states Pesticides and
Environmental Protection -TOXJC Substances
Agency Enforcement Division
&EPA Toxic Substances
Control Act
TSCA Base Manua
Training Module
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Table of Contents
Participant Guide
Introduction
Toxic Substances Control Act
Toxic Substances Control Act 1-1
TSCA Inspections 1-3
Inspection Preliminaries
Planning and Preparing for an Inspection 2-1
Entering the Facility 2-4
Conducting the Opening Conference 2-5
Summary 26
Evaluation 2-7
Sampling and Documentation
Records Inspections 3-1
Documentary Support 3-2
Documenting Record Violations 3-3
Sampling 3.5
Sampling and Documentation 3-6
Safety 3_7
Evaluation 3.3
Inspection Conclusion
Conducting the Closing Conference .4-1
Security Measures " 4-2
Handling Confidential Documents 4-4
Preparing the Inspection Report 4-5
Evaluation 4-7
TSCA Base Inspection Manual March 1981
Training Module
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Participant Guide
The TSCA Inspection Training Module is a detailed program of instruction
designed to provide the specific information you will need to develop the
skills necessary to conduct successful TSCA inspections.
The scope of the program includes a study of the Toxic Substances Control Act
and of the basic policies, procedures, and techniques involved in TSCA
inspections.
The Module is designed for independent study. With the TSCA Base Inspection
Manual as a text, the Module will guide you through a series of exercises
which'introduce, clarify, and reinforce the major concepts related to
inspections. To facilitate the program and to provide necessary guidance,
'you should be assigned to work with an experienced inspector. This "sponsor"
will clarify problems or questions you may have throughout the program,
supervise your field experience, and monitor your progress.
The material presented in this Module is organized into 4 units of study.
Each unit contains a number of exercises designed to help you relate basic
information to practical application in TSCA inspections. At the close of
the Module you will have experienced the major aspects of an inspection and
will have a sound base on which to develop practical Inspection skills.
The level of achievement to be attained will largely depend upon the care
with which you complete each exercise. Instructions for the exercises are
specific and clear, and, if followed carefuly, will guide you to mastery of
the material.
Study Checklists
Each unit contains at least one study checklist that states precisely what
you should be able to do at the close of the unit. Read through the list and
respond orally to as many items as you can. This will help you focus your
attention on the unit material and will help identify areas that will need
detailed study. After completing the reading assignment, return to the
study checklist and carefully respond in writing to each item. Work
through the list, correcting any errors you may have made the first time. If
questions persist, discuss them with your sponsor. Do not proceed to the
next exercise until you can complete each item of the list.
f
Reinforcement Exercises
.Most units contain several exercises that will ask you to use the basic unit
information to solve problems that inspectors often face in the field.
Responses to many of these exercises will not simply be right or wrong, but
will be open to interpretation and discussion. You should check your
responses with your sponsor.
TSCA Base Inspection Manual i March 1981
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Participant Guide
Evaluation Exercises
Most units conclude with a unit evaluation that wraps up the unit material.
These evaluations should be completed without the use of notes, books, or
other references. Evaluations are not designed to be graded, but minimum
performance standards list a level of performance that shduld be achieved.
("7 of 9 items" indicates that a minimum of 7 items should be completed
correctly without use of references.) If you score below the minimum level,
review the unit carefully and confer with your sponsor to ensure a thorough
understanding of the material. Your sponsor has answer keys to the
evaluation exercises.
General Guidelines for Completing the Module
Complete all reading assignments carefully.
Complete each exercise in .the order in which it is presented in the
unit.
Follow exercise instructions carefully.
Discuss with your sponsor any problems or questions you can not resolve
yourself.
TSCA Base Inspection Manual ii March 1981
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TSCA Base Inspection Manual ' M-roh ,00.
Training Module March 1981
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Introduction
The Toxic Substances Control Act (TSCA), Public Law 94-469, was enacted in
1976 to "regulate commerce and protect human health and the environment by
requiring testing and necessary use restrictions on certain chemical
substances." TSCA was designed to correct the current lack of health and
safety information about chemical substances and to prevent unreasonable
risk of injury to health or the environment presented by exposure to toxic
substances.
