TOXIC SUBSTANCES CONTROL ACT
PCS MARKING AND DISPOSAL REGULATION
INTERIM INSPECTION GUIDANCE
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LEGAL REQUIREMENTS OF INSPECTOR'S PROCEDURES
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TABLE OF CONTENTS
I. Lega] Autnority to Conduct Inspections
A. Introductory Materials 1
General Authority to Conduct TSCA Inspections, Scope of §11
Inspections, Penalties for Failure to Allow Insoection
3. Pre-Inspect ion Considerations 2
General Preparation for Insoections Record Inspections,
Written Notices of Insoection, Credentials,
Confidentiality, Opportunity to Accompany Insnector,
Opoortunity to Obtain Duplicate Sairroles
C. What to do if Denied Entrv , 5
D. Inspect i on Procedures 5
Conduct, Personal Demeanor, Prohibited Activities, Takinq Samoles
E. Chain of Custody Procedures 11
F. Samole TSCA Forms
T3CA Credent i al s Apoend i x I
TSCA 'Jot i ce of Inspect i on Append i x IT
Notice of Insoection. (Reverse Side)
TSCA Inspection Confidential ity Notice Appendix III
Sampl e Tag ! Append i x IV
Rece ipt for Samoles Aopend i x V
Chai n of Custody Record Apoend i x VI
II. Inspection Procedures
A. Incineration A1-A8
3. Chemical Waste Landfill 31-89
C. Marking Retirements C1-C2
D. Electric, Util ities D1-D9
E. Transformer Maintenance and Pepair Facilities
Rail Systems E1-E13
F. PCB Transformer and Caoacitor Manufacturers F1-F7
G. Storage Requirements G1-G6
Decontamination H1-H2
Records and Monitorina 11-15
Ipent Proceedings Manual J1-J10
of Gravity Levels ^coendix T
a d i nq s Acoer.d i x II
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INTRODUCTION
1. GENERAL AUTHORITY TO CONDUCT INSPECTIONS
Section 11 of the Toxic Substances Control Act (15 U.S.C. 2601)
provides the basic authority for inspection of establishments and con-
veyances. It authorizes an inspector to enter, at reasonable times,
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
used to transport chemical substances, mixtures, or such articles
*in connection with distribution in commerce.
Inspections may be made only upon the presentation of appropriate
credentials and written notice to the owner, operator, or agent
in charge of the premises or conveyance to be inspected. Section 11
provides that a separate notice shall be given for each such inspection,
but a notice shall not be required for each entry made during the
period covered by the inspection.
2. SCOPE OF TSCA SECTION 11 INSPECTIONS
Inspections conducted under Section 11 extend to all things within
the premises or conveyance inspected (including records, files, papers,
processes, controls, and facilities) bearing upon whether the require-
ments of TSCA applicable to the chemical substances or mixtures within
the premises or conveyance have been complied with. However, inspections
shall not extend to the following types of data unless the nature
and extent of such data are described with reasonable specificity
in the written notice presented to the owner, operator, or agent in
charge of the premises or conveyance:
a. financial data
b. sales data (other than shipment data)
c. pricing data
d. research data (other than research data required by the
provisions of TSCA or under a rule promulgated thereunder)
e. personnel data
3. PENALTIES FOR FAILURE TO ALLOW INSPECTION
Section 15 of TSCA makes it unlawful for any person to fail
or refuse to permit entry or inspection as required by Section 11
or to fail or refuse to permit access to or copying of records.
Section 16 provides for both civil and criminal penalties for
violations of Section 15. Section 17 authorizes specific enforcement,
including the obtaining of an injunction to restrain any violations
of Section 15, or to compel taking of any action required under TSCA.
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B. Pre Inspection Considerations
1. General Preparation for Inspections
Certain Documents and data should be obtained and reviewed prior
to performing on site inspections. Whenever practicable the inspectors
should obtain relevant Federal State and Local permits and author-
izations which have been obtained by the facility for the purpose
of operating the facility. These permits should be reviewed to determine
whether PCBs have been at issue with other regulatory programs. In
addition, where possible the record for compliance with other relevant
regulatory programs should be investigated by obtaining pertinent data.
The inspector should at all times obtain all PCB related approval
documents, authorizations, exemption documents prior to arriving
at an inspection site.
Where these documents contain operating conditions and requirements
these conditions and requirenents should be noted and serve as the
basis for specific inquiries during the inspection. The inspector
should then verify that the facility is complying with these conditions
and requirements.
After review of the above documents and any available PCB records
the inspector should prepare the Notice of Inspection. The scope of the
Notice whould, at a minimum, cover the specific areas that the office
review indicated may be potential problems.
2. Records Review
Prior to conducting a physical inspection the PCB records for
the subject facility should be examined. In some instances the records
inspection may be conducted prior to the physical inspection by
requesting the facility to send the records to the Regional Office.
Conducting the records inspections early might make the conduct of the
physical inspection less difficult.
The arithmetic related to records inspections is fairly simple:
PCBs removed from service should equal the PCBs stored plus the PCBs
disposed. In addition to striking an appropriate balance, the records
should adequately describe the disposition of all of the PCB items
connected with the particular facility. The inspector should be
able to determine the name and location of all storage and disposal
facilities used, including the final disposal site.
The value of the records inspection lies in forcing the PCb faci-
lity to account for their PCB items in a fairly accurate manner.
An inspector, by using the recorded information, should be better able
to conduct physical inspections. Where records are kept properly, the
inspector's observations of facility processes should serve to uncover
sources of imbalance in the PCB equation. In addition to forming the
basis of a violation in itself, inadequate or inaccurate record keep-
ing serves as a flag to areas of concern in inspecting facilities.
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3. Written Notice of Inspection
You must present the appropriate person at the facility to be
inspected (preferably the Plant Manager or other similar official) with
written notice of your intent to inspect the facility. Present the
written notice at the time you appear at the facility to conduct; the
inspection. As a general rule advance notice of an inspection 'should
not be given. However, a general notice to a company or an industry
that it may be subject to inspection in the next several months is
permissible. There may even be instances where specific advance
notice of inspection would be warranted. The giving of any such
specific advance should first be cleared through the haedquarters
Regional Coordination Unit. Presentation of this notice will allow
you to inspect most things in operation in the facilities. However,
if you wish to inspect any of the following:
(1) Financial data;
(2) Sales data (other than shipment data);
(3) Pricing data;
(4) Personnel data, or
(5) Most research data
The written notice of inspection which you present to the appropriate
official at the facility to be inspected must also contain a description
of the nature and extent of the data in the above categories which is
to be inspected. As a general rule, you will know in advance if you
are going to inspect such data at the facility, in which case you should
ensure that the notice of inspection describes the nature and extent of
that data. An example of a written notice of inspection is shown in
Appendix II.
4. Credentials
You must bring with you and present to the appropriate person
at the inspection site (Plant Manager or similar official having
responsibility for operations at plant) credentials which indicate
that you are a lawful representative of the Administrator of the
Environmental Protection Agency and that you are authorized to
perform the inspection which you are to undertake. Sample creden-
tials for making inspections of facilities under TSCA are shown in
Appendix I.
5. Confidentiality
During the inspection of a facility, you may come across infor-
mation which should be treated as confidential by the Environmental
Protection Agency. To help protect bona fide business trade secrets
from public disclosure, you must adhere to the following procedure
at the time you .present your credentials and notice of inspection to
the appropriate official at the facility you are about to inspect.
At the time you present the facility official with the Notice
of Inspection, also present such official with one copy of the TSCA
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Inspection Confidentiality Notice, shown in Appendix III. You will
have four copies of the TSCA Inspection Confidentiality Notice. At
the time you present a copy of this Notice to tfre facility official,
place a copy in an envelope addressed to the Chief Officer of the
business whose facility you are inspecting. You should determine
the name of such Chief Officer before your arrival at the inspection
site. Mail the envelope at your earliest opportunity via certified
mail. The envelope should be mailed no later than two days after
your inspection of the facility.
As indicated in the Enforcement Proceedings Manual, vtoen you
submit your Inspection Report to the person indicated in the Enforce-
ment Proceedings Manual, also submit one copy of the TSCA Inspection
Confidentiality Notice. Retain one copy for ypur own records.
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6. Opportunity to Accompany Inspector During Inspection
At the time you present the appropriate facility official with
the Notice of Inspection, tell him that company representatives may
accompany the inspector during the inspection for the purpose of:
(a) indicating to the inspector which processes,
facilities, operations, records, etc. of the
facility should be treated as confidential, and
(b) any other reasonable purpose.
7. Opportunity to Obtain Duplicate Samples
At the time you present the appropriate facility official with
the Notice of Inspection tell him that you may be taking samples
during your inspection and inform the official that he has the
right to request and receive duplicate samples.
C. What To Do If You Are Denied Entry
1. If you are denied entry, first make sure that you have
provided the appropriate facility official with all of the material
which must be presented prior to inspection. If you have not pre-
sented this official with such material, do so.
2. If you have followed all the appropriate procedural steps
prescribed above and you are still denied entry, ask the person who
denied you entry his or her reason for denying you entry into the
facility. If the response indicates that you failed to adequately
show your credentials show the person your credentials again.
3. If the person adamantly refuses to admit an inspector, mate no
further attempt to enter.
Upon leaving the premises make appropriate notes concerning
any relevant observations vdiichc may have been noted concerning the
refusal. If there are any reasonable bases for suspecting that refusal
was based upon a desire to cover up regulatory violations note the bases
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for such conclusions. Also note such observations about the appearance
of the facility as are possible. If there is a belief that an
immediate inspection of the facility is imperative, call the Head-
quarters Regional Coordination Unit at 202-755-J212. Where immediate
inspection is desired/ a search warrant may be required by law.
The Regional Coordination Unit will aid the inspector in obtaining
a warrant where appropriate. ;
D. Inspection Procedures
1. Conduct During Inspection
Inspector's Instructions, Violation Worksheet
and Maintenance of Diaries and Field Notes
The Inspection Manual for the PCB Marking and Disposal Regulation
is divided into several sections. In addition to the sections dealing
with Legal Requirements for Inspections and the Enforcement Proceedings
Manual, the Inspection Manual contains instructions on how to conduct
inspections at the various categories of facilities subject to the regu-
lations. For each category of facilities, there are separate
instructions. Thus, for example, if you are inspecting an electric
utility company facility, turn to the Electric'Utility Company portion
of the Inspector's Manual and follow the instructions provided there.
While conducting an inspection of a particular facility, the inspector
should closely follow the instructions in the Inspection Manual for
inspecting facilities of that type to the extent that they apply to
the circumstances of the particular facility.
Each inspector must maintain legible and detailed Field Notes
providing an accurate and inclusive documentation of inspection
activity. Entries in an Inspector's Field Notes should should
include, but not be limited to, the following:
(i) Name and location of facility inspected
(ii) Explanation of what parts of the facility were
inspected
(iii) Summary of inspection related conversations
with facility employees, along with names of
employees with whom the conversations occured
(iv) Place in the facility where samples were taken,
along with explanation of the sampling tech-
nique employed, including, but not limited to:
(1) Number of samples collected
(2) Description of origin of sample
(transformer, PCB container, etc.)
(3) Detailed analysis of method of
obtaining the samples, including
description of sample container.
(v) Nature of suspected violation, including place
and time of discovery, and including explanation
of why you think your discovery is a violation.
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reports, they must contain only facts and observations. Language
should be objective, factual and free from persqnal feelings or
terminology Which might prove inappropriate. 'I'he Field Notes are
part of EPA's files and should not be considered the inspector's
personal property.
The government's case in a formal hearing or criminal prosecu-
tion hinges on the evidence gathered by the inspector. It is likely
that inspectors will be called to testify in enforcement hearings.
Therefore, it is imperative that each inspector keep detailed records
of inspections in his Field Notes. This data will serve as an aid in
giving testimony, in determining the conduct of the prosecution of the
alleged violator, and in helping the inspector prepare his Inspection
Report.
Personal Demeanor During Inspection
An inspector must conduct an inspection with the highest degree
of honesty and is expected to perform his duties in a professional
and responsible manner. At the very least, the inspector must conduct
himself at all times in accordance with the regulations prescribing
Environmental Protection Agency Employee Responsibilities and conduct
which were published in the Federal Register (Vol. 38, No. 73) on
April 17, 1973, codified at 40 CFR Part 3, and reissued in the EPA
handbook "Responsibilities and Conduct for EPA Employees". In addi-
tion, the inspector must:
A. Develop and report facts of inspections completely,
accurately and objectively.
B. Inspectors should at all times wear such safety
equipment as is customary in the facility being
inspected. Inspectors should wear a hard hat,
safety glasses or gloves if the owner or his agent
so advises.
C. Know the limits of your inspection authority. If you have
presented the appropriate credentials and written notice of
inspection, your inspection of the facility may extend to
all things within the premises being inspected (including
records, files, papers, processes, controls and facilities)
bearing on whether the requirements of the PCB Marking and
Disposal Regulation have been complied with. Although
you may not on your own authority take anything belonging
to the facility other than a sample out of the facility,
you may'copy any relevant recqrds and take the copies
with you as part of your inspection report. You should
remember that if you want to inspect financial data, sales
data (other than shipment data), or most research data you
need to describe the nature and extent of such data you wish
to inspect in the written notice of inspection. If at any
time during the inspection you are prohibited from inspecting
particular things or processes which you believe are within
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the allowable scope of your inspection, remind the person
that such prohibition is unlawful but do not argue with the
person who prohibits your inspection. Simply ask the person
why you are not being allowed to inspect the particular thing
or process and note all the particulars in your Inspection
Diary, along with the name of the person who refused to let
you inspect. Then, continue the remainder of your inspection
of the facility. Following the inspection, contact the desig-
nated TSCA Enforcement Attorney for the regions for instruc-
tions concerning the area where you were not allowed to
inspect.
D. If an authorized representative of the facility being inspected
wishes to accompany you during the inspection allow him to do
so.
E. Be alert for any statements made by employees of the facility
being inspected which may be construed to be admissions of
acts of violation of the regulation.
Prohibited Activities
The following activities may not be engaged in by an EPA inspector
before, during or after an inspection of a facility under the PCB Marking
and Disposal Regulation. These prohibitions are based upon and derived
from material in the EPA Pesticides Inspections Manual.
A. Never discriminate by the dispensing of special favors or
privileges to anyone, whether for remuneration or not; and never
accept, for yourself or anyone else, favors or benefits under
circumstances which might be construed by reasonable persons
as influencing the performance of your government duties.
The EPA handbook entitled "Responsibilities and Conduct
for EPA Employees" specifies that an employee shall not
accept anything of value from the trade, public or consumers
for or because of any official act he has performed or will
perform. Each inspector should refer to the abow referenced
handbook for amplification of this policy.
In this regard one area of concern to inspection personnel
which generates more questions than any other is the matter of
handling a situation where, during a facility inspection, you
have lunch with plant officials and/or personnel and find your
lunch paid for by them, or there is no way you can pay for
your portion of the luncheon. EPA regulations cover this by
providing an exemption whereby you can accept food and refresh-
ments of nominal value on infrequent occasions in the ordinary
course of an luncheon or dinner meeting or other meeting or on
an inspection tour where you may be properly in attendance.
Under no circumstances shall you interpret this to allow
acceptance of meals or refreshments when it is proper and fea-
sible for you to pay for your own. You must avoid such situa-
tions when possible and must make every effort to pay your part,
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unless the situation is such that it is impossible for you to
do so or to force the issue would, provoke a scene creating em-
barrassment to or bring discredit on the government.
B. Make no private promises of any kind which may be construed
as binding upon the Agency since a Government employee by
his private word cannot bind the Government.
C. Never use any information coming to you confidentially in
the performance of governmental duties as a means for making
private profit.
D. During an inspection do not speak of any product, process,
facility or person in a derogatory manner.
Taking Samples
1. Responsibility
Samples should be collected and prepared in accordance with procedures
outlined in this Manual. Keep in mind that you may have to testify in
court regarding a sample you have taken. You may be required to identify
the sample collected and to explain that you followed the sampling proce-
dures provided in this Manual. Mistakes or deficiencies in procedures
may damage the Government's case in this regard. However, if you make a
mistake in sampling, do not, under any circumstances, attempt to cover up
the mistake. Record the mistake in your Field Notes and re-take the sample
as appropriate.
2. When to Sample
Take a sample only under the circumstances indicated in this
Manual and only during the course of an inspection of a facility
covered by this Manual.
3. How to Sample
A. Taking Samples
When taking a sample during an inspection of any facility
covered by this Inspector's Manual you should follow the specific
sampling techniques appropriate for each type of facility you inspect.
Deviation from the Standard Methods and procedures for a sample might
cause problems in introducing your sample into evidence during an
enforcement proceeding. If there is any deviation from established
procedures, explain the deviation in your Field Notes.
B. Duplicate Samples
If a responsible agent of the facility being inspected requests
a duplicate sample, it should be collected and marked in the same
manner the official samples, with an indication on the extreme left
hand corner of the Sample Tag to be attached thereto that the sample
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is a "Duplicate Sample"• Of course, the fact of having prepared a
duplicate sample should be reflected in the Inspector's Field Notes.
If you provide a duplicate sample, make the appropriate notation on
the chain of custody record, described below.
C. Special Category of Samples - Photographs
During an inspection, you may want to photograph various parts of
the facility, certain operations in the facility or locations where a
sample was taken. In all cases where you take a photograph during an
inspection, write the following in your Field Notes for each photograph
taken.
1. Nature of object or process photographed
2. The sequential number of that photograph
for the inspection.
3. Inspector's Number
4. Inspector's Name
5. Time, date and place of taking photograph.
When the photographs are developed, transpose the information
recorded in your fields notes onto the back of the photograph
at your first opportunity.
4. Post - Sampling Procedure
A. Identification of Samples
' Each unit of the sample is to be tagged in the Inspector's hand-
writing in ballpoint (waterproof) ink. The tag (See Attachment IV)
shall contain, at a minimum, the following information: Inspector's
Name, type of sample, sample number, name of person taking sample, and
the type of analysis required. This tag should be completely filled
out by the inspector and attached to the sample container.
B. Receipt of Samples
After taking a sample, prepare a Receipt for Sample's Form in
triplicate (See Appendix V). Give one copy to the Plant Manager or
similar official at the facility, include one copy in your Inspec-
tion Report and retain one copy for your own records. You may
record all the samples taken during the inspection of a facility
on one Receipt for Samples Form.
E. Chain of Custody Procedures
1. Inspector to Laboratory
The inspector who collects samples is responsible for the care
and custody of the samples until properly dispatched to the receiving
laboratory or turned over to an assigned custodian. You must assure
that each container is:
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a. In your physical possession, or
b. In your view, after being in your
physical possession, or
c. After being in your physical possession
was locked by you in a manner so that
no one could tamper with it.
The following procedures should be followed:
(1). Samples will be accompanied by a Chain of Custody Record
(Appendix VI) which includes, the name of person taking the • sample;
inspector's number; type of sample taken; analysis required. If the
person who takes the sample is required to transfer possession of the
sample prior to dispatching it to the appropriate laboratory for
analysis, the transferor and transferee will sign, date and time the
sheet.
(2). The inspector taking the sample, or the person who right-
fully receives possession of the sample directly or through a chain
originating with the inspector who took the sample, has the respon-
sibility of properly packaging and dispatching samples to the proper
laboratory for analysis. As a matter of policy, the inspector
taking the sample should not relinquish possession of the sample
prior to dispatch to the appropriate laboratory except in circum-
stances where to do so would be highly impractical. In any event,
the person who dispatches the sample to the appropriate laboratory
for analysis should fill in the "Dispatch" portion of the Chain of
Custody Record.
(3). Samples will be properly packed in shipment containers
such as ice chests to avoid breakage. The shipping containers will
be padlocked for transfer to the receiving laboratory.
(4). All packages will be accompanied by the Chain of Custody
Record showing identification of the contents. The original will
accompany the shipment (inside the locked shipment container) and
will remain on record in the laboratory performing the analysis*
(5). If sent by mail/ the person who dispatches the sample to
the laboratory must send the package certified mail with return
receipt requested. If sent by common carrier, a government bill
of lading should be obtained. Receipts from post offices and bills
of lading will be retained as part of the permanent Chain of Custody
documentation.
2. Laboratory Custody Procedures
a. The laboratory shall designate a "Sample Custodian". An
alternate will be designated in his absence. In addition/ the labora-
tory shall set aside a "sample storage security area". This should
be a clean, dry, isolated room which can be securely locked from
the outside.
b. All samples should be handled by the minimum possible number
of persons.
c. All incoming samples shall be received only by the custodian
who will indicate receipt by signing the Chain of Custody Record Sheet
accompanying the samples and retaining the sheet as permanent records.
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Couriers picking up samples at the airport, pos\ office, etc. shall
sign jointly with the laboratory custodian. If'samples are delivered
to the laboratory when appropriate personnel are not there to receive
them, the samples must be locked in a designatejl area within the
laboratory in a manner so that no one can tamper with them. The same
person must then return to the laboratory and unlock the samples and
deliver custody to the appropriate custodian.
d. Immediately upon receipt, the custodian will place the sample
in the sample room, which will be locked at all times except when
samples are removed or replaced by the custodian. To the maximum
extent possible, only the custodian should be permitted in the sample
room.
e. The custodian shall ensure that heat-sensitive or light-
sensitive samples, or other sample materials having unusual physical
characteristics, or requiring special handling, are properly stored
and maintained.
f. Only the custodian will distribute samples to personnel
who are to perform tests.
g'. The sample analyst will record, in his laboratory notebook
or analytical worksheet, identifying information describing the sample,
the procedures performed and the results of the testing. The notes
shall be dated and indicate who performed the tests and they should
note any abnormalities which occured during the testing procedure.
