NEIC
EPA/STATE/TRIBAL PESTICIDE WORKSHOP
SOUTH DAKOTA DEPARTMENT OF AGRICULTURE
RAPID CITY, SOUTH DAKOTA
APRIL 17-19, 1990
National Enforcement Investigations Center, Denver
G.S. Environmental Protection Agency
Office of Enforcement
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EPA/STATE/TRIBAL PESTICIDE WORKSHOP
SOUTH DAKOTA DEPARTMENT OF AGRICULTURE
RAPID CITY, SOUTH DAKOTA
APRIL 17-19, 1990
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FINAL AGENDA
STATE AND TRIBAL PESTICIDE INSPECTOR WORKSHOP*
Rapid City, South Dakota
April 17-19, 1990
Tuesday. April 17. 1990
Time
9:00 a.m.
9:15 a.m.
10:00 a.m.
10:30 a.m.
10:45 a.m.
11:15 a.m.
12:00 p.m.
1:00 p.m.
1:45 p.m.
2:30 p.m.
2:45 p.m.
3:30 p.m.
Topic/Activity
Introduction/Course Objectives
Regulatory Updates
Ground Water
- Endangered Species
- worker Protection
Basic Inspection Procedures
Break
Basic Inspection Procedures - Continued
Producer/Establishment Inspections
Lunch
Interview Techniques
Narrative Writing
Break
Case Preparation
Fit Testing
Coordinated By
S.D./NEIC
NEIC
NEIC
NEIC
R-8
R-8
R-8
NEIC
* Workshop location: Howard Johnson's, 2211 LaCrosse St., Rapid City,
South Dakota
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Wednesday. April- 18^1990
9:00 a.m. Basic Safety
9:45 a.m. Photography
10:30 a.m. Break
10:45 a.m. Sampling
11:30 a.m. Inspection Briefing
12:00 p.m. Lunch
1:00 p.m. On-site Audit
Dealer/Applicator Interview
- Records Review
Facility Inspection
2:30 p.m. Break
2:45 p.m. On-site Audit (continued)
Thursday. April 19. 1990
9:00 a.m.
9:45 a.m.
10:30 a.m.
10:45 a.m.
11:30 a.m.
12:00 p.m.
1:00 p.m.
Documentat i on
DOT Regulations
v
Break
Preservation/Chain-of-Custody
Case Review
Lunch
Any Remaining Fit Testing
NEIC
NEIC
NEIC
S.D./NEIC
S.D./NEIC
S.D./NEIC
S.D/NEIC
NEIC
NEIC
NEIC
NEIC
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CONTENTS
Regulatory Updates (pages 1-8)
Ground Water 1
Endangered Species 7
Worker Protection 7
Existing Worker Protection Standards 8
Inspection Procedures (pages 9-51)
Outline 9
Notice of Inspection 12
Selected Topics 13
Records 17
Pre-lnspection Checklist 24
Entry 28
NPJRS 29
NEIC Databases 34
South Dakota Forms 37
Producer/Establishment Inspections (pages 52-70)
Outline 52
Questions 54
Stock and Dealer Inspections 55
Producer and Marketplace Inspections 57
Interview Techniques (pages 71-100)
Outline 71
Opening Conference 72
Interviews 77
Inspection Criteria 92
Checklists 94
Report Preparation (pages 101-131)
Outline 101
Sample Report 114
The Inspection Report 117
Case Preparation (pages 132-170)
Inspection File Review 132
Review of Adequacy of Evidence 136
Inspection Report Evaluation Guide 143
Complaint Preparation and Filing 154
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CONTENTS (continued)
Safety (pages 171-189)
Outline 171
Protective Clothing Guide 172
Chronic Toxicity 174
Safety Chapter 179
Articles 186
Photography (pages 190-201)
Outline 191
Occasional Number 192
Labels 193
Fundamentals 194
As Evidence 200
Sampling (pages 202-235)
Outline 202
Guidelines 208
By Media 210
Air Sampling 212
Residue Sampling 216
Bulk Sampling 223
SOPS : 235
Documentation (pages 236-237)
Outline 236
Inspection File Review see 132
Review of Adequacy of Evidence see 136
DOT Regulations (pages 238-274)
Outline 238
Federal Express/DOT Workbook '. 239
Preservation, Chain-of-Custody (pages 275-282)
Outline 275
Preservative Tables 277
Custody Examples 280
Case Review/Referrals (pages 283-329)
Enforcement Responses 283
Response Guidance 288
Elements of a Violation 311
Washington, D.C. Ticket Policy 315
Case Examples 322
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REGULATORY UPDATES
Ground Water
Endangered Species
Worker Protection
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REGULATORY UPDATES
Ground Water
EPA began working on agricultural chemicals in ground
water strategy in 1985
EPA published proposed strategy for comment in 1988
Original Goal: prevent unreasonable
contamination of ground water
Present Goal: Use FIFRA tools
(regulations/management plans) to further agency
goal of ground water contamination prevention
Proposing MCLs or health advisories for reference
point or stop action level (red light/yellow light)
Red Light - contamination exceeds MCL or
health advisory and certain actions stopped
Yellow Light - less contamination than MCL or
health advisory but additional monitoring and/or
certain actions required
Public water supplies/Fresno problems (see article
"DBCP Haunts California Wells")
Draft State Management Plan Guidance was issued with
Aldicarb guidance and contained 12 elements
2 Major Issues
1. Implementation Section 3 RUP or
Section 6 Cancellation
2. Health regions or counties to define
level/geological area where contamination
exists
"Health Regions" - former USGS geologist
procedures for defining ground water areas
A second draft State Management Plan Guidance for
comment to be issued again this spring
Guidelines/support documents for EPA approval of
State Management Plans can be submitted in two
chunks:
1. Administrative
2. Monitoring/Response
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State Management Menu
• Moratorium Areas
• Wellhead Protection Areas
• Well Set Backs (Buffer Zones)
• Future Well Requirements: Location,
Depth, Construction
• Permit for Pesticide Use in Sensitive Areas
• Change in Rate of Application
• Change in Timing of Application
• Advance Notice of Application
• Integrated Pest Management
• Best Management Practices
• Additional Monitoring
• Additional Training and Certification
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Responding to detection - menu of
possibilities
Monitoring Guidance
various approaches
pluses and minuses
cost
Evaluations
Direct measures
Environmental indicators
State evaluates and submits
Proposal to restrict chemicals/pesticides based
on propensity to contaminate ground water
currently in review at headquarters
National Pesticide Survey
sampling completed
doing data entry/processing
Estimating 2 years -to implement ground water
strategy
Major issue - Who gets the buck?
- Who will handle ground water
in states?
- ? Authority to grant money to
others
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I
: -TV
i !»•!•.'• « '
•'./ f •
> «,
/'•*>!
'
Wells in the highly productive
San Joaquin Valley have
\> been shut down for
as little as 0.2
ppbDBCP.
>/r- :fel
' •* Wt •
.'T\. i rf
^»* X, •. I
'•*'""'
*%
DBCP was suspended from use by EPA
in 1977, but today traces still remain in
groundwater. Photo courtesy of Dow Chem-
ical Company.
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DBCP
Haunts California Wells
BY BRENDA SIMMONDS
AND DENNIS BROSTEN
™V* wentytwo municipal wells were closed
. lust year in Fresno, Calif, because of
I dihromochloropropane (DBCP) con-
tamination. Many of the closures followed a
lowering by the California Department of
Health Services of the Maximum Contami-
nant Level (MCL) for the nematicide m drink-
ing water.
Although DBCP has not been used since
1977, minute traces of it remain in rural
areas of Fresno County. Underground traces
of DBCP have been moving from beneath
the surrounding farmland to shallow aqui-
fers tapped by the urban area of Fresno.
Sandy soils, poorly sealed wells, and lower
state tolerances have all contributed to the
present situation. Consequently, the City
of Fresno recently announced that it will
file a lawsuit against the three former manu-
facturers of DBCP, to recover the antici-
pated costs of finding acceptable drinking
water. Fresno may seek as much as 550 mil-
lion in damages.
Some experts believe DBCPgroundwaier
contamination extends for much of the 200-
mile length of the San Joaquin Valley. Ac-
cording to hydrogeologist Kenneth Schmidt,
whose company has done extensive research
on groundwater quality in the San Joaquin
Valley, "We think it is probably the largest
case of groundwater contamination due to
these types of chemicals in the nation."
DBCP, a soil fumigant first registered in
A 1955. was widely used to control nematodes
m grapes, stonefruits. and various row crops.
There are three major reasons why it wound
up in groundwater it was often applied
deeply, hy chuel injection: it is persistent.
not readily degraded by microorganisms;
and u is mobile. In the San Joaquin Valley.
chemical mobility is exacerbated by some
very sandy soils, frequent irrigations, and
shallow aquifers.
Schmidt recalls that the first detection of
DBCP in San Joaquin Valte\ gTOuiiilvtaier
dates back to the late 1970s, when contami-
nation was found near the Occidental Chem-
ical Plant m Lathrop, Calif. According to
Schmidt. "It is my understanding they found
it in the groundwater there and then started
sampling around. They found out it was in
water far away from the plant." He adds,
"This led the State Health Services Depart-
ment to start sampling programs, especially
for cities and schools in the San Joaquin
Valley, in about 1978 "
DBCP was suspended from use by EPA in
1977. According to Carl Grable, a plant pa-
thologist with the Registration Division of
EPA. the compound Had been identified as
causing sterility and low sperm counts among
production workers at the Occidental Chem-
ical Plant in Lathrop. However, the workers
were exposed to higher levels of DBCP than
are found m groundwater. No human illness
was shown to be caused by drinking welt
water with DBCP in u.
Some time later, traces of DBCP were
found in some Fresno municipal wells. This
period, the late 1970s, was when new instru-
ments for the first time allowed DBCP to be
detected at the ppb level. The detection of
DBCP prompted the City of Fresno to hire
Schmidt's firm to do several groundwater
studies. The studies, completed in 1984 and
1987, showed the extent of the DBCP con-
tamination on the outskirts of Fresno. To
strengthen its ability to manage its water,
the city acquired 19 surrounding county wa-
terworks districts in (989. It also stepped up
its well monitoring activities. Martin Mcln-
tyre. Fresno's new water quality supervisor,
initiated an intensive program to monitor
over 70compounds every three months. Ten
of the compounds were pesticides. Despite
a decade of scrutiny, there were Mill no
ens. •• »f human illness pro%en 10 be caused
by (he truces of DBCP in ihe wells.
In April of 1989. 15 of Fresno's 235 wells
were closed because of DBCP concentra-
tions above the state's MCL of I ppb Most
of the closed wells were shallow ones which
hud been acquired irom the count) district.
A few of these wells hjd DBCP coneemra-
uons of 4-5 pph Three months bier, the
state lowered the MCL to 0.2 ppb. The new
limit resulted in the closure of an additional
seven wells. Mclntyre notes a number of
other wells are also near the 0 2 ppb MCL
and appear to be increasing in concentration
The state MCL for DBCP could be low-
ered further, according to Mclntyre A new
California bill (A B. 21). recently signed into
law, requires new standards to be based only
on theoretical health criteria. Mclntyre says,
"Most of the MCLs that we operate under
today already are at the one-m-j-milhon
health |cancer| risk standard." However, for
a few compounds like DBCP and TCE, the
MCL is not at the one-m-a-million health
risk standard.
Since the extensive well-monitoring pro-
gram began in 1989, all city wells are being
tested quarterly for the following pesticides
"ethylene dibromide, lindane, molmate, en-
dnn, toxaphene, 2.4,5-T, 2.4-D. methoxy-
chlor. DBCP, simazme, atranne, and bentazon.
Of these, only DBCP and ethylene dibro-
mide have been detected in any of the wells
Results of tests for simazme. auazine, and
bentazon are not yet complete.
Most of the monitored pesticides have
been targeted by California for regulation
in large municipal systems. The state is also
increasing the number of chemical com-
pounds for which it will enforce safety stan-
dards. Mclntyre says, "The State Department
of Health Services is planning on adding 25
more compounds per year for the next sev-
eral years." Carbofuran, glyphosaie. chlor-
dane, and heptachlor are soon to be i ncl uded
in Fresno's monitoring program
Mclntyre comments. 'Some of the com-
pounds are extremely expensive to monitor
for, hut next year |1990| we are going to
spend half a million dollars to a million
on laboratory analysis for monitoring all
the compounds.'
DBCP and ethylene dibromide are not
the only chemicals delected in Fresno s
groundwater. Industrial solvents y.isolme
aildimes. and dr\ .cleaning sohenis h.i\e
also been detected at various locutions The
Continued on MI/I/ /'./-,v
Agnehemicil Age/January 1990 11
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CONTAMINATION
Continued from previous page
Fresno area has two industrial sites on EPA's
national list of Superfimd cleanup sites.
Publicity about aJl the chemicals has
prompted many city residents to drink bot-
tled water. Most supermarkets carry several
brands of bottled water, and five-gal dispenser-
coolers are the latest status symbol for mid-
dle class residents.
test for viruses in water, which may provide
a new perspective on the safely of public
and private sewage systems isee AGRICHEMI-
c.\r. AC'K. May 1987). There is some irony to
the fact that the perception of the ground-
water problem is defined by ihe detection
technology being used. For example, the
new virus test can detect less than one ten-
millionth of a billionth of an ounce of hu-
man viruses in groundwaier. The virus test.
which is based on DNA-RNA hybridization.
This is on* of 22 wells in the Fresno area which were shut down due to 0.2 or greater ppb
DBCP contamination.
Fresno's municipal wells are also tested
each month for nitrate and bacterialton-
tamination. Nitrates have been detected in
some of Fresno's wells and bacteria were
found to contaminate one private water sys-
tem. Mclntyre says, "We have a number of
wells that have been closed due to nitrates."
However, he does not consider the nitrates
to be agriculturally related. The wells are
in the middle of an urban area not serviced
by sewers, and Mclntyre thinks faulty sep-
tic tank systems are the likely source of
the nitrates.
So far, no official has mentioned a new
is expected to reveal widespread contami-
nation from septic tanks and settling ponds.
However, it will probably take another five
years for health officials to fit the test into
their routine water-monitoring programs. So,
in the meantime, pesticides are getting most
of the scrutiny.
Fresno sits upon an enormous aquifer that
extends 1200 feet or more below the ground
surface. Schmidt describes the uquifer be-
neath Fresno as one aquifer with two major
divisions. The underlying deeper layer lies
below 250-.VX) feet. Schmidt says most ex-
pens believe this layer is relatively unaf-
fected by DBCP.
Schmidt has monitored some DBCP con-
taminated wells for over 10 years. He says,
"It | DBCP | will degrade and get diluted with
new fresh sources of water being recharged
from seepage from canals and irrigation.
We are already seeing some pretty good
decreases." He adds that, if the MCL for
DBCP had been left at 1.0 ppb. in another
5-15 years-trie compound would have been
below the 1.0 ppb level, due to degradation
and dilution.
Part of the groundwater contamination
problem stems from improperly sealed wells.
Many of the older city wells have 50-fook
seals. According to Schmidt. 200-350-foot
seals are being put on new wells drilled in
the Fresno area. Improved techniques for
installing the seal have also been imple-
mented. The real concern is in older, poorly
sealed wells providing an easy route for com-
pounds like DBCP to get into groundwater.