To carry out the mandate of TSCA, EPA is authorized to obtain from industry
data on the production, use, and health and environmental effects of
chemical substances. If this information shows that controls are warranted,
EPA may regulate the manufacture, processing, distribution in commerce, use,
and disposal of a chemical substance.
TSCA is an extremely complex law. To help understand how TSCA works, it Is
useful to think of it in two phases. In the first phase, health and safety
data is gathered and analyzed to determine the risks posed by a chemical.
In the second phase, various rules can be developed on manufacture, use, or
distribution and sale of chemicals that have been found to pose a risk to
health or the environment.
As a control rule becomes final, enforcement personnel will have completed
work on plans for enforcing the various provisions of that rule. The end
result is a specific enforcement strategy that
Identifies industry groups affected by the rule;
Defines potential violations of the rule; and
Lists ways that violations might be detected.
The strategy directs compliance monitoring activities in ways that make
maximum use of available resources:
Voluntary compliance plans encompass programs to inform regulated
industries of the requirements and encourage compliance.
Inspection program plans list pre-selected target groups for
compliance inspection and make provisions for emergency situations, and
complaint response.
Each rule, therefore, has a specific strategy tailored, to meet the
enforcement requirements. Inspections play the major role in monitoring
compliance with the rule and although specific details will vary from rule
to rule, there are basic concepts and procedures common to all TSCA
inspections. These elements are discussed in the following units.
TSGA Base Inspection Manual Hi March 1981
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Unit 1
Toxic Substances Control Act
The primary responsibility of an inspector is to inspect facilities for
compliance with TSCA requirements. To carry out this responsibility,
inspectors must be knowledgeable not only in the Act, but also in the many
procedural requirements involved in conducting a successful inspection.
Topics covered in this unit include:
The Toxic Substances Control Act
Glossary of Terms
TSCA Inspection Overview
Exercise 1-1 The Toxic Substances Control Act 3 Hours
To carry out their duties.effectively, Inspectors must be thoroughly
familiar with the legal basis for their actions. A clear
understanding of the purpose, scope, and requirements of TSCA is
imperative.
1. Read through the study checklist. Test your background
knowledge of the Act by responding to as many items as possible.
2. Read pages 1-1 through 1-10 of the Manual.
3. Read the Act, (pages 1-11 through 1-28).
4. Respond to each item on the study checklist. Correct any errors
and expand any incomplete responses made in Step 1. Clarify
with your sponsor any questions or problems.
5. Proceed to Exercise 1-2 only when the material in this exercise
has been mastered.
Study Checklist. At the close of this exercise, you should be able to:
! State the purpose and scope of TSCA.
2. Give a brief synopsis of the following sections.
§4 Testing of Chemicals
TSCA Base Inspection Manual 1-1 March 1981
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Toxic Substances Control Act
§5 Manufacturing and Pr.ocessing Notices
§6 Regulation of.Hazardous Chemicals
§7 Imminent Hazards
§8 Reporting and Retention of Information
§11 Inspections and Subpoenas
§14 Disclosure of Data
§15 Prohibited Acts
§16 Civil and Criminal Penalties
§17 Specific Enforcement and Seizure
§23 Employee Protection
3. List substances specifically exempted from the Act.
4. Write a brief summary of the process by which EPA, under
TSCA, 'regulates specific chemical substances.
TSCA Base Inspection Manual 1-2 March 1981
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T0KJc Substances Control Act
Exercise 1-2 TSCA Inspections - 1 Hour
Inspections are the enforcement mechanism for detecting and
verifying violations of the Act. This exercise focuses attention on
the purpose, scope, and elements of an inspection, on inspection
authorities under TSCA, and on the basic responsibilities of an
inspector.
1. Read through the study checklist. Test your background
knowledge, by responding to as many items as -possible.
2. Read pages 2-1 through 2-15 In the Manual.
3. Respond to each item on the study checklist. Correct any errors
and expand any Incomplete responses made in Step 1. Clarify
with your sponsor any questions or problems.