In the event that the person who performed the tests is not available
as a witness at time of trial, the government may be able to intro-
duce the notes in evidence under the Federal Business Records Act.
h. Standard methods of laboratory analyses shall be used as
described in the "Guidelines Establishing Test Procedures for Analysis
of Pollutants", 38 F.R. 28758, October 16, 1973. If laboratory per-
sonnel deviate from standard procedures, they should prepare the
justification for the deviation in the laboratory notebook.
i. Once the sample testing is completed, the unused portion of
the sample, together with all identifying tags and laboratory records,
should be returned to the custodian. The returned tagged sample
will be retained in the sample room until it is required for trial.
Strip charts and other documentation of work will also be turned
over to the custodian.
;
j. Upon completion of laboratory PCB sample analysis, the cus-
todian shall send a copy of all laboratory records and a copy of the
appropriate chain of custody record to the Regional PCB Violation
Coordinator. The laboratory should retain the originals as permanent
records.
k. Alterations in or deviation from this chain of custody procedure
must be approved, by the Regional Office of General Counsel and/or the
Headquarters Enforcement Office, prior to implementation.
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Appendix I
TSCA Inspection Credeptials
UNITED STATES OF AFRICA
ENVIRONMENTAL PROTECTION AGENCY
j
This is to certify that
whose signature and photo appear below is an authorized representative
of the Administrator of the U.S. Environmental Protection Agency.
Date issued: Expiratipn Date:
Name:
Ti tie: Inspector
(Photo)
This Inspector is authorized under the
Toxic Substances Control Act to conduct
inspections (including taking samples,
photographs and other inspection activi-
ties) of establishments, facilities, or
other premises in which chemical substances
or mixtures or any articles containing same are manufactured, processed,
stored or held before or after their distribution in commerce, and any con-
veyance being used to transport chemical substances, mixtures or such arti-
cles in connection with distribution in commerce.
Signature of Inspector
Signature~oF the Administrator
No.
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Appendix II
U.S. Environmental Protection Agency
NOTICE OF INSPECTION
UNDER THE TOXIC SUBSTANCES' CONTROL ACT
Name of Firm: Date Inspection Commenced:
Firm Address: , Hour:
EPA Regional Office Address: (type)
Reason for Inspection:
/ / For the purpose of inspecting (including taking samples, photographs
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) bearing on whether the requirements of the
Act applicable to the chemical substances, mixtures or articles within
or associated with such premises have been complied with.
•/7 For the purpose of inspecting (including taking samples, photographs
"" and other inspection activities) a conveyance being used to transport
chemical substances, mixtures, or articles containing same in connec-
tion 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 the conveyance have been complied
with.
I / In addition, this inspection extends to (circle appropriate letters):
A) Financial data
B) Sales data
C) Pricing data
D) Personnel data
E) Research data
The nature and extent of inspection of such data specified in A
through E above is as follows:
Name of Person to Whom Signature of EPA Employee:
Notice of Inspection Was Given:
i
DATE
TITLE TITLE
Distribution: one copy Plant Manager
one copy PCS Violation Coordinator
one copy Inspector's Files
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Reverse Side- Notice of Inspection
TSCA Notice of Inspection
Authority to Conduct Inspections
By authority of Section 11 of the Toxic Substances Control Act
(15 USC 2601) an authorized representative of the Administrator of
the United States Environmental Protection Agency may enter and in-
spect, at reasonable times, 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 used to transport chemical substances,
mixtures, or such articles in connection with distribution in
commerce.
Scope of Inspections
Inspections conducted under Section 11 of the Toxic Substances
Control Act (15 USC 2601) extend to all things within the premises or
conveyance inspected (including records, files, papers, processes,
controls, and facilities) bearing upon whether the requirements of
the Toxic Substances Control Act applicable to the chemical substances
or mixtures within the premises or conveyance have been complied with.
However, inspections shall not extend to the following types of
data unless the nature and extent of such data are described with
reasonable specificity in the written notice presented to the owner,
operator, or agent in charge of the premises or conveyance:
1. financial data
2. sales data (other than shipment data)
3. pricing data
4. research data (other than research data required by the
provisions of the Toxic Substances Control Act or
under a rule promulgated thereunder)
5. personnel data.
Penalties for Failure to Allow Inspection
Section 15 of the Toxic Substances Control Act makes it unlawful
for any person to fail or refuse to permit entry or inspection as
required by Section 11 or to fail or refuse to permit access to or
copying of records. Section 16 provides for both civil and criminal
penalties for violations of Section 15. Section 17 authorizes specific
enforcement, including the obtaining of an injunction to restrain any
violations of Section 15.
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Appendix III
TSCA INSPECTION CONFIDENTIALITY NOTICE
United States Environmental Protection Agency
Regional Address:
Facility Inspected; Name of person at the facility
to whom this notice given:
Date Inspected:
Address of Facility:
TITLE
Name of chief officer Name of EPA Inspector:
of business:
Address:
Date mailed to chief
officer:
It is possible that EPA will receive public requests for release of
the information obtained by inspectors during inspection of the facility
indicated 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 response to FOIA requests unless the Administrator of the agency deter-
mines that the data contains information entitled to confidential treatment.
In order to facilitate the Agency's timely response to any public
inquiries, while giving due consideration to your company's right to request
confidentiality, please provide us with a statement specifying any informa-
tion which our inspection of the above indicated facility may reveal which
you believe should be entitled to confidential treatment.
Your statement should be addressed to _ __
(RESPONSIBLE EPA OFFICIAL) and should reach this address no later than
30 days after your receipt of this notice. Failure by your firm to submit,
within the 30 day time period, a written request that information be
characterized as confidential or privileged will be treated by EPA as a
waiver by your company of any claims for confidentiality regarding the
inspection data and the data will be made available to the public without
further notice to you.
date received by owner/operator signature of Plant Manager"
Distribution: one copy Plant Manager
one copy Chief Officer of Business
one copy PCS Violation Coordinator
one copy Inspector's Files
-------
Appendix IV
SAMPLE TAG
USEPA, TSCA PCS Marking and Disposal Regulation Field Sample
Inspector's Name Type of Samples Date Taken
Time Taken Place Taken Name of Person
Taking Sample
(written & signed)
Analysis Required:. Sample Number:
(Determination of PCB Content)
-------
Appendix V
U.S. Environmental Protection Agency
\
Receipt for Saitp3.es
Regional Address; Name of Plant Manager
or Similar Official:
Firm Name;
Firm Address;
Sample Numbers:
Samples Collected; (Describe fully the time, place, date and type of
sample, number of containers for each type of sample)
Acknowledgement of Plant Manager or Similar Official
The undersigned acknowledges that the samples described above have
been collected:
Signature; Title;
Duplicate Samples for each Type of Sample Taken;
Sample I Requested and provided Not requested
Name of person who Title of Collector:
collected samples:
Signature of Collector:
Distribution: one copy to Facility Plant Manager
original to PCB Violation Coordinator
one copy for Inspector's Records
-------
Appendix VI
Environmental Protection Agency
Toxic Substances Control Act
PCB Marking and Disposal Regulation
CHAIN OF CUSTODY RECORD
Name of Person Taking Sample:
Signature:
Inspector's Number:
Type of Sample Date Taken Time Taken Place Taken Required Analysis
Relinquished by:
Relinquished by:
Received by:
Received by:
Date:
Date:
Time:
Time:
Relinquished by:
Received by:
Date:
Time:
Dispatched by:
Date:
Time:
Received for Laboratory by:
Date:
Time:
Method of Shipment:
Distribution: Original to Accompany Shipment (inside locked shipment con-
tainer). One copy from laboratory to Regional PCB Violation
Coordinator upon completion of analysis.
-------
INSPECTION PROCEDURES
FOR
INCINERATION FACILITIES
-------
A-l
Introduction to Disposal Site Inspections
When inspecting PCB disposal facilities there are at least three
investigations which should be pursued. 1) are the PCB disposal pro-
cessess functioning properly. 2) are all of the PGBs sent to an
approved disposal process, and 3) are the PCB records properly kept.
The first concern in inspecting a disposal facility is whether
the facility effectively disposes of PCBs in a manner which is per-
mitted in the site's approval document. For incinerators and chemical
waste landfill facilities there are specific minimal performance
criteria which are incorporated as part of their facility approval
documents (see requirements detailed below). Additionally the
site approval document may apply further restrictions, require-
ments or waivers to the operation of the facility.
Whenever an alternative method of disposal is authorized
under the regulations the authorization will usually also specify
performance standards for the alternative method to meet.
The inspector should collect the performance standards from
the various approval and authorization documents and use them for
comparison with the facility's operating data.
Many of the performance requirements in the regulation are
supported by requirements for related monitoring equipment. A neces-
sary first part of the inspection process is to determine whether
all of the required monitoring equipment for the facility is in place
and is operating properly. In addition to determining whether all of
the equipment is measuring their required parameters properly,
some equipment, measuring vital criteria, may be required to incorporate
automatic shut off mechanisms. The inspector should establish
that these mechanisms work as required.
Another priority during an inspection is to determine if
the facility properly receives and sends all of the PCBs that
it receives to an approved disposal process; The basic issues
are whether the facility is diligent in identifying the types
of PCBs being received, and whether the facility is sending these
PCBs to a disposal process which is in accordance with its approval
document. A simple example of this would occur when liquid PCBs
are received at a chemical waste landfill transformers or cont-
ainers and the landfill fails to remove the liquid PCBs from
the items before disposal. The liquids would then have to be
either properly stored or directed to an approved incinerator.
This situation will occur where transformers, containers, or equip-
ment are sent to landfills by users who have failed to drain the
PCBs. Another example would occur where incinerators receive
PCB equipment or articles for disposal and their approval document
does not permit them to dispose of those particular items. Landfills
receiving liquid PCBs should have observable procedures for recog-
nizing liquid PCBs when they are received and for sending them
on to an appropriate disposal facility. Incinerators should have
similar procedures for identifying PCB items which may not be
disposed of under their approval document. The procedures must
-------
A-2
also provide for sending the PCB items to incinerators which are
approved to incinerate them. An assessment of the facilities general
procedures for receiving and disposing of the FpBs received can
often provide significant clues as to whether \pe facility is
careful in disposing of items in accordance with its approval
document.
A portion of the inspection should consider whether the facility
is fastidious in disposing of all its PCBs. Many items such as rags
old containers and even sweepings from floors may be disregarded as
insignificant trash or waste. The inspector should explore the
facilities diligence in PCB housecleaning and assure that such con-
tamination is not left unaddressed.
A third but not necessarily final area of concern is the
information in the facilities PCB records. The list of parties
transporting PCBs to the a disposal facility should be copied. This may
provide new information concerning PCB users. The inspector should
also assess whether the facility is keeping all of the data which
is required under Annex VI and their approval or waiver douonents.
In addition, the monitoring records for the facility should be reviewed
to determine whether the facility is operating within its prescribed
limits and whether these limits have been properly monitored.
Some of the monitoring requirements in the regulations require continous
monitoring. Some require intermittent monitoring. These monitoring
methods should be reflected in the monitoring records which have
been retained by the facility. The data should conform to the
requiremnts of annexes I or II and VI as well as any requirements
imposed by approval waiver documents.
UNAPPROVED SITES
The above discussion conerned only approved PCB disposal facilities.
Inspections of suspected illegal or unapproved disposal facilities pre-
sent two problems: First of all the inspector must establish the
presence of PCBs at the facility. Second it must be established that
the act of disposal occurred after April 18, 1978.
Establishing the presence of PCBs may be accomplished by locating
PCB labels or PCB items by sampling or by other methods such as comp-
aring serial numbers to manufacturers records. Determining that
disposal occured after April 18, 1978 presents a more difficult
problem. This may require direct observation of acts of disposal;
unless other approaches are available. In the instance of PCBs which
have at one time been in a proper storage facility, the items should
be-dated. Many other PCB items may be dated for one purpose or another.
Where the operation of an unapproved site is suspected the inspector
should make every effort to gather all relevant evidence to ensure comp-
lete enforcement against the facility.
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A. Incineration
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(1) §761.10 Disposal of Liquid PCBs
(a) Failure to comply with any con-
ditions and/or limitations
stated in the written approval
document.
Compare operation to conditions
and/or limitations specified in
the approval documents.
Obtain copies of record and
charts that show that that
operation exceeds specific
limits. Photograph if pos-
sible. Document in field
book.
(b) For each operation of an incin-
erator or alternative to incin-
erator, failure to give the
following written notices to the
State and local governments within
whose jurisdiction the disposal
facility is located.
(i) Notice at least 30 days before
facility is first used for in-
cineration of PCBs.
in an approved incinerator.
(ii) At the request of any State or
local government, annual notice
during the time the facility
is used for disposal of PCBs
or disposed of during the year,
not more than 30 days after the
end of the year covered.
Check records of PCS disposal
operation. Ask to see copies
of notices.
Obtain copies of records
written notices. Note
discrepancies.
-A3-
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REGULATORY REQUIREMENTS
INSPECTION PROCEDURE
DOCUMENTATION
(c) For any person who disposes of PCBs
under' an exemption from incineration,
failure to give at least 30 days
prior written notice of such disposal
to the State and local governments,
within whose jurisdiction the dis-
posal is to take place.
(§761.10(g)(2)).
(d) For any person who is required to
incinerate any PCB and who con-
tends that there is available
a means of destroying PCBs which
is as efficient as the incinera-
tion procedure provided in Annex
I, failure to obtain written
approval of the Regional Adminis-
trator before employing any method
of disposal of any PCB other than
incineration with Annex I.
(§761.10(f)).
(2) Sec. 761.10 Disposal Of Non-liquid PCBs
(a) Failure to properly dispose of
non-liquid PCBs in the form of
contaminated soil, rags, or other
debris (761.10(b)(2)), soiled
or contaminated with PCBs as a
result of a spill or as a result
of placement of PCBs in a disposal
site prior to February 17, 1978
(761.10 (b)(3)).
(b) Failure to properly dispose of
PCB articles. (761.10(c)).
Determine whether exemption is
required, i.e. whether disposal
other than by incineration takes
place. Verify notice.
Ask to see approval documentation
determine whether disposal methods
require approval beyond customary
site approval.
Obtain copies of notice
letters. Verify by
phone or letter that
letters were sent or
received by agencies.
Inspector should note
in field book that PCBs
are being handled in a
manner such that all PCBs
are not incinerated.
Verify by examining
approval document.
In areas where PCB items are
used, processed, transported,
stored or decontaminated, or
otherwise handled, check for
likelihood of PCB contamination.
Observe for oily residues,
discoloration etc.
Sample, if necessary.
Investigate source of
contamination. Note
observations in field
book. Photograph
obvious contamination
and sources of contamin-
ation.
Assess whether facility procedures Photograph PCB items
assure incineration of all PCBs which are not inciner-
or sending them to proper disposal, ated or sent to disposal.
-A4-
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REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(c) Unless decontaminated in
accordance with Annex IV,
failure to dispose of PCB
containers in an incinerator
that complies with Annex I
or in a chemical waste landfill
that complies with Annex II.
(§761.10(d)(D).
(d) Failure to drain the PCB con-
tainer of liquid and flush
it if necessary so that
remaining PCB chemical sub-
stances are removed.
Determine procedure for disposition of
of used PCB containers, articles, and
equipment. Look for containers which
have residues. Look for marked and or
dated containers which have not been
disposed but are contaminated.
Same as above.
Note in field book source
of statement on improper
procedures. Photograph
marked containers which
are improperly disposed.
Same as above.
(3) Sec. 761.20 Marking of PCBs
(a) Failure to mark as specified
with Mark Mj^ as described in
Annex V each of the following
items in existence on or after
July 1, 1978:
(i) PCB Containers
(ii) PCB article containers
(iii) Such storage area used to
store PCBs
(4) Sec. 761.40 Incineration
Check PCB containers, article con-
tainers and storage areas for
appropriate marking.
Photograph items that are
unmarked. Obtain sample
from unmarked containers.
Note discrepancies in field
book.
(a) Continuously monitor and record
the combustion products whenever
PCBs are being incinerated. At
a minimum 0
itored. <§761.40(a)(7)).
Failure to monitor results in
CO- and CO are mon-
automatic sust
tor operation!
5nsJ.on of incinera-
61.40(a)(9)(L)
Check the incinerator records
and the combustion products
monitoring records. Make sure
that 02, CO,/ and CO were moni-
tored at all times during the
PCB incineration period. Hold
data on COo, CO for use in com-
bustion efficiency determination.
No combustion products
monitoring records are
available for periods of
PCB incineration.
Inspector must note this
in field book.
-A5-
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REGULATORY REQUIREMENTS
INSPECTION PROCEDURE
DOCUMENTATION
(b) PCB feed rate and quantity of
PCBs fed into combustion systems
must be measured and recorded
at least every 15 minutes.(§761.
40(a)(3)). Failure to comply re-
sults in immediate suspension of
incinator operations.
(§761.40(a)(ii)).
Check the PCB feed rate and
quantity records. Look for
differences in the recording
intervals of greater than 15
minutes during PCB incineration.
Hold data on rate and quantity
for use in dwell time determination.
(c) The temperature of the incinera- Check the PCB incineration and
tion process sh"a~ll be continuously temperature records making sure
recorded. (§761.40(a)(8)(ii)). that the temperature was continuously
monitored throughout the PCB incin-
eration process.
(d) Depending on the selected com-
bustion criteria, the tempera-
ture must be maintained at 1200°
(+ 100°C) or 1600° (_+100°C)
Failure to comply results in
immediate suspension of inciner-
ation operations.
(e) Depending on the selected com-
bustion criteria, the oxygen
concentration must be maintained
at 2% or 3% excess oxygen.
( §761.40 ( a) (1». Failure to main-
tain excess oxygen at the level
specified causesc automatic sus-
pension of incinerator operations.
Check the temperature records against
the selected combustion criteria tem-
perature. Make sure that the tempera-
ture is maintained within the 100°
range throughout the PCB incineration
process.
(f) Depending on the selected com-
bustion criteria, the dwell time
must be maintained for at least
1-1/2 or 2 seconds.
Check the combustion products,
monitoring results. Make sure
that oxygen concentration was
maintained at the appropriate
level during PCB incineration.
Verify automatic cut-off.
Obtain feed rate data from step
2. Have the operator provide
the-calculations he used to
determine dwell time of the
Monitoring intervals
greater than 15 minutes
during PCB incineration
Inspector must note this
in field book.
No temperature recorded
for periods of PCB incin-
eration. Inspector must
note this in his field
book.
Temperature falls below
above the specified limits
Inspector must note this
in his field book.
Oxygen concentration fall
below specified excess
oxygen level. Inspector
must obtain a copy of the
monitoring records that
show this violaton. If
not possible, note the sus-
pected violation in field
book.
Dwell time is less than
time specified in the
selected combustion cri- ..
teria. Inspector must ob-
tain record of dwell time.
-A6-
-------
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION FOR VIOLATION
Failure to maintain at least
this dwell time causes auto-
matic suspension of incinerator
operations.
Material in the combustion
chamber during PCB incineration.
Calculate the maximum flow rate
possible that would stay within
the limits of the dwell time.
(g) The flow of PCBs into the incin-
erator must stop automatically
if the combustion temperature
drops below the value in the
selected combustion criteria.
Have the operator show the tempera-
ture limit detection mechanism
and the linkage to the automatic
shut-off valve controlling PCB
input. If possible, have the
operator test the unit using off-
line testing mechanisms incorporated
in the devices. Review records of
flow rate and combustion tempera-
tures and locate any periods in
which the temperature fell below
the specified limit.
(h) Water scrubbers shall be
used for HCL control during
PCB incineration.
Check the approval letter for
the performance requirements
for the water scrubber, and
verify compliance requirements.
ments.
tain copies of the records
showing the times when the
flow rates or the chamber
velocity exceeded the rates
that correspond to minimum
dwell time. The inspector
should also show the appro-
priate dwell time calcula-
tions. If not possible,
note suspected violation
field book.
No shut-off mechanism
exists, or no actuation
of the shut-off mechanism
occured during a period in
which the time fell below
the specified limit. In-
spector must obtain copies
of records showing the temp
erature drop and no cor-
responding cessation of
flow. If no mechanism
exists, the -inspector
should take photographs
of the feed mechanism
that attests to the
absence of such a shut-off
mechanism, and record na-
ture of component parts and
model numbers. If not pos-
sible, note the suspected
violation in field book.
No water srubber is being
used. The Inspector must
take photographs of the
emission control system
that attest to the absence
-A7-
-------
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
Water srubbers shall meet
any performance requirements
specified by the Regional Adminis-
trator. (§761.40(a)(9)).