According to Schmidt, thousands of wells
in the DBCP-contaminated area are perfo-
rated and gravel packed. In other words,
these wells are drawing water from thet up-
per and lower regions of the aquifer. Then.
when the pump is shut off, contaminated
water can enter the upper well casing and
move down to the lower levels. He says, "No
one has really tackled this problem yet. It is
such a difficult one." He mentions that the
state of California is making new standards
to address this issue, so wells won't become
conduits. But he says, "For guys like me that
work in this field, it is one of the biggest
problems we arc going to have to tackle on
the long-term."
Schmidt lists three solutions for Fresno:
• Drill deeper wells and try to seal off the
DBCP contaminate.
• Have farmers pump from the shallow
DBCP-contaminated wells for irrigation. Ev-
ery time the DBCP water passes through the
soil is a cleansing process, reducing the
concentration.
• Install granular activated-charcoal fil-
ters on the wells.
Since large carbon filters are expensive to
maintain and replace, they are rare on mu-
nicipal systems. High volume wells are eco-
nomically brought into compliance by deep
drilling. In other cases the large wells are
closed fora period of time. In both cases the
contaminated water is likely to remain or
migrate underground to other wells. So.
redrilling only avoids the problem for an
indefinite period. Schmidt says, "We don't
consider that a total, long-term solution.
You just can't go out there and pump deeper
water, and pump and pump. It will eventu-
ally get polluted."
Schmidt also points out that other, natu-
ral water quality problems may be encoun-
tered in deep wells—for example, high iron
and manganese levels. In such cases treat-
ing the water by using a carbon filter helps
to clean up the contamination.
Schmidt says. "We want to have a total
management program, where farmers and
city wells pump out the shallow contami-
nated water, and that will help protect the
deeper water." 'i3
12 Agrichwnical Age/January 1990
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Endangered Species
Rank species according to vulnerability to pesticides
Establish threshold application rates
Evaluate application method and timing
Label/bulletin approach with generic statement on
products which may affect endangered species. Generic
statement refers to Bulletin which specifies county
and map where species located
Maps - some problems between local vs federal fish and
wildlife
Not planning to exempt home and garden nor forest
products
Received 250 sets of comments
Economics - will do economic analysis about options
that will protect endangered species, but
First consideration is risk to endangered species and
compliance with Endangered Species Act
Public involvement - may be one year phase in
Pilot Programs - need plan including evaluation mechanism
Product used incorrectly - Use violation per EPA regulations
Product used correctly but endangered species killed -
Endangered Species Act violation
Worker Protection
Public comment period recently closed
380 sets of comments received
About ready for EPA review on changes
Final Regulation possibly this summer
labeling changes/training
So no enforcement probably until 1991
Still have existing Worker Protection Standards
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WORKER PROTECTION STANDARDS
-------
t»UWl " 1. ,
otherwise obtained by. the Adminis-
trator under this Part shall be gov-
erned by Part 2 of this chapter.
(d) Inability. (II In the event of the
Inability of any person to produce
records containing the information re-
quired to be maintained, furnished for
Inspection, or given access to. all other
records and information regarding the
same shall be provided
(2) Where no such inability exists
and any such person fails to give
access to and permit copying of such
records as required, such failure shall
be deemed a refusal to keep records re-
quired or a refusal to allow the Inspec-
tion of any such records or both.
PART 170—WORKER PROTECTION
STANDARDS FOB AGRICULTURAL
PESTICIDES
Sec
170 I General.
110 2 Definitions.
110.3 General standard
1104 Stale standards, label* and exemp-
tions
170 S Warnings
AUTHOHITY. 1 U S C 136w
SOURCE. 39 FK 16890. May 10. 1914. unless
otherwise noted.
01701 Ceneral.
This part contains occupational
safety and health standards for farm
workers performing hand labor oper-
ations in fields after ground (other
than those Incorporated into the soil).
aerial or other type of application of
pesticides.
0170.2 IMiniliona.
Terms used in this subpart shall
have the meanings set forth for such
terms in the Act. In addition, as used
In this subpart. the following terms
shall have the meanings slated below
(a) The term "reentry lime" means
the period of time Immediately follow-
ing the application of a pesticide to a
field when unprotected workers
should not enter as provided for in
{ 170 3.
(h) The term "farm worker" or
"v " means any person or persons
en. J in agricultural hand labor in
the liHd
it,; A in binu IH.IU iiii.uiio (Ally
treated land area, or part thereof.
upon which one or more pesticides are
used for agricultural purposes, all as
specified by this part.
The term "protective clothing"
means at least a hat or other suitable
head covering, a long sleeved shirt and
long legged trousers or a coverall type
garment | Azadrn
|») Ptnutone
(») Cuiboptanoihan
(on) Metaiysto. R
(i»EPN
In) Endnn
48
48
24
48
48
24
24
48
48
24
O) The preceding requirements of
this part notwithstanding, workers
should not be permitted to enter treat-
ed fields if special circumstances exist
which would It-ad a reasonable man to
conclude that such entry would be
unsafe
214
1170.4 Stale standard*, labcli and exemp-
lionH.
(a) Nothing herein shall prevent a
duly authorized stale regulatory
agency from setting and enforcing
piore restrictive standards for workers
,n fields treated with pesticides.
[Reserved]
PART 171—CERTIFICATION OF
PESTICIDE APPLICATORS
Sec
111 I General
111 2 Definitions
111 3 Categorization at ccimnwrclal apptl
calors of pesticides
111 4 Standards for certification of com-
mercial applicators
111 5 Standards, for certification of private
applicators
111 6 Standards fo, supei vision of noncer-
lifird applicators by certified private
and commercial applic.it urs
1711 Submission and approval of Slate
plans for cerliricalioii'Of coinim-rcla! and
private applicators of rr.slncl.ed use pen-
ticldes
1718 Maintenance of Slal c plans
1719 Submission and approval of Govern-
ment Agency Plan
171 10 Certification of applicators on
Indian Reservation!.
Ill 11 Federal certification of pesticide ap-
plicators in Status or on Indian Reserva-
tions where there is no approved Stale
or Tribal certification plan in effect
AUTHORITY 1 USC I36band 136*
SOURCE 39 PR 36449. Oct 9. 1914. unless
otherwise noted
SIT I.I General.
This section deals with the certifica-
tion of applicators of restricted use
pesticides.
a 171.2 IMiniliiMiti.
(a) General. Terms used in this sub-
part shall have the meanings set forth
for such terms in the Act. In addition.
the following definitions are applica-
ble to all aspects of the certification of
pesticide applicator program in this
part
(I) The term "accident" means an
unexpected, undesirable event, caused
by the use or presence of a pesticide.
that adversely affects man or the envi-
ronment.
(2) The term "Act" means tlic Feder-
al Insecticide. Fungicide, and Rodenll-
cide Act. as amended (86 Stat. 973).
and other legislation supplementary
thereto and amendatory thereof.
(3> The term "Administrator" means
UK- Administrator of I hi- Environmen-
tal Protection Agency, or any office or
employee of Hit* Agmry Lo whom au-
thority has heretofore been delegated.
215
'•» 114 O-N7-- H
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INSPECTION PROCEDURES
-------
INSPECTION PROCEDURES
PURPOSE - TO ENSURE COMPLIANCE WITH FIFRA AND APPLICABLE
REGULATIONS
INSPECTOR'S ROLE
ENFORCEMENT PRESENCE
EDUCATION
DOCUMENT SUSPECTED VIOLATIONS
ELEMENTS OF ANY INSPECTION
1. PREPARATION
2. ENTRY
3. OPENING CONFERENCE/INTERVIEWS
4. FACILITY/RECORDS INSPECTION
5. SAMPLING AND DOCUMENTATION
6. CLOSING CONFERENCE
7. REPORT PREPARATION
8. FOLLOW-UP/REFERRALS
PREPARATION
ESTABLISH INSPECTION OBJECTIVES
PEI
MARKETPLACE
USE/MISUSE
DETERMINE SCOPE OF INSPECTION
1-4 HOURS
1-4 DAYS
1-4 WEEKS
# OF PERSONNEL/?FORMAL PLAN
-------
BACKGROUND INFORMATION REVIEW
EPA FILES
STATE FILES
THOMAS REGISTER
DUN AND BRADSTREET REPORTS
FARM CHEMICALS HANDBOOK
LOCAL POLICE DEPARTMENT
STATE INCORPORATION FILES
NATIONAL PESTICIDE INFORMATION REGISTRY SERVICE (NPIRS)
EPA FACT SHEETS
FIFRA/TSCA TRACKING SYSTEM (FTTS)
COMPANY NAME, PESTICIDE PRODUCTS, DATE
INSPECTED, VIOLATIONS
COMPUTER DATA BASES
ENTRY - FIND PERSON IN CHARGE WITH AUTHORITY TO ALL INSPECTION
INTRODUCTION
PRESENT CREDENTIALS
ISSUE NOTICE OF INSPECTION
MANAGING DENIAL OF ENTRY
OPENING CONFERENCE/INTERVIEWS - DISCUSS LATER
FACILITY/RECORDS INSPECTION
TRACK INFORMATION THROUGH FACILITY RECORDS
CHECK RECORDS AGAINST OTHER RECORDS
INSPECT AREAS TARGETED DURING INTERVIEWS AND RECORDS
REVIEW/USE CHECKLIST IF DESIRED
SAMPLING AND DOCUMENTATION
DOCUMENT ALL INSPECTION ACTIVITIES
-------
/I
FIFRA/STATE FORMS
INSPECTOR'S NOTEBOOK
PHOTOGRAPHS
ESTABLISHING SHOT
SEQUENCE TO PROBLEM
CAUSE AND EFFECT
WHOLE STORY IN PICTURE
SAMPLE IF NECESSARY TO DOCUMENT VIOLATION
NO UNOFFICIAL SAMPLES
TALK WITH CHEMIST
AVOID CONTAMINATION
PRESERVE CHAIN OF CUSTODY
OPERATE IN A SAFE AND EFFICIENT MANNER
CLOSING CONFERENCE
WRITE NECESSARY RECEIPTS
DISCUSS INSPECTION OBSERVATIONS AND FUTURE EVENTS
IDENTIFY FINDINGS AS PRELIMINARY
DISCUSS CAVEATS
REPORT PREPARATION
FORMS
NARRATIVE
DOCUMENTARY SUPPORT
FOLLOW-UP/REFERRALS
STOP SALE
RCRA VIOLATIONS
-------
0767
-nr
12-
U.S. ENVIRONMENTAL PROTECTION AGENCY (REGION VIII)
On* Denver Place. 999 iStft St.. Denver. CO 80202-2413
NOTICE OF INSPECTION
PROGRAM
. Resource Conservation and Recovery Act (RCRA) Public Law 94-580. as amended
, Toxic Substances Control Act fTSCA) Public Law 94-469. as amended
Federal insecticide. Fungicide, and flodenticide Act (FlFRA) Public Law 92-516 as amended
Date
Fac. Func.
Inspector *
Invest. Type
Daily Seg
Hour
IN
OUT
FATES Reason
CMC Fac
RCRA. Gen ( )
Transp. { )
TSO ( }
Facility Representative^)
Phone * ( )-
Title
Facility name
DUNS «
Street
City
State
ZIP
Reason for Inspection: Entry by Consent- ( }
.Warrant- (
, To determine the extent of comoiiance with the above referenced law. whicn may require me collection
of samples, documents, and/or photographs.
, Other (Specify)
Violations of above referenced law are suspected from information or complaint. Yes ( ) No I )
Samples. Documents, and/or Photos collected (describe below)
Medium
Date to Lab
2.
3.
6.
Samples requested and received by facility ( ) Yes ( ) No
If yes: ( ) Duplicate. ( ) Split, f ) Photos (To be received when processed.
This inspection has revealed me following probable violations of EPA laws or regulations.
The facts established by this inspection will be reviewed by personnel in the EPA Regional Office.
A final determination of your facility's compliance with EPA regulations will be made as a result of this review
The review may reveal additional violations.
Receipt of this Notice of Inspection
is acknowledged.
Signature of Lead inspector
A««i«tma Inae-eton (EPA/COHtT^SUtt)
-------
a facility came to be included in the schedule because these factors impact
inspection objectives and definition of the scope of the inspection, as discussed m
Chapter 10.
L«»«l« af Inunction __ .
The intensity and scope of an inspection can range from a quick walk-through
inspection thic takes less than half a day to an inspection with extensive sample
collection that takes up to several weeks to complete. Each program has its own
approach to categorizing the different types or levels of inspections that can be
conducted; the time involved in each will also vary depending upon the complexity
of the facility and of the particular requirements) for which compliance is being
assessed.
While there is a variety of approaches to categorizing inspections, it is possible
to state generally some of the factors involved.
o A *w«iif-through" level of inspection would generally be limited to
walking through a facility, checking only for the existence of control
equipment, observing work practices and housekeeping, and checking if
there is a records repository. Such inspections help to establish an
enforcement presence, and can also be a screening tool to identify
facilities for more intensive inspection at a later time.
0 A "eomnlianee evaluation imagetion-" is the most common form of
inspection. Depending on the program and the scop* of inspection
determined for the specific facility being inspected, it might include:
visual observations as in the 'walk-through^ review and evaluation of
records, interviews with facility personnel,, and other evidence collection
activities (including physical stapling in soae) casern)! It
might also include detailed review and critique of source monitoring
methods and data as well as probing for details about process and control
devices that are in place.
o A 'sampling inspection* can include some or all of the activities described
above,. but would always involve P»«-»IMM* sample collection. The sample
collection might be done to duplicate the source's own sampling and
laboratory analysis procedures to double-check actual pollution emission
or discharge rates, or the sampling might be done to document the extent
of a contaminated area or environmental damages. Sampling inspections
are the most resource-intensive: from 23 to 33 person-days may be
required, including the use of laboratory analytic services.
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legislation. However, since no program has the virtually limitless resources that
would b« required to inspect all facilities subject to these regulations, programs
develop strategies allocating inspections to various segments of the regulated
community.
Essentially, there are four reasons for conducting aa inspection:
o Routine. By far the most common reason a facility is selected for
inspection, routine inspections are .conducted at facilities that are
members of a class or segment of the regulated universe targeted under a
neutral administrative inspection scheme (see discussion below). The
Agency has no indication that the facility is in violation in advance of a
routine inspection; the inspections are conducted to determine compliance
with ail (or a priority portion) of the program's requirements.
o For came. At a facility selected to be inspected 'for cause.* there is
some reason to suspect that an actual violation exists based upon a tip. a
complaint, source self-monitoring report or other information, or a
referral from another agency. Under these circumstances, EPA may
perform an inspection to confirm instances of noncompliance. An
emergency may also evoke a 'for cause* inspection if the situation is
perceived as having the potential to cause harm in the absence of
immediate remedial action; such emergencies may or may not involve
violations of requirements. One of the principal distinctions between Tor
cause" and routine inspections is that 'for cause* inspections have a
particular, and consequently more focused, purpose. The inspector knows
what he or she is looking for.
o Case development support. Sometimes evidence in addition to that
collected on an initial inspection is needed for continued case
development and/or to support prosecutions. On such inspection,
inspectors collect evidence in accord with the requirements specified by
the case development litigation team.
o Follow uo. Follow-up inspections are performed to determine whether a
facility found to be in violation during a prior inspection, which resulted
in an enforcement action, is now in compliance with the terms of the
resultant enforcement action, such as an EPA consent decree or
administrative order. Each program allocates a percentage of us
inspection resource to follow-up inspections. Such inspections help to
ensure the integrity of the enforcement program; if the facility is found
still out of compliance, EPA will usually step up to a stronger
enforcement action.
