of such notice to submit test data for such
substance,
such person shall submit to the Administrator data prescribed by
subparagraph (B) at the time notice is submitted in accordance with
subsection (am).
(B) Data submitted pursuant to subparagraph (A) shall be data
which the person submitting the data believes show that—
(i) in the case of a substance with respect to which notice is
required under subsection (a) (1) (A), the manufacture, process-
ing, distribution in commerce, use, and disposal of the chemical
substance or any combination of such activities will not present
an unreasonable risk of injury to health or the environment, or
(ii) in the case of a chemical substance with respect to which
notice is required under subsection (a)(l)(B), the intended
significant new use of the chemical substance will not present an
unreasonable risk of injury to health or the environment.
(3) Data submitted under paragraph (1) or (2) shall be made
available, subject to section 14, for examination by interested persons,
(4)(A)(i) The Administrator may, by rule, compile and keep
current a list of chemical substances with respect to which the
Administrator finds that the manufacture, processing, distribution in
commerce, use, or disposal, or any combination of such activities,
presents or may present an unreasonable risk of injury to health or
the environment.
(ii) In making a finding under clause (i) that the manufacture,
processing, distribution in commerce, use, or disposal of a chemical
substance or any combination of such activities presents or may present
an unreasonable risk of injury to health or the environment, the
Administrator shall consider all relevant factors, including—
(I) the effects of the chemical substance on health and the
magnitude of human exposure to such substance; and
(tl) the effects of the chemical substance on the environment
and the magnitude of environmental exposure to such substance.
(B) The Administrator shall, in prescribing a rule under subpara-
graph (A) which lists any chemical substance, identify those uses,
if any, which the Administrator determines, by rule under subsection
(a) (2), would constitute a significant new use of such substance.
(C) Any rule under subparagraph (A), and any substantive
amendment or repeal of such a rule, shall be promulgated pursuant
to the procedures specified in section 553 of title 5, United States
Code, except that (i) the Administrator shall give interested persons
on opportunity for the oral presentation of data, views, or arguments,
in addition to an opportunity to make written submissions, (ii) a
transcript shall be kept of any oral presentation, and (iii) the Admin-
istrator shall make and publish with the rule the finding described
in subparagraph (A).
(c) EXTENSION or NOTICE PEBIOD.—The Administrator may for
good cause extend for additional periods (not to exceed in the aggre-
gate 90 days) the period, prescribed by subsection (a) or (b) before
which the manufacturing or processing of a chemical substance sub-
ject to such subsection may begin. Subject to section 14, such an
extension and the reasons therefor shall be published in the Federal
Register and shall constitute a final agency action subject to judicial
review.
(d) CONTENT OP NOTICE ; PUBLICATIONS IN THE FEDEBAL REGISTER.—
(1) The notice required by subsection (a) shall include—
(A) insofar as known to the person submitting the notice or
insofar as reasonably ascertainable, the information described in
subparagraphs (A), (B), (C), (D), (F), and (G) of section
8(a)(2),and
(B) in such form and manner as the Administrator may pre-
scribe, any test data in the possession or control of the person
giving such notice which are related to the effect of any manu-
facture, processing, distribution in commerce, use, or disposal of
such substance or any article containing such substance, or of any
combination of such activities, on health or the environment, and
(C) a description of any other data concerning the environ-
mental and health effects of such substance, insofar as known to
the person making the notice or insofar as reasonably ascertain-
able.
Such a notice shall be made available, subject to section 14, for exam-
ination by interested persons.
(2) Subject to section 14, not later than five days (excluding Satur-
days, Sundays and legal holidays) after the date of the receipt of a
notice under subsection (a) or of data under subsection (b), the
Administrator shall publish in the Federal Register a notice which—
(A) identifies the chemical substance for which notice or data
has been received;
(EH lists the uses or intended uses of such substance; and
(C) in the case of the receipt of data under subsection (b),
describes the nature of the tests performed on such substance and
any data which was developed pursuant to subsection (b) or a
rule under section 4.
A notice under this paragraph respecting a chemical substance shall
identify the chemical substance by generic class unless the Administra-
tor determines that more specific identification is required in the
public interest.
(3) At the beginning of each month the Administrator shall pub-
lish a list in the Federal Register of (A) each chemical substance for
which notice has been received under subsection (a) and for which
the notification period prescribed by subsection (a), (b),or (c) has not
expired, and (B) each chemical substance for which such notifica-
tion period has expired since the last publication in the Federal Regis-
ter of such list.
(e) REGULATION PENDING DEVEIOPMBNT or INFORMATION.—(1) (A)
If the Administrator determines that—
(i) the information available to the Administrator is insuf-
ficient to permit a reasoned evaluation of the health and environ-
mental effects of a chemical substance with respect to which notice
is required by subsection (a); and
(ii) (I) in the absence of sufficient information to permit the
Administrator to make such an evaluation, the manufacture,
processing, distribution in commerce, use, or disposal of such
substance, or any combination of such activities, may present an
unreasonable risk of injury to health or the environment, or
(II) such substance is or will be produced in substantial quan-
titieSj and such substance either enters or may reasonably be
anticipated to enter the environment in substantial quantities or
there is or may be significant or substantial human exposure to the
substance,
the Administrator may issue a proposed order, to take effect on the
expiration of the notification period applicable to the manufacturing
or processing of such substance under subsection (a), (b), or (c), to
prohibit or limit the manufacture, processing, distribution in com-
merce, use, or disposal of such substance or to prohibit or limit any
combination of such activities.
(B) A proposed order may not be issued under subparagraph (A)
respecting a chemical substance (i) later than 45 days before the
expiration of the notification period applicable to the manufacture or
processing of such substance under subsection (a), (b), or (c), and
(ii) unless the Administrator has, on or before the issuance of the
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proposed order, notified, in writing, each manufacturer or processor,
ae file case may be, of such substance of the determination which
underlies such order. .
(C) If a manufacturer or processor of a chemical substance to be
subject to a proposed order issued under subparagraph (A) files with
the Administrator (within the 30-day period beginning on the date
such manufacturer orprocessor received the notice required by subpar-
airraph (B)(ii)) objections specifying with particularity the provi-
sions of the order deemed objectionable and stating the grounds
therefor, the proposed order shall not take effect.
(2) (A) (i) Except as provided in clause (ii), if with respect to a
chemical substance with respect to which notice is required by subsec-
tion (a), the Administrator makes the determination described in
paragraph (1) (A) and if—
(I) the Administrator does not issue a proposed order under
paragraph (1) respecting such substance, or
(II) the Administrator issues such an order respecting such
substance but such order does not take effect because objections
were filed under paragraph (1) (C) with respect to it,
the Administrator, through attorneys of the Environmental Protection
Agency, shall apply to the United States District Court for the Dis-
trict of Columbia or the United States district court for the judicial
district in which the manufacturer or processor, as the case may be, of
such substance is found, resides, or transacts business for an injunction
to prohibit or limit the manufacture, processing, distribution in com-
merce, use, or disposal of such substance (or to prohibit or limit any
combination of such activities).
(ii) If the Administrator issues a proposed order under paragraph
(1) (A) respecting a chemical substance but such order does not take
effect because objections have been filed under paragraph (1) (C) with
respect to it, the Administrator is not required to apply for an injunc-
tion under clause (i) respecting such substance if the Administrator
detennines, on the basis of such objections, that the determinations
under paragraph (1)(A) may not be made.
(B) A district court of the United States which receives an appli-
cation under subparagraph (A) (i) for an injunction respecting a
chemical substance shall issue such injunction if the court finds that—
(i) tlie information available to the Administrator is insufficient
to permit a reasoned evaluation of the health and environmental
effects of a chemical substance with respect to which notice is
required by subsection (a); and
(ii) (I) in the absence of sufficient information to permit the
Administrator to make such on evaluation, the manufacture, proc-
essing, distribution in commerce, use, or disposal of such
substance, or any combination of such activities, may present an
unreasonable risk of injury to health or the environment, or
(II) such substance is or will be produced in substantial quan-
tities, and such substance either enters or may reasonably be
anticipated to enter the environment in substantial quantities or
there is or may be significant or substantial human exposure to
the substance.
(C) Pending the completion of a proceeding for the issuance of an
injunction under subparagraph (B) respecting a chemical substance,
the court may, upon application of the Administrator made through
attorneys of the Environmental Protection Agency, issue a temporary
restraining order or a preliminary injunction to prohibit the manu-
facture, processing, distribution in commerce, use, or disposal of such
a substance (or any combination of such activities) if the court finds
that the notification period applicable under subsection (a), (b), or
(c) to the manufacturing or processing of such substance'may expire
before such proceeding can be completed.
(D) After the submission to the Administrator of test data sufficient
to evaluate the health and environmental effects of a chemical sub-
stance subject to an injunction issued under subparagraph (B) and
the evaluation of such data by the Administrator, the district court
of the United States which issued such injunction shall, upon petition,
dissolve the injunction unless the Administrator has initiated a pro-
ceeding for the issuance of a rule under section 6 (a) respecting the
substance. If such a proceeding has been initiated, such court shallcon-
tinue the injunction in effect until the effective date of the rule pro-
mulgated in such proceeding or, if such proceeding is terminated
without the promulgation of a rule, upon the termination of the pro-
ceeding, whichever occurs first.
(f) PROTECTION AGAINST UNXEASONABLE RISKS.—(1) If the Admin-
istrator finds that there ifl a reasonable basis to conclude that the manu-
facture, processing, distribution in commerce, use, or disposal of a
chemical substance with respect to which notice is required by subsec-
tion (a), or that any combination of such activities, presents or will
present an unreasonable risk of injury to health or environment before
a rule promulgated under section 6 can protect against such risk, the
Administrator shall, before the expiration of the notification period
applicable under subsection (a), (b), or (c) to the manufacturing or
processing of such substance, take the action authorized by paragraph
(2) or (3) to the extent necessary to protect against such risk.
(2) The Administrator may issue a proposed rule under section
6(a) to apply to a chemical substance with respect to which a finding
was made under paragraph (1)—
(A) a requirement limiting the amount of such substance
which may be manufactured, processed, or distributed in
(B) a requirement described in paragraph (2), (3), (4), (5),
(6), or (7) of section 6 (a), or
(C) any combination of the requirements referred to in sub-
paragraph (B).
Such a proposed rule shall be effective upon its publication in the Fed-
eral Register. Section 6(d)(2)(B) shall apply with respect to such
rule.
(3) (A) The Administrator may—
(i) issue a proposed order to prohibit the manufacture, process-
ing, or distribution in commerce of a substance with respect to
raph (1), or
nvironmental Protection
o , for the District of
Columbia or the United States district court for the judicial dis-
trict in which the manufacturer, or processor, as the case may be,
of such substance, is found, resides, or transacts business for an
injunction to prohibit the manufacture, processing, or distribu-
tion in commerce of such substance.
A proposed order issued under clause (i) respecting a chemical
substance shall take effect on the expiration of the notification period
applicable under subsection (a), (b), or (c) to the manufacture or
processing of such substance.
(B) If the district court of the United States to which an applica-
tion has been made under subparagraph (A) (ii) finds that there is a
reasonable basis to conclude that the manufacture, processing,
distribution in commerce, use, or disposal of the chemical substance
with respect to which such application was made, Or that any combina-
tion of such activities, presents or will present an unreasonable risk
of injury to health or the environment before a rule promulgated
under section 6 can protect against such risk, the court shall issue
an injunction to prohibit the manufacture, processing, or distribution
in commerce of such substance or to prohibit any combination of such
activities.
(C) The provisions of subparagraphs (B) and (C) of subsection
(e)(l) shall apply with respect to an order issued under clause (i)
of subparagraph (A); and the provisions of subparagraph (C) of sub-
section (e) (2) shall apply with respect to an injunction issued under
subparagraph (B).
(D) If the Administrator issues an order pursuant to subparagraph
(A) (i) respecting a chemical substance and objections are filed in
accordance with subsection (e)(l)(C), the Administrator shnll seek
an injunction under subparagraph (A) (ii) respecting such substance
unless the Administrator determines, on the basis of such objectioi-s,
that such substance does not or will not present an unreasonable risk
of injury to health or the environment.
(g) STATEMENT or REASONS FOB Xor TAKING ACTION.—If the
Administrator has not initiated any action under this section or section
6 or 7 to prohibit or limit the manufacture, processing, distribution
in commerce, use, or disposal of a chemical substance, with respect to
which notification or data, is required by subsection (a)(l)(B) or (b),
liefore the expiration of the notification period applicable to the manu-
facturing or processing of such substance, the Administrator shall
publish a statement of the Administrator's reasons for not initiating
such action. Such a statement shall be published in the Federal Reg-
ister before the expiration of such period. Publication of such state-
ment in accordance with the preceding sentence is not a prerequisite
to the manufacturing or processing of the substance with respect to
which the statement is to be published.
(h) EXEMPTIONS.—(i) The Administrator may, upon application,
exempt any person from any requirement of subsection (a) or (b) to
permit such person to manufacture or process a chemical substance
for test marketing purposes—
(A) upon a showing by such person satisfactory to the Admin-
JJ^L. '4 ,manuf,'«*«w>, processing, distribution in
hTZ£ «YTL-P**!0* 8uch ""bat*"™- •""» 'hat anv com-
omation of such activities, for such purposes will not present any
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unreasonable risk of injury to health or the environment, and
(B) under such restrictions as the Administrator considers
appropriate.
(2) (A) The Administrator may, upon application, exempt any per-
son from the requirement of subsection (b) (2) to submit data for a
chemical substance. If, upon receipt of an application under the pre-
ceding sentence, the Administrator determines that—
(i) the chemical substance with respect to which such applica-
tion was submitted is equivalent to a chemical substance for which
data has been submitted to the Administrator as required by sub-
section (b)(2), and
(ii) submission of data by the applicant on such substance
would be duplicative of data which has been submitted to the
Administrator in accordance with such subsection.
the Administrator shall exempt the applicant from the requirement
to submit such data on such substance. No exemption which is granted
under this subparagraph with respect to the submission of data for n
chemical substance may take effect before the beginning of the reim-
bursement period applicable to such data.
(B) If the Administrator exempts any person, under subparasrraph
(A), from submitting data required under subsection (b)(2) for a
chemical substance because of the existence of previously submitted
data and if such exemption is granted during thi reimbursement period
for such data, then (unless such person and the persons referred to in
clauses (i) and (ii) agree on the amount and method of reimburse-
ment) the Administrator shall order the person granted the exemption
to provide fair and equitable reimbursement (in an amount determined
under rules of the Administrator)—
(i) to the person who previously submitted the data on which
the exemption was based., for a portion of the costs incurred by
such person in complying with the requirement under subsection
(b) (2) to submit such data, and
(ii) to any other person who has been required under this sub-
paragraph to contribute with respect to such costs, for a portion
of the amount such person was required to contribute.
In promulgating rules for the determination of fair and equitable
reimbursement to the persons described in clauses (i) and (ii) for
costs incurred with respect to a chemical substance, the Administrator
shall, after consultation with the Attorney General and the Federal
Trade Commission, consider all relevant factors, including the effect
on the competitive position of the person required to provide reim-
bursement in relation to the pel-sons to be reimbursed and the share of
the market for such substance of the person required to provide reim-
bursement in relation to the share of such market of the persons to be
reimbursed. For purposes of judicial review, an order under this
subparagraph shall be considered final agency action.
(C) For purposes of this paragraph, the reimbursement period for
any previously submitted data for a chemical substance is a period—
(i) beginning on the date of the termination of the prohibition.
imposed under this section, on the manufacture or processing of
such substance by the person who submitted such data to the
Administrator, and
(ii) ending—
(I) five years after the date referred to in clause (i), or
(II) at the expiration of a period which begins on the
date referred to in clause (i) and is equal to the period which
the Administrator determines was necessary to develop such
data,
whichever is later.
(3) The requirements of subsections (a) and (b) do not apply with
respect to the manufacturing or processing of any chemical sub-
stance which is manufactured or processed, or proposed to be manu-
factured or processed, only in small quantities (as defined by the
Administrator by rule) solely for purposes of—
(A) scientific experimentation or analysis, or
(B) chemical research on, or analysis of such substance or
another substance, including such research or analysis for the
development of a product,
if all persons engaged in such experimentation, research, or analysis
for a manufacturer or processor are notified (in such form and manner
as the Administrator may prescribe) of any risk to health which the
manufacturer, processor, or the Administrator has reason to believe
may be associated with such chemical substance.
(4) The Administrator may, upon application and by rule, exempt
the manufacturer of any new chemical substance from all or part of
the requirements of this section if the Administrator determines that
the manufacture, processing, distribution in commerce, use, or dis-
posal of such chemical substance, or that any combination of such
activities, will not present an unreasonable risk of injury to health or
the environment. A rule promulgated under this paragraph (and any
substantive amendment to, or repeal of, such a rule) shall be promul-
gated in accordance with paragraphs (2) and (3) of section 6(c).
(5) The Administrator muy, upon application, make the require-
ments of subsections (ii) and (b) inapplicable with respect to the
manufacturing or processing of any chemical substance (A) which
exists tempon.' ily as a result of a chemical reaction in the manufac-
turing or procrssmg of a mixture or another chemical substance, and
(H) to which there is no. and will not be, human or environmental
exposure.
(6) Immediately upon receipt of an application under paragraph
(1) or (5) the Administrator shall publish in the Federal Register
notice of the receipt of such application. The Administrator shall rive
interested ]>ersons an opportunity to comment upon any such applica-
tion and sliall. within 45 days of its receipt, either approve or deny the
application. The Administrator shall publish in the Federal Register
notice of the approval or denial of such an application.
(i) DEFINITION.—For purposes of this section, the terms "manufac-
ture" and "process" mean manufacturing or processing for commercial
purposes.
SEC. 6. REGULATION OF HAZARDOUS CHEMICAL SUBSTANCES AND
MIXTURES.
(a) SCOPE OF RKOI'LATION.—If the Administrator finds that there is
a reasonable basis to conclude that the manufacture, processing, dis-
tribution in commerce, use, or disposal of a chemical substance or
mixture, or that any combination of such activities, presents or will
present an unreasonable risk of injury to health or the environment,
the Administrator shall by rule apply one or more of the following
requirements to such substance or mixture to the extent necessary to
protect adequately against such risk using the least burdensome
requirements:
(1) A requirement (A) prohibiting the manufacturing, process-
ing, or distribution in commerce of such substance or mixture, or
(B) limiting the amount of such substance or mixture which may
l>e manufactured, processed, or distributed in commerce.
(2) A requirement—
(A) prohibiting the manufacture, processing, or distribu-
tion in commerce of such substance or mixture for (i) n
particular use or (ii) a particular use in a concentration in
excess of a level specified by the Administrator in the rule
imposing the requirement, or
(B) limiting the amount of such substance or mixture
which may be manufactured, processed, or distributed in
commerce for (i) a particular use or (ii) a particular use
in a concentration in excess of a level specified by the
Administrator in the rule imposing the requirement.
(3) A requirement that such substance or mixture or any
article containing such substance or mixture be marked with ot
accompanied by clear and adequate warnings and instructions
with respect to its use, distribution in commerce, or disposal or
with respect to any combination of such activities. The form and
content of such warnings and instructions shall be prescribed by
the Administrator.
(4) A i-equirement that manufacturers and processors of such
substance or mixture make and retain records of the processes
used to manufacture or process such substance or mixture and
monitor or conduct tests which are reasonable and necessary to
assure compliance with the requirements of any rule applicable
.under this subsection.
(5) A requirement prohibiting or otherwise regulating any
manner or method of commercial use of such substance or
mixture.
(6) (A) A requirement prohibiting or otherwise regulating any
manner or method of disposal of such substance or mixture, or
of any article containing such substance or mixture, by its manu-
facturer or processor or by any other person who uses, or disposes
of, it for commercial purposes.
(B) A requirement under subparagraph (A) may not require
any person to take any action which would be in violation of
any law or requirement of, or in effect for, a State or political
subdivision, and shall require each person subject to it to notify
each State and political subdivision in which a required disposal
may occur of such disposal.
(7) A requirement directing manufacturers or processors of
such substance or mixture (A) to give notice of such unreasonable
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ri»k of injury to distributors in commerce of such substance or
mixture and, to the extent reasonably atcertainable, to other per-
sons in possession of such substance or mixture or exposed to such
substance or mixture, (B) to give public notice of such risk of
injury, and (C) to replace or repurchase such substance or
mixture aa elected by the penon to which the requirement it
directed.
Any requirement (or combination of requirements) imposed under
this subsection may be limited in application to specified geographic
areas.
(b) QOALJTV COKTSOI.—If the Administrator has a reasonable
basis to conclude that a particular manufacturer or processor is manu-
facturing or processing a chemical substance or mixture in a manner
which unintentionally causes the chemical substance or mixture to
present or which will cause it to present an unreasonable risk of
injury to health or the environment—
(1) the Administrator may by order require such manufac-
turer or processor to submit a description of the relevant quality
control procedures followed in the manufacturing or processing
of such chemical substance or mixture; and
(2) if the Administrator determines—
(A) that such quality control procedures are inadequate
to prevent the chemical substance or mixture from presenting
such risk of injury, the Administrator may order the manu-
facturer or processor to revise such quality control procedures
to the extent necessary to remedy such inadequacy; or
(B) that the use of such quality control procedures has
resulted in the distribution in commerce of chemical substances
or mixtures which present an unreasonable risk of injury to
health or the environment, the Administrator may order the
manufacturer or processor to (i) give notice of such risk to
processors or distributors in commerce of any such sub-
stance or mixture, or to both, and, to the extent reasonably
ascertainable, to any other person in possession of or exposed
to any such substance, (ii) to give public notice of such risk,
and (iii) to provide such replacement or repurchase of any
such substance or mixture as is necessary to adequately pro-
tect health or the environment.
A determination under subparagraph (A) or (B) of paragraph (2)
shall be made on the record after opportunity for hearing in accord-
ance with section 554 of title 5, United States Code. Any manufacturer
or processor subject to a requirement to replace or repurchase a chem-
ical substance or mixture may elect either to replace or repurchase
the substance or mixture and shall take either such action in the man-
ner prescribed by the Administrator.
(c) PBOMTJUJATION or SCBSBOTIOK (a) ROLES.—(1) In promulgat-
ing any rule under subsection (a) with respect to a chemical substance
or mixture, the Administrator shall consider and publish a statement
with respect to—
(A) the effects of such substance or mixture on health and the
magnitude of the exposure of human beings to such substance or
mixture,
(B) the effect!) of such substance or mixture on the environment
and the magnitude of the exposure of the environment to such
substance or mixture,
(C) the benefits of such substance or mixture for various uses
and the availability of substitutes for such uses, and
(D) the reasonably ascertainable economic consequences of the
rule, after consideration of the effect on the national economy,
small business, technological innovation, the environment, and
public health.
If the Administrator determines that a risk of injury to health or the
environment could be eliminated or reduced to a sufficient extent by
actions taken under another Federal law (or laws) administered in
whole or in part by the Administrator, the Administrator may not
promulgate a rule under subsection (a) to protect against such risk
of injury unless the Administrator finds, in the Administrator's dis-
cretion, that it is in the public interest to protect against such risk
under this Act. In making such a finding the Administrator shall con-
sider (i) all relevant aspects of the risk, as determined by the Adminis-
trator in the Administrator's discretion, (ii) a comparison of the
estimated costs of complying with actions taken under this Act and
under such law (or laws), and (iii) the relative efficiency of actions
under this Act and under such law (or laws) to protect against such
risk of injury.
(2) When prescribing a rule under subsection (a) the Adminis-
trator shall proceed in accordance with section 558 of title 5, United
States Code (without regard to any reference in such section to sec-
tions 556 and 567 of such title) , and shall also (A) publish a notice of
proposed rulemaking stating with particularity the reason for the
proposed rule; (B) allow interested persons to submit written data,
view*, and arguments, and make all such submissions publicly avail-
able; (C) provide an opportunity for an informal hearing in accord-
ance with paragraph (3) ! (D) promulgate, if appropriate, a final
rob based on the matter in the rulemaking record (as denned in section
19(a) ), and (Ell make and publish with the rule the finding described
in subsection (a).
(8) Informal hearings required by paragraph (2) (C) shall be con-
ducted by the Administrator in accordance with the following
requirements :
(A) Subject to subparagraph (B), an interested person is
entitled—
(i) to present such person's position orally or by docu-
mentary submissions (or both), and
(ii) if the Administrator determines that there are dis-
puted issues of material fact it is necessary to resolve, to
present such rebuttal submissions and to conduct (or have
conducted under subparajrraph (B)(ii)) such cross-examina-
tion of persons as the Administrator determines (I) to be
appropriate, and (II) to be required for a full and true dis-
closure with respect to such issues.
(B) The Administrator may prescribe such rules and make such
rulings concerning procedures in such hearings to avoid unneces-
sary costs or delay. Such rules or rulings may include (i) the
imposition of reasonable time limits on each interested person's
oral presentations, and (ii) requirements that any cross-examina-
tion to which a person may be entitled under subparagraph (A)
be conducted by the Administrator on behalf of that person in such
manner as the Administrator determines (I) to be appropriate,
and (II) to be required for a full and true disclosure with respect
to disputed issues of material fact.
(C) (i) Except a* provided in clause (ii), if a group of persons
each of whom under subparagraphs (A) ana (B) would be
entitled to conduct (or have conducted) cross-examination and
who are determined by the Administrator to have the same or
similar interests in the proceeding cannot agree upon a single
representative of such interests for purposes of cross-examination,
the Administrator may make rules and rulings (I) limiting the
representation of such interest for such purposes, and (II) gov-
erning the manner in which such cross-examination shall be
(ii) When any person who is a member of a group with respect
to which the Administrator has made a determination under
clause (i) is unable to agree upon group representation with the
other members of the group, then such person shall not be denied
under the authority of clause (i) the opportunity to conduct (or
have conducted) cross-examination as to issues affecting the per-
son's particular interests if (I) the person satisfies the Admin-
istrator that the person has made a reasonable and good faith
effort to reach agreement upon group representation with the
other members of the group and (II) the Administrator deter-
mines that there are substantial and relevant issues which are not
adequately presented by the group representative.
(D) A verbatim transcript shall be taken of any oral presen-
tation made, and cross-examination conducted in any informal
healing under this subsection. Such transcript shall be available
to the public. "
(4) (A) The Administrator may, pursuant to rules prescribed by the
Administrator, provide compensation for reasonable attorneys' fees,
expert witness fees, and other costs of participating in a rulemaking
proceeding for the promulgation of a rule under subsection (a) to
any penon —
(i) who represents an interest which would substantially con-
tribute to a fair determination of the issues to be resolved in the
proceeding, and
(ii) if—
(I) the economic interest of such person U small in com-
parison to the costs of effective participation in the proceed-
ing by such person, or
A!?^^!^ P'T" dem°n*r«t«« »«> *»>• satisfaction of the
Admini«trator that such person does not have sufficient
resources adequately to participate in the proceeding without
oompanaation under this subparagraph. ~"*"""* ""«•
if *n interert wi" «ub«tan-
issues to be resolved in
ar- A . o e resove n
a proceeding, the Adnunutrator shall take into account the number
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ind complexity of such issues and the extent to which representation
of such interest will contribute to widespread public participation in
the proceeding »nd representation of a fair balance of interests for
the resolution of such issues.
(B) In determining whether compensation should be provided to
a person under subparagraph (A) and the amount of such compensa-
tion, the Administrator shall take into account the financial burden
which will be incurred by such person in participating in the rule-
making proceeding. The Administrator shall take such action as
may be necessary to ensure that the aggregate amount of compensa-
tion paid under this paragraph in any fiscal year to all persons who,
in nDemaking proceedings in which they receive compensation, are
persons who either—
(i) would be regulated by the proposed rule, or
(ii) represent persons who would be so regulated,
may not exceed 25 per centum of the aggregate amount paid as com-
pensation under this paragraph to all persons in such fiscal year.
(5) Paragraph (1), (2), (3), and (4) of this subsection apply
to the promulgation of a rule repealing, or making a substantive
amendment to, a rule promulgated under subsection (a).
(d) ErracrrvE DATE.—(1) The Administrator shall specify in any
rule under subsection (a) the date on which it shall take effect, which
date shall be as soon as feasible.
(2) (A) The Administrator may declare a proposed rule under sub-
section (a) to be effective upon its publication in the Federal Register
and until the effective date of final action taken, in accordance with
subparagraph (B), respecting such rule if—
(i) the Administrator determines that—
(I) the manufacture, processing, distribution in com-
merce, use, or disposal of the chemical substance or mixture
subject to such proposed rule or any combination of such
activities is likely to result in an unreasonable risk of serious
or widespread injury to health or the environment before
such effective date; and
(II) making such proposed rule so effective is necessary to
protect the public interest; and
(if) in the case of a proposed rule to prohibit the manufacture,
processing, or distribution of a chemical substance or mixture
because of the risk determined under clause (i) (I), a court has
in an action under section 7 granted relief with respect to such
risk associated with such substance or mixture.
Such a proposed rule which is made so effective shall not, for pur-
poses or judicial review, be considered final agency action.
(B) If the Administrator makes a proposed rule effective upon its
publication in the Federal Register, the Administrator shall, as expe-
ditiously as possible, give interested persons prompt notice of such
action, provide reasonable opportunity, in accordance with paragraphs
(2) and (3) of subsection (c), for a hearing on such rule, and either
promulgate such rule (as proposed or with modifications) or revoke
it; and if such a hearing is requested, the Administrator shall com-
mence the hearing within five days from the date such request is made
unless the Administrator and the person making the request agree
upon a later date for the hearing to begin, and after the hearing' is
concluded the Administrator shall, within ten days of the conclusion
of the hearing, either promulgate such rule (as proposed or with
modifications) or revoke it.
(e) POLTCHLORINATED BiPHiNYLs.—(1) Within six months after
the effective date of this Act the Administrator shall promulgate
rules to—
(A) prescribe methods for the disposal of polychlorinated
biphenyls, and
(B) require polychlorinated biphenyls to be marked with clear
and adequate warnings, and instructions with respect to their
processing, distribution in commerce, use, or disposal or with
i-espect to any combination of such activities.
Requirements prescribed by rules under this paragraph shall be con-
sistent with the requirements of paragraphs (2) and (3).
(•2) (A) Except as provided under subparagraph (B), effective one
year after the effective date of this Act no person may manufacture,
process, or distribute in commerce or use any polychlonnated biphenyl
111 any manner other than in a totally enclosed manner.
(B) The Administrator may by rule authorize the manufacture,
processing, distribution in commerce or use (or any combination of
such activities) of any polychlorinated biphenyl in a manner other than
in a totally enclosed manner if the Administrator finds that such manu-
facture, processing, distribution in commerce, or use (or combination
of such activities) will not present an unreasonable risk of injury to
health or the environment.
(C) For the purposes of this paragraph, the term "totally enclosed
manner" means any manner which will ensure that any exposure of
human beings or the environment to a polychlorinated biphenyl will
be insignificant as determined by the Administrator by rule.
(3) (A) Except as provided in subparagraphs (B) and (C)—
(i) no person may manufacture any polychlorinated biphenyl
after two years after the effective date of this Act, and
(ii) no pel-son may process or distribute in commerce any poly-
chlorinated biphenyl after two and one-half years after such date.
(B) Any person may petition the Administrator for an exemption
from the requirements of subparagraph (A), and the Administrator
may grant by rule such an exemption if the Administrator finds
that—
(i) an unreasonable risk of injury to health or environment
would not result, and
(ii) good faith efforts have been made to develop a chemical
substance which does not present an unreasonable risk of injury
to health or the environment and which may be substituted for
such polychlorinated biphenyl.
An exemption granted under this subparagraph shall be subject to
such terms and conditions as the Administrator may prescribe and
shall be in effect for such period (but not more than one year from
the date it is granted) as the Administrator may prescribe.
(C) Subparagraph (A) shall not apply to the distribution in com-
merce of any polychlorinated biphenyl if such polychlorinated
biphenyl was sold for purposes other than resale before two and one
half years after the date of enactment of this Act.
(4) Any rule under paragraph (1), (2)(B), or (3)(B) shall be
promulgated in accordance with paragraphs (2), (3), and (4) of sub-
section (c).
(5) This subsection does not limit the authority of the Adminis-
trator, under any other provision of this Act or any other Federal law,
to take action respecting any polychlorinated biphenyl.
SEC 7. IMMINENT HAZARDS.
(a) ACTIONS AUTHORIZED .VXD RKQCIKKD.—(1) The Administrator
may commence a civil action in an appropriate district court of the
United States—
(A) for seizure of an imminently hazardous chemical sub-
stance or mixture or any article containing such a substance or
mixture,
(B) for relief (as authorized by subsection (b)) against any
person who manufactui'es, processes, distributes in commerce, or
uses, or disposes of, 1111 imminently hazardous chemical substance
or mixture or any article containing such a substance or mix-
ture, or
(C) for both such seizure and relief.
A civil action may be commenced under this paragraph notwith-
standing the existence of a rule under section 4, 5, or 8 or an order
under section 5, and notwithstanding the pendency of any adminis-
trative or judicial proceeding under any provision of this Act.
(2) If the Administrator has not mane a rule under section 6(a)
immediately effective (as authorized by subsection 6(d) (2) (A) (i))
with respect to an imminently hazardous chemical substance or mix-
ture, the Administrator shall commence in a district court of the United
States with respect to such substance or mixture or article containing
such substance or mixture a civil action described in subparagrapn
(A), (B),or (C) of paragraph (1).
(b) RELIEF AUTHORIZED.—(1) The district court of the United
States in which an action under subsection (a) is brought shall have
jurisdiction to grant such temporary or permanent relief as may be
necessary to protect health or the environment from the unreasonable
risk associated with the chemical substance, mixture, or article involved
in such action.
(2) In the case of an action under subsection (a.) brought against
a person who manufactures, processes, or distributes in commerce a
chemical substance or mixture or an article containing a chemical sub-
stance or mixture, the relief authorized by paragraph (1) may include
the issuance of a mandatory order requiring (A) in the case of pur-
chasers of such substance, mixture, or article known to the defendant,
notification to such purchasers of the risk associated with it; (B) pub-
lic notice of such risk; (C) recall; (D) the replacement or repurchase
of such substance, mixture, or article; or (E) any combination of the
actions described in the preceding clauses.
(3) In the case of an action under subsection (a) against a chemi-
cal substance, mixture, or article, such substance, mixture, or article
may be proceeded against by process of libel for its seizure and con-
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damnation. Proceedings in such in action shall conform as nearly a*
possible to proceedings in rem in admiralty.
(c) VENIJE AM> COXBOLIDATIOM.—(1) (A) An action under subsec-
tion (a) against a person who manufacture*, processes, or distribute* a
chemical substance or mixture or an article containing a chemical sub-
stance or mixture may be brought in the United States District Court
for the District of Columbia or for any judicial district in which any
of the defendants is found, resides, or transacts business; and process
in such an action may be served on a defendant in any other district
in which such defendant resides or may be found. An action under sub-
section (a) against a chemical substance, mixture, or article may be
brought in any United States district court within the jurisdiction of
which the substance, mixture, or article is found.
(B) In determining the judicial district in which an action may be
brought under subsection (a) in instances in which such action may
be brought in more than one judicial district, the Administrator shall
take into account the convenience of the parties.
(C) Subpeonas requiring attendance of witnesses in an action
brought under subsection (a) may be served in any judicial district.
(2) Whenever proceedings under subsection (a) involving identi-
cal chemical substances, mixtures, or articles are pending in courts in
two or more judicial districts, they shall be consolidated for trial by
order of any such court upon application reasonably made by any
party in interest, upon notice to all parties in interest.
(d) ACTION UNDEB SECTION 6.—Where appropriate, concurrently
with the filing of an action under subsection (a) or as soon thereafter
as may be practicable, the Administrator shall initiate a proceeding
for the promulgation of a rule under section 6(a).
(e) REVBESENTATION.—Notwithstanding any other provision of law,
in any action under subsection (a), the Administrator may direct
attorneys of the Environmental Protection Agency to appear and
represent the Administrator in such an action.
(f) DEFINITION.—For the purposes of subsection (a), the term
"imminently hazardous chemical substance or mixture" means a chemi-
cal substance or mixture which presents an imminent and unreason-
able risk of serious or widespread injury to health or the environment.
Such a risk to health or the environment shall be considered imminent
if it is shown that the manufacture, processing, distribution in com-
merce, use, or disposal of the chemical substance or mixture, or that any
combination of such activities, is likely to result in such injury to
health or the environment before a final rule under section 6 can
protect ngainst such risk
SEC. 8. REPORTING AND RETENTION OF INFORMATION.
(a) REPORTS.— (1) The Administrator shall promulgate rules
under which—
(A) each person (other than a small manufacturer or proc-
essor) who manufactures or processes or proposes to manufacture
or process a chemical substance (other than a chemical substance
described in subparagraph (B)(ii)) shall maintain such rec-
ords, and shall submit to the Administrator such reports, as the
Administrator may reasonably require, and
(H) each person (other than a small manufacturer or proc-
essor) who manufactures or processes or proposes to manufacture
or process—
(i) a mixture, or
(ii) a chemical substance in small quantities (as defined
by the Administrator by rule) solely for purposes of scientific
experimentation or analysis or chemical research on. or
analysis of, such substance or another substance, including
any such research or analysis for the development of a
product,
shall maintain records and submit to the Administrator reports
but only to the extent the Administrator determines the main-
tenance of records or submission of reports, or both, is necessary
for the effective enforcement of this Act
Tho Administrator may not require in u rule promulgated under this
paragraph the maintenance of records or the submission of reports
with respect to changes in the proportions of the components of a
mixture unless the Administrator finds that the maintenance of such
records or the submission of such reports, or both, is necessary for
the effective enforcement of this Act. For purposes of the compilation
of the list of chemical substances required under subsection (b), the
Administrator shall promulgate rules pursuant to this subsection not
later than 180 days after the effective date of this Act.
(2) The Administrator may require under paragraph (1) mainte-
nance of records and reporting with respect to the following insofar
as known to the person making the report or insofar as reasonably
ascertainable :
(A) The common or trade name, the chemical identity, and the
molecular structure of each chemical substance or mixture for
which such a report is required.
(B) The categories or proposed categories of use of each such
substance or mixture.
(C) The total amount of each such substance and mixture
manufactured or processed, reasonable estimates of the total
amount to be manufactured or processed, the amount manufac-
tured or processed for each of its categories of use, and reasonable
estimates of the amount to be manufactured or processed for each
of its categories of use or proposed categories of use.
(D) A description of the byproducts resulting from the manu-
facture, processing, use, or disposal of each such substance or
mixture.
(E) All existing data concerning the environmental and health
effect* of such substance or mixture.
(F) The number of individuals exposed, and reasonable esti-
mates of the number who will be exposed, to such substance or
mixture in their places of employment and the duration of such
exposure.
(G) In the initial report under paragraph (1) on such substance
or mixture, the manner or method of its disposal, and in any
subsequent report on such substance or mixture, any change in
such manner or method!
To the extent feasible, the Administrator shall not require under
paragraph (1), any reporting which is unnecessary or dnplicative.
(3) (A) (i) The Administrator may by rule require a small manu-
facturer or processor of a chemical substance to submit to the Admin-
istrator such information respecting the chemical substance as the
Administrator may require for publication of the first list of chemi-
cal substances required by subsection (b) .
(ii) The Administrator may by rule require a small manufacturer
or processor of a chemical substance or mixture —
(I) subject to a rule proposed or promulgated under section 4,
5(b) (4), or 6, or an order in effect under section 5(e), or
(II) with respect to which relief has been granted pursuant to
a civil action brought under section 5 or 7,
to maintain such records on such substance or mixture, and to submit
to the Administrator such reports on such substance or mixture, as
the Administrator may reasonably require. A rule under this clause
requiring reporting may require reporting with respect to the matters
referred to in paragraph (2).
(B) The Administrator, after consultation with the Administrator
of the Small Business Administration, shall by rule prescribe stand-
ards for determining the manufacturers and processors which qualify
as small manufacturers and processors for purposes of this paragraph
and paragraph (1).
(b) INTEKTOPT. — (1) The Administrator shall compile, keep cur-
rent, and publish a list of each chemical substance which is manufac-
tured or processed in the United States. Such list shall at least include
each chemical substance which any person reports, under section 5 or
subsection (a) of this section, is manufactured or processed in the"
United States. Such list may not include any chemical substance
which was not manufactured or processed in the United States within
three years before the effective date of the rules promulgated pur-
suant to the last senUnce of subsection (a) (1). In the case of a chemi-
cal substance for which a notice is submitted in accordance with
section 5, such chemical substance shall be included in such list as of
the earliest date (as determined by the Administrator) on which such
substance was manufactured or processed in the United States. The
Administrator shall first publish such a list not later than 315 days
after the effective date of this Act. The Administrator shall not include
in such list any chemical substance which is manufactured or processed
only in small quantities (as denned by the Administrator by rule)
solely for purposes of scientific experimentation or analysis or chemi-
cal research on, or analysis of, such substance or another substance
mc'"dl2« s(u,ch reae*reh or »"»lyi* for the development of a product!
(2) To the extent consistent with the purposes of this Act, the
Administrator may, in lieu of listing, pursuant to paragraph
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caused by the substance or mixture. Records of such adverse reactions
to the health of employees shall be retained for a period of 30 years
from the date such reactions were first reported to or known by the
person maintaining such records. Any other record of such adverse
reactions shall be retained for a period of five years from the date
the information contained in the record was first reported to or known
by the person maintaining the record. Records required to be main-
tamed under this subsection shall include records of consumer allega-
tions of personal injury or harm to health, reports of occupational
disease or injury, and reports or complaints of injury to the environ-
ment submitted to the manufacturer, processor, or distributor in com-
merce from any source. Upon request of any duly designated
representative of the Administrator, each person who is required to
maintain records under this subsection shaD permit the inspection of
such records and shall submit copies of such records.
(d) HEALTH AND SAFETY STUDIES.—The Administrator shall pro-
mulgate rules under which the Administrator shall require any person
who manufactures, processes, or distributes in commerce or who pro-
poses to manufacture, process, or distribute in commerce any chemical
substance or mixture (or with respect to paragraph (2), any person
who has possession of a study) to submit to the Administrator—
(1) lists of health and safety studies (A) conducted or initiated
by or for such person with respect to such substance or mixture
at any time, (B) known to such person, or (C) reasonably ascer-
tainaple by such person, except that the Administrator may exclude
certain types or categories of studies from the requirements of this
subsection if the Administrator finds that submission of lists of
such studies are unnecessary to carry out the purposes of this Act;
and
(2) copies of any study contained on a list submitted pursuant
to paragraph (1) or otherwise known by such person.
(e) NOTICE TO ADMINISTRATOR OF SUBSTANTIAL RISKS.—Any person
who manufactures, processes, or distributes in commerce a chemical
substance or mixture and who obtains information which reasonably
supports the conclusion that such substance or mixture presents a
substantial risk of injury to health or the environment shall imme-
diately inform the Administrator of such information unless such
person has actual knowledge that the Administrator has been ade-
quatelyinfonned of such information.
(f) DEFINITIONS.—For purposes of this section, the terms "manufac-
ture and "process" mean manufacture or process for commercial
purposes.
SEC 9. RELATIONSHIP TO OTHER FEDERAL LAWS.
(a) LAWS Xcr ADMINISTERED BY THE ADMINISTRATOR.—(1) If
the Administrator has reasonable basis to conclude that the manufac-
ture, processing, distribution in commerce, use, or disposal of a chemical
substance, or mixture, or that any combination of such activities, pre-
sents or will present an unreasonable risk of injury to health or the
environment and determines, in the Administrator's discretion, that
such risk may be prevented or reduced to a sufficient extent by action
taken under a Federal law not administered by the Administrator,
the Administrator shall submit to the agency which administers such
law a report which describes such risk and includes in such description
a specification of the activity or combination of activities which the
Administrator has reason to believe so presents such risk. Such report
shall also request such agency—
(A) (i) to determine if the risk described in such report may
be prevented or reduced to a sufficient extent by action taken under
such law, and
(ii) if the agency determines that such risk may be so prevented
or reduced, to issue an order declaring whether or not the activity
or combination of activities specified in the description of such
risk presents such risk; and
(B) to respond to the Administrator with respect to the matters
described in subparagraph (A).
Any report of the Administrator shall include a detailed statement of
the information on which it is based and shall be published in the
Federal Register. The agency receiving a request under such a report
shall make the requested determination, issue the requested order,
and make the requested response within such time as the Administrator
specifies in the request, but such time specified may not be less than
90 days from the date the request was made. The response of an agency
shall be accompanied by a detailed statement of the findings and
conclusions of the agency and shall be published in the Federal Regis-
ter.
(2) If the Administrator makes a report under paragraph (1) with
respect to a chemical substance or mixture and the agency to which
such report was made either—
(A) issues an order declaring that the activity or combination
of activities specified in the description of the risk described in
the report does not present the risk described in the report, or
(B) initiates, within 90 days of the publication in the Federal
Register of the response of the agency under paragraph (1), action
under the law (or laws) administered by such agency to protect
against such risk associated with such activity or combination of
activities,
the Administrator may not take any action under section 6 or 7 with
respect to such risk.
(3) If the Administrator has initiated action under section 6 or 7
with respect to a risk associated with a chemical substance or mixture
which was the subject of a report made to an agency under paragraph
(1), such agency ahall before taking action under the law (or laws)
administered by it to protect against such risk consult with the Admin-
istrator for the purpose of avoiding duplication of Federal action
against such risk.
(b) LAWS ADMINISTERED BY THB ADMINISTRATOR.—The Administra-
tor shall coordinate actions taken under this Act with actions taken
under other Federal laws administered in whole or in part by the
Administrator. If the Administrator determines that a risk to health or
the environment associated with a chemical substance or mixture could
be eliminated or reduced to a sufficient extent by actions taken under
the authorities contained in such other Federal laws, the Administrator
shall use such authorities to protect against such risk unless the Admin-
istrator determines, in the Administrator's discretion, that it is in the
public interest to protect against such risk by actions taken under
this Act. This subsection shall not be construed to relieve the Admin-
istrator of any requirement imposed on the Administrator by such
other Federal laws.
(c) OCCUPATIONAL SAFETY AND HEALTH.—In exercising any author-
ity under this Act, the Administrator shall not, for purposes of section
4(b)(l) of the Occupational Safety and Health Act of 1970, be
deemed to be exercising statutory authority to prescribe or enforce
standards or regulations affecting occupational safety and health.
(d) COORDINATION.—In administering this Act, the Administrator
ahall consult and coordinate with the Secretary of Health, Education,
and Welfare and the heads of any other appropriate Federal execu-
tive department or agency, any relevant independent regulatory
agency, and any other appropriate instrumentality of the Federal Gov-
ernment for the purpose of achieving the maximum enforcement of this
Act while imposing the least burdens of duplicative requirements on
those subject to the Act and for other purposes. The Administrator
shall, in the report required by section 30, report annually to the
Congress on actions taken to coordinate with such other Federal
departments, agencies, or instrumentalities, and on actions taken to
coordinate the authority under this Act with the authority granted
under other Acts referred to in subsection (b).
8EC 10. RESEARCH, DEVELOPMENT. COLLECTION, DISSEMINATION,
AND UTILIZATION OF DATA.
(a) AcTHOHmr.—The Administrator shall, in consultation and
cooperation with the Secretary of Health, Education, and Welfare
and with other heads of appropriate departments and agencies, con-
duct such research, development, and monitoring as is necessary to
carry out the purposes of this Act. The Administrator may enter into
contracts and may make grants for research, development, and moni-
toring under this subsection. Contracts may be entered into under this
subsection without regard to sections 3648 and 3709 of the Revised
Statutes (31 U.S.C. 529,14 U.S.C. 5).
(b) DATA SYSTEMS.—(1) The Administrator shall establish, admin-
ister, and be responsible for the continuing activities of an interagency
committee which shall design, establish, and coordinate an efficient and
effective system, within the Environmental Protection Agency, for
the collection, dissemination to other Federal departments and agen-
cies, and use of data submitted to the Administrator under this Act.
(2) (A) The Administrator shall, in consultation and cooperation
with the Secretary of Health, Education, and Welfare and other heads
of appropriate departments and agencies design, establish, and coordi-
nate an efficient and effective system for the retrieval of lexicological
and other scientific data which could be useful to the Administrator in
carrying out the purposes of this Act. Systematized retrieval shall be
developed for use by all Federal and other departments and agencies
with responsibilities in the area of regulation or study of chemical
substances and mixtures and their effect on health or the environment.
(B) The Administrator, in consultation and cooperation with the
Secretary of Health, Education, and Welfare, may make grants and
enter into contracts for the development of a data retrieval system
described in subparagraph (A). Contracts may be entered into under
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this subparagraph without regard to sections 3648 and 3709 of the
Revised Statutes (31 U.S.C. 529,41 U.S.C. 5).
(c) SCREENING TECHNIQUES.—The Administrator shall coordinate,
with the Assistant Secretary for Health of the Department of Health,
Education, and Welfare, research undertaken by the Administrator
and directed toward the development of rapid, reliable, and economical
screening techniques for carcinogenic, mutagenic, teratogenic, and
ecological effects of chemical substances and mixtures.
(d) MONITORING.—The Administrator shall, in consultation and
cooperation with the Secretary of Health, Education, and Welfare,
establish and be responsible for research aimed at the development, in
cooperation with local, State, and Federal agencies, of monitoring
techniques and instruments which may be used in the detection of toxic
chemical substances and mixtures and which are reliable, economical,
and capable of being implemented under a wide variety of conditions.
(e) BASIC RESEARCH.—The Administrator shall, in consultation and
cooperation with the Secretary of Health. Education, and Welfare,
establish research programs to develop the fundamental scientific basis
of the screening and monitoring techniques described in subsections
(c) and (d), the bounds of the reliability of such techniques, and the
opportunities for their improvement.
(f) TRAINING.—The Administrator shall establish and promote
programs and workshops to train or facilitate the training of Federal
laboratory and technical personnel in existing or newly developed
screening and monitoring techniques.
(g) EXCHANGE or RESEARCH AND DEVELOPMENT RESULTS.—The
Administrator shall, in consultation with the Secretary of Health,
Education, and Welfare and other heads of appropriate departments
and agencies, establish and coordinate a system for exchange among
Federal, State, and local authorities of research and development
results respecting toxic chemical substances and mixtures, including
u system to facilitate and promote the development of standard data
format and analysis and consistent testing procedures.
SEC 11. INSPECTIONS AND SUBPOENAS.
(a) IN GENERAL.—For purposes of administering this Act, the
Administrator, and any duly designated representative of the Admin-
istrator, may inspect any establishment, facility, or other premises in
which chemical substances or mixtures are manufactured, processed,
stored, or held before or after their distribution in commerce and any
conveyance being used to transport chemical substances, mixtures, or
such articles in connection witli distribution in commerce. Such an
inspection may only be made upon the presentation of appropriate
credentials and of a written notice to the owner, operator, or agent in
charge of the premises or conveyance to be inspected. A separate notice
shall be given for each such inspection, but a notice shall not be
required tor each entry made during the period covered by the inspec-
tion. Each such inspection shall be commenced and completed with
reasonable promptness and shall be conducted at reasonable times,
within reasonable limits, and in a reasonable manner.
(b) SCOPE.—(1) Except as provided in paragraph (2), an inspec-
tion conducted under subsection (a) shall extend to all things within
the premises or conveyance inspected (including records, files, papers,
processes, controls, and facilities) bearing on whether the requirements
of this Act applicable to the chemical substances or mixtures within
such premises or conveyance have been complied with.
(2) No inspection under subsection (a) shall extend to—
(A) financial data,
(B) sales data (other than shipment data),
(C) pricing data,
(D^ personnel data, or
(E) research data (other than data required by this Act or
under a rule promulgated thereunder),
unless the nature and extent of such data are described with reasonable
specificity in the written notice required by subsection (a) for such
inspection.
(c) SUBPOENAS.—In carrying out this Act, the Administrator may
by subpoena require the attendance and testimony of witnesses and
the production of reports, papers, documents, answers to questions,
and other information that the Administrator deems necessary. Wit-
nesses shall be paid the same fees and mileage that are paid witnesses
in the courts of the United States. In the event of contumacy, failure,
or refusal of any person to obey any such subpoena, any district court
of the United States in which venue is proper shall have jurisdiction
to order any such person to comply with such subpoena. Any failure
to obey such an order of the court is punishable by the court as a con-
tempt thereof.
SEC 12. EXPORTS.
(a) IN GENERAL.—(1) Except as provided in paragraph (2) and
subsection (b),-this Act (other than section 8) shall not apply to any
chemical substance, mixture, or to an article containing a chemical
substance or mixture, if—
(A) it can be shown that such substance, mixture, or article is
being manufactured, processed, or distributed in commerce for
export from the United States, unless such substance, mixture, or
article was, in fact, manufactured, processed, or distributed in
commerce, for use in the United States, and
(B) such substance, mixture, or article (when distributed in
commerce), or any container in which it is enclosed (when so dis-
tributed), bears a stamp or label stating that such substance, mix-
ture, or article is intended for export.
(2) Paragraph (1) shall not apply to any chemical substance, mix-
ture, or article if the Administrator finds that the substance, mixture,
or article will present an unreasonable risk of injury to health within
the United States or to the environment of the United States. The
Administrator may require, under section 4, testing of any chemical
substance or mixture exempted from this Act by paragraph (1) for
the purpose of determining whether or not such substance or mixture
presents an unreasonable risk of injury to health within the United
States or to the environment of the United States.
(b) NOTICE.—(1) If any person exports or intends to export to a
foreign country a chemical substance or mixture for which the submis-
sion of data is required under section 4 or 5(b), such person shall
notify the Administrator of such exportation or intent to export and
the Administrator shall furnish to the government of such country
notice of the availability of the data submitted to the Administrator
under such section for such substance or mixture.
(•2) If any person exports or intends to export to a foreign country
a chemical substance or mixture for which an order has been issued
under section 5 or a rule has been proposed or promulgated under sec-
tion 5 or 6, or with respect to which an action is pending, or relief has
been granted under section * or 7, such person shall notify the Admin-
istrator of such exportation or intent to export and the Administrator
shall furnish to the government of such country notice of such rule,
order, action, or relief.
SEC 11. ENTRY INTO CUSTOMS TERRITORY OF THE UNITED STATES.
(a) Ix GENERAL.—(1) The Secretary of the Treasury shall refuse
entry into the customs territory of the United States (as defined in
general headnote 2 to the Tariff Schedules of the United States) of
any chemical substance, mixture, or article containing a chemical sub-
stance or mixture offered for such entry if—
(A) it fails to comply with any rule in effect under this Act, or
(B) it is offered for entry in violation of section 5 or 6, a rule or
order under section 5 or 6, or an order issued in a civil action
brought under section & or 7.
(2) If a chemical substance, mixture, or article is refused entry
under paragraph (1), the Secretary of the Treasury shall notify the
consignee of such entry refusal, shall not release it to the consignee,
and shall cause its disposal or storage (under such rules as the Secre-
tary of the Treasury may prescribe) if it has not been exported by the
consignee within 90 days from the date of receipt of notice of such
refusal, except that the Secretary of the Treasury may, pending a
review by the Administrator of the entry refusal, release to the con-
signee such substance, mixture, or article on execution of bond for the
amount of the full invoice of such substance, mixture, or article (as
such value is set forth in the customs entry), together with the duty
thereon. On failure to return such substance, mixture, or article for
any cause to the custody of the Secretary of the Treasury when
demanded, such consignee shall be liable to the United States for liqui-
dated damages equal to the full amount of such bond. All charges for
storage, cartage, and labor on and for disposal of substances, mixtures,
or articles which are refused entry or release under this section shall
be paid by the owner or consignee, and in default of such payment
shall constitute a lien against any future entry made by such owner or
consignee.
(b) RULES—The Secretary of the Treasury, after consultation with
the Administrator, shall issue rules for the administration of subsec-
tion (a) of this section.
SEC 14. DISCLOSURE OP DATA.
(a) IN GENERAL.—Except as provided by subsection (b), any
information reported to, or otherwise obtained by, the Administrator
(or any representative of the Administrator) under this Act, which is
exempt from disclosure pursuant to subsection (a) of section 552 of
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title 5, United States Code, by reason of subsection (b) (4) of such
section, shall, notwithstanding the provisions of any other section of
this Act, not be disclosed by the Administrator or by any officer or
employee of the United States, except that such information—
(1) shall be disclosed to any officer or employee of the United
States—
(A) in connection with the official duties of such officer
or employee under any law for the protection of health or
the environment, or
(B) for specific law enforcement purposes;
(2) shall be disclosed to contractors with the United States and
employees of such- contractors if in the opinion of the Administra-
tor such disclosure is necessary ior the satisfactory performance
by the contractor of a contract with the United States entered into
on or after the date of enactment of this Act for the performance
of work in connection with this Act and under such conditions
as the Administrator may specify;
(3) shall be disclosed if the Administrator determines it neces-
sary to protect health or the environment against an unreasonable
risk of injury to health or the environment; or
(4) may be disclosed when relevant in any proceeding under
this Act, except that disclosure in such a proceeding shall be
made in such manner as to preserve confidentiality to the extent
practicable without impairing the proceeding.
In any proceeding under section 552(n) of title 8, United States Code,
to obtain information the disclosure of which has been denied because
of the provisions of this subsection, the Administrator may not rely on
section 552(b) (3) of such title to sustain the Administrator's action.
(b) DATA FROM HEALTH AND SAFETY STUDIES.—(1) Subsection (a)
does not prohibit tlie disclosure of—
(A) any health and safety study which is submitted under this
Act with respect to—
(i) any chemical substance or mixture which, on the date
on which such study is to be disclosed has been offered for
commercial distribution, or
(ii) any chemical substance or mixture for which testing is
required under section 4 or for which notification is required
under section 5, and
(B) any data reported to, or otherwise obtained hy, the Admin-
istrator from a health and safety study which relates to a chemical
substance or mixture described in clause (i) or (ii) of subpara-
graph (A).
This paragraph does not authorize the release of any data which dis-
closes processes used in the manufacturing or processing of a chemical
substance or mixture or, in the case of a mixture, the release of data
disclosing the portion of the mixture comprised by any of the chemical
substances in the mixture.
(2) If a request is made to the Administrator under subsection (a)
of section 652 of title 5, United States Code, for information which is
described in the first sentence of paragraph (1) and which is not
information described in the second sentence of such paragraph, the
Administrator may not deny such request on the basis of subsection
(b) (4) of such section.
(c) DESIGNATION AND RELEASE OK CONFIDENTIAL DATA.—(1) In sub-
mitting data under this Act, a manufacturer, processor, or distributor
in commerce may (A) designate the data which such person believes
is entitled to confidential treatment under subsection (a), and (B)
submit such designated data separately from other data submitted
under this Act. A designation under this paragraph shall be made in
writing and in such manner as the Administrator may prescribe.
(2) (A) Except as provided by subparagraph (B), if the Adminis-
/rator proposes to release for inspection data which has been desig-
nated under paragraph (1)(A), the Administrator shall notify, in
writing and by certified mail, the manufacturer, processor, or distrib-
utor in commerce who submitted such data of the intent to release such
data. If the release of such data is to be made pursuant to a i-equest
made under section 552(a) of title 5, United States Code, such notice
shall be given immediately upon approval of such request by the
Administrator. The Administrator may not release such data until
the expiration of 30 days after the manufacturer, processor, or distrib-
utor in commerce submitting such data has received the notice required
by this subparagraph.
(B) (i) Subparagraph (A) shall not apply to the release of infor-
mation under paragraph (1), (2), (3), or (4) of subsection (a), except
that the Administrator may not release data under paragraph (3) of
subsection (a) unless the Administrator has notified each manufac-
turer, processor, and distributor in commerce who submitted such data
of such release. Such notice shall be made is writing by certified mail
at least ir> days before the release of such data, except that if the
Administrator determines that the release of such data is necessary
to protect against an imminent, unreasonable risk of injury to health
or the environment, such notice may be made by such means as the
Administrator determines will provide notice at least 24 hours before
such release is made.
(ii) Subparagraph (A) shall not npply to the release of information
described in subsection (b)(l) other than information described in
the second sentence of such subsection.
(d) CRIMINAL PENALTY FOR WRONGFUL DISCLOSURE.—(1) Any
officer or employee of the United States or former officer or employee
of the United States, who by virtue of such employment or official
position has obtained possession of, or has access to, material the dis-
closure of which is prohibited by subsection (a), and who knowing
that disclosure of such material is prohibited by such subsection. wilP
fully discloses the material in any manner to any person not entitled to
receive it, shall be guilty of a misdemeanor and fined not more than
$5,000 or imprisoned for not more than one year, or both. Section
1905 of title 18, United States Code, does not apply with respect to
the publishing, divulging, disclosure, or making known of, or making
available, information reported or otherwise obtained under this Act.
(2) For the purposes of paragraph (1), any contractor with the
United States who is furnished information as authorized by subsec-
tion (a) (2), and any employee of any such contractor, shall be con-
sidered to be an employee of the United States.
(e) ACCESS BY CONGRESS.—Notwithstanding any limitation con-
tained in this section or any other provision of lawt all information
reported to or otherwise obtained by the Administrator (or any repre-
sentative of the Administrator) under this Act shall be made available,
upon written request of any duly authorized committee of the Con-
gress, to such committee.
SEC IS. PROHIBITED ACTS.
It shall be unlawful for any person to—
(1) fail or refuse to comply with (A) any rule promulgated or
order issued under section 4, (B) any requirement prescribed by
section 5 or 6, or (C) any rule promulgated or order issued under
section 5 or 6;
(2) use for commercial purposes a chemical substance or mix-
ture which such person knew or had reason to know was manufac-
tured, processed, or distributed in commerce in violation of section
5 or 6, a rule or order under section 5 or 6, or an order issued in
action brought under section 5 or 7;
(3) fail or refuse to (A) establish or maintain records, (B)
submit reports, notices, or other information, or (C) permit access
to or copying of records, as required by this Act or a rule there-
under; or
(4) fail or refuse to permit entry or inspection as required bv
section 11. J
SEC 16. PENALTIES.
(a) Crvn.—(1) Any person who violates a provision of section 15
shall be liable to the United States for a civilpenalty in an amount
not to exceed $25,000 for each such violation. Each day such a viola-
tion continues shall, for purposes of this subsection, constitute a sepa-
rate violation of section 15.