(i) Combustion efficiency shall
be at least 99 per cent com-
puted as follows:
Combustion eff =
Ccoa- Ceo x 100
Ceo-
Obtain concentration data from
step 1. Calculate the combus-
tion
of the water scrubber.
inspector must obtain
copies of records showing
non-compliance with scrub-
ber requirements. If not
possible/.note the sus-
pected .violation in field
book.
Combustion efficiency less
than 99 per cent. Inspec-
tor must obtain a copy of
appropriate records show
combustion products concen-
trations. Show calcu-
lations in field book.
Where Cco2= Cone, of carbon dioxide
Ceo = Cone, of carbon monoxide
Section 761.40(a)(2)
(j) Additional requirements that the
Regional Administrator finds
necessary must be met. (761.40(d)(4)).
Check the approval document for
additional requirements.
(5) Particular Record Keeping Require-
ments for Incineration Facilities
(a) Failure to prepare and main-
tain all documents required
by Annex VI. (§761.45(b)).
Request opportunity to inspect
PCB records.
Note failure to produce,
or production of inade-
quate records in field
book
-AS-
-------
REGULATORY REQUIREMENTS __ INSPECTION PROCEDURES ___ DOCUMENTATION __
(b) In addition to the records
and monitoring requirements
specified in Annex VI, (See
§761.45{b)) failure of each
owner of a PCB Incineration
facility to collect and
maintain the following infor-
mation.
(i) When PCBs are being incin- Check records. Note discrepancies in
crated, the following contin- field book. Obtain
uous and short-interval copies of any data or
data shall be collected and records available over
maintained for a period the interval in ques-
of 5 years fron the date tion.
of collection.
o Rate and quantity of
PCBs fed to the combustion
system, as provided in
Annex I. (§761.40(a) (3)).
o Stack emission products
including O2 C02, and CO, as
provided in Annex I. (§761.40
(ii) When PCBs are being incin-
erated, data and records
resulting from the monitoring
of stack emissions as required
in Annex I - (§761.40(d)(8)),
shall be collected and main-
tained for 5 years.
-A9-
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Liquid PCBs - Incineration
REGULATORY REQUIREMENTS INSPECTION PROCEDURES DOOJMENTATION
(c) Total weight in kilograms
of any solid residues gener-
ated by the incineration of
PCBs during the calendar year,
the total weight in kilograms •
of .any solid residues disposed
of by such facility in chemical
waste landfills, and the total
weight in kilograms of any
solid residues remaining on
the facility site shall be
retained for 5 years.
(d) When PCBs are being incin-
erated, additional periodic
data shall be collected and
maintained as specified by
the Regional Administrator
pursuant to Annex I. (§761.
40(d)(4)).
(e) A document shall be pre-
pared on any suspension of
the operation of any incin-
ator by the owner or operator
thereof, as required in
Annex I - (§761.40(a)(3)).
The document shall, at a mini-
mum, include the date and
time of the suspension and
an explanation of the cir-
cumstances causing the sus-
pension of operation. The
document shall be sent to
the appropriate Regional
Administrator.
-A10-
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INSPECTION PROCEDURES
CHEMICAL WASTE LANDFILLS
-------
B. Chemical Waste Landfills
REGULATORY REQUIRMENTS
INSPECTION PROCEDURES
DOCUMENTATION
1. Sec. 761.10 Disposal of PCBs
(a) Failure to properly dispose of
liquid PCB Chemical Substance
and PCB Mixtures in an incin-
erator that complies with
Annex I. (761.10(a)(b)).
Observe for liquid PCB wastes
designated for disposal, and for
improper disposal of liquid PCB.
Photograph and sample sus-
pected areas of illegal
disposal.
(b) Failure to properly dispose of
non- liquid PCBs in the form of
a) contaminated soil, rags or
other debris (permitted until
July 1, 1980), b) soils and
debris contaminated with PCB
as a result of a spill or
of placement of PCBs in a
disposal site prior to
February 17, 1978, and c) sew-
age treatment sludges that
are PCB mixtures. (761.10(b)
(c) Failure to properly dispose of
PCB articles. ( §761.10(c) ).
(d) Failure to, prior to disposal
in a chemical waste landfill,
drain each transformer of all
free flowing liquid, fill the
transformer with solvent, and
allow 18 hours before solvent
is drained. See ( §761.10 (c) (ii) ),
Determine whether PCB items
are placed in areas of the
site which are approved
for PCB disposal. Look for
peculiarly placed items.
Look for anomalous discarded
and improperly placed items.
Check on procedures for handling
transformers at the landfill.
Observe transformer handling opera-
tion. Check transformer draining
areas, solvent filling areas. Check
landfill notes for undrained trans-
formers .
Note or copy records which
indicate items are impro-
erly place. Photograph
items or sample areas
suspected of being cont-
aminated.
Photograph improperly
placed item. Locate on map
Photographic documentation
of improper procedures.
Record detailed observa-
tions in field book.
-Bl-
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Chemical Waste Landfills
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(e) Failure to properly dispose
of PCB chemical substances
and PCB mixtures, which are
removed from transformers.
(f)
(g)
Unless decontaminated in
accordance with Annex IV,
failure to properly dispose
of PCB containers. (§761.
(h)
Failure to drain the PCB con-
tainer of liquid and flush
it if necessary so that re-
maining PCB chemical sub-
stances and PCB mixtures con-
situte no more than 0.5 per
cent of the total volume of
the container, prior to dis-
posal in a chemical waste
landfill that complies with
Annex II. (§761.10(d) (1) ) .
For all PCB articles other
than transformers, and capac-
itors; if incineration is
thought to be technologically
infeasible, failure to obtain
written permission (and fail-
ure to comply with any limita-
tions specified therein) from
the R.A. to use a chemical
waste landfill for disposal.
(§761.10(c)(3)).
Check on procedures for handling
drained mixtures from transformers.
Observe transformer drainage opera-
tion.
See incineration, chemical, and
waste landfill procedures.
Check landfill site for PCB con-
tainers that contain noticeable
amounts of residual materials.
Obtain samples of material.
Measure the size of the container
and the total volume of residual.
Check landfill site for PCB articles
other than tranformers or capacitors.
Ask to see R.A.'s written permission
to use chemical waste landfills.
Photographic documentation
of improper procedures.
Record detailed observa-
tions in field notebook.
See incineration and
chemical waste land-
fill procedures.
Calculate volume of
residual as percent of
volumne of container.
Document samples.
Determine if residual
volume exceeds 0.5 per
cent of total container
volume.
-Obtain photographs of PCB
articles disposed in land
fill. Obtain copies of
records. Record observa-
tions in detail in field
book.
-B2-
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CflSfiical Waste Landfills
REGULATORY REQUIRMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(i)
Failure to store, prior to dis-
posal, any PCB liquids or non-
liquids described above, in a
storage facility that complies
with Annex III. (§761.10(a) (2) ,
(j) Failure to store and dispose of
liquid PCBs resulting from spill
incidents in accordance with 1-5
above. (§761.10(e)).
(k) For each operator of a chemical
waste landfill or alternative
to incineration approved under
(6) above, failure to give the
following written notices to
the State and local governments
within those jurisdiction the
disposal facility is located:
(i) Notice at least 30 days
before a facility is first
used for disposal of PCBs,
and
(ii) At the request of any
State or local govern-
ment, annual notice
during the tine the faci-
lity is used for dis-
posal of PCBs of dis-
posed of during the year,
not more than 30 days
after the. end of the
year covered. (§761.10
See storage procedures.
See storage procedures.
See storage and disposal pro-
cedures.
Check records of PCB disposal,
ask to see copies of written
notices.
See storage and disposal
procedures.
Obtain copies of records
written notices. Note
discrepancies in field
book.
-B3-
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ChemTcal Waste Landfills
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(2)
(1) For any person who disposes of
PCBs under an exemption from
chemical waste landfilling,
failure to give at least 30
days prior written notice of
such disposal to the State
and local governments within
whose jurisdiction the dis-
posal is to take place.
(§761.10(g)(2)).
Sec. 761.41 Operation Requirments
for Chemical Waste Landfills
(a)(i) Soils meet certain para-
meters (parts i through vi).
Liners shall be compatible
with PCBs and liner integrity
maintained. Soil underlining
shall be provided as well as
soil cover. (761.41(b)(1)).
Request copies of notice.
Verify receipt if necessary.
Check to see if cover has
been put on completed burial
areas or does not cover entire
area used to bury PCBs to an
adequate depth, or if soil cover
has been eroded, damaged, or
removed. Photographs of incom-
plete cover should be taken.
Note in field book.
(ii) Hydrology. There shall be Inspect site for flowing or
no hydraulic connection between standing surface water and
site and standing or flowing for existence of useable moni-
surface water. Site shall toring wells and leachate col-
have monitoring wells and lection systems.
leachate collection (§761.41
Note absence of actual
notice in field notes.
Photograph inadequate
cover. Note in field book
details of cover appear-
ance.
Photographic-documenta-
tion that flowing or
standing surface water
exists. Make detailed
notes in field book show
that monitoring wells or
leachate system is not
workable.
(iii) Flood Protection if
landfill is belbw 100 year
floodwater elevation; opera-
tor shall provide division
dikes around landfill a
minimum height of 2' above
I69(S9
-------
Chemical Waste Landfills
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(iv) If landfill is above the 100-
year floodwater elevation; the
operators shall provide di-
version structures capable
of diverting all surface water
runoff from a 24-hr, 25-yr
storm. (§761.41(b){3)(iii)).
(v) Monitoring Systems. Monitor
wells shall be cased and
the annual or space between
zone of saturation and sur-
face shall be completely
backfilled or plugged with
cement to prevent intrusion
of surface water into well
zone. The well shall have
removable cap. (§761.41(5)
(vi)
Leachate Collection must be
monitored monthly for qual-
ity of leachate produced.
(§761.41(b)(6)).
Examine permit for 100 year flood-
water elev. and diversion require-
ments. Inspect diversion struc-
tures if appropriate.
Check general integrity of wells.
Check for cover. Insure that well
is not plugged or filled with soil
or debris. Take samples from wells.
Check permit to determine leachate
collection requirements. Check general
integrity of leachate collection system.
Photographs showing that
structure does not meet
requirements of permit,
maintenance is poor, or
structures have been
damaged, or erosion has
occured. Make detailed
notes in field book.
Annual space is not
completely backfilled or
concrete in space is crack-
ed or crumbling. Well
is plugged, buried, damaged
flooded, or otherwise
unuseable. Samples cannot
be retrieved from well.
Analysis of well indicating
excess PCBs content.
Obtain photos. Make
detailed notes .in..field
book.
Leachate system is not
properly maintained. There
is visible evidence that
system is plugged, or
damaged. Samples cannot
be retrieved from system
Analysis of sytem sample
show excess PCBs content
Take samples from system
Photo as appropriate.
Make detailed field note
-B5-
-------
Chemical Waste Landfills - Section 761.41
REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(vii) Chemical Waste Landfill
Operations Visually observe handling
o PCBs shall be placed in the operations. Check for broken
landfill in a manner that will or ruptured containers in
prevent damage to containers holding and disposal areas.
and articles. Other wastes,
incompatible with PCBs and
PCB containers, shall be
segregated from PCBs through-
out the waste handling and
disposal process.(§761.41
viii) Supporting Facilities
o A six-foot woven mesh
fence, wall, or similar de-
vice shall be provided around
the site.
Inspect the fence or barrier
for integrity.
o Roads shall be maintained
to and on the site adequate
to operate and maintain the
site without causing
nuisance, or hazards.
(§761.41(b)(8)).
so as to minimize dust control.
Inspect road visually for ruts,
bumps. Road surface is inadequate
so that it is too muddy in raining
weather. It is not properly cleaned
of snow. It is properly surfaced
Operations observed
that could damage con-
tainers is observed (e.
g. dropping them, push-
ing them, pushing them
with bulldozer, inappro-
priate stacking unless
transferring, malfunc-
tioning handling equip-
ment) , actual damaged
containers seen. Pud
dies of PCBs seen in
areas. Analysis of sur-
face soil shows exces-
sive PCB content. Incom
patible wastes identified
in PCB areas. Take soil
samples in areas or leaks
from containers. Identif
other wastes in handling
and disposal -areas-. -Hake
detailed notes in field
book.
Fence or barrier is in
disrepair or is damaged.
Photographs and detailed
field book notes as approp
priate.
Photograph conditions
of roads. Make detailed
notes in field book.
-B6-
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Chemical Waste Landfills - Section 761.41
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
o Site shall be operated and
maintained in a manner to
prevent safety problems or
hazardous conditions resul-
ting from spilled materials
or wind blown materials.
Inspect operations for gen-
eral good housekeeping as
specified in the operations!
plan
Observe and photograph
violations and make
detailed field notes.
(3) Particular Record Keepii
Requirements for Chemi
Waste Landfills
(a) Owners or operators main-
tain annual records, effective
July 2, 1978.
(i) Date when PCBs removed
from service and placed
into storage. Quantities
indicated as follows;
Inspect records and determine
compliance with Annex VI.
Document non-compliance
in field book or obtain
copy of records.
o Total weight in kilograms
of PCBs in containers
including identification
of containers contents
such as liquids or capa-
citors.
Inspect records and determine
compliance with Annex VI.
Document non-compliance
field book or obtain cop
of records.
o Total number of transformers
and weight in kilograms
of any PCB mixture con-
tained in transformers.
o Total number of PCS large
high, or low voltage capa-
citors.
-B7-
-------
REGULATORY REQUIRMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(ii) PCBs removed from service, loca-
tion of initial disposal or
storage facility and name of
owner or operator.
(iii) Total quanities of PCBs remaining
in service at end of calendar
year.
o Total weight in kilograms of
PCBs in containers including
identification of container
contents such as liquids or
capacitors.
o Total number of transformers
and weight in kilograms of
PCB contained in the trans-
former.
o Total number of PCB large
high, or low voltage capaci-
tors.
(b) Owners or operators document on PCB
handling at facility for previous
calendar year. Effective date of
regulation May 1, 1979. Document
must be available July 1 of each
year and include:
(i) Date PCBs received and
identification of person
and facility from whom
PCBs were received.
Request copy of report or inspect
report at site. Documents must be
retained at site for 5 years after
facility no longer used for storage.
Document non-compliance.
-B8-
-------
REGULATORY REQUIREMENTS
(Ti) Date PCBs disposed of or trans-
ported to another disposal 'or
storage facility, including
identification of types of
PCBs in containers and those
not in containers.
(iii) Weight of PCB containers,
and weight of PCB chemical
substance or mixture con-
tained in transformers
received, transported or
diposed of. Identify PCB
container contents such as
liquids, capacitors, etc.
Identification of facilities
to which PCB containers or
PCB chemical substances or
mixtures in transformers
are transported.
(iv) Number of PCB articles or
equipment not in PCB con-
tainers received trans-
ported to other storage
or disposal facility, and
remaining on facility
site at end of calendar
year. Identification
of specific type PCB
article and equipment
and identification of
facility transferred to
shall be included.
(c) Special Records Retention
(i) All documents, correspondence
and data provided by facility
to State or local government
agency pertaining to disposal
are retained at the site for
appropriate length of time.
INSPECTION PROCEDURES
DOCUMENTATION
Examine Facility records.
Document non-compliance.
-B9-
-------
MARKING REQUIREMENTS
-------
C^fcarking Requirements
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(1) Items to be marked
ML as of July 1, 1978
(a) all PCB containers
(b) PCB Transformers (a) at the
time of manufacture (b) at
the time of distribution
in commerce (c) when removed
from service
(c) PCB High Voltage Capacitors
(a) at the time of manu-
facture (b) at the time of
distribution in commerce
(c) when removed from ser-
vice.
(d) Equipment containing a PCB
transformer or large high
voltage capacitor (a) at
the time of manufacture
(b) at the time of distri-
bution in commerce and (c)
when removed from service.
(e) PCB large low voltage capacitors
when removed from use.
(f) PCB motors.
(g) PCB Hydraulic systems.
(h) PCB Heat Transfer Systems.
(i) PCB Article containers
containing marked PCB items.
(j) PCB Storage Areas.
Look for unmarked PCB items.
Obtain legal justification for
failing to mark any PCB item
Where requirement exists,
and item is not marked,
document violation. Many
PCB items must be marked
upon removal from service but
need not be marked while in
service until January 1, 1978.
Between July 1, 1978.
Photograph, to document
lack of label. Sample
or otherwise establish
that item is a PCB item.
Note in field book rea-
sons why items should
be marked, and status
of item which imposes
marking requirement.
-Cl-
-------
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(2) Items which must be marked as of
January 1, 1970.
(a) All PCB Transformers
(b) All PCB large high
voltage capactors
(c) All PCB equipment con-
taining small PCB capa-
citors must be marked
according to §761.20(a)
(4).
(3) As of Oct. 1, 1978 all vehicles
for transporting PCBs must be
marked.
(4) Certain non PCB equipment (see
§761.20(a)(b)) must be marked
"No PCB's."
(5) Improper use of Mark Mg
All PCB items shall be
for required label.
checked
All vehicles includes fork
lifts etc. used at facilities
Not expected to arise at pre-
sently projected inspections.
Photograph unmarked item
explain why mark is
required in field notes.
Photographs of vehicles
used in transport of PC
-C2-
-------
INSPECTION PROCEDURES
FOR
ELECTRIC UTILITIES
-------
-Dl-
D. Introduction to Electric Utility Operations
Electric utility operations consist of four primary activities:
(1) generation of power, (2) distribution of bulk, high voltage power,
(3) distribution and sale of electricity to direct users, and (4) con-
struction, maintenance, and repair acitivities.
Power Generation
Electric power can be generated using a variety of methods,
including as hydroelectric units, nuclear reactors, and coal or
oil fired generators. Generating methods have little bearing on
PCB use except for coal fired generating facilities that use electro-
static precipitators for air pollution control. Precipitators
frequently use PCB transformers for voltage control because of
the location of the transformers on the roofs of buildings, (fire
codes may require non-flammable PCB transformers and large capacitors
may be used for other applicat within the generating facilities, but
such uses are analogous with those in any other large industrial facility.
Bulk Power Distribution
Bulk power distribution occurs when large electric utilities such
as the Tennessee Valley Authority provide power to smaller electric
utilities such as Rural electric co-operatives or municipally owned
electric utilities. These smaller electric utilities directly dis-
tribute and sell power to final consumers. Bulk distributors will
probably own fewer PCB transformers, and large capacitors, as they
are less involved in providing lower voltage or power factor correc-
tion for final customers. Large high voltage capacitors, however,
are frequently used in substations that distribute power to small
utilities.
Distribution and Direct Sale to Customers
Electric utilities involved in the direct distribution and sale to
end users will be the most common type of electric utility. These
utilities may generate their own power, but the most important factor
is the design of the distribution system. Substations used for vol-
tage changes or other distribution corrections will contain racks of
large high voltage capacitors (all will be PCB units except for recent
replacements). Small transformers used for will also be found in
some substations. Larger PCB transformers are seldom found at sub-
stations unless special fire code considerations or unusual space
constraints dictate the use of PCB transformer fluids. Power poles
within the distribution system will have both large capacitors and
transformers. These should contain mineral oil and not PCBs unless
special fire requirements or other factors, such as personal preference,
dictated PCBs.
-------
-D2-
In sone cases, the utility may own large capacitors or transformers
that are located within buildings or other facilities owned or operated
by final users. The capacitors will probably b£ FOB units and the
transformers may also be FOB units because of fire codes. It should be
noted that fire codes do not require PCBs in transformers, but rather
require fire protection in the event of an electrical failure that could
ingnite the transformer coolant. A fire proof vault could serve the
purpose, but the use of non-flammable coolants has been the simplest
solution. Silicon based coolants, other newly developed coolants, or
even air cooled transformers (usually much larger than oil cooled units)
are alternatives that may be used to meet fire code requirements.
Construction, Maintenance, Repair
Construction, maintenance, and repair activities performed by utili-
ties will be the primary activities involving both direct contact with
PCBs and opportunities to comply with the marking and disposal require-
ments for PCBs. Construction operations will probably not involve the
installation of new PCB transformers or capacitors, but the removal or
relocation of existing PCB units may occur. PCB disposal may result
from8these construction activities.
Capacitor Maintenance
PCB capacitor repair and maintenance operations will take place either
at the location where the PCB units are used, or at a remote repair faci-
lity where the PCB units are delivered for repair or maintenance. Main-
tenance of large capacitors is relatiively straightforward. They either
function properly, or they are replaced. When capacitors fail to function-
properly it is usually because of a short circuit within the unit. This
condition may .cause the capacitor casing to bulge because of internal
pressures due to the short circuit and the casing may rupture, in which
case some of the PCB liquid may leak out. Short circuited or damaged
capacitors are never repaired, just replaced. The old units are usually
disposed.
Transformer Maintenance
Maintenance or repair of PCB transformers is more varied. Cn-site
or in-place maintenance can include the following:
(a) Removing a sample (one pint to one quart) of PCBs to test
dielectric strength (the presence of water, carbon, or other
contaminants lowers dielectric strength);
(b) Adding a small amount of PCBs to bring the PCB level up to
the full-line (topping off);
-------
-D3-
(c) Replacement or resealing of bushings, insulators, or gaskets
(the PCB level of the transformer is lowered below the
affected part and then refilled to the full-line after repairs
have been made);
(d) Removal, filtering (clay filter or paper cartridge), and return
of PCB liquids into the transformer (filter media and any waste
PCB liquids will require special disposal);
(e) Removal of PCB liquids into the transformer and refilling with
another batch of PCB liquids (unusable PCB liquids will require
special disposal)
PCB transformer repair and maintenance operations that are performed
off site will usually be conducted at a transformer repair facility oper-
ated by the electric utility or by a separate transformer service com-
pany under contract.