IniiMttlan Schema
The overall inspection schemes developed by each program allocate a proportion
of inspections to the categories described above based upon the Agency's
identified enforcement priorities and the program's Operating Year Guidance and
Annual Implementation Plan documents. These are also stated in an annual
summary of enforcement priorities published by the Office of Enforcement and
Compliance Monitoring. Each program has a somewhat different approach to
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o Caoims of records. 'Copies' of records include photocopies, close-up
photographs of records or computer screens, or 'hard copies* of
computerized information. They should be dated and initialed by the
inspector and assigned aa identifying number that is noted in the field
logbook. The facility may be given a receipt for the copies; this can also
help authentication. Inspectors can also place documents in an envelope,
seal the envelope with an official seal, and prepare a chain-of-custody
form to begin chain of custody procedures. (See also Chapter 14A).
o PhflrcinQhr The inspector should bt able to sty that a photograph
•fairly and accurately represents' what he or she saw on the date and
site ia question. Field logbook entries should include aa identifying
number for each picture, what is seen, the date and time, the specific
location oa the premises, aad other descriptive information. The front of
the photograph should not be defaced; all information should be written
on the back or in attached documents. Chain-of-custody procedures can
also be initiated and followed for photographic records, if desired for
additional assurance of integrity. (See also Chapter 178).
RtBOft
Inspection reports should be written as soon as possible after aa inspection or
interview. Reports should be thorough, accurate, and cover all major items.
They should also be objective and factual, with no legal conclusions. By
preparing a report ia accordance with these considerations, the inspector virtually
ensures that the report will be admissible as evidence. Ia addition, the inspector
.should retain the rough notes on which the report is based. The absence of such
[notes in a given case could result ia the exclusion of all of the inspector's
I testimony.
The inspector should assume that the other side (under Rule 612) will obtain a
copy of the report, aad that he or she may be cross-examined about it (pursuant
to Rule 613(a)). without necessarily being confronted with the contents
beforehand. la this context also, the inspector should segregate any
recommendations regarding future actioa from the factual recitations, so that the
recommendations may easily be separated if necessary.
The report must be accurate and factual; observations should be verifiable results
of first-haad knowledge. Information in the report should be pertinent to the
subject of the report; personal comments and opinions should be avoided.
Suspected violation* should be substantiated with as much factual, relevant
information as is feasible to gather. All information pertinent to the subject
should be orgaaized ia a complete package; documentary support (e.g..
photographs, samples) should be clearly referenced. (See also Chapter 19A.)
8-12
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Exercising Jud|mtat la the Fltld
Ideally, oo etch inspection, EPA inspectors would determine compliance with every
requirement applying (a the facility and every suspected violation would be fully
documented. Although EPA's goal is to coma at close) is possible to this ideal.
the realities of time aad resource constraints as well as the practical limits on
(he number of physical samples that caa be collected oa one trip mean that
inspectors must oftaa make judgments about exactly what to inspect at a given
facility aad how thoroughly.
The scope and objectives of aa inspection should be established as part of the
inspection planning process. Since most facilities are subject to many different
requirements even under one statute, the iaspectioa plaa should set out in
advance which requirements will be focused on ia the iaspectioa aad the activities
that will be undertaken to determine compliance with them.
Once oa the site, the inspection plaa serves as a guide to the inspection. Often.
however, aa iaspectioa turns out to be more complex thaa aaticipated, or multiply
violations are observed, or violative conditions not the original focus of the
inspection are found. The inspector is then faced with determiaing whether the
original plaa should bet followed or modified aad the degree to which each
potential violatioa should be documented.
While there are no hard aad fast rules for makiag these judgments, the inspector
caa prepare Tor them by being familiar with the particular program's enforcement
priorities aad how serious the Agency considers various categories of violations.
AS a quick guideline whea choices must be made ia the field, inspectors should
most fully documeat the more serious violations, being sure to collect the
information needed to determine aa appropriate enforcement response. This u
because, stated generally, the likelihood that the Agency will pursue a formal
enforcement actioa — aad the size of the civil penalty assessment, when
appropriate -• increases with the seriousness of the violation. The standard of
proof required to prove that a violation occurred also iacreases with the level of
enforcemeat action taken (informal, admiaistntive. judicial). Likewise, the
likelihood of a challenge to the Agency's actioa iacreases with the level of action
and sue of penalty assessment.
Program enforcement response, and penalty policies, compliance monitoring
strategies, aad other planning documents such as the Operating Year Guidance are
good sources for information regarding program priorities aad the seriousness
attached to various categories of violations.
S-1J
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IOC REVIEWING AGENCY RECORDS
A focused review of records in Agency files relating to a facility is essential to
pre-inspection preparation and to the overall success of compliance inspection
efforts. Such a review will save tune and mtnimiMi inconvenience during an
inspection by not requiring examination of information that has previously been
made available. The review will also acquaint the inspector with the requirements
that apply to the site, as well as important background information, such as
facility operations and compliance history. Information relevant to the upcoming
inspection can be abstracted from these files ani may be documented in the
written Inspection Plan. In general, review 01 Agency records will enable
inspectors to:
o Become familiar with the facility type, size, and operations.
o Discover inadequacies, inconsistencies, or voids in the information, thus
determining the need to request additional information from the facility.
o Minimize inconvenience to the facility personnel or unnecessary use of
on-site time by not requesting information already provided to the
Agency.
o Clarify technical and legal issues before entry.
o Develop an appropriate Inspection Plan that documents this information
and applies it to shaping a methodological design for the most efficient
use of inspection time and manpower resources.
Review Con«idtr«tioBK Whit to Rtviaw «nd Why
The following documents and types of information can be found in Agency/
Regional files and may be useful in planning time and resource allocation.
selecting appropriate field techniques, and preparing documents and equipment.
o Ganarml Facility Information. General facility information may include:
• Maps showing facility location, geographic features, and relationship to
surrounding areas.
• Aerial photographs.
. Names, titles, and phone numbers of responsible officials or facility
representatives.
- Any special entry requirements.
- Past, present, and future process operations and production levels.
10-10
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• Safety equipment requiremeots.
• Control and other relevant equipment.
- Descriptions of the facility's recordkeepmg ud filing systeou.
This type of information is relevant for addressing several issues, for example:
• The facility location has a bearing on time scheduling and
transportation arrangements/costs for the inspection.
- Geographical features may help determine physical sampling plans.
- Personnel and associated responsibilities can be used to determine who
to interview with respect to certain issues; e.g., who is responsible for
training employees or for self •monitoring data/reports?
• Entry requirements or prior history of refusal to allow entry need to
be handled before going on-site; e.g.. do you need to get a warrant?
• Other information shapes the inspection, such as what safety
equipment EPA inspectors must use on lite or what kinds of equipment
and recordkeeping systems are in use that might be inspected.
o Permits. Permit Aonlieationi. and Special Exemptions from Requirements.
Permits provide information on the limitations, requirements, and
restrictions applicable to discharges, emissions, and operations; compliance
schedules; and monitoring, analytical, and reporting requirements.
Applications provide technical information oa facility size, layout, and
location of pollutant sources; treatment and control practices; contingency
plans and emergency procedures; and pollutant characterization types.
amounts, and points/locations of discharge or emission. Special
exemptions from requirements may have been granted by EPA; in granting
the exemption, EPA may have placed additional requirements on the
facility.
This information is critical to orienting the inspector to what to look for
on-site, givea the priorities established within the scope of the
inspection; for identifying the major requirements against which the
inspector should review the facility's operations; and for planning the
most effective use of time and manpower resources.
O Prior Imoaetion Records and Reports on Enforcement Proceedings. The
following types of information may be available:
- Compliance history, including reports, follow-up studies, findings, and
remedial action.
• Past conditions of noncompliance.
10-11
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establishing goals and priorities: however, three factors are central to determining
the thrust of compliance and enforcement efforts:
o Th« likelihood that a violation in a class or segment of source win
present a significant risk.
o The likelihood that a class or segment of sources will violate
environmental laws or regulations.
o The likelihood that inspections of a class or segment of sources will
contribute significantly to ensuring a credible enforcement presence.
In a high-priority class, every member might be inspected. In lower-priority
classes, only a small percentage sample would be inspected.
Each EPA program has developed a 'neutral* administrative inspection scheme
setting out how the regulated community is divided into classes or segments for
routine and follow-up inspection targeting purposes. Typical criteria for these
segments include type of industry, size of facility, and amount of pollutants
handled.
Although under the neutral scheme, classes or segments of the regulated
community may be targeted for inspection, the sites within each class or segment
must be selected in a non-biased way for inclusion in the inspection process. If
sites to be inspected are chosed under a pre-existing general administrative plan
that is not subject to the inspectors in the field (unless pursuant to reasonable^
cause), this is consistent with the findings of the Supreme Court's decision in
Marshall v« Barlow's. Inc.. 436 U.S. 30.7 (1978). Note that actual inspection
scheduling also takes into account factors such as geographic and seasonal
considerations.
Allocation of Iniaections
The bulk of inspections are typically assigned to the category of routine
inspections. A significant portion is assigned to follow-up inspections, since
such inspections are essential to the integrity of an enforcement program (i e.
violators must know that failure to correct violations in a timely manner will
result in further penalty). Nevertheless, limitations on resources do not permit
follow-up of every action; therefore, planning for follow-up inspections also
involves neutral administrative selection schemes, similar to those employed for
routine inspections. Finally, with respect to 'for cause* inspections, not all tips
or complaints trigger an inspection. Such information must be evaluated against
program priorities aad goals to determine whether aa immediate on-site inspection
is warranted, or whether some other follow-up action (e.g., a phone call or other
request for information) is the most appropriate initial response. When inspection
is determined to be the appropriate response, it may necessitate altering the
administratively pre-determined balance among the inspection categories. In that
event, typically, it is the lower priority routine inspections that are postponed or
deleted from the inspection schedule.
while the information in this guide primarily focuses on routine inspections, it is
always important for inspectors to understand the reasons for inspection and how
3-11
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• Previous enforcement actions.
- Pending enforcement actions, compliance schedules, and/or variances.
Special note should be made of pending enforcement actions, compliance
schedules, and any violations observed in previous inspections so the
facility can be checked for current compliance in those areas where a
history of noncompliance has been documented.
O Sclf-MOnitQring. - QtDfiZ - ESSaia - Prepared hv the Polity anrf
CanOfiflndfinsfi. Inspectors should review these documents and note any
discrepancies with inspection records and reports, permits, or other
information. If information is not clearly presented or if any
discrepancies exist, the inspector may decide to request additional
information from the facility or may pay particular attention to such
items during the upcoming inspection as a means of clarifying the
information.
Aside from the documents referred to above, which are specific to a given facility
and are likely to be found in Regional files, other items of a more generalized
nature may be of assistance to the inspector. Included in this category are:
o Lawa and Regulation*. The various underlying environmental statutes and
related regulations establish standards, procedures, controls, and other
requirements that may be applicable. Inspectors may use this information
to familiarize themselves with 'the applicable rules. It is useful for
inspectors to take copies of the laws and regulations to the inspection.
site to show and/or distribute to facility officials, if requested.
o Technical Reports. Documents, and References. This includes a range of
books, journals, and other publications that provide generic information
on industrial process operations, as well as specific data on advantages.
disadvantages, and limitations of application associated with available
treatment/control techniques. An inspector's knowledge of the
process(es) and the associated control equipment at a facility significantly
contributes to the success of aa inspection, particularly in the area of
diagnosis of control problems. It is therefore important to use technical
resources to acquire knowledge of specific processes, operations, and
maintenance of all types of control equipment, and inspection procedures
for various types of control equipment and industrial processes.
to AeeMi Information
A summary of compliance program data systems follows; additional information is
included in the Resource Materials.
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PROGRAM INFORMATION SYSTEMS (Coatiautd)
Media Program Information System
Hazardous
Waste/RCRA
Pesticides ft
Toxic Substances/
FIFRA A TSCA
Toxic Substances/
TSCA
General Enforcement
Data/All Programs
State Program
Information Systems
Wite Dan Management System /HWDMSV
HWOMS contains compliance and enforcement data on
compliance monitoring and enforcement actions that do
not involve litigation, waste process design type and
capacity information, and facility level data. HWDMS
also tracks inspections, violations, and compliance
activities at Federal facilities.
FTFRA and TSCA Enforcement Svnema fFATESV
FATES consists of five subsystems: pesticide
registration and production reporting, inspections and
sampling case management, grants information, and
contracts inspections.
The Chemicals in Commerce Information System (CICISV
CICIS is a computerized database of public and
confidential information on all available chemicals m the
TSCA chemical inventory. CICIS identified the
chemical, case number, manufacturer, volume and
confidentiality.
The Doekee Is a computer information system used by
OECM to track civil enforcement litigation. The
information contained in the system includes case dates.
filing dates, violations identified for each statute, and
penalties sought.
Many State programs data systems contain inventories
of minor facilities.
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FINDS
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10-15
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0 Imnaetiati Activities and Field Techniques. Once tha inspection tasks
(derived from the assessment copies) have been established, determination
aim be made u to which evidence collection technique (i.e., observation
records review, interview, samples) is most appropriate for each task, as
follows:
• Observation: List what activities, operations, and/or equipment will be
observed; e.g., control and treatment units for spills, leakages, out-of-
service conditions and causes.
- Records List the records that will be reviewed for compliance, along
with the information content and retention requirements of each type
of record.
• Interview* List the positions of key personnel with whom meetings
should be held to address specific assessment topics; e.g., meet with
the individual responsible for training employees in emergency
procedural.
Develop a sampling plan according to Agency policy and
guidance (see Sampling Plan, below).
o For each of the tasks and their associated inspection activity/field
technique, the inspection plan should prioritise what must be accomplished
at a minimum, as well as which items might be included if time and
resource* permit.
pi|« Sampling inspections also require detailed advance quality
assurance and logistical planning. Planning for sampling inspections is
discussed in detail in Chapter I5B.
0 Other t-Q>Mtiol Considerations.
- Coordination with State for oversight inspections; notification of State
if aa inspection is in a delegated or approved program State.
• Safety requirements (including required Safety Plan).
- Setting priorities — how to critically review the contemplated on-site
activities and tailor them to match staffing, time, costs, etc.
• Logistical planning, resources needed, and contingency plans for entry
(e.g.. legal considerations), opening and closing conferences, and
applicable iafonnational/tnining/technology transfer materials.
10-22
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2V
CHAPTER 12
PRE-INSPECTION CHECKLIST
No single list of documents and equipment will be appropriate for each inspection.
The lists and descriptions below are intended only as a guide co aid inspectors m
planning for supplies.
Specific needs will be determined by the requirements of the inspection, the
availability of certain equipment, and Regional policies and conditions. (See also
Chapter 1SB on Planning for Sampling Inspections.)
Tnmectlon Equipment
The kinds of equipment that an inspector carries should be specifically related co
the kind of inspection to be undertaken and the inspection plan that was
prepared. The inspector is expected to use sound judgement and rely on training
and past experience in deciding what equipment is necessary for a particular
inspection. The equipment should be well-maintained and checked to see that jt
is in good condition prior to each inspection.