(2) (A) A civil penalty for a violation of section 15 shall be assessed
by the Administrator by an order made on the record after oppor-
tunity (provided in accordance with this subparagraph) for a hearing
in accordance with section 554 of title 5, United States Code. Before
issuing such an order, the Administrator shall give written notice to
the person to be assessed a civil penalty under such order of the Admin-
istrator's proposal to issue such order and provide such person an
opportunity to request, within 15 days of the date the notice is received
by such person, such a hearing on the order.
(B) In determining the amount of a civil penalty, the Administra-
tor shall take into account the nature, circumstances, extent, and
gravity of the violation or violations and, with respect to the violator,
ability to pay, effect on ability to continue to do business, any history
of prior such violations, the degree of culpability, and such other
matters as justice may require.
(C) The Administrator may compromise, modify, or remit, with
or without conditions, any civil penalty which may be imposed under
this subsection. The amount of such penalty, when finally determined,
or the amount agreed upon in compromise, may be deducted from
any sums owing by the United States to the person charged.
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(3) Any person who requested in accordance with paragraph (2)
(A) a hearing respecting the assessment of a civil penalty and who is
aggrieved by an order assessing a civil penalty may file a petition for
judicial review of such order wjth the United States Court of Appeals
for the District of Columbia Circuit or for any other circuit in which
such person resides or transacts business. Such a petition may only be
filed within the 30-day period beginning on the date the order making
such assessment was issued.
(4) If any person fails to pay an assessment of a civil penalty—
(A) after the order making the assessment has become a final
order and if such person does not file a petition for judicial review
of the order in accordance with paragraph (3), or
(B) after a court in an action brought under paragraph (3)
has entered a final judgment in favor of the Administrator,
the Attorney General shall recover the amount assessed (plus interest
at currently prevailing rates from the date of the expiration of the 30-
ilay perioa referred to in paragraph (3) or the date of such final
judgment, as the case may be) in an action brought in any appropriate
district court of the United States. In such an action, the validity,
amount, and appropriateness of such penalty shall not be subject to
review.
(b) CRIMINAL.—Any person who knowingly or willfully violates
any provision of section 15 shall, in addition to or in lieu of any civil
penalty which may be imposed under subsection (a) of this section for
such violation, be subject, upon conviction, to a fine of not more than
$25,000 for each day of violation, or to imprisonment for not more
than one year, or both.
SEC 17. SPECIFIC ENFORCEMENT AND SEIZURE.
(a) SPICDTO ENTOBCEMZMT.—(1) The district courts of the United
States shall have jurisdiction over civil actions to—
(A) restrain any violation of section 15,
(B) restrain any person from taking any action prohibited by
section 5 or 6 or by a rule or order under section 6 or 6.
(C) compel the taking of any action required by or under this
Act, or
(D) direct any manufacturer or processor of a chemical sub-
stance or mixture manufactured or processed in violation of sec-
tion 5 or 6 or a rule or order under section ^ or 6 and distributed
in commerce, (i) to give notice of such fact to distributors in
commerce of such substance or mixture and, to the extent reason-
ably ascertainable, to other persons in possession of such sub-
stance or mixture or exposed to such substance or mixture, (ii) to
give public notice of such risk of injury, and (iii) to either replace
or repurchase such substance or mixture, whichever the person to
which the requirement is directed elects.
(2) A civil action described in paragraph (1) may be brought—
(A) in the case of a civil action described in subparagraph (A)
of such paragraph, in the United States district court for the judi-
cial district wherein any act, omission, or transaction constituting
a violation of section 15 occurred or wherein the defendant is found
or transacts business, or
(B) in the case of any other civil action described in such para-
graph, in the United States district court for the judicial district
wherein the defendant is found or transacts business.
In any such civil action process may be served on a defendant in any
judicial district in which a defendant resides or may be found. Sub-
poenas requiring attendance of witnesses in any such action may be
served in any judicial district.
(b) SEIZURE—Any chemical substance or mixture which was manu-
factured, processed, or distribu'«d in commerce in violation of this Act
or any rule promulgated or order issued under this Act or any article
containing such a substance or mixture shall be liable to be proceeded
against, by process of libel for the seizure and condemnation of such
substance, mixture, or article, in any district court of the United States
within the jurisdiction of which such substance, mixture, or article is
found. Such proceedings shall conform as nearly as possible to proceed-
ings in rem in admiralty.
SEC 18. PREEMPTION.
(a) Emcr ON STATE LAW.—(1) Except as provided in paragraph
(2), nothing in this Act shall affect the authority of any State or politi-
cal subdivision of a State to establish or continue in effect regulation
of any chemical substance, mixture, or article containing a chemical
substance or mixture.
(2) Except as provided in subsection (b) —
(A) if the Administrate requires by a rule promulgated under
section 4 the testing of a chemical substance or mixture, no State or
political subdivision may, after the effective date of such rule.
^ [ of such
substance or mixture for purposes similar to those for which test-
ing is required under such rule; and
(B) if the Administrator prescribes a rule or order under sec-
tion 5 or 6 (other than a rule imposing a requirement described
in subsection (a) (6) of section 6) which is applicable to a chemical
substance or mixture, and which is designed to protect against a
risk of injury to health or the environment associated with such
substance or mixture, no State or political subdivision of a State
may. after the effective date of such requirement, establish or
continue in effect, any requirement which is applicable to such sub-
stance or mixture, or an article containing such substance or mix-
ture, and which is designed to protect against such risk unless such
requirement (i) is identical to the requirement prescribed by the
Administrator, (ii) is adopted under the authority of the Clean
Air Act or any other Federal law, or (iii) prohibits the use of such
substance or mixture in such State or political subdivision (other
than its use in the manufacture or processing of other substances
or mixtures).
(b) EXEMPTION.—Upon application of a State or political subdivi-
sion of a State the Administrator may by rule exempt from subsection
(a) (2), under such conditions as may be prescribed in sucii rule, a
requirement of such State or political subdivision designed to protect
against a risk of injury to health or the environment associated with
a chemical substance, mixture, or article containing a chemical sub-
stance or mixture if—
(1) compliance with the requirement would not cause the
manufacturing, processing, distribution in commerce, or use of the
substance, mixture, or article to be in violation of the applicable
requirement under this Act described in subsection (a) (2), and
(2) the State or political subdivision requirement (A) provides
a significantly higher degree of protection from such risk than the
requirement under this Act described in subsection (a) (2) and
(B) does not, through difficulties in marketing, distribution, or
other factors, unduly burden interstate commerce.
SEC IS. JUDICIAL REVIEW.
(a) IN GENERAL—(1)(A) Not later than 60 days after the date
of the promulgation of a rule under section 4(a), 5(a) (2), 5(b)(4),
6(a), 8(e), or 8, any person may file a petition for judicial review of
such rule with the United States Court of Appeals for the District of
Columbia Circuit or for the circuit in which such person resides or in
which such person's principal place of business is located. Courts
of appeals of the United States shall have exclusive jurisdiction of
any action to obtain judicial review (other than in an enforcement
proceeding) of such a rule if any district court of the United States
would have had jurisdiction of such action but for this subparagraph.
(B) Courts of appeals of the United States shall have exclusive
jurisdiction of any action to obtain judicial review (other than in an
enforcement proceeding) of an order issued under subparagraph (A)
or (B) of section fl(b) (1) if any district court of the United States
would have had jurisdiction of such action but for this subparagraph.
(2) Copies of any petition filed under paragraph (1) (A) snail be
transmitted forthwith to the Administrator and to the Attorney Gen-
eral by the clerk of the court with which such petition was filed. The
provisions of section 2112 of title 28, United States Code, shall apply
to the filing of the rulemaking record of proceedings on which the
Administrator Insed the rule being reviewed under this section and to
the transfer of proceedings between United States courts of appeals.
(3) For purposes of this section, the term "rulemaking record"
(A) the rule being reviewed under this section;
(B) in the case of a rule under section 4(a), the finding required
by such section, in the case of a rule under section 5(b) (4). the
finding required by such section, in the case of a rule under section
«(a) the finding required by section 5(f) or 6(a), as the case may
be, in the case of a rule under section 6(a), the statement required
by section 8(c) (1), and in the case of a rule under section 6(e),
the findings required by paragraph, (2) (B) or (3)(B) of such
section, as the case may be;
(C) any transcript required to be made of oral presentations
made in proceedings for the promulgation of such rule;
(D) any written submission of interested parties respecting the
promulgation of such rule; and
(E) any other information which the Administrator considers
to be relevant to such rule and which the Administrator identified,
on or before the date of the promulgation of such rule, in a notice
published in the Federal Register.
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(b) ADDITIONAL SUBMISSIONS ANT> PRESENTATIONS ; MODIFICATIONS.—
If m an action under this section to review a rule the petitioner or the
Administrator applies to the court for leave to make additional oral
submissions or written presentations respecting such rule and shows
to the satisfaction of the court that such submissions and presentations
would be material and that there were reasonable grounds for the sub-
missions and failure to make such submissions and presentations in
A j P1006**1'11? before the Administrator, the court may order the
Administrator to provide additional opportunity to make such sub-
missions and presentations. The Administrator may modify or set
aside the rule being reviewed or make a new rule by reason of the
additional submissions and presentations and shall file such modified
or new rule with the return of such submissions and presentations.
The court shall thereafter review such new or modified rule.
(c) STANDARD or REVIEW.— (1) (A) Upon the filing of a petition
under subsection (a) (1) for judicial review of a rule, the court shall
have jurisdiction (i) to grant appropriate relief, including interim
relief, as provided in chapter 7 of title 5, United States Code, and
(ii) except as otherwise provided in subparagraph (B), to review
such rule in accordance with chapter 7 of title 5, United States Coda.
(B) Section 706 of title 5, United States Code, shall apply to review
of a rule under this section, except that —
(i) in the case of review of a rule under section 4(a), 5(b) (4),
6(a), or 6(e), the standard for review prescribed by paragraph
(2) (E) of such section 706 shall not apply and the court shall
hold unlawful and set aside such rule if the court finds that the
rule is not supported by substantial evidence in the rulemaking
record (as defined in subsection (a) (3)) taken as a whole;
(ii) in the case of review of a rule under section 6(a), the court
shall hold unlawful and set aside such rule if it finds that —
(I) a determination by the Administrator under section
6(c) (3) that the petitioner seeking review of such rule is not
entitled to conduct (or have conducted) cross-examination or
to present rebuttal submissions, or
(II) a rule of, or ruling by, the Administrator under sec-
tion 6(c) (3) limiting such petitioner's cross-examination or
oral presentations,
has precluded disclosure of disputed material facts which was
necessary to a fair determination by the Administrator of the
rolemaking proceeding taken as a whole; and section 706(2) (D)
shall not apply with respect to a determination, rule, or ruline
referred to in subclanse (I) or (II) ; and
(iii) the court may not review the contents and adequacy of—
(I) any statement required to be made pursuant to section
6(c)(l).or
(II) any statement of basis and purpose required bv sec-
tion 553 (c) of title 5, United States Code, to be incorporated
m the rule ^
except as part of a. review of the rulemaking record taken as a
whole.
The term "evidence"' as used in clause (i) means aiiy matter in the
rulemaking record.
(C) A determination, rule, or ruling of the Adminisl rator described
in subparagraph (IJ) (ii) may be reviewed only in an action under
I . r . B L \"f V / ""*,7 "^ »--.— . .wi« v...j ... _.» M.,... vrll Ui»v»^t
this section and only in accordance with such subparagraph.
"" ' - - •• ; affirming or setting aside, in whole
(2) The judgment of the court luuumng or seiuug usme, in wnoie
or in part, any rule reviewed in accordance with this section shall be
final, subject to review by the Supreme Court of the United States
upon certiorari or certification, as provided in section 1254 of title 28,
United Stafes Code.
(d) FEES AND COSTS.—The decision of the court in an action com-
menced under subsection (a), or of the Supreme Court of the United
States on review of such a decision, may include an award of costs of
suit and reasonable fees for attorneys and expert witnesses if the court
determines that such an award is appropriate.
(e) OTHER REMEDIES.—The remedies as provided in this section shall
be in addition to and not in lieu of any other remedies provided by law.
SEC 20. CITIZENS' CIVIL ACTIONS.
(a) IN GENERAL—Except as provided in subsection (b), any person
may commence a civil action—
(1) against any person (including (A) the United States, and
(B) any other governmental instrumentality or agency to the
extent permitted by the eleventh amendment to the Constitution)
who is alleged to be in violation of this Act or any rule promul-
gated under section 4, 5, or 6 or order issued under section 5
to restrain such violation, or
(2) against the Administrator to compel the Administrator
to perform any act or duty under this Act which is not discre-
tionary.
Any civil action under paragraph (1) shall be brought in the United
States district court for the district in which the alleged violation
occurred or in which the defendant resides or in which the defendant's
principal place of business is located. Any action brought under para-
graph (2) shall be brought in the United States District Court for
the District of Columbia, or the United States district court for the
judicial district in which the plaintiff is domiciled. The district courts
of the United States shall have jurisdiction over suits brought under
this section, without regard to the amount in controversy or the citizen-
ship of the parties. In any civil action under this subsection process
may be served on a defendant in any judicial district in which the
defendant resides or may be found and subpoenas for witnesses may
be served in any judicial district.
(b) LIMITATION.—No civil action may be commenced—
(1) under subsection (a) (l)'to restrain a violation of this Act
or rule or order under this Act—
(A) before the expiration of 60 days after the plaintiff
has given notice of such violation (i) to the Administrator,
and (ii) to the person who is alleged to have committed such
violation, or
(B) if the Administrator has commenced and is diligently
prosecuting a proceeding for the issuance of an order under
section 16(a) (2) to require compliance with this Act or with
such rule or order or if the Attorney General has commenced
and is diligently prosecuting a civil action in a court of the
United States to require compliance with this Act or with
such rule or order, but if such proceeding or civil action is
commenced after the giving of notice, any person giving such
notice may intervene as a matter of right in such proceeding
or action; or
(2) under subsection (a) (2) before the expiration of 60 days
after the plaintiff has given notice to the Administratbr of the
alleged failure of the Administrator to perform an act or duty
which is the basis for such action or, in the case of an action under
such subsection for the failure of the Administrator to file an
action under section 7, before the expiration of ten days after
such notification.
Notice under this subsection shall be given in such manner as the
Administrator shall prescribe by rule.
(c) GENERAL.—(1) In any action under this section, the Adminis-
trator, if not a party, may intervene as ;\ matter of right.
(2) The eourt; in issuing any final order in any action brought pur-
suant to subsection (a), may award costs of suit and reasonable fees
for attorneys and expert witnesses if the court determines that such
an award is appropriate. Any court, in issuing its decision in an action
brought to review such an order, may award costs of suit and reason-
able fees for attorneys if the court determines that such an award
is appropriate.
(3) Nothing in this section shall restrict any right which any person
(or class of persons) may have under any statute or common low to
seek enforcement of this Act or any rule or order under this Act
or to swk any other relief.
(d) CONSOLIDATION.—When two or more civil actions brought under
subsection (a) involving the same defendant and the sn.me issues or
violations ore pending in two or more judicial districts, such pending
actions, upon application of such defendants to such actions which is
made to a court in which any such action is brought, may, if such court
in its discretion so decides, be consolidated for trial bv order (issued
after giving all parties reasonable notice and opportunity to he heard)
of such court and tried in—
(1) any district which is selected by such defendant and in
which one of such actions is pending.
(2) a district which is agreed upon by stipulation between all
the parties to such actions and in which one of such actions is
pending, or
(3) a district which is selected by the court and in which one
of such actions is pending.
The court issuing such an order shall give prompt notification of the
order to the other courts in which the civil actions consolidated under
the order are pending.
SEC 21. CITIZENS' PETITIONS.
(a) IN GENERAL.—Any person may petition the Administrator to
initiate a proceeding for the issuance, amendment, or repeal of a rule
under section 4, 6, or 8 or an order under section 5(e) or (6) (b) (2).
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(b) PBOCEDCHES.—(1) Such petition shall be filed in the principal
office of the Administrator and shall set forth the facts which it is
claimed establish that it is necessary to issue, amend, or repeal a rule
under section 4, 6, or 8 or an order under section 5(e), 6(t>) (1) (A),
or 6(b)(l)(B). ,
(2) The Administrator may hold a public hearing or may conduct
such investigation or proceeding as the Administrator deems appro-
priate in order to determine whether or not such petition should be
granted. ,
(3) Within 90 days after filing of a petition described m paragraph
(1), the Administrator shall either grant or deny the petition. If the
Administrator grants such petition, the Administrator shall promptly
commence an appropriate proceeding in accordance with section 4,
5,6, or 8. If the Administrator denies such petition, the Administrator
shall publish in the Federal Register the Administrator's reasons
for such denial.
(4) (A) If the Administrator denies a petition filed under this
section (or if the Administrator fails to grant or deny such petition
within the 90-day period) the petitioner may commence a civil action
in a district court of the United States to compel the Administrator
to initiate a rulemaking proccedin<; as requested in the petition. Any
such action shall be filed within r>0 days after the Administrators
denial of the petition or, if the Administrator fails to grant or deny
the petition within 90 days after filing the petition, within CO days
after the expiration of the 00-day period.
(Q) In an action under subparagraph (A) respecting a petition
to initiate a proceeding to issue n i-ulc under section 4. 6. or 8 or an
order under section 5(e) or fi(b) (2), the petitioner shall be provided
an opportunity to have such i>etition considered by the court in a
de novo proceeding. If the petitioner demonstrates to the satisfaction
of the court by a preponderance of the evidence that—
(i) in the case of a petition to initiate a proceeding for the
issuance of a nile under section 4 or an order under section 5(e)—
(I) information available to the Administrator is insuffi-
cient to permit a reasoned evaluation of the health and
environmental effects of the chemical substance to be subject
to such rule or order; and
(II) in the absence of such information, the substance may
present an unreasonable risk to health or the environment,
or the substance is or will be produced in substantial quan-
tities and it enters or may reasonably be anticipated to enter
the environment in substantial quantities or there is or may
be significant or substantial human exposure to it; or
(ii) in the case of a petition to initiate a proceeding for the
issuance of a rule under section 6 or 8 or an order under section
6(b) (2), there is a reasonable basis to conclude that the issuance
of such a rule or order is necessary to protect health or the
environment against an unreasonable risk of injury to health or
the environment.
the court shall order the Administrator to initiate the action requested
by the petitioner. If the court finds that the extent of the risk to
health or the environment alleged by the petitioner is less than the
extent of risks to health or the environment with respect to which
the Administrator is taking action under this Act and there are
insufficient resources available to the Administrator to take the action
requested by the petitioner, tin- court may ]*rmit the Administrator
to defer initiating the action requested by the petitioner until such time
as the court prescribes.
(C) The court in issuing any final order in any action brought pur-
suant to subparagraph (A) may award costs of suit and reasonable
fees for attorneys and expert witnesses if the court determines that
such an award is appropriate. Any court, in issuing its decision in an
action brought to review such an order, may award costs of suit and
reasonable fees for attorneys if the court determines that such an
award is appropriate.
(S) The remedies under this section shall be in addition to, and not
in lieu of, other remedies provided by law.
SEC 22. NATIONAL DEFENSE WAIVER.
The Administrator shall waive compliance with any provision of
this Act upon a request and determination by the President that the
requested waiver is necessary in the interest of national defense. The
Administrator shall maintain a written record of the basis upon
which such waiver was granted and make such record available for in
camera examination when relevant in a judicial proceeding under
this Act. Upon the issuance of such a waiver, the Administrator shall
publish in the Federal Register a notice that the waiver was granted
for national defense purposes, nnlx^ upon the request of the Presi-
dent, the Administrator determines to omit such publication because
the publication itself would be contrary to the interests of national
defense, in which event the Administrator shall submit notice thereof
to the Armed Services Committees of the Senate and the House of
Representatives.
SEC ». EMPLOYEE PROTECTION.
(a) IN GENERAL.—No employer may discharge any employee or
otherwise discriminate against any employee with respect to the
employee's compensation, terms, conditions, or privileges of employ-
ment because the employee (or any person acting pursuant to a request
of the employee) has—
(1) commenced, caused to be commenced, or is about to com-
mence or cause to be commenced a proceeding under this Act;
(2) testified or is about to testify in any such proceeding; or
(3) assisted or participated or is about to assist or participate
in any manner in such a proceeding or in any other action to
carry out the purposes of this Act.
(b) REMEDY.—(1) Any employee who believes that the employee
has been discharged or otherwise discriminated against by any person
in violation of subsection (a) of this section may, within 30 days after
such alleged violation occurs, file (or have any person file on the
employee's behalf) a complaint with the Secretary of Labor (here-
inafter in this section referred to as the "Secretary") alleging such
discharge or discrimination. Upon receipt of such a complaintj the
Secretary shall notify the person named in the complaint of the filing
of the complaint.
(2)(A) Upon receipt of a complaint filed under paragraph (l),the
Secretary shall conduct an investigation of the'violation alleged in the
complaint Within 30 days of the receipt of such complaint, the Secre-
tary shall complete such investigation and shall notify in writing the
complainant (and any person acting on behalf of the complainant)
and the person alleged to have committed such violation of the results
of the investigation conducted pursuant to this paragraph. Within
ninety days of the receipt of such complaint the Secretary shall, unless
the proceeding on the complaint is terminated by the Secretary on the
basis of a settlement entered into by the Secretary and the person
alleged to have committed such violation, issue an order either pro-
viding the relief prescribed by subparagraph (B) or denying the
complaint. An order of the Secretary shall be made on the record after
notice and opportunity for agency hearing. The Secretary may not
enter into a settlement terminating a proceeding on a complaint with-
out the participation and consent of the complainant.
(B) If in response to a complaint filed under paragraph (1) the
Secretary determines that a violation of subsection (a) of this section
has occurred, the Secretary shnll order (i) the person who committed
such violation to take affirmative action to abate the violation, (ii)
such person to reinstate the complainant to the complainant's former
position together with the compensation (including back pay), terms,
conditions, and privileges of the complainant's employment, (lii) com-
pensatory damages, and (iv) where appropriate, exemplary damages.
If such an order issued, the Secretary, at the request of the complain-
ant, shall assess against the person against whom the order is issued a
sum equal to the aggregate amount of all costs and expenses (including
attorney's fees) reasonably incurred, as determined by the Secretary,
bv the complainant for, or in connection with, the bringing of the com-
plaint upon which the order was issued.
(c) REVIEW.—(1) Any employee or employer adversely affected or
aggrieved by an order issued under subsection (b) may obtain review
of the order in the United States Court of Appeals for the circuit in
which the violation, with respect to which the order was issued,
allegedly occurred. The petition for review must be filed within sixty
days from the issuance of the Secretary's order. Review shall conform
to chapter 7 of title 5 of the United States Code.
(2) An order of the Secretary, with respect to which review could
have been obtained under paragraph (1), shall not be subject to
judicial review in any criminal or other civil proceeding.
(d) ENFOBCEME>T.—Whenever a person has failed to comply with
an order issued under subsection (b) (2), the Secretary shall file a civil
action in the United States district court for the district in which the
violation was found to occur to enforce such order. In actions brought
under this subsection, the district courts shall have jurisdiction to
grant all appropriate relief, including injunctive relief and compensa-
tory and exemplary damages. Civil actions brought under this sub-
section shall be heard and decided expeditiously.
(e) EXCUTSTON.—Subsection (a) of this section shall not apply with
respect to any employee who, acting without direction from the
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TSCA
employee's employer (or any agent of the employer), deliberately
causes a violation of any requirement of this Act.
SEC 24. EMPLOYMENT EFFECTS.
(a) IN GENERAL.—The Administrator shall evaluate on a continuing
basis the potential effects on employment (including reductions in
employment or loss of employment from threatened plant closures)
(1) the issuance of a rule or order under section 4, 5, or 6, or
(2) a requirement of section 5 or 6.
(b)(l) INVESTIGATIONS.—Any employee (or any representative of
an employee) may request the Administrator to make an investigation
of—
(A) a discharge or layoff or threatened discharge or layoff of
the employee, or
(B) adverse or threatened adverse effects on the employee's
employment,
allegedly resulting from a rule or order under section 4, 5, or 6 or a
requirement of section 5 or 6. Any such request shall be made in writ-
ing, shall set forth with reasonable particularity the grounds for the
request, and shall be signed by the employee, or representative of such
employee, making the request.
(2) (A) Upon receipt of a request made in accordance with para-
graph (1) the Administrator shall (i) conduct the investifration
requested, and (ii) if requested by any interested person, hold public
hearings on any matter involved in the investigation unless the Admin-
istrator, by order issued within 45 davs of the date such hearings are
requested, denies the request for the hearings because the Adminis-
trator determines there are no reasonable grounds for holding such
hearings. If the Administrator makes such a determination, the
Administrator shall notify in writing the person requesting the hear-
ing of the determination and the reasons therefor and shall publish the
determination and the reasons therefor in the Federal Register.
(B) If public hearings are to be held on any matter involved in an
investigation conducted under this subsection—
(i) at least five days' notice shall be provided the person mak-
ing the request for the investigation and any person identified in
such request,
(ii) such hearings shall be held in accordance with section
6(c)(3),and
(ill) each employee who made or for whom was made a request
for such hearings and the employer of such employee shall be
required to present information respecting the applicable matter
referred to in paragraph (1)(A) or (1)(B) together with the
basis for such information.
(3) Upon completion of an investigation under paragraph (2), the
•Administrator shall make findings of fact, shall make such recom-
mendations as the Administrator deems appropriate, and shall make
available to the public such findings and recommendations.
(4) This section shall not be construed to require the Administrator
to amend or repeal any rule or order in effect under this Act.
SEC 25. STUDIES.
(a) INDEMNIFICATION STUDY.—The Administrator shall conduct a
study of all Federal laws administered by the Administrator for the
purpose of determining whether and under what conditions, if any,
indemnification should be accorded any person as a result of any action
taken by the Administrator under any such law. The study shall—
(1) include an estimate of the probable cost of any indemnifica-
tion programs which may be recommended;
(2) include an examination of all viable means of financing the
cost of any recommended indemnification; and
(3) be completed and submitted to Congress within two years
from the effective date of enactment of this Act.
The General Accounting Office shall review the adequacy of the study
submitted to Congress pursuant to paragraph (3) and shall report the
results of its review to the Congress within six months of the date
such study is submitted to Congress.
(b) CLASSIFICATION, STORAOE, AND RETRIEVAL STODY.—The Council
on Environmental Quality, in consultation with the Administrator,
the Secretary of Health, Education, and Welfare, the Secretary of
Commerce, and the heads of other appropriate Federal departments or
agencies, shall coordinate a study of the feasibility of establishing (1)
u. standard classification system for chemical substances and related
substances, and (2) u standard means for storing and for obtaining
rapid access to information respecting such substances. A report on
such study shall be completed and submitted to Congress not later than
18 months after the effective date of enactment of this Act
SEC W. ADMINISTRATION OF THE ACT.
(a) COOPERATION OF FEDERAL AGENCIES.—Upon request by the
Administrator, each Federal department and agency is authorized—
(1) to make its services, personnel, and facilities available
(with or without reimbursement) to the Administrator to assist
the Administrator in the administration of this Act; and
(2) to furnish to the Administrator such information, data,
estimates, and statistics, and to allow the Administrator access to
all information in its possession as the Administrator may reason-
ably determine to be necessary for the administration of this Act.
(b) FEES.—(1) The Administrator may, by rule, require the pay-
ment of a reasonable fee from any person required to submit data
under section 4 or 5 to defray the cost of administering this Act. Such
rules shall not provide for any fee in excess of $2,500 or, in the case of
a small business concern, any fee in excess of $100. In setting a fee
under this paragraph, the Administrator shall take into account the
ability to pay of the person required to submit the data and the cost
to the Administrator of reviewing such data. Such rules may provide
for sharing such a fee in any case in which the expenses of testing are
shared under section 4 or 5.
(2) The Administrator, after consultation with the Administrator
of the Small Business Administration, shall by rule prescribe stand-
ards for determining the persons which qualify as small business
concerns for purposes of paragraph (1).
(c) ACTION WITH RESPECT TO CATEGORIES.— (1) Any action author*
ized or required to be taken by the Administrator under any provision
of this Act with respect to a chemical substance or mixture may be
taken by the Administrator in accordance with that provision with
respect to a category of chemical substances or mixtures. Whenever
the Administrator takes action under a provision of this Act with
respect to a category of chemical substances or mixtures, any reference
in this Act to a chemical substance or mixture (insofar as it relates
to such action) shall be deemed to be a reference to each chemical
substance or mixture in such category.
(2) For purposes of paragraph (i):
(A) The term "category of chemical substances" means a group
of chemical substances the members of which are similar in molec-
ular structure, in physical, chemical, or biological properties, in
use, or in mode of entrance into the human body or into the
environment, or the members of which are in some other way suit-
able for classification as such for purposes of this Act, except that
such term does not mean a group of chemical substances which are
grouped together solely on the basis of their being new chemical
substances.
(B) The term "category of mixtures" means a group of mix-
tures the members of which are similar in molecular structure, in
physical, chemical, or biological properties, in use, or in the mode
of entrance into the human body or into the environment, or the
members of which are in some other way suitable for classification
as such for purposes of this Act.
(d) ASSISTANCE OFFICE.—The Administrator shall establish in the
Environmental Protection Agency an identifiable office to provide
technical and other nonfinancial assistance to manufacturers and
processors of chemical substances and mixtures respecting the require-
ments of this Act applicable to such manufacturers and processors, the
policy of the Agency respecting the application of such requirements
to such manufacturers and processors, and the means and methods by
which such manufacturers and processors may comply witli such
requirements.
(e) FINANCIAL DISCLOSURES.— (1) Except as provided under para
graph (3), each officer or employee of the Environmental Protection
Agency and the Department of Health. Education, and Welfare who—
(A) performs any function or duty under this Act, and
(B) has any known financial interest (i) in any person subject
to this Act or any rule or order in effect under this Act, or (ii) in
any person who applies for or receives any grant or contract under
this Act,
shall, on February 1,1978, and on February 1 of each year thereafter,
file with the Administrator or the Secretary of Health, Education, and
Welfare (hereinafter in this subsection referred to as the "Secre-
tary") , as appropriate, a written statement concerning all such inter-
ests held by such officer or employee during the preceding calendar
year. Such statement shall be made available to the public.
(2) The Administrator and the Secretary shall—
(A) act within 90 days of the effective date of this Act—
(i) to define the term "known financial interests" for pur-
poses of paragraph (1), and
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TSCA
(ii) to establish the methods by which the requirement to
file written statements specified in paragraph (1) will be
monitored and enforced, including appropriate provisions for
review by the Administrator and the Secretary of such state-
ments; and
(B) report to the Congress on June 1,1978, and on June 1 of
each year thereafter with .respect to such statements and the
actions taken in regard thereto during the preceding calendar
year.
(8) The Administrator may by rule identify specific positions with
the Environmental Protection Agency, and the Secretary may by rule
identify specific positions with the Department of Health, Education,
and Welfare, which are of a nonregulatory or nonpolicymaking
nature, and the Administrator and the Secretary may by rule provide
that officers or employees occupying such positions shall be exempt
from the requirements of paragraph (1).
(4) This subsection does not supersede, any requirement of chapter
11 of title 18, United States Code.
(5) Any officer or employee who is subject to, and knowingly vio-
lates, this subsection or any rule issued thereunder, shall be fined not
more than $2,900 or imprisoned not more than one year, or both.
(f) STATEMENT or BASIS AND POTPOSE.—Any final order issued
under this Act shall be accompanied by a statement of its basis and
purpose. The contents and adequacy or any such statement shall not
be subject to judicial re view in any respect.
(g) ASSISTANT ADMINISTRATOR.—(1) The President, by and witli
the advice and consent of the Senate, shall appoint an Assistant
Administrator for Toxic Substances of the Environmental Protection
Agency. Such Assistant Administrator shall be a qualified individual
who is, by reason of background and experience; especially qualified
to direct a program concerning the effects of chemicals on human
health and the environment. Such Assistant Administrator shall be
responsible for (A) the collection of data, (B) the preparation of
studies, (C) the making of recommendations to the Administrator for
regulatory and other actions to carry out the purposes and to facili-
tate the administration of this Act, and (D) such other functions as
the Administrator may assign or delegate.
(2) The Assistant Administrator to be appointed under paragraph
(1) shall (A) be in addition to the Assistant Administrators of the
Environmental Protection Agency authorized by section 1 (d) of Reor-
ganization Plan No. 3 of 1970, and (B) be compensated at the rate of
pay authorized for such Assistant Administrators.
SEC n. DEVELOPMENT AND EVALUATION OF TEST METHODS.
(a) IN GENERAL—The Secretary of Health, Education, and Welfare,
in consultation with the Administrator and acting through the Assist-
ant Secretary for Health, may conduct, and make grants to public and
nonprofit private entities and enter into contracts with public and
private entities for, projects for the development and evaluation of
inexpensive and efficient methods (1) for determining and evaluating
the health and environmental effects of chemical substances and mix-
tures, and their toxicity, persistence, and other characteristics wliich
affect health and the environment, and (2) which may be used for the
development of test data to meet the requirements of rules promulgated
under section 4. The Administrator shall consider such methods in
prescribing under section 4 standards for the development of test data.
(b) APPROVAL BY SECRETARY.—No grant may be made or contract
entered into under subsection (a) unless an application therefor has
been submitted to and approved by the Secretary. Sucji an application
shall be submitted in such form and manner and contain such informa-
tion as the Secretary may require. The Secretary may apply such
conditions to grants and contracts under subsection (a) as the Secre-
tary determines are necessary to carry out the purposes of such subsec-
tion. Contracts may be entered into under such subsection without
regard to sections 3648 and 3709 of the Revised Statutes (31 U.S.C.
529;41U.S.C.5).
(c) ANNUAL REPORTS.—(1) The Secretary shall prepare and sub-
mit to the President and the Congress on or before January 1 of each
year a report of the number of grants made and contracts entered into
under this section and the results of such grants and contracts.
(2) The Secretary shall periodically publish in the Federal Register
reports describing the progress and results of any contract entered
into or grant made under this section.
SEC ». STATE PROGRAMS.
(a) IN GENERAL.—For the purpose of complementing (but not reduc-
ing) the authority of, or actions taken by, the Administrator under
tins Act, the Administrator may make grants to States for the estab-
lishment and operation of programs to prevent or eliminate unreason-
able risks within the States to health or the environment which are asso-
ciated with a chemical substance or mixture and with respect to which
the Administrator is unable or is not likely to take action under this
Act for their prevention or elimination. The amount of a grant under
this subsection shall be determined by the Administrator, except that
no grant for any State program may exceed 75 per centum of the
establishment and operation costs (as determined by the Admin-
istrator) of such program during the period for which the grant is
made.
(b) APPROVAL sr ADMINISTRATOR.—(1) No grant may be made under
subsection (a) unless on application therefor is submitted to and
approved by the Administrator. Such an application shall be sub-
mitted in such form and manner as the Administrator may require and
shall—
(A) set forth the need of the applicant for a grant under subsec-
tion (a),
(B) identify the agency or agencies of the State which shall
establish or operate, or both, the program for which the applica-
tion is submitted,
(C) describe the actions proposed to be taken under such pro-
gram,
(D) contain or be supported by assurances satisfactory to the
Administrator that such program shall, to the extent feasible,
be integrated with other programs of the applicant for environ-
mental and public health protection,
(E) provide for the making of such reports and evaluations
as the Administrator may require, and
(F) contain such other information as the Administrator may
prescribe.
(2) The Administrator may approve an application submitted in
accordance with paragraph (1) only if the applicant has established to
the satisfaction of the Administrator a priority need, as determined
under rules of the Administrator, for the grant for which the appli-
cation has been submitted. Such rules shall take into consideration the
seriousness of the health effects in a State which are associated with
chemical substances or mixtures, including cancer, birth defects, and
gene mutations, the extent of the exposure in a State of human beings
and the environment to chemical substances and mixtures, and the
extent to which chemical substances and mixtures are manufactured,
processed, used, and disposed of in a State.
(c) ANNUAL REPORTS.—Not later than six months after the end of
each of the fiscal years 1979,1980, and 1981, the Administrator shall
submit to the Congress a report respecting the programs assisted by
grants under subsection (a) in the preceding fiscal year and the extent
to which the Administrator has disseminated information respecting
such programs.
(d) AUTHORIZATION.—For the purpose of making grants under
subsection (a) there are authorized to be appropriated $1,500,000 for
the fiscal year ending September 30,1977, $1,500,000 for the fiscal year
ending September 30, 1978, and $1,500,000 for the fiscal year ending
September 30, 1979. Sums appropriated under this subsection shall
remain available until expended.
SEC M. AUTHORIZATION FOR APPROPRIATIONS.
There are authorized to be appropriated to the Administrator for
purposes of carrying out this Act (other than sections 27 and 28 and
subsections (a) and (c) through (g) of section 10 thereof) $10,100,000
for the fiscal year ending September 30,1977, $12,625.000 for the fiscal
year ending September 30,1978, $18,200,000 for the fiscal year ending
September 30, 1979. No part of the funds appropriated under this
section may be used to construct any research laboratories.
SEC 30. ANNUAL REPORT.
The Administrator shall prepare and submit to the President and
the Congress on or before January 1,1978, and on or before January 1
of each succeeding year a comprehensive report on the administration
of this Act during the preceding fiscal year. Such report shall include—
(1) a list of the testing required under section 4 during the year
for which the report is made and an estimate of the costs incurred
during such year by the persons required to perform such tests;
(2) the number of notices received during such year under
section 5, the number of such notices received during such year
under such section for chemical substances subject to a section 4
rule, and a summary of any action taken during such year under
section 5(g);
(3) a list of rules issued during such year under section 6;
(4) a list, with a brief statement of the issues, of completed or
pending judicial actions under this Act and administrative actions
under section 16 during such year;
(5) a summary of major problems encountered in the adminis-
tration of this Act; and
(6) such recommendations for additional legislation as the
Administrator deems necessary to carry out the purposes of this
Act.
SBC 11. EFFECTIVE DATE.
Except as provided in section 4(f). this Act shall take effect on
January 1,1077.
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Chapter Two
The
TSCA Inspector
Chapter Contents Page
1 TSCA Inspection Overview
Authority 2-1
Scope 2-2
Purpose 2-2
Confidentiality 2-3
Elements of an Inspection 2-4
Other Inspection Activities 3-5
2 Inspector Authority
Delegation 2-7
Credentials 2-7
Confidentiality Business Information Access
Authorization 2-8
Waiver 2-9
Special Category 2-10
3 Inspector Responsibilities
Confidential Business Information Procedures 2-11
Professional Skills 2-12
Procedural Requirements 2-12
Communication and Interpersonal Skills 2-13
Work Ethics 2-14
TSCA Inspection Manual January, 1980
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Chapter Two
1
nspection
Overview
Inspections may be necessary for the enforcement of several of the pro-
visions of TSCA. Compliance inspection is the enforcement mechanism for
detection and verification of violations. Facilities are selected for
inspection under a neutral administrative inspection scheme or may be
selected "for cause." Selection may be made, depending on the circumstances,
by headquarters or regional offices.
Evidence obtained during an inspection may result in the Agency taking any
of the following enforcement actions:
Issue a notice on noncompliance;
Issue a notice to show cause;
Assess an administrative civil penalty;
Institute a civil court action; or
Institute a criminal court action.
The government's case in a formal hearing or criminal prosecution depends
on the accuracy and quality of the evidence gathered by the inspector.
Authority
Sections 11(a) and (b) provide the authority for conducting inspections to
monitor compliance with the provisions of, and rules under, TSCA. Any
establishment, facility, or other premises in which chemical substances
or mixtures are manufactured, processed, stored, or held before or after
distribution in commerce and any conveyance used to transport chemical
substances is subject to inspection under TSCA.
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Chapter Two 1 Inspection Overview
Scope
Inspections conducted under Section 11 extend to all things relating
to compliance with the requirements of TSCA which are within the
premises or conveyance being inspected. This includes:
Records;
Files;
Papers;
Chemical substances;
Processes
Controls; and
Facilities.
To carry out the inspection, samples may be taken and photographs may
be made.
Limitations
Certain types of data can only be inspected if the nature and extent of
such data are described specifically in the written Notice of Inspection
presented to the owner, operator, or agent in charge of the premises or
conveyance. These include:
Financial data;
Sales data (other than shipment data);
Pricing data;
Personnel data; or
Research data (other than research data required by the
provisions of TSCA).
Purpose
The purpose of inspection is to ensure compliance with TSCA and with the
rules under TSCA. The inspector's role is
• To inform the regulated industry of the requirements of
the law, and
• To document suspected violations.
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Chapter Two 1 Inspection Overview
Confidentiality
During the course of TSCA inspections, inspectors will encounter
information which may be entitled to confidential treatment under
Section 14 of TSCA and EPA regulations (40 CFR Part 2). This Section
of the statute and the regulations are designed to protect confiden-
tial business information from unauthorized disclosure. Confidential
business information includes information considered to be trade secrets
(including chemical identity, process, formulation, or production data)
that could damage a company's competitive position if it became pub-
licly known.
Information collected during an inspection would be made available in
response to a Freedom of Information Act (FOIA) request unless the
information were determined to be exempt from release under strict
FOIA criteria. However, if the data has been claimed confidential
business information by the company, EPA would follow certain pro-
cedural steps prior to release of the information and the data would
not be released at all if it was determined to be entitled to con-
fidential treatment.
Because of the sensitivity of some of the information that will be submitted
or collected under TSCA, very stringent procedures for handling confidential
information have been established for TSCA-Confidential Business Information
(TSCA-CBI). These procedures are contained in the TSCA-CBI Manual which
governs access to and control of documents by EPA personnel. There are
special procedures for access to TSCA-CBI by contractors and other Federal
agencies.
Because conducting TSCA inspections presents some special considerations
with regaru to declaration and handling of confidential business information,
additional procedures concerning confidentiality have been incorporated
into each section of this manual. These procedures are designed to provide
adequate notification to companies of their right to declare inspection
data confidential and to ensure secure handling of this information at each
stage of the inspection.
NOTE: It should be clearly understood that the confidential business
information as referenced throughout this manual does not in
any manner refer to classified National Security Information
as defined in Executive Order 12065 nor do these procedures
imply authorization to classified information. All materials
claimed confidential business information must be marked with
the words "Confidential business information does not include
National Security Information (EO 12065)."
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Chapter Two 1 Inspection Overview
Elements of an Inspection
The elements of TSCA facility inspections can be grouped into the following
five procedural categories: (1) pre-inspection preparation, (2) entry.
(3) opening conference, (4) sampling and documentation, and (5) the closing
conference. These elements are common to all inspections, but the emphasis
given to the separate elements will vary with the needs of the individual
inspection. Each of the procedural categories is discussed in detail in
Chapter Three of this manual. Refer to later Volumes for substance specific
details.
Pre-Inspection Preparation
To ensure effective use of the inspector's time, the following procedures
are undertaken before beginning the inspection of a selected facility:
• Establishing inspection objectives
• Establishing the scope of the inspection
• Conducting a review of Agency records
• Preparing necessary documents and equipment
Entry
Entry procedures are those which relate to obtaining actual physical entry
of the facility. Entry involves the following steps.
• Introduction
Presenting credentials
— — -/
• Presenting Notice of Inspection
• Managing denial of entry when necessary
Opening Conference
After entry, the inspector conducts an opening conference with the facility
management. During the opening conference, the inspector is responsible
for the following activities:
• Discussing the objectives and scope of the inspection
• Presenting the TSCA Inspection Confidentiality Notice
• Advising of the availability of duplicate samples
• Providing information on TSCA and its rules
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Chapter Two 1 Inspection Overview
Sampling and Documentation
Reviewing facility records, taking physical samples, and preparing
documentation are the basic inspection activities. It is these activities
which provide the evidentiary support the Agency uses in enforcement
actions. The inspector's responsibilities include:
Targeting and locating facility records
Assessing facility records
Preparing documentation of all inspection activities
Assessing conditions and taking necessary samples
Operating in a safe and efficient manner
Closing Conference
The closing conference with facility officials enables the inspector to
prepare receipts, answer questions, and provide information about TSCA.
At the closing conference, the inspector "wraps up" the inspection by
• Writing necessary receipts
• Reviewing confidentiality claims
• Discussing inspectional findings
Other inspection Activities
Inspectors may be called upon to participate in special inspectional
operations. Such inspections are conducted under TSCA authority and
usually contain the same elements as scheduled TSCA inspections.
Inspections may be undertaken as a result of the need for emergency
response, or as a result of citizen, labor, or industry complaints.
Emergencies
The nature of the substances regulated under TSCA may involve
inspectors in responding to potentially dangerous emergency situa-
tions. Inspectors may be called upon to undertake inspections in
cases of possible imminent hazard or other unforeseeable circum-
stances that are violations of TSCA. The usual requirements and
procedures for inspection apply in such cases. Although it may
not be possible to plan or conduct pre-inspection procedures with
customary thoroughness, the elements of the inspection remain
essentially the same. The importance of safety procedures and
precautions should be stressed in such situations.
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Chapter Two 1 Inspection Overview
Complaints and Citizen Referrals
EPA inspectors may conduct inspections which are being undertaken as a
result of complaints or other information submitted to the Agency by
workers, industry, individual citizens, or citizen groups. For the
goals of TSCA to be achieved, this kind of public participation in the
detection of discrepancies and potential violations is of great value and
should be encouraged by inspectors. Referrals and tips given to an inspector
should be thoroughly investigated, and whenever possible, substantiating
evidence should be obtained to aid in followup inspections.
Section 23 of TSCA protects from discrimination any employee who
reports a violation to EPA or who testifies or otherwise participates
in a proceeding against a firm.
Referral Inspection Program
The IRLG referral inspection program was created so that inspectors from
the member agencies — Consumer Product Safety Commission (CPSC), Pood
and Drug Administration (FDA), Occupational Safety and Health Administration
(OSHA), Food Safety and Quality Service (FSQS), and EPA — could recognize
and make referrals of potential violations of another agency1s laws or
regulations. Inspectors from the member agencies are trained to
recognize and refer such potential violations to the appropriate agency
for followup inspection. EPA inspectors may be called upon to make such
referrals or to handle followup investigations and inspections resulting
from another agency's activities. (For details and guidance on IRLG
programs consult with your supervisor.)
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Chapter Two
2
Inspector
Authority
Inspectors are skilled professionals who represent the Agency in dealing
with regulated industry and the public. Inspectors are responsible for
conducting inspections in a professional manner that reflects credit on
themselves and the Agency. The primary responsibility of inspectors is
to inspect facilities for compliance with TSCA requirements.
Inspector Authority
Delegation
Authority to inspect under TSCA is granted to the EPA Administrator
who, in turn, has redelegated his authority to the Regional Adminis-
trators and Headquarters enforcement personnel.
The individual inspector is granted the authority to inspect under TSCA
through the issuance of a multi-media inspection credential which identifies
the inspector as a duly designated representative of the Administrator.
An inspector is, then, a specially appointed representative of the
Administrator, charged with enforcement of TSCA.
Credentials
Official EPA inspection credentials are issued to each inspector and
empower the inspector to conduct Agency inspections.
Only persons with multi-media inspection credentials have the right to
conduct facility inspections. The Act requires that these credentials
be presented to appropriate facility personnel at each inspection.
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Chapter Two 2 Inspector Authority
Credentials are valuable documents which should never leave the sight
of the inspector; they must never be permitted to be photocopied.
Applicable Laws. To carry out their duties effectively, inspectors must
be thoroughly familiar with the legal basis for their actions. An inspector
must be thoroughly knowledgeable about:
• Toxic Substances Control Act
• Regulations promulgated under TSCA
In addition, an inspector should be familiar with other EPA-administered
laws relating to toxics, including
Federal Water Pollution Control Act
Clean Air Act
Federal Insecticide, Fungicide, and Rodenticide Act
Resource Conservation and Recovery Act
Safe Drinking Water Act
Confidential Business Information Access Authorization
An inspector who conducts TSCA inspections is likely to encounter TSCA
Confidential Business Information (TSCA-CBI). Since such information
may only be viewed by individuals who have been cleared for access,
each TSCA inspector will be required to have a TSCA-CBI access
autho ri z at ion.
Following is a brief summary of the specific procedures that have been
developed for obtaining access authorization to TSCA-CBI. Check with
the Document Control Officer for complete instructions and necessary
forms.
The form "Authorization for Access to TSCA Confidential Business
Information" outlines the three basic steps of the authorization
process:
1. The inspector must obtain written authorization from the
Division Director or other appropriate authorizing official.
(Part I of the form.)
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Chapter Two 2 Inspector Authority
2. The inspector must sign the Confidentiality Agreement for
EPA Employees. (Part II of the form.)
3. The local Document Control Officer must certify that
appropriate investigative forms have been filed with the
Headquarters Security Branch. (Part III of the form.)
Upon completion of this process, the local Document Control Officer
will place the inspector's name on the Authorized Access List and will
notify the inspector of the authorization.
A letter certifying that the inspector is authorized for access will be
issued by the Deputy Administrator for General Enforcement. This
letter may be used to prove authorization upon entry into a facility.
Special Category
Some TSCA Confidential Business Information, considered particularly
sensitive, has been designated Special Category TSCA-CBI. This sub-
set includes: (1) specific chemical identities, (2) information about
product formulations, and (3) information about specific processes
used in manufacturing or processing.
Inspectors who perform TSCA inspections under Sections 5 and 8 or
certain kinds of inspections under Section 6 rules should request
Special Category clearance. An inspector who has Special Category
also has general access. See the Document Control Officer for details.
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Chapter Two
3
nspecter
Responsibilities
A high level of professional skills and work ethics standards is re-
quired of all inspectors. Inspectors are required to have a working
knowledge of all applicable laws and regulations, to be familiar with
Agency legal and procedural requirements, and to develop appropriate
communications and interpersonal skills. In the execution of their
duties inspectors are expected to collect samples, review records,
and prepare the appropriate documents associated with the inspection.
Confidential Business Information Procedures
The Agency recognizes the obligation of trust placed upon it by the
reporters of confidential business information. For this reason,
EPA employees are prohibited under penalty of law from disclosing, in
any manner and to any extent not authorized by law, any TSCA Confi-
dential Business Information (TSCA-CBI) coming to them in the course
of their employment or official duties. Unauthorized disclosure of
such information may subject the employee to criminal penalties of up
to $5,000 and/or imprisonment for up to one year.
Inspectors will be required to abide by the terms of the "Confidentiality
Agreement for EPA Employees" they have signed. In addition, inspectors
must be familiar with and carefully follow the procedures for handling
TSCA-CBI as prescribed in the TSCA-CBI Security Manual as well as the
additional confidentiality procedures discussed throughout this manual.
When practical circumstances in the field prohibit strict adherence to
these procedures, inspectors are expected to take all measures necessary
to ensure protection of the information.
TSCA Inspection Manual _ ... January. 1980
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Chapter Two 3 Inspector Responsibilities
Professional Skills
Procedural Requirements
Effective inspections are based upon experience, and upon knowledge and
observance of correct procedures. Inspectors are required to be familiar
with legal requirements, procedures for effective evidence gathering, and
safety practices.
• Legal Requirements
Because the inspector directly represents the Agency to regulated
industry, it is essential that he carefully abide by the legal
and regulatory requirements of the Act.
Inspection Requirements. Inspectors must be familiar with and
observe specific legal requirements that have been established
for inspection, including:
• Presentation of proper credentials
• Presentation of required notices and receipts
• Proper handling of confidential business information
Regulatory Requirements. Inspectors must be familiar with and
observe all of the regulations regarding the handling of chemical
substances controlled under TSCA.
• Evidence Gathering
Inspectors must be familiar with general evidence gathering
techniques, including collecting samples and obtaining
statements from witnesses.
The specific information collected during a TSCA inspection will
depend on the nature of the regulatory requirement being monitored.
The objective of inspections is to document suspected violations
of the law. Because the Government's case in a civil or criminal
prosecution depends on the evidence gathered by the inspector,
it is imperative that each inspector keep detailed records of each
inspection and describe all photographs taken during an inspection.
This data will serve as an aid in preparing the inspection report,
in determining the appropriate enforcement response, and in giving
testimony in an enforcement case.
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Chapter Two 3 Inspector Responsibilities
• Safety
The handling and sampling of any chemical substance regulated under
TSCA always poses a certain degree of risk. To avoid unnecessary
health and safety risks it is the responsibility of each inspector
• To be thoroughly familiar with all safety guidance and
practices for TSCA substances;
• To use safety equipment in accordance with guidance received and
labeling instructions;
• To maintain safety equipment in good condition and proper
working order;
• To dress appropriately for the activity in which he is
engaged, and wear appropriate protective clothing; and
• To wear any safety equipment customary in the establishment
being inspected, e.g., hard hat or safety glasses.
NOTE: See Chapter Three, Section 4f for detailed information on Health
and Safety.
Communications and Interpersonal Skills
TSCA inspectors must know how to effectively apply and communicate
information relating to inspection operations. Inspectors should develop
and maintain expertise in relevant communications and interpersonal areas.
Inspectors should know:
• How to substantiate all facts with statements of witnesses
or items of evidence.
• How to evaluate what evidence is necessary to obtain
successful civil actions, criminal prosecution, or seizure.
• How to obtain respect, inspire confidence, and maintain the
good will of the public, industry, and consumers.
• How to detect discrepancies or lack of good faith during
interviews.
• How to testify in court and administrative hearings.
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Chapter Two 3 Inspector Responsibilities
How to conduct sampling procedures in a professional and
safe manner.
How to write clear and informative reports.
Work Ethics
As officers of the Federal government, inspectors are expected to perform
their duties as responsible law enforcement officers with the highest degree
of honesty. Procedures and requirements ensuring ethical actions have been
worked out through many years of EPA and Federal government inspectional
experience. These procedures and standards of conduct have evolved for
the protection of the individual and the Agency, as well as industry, so
that the rights of neither are jeopardized. The inspector has an
opportunity to set an example for private industry in encouraging concern
over health and safety in the environment and to reinforce attitudes
encouraging compliance with laws that protect the environment.
• All investigations are to be conducted within the framework
of the United States Constitution and with due regard for
individual rights regardless of race, sex, creed, or national
origin.
• Inspectors are to conduct themselves at all times in accordance
with the regulations prescribing EPA Employee Responsibilities
and Conduct, which are codified at 40 CFR Part 3 and available
in the EPA handbook "Responsibilities and Conduct for EPA
Employees."
• The facts of an investigation are to be developed and reported
completely, accurately, and objectively.
• In the course of an investigation, any act or failure to act
motivated by- reason of private gain is illegal. Actions which
could be construed as such should be scrupulously avoided.
• A continuing effort to improve professional knowledge and
technical skill in the investigative field should be made.
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Chapter Two Inspector Responsibilities
Professional Attitude. The inspector is a representative of EPA and
is often the initial or only contact between the Agency and the
regulated industries. In dealing with industry representatives and
employees, inspectors must be dignified, tactful, courteous, and
diplomatic. A firm but responsive attitude will help establish an
atmosphere of cooperation and will initiate good working relations.
Attire. Inspectors should dress appropriately, including wearing
protective clothing or equipment, for the activity in which they are
engaged.
Industry, Public, and Consumer Relations. All information acquired in
the course of an inspector's duties is for official use only. Inspectors
should not speak of any product, manufacturer, or person in a derogatory
manner.
Gifts, Favors, Luncheons. Inspectors should avoid accepting favors
or benefits under circumstances that might be construed as influencing
the performance of government duties. EPA regulations provide an
exemption whereby an inspector could accept food and refreshments of
nominal value on infrequent occasions in the ordinary course of a
luncheon or dinner meeting or other meeting, or during an inspection
tour. Inspectors should use this exemption only when absolutely
necessary.
Requests for Information. EPA has an "open-door" policy on releasing
information to the public. This policy aims at making information
about EPA and its work freely and equally available to all interested
individuals, groups, and organizations. In fact, EPA employees have
both a legal and traditional responsibility for making useful educational
and safety information available to the public. This policy, however,
does not extend to information relating to the suspicion of a violation,
evidence of possible misconduct, or confidential business information.
TSCA Inspection Manual January. 1960
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Chapter Three
Inspection
Procedures
Chapter Contents
Page
1 Pre-Inspection Preparation
Agency Records Review
Review Considerations
Confidential Business Information
Safeguards During Use
Document Preparation
Inspection Documents
Equipment Preparation
Form and Equipment Checklist
3-1
3-1
3-2
3-3
3-3
3-3
3-4
3-5
2 Entry
Authority 3-7
Arrival 3-7
Credentials 3-8
Notice of Inspection 3-8
Consent 3-8
Reluctance to Give Consent 3-9
Uncredentialed Persons Accompanying an Inspector 3-9
Denial of Entry 3-9
Denial of Entry Procedures 3-9
Withdrawl of Consent During Inspection 3-10
Denial of Entry to Some Areas of the Facility 3-10
Administrative Warrants 3-11
Policy 3-11
Securing and Serving a Warrant 3-12
3 Opening Conference
The Inspector as Educator
Meeting Considerations
Confidentiality Notice and Discussions
3-15
3-15
3-16
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Chapter Three
Contents
3 Opening Conference (continued)
Authority to Make Confidential Claims
Confidentiality Discussion
Preparation/Distribution of Confidentiality Forms
Other Considerations
Duplicate Samples
Photographs
3-17
3-17
3-18
3-19
3-19
3-19
4 Sampling and Documentation
a Introduction
Authority 3-21
Objectives 3-21
b Records Inspection
Objectives 3-23
Types of Records 3-24
Procedures and Considerations 3-24
Targeting and Locating Records 3-25
Copying Records 3-26
Written and Printed Records 3-26
Computer and Electronic Records 3-26
Visual Systems 3-27
Identification Procedures 3-27
Initialing and Dating 3-27
Numbering 3-27
Logging 3-27
General Considerations 3-28
Confidentiality Considerations and Procedures 3-28
Preliminary Indications of Confidentiality 3-28
Manual Copying of Records 3-29
Photocopying Documents 3-29
Identification of Confidential Documents 3-29
c Documentary Support
Objective 3-31
Inspector's Field Notebook 3-31
Confidentiality Considerations and Procedures 3-32
Inspection Entries 3-33
Administrative Entries 3-33
Statements 3-33
Photographs 3-35
Confidentiality Considerations 3-36
Drawings and Maps 3-36
Printed Matter 3-36
Mechanical Recordings 3-36
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Chapter Three
Contents
d Physical Samples
Definitions
Sampling Program
Definite Purpose
Representative Sample
Proper Equipment
Sufficient Sample Volume
Controlled Identification
Initiating Chain of Custody Record
Proper Handling
Adequate Documentation
e Chain of Custody
Elements of Custody
Procedures
Establishing Custody
Preparing Sample Documentation
Coordinating Sample and Documentation
Ensuring Custody During Transit
Confidential Samples
f Health and Safety
Inspector Responsibilities
Personal Protective Equipment
General Safety Equipment
Handling of Chemical Substances
Emergency Treatment
Inhalation
Skin Exposure
Eye Contact
Ingestion
Decontamination of Protective Clothing
Long Term Risk
Emergency Telephone Numbers
Respiratory Protective Equipment
Bi bliography
3-37
3-38
3-38
3-38
3-38
3-39
3-39
3-40
3-41
3-42
3-43
3-44
3-44
3-44
3-44
3-44
3-45
3-47
3-47
3-49
3-49
3-50
3-51
3-52
3-53
3-54
3-55
3-55
3-56
3-57
3-58
5 Closing Conference
Required Receipts
Receipt for Samples and Documents
Declaration of Confidential Business Information
Industry Outreach
3-61
3-61
3-62
3-63
Security Measures
Overview
Routine Security Measures
TSCA-CBI Security Procedures
3-65
3-65
3-66
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Chapter Three
1
Pre-lnspection
Preparation
Preplanning is necessary to ensure that the inspection is properly focused,
and that the inspection is conducted both smoothly and efficiently.
During the preplanning process, documents, forms, equipment, and educational
material necessary to the inspection should be prepared.
Agency Records Review
A thorough review of records in Agency files relating to a facility to be
inspected is essential in pre-inspection preparation. This review will
save time and minimize inconvenience during an inspection by not requiring
examination of information that has previously been made available. The
review will also give the inspector important background information on
the facility's operations and compliance history.
Review Considerations
The following documents and types of information may be reviewed in
preparing for an inspection:
• General facility information, including type, size, and
location of the facility to be inspected. This information
will be helpful in planning time and resource allocation and
in preparing documents and equipment.
• Previous inspection records and reports on enforcement proceedings
that resulted from other inspections. Special note should be
made of any violations observed in previous inspections so the
facility can be checked to ensure current compliance.
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Chapter Three 1 Pre-lnspection Preparation
• Special exemptions from requirements that may have been
granted by EPA. Additional requirements may have been placed
on the facility in granting the exemption.
• Reports prepared by the facility that were obtained during
previous inspections. Inspectors should review these reports
and note any discrepancies previously observed in the facility
records. If information is not clearly presented in the annual
facility report, an inspector should note that deficiency in
order to pay particular attention during the inspection and
thus clarify the information.
• Documents, correspondence, and permits concerning current
wastewater discharge, solid waste disposal, and on-going con-
struction.
• Additional information may be requested from the facility when
obvious inadequacies, inconsistencies, or voids are discovered
in the facility files.
Confidential Business Information
An inspector may need access to confidential business information in
the course of preparing for an inspection. This information may
consist of confidential business data a firm has previously reported
to the Agency or which was collected during a prior inspection. The
inspector will request access to-the information from the appropriate
Document Control Officer (DCO), who will:
• Verify the inspector's listing on the authorized access list.
• Secure a copy for the inspector.
• Determine if the inspector has secure storage approved by the
Security Branch. Confidential business data may be checked
out for 30 days if storage provisions are adequate according
to Chapter III 3.b. of the TSCA-CBI Security Manual. Otherwise,
data must be returned to the DCO that same day.
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Chapter Three 1 Pre-lnspection Preparation
Safeguards During Use
Confidential business information, when in actual use by an authorized
person, is to be protected in the following manner:
• Kept under the constant surveillance of an authorized
person who can exercise direct security control over
the material.
• Covered, turned face down, placed in approved storage con-
tainers, or otherwise protected, when unauthorized persons
are present.
• Returned to approved storage containers when not in use or
to the DCO at close of business when not checked out.
• Discussed only with other authorized persons. (Check with
the DCO to determine if the person is authorized.)
• Transferred to one authorized person within a division by
means of a Loan Receipt for TSCA-CBI available from the
DCO. A copy of the Receipt is to be furnished to the
DCO. The secondary recipient must also sign the cover
sheet.