Special Electric Utility Operations Related to PCBs
In addition to the above activities related to the actual use of
PCBs, the PCB marking and disposal regulation will probably require
electric utilities to perform several ancillary activities. Most utili-
ties will establish long term, (§761.42) and temporary PCB storage for
disposal sites (§761.42(c)(l). Special markings will be required for
PCB transformers and large capacitors in use or in storage, for containers
of PCBs in use or in storage sites, and for vehicles used to transport
PCB transformers and containers to storage.
Special records will have to be kept by utilities on PCB activities.
These records will permit the utility to keep track of PCBs to storage
for disposal or final disposal. The records will identify locations
of storage areas and disposal sites and will enable PCBs to be traced
to determine if final disposal is performed in accordance with the
regulation.
II. Recommended Approaches for Conducting Electric Utility Inspections
inspection Priority and Records Review
Before initiating an inspection of an electric utility the following
factors should be investigated and evaluated:
(1) The relative size of the utility in terms of the number of
kilowatt hours sold annually should be determined along with
scope of activities (as descibed in the preceding sections)
conducted by the utility.
-------
-D4-
(2) Previous inspection histories (TSCA ag well as other environ-
mental health statutes) which may indicate corporate attitude
toward compliance with environmental regulations.
(3) Utilities for which a third party report or "tip-off" has been
made relating to illegal disposal or storage. These reports
can come from competitors, environmental "watchdogs", trans-
porters, or the general public. These potential sources of
information can be effectively used only if the sources are
aware of the general requirements of the regulation and the
potential harm that can result from non-compliance. (Note:
all third party reports should be converted into permanent
evidence via signed statements, or, preferably, affidavits).
-------
Utility Compliancies: Potential Violations,
Inspection Procedures and Documentation
A. General Inspection Procedures
For those utilities selected for inspection, an investigator should (1) go to the central location for PCB
records, (2) conduct a records examination as outlined in Appendix D (Annex VT) , and (3) based on the findings
of this examination, determine the need for physical inspection of utility facilities. If the records are
legally sufficient, and do not indicate that the utility has a violation, no further inspection should be perfo
med at the site. If records either do exist or do not meet the minimal legal requirements of the regulation, o
indicate that the utility has violated the regulation, a full inspection should ensue.
The records review may indicate specific facilities where violations might be expected, but in the absenc
of specific leads, inspections should be directed in the following priority.
(1) Transformer repair and maintenance facilities located at the utility
(2) Long term PCB storage for disposal facilities
(3) In use facilities such as major substations and coal fired power
generation facilities
(4) Storage areas for serviceable PCB articles
(5) Temporary storage for disposal facilities
(6) PCB transport vehicles
B. Specific Inspection Procedures and Documentation
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(1) §761.10 Disposal of PCBs
(a) Failure to dispose of liquid PCBs
in an incinerator that complies
with Annex I. (761.10(a)(b)).
Direct observations of illegal disposal
when it occurs would be the most con-
vincing evidence, but it is unlikely
this will possible. Direct observa-
tion and sampling of residues from an
illegal disposal activity can be
acheived in some cases, and such
evidence should be obtained whenever
possible.
Direct evidence (soils
etc.) of illegal PCB dis
posal should be sampled
to determine if any
residual concentrations
are below 500 ppm.
Special samples and notes
should be obtained when
there is suspicion that
watercourses are being
contaminated.
-D5-
-------
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(b)
(c)
Failure to dispose of non-liquid Inspect and sample wastes to determine
PCBs in the form of (a) contamin- if non-liquid (does not flow freely or
ated soil, rags or other debris, is not readily pumpable) and contains
and (b) soils and debris contamin- 500 ppm or greater PCBs.
ated with PCBs as a result of a
spill or as a result of placement
of PCBs in a disposal site prior
to February 17, 1978, in an
incinerator that complies with Annex
I, or in a chemical waste landfill
that complies with Annex II (for
items specified in (a), disposal
in a chemical waste landfill is
permitted until July 1, 1980.
After that date, these items
must be incinerated) (761.10(b)
Determine if articles contain PCB
mixtures or chemical substances.
For transformers, use direct
sampling. For capacitors, manu-
facturers reports can be used.
shorelines have been
contaminated. Photo-
graphs should be taken
whenever possible and
sample locations should
be precisely referenced
and located on maps or
plots.
Properly identify sample
and analytical results
Field notes on physical
nature of waste (liquid
vs. non-liquid).
Failure to dispose of PCB trans-
formers and other PCB articles
in an incinerator that complies
with Annex I, or in a chemical
waste landfill that complies with
Annex II. (761.10(c)).
Properly identify sample
and analytical results
in field book. Copy
any manufacturer's
reports.
-D6-
-------
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(d) Failure to, prior to disposal in
a chemical waste landfill, drain
each transformer of all free
flowing liquid, fill the trans-
former with solvent and allow
18 hours before solvent is
drained. (761.10(c)(ii)).
(e) Failure to dispose of PCB
chemical substances and
PCB mixtures which are removed
from the transformer, (including
solvent), in an incinerator or
that complies with Annex I,
or in a chemical waste landfill
that complies with Annex II
Open drain valves on tranformers
and collect any free flowing liquid.
If liquid volume collected is greater
than 5% of the transformer volume,
then adequate draining did not occur.
This may apply more to disposal sites.
If a utility has not completed adequate
draining, they could claim that the
disposal site is responsible for that
operation. Follow up may be neces-
sary.
Interviews with personnel to determine
familiarity with power draining pro-
cedures as indicators of proper
draining.
Field notes and statements
from workers. Obtain
serial numbers or other
direct identity of trans
former.
(f) For any large high or voltage
capacitor owned by any person,
failure to dispose in an inciner-
ator that complies with Annex I,
or in a chemical waste landfill
that complies with Annex II, un-
less it is known from label inform-
ation manufacturer's literature or
chemical analysis that the capacitor
does not contain PCB chemial sub-
stances or PCB mixtures.
Similar to A,3. except that burden is
on owner to furnish other evidence if
he contends PCBs are not present. This
requirement is intended to force manu-
facturers of new large capacitors to
mark their products "non-PCBs" if no
PCBs are used.
Similar to A,3.
(g) Unless decontaminated in accordance
with Annex IV, failure to dispose
of PCB containers in an incinerator
that complies with Annex I, or a
chemical waste landfill that
complies with Annex II.
(§761.10(d)(l) ).
Determine that containers PCBs by
direct samples of residuals or
from records review or third party
statements.
Field notes, photographs
analytical results, copies
of records, and statements
from employees or third
party observers.
- -D7-
-------
REGULATORY REQUIREMENTS
INSPECTON PROCEDURES
DOCUMENTATION
(h) Failure to drain the PCB
container of liquid prior
to .disposal in a chemical
waste landfill that
complies with Annex II.
(§761.10(d)(2)).
(i) For PCB articles other than
transformers and capacitors,
if incineration as thought
to be technogically infeasible,
failure to obtain written
permission (and to comply with
any limitations specified therein)
from the R.A. granting permission
to use a chemical waste landfill
for disposal. (§761.10(e)).
(j) Failure to dispose of Liquid
PCBs resulting from spill
incidents in accordance with
1-9 above, (§761.10(e)).
Observe to determine if any physical
evidence of PCBs is present inside
or outside of container. If PCBs
are observed or if other information
suggesting inadequate decontamination
obtained, investigate decontamin-
ation process. See
Examine documents from R.A. granting
permission. Continue investigation
to determine if special conditions
accompanying R.A. permission are
being complied with.
Field notes, photographs
statements from employee
or third party observers
Copies of documents. Other
documentation based on
special conditions in R.A.
permission.
Follow up spill reports. Direct
inspection or contacts with spill
officials will indicate degree
of compliance. Non-compliance
will require procedures similar to
1 and 2, except for records review.
Samples of contamination
zones and removed material
Third party reports or
direct observation of field
disposal.
(k) Failure to properly store, prior
to disposal, any PCB liquids or non-
liquids described in 1-10 above, in a
storage area that complies with Annex
III. (§761.10(a) (2),(b),(5);(c)(4)-
(1)
For any person who is required
to incinerate any PCB and who
contends that there is available
a means of destroying PCBs which
is as efficient as the inciner-
procedures provided in Annex I,
See 9 above.
See 9 above.
-D8-
-------
REGULATORY REQUIREMENTS INSPECTION PROCEDURE 1XCUMENTATION
failure to obtain written
permission (and failure to
comply with any limitations
specified therein) from the
R.A. before employing any
method of disposal of any
PCB other than inciner-
ation in a facility vhich
complies with Annex I. (§761.10(f)).
-D9-
-------
INSPECTION PROCEDURES
FOR
TRANSFORMER MAINTENANCE AND REPAIR FACILITIES
AND RAIL SYSTEMS
-------
-Hi-
fi. Introduction to Transformer Maintenance and Repair Facilities and
Railroad and Subway Systems.
One of the major sources of PCB exposure for the environment and to
workers occurs during transformer repair and maintenance activities, as
these operations often involve handling large volumes of highly concentrated
liquid PCB's. The internal windings and other .electrical apparatus within the
transformer can hold significant residuals of PCB's, and major transformer
disassembly often results in repeated leakage and drainage of PCB's. As with
electrical utility companies, electrified railroads and, to lesser extent,
subway systems, perform significant PCB transformer repair and maintenance
operations that may be performed by a facility-owned operation or by a
contracted outside firm.
Electric railroad locomotives and self prppelled commuters receive
their electric power fron overhead high voltage A.C. current distribution
lines. This high voltage current is then reduced to a lower, working voltage
by transformers on the locomotives for use by'the electric motors that power
the locomotives or cars. These transformers are subjected to severe working
conditions in that the cramped space available on the locomotives and the
heavy electrical load, result in high maintenance requirements when compared
to other PCB transformer installations. In addition, many of the railway
transformers are located on the undercarriage of the locomotive and are
subject to damage from objects thrown up from the track roadbed. This
damage may cause a leak of PCBs which will require transferral of the
locomotive to a repair facility.
Subway systems are also electrically powered, but receive their power
through a third rail which delivers direct current at a working voltage for
the electric motors on the subway cars. Transformers are used in the
electric distribution system which regulates the voltage to the proper level,
and since much of the electrical system is underground, the transformers
are often PCB units. The transformers are basically standard distribution
system units and are reasonably reliable. The subway systems do not usually
have special repair organizations for transformers, but instead contract
with transformer repair firms.
Transformer Repair and Maintenance Facility Functions
Transformer repair and maintenance fuctions are often split between on-
site and off-site activities. Since PCB transformers are heavy, bulky units
and the transporation of them does pose some risks, many service operations
are performed on-site. Some examples of these on-site operations are:
(a) Removing a sample (one pint to one quart of PCBs) for testing dielectric
strength (the presence of water, carbon, or other contaminants lowers
dielectric strength);
-------
-E2-
(b) Adding a small amount of PCBs to bring the level up to the full
line (topping off);
(c) Replacement or resealing of bushings, insulators, or gaskets (the PCB
level of the transformer is lowered below the Affected part and then
refilled to the full line after repairs have been made);
(d) Removal, filtering (clay filter or paper cartridge) and return of PCB
liquids into the transformer (filter media and any waste PCB liquids
will require special disposal);
(e) Removal of PCB liquids from a transformer and refilling with new or
reclaimed PCB liquids (unusable PCB liquids will require special disposal).
Off-site operations are conducted at the transformer repair facility
and include an operations sequence like the one below.
1. The tranformer is delivered to the shop, probably containing PCB
liquids;
2. If minor repairs are all that are required, then a series of steps
similar to the on-site operations above are performed;
3. For major repairs, the PCB liquids are drained and probably retained
for re-use after filtering, unless the liquids are grossly contamin-
ated, particularly with carbon particles from an electrical failure.
These contaminated liquids would go to PCB disposal;
4. Before opening the transformer for major repairs, the unit may
•be flushed with solvent to lower the residual PCB content. The
spent solvent should go to PCB disposal;
5. After the top is opened, the internal coils and other electrical
apparatus are probably removed for examination and/or repair.
These devices may contain significant quantities of residual PCBs;
6. Depending" on the condition of the coil, rewinding with new wire
may be performed. The scrapwire should be disposed of as a PCB
solid. PCB contamination from such transformer salvage operations
is considered to be a serious problem;
7. The internal workings are replaced, the transformer resealed, and
PCBs (either new or reclaimed) are added to the unit;
8. The transformer is tested and, if satisfactory, returned to service.
The risks these operations pose come fron three activities:
1. Newly arriving transformers may be leaking and contaminating trans-
port vehicles, storage areas or building;
-------
-E3-
2. Significant quantities of waste PCBs will be generated, and adequate
storage and disposal must be provided for;
3. Since dismantling and repair operation? occur in a number of locations
within the facility, housekeeping problems can be serious. If wide-
spread contamination occurs within the facility, drainage systems can
readily become contaminated with PCBs.
Railroad Maintenance Operations
These operations are similar to the transformer repair facilities with
two major exceptions:
1. The transformers must be removed from the locomotives or serviced
on the locomotives in the same work pits that are used for other
locomotive maintenance operations. This often results in very
cramped working conditions and an intermixing of PCB operations
with other operations.
2. The railroad shops almost never open a transformer for repairs
to internal apparatus. For these services, the transformers
are sent to outside transformer repair facilities.
Railroad repairs are usually similar to the on-site repair and
maintenance operations discussed above. Repair operations unique
to the railroad units include repair or replacement of PCB motors
used to re-circulate PCBs for cooling, and repair or replacement of
cooling radiators that may be damaged by stones or other roadbed
projectiles.
The most significant risks at these railroad maintenance facili-
ties are as follows:
1. General housekeeping contamination, paritcularly in work pits.
Drainage to sanitary or storm sewers from the pits could be a
significant contamination pathway;
2. Although some quantities of waste PCBs will be generated,
increased filtering and reclamation may reduce this.
II. Recommended Approaches for Conducting Transformer Maintenance Repair
and Railroad and Subway Facility Inspections.
Inspection Priority
Headquarters is providing a basic list of transformer repair facilities
and railroad and subway systems that may handle PCB units. The facilities
should be contacted to determine if they are engaged in PCB activities.
If there is any possibility or suspicion that PCB maintenance is being
-------
-E4-
performed, the facility should be physically inspected. Any facilities
for which a third party report or "tip-off" has been made relating to
illegal disposal or storage should receive priority. These reports can
come from competitors, environmental "watchdogs'," transporters, or the
general public. These potential sources of infprmation can be effectively
used only when these sources are aware of the general requirements of the
regulation and the potential harm that can result from non-compliance.
Third party reports should be converted into permanent evidence via
signed statements or, preferably, affidavits.
-------
Railroad and Subway Systems
III. Transformer Repair and Maintenance Facilities; Potential Violations, Inspection Procedures and Documentation
A. General Inspection Procedures
I. Transformer repair and maintenance facilities
For those transformer maintenance and repair facilities selected for inspection, a thorough physical inspec-
tion should be performed with records review, as outlined in Chapter 5, Appendix D, as a secondary priority.
The following facility areas or activities should be inspected:
1. Storage lot or area where incoming transformers are placed. Inspector should look for leaking units
and evidence of significant ground contamination. If storm runoff of PCBs into storm drains or steams
is suspected, samples of contaminated soil and stream or storm drain bottom deposits should be taken.
2. Storage for disposal area(s) should be inspected for compliance with 761.42 (see Chapter 5, Appendix A).
- 3. Scrap metal areas should be inspected for PCB contaminated wiring or other internal parts. No dis-
mantled or intact PCB transformer casing should be here. They must be in storage for disposal areas.
4. General housekeeping conditions should be observed. PCB contaminated rags and other debris must be
placed in proper containers for disposal. Poor housekeeping is indicated by PCB contamination of
drainage systems and the general facility environment. Drainage, systems samples should be taken.
5. PCB storage and handling areas within the facility should be carefully inspected. Although the
regulation provisions apply only to storage for disposal, serious hazards can be addressed under
emergency powers.
6. The degree of worker knowledge about occupational hazards of PCBs should be determined. The availa-
bility of protective clothing should also be determined. These factors are not potential violations
per se, but are good indicators of the degree of knowledge that exists regarding environmental con-
cerns.
7. Determine the amount of activity in retrofilling PCB transformers with substitute fluids. If this
is a major activity at this facility, then expect large quantities of waste PCBs to be generated.
8. Records as required by Annex III (see Chapter 5, Appendix D), should be reviewed to determine the
names and locations of all storage for disposal and final disposal site locations. If outside
transformer repair firms are acting as middlemen in the transformer disposal chain from original
user to final disposal, adequate records should be available indicating the origin of the trans-
formers or waste PCB fluids.
-E5-
-------
9. After July 1, 1978, all PCB transformers at a transformer repair facility will have to be properly
marked in accordance with Annex V (see Chapter 5, Appendix C). This also applies to PCB con-
tainers storage for disposal areas.
II. Railroad and Subway Systems:
facilities
All of the above and locomotive and self-propelled car maintenance
B. Specific Inspection Procedures and Documentation
Transformer Repair Facilities
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(1) 761.10 Disposal of PCBs
(a) Failure to dispose of liquid
PCBs in an incinerator that
complies with Annex 1,
(761.10(a), (b)).
Direct observation of illegal disposal
when it occurs would be the most con-
vincing evidence, but is unlikely that
this will be possible. Direct obser-
vation and sampling of residues from
an illegal disposal activity can be
achieved in some cases, and such evid-
ence should be obtained whenever pos-
sible.
Direct evidence (soils,
etc.) of illegal PCB dis-
posal should be sampled
to determine if there are
any residual concentrations
below SOOppm. Special
samples and notes should
be obtained whenever
possible and sample
locations should-'be
precisely referenced or
located on maps or plots.
-E6-
-------
Transformer Repair Facilities
PECULATOR*
INSPECTION PROCEDURES
DOCUMENTATION
(b)
Failure to dispose of non-
liquid PCBs in the form of
contaminated soil, rags or
other debris contaminated
with PCBs as a result of a
spill or as a result of place-;
ment of PCBs in a disposal
site prior to February 17, 1978,
in an incinerator that complies
with Annex I, or in a chemical
waste landfill that complies
with Annex II (for items specified
in (a), disposal in a chemical waste
landfill is permitted until
July 1, 1980. After that date,
these items must be incinerated).
(§761.10(b)(3)).
(c)
Inspect and sample wastes to deter-
mine if non-liquid (does not flow
freely or is not readily pumpable)
and contains 500 ppm or greater.
Failure to dispose of PCB trans-
formers and other PCB articles
in an incinerator that complies
with Annex I, or in a chemical
waste landfill that complies
with Annex II. (S761.1)(c)).
(d) Failue to, prior to disposal in
a chemical waste landfill, drain
each transformer of all free
flowing liquid, fill the trans-
former with solvent and allow
18 hours before solvent is
drained. (761.10(c)(ii)).
Determine if articles contain mix-
tures or chemical substances. For
transformers, use direct sampling.
For capacitors, manufacturers
reports can be used.
Open drain valves on transformers and
collect any free flowing liquid. If
liquid volume collected is greater
than 5% of the transformer volume,
then adequate draining did not occur.
If no solvents are present in the
liquid, then a solvent flush did not
occur. Since transformer facilities
can either serve as agents for final
disposal or decide to dispose
of a transformer after testing or
examining it, proper draining of trans-
formers will be an important activity.
Properly identify sample
and analytical results
Field notes on physical
nature.of waste (liquid)
vs. non-liquid).
Sample and analytical
results and copies of
manufacturers reports.
-E7-
-------
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(e) Failure to dispose of PCB
chemical substances or mixtures
which are removed from the
transformer, (inluding solvent),
in an incinerator that complies
with Annex I, or in a chemical
waste.
(f) Unless decontaminated in accor-
dance with Annex IV, failure to
dispose of PCB containers in an
incinerator that complies with
Annex I, or in a chemical waste
landfill that complies with
Annex II. (§761.10(d)(1)).
(g) Failure to drain the PCB con-
tainer or liquid prior to dis-
posal in a chemical waste land-
fill that complies with Annex II.
(§761.10(d)(a)).
(h) For PCB articles other than
transformers and capacitors,
if incineration is thought
to be technologically infeasible,
failure to obtain written
permission (and comply with any
limitations specified) to use a
chemical waste landfill for -
disposal. (§761.10(c){3)).
(i) Failure to properly store, prior
to disposal, any liquids or non-
liquid described in 1-8 above, in
a storage area that complies
with Annex III. (§761.10(a)(2)
Interviews with personnel to determine
familiarity with proper draining
procedures as indicators of proper
draining.
Determine that containers contained
PCBs by direct samples of residuals
or from records review or third party
reports.
Observer to determien if any physical
evidence of PCBs is present inside
or outside of container. If PCBs
are observed or if other information
suggesting inadequate decontamination
is obtained, investigate decontamina-
tion process. See
Examine documents from R.A. granting
permission. Continue investigation
to determine if special conditions
accompanying R.A. permission are being
complied with. Will seldom apply to
transformer repair facilities.