Inanactlon Docunnati ind Forms
Documents and forms necessary for the inspection should be prepared in advance
of the inspection, whenever possible. Listed below are documents/forms that may
be needed. The nature of document preparation may vary with different
programs; it is the inspector's responsibility to become familiar with the requisite
documents/forms relevant to performance of each inspection.
o Notice of Inspection. Under some EPA laws, written notices must be
presented upon the inspector's arrival at the facility. Portions of this
form can be filled out ia advance; but the time of inspection and name(s)
of facility official(s) are entered at the time of inspection.
o Compliance Report Form (where appropriate1). Some programs have
developed forms or checklists to guide inspectors in gathering relevant
information.
o iMneetioa Confidentiality Notice. This form is used to inform facility
officials of their right to claim inspection data as confidential business
information (inspections under the Toxic Substances Control Act (TSCA)J.
12-1
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o ^'moling Documents. The following forms relate to physical samples and
are used to record and control sample identification and custody. These
forms include:
- Custody Seal(s).
- Chain of Custody Record.
o Receipt for Samples and Documents. All samples and documents taken
during aa inspection are listed on this form.
o Declaration of Confidential Business Information. This form is used to
list ail documents and samples taken during an inspection that have been
claimed as confidential business information (TSCA only).
0 Copies of the Appropriate Act and of Specific Regulations. Some facility
officials may not have copies of the acts or of applicable rules and
regulations. Inspectors should have these available for distribution.
o Aaenev Qutreaeh Material*. Inspectors should provide current, relevant
educational information to facility officials.
Administrative Documents ind Form*
Travel Authorizations, telephone numbers of travel and procurement personnel who
may need to be contacted, and any forms that may be needed to secure services
in the field should be earned along to the inspection. Such documents might
include Government Transportation Requests (GTRs) to charter boats or airplanes
and Government Bills of Lading for shipping samples.
Safety Equipment
Under Agency policy, no EPA employee may do field work without first
completing an approved on-site safety training program. Personnel who must use
respiratory protection equipment must also complete specialized training, and
program-specific safety training has been developed for field personnel facing
particular risks.
EPA policy also requires that a safety plan must be developed for all field
activities. Safety plans for the inspection should specifiy the expected hazards to
be encountered and needed safety equipment. The safety items listed in the
checklist below are intended as a general reminder only, and do not substitute for
a tailored list of needed equipment that should be prepared for each inspection.
12-2
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If,
Since each inspection a unique, no list of materials, equipment, and forms can be
appropriate for all inspections. The checklist below is intended to provide a
quick reminder of the types of items that might be needed on a given inspection.
Gen.r.l
o Camera
o Film and flash equipment
o Pocket calculator
o Tape measure
o Clipboard
o Waterproof pens, penci-», and markers
o Locking briefcase
o "Confidential Business Information' stamp
o Stamp pad
o Pre-addressed envelopes (e.g., to Document Control Officer)
o Plain envelopes
o Polyethylene bags
o Disposable towels or rags
o Portable typewriter
o Portable copying machine
o Flashlight and batteries
o Pocket knife
S«maHn«
Sampling equipment will vary by program and media; inspectors should follow
guidance provided in program-specific materials. Examples of typical sampling
equipment follow. (See also Chapter 15B on Planning for Sampling Inspections.)
o Standard Operating Procedures for program/media involved
- Crescent wrench, bung opener
• Siphoning equipment
• Weighted bottle sampler
- Bottom sediment sampler
• Liquid waste samplers (e.g., glass samplers)
• Auger, trowel, or core sampler
- Scoop sampler
• Sample bottles/containers (certified clean bottles with teflon-lined lids)
- Labeling tags, tap*
- Storage and shipping containers with lids
- Ice chest
. Container for contaminated material
- Hazard labels for shipping samples
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Document*/Fomn
o Entry Wamat. if deemed necessary
o Notice of Inspection
o Inspection Confidentiality Notice (TSCA)
o Declaration of Confidential Business Information (TSCA)
o Receipt for Samples and Documents
o Chain of Custody Record
o Official Seals
o Government Transportation Request (GTRs)
o Bill of Lading
o Travel Authorization
Safatv Equipment
o Safety glasses or goggles
o Face shield
o Ear plugs
o Rubber-soled, metal-toed, non-skid shoes
o Liquid-proof gloves (disposable, if possible)
o Coveralls, long sleeved
o Long rubber apron
o Hard hat
o Plastic shoe coven, disposable
o Respirators and cartridges
o Self-contained breathing apparatus
Emergency Enulnment
o Substance-specific first aid information
o Emergency telephone numbers
o First-aid kit with eyewash
o Fire extinguisher
o Soap, waterless hand cleaner, and towels
o Supply of clean water for washing
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UA GAINING ENTRY
EPA's authority to conduct inspections is discussed ui detail m Chapter 7, as are
EPA's policy and procedures for consensual eacry and for seeking and inspecting
with a warrant. It is essential to follow these procedures and to document that
they were followed to assure that any information collected during the inspection
cannot be challenged as being unlawfully obtained.
Key points associated with beginning entry to a facility for inspection purposes
are summarized below, »e Chapter 1C for a complete discussion of each.
o EPA'A policy is to enter with the consent of facility officials.
o Arrival should be during normal working hours and through the main gate
unless special circumstances dictate otherwise.
o Credentials must be presented whether identification is requested or not.
o A written Notice of Inspection must be presented and signatures obtained
in inspecting under TSCA, FIFRA. or SOW A authority.
o EPA's inspection authority is broad. it includes authority to take
samples, take photographs, make-tape recordings, photocopy documents, or
otherwise manually or electronically record any information at :he
facility.
o If facility officials deny consent seek to limit the scope of the
inspection, or otherwise attempt to place conditions on the inspector's
conduct of the inspection, the inspector should leave the premises
immediately. The inspector should contact the appropriate EPA official
(usually, the inspector's supervisor, who consults with Regional attorneys)
and await direction on next steps to take, such as seeking a warrant.
o When inspecting with a warrant, the inspector must follow carefully the
terms and conditions of the warrant.
13-2
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r
NPIRS
National Pesticide
Information
Retrieval System
A Central Resource for
Pesticide/Hazardous
Chemical Information
Gain the latest information on:
EPA PRODUCT INFORMATION
• STATE REGISTRATION
INFORMATION
• TOLERANCE INFORMATION
• EPA FACT SHEETS
• MATERIAL SAFETY
DATA SHEETS
• REGISTRATION GUIDELINE
INFORMATION
• DESCRIPTIONS OF STUDIES
• EPA's PESTICIDE
NEWSLETTER
PURDUE UNIVERSITY
ENTOMOLOGY HALL
W. LAFAYETTE, IN 47907
-------
NPIRS
National Pesticide
Information
Retrieval Svstem
A GROWING DATA BASE SYSTEM
FOR PESTICIDES/HAZARDOUS
CHEMICALS
The National Pesticide Information Retrieval
System (NPIRS) was established at Purdue
University in 1983 to solve a longstanding
need for quick, current and (actual informa-
tion about pesticides. By use of a computer
based system and with cooperation from the
U. S. Department of Agncultura (USDA). the
U. S. Environmental Protection Agency
(EPA) and the states. NPlflS is providing the
answer to that need.
From the beginning. NPIRS has offered EPA
product and tolerance data as well as regis-
tration information from several states. Since
becoming operational, however, the data
base has shown steady growth with many
enhancements to the existing EPA product
data base, the addition of data from many
more states, and the addition of other data
bases. More recently, NPIRS has begun
providing more and more information about
hazardous chemicals m general. In fact, the
system is rapidly becoming recognized as a
centralized source for pesticide/hazardous
chemicals information.
As a membership organization, NPIRS
emphasizes user services and user input.
User services fall into several broad areas:
user documentation, user training (formal
and informal) and user assistance. User
input is sought through regular contact with
individual users as well as through formal-
ized user conferences and meetings of a
coordinating/advisory committee.
FEDERAL PRODUCT
REGISTRATION DATA
The largest amount of data available on
NPIRS consists of federal product data sup-
olied by EPA on approximately 60.000 pes-
ticide products registered by that agency.
The majority of these are the Tegular" prod-
ucts registered under Section 3 of the
amended Federal insecticide. Fungicide and
Rodenticide Act (FIFRA). Included in the
total, however, are products registered for
Special Local Needs (SLN) within a particu-
lar state. Experimental Use Permits, and
Emergency Exemptions.
Much product information is available for
each of the different types of registrations, in-
cluding such things as brand or product
name. EPA registration number, (he name
and address of the company which registers
the product(s). the type of pesticide involved.
the formulation, signal word, and sites and
pests for which a particular product is regis-
tered. It is also possible to determine if a
product is for restricted or general use.
Users can search the product data base us-
ing one or more of the above selection criteria
to solve a multitude of problems which would
be difficult if not impossible to solve by old
manual- and label-search methods.
• NPIRS was utilized in a critical situation
involving the need for medical authorities
to obtain a quick list of hospital disinfec-
tants which might be effective against the
AIDS virus. Although the products were
not specifically labeled for use against
AIDS, it VMS possible to auickly develop
a list of products registered to control cer-
tain other viruses and likely to be effective
against AIDS.
-------
STATE REGISTRATION
INFORMATION
Once a product meets EPA registration
requirements and is assigned an EPA regis-
tration number for its "master label." the next
step for chemical manufacturers, formula*
tors and distributors is to register the product
in the states where it is to be marketed. A
subset of the information contained on the
EPA "master label" (the basis for NPIRS
product data) is usually found on the actual
product labels found in the marketplace.
State registration information online with
NPIRS consists of data obtained by states as
part of their state registration programs and
provided to NPIRS. State agencies maintain
their own computer files of product name.
registrant's name and address, state regis-
tration number, and year of last registration.
State and federal product data may be
combined to conduct complex searches.
The number of states with data on NPIRS has
increased from six in 1983 to almost 40.
NPIRS expects to have data from all states
on the system in the near future.
TOLERANCE INFORMATION
Federal tolerance information refers to the
amount of pesticide chemical permitted on
raw agncultural commodities (food crops) at
harvest time. Tolerance information in the
NPIRS data base may be searched by
chemical, by commodity (or crop), or by
Code of Federal Regulations (CFR) refer-
ence number. In addition, it is possible to
utilize NPIRS to display or print a list of CFR
numbers with corresponding chemical
names, commodities and tolerances in parts
per million.
In conducting a tolerance search by ingredi-
ent, all crops for which a tolerance has been
established for that particular chemical are
displayed and the residue level given in parts
per million. In searches by crop, tolerances
established for all chemicals are given.
Searches by CFR reference number provide
both crop and chemical information.
EPA FACT SHEETS
These high level summaries containing infor-
mation on active ingredients used to
formulate pesticide products are added to
NPIRS as they are developed at EPA as part
of the registration standard setting process.
EPA Fact Sheets include such things as
description of the chemical, use patterns and
formulations, science findings (including
chemical and lexicological characteristics),
tolerance assessments, and problems
known to occur, EPA's regulatory rationale
and major data gaps.
Fact Sheets are issued after publication of a
registration standard, registration of a signifi-
cantly changed use pattern, registration of a
product containing a new chemical, or an
immediate need for information to resolve
controversial issues relating to a specific
pesticide or use pattern. Thus updating is
accomplished on an "as needed" basis.
NPfRS provided information toa famous
mystery writer who was writing a work
of fiction based on use of a certain pesticide
chemical to commit a crime.
NPIRS supplied information in a court
case involving use of a pesticide: the
attorney called NPIRs from a telephone
booth in the courthouse while the trial was
in progress/
-------
MATERIAL SAFETY DATA SHEETS
The importance of this data base increased
dramatically with the 1987 expansion of the
Occupational Safety and Health Administra-
tion (OSHA) Hazard Communication Stan-
dard (HCS). The expansion of the HCS
means that it now applies to all segments of
the workplace rather than just the manufac-
turing sector.
The standard requires employers to estab-
lish programs to transmit information on the
hazards of chemicals to their employees by
means of container labels, material safety
data sheets (MSOS) and training programs.
However, the ready availability of an accept-
able MSDS built around the areas covered by
the standard is considered of primary impor-
tance. It is invaluable as 'stand alone" infor-
mation required by the standard as well as for
providing the basis for developing employee
training programs.
Members of NPIRS will have access to
MSOS's which were developed around the
OSHA standard, with worker protection and
safety of paramount importance. The MSDS
Reference File will be updated quarterly.
Having access to the NPIRS MSDS program
will greatly reduce the burden of collecting,
storing, conducting reviews and evaluating
the quality of multiple MSDS's and ensuring
that each MSDS represents the latest ver-
sion. Such activities may strain the re-
sources of many companies and may be
beyond the capability of others.
NPIRS INFORMATION IS
• CURRENT
•ACCURATE
• COMPLETE
AUTOMATED REGISTRATION
STANDARDS/DATA TABLES
This system, when completed, will automate
the information contained in Registration
Standards and related documentation in-
cluding the fact sheets, data tables, accept-
able use compendia, regulatory rationale.
science chapters and bibliography.
As mentioned above, the automated fact
sheets are already being added to the data
base as completed and the data tables were
being loaded into the NPIRS data base m
early 1987. Once available, the automated
data tables, along with other explanatory
material, should dearly spell out in an easily
understood format the requirements (or
registering a pesticide product in the United
States.
Specifically, the data tables will cover such..
things as: product and residue chemistry,
environmental fate, toxicology, lexicological
effects, efficacy and exposure.
DESCRIPTION OF STUDIES
The Pesticide Document Management Sys-
tem (PDMS) is a bibliographic data base
which describes all types of studies which
have been submitted to EPA in support of the
registration of pesticides. References to ap-
proximately 165.000 studies are contained in
this data base. Effective in the fall of 1987,
NPIRS users wtll be able to conduct
searches through the POMS to determine
the kinds of studies submitted for a particu-
lar active ingredient chemical and compa-
nies submitting the studies.
The POMS is expected to be an invaluable
resource for pesticide chemical producers
-------
responding to EPA's accelerated re-registra-
tion program as well as those seeking new
registrations. The data base also identifies
health effects data which may be available
from EPA and sought by individuals and
groups desiring more detailed information on
chemicals used in the formulation of pesti-
cide products. Abstracts of the vanous types
of studies will eventually be put on line with
NPIRS, beginning with the "Tox One-Liners."
as they become available from EPA.
OPP's PERIODIC NEWSLETTER
Titled "REPORT from OPP," this periodic
newsletter from EPA's Office of Pesticide
Programs (OPP) contains important infor-
mation about cancellations and suspen-
sions, new chemicals, special reviews pend-
ing and in progress, public hearings, Experi-
mental Use Permits. Special Local Needs in-
formation, enforcement policies and actions,
and tolerance information.
Using the electronic search capabilities of
NPIRS. users are able to keep up with EPA's
regulatory actions and avoid the need for
storing and conducting manual searches of
back issues of the newsletter.