Document Preparation •
Documents and forms necessary for the inspection should be prepared in
advance of the inspection whenever possible. (Document and form samples
and instructions for completion can be found in Chapter Six. Discussions
of their use appear at the appropriate places in the text.)
Inspection Documents
• Notice of Inspection. Written notice must be presented upon
the inspector's arrival at the facility. Portions of this
form can be filled out in advance; but the time of inspection
and name(s) of facility official(s) are entered at the time
of inspection.
• Compliance Report Form. Substance-specific inspection Volumes
will provide a detailed compliance form which will guide in-
spectors in gathering relevant information.
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Chapter Three 1 Pre-lnspection Preparation
• TSCA Inspection Confidentiality Notice. This form is used to
inform facility officials of their right to claim inspection
data confidential business information.
• Sampling Documents. The following forms relate to physical
samples and are used to record and control sample identification
and custody. These forms are discussed in detail in Chapter
Three, Sections 4d and 4e, and include:
• Custody Seal(s)
• Chain of Custody Record
• Receipt of Samples and Documents. All samples and documents
taken during an inspection are listed on this form.
• Declaration of Confidential Business Information. This form
is used to list all documents and samples taken during an
inspection that have been claimed confidential business
information.
• Copies of TSCA and of Specific Regulations. Some facility
officials may not have copies of the Act or of applicable rules
and regulations. Inspectors should have these available for
distribution.
• Agency Outreach Materials. Inspectors should provide current,
relevant educational information to facility officials relating
to voluntary compliance efforts.
Equipment Preparation
The kinds of equipment that an inspector carries should be specifically
related to the kind of inspection to be undertaken. For example, a PCB
inspection will require several kinds of sampling devices and containers,
while a CPC inspection may only require packaging materials for samples.
The inspector is expected to use sound judgment and rely on training
and past experience in deciding what equipment is necessary for a particular
inspection.
Checklists are provided as guidelines for inspectors. The requirements of
the inspection, the availability of certain equipment, and regional
policies and conditions are, of course, to be considered during this
pre-inspection phase.
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Chapter Three
Pre-lnspection Preparation
Form and Equipment Checklist
All equipment should be well-maintained and checked to see
that it is in good condition prior to each inspection.
Special circumstances may require equipment such as fireproof
clothing or self-contained breathing units. Check with your
supervisor for guidance and availability if the situation
may warrant such extra safety measures.
General Equipment
Camera
Film and flash equipment
Pocket calculator
Tape measure
Clipboard
Waterproof pens, pencils, markers
Locking brief case
"Confidential Business Information" stamp
Stamp pad
Envelopes pre-addressed to Document Control Officer
Plain envelopes
Polyethylene bags
Disposable towels or rags
Portable typewriter
Portable copying machine
Flashlight and batteries
Pocket knife
Sampling Equipment
The use of quality disposable equipment can be very helpful in
eliminating or minimizing sample contamination. If the use of
disposable equipment is not feasible or not possible, sampling
equipment should be thoroughly decontaminated by a qualified
laboratory.
• Crescent wrench, bung opener
• Siphoning equipment
• Weighted bottle sampler
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Chapter Three
1 Pre-lnspection Preparation
Bottom sediment sampler
Liquid waste samplers (e.g., glass samplers)
Auger, trowel, or core sampler
Scoop sampler
Sample bottles and containers (certified clean bottles with
teflon-lined lids)
Labeling tags, tape
Storage and shipping containers with lids
Ice chest
Container for contaminated material
Safety Equipment (See Chapter Three, Section 4F for details)
Safety glasses or goggles
Face shield
Ear plugs
Rubber-soled, metal-toed, non-skid shoes
Liquid-proof gloves, disposable if possible
Coveralls, long sleeved
Long rubber apron
Hard hat
Plastic shoe covers, disposable
Respirators and cartridges
Self-contained breathing apparatus
Emergency Equipment (See Chapter Three, Section 4F for details)
Substance-specific first aid information
Emergency telephone numbers
First-aid kit with eyewash
Fire extinguisher
Soap, waterless hand cleaner, and towels
Supply of clean water for washing
Forms
Notice of Inspection
TSCA Inspection Confidentiality Notice
Declaration of Confidential Business Information
Receipt for Samples and Documents
Chain of Custody Record
Official Seal
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Chapter Three
2
Entry
Authority
Section 11 of TSCA provides authority for an Em inspector to enter
'any establishment or facility in which chemical substances are
manufactured, processed, stored, or held before or after their distri-
bution in commerce. "
Under Section 11, the inspector is required to present the owner, operator,
or agent in charge of the facility with:
• Iroper credentials identifying the holder as a duly
authorized representative of the EIA Administrator; and
• A written notice of inspection.
In addition, Section 11 requires inspections to be:
• Commenced and coupleted with reasonable promptness;
• Conducted at reasonable times;
• Conducted within reasonable limits; and
• Conducted in a reasonable manner.
Arrival
Arrival at the facility must be during normal working hours. The facility
owner or agent in charge should be located as soon as the inspector
arrives on the premises.
Locating the proper officials may take some time and require contact
with several receptionists and secretaries. Inspectors should be
careful to keep official credentials in sight at all times during
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Chapter Three 2 Entry
the process. Business cards (available at inspector cost through
the Regional Offices) may be used for introductory purposes but do
not replace official credentials for identification.
Credentials
When the proper facility officials have been located, the inspector
should introduce himself as an EI& inspector and present the proper
Em credentials as required in Section 11. These credentials indicate
that the holder is a lawful representative of the Administrator of EEA
and is authorized to perform inspections under TSCA regulations. The
credentials must be presented whether or not identification is
requested.
After facility officials have scrutinized the credentials, they may
telephone the EI& regional office for verification of the inspector's
identification.
Credentials should never leave the sight of the inspector.
Notice of Inspection
Once inspector identification has been established, the written Notice
of Inspection is to be presented to the facility officials as required
by Section 11. The Notice should be dated, and the time of inspection
should be entered as proof that entry was requested at a reasonable
hour.
If records ordinarily exempt from inspection (financial, sales, pricing,
personnel, or research data) are specifically listed on the Notice,
facility officials should be informed verbally of the intent to inspect
these records.
(See Sample Notice of Inspection in Chapter 6: Forms)
Consent
Consent to inspect the premises must be given by the owner or by the
agent-in-charge at the time of the inspection. As long as the in-
spector is allowed to enter, entry is considered voluntary and con-
sensual, unless the inspector is expressly told to leave the premises.
Express consent is not necessary; absence of an express denial con-
stitutes consent.
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Chapter Three 2 Entry
Reluctance to Give Consent
The receptiveness of facility officials toward inspectors is likely
to vary from firm to firm. Most inspections will proceed without
difficulty. If consent to enter is flatly denied, the inspector
should follow Denial of Entry procedures. In other cases, officials
may be reluctant to give entry consent because of misunderstandings of
responsibilities, inconvenience to a firm's schedule, or other reasons
that may be overcome by diplomacy and discussion.
Whenever there is difficulty in gaining consent to enter, inspectors
should tactfully probe the reasons and work with officials to over-
come the obstacles. Care should be taken, however, to avoid threats
of any kind, inflammatory discussions, or deepening of misunderstand-
ings. If the situation is beyond the authority or ability of the
inspector, the Regional Office should be contacted for guidance.
Uncredentialed lersons Accompanying an Inspector
The consent of the owner or agent in charge must be obtained for the
entry of persons accompanying an inspector to a site if they do not
have specific authorization. If consent is not given voluntarily,
these persons may not enter the premises. If consent is given, these
persons may not view confidential business information unless officially
authorized for access.
Denial of Bitry
If an inspector is refused entry into a facility for the purpose of an
inspection under TSCA, certain procedural steps must be followed.
The procedures have been developed in accordance with the 1978 U.S.
Supreme Court decision in Marshal v. Barlow's, Inc.
Denial of Bitry Brocedures
1. Make certain that all credentials and notices have been
properly presented to the facility owner or agent in charge.
2. If entry is not granted, ask why. Tactfully probe the reason
for the denial to see if obstacles (such as misunderstandings)
can be cleared. If resolution is beyond the authority of the
inspector, he may suggest that the officials seek advice from
their attorneys on clarification of the scope of Em's in-
spectional authority under Section 11 of TSCA.
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Chapter Three 2 Entry
3. If entry is still denied, the inspector should withdraw
from the premises and contact his supervisor. The
supervisor will confer with attorneys to discuss the
desirability of obtaining an administrative warrant, and
will contact the Headquarters Pesticides and Toxic
Substances Enforcement Division.
4. All observations pertaining to the denial are to be care-
fully noted in the field notebook. Include facility name
and exact address, name and title of person(s) approached,
authority of person who refused entry, time of denial,
reason for denial, facility appearance, any reasonable
suspicions that refusal was based on a desire to cover up
regulatory violations, etc. All such information will be
important should a warrant be sought.
Important Considerations
• Under no circumstances should the inspector discuss
potential penalties under Section 15 of TSCA or do
anything that may be construed as coercive or threatening.
• Inspectors should avoid any situations that may be
potentially threatening or inflammatory.
• Inspectors should leave a copy of the written Notice of
Inspection with facility officials to show that proper
procedures were followed.
Withdrawal of Consent During Inspection
If the agent in charge asks the inspector to leave the premises after
the inspection has begun, the inspector should follow the procedures
above for denial of entry. All activities and evidence obtained prior
to the withdrawal of consent are valid.
Denial of Access to Some Areas of the Facility
If, during the course of the inspection, access to some parts of the
facility is denied, the inspector should make a notation of the circum-
stances surrounding the denial of access and of the portion of the in-
spection that could not be completed. He should proceed with the rest
of the inspection. After leaving the facility, the inspector should
contact the regional office to determine whether a warrant should be
obtained to complete the inspection.
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Chapter Three 2 Entry
Administrative
Warrants
An administrative warrant can be used to gain entry into a facility when
facility officials have denied entry to an inspector or when consent to
inspect has been withdrawn during an inspection. A warrant is a judicial
authorization for an appropriate official (EPA inspector, U.S. Marshal, or
other Federal officer) to enter a specifically described location and per-
form specifically described inspection functions.
Policy
Denied Entry
It is the policy of EPA to obtain a warrant when all other efforts to
gain lawful entry have been exhausted, and the inspector has carefully
followed established entry/denial of entry procedures. Determination
to secure a warrant will be made by the Regional Office in consultation
with the Headquarters Pesticides and Toxic Substances Enforcement Division.
In Advance of Inspection
A warrant may be obtained before the inspector sets forth to conduct the
inspection. A pre-inspection warrant may be obtained at the discretion
of the Regional Office in consultation with the Headquarters Pesticides
and Toxic Substances Enforcement Division if:
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Chapter Three 2 Entry
A violation is suspected which could be covered up during
the time needed to secure a warrant;
Prior correspondence or other contact with the facility to
be inspected provides reason to believe that entry will be
denied when the inspector arrives; or
The facility is unusually remote from the Regional Office or
a U.S. District court and obtaining a warrant would be in-
convenient to the government.
Securing and Serving a Warrant
The procedures for obtaining and serving a warrant involve a number of
people, and are as follows:
1. Contact the Regional Office. The inspector should discuss
the facts regarding the denial or withdrawal of consent or
the circumstances which give rise to the need for a pre-
inspection warrant. The determination will then be made
whether or not to seek a warrant, and who should contact the
U.S. Attorney.
2. Contact the Headquarters pesticides and Toxic Substances
Enforcement Division. The Regional Office will consult
with Headquarters in accordance with established policy.
3. Contact the U.S. Attorney. After a decision has been made
to obtain the warrant, the designated regional official
should contact the U.S. Attorney of the district in'which
the property is located. The Agency should assist the
Attorney in the preparation of the warrant and necessary
affidavits.
4. Apply for the Warrant. The application for a warrant should
identify the statutes and regulations under the Agency is
seeking the warrant. The name and location of the site or
establishment to be inspected should be clearly identified,
and, if possible, the owner and/or operator should be named.
The application can be a one- or two-page document if all
factual background for seeking the warrant is stated in the
affidavit, and the application so states. The application
is to be signed by the U.S. Attorney or by his assistant.
(See the model warrant in the Appendix.)
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Chapter Three 2 Entry
5. Prepare the Affidavits. The affidavits in support of the
warrant application are crucial documents. Each affidavit
should consist of consecutively numbered paragraphs that
describe all of the facts in support of warrant issuance.
Each affidavit should be signed by a person with first-hand
knowledge of all the facts stated, most likely the inspector.
An affidavit is a sworn statement that must be notarized or
sworn to before the magistrate. (See the model affidavit in
the Appendix.)
6. Prepare the Warrant for Signature. The draft warrant should
be ready for the magistrate's signature. Once signed, the
warrant is an enforceable document. The warrant should
contain a "return of service" or "certificate of service"
which will indicate upon whom the warrant was served.
This part of the warrant is to be dated and signed by the
inspector after the warrant is served. (See the model
warrant in the Appendix.)
7. Serve the Warrant. The warrant is served on the facility
owner or his agent in charge and the inspection will normally
commence or continue. Where there is probability that
entry will still be refused, or where there are threats of
violence, the inspector should be accompanied by a U.S.
Marshal. In this case, the Marshal is principally charged
with executing the warrant, and the inspector should abide
by the Marshal's decisions.
8. Inspecting with the Warrant. The inspection should be
conducted strictly in accordance with the warrant. If
sampling is authorized, all procedures must be followed
carefully, including presentation of receipts for all
samples taken. If records or other property are authorized
to be taken, the inspector must issue a receipt for the
property and maintain an inventory of anything removed from
the premises. This inventory will be examined by the
magistrate to assure that the warrant's authority has not
been exceeded.
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Chapter Three 2 Entry
9. Return the Warrant. After the inspection has been completed, the
warrant must be returned to the magistrate. Whoever executes
the warrant (i.e., the U.S. Marshal or whoever performs the
inspection), must sign the return of service form indicating to
whom the warrant was served and the date of service. The
executed warrant is then returned to the U.S. Attorney who will
formally return it to the issuing magistrate or judge. If
anything has been physically taken from the premises, such as
records or samples, an inventory of such items must be submitted
to the court, and the inspector must be present to certify that
the inventory is accurate and complete.
10. Important Considerations
• The application for a warrant should be made as soon as
possible after the denial of entry or withdrawl of consent.
• The warrant must be served without undue delay and within
the number of days stated (standard is 10 days). The warrant
will usually direct that it be served during daylight hours.
• Since the inspection is limited by the terms of the warrant,
it is very important to specify to the greatest extent
possible the areas intended for inspection, records to be
inspected, samples to be taken, etc. A vague, overly broad
warrant, however, will probably not be signed by the magistrate.
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Chapter Three
3
Opening
Conference
Once credentials and required notices have been presented the inspector
can proceed to outline inspection plans with facility officials.
The Inspector as Educator
The opening conference provides an ideal opportunity for the inspector to
strengthen Agency-Industry relations. The inspector's role of educator
and public relations liaison is important in establishing a sound spirit
of cooperation. The inspector is regarded as a source of regulatory
information, and should provide tactful help before, during, and after
the inspection. Areas of particular concern include:
Voluntary compliance
Overview of the law
Specific regulation requirements
Help with specific problems
Agency outreach efforts
Other resources for Agency assistance
Meeting Considerations
• Inspection Objectives. An outline of inspection objectives
will inform facility officials of the purpose and scope of
the inspection and may help avoid misunderstandings.
• Order of Inspection. A discussion of the order in which
operations will be inspected will help eliminate wasted
time by allowing officials time to make records available
and start up intermittent operations.
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Chapter Three 3 Opening Conference
• Meeting Schedules. A schedule of meetings with key personnel
will allow them to clear time to meet with the inspector.
« Organizational Directory. A telephone directory or a chart
showing how the facility is organized would be helpful.
• List of Records. A list of records to be inspected will allow
officials to gather and make them available for the inspector.
• Accompaniment. It would be beneficial to encourage a facility
official to accompany the inspector during the inspection to
describe the plant and its principal operating characteristics
and to indicate which processes, records, etc., should be
claimed as confidential business information. (See below.)
• Safety Requirements. The inspector should determine what OSHA
and facility safety regulations will be involved in the
inspection, and should be prepared to meet these requirements.
• Closing Conference. A "wrap-up" meeting should be scheduled
with appropriate officials to provide a final opportunity to
gather information, answer questions, and complete administra-
tive duties.
• New Requirements. The inspector should discuss any new rules
and regulations which might affect the facility - and answer
questions pertaining to them. If the inspector is aware of
proposed rules which might affect the facility, he may wish
to encourage facility officials to obtain a copy.
• General Information. Any necessary general information such
as the name and address of the chief executive officer should
be obtained during the meeting.
Confidentiality Notice and Discussions
The TSCA Inspection Confidentiality Notice (see Chapter Six: Forms) is
presented to the facility owner or agent in charge during the opening
conference. This Notice informs facility officials of their right to
claim as confidential business information any information (documents,
physical samples, or other material) collected by the inspector. The
inspector should also show the facility officials his letter from the
Deputy Administrator for General Enforcement certifying that he is
authorized for access to confidential business information.
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Chapter Three 3 Opening Conference
Authority to Make Confidentiality Claims
The inspector must ascertain whether the facility official to whom the
Notice was given has the authority to make business confidentiality claims
for the company. The facility official's signature must be obtained at
the appropriate place on the Notice certifying that he does or does not
have such authority.
• The facility owner is assumed to always have the authority
to make business confidentiality claims. In most cases, it
is expected that the agent in charge will also have such
authority. It is possible that the officials will want to
consult with their attorneys (or superiors in the case of
agents in charge) regarding this issue.
• If no one at the site has the authority to make business
confidentiality claims, the Notice and accompanying forms
(see Section 5: Closing Conference) are to be sent to the
chief executive officer of the firm within two days of the
inspection. He will then have seven calendar days in which
to make confidentiality claims.
• The facility official may designate a company official in
addition to the chief executive officer who should also
receive a copy of the Notice and accompanying forms. Space
is provided on the Notice form to make such a designation.
Confidentiality Discussion
Officials should be informed of the procedures and requirements that
EPA must follow in handling TSCA confidential business information.
The inspector should explain that these procedures were established
to protect the companies subject to TSCA and cover the following
points during the disucssion:
• Data may be claimed confidential business information during
the olosing conference if a person authorized to make such
claims is on-site at the facility.
• It is suggested that a company official accompany the in-
spector during the inspection to facilitate designation
(or avoidance, if possible) of confidential business data.
• A detailed receipt for all documents, photographs, physical
samples, and other materials collected during the inspection
will be issued at the closing conference.
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Chapter Three 3 Opening Conference
An authorized person may make immediate declarations that some
or all of the information is confidential business information.
This is done by completing the Declaration of Confidential
Business Information form. Each item claimed must meet all
four of the criteria shown on the Notice and Declaration forms.
If no authorized person is available on-site, a copy of the
Notice along with the Receipt for Samples and Documents will
be sent by certified, return-receipt-requested mail to the
chief executive officer of the firm, and to another company
official, if one has been desiqnated.
—Claims of confidentiality must be sent by registered
return-receipt-requested mail to the appropriate EPA
office within seven calendar days of receipt of the
Notice. (The inspector will insert the name and
address of the Regional Document Control Office in
the appropriate place on the Notice.)
All data claimed confidential will be turned to the Document
Control Officer and treated in accordance with procedures
described in the TSCA-CBI Security Manual. Only authorized
persons will have access to the information.
Data not immediately claimed confidential business information
because no authorized person is available on-site will be kept
in locked storage and otherwise accorded confidential treatment
(routine security measures) until the seven-day period has
expired. The information will not be logged in by the Document
Control Officer until an actual business confidentiality claim
has been made.
Preparation/Distribution of Confidentiality Forms
When the TSCA Confidentiality Notice is completed, four or five copies
are made and distributed as follows:
• Facility owner or agent-in-charge
• Company chief executive officer* (if no authorized person
is available)
• Other company official* (if designated)
• Inspection report
• Inspector's files
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Chapter Three 3 Opening Conference
*If the Notice is to be sent to the chief executive officer (and other
company official, if designated), attach a copy of the completed
Receipt for Samples and Documents and a partially completed Declara-
tion form. Mail within two days of the inspection. (See Section 5:
Closing Conference, for a complete discussion.)
Three or four copies are made of the Declaration of Confidential
Information form and distributed as follows:
• Facility owner or agent in charge
• Other company official (if designated)
• Document Control Officer
• Inspection report
Other Considerations
Duplicate Samples
Facility officials should be informed during the opening conference of
their right to receive a duplicate of any physical sample (.liquid or solid)
collected for laboratory analysis. Officials should indicate at this point
the desire to receive duplicate samples so arrangements can be made to
secure the samples during the inspection.
Photographs
The inspector may take photographs during the inspection. If officials
object to the use of cameras in their facilities, it should be explained
in a tactful manner that the photographs will result in a more thorough
and accurate inspection report. Officials may declare as confidential
business information any photographs taken during the inspection. If
polaroid/instant photographs are taken, they can be reviewed during the
closing conference.
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Chapter Three Introduction
4a
Sampling and
Documentation
Reviewing facility records, taking physical samples, and preparing
documentation are the basic elements of a compliance inspection. These
activities provide the evidentiary support the Agency uses to initiate
enforcement actions.
In the overall enforcement process, the inspector plays the key role of
providing reports and evidence that will withstand legal scrutiny.
Authority
Section 11 (a) of the Act establishes the authority to inspect for TSCA
compliance. Included within the scope of TSCA inspections are samples,
records, files, papers, and photographs. In carrying out these functions,
the inspector acts as the duly designated representative of the EPA
Administrator.
Objectives
The primary objective of sampling and documentation is to provide the
Agency with accurate and complete substantiation of violations that can
be admitted as evidence in a legal proceeding.
Development of admissible evidence is a complex process with many inter-
related facets. Evidence must be factual and objective; it must be
relevant and comprehensive; and it must be developed within the scope
of the law.
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Chapter Three 4a Introduction to Sampling and Documentation
The inspector's primary responsibility is to ensure that all evidence
is prepared so as to be admissible in court. The procedures outlined
in this Section will guide the inspector through this process.
In the evidence-gathering process, two considerations are of vital
importance:
• Observance of Policy and Procedures. Specific procedures and
policies have been developed to ensure efficient and effective
evidence gathering. These procedures, which encompass the
many individual components of sampling and documentation activities,
are detailed to help ensure that evidence generated by in-
spectors will be admissible in court. Inspectors are expected
to follow these procedures.
• Inspecting within the Scope of the Law. Specific requirements
have been established to protect all parties involved in an
inspection—facility, Agency, and inspector. It is imperative
that inspectors operate within these requirements to avoid
endangering a case on procedural or legal grounds.
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Chapter Three
4b
Records
nspection
The Toxic Substances Control Act requires that manufacturers, processors
and distributors of chemical substances maintain specific records
relating to data that would aid EPA in identifying and monitoring
toxic substances.
These requirements include reports of adverse reactions to health or
to the environment, and the creation and retention of records relating
to rules and regulations promulgated under the Act. Details of these
requirements are listed in specific Volumes of this manual.
Objectives
The basic purpose for inspecting facility records is to determine
compliance with TSCA requirements. The primary objectives of records
inspection are:
• To determine whether records required by the Act, or by
rules promulgated under the Act, are being adequately
maintained.
• To aid in determining the scope and objectives of the facility
inspection and to coordinate documentation of on-site observations
and sampling activities
Industry maintains various systems to document the procedures, methods
of manufacture, distribution, quality control, and other functions
undertaken in the manufacture or handling of toxic substances. Although
records are required, no specific recordkeeping system or formats are
detailed under TSCA. An effective facility inspection must be planned to
consider what kinds of recorded information are necessary to aid in
establishing compliance with TSCA requirements.
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Chapter Three
4b Records Inspection
Inspectors should clearly establish the objectives of the inspection
to avoid a cumbersome review of irrelevant materials. Records in-
spection should be clearly tied to the overall goals of the particular
inspection being undertaken.
Types of Records
The inspector may need to examine the following types of records:
Annual reports
Production records
Shipping records
Inventory records
Sales records (invoices, receiving records, etc.)
Process records
Quality control records
Disposal records
Label and literature
Permits—state, local, and federal
Correspondence
Exemptions
Information Retrieval Systems. Inspectors will encounter many elec-
tronic and Visual systems for storing information needed for an in-
spection. Computers, microfilm, microfiche, and other systems will
not pose retrieval problems if the inspector has carefully established
inspection objectives and knows the type of information he is looking
for.
Details of copying and handling these types of information are out-
lined below.
Procedures and Considerations
Accurate and complete records inspection entails a number of procedural
steps, including targeting, locating, copying, and handling.
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Chapter Three 4b Records Inspection
When reviewing records, inspectors should enter into the field notebook
the kinds of records examined, and the reasons for examining them.
Particular attention should be paid to the quality of information being
reviewed. When reviewing records, the following questions should be
kept in mind:
• Is the information complete?
• What are alternative sources for the same information?
• Has the facility made an honest attempt to meet TSCA record-
keeping requirements?
In addition, inspectors should look at records in terms of the following
general considerations:
• Compare current with past reports for possible discrepancies
or false reports.
• Check for completeness and accuracy of required records and
reports.
• Ascertain compliance with record retention requirements.
• Compare information contained in the records with first-hand
observations.
Guidelines for inspecting records under substance-specific regulations are
provided in the other Volumes of this Manual.
Targeting and Locating Records
The specific inspection objectives will help determine exactly what records
and/or information the inspector will need to examine. In this process,
the inspector should:
• List the kinds of records needed for compliance, and their
retention requirements. (Refer to the substance specific
Volumes of this manual and to the related regulations for
guidance.)
• Become familiar with the firm's record-keeping system. (A
field report entry about the system may help with future
inspections.)
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Chapter Three 4b Records Inspection
• Establish priorities for the material to be reviewed.
• Request that records personnel point out pertinent files
and sources.
• Check back-up systems and cross-filing systems which may make
retrieval more efficient.
There is often more than one route to the information needed for an
inspection. Different firms may organize data in different ways.
Inspectors should be aware of alternative approaches to data retrieval.
For example, a firm may consider disposal records to be a subcategory
of its shipping or transportation file system.
Copying Records
Records and files may be stored in a variety of information retrieval
systems, including written or printed materials, computer or electronic
systems, or visual systems such as microfilm and microfiche.
When copies of records are necessary for an inspection report, storage
and retrieval methods must be taken into consideration:
• Written or printed records can generally be photocopied on-site.
Portable photocopy machines may be available to inspectors
through the Regional Office. When necessary, however, in-
spectors are authorized to pay a facility a "reasonable" price
for the use of facility copying equipment.
• At a minimum, all copies made for or by the inspector should
be initialed and dated for identification purposes. (See
Identification details below.)
• When photocopying is impossible or impracticable, close-up
photographs may be taken to provide suitable copies.
Computer or electronic records may require the generation of
"hard" copies for inspection purposes.
• Arrangements should be made during the opening conference,
if possible, for these copies.
• Photographs of computer screens may possibly provide
adequate copies of records if other meains are impossible.
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Chapter Three 4b Records Inspection
• Visual systems (microfilm, microfiche) usually have photocopying
capacity built into the viewing machine which can be used to
generate copies.
• Photographs of the viewing screen may provide adequate
copies if "hard" copies cannot be generated.
Identification Procedures
Immediate and adequate identification of records reviewed is essential
to ensure the ability to identify records throughout the Agency cus-
tody process and to ensure their admissibility in court. When in-
spectors are called to testify in court, it is imperative that they
be able to positively identify each particular document and state its
source and the reason for its collection.
Initial, date, number, and write in the facility's name on each record,
and log these items in the field notebook.
• Initialing Dating. Each inspector should develop a unique
system for initialing (or coding) and dating records and
copies of records so that he can easily verify their validity.
This can be done by initialing each document in a similar
position, or by another method, at the time of collection.
Both the original and copy should be initialed. All record
identification notations should be made on the back of the
document.
The inspector must be able to positively identify that he
so marked the document.
• Numbering. Each document or set of documents substantiating a
suspected violation or violations should be assigned an
identifying number unique to that document. The number
should be recorded on each document and in the field notebook.
• Logging. Documents obtained during the inspection should be
entered in the field notebook by a logging or coding system.
The system should include the identifying number, date, and
other relevant information:
• The reason for copying the material (i.e., the nature of
the suspected violation or discrepancy).
• The source of the record (i.e., type of file, individual
who supplied record).
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Chapter Three 4b Records Inspection
The physical location of the record (i.e., address of
the facility, building number, room number).
The manner of collection (i.e., photocopy, other
arrangements).
General Considerations
• Return originals to the proper personnel or to their
correct location.
• Keep related records grouped together.
• Confidential business records should be handled according to
the special confidential provisions discussed below.
• All copies of records are to be delivered to the case pro-
ceedings file after completion of the inspection.
• All records are to be kept under lock when not in actual
use by the inspector.
Confidentiality Considerations and Procedures
During the examination of records, inspectors may view or copy documents
that are considered confidential by the company. It is recommended
that such documents be avoided unless they are essential to the
completion of the inspection.
Preliminary Indications of Confidentiality
Under ideal circumstances, a facility official will accompany the
inspector and make preliminary indications of the business information
considered confidential.
Such information should not be entered into field notebooks; a non-
confidential reference should be made to the information and the in-
formation should be placed on separate sheets which are then to be
considered documents. When the facility official is unwilling or un-
able to make such preliminary indications, the inspector must exercise
judgment in deciding which information should not be entered into the
field notebook.
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Chapter Three 4b Records Inspection
Manual Copying of Records
Only that information essential to the inspection should be copied
manually from facility records. If it is known or suspected that a
business confidentiality claim might be made, a reference only should
be made in the field notebook and the information placed on separate
sheets of paper. This treatment of the information will permit it to
be placed on the Receipt for Samples and Documents,lust as photocopies
are listed.
Photocopying Documents
If only some information is needed from facility records to be photo-
copied, it is suggested that potentially confidential portions not
necessary to the inspection be shielded.
To ensure that such shielded copies will be admissable as evidence if
needed, the inspector should obtain the signature of the facility
official on the back of the photocopy under a statement which reads:
"I hereby acknowledge that this is a photocopy of a page from our
(kind of record). A portion of the page was shielded and not photo-
copied at the company's request."
Facility Official Signature
Date
For long documents, one statement listing the relevant pages may be
substituted.
Identification of Confidential Documents
Each page of each document copied either manually or by photocopy should
by stamped "Confidential Business Information" as soon as confidentiality
is claimed.
The document(s) should be placed inside an envelope also marked
"Confidential Business Information." This envelope should be placed
inside a plain envelope and mailed immediately to the Document
Control Officer in the Regional Office. See Section 6: Security
Procedures, for a detailed discussion of the treatment of confidential
business information.
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Chapter Three
4c
Documentary
Support
Obj ective
Providing strong documentary support of discrepancies uncovered in an
inspection is a basic responsibility of an inspector. Documentation
serves to "freeze" the actual conditions existing at the time of the
inspection so that evidence may be examined objectively at a later
date by case proceedings personnel.
Documentation is a general term referring to all print and mechnical
media produced, copied, or taken by an inspector to provide evidence
of suspected violations. Types of documentation include the Field
Notebook, Statements, Copies of Records, Photographs, Drawings and
Maps, Printed Matter, and Mechnical Recordings.
Inspector's Field Notebook
The core of all documentation relating to an inspection is the field
notebook, which provides accurate and inclusive documentation of all
inspection activities. The notebook will form the basis for written
reports and should contain only facts and pertinent observations.
Language should be objective, factual, and free of personal feelings
or terminology which might later prove embarrassing. Notebooks become
an important part of case proceedings evidence and can be entered in
court as evidentiary material.
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Chapter Three 4c Documentary Support
Confidentiality Considerations and Procedures
Some of the information that an inspector would ordinarily include in the
field notebook may be considered confidential business information by
the company. During discussions with facility officials, the inspector
should avoid topics involving potentially confidential information not
needed for completion of the inspection.
If information claimed or'suspected to be claimed confidential is obtained
(either orally or copied from facility records), such information should
be referenced in a non-confidential statement in the field notebook and
placed on separate sheets of paper that are then treated as documents.
Photocopied documents should be referenced in the same manner.
e The non-confidential statement should state generally what
information has been collected (i.e., "information about the
firm's process for making x chemical").
• The separate sheets should be headed by the reference statement
in the field notebook and identified by the name of the facil-
ity, date of inspection, and inspector's signature. The
sheets should contain data only; no observations of extraneous
notes should appear since the sheets will be reviewed by
facility officials.
• The sheets are described as documents on the Receipt for Samples
and Documents which is given to facility officials at the closing
conference.
• The sheets are described as documents on the Receipt for Sam-
ples and Documents given to facility officials at the closing
conference.
• The sheets can be reviewed by the facility officials during
the closing conference and declared confidential, as appropriate.
It is recognized that the inspector will not always be able to make a
prior determination about confidential business information before
making entries into the field notebook, and that potentially confiden-
tial data may be included in the regular field notes. The intent here
is to reduce, to the extent possible, such entries so that later diffi-
culties regarding the fiela notes can be avoided. (See Section 5:
Closing Conference, and Chapter Four, Section 1: Report Preparation,
for discussions of confidential information contained in field notes.)
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Chapter Three 4c Documentary Support
Inspection Entries
Since an inspector may be called to testify in an enforcement proceeding,
it is imperative that each inspector keep detailed records of inspections,
investigations, samples collected, etc. Types of information that should
be entered into the field notebook include:
• Observations. All conditions, practices, and other observations
that will be useful in preparing the inspection report or will
contribute to valid evidence, should be recorded.
• Procedures. Inspectors should list all procedures followed
involving entry, sampling, records inspection, and document
preparation. Such information will help avoid damage to
case proceedings on procedural grounds.
• Documents. All documents taken or prepared by the inspector
should be noted and related to specific inspection activities.
(For example, photographs taken at a sampling site should be
listed, described, and related to the specific sample number.)
• Unusual Conditions and Problems. Unusual conditions and problems
should be noted and described in detail.
• General Information. Names and titles of facility personnel and
the activities they perform should be listed along with statements
they may have made and other general information. Information
about a facility's recordkeeping procedures may be useful in
later inspections.
Administrative Entries
These entries provide documentation relating to travel and other fiscal
data. All information requested by the Travel Voucher (SF 1012) should
be listed in the notebook.
The field notebook is a part of the Agency's files and are not to be
considered the inspector's personal record. Notebooks are held in-
definitely pending disposition instructions.
Statements
Inspectors can obtain statements from persons who have personal, first-
hand knowledge of facts pertinent to a potential violation. This statement
of facts is signed by the person who can testify to those facts in court,
and it may be admissible as evidence.
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Chapter Three 4c Documentary Support
Objective
The principal objective of obtaining a statement is to record in
writing, clearly and concisely, relevant factual information so that
it can be used to document an alleged violation.
Procedures and Considerations
• Determine the need for a statement. Will it provide useful
information? Is the person making the statement qualified to
do so by personal knowledge?
• Ascertain all the facts and record those which are relevant and
which the person can verify in court. Make sure all information
is factual and first-hand. Avoid taking statements that can
not be personally verified.
• In preparing a statement:
• Use a simple narrative style; avoid stilted language.
• Narrate the facts in the words of the person making the
statement.
• Use the first-person singular ("I am manager of...").
• Present the facts in chronological order (unless the
situation calls for other arrangement).
• Positively identify the person (name, address, position).
• Show why the person is qualified to make the statement.
• Present the pertinent facts.
• Have the person read the statement and make any necessary
corrections before signing. If necessary, read the state-
ment to the person in the presence of a witness.
• All mistakes that are corrected must be initialed by
the person making the statement.
• Ask the person making the statement to write a brief con-
cluding paragraph indicating that he read and understood the
statement. (This safeguard will counter a later claim that
the person did not know what he was signing.)
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Chapter Three 4c Documentary Support
Have the person making the statement sign it.
If he refuses to sign the statement, elicit an acknowledgement
that it is true and correct. Ask for a statement in his own
hand ("I have read this statement and it is true, but I am
not signing it because..."). Failing that, declare at the
bottom of the statement that the facts were recorded as
revealed and that the person read the statement and avowed
it to be true. Attempt to have any witness to the statement
sign the statement with his name and address.
Provide a copy of the statement to the signer if requested.
Photographs
The documentary value of photographs ranks high as admissible evidence.
Clear photos of relevant subjects, taken in proper light and at proper
lens settings provide an objective record of conditions at the time of
inspection.
Inspectors should make certain that all equipment is in good working
order prior to an inspection, and that supplies are adequate. Film is
adversely affected by temperature extremes and care should be taken
to avoid unsuitable storage conditions (e.g., an overheated auto).
Polaroid-type instant photos should be identified immediately with
location, purpose, date, time, inspector's initials, and related sample
number (if applicable). Identification should be recorded on the photo
and in the field notebook. Photographs taken on film requiring
developing should be identified in the field notebook in the order they
are taken. Once developed, identification should be transferred to
the photo itself.
Scale, Location, and Direction
It is sometimes useful to photograph a subject from a point that will
indicate the location and direction of the subject. The addition of an
object of known size (e.g., a person, an auto) will help indicate the
approximate size of the subject.
Safety
In areas where there is a danger of explosion, flash photographs should not
be taken. If there is a danger of electrical shock, photographs should be
taken from a distance known to be safe.
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Chapter Three 4c Documentary Support
Confidentiality Considerations
To avoid difficulties arising from confidential claims surrounding photo-
graphs, it is recommended that all unnecessary background be shielded when
photographs are taken, or the subject may be moved to another area. It
is recommended that instant cameras be used. If not, and a confidentiality
claim is made, the film must be processed by a contractor authorized for
access to confidential business information.
Drawings and Maps
Schematic drawings, maps, charts, and other graphic records can be
useful in supporting violation documentation. They can provide graphic
clarification of site location relative to the overall facility, spill
or contamination parameters, relative height and size of objects, and
other information which, in combination with samples, photographs, and
other documentation, can produce an accurate, complete, evidence
package.
Drawings and maps should be simple and free of extraneous details. Basic
measurements should be included to provide a scale for interpretation
and compass points should be included.
Printed Matter
Brochures, literature, labels, and other printed matter may provide
important information regarding a firm's conditions and operations.
These materials may be collected as documentation, if in the inspector's
judgment, they are relevant.
All printed matter should be identified with date, inspector's initials,
and related sample numbers
Mechanical Recordings'
Records produced electronic or by mechanical apparatus can be entered as
evidence. Charts, graphs, and other "hard copy" documents should be
treated as documentation, and handled accordingly.
TSCA Inspection Manual 3-36 January, 1980
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Chapter Three
4d
Physical
Samples
Samples play a fundamental role in the TSCA enforcement process. It is
upon the analysis of samples that most enforcement actions are based.
Samples should be obtained when an inspector needs to establish that a
violation exists. There are two classifications of samples:
Physical Samples
Physical samples represent a substance as drawn from a container. Physical
samples also include environmental samples such as soil, water, air, or
sediment, or biological samples including animals and vegetation. They
are used to confirm the presence and concentration of a chemical substance.
This classification involves the majority of samples taken during an
inspection. The procedures for proper physical sampling are discussed
in detail in this section. Instructions for sampling to document specific
violations are contained in subsequent volumes.
Documentary Samples
There will be occasions during inspections when taking physical samples
is impossible or is not feasible. (For example: substances stored in
bulk, pressurized containers, or in containers which can not be opened,
such as capacitors.) In such cases, documentary samples can be prepared.
A documentary sample differs from a physical sample in that the sub-
stance itself is not collected. Thorough documentation of conditions
and observations surrounding the substance thus becomes even more
crucial. ,
Preparation of documentary samples involves the.procedures detailed in
the preceding section on Documentary Support.
TSCA Inspection Manual 3_37 January. 1980
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Chapter Three 4d Physical Samples
Sampling Program
An inspector must be able to identify the sample examined in the laboratory
as the same sample he collected. The inspector must also be able to
explain and justify his sampling procedures. Mistakes or deficiencies in
procedures may damage an enforcement action. An organized, well-planned
sampling program will be of crucial importance in meeting this objective.
The substance-specific inspection Volumes provide details on how to sample.
However, an effective program will contain the following general elements:
Definite Purpose.
Representative Sample.
Proper Equipment and Technique.
Sufficient Volume.
Controlled Identification.
Proper Handling.
Adequate Documentation.
Definite Purpose
The inspector should have a clear, definable purpose for taking a particu-
lar sample and should note this purpose in the field notebook. This in-
formation will help in determining the types of documentation and sampling
techniques required. It will also prove invaluable in the preparation for
testimony at a future date.
Representative Sample
Proper sampling procedures demand selection of a site or a number of
samples that will produce a representative sample. Specific techniques
will vary with particular requirements and are discussed in the specific
inspection Volumes. Notes should be made regarding site selection, and
further documentation (e.g., photos or drawings) would be used to support
the physical samples.
Proper Equipment and Technique
The use of proper equipment is essential in the collection of valid physical
samples. The various substances and sample types will require different
types of equipment. A list of frequently used equipment appears on page
3-5; the specific inspection Volumes will provide lists of equipment
and tools that are compatible with the substance being sampled.
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Chapter Three 4d Physical Samples
Care should be taken to prepare the equipment so that contamination is
avoided. The use of disposable sampling equipment, when practical, will
help minimize this risk. If disposable equipment is not used, care should
be taken to assure that sampling equipment is properly decontaminated.
All steps followed in sampling should be noted in the field notebook.
Sufficient Sample Volume
The amount of volume of "the sample taken should be sufficient to per-
form all required laboratory analyses plus an additional amount for
quality control and repeat testing. Specific volumes will vary with
the type of sample and the substance involved. The specific inspection
volumes will provide details.
If duplicate samples were requested during the opening conference, they
should be collected and handled in the same manner as official samples.
Controlled Identification
To maintain validity throughout the evidence gathering process, samples
must be accurately and completely identified. A sample passes through a
number of steps in this process, and there must be no question as to its
source or integrity when a sample is entered as evidence.
The following steps are important aspects of the sample identification
process:
1. Identifying the Sample. The following information should be entered
in the field notebook:
Sample number
Date of collection
Collection method
Description of sample, including color, texture, viscosity, etc.
Duplicate samples, if provided
A tag or label should be affixed immediately to the sample container
showing:
• Sample number
• Date of collection
• Inspector's initials
• Sub-sample number, if appropriate
TSCA Inspection Manual 3_39 January 1980
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Chapter Three
4d Physical Samples
2. Sealing the Sample. Once the sample has been collected and labeled,
its container should be placed inside a plastic bag on which the
inspector has written his name or initials, and the date. The bag
is to be turned inside out to prevent any means of tampering with
the contents. The bag is then taped closed in a secure manner with
the Official Sample Seal (EP Form 7500-2). The seal should be
completed as follows:
vrtosr*, UHITED STATES
f gjS^I INSPECTOR'S SEAL
% _-«/ 3
SAMPLE NQ. .I DATE A
SIGNATURE fc .
4
•
16
i
"
6
-
o
o
I*-?
(1) Insert sample number.
(2) Insert date sealed.
(3) Print location of c ^lector's station.
(4) Signature of person sealing the sample.
(5) Print name (same as signature) and title of sealer.
(6) When a seal is broken for any purpose, initial here
and enter the date broken. Submit broken seal with
sample records.
The sample container or wrapper should be sealed so that it may
not be opened at any point without breaking the seal and/or the
original unit package. No more than one sample should be sealed
under one seal.
Confidential Samples. If the company declares a physical sample con-
fidential business information, the inspector should mark the seal
"Confidential Business Information." (See Section 6: Security Measures
for a discussion of the control of confidential samples between col-
lection and shipping or delivery to the laboratory.)
Resealing a Sample. If it becomes necessary to break a seal, it
should be mounted on a piece of paper properly initialed and
dated and submitted with sample records to provide a continuous
history. The sample should be resealed with a new seal.
3. Initiating Chain of Custody Record. Preparation of the Chain of
Custody Record initiates the process that controls and records access
to the sample once it has left the inspector's possession. The sample
number relates the sample to the Record which accompanies the sample
throughout the stages of processing. Chain of Custody procedures and
requirements are discussed in Section 4e.
TSCA Inspection Manual
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Chapter Three 4d Physical Samples
Identification Considerations
• One sample number is used for each sample. One sample consisting
of several subsamples or units is assigned only one number.
• Subsamples may be sealed in a single bag if they are part of one
sample and if adequate packaging protection is provided.
• Sample numbers should appear on all documentation relating to a
sample: Seals, Chain of Custody Record, drawings, photographs,
etc.
Proper Handling
Samples must be handled, stored, and shipped properly to avoid loss, con-
tamination, danger to handlers, and tampering. Requirements for handling
specific substance samples are contained in the substance specific Volumes.
General considerations include:
• Samples should always be handled in accordance with safety
procedures that relate to the specific substance.
• Provisions for sample preservation (refrigeration, chemical
preservatives, proper packaging materials, etc.) should be
planned in advance of actual sampling.
• Recommended holding times for specific samples should be
determined and care taken to avoid delays in transit.
I
j
• Highly toxic substances may require special handling and
such arrangements should be made in advance, if possible.
• Security provisions should be adequate to protect both
samples and documents.
• Samples can be delivered to the laboratory by the inspector.
When this is not feasible, they should be snipped by the
most economical means commensurate with the need for rapid
handling. All shipments are to be in accordance with U.S.
Postal Service and Department of Transportation regulations.
• Handling and shipping procedures followed should be recorded to
document the integrity of the sample.
TSCA Inspection Manual January, 1980
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Chapter Three 4d Physical Samples
Copies of all shipping and handling documents should be obtained
(e.g., bills of lading, return receipts, etc.).
Adequate Documentation
Sufficient and valid documentation of physical samples is as important as
the sample itself. The inspector's field notebook should serve as the
core of documentation with notations of all sampling activities clearly
listed.
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Chapter Three
4e
Chain of Custody
As in any activity that may be used to support litigation, regulatory
agencies must be able to prove that any analytical data offered into
evidence in a court accurately represents conditions at the time of
collection. Case proceedings personnel must be able to demonstrate
that none of the samples involved have been tampered with or con-
taminated during collection, transit, storage, or analysis. An
accurate written record must be maintained to trace the possession of
each sample from the moment of collection through its introduction
into evidence.
Elements of Custody.
A sample is in "custody" if:
• It is in one's actual physical possession.
• It is in one's view.
• It was in one's physical possession and it was secured so
it couldn't be tampered with.
• It is kept in a secured area with access restricted to
authorized personnel only.
• It is placed in a container sealed with an Official Seal
(Form 7500-2) that will be broken when the container is opened.
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Chapter Three 4e Chain of Custody
Chain of Custody Procedures
The concept of custody requires the maintenance of several procedures to
ensure the integrity of the sample. These procedures begin with the
identification of the sample and continue through the laboratory
analysis process.
1. Establishing Custody. Sample custody is initialed at the time
of collection by sealing the sample with the Official Seal. The
process is described in Section 4d.
2. Preparing Sample Documentation. A major aspect of the Chain of
Custody is the preparation and maintenance of written information
describing the collection, shipment, and storage of the sample.
Preparation of this documentation is the responsibility of the
inspector and lab personnel. Properly maintained, this documen-
tation will serve as a clear and complete account indicating the
sample has remained intact from collection to introduction as
evidence.
The documentation includes the entries in the inspector's field
notebook, the Official Seal, and the Chain of Custody Record.
3. Coordinating Sample and Documentation. The inspector must assure
that the relationship between the physical sample the related
documentation is clear, complete, and accurate. The sample
number, date, and inspector's initials should appear on all
documents, and the forms should be completed accurately and
completely.
4. Ensuring Custody during Transit. Shipment of sample to the
laboratory will involve the following procedures:
• Samples must be accompanied by the Chain of Custody
Record. Copies of documents should be retained by
the originator.
• If sent by common carrier, a bill of lading should
be obtained.
• All receipts and shipping documents should be included
in the Chain of Custody documentation.
The forms described in these procedures can be found in Chapter
Six: Forms. Detailed instructions for completion are included.
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Chapter Three 4e Chain of Custody
Confidential Samples
If a sample has been declared confidential business information, the seal
is marked "Confidential Business Information." The chain of custody form
is also marked "Confidential Business Information," and any analysis
reports are also to be marked and held confidential.
It is essential that the inspector deliver or ship the confidential sample
to an individual in the laboratory who has been cleared for access to con-
fidential information. Each person who handles the sample and analysis
report from that point must also have confidentiality clearance.
The forms described in these procedures can be found in Chapter Six:
Forms - detailed instructions for completion are included.
' 198°
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THIS PAGE WAS INTENTIONALLY LEFT BLANK.
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Chapter Three
4f
Health
and Safety
The handling and sampling of toxic chemical substances always poses a
certain degree of hazard. The objective of this section is to assure
the safety of persons handling hazardous materials by the use of
proper safety equipment and proper working habits. Most of the equip-
ment listed here is available from scientific supply houses listed in
the telephone directory.
Inspector Responsibilities
It is the responsibility of each inspector:
• To be thoroughly familiar with all safety guidance and
practices, and to make the appropriate choice of safety
equipment.
• To maintain safety equipment in good condition and proper
working order.
• To use safety equipment in accordance with guidance
received, labeling instructions, and as dictated by common
sense.
Personal Protective Equipment
Inspectors should have the following safety equipment and use it for
protection when handling chemical substances:
• Safety glasses (prescription if required), goggles, and face
shield.
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Chapter Three 4f Health and Safety
• Rubber-soled, non-skid, metal-toed shoes.
• High-top shoes or boots for field work.
• Gloves; liquid-proof, natural rubber or synthetic rubber,
disposable, if possible. The gloves should be long enough to
protect the wrist and be worn under the sleeves to prevent
chemicals from running into the gloves from the sleeves.
• Coveralls should be of closely woven fabric and be spill-
resistant; disposable if possible. If they are not, a liquid-
proof apron should be worn over them.
• Rubber apron, long enough to provide adequate protection.
• Hard hat; plastic with a plastic sweatband. (Cloth and leather
sweatbands are more comfortable, but are harder to clean.)
• Shoe covers; plastic, disposable.
• Respiratory protective devices should be used whenever a toxic
contaminant is present or whenever there is an oxygen deficiency.
When using these devices, care should be taken to follow device
instructions carefully. In all cases, the equipment must be of
the type approved by either the National Institute of Occupational
Safety and Health (NIOSH) or by the Mine Safety and Health
Administration (MSHA).
• Self-Contained Breathing Apparatus (SCBA). This type of
unit can be used in most cases when respiratory protection
is needed. Since this unit has its own supply of oxygen, it
has more flexibility in use than other types. If SCBA is too
expensive for regular use, it should be available for use in
emergencies.
• Chemcial Cartridge Respirators. This type covers the mouth
and nose. Some are available with goggles to protect the
eyes. If they are not, separate goggles should be worn.
Inhaled air comes through a filter pad and a cartridge made
to absorb vapors. Most harmful vapors, gasses, and
particles are removed.
• Chemical Canister Respirators (Gas Masks). This type
usually covers more of the face than the cartridge respirator
and has longer-lasting absorbent material and filters.
Neither kind will protect when oxygen supply is low.
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The respirator must fit the face well. A beard, heavy side-
burns, or glasses may prevent a good seal. Check the seal by
covering the air intake and breathing in. If no air enters,
there is a good seal. Tanks, cartridges, and filter units
should be checked and maintained in accordance with manufacturer
instructions. The face piece should be washed regularly.
The table which follows this section provides more information
on respiratory protective devices.
General Safety Equipment
The following safety equipment should be in each inspector's car for use
when needed. All equipment should be checked periodically to ensure that
it is in proper condition.
First-aid kit
Fire extinguisher (ABC all purpose dry chemical)
Airtight containers for storage of highly toxic samples
Hand cleaner and towels
Clean water for washing in case of an accident
Emergency phone numbers (See Table following this Section)
Handling of Chemical Substances: General Guidelines
The following guidelines should be followed when handling or sampling
chemical substances. When extraordinary circumstances exists, such as
handling of spills or highly toxic substances, guidance and direction must
be sought from your supervisor.
• Before entering any facility, ask the appropriate representative
if there are any special safety precautions that should be taken
or if there is any special safety equipment needed.
• Check all labels, manifests, and other sources of information
before sampling a chemical in an effort to identify the
substance and learn of potential hazards.
• Determine what routes of exposure to avoid for the chemical
substance being sampled, and the proper sampling and protective
equipment to be used.
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Chapter Three 4f Health and Safety
• Use only proper tools for opening containers (e.g. non-sparking
bung wrench) and be careful when opening and closing them.
• Exercise caution; the substance may be mislabeled.
• Open and sample substances in areas where spills can be cleaned
up easily and properly.
• Make use of all appropriate protective clothing and equipment.
• Be careful not to spill toxic substances on the skin or clothing.
If it happens, disrobe completely in a manner that keeps contact
with the substance to a minimum, and wash the skin thoroughly
for at least 15 minutes. A change of clean clothing should
always be available.
• After exposure, remove all protective gear and dispose of it
properly. Wash hands immediately after sampling, before eating,
smoking, drinking, or using toilet facilities.
• Never use your mouth to siphon or put your hands near your
eyes or mouth. Use an automatic syphon.
• A supply of detergent soap, clean water, and waterless hand
cleaner should be readily available.
• Know the limitations of your protective equipment, especially
respirators.
• Transport and store samples in an airtight storage box.
• Be alert for spilled materials, improperly stacked materials,
moving equipment (fork lifts, conveyor belts, etc.), poor
ventilation, bad lighting, etc.
Emergency Treatment
The purpose of emergency treatment is to give immediate and temporary care
to a victim of an accident or sudden illness until the services of a
physician can be obtained. In the case of poisoning, emergency treatment
helps to remove, dilute, or slow up the movement of the poison. Knowledge
of the poison combined with prompt treatment is essential in reducing the
poison's concentration. Medical attention should be sought when appropriate.
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The following tables provide emergency treatment guidelines for
the four major routes of entry.
INHALATION
Breathing a gas, vapor, mist, fumes, or dust is the
most common form of accidental exposure.
Inhalation affects the lining of the air passages of
the nose, throat, and lungs, and usually results in an
irritation and may cause mild burns. The chemical may
enter the bloodstream through the lungs and be distri-
buted throughout the body tissue, causing a systemic
effect.
Sampling should always be done in a well-ventilated
area and respirators should be used.
EMERGENCY TREATMENT
If still conscious, get out of the contaminated air
space immediately.
If the victim is unconscious, he should be
removed at once from the contaminated area. All
rescuers should make sure they have proper res-
piratory equipment operational before attempting
rescue.
If the victim is no longer breathing/ mouth-to-
mouth resuscitation, artifical respiration, or
cardio-pulmonary resuscitation (CPR) should be
begun immediately.
Medical attention should be sought immediately.
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Chapter Three
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SKIN EXPOSURE
Some substances have the capacity to penetrate the
unbroken skin and enter the bloodstream.
Precautions to be used in sampling include:
• Wipe all residue off the containers after
filling them with the sample.
• Use proper procedures for removing contaminated
clothing.
• Skin should be washed immediately after removal
of contaminated clothing. Clothing should not be
worn again unless decontaminated.
EMERGENCY TREATMENT
Wash skin with plenty of soap and water for a
minimum of 15 minutes.
If clothing is contaminated, it should be removed
in such a way as to minimize further contact with
the substance.
Get under a shower immediately and remove clothing
while showering. Certain substances are rapidly
absorbed through the skin. WASTE NO TIME.
All contaminated parts of the body, including hair,
should be thoroughly decontaminated. It may be
necessary to wash repeatedly.
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Health and Safety
EYE CONTACT
Eyes may be harmed by substances in either liquid or
vapor form.
Precautions to protect the eyes include:
• Wear goggles or face shield.
• Do not rub eyes at any time.
EMERGENCY TREATMENT
Eye(s) should be washed immediately with plenty
of water. The eye should be held open and flooded
with water so that all surfaces are thoroughly
washed.
Washing should continue for 15 minutes.
Seek medical aid.
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Health and Safety
INGESTION
Toxic amounts of a substance may be carried to the
mouth by hand when drinking, eating, or smoking.
Precautions include:
• Wash hands thoroughly before eating, drinking,
or smoking.
• NEVER pipette or siphon liquids by mouth.
• Do not bring hands into contact with the mouth
until hands have been thoroughly washed.
EMERGENCY TREATMENT
• Call Poison Control Center.
• Follow directions on label of susbstance
container.
• When petroleum products are involved, get
medical advice immediately.
• Induce vomiting unless an aspiration hazard (as
with petroleum products) is a predominant factor.
• Take an emetic to induce vomiting. A table
spoon of salt or powdered mustard in a glass
of warm water may be used.
• Drink plenty of water. Placing your finger
in your throat may also be effective in
inducing vomiting.
• Treatment should be continued until vomitus
is clear.
• Seek medical advice immediately.
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Chapter Three 4f Health and Safety
Decontamination of Protective Clothing
After use of protective clothing to prevent contact with toxic substances,
head coverings, coveralls, aprons, and gloves should be folded or turned
inside-out, then placed in a plastic bag, and sealed. Subsequently, these
items should be disposed of or washed. Face shields, goggles, respirators,
rubber gloves, and boots should be washed thoroughly with soap and water
between uses. Protective clothing which has been contaminated should be
disposed of by appropriate methods.
Long Term Risk
The possibilities for long term risk inevitably exist with the handling of
toxic substances. Although there are no defined measures to avoid these
risks, handlers of toxic substances should be warned of their dangers.
Among the many chemical substances and mixtures which are constantly being
developed and produced, there are some whose manufacture or use may
present an unreasonable risk of injury to health or to the environment.
For this reason the inspector should vigorously follow the long term
medical surveillance procedures of the Agency.
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Chapter Three
4f
Health and Safety
INDUSTRIAL AND MUTUAL AID EMERGENCY CONTACTS
Organization
Association of American
Railroads
CHEMTREC
Dow Chemical
Du Pont
Monsanto
National Foam Center
Poison Control Center
Division
Hours
Telephone
Emergency Response 24-hour (202) 293-4048
Chemical Emergencies 24-hour
Emergencies 24-hour
Emergency Response 24-hour
Safety Office 24-hour
Emergency Response 24-hour
24-hour
(800) 424-9300
(517) 636-4400
(302) 774-1000
(618) 271-5835
(215) 363-1400
Consult White
Pages of Local
Telephone
Directory Under
"Poison Control"
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RESPIRATORY PROTECTIVE EQUIPMENT
Atmosphere
Respirator Type
Applications and Limitations
Precautions
All particulates
gases, vapors,
oxygen
deficiency.
Self-contained.
Recirculating
compressed oxygen.
Demand compressed
air or oxygen.
Self-generating
oxygen.
Use in any atmosphere. Allows
freedom of movement, allows
worker to leave atmosphere by
any route; Limited time of use.
Careful training required for
proper use.
Wearer should be in good
physical condition and
thoroughly trained.
Assure plentiful supply
of air or oxygen in tank.
Check for proper and
tight fit, use with life
line. Leave at once if
an odor is detected. Do
not remove until out in
respirable air.
Supply air. Unlimited time of use, use in
Hose mask with any atmosphere (except air line
blower. Hose not to be used in oxygen defic-
mask without ient or immediately dangerous
blower. atmosphere). Not to be used
Air line where worker cannot escape
respirator. unharmed without protection.
Must exit by entrance route.
150 ft. maximum from exit
(75 ft. hose mask without
blower). Limits freedom of
movement.
Place inlet in respirable
air location, adjust fit
and air lines properly.
Test before entering
dangerous atmosphere.
Use life line, protect
air line or hose from
sharp edges or falling
objects. Leave at once
if air flow is interrupted
Do not remove until in
respirable air. Air line
respirators must have a
clean supply of air free
from dust, oil and carbon
monoxide.
Particulates
alone
Mechanical Filter.
Special filter
respirators.
Allow freedom of movement. Not
to be used in excessively
dusty atmospheres, in oxygen
deficient atmospheres, or in
atmospheres containing gases
or vapors. Not to be used
for abrasive blasting.
Relatively difficult to
breathe. Limited time of use.
Use clean filter and
change when plugged.
Ensure good fit and good
operating condition.
Leave at once if diffi-
culty in breathing
increases significantly.
Gases and Vapors
alone
Chemical
Absorbers.
Universal gas
mask.
Special canister
gas mask.
Special cartridge
respirator.
Allows freedom of movement.
Do not use in atmospheres
deficient in oxygen or contain-
ing excessive contaminants
(above 2% with gas masks, above
1000 ppm with cartridge type).
Used for limited time and
specific contaminant only.
(Cartridge respirators not to
be used in atmospheres immed-
iately dangerous to life.)
Relatively difficult to breathe.
Limited time of use.
Adjust properly, ensure
good tight fit. Check
operating condition.
Always use fresh canister
or cartridge at start of
use if possible. Enter
atmosphere cautiously.
Whenever odor is detected
leave at once. Leave if
difficulty in breathing
increases significantly.
Combination of
particulates and
gases and
vapors
Chemical/Mech-
anical Filters.
Gas mask with
filter.
Filter respirator
with chemical
cartridge.
See mechanical filters and
chemical absorbers.
See mechanical filters
and chemical
absorbers.
Source:
Sax, N. Irving, Dangerous Properties of Industrial Materials,
196S.
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Chapter Three 4f Health and Safety
Bibliography
The following is a partial listing of works on safety and a brief
summary of the information contained therein.
• "Occupational Safety and Health for the Federal Employee", U.S. Department of
Labor, Occupational Safety and Health Administration," January 1, 1979. A booklet
outlining Federal Government policy concerning occupational safety and health
protection provided for government employees.
• "NEIC Safety Manual," Environmental Protection Agency, Office of Enforcement,
National Enforcement Investigation Center, EPA-330/9-74-002-B, Denver, Colorado,
February, 1977. Provides general guidelines on safety for NEIC personnel, con-
sistent with OSHA requirements.
• "Hygienic Guide Series," American Industrial Hygiene Association, Akron, Ohio 44313,
March, 1977. Contains an alphabetical list of chemicals, with the following in-
formation for each: hygienic standards, significant properties, industrial
hygiene practice, specific procedures for safe handling and literature references.
• Handling Guide for Potentially Hazardous Commodities," ed. David Baskin, Ph.D.,
Commodity Safety System of the Railway Systems and Management Association. Contains
the following relevant information: chemical synonym directory, medical digest,
pollution control, references, priority risk worksheet, and emergency equipment.
• "Matheson Gas Data Book," The Matheson Company, Inc., East Rutherford, New Jersey;
Joilet, Illinois; Newark, California. Matheson of Canada, Ltd., Whitby, Ontario,
1961. Contains information on handling, use and recommended controls for gases.
Includes description, specification, toxicity, first aid, precautions in handling
and storage, container construction materials, cylinder and valve description,
safety devices, recommended controls, shipping regulations, commercial preparation,
chemical properties, and physical data.