4. Proceed to Unit 2 only When the material in this exercise has
been mastered.
Study Checklist. At the close of this exercise, you should be able to:
lm State the legal source of authority for conducting
inspections under TSCA and explain the concept of delegation
of authority.
2* List the limitations imposed on the scope of an inspection.
State clearly the purpose of an inspection.
Explain why confidential business information is an important
factor to be considered when conducting an inspection.
TSCA Base Inspection Manual 1-3 March 1981
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Toxic Substances Control Act
5. .Explain the purpose of the-Author!zed Access List and the
procedures involved-In the" authorization process.
6.' List 3 legal requirements an inspector must observe in all
TSCA inspections.'
7. Explain the responsibilities of an inspector in gathering
evidence dutirig an inspection.
8. Explain Inspection responsibilities relating to personal
safety during an inspection.
9. Write a brief statement summarizing the responsibilities of
an inspector relating to general work ethics.
TSCA Base Inspection Hanual ' 1-4 March 1981
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Unit 2
Inspection Preliminaries
The scope of a TSCA Inspection can be complex and will vary from inspection
to inspection. There are, however, elements that are common to all
inspections (See Manual pages 2-4 and 2-5).
Topics covered in this unit include:
Planning and Preparing for an Inspection
Entering the Facility
Conducting the Opening Conference
Exercise 2-1 Planning and Preparing for an Inspection 1 Hour
Proper planning and preparation are necessary to assure that an
inspection is conducted smoothly, efficiently, and professionally.
This exercise is designed, to focus attention on the procedures
involved in the pre-inspectlon process.
1. Read through the study checklist. Test your background
knowledge by responding to as many items as possible.
2. Read pages 3-1 through 3-6 and all of Chapter 6 in the Manual.
3. Respond to each item on the study checklist. Clarify with your
sponsor any questions or problems. Correct any errors and
expand any incomplete responses made in Step 1. Do not proceed
until you have mastered the material in this exercise.
Study Checklist. At the close of this exercise, you should be able to:
! List a minimum of 2 reasons why advance planning is crucial
to successful inspection.
2. Explain the purpose of a review of Agency records.
TSCA Base Inspection Manual 2-1 March 1981
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Inspection Preliminaries
3. List how you might find the following information relating to
a specific facility.
a. General facility information
b. Previous inspection records
Specific exemptions
d. Facility reports submitted to the Agency
e. -Permits and documents and correspondence related to
permits
Write a brief statement summarizing the safeguards that
should be used, when dealing with confidential business
information during a records review.
TSCA Base Inspection Manual 2-2 March 1981
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Inspection Preli***"'rle8
Explain the purpose and importance of each of the following
documents:
a. Notice of Inspection. (Also explain why-financial
data, sales data, etc. must be treated separately
in the Notice)
b. TSCA Inspection Confidentiality Notice
Declaration of Confidential Business .Information
d. . .Receipt for Samples and Documents
Chain o'f Custody '-Records
Explain how to determine-what -equipment might be needed on a
particular inspection.
TSCA Base Inspection Manual 2-3 March 1981
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Inspection Preliminaries
Exercise 2-2 , Entering the Facility 1 Hour
When court proceedings develop from an'.inspection, the Government's
case-can'be'damaged'on technical grounds,'including failure by an
inspector to follow basic procedure.' Entry into a facility is one
inspection activity requiring that specific procedures be observed.
It is imperative that an inspector understand these procedures and
their legal ramifications.
1. Read through the study checklist. Test your background
knowledge -by, responding to as many items as possible. .
2. Read pages 3-7 through 3-14 of the Manual.
3. Respond to each item on the study checklist. Correct any errors
and expand any incomplete responses made in Step 1. Clarify
with your sponsor any questions or problems. Do not proceed
until you have mastered the material In this exercise.
Study Checklist. At the close of this exercise, you should be able to:
1. List two things an inspector is always required to do upon
arrival at a facility to'beinspected.