For More Information
Write or Call:
NPIRS User Services Manager
Purdue University
Entomology Hall
West Lafayette • IN 47907
317*494-6614
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF ENFORCEMENT AND COMPLIANCE MONITORING
A DESCRIPTION OF AUTOMATED INFORMATION SYSTEMS
ACCESSIBLE BY NEIC
NATIONAL ENFORCEMENT INVESTIGATIONS CENTER
INFORMATION MANAGEMENT BRANCH
Denver. Colorado
June 1988 .
-------
CONTENTS
AGENCY INTERNAL INFORMATION SYSTEMS CURRENTLY ACCESSIBLE BY NEIC
Aeromelric Inlormalion Retrieval System (AIRS)
Chemicals in Commerce Information Syslem (CICIS)
Compliance Data Syslem (COS)
Comprehensive Environmental Response. Compensation and Liability Inlormalion
Syslem (CERCLIS) F
Consent Decree Tracking System
Docket Syslem
Emergency Response Notification Syslem (ERNS)
Enforcement Document Retrieval Syslem (EDRS)
Facility Index System (FINDS)
Hazardous Waste Data Management Syslem (HWOMS)
National Emissions Data System (NEDS)
NPDES Industrial Permit Ranking System
Permit Compliance System (PCS)
Potentially Responsible Parties Syslem
Records ol Decision System (RODS)
Site Enforcement Tracking Syslem (SETS)
STORET
Superfund Financial Assessment System (SFFAS)
TECHLAW Evidence Audit Syslem
AGENCY INFORMATION SYSTEMS NOT CURRENTLY ACCESSIBLE BY NEIC
Federal Reporting Data Syslem (FRDS)
FIFRA/TSCA Tracking System (FITS)
-------
CONTENTS (conl.)
PUBLICLY AVAILABLE EXTERNAL INFORMATION SYSTEMS CURRENTLY ACCESSIBLE
BYNEIC
Bibliographic Retrieval Service (BRS)
Chemical Information System (CIS)
OaiaTimes
DIALOG Information Services. Inc.
Dun and Bradstreel
Groundwater On Line (GWOL)
Justice Retrieval and Inquiry System (JURIS)
NEWSNET
NEXIS/LEXIS
National Library of Medicine (NLM)
VU/TEXT
WESTLAW
RESTRICTED ACCESS INFORMATION SYSTEMS
Criminal Docket
Criminal Investigative Index System (Cll)
National Crime Information Center (NCIC)
National Law Enforcement Teletype System (NLETS)
ON
-------
EPARTMENT OF AGRICULTURE
OF REGULATORY SERVICES
ANDERSON BLDG.. PIERRE. SD 57501
PESTICIDE
NOTICE OF INSPECTION
-------
DEPARTMENT OF AGRICULTURE
DM aton of Regulatory Sendees
Anderson Building. 445 East Caprtol
Pierre. South Dakota 57501
RESTRICTED USE PESTICIDE
DEALER RECORD AUDIT
For Verification of Compliance With ARSD 12:56:10:06
NAME (DeBtel)
LICENSE NUMBER
NOTE If Not hi Compliance is checkga below specify the reason under the comment section.
1 . Name address and license/certification number of private or commercial applicator.
£3 In Compliance D Not in Compliance
Comments:
2. Name and license/certification number of applicator corresponds to actual department licensee.
Compliance D Not in Compliance
Comments:.
3. Date of sale.
Compliance
Comments:.
K
4. Quantity of pesticide solo^
Compliance
Comments:
5. Trade name of pesticide
3'ln Compliance
D Not in Compliance
D Not in Compliance
D Not in Compliance
Comments'
6. EPA Registration number of pesticide sold.
In Compliance
D Not in Compliance
Comments:.
7. Are restricted use products sold to non-certified individuals?
DYes
If yes. list these individuals. (Obtain copies, if possible.)
Office-While
Inspector—Canary
Firm-Pink
-------
DEPARTMENT OF AGRICULTURE
Division of Regulatory Services
Anderson Building. 445 East Capitol
Pierre. South Dakota 57501
Spray Record Audit
For Verification of Compliance With ARSD 12:56:07
NAME (Applicaior)
CERTIFICATION/LICENSE NUMBER
E NUMB
r
FIRM NAME INumbei. Street. City. Stale ana Zip Code)
£-.-. *• ^
SIGNATURE OF INSPWTOH
DATE
TIME
NOTE II Not In Compliance is checked below specify the reason under the comment section.
1. Name and address of person for whom pesticide was applied.
JlSj In Compliance O Not in Compliance
Comments: __
2. Size and location of site where pesticide was applied.
D In Complianc
Comments:
3. Pest treated for.
D In Compliance
Comments
JEr^Not in Compliance-
'P'Not m Compliance
4. Crop, site or commodity treated.
D In Compliance
Comments:
Not in Compliance
. A
5. Person' £r Jirrri who applied pesticide.
Xjnjc'ompli'ance *'
O Not in Compliance
Comments
. Trade'or ferand, name asii
D/n Com'phance'i * /«*
common name of pesticide applied.
Commer
7. Compa*py1*arMrfep'pearing on the product label.
D In Compliance ~
Comments: ' >^>*—***& -**\ C*~~~i&.
__ I^Not in Compliance
<*tCt.
H2?Not in Compliance
8. Wind direction and velocity, temperature, time of day and date of application. (Day. month and year)
D In Compliance B| Not in Compliance
. ~ a " -*• ./)**/
Comments: U^*-*—» f
9. Volume and concentration—pounds, gallons or percent active ingredient per unit.
GQ In Compliance D Not in Compliance
Comments:
10. Name and address of applicator.
Kjln Compliance
Comments:.
O Not in Compliance
Office—White
Inspector—Canary
Firm—Pink
-------
DEPARTMENT OF AGRICULTURE
Division of Regulatory Services
Anderson Building. 445 East Capitol
Pierre. South Dakota 57501
Pesticide Use Investigation/Storage & Disposal
NAME (Applicator•'Dealer)
TITLE
CERTIFICATION/LICENSE NUMBER
FIRM NAME (Number. Sneei. City. Slate and Zip Code)
SD
SIGNATURE OF INSPECTO
DATE
TIME
s*
j\jf
\S Applicator
Dealer
D Other.
Storage
1 Are Pesticide products stored away from food or feed?
2. Is there labeling on alt the containers?
3 Do storage conditions meet the requirements stated on the pesticide containers'
4. Is condition of storage containers satisfactory?
Comments 9- — C
NO
Mixing/Loading
1 Are label directions being followed'
2 Is protective clothing being worn by personnel ?
3 Is pesticide contamination visable on ground'
Comments
Clean Up
1 Is there a mechanism for rinsing?
2 Is there a mechanism for disposal of rinse liquid'
3 Is equipment Hushed between applications on business site'
4 Are there nnsate containment storage tanks present?
Comments
Container Disposal
1 Are label directions followed?
Are all emp-y containers triple nnsed?
Are empty pesticide containers punctured and stored properly?
-------
ANDERSON BLDG.. PIERRE SO S7SO1
ESTABLISHMENT INSPECTION REPORT
1. INSPECTOR NAME
2. DATE OF VISIT
3. ESTAB. REGISTRATION NO.
'SD - )
4 ESTABLISHMENT NAME AND ADDRESS (Including street, city.
state. ZIP cote, county and phone number)
P.O.
5 RELATED FIRMS
6 TYPE OF ESTABLISHMENT
S-. ProrJ.
7 TYPE OF OWNERSHIP
8a TOTAL ANNUAL SALES
8b PERCENT PESTICIDES
9 NAMES AND TITLES OF PRINCIPAL OFFICERS. PARTNERS OR OWNERS ADDRESS
- P.O. B^-*
, SP b'
H.
j
, SP
10 PERSONS INTERVIEWED /Give name, fif/e. pfwne number tnd responsibility)
Ua.
PHYSICAL SAMPLES COLLECTED
lib
DOCUMENTARY SAMPLES
1C.
LABELS REVIEWED
WITHOUT SAMPLES
EPA REGISTRATION NO
SAMPLE NO.
EPA REGISTRATION NO
SAMPLE NO.
EPA REGISTRATION NO
/*t
12 REMARKS.
13 SIGNATURE OF INSPECTOR
y
Office • WHITE Inspector - PINK Firm - CANARY
-------
'ARTMENT OF AGRICULTURE
DIV. OF REGULATORY SERVICES
ANDERSON BLOC , PIERRE. SO 57501
PESTICIDE
NOTICE OF INSPECTION
NAME 'Owner. Operator or Agent)
TITLE
FIRM NAME (Number. Street. Car. State »ndZip Code/
SIGATURE OF INSECTOR
DATE
REASON FOR INSPECTION
ttrORTHE PURPOSE OF INSPECTING AND OBTAINING SAMPLES OF ANY PESTICIDES OR DEVICES PACKAGED LABELED. AND RELEASED
FOR SHIPMENT AND SAMPLES OF ANY CONTAINERS OR LABELING FOR SUCH PESTICIDES OR DEVICES IN PLACES WHERE PESTICIDES
OR DEVICES ARE HELD FOR DISTRIBUTION. SALE OR USE UNDER STATE OR FEDERAL LAWS
HE PURPOSE OF INSPECTING AND OBTAINING COPIES OF THOSE RECORDS SPECIFIED BY STATE OR FEDERAL LAWS
JfFOR THE PURPOSE OF INSPECTING SITES WHEN PE ST1CIDES ARE BEINGUSED TO COLLECT DATA ON THE USE OF PESTICIDES ANDTO
DETERMINE WHETHER PESTICIDES ARE BEING USED IN COMPLIANCE WITH S1ATE OR FEDERAL LAWS
OF OR THE PURPOSE OF INSPECTING SITES WHERE PESTICIDES HAVE BEEN USED 10 DETERMINE WHETHER THE PESTICIDES WERE
USED IN COMPLIANCE WITH STATE OR FEDERAL LAWS
D DEALER
D LICENSED DEALER
BOTHER
&4>f>
f'
COMMENTS
o
Office - WHITE Inspector - PINK Firm - CANARY
-------
PESTICIDE USE/MISUSE
INVESTIGATION REPORT
Department of Agriculture
Division of Regulatory Services
Anderson Bldg. Pierre,-SO 57501
PEKSON INTERVIEWED OR SOURCE OF INFORMATION
a NAME
_
1>.
c TELEPHONE
-M13I
b ADDRESS
Bo*
PA * -V
ST50I
OPERATOR OR APPLICATOR^
a NAME
D.
c TELEPHONE
d CERTIFICATION OR
LICENSE NO
b ADDRESS
?«.S+
51301
SiTE OF APPLICATION
a NAME
c TELEPHONE
b ADDRESS
O.pp\» tj
0 TYPc OF BUSINESS
e SITE TREATED C-ruO* * iJ«-«Ju",cC
-------
DEPARTMENT Of AGRICULTURE
OtV. Of REGULATORY SERVICES
ANDERSON BLDG. PIERRE. SD 57501
PESTICIDE SAMPLE COLLECTION REPORT
THE FOLLOWING SAMPLE.WAS COLLECTED AND RECEIPT IS HEREBY ACKNOWLEDGED PURSUANT TO STATE AND FEDERAL LAWS
DATE SAMPLED
INVESTIGATION
U PRODUCER ESTABLISHMENT
Cl MARKET PLACE
SAMPLE NUMBER
CONTAINER/SAMPLE SIZE
IONTAINER/SAM
I Ib I I
NO SAMPLED
TYPE
O USE DILUTION
fr FORMULATION
DATE OF REPORT
G RESIDUE
PRODUCT NAME
LOT NUMBER
NO ON HAND IE PA REG NO
EPA EST NO
MANUFACTURER OR REGISTRANT fNsmt andAttdresti
^-ie-c
Vfc.\
AGENT/OWNER (Name tnd Atktrtai
SAMPLE COLLECTED AND PREPARED IN THE FOLLOWING MANNER
ACKNOWLEDGMENT OF O PRODUCER O REGISTRANT D DEALER ^OR OTHER OWNER OF PRODUCT SAMPLED
THE UNDERSIGNED ACKNOWLEDGES THAT THE SAMPLE SHOWN ABOVE AS OBTAINED FROM PESTICIDES OR DEVICES THAT WERE
PACKAGED. LABELED. AND RELEASED FOR SHIPMENT OR SALE. OR HELD FOR USE. RECEIVED UNDER THE SUPPLIER AND CARRIER DATE
PROVIDED ABOVE
SIGNATURE)Ow/l/f. O
Operator or Agent >
r-]DUPLICATE S*VIPLES AfoUPDCATE SAMPLES
^REQUESTED AND PROVIDED ""NOT REQUESTED
SAMPLES WE'RE ' /
f /
D PURCHASED ^GRATIS r~/
SIGNATURE OF INSPECTO
INGREDIENTS
PERCENTAGE
REMARKS
n tjn\
a i ***\T • C
fP*
.'T»"Nr\
^fl-oO-jJS-y
^
, 1)
»J
.•1 r\u I
(60.0'1
1 10
Oldcc - WHITE
Lab-CANARY
Inspector • PINK
Agent OWIVM GOLDENROD
-------
DEPARTMENT Of AGRICULTURE
DIV. OF REGULATORY SERVICES
ANDERSON BLDG. PIERRE. SD 57501
PESTICIDE SAMPLE COLLECTION REPORT
THE FOLLOWING SAMPLE WAS COLLECTED AND RECEIPT IS HEREBY ACKNOWLEDGED PURSUANT TO STATE AND FEDERAL LAWS
DATE SAMPLED
K INVESTIGATION
O PRODUCER ESTABLISHMENT
Q MARKET PLACE
SAMPLE NUMBER
So- B-
CONTAINER/SAMPLE SIZE
NO. SAMPLED
TYPE
iS USE DILUTION
D FORMULATION D RESIDUE
DATE OF RE PORT
\a-tt-vi
PRODUCT NAME
.
T6n»\\
LOT NUMBER
•JO ON HAN
Ml
EPA REG N
E P.A EST N
MANUFACTURER OR REGISTRANT tNamr and Address!
AGE NT/OWNER tf
SAMPLE COLLECTED AND PREPARED IN THE FOLLOWING MANNER
«•
Ar •m«Mf -- f c',
C^.V ^^JrlA^^l^ rf^^>h °^^
ACKNOWLEDGMENT OF d PRODUCER D REGISTRANT D DEALER ^
-------
SOUTH DAKOTA DEPARTMENT OF AGRICULTURE
Regulatory Services Division
Anderson Bldg.. 445 East Capitol
Pierre, South Dakota 57501
Telephone: (605) 773-3724
INSPECTION FINDINGS
OBSERVATIONS AND FINDINGS REVIEWED WITH PERSON IN CHARGE
(NOTE RESPONSE OR COMMENTS GIVEN BY THE PERSON IN CHARGE)
f
C fr-,
»«v
A COPY OF THIS FORM WAS GIVEN TO: TV* A flfl/A^fV
DATE: \)«.l*W\W' W , W I INSPECTOR:
White - Office Canary - Firm Pink - Inspector
-------
t
Deportment of Agriculture
DIVISION OF AGRICULTURAL REGULATIONS AND INSPECTION
Anderson Building. 445 East Capitol
Pierre. South Dakota 57501
Phone 6057773-3724
Voluntary Statement
P^o-Ci o
the South Dakota Department ol Agriculture nno\^
Date
I made the following voluntary statement ol fact to ^o-Ci o€-rve>r> __ of
Inspeciot
C
I. the undersigned have either written the 'above statejjjeoLor reviewed it and. hereby swear and
affirm that the above statement is a true and accuraje2wniM%be facts as they are known to me in
connection with the subject matter of the state
i a. .