• "CHRIS, A Condensed Guide to Chemical Hazards," Department of Transportation,
Coast Guard, October, 1978. Contains a directory of chemical names and the
following information for each: common synonyms, appearance; and general
response information outlining basic preventive and precautionary actions
to be taken.
• "Patty's Industrial Hygiene and Toxicology, 3rd Revised Ed., Volume I: General
Principles," ed. George D. Clayton and Florence E. Clayton, 1978. Twenty-seven
authorities in their respective fields discuss such facets of the profession as
air pollution; agricultural hazards; odors, heat stress; fire and explosion
hazards; atmospheric contaminants; pulmonary effects of inhaled dusts; noise
and conservation of hearing; and more. The book also includes methods of
evaluation of the various problems likely to be encountered, samples of
methods of record keeping, and hazard control methods.
• "Dangerous Properties of Industrial Materials," Newton Irving Sax, Reinhold
Publishing Corporation, New York, 1963, Third Edition. Contains information
covering over 12,000 hazardous materials. Areas of hazard covered include:
radiation hazards, industrial fire protection, storage and handling of
hazardous materials, respiratory protection, and personal hygiene.
• "Condensed Chemical Dictionary," Arthur and Elizabeth Rose, Reinhold Publishing
Corporation, New York. Contains useful information on chemical materials including
shipping instructions and safety regulations.
• "Threshold Limit Values of Airborne Contaminants," adopted by ACGIH for 1969,
American Conference of Governmental Industrial Hygienists, 1014 Broadway,
Cincinnati, Ohio 45202.
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Chapter Three 4f Health and Safety
• "American Red Cross First Aid Textbook," American National Red Cross, Doubleday
and Company, Garden City, New York, 1957.
• "Clinical Toxicology of Commercial Products," Marion N. Gleason, ed., Williams
and Wilkins Company, Baltimore, 1957.
• "Alphabetical Index Industrial Safety Data Sheets," National Safety Council,
425 North Michigan Avenue, Chicago, Illinois 60611. Lists bulletins available
on characteristics of over 200 chemicals.
• Chemical Manufacturers Association, 1825 Connecticut Avenue, N.W., Washington, D.C.
20009. The CWA has many publications which give complete information on health
and fire hazards, handling, storage, labeling, packaging and transportation.
A list of publications is available.
• "Fire Protection Guide on Hazardous Materials," National Fire Protection
Association, 60 Batterymarch Street, Boston, Massachusetts 02110. This
recent publication is a complete volume on fire, explosion, and health
characteristics of many chemicals and materials. It combines five previous
NFPA texts (49, 491M, 325A, 325M, and 704M).
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Chapter Three
5
Closing Conference
A final meeting with facility officials will enable the inspector to
"wrap up" an inspection. Necessary receipts can be prepared, questions
can be answered, and information gaps can be resolved.
Required Receipts
Receipt for Samples and Documents
A written receipt for all samples and documents taken should be issued
to the facility officials. The receipt should describe each item and
its point of origin and be signed and dated by the inspector. To be
included on the receipt are:
• A description of all physical samples taken.
• A description of all records, photographs, or other property
taken. This is particularly crucial when inspecting with
a warrant.
• A description of all separate sheets containing sensitive
information taken in lieu of entries in the field notebook.
The purpose of this detailed receipt is twofold:
• To protect the Agency by showing that facility officials knew
exactly what was taken.
• To allow full review by the facility officials of the material
and information collected so that confidentiality claims can
be made.
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Chapter Three 5 Closing Conference
Declaration of Confidential Business Information
The Declaration of Confidential Business Information should include a
list of all items declared confidential by an authorized facility
official. Each item declared must meet the four criteria shown on the
form.
• Some information may have been declared confidential during
the inspection itself. These items should be reviewed and
confirmed with facility officials and each item then listed
on the Declaration form.
• Facility officials then review the completed Receipt for
Samples and Documentation and make any further entries on
the Declaration form.
No Authorized Claimant. If no on-site facility official is authorized
to make confidentiality claims, the following steps should be followed:
• A copy of the completed Receipt for Samples and Documents
should be made.
• A copy of the TSCA Notice of Confidentiality that was signed
by the facility official should be made. The Notice should
include the name and address of the Regional Document Control
Officer in the place provided.
• A Declaration of Confidential Business Information form should
be partially completed (top portion and inspector's name and
title only).
• The three forms should be mailed by certified, return-receipt-
requested mail to the chief executive officer of the firm with-
in two days of the inspection. (The chief executive officer
will have seven calendar days to make confidentiality claims.)
• If another company official has also been designated to make
business confidentiality claims, the three forms should be
sent to him in addition to the chief executive officer.
• No additional measures beyond the routine security procedures
normally followed for inspection data need be taken with
regard to this information during the seven-day period.
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Chapter Three 5 Closing Conference
TSCA-CBI procedures will commence immediately upon notification
of the Document Control Officer of a confidentiality claim.
If a confidentiality claim is made, it is the responsibility
of the Document Control Officer to notify all parties (in-
spector, laboratory, case preparation staff, and any others
who may be handling the information) and log in the material
as required.
Industry Outreach
Since the inspector is often the only contact between the Agency and
the regulated industries, he should be acutely aware of opportunities
to maintain and improve Agency-Industry relations. The closing con-
ference provides an ideal opportunity to offer various kinds of help
to facility officials. The inspector will have just completed an
inspection, and will have first-hand knowledge of questions, problems,
and ways to help overcome them. Considerations include:
• Answering all questions within the ability and authority of
the inspector.
• Referral of questions and problems to other EPA personnel
when necessary. Follow-up with those personnel when practical.
• Discussion of problems with facility officials, tactfully
offering help and suggestions.
• Tactful probing of problem areas uncovered during the inspection
which facility officials may not be aware of.
• Offering or suggesting available resources to facility
officials to help overcome problems (i.e., Agency outreach
materials, technical publications, special services
available to industry, etc.)
It is very important for the inspector—as an industry relations
representative—to follow up all referrals and offers for help. A
letter, phone call, or repeat visit will indicate to facility officials
a genuine interest on the part of the Agency. Such expression of
interest will immeasurably aid the Agency's industry relations and
voluntary compliance programs.
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Chapter Three
6
Security Measures
Overview
Security measures must be taken to protect all inspection data (including
documents, samples, field notes, and other documentation) collected by
the inspector. The information must be protected because:
• The very nature of an enforcement investigation assumes the
possibility that some legal action might result.
• Any inspection involves the collection of information that a
firm would not ordinarily make available to outsiders.
In addition to the routine security measures, which are always taken with
regard to inspection data, the declaration of certain information as TSCA
Confidential Business Information (TSCA-CBI) imposes a further layer of
security procedures designed to control access to the information within
the Agency.
Routine security measures and the additional procedures for TSCA Con-
fidential Business Information are discussed below.
Routine Security Measures
The main objective of the routine security measures is to ensure that
reasonable precautions are taken to prevent unauthorized persons from
viewing the information. When practical circumstances prohibit the in-
spector from following the procedures exactly, the inspector is expected
to take steps for protection of the information that will achieve this
obj ective.
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Chapter Three 6 Security Measures
While Traveling
The inspector may be on the road for several days while doing inspections.
It is his responsibility to ensure that the information he collects is
handled securely.
Documents and field notes are considered secure if they are
in the physical possession of the inspector and not visible
to others while in use. For example, it is permissible to
review documents in the privacy of a motel room or motor
vehicle, but not acceptable to review them in a public place
such as a restaurant.
Inspection documents contain sensitive information and should
be kept in a locked briefcase. If it is impractical to carry
the briefcase into a given situation, the briefcase may be
stored in a locked area such as a motel room or trunk of a
motor vehicle.
Physical samples should be placed in locked containers and
stored in a locked portion of the motor vehicle. The chain
of custody procedures provide further protection for ensuring
the integrity of the sample.
In the Office
Documents and field notes must be kept in a locked filing cabinet when
not in actual use.
TSCA-CBI Security Procedures
In addition to all of the routine security measures that must be taken
for any inspection data, the further procedures discussed below must
be followed with regard to information declared TSCA Confidential Business
Information.
While Traveling
Because of the difficulties in protecting TSCA-CBI while traveling, it is
recommended that such information be mailed, shipped, or hand delivered
to an authorized person as soon as possible after the inspection.
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Chapter Three 6 Security Measures
Documents and other "paper" data should be mailed or hand
carried to the Regional Document Control Officer.
Physical samples should be shipped or hand carried to an in-
dividual in the laboratory who is cleared for access to con-
fidential information.
Handling of Documents
• As soon as they are declared, confidential documents or papers
should be marked "Confidential Business Information" and placed
inside an envelope also marked "Confidential Business Information.
This envelope is placed inside a plastic envelope addressed
to the Regional Document Control Officer and mailed immediately.
• If mailing is not feasible immediately, the double envelope
should be placed inside a locking briefcase. The double
envelope is required during this interim period to prevent
others from seeing that the inspector is carrying "Con-
fidential Business Information" should he open his brief-
case.
• The locked briefcase must be kept in the sight of the in-
spector at all times. If it is totally impractical to
carry the briefcase into a given situation, the briefcase
may be stored in a key-locked area for which the inspector
has control of the only key. The inspector would be ex-
pected to take the briefcase into a restaurant, but not
into another facility inspection. Briefcases should not
be left unattended in a motel room.
• If it is necessary for the inspector to review the document,
this can only be done in absolute privacy because the
"Confidential Business Information" marking is likely to
arouse curiosity. If privacy is violated, the documents
must be shielded from view immediately.
Handling of Physical Samples
• Physical samples declared confidential should be marked
"Confidential Business Information" on the seal and the
same mark should be placed on the chain of custody report.
The sample and chain of custody report should be shipped
or delivered immediately to an individual in the laboratory
who is known by the inspector to be cleared for confidential
business information.
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Chapter Three 6 Security Measures
If shipping is not feasible immediately, the samples should
be stored in a locked container inside a locking portion of
the motor vehicle.
In the Office
If the inspector has confidential business information in his
possession from an inspection when he returns to the office,
he should check it in with the Document Control Officer (DCO)
immediately upon his arrival.
The Document Control Officer should be informed of any physical
samples that were declared confidential. It is the respon-
sibility of the DCO to notify the laboratory of the Document
Control Number (DCN) assigned to the sample which should ap-
pear on the sample chain of custody and laboratory analysis
reports. If a copy of the laboratory analysis is sent to the
firm, it must be sent by registered mail in a double envelope.
After the documents have been logged in by the DCO, they must
then be handled in accordance with the procedures detailed in
the TSCA-CBI Security Manual.
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Chapter Four
Post-Inspection
Activities
Chapter Contents Page
1 Report Preparation
Objective of the Inspection Report 4-1
Confidentiality Considerations and Procedures 4-2
Preparation of Inspection Report 4-2
Field Notes 4-2
Elements of the Report 4-3
Inspection Report Forms 4-3
Narrative Report 4-4
Reviewing the Information 4-4
Organizing the Material 4-4
Referencing Accompanying Material 4-5
Writing the Narrative 4-5
Narrative Report Format 4-6
2 Appearing as a Witness
Personal Appearance and Conduct 4-11
Witness Stand Technique 4-12
Speaking 4-13
Notes 4-13
Answering Questions 4-13
General Guidelines 4-14
Testifying under Cross Examination 4-15
Proper Conduct During Recess and After the Trial 4-16
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Chapter Four
1
Report
Preparation
The adequacy of an enforcement case depends on the evidence package pre-
pared by the inspector. The preceding chapter details the procedures for
collecting and substantiating this evidence. Once collected, however,
this evidence must be organized and arranged in a manner that will allow
case proceedings personnel to make maximum use of the information.
The information presented in this section provides general guidelines for
organizing evidence and preparing an inspection report.
Objective of an Inspection Report
The objective of an inspection report is to organize and coordinate all
evidence gathered in an inspection in a comprehensive useable manner.
In order to meet this objective, information in an inspection report
must be:
• Accurate. All information must be factual and based on sound
inspection practices. Observations should be the verifiable
result of first-hand knowledge. Case proceedings personnel must
be able to depend on the accuracy of all information.
• Relevant. Information in an inspection report should be per-
tinent to the subject of the report. Irrelevant facts and
data will clutter a report and may reduce its clarity and use-
fulness.
• Comprehensive. The subject of the report (i.e., suspected
violation(s) should be substantiated by as much factual, relevant
information as is feasible. The more comprehensive the evidence,
the better and easier the prosecution task.
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Chapter Four 1 Report Preparation
Coordinated. All information pertinent to the subject should
be organized into a complete package. Documentary support
(photographs, statements, sample documentation, etc.) accompanying
the report should be clearly referenced so that anyone reading
the report will get a complete, clear overview of the subject.
Objective. Information should be objective and factual;
the report should not draw conclusions.
Clear. The information in the report should be presented in a
clear, well-organized manner.
Neat and Legible. Adequate time should be taken to allow the
preparation of a neat, legible report.
Confidentiality Considerations and Procedures
All documents and other materials that have been claimed confidential
business information are stored with the Document Control Officer as pre-
scribed in the TSCA-CBI Security Manual. The inspector may review these
documents when preparing the inspection report, but they must be handled
under the strict security measures imposed for TSCA Confidential Business
Information.
Preparation of Inspection Report
In preparing the inspection report, it is recommended that confidential
business information be referenced in a non-confidential manner (i.e.,
by Document Control Number and a general description of the information
contained in the document). An alternative would be to include the
information, but to treat the entire inspection report as a confidential
document. If the latter alternative is selected, the report would be
logged in with the Document Control Officer, ensuring that only persons
cleared for access are permitted to review it.
Field Notes
The procedures for taking field notes (see Chapter Three, Section 4d)
require that potentially confidential information be referenced only in
the field notes, and that the information itself be placed on separate
sheets of paper. The purpose of these procedures was to reduce con-
fidentiality problems associated with the field notebook.
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Chapter Four 1 Report Preparation
In the event that confidential business information does appear in the
field notes, those pages should be photocopied and the photocopied pages
logged in with the Document Control Officer. The confidential business
information in the notebook should then be obliterated in such a manner
as to make them unreadable.
To ensure that the photocopies of the obliterated pages can be used in an
enforcement proceeding, they must be carefully identified in the following
manner:
• The inspector and a witness should initial and date a spot on
the page that will not need to be obliterated.
• A photocopy of the notebook page should be made. This photo-
copy should be logged in by the Document Control Officer along
with a statement by the inspector which reads:
"The undersigned certifies that this is a true copy of a
page from my field notebook from the inspection of (facility,
address) on (date). The original notebook pages were
obliterated by me to protect confidential business infor-
mation. "
Inspector's Signature Date
Witness Signature Date
• Confidential business information on the notebook pages should
be obliterated; the identifying initials and date should remain.
Elements of a Report
Although each substance and rule will differ in specific information
requirements for an inspection report, most reports will contain the
same basic elements:
• Inspection Report Forms
• Narrative Report
• Documentary Support
Inspection Report Forms
Individual inspection report forms, developed for most substances
and rules, are designed to collect standard, reviewable information
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Chapter Four 1 Report Preparation
about an inspection. They function as guides to ensure that all basic
data is being collected, and are generally completed as the inspection
progresses.
Inspection report forms are only one aspect of a complete report and
should by no means be considered to be sufficient in themselves.
Individual items on these forms will often need clarification and
elaboration; inspectors should use the field notebook for this
information.
In cases where inspection report forms are either unavailable or in-
appropriate, pertinent information should be entered in the field
notebook.
Narrative Report
The narrative portion of an inspection report should be a concise, factual
summary of observations and activities, organized in a logical, legible
manner, and supported by specific references to accompanying evidence
(documentary support).
A work plan will simplify preparation and will help ensure that information
is organized in a useable form. Basic steps involved in writing the
narrative report include:
• Reviewing the information
• Organizing the material
• Referencing accompanying material
• Writing the narrative
Reviewing the Information. The first step in preparing the narrative is to
collect all information gathered during the inspection. The inspector's
field notebook should be reviewed in detail. All evidence should be
reviewed for relevancy and completeness. Gaps may need to be filled by
a phone call or, in unusual circumstances, a follow-up visit.
Organizing the Material. Organization of the information can take many
forms, depending on the case, but should present the material in a
logical, comprehensive manner. The narrative should be organized so
that it will be understood easily by the reader.
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Chapter Four 1 Report Preparation
Referencing Accompanying Material. All documentary support that
accompanies a narrative report should be clearly referenced so that
the reader will be able to locate these documents easily. The
Documentary Support section in Chapter Three provides details on document
identification. All documentary support should be checked for clarity
prior to writing the report.
Writing the Narrative Report. Once the material has been reviewed,
organized, and referenced, the narrative can be written. The purpose of
the narrative report is to record factually the procedures used in, and
findings resulting from, the evidence-gathering process. In this report,
the inspector should refer to routine procedures and practices used during
the inspection, but should describe in detail facts relating to potential
violations and discrepancies. The field notebook is a guide for preparing
the narrative report.
If the inspector has followed the steps presented in this manual, the
report can develop logically from the organizational framework of the
inspection. In preparing the narrative, simplicity should be a prime
consideration:
• Use a simple writing style; avoid stilted language.
• Use an active, rather than passive approach: (e.g., "He
said that... rather than "It was said that...")
• Keep paragraphs brief and to the point.
• Avoid repetition.
• Proofread the narrative carefully.
A basic format which can be adapted for most narrative reports is out-
lined below.
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Chapter Four 1 Report Preparation
Narrative Report Format
Introduction
General Information
• State the purpose of the inspection and how the facility came to
be inspected (i.e., neutral scheme, follow-up, for cause).
• State the facts of the inspection (i.e., date, time, location,
name of the agent-in-charge, etc.).
Summary of Findings
• Give a brief, factual summary of the inspection findings.
History of Facility
• List the status of the facility (i.e., corporation, proprietor-
ship, partnership, state agency, non-profit organization, etc.,
and where incorporated).
• Give the size of the organization based on inspector observations
or agency records.
• List any related firms, subsidiaries, branches, etc.
• List the type of operations performed at the facility under
inspection.
• List names and titles of facility officials interviewed. List
the name(s) of officials(s) responsible for day-to-day operations
at the facility.
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Chapter Four 1 Report Preparation
Inspection Activities
Entry/Opening Conference
• Describe the procedures used at arrival, including presenta-
tion of credentials and written Notice of Inspection, and to
whom they were presented.
• Describe any special problems or observations if there was
reluctance on the part of facility officials to give consent,
or if consent was withdrawn or denied.
• If special procedures were necessary, such as obtaining a
warrant, describe the procedures.
• Summarize the topics discussed during the opening conference.
• Note presentation of the TSCA Inspection Confidentiality
Notice and the official to whom it was presented.
• Note if duplicate samples were requested.
The remainder of the report should be prepared in the same order
that the inspection was conducted. Be certain to insert all ob-
servations when appropriate and to cover the following topics
when appropriate.
Records
• List the types of records reviewed, noting the reasons for their
review, and referencing documents that were borrowed or copied.
• Describe any inadequacies in recordkeeping procedures, or if
any required information was unavailable or incomplete.
• Note if recordkeeping requirements are being met.
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Chapter Four 1 Report Preparation
Documents
• Note and reference any statements taken during the inspection.
• Describe and reference photographs taken during the inspection
if they are relevant to possible discrepancies.
• Reference any drawings, maps, charts, or other documents made
or taken during the inspection.
Physical Samples
• Describe the purpose for which samples were obtained.
• Describe sampling techniques used.
• Reference controlled identification procedures.
• Describe the physical aspects of the sample (color, texture,
viscosity, etc.).
• Describe chain of custody procedures used in sample handling.
Closing Conference
• Note and reference receipts for samples and documents given
to facility officials.
• Note procedures taken to confirm claims of confidentiality
and Receipts for Confidential Business Information.
• Note any recommendations, referrals, etc., made to facility
officials.
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Chapter Four 1 Report Preparation
Attachments
List of Attachments
Prepare a list of all documentary support attached to the
report. A general index list, rather than detailed descriptions
will aid case proceedings personnel in locating specific
documents.
Documents
• Attach copies of all documentary support collected during the
inspection. All documents should be clearly identified.
• In cases where documentary support items can not be included
easily with the report, it may be possible to substitute
descriptive information. Consult supervisory personnel about
this.
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Chapter Four
2
Appearing
as a Witness
Vigorous enforcement programs will increase the probability that an
inspector will be called on to testify in court. By the time a case has
entered the judicial system, inspectors and case proceedings personnel
will have invested many hours in developing a sound program for prosecution,
When an inspector is called to testify, it is imperative that quality
testimony is provided and a professional image is projected in the court-
room.
A witness, to be effective, must make statements that are understandable,
and must have them accepted as truth by the judge or jury. In addition
to being truthful and honest, a witness' principal aim should be to make
a favorable impression on the court. The guidelines presented in this
section will help prepare the inspector to be an effective and credible
witness.
Personal Appearance and Conduct
Dress is important. A well-groomed, neatly attired witness makes
a more favorable impression in the courtroom.
Conduct should reflect the solemn nature of the judicial proceedings.
• Do nothing that may attract attention to you. Make yourself
as inconspicuous as possible.
• Do not sit in groups with more than 2 or 3 colleagues. Spread
out in the courtroom.
• Do not whisper or talk to another person, or cause any dis-
turbance in courtroom.
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Chapter Four 2 Appearing as a Witness
• Show no incredulity or surprise at any testimony given from
the witness stand or at statements made by the defense attorney.
Avoid expressing approval or disapproval of any testimony by
nod, glance, or other gesture.
• Do not have anything in your mouth, including gum, toothpick,
tobacco, candy, or food.
• Do not sit within the enclosure unless instructed to do so.
• Do not discuss the case with the defendant or his attorney.
• Do not talk to the jurors or discuss the case within their hearing.
• Unless directed to do so, -do not attempt to consult with case personnel
while court is in session.
• Avoid conversations with principals or witnesses for the opposing
side. If conversation are unavoidable, confine remarks to matters
other than the trial.
• Come into the courtroom prepared. Be thoroughly familiar with your
facts. Pertinent time and dates should be checked. Order all docu-
ments and exhibits so that testimony will be presented without
fumbling.
• Be on time when court opens and be available immediately when called
to testify.
Witness Stand Technique
When called to the witness stand, unless previously sworn, go directly
to the desk of the clerk of the court to be sworn.
Take the oath in a solemn manner. Then proceed to the witness chair.
If you have a long or difficult name, give a card or paper with the
correct spelling to the court stenographer.
Assume and maintain proper posture, bearing, and demeanor. Sit
erect, but don't appear stiff or tense. Attempt to project an
image of poise and self-control.
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Chapter Four 2 Appearing as a Witness
Speaking
• Speak in a clear, distinct, and well-modulated voice. When addressing
a jury, look at and speak distinctly to them. Speak plainly enough
so that the farthest juror can hear you.
• Use simple language. If the subject is technical or scientific, re-
duce the terminology to an understandable level or give definitions
of terms used. Avoid idioms or language particular to your pro-
fession or to the Agency.
Notes
• You may bring notes to the witness stand with you. However, do not
bring your field notebook or any other documents you do not want the
opposing side to examine. They have a right to see them.
• Do not hesitate to ask permission to refer to your notes when
testifying, provided your notes were made at the time of, or
immediately after, the event about which you are testifying.
• Do not be embarrassed if you can not recall exact details without
referring to your notes.
/
• Do not read long passages verbatim from your notes.
Answering Questions
Wait until a question is asked in its entirety before beginning to
answer.
Never attempt to answer a. question you do not fully understand.
• Ask that the question be repeated or rephrased if its meaning
is not clear.
• If you do not know the answer to a question, say so. Don't try
to cover up a lack of knowledge of a particular subject.
Answer each question with spoken words. Don't nod assent or shake
your head.
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Chapter Four 2 Appearing as a Witness
• Don't volunteer information. Answer only the question asked, but
answer it fully and to the point.
• Don't spar with the questioning attorney or attempt to match wits
with him. Answer all questions frankly, factually, and confidently.
• Be truthful. Remember that you are sworn to tell the truth.
• Be factual. Limit your testimony to those facts about which you
have first-hand knowledge. Anything else may be hearsay.
• Don't express opinions or conclusions unless you are testifying
as an expert witness. State only facts.
• Don't assume expert knowledge in a field unless you are an expert
by reason of your training and experience.
• If questioned on a subject beyond your scope, admit that the
subject is outside your field or knowledge.
• Don't exaggerate. State the facts accurately, don't embellish
them.
General Guidelines
• Don't be afraid to admit that you discussed your testimony with
Government attorneys. There is nothing improper in a practical
discussion of your testimony with the attorneys.
• In your effort to appear impartial and unbiased, do not become listless
or "dead pan." Be natural, candid, frank, and "alive."
• Do not appear impatient or overly anxious to testify.
• Do not speak to the judge unless he asks you a question.
• Attempt to minimize nervous tendencies, such as arranging clothes,
notes, etc.
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Chapter Four 2 Appearing as a Witness
Testifying under Cross-Examination
Cross examination is the questioning of witnesses by attorneys representing
the opposing side. Under cross examination you may be subjected to
vigorous questioning.
• The opposing counsel may attempt to intimidate you by attacking
your veracity and integrity, by making uncomplimentary references
to your qualifications or length of service, or by empahsizing
errors you have made. Remain calm and answer any question asked
unless an objection is raised and sustained.
• If the cross-examiner attempts to confuse you with rapid questions,
answer him deliberately and at a comfortable pace. Ask him to
repeat or rephrase any question that is unclear or confusing.
• If asked a double or "two-pronged" question, ask the cross-
examiner to restate it, or carefully answer each part separately.
• Wait several seconds before you answer a question put to you in
cross examination in order to give the U.S. Attorney an opportunity
to object. Avoid, however, undue delays in answering.
• If an objection has been raised, do not answer any questions
until a ruling on the objection has been made.
• Don't lose your patience or temper while testifying. A cross-
examining attorney often deliberately baits an irascible witness
to anger him. Remain calm and unruffled.
• Do not become argumentative with the cross-examiner if he interrupts
your testimony or for any other reason.
• Beware of questions to which the cross-examiner demands a "Yes" or
"No" answer if such an answer will not reveal the entire truth.
These are often leading questions. If a simple yes or no
does not properly answer the question, inform the cross-examiner
that the question can not be so answered.
• If the cross examiner should misquote any of your earlier testimony,
you may correct the misquote before answering the question.
• If you make an error while testifying, correct it at the first
opportunity. If you discover the error after you have completed
your testimony and have been dismissed, discuss the matter with
the U.S. Attorney.
TSCA Inspection Manual 4_15 January, 1980
Volume One
-------
Chapter Four 2 Appearing as a Witness
You may be asked whether you regard certain persons in the field
about which you are testifying as recognized authorities. This is
often preparatory to asking you whether you agree with certain
statements which those authorities made in writings, etc. If your
answer is no, that you don't recognize them as authorities, that
line of cross-examination cannot be pursued. Unless you definitely
have heard of the named persons and are familiar with their works
and do recognize them as authorities, don't expose yourself by
saying that you so recognize them.
Proper Conduct During Recess and After the Trial
During recess, continue to maintain the same demeanor as in the
courtroom.
• Don't engage in loud conversation or joking, especially about the
proceedings.
• Be as discreet as possible when making any comments that might
be overheard.
After the trial, continue to conduct yourself in a manner that will
bring credit to you and to the Agency.
• Make no public display of elation or disappointment over the
outcome of the trial.
• If there is occasion to speak to the defendants, be courteous
regardless of their demeanor.
January. 1980
-------
Chapter Five
Special Procedures
Chapter Contents Page
1 Subpoenas
Introduction 5-1
Role of the Inspector 5-1
2 Seizures
(This section is reserved for future development)
TSCA Inspection Manual January, 1980
Volume One
-------
Chapter Five
1
Subpoenas
In the general sense, a subpoena is an order to a witness to appear
at a specified time and place to give testimony before a court or a
magistrate. In a civil context, a subpoena is used to require a
person to deliver documents in his possession to a court or authorized
agency. Such documents will be pertinent to a particular inspection
or investigation.
Section 11 (c) of TSCA authorizes the EPA Administrator to require,
by subpoena:
• The attendance and testimony of witnesses; and
• The production of reports, papers, documents, answers to
questions, and other information that is deemed necessary
by the Administrator.
The TSCA subpoena is enforceable by United States District Court.
Failure to respond to the subpoena carries contempt of court penalties.
The Inspector's Role in the Subpoena Process
The effectiveness of a subpoena lies in part in its flexibility. It's
purpose and content will depend upon the matter under investigation,
as will the method used to serve the subpoena.
Specific procedures regarding the role of the inspector have not been
developed. Instructions and directions for inspector involvement
will come from enforcement supervisors.
TSCA Inspection Manual 5_1 January, 1980
Volume One
-------
Chapter Five 1 Subpoenas
Reference to subpoena authority or to contempt penalties should never
be made during an inspection. Any difficulties relating to the
collection of information during an inspection should be referred
to a supervisor immediately. Case proceedings personnel will evaluate
the situation and determine a suitable response.
Should an inspector be called upon to serve a subpoena, detailed
instructions will be provided by the appropriate case proceedings
personnel.
TSCA Inspection Manual 5_2 January, 1980
Volume One
-------
Chapter Six
Forms
Chapter Contents Page
Instructions and comments are located on the pages
facing each of the forms listed below.
Notice of Inspection 6-1
TSCA Inspection Confidentiality Notice 6-3
Declaration of Confidential Business Information 6-5
Receipt for Samples and Documents 6-7
Chain of Custody Record 6-9
TSCA Inspection Manual January, 1980
Volume One
-------
Chapter Six
Forms
Notice of Inspection
1. Enter Inspector's
name and EPA office
address.
2. Sign the Notice of
Inspection.
3. Enter the Inspector's
official title.
4. Enter the complete,
official name of the
firm to be inspected.
5. Enter the complete
street address of the
firm to be inspected.
6. Enter the date of
inspection.
7. Enter the time of
entry.
8. Enter the name and
title of the person
receiving the Notice
of Inspection.
9. Have the recipient
sign the Notice of
Inspection.
4\ f™^A UMidSuiw
V**^ /— *—ff-\ Emrit anm»fltdl Protvction
Nonce OF INSPECTION
! i
j
(••l>*wtor'« iiitiutiu*
2
Tit )•
3
— 4
5
... 6 |«. 7
HriM ««d Titl. 0f Hw:ipi*nL
8
9
! KfcASO* POM INSPECTION
i
UruW ttui authority of Section 11 of th« Toxic Subatancaa Control Act
I^j f'or th« pur POSH of Inbpectint} (Including taking aamplaw, photographs,
L~-i dtdturnentH, and othur insi|>uction actlvitiua) an oatdblishiiuint, facility,
or utliuc prtt«i&tis in will
cuut4 1111119 *•»"*-• die Mtnu
Ativr ilu;ir dinLtibia
:lt chunical
10
Lx-'un cuntnlud w
or mixturu.H or a,
il, procuuuod or • to rut!, ur ItcJd
•Lidos
if ore
inn in conunurcu (iiicluduui1 rucortl*,
ila, uiij tiiclliciuu) ami any conveyance bclmi
LCluM containing
I inulmtrno ruuords,
n*i on whether th«
with Lhul r »1l»ci ibuLion i n
a
llo
lettura) i
(A) PinADClal ddt
(tt> Salci data
(C) Ptlciny data
(D)
(E)
Jata
C iUjv« a*
*nd HNtunL of Inunction of much data 8f)«cified in A chrough
II
10. Check the appropriate
boxes concerning the
scope of the inspection.
11. If the inspection will
include any data listed
in items A through
E on the form, specify
the nature and extent
of inspection of this
data.
TSCA Inspection Manual
Volume One
January, 1980
-------
&EPA
United States
Environmental Protection
Agency
NOTICE OF INSPECTION
Inspector Name and Address
Name of Firm
Firm Address
Inspector's signature
Name and Title of Recipient
Title
Signature of Recipient
REASON FOR INSPECTION
Under the authority of Section 11 of the Toxic Substances Control Act
For the purpose of inspecting (including taking samples, photographs,
statements, and other inspection activities) an establishment, facility,
or other premises in which chemical substances or mixtures or articles
containing same are manufactured, processed or stored, or held before
or after their distribution in commerce (including records, files,
papers, processes, controls, and facilities) and any conveyance being
used to transport chemical substances, mixtures, or articles containing
same in connection with their distribution in commerce (including records,
files, papers, processes, controls and facilities) bearing on whether the
requirements of the Act applicable to the chemical substances, mixtures,
or articles within or associated with such premises or conveyance have
been compiled with.
In addition, this inspection extends to (circle appropriate letters):
(A) Financial data
(B) Sales data
(C) Pricing data
(D) Personnel data
(E) Reserach data
The nature and extent of inspection of such data specified in A through
E above as follows:
-------
Chapter Six
Forms
TSCA Inspection Confidentiality Notice
1. Enter Inspector's name(1)
and EPA office address(2)
2. Enter the complete,
official name of the
facility being inspected
(3) and its complete
street address (4).
5. Enter the name (5), title
(6), and complete
address (7) of the chief
executive officer of the
firm.
8. Enter the name (8) and
title (9) of the person
receiving the Notice.
10. Enter the date of the
Notice.
11. Enter the complete
address of the Regional
Document Control Officer
authorized to receive the
statement from the chief
executive officer.
12. Enter the name (12) and
title (13) of the person
receiving the Notice. Have
this person sign (14) and
date (15) the Notice.
16. Enter the name (16),
title (17), and complete
address (18) of the
company official who, in
addition to the chief
executive officer, should
receive a copy of the
Notice.
&EPA
Acwncv
TSCA INSPECTION
CONFIDENTIALITY NOTICE
»-*•«-»-
1
2
— - >-'-"-' «
It ii onii
t* ut*. u
— -"•"- 8
3
racllltf Ud>*«
4
—•-—-«"--"- 5
6
7
9 ""10
u.»«~-n..,,-»,.,u,«.~ . ~ u.«»i. .. ~. MIICU ...u-a. .»- -
t-Sa fxtllty iterri. lac* iv}i;**t* "1U
of Inf «-*»!(• 1« (n>l*l. 1 O.I.C. »U>
tou !*>»« th*rNb.*«t, M 71 Vart ll u*
*» I*7^HU cnldl tM kkiAliuatoI of
tuy b* clclaad raa*id^ni*l ir It nl*t*B
•crati M ror>ucl*l M fl-*ictU utlan
^«14ar to ba coa/ldaflal. If yoa •***
™Jl*«tHlU|, Oft «JU AiJClcM l>* 1*-
notify yea la t«»uc* at publicly dlarlaiLaf tat **-
fwrutio* yo*- %•«• rlalaaj ••« canifla4 coat I4«U*1.
IB el«i» 1
thai *M*
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bj o-J«
1/wutla* ccaf 1*>UU1, yot •>•-. e in 1*1
•Tiaay ha* t^kaa BAkAa** M prouet tk*
Btiallty af tka Inf matin, ud 11 !••
ULuBl* vlUmit you* €iMfa»f'» conuac
!-:*i-
•tantlal wir» to f«i cwfaay'l coB^atltlito
»t th« nif :i*.loo «f t>« Ini^vnloa, you vlll b*
flvaa • trtmiyt tor all 4ocuB*nt«, urpl*>, *aa ocbo*
H£>ntlal ud >*«U Uia foul crlta/lB Ititad abcn*.
If you at* 13« •gt'-oxliBri by you cv^ai^f to oako
«*fli.ml»Jity el.lm. tMi »ctic* -HI b* •«( by
•*Mcu of ysna fin -ltt_o tv« e*f» of tkli d»to.
•Sm IU-.MMI trw Uka Chlaf EkvcuU** Mftew *bouU
II
•all ittkU Mna (» eil*nda« Cay* of rinlpt •(
ttarvtlvi Mflcu i^uOa UM ann-iaT farloi, »1U
b* uaatW by GPft •• • •'aiva by your cupiaj of
Untie* u« otbai l-if«-!;to» =*L«Eial* wlU b. MM to UH eeatmf'B
Ouaf e«»CMtl« offliaB. If ttiaii u uoe^l no^ny official <«•
"" 16
17
IB
IO
TSCA Inspection Manual
Volume One
6-2
January, 1980
-------
^\ I^^^JV United States
|9K«^^v4C^ Environmental Protection
^^kal f^\ Agency
TSCA INSPECTION
CONFIDENTIALITY NOTICE
Inspector Name
Inspector Address
Name of Individual to Whom Notice Given
Facility
Facility Address
Chief Executive Officer of Firm
Title
Title
It is possible that EPA will receive public requests
for release of the information obtained during in-
spection of the facility above. Such requests will
be handled by EPA in accordance with provisions of
the Freedom of Information Act (FOIA), 5 U.S.C. 552;
EPA regulations issued thereunder, 40 CFR Part 2; and
the Toxic Substances Control Act, Section 14. EPA is
required to make inspection data available in re-
sponse to FOIA requests unless the Administrator of
the Agency determines that the data contains informa-
tion entitled to confidential treatment.
Any or all the information collected by EPA during the
inspection may be claimed confidential if it relates
to trade secrets or commercial or financial matters
that you consider to be confidential. If you make
claim* of confidentiality, EPA will disclose the in-
fornvi'iion only to the extent, and by means of the
procedures, set forth in the regulations (cited above)
governing EPA1s treatment of confidential information.
Among other things, the regulations require that EPA
notify you in advance of publicly disclosing any in-
fornation you have claimed and certified confidential.
3.
The information is not publicly available else-
where .
4. Disclosure of the information would cause sub-
stantial harm to your company's competitive
position.
At the completion of the inspection, you will be
given a receipt for all documents, samples, and other
materials collected. At that time, you may make
claims that some or all of the information is con-
fidential and meets the four criteria listed above.
If you are not authorized by your company to make
confidentiality claims, this notice will be sent by
certified mail, along with the receipt for documents,
samples, and other materials to the Chief Executive
Officer of your firm within two days of this date.
The Chief Executive Officer must return a statement
specifying any information which should receive con-
fidential treatment.
The statement from the Chief Executive Officer should
be addressed to:
To C1.a.Lm _Co n fid e n t _i a 1 Information
To claim information confidential, you must certify
that each claimed item meets all of the following
criteria :
1. Your company has taken measures to protect the
con fidentiality of the information, and it in-
to nds to continue to take such measures.
2. The information is not, and has not been, reason-
ably obtainable without your company's consent
by other persons (other than governmental bodies)
by use of legitimate means (other than discovery
based on a showing of special need in a judicial
or quasi-judicial proceeding).
and mailed by registered, return-receipt-requested
mail within seven (7) calendar days of receipt of
this Notice.
Failure by your firm to submit a written request
that information be treated as confidential, either
at the completion of the inspection or by the Chief
Executive Officer within the seven-day period, will
be treated by EPA as a waiver by your company of
any claims for confidentiality regarding the in-
spection data.
To be completed by facility official receiving this notice
I have received and read this Notice.
Name
Title
Signature
Date
If there is no one on the premises of the facility who is
fjuthoriiud to make business confidentiality claims for the
firm , a copy of this Notice and other inspect ion material s
will be sent to the company's chief executive officer. If
there is another company official who should also receive
this information, please designate below.
Name
Title
Address
-------
Chapter Six
Forms
Declaration of Confidential Business Information
1. Enter the complete EPA
Regional Office address.
2. Enter the date of this
declaration.
3. Enter the name(3), title
(4), official firm name
(5), and complete firm
address (6) of the
individual making this
declaration.
7. List by title or descrip-
tion all information
begin designated as
confidential business
information.
8. Have the individual
making the declaration
sign (8) and list his/
her title (9).
10. Enter the name and title
of the Inspector
11. Sign the Declaration
(Inspector).
^w^LBb^^QL Environmental ^ocecnort
\JL-m a^^» Agency
DECLARATION OF CONFIDENTIAL
BUSINESS INFORMATION
^. .,=-»« g
fin
-------
<^fc r™|^J% United States
%fi*5f ^"f^KA Environmental Protection
™^ kal *m Agency
DECLARATI
BUSINESS
ON OF CONFIDENTIAL
INFORMATION
Name of Individual
Firm Name
EPA Regional Office Address
Date
Title
Firm Address
Information Designated as Confidential Business Information:
Acknowledgment by Claimant
The undersigned acknowledges that the information described above is designated as
Confidential Business Information under Section 14 (c) of the Toxic Substances Control
Act. The undersigned further acknowledges that he/she is authorized to make such
claims for his/her firm.
The undersigned also certifies that each item described above meets all of the
following criteria: (1) The company has taken measures to protect the confidentiality
of the information and it intends to continue to take such measures; (2) The infor-
mation is not, and has not been reasonably attainable without the company's consent
by other persons (other than governmental bodies) by use of legitimate means (other
than discovery based on a showing of special need in a judicial or quasi-judicial
proceeding); (3) The information is not publicly available elsewhere; and (4)
Disclosure of the information would cause substantial harm to the company's
competitive position.
Signature (Owner , Operator , Agent)
Title
Name of Inspector Title
Inspector ' a Signature
-------
Chapter Six
Forms
Receipt for Samples and Documents
1.
3.
8.
9.
10.
11.
13.
Enter Inspector's name
(1) and EPA office
address (2).
Enter name (3) and
complete address (4)
of the firm being
inspected.
Enter the name (5)
and title (6) of the
individual receiving
this Receipt.
Enter the date of
collection of the
samples and docu-
ments listed on the
Receipt.
Check the appropriate
column if duplicate
samples were requested
and received.
List the sample numbers
of all samples taken.
List by title or
description all
samples and docu-
ments taken during the
inspection.
fl FTiA UnmaSUUi
^jar- k* t^£A E.ivlrcnm«nul *o-.«ctt»
X/t-i/A *t~ci
RECEIPT FOR
SAMPLES AND DOCUMENTS
tnt^LM M.
tulwtDI **'— T
2
^•u Collect** Ou« Licit! tuvlv* tc^-411** u* ItnlMtf
7 ' "- 8 "-
""""" 3
ru« td£r*«>
4
MM a( InUvidakl
5
Tic la
6
tu*l* ••<•••
9
•KM docuawit* ud »=pl«* of chtoicAl «ubBtJUc*« and/or alxcur** dt«crlt*il balow v«r« collactad
ID connection vith UM *dailjil«Lr»tiJan ud •nforcec*nt of UM %xic Sub*t*nc«« Control tat.
P*c«ipt for ih* docuatntU) «^d/or «=?!•{•) descried b*lov is hereby acknovladg«di
10
II
12
13
14
Sign (11) and date
the Receipt.
(12)
Have the facility
official named in (5)
sign (13) the Receipt
and list his/her title
(14).
TSCA Inspection Manual
Volume One
6-6
January, 1980
-------
oEPA
United States
Environmental Protection
Agency
RECEIPT FOR
SAMPLES AND DOCUMENTS
Inspector Name
Name of Firm
Firm Address
Inspector Address
Name of Individual
Title
Date Collected
Duplicate Samples Requested and Received
( ) Yes ( ) No
Sample Numbers
The documents and samples of chemical substances and/or mixtures described below were
collected in connection with the administration and enforcement of the Toxic Substances
Control Act.
Receipt for the document(s) and/or sample (s) described is hereby acknowedged:
Signature of Inspector
Title
Signature of Owner, Operator, or Agent
Title
-------
Chapter Six
Forms
Chain of Custody Record
1. Enter Inspector's name
and EPA office address.
2. Sign the Chain of
Custody Record.
3-4. Sample and Inspection
numbering program is
currently under develop-
ment. Information
regarding these spaces
will be provided at a
later date.
5. Task numbers refer to EPA
contractors. Inspectors
may disregard.
6. Describe the sample,
including size, container,
and contents. (e.g. 8 oz.
bottle of PCB transformer
oil.) List brand names
if any.
7-8. List date (7) and time
(8) sample was collected.
9. Indicate if duplicate
sample was requested by
facility officials.
10. Enter name and address
of firm.
f\ rr^A Un-wl Sum
M^v* f~ ^Jl \ Environmtnul PratKlion
X/Cr/"\ AJ.ACY
Cham at Custody Record
1
"•*•"•" "«»""• _
lulrtit/Ttickaq toquuad
1
L*»,.,.,,
.... «c ,
•*c*io«l »y
fcMl Vi«
Wapl* GoadLllon
*Co«lnLM of lMl«
Onvt* K*c*tv«d
Ilaikq* Laf<(Lon
^••LqMri ly
At*!4»d to
Oillv«r«d »y
tat* IMllviiM
•— •' "••" • '
unit! k/uir>*d
„«. M.I .m.^
D.t. ^..^l^
'KMHIM ly
• UCM* UC«IMM*
u"J"»l»/' ***1"1'
&upl« HUAb«r
3
5
4
6
D*l« S«*pl* Ti*» Duplicat* K*qui»tM
7 8 ~ 9
Location of Suplinq
IO
1
MCI taiulti or AnalyiLi I
11. List testing required for
samples collected. (e.g.
test for PCB concentration.
The remaining parts of the
Record will be completed by
personnel other than the
inspector.
TSCA Inspection Manual
Volume One
6-8
January, 1980
-------
4% l^f^ JV United States
^ff^fmf^L\ Environmental Protection
^^Kvl I*. Agency
Chain of Custody Record
Inspector Name and Address
Inspector Signature
Analysis/Testing Required
Laboratory
Date Received
Received By
Sent Via
Sample Condition
Condition of Seals
Units Received
Storage Location
Assigned By
Assigned To
Delivered By
Date Delivered
Number of Units Received
Units Analyzed
Date Seal Broken
Date Resealed
Resealed By
Storage Locat.ion
Date Results of Analysis
Issued to EPA
Sample Number
Task Number
Inspection Number
Sample Name
Date Sample Time Duplicate Requested
( ) Yes ( ) No
Location of Sampling
Date Results of Analysis
Issued to Facility
Remarks
-------
Chapter Seven
Data Systems
This chapter is reserved for future development.
TSCA Inspection Manual January, 1980
Volume One
-------
Appendix A
Shipping Samples
This Appendix outlines considerations for preparing samples for shipment
to a laboratory for analysis.
When it is not feasible to personally deliver a sample to the examining
laboratory, it should be shipped by the most economical means com-
mensurate with the need for rapid handling. Sample documentation
should be forwarded under separate cover.
Shipping Hazardous Substances
Shipments of hazardous or toxic substances via postal service or common
carrier are subject to regulations developed by the Department of
Transportation (DOT) and the U.S. Postal Service (USPS). These sub-
stances are generally classified into three independent hazard
categories:
• Toxicity
• Flammability
• Corrosiveness
Specific definitions and requirements can be found in USPS Publication
52 and in the Department of Transportation Hazardous Materials Regulation,
Title 49, Code of Federal Regulations, Sections 170-179 (49 CFR 170-
179). The sources should be consulted for guidance when preparing
samples for shipment.
DOT and USPS do not list specific shipping requirements for chemical
substances currently regulated under TSCA jurisdiction. However,
samples taken during an inspection will often contain other substances
TSCA Inspection Manual A_l January. 1980
Volume One
-------
Appendix A Shipping Samples
that may be subject to DOT regulations. For example, a PCB sample may
be partly composed of a solvent that is highly flammable. The total
composition of the sample should be taken into account for shipping
purposes.
It is the responsibility of the inspector to observe shipping regulations
to ensure safe and efficient shipping of samples.
Packing Samples for Shipment
Security Considerations
All samples must be securely packaged in a manner that prevents mixing
of the substances within the package or their release into the
environment.
• Fragile Containers
Fragile containers should be packed in cushioning material to
prevent shifting and breaking while in transit.
• Liquids
Liquid samples should be packed in sufficient cushioning or
absorbent material to absorb and retain any leakage which
might occur.
Liquid and dry samples should not be packed in the same shipping
case as leakage might contaminate all samples.
Containers of liquid samples should have effective closure
mechanisms: screw caps, soldering, clips, or other means to
prevent leakage. Friction closures (i.e., lids of the type
found on paint cans) are not generally acceptable for transit
unless an additional method of security is provided.
• Aerosols
Aerosol containers are accepted for shipment by both parcel
post and common carriers if packaged in accordance with
DOT regulations concerning the limit of quantities of com-
pressed gases (49 CFR §173.306).
TSCA Inspection Manual A-2 January. 1980
Volume One
-------
Appendix A Shipping Samples
Aerosol containers must have a positive means to prevent
accidental discharge of contents. This may be accomplished
through the use of recessed valves, screw thread caps, tape
closures, or other effective means of preventing discharge.
Markings
Packages containing samples of toxic or hazardous substances must be
properly and clearly marked. The following information should be
included:
• Name and address of both shipper and addressee.
• "Shipping name" of the article (i.e., the generic name as
listed at 49 CFR 172.101)
• Hazardous materials warning label(s), if appropriate (e.g.,
"Flammable", "Poison", etc.) Aerosol containers when shipped
by air must bear the label "Compressed Gases".
• Handling cautions: "Glass", "Handle with Care", "This End
Up", etc., as appropriate.
Parcel Post Shipment
Shipment of Samples
Samples within parcel post size and weight limits should be shipped
by this means.
Gallon-size glass bottles should not be shipped by parcel post.
Payment of Charges
Parcel post is mailed under the Government frank on the address label
reading: "Postage and Feed Paid" and showing a Government department
as shipped, over words: "Official Business'1. EPA Form 1820 - Mailing
Label should be used for this purpose.
Postal Regulations
USPS Publication 52 and the USPS Domestic Mail Manual should be used
as a guide when making shipments by mail.
TSCA Inspection Manual A_3 January, 1980
Volume One
-------
Appendix
Shipping Samples
Government Bill of Lading
The U.S. Government Bill of Lading (GBL) is the primary document used
to request freight and express transportation and related services
from commercial carriers. It is used for transportation of property
when freight charges are to be paid by the Government directly to
commercial carriers regardless of the mode of transportation or the
amount of transportation charges.
A GBL should be prepared for all shipments made by common carrier.
Small shipments, however may move on commercial bills of lading as
authorized by the General Accounting Office (5 GAO 3). Refer to the
GSA publication "How to Prepare and Process U.S. Government Bills of
Lading (7610-00-682-6740) for specific details.
General Guidelines Concerning Mailability
• Substances that may kill or injure, or damage mail or other
property are considered non-mailable unless specifically
provided for in the postal regulations or guidelines.
• All parcels containing hazardous materials must have the
nature of the contents stated clearly on the outside of
the package.
• The mailer is ultimately responsible for determining before-
hand whether an item is mailable or not. Inspectors should
keep abreast of current regulations concerning shipment of
hazardous materials.
Common Carrier Shipment
Motor freight or United Parcel Service should normally be used for
larger shipments and for shipments of more fragile and toxic samples.
• Buses should only be used when another means of transportation
is not available and only for less toxic substances.
• Air freight should be used if rapid handling is imperative.
Certain restrictions apply to the type of substance shipped,
and specific marking and labeling requirements may apply.
TSCA Inspection Manual
Volume One
A-4
January, 1980
-------
Appendix A Shipping Samples
DOT Regulations
The Department of Transportation regulates the transportation of all
hazardous materials within the United States, and all shipments made
by common carrier are subject to DOT regulations and requirements.
49 CFR 170-179 provides details of DOT regulations concerning
classification, packaging, marking, labeling, and other shipping
requirements. This source should be consulted to ensure compliance
when shipping samples.
• Certification
The shipping papers must contain the shipper's certification
that the materials are properly classified, described,
packaged, marked, and labeled, and are in proper condition
for transportation in accordance with all applicable govern-
ment regulations.
TSCA Inspection Manual A_5 January, 1980
Volume One
-------
ndex
Agency Records Review 3-1
Attire
Inspector Responsibility 2-15
Safety 3-47
Chain of Custody
Elements of Custody 3-43
Procedures 3-44
Record 3-4, 3-40
Sample Form 6-9
Citizen Referral Inspection 2-6
Closing Conference 2-4
Confidentiality 3-62
Industry Outreach 3-63
Receipts 3-61
Communications Skills 2-13
Complaint Inspections 2-6
Confidential Business Information (CBI)
Access Authorization 2-3
Authority to Claim CBI 3-17, 3-62
Confidentiality Notice 3-4, 3-16, 6-3
Declaration of CBI 3-62
Document Identification 3-29
Field Notebook 3-32, 4-2
Inspector Responsibility 2-11
Overview 2-3
TSCA Inspection Manual X-l January, 1980
Volume One
-------
Index
Confidential Business Information (CBI) (Continued)
Photographs 3-36
Preparation/Distribution of Forms 3-18
Records Inspection 3-28
Report Preparation 4-2
Safeguards 3-3, 3-67
Samples 3-40, 3-45
Security Measures 3-65
Consent to Inspect 3-8
Reluctance to Admit 3-9
Copying of Records 3-26
Computer or Electronic 3-26
Visual Systems (microfilm, microfiche) 3-27
Written or Printed 3-26
Credentials and Verification 3-8
Uncredentialed Persons 3-9
Custody Seal 3-4, 3-40
Elements 3-40
Custody Sample 3-43
Declaration of Confidential Business Information
Closing Conference 3-62
Pre-inspection Preparation 3-4
Sample Form 6-5
Denial of Entry
Limited Entry 3-10
Marshall v. Barlow's Inc. 3-9
Procedures 3-9
Withdrawal of Consent 3-10
Disclosure of Information
Section 14 TSCA 1-11
Synopsis 1-5
TSCA Inspection Manual
Volume One
X-2
January, 1980
-------
Index
Documentary Support
Objective
Confidentiality Procedures
Drawings and Maps
Documentary Sample
Duplicate Samples
Opening Conference
Emergency Equipment
Checklist
Safety
Emergency Inspections
Emergency Telephone Numbers
Emergency Treatment
Eye Contact
Ingestion
Inhalation
Skin Exposure
Employee Protection
Section 23 TSCA
Entry
Arrival
Authority
General Procedures
Equipment, General
Equipment Preparation
Checklists
Ethics
Evidence Gathering
Sampling and Documentation
Inspector Responsibility
Exports and Imports
Sections 12 and 13 TSCA
Synposis
3-31
3-32
3-36
3-37
3-19
3-6
3-47
2-5
3-56
3-53
3-54
3-51
3-52
1-26
3-7
3-7
3-8
3-4
3-4
3-5
2-14
3-21
2-11
1-22
1-5
TSCA Inspection Manual
Volume One
X-3
January, 1980
-------
Index
Federal Laws
Section 9 TSCA
Synposis
Field Notebook
Administrative Entries
Confidential Business Information
Entries
First Aid
Emergency Treatment
Forms
Chain of Custody
Confidential Business Information
Confidentiality Notice
Notice of Inspection
Receipt for Samples
Hazardous Chemicals
Section 6 TSCA
Synopsis
Health (See Safety)
Imminent Hazards
Section 7 TSCA
Synopsis
Industry Assistance
Industry Relations
Information Requests
Information Retrieval Systems
Computer or Electronic
Visual Systems (microfilm, microfiche)
Intergovernmental Regulatory Liaison Group (IRLG)
Inspection Warrant
General Information
Model
Policy
1-21
1-4
3-31
3-32
3-33
3-50
6-1
6-9
6-5
6-3
6-1
6-7
1-17
1-4
1-19
1-4
3-15
2-15, 3-63
2-15
3-24
3-26
3-27
2-6
3-11
3-11
TSCA Inspection Manual
Volume One
X-4
January. 1980
-------
Index
Inspections
Section 11 TSCA
Authority
Confidentiality
Elements
Purpose
Scope
Special Operations
Synopsis
Inspector Authority
Confidentiality Clearance
Credentials
Field Notebook
Laws Applicable
Inspector Responsibility
Location of Records
Manufacturing and Processing Notices
Section 5 TSCA
Synopsis
Marshall v. Barlow's Inc.
Denial of Entry
Mechanical Recordings
Notice of Inspection
Entry
Preparation
Sample Form
Penalties
Section 16 TSCA
Photographs
Opening Conference
Documentary Support
Physical Sample
1-11
2-1
2-3
2-4
2-2
2-2
2-5
1-5
2-8
2-7
3-25
2-8
2-11
3-24
1-14
1-5
3-9
3-36
3-8
3-4
6-1
1-23
3-19
3-35
3-37
TSCA Inspection Manual
Volume One
X-5
January, 1980
-------
Index
Physical Sampling Program
Documentation
Equipment
Handling
Identification
Representative Sample
Sealing the Sample
Pre-Inspection Preparation
Documents
Objectives
Overview
Prohibited Acts
Section 15 TSCA
Synopsis
Protective Clothing
Decontamination
Personal Safety Equipment
Opening Conference
Overview
General Information
Receipt for Samples and Documents
Closing Conference
Pre-inspection Preparation
Sample Form
Recordkeeping and Reporting
Section 8 TSCA
Inspection Requirements
Copying
Identification Procedures
Records Identification Procedures
Confidential Documents
Initialing and Dating
Logging
Numbering
3-42
3-38
3-41
3-39
3-38
3-40
3-3
3-1
2-4
1-23
1-5
3-55
3-47
2-4
3-15
3-61
3-4
6-7
3-20
3-23
3-26
3-27
3-29
3-27
3-27
3-27
TSCA Inspection Manual
Volume One
X-6
January, 1980
-------
Index
Records Inspection
Confidentiality Considerations
Procedures and Considerations
Objectives
Records, Types
Report Preparation
Confidentiality Considerations
Narrative Report Format
Reporting and Retention of Information
Section 8 TSCA
Synopsis
Research and Development
Section 10 TSCA
Synopsis
Respiratory Protective Equipment
Safety
Bibliography
Emergency Treatment
Equipment
Equipment Checklist
Guidelines
Responsibility
Sampling and Documentation
Authority
General
Objectives
Overview
Receipts
Samples
Confidential
General
Physical
Sampling Equipment
Sample Seal
Sample Handling and Shipping
3-28
3-24
3-23
3-24
4-1
4-2
4-6
1-20
1-4
1-21
1-4
3-57
3-47
3-58
3-50
3-47
3-6
3-49
2-13, 3-47
3-21
3-21
3-21
2-5
3-61
3-40, 3-45
3-19
3-37
3-5
3-40
3-41, A-l
TSCA Inspection Manual
Volume One
X-7
January, 1980
-------
Index
Security Measures
Routine
TSCA-CBI
Special Procedures
Subpoenas
Statements
Inspection Objective
Procedures
Testing
Section 4 TSCA
Synposis
Voluntary Compliance
Warrants
General
Model
Policy
Securing and Serving Warrant
Witness
Conduct
Cross-examination
General
Technique
3-65
3-65
3-66
5-1
3-33
3-34
1-12
1-3
3-15
3-11
3-11
3-12
4-11
4-15
4-11
4-12
TSCA Inspection Manual
Volume One
*U.S. GOVERNMENT PRINTING OFFICE: 1980 311-132/24 1-3
X-8
January, 1980
-------
Toxic Substances
Control Act
nspection Manual
Volume Two:
PCB Inspection Manual
March 1981
-------
ATTENTION
Please be advised that the Volume Two PCS Inspection Manual
is complete. Due to a printing omission, the reverse of
several pages were not numbered giving the appearance that
material has been omitted (for example: the reverse side of
page 2-7).
-------
Foreword
Volume Two of the TSCA Inspection Manual has been developed to guide field
personnel in conducting PCB inspections.
Chapter One provides an overview of the PCB regulations, and presents the EPA
Enforcement Program including the enforcement strategy and general inspection
procedures. A detailed glossary is provided to ensure a thorough
comprehension of the definitions of the various PCB items and related terms.
A complete copy of the regulations is also included.
Chapter Two presents the Inspection Guide designed as an inspection "walk
through" to alert the inspector to areas of potential violations. Regulatory
requirements and inspection procedures are provided for assessment of
records, marking, storage and disposal compliance. Prohibitions and
authorizations are also included. Sampling procedures and techniques are
discussed in detail.
Chapter Three presents Item - Specific Information detailing locations,
maintenance, risk of contamination, inspection focus, and regulatory
authorizations and prohibitions relative to the various PCB items.
Chapter Four contains the PCB Field Report designed for the recording of
general facility information, the facility PCB inventory, and a sample
collection list.
The Appendix contains PCB disposal facility information.
The purpose of this Volume is to provide clear, straightforward information
in support of PCB inspections. The experienced inspector will find
sufficient flexibility and easy reference in this manual. New inspection
personnel will find support in the orderly and detailed presentation of
material.
TSCA Inspection Manual • March 1981
Voluae Two: PCB Manual
-------
Table of Contents
Chapter One: PCB Facts and Strategy Page
1 Introduction
Polychlorinated Biphenyls 1-1
Overview of the PCB Rule 1-2
The Enforcement Program 1-3
2 Glossary 1-5
3 PCB Regulations (40-CFR Part 761) 1-11
Chapter Two; Inspection Procedures
1 Inspection Guide 2-1
Authority 2-2
Preparation 2-3
Entry/Opening Conference 2-5
Records Assessment 2-7
Records Verification 2-9
Inspecting for Improper Disposal 2-11
Marking Assessment 2-15
Storage Assessment 2-17
Closing Conference 2-19
Regulatory Requirements/Inspection Procedures
Records Requirements 2-2,1
Marking Requirements 2-29
Storage Requirements 2-33
Decontamination Requirements 2-41
Disposal Requirements 2-43
Prohibitions and Authorizations 2-47
2 Sampling
Guidelines 2-57
Procedures 2-61
Chapter Three; Item-Specific Information Page
1 Transformers
Background 3-1
Locations 3-1
Maintenance and Repair 3-2
Risk of Contamination 3-4
Inspection Focus 3-5
Regulatory Requirements 3-6
Manufacturers and Trade Names 3-7
TSCA Inspection Manual ' March 1981
Volume Two: PCB Manual
-------
Contents
Capacitors
Background 3-9
Locations 3-9
Maintenance and Repair 3-10
Risk of Contamination 3-10
Inspection Focus 3-11
Regulatory Requirements 3-12
Manufacturers and Trade Names 3-12
Hydraulic Systems
Background 3-13
Risk of Contamination 3-13
Inspection Focus 3-14
Regulatory Requirements 3-14
Manufacturing Trade Names 3-14
Other PCS Equipment
Heat Transfer Systems 3-15
Vacuum Pumps 3-15
Gas Turbines 3-16
Electric Motors 3-16
Electromagnets 3-16
Products Containing PCBs 3-17
Chapter Four: PCB Field Report Page
1 General Information 4-1
2 Inventory
PCB Transformers 4-3
PCB Large Capacitors 4-5
PCBs in Containers 4-7
PCB Items in Containers 4-9
3 Sample Collection Form 4-11
Appendix Page
1 Incinerators A-l
2 High Efficiency Boilers A-9
3 Chemical Waste Landfills A-15
4 Alternative Disposal Methods A-25
TSCA Inspection Manual March 1981
Two: PCB
-------
Chapter One
PCB
Facts and Strategy
Contents Page
1 Introduction
Polychlorinated Biphenyls 1-1
Overview of the PCB Rule 1-2
The Enforcement Program 1-3
2 Glossary 1-5
3 PCB Regulations (40-CFR Part 761) 1-11
TSCA Inspection Manual March 1981
Volume Two: PCB M*nual
-------
Chapter One
1
Introduction
Polychlorinated Biphenyls (PCBs)
PCBs have been used in the United Stages since 1929. One of the most stable
organic compounds known, their properties make them useful as dielectric and
heat transfer fluids. They are widely used in transformers, capacitors,
hydraulic systems, and heat transfer systems.