2. Explain why caution is important when-presenting credentials.
3. List what information is required to be entered in the Notice
of Inspection.
Explain how an inspector might overcome initial reluctance on
the part of a facility official to give consent to inspect.
5. Write a brief summary of the procedures to be followed if
entry to a facility is denied.
TSCA Base. Inspection Manual 2-4 March 1981
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Inspection Preliminaries
6. List two things an inspector should NEVER do if entry is
denied.
7. Explain how the Notice of Inspection, if properly completed
and presented, can protect the inspector and the Agency in
cases of denial of entry.
Exercise 2-3 Conducting the Opening Conference 30 Minutes
An opening conference will give facility officials a clear under-
standing of the inspection purpose, scope, and requirements, and will
allow the Inspector to complete administrative duties.
1. Read through the study checklist. Test your background
knowledge by responding to as many items as possible.
2. Read pages 3-15 through 3-19 of the Manual.
3. Respond to each item on the study checklist. Correct any errors
and expand any incomplete responses made in Step 1. Clarify with
your sponsor any questions or problems. Proceed to the summary
exercise only when the material in this exercise has been
mastered.
Study Checklist.
1. Explain what is .meant by "The Inspector as Educator" and why
this role is important to the overall-goals of the
enforcement program.
2. List some major obstacles to a smooth inspection that can be
prevented if an opening conference is conducted with facility
officials.
3. Explain what points concerning CBI should be covered in the
opening conference.
TSCA Base Inspection Manual 2-5 March 1981
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Inspection Preliminaries
4. Explain how to determine who is authorized to make a claim of
confidentiality.
5. Write a brief summary of the procedures to be followed when
there is a claim of confidentiality and explain which forms
should be used.
Exercise 2-4 Summary 10 Minutes
Listed below is an incident that could have been avoided. Explain
how, giving specific details.
Discuss your response with your sponsor. Clarify any questions or
problems. Proceed to the.Unit Evaluation.
Inspector Joe Green, in response to the Neutral Inspection Scheme,
enters the Continental Chemical Company's main office and asks to
see the agent in charge of the facility. Mr. White, the owner,
appears, is shown Inspector Green's official credentials, and is
given a completed Notice of Inspection. Continental has never been
inspected by EPA and Mr. White is hesitant to allow the inspector to
begin. Inspector Green assures him that the inspection is legal and
that penalties for refusing entry to an inspector are severe.
Green lists the penalties and tells Mr. White he might be subject to
arrest. The discussion becomes heated and ends with Inspector
Green being physically removed from the premises by security
guards. The next day Mr. White files suit against both Inspector
Green and the Agency, charging harassment.
TSCA Base Inspection Manual 2-6 March 1981
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Inspection Preliminaries
Exercise 2-5 Unit Evaluation 15 Minutes
1. Complete this exercise without the use of text or notes.
2. Do not exceed the time limit listed above.
3. Correct all errors and clarify any problems or question before
proceeding to Unit 3.
4. Minimum performance standard: 10 of 12 items.
True/False. For each item listed below, check TRUE if the statement is
correct, FALSE if the statement is incorrect. If the statement is
false, make necessary changes to correct it.
TRUE FALSE
1. Official credentials must always be presented whether
or not identification is requested by facility
officials.
2. Authority to inspect under TSCA is granted by Section
8 of the Act.
3. A written Notice of Inspection is required for all
inspections except when inspecting firms on an
emergency basis (i.e. spills).
4. Authority to inspect extends to financial, sales,
pricing, personnel, and research data only if these
items are specifically listed on the Notice of
Inspection.
5. An inspector must secure the expressed consent of the
agent,in charge of the facility before entering to
inspect.
6. The U.S. Supreme Court decision Marshall v. Barlow's,
Inc. provides the legal basis for the handling of
confidential business information.