- 53-79
PrwtedtUm* " Phone Numbw
lice—Wt>rt» Witneu— Cansiy IrapeoMi—Pir*
-------
Department of Agriculture
Division of Regulatory Services
Anderson Bldg.. 445 E. Capitol Ave.
Pierre. SO 57501
Notice And Report Of Inspe
NAME lOfnf. Opt'flat or Ayemt
NAME lNtunber£uta Cyr. Sim tntZip Code)
yj- <^+z
¥02, &^
DATS
TIME
Distribution Center Impedion Report
'
Product Category
1 Current Licensing/Permit
2. Product Registrations
3. Labeling of Prc,
4. Storage ar
5 Invoice/Rl
Feed
sal unsal
X
y
y
^
X
1
Animal
lemedie*
sat unui
X
X
Fertiliier
sat unsal
A
y
^
s
oil Amend.
sal unsat
X
X
Seed Pesticide
sat unsal sat unsat
jx
k
A
V
k
V
\
yes no yer - no yes no yes no yes no yes no
6. Were laws
regulations df
7. Was corrective action discussed?
Note H unsatisfactory or yes is checked above specify the reason under the remarks section below
Remar
Ofl.ee-WHITe
Inspector .CANARY
Firm-PINK
-------
Deportment of Agriculture
DIVISION OF AGRICULTURAL REGULATORY SERVICES
Anderson Building. Pierre. South Dakota 57501
Phone 605/773-3724
NOTIFICATION OF UNREGISTERED PRODUCTS
DATE U.V- M« >^.\-./ ^ "r- . nV"l DEALER Uc- V » v > . . \J« 4. • '." '
PRODUCT CATEGORY: DFertilizer DFeed Add. V^'. VU* \\ -' r. '
C3Pesticide DRemedy OSoil Amendment
MANUFACTURER: \/r \ If. K-. I . i^ '. -\ * A T.. .
Address
City
BRAND NAME PRODUCT NAME AMOUNT ON HAND
*.) ../,-• L.US r^,...v.Nf.v. c,rr ..,—TT~T Q ,,-,
• • '. 1 /-..'
L C i-\ £ A/ A
RintP k ^
7ip (V/'- P
l<~
-;...^' >. >....__
Sidle I.nw requires registrnl ion of these products prior !o thrir distribution in South Dakotd. Unless'thesepniciuc ts
are registered, a STOP SALE ORDER will he issued to your variousdealers in the stale covering nil unrcsistcred pro-
ducts.
Please complete the enclosed application in duplicaleand return with ONE SET of labelsand required fees. A i.erhl i-
cate or registration will be issued to you for the products approved
PI (MSP contact the undersigned if you have any questions.
Feed & Remedy Activity. Fertilizer Activity Pesticide Activity
Spcd.ilisl Spci.ialisl Spi-i.iiilisl
-------
SOUTH DAKOTA
EPARTMENT OF AGRICULTURE
Division of Regulatory Services
* Anderson Building. 445 Easl Capitol
* —' Pierre. South Dakota 57501
STOP SALE ORDER
Issued To
• 01 Ptrton)
FIRM NAME (Number. Street. City. Stale and Zip Code)
»> L.
MANUFACTURER
Firm Name {Number. Street. City. Stale and Zip Code)
DISTRIBUTOR
Firm Name (Number. Street. City. State and Zip Code)
PRODUCT AND BRAND NAME
\-*s.Ws
INSP.. SAMPLE NO'.
LAB. NO.
LOT NO.
1FSS
AMOUNT ON HAND
Q ~ \O' on aex-oso\S
Invoice No..
Date.
. 19.
The above described is being offered for sale in violation of the
for the following reason: T^irg^no c_*\ \s *xt=rt »-
-------
o
Dg$jer»s Request For Release From Stop-Sale Order
RECEIVED
>v> \ 3Q i
t. of Agriculture Date
ivision otJroulatory Services
ilding. 445 East Capitol
outh Dakota 57501
Gentlemen:
" 0 > *v>. V
representing
9,
QCL fe.<"S ^vi^-»pUu _ at CL fc
do hereby apply for Release from Stop-Sale and for authority to dispose of: '
3- la'/a (b _ „• lAttfe Uee-C -A
amount commodity
U> VA B ^>^^.\ OL\ U. TVo Ao drs
manufactured by address
placed under stop-sale by the State of South Dakota on or about c^O — _ dajy of
AM
-------
PRODUCER/ESTABLISHMENT INSPECTIONS
-------
FESTICZZ SSTAaLZSSffiiT ZISPSCTIOI '(O'M Federal Foras) -
1. Identify yourself (stew identification - federal).
2. Ask for and deal wish the responsible parson in charge (they MX *u?n yeu
over to someone else).
3. Issue) a Notice of Inspection and explain w&y you ara there.
A. Review labala -
-------
SSTAflLISttiOrr
Other Attachasntj M»y Ineluda But Not Halted To:
1.
2. 3Ln
3.
5. Quarantine or Sairure <5vier
Before leaving, make sure you have '.ie aecessary ioforaatioA needed
1. Pesticide £stablisn.T.ent Report
2. Narrative
3. Collection Report
-------
U.S. EPA Pesticide Inspector Workshop
Perrysburg, Ohio - April 5-7. 1988
QUESTIONS FOR PRODUCING ESTA8LISH1ENT INSPECTIONS
The following 11st of questions is to facilitate a pre-inspection dis-
cussion with management. The answers to these questions will assist in
the preparation of a thorough inspection report.
Identify all of the pesticide product registrations the establishment holds
w:th the U.S. EPA.
Determine what pesticide products are produced at the establishment.
Does the establishment perform QA/QC tests on products?
Are retain samples kept per batch? If yes, for how long?
Are batch codes used? If yes, explain the code.
Ooes the establishment private label for other firms?
Are manufacturing agreements in place?
Is another establishment private.labeling for this firm? If yes, who?
Ooes the establishment report annual production to the U.S. EPA?
Ooes the establishment distribute products produced elsewhere?
Ooes the establishment maintain a complaint file?
Are adversed effects reported to US EPA?
Are production records maintained? (including product name, EPA Reg. No,
batch code and amount per batch)
Are inbound and outbound shipping records maintained?
Oo outbound records include: brand name, quantity, batch code, name and
address of consignee, date shipped and the name of originating carrier?
Ooes the firm export any production?
Does the firm import pesticides?
Are disposal records maintained?
What types and amounts of wastes or containers are held for disposal?
What type of disposal practice 1s used?
Are proper storage procedures being followed?
-------
STOCK AND DEALER INSPECTIONS
REFERENCES- EPA INSPECTION MANUAL SECTION 3 AND REGULATIONS
40 CFR 169. 3 „ D£ALER IS * LONG
DISTANCE AWAY, YOU MAY WISH TO MAKE APPOINTMENT
ONE OR TWO DAYS IN ADVANCE OF THE INSPECTION.
IB
2. ISSUE NOTICE OF INSPECTION
3. EXPLAIN PURPOSE AND SCOPE OF INSPECTION
4 INSPECT AND INVENTORY RESTRICTED USE PESTICiDES
(PHOTOGRAPH LABELING TO SHOW PROPER LABELING)
5. RECORDS INSPECTION:
a. HOW DOES DEALER VERIFY PROPER
CERTIFICATION?
b. DOES PHYSICAL INVENTORY MATCH BOOK
C. DO DISTRIBUTIVE RECORDS CONTAIN ALL REQUIRED
ITEMS?
d, IS DISTRIBUTION LIMITED TO PROPERLY
LICENSED PARTIES?
OBTAIN COPIES OF A REPRESENTATIVE SAMPLE OF
RECORDS TO DEMONSTRATE a. THROUGH d. ABOVE
6 OBTAIN STATEMENTS TO DOCUMENT OR EXPLAIN ANY
APPARENT DISCREPANCIES OR VIOLATIONS
7 COLLECT ANY DESIRED SAMPLES {VIOLATIVE/FROM
LOCAL REGION FOR ROUTINE ANALYSIS)
8. FILL OUT COLLECTION REPORTS FOR ANY SAMPLES
-------
9. ISSUE RECEIPT TOR SAMPLES
10.DISCUSS FINDINGS, FOLLOWUP AND ANY POTENTIAL
VIOLATIONS
NARRATIVE TO CONTAIN: ALL ITEMS MENTIONED IN THE PROCEDURE
SECTION, PLUS DISCUSSION OF OPERATION
AND ANY DEFICIENCIES NOTED
-------
Chapter Nine
PRODUCER AND MARKETPLACE ESTABLISHMENT
INSPECTIONS
AUTHORITY
Section 9(a) of FIFRA, as amended (7 U.S.C. 136g) provides the basic authority for
establishment inspections. It authorizes an inspector to enter, at reasonable times, any establishment
or other place where pesticides or devices are held for distribution or sale, for the purpose of inspect-
ing and obtaining samples of any pesticides or devices packaged, labeled, and released for shipment,
and samples of any containers or labeling for such pesticides or devices. Section 12(a)(2)(B) makes it
unlawful to refuse to allow any entry, inspection, copying of records, or sampling authorized by
Sections 8 and 9 of FIFRA.
POLICY
It is Agency policy that the main thrust of the establishment inspection program will be at the
producer level, with a secondary supporting inspection program at the marketplace level. All
inspections should be conducted at reasonable times, which is defined as normal working hours when
the company ordinarily is open for business.
Because Section 9(a) does not provide mandatory access to manufacturing areas (including
areas where technical material is stored and areas where manufacturing, formulating, or repackaging
is done), it is EPA policy not to conduct inspections in these areas.
PRODUCER ESTABLISHMENT INSPECTIONS
Objectives
Under the 1988 Amendments to Section 19, the Administrator is to promulgate requirements
for additional data on methods for safe storage and disposal of excess quantities of pesticides and
recalled or suspended pesticides to be sent to EPA in support of the pesticide's registration. Section 9
inspection authority Had been expanded to any place where suspended or cancelled pesticides are
being held to determine compliance with Section 19.
FIFRA regulations regarding establishment inspections were promulgated for the following
reasons:
o To ensure industry compliance with product registration, formulation, packaging, and
labeling requirements before the products are distributed to the channels of trade;
Pesticides Inspection Manual 9^1 January 1989
-------
Chapter Nine Prodocer and Marketplace Establishment Inspections
o To collect and develop evidence to support legal actions when violations are found;
o To determine whether the books and records required pursuant to Section 8(a) and the
regulations are being maintained; and
o To determine whether procedures for the disposal and storage of pesticides, pesticide
containers, and pesticide-related wastes are being followed.
Inspector's Obligations and Procedures
Upon arrival at the establishment, the inspector should (1) introduce himself or herself to the
owner, operator, or agent in charge of the facility in a professional manner, (2) present his/her
credentials, (3) issue the owner, operator, or agent in charge a completed Notice of Inspection (EPA
Form 3540-2), and (4) state the reason for the inspection and any suspected violations. Explain the
purpose of the inspection and the statutory authority for such inspections.
Discussion with Management
The inspector should obtain the necessary relevant information to complete the Establishment
Inspection Narrative Report. This information includes, but is not limited to, the following:
o EPA Establishment Number
o The name, address, and telephone numbers of the firm
o Names and titles of principal officers, partners, or owners
o Related firms
o Persons interviewed (name, title, phone number, and responsibility)
o Guarantees and labeling agreements
o Imports and Exports
o Manufacturing/batch codes
o Number of pesticides registered and number of pesticides produced
o Consignees for pesticides produced but not available for sampling
Conducting the Inspection
Scope
-------
Chapter Nine Producer and Marketplace Establishment Inspections
If parts of the premises to be inspected are used for living quarters, the inspection thereof may
be conducted only if the owner or operator is fully agreeable. However, if the owner or operator
objects, a warrant must be obtained to inspect. (See Chapter 17, Warrants.) If the business operation
is physically separated from the living quarters, a warrant is not required.
The Agency assumes the right to take photographs of any pesticide or device being inspected
that is labeled and released for shipment in lieu of obtaining samples of such labeling or container. If
management objects to the use of cameras in their establishment, the inspector should request that
the material to be photographed be moved to a nonsensitive area of the establishment (such as the
loading dock).
Sampling
Prior to sampling, determine whether the owner or operator in charge wants duplicate samples
A stock survey of all the products released for shipment should be made. Label reviews should be
conducted as described in Exhibit 9-5 and official samples may be collected from pesticides that are
packaged, labeled, and released for shipment. Prepare duplicate samples in the same manner as
official samples (see Chapter 11). Upon request, restore the pesticide stocks to an orderly condition
after inspection and sampling.
Records
It is expected that the records inspection program will be made an integral part of the producer
inspection program. Records should, therefore, be examined whenever a producer establishment
inspection is made. The scope of such an investigation will vary according to circumstances. For the
most part, it may be confined to determining whether the required records are being maintained in an
up-to-date manner and for the time periods required by the regulations. In-depth inspections of
certain records should be undertaken only when the inspector has a reasonable suspicion that there
has been a violation, or when the inspector has evidence of a violation and is trying to determine the
magnitude of the violation.
Refer to Chapter 8 for more detailed instructions on books and records inspections.
Close-out Discussion with Management
The inspector should give the owner, operator, or agent in charge of the establishment a copy of
the completed and signed Receipt for Samples (EPA Form 3540-3) for any samples taken. The owner.
operator, or agent in charge should also be notified that the results of analyses will be furnished, if
and when analyses are made.
The results of the inspection should be discussed with management. Any discrepancies noted
during the inspection should be brought to the attention of the management so that immediate correc-
tive action may be taken. The inspector should explain that violations may be found by the laborator-
ies and/or regional office.
Be sure to note in the Inspection Report any voluntary corrective actions that have already been
undertaken.
Pesticides Inspection Manual 9-3 January 1989
-------
Chapter Niae Producer and Marketplace Establishment Inspections
MARKETPLACE INSPECTIONS
Objectives
Marketplace inspections are to be conducted with the following objectives in mind:
o To detect and obtain samples of any unregistered or misbranded pesticides being
marketed;
o To determine whether restricted-use pesticides are being sold in accordance with the Act;
o To review advertising material, accompanying literature, and other labeling to determine
whether any false or misleading claims are being made for the product;
o To obtain samples of those products that were unavailable for sampling at the producer's
establishment;
o To follow-up on recalls, slop sales, suspensions, and cancellations;
o To obtain samples of products subject to deterioration; and
o To determine whether supplementary Sections 18 and 24(c) labeling has been provided by
registrant/producer.
Inspector's Obligations and Procednres
The inspector should seek the most responsible individual available at the inspection site and
present his/her credentials to that person. The owner,'operator, or agent in charge should then be
issued a Notice of Inspection (EPA Form 3540-2), stating the reason for the inspection and any
suspected violations. The inspector should explain the purpose of the inspection and the statutory
authority for such an inspection.