Although PCBs have long been known to be extremely toxic, only in recent
years have they been acknowledged to be a general threat to the
environment. They have been found in significant concentrations in
waterways and sediments throughout the world. They are widely spread
contaminants of fish and wildlife resources. Recently, they have been
identified in the milk of nursing mothers throughout the United States.
Extensive research has shown a link between PCBs and various health effects
including the formation of malignant and benign tumors, fetal deaths.,
reproductive abnormalities, and mutations. In addition, experiments have
shown that PCBs attack the immunological system and affect the production of
enzymes.
In recognition of the risks associated with PCBs and their spread throughout
the environment, Congress mandated in the Toxic Substances Control Act that
the processing, distribution in commerce, use, and disposal of PCBs* be
regulated and that PCBs be marked with clear and adequate warnings.
A rule governing the disposal and marking of PCBs became effective April 17,
1978. A second rule, which incorporates the first, imposes a ban on PCS
manufacturing, processing, distribution in commerce, and use; it became
effective July 23, 1979.
*Polychlorinated terphenyls (PCTs) were also manufactured and are similar in
properties to PCBs. Although PCTs are not covered by the regulations, most
were contaminated with up to 10,000 ppm PCBs and therefore would be
regulated.
TSCA Inspection Manual 1-1 March 1981
Volume Two: PCB Manual
-------
Introduction
Overview of the PCB Rule; 40 CFR Part ToT
The rule is designed to ensure the proper disposal of PCBs and PCB items
while minimizing risk to health or'to the environment during use, handling,
and storage. The rule applies to any substance, mixture, or item with a
concentration of 50 ppm PCBs or greater. Specific requirements include:
• Recordkeeping. Certain records must be kept by facilities using,
i storing, and disposing of PCBs. Of particular interest are PCB
weights, identification and numbers of items, storage, transfer, and
disposal dates, and Identification of shippers and receivers.
• Marking. Items must be clearly identified if they contain PCBs.
(Marking of PCB-contamlnated transformers is not required.)
• Storage. PCBs and PCB items not in use must be stored in accordance
with requirements designed to ensure safe storage prior to disposal.
• Disposal. Except as provided, PCBs and PCB items must be disposed of
by high temperature incineration. In some cases, alternatives to
incineration may be acceptable, Including chemical waste landfills,
high-efficiency boilers, and other methods approved by EPA.
The rule also lists prohibitions on use, distribution in commerce,
processing, and manufacture without specific exemption or authorization from
EPA.
The PCB Enforcement Program
The enforcement program, based on the PCB enforcement strategy developed by
PTSEO has three major goals:
• Ensuring the proper disposal of PCBs
• Minimizing the risk of spills
• Preventing PCBs from entering the Nation's food supply
Strategy
Since resources are limited and potential PCB damage is great, major
enforcement efforts will be devoted to inspection of facilities in groups
Identified as having significant numbers of PCB equipment.
Inspections will be scheduled on a neutral selection scheme.
Transformers and capacitors will be the major inspection targets.
Inspections will concentrate on examination of facility records with a
physical verification of selected items. Marking and storage compliance
will be monitored.
TSCA Inspection Manual:IR?March 1981
Volwe Two: PCB Manual
-------
Introduction
Inspections
Two major types of inspections have been identified in the enforcement
strategy:
• Transformer inspections consist of an inspection of transformer and
capacitor records, followed by a physical inspection of a selected
number of transformers only.
• Combined inspections consist of a records inspection of_ transformers
and capacitors and a physical inspection of a selected number of both
items*
Inspection procedures are intended to detect marking, storage, and
violations while ensuring the accuracy of PCB records and the proper
disposal of FCBs and PCB items.
• General Inspection Activities. Inspectors will be alert for-mar-king-,.—
storage, and disposal violations. Suspected violations will be
documented by physical samples, photographs, and/or other means as
appropriate.
From a records and physical assessment at the facility, inspectors
will collect data for reports on the PCB equipment population. The
data include total number and type of PCB equipment at the facility,
the stated quantities of PCBs in each, and other information as
required.
• Records Assessment. The inspector will examine the facilityJs_P-C_B—
records. Records of PCB type and quantity on site and disposition of
PCBs will be of primary interest. The inspector will evaluate the
records for compliance, accuracy, and completeness. Any suspicious
entries, or any missing data, will be explored further.
• Physical Assessment. A portion of the PCB inventory will-be-.verified _
by a physical check. Using the inventory of PCB equipment shown in
the records, the inspector will select and then physically inspect a
certain number of transformers and/or large capacitors, depending upon
the type of inspection being undertaken.
PTSED Awareness Program
PTSED will implement an awareness effort designed to encourage voluntary
compliance in industries with high numbers of PCBs. Emphasis will be placed
on:
PCB regulations and compliance requirements
EPA's vigilance and sanctions against violators
'Inspection Manual ^March 1981
Volume Two: PCB Manual
-------
THIS PAGE WAS INTENTIONALLY LEFT BLANK.
TSCA Inspection Manual 1-4 March 1981
Volume Two: PCB Manual
-------
Glossary
Chapter One
2
Glossary
Annual DoCOBCnt
Alternating Current (AC)
Anpere
Capacitor
A yearly summary required of all PCS users and
storage and disposal facilities denoting the
handling and disposition of PCBs dealt with
during the previous year.
An electric current that reverses its direction
of flow periodically as contrasted to direct
current.
The intensity or rate of flow of electrons is
measured in amperes. An ampere is the amount of
current that will flow through a resistance of
one ohm when under a pressure of one volt.
In this manual, this is a device used to
accumulate and hold a charge of electricity.
capacitor consists of conducting surfaces
separated by a dielectric.
The
Types of capacitors referred to under this rule:
• Small Capacitor is a capacitor which contains
less than 1.36 kg (3 Ibs) of dielectric fluid.
• Large High Voltage Capacitor is a capacitor
which contains 1.36 kg (3 Ibs.) or more of
dielectric fluid and which operates at 2000
volts A.C. or above.
• Large Low Voltage Capacitor is a capacitor
which contains 1.36 kg (3 Ibs.) or more of
dielectric fluid and which operates below 2000
volts A.C.
TSCA Inspection Manual
Voluae Two: PCB
1-5
March 1981
-------
Glossary
Chemical Waste Landfill
la this manual this is a landfill at which
protection against the risk of injury to health
or the environment from the migration of PCBs to
land, water, or the atmosphere is provided from
PCBs and PCB items deposited within the
landfill. The location, engineering, and
operation of the landfill will be as specified in
761.41
Correspondence File
Dielectric Fluid
Disposal
Disposal Decision
Distribution Transfo
Facility Records
Fluorescent Light Ballast
High Voltage
Improper disposal
In this manual, thisr term refers to the
accumulated correspondence, pertaining to the
storage or disposal of PCBs, between facility
owners or operators and any local, State, or
Federal authorities as required by the
regulations.
Liquid used in transformers and capacitors to
insulate Interior conductive surfaces and to
transfer heat from the interior to the case
exterior.
In this manual, disposal means to intentionally
or accidentally discard, throw away, eliminate,
or otherwise complete or terminate the useful
life of PCBs or PCB items. Disposal includes
actions related to containing, transporting,
destroying, degrading, decontaminating, or
confining PCBs or PCB items.
The calculated decision of a facility owner or
operator to comply with PCB disposal regulations
or to dispose of PCBs illegally.
A device that converts primary high voltage
(2,300-25,000 volts) to a secondary voltage level
(120-480 volts) for service to users.
Those company records required by the Act and/or
the regulation that would form the basis of an
EPA inventory of PCBs and PCB items at a
particular facility.
In this manual, this is a device that
electrically controls fluorescent light fixtures
and that includes a capacitor.
In this manual, high voltage refers to any item
operating above 2000 volts A.C.
This term refers to the accidental disposal of
PCBs or to the deliberate disposal of PCBs in a
manner not in compliance with 761.10 et seq.
TSCA Inspection Manual
Volustt Two: PCB Manual
1-6
March 1981
-------
Glossary
In Service
In storage for Disposal
Incinerator
Combined Inspection
KVA
WAR
Leak or
Mark
Marked
Municipal Solid Wastes
Neutral Selection
Strategy
In this manual, in service refers to any PCBs or
PCB items in actual use and not stored for
disposal.
In this manual, any PCBs or PCB items not in
active use for their intended function are
considered in storage for disposal and must be
stored in compliance with the rule.
In this- manual, an incinerator is 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.
A PCB inspection consisting of a records
inspection of transformers and capacitors and a
physical inspection of a selected number of both
items.
(Kilo Volt Amps),
voltampere.
1000 voltamperes. See
(Kilo Volt Amps Reactive). 1000 reactive
voltamperes. See voltamperes.
In this manual, this is an instance when a PCB
item has any PCBs on any portion of its external
surface.
In this manual, this is the descriptive name,
instructions, cautions, or other information
applied to PCBs and PCB items, or other objects
subject to this regulation.
In this manual, this is 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 761.44.
In this manual, this is garbage, refuse, sludges,
wastes, and other discarded materials resulting
from residential and non-industrial operations
and activities. Examples are household
activities, office functions, and commercial
housekeeping wastes.
In this manual, this refers to an objective plan
for the unbiased selection of target group
members or individual facilities to be inspected.
TSCA Inspection Manual
TWO: PCB
1-7
March 1981
-------
Glossary
PCB and PCBs
PCB Article
In this manual, this is any chemical substance
that is limited to the biphenyl molecule that has
been chlorinated to varying degrees or any
combination of substances which contain
polycholorinated biphenyls. (See 761.l(b),
applicability for applicable concentrations of
PCBs.) PCB and PCBs as contained in PCB items
are defined below.
In this manual, this is any manufactured article,
other than a PCB container that contains PCBs and
whose surface(s) has been in direct contact with
PCBs. PCB articles include capacitors,
transformers, electric motors, pumps, pipes, and
any manufactured item described as follows:
• Formed to a specific shape or design during
manufacture.
• Has end use function(s) dependent in whole or
in part upon its shape or design during end
use.
PCB Article Container
PCB Container
PCB Equipment
PCB Inventory
• 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.
In this manual, this is any package, can, bottle,
bag, barrel, drum, tank or other device used to
contain FCB Articles or PC,B Equipment, and whose
surface(s) has not been in direct contact with
PCBs.
In this manual, this is any package, can, bottle,
bag, barrel, drum, tank or other device used to
contain PCB Articles or PCB Equipment, and whose
surface(s) has been in direct contact with PCBs.
In this manual, this is any manufactured item,
other than a PCB Container or PCB Article
Container which contains a PCB Article or other
PCB Equipment, and includes microwave ovens,
electronic equipment, and flourescent light
ballasts and fixtures.
In this manual, this is a catalog of all PCBs and
PCB items located at a particular facility
denoting numbers of PCB items, and PCB weight and
ppm concentration. The inventory is taken from
facility records.
TSCA Inspection Manual
Voluaa Two: PCB Manual
1-8
March 1981
-------
Glossary
FOB Item
PCB Transformer
PCB—Contawlnated
Transfoi
Phase
Physical Assessment
Proper Disposal
Removed from Service
Sale for Porposes
Other than Resale
Significant Exposure
In this manual, this is defined as any PCB
Article, PCB Article Container, PCB Container, or
PCB Equipment that deliberately or
unintentionally contains or has as a part of it
any PCB or PCBs at a concentration of 50 ppm or
greater.
In this manual, this is any transformer that
contains 500 ppm FCB or greater.
In this manual, this is any transformer that
contains 50 ppm or greater of PCB but less than
500 ppm PCB. (See 761.31(a)(5) for provisions
permitting reclassifying PCB Transformers to
PCB-Contaminated Transformers).
The phase of a circuit is determined by the
number of currents alternating at different time
intervals in a single AC circuit. If one current
is alternating it is known as a single-phase
current.
In this manual, this refers to a physical
inspection of a selected group of PCB items
listed in facility records for the purpose of
verifying company records.
This term refers to EPA approved methods of PCB
disposal which eliminate hazards to health or the
environment. Acceptable methods, as stipulated
in the regulations, include approved
incinerators, high efficiency boilers, chemical
waste landfills, and any alternative methods if
approved by EPA.
In this manual, any PCBs or PCB items that are no
longer used for their Intended function, and
which must be stored in compliance with the rule.
In this manual, this means the sale of PCBs for
purposes of disposal and for purposes of use,
except where use involves sale for distribution
In commerce. PCB Equipment which was first
leased for purposes of use any time before July
1, 1979, will be considered sold for purposes
other than resale.
In this manual, this is any exposure of human
beings or the environment to PCBs as measured or
detected by any scientifically 'acceptable
analytical method.
TSCA Inspection Manual
Volume Two: PCB Manual
1-9
March 1981
-------
Glossary
Small Quantities
For Research
And Development
Special Inspections
Storage for Disposal
Swltchgear
Totally Enclosed Manner
Transformer Inspection
Transport Vehicle
Voltampere (VA)
Waste Oil
Watt
In this manual, this is any quantity of PCBs (1)
that is originally packaged in one or more
hermetically sealed containers of a volume of no
more than five (5.0) milliliters, and (2) 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.
In this manual, this refers to disposal facility
inspections, emergency inspections and other,
such as inspections prompted by complaints.
In this manual, this is the temporary storage of
PCBs that have been designated for disposal.
Devices (switches) used to open and close
circuits or transformer loads from one circuit to
another. Switchgear is often metal-clad
(protected by metal covers and doors).
In this manual, this is any manner that will
ensure that any exposure of human beings or the
environment to any concentration of PCBs will be
insignificant; that is, not measurable or
detectable by any scientifically acceptable
analytical method.
A PCB inspection consisting of a records
inspection of transformers and capacitors and a
physical inspection of a selected number of
transformers only. '
In this manual, this is 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.
A term used to measure the.power capacity of AC
power-producing equipment like transformers. One
voltampere is equal to the product of one volt
times one ampere.
In this manual, this is any product primarily
derived from petroleum, which includes, but is
not limited to, fuel oils, motor oils, gear oils,
cutting oils, transmission fluids, hydraulic
fluids, and dielectric fluids.
A term to rate the mechanical power (e.g.
horsepower) of electricity. (One horsepower is
equal to 746 watts.)
TSCA Inspection Manual
Volume Two: PCB Manual
1-10
March 1981
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Chapter One
3
PCB
Regulations
(40CFR 761)
PART 761—POLYCHLORINATED 81-
PHENYLS (PCBO MANUFACTUR.
ING, PROCESSING, DISTRIBUTION
IN COMMERCE, AND USE PROHIBI-
TIONS
Subpart
Sec.
761.1 Applicability.
761.2 Definitions.
Subpart B— DitpoMl of PCB» and PCB Item*
761.10 Disposal requirements.
Subpart C— Marking of PCBt and PCB Item*
761.20 Marking requirement.
ufoctvring, Proceuing, Di*tribtt»
lian in Common*, and Use of PCB* and PCS
761.30 Prohibitions.
761.31 Authorizations.
Subpart E—list of Annexe*
ANNEX No. I
761.40 Incineration.
ANNEX No. II
761.41 Chemical waste landfills.
ANNEX No. Ill
761.42 Storage for disposal.
ANNEX No. IV
761.43 Decontamination.
ANNEX No. V
761.44 Marking formats.
ANNEX No. VI
761.45 Records and Monitoring.
AUTHORITY: Sees. 6, 8, and 12. Toxic Sub-
stances Control Act. 15 U.S.C. 2605. 2607.
and 2611.
SOURCE: 44 PR 31542. May 31. 1979. unless
otherwise noted.
Subpart A—General
§761.1 Applicability.
(a) This part establishes prohibitions
of. and requirements for. the manufac-
ture, processing, distribution in com-
merce, use. disposal, storage, and
marking of PCBs and PCB Items.
(b) This part applies to all persons
who manufacture, process, distribute
in commerce, use, or dispose of PCBs
or PCB Items. Unless it is otherwise
specifically provided, the terms PCB
and PCBs are used in this rule to refer
to any chemical substances and combi-
nations of substances that contain SO
ppm (on a dry weight basis) or greater
of PCBs, as defined in § 761.2(s), in-
cluding any byproduct, intermediate,
or impurity manufactured at any
point in a process. Any chemical sub-
stances and combinations of sub-
stances that contain less than 50 ppm
PCBs because of any dilution, shall be
included as PCB and PCBs unless oth-
erwise specifically provided. Sub-
stances that are regulated by this rule
include, but are not limited to, dielec-
tric fluids, contaminated solvents, oils,
waste oils, heat transfer fluids, hy-
draulic fluids, paints, sludges, slurries.
dredge spoils, soils, materials contami-
nated as a result of spills, and other
chemical substances or combination of
substances, including impurities and
byproducts.
(c) Definitions of the terms used in
these regulations are in Subpart A.
The basic requirements applicable to
disposal and marking of PCBs and
PCB Items are set forth in Subpart
B—Disposal of PCBs and PCB Items
and in Subpart C—Marking of PCBs
and PCB Items. Prohibition.'; applica-
ble to PCB activities are set forth in
Subpart D—Manufacture, Processing.
Distribution in Commerce, and Use of
PCBs and PCB Items. Subpart D also
includes authorizations from the pro-
hibitions. The Annexes in Subpari E
set forth the specific requirements for
disposal and marking of PCBs and
PCB Items.
TSCA Inspection Manual
Volume Two: PCB Manual
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March 1981
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3 PCB Regulations (40CFR761)
(d) Section 15 of the Toxic Sub-
stances Control Act (TSCA) states
that failure to comply with these regu-
lations is unlawful. Section 16 imposes
liability for civil penalties upon any
person who violates these regulations.
and the Administrator can establish
appropriate remedies for any viola-
tions subject to any limitations includ-
ed in § 16 of TSCA. Section 16 also
subjects a person to criminal prosecu-
tion for a violation which is knowing
or willful. In addition. 5 17 authorizes
Federal district courts to enjoin activi-
ties prohibited by these regulations.
compel the taking of actions required
by these regulations, and issue orders
to seize PCBs and PCB Items manu-
factured, processed or distributed in
violation of these regulations.
(e) These regulations do not pre-
empt other more stringent Federal
statutes and regulations.
§761.2 Definition*.
For the putpose of this part:
(a) "Administrator" means the Ad-
ministrator of the Environmental Pro-
tection Agency, or any employee of
the Agency to whom the Administra-
tor may either herein or by order dele-
gate his authority to carry out his
functions, or any person who shall by
operation of law be authorized to
carry out such functions.
(b) "Agency" means the United
States Environmental Protection
Agency,
(c) "Byproduct" means a chemical
substance produced without separate
commercial intent during the manu-
facturing or processing of another
chemical substance(s) or mixture(s).
(d) "Capacitor" means a device for
accumulating and holding a charge of
electricity and consisting of conduct-
ing surfaces separated by a dielectric.
Types of capacitors are as follows:
(1) "Small Capacitor" means a ca-
pacitor which contains less than 1.36
kg (3 Ibs.) of dielectric fluid.
(2) "Large High Voltage Capacitor"
means a capacitor whlch^ contains 1.36
kg (3 Ibs.) or more of dielectic fluid
and which operates at 2000 volts a.c.
or above.
(3) "Large Low Voltage Capacitor"
means a capacitor which contains 1.36
kg (3 Ibs.) or more of dielectric fluid
and which operates below 2000 volts
a_c.
(e)(l) "Chemical Substance", except
as provided in subparagraph (2) of this
paragraph, means any organic or inor-
ganic substance of a particular molec-
ular identity, including:
(b Any combination of such sub-
stances occurring in whole or part as a
result of a chemical reaction or occur-
ring in nature, and
(ii) Any element or uncombined radi-
cal.
(2) Such term does not include:
(i) Any mixture,
(ii) Any pesticide (as defined in the
Federal Insecticide, Fungicide, and
Rodenticide Act) when manufactured.
processed, or distributed in commerce
for use as a pesticide.
(iii) Tobacco or any tobacco product,
(iv) Any source material, special nu-
clear material, or by product material
(as such terms are defined in the
Atomic Energy Act of 1954 and regula-
tions issued under such Act),
(v) 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 pro-
vided by section 4182 or section 4221
or any provisions of such Code), and
(vi) 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 distribut-
ed in commerce for use as a food, food
additive, drug, cosmetic, or device.
(f) "Chemical Waste Landfill" means
a landfill at which protection against
risk of injury to health or the environ-
ment from migration 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 specified in
i 761.41.
(g) "Commerce" means trade, traf-
fic, transportation, or other commerce:
(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 subparagraph (1) of this paragraph.
(h) "Disposal" means to intentional-
ly or accidentally discard, throw away,
or otherwise complete or terminate
the useful life of PCBs and PCB
Items. Disposal includes actions relat-
ed to containing, transporting; de-
stroying, degrading, decontaminating.
or confining PCBs and PCB Items.
(i) "Distribute in Commerce" and
"Distribution in Commerce" when
used to. describe an action taken with
respect to a chemical substance, mix-
ture, 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. o:- tae in-
troduction or delivery for introduction
into commerce of the substance, mix-
ture, or article: or to hold or the hold-
ing of. the substance, mixture, or arti-
cle after its introduction into com-
merce.
TSCA Inspection Manual
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March 1981
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3 PCB Regulations (40 CFR 761)
(j) "Fluorescent Light Ballast"
means a device that electrically con-
trols fluorescent light fixtures and
that includes a capacitor containing
0.1 kg or less of dielectic.
(k) "Impurity" means a chemical
substance which is unintentionally
present with another chemical sub-
stance.
(1) "Incinerator" means an engi-
neered device using controlled flame
combustion to thermally degrade
PCBs and PCB Items. Examples of de-
vices used for incineration include
rotary kilns, liquid injection inciner-
ators, cement kilns, and high tempera-
ture boilers.
(m) "Leak" or "leaking" means any
instance in which a PCB Article. PCB
Container, or PCB Equipment has any
PCBs on any portion of its external
surface.
(n) "Manufacture" means to pro-
duce, manufacture, or import into the
customs territory of the United States.
(o) "Mark" means the descriptive
name, instructions, cautions, or other
information applied to PCBs and PCB
Items, or other objects subject to
these regulations.
(p) "Marked" means the marking of
PCB Items and PCB storage areas and
transport vehicles by means of apply-
ing a legible mark by painting, fix-
ation of an adhesive label, or by any
other method that meets the require-
ments of these regulations.
(q) "Mixture" means any combina-
tion of two or more chemical sub-
stances if the combination does not
occur in nature and is not, in whole or
in part, the result of a chemical reac-
tion: except that such term does in-
clude 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 l.s a now chemical sub-
stance and if the combination could
have been manufactured for commer-
cial purposes without a chemical reac-
tion at the time the chemical sub-
stances comprising the combination
were combined.
(r) "Municipal Solid Wastes" means
garbage, refuse, sludges, wastes, and
other discarded materials resulting
from residential and non-industrial op-
erations and activities, such as house-
hold activities, office functions, and
commercial housekeeping wastes.
(s) "PCB" and "PCBs" means any
chemical substance that is limited to
the biphenyl molecule that has been
chlorinated to varying degrees or any
combination of substances which con-
tains such substance. (See § 761.Kb)
Applicability for applicable concentra-
tions of PCBs). PCB and PCBs as con-
tained in PCB items are defined in
§761.2(x).
(t) "PCB Article" means any manu-
factured article, other than a PCB
Container that contains PCBs and
whose surface(s) has been in direct
contact with PCBs. "PCB Article" in-
cludes capacitors, transformers, elec-
tric motors, pumps, pipes and any
other manufactured item (1) which is
formed to a specific shape or design
during manufacture, (2) which has
end use function(s) dependent in
whole or in part upon its shape or
design during end use, and (3) which
has either no change of chemical com-
position during its end use or only
those changes of composition which
have no commercial purpose separate
from that of the PCB Article.
(u) "PCB Article Container" means
any package, can, bottle, bag. barrel,
drum, tank or other device used to
contain ~PCB Articles or PCB EquTp-
ment. and whose surface(s) has not
been in direct contact with PCBs.
(v) "PCB Container" means 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.
(w) "PCB Equipment" means any
manufactured item, other than a PCB
Container or a PCB.Article Container.
which contains a PCB Article or other
PCB Equipment, and includes micro-
wave ovens, electronic equipment, and
fluorescent light ballasts and fixtures.
(x) "PCB Item" is defined as any
PCB Article, PCB Article Container,
PCB Container, or PCB Equipment,
that deliberately or unintentionally
contains or has as a part of it any PCB
or PCBs at a concentration of 50 ppm
or greater.
(y) "PCB Transformer" means any
transformer that contains 500 ppm
PCB or greater.
(z) "PCB-Contaminated Transform-
er" means any transformer that con-
tains 5w ppm or greater of PCB but
less than 500 ppm PCB (See
§ 761.31(a)(5) for provisions permitting
reclassifying PCB Transformers to
PCB-Contaminated Transformers).
(aa) "Person" means any natural or
judicial person including any individu-
al, corporation, partnership, or associ-
ation; any State or political subdivi-
sion thereof: any interstate body: and
any department, agency, or instrumen-
tality of the Federal Government.
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3 PCB Regulations (40 CFR 761)
(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 prepar-
ing such substance or mixture, or
(2) As part of an article containing
the chemical substance or mixture.
(cc) "Sale for Purposes Other than
Resale" means sale of PCBs for pur-
poses of disposal and for purposes of
use. except where use involves sale for
distribution in commerce. PCB Equip-
ment which is first leased for purposes
of use any time before July 1. 1979.
will be considered sold for purposes
other than resale.
(dd) "Significant Exposure" means
any exposure of human beings or the
environment to PCBs as measured or
detected by any scientifically accept-
able analytical method.
(ee) "Small Quantities for Research
and Development" means any quanti-
ty of PCBs (1) that is originally pack-
aged In one or more hermetically
scaled containers of a volume of no
more than five (5.0) mlllilltors. and (2)
thai Is used only for purposes of scien-
tific <*xi>i!rlmciilaUon or analynlH. or
chemical research on. or analysis of,
PCBs, but not for research or analysis
for the development of a PCB product.
(ff) "Storage for Disposal" means
temporary storage of PCBs that have
been designated for disposal.
(gg) "Transport Vehicle" means 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.
(hh) "Totally -Enclosed Manner"
means any manner that will ensure
that any exposure of human beings or
the environment to any concentration
of PCBs will be insignificant: that is,
not measurable or detectable by any
scientifically acceptable analytical
method.
(ii) "Waste Oil" means 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.
Subpart &—Disposal of PCBs and PCB
Itoms
NOTE.—This Subpart does not require re-
moval of PCBs and PCB Items from service
and disposal earlier than would normally be
the case. However, when PCBs and PCB
Hems are removed from service and dis-
posed of. disposal must be undertaken in ac-
cordance-with these regulations. PCBs (in-
cluding soils and debris) and PCB Items
which have been placed In a disposal site are
considered to be "in service" for purposes of
the applicability of this Subpart. This Sub-
part does not require PCBs and PCB Items
landfillcd prior to February 17, 1978 to be
removed for disposal. However, if such
PCBs or PCB Items are removed from the
disposal site, .they must be disposed of in ac-
cordance with this Subpart. Other SubparUs
are directed to the manufacture, processing
distribution in commerce, and use of PCBs
and may result in some cases in disposal at
an earlier date than would otherwise occur.
§761.10 DinpoRal requirement*.
(a) PCBs. (1) Except as provided in
paragraphs (a)(2). (3). (4). and (5) of
this section, PCBs must be disposed of
in an incinerator vhich complies with
Annex I.
(2) Mineral oil dielectric fluid from
PCB-Contamlnated Transformers con-
taining a PCU conconl.rn.tion of 50
ppm or greater, but less than 500 ppm.
must be disposed of in one of the fol-
lowing:
(i) In an incinerator that complies
with Annex I 5 761.40;
(ii) In a chemical was*.e landfill that
complies with Annex II § 761.41 if in-
formation is provided to the owner or
operator of the chemical waste landfill
that shows that the mineral oil dielec-
tric fluid does not exceed 500 ppm
PCB and is not an ignitable waste as
described In i 761.41 (b) (8) (Hi) of
Annex II;
(ill) In a high efficiency, boiler pro-
vided that:
(A) The boiler complies with the fol-
lowing criteria:
U) The boiler is rated at a minimum
of 50 million BTU hours;
(2) If the boiler uses natural gas or
oil as the primary fuel, the carbon
monoxide concentration in the stack is
50 ppm or less and the excess oxygen
is at least three (3) percent when
PCBs are being burned;
(J) If the boiler uses coal as the pri-
mary fuel, the carbon monoxide con-
centration in the stack is 100 ppm or
less and the excess oxygen is at least
three (3) percent when PCBs are being
burned:
(4) The mineral oil dielectric fluid
does not comprise more than ten (10)
percent (on a volume basis) of the
total fuel feed rate:
(5) The mineral oil dielectric fluid is
not fed into the boiler unless the
boiler is operating at its normal oper-
ating temperature (this prohibits feed-
ing these fluids during either start up
or shut down operations);
(«) The owner or operator of the
boiler
(t) Continuously monitors and rec-
ords the carbon monoxide concentra-
tion and excess oxygen percentage in
the stack gas while burning mineral oil
dielectric fluid; or
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March 1981
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3 PCB Regulations (40 CFR761)
(it) If the boiler will burn less than
30,000 gallons of mineral oil dielectric
fluid per year, measures and records
the carbon monoxide concentration
and excess oxygen percentage in the
stack gas at regular intervals of no
longer than 60 minutes while burning
mineral oil dielectric fluid.
(7) The primary fuel feed rates, min-
eral oil dielectric fluid feed rates, and
total quantities of both primary fuel
and mineral oil dielectric fluid fed to
the boiler are measured and recorded
at regular intervals of no longer than
15 minutes while burning mineral oil
dielectric fluid.
(8) The carbon monoxide concentra-
tion and the excess oxygen percentage
are checked at least once every hour
that mineral oil dielectric fluid is
burned. If either measurement falls
below the levels specified in this rule,
the flow of mineral oil dielectric fluid
to the boiler shall be stopped immedi-
ately.
(B) Thirty days before any person
burns mineral oil dielectric fluid in the
boiler, the person gives written notice
to the EPA Regional Administrator
for the EPA Region in which the
boiler is located and that the notice
contains the following information:
(11 The name and address of the
owner or operator of the boiler and
the address of the boiler;
(2) The boiler rating in units of
BTU/hour;
(J) The carbon monoxide concentra-
tion and the excess oxygen percentage
•n the stack of the boiler when it is op-
erated in a manner similar to the
manner in .which it will be operated
when mineral oil dielectric fluid is
burned; and
(4) The type of equipment, appara-
tus, and procedures to be used to con-
trol the feed of mineral oil dielectric
fluid to the boiler and to monitor and
record the carbon monoxide concen-
tration and excess oxygen percentage
in the stack.
(C) When burning mineral oil dielec-
tric fluid, the boiler must operate at a
level of output no less than the output
at which the measurements required
under subparagraph (B)(J) were
taken.
(D) Any person burning mineral oil
dielectric fluid in a boiler obtains the
following information and retains the
information for five years at the boiler
location:
(1) The data required to be collected
under subparagraphs (AX 6) and (AM 7)
of this paragraph; and
(2) The quantity of mineral oil di-
electric fluid burned in the boiler each
month:
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3 PCB Regulations (40 CFR 761)
to the boiler must be measured and re-
corded at regular intervals of no
longer than 15 minutes while burning
waste fluid; and
(8) The carbon monoxide concentra-
tion and the excess oxygen percentage
must be checked at least once every
hour that the waste is burned. If
either measurement falls below the
levels specified in this rule, the flow of
waste to the boiler shall be stopped
immediately.
(B) Prior to any person burning
these liquids in the boiler, approval
must be obtained from the EPA Re-
gional Administrator for the EPA
Region in which the boiler is located
and any persons seeking such approval
must submit to the EPA Regional Ad-
ministrator a request containing at
'east the following information:
(7) The name and address of the
owner or operator of the boiler and
the address of the boiler;
(2) The boiler rating in units of
BTU/hour
(3) The carbon monoxide concentra-
tion and the excess oxygen percentage
in the stack of the boiler when it is op-
erated in a manner similar to the
manner in which it will be operated
when low concentration PCB liquid is
burned:
(4) The type of equipment, appara-
tus, and procedures to be used, to con-
trol the feed of mineral oil dielectric
fluid to the boiler and to monitor and
record the carbon monoxide concen-
tration and excess oxygen percentage
in the stack:
(5) The type of waste to be burned
(e.g.. hydraulic fluid, contaminated
fuel oil. heat transfer fluid, etc.):
(6) The concentration of PCBs and
of any .other chlorinated hydrocarbon
in the waste and the results of analy-
ses using the American Society of
Testing and Materials (ASTM) moth-
orl« fu; roforr'nriHl below: carbon and
hydrogen content using AK'iM 13-
3178, nitrogen content using ASTM E-
258, sulfur content using ASTM D-
2784. D-1266. or D-129. chlorine con-
tent using ASTM D-808, water and
sediment content using either ASTM
D-2709 or D-1796, ash content using
D-482, calorific value using ASTM D-
240, carbon residue using either ASTM
D-2158 or D-524, and flash point using
ASTM D-93:
(7) The quantity of wastes estimated
to be burned in a thirty (30) day
period;
(8} A» explanation of the procedures
to be followed to insure that burning
the waste will not adversely affect the
operation of the boiler such that com-
bustion efficiency will decrease.
(C) On the basis of the information
in (B) above and any other available
information, the Regional Administra-
tor may. at his discretion, find that
the alternate disposal method will not
present an unreasonable risk of injury
to health or the environment and ap-
prove the use of the boiler:
(D) When burning PCB wastes, the
boiler must operate at a level of
output no less than the output at
which the measurements required
under subparagraph (BXJ) were
taken: and
(E) Any person burning liquids in
boilers approved as provided in (C)
above, must obtain the following infor-
mation and retain the information for
five years at the boiler location:
(It The data required to be collected
in paragraphs r
(ii) In a chemical waste landfill
which complies with Annex II.
Note: Except as provided in
§ 761.41(bX8)(H), liquid PCBs shall not
be processed into non-liquid forms to
circumvent the high temperature in-
cineration requirements of § 761.10(a).
(5) All dredged materials and munic-
ipal sewage treatment sludges that
contain PCBs shall be disposed of:
(i) In an incinerator which complies
with Annex I;
(ii) In a chemical waste landfill
which complies with Annex II; or
(Hi) Upon application, using a dispos-
al method to be. approved by the Agen-
cy's Regional Administrator in the
EPA Region in which the PCBs are lo-
cated. Applications for disposal in a
manner other than prescribed in (i) or
(il) above must be made in writing to
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3 PCS Regulations (40 CFR 761}
the Regional Administrator. The ap-
plication must contain information
that, based oh technical, environmen-
tal, and economic considerations, indi-
cates that disposal in an incinerator or
chemical waste landfill is not reason-
able and appropriate, and that the al-
ternate disposal method will provide
adequate protection to health and the
environment. The Regional Adminis-
trator may request other information
that he or she believes to be necessary
for evaluation of the alternate dispos-
al method. Any approval by the Re-
gional Administrator shall be in writ-
ing and may contain any appropriate
limitations on the approved alterriatp
method for disposal. In addition to
these regulations, the Regional Ad-
ministrator shall consider other appli-
cable Agency guidelines, criteria, and.
regulations to ensure that the dis-
charges of dredged material and
sludges that contain PCBs and other
contaminants are adequately con-
trolled to protect the environment.
The person to whom such approval is
issued must comply with all limita-
tions contained in the approval.
(6) When storage is desired prior to
disposal. PCBs shall be stored in a fa-
cility which complies with Annex III.
(b) PCB Articlei: (1) Transformers.
(i) PCB Transformers shall be dis-
posed of in accordance with either of
the following:
(A) In an incinerator that complies
with Annex I; or
(B) In a chemical waste landfill
which complies with Annex II; pro-
vided that the transformer is first
drained of all free flowing liquid, filled
with solvent, allowed to stand for at
least 18 hours, and then drained thor-
oughly. PCB liquids that are removed
shall be disposed of in accordance with
paragr?ph (a) of this section. Solvents
may include kerosene, xylene, toluene
and other solvents in which PCBs are
readily soluble. Precautionary meas-
ures should be taken, however, that
the solvent flushing procedure is con-
ducted in accordance with applicable
safety and health standards as re-
quired by Federal or State regulations.
(ii) PCB-Contaminated Transform-
ers shall be disposed of by draining all
free flowing liquid from the trans-
former and disposing of the liquid in
accordance with paragraphs (a)(2)
above. The disposal of the drained
transformer is not regulated by this
rule.
(2) PCB Capacitors, (i) The disposal
'of any capacitor normally used in al-
ternating current circuits shall comply
with all requirements of this subpart
unless it is known from label or name-
plate information, manufacturer's lit-
erature. or chemical analysis that the
capacitor does not contain PCBs.
(11) Any person may dispose of PCB
Small Capacitors as municipal solid
waste, unless that person is subject to
the requirements of paragraph
(Ill) Any PCB Large High or Low
Voltage Capacitor owned by any
person shall be disposed of In accord-
ance with either of the following:
(A) Disposal in an incinerator that
complies with Annex I; or
(B) Until March 1, 1981, disposal in a
chemical waste landfill that complies
with Annex II.
(iv) Any PCB Small Capacitor owned
by any person who manufactures or at
any time manufactured PCB Capaci-
tors or PCB Equipment and acquired
the PCB Capacitors in the course of
such manufacturing shall be disposed
of in accordance with either of the fol-
lowing:
(A) Disposal in an incinerator which
complies with Annex I; or
(B) Until March 1. 1981, disposal in a
chemical waste landfill which complies
with Annex II.
(v) Notwithstanding the restrictions
Imposed by § 761.10(b)(2)(iii)(B) or
(b)(2)(iv)(B). PCB capacitors may be
disposed of in PCB chemical waste
landfills that comply with Annex II
subsequent to March 1, 1981, if the As-
sistant Administrator for Pesticides
and Toxic Substances publishes a
notice in the FEDERAL REGISTER declar-
ing that those landfills are available
for such disposal and explaining the
reasons for the extension or reopen-
ing. An extension or reopening for dis-
posal of PCB capacitors that is grant-
ed under this subsection shall be sub-
ject to such terms and conditions as
the Assistant Administrator may pre-
scribe and shall be In effect for such
period as the Assistant Administrator
may prescribe. The Assistant Adminis-
trator may permit disposal of PCB ca-
pacitors in EPA approved chemical
waste landfills after March 1. 1981. if
in his opinion.
(7) Adequate incineration capability
for PCB capacitors is not available, or
(2) The incineration of PCB capaci-
tors will significantly interfere with
the incineration of liquid PCBs. or
(3) There is other good cause shown.
As part of this evaluation, the Assist-
ant Administrator will consider the
the impact of his action on the
incentives to construct or expand PCB
incinerators.
(vi) Prior to disposal in an i\nnex II
chemical waste landfill, all large PCB
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3 PCB Regulations (40 CFR 761)
capacitors, and all small PCB capacitors
described in $ 761.10(b)(2){iv). shall be
placed in one of the Department of
Transportation specification containers
identified in § 761.42(c)(6) or in
containers thai comply with 49 CFR
178.118 (specification 17H containers].
Large PCB capacitors which are too big .
to fit inside one of these containers shall
be placed in a container with strength
and durability equivalent to the DOT
specification containers. In all cases,
interstitial space in the container shall
be filled with sufficient .absorbent
material (such as sawdust or soil) to
absorb any liquid PCBs remaining in the
capacitors. '
" (3) PCB Hydraulic Machines. PCB
hydraulic machines such as die casting
machines may be disposed of as mu-
nicipal solid waste or salvage provided
that the machines are drained of all
free-flowing liquid and the liquid is
disposed of in accordance with the
provisions of § 761.10(a). If the PCB
liquid contains 1000 ppm PCB or
greater, then the hydraulic machine
must be flushed prior to disposal with
a solvent containing less than SO ppm
PCB (see transformer solvents at
$761.10
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3 PCB Regulations (40 CFR 761)
whom such waiver is issued must
comply with all limitations contained
in such determination.
(f)(l)' Each operator of a chemical
waste landfill, incinerator, or alterna-
tive to incineration approved under
paragraph (e) shall give the following
written notices to the state and local
governments within whose jurisdiction
the disposal facility is located:
(i) Notice at least thirty (30) days
before a facility is first used for dis-
posal of PCBs required by these regu-
lations; and
(ii) At the request of any state or
local government, annual notice of the
quantities and general description of
PCBs disposed of during the year.
This annual notice shall be given no
more than thirty (30) days after the
ond of the year covered.
(iii) The Regional Administrator may
reduce the notice period required by
S 761.10(f)(l)(i) from thirty days to a
period of no less than five days in order
to expedite interim approval of the
chemical waste landfill located in
Sedgwick County, Kansas.
<2) Any person who disposes of PCBs
under a §761.10(a)(5)(iii) incineration
or chemical waste landfilling waiver
shall give written notice at least thirty
(30) days prior to conducting the dis-
posal activities to the state and local
governments within whose jurisdiction
the disposal is to take place.
(g) Testing Procedures. (1) Owners or
users of mineral oil dielectric fluid
transformers may use the following
procedures to determine the concentra-
tion of PCBs in the dielectric fluid:
(i) Dielectric fluid removed from
mineral oil dielectric fluid transform-
ers may be collected in a common con-
tainer, provided that no other chemi-
cal substances or mixtures are added
to the container.
(il) For purposes of complying with
the marking and disposal require-
ments, representative samples may be
taken from either the common con-
tainers or the individual transformers
to determine the PCB concentration.
except that if any PCBs at a concen-
tration of 500 ppm or greater have
been added to the container then the
total container contents must be con-
sidered as having a PCB concentration
of 500 ppm or greater for purposes of
complying with the disposal require-
ments of this subpart. For purposes of
this subparagraph, representative
samples of mineral oil dielectric fluid
are either samples taken in accordance
with American Society of Testing and
Materials method D-923 or samples
taken from a container that has been
thoroughly mixed in a manner such
that any PCBs in the container are
uniformly distributed throughout the
liquid in the container.
(2) Owners or users of waste oil may
use the following procedures to deter-
mine the PCB concentration cf waste
oil:
(i) Waste oil from more than one
source may be collected in a common
container, provided that no other
chemical substances or mixtures, such
as non-waste oils, are added to the
container.
(ii) For purposes of complying with
the marking and disposal require-
ments, representative samples may be
taken from either the common con-
tainer or individual containers to de-
termine the PCB concentration except
that if any PCBs at a concentration of
500 pm or greater have been added to
the container then Che total container
contents must be considered as having
a PCB concentration of 500 ppm or
greater for purposes of complying
with the disposal requirements of this
subpart. For purposes of this subpara-
graph, representative samples of waste
oil are either samples taken in accord-
ance with American Society of Testing
and Materials D-923 method or sam-
ples taken from a container that has
been thoroughly mjxed in a manner
such that any PCBs in the container
are uniformly distributed throughout
the liquid in the container.
(h) Requirements for export and
import of PCBs for purposes of dispos-
al and PCB Items for purposes of dis-
posal are found in § 761.30.
Subpart C—Marking of PCBs and PCB
Items
§761.20 Marking requirements.
(a) Each of the following items In
existence on or after July 1. 1978 shall
be marked as illustrated in Figure 1 in
Annex V—§ 761.44(a): The mark illus-
trated in Figure 1 is referred to as ML
throughout this subpart.
(1) PCB Containers;
(2) PCB Transformers at the time of
manufacture, at the time of distribu-
tion In commerce if not already
marked, and at the time of removal
from use if not already marked.
[Marking of PCB—Contaminated
Transformers is not required];
(3) PCB Large High Voltage Capaci-
tors at the time of manufacture, at the
time of distribution in commerce if not
already marked, and at the time of re-
moval from use if not already marked;
(4) Equipment containing a PCB
Transformer or a PCB Large High
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3 PCB Regulations (40 CFR761)
Voltage Capacitor at the time of man-
ufacture, at the time of distribution in
commerce if not already marked, and
at the time of removal of the equip-
ment from use If not already marked;
(5) PCB Large Low Voltage Capaci-
tors at the time of removal from use:
(6) Electric motors using PCB cool-
ants (See also § 761.20(e)).
(7) Hydraulic systems using PCB hy-
draulic fluid (See also § 761.20(e));
(8) Heat transfer systems (other
than PCB Transformers) using PCBs
(See also § 761.20(e»:
(9) PCB Article Containers contain-
ing articles or equipment that must be
marked under provisions (1) through
(8) above;
(10) Each storage area used to store
PCBs and PCB Items for disposal.
(b) As of October 1. 1978, each trans-
port vehicle shall be marked on each
end and side with Mt as described in
Annex V—5 761.44(a) if it is loaded
with PCB Containers that contain
more than 45 kg (99.4 ibs.) of PCBs in
the liquid phase or with one or more
PCB Transformers (See also
§ 761.20(0).
(c) As of January 1. 1979. the follow-
ing PCB Articles shall be marked with
mark Mt as described in Annex V—
§ 761.44(a):
(1) All PCB Transformers not
marked under paragraph (a) of this
section (Marking of PCB-Cont.aiainat-
ed Transformers is not required):
(2) All PCB Large High Voltage Ca-
pacitors not marked under paragraph
(a) of this section
(i) wni be marked individually with
mark ML, or
(li) If one or more PCB Large High
Voltage Capacitors are installed in a
protected location such as on a power
pole, or structure, or behind a fence;
the pole, structure, or fence shall be
marked with mark ML. and a record or
procedure identifying the PCB Capaci-
tors shall be maintained by the owner
or operator at the protected location.
(d) As of January 1, 1979. all PCB
Equipment containing a PCB Small
Capacitor shall be marked at the time
of manufacture with the statement.
"This equipment contains PCB
Capacitors)". The mark shall be of
the same size as the mark ML.
(e) As of October 1. 1979, applicable
PCB Items in paragraphs (a)(l). (6).
(7), and (8) containing PCBs in con-
centrations of 50 to 500 ppm and ap-
plicable transport vehicles in para-
graph (b) loaded with PCB Containers
that contain more than 45 kg (99.4
IDS.) of liquid PCBs in concentrations
of 50 ppm to 500 ppm shall be marked
with mark ML as described in Annex
V—§761.44(a).
(f) Where mark ML is specified but
the PCB Article or PCB Equipment is
too small to accomodate the smallest
permissible size of mark) M,., mark M,
as described in Annex V—§ 761.44(b).
may be used Instead of mark M,..
(g) Each large low voltage capacitor.
each small capacitor normally used in
alternating current circuits, and each
fluorescent light ballast manufactured
("manufactured", for purposes of this
sentence, means built) between July 1,
1978 and July 1. 1998 that do not con-
tain PCBs shall be marked by the
manufacturer at the time of manufac-
ture with the statement. "No PCBs".
The mark shall be of similar durability
and readability as .other marking that
indicate electrical information, part
numbers, or the manufacturer's name.
For purposes of this subparagraph
marking requirement only is applica-
ble to items built domestically or
abroad after June 30. 1978.
(h) All marks required by this sub-
part must be placed in a position on
the exterior of the PCB Items or
transport vehicles so that the marks
can be easily read by any persons in-
specting or servicing the marked PCB
Items or transport vehicles.
(i) Any chemical substance or mix-
ture that is manufactured after the ef-
fective date of this rule and that con-
tains less than 500 ppm PCB (0.05% on
a dry weight basis), including PCB
that is a byproduct or impurity, must
be marked in accordance with any re-
quirements contained in the exemp-
tion granted by EPA to permit such
manufacture and is not subject to any
other requirement in this Subpart
unless so specified in the exemption.
This paragraph applies only to con-
tainers of chemical substances or mix-
tures. PCB articles and equipment into
which the chemical substances or mix-
tures are processed, are subject to the
marking requirements contained else-
where in this Subpart.
Subpart D—Manufacturing,
Processing, Distribution in Commerce,
and Use of PCBs and PCB Items
§ 761 JO Prohibition*.
Except as authorized in 5 761.31. the
activities listed in paragraphs (a) and
'd) of this section are prohibited pur-
suant to suction 6(c)(2) of TSCA. The
requirements set forth in paragraphs
(b) and (c) of this section concurnlnu
export and import of PCRs for pur-
poses of disposal and PC 15 Items for
purposes of disposal are established
pursuant to section 6(e)(l) of TSCA.
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3 PCB Regulations (40CFR761)
Subject to any exemptions granted
pursuant to section 8>
Administrator hereby finds, under t'
authority of section 12(a)(2) of TSCA,
that the manufacture, processing, and
distribution in commerce of PCBs and
PCB Items for export from the United
States presents an unreasonable risk
of injury to health within the United
States. This finding is based upon the
well-documented human health and
environmental hazard of PCB expo-
sure; the high probability of human
and environmental exposure to PCBs
and PCB Items from manufacturing.
processing, or distribution activities:
the potential hazard of PCB exposure
posed by the transportation of PCBs
or PCB Items within the United
States; and the evidence that contami-
nation of the environment by PCBs is
spread far beyond the areas where
they are used. In addition, the Admin-
istrator hereby finds that any expo-
sure of human beings or the environ-
ment to PCBs as measured or detected
by any scientifically acceptable analyt-
ical method is a significant exposure.
as defined in § 761.2(dd). Section
761.2(hh) and TSCA section 6(e)(2XC)
define the term totally enclosed
manner as "any manner which will
ensure that any exposure of human
beings or the environment to a poly-
chlorinated biphenyl will be insignifi-
cant. ..." Since any exposure to PCBs
is found to be a significant exposure, a
totally enclosed manner is a manner
that results in no exposure of humans
or the environment to PCBs. The fol-
lowing activities are considered totally
enclosed: distribution in commerce
and use (except servicing) of intact.
non-leaking PCB Transformers or
PCB-Contaminated Transformers
(except those used in railroad locomo-
tives or self-propelled cars); distribu-
tion in commerce and use (except serv-
icing) of intact, non-leaking PCB elec-
tromagnets: distribution in commerce
and use of intact, non-leaking PCB Ca-
pacitors: and processing, distribution
in commerce, and use of PCB Equip-
ment containing an intact, non-leaking
PCB Capacitor.
(a) No person may process, distrib-
ute in commerce, or use any PCB or
PCB Item in any manner other than
in a totally enclosed manner within
the United States or export any such
PCB or PCB Item from the United
States unless authorized under
8761.31 of this Subpart. Section
761.30(a) is superseded by § 761.30(c)
for processing and distribution in com-
merce of PCBs and PCB Items on the
dates when that section becomes effec-
tive.
(b) No person may manufacture
PCBs for use within the United States
or manufacture PCBs for export from
the United States without an exemp-
tion except that:
(1) PCBs or PCB Items may be im-
ported for purposes of disposal until
May 1. 1980, provided that the dispos-
al u> in accordance with § 761.10; and
(2) PCBs or PCB Items may be ex-
ported for disposal until May 1, 1980.
in accordance with the requirements
of $761.30(0(3).
(c) Effective July 1, 1979. no person
may process or distribute in commerce
any PCB or PCB Item for use within
the United States or for export from
the United States without an exemp-
tion except that:
(1) PCBs or PCB Items sold before
July 1. 1979, for purposes other than
resale may be distributed in commerce
only in a totally enclosed manner after
that date;
(2) PCBs or PCB Items may be proc-
essed and distributed in commerce in
compliance with the requirements of
this Part for purposes of disposal in
accordance with the requirements of
§761.10:
(3) PCBs or PCB Items may be ex-
ported for disposal until May 1. 1980.
if an expprt notice is submitted at
least thirty (30) days before the first
shipment in any calendar year leaves
the customs territory of the United
States. Export notices must be submit-
ted to the Document Control Officer
(TS-793), Office of Toxic Substances.
U.S. Environmental Protection
Agency, 401 M Street. 3.W., Washing-
ton, D.C. 20460. The generator of the
PCB waste material intended for dis-
posal, or an agent acting on his behalf,
must certify to the best of his knowl-
edge and belief that the information is
complete and accurate. Each notice
should contain the following informa-
tion:
(I) Name, company name, address,
and telephone number of the owner of
the PCB waste material to be exported
and the name and address of any
person or agent acting on his behalf:
(ii) Estimated quantity of wastes to
be shipped during the calendar year
and the estimated' number of ship-
ments to be made and the dates when
such shipments are expected to leave
the customs territory of the United
States;
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3 PCB Regulations (40 CFR 761)
(ill) Description of the PCBs or PCB
Items being exported;
dv) Country(s) of destination for the
shipments;
(v) Name and address of facility(s)
receiving the shipment and person(s)
responsible for receiving the
shtpment(s).
(vi) Method(s) of disposal and pre-
cautions taken to control release into
the environment.
(vii) No less than 30 days after the
end of each calendar quarter (March
31. June 30. September 30. and Decem-
ber 31) during which PCBs were ex-
ported for disposal, each person ex-
porting the PCBs must submit a
report to the Document Control Offi-
cer (TS-793). Office of Toxic Sub-
stances U.S. Environmental Protec-
tion Agency. 401 M Street, S.W..
Washington. D.C. 20460. The report
shall list the quantity of PCB wastes
in each shipment made during the
quarter and Include the date when
each shipment left the customs terri-
tory of the United States and the in-
formation specified in subparagraphs
(1) and (Hi) through (vi) above. If the
quantity of wastes shipped during the
calendar year exceeds by 25 percent or
more the estimated quantities report-
ed in (ii) above, a special export notice
must be submitted to the Document
Control Officer (TS-793) at the ad-
dress given in paragraph (3) at least 30
days before any additional shipments
leave the customs territory of the
United States and the notice shall in-
clude the information specified in
paragraphs (c)(3)(i) through (vi)
above.
(viil) Any person expecting to export
PCB wastes for disposal in calendar
year 1980 must submit an export
notice at least thirty (30) days before
the first shipment leaves the customs
territory of the United States to the
Document Control Officer (TS-793) at
the address given in paragraph (3).
and the notice shall contain the~lnfor~
mation listed in paragraphs (c)(3)(l)
through (vi).
(d) The use of waste oil that con-
tains any detectable concentration of
PCB as a sealant, coating, or dust con-
trol agent is prohibited. 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 preventatlve on pipes.
§ 761.31 Authorizations.
The following non-totally enclosed
PCB activities are authorized pursuant
to § 6(e)(2)(B) of TSCA:
(a) Servicing Transformers (Other
Than Railroad Transformers). PCBs
may be processed, distributed in com-
merce, and used for the purposes of
servicing including rebuilding trans-
formers (other than transformers for
railroad locomotives and self-propelled
railroad cars) in a manner other than
a totally enclosed manner until July 1.
1984, subject to the following condi-
tions:
(1) Regardless of its PCB concentra-
tion, dielectric fluids containing less
than SOO ppm PCB that are mixed
with fluids that contain SOO ppm or
greater PCB must not be used as di-
electric fluid in any transformer. Di-
electric fluid from PCB-Contaminated
Transformers may be assumed to have
less than 500 ppm PCBs.
(2) PCB-Contaminated Transform-
ers (as defined in § 761.2(z)) may only
be serviced (including rebuilding) with
dielectric fluid containing less than
500 ppm PCB.
(3) Any servicing (including rebuild-
ing) of PCB Transformers (as defined
in § 761.2(y)) that requires the removal
of the transformer coil from the trans-
former casing is prohibited. PCB
Transformers may be topped off with
PCB dielectric fluid.
(4) PCBs removed during servicing
of a PCB Transformer or PCB-Con-
taminated Transformer or during re-
building of a PCB-Contaminated
Transformer must be captured and
either reused as dielectric fluid or dis-
posed of in accordance with the re-
quirements of Subpart B. PCBs from
PCB Transformers must not be mixed
with or added to dielectric fluid from
PCB-Contaminated Transformers^
(5) A PCB Transformer may be con-
verted to a PCB-Contaminated Trans-
former by draining, refilling, and oth-
erwise servicing the transformer with
non-PCB dielectric fluid so that after
-a minimum of three months of in-serv-
ice use subsequent to the last servicing
conducted for the purpose of reducing
the PCB concentration in the trans-
former, the transformer's dielectric
fluid contains less than 500 ppm PCB
(on a dry weight basis).
(6) Any PCB dielectric fluid that is
on hand to service a PCB Transformer
or a PCB-Contaminated Transformer
must be stored in accordance with the
storage for disposal requirements of
Annex 111(5761.42).
(7) After July 1, 1979, processing and
distribution in commerce of PCBs for
purposes of servicing transformers is
permitted only for persons who are
granted an exemption under TSCA
section 6(e)(3KB).
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3 PCS Regulations (40 CFR 761)
(b) Use in and Servicing of Railroad
Transformers. PCBs may be used In
transformers in railroad locc m >tives
or railroad self-propelled can: ("rail-
road transformers") and may be proc-
essed and distributed in commerce for
purposes of servicing these transform-
ers in a manner other than a totally
enclosed manner until July 1, 1984.
subject to the following conditions:
(1) Use Restrictions:
(i) After January 1, 1982. use of rail-
road transformers that contain dielec-
tric fluids with a PCB concentration
greater than 60.000 ppm (6.0% on a
dry weight basis) is prohibited:
(il) After January 1. 1984, use of rail-
road transformers which contain di-
electric fluids with a PCB concentra-
tion greater than 1000 ppm (0.10% on
a dry weight basis) is prohibited;
(iii) The concentration of PCBs in
the dielectric fluid contained in rail-
road transformers must be measured:
(A) Immediately upon completion of
any authorized servicing of a railroad
transformer conducted for the pur-
pose of reducing the PCB concentra-
tion in the dielectric fluid in the trans-
former and
(B) Between 12 and 24 months after
each servicing conducted in accord-
ance with paragraph (bXIXiiiXA):
(C) The data obtained as a result of
paragraphs (b)(l)(iii)(A) and (B) above
shall be retained until January 1. 1991.
(2) Servicing Restrictions:
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3 PCB Regulations (40 CFR 761)
heat transfer fluid with 50 ppm or
greater PCB (0.005% on a dry weight
basis);
(4) Addition of PCBs to a heat trans-
fer system is prohibited.
(5) Data obtained as a result of para-
graph (dXl) must be retained for five
(5) years after the heat transfer
system reaches 50 ppm PCB;
(e) Use in Hydraulic Systems. PCBs
may be used in hydraulic systems and
may be processed and distributed in
commerce for purposes of filtering,
distilling, or otherwise reducing the
concentration of PCBs in hydraulic
fluids in a manner other than a totally
enclosed manner until July 1, 1984,
subject to the following conditions:
(1) Each person who owns a hydrau-
lic system that ever contained PCBs
must test for the concentration of
PCBs in the hydraulic fluid of each
such system no later than November 1.
1979, and at least annually thereafter.
All test sampling must be performed
at least three months after the most
recent fluid refilling. When a test
shows that the PCB concentration is
less than 50 ppm, testing under this
subparagraph is no longer required;
(2) Within six (6) months of a test
under paragraph (e)(l) that indicates
that a system's fluid contains 50 ppm
or 'greater PCB (0.005% on a dry
weight basis), the system must be
drained of the PCBs and refilled with
fluid containing less than 50 ppm
PCB. Topping-off with non-PCB hy-
draulic fluids to reduce PCB concen-
trations is permitted:
(3) Addition of PCBs to a hydraulic
system is prohibited;
(4) Hydraulic fluid may be drained
from a hydraulic system and filtered,
distilled, or otherwise serviced in order
to reduce the PCB concentration
below 50 ppm:
(5) After July 1. 1979, processing and
distribution in commerce of PCBs for
purposes of servicing hydraulic sys-
tems is permitted only for persons
who are granted an exemption under
TSCA section 6(e)(3)(B);
(6) Data obtained as a result of para-
graph (e)(l) above must be retained
for five years after the hydraulic
system reaches 50 ppm.
(f) Use in Carbonless Copy Paper.
Carbonless copy paper containing
PCBs may be used in a manner other
than a totally enclosed manner indefi-
nitely.
(g) Pigments. Diarylide and Phthalo-
cyanin pigments that contain 50 ppm
or greater PCB may be processed, dis-
tributed in commerce, and used in a
manner other than a totally enclosed
manner until January 1. 1982. except
that after July 1. 1979, processing and
distribution in commerce of diarylide
or phthalocyanin pigments that con-
tain 50 ppm or greater PCB is permit-
ted only for persons who are granted
an exemption under TSCA section
6(e)(3)(B).
(h) Servicing Electromagnets. PCBs
may be processed, distributed in com-
merce, and used for the purpose of
servicing electromagnets until July 1.
1984, in a manner other than a totally
enclosed manner subject to the follow-
ing requirements:
(1) PCBs removed during servicing
must be captured and either returned
to the electromagnet, reused as a di-
electric fluid, or disposed of in accord-
ance with Subpart B (§ 761.10);
(2) Servicing of PCB electromagnets
(including rebuilding) which requires
the removal of the coil from the
casing is prohibited.
(3) Any PCBs that are on hand to
service a PCB electromagnet must be
stored in accordance with the storage
for disposal requirements of Annex III
(§761.42);
(4) After July 1, 1979. processing and
distribution in commerce of PCBs for
purposes of ser/icing electromagnets is
permitted only for persons who are
granted an exemption under TSCA
section d(e)(3)(BV
(I) Use in Natural Gas Pipeline Com-
pressors. PCBs may be used in natural
gas pipeline compressors until May 1,
1980, in a manner other than a totally
enclosed manner.
(j) Small Quantities for Research
and Development. PCBs may be proc-
essed, distributed in commerce, and
used in small quantities for research
and development, as defined in
I 760.2(ee). in a manner other than a
totally enclosed manner until July 1.
1984, except that after July 1, 1979,
processing and distribution in com-
merce of PCBs in small quantities for
research and development is permitted
only for persons who have been grant-
ed an exemption under TSCA section
6(e)(3)(B).