TSCA Base Inspection Manual 2-7 March 1981
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Inspection Preliminaries
7. If entry into a facility is denied for any reason or
if consent to inspect is withdrawn during an
inspection, the Inspector should follow the denial of
entry procedures which state that the inspector:
a. Should talk with officials to see if obstacles
(such as misunderstandings) can be overcome.
b. May suggest that facility officials contact their
attorneys to clarify the situation.
c. Should explain to facility officials the penalties
under TSCA regarding refusal to allow entry.
d. Should write down all observations regarding the
incident, including any reasonable suspicions about
the reasons for denial of entry.
8. Facility officials may claim as confidential any
information (documents, physical samples, or other
material) collected by an inspector.
9. Facility officials must make a confidentiality claim
before the inspection begins so the inspector will
know precisely what information must be specially
handled.
TSCA Base Inspection Manual 2=8 March 1981
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Unit 3
Sampling and Documentation
Reviewing facility records, taking samples, and preparing documentation are
the basic elements of a compliance inspection. These activities provide the
evidentiary support the Agency uses to initiate enforcement actions.
The inspector plays the key role in developing this evidence.
Evidence of suspected violations must be carefully developed and documented
so that it will be admissible in court and adminstrative proceedings.
Topics covered in this unit include:
Records Inspection-
Documentary Support
Physical Samples
Chain of Custody
Safety
Exercise 3-1 Records Inspection 30 Minutes
TSCA requires that manufacturers, processors, and distributors of
chemical substances maintain specific records of data that would
aid EPA in identifying and monitoring toxic substances. TSCA
inspectors must be familiar with proper procedures for. inspecting
records.
1. Read through the study checklist. Test your background knowledge
by responding to as many items as possible. '
2. Read pages 3-21 through 3-29 of the Manual.
3. Respond to each item on the study checklist. Correct any errors
and expand any incomplete responses made in Step 1. Clarify with
your sponsor any problems or questions. Do not proceed until you
have mastered the material in this exercise.
Study Checklist. At the close of this exercise, you should be able to:
! State the primary objectives of a recprds inspection.
TSCA Base Inspection Manual 3-1 March 1981
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Sampling and Documentation
2. Give examples of how required information might be found by
looking at various types of information sources.
3. Describe standard procedures for copying and identifying
records.
4. Explain the procedures to be followed when inspecting data
which is claimed as confidential business information.
Exercise 3-2 Documentary Support 30 Minutes
A basic responsibility of an inspector is the documentation of
actual conditions existing at the time of an inspection.
Documentation is the base on which the Agency builds a case to
prosecute violations of the Act. It is imperative that all
documentation be developed in.accordance with procedures to insure
its accuracy and objectivity.
1. Read through the study checklist. Test your background knowledge
by responding to as many items as possible.
2. Read pages 3-31 through 3-36 of the Manual. '
3. Respond to each item oh the study checklist. Correct any errors
and expand any incomplete responses made in Step 1. Clarify with
your sponsor any problems or questions. Do not proceed until you
have mastered the material in this exercise.
Study Checklist. At the close of this exercise» you should be able to:
1. Explain the purpose of the field notebook and list the types
of information to be entered in it.
TSCA Base Inspection Manual 3-2 March 1981
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Sampling and Documentation
Summarize the procedures for documenting a suspected
violation by means of:
Statements from witnesses
Photographs
Drawings and maps
List some specific errors in documentation that might result
in.evidence not being admitted in court.
Exercise 3-3 Documenting Record Violations 15 Minutes
1. Respond to each item listed below. Use the Manual (or other
information) as a reference.
2. Check your responses with your sponsor. Clarify any questions
or problems before proceeding.
1. As part of an inspection, you need to determine how many pounds of
chemical X are currently located on the facility premises. (This
chemical is used, but not produced, by the facility.) Regulations
controlling Chemical X require that records be kept of these
amounts.
TSCA Base Inspection Manual 3-3 March 1981
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Sampling and Documentation
You discover that the facility ,has not maintained these records.
How would you properly document this violation? (Give specific
examples.)
b. In the absence of those records, how might you determine the
amounts of chemical X at the facility. (List 2 separate ways you
might be able to make this determintion.)
Choose one of your responses to (b) above and list in detail
exactly what documentation you might submit to case proceedings
personnel at the close of the inspection.