Once entry has been gained, the inspector should survey the pesticides being offered for sale as
follows:
o Review the labels and/or labeling (see Exhibit 9-5);
o Inquire whether firm has supplemental Sections 18 and 24(c) labels and whether they are
provided to those consignees receiving the products. Obtain copies for review upon return
to your station;
o If a violation is discovered, collect a sample (see Chapter 11);
o IT the label violation is serious enough that it may create a hazard, the regional supervisor
should be called immediately to discuss the advisability of placing a Stop Sale, Use or
Removal Order on the misbranded product. (See Chapter 12 for instructions on issuing
Stop Sale Orders.);
o If a cancelled or suspended product is encountered, this fact should be brought to the
attention of the inspector's supervisor, who would then determine the appropriate course
of action; and
o Voluntary corrective actions should be noted in the Inspection Report.
Pesticides Inspection Manual 9^4January 1989
-------
Chapter Nine Producer and Marketplace Establishment Inspections
When To Conduct Marketplace Inspections
In general, marketplace surveillance should be scheduled by seasonal demands. For example,
during the growing season, feed, seed, and fertilizer outlets are good sources of agricultural pesticide
products. Spring and summer are the best times for swimming pool concerns. During the winter
months, urban outlets could be surveyed for household pesticide products. Marketplace inspections
should be coordinated with other inspectional activities.
Places to Inspect
An inspector must always remain alert to the distribution pattern of pesticides in his/her area.
These pesticide distributors, both wholesale and retail, should be kept under surveillance to be sure
that only registered and properly labeled pesticides are being sold. The following lists some suggested
distribution points for inspecting pesticides:
Animal Health and Veterinarian Suppliers
Barber and Beauty Supply Dealers
Chemical Suppliers
Chicken Hatcheries
Dairy Equipment and Supply Dealers
Medical and Dental Suppliers
Feed, Seed, and Fertilizer Dealers
Hotel and Restaurant Suppliers
Janitorial Supply Dealers
Paint Dealers
Pest Control Operators
Swimming Pool, Spa, and Waterbed Dealers
Wholesale Grocers
Lawn and Garden Supply Dealers
Additional leads to new sources of nonregistered pesticides include the following:
Dealers (question dealer regarding others in the same business)
Local newspaper advertisements
Trade journals
Yellow Pages telephone directories
Information from state officials
BULK REPACKAGER INSPECTIONS
With the growing trend for pesticides to be shipped and held in bulk quantities (more than 55
gallons liquid or 100 pounds solid), uniform inspection procedures are needed for facilities that
handle bulk pesticides. Most bulk establishments handle agricultural herbicides; however, other
industries use bulk quantities of chemicals such as sodium hypochlorite and quaternary ammonium
disinfectants.
Objectives
The primary objectives of the bulk repackager inspections are to (1) ensure industry awareness
of its obligations for packaging, labeling, and recordkeeping, (2) document violations, and (3) verify
compliance with annual production reporting requirements of Section 7 of FIFRA.
Pesticides Inspection Manual 9~1January 1989
-------
Chapter Nine Producer and Marketplace Establishment Inspections
Balk Facilities Inspections
If the facility receives bulk quantities of pesticides intended to be dispensed into a customer's
spray tank for subsequent use, the inspection should proceed as a marketplace inspection. If the
facility receives pesticides in bulk quantities (under contract to the basic registrant) and subsequently
repackages the product (without alteration) into other labeled tanks for the purpose of distribution,
the inspection should proceed as a producer establishment inspection.
Inspector's Obligations and Procedures
The inspector should seek the most responsible individual available at the inspection site and
present his/her credentials to that person. The owner, operator, or agent in charge should then be
issued a Notice of Inspection (EPA Form 3S40-2), stating the reason for the inspection and any
suspected violations. The inspector should explain the purpose of the inspection and the statutory
authority for such an inspection.
Particular items to check at a bulk site include, but may not be limited to, the following:
o Labels on all bulk tanks;
o If the firm is repackaging, verify the maintenance of a manufacturing contract between the
firm and the basic registrant;
o Conduct label review in accordance with Exhibit 9-5;
o Sample, as appropriate, in accordance with established procedures (Chapter 11);
o Review sales invoices to verify transfer is occurring in bulk quantities; and
o If the firm is a repackager, verify the status of the firm's establishment registration.
PREPARING THE INSPECTION REPORTS
Establishment Inspection Report
A narrative report (Establishment Inspection Report, EIR) should be completed for each
producing establishment inspected. The purpose of the narrative report is to capture sufficient infor-
mation to portray accurately what is taking place at the establishment with regard to pesticide produc-
tion. The format of the report may vary, but the content should include at a minimum the information
listed in the Discussion with Management. In addition, the FIFRA Investigation Summary (EPA
Form 8580-7), FTTS Sample Report, or your region's current sample collection report may be used.
Marketplace Inspection Report
The FIFRA Investigation Summary Report (Form 8580-7), the FTTS Inspection Report, or
your region's current sample collection report may be used for each inspection conducted and sample
collected. This report is acceptable for routine nonviolative inspections. Where for-cause inspections
were conducted and/or suspected, violative samples were collected, a brief narrative report in memo-
randum form should also be completed.
Pesticides Inspection Manual £3 January 1989
-------
Chapter Nine
Exhibit 9-1
Investigation Summary
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9-7
January 1989
-------
Chapter Nine
Exhibit 9-2
FTTS Samples
•INSPECTION DATEi.
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-------
Chapter Nine Exhibit 9-3
FTTS Inspections
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DATS MT SSCOi^^/—/__ WAMAHT RSQUIRUh T er H PSD PACItlTTt T or N
CSZi T er N NUNSSR SCHOOLS I SCHOOk TTPSi
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INSPECTOR'S S16MATURS DATS
Pesticides Inspection Manual 9-9 Junary 1989
-------
I
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Date of Visit
Establishment Inspect ..> Narrative Report
Estab. Registration Ha.
Inspector's
Signature
Person(s) Interviewed:
Title
Phone
Title
Phone
Establishment Hue ft Address:
Related Flims:
Hues S Titles of Principal Officers
Phone Mober
Does the Flra Perfonn OA/QC Tests on Products? yes no
Time
Are Retain Samples Kept Per Batch? yes no Meld
Are Batch Codes Used? yes no If yes. explain code_
Does the Flra Private Label for Others? yes no
Are Manufacturing Agreements In Place? yes no
DM Inspector Look At Manufacturing Agreement? yes no
Is Another Flra Private Labeling for This Flra? yes no
If yet. Mho
Does Flra Distribute Products Produced Elsewhere? yes_no
Ones Flra Maintain Complaint File? ves no
Are CoBplalnts Reported to US EPA? yes no
Is Legal Counsel Retained? yes no
Are Guarantees Given and Received? yes no
Are Production Records Maintained? yes no Including:
Product Mane yes no EPA Reg. No. yes no
Batch Code yes no Amount Per Batch yes no
Are Shipping Records Maintained? yes no
Do Shipping Records Include: Drand Mane yes no
i - ^~~~
Quantity yes no Mane A Address of Consig. yes no
Date Shlpped__yes no Naoe of Orig. Carrier yes no
Does Flra Export Any Production? yes no If yes. is
Flra In Compliance with Export Regulations? yes no
toes Fira Inport Pesticides? yes no If yes. are
These Products In Compliance with FIFRA? yes no
Are Disposal Records Maintained? yes no
Identify Types and Amounts of Wastes or Containers Held
for Disposal and Type of Disposal Practice Use«i
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-------
Chapter Nine Exhibit 9-5
Conducting the Labeling Review
Producer Establishment Inspections
When a producer establishment inspection is being conducted, a word-for-word com-
parison with the registered label, when available, should be made of all labels being reviewed.
The inspector should ascertain compliance with all stipulations of the letter of acceptance.
The inspector may extend label comparisons to "bin" labels at the discretion of his/her super-
visor. Official samples may only be collected from products that are packaged,
labeled, and released for shipment. However, a "bin" labeling review can provide a valu-
able background for follow-up sampling at consignees and obtaining voluntary corrective action
at the producer level.
Marketplace Inspections
When conducting label reviews, the inspector must be aware of labeling requirements and be
alert for products that may be violative. The following paragraphs list some of the things an
inspector should be aware of:
Product Name. Brand, or Trademark.
Name of Manufacturer. Registrant, or Person for Whom Manufactured. If the product is not
produced by the registrant, the name must be qualified by "packed for ...," "distributed by ...,"
"sold by ...," or a similar statement.
EPA Registration Number. The EPA Registration Number may be listed as "EPA Registra-
tion No. XXXX-XX," "EPA Reg. No. XXXX-XX," or "EPA Reg. No. XXXX-XX-YYYY.' (The
"YYYY" is the supplemental registrant's company number.)
EPA Establishment Number. The EPA Establishment Number may appear in any location
on the label or immediate container; however, it must appear on the outside container or
wrapper of the package if the EPA Establishment Number on the immediate container cannot
be clearly read through the outside wrapper or container. It must be listed as "EPA Est. XXXX-
(state abbreviation)-XX,' or 'EPA EST NO. XXXX (state abbreviation)-XX.'
Net Content Statement. The net contents must be given in units commonly used in the
United Stales (i.e., pounds, ounces, pints, quarts, gallons). Metric units may also be listed.
Liquid units must be used if the product is liquid, and weight units must be used if the product is
solid, semisolid, or viscous. Contents must be expressed in terms of the largest unit present.
Ingredient Statement. The ingredient statement usually appears on the front panel. The
names used for each ingredient shall be the accepted common name, if there is one, followed by
the chemical name. The common name may be used alone if it is well known.
NOTE: The ingredient statements for products containing arsenic must have a substale-
ment giving the percentage of total and water-soluble arsenic, each calculated as elemental
arsenic.
Pesticides Inspection Manual 9-12 January 1989
-------
Chapter Nine Exhibit 9-5
Warning or Caution Sfatemeats The signal words, 'Danger,' "Warning,* or "Camion,' and
the statement "KEEP OUT OF THE REACH OF CHILDREN' must appear on the front panel
of the label. Any substances in quantities highly toxic to humans must bear all of the following
on the label: (1) a skull and crossbones, (2) the word 'POISON* in red on a contrasting back-
ground, and (3) a statement of practical treatment. In addition, the label must contain precau-
tionary statements necessary to prevent injury to humans and the environment.
Directions for Use. Directions for using the product must include the following: (1) the site
of application, (2) the rate of application, (3) instructions for frequency and timing applications.
(4) restrictions and warnings, (5) any other pertinent information necessary for the protection
of the public, and (6) target pest.
Legibility of Labeling. Product labeling must be clearly legible and easy to read by a person
with normal vision. All required label or labeling text shall appear in the English language.
However, the Agency may require or the applicant may propose additional text in other lan-
guages as is considered necessary to protect the public. When additional text is necessary, all
labeling requirements will be applied equally to both the English and other language versions of
the labeling.
Disclaimer Statements. Labeling disclaimers thai negate or distract from required labeling
information are not acceptable. The following are examples of unacceptable and acceptable
disclaimers:
o Unacceptable. "The information furnished hereon is provided gratuitously by the
manufacturer, who assumes no responsibility whatsoever for the effectiveness or safety
of this product, regardless of whether or not it is used as directed."
o Acceptable. "Seller makes no warranty, expressed or implied, concerning the use of
this product other than indicated on the label. Buyer assumes all risk of use and/or
handling of this material, when such use and/or handling is contrary to label instruc-
tions.*
Statement of Use Classification. All RUP products must have the RUP statement on the top
center of the label.
If a review of 'bin* labels, for which there is no product packaged, labeled, and released for
shipment, reveals a discrepancy, it should be brought to the attention of the management.
Names and addresses of consignees of the misbranded product should be obtained to follow up
the investigation and collect samples of the product.
Marketplace Inspections
Samples should be collected of all products found with violative labels or labeling. The
inspector should exercise care in obtaining the proper shipping records that cover all of the
products in stock.
If the inspector is unsure of any label or labeling or if a serious violation has been dis-
covered, he/she should call his/her supervisor while still in the vicinity of the establishment.
The supervisor may have access to information on the product that would help to decide whether
to have the product sampled or even stop sale the product.
Pesticides Inspection Manual 9-13 January 1989
-------
Chapter Nine Exhibit 9-5
Accompanying Labeling
Copies of accompanying labeling initialed and dated by a responsible company representa-
tive should be collected and documented.
When violative labeling is collected, it should be documented with an affidavit signed by a
responsible individual of the firm, which clearly stales the relationship of the labeling to the
goods, including the following:
o Description of Labeling. Describe briefly each piece of literature by name and also the
manner in which the literature was received. State the quantity of such labeling on
hand.
o Location of Labeling. Report the location of each piece of literature and how much of
each is on hand.
o Methods of Distribution. Determine how the labeling is distributed (i.e., accompanied
product, shipped under separate cover).
o Source of Labeling. Was the labeling sent to the dealer by the shipper of the product or
was it prepared by the dealer himself? If received from the shipper of the product,
document the shipment of the labeling. If prepared by the dealer, determine whether
the producer provided the text.
o Instructions to Dealer. The manufacturer or shipper sometimes provides sales promo-
tion instructions to the dealer. Obtain copies.of such instructions, if available, as well as
any verbal instructions on-how to use them."
Pesticides Inspection Manual 9-14 January 1989
-------
INTERVIEW TECHNIQUES
-------
EFFECTIVE INTERVIEWING
CONFERENCE
FIND THE RIGHT PERSON(S)
DISCUSS INSPECTION OBJECTIVES AND SCOPE
GENERAL VERSUS SPECIFIC
RESOLVE ISSUES
PHOTOGRAPHS
DUPLICATE SAMPLES
RECORDS
TIME/SPACE
PROVIDING INFORMATION
PLANNING MEETINGS WITH PERSONNEL
CONSIDER LOCATION
INTERVIEW TECHNIQUES
ENLIST COOPERATION
HAVE GOALS/AREAS TO BE DISCUSSED
ASK QUESTIONS YOU ALREADY KNOW THE ANSWER TO
TAKE WHAT IS FREE
LEAARN FACILITY OPERATIONS
VERIFY LACK OF RECORDS/REGULATORY SHORTCOMINGS
QUESTIONING TECHNIQUES
.SEVEN W'S
GENERAL TO SPECIFIC
NOTETAKING/ CHECKLISTS
ROLES
DOCUMENTATION
STATEMENTS
AFFADAVITS
-------
13B OPENING CONFERENCE
Once credentials and required notices have been presented, the inspector can
proceed to hold the opening conference with facility officials. During this
meeting, the inspector presents an overview of the inspection plan and queries
facility officials to gain a fuller understanding of the facility's organization, to
obtain current information regarding facility operations and processes, and to
clarify any key issues or ambiguities identified during the process of planning the
inspection. This section addresses the inspector's role in conducting the opening
conference, together with relevant meeting agenda items. This section concludes
with a discussion of mid-course adjustments that may be needed in response to
information divulged during the opening conference.
The Inspector's Role During the Opening Conference ~
The opening conference establishes a forum for the exchange of information
between EPA inspection personnel (and by extension, the Agency) and facility
officials. This information exchange should focus on, but not be limited to, the
inspection itself. The inspector should be aware of several principles that can
increase the effectiveness of the opening meeting:
• Gain an early rapport.
• Start the meeting on a positive and professional note.
• Prepare and use any supporting information that will enhance the
discussion; e.g., a copy of the Act, technology transfer materials, or other
resources.
t Acknowledge that the inspection may disrupt daily facility routines, but
assert that reasonable efforts will be made to minimize such disruptions.
• Listen carefully and be willing to answer facility officials' questions.