(k) Microscopy Mounting Medium.
PCBs may be processed, distributed in
commerce, and used as a mounting
medium in microscopy in a manner
other than a tocally enclosed manner
until July I, 1984. except that after
July I. 1979. processing and distribu-
tion in commerce of PCBs for pur-
poses of use as a mounting medium in
microscopy are permitted only for per-
sons who are granted an exemption
under TSCA section 6(e)(3)(B).
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3 PCB Regulations (40 CFR 761)
Subpart E—List of Annexe*
ANNEX I
§761.40 Incineration.
(a) Liquid PCBa. An Incinerator used
for Incinerating PCBs shall be ap-
proved by the Agency Regional Ad-
ministrator pursuant to paragraph (d)
of this section. The Incinerator shall
meet all of the requirements specified
in paragraph (aXI) through (9) of this
section, unless a waiver from these re-
quirements is obtained pursuant to
paragraph (d)(5) of this section. In ad-
dition, the Incinerator shall meet any
other requirements which may be pre-
scribed pursuant to paragraph (d)(4)
of this section.
(1) Combustion criteria shall be
either of the following:
(I) Maintenance of the introduced
liquids for a 2-second dwell time at
1200*C(±100*C) and 3 percent excess
oxygen in the stack gas; or
(ii) Maintenance of the introduced
liquids for a 1W second dwell time at
1600'C(±100'C) and 2 percent excess
oxygen in the stack gas.
(2) Combustion efficiency shall be at
least 99.9 percent computed as follows:
Combustion efficiency =
Ceo,/Ceo, -r Ceo * too
where
Ceo,-Concentration of carbon dioxide.
Ceo-Concentration of carbon monoxide.
(3) The rate and quantity of PCBs
which are fed to the combustion
system shall be measured and record-
ed at regular intervals of no longer
than 15 minutes.
(4) The temperatures of the inciner-
ation process shall be continuously
measured and recorded. The combus-
tion temperature of the incineration
process shall be based on either direct
(pyrometer) or indirect (wall thermo-
couple-pyrometer correlation) tem-
perature readings.
(5) The flow of PCBs to the inciner-
ator shall stop automatically when-
ever the combustion temperature
drops below the temperatures sped-
f'ed '.R paragraph (aXP of this section.
(6) Monitoring of stack emission
products shall be conducted:
(i) When an incinerator is first used
for the disposal of PCBs under the
provisions of this regulation:
(ii) When an incinerator is first used
for the disposal of PCBs after the in-
cinerator has been modified in a
manner which may affect the charac-
teristics of the stack emission prod-
ucts; and
(ill) At a minimum such monitoring
shall be conducted for the following
parameters: (a)O,; (b) CO; (c) CO,; (d)
Oxides of Nitrogen (NO,); (e) Hydro-
chloric Acid (HC1); (f) Total Chlorinat-
ed Organic Content (RC1); (g) PCBs;
and (h) Total Particulate Matter.
(7) At a minimum monitoring and
recording of combustion products and
Incineration operations shall be con-
ducted for the following parameters
whenever the incinerator Is incinerat-
ing PCBs; (i) O,; (ii) CO: and (iii) CO,.
The monitoring for O, and CO shall be
continuous. The monitoring for CO,
shall be periodic, at a frequency speci-
fied by the Regional Administrator.
(8) The flow of PCBs to the inciner-
ator shall stop automatically when
any one or more of the following con-
ditions occur unless a contingency
plan is submitted by the incinerator
owner or operator and approved by
the Regional Administrator and the
contingency plan indicates what alter-
native measures the incinerator owner
or operator would take if any of the
following conditions occur:
(i) Failure of monitoring operations
specified in paragraph (a)(7) of this
section:
(ii) Failure of the PCB rate and
quantity measuring and recording
equipment specified in paragraph
(a)(3) of this section; or
(iii) Excess oxygen falls below the
percentage specified in paragraph
(a)(l) of this section.
(9) Water scrubbers shall be used for
HC1 control during PCB incineration
and shall meet any performance re-
quirements specified by the appropri-
ate EPA Regional Administrator.
Scrubber effluent shall be monitored
and shall comply with applicable efflu-
ent or pretreatment standards, and
any other State and Federal laws and
regulations. AT. a!ten*.a'.e rr.ii'.r.vi of
HC1 control may be used if the alter-
nate method has been approved by the
Regional Administrator. (The HC1
neutralizing capability of cement kilns
Is considered to be an alternate
method.)
(b) Non-liquid PCBs. An incinerator
used for incinerating non-liquid PCBs,
PCB Articles, PCB Equipment, or PCB
Containers shall be approved by the
Agency Regional Administrator pursu-
ant to paragraph (d) of this section.
The incinerator shall meet all of the
requirements specified in paragraphs
(b)(l) and (2) of .this section unless a
waiver from these requirements is ob-
tained pursuant to paragraph (d)(5) of
this section. In addition, the inciner-
ator shall meet any other require-
ments that may be prescribed pursu-
ant to paragraph (d)(4) of this section.
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3 PCB Regulations (40 CFR 761)
(1) The mass air emissions from the
Incinerator shall be no greater than
0.00 Ig PCB/kg of the PCB introduced
Into the incinerator.
(2) The incinerator shall comply
with the provisions of § 761.40(a)(2),
(3). (4). (6), (7). (8X1) and (ii), and (9).
(c) Maintenance of data and records.
All data and records required by this
section shall be maintained in accord-
ance with Annex VI—5 761.45, Records
and Monitoring.
(d) Approval of incinerators. Prior to
the incineration of PCBs and PCB
Items the owner or operator of an in-
cinerator shall receive the written ap-
proval of the Agency Regional Admin-
istrator for the Region in which the
incinerator is located. Such approval
shall be obtained in the following
manner:
(1) Initial Report. The owner or op-
erator shall submit to the Regional ad-
ministrator an initial report which
contains:
(i) The location of the incinerator.
(ii) A detailed description of the in-
cinerator including general site plans
and design drawings of the inciner-
ator
(ili) Engineering reports or other in-
formation on the anticipated perform-
ance of the incinerator
(iv) Sampling and monitoring equip-
ment and facilities available;
(v) Waste volumes expected to be in-
cinerated;
(vi) Any local. State, or Federal per-
mits or approvals; and
(vil) Schedules and plans for comply-
ing with the approval requirements of
this regulation.
(2) Trial burn, (i) Following receipt
of the report described in paragraph
(dXl) of this section, the Regional Ad-
ministrator 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. The Regional Ad-
ministrator may require the submis-
sion of any other information that the
Regional Administrator finds to be
reasonably necessary to determine the
need for a trial burn. Such other infor-
mation shall be restricted to the types
of information required in paragraph
(dXIXi) through (IXvii) of this sec-
tion.
(ii) If the Regional Administrator
determines that a trial burn .Dust be
held, the person who submitted the
report described in paragraph (dXl) of
this section shall submit to the Re-
gional Administrator a detailed plan
for conducting and monitoring the
trial burn. At a minimum the plan
must include:
(A) Date trial burn is to be conduct-
ed;
(B) Quantity and type of PCBs and
PCB Items to be incinerated;
(C) Parameters to be monitored and
location of sampling points;
(D) Sampling frequency and meth-
ods and schedules for sample analyses;
and
(E) Name, address, and qualifica-
tions of persons who will review ana-
lytical results and other pertinent
data, and who will perform a technical
evaluation of the effectiveness of the
trial burn.
(iii) Following receipt of the plan de-
scribed in paragraph (d)(2)(ii) of this
section, the Regional Administrator
will approve the plan, require addi-
tions or modifications to the plan, or
disapprove the plan. If the plan is dis-
approved, the Regional Administrator
will notify the person who submitted
the plan of such disapproval, together
with the reasons why it is disapproved.
That person may thereafter submit a
new plan in accordance with para-
graph (d)(2)(ii) of_this section. If the
pilan is approved (with any additions
or modifications which the Regional
Administrator may Prescribe), the Re-
gional Administrator will notify the
person who submitted the plan of the
approval. Thereafter the trial burn
shall take place at a date and time to
be agreed upon between the Regional
Administrator and the persons who
submitted the plan.
(3) Other information. In addition to
the information contained in the
report and plan described in para-
graphs (dXl) and (2) of this section,
the Regional Administrator may re-
quire the owner or operator to submit
any other information that the Re-
gional Administrator finds to be rea-
sonably necessary to determine wheth-
er an incinerator shall be approved. '
NOTE.—The Regional Administrator will
have available for review and inspection an
Agency manual containing information on
sampling methods and analytical procedures
for the parameters required in
i 781.40(a>(3), (4). (6). and (7) plus any other
parameters he may determine to be appro-
priate. Owners or operators are encouraged
to review this manual prior to submitting
any report required in this Annex.
(4) Contents of Approval, (i) Except
as provided in paragraph (d)(5) of this
section, the Regional Administrator
may not approve an incinerator for
the disposal of PCB and PCB Items
unless he finds that the incinerator
meets all of the requirements of para-
graphs (a) and/or (b) of this section.
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3 PCB Regulations (40 CFR 761)
(ii) In addition to the requirements
of paragraphs (a) and/or (b) of this
section, the Regional Administrator
may include in an approval any other
requirements that the Regional Ad-
ministrator finds are necessary to
ensure that operation of the inciner-
ator does not present an unreasonable
risk of injury to health or the environ-
ment from PCBs. Such requirements
may include a fixed period of time for
which the approval is valid.
(5) Waivers. An owner or operator of
the incinerator may submit evidence
to the Regional Administrator that op-
eration of the incinerator will not
present an unreasonable risk of injury
to health or the environment from
PCBs, when one or more of the re-
quirements of paragraphs (a) and/or
(b) of this section are not met. On the
basis of such evidence and any other
available information, the Regional
Administrator may In his discretion
find that any requirement of para-
graph (a) and (b) is not necessary to
protect against such a risk, and may
waive the requirements in any approv-
al for that incinerator. Any finding
and waiver under this subparagraph
must be stated in writing and included
as part of the approval.
(6) Persons Approved. An approval
will designate the persons who own
and who are authorized to operate the
incinerator, and will apply only to
such persons, except as provided in
paragraph (8) below.
(7) Final Approval. Approval of an
incinerator will be in writing and
signed by the Regional Administrator.
The approval will state all require-
ments applicable to the approved in-
cinerator.
(8) Transfer of Property. Any person
who owns or operates an approved in-
cinerator must notify 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. The trans-
feror must also submit to EPA, at least
30 days before such transfer, a nota-
rized affidavit signed by the transferee
which states that the transferee will
abide by the transferor's EPA Inciner-
ator approval. Within 30 days of re-
ceiving such notification and affidavit.
EPA will issue an amended approval
substituting the transferee's name for
the transferor's name, or EPA may re-
quire the transferee to apply for a new
incinerator approval. In the latter
case, the transferee must abide by the
transferor's EPA approval until EPA
issues the new approval to the trans-
feree.
ANNEX II
§761.41 Chemical wHHte landfills.
(a) General. A chemical waste land-
fill used for the disposal of PCBs and
PCB Items shall be approved by the
Agency Regional Administrator pursu-
ant to paragraph (c) of this section.
The landfill shall meet all of the re-
quirements specified in paragraph (b)
of this section, unless a waiver from
these requirements is obtained pursu-^
ant to paragraph (c)(4) of this section?
In addition, the landfill shall meet any
other requirements that may be pre-
scribed pursuant to paragraph (c)(3)
of this section.
(b) Technical Requirements. Re-
quirements for chemical waste land-
fills used for the disposal of PCBs and
PCB Items are as follows:
(1) Soils. The landfill site shall be lo-
cated 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 con-
tent with the following parameters:
(i) In-place soil thickness, 4 feet or
compacted soil liner thickness. 3 feet;
(ii) Permeability (cm/sec), equal to
or less than 1x10"';
(iii) Percent soil passing No. 200
Sieve, >30;
(iv) Liquid Limit. >30; and
(v) Plasticity Index > 15.
(2) Synthetic Membrane Liners. Syn-
thetic membrane liners shall be used
when, in the judgment of the Regional
Administrator, the hydroJogic or geo-
logic conditions at the landfill require
such a liner in order to provide at least
a permeability equivalent to the soils
in (1) above. Whenever a synthetic
liner is used at a landfill site, special
precautions shall be taken to insure
that its integrity is maintained and
that it is chemically compatible with
PCBs. Adequate soil underlining and
soil cover shall be provided to prevent
excessive stress on the liner and to
prevent rupture of the liner. The liner
must have a minimum thickness of 30
mils.
(3) Hydrologic Conditions. The
bottom of the landfill shall be above
the historical high groundwater table
<\s provided below. Ploodplains, shore-
lands, and groundwater recharge areas
shall be avoided. There shall be no hy-
draulic connection between the site
and standing or flowing surface water.
Tho site shall have monitoring wells
and leachate collection. The bottom of
the landfill liner system or natural in-
place soil barrier shall be at least fifty
feet from the historical high water
table.
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(4) Flood Protection, (i) If the land-
fill site is below the 100-year floodwa-
ter elevation, the operator shall pro-
vide surface water diversion dikes
around the perimeter of the landfill
site with a minimum height equal to
two feet above the 100-year floodwater
elevation.
(li) If the landfill site is above the
100-year floodwater elevation, the op-
erators shall provide diversion struc-
tures capable of diverting all of the
surface water runoff from a 24-hour.
25-year storm.
(5) Topography. The landfill site
shall be located In an area of low to
moderate relief to minimize erosion
and to help prevent landslides or
slumping.
(6) Monitoring Systems, (i) Water
Sampling. (A) For all sites receiving
PCBs, the ground and surface water
from the disposal site area shall be
sampled prior to commencing oper-
ations under an approval provided in
i 761.4KO for use as baseline data.
(B) Any surface watercourse desig-
nated by the Regional Administrator
using the authority provided in
§781.41(0(3X11) shall be sampled at
least monthly when the landfill Is
being used for disposal operations.
(C) Any surfpce watercourse desig-
nated by the Regional Administrator
using the authority provided in
§ 761.41(0(3X11) shall be sampled for a
time period specified by the Regional
Administrator on a frequency of no
less than once every six months after
final closure of the disposal area.
(11) Ground-water Monitor Wells. (A)
If underlying earth materials are ho-
mogenous, impermeable, and uniform-
ly sloping in one direction, only three
sampling points shall be necessary.
These three points shall be equally
spaced on a line through the center of
the disposal area and extending from
the area of highest water table eleva-
tion to the area of the lowest water
table elevation on the property.
(B) All monitor wells shall be cased
and the annular space between the
monitor zone (/.one of saturation) and
the surface shall be completely back-
filled 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 sur-
face shall have a removable cap to pro-
vide access and to prevent entrance of
rainfall or stormwater runoff. The
well shall be pumped to remove the
volume of liquid initially contained in
the well before obtaining a sample for
analysis. The discharge shall be treat-
ed to meet applicable State or Federal
discharge standards or recycled to the
chemical waste landfill.
(iii) Water Analysis. As a minimum,
all samples shall be analyzed for the
following parameters, and all data and
records of the sampling and analysis
shall be maintained as required in
Annex VI—§ 761.45(d)(l). Sampling
methods and analytical procedures for
these parameters shall comply with
those specified in 40 CFR Part 136 as
amended in 41 PR 52779 on December
1. 1976.
(A) PCBs.
(B) pH.
(C) Specific Conductance.
(D> Chlorinated Organics.
(7) Leachate Collection. A leachate
collection monitoring system shall be
installed above the chemical waste
landfill. Leachate collection systems
shall be monitored monthly for quan-
tity and physicochemical characteris-
tics of leachate produced. The lea-
chate should be either treated to ac-
ceptable limits for discharge in accord-
ance with a State or Federal permit or
disposed of by another State or Feder-
ally approved method. Water analysis
shall be conducted as provided in sub-
paragraph (6) (iii) of this paragraph.
Acceptable leachate monitoring/col-
lection systems shall be any of the fol-
lowing designs, unless a waiver is ob-
tained pursuant to paragraph (c)(4) of
this section.
(i) Simple Leachate Collection. This
system consists of a gravity flow drain-
field installed above the waste disposal
facility liner. This design is recom-
mended for use when semi-solid or
leachable solid wastes are placed in a
lined pit excavated into a relatively
thick.' unsaturated, homogenous layer
of low permeability soil.
(ii) Compound Leachate Collection.
This system consists of a gravity flow
drainfield installed above the waste
disposal facility liner and above a sec-
ondary installed liner. This design is
recommended for use when semi-liquid
or leachable solid wastes are placed in
a lined pit excavated into relatively
_ permeable soil.
(ii) Suction Lysimeters. This system
consists of a network of porous ceram-
ic cups connected by hoses/tubing to a
vacuum pump. The porous ceramic
cups or suction lysimeters are installed
along the sides and under the bottom
of the waste disposal facility liner.
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This type of system works best when
installed in a relatively permeable un-
saturated soil immediately adjacent to
the bottom and/or sides of the dispos-
al facility.
(8) Chemical Waste Landfill Oper-
ations, (i) PCBs and PCB Items shall
be placed in a landfill in a manner
that will prevent damage to containers
or articles. Other wastes placed in the
landfill that are not chemically com-
patible with PCBs and PCB Items in-
cluding organic solvents shall be segre-
gated from the PCBs throughout the
waste handling and disposal process.
(ii) An operation plan shall be devel-
oped and submitted to the Regional
Administrator for approval as required
in paragraph (c) of this section. This
plan shall include detailed explana-
tions 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 sys-
tems, sampling, and monitoring proce-
dures, monitoring wells, environmen-
tal emergency contingency plans, and
security measures to protect against
vandalism and unauthorized waste
placements. EPA guidelines entitled
"Thermal Processing and Land Dispos-
al of Solid Waste" 439 FR 20337.
August 14, 1974) are a useful reference
in preparation of this plan: If the fa-
cility is to be used to dispose of liquid
wastes containing between 50 ppm and
500 ppm PCB, the operations plan
must include procedures to determine
that liquid PCBs to be disposed of at
the landfill do not exceed 500 ppm
PCB and meaures to prevent the mi-
gration of PCBs from the landfill.
Bulk liquids not exceeding 500 ppm
PCBs may be disposed of provided
such waste is pretreated and/or stabi-
lized (e.g., chemically fixed, evaporat-
ed, mixed with dry inert absorbant) to
reduce its liquid content or increase its
solid content so that a non-flowing
consistency_Js Achieved to eliminate
the presence' of free liquids prior to
final disposal in a landfill. PCB Con-
tainer of liquid PCBs with a concen-
tration between 50 and 500 ppm PCB
may be disposed of if each container is
surrounded by an amount of inert sor-
bant material capable of absorbing all
of the liquid contents of the container.
(iii) Ignitable wastes shall not be dis-
posed of tn chemical waste landfills.
Liquid ignitable wastes are wastes that
have a flash point less than 60 degrees
C (140 degrees P) as determined by the
following method or an equivalent
method: Flash point of liquids shall be
determined by a Pensky-Martens
Closed Cup Tester, using the protocol
specified in ASTM Standard D-93, or
the Setaflash Closed Tester using the
protocol specified in ASTM Standard
D-3278.
(iv) Records shall be maintained for
all PCB disposal operations and shall
include information on the PCB con-
centration in liquid wastes and the
three dimensional burial coordinates
for PCBs and PCB Items. Additional
records shall be developed and main-
tained as required in Annex VI.
(9) Supporting Facilities, (i) A six
foot woven mesh fence, wall, or similar
device shall be placed around the site
to prevent unauthorized persons and
animals from entering.
(ii) Roads shall be maintained to and
within the 'site which are adequate to
support the operation and mainte-
nance of the site without causing
safety or nuisance problems or hazard-
ous conditions.
(iii) The site shall be operated and
maintained in a manner to prevent
safety problems or hazardous condi-
tions resulting from spilled liquids and
windblown materials.
(c) Approval of Chemical Waste
Landfills. Prior to the disposal of any
PCBs and PCB Items in a chemical
waste landfill, the owner or operator
of the landfill shall receive written ap-
proval of the Agency Regional Admin-
istrator for the Region in which the
landfill is located. The approval shall
be obtained in the following manner:
(1) Initial Report The owner or op-
' erator shall submit to the Regional
Administrator an initial report which
contains:
(i) The location of the landfill:
(ii) A detailed description of the
landfill including general site plans
and design drawings;
(Hi) An engineering report describing
the manner is which the landfill com-
piles with the requirements for chemi-
cal waste landfills specified in para-
graph (b) of this section;
(iv) Sampling and monitoring equip-
ment and facilities available;
(v) Expected waste volumes of PCBs;
(vi) General description of waste ma-
terials other than PCBs that are ex-
pected to be disposed of in the landfill;
(vii) Landfill operations plan as re-
quired in paragraph (b) of this section;
(viii) Any local. State, or Federal
permits or approvals; and
(ix) Any schedules or plans for com-
plying with the approval requirements
of these regulations.
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(2) Other Information. In addition to
the information contained in the
report described in paragraph (cXl) of
this section, the Regional Administra-
tor may require the owner or operator
to submit any other information that
the Regional Administrator finds to be
reasonably necessary to determine
whether a chemical waste landfil'
should be approved. Such other infoi-
mation shall be restricted to the types
of information required in paragraphs
(c)(l)(i) through (cXIXix) of this sec-
tion.
(3) Contents of Approval, (i) Except
as provided in paragraph (c)(4) of this
section the Regional Administrator
may not approve a chemical waste
landfill for the disposal of PCBs and
PCB Items, unless he finds that the
landfill meets all of the requirements
of paragraph (b) of this Annex.
(ii) In addition to the requirements
of paragraph (b) of this section, the
Regional Administrator may include
in an approval any other requirements
or provisions that the Regional Ad-
ministrator rinds are necessary to
ensure that operation of the chemical
waste landfill does not present an un-
reasonable risk of injury to health or
the environment from PCBs. Such
provisions may include a fixed period
of time for which the approval is valid.
The approval may also include a
stipulation that the operator of the
chemical waste landfill report to the
Regional Administrator any instance
when PCBs are detectable during
monitoring activities conducted pursu-
ant to paragraph (b)(6) of this section.
(4) Waivers. An owner or operator of
a chemical waste landfill may submit
evidence to the Regional Administra-
tor that operation of the landfill will
not present an unreasonable risk of
injury to health or the environment
from PCBs when one or more of the
requirements of paragraph (b) of this
section are not met. On the basis of
such evidence and any other available
information, the Regional Administra-
tor may in his discretion find that one
or more of the requirements of
5 761.4Kb) is not necessary to protect
against such a risk and may waive the
requirements in any approval for that
landfill. Any finding and waiver under
this paragraph will be stated in writ-
ing and included as part of the approv-
al.
(5) Persona Approved. Any approval
will designate the persons who own
and who are authorised to operate the
chemical waste landfill, and will apply
only to such persons, except as pro-
vided by paragraph (c)<7) below.
(6) Final Approval. Approval of a
chemical waste landfill will be in writ-
ing and will be signed by the Regional
Administrator. The approval will state
all requirements applicable to the ap-
proved landfill'.
(7) Transfer of Property. Any person
who owns or operates an approved
chemical waste landfill must notify
EPA at least 30 days before transfer-
ring ownership in the property or
transferring the right to conduct the
chemical waste landfill operation. The
transferor must also submit to EPA. at
least 30 days before such transfer, a
notarized affidavit signed by the trans-
feree which states that the transferee
will abide by the transferor's EPA
chemical waste landfill approval.
Within 30 days of receiving such noti-
fication and affidavit. EPA will issue
an amended approval substituting the
transferee's name for the transferor's
name, or EPA may require the trans-
feree to apply for a new chemical
waste landfill approval. In the latter
case, the transferee must abide by the
transferor's EPA approval until EPA
issues the new approval to the trans-
feree.
ANNEX III
§ 761.42 Storage for disposal.
(a) Any PCB Article or PCB Con-
tainer stored for disposal before Janu-
ary 1. 1983, shall be removed from
storage and disposed of as required by
this Part before January 1. 1984. Any
PCB Article or PCB Container stored
for disposal after January 1. 1983,
shall be removed from storage and dis-
posed of as required by Subpart B
within one year from the date when it
was first placed into storage.
(b) Except as provided in paragraph
(c) of this section, after July 1, 1978,
owners or operators of any facilities
used for the stora ge of PCBs and PCB
Items designated for disposal shall
comply with the following require-
ments:
(1) The facilities shall meet the fol-
lowing criteria:
(i) Adequate roof and walls to pre-
vent rain water from reaching the
stored PCBs and PCB Items;
(li) An adequate floor which has con-
tinuous curbing with a minimum six
inch high curb. The floor and curbing
must provide a containment volume
equal to at least two times the internal
volume of the largest PCB Article or
PCB Container stored therein or 25
percent of the total Internal volume of
all PCB Articles or PCB Containers
stored therein, whichever is greater:
TSCA Inspection Manual
Volume Two: PCB Manual
March 1 981
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3 PCS Regulations 140 CFR 761)
(iii) No drain valves, floor drains, ex-
pansion Joints, sewer lines, or other
openings that would permit liquids to
flow from the curbed area;
(iv) Floors and curbing constructed
of continuous smooth and impervious
materials, such as Portland cement
concrete or steel, to prevent or mini-
mize penetration of PCBs: and
(v) Not located at a site that is below
the 100-year flood water elevation.
(cXl) The following PCS Items may
be stored temporarily in an area that
does not comply with the require-
ment^ of paragraph (b) for up to
thirty days from the date of their re-
moval from service, provided that &
notation is attached to the PCB Item
or a PCB Container (containing the
item) indicating the date the item was
removed from service:
(i) Non-leaking PCB Articles and
PCB Equipment;
(ii) Leaking PCB Articles and PCB
Equipment if the PCB Items are
placed in a non-leaking PCB Container
that contains sufficient sorbent mate-
rials to absorb any liquid PCBs re-
maining in the PCB Items:
(iii) PCB Containers containing non-
liquid PCBs such as contaminated soil.
rags, and debris: and
(iv) PCB Containers containing
liquid PCBs at a concentration be-
tween 50 and 500 ppm, provided a Spill
Prevention, Control and Countermeas-
ure Plan has been prepared for the
temporary storage area in accordance
with 40 CFR 112. In addition, each
container must bear a notation that
indicates that the liquids in the drum
do not exceed 500 ppm PCB.
(2) Non-leaking and structurally un-
damaged PCB Large High Voltage Ca-
pacitors and PCB-Contaminated
Transformers that have not • been
drained of free flowing dielectric fluid
may be stored on pallets next to a
storage facility that meets the require-
ments of paragraph (b) until January
1, 1983. PCB-Contaminated Trans-
formers that have been drained of free
flowing dielectric fluid are not subject
to the storage provisions of Annex III.
Storage under this subparagraph will
be permitted only when the storage fa-
cility has immediately available un-
filled storage space equal to 10 percent
of the volume of capacitors and trans-
formers stored outside the facility.
The capacitors and transformers tem-
porarily stored outside the facility
shall be checked for leaks weekly.
(3) Any storage area subject to the
requirements of paragraph (b) or para-
graph (cXl) of this section shall be
marked as required in Subpart C—
S 761.20(a)(10).
(4) No item of movable equipment
that is used for handling PCBs and
PCB Items in the storage facilities and
that comes in direct contact with
PCBs shall be removed from the stor-
age facility area unless it has been de-
contaminated as specified in Annex
IV, § 761.43.
(5) All PCB Articles and PCB Con-
tainers in storage shall be checked for
leaks at least once every 30 days. Any
leaking PCB Articles and PCB Con-
tainers and their contents shall be
transferred immediately to properly
marked non-leaking containers. Any
spilled or leaked materials shall be im-
mediately cleaned up. using sorbents
or other adequate means, and the
PCB-contaminated materials and resi-
dues shall be disposed of in accordance
with |761.10(a)(4).
(6) Except as provided in paragraph
(c)<7) below, any container used for
the storage of liquid PCBs shall
comply with the Shipping Container
Specification of the Department of
Transportation (DOT), 49 CPR 178.80
(Specification 5 container without re-
movable head), 178.82 (Specification
5B container without removable
head). 178.102 (Specification 6D over-
pack with Specification 2S(§ 178.35) or
2SL( § 178.35a) polyethylene contain-
ers) or 178.116 (Specification 17E con-
tainer). Any container used for the
storage of non-liquid PCBs shall
comply with the specifications of 49
CFR 173.80 (Specification 5 contain-
er), 173.82 (Specification 5B container)
or 178.115 (Specification 17C contain-
er). As an alternate, containers larger
than those specified in DOT Specifica-
tions 5, SB. or 17C may be used for
non-liquid PCBs if the containers are
designed and constructed in a manner
that will provide as much protection
against leaking and exposure to the
environment as the DOT Specification
containers, and are of the same rela-
tive strength and durability as the
DOT Specification containers.
(7) Storage containers for liquid
PCBs can be larger than the contain-
ers specified in (8) above provided
that:
(i) The containers are designed, con-
structed, and operated in compliance
with Occupational Safety and Health
Standards, 29 CFR 1910.106. Flamma-
ble and combiistible liquids. Before
using1 these containers for storing
PCBs, the design of the containers
must' be reviewed to determine the
effect, on the structural safety of the
containers that will result from plac-
ing liquids with the specific gravity of
PCBs into the containers (see 29 CFR
TSCA Inspection Manual
Volume Two: PCB Manual
1-31
March 1981
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3 PCB Regulations (40 CFR 761)
(ii) The owners or operators of any
facility using containers described in
(i) above shall prepare and implement
a Spill Prevention Control and Coun-
termeasure (SPCC) Plan as described
In 40 CFR 112. In complying with 40
CFR 112, the owner or operator shall
read "oiKs)" as "PCB(s)" whenever It
appears. The exemptions for storage
capacity. 40 CFR 112:l(d><2>, and the
amendment of SPCC plans by the Re-
gional Administrator. 40 CFR 112.4.
shall not apply unless some fraction of
the liquids stored In the container are
oils as defined by section 311 of the
Clean Water Act.
(8) PCB Articles and PCB Contain-
ers shall be dated on the article or
container when they are placed In
storage. The storage shall be managed
so that the PCB Articles and PCB
Containers can be located by the date
they entered storage. Storage contain-
ers provided in paragraph (c)(7) above
shall have a record that includes for
each batch of PCBs the Quantity of
the batch and date the batch was
added to the container. The record
shall also Include the date, quantity.
and disposition of any batch of PCBs
removed from the container.
(9) Owners or operators of storage
facilities shall establish and maintain
records as provided in Annex VI.
5 761.43 Decontamination.
(a) A"v PCB Container to be decon-
taminate '. shall be decontaminated by
flushing ihe Internal surfaces of the
container three times with a solvent
containing less than SO ppm PCB. The
solubility of PCBs in the solvent must
be five percent or more by weight.
E*ch rinse shall use a volume of the
normal diluent equal to approximately
ten (10) percent of the PCB Container
capacity. The solvent may be reused
for decontamination until it contains
SO ppm PCB. The solvent shall then
be disposed of as a PCB in accordance
wjth i 761 J0(a). Non-liquid PCBs re-
sulting from the decontamination pro-
cedures shall be disposed of in accord-
ance with the provisions of
} 761.10UX4).
(b) Movable equipment used in stor-
age areas shall be decontaminated by
swabbing surfaces that have contacted
PCBs with a solvent meeting the crite-
ria of paragraph (a) of this section.
NOT*.— Precautionary measure* should be
taken to ensure that the solvent meeU
safety and health standard* u required t>y
applicable Federal regulation!.
AMlflQC V
§ 781.44 Marking format*.
The following formats shall be used
for marking:
(a) Large PCB Mark—Mt. Mark Mt
shall be as shown in Figure 1, letters
and striping on a white or yellow back-
ground and shall be sufficiently dura-
ble to equal or exceed the life (includ-
ing storage for disposal) of the PCB
Article. PCB Equipment, or PCB Con-
tainer. The size of the mark shall be at
least 15.25 cm (rt inches) on each side.
If the PCB Article or PCB Equipment
is too small to accommodate this size,
the mark may be reduced in size pro-
portionately down to a.minimum of 5
cm (2 inches) on each side.
(b) Small PCB Mark-M,. Mark M.
shall be as shown in Figure 2. letters
and striping on a white or yellow back-
ground, and shall be sufficiently dura-
ble to equal or exceed the life (includ-
ing storage for disposal) of the PCB
Article. PCB Equipment, or PCB Con-
tainer. The mark shall be a rectangle
2.5 by 5 cm (1 inch by 2 inches). If the
PCB Article or PCB Equipment is too
small to accommodate this size; the
mark may be. reduced in size propor-
tionately down to a minimum of 1 by 2
cm (.4 by .8 inches).
CAUTION
CONTNNS
PCBs
[
A A foric nwiroomeniol cor»
-------
3 PCB
ANNEX VI
§ 761.45 Records and monitoring.
(a) PCBs and PCB Items in service
or projected for disposed. Beginning
July 2. 1978, each owner or operator of
a facility using or storing at one time
at least 45 kilograms (99.4 pounds) of
PCBs contained in PCB Containers)
or one or moie PCB Transformers, or
50 or more PCB Large High or Low
Voltage Capacitors shail develop and
maintain records on the disposition of
PCBs and PCB Items. These records
shall form the basis of an annual doc-
ument prepared for each facility "by
July 1 covering the previous calendar-
year. Owners or operators with one or
more facilities that use or store PCBs
and PCB Items in the quantities de-
scribed above may maintain the rec-
ords and documents at one of the
facilities that is normally occupied for
8 hours a day, provided the identity of
this facility is available at each facility
using or storing PCBs and PCB Items.
The records and documents shall be
maintained for at least five years after
the facility ceases using or storing
PCBs and PCB Items in the prescribed
quantities. The following information
for each facility shall be included in
the annual document:
(1) The dates when PCBs and PCB
Items are removed from service, are
placed into storage for disposal, and
are placed into transport for disposal.
The quantities of the PCBs and PCB
Items shall be indicated using the fol-
lowing breakdown;
(i) Total weight in kilograms of any
PCBs and PCB Items in PCB Contain-
ers including the identification of con-
tainer contents such as liquids and ca-
pacitors;
(ii) Total number of PCB Trans-
formers and total weight in kilograms
of any PCBs contained in the trans-
formers; and
(iii) Total number of PCB Large
High or Low Voltage Capacitors.
(2) For PCBs and PCB Items re-
moved from service, the location of
the Initial disposal or storage facility
and the name of the owner or opera-
tor of the facility.
(3) Total quantities of PCBs and
PCB Items remaining in service at the
end of the calendar year using the fol-
lowing breakdown:
(i) Total weight in kilograms of any
PCBs and PCB Items in PCB Contain-
ers, including the identification of con-
tainer contents such as liquids and ca-
pacitors;
(ii) Total number of PCB Trans-
formers and total weight in kilograms
of any PCBs contained in the trans-
formers; and
(iii) Total number of PCB Large
High or Low Voltage Capacitors.
(b) Disposal and storage facilities.
Each owner or operator of a facility
(including high efficiency boiler oper-
ations) used for the storage or disposal
of PCBs and PCB Items shall by July
1, 1979 and each July 1 thereafter pre-
pare and maintain a document that in-
cludes the information required in
paragraphs (b)(l) thru (4) below for
PCBs and PCB Items that were han-
dled at the facility during the previous
calendar year. The document shall be
retained at each facility for at least 5
years 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 document shall be maintained at
least 20 years after the chemicaTwaste
landfill is no longer used for the dis-
posal of PCBs and PCB Items. 1'he
documents shall be available at the fa-
cility for inspection by authorized rep-
resentatives of the Environmental
Protection Agency. If the facility
ceases to be used for PCB storage or
disposal, the owner or operator of
such facility shall notify within 60
days the EPA Regional Administrator
of the region in which the facility is
located that the facility has ceased
storage or disposal operations. The
notice shall specify where the docu-
ments that are required to be main-
tained by this paragraph are located.
The following information shall be in-
cluded in each document:
(1) The date when any PCBs and
PCB Items were received by the facili-
ty during the previous calendar year
for storage or disposal, and identifica-
tion of the facility and the owner or
operator of the facility from whom
the PCBs were received;
(2) The date when any PCBs and
PCB Items were disposed of at the dis-
posal facility or iransferred to another
disposal or storage facility, including
the identification of the specific types
of PCBs' and PCB Items that were
stored or disposed of;
(3) A summary of the total weight in
kilograms of PCBs and PCB Articles
in containers and the total weight of
PCBs contained in PCB Transformers.
that have been handled at the facility
during the previous calendar year.
This summary shall provide totals of
the above PCBs and PCB Items which
have been:
(i) Received during the year.
(ii) Transferred to other facilities
during the year; and
TSCA Inspection Manual
Volume Two: PCB Manual
1-33
March 1 981
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3 PCB Regulations (40 CFR 761)
PCBs contained In a transformer are
transferred to other storage or dispos-
al facilities, the identification of the
facility to which such PCBs and PCB
Items were transferred shall be includ-
ed in the document.
(4> Total number of any PCB Arti-
cles or PCB Equipment not in PCB
Containers, received during the calen-
dar year, transferred to other storage
or disposal facilities during the calen-
dar year, or remaining on the facility
site at the end of the calendar year.
The identification of the specific types
of PCB Articles and PCB Equipment
received, transferred, or remaining on
the facility site shall be indicated.
When PCB Articles and PCB Equip-
ment are transferred to other storage
or disposal facilities, the identification
of the facility to which the PCB Arti-
cles and PCB Equipment were trans-
ferred must be included.
NOTE.—Any reauirements for weights in
kilograms of PCBs may b* calculated values
If the Imema) volume of con timers and
transformers is knowft and Included in the
reports, together with any assumptions on
the density of the PCBs contained in the
containers or transformers.
(c) Incineration facilities. Each
owner or operator of a PCB inciner-
ator facility shall collect and maintain
for a period of 5 years from the date
of collection the following informa-
tion, in addition to the information re-
quired in paragraph (b) of this s«:tion:
(1) When PCBs are being incinerat-
ed, the following continuous and
short-Interval data:
(1) Rate and quantity of PCBs fed to
the combustion system as required in
Annex I—} 781.40;
(ii) Temperature of the combustion
process as required in Annex I—
§ 761.4.
(2) When PCBs are being incinerat-
ed, data and records on the monitoring
of stack emissions as required tn
Annex I—I761.40(a)(6).
(3) Total weight in kilograms of any
solid residues generated by the incin-
eration of PCBs and PCB Items during
the calendar year, the total weight in
kilograms of any solid residues dis-
posed of by the facility in chemical
waste landfills, and the total weight in
kilograms of any solid residues re-
maining on the facility site.
(4) When PCBs and PCB Items are
being incinerated, additional periodic
data shall be collected and maintained
as specified by the Regional Adminis-
trator pursuant to | 761.40(d)(4).
(5) Upon any suspension of the oper-
ation of any Incinerator pursuant to
S 761.40iaX8>. the owner or operator of
such an incinerator shall prepare a
document. The document shall, at a
minimum, include the date 'and time
of the suspension and an explanation
of the circumstances causing the sus-
pension of operation. The document
shall be sent to the appropriate Re-
gional Administrator within 30 days of
any such suspension.
(d) Chemical waste landfill facilities.
Each owner or operator of a PCB
chemical waste landfill facility shall
collect and maintain until at least 20
years after the chemical waste landfill
is no longer used for the disposal of
PCBs the following information in ad-
dition to the information required in
paragraph (b) of this section:
(1) Any water analysis obtained in
compliance with $ 761.41(bK6Xiii): and
(2) Any operations records including
burial coordinates of wastes obtained
in compliance with § 761.41(b)(8)(ii).
(e) High efficiency boiler facilities.
Each owner or operator of a high effi-
ciency boiler used for the disposal of
liquids between 50 and 500 ppm PCB
shall collect ana maintain for a period
of 5 years the following information.
in addition to the information re-
quired in paragraph (b) of this section:
(1) For each month PCBs are burned
in the boiler the carbon monoxide and
excess oxygen data required in
§761.10(aX2)(iii)(AXS) and
(2) The quantity of PCBs burned
each month as required in
J761.10(aX2XiiiXAX7) and
§ 761.lO(a)(3)(ili)(A)(7): and
(3) For. each month PCBs (other*
than mineral oil dielectric fluid) are
burned, chemical analysis data of the
waste as required in
§761.10(aX3XiiiXBX6).
(f ) Retention of Special Records by
Storage and Disposal Facilities. In ad-
dition to the information required to
be maintained under paragraphs (b).
(c). (d) and (e) of this section, each
owner or operator of a PCB storage or
disposal facility (including high effi-
ciency boiler operations) shall collect
and maintain for the time period spec-
ified In paragraph (b) of this section
the following data:
< 1 ) Ail 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.
(iii) Retained at the facility at the
end of the year. In addition the con-
tents of PCB Containers shall be iden-
tified. When PCB Containers and
TSCA Inspection Manual
Vokinri* Two: PCB Manual
1-34
March 1981
-------
Chapter Two
Inspection Procedures
Contents _Page
Inspection Guide 2-1
Authority 2-2
Preparation 2-3
Entry/Opening Conference 2-5
Records Assessment 2-7
Records Verification 2-9
Inspecting for Improper Disposal 2-11
Marking Assessment 2-15
Storage Assessment 2-17
Closing Conference 2-19
Regulatory Requirements/Inspection Procedures
Records 2-21
Marking 2-29
Storage 2-33
Decontamination 2-41
Disposal 2-43
Prohibitions and Authorizations 2-47
2 Sampling
Guidelines 2-57
Procedures 2-61
TSCA Inspection ManualMarch 1981
Voluae Two: PCS Manual
-------
PCB Iixat <<•«
Large PCS High-Voltage Capacitor
Large PCS Low-Voltage Capacitor
Small PCS Capacitor
PCS Transformer
PCB-Contaminated Transformer
Mining Machine Motor
PCS Electromagnet
Hydraulic Systems
Heat Transfer Systems
Natural Gas Pipe Line Compressors
Vacuum Pumps
Investment Casting Wax
Pigments
liquid PCBs
PCB Solids, Wastes
PCB Containers
PCB Storage Areas
PCB Transportation
X
X
X
X
x
X
X
X
X
X
X
X
X
X
X
X
x
X
X
X
X
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•X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
x
X
X
X
X
X
X
X
X
r
X
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X
x
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-------
Chapter Two
1
nspection Guide
The Inspection Guide has been prepared to assist inspectors in completing
the complex activities of a PCB inspection.
The Guide is composed of suggestions and questions which serve as flags to
point out specific violations as well as practices, •onditions, and
situations that could indicate violations.
The inspector should use the Guide in conjunction with the PCB regulatory
requirements and detailed inspection procedures which follow in this
chapter. These ^regulations and procedures, which are tabbed under specific
headings for easy access, should be consulted for specific instructions when
the Guide triggers a suspicion of possible violations. These instructions
include documentation and sampling procedures and techniques.
The Guide is designed as an aid only, and should not be considered
inclusive. Use of the Guide requires that the inspector's judgement
continue to play a crucial role in determining the focus and extent of
further investigation.
This Guide covers the following inspection activities.
Preparation
Entry/Opening Conference
Records Assessment
Records Verification
Inspecting for Improper Disposal
Marking Assessment
Storage Assessment
Closing Conference
Regulatory Requirements/Inspection Procedures
• Records Requirements
• Marking Requirements
• Storage Requirements
• Decontamination Requirements
• Disposal Requirements
• Prohibitions and Authorizations
Disposal facility inspection procedures are located in the Appendixc
TSCA Inspection Manual 2-1 March 1981
Volume Two: PCB Manual
-------
Authority
Inspection Authority
Section ll(b) of TSCA provides the authority for EPA representatives to
conduct inspections to detennine a facility's compliance with provisions and
rules under the Act. An inspection will include company records, files and
papers, except certain business information such as financial and sales data
which can only be inspected if specifically described in the Notice of
Inspection. (For more detailed information, see Volume One: TSCA Inspection
Manual, pages 2-1 and 2-2.)
TSCA Inspection Manual2^2"March 1981
Volume Two: PCB Manual
-------
Guide to Preparation
Volume One Reference: Chapter 3-1
Agency Records Review
For the facility to be inspected, review and/or obtain the following
information. Note areas that may need investigation during the
inspection.
• Selection documents, including rationale and reports of inspection
violations.
• General facility information, including type, size, and location.
• Previous inspection reports. Note violations observed; target these
areas for current compliance check.
• Exemptions granted by EPA. Note specific requirements listed (if
any).
• Annual PCB reports prepared by the facility. Note
omissions/deficiencies that should be clarified during the
inspection.
• Facility elevation, 100-year flood elevation to determine if
storage is permitted at the site. Consult the U.S. Geological
Survey, U.S. Army Corps of Engineers, or other available services.
• Correspondence between facility and local, State, and Federal
agencies,
Document Preparation
Prepare adequate numbers of the following forms and documents.
Notice of Inspection
PCB Inventory Form
TSCA Inspection Confidentiality Notice
Sample Seals
Chain of Custody Record
Receipt for Samples and Documents
Sample Collection Report
Copies of TSCA
Copies of PCB Regulations
Related Information/Educational Material
TSCA Inspection Manual 2-3 March 1981
Volume Two: PCB Manual
-------
Guide to Preparation
Equipment Preparation
Refer to Volume One, Chapter 3-1 for the general inspection equipment
list.
In addition, prepare all necessary sampling equipment. Refer to
Sampling section, page 2-57 of Volume Two.
TSCA Inspection Hanual 2-4 March 1981
Volua* Two: PGB Manual
-------
Guide to Entry/Opening Conference
Volume One Reference: Chapter 3-2, 3-3
Entry
Upon arrival at the facility, locate the agent-in-charge. Present:
• Credentials. Official credentials must ba presented whether or
not identification is requested.
• Notice of Inspection. Complete and sign the Notice, including
date and time of inspection. Obtain agent's signature.
• TSCA Inspection Confidentiality Notice. Complete this form*
Have authorized official complete and sign appropriate sections.
Note. If consent to enter is not given, or if consent is with-
drawn during the inspection, follow Denial of Entry procedures,
Volume One, Chapter 3-2.
Opening Conference
Once entry is established, meet with facility officials to outline
inspection plans, including:
• PCS Activities at the facility. Discuss how and where PCBs are
used or stored at the facility. If officials are not familiar
with PCBs or with the regulations, questions about high voltage
electrical equipment may provide enough information to locate
PCBs in use or storage at the facility.
• Is the facility using or storing any of the following?
Transformers
Railroad transformers
Capacitors
Containers of PCBs or PCS items
Hydraulic equipment
Heat transfer systems
Mining equipment
Electromagnets
• Are transformers serviced on the facility premises? If so, by
whom?
• Has the facility ever manufactured PCBs or PCB items?
• Does the facility produce PCBs as a by-product of any of its
manufacturing processes?
TSCA Inspection Manual 2-5 March 1981
Volume Two: FOB Manual
-------
Guide to Entry/Opening Conference
• Inspection Objectives. Discuss the order in which activities at
the facility will be inspected.
• Meeting Schedules. If meetings with facility personnel are
necessary, schedule them during this conference.
• Access/Accompaniment. Request access to all areas of the
facility involving PCB activities. Request that facility
officials accompany you throughout the inspection.
• Safety Requirements. Determine what safety precautions are
required by the facility that should be observed during the
inspection (protective clothing, hard hats, etc.).
TSCA Inspection Manual 2-6 March 1981
Volume Two: PCB Manual
-------
Guide to Records Assessment
Objectives
Develop an inventory of PCBs and PCB items at the facility. Determine
compliance with recordkeeping requirements.
Documentation
Document all discrepancies in the field notebook. Note missing or
incomplete records. Copy records when appropriate.
Inventory (Inventory Form, p. 4-3)
Identify from the records, the type, quantity, and status of PCBs and
PCB items at the facility.
• The inventory information will be the same information required in
the annual document. Use of the Inventory Form will provide an
organized means of collecting this information.
Compliance Assessment (Requirements/Procedures, p. 2-21)
Evaluate the records relative to the requirements to determine the
level of compliance.
• Is the annual document available?
• Is the necessary information provided in the annual document?
« Is the 5-year retention requirement met?
• Is the correspondence file available and complete?
• Is the facility operating under a distribution-in-commerce authori-
zation?
• If so, are specific requirements listed In the authorization
being met?
• If not, do shipping records indicate transfer of PCBs to other
than storage or disposal facilities?
• Do the records (and/or correspondence file) indicate areas needing
further investigation?
TSCA Inspection Manual 2-7 March 1981
Volume Two: PCB Manual
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THIS PAGE WAS INTENTIONALLY LEFT BLANK.
TSCA Inspection Manual 2-8 March 1981
Volume Two: PCB Manual
-------
Guide to Records Verification
Objectives
Assess the accuracy of records by physically inspecting selected items
listed in the records inventory.
Documentation
Document in the field notebook any inaccuracies in the records. Sample
when necessary to establish PCB concentrations. Photograph when
appropriate.
Selection of Items to be Verified
From the inventory developed in the records assessment, select a group
of items to be examined.
• If the items are grouped in the facility records by location,
select one or more groups for examination.
• If records list only totals of each item, select a percentage of
each total. Ascertain from facility officials the location(s) of
the items.
• Selection considerations:
• Practicability of inspection.
e Discrepancies indicated in the records assessment.
• Suspicions raised during the records assessment.
• Facility violation history, if any.
Verification
Locate the group(s) selected for verification. Compare information in
the records with actual conditions.
• Are items accurately described in the records?
• Type (transformer, capacitor, etc.)
• Status (in use, removed from service, stored for disposal)
• PCB ppm content
• PCB weights (if applicable)
• Are numbers of items correct?
Safety Note. Use extreme caution when in the vicinity of live
electrical equipment. Do NOT sample live equipment. Do NOT use
photographic flash near live equipment.
TSCA Inspection Manual 2-9 March 1981
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TSCA Inspection Manual ? i n~ March 1981
Volume Two: PCB Manual ^-iu
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Guide to Inspecting for Improper Disposal
Objectives
Throughout the physical assessment of the facility, check for and eval-
uate the extent of improper disposal.
Documentation
Document in the field notebook all evidence of improper disposal.
Sample when necessary to establish PCB concentrations. Photograph
when appropriate. Locate site by photograph, drawing, map, or other
accurate methods. Obtain statements when appropriate.
Indicators of Disposal Violations
• Abandoned or discarded equipment, parts, or containers.
• Obvious spills or leaks.
• Discoloration of soil near PCB items, in drainage systems, or
on bank of streams.
• Oil films on surface of streams or standing water.
« Highly saturated soils.
* Oily rags, debris, or other material.
® Puddles or drips on or near equipment, containers, drip pans, or
floors.
Sources of Potential Violations
Housekeeping Practices
Attitudes toward housekeeping will often reflect attitudes toward
compliance in general, and may provide indications of potential disposal
violations,,
e What is the general state of housekeeping?
« Are PCB handling areas orderly and in good repair?
« Are clean-up materials properly disposed of?
TSCA Inspection Manual 2-11 March 1981
Volume Two: PCB Manual
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Guide to Inspecting for Improper Disposal
Worker Knowledge
A low level of worker knowledge of the hazards of PCBs may result in
poor PCS handling practices. Actual or potential disposal violations
may be uncovered through discussions with workers.
• What is the level of worker knowledge of PCBs and of the regu-
lations?
• Is worker protection provided? To what extent?
Maintenance and Repair Operations
These operations may take place at various locations throughout the
facility, and will generate significant amounts of waste PCBs.
• Does the facility have written maintenance and repair procedures?
• Are maintenance sites located, constructed, and maintained to mini-
mize risk of contamination of surrounding areas?
• Are there indications of leaks or spills at these sites?
• Are there provisions for spill containment?
• Are draining/filling operations conducted in a manner to prevent
spills?
• Are containers used in the maintenance process of adequate size and
in good condition?
• Is maintenance equipment in good condition?
• Are waste PCBs, testing samples, filter media, contaminated parts,
etc. handled, stored, and disposed of properly?
• Are oily rags, debris, or other contaminated material handled,
stored, and disposed of properly?
Decontamination Operations (Requirements/Procedures, p. 2-41)
These operations will often take place in conjunction with equipment
maintenance and repair and involve extensive handling of PCBs.
• Does the facility have written decontamination procedures?
• Does the facility drain or cleanse PCB equipment prior to disposal?
• Is the site adequate to protect surrounding areas from leaks and
spills?
TSCA Inspection Manual 2-12 March 1981
Volume Two: PCB Manual
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Guide to Inspecting for Improper Disposal
• Are drained substances and solvents properly stored and disposed of?
• Is movable equipment properly decontaminated?
• Are drums and pallets properly decontaminated prior to reuse?
Drainage Systeas
Contaminated systems are a source of direct discharge of PCBs into the
environment.
• Is there evidence of leaks or spills near the systems?
• Are small spills washed into drainage systems by rain or by workers
unaware of the contamination risks?
Waste Oil Use
The regulations specifically prohibit the use of waste oil containing
any amount of PCBs for road oiling, dust control, pesticide carriers,
sealant, or rust prevention.
e Does the facility use waste oil for any of these purposes?
• What is the source of the waste oil?
Sites
Evidence of leaks, spills, and illegally discarded PCB items may be
found at various sites throughout the facility, including:
• Scrap areas, dumps, and landfills
e Abandoned buildings and vehicles
• Outbuildings
e Construction sites
» Warehouses
• Loading docks
TSCA Inspection Manual 2-13 March 1981
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TSCA Inspection Manual 2-14 March 1981
Volume Two: PCB Manual
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Guide to Marking Assessment
Objectives
Determine that all items are marked in accordance with the regulations
so that PCBs and PCB items are clearly identified and can be properly
handled, stored, and disposed of.
Documentation
Document in the field notebook, all evidence of non-compliance. Sample
when necessary to establish PCB level. Identify exact location of item
in violation. Photograph all sides of the item.
Throughout the physical assessment, check compliance with the marking
requirements. (Requirements/Procedures, p. 2-29)
• Are all required items properly marked?
• Are capacitors manufactured after 7/1/78 marked "No PCBs" if they
contain none?
e Are transport vehicles properly marked?
• Are storage areas properly marked?
0 Is PCB equipment manufactured after 1/1/79 containing a PCB small
capacitor marked "This equipment contains PCB capacitors"?
TSCA Inspection Manual 2-15 March 1981
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TSCA Inspection Manual o -it March 1981
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Guide to Storage Assessment
Objectives
Check that all PCBs and PCB Items are properly stored. Check that
storage operations are in compliance with the regulations.
Documentation
Document in the field notebook all discrepancies. Sample when
necessary to establish PCB level. Identify location of items in
violation. Photograph where appropriate.
Inspect the storage site(s) on the facility premises. If the site is
not within the facility boundaries, note the address and operator of
site.
Safety Note. Allow the storage area to ventilate sufficiently
before entering.
Storage Facility (Requirements/Procedures,, p. 2=3$)
• Is the facility properly marked?
e Is the rainfall protection requirement met?
a Is the containment volume sufficient?
• Is the containment area free of drains, valves, joints, or other
openings?
« Are flooring and curbing requirements met?
• Is the site above the 100-year flood elevation?
Storage Containers (Requirements/Procedures, p» 2-34)
» Do containers meet DOT specifications?
• Are other containers used?
« If yes, have design review requirements been met? Has a Spill
Prevention and Countermeasure Plan been prepared? Are required
records being kept?
TSCA Inspection Manual 2-17 March 1981
Volune Two: PCB Manual
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Guide to Storage Assessment
Storage Facility Operation (Requirements/Procedures, p. 2-36)
• Does the facility have written storage procedures?
• Are articles and containers checked for leaks every 30 days?
• Are leaking articles and containers transferred to non-leaking
containers?
• Is spilled or leaked material cleaned up immediately?
• Is movable equipment properly decontaminated?
• Are containers and articles handled in a manner that protects them
from accidental damage or breakage?
Outside Storage Requirements/Procedures, p. 2-37)
• Are PCB large high voltage capacitors and PCB-contaminated
transformers the only equipment stored outside the prescribed
storage area?
• Are they on pallets?
• Are they structurally undamaged and non-leaking?
• Are they checked weekly for leaks?
• Is the outside area adjacent to the prescribed storage area?
• Does the facility maintain immediately available space in the
prescribed storage area to accommodate 10% of the volume of
capacitors and transformers stored outside?
Teaporary Storage (Requirements/Procedures, p. 2-38)
• Are only non-leaking articles and containers in temporary storage?
• Have they been there less than 30 days?
• Are they dated?
• Do containers of PCB liquid bear notations of PCB content?
• Is there a Spill Prevention and Countermeasure Plan for PCB
liquids in temporary storage?
TSCA Inspection Manual 2-18 March 1981
Volume Two: PCB Manual
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Guide to Closing Conference
Volume One Reference; Chapter 3-5
Required Receipts
Issue the following receipts to facility officials.
• Receipt for Samples and Documents. List and describe aJJL samples
taken and all documents taken or copied during the inspection.
• Declaration of Confidential Business Information. List and
describe all information declared by the facility as confidential.
Discussions
Discuss and clarify any questions or problems relating to the
inspection.
• Inform facility officials of any leaks, spills, or other problems
that may need immediate attention.
• Respond to questions regarding TSCA and the PCB Regulations.
Refer to other Agency personnel any questions that exceed the
ability or authority of the inspector.
* Collect additional information, if necessary.
TSCA Inspection Manual 2-19 March 1981
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TSCA Inspection Manual 2-20 ~~March 1981
Volume Two: PCB Manual
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Records
Regulatory Requirements
Inspection Procedures
General Requirements
Regulation Reference S 761.45(a)
Every facility using or storing
PCBs and PCB items in the
prescribed amount must develop and
maintain records of the disposition
of PCBs and PCB items. These
records will form the basis of an
annual document prepared for each
facility by July 1 covering the
previous calendar year.
Recordkeeping requirements apply to
each facility that has in use or in
storage any of the following:
• 99.4 pounds (45 kg.) or more of
PCBs. (The fluid contained with-
in a PCB contaminated transformer
is not included for recordkeeping
purposes.)
\
• One or more PCB transformers.
• 50 or more large high or low
voltage PCB capacitors (contain-
ing more than 3 pounds of PCB
liquid).
The annual document must be
retained at each facility for at
least five years after the facility
no longer uses or stores PCBs.
Records for one or more facilities
may be kept at a single location
if:
• The location is normally occupied
8 hours a day; and
« The identity of this location is
available at each related
facility using or storing PCBs
and PCB items.
Check for availability of required
records. (If there is no annual
document, request whatever records
are available and note omission in
the field notebook.)
Determine date facility started
operation. Check availability of
records for previous five years,
or back to start-up date.
TSCA Inspection Manual
Voluae Two: PCB Manual
2-21
March 1981
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Records
Regulatory Requirements
Inspection Procedures
PCB Use and Storage Facilities
Annual Document
Annual document must contain the
following information:
Transformers :
Removed from service
Total number
Total weight of PCBs contained
Dates (removed from service)
Initial storage or disposal
facility location and operator
Dates placed in storage
Dates placed in transport for
disposal
In Service
• Total number
• Total weight of PCBs contained
PCB Large Capacitors
Removed from service
• Total number
• Dates (removed from service)
• Dates placed in storage
• Initial storage or disposal
facility location and operator
• Dates placed in transport for
disposal
In Service
• Total number
Review the annual document for
completeness. If not available,
review existing records. Note
omissions, discrepancies in
field notebook. Check inventory
and shipping records against
information in annual document
to determine if all required
information is accurate and com-
plete.
Use the inventory forms for
assessing facility records and
for listing the PCB inventory.
TSCA Inspection Manual
Volume Two: PCB Manual
2-22
March 1981
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Records
Regulatory Requirements
PCBs in Containers:
Removed from service
• Total weight of PCBs contained
• Identification of container
contents
• Dates (removed from service)
• Dates placed in storage
• Initial storage or disposal
facility location and operator
• Dates placed in transport for
disposal
In Service
• Total weights of PCBs
• Identification of container
contents
PCS Items in Containers;
Removed from service
• Total weight of PCB items
• Identification of contained
items
e Dates (removed from service)
• Dates placed in storage
• Initial storage or disposal
facility location and operator
• Dates placed in transport for
disposal
In Service
• Total weight of contained items
• Identification of contained items
Inspection Procedures
Question facility officials
regarding discrepancies or incon-
sistencies in record data.
TSCA Inspection Manual
Volmae Two: PCB Manual
2-23
March 1981
-------
Records
Regulatory Requirements
Inspection Procedures
PCB Storage and Disposal Facilities
Regulation Reference § 761.45(b)
These requirements apply to:
Facilities for storage
Incinerators
Chemical Waste Landfills
High Efficiency Boilers
Alternative Disposal Facilities
Annual Document
The document for storage and
disposal facilities must contain
the following information:
§ 761.45(b)
Transformers;
Received
• Total number
• Total weights of PCBs
• Dates (received)
• Source facility and
owner/operator
Transferred:
Total number
Total weights of PCBs
Identification of item
Facility where transferred
Dates (transferred)
Review the document for com-
pleteness. If not available,
review existing records. Note
omissions, discrepancies in field
notebook. Check inventory and
shipping records against infor-
mation in document to determine
if all required information is
accurate and complete.
Use the inventory forms for
assessing facility records and
for listing the PCB inventory.
TSCA Inspection Manual
Volue Two: PCB Manual
2-24
March 1981
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Records
-Regulatory Requirements
Retained
• Total number
• Total weight of PCBs
Disposed
e Date of disposal
« Identification of item
PCS Large Capacitors
Received
« Total number
• Dates (received)
« Source facility and
owner/operator
• Weight if in containers
Transferred
• Total number
• Dates (transferred)
• Facility where transferred
» Identification of item
• Weight if in containers
Retained
« Total number
• Weight if in containers
Disposed
• Dates
• Identification of item
Inspection-Ecocedures-
facility officials
discrepancies or
encies in record data«~
Photocopy any records which might
substantiate violations.
In field notebook, describe
missing records, inaccuracies,
and other pertinent information.
Request copy of document for
attachment to the inspection—
report.