TSCA Base Inspection* Manual 3-4 March 1981
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Sampling and Documentation
Exercise 3-4 Sampling 1 Hour
A major aspect of documenting suspected violations is the taking of
samples. It is upon the analysis of samples that most enforcement
actions are taken. Mistakes or deficiencies in sampling may damage
an enforcement action; inspectors must adhere to established
sampling procedures to ensure the development of valid evidence.
1. Read through the study checklist. Test your background knowledge
by responding to as many items as possible.
2. Read pages 3-21 through 3-22 and pages 3-37 through 3-45 of the
Manual.
3. Respond to each item on the study checklist. Correct any errors
and expand any incomplete responses made in Step 1. Clarify with
your sponsor any problems or questions. Do not proceed until you
have mastered the material in this exercise.
Study Checklist. A the close of this exercise, you should be able to:
1. Describe the difference between physical and documentary
samples.
2. List the 7 general steps of an effective sampling program and
explain what each step would do to ensure that a sample will
be valid.
TSCA Base Inspection Manual 3-5 March 1981
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Sampling and Documentation
3. Explain what is meant by controlled identification and what
steps an inspector must follow to ensure the integrity of a
sample.
Exercise 3-5 Sampling and Documentation 10 Minutes
1. Respond to the items listed below. Use the Manual and/or any
other material as a reference.
2. Check your responses with your sponsor. Clarify any questions or
problems before proceeding.
During an inspection of a chemical storage area at Acme Chemical
Company, you encounter an open drum containing an unidentified
substance. The drum is in the vicinity of other containers identified
as containing chemical X. Regulations stipulate strict requirements for
storing this chemical.
a. Would you sample the substance in the open drum? If so$ why?
b. List the steps you would follow to ensur^ that the sample, once
taken, is properly documented.
c. What precautions would you take to protect the sample before its
delivery to the lab?
d. What other documentation of this suspected violation would you
prepare?
TSCA Base Inspection (Manual 3-6 March 1981
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Sampling and Documentation
Exercise 3-6 Safety 30 Minutes
By nature of their toxicity, substances regulated under TSCA pose
special problems for inspection personnel. To protect their
personal health, inspectors must take special precautions when
handling these hazardous materials.
1. Read through the study checklist. Test your background
knowledge by responding to as many items as possible.
2. Read pages 3-47 through 3-59 of the Manual.
3. Respond to each item on the study checklist. Correct any errors
and expand any incomplete responses made in Step 1. Clarify
with your sponsor any questions or problems. Do not proceed until
you have mastered the material in this exercise.
Study Checklist. At the close of this exercise, you should be able to:
1. Describe the general and personal safety equipment that
should be available to inspectors handling hazardous
substances.
Explain, for each general quideline (p. 3-49, 3-50), what
might result if the guideline is not followed.
List the emergency treatment procedures for inhalation, skin
exposure, eye contact, and ingestion.
TSCA Base Inspection Manual 3-7 March 1981
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Sampling and Documentation
Exercise 3-7 Unit Evaluation 30 Minutes
1. Complete this exercise without the use of text or notes.
2. Do not exceed the time limit listed above.
3. Clarify any problems or questions and correct all errors before
proceeding to Unit 4.
4. Minimum performance standard: 9 of 11 items.
1. Does TSCA require that records be kept according to a particular
system or format?
2. If an inspector is called to testify in court, he may be asked to
positively identify a particular document, and to state its source
and reason for its collection.
a. How can an inspector prove that a particular document was one
that he collected?
b. Must the inspector be able to remember why a particular document
was collected?
3. If a facility is required to keep a record of the amount of a
particular substance it has in storage and if the facility has
failed to have kept these records, how might an inspector proceed to
find this information?
4. How should an inspector handle the taking of notes if he has good
reason to believe that the subject of these, notes will be claimed as
confidential business information?
TSCA Base Inspection Manual >8 " March 1981
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and Documentation
5. What information should be recorded in the inspectors field
notebook? (Circle the letter or letters that apply:)
a. Conditions and practices observed during the inspection.
b. Procedures followed by the inspector relating, to all inspection
activities.
c. Listing of documents and samples taken by the inspector.
d. Unusual conditions or practices observed by the inspector.
e. General descriptions of the type of confidential business
information collected.
f. General facility information..