See Chapters on storage
for procedures.
Field notes and statements
from workers. Obtain
serial numbers or other
direct identity of trans-
formers.
Field notes, photographs
analytical results, copies
of records, and statements
from employees or third
party observers.
Field notes, photographs
statements from employees
or third party observers
Copies of documents and
other documents based on
special conditions in the
R.A. approval.
See Chapters on storage
-for procedures.
-E8-
-------
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(j) Failure to properly store and
dispose of liquid PCBs resulting
from spill incidents.
Follow up spill reports. Direct
inspection or contacts with
spill officials will indicate
degree of compliance. Non-com-
pliance will require procedures
similar to 1 and 2, except for
records review.
(k) For any parson who is required
to incinerate any PCB and who
contends that there is avail-
able a means of destroying PCBs
which is as efficient as the
incineration procedures pro-
vided in Annex I, failure to
obtain written permission (and
failure to comply with any limi-
tations specified therein) from
the R.A. before other than inciner-
ation in a facility which com-
plies with Annex I. (§761.10(f)).
See 8 above.
Samples of contamination
zones and removed
materials, third party
reports or direct
observation of final
disposal.
See 8 above.
-E9-
-------
Railroad and Subway Systems: Specific Inspection Procedures and Documentation
Note: PCBs will generally be found in locomotive and self propelled car maintanence facilitites.
REGULATORY REQUIRMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(1) § 761.10 Disposal of PCBs
(a) Failure to dispose of liquid PCBs
in an incinerator that complies •
with Annex I (761.10{a),(b)).
Direct observations of illegal disposal
when it occurs would be the most con-
vincing evidence, but it is unlikely
that this will be possible. Direct
observation and sampling of residues
from an illegal disposal activity can
be achieved in some cases and such
evidence should be obtained whenever
possible.
(b) Failure to dispose of non-liquid
PCBs in the form of a) conta-
minated soil, rags or other
debris, and b) soils and debris
contaminated with PCBs as a result
of a spill or as a result of
placement of PCBs in a disposal
site prior to February 17, 1978,
in an incinerator that complies
with Annex I, or in a chemical wastes
landfill that complies with Annex II
(for items specified in a), disposal
in a chemical waste landfill is
permitted until July 1, 1980. After
that date, these items must be in-
cinerated (761.10(b)(20(3)).
Inspect and sample wastes to determine
if non-liquid (does not flow freely or
is not readily pumpable) and contains
500 ppm or greater.
Direct evidence (soils,
etc.) of illegal PCB dis-
posal should be sampled
to determine if any
residual concentrations
of dilution was used to
get concentrations below
500 ppm. Special samples
and notes should be obtain-
ed whenever there is
suspicion that watercourses
have been contaminated.
Photographs should be taken
whenever possible and
sample locations should be
precisely referenced and
located on maps or plots
Properly identify sample
and analytical results.
Field notes on physical
nature of waste (liquid
non-liquid).
-E10-
-------
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(c) Failure to dispose of PCS trans-
formers and other PCB articles in an
incinerator that complies with Annex I,
or in a chemical waste landfill that
complies with Annex II. (761.10(c)).
Determine if articles contain PCB mixtures
or chemical substances. For transformers,
use direct sampling. For capacitors,
manufacturers reports can be used.
(d)
Sample and analytical re
suits should be noted in
field book. Copies of
manufacturers reports
should be included if
possible.
Failure to, prior to disposal in a
chemical waste landfill, drain each
transformer of all free flowing liquid,
fill the transformer with solvent and
allow 18 hours before solvent is
drained. (761.10(c)(iii)).
Open drain valves on transformers and
collect any free flowing liquid. If
liquid volume collected is greater than
5% of the transformer volume, then ade-
quate draining did not occur. If no
solvents are present in the liquid, then
a solvent flush did not occur. If the
facility has not completed adequate
draining, they could claim that the dis-
posal site is responsible. Follow up may
be necessary.
(e) Failure to dispose of PCB chemical Interviews with personnel to determine
substances and PCB mixtures which are familiarity with proper draining pro-
removed from the transformer, (including cedures as indicators of proper draining.
solvent), in an incinerator that
complies with Annex I, or in a chemical
waste landfill that complies with Annex
Similar to A, 3. except that burden is on
owner to furnish other evidence if he
contends PCBs are not present. This re-
quirement is intended to force manufac-
turers of new large capacitors to mark
their products "Non-PCBs" if no PCBs are
used.
Capacitors may be found on some new
motors and in building electrical
systems. Subway systems may have them
for power factor correction.
(f) For any large high or low voltage
capacitor owned by any person, failure
to dispose in an incinerator that
complies with Annex I, or in a chemical
waste landfill that complies with
Annex II, unless it is known from label
information, manufacturer's literature
or chemical analysis used that the
capacitor does not contain PCB chemical
substances or PCB mixture.
Field notes and statements
from workers. Obtain
serial numbers or other
direct identity of trans-
former.
Siumilar to A,3.
-Ell-
-------
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(g) Unless decontaminated in accordance
with Annex IV, failure to dispose
of PCB containers in an incinerator
that complies with Annex I, or in a
chemical waste landfill that complies
with Annex II. (§761.10(d)(1)).
(h) Failure to drain the PCB container of
liquid prior to disposal in a chemical
waste lanfill that complies with
Annex II. (761.10(d)(1)).
(i) For PCB articles other than trans-
formers and capacitors/ if incineration
is thought to be technologically
infeasible failure to obtain written
permission (and to comply with an
limitations specified therein) from
the R.A. granting permission to use
a chemical waste landfill for dis-
posal. (§761.10(c)(3)).
(j).Failure to dispose of liquid PCBs
resulting from spill incidents in
accordance with 1-9 above.
(§761.10(c)(3)).
Determine that containers contained PCBs
by direct samples of residuals or from
records review or third party statements.
Observe to determine if any physical evi-
dence of PCBs is present inside or out-
side of container. IF PCBs are observed
or if other information suggesting in-
adequate decontamination is obtained/
investigate decontamination process. See
Examine documents from R.A. granting per-
mission. Continue investigation to
determine if special conditions accom-
panying R.A. permission are being
complied with.
Field notes, photographs
analytical results/ copies
of records, and statements
from employees or third
party observers.
Filed notes, photographs
statements from employees
or third party observers
Copies of documents or
other documents based
on special conditions in
R.A. permission.
Follow up spill reports. Direct in-
spection or contacts with spill officials
will indicate degree of compliance.
Non-compliance will require procedures
similar to 1 and 2, except for records
review.
Samples of contamination
zones and removed mater-
ials. Third party report
or direct observation of
final disposal.
-E12-
-------
REGULATORY REQUIREMENTS INSPECTION PROCEDURES DOCUMENTATION
(k) Failure to properly store, prior to See Chapter on storage See Chapter on storage
disposal, any PCB liquids or non- for procedures. for documentation.
liquids described in 1-10 above, in
a storage area that complies with
Annex III. (§761.10(a)(5),(c)(4)(1)(2)).
(1) For any person who is required to See 9 above. See 9 above.
incinerate any PCB and who contends
that there is available a means of
destroying PCBs which is as effi-
cient as the incineration proce-
dures provided in Annex I, failure to
obtain written permission (and fail-
ure to comply with any limitations
specified therein) from the R.A.
before employing any method of dis-
posal of any PCB other than incinera-
tion in a facility which complies with
Annex I. (§761.10(f)).
-E13-
-------
INSPECTION PROCEDURES
FOR
TRANSFORMER AND CAPACITOR MANUFACTURERS
-------
-Fl-
I. Introduction to FOB Capacitor and PCS Transformer Manufacturing
Manufacturers of FOB capacitors and PCB transformers have been
identified as major discharges of PCBs to U.S. waters: the contamination
resulting from such discharges has forced the closing of a number of major
rivers to fishing. Due to environmentalist pressure and new laws and
regulations, the manufacture of PCB capacitors in the U.S. is expected
to terminate by mid-1978. As far as EPA is aware, PCB transformer manu-
factureing has already ceased.
c
• Nevertheless, PCB discharges resulting from complex materials handling
systems, poorly constructed drainage systems, and general poor housekeeping
practices will probably continue to contaminate U.S. waterways for some time
after all PCB transformer and capacitor manufacturing has ceased. Signi-
ficant volumes of PCB solid wastes, in the form of defective small capacitors,
have been disposed of improperly in dumps, and PCB discharges from such dumps
continue to contaminate both water systems and municipal sewage sludge.
II. Recommended Approach for Conducting PCB Capacitor and PCB Transformer
Manufacturing Facility Inspections
Inspection Priority
The highest inspection priority should be those few capacitor manufac-
turers who still use PCBs. They will have large amounts of highly concen-
trated liquid PCBs on hand, and thus have the greatest potential for PCB
contamination. Storage and handling of PCB wastes from the manufacturing
process will also be a major problem.
The second priority should be former PCB capacitor manufacturers.
Transformer manufacturers should be the third priority. All facilities should
be physically inspected. Note: Those facilities for which third party reports
on illegal disposal or storage have been made should receive priority. Those
reports can come from competitors, environmental "watchdogs", transporters, or
the general public. These potential sources of information can be effectively
used only if the sources are aware of the general requirements of the regulation
and the potential harm that can result from non-compliance. Third party reports
should be convereted into permanent evidence via signed statements or, prefer-
ably, affidavits.
-------
Capacitor Manufacturers; Inspection Procedures and Documentation
A. General: The following facility areas or activities should be inspected.
1. Storage for disposal areas containing any waste PCB liquids or solid wastes generated by manufacturing
operations. This applies to most current manufacturers.
2. Materials handling systems used for PCBs. Residual PCBs in the systems could contaminate other sub-
stances. Such contaminated substances must be handled as PCB mixtures.
3. Dumps, landfills, or pits used in the past for disposal of manufacturing wastes. Leachate and
other indicators of contamination should be samples.
4. Facility drainage systems should be inspected and sampled for PCB contamination. NPDES or other
EPA or state programs may already be examining this problem.
5. Records should be reviewed. (Note: former manufacturers may not be required to keep records).
6. Any small PCB capacitors owned by manufacturers, past or present, will have to be disposed of in
accordance with Annex 11(761.10(c) (2) (iv). These are the only disposal requirements for small
capacitors.
B. Specific Procedures
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(1) §761.10 Disposal of PCBs
(a) Failure to dispose of liquid PCBs
in an incinerator that complies
with Annex I. (761.10(a),(b)).
Direct observations of illegal disposal
when it occurs would be the most con-
vincing evidence, but it is unlikely
this will be possible. Direct obser-
vation and sampling of residues from
an illegal disposal activity can be
acheived in some cases, and such evi-
dence should be obtained whenever pos-
sible .
Direct evidence (soils
etc.) of illegal P
posal should be
to determine if any resi-
dual concentrations of
500 ppm. or greater are
present, or if dilution
was used to get concen-
trations below 500 ppm.
-F2-
-------
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(b)
Failure to dispose of non- liquid PCBs
in the form of a) contaminated soil,
rags or other debris, and b) soils and
debris contaminated with PCBs as a
result of a placement of PCBs in a
disposal site prior to February 17,
1978, in an incinerator that complies
with Annex I, or in a chemical waste
landfill that complies with Annex II.
(For items specified in a), disposal
in a chemical waste landfill is per-
mitted until July 1, 1980. After that
date, these items must be incinerated.
Inspect and sample waters to deter-
mine if non-liquid, (does not. flow
freely or is not readily pumpable)
and contains 500 ppm or greater.
should be taken whenever
there is suspicion that
U.S. waters or adjoining
shorelines have been con-
taminated. Photographs
should be taken whenever
possible and sample loca-
tions should be precisel
referenced and located on
maps or plots.
Properly identify sample
and analytical results.
Field notes on physical
nature of waste (liquid)
vs. non-liquid).
(c)
Failure to dispose of PCB articles in
an incinerator that complies with
Annex I, or in a chemical waste land-
fill that complies with Annex II
Determine if articles contain PCB mix-
tures or chemical substances. For
transformers, use direct sampling.
For capacitors, manufacturers reports
can be used.
Properly identify sample
and anlaytical results.
Copy manufacturers report.
-F3-
-------
Capacitor Manufacturers
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION OF VIOLATIONS
(d)
(e)
(f)
(g)
For any large high or low voltage
capacitor owned by any person, failure
to dispose in an incinerator that
complies with Annex I, or in a chemi-
cal waste landfill that complies with
Annex II, unless it is known from
label information, manufacturer's
literature or chemical analysis that
the capacitor does not contain PCB
chemical substances or PCB mixtures.
Unless decontaminated in accordance
with Annex IV, failure to dispose
of PCB containers in an incinerator
that complies with Annex I, or in a
chemical waste landfill that complies
with Annex II. (761.10{d) (1) ) .
Failure to drain the PCB container
of liquid prior to disposal in a
chemical waste landfill that com-
plies with Annex II. (761.10(d) (1) ) .
For PCB articles other than trans-
former and capacitors, if incinera-
tion is thought to be technologically
infeasible, failure to obtain written
permission (and to comply with any
limitations specified therein) from
the R.A. granting permission to
use a chemical waste landfill for
disposal. (761.10(c)(3)).
Similar to A3, except that burden is
on owner to furnish other evidence if
he contends PCBs are not present. This
requirement is intended to force manu-
facturers of new large capacitors to
mark their products "Non PCBs" if no
PCBs are used.
Similar to A,3.
Determine that containers contained
PCBs by direct samples of residuals
or from records review or third party
statements.
Observe to determine if any physical
evidence of PCBs is present inside or
outside of container. If PCBs are
observed or if other information sug-
gesting inadequate decontamination
is obtained, investigate decontamina-
tion process.
Examine documents from R.A. granting
permission. Countinue investigation
to determine if special conditions
accompanying R.A. permission are being
complied with.
Field notes, photographs,
analytical results, copies
of records and statements
from employees or third
party observers.
Field notes, photographs,
statements from employees
or third party observers
Copies of documents,
documentation based on
special conditions in R.A.
permission.
-F4-
-------
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION OF VIOLATION
(h) "Failure to dispose of liquid PCBs
resulting from spill incidents in
accordance with §761.10(e).
(i)
(j)
Failure to properly store, prior
to disposal, PCB liquid or non-
liquids described in 1-10 above,
in storage area that complies with
Annex III. (761.10(a) (2) ,(b) (5) ,
For any person who is required to
incinerate any PCB and who contends
that there is available a means of
destroying PCBs which is as effi-
cient as the incineration procedures
provided in Annex I, failue to ob-
tain written permission (and fail-
ure to comply with any limitations
specified therein) from the R.A. be-
fore employing any method of dis-
posal of any PCB other than incin-
eration in a facility which complies
with Annex I. (761.10(1)).
Follow up spill- reports. Direct
inspection or contacts with spill
official will indicate degree of
compliance. Non-compliance will
require procedures similar to 1
and 2 except for records review.
Samples of contamination
zones and removed mater-
ials. Third party report
or direct observation of
final disposal.
See 9 above.
See 9 above.
-F5-
-------
Transformer Manufacturers: Inspection Procedures
A. General Procedures: the following facility areas or activities should be inspected.
1. Storage for disposal areas containing any waste PCB Iquids or solid wastes generated by manufacturing operations
This applies to most current wastes generated by manufacturers.
2. Materials handling systems used for PCBs. Residual PCBs in the systems could contaminate other substances.
Such contamnated substances must be handled as PCB mixtures.
3. Dumps, landfills, or pits used in the past for disposal of manufacuring wastes. Leachate and other indic-
ators of contamination should be sampled.
4. Facility drainage systems should be inspected and sampled for PCB contamination. NPDES or other EPA or state
programs may already be examining this problem.
5. Records should be reviewed in accordance with the methods outlined in Chapter 5, Appendix D. (Note: Former
manufacturers may not be required to keep records).
~ REGUEftTORY REQUIREMENTS INSPECTION PROCEDURES DOCUMENTATION
(1) §761.10 Disposal of PCBs
(a) Failure to dispose of liquid PCBs in Direct observations of illegal disposal Direct evidence (soils
an incinerator that complies with when it occurs wojuld be the most con- etc.) of illegal PCB
Annex I. (761.10(a),(b)). vincing evidence, but is is unlikely disposal should'be
this will be possible. Direct obser- sampled to determine if
vation and sampling of residues from dilution was used to get
an illegal disposal activity can be concentrations below 500
acheived in some cases, and such evi- ppm. Special samples and
dence should be obtained whenever pos- notes should be obtained
sible. whenever there is suspicion
that U.S. waters or
adjoining shorelines have
been contaminated. Photo-
graphs should be taken
whenever possible and
locations should be pre-
cisely referenced and loc-
ated on maps or plots.
-F6-
-------
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(b)
Failure to dispose of non-liquid PCBs
in the form of a) contaminated soil,
rags or other debris, and b) soils
and debris contaminated with PCBs as
a result of a spill or as a result of
placement of PCBs in a disposal site
prior to February 17, 1978, in an
incinerator that complies with Annex
I, or in chemical waste landfill that
complies with Annex II (for items
specified in a) , disposal in a
chemical waste landfill is permitted
until July 1, 1980. After that date,
these items must be incinerated (761.
(c)
Inspect and sample wastes to determine
if non-liquid, (does nto flow freely
or is not readily pumpable) and con-
tains 500 ppm or greater.
Properly identify sample
and analytical results.
Field notes on physical
nature of wastes (liquid
vs. non-liquid).
Failure to dispose of PCB trans-
formers and other PCB articles in an
incinerator that complies with
Annex I, or in a chemical waste
landfill that complies with
Annex II.
Determine if articles contain PCB mix-
tures chemical substances. For trans-
formers use direct sampling.
Properly identify sample
and analyze results.
-F7-
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STORAGE REQUIREMENTS
-------
INTRODUCTION TO STORAGE INSPECTIONS
Storage areas play a key role in preventing PCBS from reaching
the environment prior to their disposal. The function of the storage
requirements in the regualtions is to assure effective containment of
PCBS until they are sent on to a disposal facility. To assure environ-
mental protection, the regulations provide for the construction
of protective structures for the storage of PCBs.
The essential concerns of the regulation are that storage
facilities avoid potential migration of PCBs into watercourses and
that they be able to contain possible spills. These concerns do
not necessarily require construction of an elaborate structure.
The principle requirements, an adequate roof and walls, impervious
flooring and adequate containment capacity, may be met with fairly
simple structures and some ingenuity. A steel tub for instance
could suffice for meeting the floor and curbing requirements if it
were of sufficient capacity. The tub then could be placed in any
building for weather protection, and the storage facility require-
ments would be satisfied.
The operations of the storage facility should comply with
the requirements of the §761.20 marking regulation as well as
Annex III and Annex IV. With respect to marking, all PCBs
which are required to be placed in a storage facility should
be marked and dated. In addition, once marked and dated, the
PCBs in storage must be carefully organized according to the
regulation so as to permit easy access.
At all facilities, PCBs in storage should be accurately recorded
in the PCB records for the facility. The quantity of PCBs in storage
should relate directly to the quantity of PCBs removed from service
or received from other facilities.
As a vital part of each Storage facility inspection the inspector
should assess, as a guide to the likelihood of serious violations,
the general housekeeping of the facility operation. Poor or non-
existent reccords and sloppy operations are good indicators of
breaches of other significant requirments and should be carefully
noted in the inspector's field book.
Every facility which owns or uses PCBS should either have
an Annex III storage facility or be capable of sending its PCBs
directly to a remote storage or disposal site. This suggests that
inquiries as to the existence and location of storage facilities
should be a part of nearly every PCB inspection.
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G« Storage (Annex III)
REGULATORY REQUIRMENTS
INSPECTION PROCEDURES
DOCUMENTATION OF VIOLATIONS
(1) Period of Storage: §761.42(a) PCB
article or container stored before
January 1, 1973 shall be removed
from storage and disposed of before
January 1, 1984. PCB article or
container stored after January 1,
1983 must be disposed of within
one year from date placed into
storage.
(2) Storage Facility: §761.42(a)
(a) Adequate shelter to prevent
rain reaching PCBs.
Check records for date of storage^
Confirm that disposal occured by
inspection of storage area.
(b) Adequate floor with 6 inch
high continuous curbing.
Containment must provide 2
time internal volume of
largest PCB article or
container or 25% of total
internal volume of all PCB
equipment or containers stored
therein, whichever is greater.
Visual inspection for leaks and gen-
eral condition of structure.
Determine volume of all stored equi-
ment or containers and volume of
largest container by direct measure-
ment or from records. Measure
surface dimensions and curb height.
PCB article or container
still in storage area.
Record observations in
field book, obtain photo
graph (if possible) of
stored material; list
quantities of material,
type of containers, etc.
Record observation in
detail in field book,
provide exact location
by measurement from
stationary object such
as floor, wall, or ceil-
ing where leak occurs,
objects water contacts,
and drainage path of water.
Photographs (if possible
Calculate total volume-of
containers, largest con-
tainer, and storage area
If in violation verify
all measurements. Obtain
photocopies of all records
describing container
dimensions and volumes.
-G2-
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Storage (Annex III)
Inspection Procedures
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION OF VIOLATIONS
(c) No drains, valves, expansion
joints, or other openings
within curbed area.
Visual inspection of containment area.