TSCA Inspection Manual
Two: PCS Manual
2-25
March 1981
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Records
Regulatory Requirements
PCB In Containers;
Received
• Total weight of PCBs
• Dates (received)
• Source facility and
owner/operator
• Identification of container
contents
Transferred
• Total weight
• Dates (transferred)
• Facility where transferred
• Identification of container
contents
Retained
• Total weight of PCBs
• Identification of container
contents
Disposed
• Date (disposed)
• Identification of container
contents
PCB Articles in Containers;
Received
• Total weight
• Dates (received)
• Source facility and
owner/operator
• Identification of container
contents
Inspection Procedures
TSCA Inspection Manual
Voluae Two: PCB
2-26
March 1981
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Records
Regulatory Requirements
Transferred
« Total weight
» Dates (transferred)
e Facility where transferred
e Identification of container
contents
Retained
9 Total weight
« Identification of container
contents
Disposed
• Dates (disposed)
• Identification of container
contents
Correspondence file
Storage and disposal facilities
are required to develop and main-
tain the following information:
• Correspondence, documents, and
other data pertaining to storage
of PCBs and PCB items at the
facility between any State or
local government agency and the
owner/operator of the facility.
e Correspondence from the
owner/operator of the facility
to any local, State, or Federal
authorities with regard to
required permits.
• Notice to EPA Regional
Administrator within 60 days
after facility ceases
operations*
Inspection Procedures
Check for completeness of
correspondence file.
TSCA Inspection Manual
Two: PCB Manual
2-27
March 1981
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TSCA Inspection Manual 2-28 March 1981
Volume Two: PCB Manual
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Marking
Regulatory Requirements
Inspection Procedures
Marking
All PCS items containing 50 ppm
PCBs or greater including
transformers (not including PCB-
contaminated transformers), large
high and low voltage capacitors,
containers, and other items and
equipment must be marked with
the mark ML.
§ 761.20
The marking requirements are not
applicable to PCB-contaminated
transformers.
§ 761.20(a)(2)
Mark ML must have a yellow or
white background and be at least
15.25 cm (6 inches) on each side.
The mark may be reduced to a
minimum of 5 cm (2 inches) on
each side. If mark ML is
specified but the equipment is
too small to accommodate the
smallest permissible size of mark
ML, mark MS may be used instead.
See Figure 1.
1761.44(a)
Mark MS must have a yellow or
white background and appear as a
rectangle of 2.5 x 5 cm (1 inch x
2 inches). The mark may be
reduced to a. minimum of 1 x 2 cm
(0.4 x 0.8 inches). See Figure 2.
S 761.44(b)
All PCB marks must be sufficiently
durable to equal or exceed the
life of the items they label.
They must be placed so they can be
easily read.
§ 761.20(h)
§ 761.44(a)
§ 761.44(b)
Check for unmarked or improperly
marked items. Note in the field
notebook the location and, if
possible, the serial or identi-
fication numbers of the equipment.
Photograph all four sides of items
not in compliance. Note circum-
stances . Sample unmarked suspect
Items to determine presence/
concentration of PCBs.
CAUTION
CONOMS
PCBs
Figure 1
CAimONc
.PCBs
cotfuaui mmmtMu
Figure 2
TSCA Inspection Manual
Two: PCB Manual
2-29
March 1981
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Marking
Regulatory Requirements
If one or more PCB large high
voltage capacitors are installed
in a protected location, such as
on a power pole or behind a
fence, the pole, fence, or
structure must be marked ML.
A record or procedure identifying
the capacitors must be maintained
by the owner or operator at the
protected location.
§ 761.20(c)(2)(ii)
PCB large low voltage capacitors
must be marked with the mark ML
at the time of removal from use.
Those manufactured after July 1,
1978 must be marked "No PCBs" if
they contain none.
§ 761.20(a)(5)
5 761.20(g)
All PCB equipment manufactured
after January 1, 1979 containing
a PCB small capacitor must be
marked with the statement "This
equipment contains PCB
capacitor(s)." This mark must be
the same size as mark ML.
§ 761.20(d)
Each small capacitor used in
alternating current circuits and
each fluorescent light ballast
that do not contain PCBs and were
manufactured after July 1, 1978,
must be marked by the manufacturer
"No PCBs".
§ 761.20(g)
Inspection Procedures
TSCA Inspection Manual
Volne Two: PCB Manual
2-30
March 1981
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Marking
Regulatory Requirements
Inspection Procedures
Transport Vehicles
Each transport vehicle shall be
marked on each end and each side
with mark. ML if it is loaded with
PCB containers that hold more
than 45 kg. of PCBs in the liquid
phase in concentrations of 50-500
ppm, or if loaded with one or
more PCB transformers.
S 761.20(b)
S 761.20(e)
Check transport vehicles
(including forklifts) for proper
marking. Photograph unmarked or
Improperly marked PCB transport
vehicles. Note the type of PCB
material carried and the vehicle
identification number. Sample
PCB material. Obtain a statement
if appropriate.
Exemptions
Containers of PCBs manufactured
under an exemption granted by EPA
are not subject to the requirements
in S761.20 unless so specified in
the exemption. (PCB articles and
equipment containing these PCBs are
subject to marking requirements.)
5761.20(i)
TSCA Inspection Manual
Volume Two: PCB Manual
2-31
March 1981
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TSCA Inspection Manual 2-32 March 1981
Volume Two: PCB Manual
-------
Storage
Regulatory Requirements
Inspection Procedures
Storage
The storage requirements in
§ 761.42 apply to all PCBs and
PCB items, including:
• Liquid PCBs stored for disposal
S 761.10(a)(6)
• Liquid PCBs on hand for
servicing PCB transformers and
PCB contaminated transformers
§ 761.31(a)(6)
• Non-Liquid PCBs stored for
disposal
S 761.10(b)(5)
• PCB articles stored for disposal
§ 761.10(b)(5)
• PCB containers
8 761.10(c)(3)
The requirements do not apply to
PCB-contaminated transformers
drained of free flowing liquid.
I 761.10(b)(l)(ii)
Length of Storage
Effective January 1. 1983. PCB
articles and PCB containers
stored for disposal must be
disposed of within one year.
S 761.42(a)
Check required records for
articles and containers not in
compliance. Check dates on
articles and containers through-
out the physical assessment.
Photograph and note location
of containers and articles not
in compliance. Sample when
necessary to determine presence/
concentration of PCBs.
TSCA Inspection Manual
Volnae Two: PCB Manual
2-33
March 1981
-------
Storage Facility
Regulatory Requirements
Inspection Procedures
Storage Facility
Storage areas where PCBs and PCB
items are stored for disposal
must be marked with mark ML.
§ 761.20(a)(10)
§ 761.42(c)(3)
Roof and walls of storage
facilities must be adequate to
prevent rain water from reaching
BCBs and PCB Items.
§ 761.42(b)(l)(i)
Floors must have at leastta 6"
continuous curb creating a
containment volume equal to
whichever of the following Is
greater:
§ 761.42(b)(l)(ii)
• 25% of the total internal
volume of all PCB articles or
containers stored,
or
• Twice the internal volume of
the largest PCB article or
container stored.
Verify marking of storage area.
(See Marking section for these
requirements.) Photograph and
note location of unmarked or
improperly marked storage areas.
Allow the storage area to
ventilate sufficiently before
entering.
Inspect roof and walls for
evidence of leakage. Provide
exact location of leaks by
measurement from floor, wall, or
ceiling. Photograph when possible
and draw a scale floor plan noting
objects water might contact. Note
drainage path of water.
Estimate volume of all stored
articles or containers through
records or by actual measurement.
Take special note of largest
container or article. Measure
surface dimensions and curbing
height to determine volume of
containment area. Compare the
above to determine adequacy of
containment area. Check to
ensure that all items are stored
far enough away from dike to
prevent potential leaks from
escaping over the dike. If
discrepancy Is found, verify all
measurements and record in field
notebook. Photocopy records
describing volume of containers
or articles if available.
TSCA Inspection Manual
Voluae Two: PCB Manual
2-34
March 1981
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Storage Facility
Regulatory Requirements
The containment area must not
have any drains, valves,
expansion joints, sewer lines, or
other openings that would permit
liquids to flow from the curbed
area.
§ 761.42(b)(l)(iii)
Floors and curbing must be
constructed of continuous smooth
and impervious materials, such as
Portland cement concrete or steel,
to prevent or minimize penetration
of PCBs.
5 761.42(b)(l)(iv)
The facility must not be located
below the 100 year flood
elevation.
§ 761.42(b)(l)(v)
Inspection Procedures
Inspect containment area for any
openings, including pipe conduits
and sewers. Review construction
records including piping and
sewer blueprints if openings are
difficult to locate. If openings
are found, verify exact location
and determine drainage path and
ultimate disposal. Note exact
location of any openings relative
to a stationary object. Photograph
or provide scale floor plan.
Review blueprints showing openings.
Examine construction material for
suitability for storage facility.
Prior to the inspection, determine
the 100 year flood elevation^ from
U.S. Geological Survey or U.S. Army
Corps of Engineers records. During
the inspection, determine the
elevation of facility from facility
records. Compare these records
to assess compliance.
TSCA Inspection Manual
Voluae Two: PCB Mmnuil
2-35
March 1981
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Storage Containers
Requlatory Requirements
Inspection Procedures
Containers
Liquid PCS containers must meet
the shipping container specifi-
cations of the Department of
Transportation:
§ 761.42(c)(6)
49 CFR
• Specification 5
Steel Drums, with-
out removal heads
• Specification 5B
Steel Drums, with-
out removable heads
• Specification 6D
Cylindrical Steel
Overpack with
Specification 2S
(§ 178.5) or 2SL
(§ 178.35a) poly-
ethelene containers
• Specification 17E
Steel Drums
178.80
178.82
178.102
178.116
Larger liquid PCS Containers than
those specified above must be
designed, constructed, and
operated in compliance with
Occupational Safety and Health
Administration standards in
29 CFR 1910.106.
S 761.42(c)(7)(i)
Prior to use, the above design
must be reviewed to determine the
structural safety for containing
PCBs.
§ 761.42(c)(7)(ii)
Check specification numbers where
available.
When specifications numbers are not
present, compare to DOT specifica-
tions. (Use a caliper gauge to
measure container thickness.)
Note and describe non-compliance.
Photograph. Sample if necessary
to determine presence/concentra-
tion of PCBs.
Check specification numbers and
compare to OSHA regulations.
Note and describe noncompliance.
Photograph. Sample to determine
presence/concentration of PCBs.
Verify by records or by statements
that safety of design was reviewed
by owner/operator. Note names,
dates, and findings.
TSCA Inspection Manual
Volone Two: PCB Manual
2-36
March 1981
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Storage Containers
Regulatory Requirements
Use of such containers must
coincide with the preparation
and implementation of Spill
Prevention Control and
Countermeasure Plan as described
in 40 CFR 112. (Read "PCB" for
"oil".)
§ 761.42(c)(7)(ii)
Owners/operators of facilities
using these containers must keep
records indicating the quantity
of PCBs and the date PCBs were
added to or removed from these
containers. Disposition of any
PCBs removed must also be included.
§ 761.42(c)(8)
Non-liquid PCB containers must
meet the shipping container
specifications of the Department
of Transportation:
§ 761.42(c)(8)
• Specification 5
Steel Drums
• Specification 5B
Steel Drums
• Specification 17C
Steel Drums
49 CFR
178.80
178.82
178.11
Larger non-liquid PCB containers
may be used if the containers
provide environmental protection,
strength, and durability equal to
the DOT specificaions 5,5B or
17C.
§ 761.42(c)(6)
Inspection- Procedures
Check implementation procedures
of the plan. Note and describe
non-compliance.
Inspect these records for
compliance. Note missing or
erroneous records.
Check specification numbers where
available, or determine that
container design meets DOT
specifications. Where necessary,
measure container gauge. Compare
to DOT specifications. Note and
describe non-compliance. Photo-
graph if useful.
TSCA Inspection Manual
Volume Two: PCB
2-37
March 1981
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Storage Facility Operation
Regulatory Requirements
Inspection Procedures-
Storage Facility Operation
The date of storage must be
placed on all PCB articles and
PCB containers when they are
placed in storage.
5 761.42(c)(8)
The storage area must be managed
so that articles and containers
can be located by the date they
entered storage.
All PCB articles and PCB
containers in storage must be
checked for leaks at least once
every 30 days.
§ 761.42(c)(5)
Any leaking PCB articles and PCB
containers and their contents
must be transferred immediately
to properly marked non-leaking
containers.
Any spilled or leaked material
must be immediately cleaned up,
using sorbents or other adequate
means and the PCB-contaminated
materials and residues must be
disposed of properly.
Movable equipment used for
handling PCB items must be
decontaminated prior to removal
from the facility if it has come
in direct contact with PCBs.
§ 76l.42(c)(4)
Verify that dates appear on all
articles and containers.
Photograph and note locations of
undated articles and containers.
Sample.
Compare storage date records with
stored articles and containers to
see that they can be located by
date of storage. If discrepancy
appears, obtain copy of records,
take photographs, and establish
location of relevant items.
.Verify that regular inspection is
carried out. Obtain statement.
Inspect articles, containers, and
the general storage area for
evidence of leakage. Determine
if leaking articles and
containers have been placed in
properly marked non-leaking
containers. Note, describe,
establish location, and
photograph leaking articles and
containers. Collect samples.
Prepare or obtain a list of all
movable equipment used within the
storage facility area. Inspect
for proper decontamination
procedures. Obtain statements
to verify use of these procedures.
Obtain samples from suspect
equipment.
TSCA Inspection Manual
Volme Two: PCB Manual
2-38
March 1981
-------
Outaide Storage
Regulatory Requirements.
Inspection Procedures .
Outside Storage
Until January 1, 1983,
non-leaking, undrained,
structurally undamaged PCS large
high voltage capacitors and PCB-
contaminated transformers may be
stored on pallets next to a
storage facility meeting the
general requirements described
above.
§ 761.42(c)(2)
Capacitors and transformers
stored outside must be checked
weekly for leaks.
§ 76K42(c)(2)
Outside storage is permitted only
when there is immediately avail-
able space within the prescribed
facility equal to 10Z of the"
volume of all capacitors and
transformers stored outside the
facility.
S 761.42(c)(2)
Note: This requirement provides for
immediate inside storage of leaking
capacitors or transformers.
Check transformers and capacitors
for structural integrity and
evidence of leakage. Observe
general condition of outside
storage area. Establish
location, photograph.
Determine the volume of PCB
capacitors and transformers
stored outside. Calculate volume
of unfilled stored space inside
facility. Enter measurements
and calculations in field note-
book. Verify figures if dis-
crepancy appears.
TSCA Inspection Manual
Volume Two: PCB Maimal
2-3$
March 1981
-------
Temporary Storage
Regulatory Requirements
Inspection Procedures
Temporary Storage
Certain PCB items may be stored for
up to 30 days from their removal
from service in an a-rea that does
not meet the storage requirements
listed above provided that a
notation indicating the date the
item was removed from service is
attached to the PCB item or cont-
ainer. The items include:
S761.42(c)(l)
• Non-leaking PCB articles and PCB
equipment.
§ 761.42(c)(l)(i)
• Leaking PCB articles and PCB
equipment if the PCB items are
placed in a non-leaking PCB
container that contains
sufficient sorbent material to
absorb any liquid PCBs remain-
ing in the PCB items.
§ 761.42(c)(l)(ii)
• PCB containers containing non-
liquid PCBs such as contaminated
soil, rags, and debris.
• PCB containers containing liquid
PCBs at a concentration of 50-500
ppm if:
8 761.42(c)(l)(iv)
1) a Spill Prevention Control
and Count e measure Plan has
been prepared for the
temporary storage area in
accordance with 40 CFR 112; and
2) each container bears a
notatio.n indicating that the
liquids in the container do
not exceed 500 ppm PCB.
Capacitors and transformers
temporarily stored outside must be
checked for leaks weekly.
$761.42(c)(2)
Determine that only items meeting
requirements are in temporary
storage. Inspect all equipment
or articles for leaks.
Photograph and establish location
of discrepant items. Describe
leaks, number of containers,
condition of equipment, drainage
path, and ultimate disposition.
Collect sample of leaked material.
Check notation on each item in
temporary storage to determine
date item was removed from
service. Compare with copies of
records indicating date of
removal from service. Note
discrepancies.
Obtain a copy of the plan and
review for compliance with
40 CFR 112.
Check notation on each item
indicating less than 500 ppm
PCB.
Verify that weekly inspection is
being conducted. Obtain state-
ments. Note discrepancies.
TSCA Inspection Manual
Voluae Two: PCB Manual
2-40
March 1981
-------
Decontamination
Regulatory Requirements
Inspection Procedures
Decontaminat ion
PCB containers to be
decontaminated must be flushed
three times with a solvent
meeting the requirements.
§ 761.43(a)
Each rinse must use a liquid
volume of normal diluent equal to
10% of the liquid capacity of the
PCB containers.
§ 761.43(a)
Movable equipment used in stor-
age areas must be decontaminated
by swabbing surfaces that have
come in contact with PCBs with
a solvent meeting the require-
ments.
§ 761.43(b)
Solvent used for decontamina-
tion must contain less than 50
ppm PCBs. The solubility of PCBs
in the solvent must be 5% or
more by weight.
§ 761.43(a)
Solvent may be reused until it
contains 50 ppm PCB.
§ 761.43(a)
Solvents and non-liquid PCBs
used in or resulting from
decontamination procedures must
be disposed of in accordance with
§ 761.10(a).
§ 761.43(a)
Obtain statements to determine
from facility operator if PCB
containers and movable equip-
ment are decontaminated after
coming in contact with PCBs.
Determine decontamination pro-
cedures used at the facility.
Assess compliance.
TSCA Inspection Manual
Volume Two: PCB Manual
2-41
March 1981
-------
Decontamination
Regulatory Requirements
Note - Precautionary measures
should be taken to ensure that
the solvent meets safety and
health standards as required by
applicable Federal regulations.
S 761.43(b)
Inspection Procedures
TSCA Inspection Manual
Voluae Two: PCB Manual
2-42
March 1981
-------
Disposal
Regulatory Requirements
Inspection Procedures
Disposal
All PCBs in concentrations greater
than 50 ppm, and all PCB items must
be disposed of in accordance with
761. et seq.
Spills and other uncontrolled
discharges of PCBs constitute the
disposal of PCBs and must be
disposed of in accordance with
761.10(d).
In order to determine if a spill
has resulted in a contamination
level above 500 ppm, the person
who spills PCBs should consult
with the EPA Regional
Administrator for procedures on
determining the contamination
level.
"§ 761.10(d)(2)
Check facility records to verify
that PCBs and PCB items not in
service or in storage have been
transferred to proper disposal
sites. (Refer to the Disposal
Chart, p. 2-45)
Inspect the facility for evidence
of improper disposal. Check scrap
areas and waste dumping sites,
warehouses, and outbuildings,
abandoned structures and vehicles,
and other sites that might contain
illegally discarded items. Sample
all suspected items and document
conditions of suspected violations.
Photograph, identify location,
and obtain statements when appro-
priate.
Check the facility for evidence of
leaks or spills in, on, or around
items. Examine bung holes, stop
cocks, and other apertures. Check
gaskets. Examine soil and gravel
beneath items. Document the loca-
tion and size of the spill using
maps, graphs, or other means.
Photograph. Sample the spilled
or leaked substance. Take water
and sediment samples from
receiving waters in proximity to
the spill area.
Inform facility officials of
existing spills or leaks.
Determine if any action has been
taken to investigate and evaluate
spills or if EPA Region has been
contacted.
TSCA Inspection Manual
Volume Two: PCB Manual
2-43
Ilarch 1981
-------
Disposal
Regulatory Requirements
Except as provided in
761.41(b)(8)(ii) liquid PCBs
shall not be processed into
non-liquid forms to circumvent
the high temperature incinera-
tion requirements.
S761.10(a)(4)(ii)
Liquid drained from PCB items to
permit their disposal, and
solvents used to decontaminate
items to permit their disposal or
reuse must be disposed of in
accordance with 76l.lO(a).
The use of waste oil that contains
any detectable concentration of
PCB as a sealant, coating, or
dust control agent is prohibited.
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.
§ 761.30(d)
Inspection Procedures
Check procedures for handling of
liquid PCBs. Check storage and
transport records for unusual
quantities of non-liquid PCBs that
can not be attributed to normal
operations. Obtain statements and
samples. Document thoroughly.
Check PCB handling and decontami-
nation procedures for compliance.
If written procedures exist,
determine how drained substances
are disposed of. Obtain state-
ments regarding the disposition
of these substances. Sample
suspected items and document
thoroughly.
Determine source of waste oil
used for any of these purposes.
Obtain samples of waste oil and
any material which might be
contaminated with PCBs.
TSCA Inspection Manual
Volume Two: PCB Manual
2-44
March 1981
-------
Disposal
AOZPDkBlE MOODS OP DISPOSAL
Af ^tvm
Liquid PCBs (concentrations above 500 ppm)
Liquid PCBs (concentrations 50-500 ppm)
(Includes mineral oil dielectric fluid from
PCRTQnfamiTiafftd transformers ^ and other
PCB-xxntamlnated liquids)
Non-liquid PCBs (contaminated soil, rags, and
other debris)
Municipal sewage treatment sludge and dredged
materials
PCS Transformers
PCB Large High or Low Voltage Capa.--tt-r.re
PCB Sirull Capacitors, owned by manufacturers
of PCB capacitors or PCS equipment and
acquired In the course of such mfmnfacturlne
PCB Small Capacitors, other than the above
PCB Hydraulic Machines, If drained of free
flowing fluid
Other PCB Articles
PCB Containers, not decontaminated
PCB Containers, containing only PCBs at
concentrations below 500 ppm
PCB Containers, Hp^mfanrirmt-pH in accordance
with §761.43
T«Hf»pT»Hnq
Required
Acceptable
Acceptable
Acceptable
Acceptable
Acceptable
Acceptable
Acceptable
Acceptable
OwHfral U»f» TflrHffll
Not Acceptable
Acceptable if inform-
ation Is provided
is not above 500 ppm,
and if liquid is not an
ignitable woste.
Acceptable
Acceptable
Acceptable if drained,
filled with solvent,
allowed to stand for 18
hours, and then drained.
Acceptable
Acceptable
Acceptable if free
flowing liquid is drained
prior to disposal
Acceptable if liquid
PCBs are drained
AH-«.rnuf iug
None
High-efficiency boiler
that meets required
alternative disposal
method approved by the
R.A.*
None
Alternative method
approved by the R.A.
None
None
None
Municipal Solid Waste
Municipal Solid Waste
None
None
Municipal Solid Waste if
liquid PCBs are drained
Reuse or
Municipal Solid Waste
*EPA Regional AdnirrLstrator
2-45
-------
THIS PAGE WAS INTENTIONALLY LEFT BLANK.
TSCA Inspection Manual 2-46 March 1981
Volume Two: PCB Manual
-------
Prohibitions
Manufacturing
• PCBs cannot be manufactured unless specifically exempted by EPA.
§761.30(b)
Processing and Distribution
• PCBs and PCB items cannot be processed or distributed in commerce
unless specifically exempted by EPA or authorized in §761.31.
§761.30(c)
• PCBs and PCB items may be processed and distributed in commerce
of purposes of disposal in accordance with disposal regulations
§(761.10).
§761.30(c)(2)
• PCBs and PCB items sold for purposes other than resale before
7/1/79 may continue to be distributed in a totally enclosed
manner.
§761.30(c)(l)
• PCBs and PCB items may not be imported or exported for disposal
purposes.
§761.30(b)(l),(2)
• An exemption under §6(e)(3)(B) of TSCA is required for the
processing and distribution in commerce of PCBs for servicing
the following items:
Transformers (until 7/1/84)
Railroad Transformers (until 7/1/84)
Mining Equipment (until 1/1/82)
Hydraulic Systems (until 7/1/84)
Electromagnets (until 7/1/84)
Pigments (until 1/1/82)
Research and Devel. (until 7/1/84)
Microscopy (until 7/1/84)
§761.31(a)(7)
§761.31(b)(2)(vi)
§761.31(c)(5)
§761.31(e)(5)
§761.31(h)(4)
§761.31(g)
§761.31(j)
§761.31(k)
Use
• PCBs may only be handled or used in a totally enclosed manner.
§761.30(a)
Totally enclosed manner is defined as a manner that results in no
exposure of humans or the environment to PCBs. The following
activities are considered to be totally enclosed:
§761.30
TSCA Inspection Manual
Volume Two: PCB Manual
2-47
March 1981
-------
Prohibitions
• Transformers. Distribution in commerce and use (except
servicing) of intact, nonleaking PCB transformers or PCB-
contaminated transformers (except railroad locomotives and
self-propelled cars).
• Electromagnets. Distribution in commerce and use (except
servicing)'of intact, nonleaking PCB electromagnets.
• Capacitors. Distribution in commerce and use of intact,
nonleaking capacitors.
• Equipment. Processing, distribution in commerce, and use of PCB
equipment containing an intact nonleaking capacitor.
Waste Oil Ban. The use of waste oil containing any detectable
concentration of PCBs as a sealant, coating, or dust control agent
is prohibited.
§761.30(d)
Prohibited uses include but are not limited to:
• Road oiling
• General dust control
• Use as a pesticide or herbicide carrier
• Use as a rust preventative on pipes
Temporary Authorized Activities
Certain exceptions for processing, distribution in commerce, and use
of PCBs in a nontotally enclosed manner are specifically authorized
by this regulation. These authorizations are listed on the following
pages. All authorized activities are due to expire no later than
7/1/84.
TSCA Inspection Manual 2-48 March 1981
Volume Two: PCB Manual
-------
Authorizations / Transformers
Regulatory Requirements
T
PCB Transformers
Inspection Procedures
PCBs may be processed, distributed,
and used in a nontotally enclosed
manner for the purpose of servicing
transformers, other than railroad
transformers, until 7/1/84, subject
to the following conditions:
§761.31(a)
• PCB dielectric fluid used to
service PCB transformers or PCB-
contaminated transformers must be
stored in accordance with PCB
storage regulations.
§761.31(a)(6)
• Dielectric fluid of 500 ppm PCBs or
less mixed with fluids of 500 ppm
or greater may not be used as
dielectric fluid in any transformer.
§761.31(a)(l)
• PCB-contaminated transformers may
be assumed to have less than 500
ppm PCBs and must be serviced or
rebuilt with dielectric fluids
containing less than 500 ppm PCBs.
§761.31(a)(2)
• Removal of the transformer coil
from the casing of a PCB transformer
is prohibited.
§761.31(a)(3)
• PCB transformers may be topped off
with PCB dielectric fluid.
§761.31(a)(3)
• PCBs removed from PCB transformers
or PCB-contaminated transformers
must be captured and reused as
dielectric fluid or disposed of in
accordance with the disposal
regulations.
§761.31(a)(4)
• PCBs from PCB transformers must not
be mixed with or added to dielectric
fluid from PCB-contaminated
transformers.
§761.31(a)(4)
Review repair, maintenance, and
rebuilding procedures at the
facility. If written procedures or
records of activities do not exist,
determine the level of compliance
through interview of workers and
operators.
Sample dielectric fluid when
discrepancies or omissions indicate
non-compliance.
TSCA Inspection Manual
Volume Two: PCB Manual
2-49
March 1981
-------
Authorizations / Transformers
Regulatory Requirements
A PCB transformer may be converted
to a PCB-contaminated transformer
by draining, refilling, and
servicing the transformer with
non-PCB dielectric fluid so that
after 3 months the dielectric fluid
contains less than 500 ppm.
§761.31(a)(5)
Inspection Procedures
Determine number of converted PCB
transformers from records.
converted transformers if
discrepancies are indicated.
Sample
Railroad Transformers
PCBs may be processed, distributed in
commerce, and used in a nontotally
enclosed manner for the purpose of
servicing railroad transformers until
7/1/84, subject to the following
conditions :
§761.31(b)
• PCB dielectric fluid used to
service PCB railroad transformers
must be stored in accordance with
the PCB storage regulations.
§761.31(b)(2)(v)
• After 1/1/82, railroad transformers
containing dielectric fluids with a
concentration of 60,000 ppm PCBs can
not be used, and these transformers
can only be serviced with dielectric
fluids of less than 60,000 ppm PCBs.
§761.31(b)(2)(ii)
After 1/1/84, railroad transformers
containing PCB dielectric fluids
at a concentration greater than
1,000 ppm PCBs can not be used, and
transformers can only be serviced
with fluid containing less than
1,000 ppm PCBs.
• If, after 1/1/82, the coil of a
railroad transformer is removed
from its casing, the transformer
must be refilled with dielectric
fluid of a PCB concentration less
than 50 ppm PCBs.
§761.31(b)(2)(i)
Review rebuilding, repair and
maintenance records. Determine
from written work procedures or
interviews of worker/operators what
these procedures are. Determine
level of compliance.
Determine what materials are used
for concentration reduction and
determine appropriateness.
TSCA Inspection Manual
Volume Two: PCB Manual
2-50
March 1981
-------
Authorizations / Transforners
Regulatory Requirements
• Dielectric fluid may be filtered
through activated carbon or other
wise industrially processed to
reduce the PCB concentration.
§761.31(b)(2)(iv)
• The concentrations of PCBs in
dielectric fluid contained in
railroad transformers must be
measured:
• Immediately upon completion of any
servicing of railroad transformers
conducted to reduce the concen-
tration of PCBs.
• Between 12 and 24 months after
each concentration reduction.
• Records of these measurements
must be retained until 1/1/91.
Inspection Procedures
TSCA Inspection Manual
Volume Two: PCB Manual
2-51
March 1981
-------
Authorizations / Hydraulic Sysfc
Regulatory Requirements
T
Inspection Procedures
Hydraulic Syst
PCBs may be used in hydraulic systems
and may be processed and distributed
in commerce for the purpose of
filtering, distilling, or reducing
the PCB concentration in hydraulic
fluid in a nontotally enclosed manner
until 7/1/84, subject to the
following conditions:
§761.31(e)
• PCBs may not be added to a hydraulic
system.
§761.31(e)(3)
• Hydraulic fluid may be drained,
filtered, distilled, or serviced to
reduce the PCB concentration to
below 50 ppm.
§761.31(e)(4)
• Each system must be tested annually
to determine the PCB concentration
at least 3 months after the most
recent refilling.
8761.31(e)(l)
• If annual testing shows PCB
concentrations greater than 50 ppm,
the system must be drained and
refilled with fluid containing less
than 50 ppm PCBs within 6 months.
§76.31(e)(2)
• Topping off with non-PCB fluids to
reduce PCB concentrations is
permitted.
§761.31(e)(2)
• Testing is no longer required when
the PCB concentration becomes less
than 50 ppm.
§761.31(e)(l)
• Data and records obtained as a
result of test sampling must be
retained for 5 years after the
system reaches 50 ppm.
§761.31(e)(6)
Question facility officials regarding
procedures for reducing PCB
concentrations. Sample system to
determine compliance. Check for
availability of required records.
Inspect areas near systems for
contamination from leaks. Note
discrepancies in field notebook.
Photograph if useful.
TSCA Inspection Manual
Voluae Two: PCB Manual
2-52
March 1981
-------
Authorizations / Heat Transfer Systen
Regulatory Requirements
Inspection Procedures
Heat Transfer Systems
PCBs may be used in heat transfer
systems in a nontotally enclosed
manner until 7/1/84, subject to the
following conditions:
§ 761.31(d)
• Heat transfer systems used in the
manufacture or processing of a
food, drug, cosmetic, or device,
as defined in § 201 of the Federal
Food, Drug, and Cosmetic Act, may
not contain fluid of 50 ppm or
greater PCBs.
§ 761.31(d)(3)
• Addition of PCBs to a heat transfer
system is prohibited.
§ 761.31(d)(4)
• Owners of heat transfer systems
that ever contained PCBs must
test for the PCB concentration
in the heat transfer fluid
annually at least 3 months after
the most recent fluid refilling.
§ 761.31(d)(l)
• Test sampling is no longer
required when the PCB concen-
tration is less than 50 ppm.
§ 761.31(d)(l)
• Test records must be retained
for 5 years.
§ 761.31(d)(5)
• If test shows concentrations
greater than 50 ppm PCBs, the heat
transfer system must be drained of
PCBs and refilled with fluid con-
taining less than 50 ppm PCBs.
§ 761.31(d)(2)
• Topping off with non-PCB fluids to
reduce PCB concentrations is per-
mitted.
§ 761.31(d)(2)
Check records for compliance.
sample.
Take
Question facility officials regarding
procedures for reducing PCB concen-
trations.
Check for availability of records.
TSCA Inspection Manual
Volume Two: PCB Manual
2-53
March 1981
-------
Authorization* / MJalap Eaulpaent
Regulatory Requirements
Inspection Procedures
PCBs may be used la mining equipment
and nay be processed and distributed
in commerce in a nontotally enclosed
Banner until 1/1/82,- subject to the
following conditions:
S 761.31(c)
• PCBs used to service or repair
mining equipment oust be stored
in accordance with PCB storage
regulations (§ 761.42).
§ 761.31(c)(4)
• PCBs may be added to motors in
mining equipment in mines or mining
areas until 1/1/82.
S761.31(c)(l)
t
• PCB motors in loader-type mining
equipment must be rebuilt as air-
cooled or other non PCB-containing
motors whenever the motor is
returned to a service shop for
servicing.
S761.31(c)(2)
Check servicing procedures. Sample
fluid from PCB motors when non-
compliance is indicated.
Electromagnets
PCBs may be processed, distributed in
commerce, and used in a nontotally
enclosed manner for the purpose of
servicing electromagnets until
7/1/84, subject to the following
conditions:
S761.31(h)
• Servicing or rebuilding of PCB
electromagnets which requires
removal of the coil from the
casing is prohibited.
S761.31(h)(2)
• PCBs removed during servicing must
be captured and either returned to
the same electromagnet, reused as
a dielectric fluid, or disposed of
in accordance with disposal
regulations.
S761.31(h)(l)
Question facility officials regarding
procedures for servicing/rebuilding
electromagnets.
TSCA Inspection Manual
Volume Two: PCB Manoal
2-54
March 1981
-------
Authorizations / Other
Regulatory Requirements
T
Inspection Procedures
Natural Gas Pipeline Compressors
PCBs may be used in natural gas
pipeline compressors only in a
totally enclosed manner.
§761.31(i)
Carbonless Copy Paper
Carbonless copy paper may be used in
a nontotally enclosed manner
indefinitely.
§761.31(f)
Research and Development
Small quantities of PCBs may be
processed, distributed in commerce,
and used in a nontotally enclosed
manner for research and development
until 7/1/84, subject to the following
condition:
§761.31(j)
• An exemption must be granted under
§6(e)(3)(B) of TSCA for the
processing and distribution in
commerce of small quantities of
PCBs for research and development.
S761.31(j)
Pigments
Diarylide and phthalocyanin pigments
that contain 50 ppm or greater PCBs
may be processed, distributed in
commerce, and used in a nontotally
enclosed manner until 1/1/82, subject
to the following condition:
S 761.31(g)
• An exemption must be granted under
§ 6(e)(3)(B) of TSCA for the
processing and distribution in
commerce of diarylide and phthalo-
cyanin pigments containing 50 ppm
or greater PCBs.
TSCA Inspection Manual
Volume Two: PCB Manual
2-55
March 1981
-------
Authorizations / Other
Requlatory Requirements
Inspection Procedures
Microscopy Mounting Medium
PCBs may be processed, distributed in
commerce, and used in-a nontotally
enclosed manner as a mounting medium
in microscopy until 7/1/84, subject
to the following conditions:
S 761.31(k)
• An exemption must be granted under
5 6(e)(3)(B) of TSCA for the
processing and distribution in
commerce of PCBs for use as a
mounting medium in microscopy.
TSCA Inspection Manual
Volume Two: PCB Manual
2-56
March 1981
-------
Chapter Two
2
Sampling Guidelines
Sampling is an integral part of PCB inspections. The purpose of sampling is
to verify the presence and concentration of PCBs. Because it is impractical
to sample everything that might contain PCBs, EPA has established sampling
guidelines intended to assist the inspector in making sampling
determinations.
These guidelines set out general principles for sampling, and priorities for
the types of situations in which sampling should be undertaken.
The wide variety of field situations that will be encountered make it
impossible to specify in advance exactly when samples should or should not
be taken. This final judgment must be made by the inspector.
General Guidelines for Sampling
1. Take a saaple whenever one is needed to prove a violation.
This would mean taking a sample of any material that needs to be
verified as containing PCBs.
2. Saaple only when there is reason to suspect PCB presence.
Unless there is some reason to believe that PCBs are present, there
is little likelihood of finding them through indiscriminate
sampling.
These general rules would assure the best case preparation in all instances,
but they are sometimes impractical to observe.
» On many inspections a very large number of samples would have to
be taken, resulting in an unduly long inspection and an
unreasonable backlog of samples to be analyzed.
• In some Instances it is not possible for an inspector to take a
sample:
• Capacitors cannot be sampled unless they are leaking.
• Transformers on poles usually cannot be sampled by inspectors.
TSCA Inspection Manual 2-57 March 1981
-------
3. Always attempt to verify the presence of PCBs by a means other than
sampling.
The most common sources of such verification are the company's
records, nameplate or label information, and statements by company
representatives. Such sources may be contested, but experience to
date indicates that they usually are not. Therefore, sampling
becomes less important when there is other evidence of the presence
of PCBs.
Priorities for Sampling
The following Sampling Priority Table lists the order of priority for taking
samples. These priorities are based on.
• Potential harm presented by the violation
• Extent of the apparent violation
• Need for Independent proof of the presence of PCBs
Sampling Priority Table
Level 1 Is the highest priority; Level 7, the lowest.
DISPOSAL VIOLATIONS
Level
1: Improper disposal (Including leaks and spills)
MAJOR STORAGE, MARKING, OR RECORDKEEPING VIOLATIONS
Level
Level
Level
Level
2: I teas bearing no Indication of PCB content
• Transformers
• Large containers
• More than ten 5 5- gal Ion drums
3: Items claimed to be decontaminated
• Transformers
• Large tanks
4: Other items claimed to be decontaminated
5: Other unmarked or unidentified Items
MAJOR STORAGE OR RECORDKEEPING VIOLATIONS
Level
Level
6: Items bearing a mark or indication of PCB content
• Transformers
• Large tanks
• More than ten 55-gallon drums
7: Other items bearing a mark or Indication of PCB content
TSCA Inspection Manual2^38March 1981
Volume Two: PCB Manual
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Sampling
The highest sampling priority is to prove disposal violations because they
result in direct environmental contamination and present the highest risk of
human exposure.
• Level One includes sampling in all instances of improper
disposal, including leaks and spills.
The next four levels involve major storage, recordkeeping, and marking
violations. These violations are grouped together because they often occur
together and they pose approximately the same risk of improper disposal.
* Level Two calls for sampling in situations involving large amounts
of material for which there is no independent proof of the
presence of PCBs. These situations involve a risk of extensive
environmental harm and a great need for evidence.
• Level Three calls for sampling in situations where large numbers
of items are claimed to be decontaminated. Although these
situations pose a lower risk of environmental harm, there is a
very high need for good evidence, since claims of PCB presence are
likely to be disputed.
• Level Four involves sampling other items claimed to be
decontaminated. The need for evidence is high, but the risk of
environmental harm is less than in Level Three, since the amount
of material involved will be smaller.
• Level Five calls for the sampling of the unmarked items suspected
of containing PCBs. Although there is a strong need for evidence
in such cases, the risk of harm is lower because smaller amounts
of PCB material will usually be involved.
The last group of priorities concerns situations, where major storage or
recordkeeping violations are observed involving^tems that bear some
indication of PCB content (such as a label). Sampling is needed to
establish concentration levels for determining penalties.
• Level Six calls for sampling in situations involving large amounts
of PCB material where the extent of potential harm is high.
• Level Seven includes sampling in situations involving smaller
amounts of PCB material.
Sampling will usually be required where there is reason to suspect
violations of the bans on unauthorized manufacturing, processing,
distribution in commerce, or use of PCBs. Experience to date indicates that
these violations are not usually encountered in routine inspections.
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Saapllng
Therefore, these violations are not Included In the priorities list.
Because of the seriousness of such violations, a sampling plan to prove such
violations should be specially designed in advance in consultation with
Headquarters personnel.
Sampling is not required, in general, in situations involving only minor
storage, marking or recordkeeping violations. In these instances,
independent evidence of PCB presence, either through records or marking,
will usually exist. Moreover, the risk posed by these situations will
usually be relatively small.
Unusual circumstances will sometimes necessitate sampling in such cases.
For example, the suspected violator may:
• Refuse access to records that would indicate PCB presence.
• Refuse to answer questions that would indicate PCB presence.
• Indicate, through past behavior or statements made to the
inspector, an intent to oppose all efforts to be brought into
compliance.
Such actions indicate a need for more comprehensive evidence. The decision
whether or not to sample in such situations must rest with the sound
judgement of the inspector.
Definitions of Violations
Major and minor violations, as used in this Manual, are defined the same as
in the PCB Penalty Policy (45 CFR 59770).
Major storage violations. A situation where a significant portion of the
spilled material would not be contained. Examples of such situations are
storage in areas with no curbing, noncontinuous.vor no flooring, or unsealed
floor drains. Storage of PCBs in an area with permeable flooring or curbing
would also be a major storage violation.
Major recordkeeping violations. A situation where the lack of records or
the extent of inaccuracy in the records significantly hinders the Agency's
ability to track PCBs to disposal. It would include failure to keep data on
incinerator operating parameters, or the absence of data on a transformer or
any transfer of PCBs.
Major marking violations. A major marking violation is a situation where
there is no indication to someone who is unfamiliar with the situation that
PCBs are present.
Minor storage violations. A situation where a violation exists but any
spill would be substantially contained. They would include small cracks in
walls or otherwise impervious floors, or no roof.
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Sampling
Minor marking violations. These are situations in which all the
requirements of the rule have not been followed, but there are sufficient
indicators to notify someone unfamilar with the situation that PCBs are
present and enable them to identify PCB items. An example would be the
failure to mark a transport vehicle containing PCB items which are
themselves marked.
Minor recordkeeping violations. These include small discrepancies or
omissions that do not seriously impair the Agency's enforcement effort.
Examples of such violations are small errors in the number of large
capacitors, small errors in number of containers, or the omission of the
date of transfer of PCBs.
Sample Collection
The first step in any collection program is to evaluate the purpose for
obtaining a sample for laboratory analysis. Samples collected for
determining the PCB level of possible contaminated solvents or for
establishing whether an unmarked transformer contains PCB dielectric fluids
will require different sampling considerations than samples collected to
confirm spills of PCBs or to identify the extent of PCB contamination of
soil, surface water, or ground water resulting from spills or improper
disposal.
Sample Collection Indicators
Inspectors should generally obtain samples when direct physical evidence
indicates that contamination has taken place. Sample collection would be in
order when:
• Leaking PCB articles or equipment are observed.
• Discoloration of soil adjacent to in-service or stored PCB
articles, equipment, or containers is observed.
• Oil films or sheets in standing water or on banks of nearby
streams is observed.
• Soils are highly saturated and ground water contamination from PCB
leakage is suspected.
• PCB materials such as rags and other debris are not properly
stored.
• There is reason to believe PCBs are present in unmarked or
improperly stored articles.
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Sampling
Sampling Plan
An effective Sample collection program includes the development of a sample
plan that contains the following items:
• Overall evaluation of the facility based on records of previous
inspections and on-site observations.
•• Selection of proper equipment and procedures for safe, effective
sampling*
• Selection of representative sampling sites.
• Collection of sufficient volumes of the PCB mixtures, water, soil,
or sludge, to carry out the required analyses.
• Preservation of samples to maintain sample integrity.
• Identification of each sample by proper labelling of the
containers.
• Procedures to ensure that recommended sample holding times are not
exceeded. Extraction should be accomplished within 7 days and
analysis within 30 days for water samples (Method 608, 304(h),
NPDES methods for priority pollutants in water).
• Procedures for identifying and handling potentially hazardous
samples (PCBs in other hazardous substances).
• Procedures for documenting chain of custody.
Inspectors should detail the time, date, location, type of sample, sampling
method, and reasons for obtaining the sample in their field notes at the
time of sample collection and, if possible, photograph the sampled area.
See Volume One, page 3-37 for a discussion of general sampling and
documentation procedures. Specific procedures for.r collect ing PCB samples
are detailed below.
Suggested Sampling Equipment
The validity of PCB samples is dependent upon the integrity of sampling
equipment. The following guidelines should be observed:
• Containers
• Glass sample bottles must be used; PCBs will absorb into plastic.
• Caps used on bottles should be lined with Teflon. Other materials
may contaminate the sample or may dissolve in PCBs.
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Sampling
• New clean sample bottles or jars that are sealed to prevent
accidential contamination should be used, if possible.
• If it is necessary to reuse sample bottles, they should be:
• Washed with soap and water.
• Rinsed three times with distilled water.
• Rinsed finally with methylene chloride.
• Baked in an oven at 350 degrees c. for one hour.
• Sealed to prevent contamination.
• When sampling to identify environmental PCB levels (less than 50
ppm) it is suggested that the new containers be cleaned as
outlined above.
• An empty bottle from each lot used should be supplied to the
laboratory as a control.
• Other Equipment - The following list contains the special equipment
normally used to sample for PCBs.
Glass tubing
Siphon bulbs
Glass pipettes or glass eyedroppers with squeeze bulbs
Glass beads
Prepared aluminum or teflon scoop or laboratory spatula
Piston corer with Shelby core tubes or metal coring device
Hexane-rinsed aluminum foil
Container of isooctane
Cotton swabs
Peterson, or Ekman dredge
Glass or plastic coring tubes (3 feet x 1 1/2 inches)
Sampling tongs
Rubber gloves
Sample bags and seals
Chain-of-custody tags and forms
Plastic disposal bags
General Considerations for Sampling
Care should be taken to avoid PCB spills and to minimize health hazards to
inspectors during sampling.
• Avoid contamination of the outside of the sample container.
• Wipe stop cocks, hard surfaces, etc., when sampling is complete.
• Properly dispose of all contaminated sampling equipment or store the
equipment for decontamination.
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Sampling
The risk of cross-contamination should be minimized at all times to protect
sample containers. If glass tubing or dipping vessels are used to collect a
sample, use a separate unit for each sample to avoid cross-contamination of
samples.
Sample Volume
The volume of each sample obtained should be sufficient to perform all the
required PCB analyses plus an additional amount to provide for any quality
control needs, split samples, or repeat testing. The volume of sample
depends on the type of material and the analyses to be performed. The
amounts required for each sample type are listed in the following table.
• Transformer oil and other homogeneous 25 ml.
PCB mixtures (i.e., hydraulic oil,
or heat transfer oil).
• Non-homogeneous PCB mixtures 100 ml.
including waste oil
• Soil, Sludge, Sediment 100 g.- 1 kg.
• Water 100 ml.- 4 1.
• Water-oil mixtures 100 ml.- 4 1.
• Solid PCB mixtures 100 g.- 1 kg.
(non-homogeneous such as
pigments etc.)
To determine PCB levels in the 50 ppm or greater range the lower sample
volume may be collected. The larger sample volumes are listed as a guide
for samples that will be analyzed to identify environmental levels. These
larger smaple volumes allow more latitude for the laboratory in cases where
several analyses may be performed.
Some situations (e.g. condensate in natural gas lines or oil from drained
drums) may be encountered where even the lower sample volume is not
available. In these cases whatever sample volume is available should be
collected.
Sample Preservation
In most cases, PCBs are stable in oil or other organic matrices.
Environmental samples such as water, soil, sediment, foliage, etc., should
be cooled below 4°c.
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Safety
Safety Procedures
The inspector should take special precautions to avoid contact with PCBs or
exposure to the fumes from hot PCBs.
• Wear rubber gloves while taking samples suspected to contain PCBs.
• Wear disposable shoe covers when entering areas known or suspected to be
contaminated with PCBs.
• A face shield should be worn if splashing is likely to occur.
• A disposable body suit (such as Tyvac) should be worn if contamination
of clothing is a possibility.
• Dispose of gloves, shoe coverings and other disposable protective
garments in a plastic bag after use. Final disposition of these items
should be the same as for PCBs.
i
• Stay out of an area where the odor of vapors from hot PCBs is strong, or
wear a canister-type respirator. (A respirator may be worn loosely
around the neck and used if a dusty situation or PCB related odors,
i.e. trichlorobenzene, is encountered.)
• Do not attempt to obtain samples from transformers that are in service
since this type of sampling is hazardous and requires an expert at
working around live electrical equipment. Ask facility personnel to
obtain a sample if one is needed.
• Ask facility personnel to obtain a sample, if required, from operating
heat transfer systems. Have the liquid drained directly into the sample
bottle, and leave bottle open until cool enough to handle.
Treatment for PCB Contact with Skin
PCBs on the skin are not particulary hazardous if washed off within a
half hour or so. However, protective clothing should be worn to
protect against contamination.
If exposure occurs, clothing should be removed and the affected body
area should be flushed with water for a period of 10 minutes.
General Safety Precautions
• Do not touch and contaminate anything to be eaten.
• Clean PCBs off of skin with a paste-type waterless hand cleaner,
then wipe off cleaner with paper towels (dispose of as PCBs).
• Wash with soap and water.
• If PCBs get in the eyes, flush with water for 20 minutes and get
immediate medical attention.
• Report any exposure to the appropriate Health and Safety Officer.
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Equipment
TRANSFORMERS
HEAT TRANSFER SYSTEMS
HYDRAULIC SYSTEMS
**Caution**
Do not sample electrically-live transformers or systems operating at
elevated temperatures or pressures. If samples from such equipment
are required, they should be taken by experienced facility personnel
in the presence of the inspector. Procedures followed in obtaining
these samples should be documented by the inspector.
Equipment
Site Selection
Saapllng Points
Volume
Procedures
Clean sample containers with caps
Sampling tongs
Rubber gloves
Sample bags and seals
Disposable wiping clothes
Plastic disposal bags
A sample from a transformer or system drain
cock can be assumed be representative of the
entire system.
• Transformer drain cock
• System drain cock
• Expansion tank drain cock
• Reservoir tank (hydraulic system)
Note: PCBs may also be sampled from
barrels in storage or from
drip pans and puddles. See
separate sections detailing these
procedures.
25 ml
Use rubber gloves.
Use tongs to support container if sample
is hot.
Open drain cock.
Drain 25 ml into container.
Let sample cool before capping.
Seal, identify, log samples.
Wipe spills from sampling point.
Dispose of contaminated equipment or store
for decontamination.
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Sanples froa Barrels, Druas, Tanks, and Pits
BARRELS, DRUMS, TANKS, AND PITS
PCBs are heavier than water and generally will sink in water. Drums Of
contaminated water will have a layer of water on top and a layer of
PCBs on the bottom. Drums of oil may have a water layer on the bottom.
Liquid mixtures in drums, barrels, tanks, or pits should be sampled
with glass tubing to obtain a representative sample of all layers
present.
Equipment Glass tubing (hexane - rinsed)
Clean sample containers with caps
Rubber gloves
Sample bags and seals
Disposable wiping cloths
Plastic disposal bags
Site Selection Sample directly from container. If a large
tank, a drain cock may be the only available
site.
Volume 25 - 100 ml. (non-homogeneous mixtures will
require larger amounts).
Procedures • Use rubber gloves.
• Insert open glass tube into container.
• Cap top end of tube, withdraw from container.
• Release cap, drain sample into clean sample.
container. Cap.
• Seal, identify; log samples.
• Wipe spills from sampling point.
• Dispose of contaminated equipment or store
for decontamination.
• Use separate glass tubes for each sample.
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Samples ftorn Drip Pans and Puddles
DRIP PANS and POODLES
Drip pans and puddles may be present under equipment drains, barrel
stop cocks, etc.
Equipment
Site Selection
Volume
Procedures
Clean glass sample containers
Glass pipette, squeeze bulb
Glass eyedropper
Glass beads
Clean sampling scoop
Rubber gloves
Sample bag and seal
Disposable wiping cloths
Plastic disposal bag
Obtain sample from center of pan or puddle
25 ml (or equivalent amount if viscous)
« Use rubber gloves.
• Using pipette, or eyedropper, draw 25 ml.
NEVER PIPETTE BY MOUTH.
Use a separate .pipette for each
sample.
• If material is viscous or difficult to
pipette, remove with scoop. If necessary,
add glass beads and mix thoroughly.
• Deposit in sample container. Cap.
•Seal, identify, and log samples.
• Wipe any spills from sampling point.
• Dispose of contaminated equipment or store
for-decontamination.
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Surface (Swab) Samples
Equipment
Site Selection
Procedures
Note:
SURFACE (SWAB)
Cotton swabs
Clean glass sample containers
Aluminum foil (hexane-rinsed)
Container of isooctane
Rubber gloves
Plastic disposal bag
An area of at least 4 square inches at the
center of apparent contamination.
• Identify in the field notebook the size and
location of the area to be swabbed. Photo-
graph if possible.
• Use rubber gloves.
• Dip clean swab in isooctane.
• With swab, clean the designated area.
• Wrap swab in aluminum foil that has been
rinsed in hexane.
• Place the wrapped swab in a clean sample
container. Cap.
• Dip another swab in Isooctane, wrap in foil
and place in a separate sample container.
(This will be used by the lab for comparison
purposes).
• Seal, identify, and log samples.
• Dispose of contaminated equipment or store
for decontamination.
Analysis of this type of sample will be
qualitative (semi-quantitative at best), but
will reflect the general degree of surface
contamination.
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Surface Soil and Grawel Saaples
Equipment
Site Selection
Volume
Pi jc
SURFACE SOIL AND GRAVEL
• Prepared aluminum or teflon scoop or labora-
tory spatula (.washed with soap and water,
rinsed with distilled water and methylene
Dlchloride or hexane, and wrapped in aluminum
foil)
• -Clean glass sample containers, caps
• Rubber gloves
• Sample bags and seals
• Plastic disposal bag
If area of suspected contamination is small
take sample from center of area. If large see
Site Selection procedures p. 2-76.
100-500 grams
• Use rubber gloves
• Remove foil from sampler. Scoop to a depth
of one-quarter to one-half inch (one inch
maximum depth).
• Collect 100-500 grams; deposit in sample
container. Cap.
• Seal, identify, and log samples.
• Dispose of contaminated equipment or store
for decontamination.
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Core Samples
Equipment
Site Selection
Volume
Procedures
SOIL OORE SAMPLES
• Piston corer equipped with a methylene
chloride-washed Shelby core tube or
hexane-rinsed metallic coring device
• Clean sample containers of sufficient
size to contain cored sample of 3-4
inches.
• Aluminum foil (hexane-rinsed)
• Sample bags and seals
• Rubber gloves
• Plastic disposal bags
If the area is small, core samples should be
taken at the center and edge of the area.
In larger areas Site Selection procedures
(p. 2-76) should be followed.
Cores of 3-4 inches should be taken
initially. Deeper samples may be required
later.
• Use rubber gloves.
• Use the corer to obtain a 3-4 inch
sample. Displace compacted surface soil
with a shovel or laboratory spatula if
necessary.
• Extrude sample into hexane-rinsed foil and
wrap.
• Label top and bottom of sample.
• Place sample in container. Cap.
• Seal, identify, and log samples.
• Dispose of contaminated equipment or store
for decontamination.
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Water Samples
WATER
Water sampling requires special attention. Because of the chemical
properties of PCBs and because other substances may be present in the
water, PCBs may be present as a bottom layer, surface film, emulsion,
solution, or as a combination of these forms. Since askarel and most
transformer oils are denser than water, they will normally sink to the
bottom.
Equipment
Volume
Storage
Site Selection
Procedures
• Clean, capped sample containers
• Rubber gloves
• Plastic disposal bags
100 ml to 4 1.
All water samples should be stored on ice (See
Federal Register, 12/3/79 page 69502, 8.2)
Surface Samples
Stagnant, standing water (particularly if an
oil slick is visible).
• Use rubber gloves.
• Slowly lower a tilted sample bottle into
the water until the water begins to run
into it.
• Slowly turn the bottle upright keeping the
lip just under the surface so that the
whole sample is surface water.
• Carefully lift the bottle out of the
water.
• Transfer the sample to a separate sample
container. Cap.
• Seal, identify, and log the sample.
• Dispose of contaminated equipment or store
for decontamination.
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Water Samples
Site Selection
Procedures
Site Selection
Procedures
Subsurface Saaples
In moving water, choose the most turbulent
area where the greatest amount of mixing is
taking place. Avoid quiescent areas. In
still water, choose areas that appear to
have an oil film on the surface.
• Immerse a sealed sample bottle 6-12 inches
below the water surface.
• Remove the bottle top to let the air
escape and the bottle fill. Replace the
top underwater.
• Transfer the sample to another sample
container.
• Use a separate dipping vessel for each
sample to prevent cross-contamination.
• Seal, identify and log samples.
• Dispose of contaminated equipment or store
for decontamination.
Ground Water
Collect samples from a water well located
down-gradient from the area of suspected
contamination.
• Open tap on supply line from well (or hand
pump the well).
• Let water run at least 2-3 minutes at full
flow.
• If well depth and diameter is known purge 3
to 4 times volume of casing.
• Fill sample container. Cap.
• Seal, identify, and log samples
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Sediment Samples
Equipment
Site Selection
Volume
Procedures
SEDIMENT
Clean, capped sample containers
Plastic* or glass coring tubes (3 feet x
11/2 inches)
Peterson dredge, or
Ekman dredge for deep sediments
Weighted bottom dredge
3-gallon hexane-rinsed steel bucket
Rubber gloves
Plastic disposal bags
Take samples from the same area that surface
or subsurface water samples were taken, and
in the vicinity of any outfall from a
contaminated site.
100 grams - 1 kg.
I. For commonly encountered shallow sediments
• Lower glass or plastic* coring tube through
the water and into the sediment. Retrieve
collected sample.
• Empty contents of sample immediately into
precleaned glass jars or bucket.
• As needed, remove leaves, sticks, and rocks
from sediment before transferring to wide-
mouth sample jar.
II. For deep sediments
• For hard bottoms of sand, gravel, etc.,
use a Peterson dredge; for soft bottoms
use an Ekman dredge.
• Collect the sample.
* Plastic sampling equipment should be avoided
when sampling PCBs. However, in collecting
sediment samples, plastic may be used if
contact time is minimal.
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Other Saaples
Procedures
• Empty contents into a hexane-rinsed
3-gallon steel bucket.
• Allow sediment to settle.
• Slowly pour off water, remove sticks, leaves,
and stones as required.
• Transfer one quart of the sediment to a
clean, wide-mouth sample jar. Cap.
• Seal, identify, and log samples.
• Store samples on ice for shipment to
laboratory.
OTHER SAMPLES
Wood
• Collect an intact piece of wood, if
possible, from the contaminated area.
• Surface samples can be collected using a
chisel. A hole saw can also be used.
• Wrap sample in hexane-rinsed aluminum
foil.
• Seal, identify, and log the sample.
Other Samples
Guidance on other types of samples such as
dust, foliage, animals,.etc. is available
from the Compliance Monitoring Branch,
PTSED.
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Saaple Site Selection
SAMPLE SITE SELECTION (Spills)
Source: RCRA Policy and Program Guidance Memorandum #0-1
Procedures to determine the extent and level of contamination of a PCB
spill are based on a three-dimensional plot of the suspected zone of
contamination that identifies the contamination area and locates
specifics points and depths at which samples should be taken.
Zone Plot (See figure 1)
1. Plot the perimeter and depth dimensions of the suspected zone of
of contamination.
2. On the plot, establish transects that intersect through the
approximate center of the zone. These transects will divide
the zone into segments.
3. Plot samples to be taken at the following points:
• Intersections of the perimeter and transects
• Intersection of the transects (center of zone)
• Approximate center of each segment formed by transects
Surface samples should be 500 gram samples taken at a depth no
greater than one inch.
Subsurface samples should be collected at the depth of suspected
contamination. Refer to guidelines for core samples, page 2-71.
Sampling
Once sampling sites have been plotted, samples should be collected
in accordance with the guidelines and the procedures listed on pages
2-66 through 2-75.
When excavation activities are believed to be completed, samples should
be taken at the excavated depth to determine if the excavation process
has caused contamination at depths below the originally defined zone of
contamination.
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Sample Site Selection
Perimeter of Suspected Area- ABCD
5v±isurface Sanples
Perineter Intersection of the Transects- AA, BB, CC. DD
Intersection of the Transects at the Approxinate Center of the
Suspected Area- H
'Anrcxinate Center of £ach Segoent Corned by the Perimeter and
che Transects- ABI'ABI1. BCTBCI1 , CDI'CDI1. ADI 'ADI'
Figure 1
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Chapter Three
Item-Specific
Information
Contents Pa&e
1 Transformers
Background 3-1
Locations 3-1
Maintenance and Repair 3-2
Risk of Contamination 3-4
Inspection Focus 3-5
Regulatory Requirements 3-6
Manufacturers and Trade Names 3-7
Capacitors
Background 3-9
Locations 3-9
Maintenance and Repair 3-10
Risk of Contamination 3-10
Inspection Focus 3-11
Regulatory Requirements 3-12
Manfacturers and Trade Names 3-12
Hydraulic Systems
Background 3-13
Risk of Contamination 3-13
Inspection Focus 3-14
Regulatory Requirements 3-14
Manufacturers and Trade Names 3-14
Other PCS Equipment
Heat Transfer Systems 3-15
Vacuum Pumps 3-15
Gas Turbines 3-16
Electric Motors 3-16
Electromagnets 3-16
Products Containing PCBs 3-17
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Chapter Three
1
Transformers
Background
Electrical transformers are often filled with a dielectric liquid which
increases the resistance of the unit to arcing and acts as a heat transfer
media, helping to cool the coils. Most transformers are filled with
transformer oil, but about 2%-3% of liquid-filled transformers are filled
with a chlorinated fire-resistant fluid which meets the definition
established in the National Electrical Code (NEC) for "askarel", the generic
name for non-flammable insulating liquids used in transformers. Prior to
1979, transformer askarel contained 60-100% PCBs. Askarel transformers
were made in. a variety of sizes containing from 3 to 3000 gallons of PCB
liquid and are generally used in hazardous locations where flammability is
of concern*
(A list of transformer manufacturers and trade names of PCB fluids is
located on page 3-8.)
Two types of transformers are defined in the regulations:
• PCB Transformer; any transformer containing 500 ppm PCBs or greater.
c. PCB-Contaminated Transformer; any transformer containing 50-500 ppm
PCBs, These transformers are not subject to the marking require-
ments, nor, if drained of fluid, to the disposal requirements.
Liquid drained from a PCB-contaminated transformer must be stored and
disposed of in accordance with the regulations.
Transformer Locations
Four major economic sectors control approximately 90% of the 140,000 PCB
transformers currently in service. Estimates (1979) include:
Industrial Sector (51,000 PCB transformers)
This sector includes: metals, chemicals, paper and lumber, mining,
automobiles, food, textile, and stone, clay, and glass. PCB transformers
are likely to be located in the following areas:
• Inside buildings in hazardous locations.