6. Of the following two items, which one best illustrates the type of
information that should be included in a statement used to-document
an alleged violation? (Circle one)
i
a. "It's common knowledge that they're dumping toxic chemicals
illegally. You can see the trucks going by every day".
b. "My boss told me to -take a load of drums and dump them out in the
back. Some of the drums were marked 'hazardous'".
7. How should photographs itaken during an inspection be identified?
8. What steps should be taken to protect a physical sample from
contamination?
9. What is the purpose of the Chain of Custody procedures?
TSCA Base Inspection Mantel 3-9 March 1981
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Sampling and Documentation
10. Collecting a sample of an unidentified substance can be one of the
most potentially dangerous situations an inspector will face. How
can this danger be minimized?
TSCA Base Inspection Manual 3^16"March 19
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Unit 4
Inspection Conclusion
The inspector's involvement in TSCA inspections generally concludes with a
wrap up of the inspection with facility officials and the preparation of an
inspection report to be submitted to case proceedings personnel. Specific
procedures for these activities and for handling confidential business
information are discussed in.this unit.
Topics covered in this unit include:
Closing Conference
Security Measures
Report Preparation
Exercise 4-1 Conducting the Closing Conference 30 Minutes
A final meeting with facility officials will enable the inspector to
"wrap up" the inspection. Necessary receipts can be prepared,
questions can be answered, and information gaps can be resolved.
1. Read through the study checklist. Test your background knowledge
by responding to as many items as possible.
2. Read pages 3-61 through 3-63 and pages 6-4 through 6-5 of the
Manual.
3. Respond to each item .on the study checklist. Correct any errors
and expand any incomplete responses made in Step 1. Clarify with
your sponsor any questions or problems.
4. Proceed to Exercise 4-2 only when the material in this exercise
has been mastered.
Study Checklist. At the close of this exercise, you should be able to:
1. Describe what .information is to be entered on the Receipjt for
Samples and Documents
2. Give one example of how the Receipt for Samples and Documents
might protect the Agency against legal action resulting from
an inspection.
TSCA Base Inspection Manual 4-1 March 1981
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Inspection Conclusion
3. List the 4 criteria that must be met if an item is to be
declared confidential business information.
4. Write, in your own words, an explanation of what procedures
you would follow if, at the closing conference, no on-site
facility official is authorized to make a confidentiality
claim.
Exercise 4-2 . Security Measures . 30 Minutes
All data collected during an inspection must be protected against
loss, tampering, and unauthorized disclosure. Routine security'
procedures have been established for this purpose. In addition,
more stringent security procedures must be followed when a claim of
confidentiality has been made. It is the responsibility of the
inspector to ensure that inspection data is prpperly protected when
in the inspector's posession.
1. Read through the study checklist. Test your background
knowledge by responding.to as many items as possible.
2. Read pages 3-65 through 3-68 of the Manual.
3. Respond to each item on the study checklist. Correct any errors
and expand any incomplete responses made in Step 1. Clarify"
with.your sponsor any questions or problems.
4. Proceed to Exercise 4-3 only when the material in this exercise
has been mastered.
Study Checklist. At the close of this exercise you should be able to:
1. Explain what security measures should be routinely afforded
all inspection data.
While traveling
TSCA .Base Inspection Manual 4-2 March 1981
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Inspection Conclusion
In the office
List the steps to be followed to protect documents claimed as
confidential business information.
While traveling
In the office
List steps to protect physical samples claimed as
confidential business information.
TSCA Inspection Manual 4-3 March 1981
Training Module
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Inspection Conclusion
Exercise 4-3 Handling Confidential Documents 30 Minutes
1. Respond to the following item.
2. Discuss your response with your sponsor. Clarify any questions or
problems before proceeding to Exercise 4-4.