Review all piping and sewer blueprints.
(d) Floors and curbing constructed
of continuous smooth and
impervious materials.
(e) Storage prohibited at site below
100 year flood water elevation.
Visual inspection material usually
concrete or metal (metal storage
bins)
Determine from geological records
elevation of storage facility.
§761.42(c)
(a) Temporary storage of non-leaking
PCB articles and equipment per-
mitted for up to 30 days from
date of removal from service
in area not complying with
§761.42(b) (Not containers)
Determine date when equipment or arti-
cles removed from service. Inspect all
equipment or articles for leaks.
Provide exact locations
detail in field book with
measuresments to station
objects. Determine drain-
age path and ultimate dis-
posal location. Obtain,
photocopies of blueprint
showing openings of area,
Verify blueprints by visual
inspection. Photograph
(if possible).
Describe material used,
exact location of cracks
or expansion joints which
permit penetration of
PCBs. Photograph (if po
sible).
Obtain of 100 year flood
elevation arid topographic
maps of storage area.
Determne accurate elevation
of storage area above
ground level.
Obtain records when equip-
ment removed from service.
Describe leaks, number of
containers, condition of
equipment, drainage path
and ultimate dispositon.
Photograph (if possible)
Collect sample of leaked
material.
-G3-
-------
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION OF VIOLATIONS
(b) Storage of non-leaking and
structurally undamaged PCB
large high voltage capacitors
on pallets is permitted next
to storage facility meeting
the requirements of 761.42b
until January 1, 1973. Capa-
itors checked for leaks weekly.
(c) Storage areas are marked.
(d) Movable equipment handling PCBs
which contact PCB chemical sub-
stances or mixtures shall not
be removed from storage facility
unless it has been decontaminated.
Determine if storage facility has
immediate available unfilled storage
space equal to 10% of volume of capa-
citors stored outside of faci-
lity. Check all capacitors for leaks.
Verify marking to comply with
§761.20(a)(6).
Prepare or obtain list of all movable
equipment used in storage facility.
Inspect for contamination. Verify
decontamination procedures.
Calculate volume of unfil-
led storage space and vol-
ume of capacitors. Docu-
ment all leaks if leaking
capacitor can be placed
in unfilled storage space.
Document non-compliance
regulation. Photograph
(if possible).
Document where decontamina-
tion procedures deviate
from method described in
Annex IV. May need to
collect samples of sol-
vents.
(e) All PCB containers and articles
must be checked for leaks once
every 30 days. All such leaking
containers and articles and their
contents shall be transferred
immediately to properly marked
non-leaking containers. Any
spilled or leaked material shall
be immediately cleaned up and
disposed of as per the regulation.
(f) PCB containers shall comply with
DOT specifications 49CFR173.346
revised Dec. 31, 1976.
(g) PCB articles and containers must
be dated when placed in storage.
Storage area must be managed to
locate items by date.
Check inspection records. Determine
if leaking containers are placed in
properly marked non-leaking containers
and if spilled or leaked materials
are properly disposed of.
Check specification numbers where
available. Measure guage. Compare
to DOT specs.
Inspect records and storage area.
Document in field book note
compliance of markings/
leaking containers, and
improper disposal of leak
material and absordents.
Collect samples.
Document non-compliance
field notebook. Obtain
container equivalent to
in non-compliance. Photo-
graph (if possible).
Document in field book
quantity of articles and
containers not dated. Ob-
tain photocopies of records
-G4-
-------
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION OF VIOLATIONS
(g) Owners or operators maintain
annual records, effective July 2,
1978.
Inspect records and determine com-
pliance with Annex VI.
Documentation of non-com-
pliance in field book
or obtian copy of record
(i) Dates when PCBs removed from
service and placed into
storage. Quantities indicated
as follows:
o Total weight, in kilogram,
in containers and identi-
fication of -£CB such as
liquid or capacitor.
o Total number of tranformers
and weight, in kilograms, of
any PCS mixture contained
in transformers.
o Total number of PCB large
high or low voltage capacitors
(ii) PCBs removed from service,
location of initial disposal
or storage facility and name
of owner or operator.
(iii) Total quantities of PCBs re-
maining in service at end of
calendar year.
o Total weight, in kilograms,
of PCBs in contaners in-
cluding identification of
container contents such as
liquids or capacitors.
o Total number of transformers
and weight, in kilograms, of
any PCB contained in the
transformers.
-G5-
-------
REGULATORY REQUIREMENTS
INSPECTON PROCEDURES
DOCUMENTAION OF VIOLATIONS
o Total number of PCB large
high or low voltage capa-
itors.
(i) Owners or operators document on
PCB handling at facility for
previous calendar year. Effec-
tive date of regulation May 1,
1979. Documentation must be
available July 1 of each year.
(i) Date PCBs received and
identification of person
and facility from whom
PCBs were received.
(ii) Date PCBs disposed of or
transported to another
disposal or storage faci-
lity, including identi-
fication of types of PCBs
in containers and not in
containers.
(iii) Weight of PCB containers, and
weight of PCB chemical sub-
stance or mixture contained
in transformers received,
transported or disposed
Identify PCB containers con-
tents such as liquids, capa-
citors, etc. Identification
of facilities to which PCB
containers or PCB chemical
substances or mixtures in
transformers are transported.
Request copy of report or inspect
report at site. Documents must be
retained at site for 5 years after
facility no longer used for storage.
Obtain copy of records.
Document non-compliance
in field book.
-G6-
-------
REGULATORY REQUIREMENTS
INSPECTION PROCEDURE
DOCUMENTATION OF VIOLATIONS
(iv) Number of PCB articles or
equipment not in PCB con-
tainer received, transported
to other storage or dis-
posal facility, and remain-
ing on facility site at
end of calendar year. Identi-
fiction of facility trans-
ferred to shall be. included.
(j) Special Records Retention
(i) All documents, correspondence
and data provided by State or
local government agency per-
taining to storage.
(ii) All documents, correspondence,
and data provided by facility
to State or local government
agency pertaining to storage.
Examine facility records.
Document non-compliance
by noting lack of, or
inadequate records in
Field Book.
-G7-
-------
DECONTAMINATION
-------
Annex IV: Decontamination (§761.43)
The decontamination requirements are designed to bring the level of PCBs remaining in a container or on
equipment after use down to a minimal level, in order to prevent other liquids or articles placed in the con-
tainer or put in contact with equipment, from becoming contaminated with PCBs.
As decontamination is usually performed when fresh containers or equipment are needed, not at
regular intervals, it is unlikely that the inspector will be able to observe decontamination procedures
directly. However, it is possible to get a general idea of whether decontamination procedures are conducted
in compliance with the regulation by asking "leading" questions such as:
-Are containers and equipment decontaminated after they have been in contact with PCBs?
-What is the normal decontamination procedure?
If the facility representative outlines the procedures listed under "Regulatory Requirements", it can
be assumed that he/she is at least familiar with the decontamination requirements of the regulation.
If the representative does not outline the decontamination requirements of the regulation, it is unlikely
that he/she is aware of proper decontamination procedures. In this case, the inspector should leave written
instructions (based on the "Regulatory Requirements" column) describing proper methods of decontamination.
If, however, decontamination procedures can be observed directly, an inspection should be conducted
as outlined below.
REGULATORY REQUIREMENTS INSPECTION PROCEDURES DOCUMENTATION-OF VIOLATIONS
(1) Containers (§761.43(a))
(a) Was the container flushed three Observe procedures to vertify compliance. Document non-compliance in
times with a solvent containing less field book.
than 0.05 percent PCB chemial sub-
stance in which the solubility of
PCBs was five percent or more
(by weight)?
(b) Was the rinse volume of the dilutent Observe the filling or emptying of sol- Document non-compliance in
equal to approximately ten percent vent into/out of the container. field book.
of the container's capacity? Measure amount of solvent used and
determine internal volume of container.
Compute to determine whether volume of
solvent is equal to 10 percent
of container's capacity.
-HI-
-------
Annex IV: Decontamination (§761.43)
REGULATORY REQUIRMENTS
INSPECTION PROCEDURES
DOCUMENTATION OF VIOLATIONS
(c) Was the solvent properly disposed of
as a PCB mixture (§761.10(b)(2)),
when the level of PCBs in the sol-
vent reached 0.5 percent?
Observe procedures to verify
compliance.
(d) Were all materials used in the decon- Check to insure that all liquids
tamination procedures properly dis-
posed of as PCB mixtures
(§761.10(b)(2))7
(2) Equipment (§761.43(b))
(a) Was all moveable equipment used
in storage areas decontaminated
by swabbing surfaces exposed to
PCBs with a solvent meeting the
criteria of paragraph (a) above.
and solids used in decontamination
are placed in a properly marked con-
tainer and transferred to a storage
area that complies with Annex III.
Observe procedures to verify
compliance.
Document non-compliance
in field book. Take
sample.
Document non-compliance
in field book.
Document non-complianc
in field book.
-H2-
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RECORDS AND MONITORING
-------
Annex VI: Records and Monitoring
REGULATORY REQUIRMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(i) The dates when PCBs are removed
from service, are placed in stor-
age for disposal/ and are placed
into transport for disposal.
(ii) Total quantities of PCBs remain-
ing in service at the end of the
calendar year. The quantities of
such PCBs in 2(a) and (b) shall
be indicated using the following:
o Total weight, in kilograms, of any
PCB substances or mixtures in PCB
containers, including the identi-
fication of container contents,
such as liquids or capacitors;
o total number of PCB transformer
and total weight, in kilograms, of
PCB substances and mixtures con-
tained in the transformers; and
o total number of PCB large high
or low voltage capacitors.
((§761.45(a)(l) & (3)).
(iii) For PCBs removed from service, the
location of the initial disposal
or storage facility and the name of
the owner or operator of the facility
(§761.45(a)(2)).
Obtain copies or make note
of locations and names of
all storage sites and final
disposal sites.
(O
Failure to maintain records and
documents for at least 5 years
after the facility ceases containing
PCBs in the prescribed quanitaties
(#1)(§76l.45(a)).
If facility has ceased operations, ask
former owner or operator where the docu-
ment is located, and inspect for presence
of all information required.
Document non-compliance
field book. When data has
been omitted, photograph
and copy document if pos-
sible.
-II-
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I. Records and Monitoring §761.45 Annex VI:
The general purpose of records and monitoring requiremnts is to (1) enable EPA to keep track of the types,
amount, and location of PCBs and (2) to provide further impetus for stores and disposers to keep track of PCBs
handled at the particular facility.
Records and Monitoring: PCBs in service or projected for disposal (§761.45(a))
Records and monitoring requirements for PCBs in service projected for disposal are designed to (1) iden-
tify the type, amount, and location of PCBs currently in service at a particular location and (2) enable EPA
•to trace PCBs through storage, transportation and disposal, in order to identify those people/facilities
who receive PCBs vdien they are removed from service. Once receivers are identified, EPA may (a) compare
records for the purpose of detecting discrepancies, (which may indicate violations), and (b) discover any
storage and disposal facilities that had previously escaped EPA notice.
REGULATORY REQUIREMENT
INSPECTION PROCEDURES
DOCUMENTATION
(1) §761.45(a) PCBs in Service
(a) Begining July 2, 1978, for any owner
or operator of a facility containing
any of the following:
(i) 45kg (99.4 Ibs) or more PCB
chemial substances or PCB
mixtures,
(ii) one or more PCB transformers,
(iii) 50 or more PCB large high or
low voltage capacitor, failure
to develop and maintain records
on the dispositon of PCBs.
(§761.45(a)).
(b) Failure to prepare an annual
document, based on the above records
of disposition, by July 1, covering
the previous calendar year, which
includes the following information:
Determine amounts of PCB chemical sub-
stances, mixtures transformers and
large high or low voltage capacitors
by inquiry and direct observation.
If numbers equal or exceed regulatory
requirements, check for the presence
of records on the disposition of PCBs.
Document non-compliance
field book.
Check for (1) presence of document, and
(2) the inclusion of all data specified
in (a) and (b).
Copy or photograph document for later
comparison of records.
Document non-compliance
field book. When data has
been omitted, photograph
or copy document if pos-
sible.
-12-
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Annex VI: Records and Monitoring
REGULATORY REQUIRMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(d) For owners and operators with more
than one facility which contains
PCBs in the quantities prescribed
in #1, and maintaining the records
and documents at a single location,
failure to insure that the identity
of this location is available at
each facility containing PCBs that
is normally manned for 8 hours a
day. (§761.45(a)).
Call all facilities manned for 8 hours a
day and ask where records and documents
for the facility are kept. This require-
ment is designed to eliminate the need for
EPA to go on "wild goose chases" looking
for records. If we know the location of
records for a firm, we do not need to
determine if all facilities of the firm
know the location. If we encounter
facilities that do not know the records
location and we need to know it , then
it should be considered a possible vio-
lation.
Document non-compliance in
field book.
-13-
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Annex VI: Records and Monitoring: Disposal and Storage Facilities (§761.45(b) & (d))
Records and monitoring requirements for storage and disposal facilities are desgined to 1) identify the
type, amount, and location of PCBs in various storage and disposal facilities, 2) enable EPA to compare stor-
age and disposal records with those of facilities with PCBs in service, for the purpose of detecting dis-
crepancies (which may indicate violations), and 3) to enable EPA to trace back to original user, so that any
"in service" facilities that had previously escaped EPA notice may be identified.
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
Begininning July 1, 1979, failure of any
owner or operator of a facility used for
the storage or disposal ,-of _PCBs to pre-
pare and maintain, by July 1 of each
year, a document which sumarizes PCB
activities at the facility during the
previous calendar year, and to make
such documents available at the fac-
ility for inspection by EPA. (§761.45(b)).
Failure to retain such documents at each
facility for at least 5 years after the
facility is no longer used for the storage
or disposal of PCBs, except in the case
of chemical waste landfills, where such
documents shall be maintained for at least
20 years after the landfill is no longer
used for disposal of PCBs (761.45(b)).
Failure of the owner or operator of
the facility to notify the Agency R.A.
of the Region in which the facility
is located when the facility ceases
storage or disposal operations.
(§761.45(b)).
Check for presence of document.
Copy or photograph document for later
comparison of records.
Document non-compliance
field book.
Check for presence of document
Document non-compliance
in field book.
If the facility has ceased operations,
check EPA records for presence of the
notification and the specification of
where all documents are located.
Document non-compliance
in field book.
-14-
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VI: Records and Monitoring
REGULATORY REQUIREMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(2) Failure to include in the annual
document:
Check for the inclusion of
information required.
all
Document non-complaince in
field book.
( a) The date when any PCBs are received by
the facility during the previous calendar
year for storage or disposal/ and the
identification of the person and facility
from whom such PCBs were received (§761.45
(b)
(c)
The date when any PCBs are 1) disposed
of at the disposal facility, or 2) trans-
ferred to another disposal or storage
facility/ including the identification
of the specific types of PCB substances,
mixtures, or articles in containers, PCB
transformers, and PCB equipment or PCB
articles not in containers which were
stored or disposed of (§761.45(b) (2) ) .
The total weight, in kilograms, of any PCB
containers kilograms of any PCB substances or
mixtures contained in any PCB transformers,
1) receiving during the calendar year,
2) transferred to other storage or disposal
facilities during the calendar year, and
3) remaining on the storage or disposal
facility site at the end of the calendar
year respectively, including, where
applicable, the identification of PCB
container contents such as liquids,
capacitors , etc .
-15-
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Annex VI: Records and Monitoring
REGULATORY REQUIRMENTS
INSPECTION PROCEDURES
DOCUMENTATION
(d) when PCS conainers or PCB substances
or mixture contained in a trans-
former/ are transferred to other
storage or disposal facilities,
failure to include the identi
ification of the facility to
which such PCBs were transferred
(§761.45(b)(3)).
(i) The total number of any PCB articles
or equipment/ not in PCB containers,
1) received during the calendar year,
and 2) remaining on the facility year,
respectively, including the identifi-
cation of the specific types of PCB
articles and equipment received, trans-
ferred, or remaining on the facility
site.
Check for the inclusion of all infor-
mation required.
Document non-compliance in
field book.
761.45(d):
o When PCB articles and equipment
are transferred to other storage
or disposal facilities, failure
to include the identifiation
of the facility to which such
PCB articles and equipment
were transferred. (§761.45(b)(4))
In additon to the information required
to be maintained by §761.45(b) above,
each owner or operator of a PCB dis-
posal or storage site collect and
maintain, for the period described in
#2 above, the following information:
Prior to a records inspection, the site
approval file located at the EPA Regional
Office should be reviewed for the pre-
sence of any documents listed under
"regulatory requirements". If the EPA
file contains any correspondence or
permits not found in- the records at the
site, a violation exists.
Document non-complaince
field book.
-16-
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ENFORCEMENT PROCEEDINGS MANUAL
-------
-J1-
A. Wrap-up Activities of the Inspector.
After each inspection the inspector shall write an Inspection Report
based upon information on the Violation Worksheet and his Field Notes.
The Inspection Report shall detail all violations which the inspector
believes he found during the inspection and shall describe all relevant
supporting evidence. After completing the Inspection Report, he shall
submit that document, a copy of his applicable Field Notes and other
relevant supporting documents, in accordance with Regional procedures,
to the designated Regional PCB Marking and Disposal Regulation Violation
Coordinator. The inspector shall keep the original Field Notes in his
files and shall make and keep on file copies of all other material sent
to the Violation Coordinator.
B. Wrap-up Activities of the Laboratory.
After the laboratory performs its analysis on the PCB samples collected
at the disposal site, the appropriate laboratory personnel shall send a copy
of all laboratory records relevant to such sample analysis, along with a copy
of the relevant Chain of Custody Record, to the Regional PCB Violation Coor-
dinator. All originals of the above documents shall be maintained by the
laboratory as permanent records until required in an enforcement action.
C. Decision Making by the Regional PCB Marking and Disposal
Regulation Violation Coordinator.
Each Regional Administrator shall appoint a PCB Marking and Disposal
Regulation Violation Coordinator. All PCB Marking and Disposal Regulation
Inspection Reports shall be sent to such Violation Coordinator, in accord-
ance with Regional procedures, by the inspector who made the inspection
pursuant to the PCB Marking and Disposal Regulation. It should be emphasized
that the Violation Coordinator may be any person whom the Region designates
for such position. It is anticipated that the Regions shall integrate the
function of the PCB Violation Coordinator into existing decision making
structures.
The Violation Coordinator shall examine each Inspection Report and
determine the answers to the following questions:
1. Is there a probable violation?
2. If yes, what type of action, if any, should be brought
against the alleged violator?
3. If the action is one for administrative civil penalty
assessment, how much should the proposed civil penalty
be?
Criteria and guidelines for decision making in each of the above three
areas are provided below.
-------
-J2-
1. Is there a probable violation?
To determine whether or not there is a probable violation the
Violation Coordinator must examine all the evidence provided
in the Inspector's Report. In addition, the Violation Coordi-
nator should take all other reasonable steps (such as speaking
with the Inspector, personnel of the laboratory performing
any relevant sample analysis, and appropriate Regional attorneys)
which he deems necessary for a determination of the existence
and extent of a violation. If the Violation Coordinator
determines that there is insufficient evidence to indicate
a violation he shall take reasonable steps to gather sufficient
evidence if he believes that:
1. such evidence may be obtained without unreasonably
intensive resource efforts, and
2. the violation, if substantiated, is not an insigni-
ficant one.
If the Violation Coordinator deterrrines that there is suf-
ficient evidence to indicate a violation, he shall determine
in accordance with the following criteria, what action, if
any, should be brought against the alleged violator.
2. What action, if any, should be brought against the alleged
violator?
There are several types of actions which may be brought against
the alleged violator. These are:
1. notice of non-compliance
2. administrative civil penalty
3. civil court action
4. criminal court action.
The starting point for the Violation Coordinator should be
that most violations will be handled via administrative civil
penalty. Thus, when the Violation Coordinator determines, based
upon review of an Inspection Report and other review, that there
is a violation he should assume at the outset that an adminis-
trative civil penalty should be assessed against the violator.
After making this initial assumption he should comply with the
following guidelines in determining whether another enforcement
action should be taken in lieu of, or in addition to, adminis-
trative assessment of a civil penalty.
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-J3-
Notice of Non-Compliance
Notice of non-compliance may be issued in -lieu of a civil
Penalty, where:
a. the violation does not constitute a significant
threat to health or the environment;
b. the violation is the first such violation of the
PCS Marking and Disposal Regulation on the part of the
particular violator;
c. the violation is not a by a disposal facility, whether
approved or unapproved, of any of the regulatory require-
ments governing such facilities under the PCS Marking
and Disposal Regulation;
d. the violation does not involve the illegal actual
disposal of PCBs on the part of the violator (this
does not include insignificant leaks); and
e. the alleged violation does not appear to hava been
a willful one.
However, even though the violation natisfies the above tests,
the administrative penalty remedy should not be summarily
dismissed unless the violation coordinator determines the
issuance of a notice of non-compliance will be sufficient to
induce the violator to cease violation of the Regulation.
The lesser remedy of issuance of a notice of non-compliance
should be employed only where the Violation Coordinator deter-
mines, in his discretion, that the violation "passes" the
above tests and that issuance of a notice of non-compliance
will be sufficient to induce the violator to cease violation of
the regulation in those respects stated in the notice of non-
compliance.