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Transformers
• Near high-voltage electrical equipment generating high temperatures
(e.g. metal processing equipment, kilns, etc.).
• In powerhouses which distribute electrical power throughout the
facility.
Electric Utilities (38,000 PCB Transformers)
PCS transformers can be found in:
• Distribution sub-stations.
• Generating facilities (usually only in hazardous locations)
e Nuclear facilities
e Near coal conveyors
• Electrostatic precipitators
Buildings (34,000 PCB transformers)
PCB transformers are often used inside commercial buildings to meet fire
code restrictions. Most commercial building owners contract the servicing
of their transformers to transformer maintenance and repair companies.
tUilr^ds and Subways (1,000 PCB transformers)
PCBs are used in on-board transformers in electric railroad locomotives and
self-propelled cars in service in the Northeast Corridor (Washington to
Boston). The transformers reduce the high-voltage current from overhead
lines .
Subways use PCB transformers to distribute power to subway cars.
Transformers are generally located underground.
Maintenance and Repair of PCB Transformers
PCB transformers require periodic maintenance and repair which may be
Dandled by facility staff or by independent contractors.
» Independent firms may contract to maintain and repair transformers
for all types and sizes of industries, including small firms (e.g.,
commercial buildings).
• Maintenance divisions of larger Industries may operate facilities to
-maintain and repair transformers. These divisions will sometimes
service transformers for other firms.
TSCA Inspection Manual 3-2 March 1981
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Transformers
Maintenance operations take place both on-site (at the operating location
of the equipment), or off-site (at a special shop or facility operated by
the firm or by the contractor).
• On-Site maintenance and repair involves considerable handling of
PCBs, including:
• Transport of PCB liquids and maintenance equipment to the
site.
• Transport of waste liquids, contaminated rags, etc. to
storage or disposal.
* Qff"Site maintenance may be handled in special facilities used only
for transformer maintenance or in shops which handle other
maintenance as well. Handling includes:
• Removal of the transformer from the operating site.
• Transport of damaged equipment.
• Reinstallation of repaired equipment.
PCB Transformer Maintenance
PCB transformers are serviced periodically and repaired when
non-functioning. Maintenance includes:
• Sampling of fluid to test dielectric strength.
» Topping off.
• Replacement of gaskets, bushings, insulators, etc., which may involve
partial draining of the unit.
e Removal and filtering of the PCB liquid and refilling of the unit.
• Removal of the PCB liquid, refilling with replacement fluid.
• Generation of waste liquid, contaminated rags and equipment, etc.,
that must be disposed of in accordance with the regulations.
Special prohibitions and authorizations for PCB transformer maintenance are
listed on pages 2-47 and 3-6.
Railroad Transformer Maintenance
Railroad transformers require additional and more frequent maintenance
because of their unique installation and operating circumstances.
• On-board transformers are subjected to severe conditions (high-loads,
cramped space) and require a high level of maintenance.
o Pumps circulate PCBs through the transformers where heat is absorbed,
to a series of finned radiators where the heat is dissipated.
• Transformers and cooling apparatus located in the undercarriage are
subject to damage from objects thrown from the roadbed. Leaks can
cause exterior surfaces to become contaminated.
TSCA Inspection Manual3-5March 1981
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Transformers
Maintenance frequently takes place in repair pits which can become severely
contaminated with PCBs. Operations are similar to those listed for other
PCB transformers, but include additional activities:
• Repair, replacement of circulating pumps and damaged, leaking cooling
systems and radiators.
• Dismantling/disconnection of cooling systems filled with PCB fluids.
• Decontamination of system and equipment surfaces.
Special prohibitions and authorizations for railroad transformer maintenance
are listed on pages 2-48 and 3-7.
Risk of Contamination
Spills
Maintenance operations
Decontamination operations
Improper handling techniques
Transport operations
Draining, refilling operations
Disconnection/disassembly of railroad transformers
Lack of spill containment provision in work pits/servicing areas
Improper storage
Leaks
Malfunctioning equipment
Dismantling/reassembly of equipment
Damaged equipment
Containers used for storage and transport
Stored equipment awaiting service
Improper Disposal
• Waste liquids
• Contaminated solids (rags, filter media, etc.)
• Contaminated parts
Low Level of Worker Knowledge of Hazards
Insufficient Protective Clothing and Equipment
TSCA Inspection Manual 3-4 March 1981
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Transformers
Inspection Focus
PCB Transformers
• Compliance with recordkeeping requirements
• Maintenance and repair operations
• Materials handling systems
• Storage sites
• Long term
• Temporary
e Storage for serviceable equipment
• Leaks and spills
• Storage areas (particularly incoming storage site)
• Maintenance operation sites
• Facility drainage system
• Nearby receiving waters
* Transport vehicles
• Improper disposal
• Scrap areas
• Dumps and landfills
• Abandoned buildings
• Leachate
• Maintenance areas
« Transport operations
Railroad Transformers
• Compliance with recordkeeping requirements
• Condition of on-board transformers
• Integrity of transformer, cooling system
• Contaminated surface, evidence of leakage
• Design and condition of work pits and servicing areas
• Spill containment provisions
• Protection from accidential discharge of PCBs through drains
• Contamination of surfaces in work areas
• Level of worker knowledge of PCB hazards
• Long term and temporary storage areas
• Transport operations
• Compliance with specific regulations
TSCA Inspection Manual 3-5 March 1981
Voluae Two: PCB Manual
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Transfo
Regulatory Requirements
PCS Transformers
The PCB rule contains several directives concerning the servicing of PCB
transformers and their conversion into PCB contaminated transformers.
The removal of a transformer coil from the casing of a PCB transformer
is prohibited. § 761.31(a)(3)
Use of dielectric fluid of a concentration greater than 500 ppm PCBs
may not be used to service any PCB transformer or PCB-contaminated
transformers. § 761.31(a)(l) and (2)
PCBs from PCB transformers must not be mixed with or added to
dielectric fluid from PCB-contaminated transformers.
§ 761.31(a)(4)
PCBs removed from PCB transformers or PCB-contaminated transformers
must be captured and reused as dielectric fluid or properly disposed
of. § 761.3l(a)(4)
PCB transformers may be topped off with PCB dielectric fluid.
§ 761.31(a)(3)
A PCB transformer may be converted to a PCB-contaminated transformer
by draining, refilling, and servicing the transformer with non-PCB
dielectric fluid so that after 3 months the dielectric fluid contains
less than 500 ppm PCBs. § 761.31(a)(5)
Railroad Transformers
The PCB rule requires periodic retrofilling to reduce the concentration of
PCBs in the liquid to a maximum of 60,000 ppm by January 1, 1982, and to no
more than 1000 ppm by January 1, 1984. The process of draining, flushing,
refilling^ and casting the transformers may be performed while the units are
still installed on the car or locomotive. This process will generate large
quantities of PCB liquids that will require special storage and disposal.
After 1/1/82, railroad transformers containing dielectric fluid with a
concentration of 60,000 ppm PCBs may not be used. After this date
these transformers may be serviced only with dielectric fluids of less
than 60,000 ppm PCBs. § 761.31(b)(l)(i), § 761.31(b)(l)(ii)
After 1/1/84, railroad transformers containing dielectric fluids with
a concentration greater than 1000 ppm PCBs may not be used. These
transformers may be serviced only with dielectric fluids of less than
1000 ppm PCBs. § 761.31(b)(D(ii) § 761.31(b)(l)(iii)
The concentration of PCB dielectric fluids contained in railroad
transformers must be measured:
• Immediately upon completion of any servicing
TSCA Inspection Manual :F5March 1981
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Transforaera
• Between 12 and 24 months after each concentration reduction
procedure.
« Records of these measurements must be retained until 1/1/91
§ 761.31(b)(l)(iii)
Dielectric fluid may be filtered through activated carbon, or otherwise
industrially processed to reduce the PCB concentration. § 761.31(b)(2)(iv)
If, after 1/1/82, the coil of a railroad transformer is removed from its
casing, the transformer must be refilled with dielectric fluid of a
concentration less than 50 ppm PCBs. §761.31(b)(2)(i)
Manufacturers and Trade Names
PCB transformers were manufactured in the US from 1932 to 1978. Many of the
manufacturers identified the PCB askarel liquid by a trade name. The
following list of manufacturers and trade names is not necessarily
complete. PCBs have been used since 1929, and many companies have gone out
of business, Inform headquarters PTSED if you see a make or trade name of
PCB fluid chat is not on this list.
Transformer Manufacturer PCB Fluid Trade Name
Allis-Chalmers Chlorextol
American Corp. Asbestol
Electro Engineering Works
Envirotech Buell
ESCO Manufacturing Co. Askarel*
Fevranti-Packard Ltd. Askarel*
General Electric Pyranol
H.X Porter
Helena Corp.
Hevj -Duty Electric Askarel*
ITE Circuit Breaker Co. Non Flammable Liquid
Kuniman Electric Saf-T-Kuhl
Maloae.y Electric
Monsanto (fluid only) Aroclor
Niagara Transformer Corp. Askarel*, EEC-18
Power Zone Transformer EEC-18
Research-Cottrell Askarel*
Standard Transformer Corp.
Uptegraff Manufacturing Co.
Van Tran Electric
Wagner Electric No-Flamol
Westinghouse Inerteen
----- Nepolin
_____ Dykanol *
*Generic name for non-flammable insulating liquids.
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TSCA Inspection Manual 3-8 March 1981
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Chapter Three
2
Capacitors
Background
PCBs were used as the dielectric fluid in most capacitors manufactured
between 1920 and 1978. The regulations require that all capacitors be
considered to be PCB items except when a specific capacitor is known to
contain no PCBs. Non-PCB capacitors manufactured since July 1, 1978 are
required to be labeled "No PCBs".
(A list of capacitor manufacturers and PCB fluid trade names is located on
p. 3-12).
The regulations define three types of PCB capacitors:
« Small capacitor is a capacitor which contains less than 1.36 kg. (3
Ibs.) of dielectric fluid.
• Large high voltage capacitor is a capacitor which contains 1.36 kg (3
Ibs7) or more of dielectric fluid and which operates at 2000 volts AC
or above.
• Large low voltage capacitor is a capacitor which contains 1.36 kg. (3
IbsO or more of dielectric fluid and which operates below 2000 volts
AC.
Locations
Electric Utilities
• As of 1979, 1,339,000 large capacitors were estimated in service.
• Average capacitors per plant: 528.2.
• Usually located in distribution sub-stations.
TSCA Inspection Manual 3-9 March 1981
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Capacitors
Subway Systems
• Large capacitors are often used in conjunction with underground
transformers.
• Also used on board subway cars.
Mines
• As of 1979, 57,000 large capacitors were estimated in service.
• Usually located within the power substation that supplies electricity
to the entire mine.
• Often installed in control boxes for large electrical motors.
Steel and Die Casting Plants
• Capacitors are used for power factor correction motor control
circuits, and as part of the circuitry of electric induction
furnaces.
Maintenance and Repair
Non-functioning capacitors are generally replaced rather than repaired.
Short circuiting units can rupture and leak. Units not in service are
generally stored for disposal.
Risk of Contamination
Capacitor Manufacturing Facilities
The manufacture of PCB capacitors has been banned by the PCB rule, but past
manufacturing practices and activities may continue to cause environmental
contamination resulting from:
• Contamination of complex material-handling systems.
• Poorly-constructed drainage systems.
• Poor housekeeping practices.
• Improper disposal of defective capacitors.
TSCA Inspection Manual 3-10 March 1981
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Capacitors
Leaks
• Malfunctioning equipment
• Damaged equipment
• Containers used for capacitor storage and transport
• Stored equipment awaiting disposal
Improper Disposal
* Illegally-discarded capacitors
• Waste liquids from damaged capacitors
Inspection Focus
• Facility records.
*. Former capacitor manufacturing facilities
s Storage areas containing any waste PCB liquids or solid wastes
generated by manufacturing operations.
« Materials handling systems used for PCBs. Residual PCBs in the
systems could contaminate other substances.
« Dumps, landfills, or pits used in the past for disposal of
manufacturing wastes. Leachate and other indicators of
contamination should be sampled to determine whether PCBs are being
released into the environment.
v Facility drainage systems should be inspected and sampled for PCB
contamination.
* Integrity of capacitors in use.
* Scorage of capacitors removed from service.
« Transport operations.
• Disposal operations.
TSCA Inspection Manual 3-11 March 1981
Volume THtti ECB Manual
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Capacitors
Regulatory Requirements
PCB small capacitors owned by manufacturers of PCB capacitors or PCB
equipment and acquired in the course of such manufacture must be disposed of
in accordance with the regulations. §761.10(b)(2)(iv)
PCB small capacitors, other than the above, may be disposed of as municipal
solid waste. §761.10(b)(2)(ii)
Manufacturers and Trade Names
PCB capacitors were manufactured in the US from 1930 to 1978. Many of the
manufacturers identified the PCB dielectric liquid by a trade name. The
following list is not necessarily complete. PCBs have been used since 1929,
and many companies have gone out of business. Inform headquarters, PTSED of
makes or trade names not on this list.
Capacitor Manufacturer PCB Fluid Trade Name
Aerovox Hyvol
Axel Electronics
Capacitor Specialists
Cornell Dubilier Dykanol
Electrical Utilities Corp. Eucarel
Electromagnetic Filter Co.
General Electric Pyranol
Jard Corp. Clorphen
McGraw Edison Elemex
Monsanto (fluid only) Aroclor, Capacitor 21,
MCS 1489
P.R. Mallory & Co. Aroclor B
R.F. Interonics
Sangamo Electric Co. Diaclor
Sprague Electric Co. Clorinol
Tobe Deutschmann Labs
Universal Manufacturing Corp. Askarel*
Westinghouse Inerteen
York Electronics
*Generic name for non-flammable insulating liquids in transformers
and capacitors.
TSCA Inspection Manual ~ ^n March 1981
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Chapter Three
3
Hydraulic Systems
Background
PCBs were widely used by steel manufacturing and die casting plants in
hydraulic systems on machines that handled hot metals in order to reduce
fire hazards. Hydraulic systems normally leak several times their capacity
each year since the fluid is pressurized to several thousand pounds per
square inch and may leak at connections.
Risk of Contamination
Spills
• Maintenance operations
• Improper handling techniques
Leaks
• Connection joints of hydraulic system
• Piston rings in hydraulic cylinders
Improper Disposal
• Rags and debris gathered during clean-up operations
• Contaminated soil
• Contaminated parts
Inspection Focus
Compliance with retrofilling requirements
Condition of equipment
Evidence of leaks and spills
Floor drains that empty into sewer or outfall to ditches or streams
Nearby receiving waters
TSCA Inspection Manual 3-13 March 1981
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Hydraulic Syst
Regulatory Requirements
• PCBs may not be added to a hydraulic system.
• Each system must be tested annually to determine the PCB
concentration at least 3 months after the most recent refilling.
• If annual testing shows PCB concentration greater than 50 ppm, the
system must be drained and refilled with fluid containing less than
50 ppm PCBs within 6 months.
• Topping off with non-PCB fluids to reduce PCB concentration is
permitted.
• Testing is no longer required when the PCB concentration becomes
less than 50 ppm.
• Data and records obtained as a result of test sampling must be
retained for 5 years after the system reaches 50 ppm PCBs.
Manufacturers and Trade Names
Manufacturer
Hydraulic Fluid Trade Names
Monsanto
Pydraul A-200
Pydraul A-200-B
Pydraul AC
Pydraul AC-A
Pydraul AC-28
Pydraul F-9
Pydraul F-9-A
Pydraul 135
Pydraul 150
Pydraul 150-A
Pydraul 230
Pydraul 230-A
Pydraul 280
Pydraul 312
Pydraul 540
Pydraul 540-A
Pydraul 540-B
Pydraul 625
Pydraul 625-A
TSCA Inspection Manual
Voluae Two: PCB Manual
3-14
March 1981
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Chapter Three
4
Other PCB Equipment
Heat Transfer Systems
Heat transfer systems seldom leak, and although the systems that contained
PCBs were drained and flushed in the early 1970's, many of the systems still
contained two to three percent residual PCBs when tested six to eight years
later. The regulations require that all of the systems that ever contained
PCB-based fluid be tested and decontaminated as necessary to reduce the
concentration of PCBs to below 50 ppm. Records of the results of the tests
must be maintained for five years after the 50 ppm level is achieved.
Inspections of facilities that bought significant quantities of PCB heat
transfer fluid should ensure that all systems that were in service in 1973
have been tested and that all PCB-contaminated fluid that has been drained
from the systems has been properly stored for disposal or disposed of by
incineration.
Fluid Manufacturer Heat Transfer Fluid Trade Names
Geneva Industries (Sold as equivalent to Monsanto FR-1
Monsanto Therminol FR-0 Therminol FR-2
Therminol FR-LO Therminol FR-3
Therminol FR-1
Vacuum Pumps
Monsanto sold PCBs (under the trade name Santovac) for use as the working
fluid in vacuum pumps until 1979. These vacuum pumps were used in
applications involving high temperatures and reactive gases such as
chlorine.
Inspection^ of facilities that purchased significant quantities of vacuum
pump fluid should verify that pumps that have been in service since 1973
have been sufficiently decontaminated so that the concentration of PCBs in
the fluid is now below 50 ppm.
TSCA Inspection Manual 3-15 March 1981
Tun; PCB Manual
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Other PCB Equipment
Gas Turbines
Several natural gas pipeline companies tested PCBs as a working fluid in
their compressors in the early 1970's. PCBs were not satisfactory in this
application because they had a tendency to foam, and the fluid was therefore
drained out after a period of a year or two. However, residual PCB
concentrations of up to 1,000 ppm were found when the fluid in several of
these compressors was tested a number of years later.
The regulations require that all of the compressors that ever contained PCBs
be tested and that the fluid must contain less than 50 ppm PCBs. Inspection
of facilities known to have used PCB compressor fluids should verify that
the compressors have been tested and properly decontaminated and that the
PCB-contaminated fluid that was removed from the compressors was properly
stored for disposal or disposed of by approved incineration.
Electric Motors
In the late 1960's and early 1970's, PCBs were used in some electric motors
manufactured by Reliance Electric for Joy Manufacturing Co. Liquid-filled
motors were used because they were smaller and lighter than air-cooled
motors. A PCB mixture was chosen as the liquid because it was
non-flammable, provided adequate lubrication, and possessed the best overall
combination of electrical properties, chemical stability, and cost.
Mini ig machine electrie motors used on certain underground continuous
loaders that were built by Joy contain PCBs as a coolant fluid in the large
cutting head motors and traction motors. The regulations establish a
deadline for phasing out the use of these motors.
Tba regulations have established a deadline of 1/1/82 when PCBs can no
longer be added to motors. Also, PCB motors in loader-type mining equipment
must be rebuilt as air-cooled or other non PCB-containing motors whenever
the aotor is returned to a service shop for servicing or repair.
Electromagnets
Separator magnets have seldom developed leaks; the few know cases have
resulted from fatigue of welds in the casing or mechanical damage. However,
should a leak develop, the PCBs will drain onto the coal on the conveyor
belt. There will be little environmental impact if the coal goes directly
into a crusher and then into a utility boiler, since conditions in the
boiler will destroy the PCBs. However, if the coal is washed as part of the
cleaning process, a large quantity of process water may become contaminated
with PCBs.
The regulations prohibit servicing or rebuilding of PCB electromagnets which
requires the removal of the coil from the casing.
TSCA Inspection Manual 3-16 March 1981
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Other PCS Equipment
Products Containing PCBs
Investment Casting Wax
Prior to 1978, a number of investment casting waxes used PCBs as one
component of the wax mixture. Some of the manufacturers used PCTs rather
than PCBs in their wax, but the PCTs may have been contaminated with up to
10,000 ppm PCBs when they were manufactured.
Carbonless Copy Paper (before 1973)
Between 1943 and 1972, NCR Corporation used PCBs as the dye carrier in the
manufacture of carbonless copy paper. This paper contained about three
percent PCBs by weight. Monsanto discontinued the sale of PCBs for open
applications in 1972, and NCR switched to a substitute for PCBs. There is
no way f-.o determine whether a particular sheet of copy paper contains PCBs
unless a chemical analysis is performed to determine the presence of PCBs.
Resins (before 1973)
Monsanto marketed several types of resins which contained PCTs prior to
1972, These resins may have contained some PCBs as impurities. PCT resins
were sold under the trade names Aroclor 2565 and Aroclor 4465.
Other Products Containing PCBs (before 1973)
• Sealants (windshield sealant, silo sealant, etc.)
• Lubricants (bridge bearings, additive to transmission fluids, etc.)
0 Paint (marine paint, etc.)
TSCA Inspection Manual 3-17 March 1981
PCB-Maau^l
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Chapter Four
PCB Field Report
Contents Page
1 General Information 4-1
2 Inventory
PCB Transformers 4-3
PCB Large Capacitors 4-5
PCBs in Containers 4-7
PCB Items in Containers 4-9
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PCB Field Report
General
Information
Facility Name and Address
Related Firms
Type of Establishment
Type of Operation
Size
Names, Titles, and Addresses of Principal Officers, Partners, or Owners
Date of Inspection
Time of Inspection
Agent-in-Charge
Persons Interviewed (Names, Titles, Phone Numbers)
Remarks
Inspector Name
Inspector Signature
TSCA Inspection Manual
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March 1981
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TSCA Inspection Manual 4-2 March 1981
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PCB
Inventory
PCB Transformers
1 In Service
PCB
Location/Description of Transformers Number Weight
a. Total number of transformers in service
b. Total weight of PCBs in transformers in service,
2 Removed from Service
Dates Placed
Date Removed Date Placed in Initial Storage in Transport PCB
from Service Initial Storage Location/Operator for Disposal Number Weight
a. Total number of transformers removed from service.
b. Total weight of PCBs removed from service. . . . ,
3 Received at a Storage or Disposal Facility
Date Facility and Operator PCB
Received from which Received Number Weight
a. Total' number of transformers received
b. Total weight of PCBs in transformers received,
TSCA Inspection Manual 4-3 March 1981
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Inventory / PCB Transformers
4 Transferred from a Storage or Disposal Facility
Date Facility and Operator PCB
Transferred to which Transferred Number Weight
a. Total number of transformers transferred
b. Total weight of PCBs in transformers transferred.
5 Retained at a Storage or Disposal Facility
PCB
Location of Transformers Number Weight
a. Total number of transformers retained. . . . .
b. Total weight of PCBs in transformers retained.
6 Transformers Disposed of
Date of PCB
Disposal Disposal Site Number Weight
a. Total number of transformers disposed of.... •
b. Total weight of PCBs in transformers disposed of ~. ". ~. •
TSCA Inspection Manual 4-4 March 1981
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PCB Field Report
Inventory
PCB Large Capacitors
1 In Service
Location/Description of Large Capacitors
Number
a. Total number of PCB large capacitors.
2 Removed from Service
Date Removed
from Service
Date Placed in
Initial Storage
Dates Placed
Initial Storage in Transport
Location/Operator for Disposal
Number
a. Total number of PCB large capacitors removed from service,
3 Received at a Storage or Disposal Facility
Date
Received
Facility and Operator
from which Received
Weight (if in
container) Number
a. Total number of PCB large capacitors received.
TSCA Inspection Manual
Volume Two: PCB Manual
4-5
March 1981
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Inventory / PCB Large Capacitors
4 Transferred fro» a Storage or Disposal Facility
Date Facility and Operator Weight (If in
Transferred to which Transferred container) Number
a. Total number of PCB large capacitors transferred,
5 Retained at a Storage or Disposal Facility
Weight (if in
Location of Capacitor container) Number
a. Total number of PCB large capacitors retained.
6 Capacitors Disposed of
Date of
Disposal Disposal Site Number
a. Total number of PCB large capacitors disposed of,
TSCA Inspection Manual 4-6 March 1981
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PCB Field Report
Inventory
PCBs In Containers
1 In Service
PCB
Identification of Container Contents Weight
a. Total weight of PCBs in containers in service.
2 Removed from Service
Ident. of Date Removed Date Placed Initial Storage Date Placed Total
Container from in Initial Location and in Transport PCB
Contents Service Storage Operator for Disposal Weight
a. Total weight of PCBs in containers removed from service.
3 Received at a Storage and Disposal Facility
Identification of Date Facility and Operator PCB
Container Contents Received from which Received Weight
a. Total weight of PCBs in containers received.
TSCA Inspection Manual 4-7 March 1981
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Inventory / PCBs in Containers
4 Transferred from a Storage or Disposal Facility
Identification .of Date Facility and Operator PCB
Container Contents Transferred to which Transferred Weight
a. Total weight of PCBs in containers transferred.
5 PCBs In Containers Disposed of
Identification of Date of PCB
Container Contents Disposal Disposal Site Weight
a. Total weight of PCBs in containers disposed of.
TSCA Inspection Manual 4-8 March 1981
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PCB Field Report
Inventory
PCB Items in Containers
1 In Service
Item
Identification of Container Contents . Weight
a. Total weight of PCB items in containers in service.
2 Removed from Service
Ident. of Date Removed Date Placed Initial Storage Date Placed
Container from in Initial Location and in Transport Item
Contents Service Storage Operator for Disposal Weight
a. Total Weight of PCB items in containers removed from service . . .
3 Received at a Storage and Disposal Facility
Identification of Date Facility and Operator Item
Container Contents Received from which Received Weight
a. Total weight of PCB items in containers received
TSCA Inspection Manual 4-9 March 1981
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Inventory / PCB Itess in Containers
4 Transferred fro* a Storage or Disposal Facility
Identification of Date Facility and Operator Item
Container Contents Transferred to which Transferred Weight
a. Total weight of PCB items in containers transferred.
5 PCB Iteas in Containers Disposed of
Identification of Date of Item
Container Contents Disposal Disposal Site Weight
a. Total weight of PCB items in containers disposed of.
TSCA Inspection Manual 4-10 March 1981
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Appendix
Contents Page
1. Incinerators A-l
2. High-Efficiency Boilers A-9
3. Chemical Waste Landfills A-15
4. Alternative Disposal Methods A-25
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Appendix
1
ncinerators
Disposal in a high-temperature incinerator is the only approved disposal
method for all PCBs and PCB items. Any incinerator used for PCB disposal
must meet rigid operating and monitoring requirements and must be approved by
the EPA Regional Administrator.
When the Regional Administrator determines that the incinerator meets all the
requirements, approval of the incinerator will be signed by the Regional
Administrator and will state all requirements and/or waivers applicable to
the incinerator including:
• Persons authorized to operate the incinerator
• Additional requirements (if any)
• Period of time for which the approval is valid (if limited)
• Waivers (if any)
Acceptable for Disposal .
• Liquid PCBs in concentrations above 500 ppm must be disposed of in an
approved incinerator.
8 761.10(a)(l)
• All other PCBs and PCB items are acceptable at an approved incinerator.
§ 761.10(a)
§ 761.10(b)
§ 761.10(c)
TSCA Inspection Manual A-l March 1981
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Appendix
Incinerators
Regulatory Requirements
Inspection Procedures
Approval Requirements
Initial Report. An initial report
containing the following information
must be submitted to the Regional
Administrator.
§ 761.40(d)(l)
• Location of the incinerator
• Detailed description of the
incinerator, including general
site plans and design drawings
• Engineering reports on the
anticipated performance of the
incinerator
• Sampling and monitoring equipment
and facilities available
• Waste volumes expected to be
incinerated
• Local, State, or Federal permits
or approvals
• Schedules and plans for complying
with approval requirements of
this regulation
Note. The Regional Administrator
will have available for review and
inspection an Agency manual
containing information on sampling
methods and analytical procedures for
parameters required in § 761.40(a)
(3),(4),(6), and (7) plus any other
parameters determined to be appro-
priate. Owners or operators are
encouraged to review this manual
prior to submitting any report
required in this Annex.
§ 761.40(d)(3)
Trial Burn. If the Regional
Administrator determines that a trial
burn must be held, a detailed plan
for the burn must be submitted,
including:
§ 761.40(d)(2)
Check EPA records for facility
approval document. Make special
note of any limitations or
additional requirements imposed
upon the facility.
TSCA Inspection Manual
Two: PP.B Manual
A-2
March 1981
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Appendix
Regulatory Requirements
• Date trial burn is to be conducted
• Quantity and type of PCBs 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 analytic
results and who will technically
evaluate the effectiveness of the
burn
Approval of Trial Burn Plan. The
Regional Administrator may approve
the plan with or without prescribed
additions or modifications.
Person(s) submitting the plan will be
notified of approval by the Regional
Administrator. The date and time of
the trial burn must be agreed upon
between the Regional Administrator
and those who submitted the plan.
§ 761.40(d)(2)(iii)
Disapproval of Trial Burn Plan.
Person(s) submitting the plan will be
notified of disapproval together with
reasons for disapproval by the
Regional Administrator. A new plan
may then be submitted in accordance
with § 761.40(d)(2)(ii).
Additional Requirements. Thte
Regional Administrator may require
the submission of additional
information for the initial report
and trial burn.
Inspection Procedures
Check facility records for
approval document*
Notice Requirements
Notice must be given to State and
local governments, within whose
jurisdiction the incinerator is
located, at least 30 days before the
facility is first used for disposal
of PCBs.
S
Check correspondence file for
compliance with notification
requirements.
TSCA Inspection Manual
Volume Two: PCS Manual
A-3
March 1981
-------
Appendix
Incinerators
Regulatory Requirements.
At the request of any State or local
government, annual notice of the
quantities and general description of
PCBs disposed of during the year must
be given more than 30 days after the
end of the year covered.
§ 761.10(f)(l)(ii)
When operating under an incineration
waiver, owners/operators must give
State or local governments written
notice at least 30 days before
conducting the disposal activities.
§ 761.10(f)(2)
Inspection Procedures
Recordkeeping Requirements
The rate and quantities of PCBs fed
into the incinerator must be measured
and recorded at least every 15
minutes.
§ 761.40(a)(3)
§ 761.40(b)(2)
§ 761.45(c)(l)(i)
Temperatures of the incineration
process must be continuously measured
and recorded by either:
• Direct temperature readings.
(pyrometer)
• Indirect temperature readings (wall
thermocouple-pyrometer
correlations)
§ 761.40(a)(4)
§ 761.40(b)(2)(ii)
§ 761.45(c)(l)
Combustion products and incineration
operations must be monitored and
recorded for the following parameters
whenever the incinerator is
incinerating PCBs:
Product -
Frequency
02
CO
C02
Continuous
Continuous
Periodic frequency
specified by the
Regional Administrator
Verify that monitoring records
are available indicating:
• Rate and quantities of PCBs fed
into incinerator.
• Temperatures of incineration
process and method of tempera-
ture readings.
• Combustion products generated
during incineration process.
TSCA Inspection Manual
Voluae Two: PCB Manual
A-4
March 1981
-------
Appendix
Incinerators
Regulatory Requirements
Stack emissions must be monitored and
recorded when:
• Incinerator is first used for PCB
disposal.
• After incinerator has been modified
in a way that may affect stack
emissions.
§ 761.40(a)(6)
§ 761.40(b)(2)
§ 761.45(c)(2)
The following stack emmissions must be
monitored and recorded when monitoring
is required:
• 02 • HC1
• CO • RC1
• CO2 • PCBs
• NOx • Total Particulate Matter
§ 761.40(a)(6)(lii)
§ 761.45(c)(2)
Records must be kept of the total
weight (kg) of:
• Solid residues generated by the
incineration of PCBs and PCB items
during the calendar year.
• Any solid residues disposed of by
the facility in chemical waste
landfills.
• Any solid residues remaining on the
facility site.
§ 761.45(c)(3)
Additional periodic data may be
specified and required by the
Regional Administrator.
§ 761.45(c)(4)
All required records must be
maintained for a period of 5 years
from the date of collection.
§ 761.45(c)
Each owner or operator of a PCB
incinerator must collect and maintain
for 5 years the information required
in § 761.45(b).
§ 761.45(c)
Inspection Procedures
• Monitoring of stack emmissions.
• Total weight (kg) of solid
residues:
- generated by incineration
process.
- disposed of In chemical
waste landfill.
- remaining on site.
Consult approval document for
additional requirements.
Check for record maintenance
compliance.
TSCA Inspection Manual
Volune Two: PCB Manual
A-5
March 1981
-------
Appendix
Incinerators
Regulatory Requirements
Check correspondence file for
compliance.
All data and records required in this
section must be maintained in
accordance with § 761.45.
§ 761.40(c)
Upon suspension of operations
pursuant to 761.40(a)(8), the
owner/operator must prepare and
submit within 30 days to the Regional
Administrator a document including
the date and time of suspension and
an explanation of cirucmstances
causing the suspension.
§ 761.45(c)(5)
Prior to transferring ownership of an
incinerator, the owner/operator must
notify EPA 30 days in advance of the
transfer and provide a notarized
affidavit stating that the transferee
agrees to abide by the EPA approval
document.
§ 761.40(d)(8)
Operating Requirements for Liquid and Non-Liquid PCBs
The incinerator must comply with all
conditions and limitations stated in
the written approval document.
§ 761.40
Inspection Procedures
Combustion efficiency must be
maintained at a rate of at least 99.9%
as computed below:
Combustion efficiency =
Cco2/(Cco2 + Ceo) x 100
Cco2= Concentration of carbon dioxide
Ceo = Concentration of carbon monoxide
§ 761.40(a)(2)
§ 761.40(b)(2)
When incinerator is in operation,
check combustion efficiency
against required level.
TSCA Inspection Manual
Volume Two: PCB Manual
A-6
March 1981
-------
Appendix
rlnerators
Regulatory Requirements
Water scrubbers must be used for HC1
control and must meet any performance
requirements specified by the
Regional Administrator. (An
alternative method of HC1 control may
be used if approved by the Regional
Administrator. The HC1 neutralizing
capability of cement kilns is
considered to be an alternative.)
Scrubber effluent must be monitored
for compliance with applicable
effluent or pretreatment standards and
any other Federal or State laws and
regulations.
§ 761.40(a)(9)
§ 761.40(b)(2)
The flow of PCBs into the incinerator
must stop automatically if either of
the following conditions occurs:
• Failure of monitoring operations for
combustion products and incineration
operation parameters;
-or-
• Failure of PCB rate and quantity
measuring and recording equipment.
§ 761.40(a)(8)
§ 761.40(b)(2)
Note. Alternatively, a contingency
plan can be submitted to, and
approved by, the Regional
Administrator indicating measures to
be taken if these conditions occur.
§ 761.40(a)(8)
PCBs stored for disposal must be
stored under conditions complying
with § 761.42.
§ 761.10(a)(6)
Inspection Procedures
Determine water scrubber
compliance with any required
performance, effluent, or
pretreatment standards.
Check procedures and equipment
used to ensure fall-safe
operations of the facility.
See Storage Inspection Procedures
at Chapter 2, page 2-33 of this
Volume.
TSCA Inspection Manual
Volume Two: PCB Manual
A-7
March 1981
-------
Appendix
Incinerators
Regulatory Requirements-
Inspection Procedures
Liquid PCB Operating Requirements
Liquid PCBs must be incinerated
according to either of the following
combustion criteria:
• Maintenance of the introduced
liquids for a 2-second dwell time
1,200 degrees C (+ 100 degrees
C) and 3% excess Q£ in the stack
gas;
§ 761.40(a)(l)(i)
-or-
• Maintenance of the introduced
liquids for a 1.5-second dwell time
at 1,600 degrees C (+ 100 degrees
C) and 2% excess 02 in the stack
gas.
§ 761.40(a)(l)(ii)
The flow of liquid PCBs into the
incinerator must stop automatically
if the following conditions occur:
• The combustion temperature falls
below that specified in the chosen
combustion criteria
• The excess 02 level falls below
that specified in the chosen
combustion criteria.
(Alternatively, a contingency plan
can be submittd to, and approved
by, the Regional Administrator.)
§ 761.40(a)
When incinerator is in operation,
check that combustion criteria are
being met.
Check procedures and equipment
used to ensure fail-safe
operation of the facility.
Non-Liquid PCB Operating Requirements
The air mass emissions for the
incinerator must be no greater than
O.OOlg PCB/kg of the PCB introduced
to the incinerator.
§ 761.40(b)(l)
When incinerator is in operation,
determine from monitoring
equipment the ratio of PCB air
mass emissions to PCBs introduced
to the incinerator.
TSCA Inspection Manual
Volume Two: PCB Manual
A-8
March 1981
-------
Appendix
2
High-Efficiency Boilers
The regulation allows for disposal of specified PCB fluids of a concentration
between 50-500 ppm PCBs in high-efficiency boilers. These boilers must meet
certain design and operating criteria, and the EPA Regional Administrator
must be informed 30 days before a boiler is first used to dispose of mineral
oil dielectric fluid. The Regional Administrator must approve the boiler if
liquids other than mineral oil dielectric fluid will be burned.
Acceptable for Disposal
• Mineral oil dielectric fluid from PCB-contaminated transformers
containing PCBs in concentrations of 50-500 ppm.
• Liquids, other than mineral oil, containing PCBs in concentrations of
50-500 ppm, if the boiler has been approved by the Regional
Administrator.
TSCA Inspection Manual A-9 • March 1981
Volme Two: PCB Manual
-------
Appendix
High-Efficiency Boilers
Regulatory Requirements.
Inspection Procedures.
Mineral Oil Dielectric Fluid
Notice Requirements
For boilers burning mineral oil
dielectric fluid, the EPA Regional
Administrator must be given notice
30 days before burning mineral oil
dielectric fluid. This notice
must include:
§ 761.10(a)(2)(iii)(B)
• Name and address of the
owner/operator of the boiler
and address of the boiler.
§ 761.10(a)(2)(iii)(B)(l)
• Boiler rating in units of
BTU/hour.
§ 761.10(a)(2)(iii)(B)(2)
• CO concentration and excess 02
percentage in the stack of the
boiler when operated in a
manner similar to operations
when mineral oil dielectric
fluid will be burned.
§ 761.10(a)(2)(iii)(B)(3)
• Type of equipment, apparatus,
and procedures used to control
the feed of the mineral oil and
to monitor and record CO concen-
tration and excess 02 percentage
in the stack.
§ 761.10(a)(2)(iii)(B)(4)
Check correspondence file for
compliance with notification
requirements.
Liquids Other than Mineral Oil
I
Approval Requirements
For boilers burning liquids other
than'mineral oil, approval must
be obtained from the EPA Regional
Administrator prior to burning
these liquids in the boiler. The
request for approval must contain:
§ 761.10(a)(3)(iii)(B)
Check EPA records for facility
approval document. Make special
note of any limitations or
additional requirements imposed
upon the facility.
TSCA Inspection Manual
Volume Two: PCB Manual
A-10
March 1981
-------
Appendix
High-Efficiency
Regulatory Requirements
Name and address of the
owner/operator of the boiler
and address of the boiler.
S
Boiler rating in units of
BTU/hour.
S
CO concentration and excess 02
percentage in stack of the
boiler when operated in a manner
similar to operations when low
concentration PCB liquid will be
burned.
8 761.10(a)(3)(iii)(B)(3)
Type of equipment, apparatus, and
procedures used to control the
feed of the PCB liquid and to
monitor and record the CO concen-
tration and excess 02 percentage
in the stack.
§ 761.10(a)(3)(iii)(B)(4)
Type of waste (e.g., hydraulic
fluid, contaminated fuel oil,
heat transfer fluid, etc.).
§ 761.10(a)(3)(iii)(B)(5)
Concentration of PCBs and any
other chlorinated hydrocarbon
in the waste and the results
of analysis using the following
ASTM methods:
§ 761.10(a)(3)(iii)(B)(6)
Carbon and Hydrogen
Nitrogen
Sulfur
Chlorine
Water and Sediment
D-3178
E-258
D-2784/
D-1266
or
D-129
D-808
D-2709/
D-1266
or
D-1796
Inspection Procedures.
Check facility records for approval
document*
TSCA Inspection Manual
Voluae Two: PCB Manual
A-ll
March 1981
-------
Appendix
High-Efficiency Boilers
Regulatory Requirements-
Ash
Calorific Value
Carbon Residue
Flash Point
D-482
D-240
D-2158/
D-524
D-93
• Quantity of wastes estimated
to be burned in a 30-day period.
§ 761.10(a)(3)(iii)(B)(7)
• Explanation of procedures to be
followed to ensure that burning
waste will not adversely affect
boiler operations such that com-
bustion efficiency will decrease.
§ 76l.lO(a)(3)(iii)(B)(8)
Inspection Procedures-
Recordkeeping and Monitoring Requirements
(All Boilers)
Owners/operators of high-efficiency
boilers are required to establish
and maintain:
• All records required by § 761.45
for disposal facilities.
§ 76l.45(b)
Records showing continuous moni-
toring of CO concentration and
excess 02 percentage in the stack
gas for periods when PCBs are
burned.
§ 76l.lO(a)(2)(iii)(A)(6)(i)
§ 76l.lO(a)(3)(iii)(A)(6)(i)
Monthly records showing that the
CO concentration and excess 02
percentage are checked at least
once every hour when PCBs are
burned.
§ 76'l.45(e)(l)
See page 2-24 for requirements and
procedures.
Verify that continuous monitoring
records are available indicating:
• CO concentration and excess 02
percentage in the stack'gas.
• CO concentration and excess 02
percentage are checked at least
once every hour.
TSCA Inspection Manual
Volume Two: PGB Manual
A-12
March 1981
-------
Appendix
HlRh-KfficiencY Boilers
Regulatory Requirements
• For boilers burning less than
30,000 gallons of PCB fluids
per year, records showing
that CO concentration and excess
02 percentage are measured and
recorded at regular intervals
of no longer than 60 minutes
while PCBs are being burned.'
§ 761.10(a)(2)(iii)(A)(6)(ii)
§ 761.10(a)(3)(iii)(A)(6)(ii) ,
• Records showing the quantity
of PCB fluid burned in the
boiler each month.
§ 761.45(e)(2)
S 761.10(a)(2)(iii)(D)(2)
§ 761.10(a)(3)(iii)(E)(2)
• For boilers burning liquids
other than mineral oil, records
showing monthly analysis of
waste for each month during
which low concentration PCB
liquid is burned.
§ 761.45(e)(3)
§ 761.10(a)(3)(iii)(E)(3)
§ 761.10(a)(3)(iii)(B)(6)
The primary fuel feed rates, PCB
fluid feed rates, and total
quantities of both primary fuel
and PCB fluids fed to the boiler
must tie measured and recorded at
regular intervals of no longer
than 15 minutes while burning PCB
fluids.
S 761.10(a)(2)(iii)(A)(7)
§ 761.10(a)(3)(iii)(A)(7)
Inspection Procedures
• CO concentration and excess
percentage are measured and
recorded at least every hour
when burning PCBs.
Verify that monitoring records
are available indicating:
• Quantity of PCB fluid burned
each month.
• For liquids other than mineral
oil, analysis of waste for each
month.
• Fluid feed rates, and total
quantities of primary fuel and
PCB fluids fed to the boiler.
Operating Requirements
Boiler rating must be a minimum
of 50 million BTU hours.
§ 761.10(a)(2)(iii)(A)(l)
§ 761.10.(a)(3)(iii)(A)(l)
Check boiler rating. (Available
on boiler plate or from facility
records.)
TSCA Inspection Manual
Volute Two: PCB Manual
A-13
March 1981
-------
Appendix
High-Efficiency Boilers
Regulatory Requirements
When burning PCS fluids, the boiler
must be at a level of output no
lower than that specified in the
notice submitted to the EPA
Regional Administrator or in the
approval document.
8 761.10(a)(2)(iii)(C)
8 761.10(a)(3)(iii)(D)
PCS fluid must not comprise more
than 10% (on a volume basis) of
the total fuel feed rate.
8 761.10(a)(2)(iii)(A)(4)
§ 761.10(a)(3)(ili)(A)(4)
PCS fluid must not be fed into
the boiler unless the boiler is
1 operating at its normal
operating temperature. (This
prohibits feeding these fluids
during start-up or shut-down
operations.)
§ 761.10(a)(2)(iii)(A)(5)
8 761.10(a)(3)(lii)(A)(5)
When natural gas or oil is the
primary fuel, CO concentration in
the stack gas must be 50 ppm or
less. Excess 02 must be at least
3% when PCBs are being burned.
§ 761.10(a)(2)(iii)(A)(2)
§ 761.10(a)(3)(iii)(A)(2)
When coal is the primary fuel, CO
concentration must be 100 ppm or
less. Excess 02 must be at least
3% when PCBs are being burned.
8 761.10(a)(2)(iii)(A)(3)
8 761.10(a)(3)(iii)(A)(3)
If either the CO concentration or
excess oxygen percentage falls
below the levels specified above,
the flow of PCB fluids to the
boiler must be stopped immediately.
8 761.10(a)(2)(iii)(A)(8)
8 761.10(a)(3)(iii)(A)(8)
PCBs stored for disposal must be
stored under conditions complying
with 8 761.42.
8 761.10(a)(6)
Inspection Procedures
When boiler is in operation, check
level of output against level
specified in facility notice.
Determine percentage of PCB fluid
to total fuel feed rate.
Determine normal operating
temperatures. Check temperature
of boiler in operation for
compliance.
Determine the primary fuel and
verify that the monitoring equip-
ment is operational and that it is
providing accurate information on
the operation of the boiler.
Check procedures and equipment
used to ensure fail-safe
operation of the facility.
See Storage Inspection Procedures
at Chapter 2, page 2-33 of this '
Volume.
TSCA Inspection Manual
Volume Two: PCB Manual
A-14
March 1981
-------
Appendix
3
Chemical Waste Landfills
A chemical waste landfill used for the disposal of PCBs and PCB items must be
approved by the EPA Regional Administrator and must meet rigid facility and
operating requirements.
Approval of the landfill will be signed by the Regional Administrator and
will state all requirements applicable to the landfill, including:
• Persons authorized to operate the landfill.
• Additional requirements (if any).
• Period of time for which the approval is valid (if limited).
• Waivers (if any).
Acceptable for Disposal
• Liquid PCBs (in concentrations of 50-500 ppm) if they are not ignitable
wastes and if information is provided showing that the PCB level is not
above 500 ppm.
§ 761.10(a)(2)(il)
§ 761.10(a)(3)(ii)
• Non-liquid PCBs (in the form of contaminated soil, rags, and other
debris).
§ 761.10(a)(4)(ii)
Note: Except as provided in § 761.41(b)(8)(ii), liquid PCBs must not
be processed into non-liquid forms to circumvent the high-temperature
incineration requirements of § 761.10(a).
• Municipal sewage treatment sludge and dredged materials containing PCBs.
§ 761.10(a)(5)(ii)
• PCB transformers, if drained, filled with solvent, allowed to stand for
18 hours, and then throughly drained. Solvents may include kerosene,
xylene, toluene, and other solvents in which PCBs are readily soluble.
(Precautionary measures should be taken, however, that the solvent
flushing procedure is conducted in accordance with applicable safety and
health standards as required by Federal or State regulations.)
§ 761.10(b)(l)(i)(B)
TSCA Inspection Manual A-15 March 1981
Volume Two: PCB Manual
-------
Appendix ___ Chealcal Waste Landfills
• PCS articles (other than PCB transformers) if free-flowing liquid is
drained prior to article disposal.
§ 761.10(b)(4)Cii)
« PCB containers, if liquid PCBs are drained prior to container disposal.
§ 761.10(c)(D(ii)
e PCB lare high and low-voltage capacitors.
~
• PCB small capacitors owned by manufacturers of PCB capacitors or PCB
equipment and acquired in the course of such manufacturing. (Other small
capacitors may be disposed of as municipal solid waste.)
§ 76i,10(b)(2)(iv)
Not Acceptable for Disposal
* Liquid PCBs (in concentrations greater than 500 ppm).
§ 76l.lO(a)
TSCA Inspection Manual A-16 March 1981
Volume Two: PCB Manual
-------
Appendix
Chemical Waste Landfills
Regulatory Requirements
Inspection Procedures
Approval Requirements
An initial report containing the
following information must be
submitted to the Regional
Administrator:
• Location of the landfill
• Detailed description of the
landfill, including site plans.
• Engineering report describing how
the landfill complies with the
requirements.
• Sampling and monitoring equipment
and facilities available.
• Expected waste volumes of PCBs.
• General description of waste
materials other than PCBs expected
to be disposed of in the landfill.
• Local, State, and Federal permits
or approvals -
• Schedules or plans for complying
with requirements.
• Landfill operations plan detailing:
• Recordkeeping procedures.
• Surface water-handling procedures.
• Excavation backfilling
procedures.
• Waste segregation burial
coordinates.
• Vehicle and equipment movement.
e Use of roadways.
• Leachate collection system.
• Sampling and monitoring
procedures.
• Monitoring wells.
• Environmental emergency
contingency plans.
• Security measures against
vandalism and unauthorized waste
disposal.
• Procedures to determine that
liquid PCBs to be disposed of at
the landfill do not exceed 500
ppm PCBs.
• Measures to prevent the migration
of PCBs from the landfill.
Check EPA records for facility
approval document. Make special
note of any limitations or
additional requirements imposed
upon the facility.
TSCA Inspection Manual
Volume Two: PCB Manual
A-17
March 1981
-------
Appendix
Chemical Waste Landfills
-Regulatory Requirements.
Inspection Procedures-
Notice Requirements
When operating under a landfill
waiver, owners/operators must give
State or local governments written
notice at least 30 days before
conducting disposal activities.
§ 76l.lO(f)(l)(i)
Notice must be given to State or local
governments, within whose jurisdiction
the landfill is located, at least 30
days before the facility is first
used for the disposal of PCBs.
§ 76l.lO(f)(2)
At the request of any State or local
government, annual notice of the
quantities and general description of
PCBs disposed of during the year must
be given not more than 30 days after
the end of the year covered.
§ 761,.'.0(f)(l)(ii)
Check correspondence file for
compliance with notification
requirements.
Recordkeeping Requirements
Owners/operators of chemical waste
landfills are required to establish
and maintain the following records;
• All records required by § 761.45
for disposal facilities.
§ 761.41(b)(8)(iv)
§ 761.45(b),(d)
• Operations records, including
three-dimensional burial
coordinates.
§ 761.41(b)(8)(ii)
• Water analysis data for PCBs, pH,
specific conductance, and
chlorinated organics.
§ 761.41(b)(6)(iii)
§ 761.45(d)(l)
• PCS concentration in liquid wastes,
§ 761.41(b)(8)(lv)
See page 2-24 for requirements
and procedures.
Check operations records to
determine compliance.
Determine adequacy of water
analysis data.
Check for records of PCB,
concentration in liquid wastes.
TSCA Inspection Manual
Voluae Two: PCB Manual
A-18
March 1981
-------
Appendix
Chesdcal Waste Landfllli
Regulatory Requirements
Required records must be maintained
for 20 years after the landfill is no
longer used for PCB disposal.
§ 761.45(b),(d)
Prior to transferring ownership of a
chemical waste landfill, the
owners/operators must notify EPA 30
days in advance of the transfer and
provide a notarized affidavit stating
that the transferee agrees to abide
by the EPA approval document.
§ 761.41(c)(7)
Inspection Procedures
Check for transfer document.
Facility Requirements
Soils. The landfill site shall be
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:
S
• In-place soil thickness, 4 feet
or compacted soil liner
thickness, 3 feet
• Permeability (cm/sec), equal to
or less than 1 x 10~7
e Percentage of soil passing No. 200
Sieve >30
« Liquid bimit >30
• Plasticity Index >15
The bottom of the landfill liner
system or natural in-place soil
barrier must be above the historical
high groundwater table by at least 50
feet.
There must be no hydraulic connection
between the site and any standing or
flowing surface water.
§ 761.41(b)(3)
Review engineering plans and site
tests to determine compliance
with soil parameters and liner
or soil barrier requirements.
Check for hydraulic connection to
surface water.
TSCA Inspection Manual
Volme Two: PCB
A-19
March 1981
-------
Appendix
Cheaical Waste Landfills
Regulatory Requirements
If the landfill site is below the
100-year flood elevation, surface
water diversion dikes a minimum of 2
feet above the flood elevation must be
provided around the perimeter of the
site. § 761.41(b)(4)(i)
The landfill site must avoid
floodplains, shorelands, and
groundwater recharge areas.
§ 761.41(b)(3)
The site shall have monitoring wells
and leachate collection.
§ 761.41(b)(3)
If the landfill site is above the
100-year flood elevation, structures
must be provided that are capable of
diverting all of the surface water
runoff from a 24-hour, 25-year storm.
§ 761.41(b)(4)(ii)
The landfill site shall be located in
an area of low to moderate relief to
minimize ero.oion and to help prevent
landslides or slumping.
§ 761.41(b)(5)
When synthetic membrane liners are
required by the Regional
Administrator, they must provide a
permeability equivalent to the soil
parameters in § 761,41(b)(1), be
compatible with PCBs, and be at least
30 mils in thickness.
§ 761.41(b)(2)
When a liner is used, precautions,
'ncluding providing adequate soil
underlining and soil cover, must be
taken to ensure that the liner does
not rupture.
§ 761.41(b)(2)
A 6-foot woven mesh fence, wall, or
similar device must be placed around
the site to prevent animals or
unauthorized persons from entering.
§ 761.41(b)(9)(i)
Inspection Procedures
Prior to the inspection, determine
the 100-year flood elevation
from U.S. Geological Survey or
U.S. Army Corps of Engineers
records. During the inspection,
determine the elevation from
facility records. Compare these
records to determine compliance.
Measure adequacy of diversion
dikes when needed.
Determine from company records
the presence of monitoring wells
and leachate collection system.
Determine from records and actual
measurement (if necessary)
adequacy of water diversion
structures.
Check approval document for
membrane liner requirement.
Acquire sample of membrane liner
if applicable.
Determine adequacy of containment
structure.
TSCA Inspection Manual
Voluae Two: PCB Manual
A-20
March 1981
-------
Appendix
Chemical Waste Landfills
Regulatory Requirements
Roads must be maintained to and
within the site that are adequate to
support the operation amd maintenance
of the site without causing safety or
nuisance problems or hazardous
conditions.
§ 761.41(b)(9)(ii)
Inspection Procedures
Make a physical inspection of
roadways to determine adequacy.
Operating Requirements
The landfill must comply with all
conditions and limitations stated in
the written approval document.
§ 761.41(c)
Liquid PCBs in concentrations of
50-500 ppm must be accompanied by
information showing that the liquids
do not exceed 500 ppm PCBs.
§ 76J.10(aX2)(li)
§ 76!.10(a)(3)(ii)
Bulk liquid PCBs in concentrations
not exceeding 500 ppm must be
pretreated and/or stabilized (e.g.,
chemically fixed, evaporated, mixed
with dry inert absorbent) to a
non-flowing consistency prior to
disposal to eliminate the presence of
free liquids.
§ 7fci.41(b)(8)(li)
PCB transformers must be drained of
free-flowing liquid, filled with
solvent, allowed to stand for at
least 18 hours, and then drained
thioughl ' prior to disposal.
5 761.10(b)(l)(i)(B)
PCB articles must be drained of free-
flowing liquid prior to disposal.
S
Check approval document for
special conditions and
limitations. Take careful note
of operating compliance.
Examine labels on liquid PCB
containers to determine PCB
concentration. Sample if
violation is suspected.
Determine, through statement from
operator, procedures for
stabilizing bulk liquid PCBs.
Sample if violation is suspected.
Determine from operator or
employees whether PCB
transformers are properly
decontaminated prior to disposal,
and whether PCB articles are
drained prior to disposal.
TSCA Inspection Manual
Volume Two: PCB Manual
A-21
March 1981
-------
Appendix
Cheaical Waste Landfills
Regulatory Requirements.
PCB capacitors must be placed in a
container meeting the Department of
Transportation specifications
identified in § 761.42(c)(6) or 49
CFR 178.118 (Specification 17H
containers). Unfilled space within
the container must be filled with
sufficient absorbent material (such as
sawdust or soil) to absorb any liquid
PCBs remaining in the capacitors.
§ 761.10(b)(2)(vi)
• Larger PCB capacitors must be
placed in a container of equal
strength and durability to the
DOT specification containers.
PCB containers must be drained of
liquid prior to disposal.
§ 761.10(c)(l)(ii)
-or-
PCB containers must be surrounded by
sufficient inert absorbent material
tj absorb all liquid contents.
§ 761.41(b)(8)(ii)
Liquids drained from PCB items to
permit disposal of these items must
be disposed of in accordance with
§ 761.10(a) or § 761.40.
§ 761.10(b)
§ 76l.lO(c)
PCBs and PCB items must be placed
in the landfill in a manner that will
prevent damage to containers or
articles.
'astes other than PCBs must be
compatible with PCBs and PCB items or
they must be segregated from the PCBs
throughout the waste handling
process.
§ 761.41(b)(8)(i)
Ignitable wastes must not be disposed
of in a chemical waste landfill.
§ 761.10(a)(2)(ii)
§ 761.10(a)(3)(ii)
§ 761.41(b)(8)(iii)
Inspection Procedures
Check container specification
numbers and compare with DOT
regulations. Inspect contents if
violation of packing requirements
is suspected. Sample if useful.
Determine procedures for drainage
and/or burial of PCB containers.
Check container labels to
determine presence of PCBs of
over 500 ppm.
Determine facility burial
procedures. Inspect burial
coordinates.
Check procedures for handling
ignitable wastes that may be
transferred to the facility.
TSCA Inspection Manual
Volume Two: PCB Manual
A-22
March 1981
-------
Appendix
Chemical
Regulatory Requirements
The landfill site must be operated
and maintained in a manner to prevent
safety problems or hazardous
conditions resulting from spilled
liquids and windblown materials.
§ 761.41(b)(9)(iii)
When storage is necessary prior to
disposal, PCBs, and PCB items must be
stored in accordance with 5 761.42.
S 761.10(a)(6)
Inspection Procedures
Assess facility safety measures
for spill prevention and for
general housekeeping practices.
See Storage Inspection Procedures
at Chapter 2, page 2-33 of this
Volume.
Monitoring Requirements
Prior, to disposal operations, ground
and surface water from the disposal
area must be sampled.
S
Surface watercourses designated by
the Regional Administrator must be
sampled monthly when the landfill is
being used for disposal operations.
S
At least three groundwater monitor
wells equally spaced on a line
through the center of the disposal
area are required. The line must
extend from the highest to the lowest
water table elevation on the
property.
§ 761.41(b)(6)(ii)(A)
Groundwater monitor wells must be
cased and the annular space between
the monitor zone and the surface must
be completely backfilled and plugged
with cement to prevent percolation of
surface water into the well bore.
The well must have a removable cap to
provide access and to prevent entrance
of rainwater or stormwater runoff.
The well must be pumped to remove the
volume of liquid initially contained
in the well before obtaining a sample
for analysis.
Check for presence of water
sampling records.
Check for monthly sampling
records (if required by Regional
Administrator).
Check engineering plans for
compliance.
Determine procedures for taking
sample and for disposal of
sample after analysis.
TSCA Inspection Manual
Volume Two: PCB Manual
A-23
March 1981
-------
Appendix
Cheaical Waste Landflllfl
Regulatory Requirements
Liquid pumped from groundwater
monitor wells must be treated to meet
applicable State or Federal discharge
standards or recycled to the chemical
waste landfill.
§ 761.4l(b)(6)(ii)(B)
A leachate collection system must be
installed above the chemical waste
landfill and must be monitored
monthly for the quantity and physio-
chemical characteristics of the
leachate produced.
Leachate must be treated to acceptable
limits for discharge in accordance
with State or Federal permits or
disposed of by another State or
Federally approved method.
§ 761.41(b)(7)
After final closure of the disposal
area, surface watercourses designated
by the Regional Administrator must be
sampled on a frequency of no less
than once every six months.
§ 761.41(b)(6)(i)(C)
All watar samples must be analyzed
for PCBs, pH, specific conductance,
and chlorinated organics, and all
data and records must be maintained
as required in § 761,45(d)(l).
Sampling methods and analytical
procedures must comply with those in
40 CFR 136 as amended.
§ 761.41(b)(6)(iii)
Inspection Procedures
Check engineering plans and
monitoring records for
compliance. Check procedures for
treatment and disposition of
leachate samples.
Check monitoring records for
water sampling if applicable.
TSCA Inspection Manual
Voliwe Two: PCB Manual
A-24
March 1981
-------
Appendix
4
Alternative Disposal Methods
PCBs and PCB Items
Approval Requirements
Art alternative method of disposal may be approved through a written request to the
Regional Administrator for an exemption from the requirements of S761.40
incineration requirements.
§761.10(a)(2)(iv) / §761.10(a)(3)(iv) / S761.10(e)
The application must demonstrate:
« The alternative method will destroy PCBs as efficiently as does a
high-efficiency boiler or an approved incinerator.
/ §761.10(e)
• The alternative method of destroying PCBs will not present an unreasonable
risk of injury to health or the environment.
§761.10(e)
Approval of alternative methods will be stated in writing by the Regional
Administrator and may contain appropriate conditions and limitations. The person
to whom a waiver is issued must comply with all limitations contained in the
approval.
§761.10(e)
Notice Requirements
Owners and operators of these alternative disposal facilities must give the
following written notices to the State and local governments where the facility is
located:
§761.10(f)
• Notice 30 days before the facility is first used.
• At the request of any State or local government, annual notice of the
quantities and general description of the PCBs disposed of during the y$ar
must be given no more than 30 days after the end of the year covered.
TSCA Inspection Manual A-25 March 1981
Volume Two: PCB Manual
-------
Alternative Disposal Methods
Dredged Materials and Sludges (Containing PCBs)
Approval Requirements
Application may be made in writing to the Regional Administrator for approval of
an alternative method of disposal.
The application must contain information based on the following technical,
environmental, and economic considerations:
• Disposal in an incinerator or chemical waste landfill is not reasonable and
appropriate.
• The alternative method will provide adequate protection to health and the
environment.
The Regional Administrator may request other information necessary for evaluation.
Approval of alternative methods by the Regional Administrator will be stated in
writing and may contain appropriate limitations on the method.
The person to whom such approval is issued must comply with all limitations
contained in the approval.
§7bl.lO(aX5)(iii)
Notice Requirements
Notice must be given to State and local governments within whose jurisdiction the
aluei native method is located at least 30 days before the facility is first used
for disposal of PCBs.
At the request of any State or local government, annual notice of the quantities
and general description of PCBs disposed of during the year must be given no more
than 30 days after the end of the year covered.
When operating under an incineration or chemical waste landfill waiver,
owners/operators must give State or local governments written notice at least 30
day before conducting the disposal activities.
§761.10(f)(2)
TSCA Inspection Manual A-26 March 1981
Voluae Two: PCB Manual
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