During the closing conference of an inspection you've just completed at
the American Chemical Corp, Mr. Gray, the company president, claims as
confidential business information a 10-page document you collected. He
is very concerned that this information be kept confidential since it
relates to their maintaining a lead in a highly competitive market.
Discovery of this information by their competitors would severly affect
American's position.
American's plant is several hundred miles from your office. On your way
back to your office, you'll be stopping at Eastern Chemical to conduct
an inspection there.
Mr. Gray wants assurance that his data will be accorded full
confidentiality, and asks what steps you will take to protect this
information.
Keeping in mind the following considerations, what would you say in
response to Mr. Gray's inquiry?
a. You'll be on travel for 3 days.
b, You'll be conducting an inspection of Eastern Chemical, a major
competitior of American Chemical.
c. When you return to the office, you'll need to review the document
to prepare your report.
Prepare your response as if you were actually talking to Mr. Gray.
"The first thing, Mr. Gray, is to slip the document into an envelope
marked 'Confidential Business Information "
TSCA Inspection Manual . 4-4 March 1981
Training Module
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Inspection Conclusion
Exercise 4-4 Preparing the Inspection Report 45 Minutes
Information collected during an inspection must be organized and
arranged in a manner that will allow case proceedings personnel to
develop a sound evidence package. The inspection report, if properly
prepared will serve as the -basis of this evidence.
1. Read through the study checklist. Test your background knowledge
by responding to as many items as possible.
2. Read pages 4-1 through .4-9 of the Manual.
3. Respond to each item on the study checklist. Correct any errors
and expand any incomplete responses made in Step 1. Clarify with
your sponsor any questions or problems.
4. Proceed to Exercise 4-5 only when the material in this exercise
has been mastered.
Study Checklist. At the close of this exercise you should be able to:
/
1. State the purpose of an inspection report.
2. List the three general elements of a report.
TSCA Inspection Manual 4-5 March 1981
Training Module
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Inapectlon Conclusion
3. State procedures for dealing with confidential business
information in the report.
4. List the types of information to be included in each of the
following, parts of the narrative report.
Introduction
Inspection Activities
Attachments
TSCA Inspection Manual ' ^6 March 1981
Training Module
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Inspection Conclusion
Exercise 4-5 Unit 4 Evaluation 20 Minutes
1. Complete this exercise without the use of text or notes.
2. Do not exceed the time, limit listed above.
3. Correct all errors and clarify any problems or questions.
4. Minimum performance standard: 10 of 12 items..
1. What is the purpose of the Receipt for Samples and Documents? (List
two purposes.)
b.
2. Is it the responsibility of the inspector to determine if an item
meets the criteria necessary to claim the item as confidential
business information?
3. Besides completing the Receipt for Samples and Documents and the
Declaration of Confidential Business Information, the inspector
should use the closing conference to offer various kinds of help to
facility officials. List 3 ways in which the Inspector can, at this
point, be of help.
a.
b.
TSCA Inspection Manual ' 4-7 March 1981
Training Module
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Inspection Conclusion
Specific procedures have been developed to ensure that all
inspection data is protected while in the custody of the inspector.
Which of the following activities are not in accordance with these
procedures for handling routine (non-confidential) data? (Circle
the appropriate letter(s) of the items below.)
a. Leaving inspection data in a locked.motel room.
b. Reviewing inspection data in the inspector's auto.
c. Reviewing inspection data in a restaurant.
d. Reviewing inspection data in the presence of other inspectors.
e. Carrying inspection data while inspecting another facility.
f. Locking physical samples in the inspector's auto.
5. Procedures for protecting confidential data are considerably more
stringent than are routine security measures.
a. Confidential data should be mailed to the Document Control
Officer as soon as possible after the inspection. What specific
steps are involved in preparing confidential data for mailing?
b. If physical samples can not be shipped immediately how should
they be protected?
The inspection report is a comprehensive collection of information
designed to support enforcement personnel in the preparation of
legal action. The information in the report must, above all, be
complete and accurate. . List three other requirements for an
inspection report.
b.
TSCA Base Inspection Manual" 4-8 March 1981
Training Module
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