Civil Court Action
A civil court action pursuant to §17 may be brought against an alleged
violator, in addition to or in lieu of assessment of administrative
civil penalty, where it is determined that the mere issuance of
a civil penalty will be insufficient to obtain compliance with the
regulation. Section 17 allows the Agency to seek injunctive relief,
both to restrain violations of the Act and to compel a person to
actually follow the Act. Since this injunctive type remedy is not
available under §16 civil penalty actions, a civil court action
under §17 will allow the Agency to enforce the regulation against
the violator who is willing to pay civil penalties but refuses to
continue to comply with the PCB Marking and Disposal Regulation.
Thus, a civil court action may be appropriate in the following
instances:
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-J4-
1. there is a PCS spill or leak which poses a risk of injury
to health or the environment, and our immediate concern
is the cleaning up of the spill or leak rather than the
assessment of civil penalties (of course, such an action
may also be commenced under the Act's imminent hazard pro-
visions (§7)); or
2. we have reason to believe in the case of a particular
violator, based on prior actions or other information,
that abatement of his violative practices can only be
accomplished by a court order; or
3. the relief desired is that certain PCBs be seized and
condemned*
Where the violation coordinator determines that a civil court action
is necessary, he must inform the Headquarters Regional Coordination
Unit. No such action may be taken without approval from Headquarters.
Criminal Court Action
A criminal court action may be brought pursuant to §16(b), where the
alleged violation was a knowing or willful one. These actions will
most often be brought where the circumstances of the violation indi-
cates a flagarent disregard for the PCB Regulations. Any contempled
criminal proceeding should be brought to the attention of Head-
quarters through the Regional Coordinator. Headquarters approval
is necessary before a U. S. Attorney is contacted to initiate
criminal proceedings.
3. If the Action taken Against the Alleged Violator is Assessment
of the Administrative Civil Penalty, How Much Should the Pro-
posed Civil Penalty Be?
This section provides some guidance and sets parameters for the assess-
ment of civil penalties, pursuant to TSCA 16(a), for violations of Section
15(a). The only penalty guidelines provided in Section 16(a) are that
penalties of up to $25,000 may be assessed for each day of each violation,
and that in assessing the penalty "the Administrator shall take into account
the nature, circumstances, extent, and gravity of the violation or viola-
tions and, with respect to the violator, ability to pay, effect or ability
to continue to do business, any history of prior such violations, the degree
of culpability, and such other matters as justice may require." The
following guidelines are intended to assure nationwide consistency in
penalty assessment, and to assure that violation of TSCA should not only
bring no economic benefit to the violator, but should be the cause of
some financial loss, i.e., there should be a strong economic disincentive
to violate the Act.
This section describes how to compute a penalty for the purpose
of serving a written notice of proposed assessment of civil penalty under
Section 16(a)(2).
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-J5-
To make penalty assessment reasonably uncomplicated and consistent,
while leaving some discretionary judgment in the Regional Administrator,
this system requires an initial assignment of a violation to one of four
levels of gravity. The initial penalty assessment will be at a fixed
amount for each level of gravity. Following the initial assessment several
adjustment factors, as specified in the statute, are utilized to raise or
lower the initial penalty.
The four gravity levels are as follows:
Level I - This violation is of the type which could cause only localized
harm, such as failure to promptly dispose of PCB contaminated rags, minor
leaks in stored transformers, etc. The initial assessment for a Level I
violation will be $1000/day/violation. Where such a violation meets the
criteria discussed on page E3 for issuance of a Notice of Non-compliance,
the penalty may be waived.
Level II - These violations are generally serious in nature. This level
may include general recordkeeping and marking violations, and storage
violations where exposure is more hazardous than at Level I. The initial
assessment for a Level II violation is $5000/day/violation.
Level III - This level applies to violations of a very serious nature. Such
violations may include failure of incinerators to maintain proper tempera-
tures for sufficient periods of time, and leakage from a chemical waste
landfill not resulting in permanent environmental damage. In many cases,
the differences between Levels II, III and IV violations are largely only
ones of degree, depending on such factors as the extent of possible harm.
The initial assessment for a level III violation is $15000/day/violation.
Level IV - These violations are the most egregious, both in terms of
blatant disregard for the requirements of the standard and damage
caused. Such violations would include significant spilling and dumping
of PCBs resulting in large scale contamination and operating an unapproved
disposal facility. The initial assessment for Level IV is $25,000/day/
violation.
In determining the gravity level for a violation, the Violation
Coordinator, in accordance with regional procedures, should incorporate
the statutory factors of nature, circumstances and extent of the vio-
lation, i.e. , rather than computing separately for nature, circumstances,
extent and gravity, all four factors should be considered in the initial
level assignment which is termed "gravity". In arriving at this deter-
mination, the Coordinator should consider factors such as the extent of
exposure, both in terms of numbers, (i.e., number of people, volume of
water) and possible severity and permanence of harm. It must be kept in
line that the examples of levels of gravity as used above and in the
attached Appendix I should not be rigidly applied, since the circumstances
behind an otherwise minor violation could render it a more major violation
e.g., minor leaks in stored transformers where the leak could degrade
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-J6-
a waterway could very well make the violation attain a higher level of
gravity. Upon making the level of gravity determination, the indicated
penalty should be used as a base from which adjustments should be made
according to the following additional statutory criteria:
1. Violator's ability to pay. This factor may be difficult to
consider at the time of penalty assessment, since the inspector ordinarily
will not examine violators' financial records (See Section ll(b)(2)(A)).
Thus, the inability of a violator to pay probably would not be fully
considered until raised by the violator after issuance of the complaint.
However, several factors can be evaluated at the initial stages of penalty
determination. The inspector should inquire Of the person-in-charge the
size of the business being inspected. Gross annual revenue is probably
the best indication. In addition, the inspector or violation coordinator
can consult Dun & Bradstreet, even prior to the inspection, to determine
gross annual revenue. In determining a violator's ability to pay, the
fact that a company is a subsidiary of a parent corporation should be
considered, i.e., it is appropriate to look at the resources of the
parent. A reduction of penalty amount of up to 20% may be allowed where
gross annual revenues are below $250,000 and up to 10% where gross annual
revenues are between $250,000 and $1,000,000. No reduction will be allowed
for larger companies.
2. Inability of a violator to continue in business. This cate-
gory is intertwined with "ability to pay". A substantiated claim of
inability to continue in business if a large penalty is sustained may
require negotiation of the penalty to an amount lover than would other-
wise be assessed under these guidelines. Since such a claim will not
normally be raised until after the initial penalty assessment, it is
discussed below.
3. History of prior such violations. Where a violator has no
prior history of violation of EPA regulations or statutes, penalties
may be reduced up to 20%. A violator with a prior history of EPA viola-
tions, but with no prior violations of TSCA receives no penalty adjustment.
If a violator has any previous TSCA violations his penalty should be in-
creased 10%, for each prior TSCA violation. If a violator has violated
the same standard previously, the repeated nature of this violation
requires that the penalty be raised 25% for Levels I and II; and 50% for
Levels III and IV (up to $25,000 total) - these figures should be doubled
in cases where the same standard is violated for the third time. For
the purpose of this "repeat" policy, a company with more than one
facility can be assessed for a repeat violation if the second violation
takes place at a different facility than did the initial violation.
4. Degree of culpability. The degree of culpability of a vio-
lator should also be considered in the penalty assessment. A reduction
of up to 20% may be allowed where the violation was substantially
contributed to by persons outside the violator's company, or where
the violator has made a good faith effort to comply with the regulation.
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Conversely/ a person who negligently and/or willfully violates the Act
suffers an upward penalty adjustment. Thus, a negligent violator can
be assessed up to an additional 20% penalty, depending on his degree
of negligence. A willful violator should be assessed an additional
25% penalty. The maximum adjustments for culpability are down 20% or
up 25% - i.e., if a violator is willful and negligent the willful 25%
upward adjustment only is assessed. Of course, such a violator may be
the subject of criminal proceedings.
Computation of Penalties - In calculating the adjusted initial penalty,
the adjustments should be added together prior to being applied to the ini-
tial level of gravity figure. For example, with a level II violation the
penalty based on that level alone is $5000 if the violation was for one day.
If the company's revenues are between $250,000 and $1,000,000 it is entitled to
a 10% reduction; if the company has a previous TSCA violation 10% is added on;
and if the violation occurred in spite of some good faith efforts by the
company it may be entitled to a reduction of, say, 10%. The adjustment
factors are, -10, +10, and -10, for a net reduction of 10%, which when
applied to the $5000 initial penalty, results in a $4500 proposed penalty
assessment sent to the violator. Do not compute the penalty piecemeal,
i.e., do not deduct 10% of $5000 for size, then add 10% of the remainder
for history, and than subtract 10% of the remainder for culpability.
In computing duration of a violation generally only count the days
on which the violation was actually observed. Thus if a violation is
observed during an inspection, and the complaint is not served for a month,
compute the penalty as if the violation lasted one day, not a full
month. However, if reliable evidence exists that the violation was pre-
sent before the inspection, an assessment for multiple days of violation
may be appropriate.
D. Disclosure of Information - Confidentiality
TSCA Section 14 addresses the protection of trade secrets and confi-
dential information. Section 14 provides that any information reported to
or otherwise obtained by EPA under this Act, which is exempt from disclosure
pursuant to subsection (a) of Section 552 of Title 5, United States Code,
by reason of subsection (b)(4) shall not be disclosed by the Administrator
or by any officer or employee of the United States.
Exceptions from this prohibition are also provided. Disclosure of
information described in Section 552(b)(4) of Title 5 may be made in the
following situations:
1. to officers or employees of the United States in connection
with their official duties to protect health or the
environment, and for specific law enforcement purposes.
2. to contractors with the United States when the Administrator
determines it to be necessary for the satisfactory per-
formance of their duties in connection with this Act and
under such conditions as may be necessary to preserve confiden-
tiality as the Administrator may specify.
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-J8-
3. if the Administrator determines it necessary to protect
health or the environment against an unreasonable risk of
injury to health or the environment.
4. when relevant under a proceeding under TSCA, except that
disclosure under such proceeding under this Act shall be
made in such a manner as to preserve confidentiality to
the extent practicable without impairing the proceeding.
Disclosure of any health or safety study, or any information obtained
from such study, on any substance or mixture which is already being distri-
buted, or for which testing is required under Section 4, or for which noti-
fication is required under Section 5, is not prohibited. Data in such a
study, however, which discloses manufacturing processes or the propor-
tions of a mixture may not be disclosed if such processes or proportions
would otherwise be entitled to protection from disclosure.
Section 14(c) of TSCA provides that a manufacturer, processor or
distributor in commerce of a toxic substance may:
A. designate the data which such person believes is entitled to
confidential treatment under subsection (a) of the same section,
and
B. submit such designated data separately from other data submitted
under this Act.
Designation by a manufacturer, processor, or distributor that certain
information is entitled to confidential treatment must be made in writing.
Section 14(c)(2)(A) states that where the Administrator proposes
to release for inspection data which has been designated by the
manufacturer, processor, or distributor as being entitled to confidential
treatment, the Administrator shall notify in writing and by certified
mail, the manufacturer, processor, or distributor who submitted such
data, of the intent to release such data and that if release of such
data is to be made pursuant to a request made under the Freedom of Informa-
tion Act, such notice shall be given immediately upon approval of such
request by the Administrator. The Administrator may not release the data
before the expiration of 30 days after the manufacturer, processor, or
distributor submitting such data has received the notice of the Adminis-
trator's intent to release such data.
Section 14(c)(2)(B) states an additional requirement that where
disclosure of data is warranted by a determination by the Administrator
that such disclosure is necessary to protect the health or the environment
against an unreasonable risk of injury to health or the environment, the
Administrator must notify each manufacturer, processor, and distributor
who submitted such data of such release. Such notice shall be made in
writing by certified mail at least 15 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.
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EPA regulations dealing with confidentiality of business informa-
tion appear in 40 CFR Part 2, Subpart B.
Handling Inspection Data
For the purposes of: (1) assuring Agency compliance with Section 14
of the Toxic Substances Control Act; (2) limiting the likelihood of
inadvertent disclosure of confidential business information; (3)
affording businesses a fair opportunity both to assert a confiden-
tiality claim and to substantiate the claim prior to an EPA ruling
on the claim; (4) protecting the interests of members of the public
who request disclosure of business information under the Freedom of
Information Act, 5 U.S.C. 552; and (5) furnishing assistance to those
EPA officers and employees who must deal with confidentiality claims
and requests for information obtained by the Agency pursuant to its
inspection authority, the following procedures will be employed in
handling inspection data:
A. At the time an inspector presents the TSCA Notice of Inspec-
tion (see Appendix II) to the appropriate official at a facility
which is about to be inspected, he shall also present one copy
of the TSCA Inspection Confidentiality Notice (See Appendix III).
At the time the inspector presents a copy of said TSCA Inspec-
tion Confidentiality Notice to the facility official, he shall
place a second copy in an envelope addressed to the chief
officer of the business whose facility he is inspecting. The
inspector should determine the name and address of such chief
officer before his arrival at the inspection site. The inspector
shall mail the envelope at his earliest opportunity, via certified
mail return receipt requested. In any event, the envelope should
be mailed no later than 2 days after completion of the inspection
of the facility.
B. When an inspector submits his Inspection Report, via Regional
procedures, to the PCB Violation Coordinator, the inspector
shall include a third copy of the TSCA Inspection Confidential-
ity Notice along with his Inspection Report and shall keep a
fourth copy for his own records.
C. The business concern which receives the TSCA Inspection Confi-
dentiality Notice must make its confidentiality claim within
30 days after the chief officer receives the Notice.
D. When a business concern asserts a timely claim of confidential-
ity for inspection data, the inspection data for which confi-
dentiality was claimed shall be removed, in accordance with
Regional procedures, from the main file of the Inspection Report.
Such data shall be placed in a locked file cabinet and shall be
•10 i «-„ FPA employees and contractors in the exer-
SU^ftel^kScSl o-uftes and responsibilities. If such a
claim is received before the PCB Violation Coordinator receives
the Inspection Report on the facility for which the claim is
made, the appropriate Inspector shall remove such data and
keep it in a locked file., He shall turn over such data (marked
as "Claimed TSCA Inspection Confidential Data") to the PCB Viola-
tion Coordinator with his Inspection Report. If the confidential-
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ity claim is received after the PCS Viplation Coordinator has
possession of the Inspection Report he shall be responsible for
separating such data, for maintaining it in a locked file, and
for marking it "Claimed TSCA Inspection Confidential Data".
E. If a formal or informal request for data claimed as confiden-
tial is made by any person other than an EPA employee or
contractor the person in possession of the data claimed as
confidential shall forward such data, in accordance with
Regional procedures, to the person designated in the Region
to handle such requests. Such person shall follow established
procedures for granting or denying the request for informa-
tion.
F. If a person other than an EPA employee or contractor requests
data obtained during an inspection and no claim of confiden-
tiality has been asserted with respect to such data, the
following procedures shall be followed:
1. If the request for information is received by EPA before
the expiration of 30 days from the date when the chief
officer of the business concern whose facility was
inspected received the TSCA Insi>ection Confidentiality
Notice, it shall be presumed that a claim of confiden-
tiality will be made within the thirty day period. The
information request shall be initially denied and the
chief officer of the business whose data was requested
shall be notified and required to substantiate any claims
of confidentiality which he may make, in accordance with
procedures stated in 40 CFR Section 2.204.
2. If the request for information is received by EPA after
expiration of such 30 day period, the requested data
shall be treated, in accordance with procedures stated
in 40 CFR Part II, Subpart B, like any data for which no
claim of business confidentiality has been made.
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SAMPLE PLEADINGS
1• Sample letter for Civil Penalty Action
2. Complaint for Civil Penalty Action
3. Default Order for failure to request hearing
4. Consent Agreement-Final Order
5. Condemnation and seizure pleading
6. Complaint for Injunction
7. Motion for Temporary Restraining Order
8. Preliminary Injunction Order
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Complaints, Pleadings and Related Documents
This section gives examples of the complaints, affidavits, verifi-
cations, pleadings and other documents that may be used to initiate actions
under TSCA Sections 16 and 17 for violations of the PCB Marking and Dis-
posal Regulation.
1. Section 16 provides for the assessment of civil penalties
for TSCA violations. As indicated in Section III of this
Enforcement Proceedings Manual. It is anticipated that
most TSCA enforcement actions will be prosecuted under
Section 16 and that an administrative civil penalty will
be assessed. Such ah action is initiated under Section
16(a)(2) by the issuance of a Complaint and Notice of
Opportunity for Hearing. The following is a sample of such
a document, with cover letter. Please note that the
question of who issues Default Judgements has not been
finally determined pending development of the Consolidated
Rules of Practice.
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CERTIFIED MAIL
KtCdlPl REQUESTED
Mr. X
Chief Corporate Off1cer
{when not Tn Region -
Registered Agent)
25 River Drive
Alton, Michigan
RE: TSCA Complaint and Notice
of Opportunity for Hearing
Docket No.
B.G. Power~"lndustHes, Inc.
Alton, Michigan
Dear Mr. X:
Enclosed please find a Complaint and Notice of Opportunity for Hearing
concerning violations of the Toxic Substances Control Act, 15 U.S.C. §2601,
discovered by EPA inspectors at the above-captioned facility.
It is recommended that the enclosed Complaint and Rules of Practice,
40 C.F.R. § , be carefully read and analyzed to determine the alter-
natives available in responding to the alleged violations, proposed penal-
ties, and opportunity for a hearing. Please note that each day the viola-
tions cited herein continue constitutes a new violation for which additional
penalties may be imposed.
Regardless of whether you choose to request a hearing within the pre-
scribed time limit of fifteen (15) days following service of this Complaint,
you are extended an opportunity to request an informal settlement conference
To request a conference, please write to Mr. Attorney, Enforcement Division
United States Environmental Protection Agency, etc., or telephone him at
•
Failure to respond to this Complaint and Notice of Opportunity to
Hearing by specific answer within 15 days of your receipt of this Complaint
constitutes your admission of the allegations made in the Complaint. Such
failure shall result in the issuance of a Default Order imposing the penal-
ties proposed herein without further proceedings.
Very Truly Yours,
Enforcement Division Director
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UNITED STATES
ENVIRONMENTAL PROTECTION AGENCY
)
)
IN RE TSCA - V - 001
B.nrrDisposERS'.'iNCTT^ j COMPLAINT AND'Noncr
) OF OPPORTUNITY FOR
Respondent ) HEARING
1.
COMPLAINT
This is a civil administrative action instituted pursuant to Section 16(a)
of the Toxic Substances Control Act (TSCA), 15 U.S.C. §2615(a). The com-
plainant is the Director, Enforcement Division, Region , United States
Environmental Protection Agency (U.S. EPA). The Respondent is B.G. Disposers,
Inc., which is and at all times hereinafter referred to was a corporation incor-
porated under the laws of the State of Michigan, and has a place of business
at 100 North Nowhere, Alton, Michigan.
This Complaint serves as notice of the Director's preliminary determina-
tion that Respondent has violated Section 6 and Section 15 of TSCA, 15 U.S.C.
§§2605 and 2614, as follows:
Count I
1. The above-referred facility of B.G. Disposers, Inc., operates an
incinerator (as defined at 40 C.F.R §761.2(j)) intended to des-
troy and dispose of liquid PCB.
2. 40 C.F.R. §761.40(a)(l) of Annex I, incineration, requires that
liquid PCB introduced into an incinerator for a 2-second dwell
time at three percent excess oxygen in the stack gas be main-
tained at 1200 degree C (+ 100 degrees C) for destruction.
3. On March 31, 1981, a temperature of 950 degrees C was being main-
tained in the incinerator at B. G. Disposers, Inc., during the
attempted disposal of liquid PCB, in violation of Section 6 of
TSCA and regulations promulgated thereunder. 15 U.S.C. §2605;
40 C.F.R. §761.40(a)(l)(i).
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Count 2
40 C.F.R. §761.40(a)(5) of Annex I, Incineration, requires
that the introduction of PCB into an incinerator must stop
automatically whenever combustion temperatures fall below
1200 degrees C (+ 100 degree C) when a two-second dwell time
is employed. ~
On March 31, 1981, the incinerator at the above-cited
facility failed to shut off automatically when the combustion
temperature consistently fell below 1200 degrees C, in viola-
tion of Section 6 of TSCA and regulations promulgated there-
under. 15 U.S.C. §2605, 40 C.F.R. §761.40(a)(5).
Count 3
40 C.F.R. §761,40(a)(3) of Annex I, Incineration, requires
that, for every incinerator used to dispose of liquid PCB,
the rate and quantity of PCB fed to the combustion system
must be measured, and recorded regularly at intervals of
no more than 15 minutes.
40 C.F.R. §761.45(c)(l)(A) also requires that the owner
or operator of PCB incinerators compile records on
the rate and quantity of PCB supplied to the combustion
system, under the terms specified at 40 C-F.R. §761.40(a)(3).
On March 31, 1981, records maintained at the above-captioned
facility noting the rates and quantities of PCB introduced
into the combustion system reflected a recording at
irregular intervals (varying in length from ten to 28
minutes) of the rates and quantities of PCB introduced into
the combustion system, in violation of Section 6 of TSCA and
regulations promulgated thereunder. 15 U.S.C. §2605;
40 C.F.R. §§761.40(a)(3), 761.45(c)(1)(A).
II
PROPOSED CIVIL PENALTY
Section 16 of TSCA, 15 U.S.C. §2615 and the regulations promulgated
thereunder, 40 C.F.R. §§ [for the Section 16 civil penalty regula-
tions when promulgated] authorize a civil penalty of up to $25,000 per
day for each violation of the Act. Based on the facts given in I above,
and on the nature, circumstances, extent and gravity of the above-cited
violations, as well as the Respondent's ability to pay, effect on ability
to continue to do business, history of prior violations and degree of
culpability, the following proposed penalties are hereby proposed for the
subject violations:
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Count 1
15 U.S.C. §2614(1)
40 C.F.R. §761.40(a)(l)
Failure to maintain proper
incineration temperature $15,000
Count 2
15 U.S.C. §2614(1)
40 C.F.R. §761.45(a)(5)
Failure to automatically
cease operation $15,000
Count 3
15 U.S.C. §§2614(1),(3)
40 C.F.R. §§761.40(a)(3)
761.45(c)(l)(A)
Failure to record regularly
rate and quantity of PCB $15,000
$4&;000 TOTAL
Payment of this penalty may be made by certified or cashier's check,
payable to the United States of America, and remitted to:
Regional Hearing Clerk
Region etc.
Ill
OPPORTUNITY TO REQUEST A HEARING
As provided at TSCA Section 16(a), and in accordance with Section 554
of Title 5, United States Code, you have the right to request a hearing
regarding the proposed Order to contest any material fact contained in this
Complaint, or to contest the appropriateness of the amount of the proposed
penalty. If you wish to avoid being found in default, you must request a
hearing of the Region Hearing Clerk, EPA Region , etc., within fifteen
(15) days of this Complaint. A receipt of written answer must be made,
which answer shall clearly and directly admit, deny or explain each of the
factual allegations contained in the Complaint with respect to which
Respondent has any knowledge; or which shall clearly state that respondent
has no knowledge as to particular factual allegations in the Complaint.
The answer shall also state:
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1. The circumstances or arguments which are alleged to
constitute the grounds of defense;
2. The facts which Respondent intends to place at issue.
The denial of any material fact or the raising of any affirmative de-
fense shall be construed as a request for a hearing. Failure to deny
any of the factual allegations in this Complaint constitutes admission
of the undenied allegations.
Any hearing that you request will be held in the county, parish, or
incorporated city of your residence. Hearings held in the assessment of
these civil penalties will be conducted in accordance with the provisions
of the Administrative Procedure Act (5 U.S.C. 552 et seq.) and the
"Consolidated Rules of Practice Governing Administrative Assessment of
Civil Penalties or the Revocation or Suspension of Permits" (40 C.F.R.
§ ), a copy of which accompanies this complaint.
If you fail to file a written answer and request for a hearing within
fifteen (15) days of service of this Complaint, such failure constitutes
a binding admission of all allegations made in the Complaint and a waiver
of your right to a hearing under TSCA. A Default Order may thereafter be
issued by the Regional Administrator [Administrator], and the civil penalty
proposed herein shall become due and payable without further proceedings.
Such Default Order is not subject to review in any court.
SETTLEMENT CONFERENCE
Whether or not you request a hearing, an informal conference may be
requested in order to discuss the facts of this case and to arrive at
settlement. To request a settlement conference, please write to
Mr. Attorney, Region ^_, etc., or telephone him at ._'._•
Please note that a request for an informal settlement conference
does not extend the fifteen (15) day period during which a written answer
and request for a hearing must be submitted. The informal conference
procedure may be pursued as an alternative to and simultaneously with the
adjudicatory hearing procedure.
U.S. EPA encourages all parties against whom a civil penalty is
proposed to pursue the possibilities of settlement as a result of informal
conference. However, no penalty reduction will be made simply because
such a conference is held. Any settlement which may be reached as a
result of such conference shall be embodied in a written Consent Agree-
ment and Final Order by the Regional Administrator [Administrator], U.S.
EPA Region . The issuance of such Consent Agreement shall constitute
a waiver ofyour right to request a hearing on any matter stipulated to
therein.
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If you have neither effected a settlement by informal conference
nor requested a hearing within the 15-day time period allowed by this
Notice, the above penalties will be assessed without further proceedings,
and you will be notified that the penalties have become due and payable.
To explore the possibility of settlement in this matter by infor-
mal conference, contact Mr. , at
telephone
Sincerely yours,
Enforcement Division Director
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2. Failure to request a hearing shall result in issuance of
a default order by the Regional Administrator (depending
on the final form of the Consolidated Ru,les of Procedure).
A sample Default Order follows.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION
IN THE MATTER OF )
) TSCA-V-001
B. G. POWER INDUSTRIES, INC., )
) DEFAULT ORDER
Respondent. )
PRELIMINARY STATEMENT
1. This civil proceeding for the assessment of a penalty was ini-
tiated pursusant to Section 16(a) of the Toxic Substances Control Act
(TSCA), 15 U.S.C. 2601 et seq. The action was instituted by the issuance
of a Complaint and Notice of Opportunity for Hearing to the Respondent,
charging violations of 15 U.S.C. 2605 and 2614. It is hereby determined
that an appropriate Default Order shall be issued based on the Finding of
Fact and Conclusions of Law as set out below.
FINDINGS OF FACT
1. B. G. Power Industries, Inc., is a corporation organized pur-
suant to the laws of the State of Michigan.
2. Respondent operates a facility at Alton, Michigan, which houses
86 large high-voltage capacitors, each containing PCB dielectric fluid.
3. On or about March 31, 1981, Respondent was unable to produce
the records of monitoring data required under Section 6 of TSCA, 15 U.S.C.
2605, and 40 CFR 761.45, or produce the identity of the central records
location.
4. On or about March 31, 1981, there were stored in Respondent's
above cited facility PCB's that were clearly marked for disposal.
5. On or about March 31, 1981, Respondent failed to provide the
flooring required by TSCA and regulations promulgated thereunder in that
no curbing has been installed in the area of the above-referenced
facility wherein PCB's marked for disposal were stored.
6. On or about March 31, 1981, Respondent failed to provide the
flooring required by TSCA and regulations promulgated thereunder in that
the floor installed in the above-referenced facility wherein PCB's
marked for disposal were stored consisted of linoleum tiles.
7. On June 1, 1981, the Enforcement Division, EPA, Region
("the Complainant") issued a Complaint and Notice of Opportunity to
Respondent pursuant to 15 U.S.C. 2615(a) and the then applicable
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Rules of Practice, alleging that Respondent has violated TSCA by
failing to maintain records on the disposition of PCB's and by failing
to comply with certain construction specifications for a facility that
stores PCBs designated for disposal by not installing a curb of a
minimum height of six inches and by not installing a floor composed of
smooth and impervious materials.
8. In the instant Complaint, a civil penalty of $24,500.00 was
proposed against the Respondent. Said penalty was proposed based on
the nature, circumstances, extent and gravity of the violations, and,
with respect to the Respondent, ability to pay, effect on Respondent's
ability to continue to do business, Respondent's history of prior such
violations, and the Respondent's degree of culpability. For purposes
of assessing the said penalty, Respondent's gross annual revenues
were determined to be in excess of $5,000,000.00 during the previous
year. Based on a comparison of Respondent's gross annual revenues
with the amount of the proposed penalty, it was determined that
said penalty would have no substantial effect on Respondent's ability
to continue in business.
9. The Complaint in the instant case set forth Respondent's
right to request a hearing within fifteen (15) days of receipt of
the Complaint, the requirement of a written Answer to the Complaint
within fifteen (15) days of receipt of the Complaint if said hearing
was desired, and the consequences of failure to do either. Furthermore,
a copy of the interim Rules of Practice was enclosed with the Complaint.
10. Said Complaint was mailed to Respondent on June 1, 1981, by
certified mail. Receipt No. 202684 was returned to Complainant
stamped June 5, 1981, and bearing the signature "Betty Wilson" as
signer for the addressee. (A copy of certified mail receipt No.
202684 is attached to and made a part of this Order.)
11. As of this date Respondent has failed to either request a
formal hearing, or file an Answer to the Complaint pursuant to the
Rules of Practice.
CONCLUSIONS OF LAW
1. By reason of the facts as set out in the Findings of Fact,
Respondent has violated TSCA by failing to develop and maintain
records on the disposition of PCB's in violation of 15 U.S.C. 2614(3)
and 40 CFR 761.45 and by failing to comply with certain construction
specifications in violation of 15 U.S.C. 2614(l)(c) and 40 CFR 761.42(b),
2. By failing to file a timely Answer to the Complaint and/or
to request a formal hearing. Respondent has admitted the facts alleged
in the Complaint and has waived its right to a hearing. Accordingly,
Respondent is in default and the proposed civil penalty is therefore
due and payable.
3. It is further concluded that by reason of the facts set
out in (Finding 8) the Findings of Fact the amount of the proposed
penalty is appropriate pursuant to 15 U.S.C. 2615(c)(2)(B).
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ORDER
Respondent shall immediately upon receipt of this Order pay by
cashier's or certified check a civil penalty in the amount of Twenty-
Four Thousand Five Hundred Dollars ($24,500.00) payable to the
Treasurer of the United States of America. Such remittance shall be
delivered to the Regional Hearing Clerk, United States Environmental
Protection Agency, Region V, 230 South Dearborn Street, Chicago, 111.
60604. In the event of failure of Respondent to make such payment the
matter shall be referred to the Attorney General pursuant to 15
U.S.C. 2615(a)(4) for collection of said amount by an appropriate
action in United States District Court.
AND NOW, THIS DAY OF July 10, 1981, the foregoing Order is
hereby issued under the authority of the Toxic Substances Control Act
and the Rules of Practice adopted pursuant thereto, 15 U.S.C. 2601
£l !££*
Regional Administrator -
United States Environmental
Protection Agency, Region V
230 South Dearborn Street
Chicago, Illinois 60604
Date:
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3. Settlement will often be reached prior to hearjng on a
civil penalty assessment. A sample Consent Agreement and
Final Order follows (it is not necessary for the Director
of the Enforcement Division to sign the agreement, as long
as one of his attorneys signs).
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION V
IN THE MATTER OF ) TSCA-V-002
B. G. DISPOSERS, INC., ) CONSENT AGREEMENT
) AND
Respondent. ) FINAL ORDER
PRELIMINARY STATEMENT
1. This civil proceeding for the assessment of a civil penalty
was initiated pursuant to Section 16(a) of the Toxic Substances Control
Act (TSCA), 15 U.S.C. 2615. The action was instituted by the issuance
of a Complaint and Notice of Opportunity for Hearing served upon the
Respondent, charging violations of 15 U.S.C. 2605 and 2614.
2. Respondent admits the factual allegations contained in the
Complaint.
3. Respondent has agreed to cooperate fully with the Environmen-
tal Protection Agency to conciliate this matter without the necessity
of a formal hearing and, therefore, consents to the issuance of the
Order hereinafter recited with the Findings of Fact and Conclusions of
Law. Respondent consents to the payment of the penalty in the amount
hereinafter stipulated as full settlement of any and all civil penalties
or liabilities which mgith have attached as a result of this proceeding.
4. Respondent waives its right to request a hearing on any
issue consented to herein.
STIPULATIONS OF FACTS
1. B. G. Disposers, Inc. is a corporation organized pursuant to
the laws of the State of Michigan.
2. Respondent operates an incinerator for the purposes of des-
troying and disposing of liquid PCB mixtures at its facility located
in Alton, Michigan.
3. On or about March 31, 1981, Respondent incinerated liquid
PCB mixtures at its above-referenced facility with an incinerator tem-
perature of 950 degrees C.
4. On or about March 31, 1981, the above referenced incinera-
tor failed to shut off automatically when the combustion temperature
dropped below 1200 degrees C during the incineration of PCB's.
5. On or about March 31, 1981, Respondent maintained records,
noting the rate and quantities of liquid PCB mixtures introduced into
the combustion system recorded at irregular intervals varying in
length from ten to twenty-eight minutes.
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CONCLUSIONS OF LAW
1. By reason of the facts set out in the stipulations of Fact,
above, it is concluded that Respondent has violated 15 U.S.C. 2614 (1),
and 40 CFR 761.40(a)(l) by failing to maintain an incinerator tempera-
ture of 1200 degrees C. with a two-second dwell time at three percent -
excess oxygen in the stack gas during the incineration and destruction
of liquid PCB mixtures.
2. By reason of the facts set out in the stipulations of Fact,
above, it is concluded that Respondent has violated 15 U.S.C. 2614(1),
and 40 CFR 761.40(a)(5) by operating an incinerator for the incineration
and destruction of liquid PCB mixtures where the incinerator does not
shut off automatically when the combustion temperature drops below
1200 degrees C.
3. By reason of the facts set out in the Findings of Fact, above,
it is concluded that Respondent has violated 15 U.S.C. 2614(1)(3), and
40 CFR 761.40(a)(3), 761.45(c)(l)(A), by failing to maintain records
that measure and record the rate and quantity of PCB's which are fed
into the incinerator combustion system at intervals of no more than
fifteen minutes.
ORDER
Respondent shall within twenty days of receipt of this Consent
Agreement and Final Order pay by cashier's check or certified check
the amount of Thirty-Five Thousand Dollars ($35,000.00) payable to
the United States of America. Such remittance shall be delivered to
the United States Environmental Protection Agency, Regional Hearing
Clerk, 230 South Dearborn Street, Chicago, Illinois 60604.
Respondent:
Date:
James u. McDonard
Director, Enforcement Division
United States Environmental
Protection Agency, Region V
230 South Dearborn Street
Chicago, Illinois 60604
Date:
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It is so ordered. This Order shall become effective immediately.
Regional Administrator
United States Environmental
Protection Agency, Region V
230 South Dearborn Street
Chicago, Illinois 60604
Date:
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The following is a model pleading in rem for seizure and
condemnation of PCBs stored or disposecTin violation of
the PCB Marking and Disposal Regulation. Following the
pleadings are the Verification and Warrant for'Arrest of
Property.
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United states Attorney
Attorney for the Plaintiff
IN THE UNITED STATES DISTRICT COURT
FOR THE
UNITED STATES OF AMERICA, )
Plaintiff, ) CIVIL NO.
vs. ) COMPLAINT IN REM
Defendant.
The United States of America alleges that:
I
This is an action in rem instituted pursuant to Section 17(b) of
the Toxic Substances Control Act (15 U.S.C. 2616(b)), for the seizure and
condemnation of chemical substances or mixtures manufactured, processed, or
distributed in commerce which are and in violation
of Section of the Toxic Substances'Control Acf^'T5rU.S.C.
Authority to"Bring this action is vested in the United States Attorney by
28 U.S.C. §547(a).
II
This Court has jurisdiction of the subject matter of this action
pursuant to 15 U.S.C. 2616(b).
Ill
The property to be seized is located at
,---T-TTrnjl,.mjrr» which 1S within this District, and'is'off land.THe
location is
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IV
is a chemical substance or mixture manufactured, processed, or distri-
buted in commerce by
WHEREFORE, plaintiff, United States of America, prays:
(1) That the chemical substance or mixture be seized and
condemned, and that they be disposed of as the court may direct in accor-
dance with the provisions of Section 17(b) of the Toxic Substances Control
Act (15 U.S.C. 2616(b)) and in conformity with the practice of this Court.
(2) That the party specified in Paragraph of this Com-
plaint and any and all other persons having, or pretencing to have, any
right, title or interest in and to the chemical substances or mixtures
be notified to appear in order that they may answer the allegations set
forth in this Complaint.
(3) That the Court enter all such orders, decrees, and judgments
as may be necessary in order to grant further relief to the plaintiff for
the costs of this proceeding.
(4) For such other and further relief as the Court may deem
just and proper.
Dated:
(JnTled" States~A£torney
Attorney for the Plaintiff
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United States"Attorney"
Attorney for the Plaintiff
IN THE UNITED STATES DISTRICT COURT
FOR THE
UNITED STATES OF AMERICA, )
)
Plaintiff, ) CIVIL NO. _
vs. )
) VERIFICATION
______ )
Defendant. )
I, __ , being first duly sworn,
state that:
1. I am ^_^__ ^ ^ ^
'••""•"-27*"T"*am"reTTaBTy"Tfifornied of the facts set forth in the fore-
going Complaint in Rem which I have prepared accordingly; and
3. All of the facts set forth in the foregoing Complaint in
Rem are true to the best of my knowledge, information and belief.
SUBSCRIBED AND SWORN TO BEFORE ME
THIS DAY OF
RoTary~Pu6TTc
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Tjrn£ecTStafes~AT£6r n ey
Attorney for the Plaintiff
IN THE UNITED STATES DISTRICT COURT
FOR THE ^
UNITED STATES OF AMERICA, )
Plaintiff, ) CIVIL NO.^
vs. )
WARRANT FOR ARREST
OR PROPERTY
15efendanK
TO: UNITED STATES MARSHAL
arrest 'ancTtake into custody under
further order of the Court the following described property:
Claims of ~persons~entitTe3^6~possessi on "of "the" foregoing property
shall be filed with the Clerk of the Court and a copy served upon the United
States Attorney, __ , within ten (10)
days after date of'pubTicatTon of^nce~6T"arre?t~oF"tfiie foregoing property,
or within such additional time as may be allowed by the .
Court, and answers to the complaint shall be filed and served within twenty
(20) days after date of publication of notice of arrest.
Dated:
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5. The following is a model Complaint for Injunction, followed
by a Motion for Temporary Restraining Order and a Proposed
Preliminary Injunction.
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UNITED STATES DISTRICT COURT FOR THE
CENTRAL DISTRICT OF CALIFORNIA
UNITED STATES OF AMERICA )
Plaintiff, ) No._
) COMPLAINT FOR INJUNCTION
V. ) Section 17(a) of the Toxic
) Substances Control Act,
) 15 USC 2617
BAD POLLUTER, TSCA, )
Defendant
The United States of America, by its undersigned attorneys, by
authority of the Attorney General of the United States, and acting on the
request of the United States Environmental Protection Agency, alleges that:
I
1. This is a civil injunction to enjoin the above named defen-
dants from the continued storage of transformers containing the chemical
substance polychlorinated biphenyls (PCB's) in violation of regulations
promulgated by the Administrator of the Environmental Protection Agency (EPA),
at Title 40 Parts 761.10, 761.42, Vol. 43, 34 FR 7150 et seq on February
17, 1978, as provided by Section 6(e)(l) of the Toxic Substances Control Act,
15 USC 2605.
2. This Court has jurisdiction of the subject matter of this
action pursuant to 15 USC 2616.
3. Defendant is a corporation doing business in Los Angeles,
California and such act has occurred and is continuing to occur at its
facility located at Street, Los Angeles, California, with-
in the Central DistrTct'of" California.
4. The continued storage of such transformers contrary to the
above cited regulations threatens to cause an immediate and irreparable
injury to the employees working at said facility and the general public
living nearby unless defendants are immediately restrained as prayed, as
more fully appears in the affidavits submitted with plaintiff's motion for
Preliminary Injunction filed herewith. Plaintiff has attempted to give
oral notice of this motion to defendants attorney.
Defendants will not be unduly prejudiced by issuance of a tem-
porary restraining order pending hearing and determination of plaintiff's
motion for Preliminary Injunction.
There is a substantial likelihood that plaintiff will suceed
on the merits of this case.
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APPENDIX i
SXAflPLES CF PC3 VIOLATIONS 3Y GRAVITY LEVEL
LEVEL I
-r.rrctooer storage or disposal of very small containers, rags, small
of soil
-storage of transformers, capacitators and containers with slow c?rio
leaks that have resulted in very minor ccntaminination.
-unfilled storage soace of si iqhtly less than 10%
-concentration of decontaminationT'solvent si iqhtly creater than .5% P.C?
.y^U-M1,/ '• . ' ~" <*•*
— mark within 1/2" of requirecN>erize
— minor omissions in records
• i
-imorooer storage of non-leaking transformers, capacitors and containers
LEVEL II .
-ccaiolate failure to nark
-i.T>prooer record keeping
-i.Tiprocer storacre of small numbers of containers, transformers and
capacitors that have raoid drip leaks, resulting in significant, but
still relatively Tiinor, contamination
-improper disposal of one oound or less of a PC3 substance or liquid
mixture
LEV5L III
-failure to keep records
-fairly largescale imcrooer storage
-failure of a PCS disposal facility to maintain orop^r combustion temceratures,
insure oroper dwell time, or control stack emissions procerly
LEVEL IV
-failure to monitor leachate collection in chemical waste landfills
-seeoaae resulting in groundwater contamination
-largescale dumoing ar.d/or shilling of PC3 substances or mixtures re-
sulting in significant oollution or contamination
-operation of an unacoroved ?C3 disposal site
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,
Wherefore, plaintiff prays:
1. That the defendants, their officers, directors, agents,
servants, employees, successors and assigns and each of
them cease the storage of transformers containing
PCB's contrary to the requirements of Title 40 Part
761.10 CFR, and be immediately required, to comply with
such regulations.
2. That costs and disbursements of this action be awarded
to the plaintiff.
3. That this court grant such other and further relief as
it may deem just and p'roper.
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