But, do not permit yourself to be maneuvered into bending EPA policies/
procedures or overstepping your authority in an attempt to accommodate
facility representatives. For example, do not give opinions that are "shot
from the hip" about whether facility practices, as described during the
discussion, are acceptable and will be found in compliance.
A cooperative working relationship developed during this opening meeting can set
the tone for the remainder of the inspection. It also can be used as the
foundation for strengthening Agency-industry relationships. If approached
properly, the opening conference provides an ideal opportunity for the inspector
to function as a public relations liaison and educator.
From the perspective of both the Agency and the regulated community, the
inspector is well-positioned to serve as a source of regulatory information. As
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such, the inspector should provide tactful help before, during, and after the
inspection. Areas of particular concern include:
• Voluntary-compliance.
• Overview of the law.
• Specific regulation requirements.
• Help with facility-specific problems.
• Agency outreach efforts.
• Other sources of assistance.
Meeting Agenda Items
The opening conference should be used to inform facility representatives of the
general purpose and scope of the inspection and the requisite logistical
arrangements. At the same time, the inspector should use the meeting to refine
an understanding of the facility's operations and practices so that an assessment
can be made of the necessity to make mid-course adjustments to the Inspection
Plan.
Statement of Purpose
An outline of inspection objectives will inform facility officials of the purpose
and scope of the inspection, and may help avoid misunderstandings. The EPA
inspector should explain the anticipated post-entry inspection activities in general
terms. This discussion should avoid providing the facility representatives with the
precise focus of the inspection. There are two reasons to emphasize the general
purposes, while avoiding the specific focus of activities:
• Providing facility representatives with the specifics may create a situation
whereby they use that knowledge as essentially advance notification, and
contrive some appearance of compliance (or hide violations) in those areas
they now know will be subject to scrutiny.
• The use of a general description of purposes minimizes the likelihood that
facility officials, once having consented to the inspection as generally
described, will withdraw consent based upon their perception that the
inspection includes more than they understood and agreed to (or at least,
did not refuse).
Conversely, the use of specifically focused statements of purpose may
circumscribe the nature of a facility's consent. That is facility
representatives may incorrectly perceive that they are agreeing only to
those items mentioned and, by extension, onto to any others. Such
perceptions could contribute to misunderstandings later on.
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Understanding Facility Onerationa and Practices
The opening - conference permits inspection personnel to query facility
representatives about current operations and practices, as well as organizational
accountability and personnel, that may not have been included (or requires
clarification) in Agency records. The key areas to address are (as adapted from
the "Environmental Auditing Skills and Techniques Workbook,11 Arthur D. Little,
Inc. for the Edison Electric Institute):
• The nature of the operations. The inspector should establish what
activities take place from an operational standpoint; what materials are
used; and what the environmental implications are.
• The maior facility environmental programs. The inspector should query
what programs are in place at the facility, such as effluent sampling,
analysis and reporting, training, inspection and maintenance of pollution
control equipment, emergency response, etc.
• The applicability of environmental regulations. Verify that facility
- operations and programs have not changed in such a way as to alter the
regulations or requirements that apply to the site. For instance, the
inspector may learn that a facility has recently obtained a new permit to
store wastes onsite or that it no longer has PCBs onsite. Such
information will permit the inspector to review and revise the Inspection
Plan, if necessary, by shifting the emphasis of planned activities, deleting
inappropriate activities, and/or adding new activities that were .not
initially considered relevant.
• Kev responsibilities, authorities, and accountabilities. The inspector
should establish who is responsible for specific environmental activities,
communicating the chain-of-command in case of emergencies, developing
environmental performance measures, etc. In addition, it is important to
clarify what authorities have been specifically delegated, and how
accountabilities are established and maintained.
A telephone directory or a chart showing how the facility is organized
can be requested. The above information will assist the inspector m
determining which individuals are knowledgeable about specific areas and
who should be interviewed.
Logistical Am
Logistical requirements and arrangements should be addressed in the opening
conference to minimize delays and avoid mis-understandings. Relevant
considerations include:
• Accompaniment. It may be beneficial to encourage a facility official to
accompany the inspector during the inspection (or selected parts of it) to
describe the facility and its principal operating characteristics and, where
appropriate, to indicate which processes, records, etc., should be claimed
as confidential business information.
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• Safety requirements. The inspector should determine what OSHA and
facility safety regulations will be involved in the inspection, and should
be prepared to meet these. Note, however, that EPA typically has its
representatives use the same safety equipment that is actually used by
employees. EPA has the right to and does decline to undergo the safety
training that facilities require of their employees, with the exception of
site-specific mine safety training required under EPA order 1440.4.
• Order of inspection. A discussion of the order in which operations will
be inspected will help eliminate wasted time by allowing officials time to
make records available and start up intermittent operations.
• List of records. A list of records to be inspected will permit officials to
gather and make them available for the inspector. If, however, the
inspector has any reason to believe that such 'advance warning" will
tempt facility representatives to "sanitize," withhold portions, or destroy
records, such a list should be prepared for inspector use only, but not for
submission to facility officials.
• Meeting schedule. Based upon the planned inspection activities and the
inspector's understanding of facility personnel responsible for key
assessment topic areas, a schedule of meeting times can be developed.
This will permit key personnel to clear time to meet with the inspector.
• Duplicate samples. For three of the EPA administered statutes (CERCLA.
FIFRA, and RCRA), facilities have a right to receive a duplicate of any
physical sample (liquid or solid) collected for laboratory analysis. If
these circumstances apply, the inspector'should inform facility officials of
their right to duplicate samples during the opening conference. Officials
should indicate at that point their desire to receive duplicate samples so
that arrangements can be made to secure these samples during the
inspection.
Mid-Course Adjustments to Inspection Plan
After the opening conference, the inspector (or inspection team) should have
sufficient information to decide whether any fundamental changes to the
inspection plan, which was developed prior to arriving onsite, are necessary. If
the opening conference did not uncover any information that requires adjustment
of anticipated activities, then the solo inspector or team should proceed as
planned. However, if the opening meeting provided information that is critical to
meeting inspection objectives, but was not originally anticipated, then onsite
activities should be adjusted accordingly. For example, if the facility is found to
be a generator of large quantities of hazardous waste (and this was not expected
during the planning stage), then it may make sense to concentrate more on
hazardous waste management activities than originally planned.
When reviewing the inspection plan, the inspector should bear in mind that
changes in the scope of the inspection must be accommodated within the
constraints of available resources, such as time and manpower. Particular
attention must be paid to the initial sampling plan, as well as to the development
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of an altered sampling plan, to ensure that any unforseen additions to the
inspection can accomplished utilizing the sampling equipment that has been
brought onsite. - Additionally, if the sampling plan is subjected to revision, care
should be exercised in the selection of "new* representative sampling sites and in
reviewing appropriate procedures for sample collection. If the inspection is being
conducted as a team effort (rather than by a solo inspection), review of the
inspection plan should also focus attention on:
• Appropriateness of Task Assignments. Given the Modifications to Planned
Activities. Based upon the information gathered to date, the
appropriateness of inspection assignments should be re-evaluated. Since
each inspector will have prepared for his assigned role in the onsite
activities, it may not be effective to switch assignments once onsite.
However, it may be appropriate to shift the emphasis or to shift
additional team member support to assessment areas that, upon review,
appear understaffed.
• Confirm Time Availability. Since the team is actually assembled onsite,
where first-hand observations of facility size, layout, and complexity are
possible, it is important to re-check whether inspection activities can
actually be completed in the allotted time and whether each team
members1 task assignments are reasonable given time and scheduling
constraints. A review of the finalized sampling plan is essential to
developing an accurate assessment of such issues.
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CHAPTER 16
INTERVIEWS
Interviews are a highly valuable, but often under-utilized, means of gathering
information during an inspection. Oral and written statements obtained from
facility personnel are usually admissible evidence. An inspector with good
interviewing skills can elicit information and develop important facts that might
otherwise be missed.
While written materials cannot replace practical experience for learning and
improving interviewing skills, the techniques presented in this section can help
shorten the training time needed to become a successful interviewer. Many of
these techniques are designed to ease the tension and anxiety that plant managers
and employees may experience at the thought of being interviewed by an EPA
enforcement official. Other techniques are designed to aid inspectors in
composing questions that will more effectively elicit useful information.
The section begins with a discussion of statements as evidence, including
procedures for how to prepare a written statement. This is followed by a
discussion of the steps in planning and conducting interviews, questioning
techniques, and some suggestions for creating an atmosphere conducive to a
productive interview.
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16A STATEMENTS AS EVIDENCE
Oral or written statements obtained during an inspection are generally admissible
in court under exceptions to the "hearsay evidence" rules. Statements made by a
company employee or statements are examples. Even when statements made
during an inspection interview are not admissible, statements are still useful for
cross-examination purposes or to develop leads for investigation.
• Criminal investi2ations. While most EPA inspectors do not normally
become involved in criminal investigations, note that even statements
obtained at the scene of a criminal investigation during the execution of
a warrant are legal. The Fifth Amendment privilege against self*
incrimination applies only to in-custody interrogation. Questions to
witnesses not in custody do not require the reading of rights prior to
questions.
Documenting the Interview
A written record should be made of each interview. As applicable in the
particular circumstances, this may be in the form of an affidavit, a verbatim
record of questions and answers, unsworn statements, or informal notes. Some
people are inhibited by the sight of an inspector taking notes, while others may
feel that the inspector's failure to take notes indicates a lack of interest in them
and in what they have to say. In the final analysis, the inspector must evaluate
the individual in each interview to determine the correct approach.
Notetaklng
It is important to take accurate field notes; however, it is equally important that
the notetaking or documentation process be unobtrusive and not interfere with
the interview process.
If the interviewee's pace is too fast, wait for appropriate breaks in the
conver.ation and "backtrack" by reviewing salient points. Try slowing the
conversation by deliberately slowing the delivery of questions. Experts have
found that when a strong rapport is established between two individuals engaged
in conversation, the pace of one influences the other. Only as a last resort
should the inspector ask the interviewee to slow down a bit. Keep in mind that
such a request, no matter how reasonable, asks the interviewee to abruptly
change pace and usually tends to dampen somewhat the enthusiasm that is causing
the heightened speed of the conversation. Avoid frequent interruptions or asking
for an answer to be repeated. If two inspectors are present, a useful technique
is for one to ask questions and the other to take notes.
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Use of Tape Recorders
Inspectors frequently ask whether or not they can use tape recorders or
electronic recording devices during an interview. There are no legal barriers to
the use of tape recording equipment by the inspector solely for the purpose of
recording his/her own observations during the inspection. Also, the ispector may
record an interview, if it is done with the knowledge and consent of the
interviewee. However, if a given investigation requires tape recording individuals
without their knowledge, the inspector must consult with the Office of Regional
Counsel. Otherwise, the inspector may violate criminal statutes which prohibit
such actions.
If the information given by the interviewee seems especially significant, the
inspector should attempt to obtain a signed, written statement according to
procedures discussed below.
Inspectors can obtain formal written statements from persons who have personal,
first-hand knowledge of facts pertinent to a suspected violation or have
knowledge of information that a third party known by name may be able to
provide or who have information whose source is not clearly known. The
principal objectives of obtaining a statement are to record in writing, clearly and
concisely, relevant factual information so that it can be used to document an
alleged violation. This statements of facts is signed and dated by the person who
can testify to those facts in court, and it may be admissible as evidence.
Procedures for Obtaining Written Statements
In taking statements, the following procedures and considerations should be
applied.
• Determine the need for a statement. Will it provide useful information?
Is the person making the statement qualified to do so by personal
knowledge?
• Ascertain all the facts and record those which are relevant regardless of
the source.
• In preparing a statement
- Use a simple narrative style; avoid stilted language.
- Narrate the facts in the words of the person making the statement.
- Use the first-person singular ("I am manager of....").
- Present the facts in chronological order (unless the situation calls for
other arrangements).
• Positively identify the person (name, address, position).
• Show why the person is qualified to make the statement.
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• Present the pertinent facts.
• Have (he person read the statement and make any necessary corrections
before signing. If necessary, read the statement to the person in the
presence of a witness.
- All mistakes that are corrected must be initialed by the person making
the statement.
• Ask the person making the statement to write a brief concluding
paragraph indicating that he read and understood the statement. (This
safeguard will counter a later claim that the person did not know what
he was signing.)
• Have the person making the statement sign it.
• If he refuses to sign the statement, elicit an acknowledgement that it is
true and correct. Ask for a statement in his own handwriting ("I have
read this statement and it is true, but I am not signing it because....").
Failing that, declare at the bottom of the statement that the facts were
recorded as revealed and that the person read the statement and avowed
it to be true. Attempt to have any witness to the statement sign the
statement with his name and address.
Provide a copy of the statement to the signer if requested.
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16B-STEPS IN PLANNING AND CONDUCTING INTERVIEWS
While each interview will be different because of the dynamics between the
individuals involved and the topics to be covered, there are several basic steps to
an interview.
• Planning. In this step, topics to be covered and information needed from
the interviews is decided, individuals to be interviewed identified, and
time and places for the interviews scheduled.
• Conducting. This step includes introductions, discussion of the
interviewee's position and responsibilities, more detailed questioning on
specific points, and summarizing to assure accuracy.
• Documenting. This step, which happens in part concurrently with the
conducting step, includes note-taking, and when appropriate, obtaining a
written statement.
Planning the Interview
Outline the "Unknowns"
The inspection plan sets out the objectives of the inspection. An outline of
topics for which interview information is. likely to be needed will help identify
individuals who should be interviewed. An outline of questions or topic areas
should be prepared to assure that all needed information is solicited.
Identify Interviewees
In addition to facility managers who can describe company operations and policy
generally, it is useful to interview directly the persons who are carrying out the
various regulatory responsibilities (e.g., record keeping, operation, and
maintenance) to determine what facility practices are. Others may also be
interviewed to flesh out the details of a suspected violation. In most cases, it is
desirable to interview every person thought to have relevant information. Often,
at least a preliminary list of individuals who should be interviewed can be
developed during the opening conference with facility management.
Scheduling and Logistics
To the extent possible, without subverting the purpose of the interview or the
inspection, try to schedule the interview at a time that is convenient for the
interviewee. Generally, it is most comfortable for the interview to take place in
the interviewee's own work area (e.g., in the plant area rather than in a
conference room). A schedule for interviewing various facility personnel can
often be worked out during the opening conference.
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Set Objectives for the Interview
Before each interview, identify the specific reason that the individual is to be
interviewed, that is, the individual's relationship to the information being sought
and what he or she is likely to know. -Jotting down key questions in advance can
help assure that the objectives of the interview are met.
Conducting the Interview
Initial Contact
The first contact between the inspector and interviewee sets the tone. While
each inspector will develop his or her own style for establishing rapport, it
usually is helpful to begin by explaining the purpose of the inspection and
interview. After initial exchanges, the interview shifts to more specific questions.
Overview of Interviewee's Job
Begin by asking the employee to explain his or her responsibility as it relates to
the topics being reviewed in the inspection. These introductory questions are
useful even in a very short interview because it helps put the interviewee at ease
and may trigger questions that would otherwise not have been asked.
Gather Detailed Information
At this stage, follow up with probes designed to answer the compliance questions
raised in the inspection plan. Questions should be specific and concrete to elicit
the most useful answers. (See discussion on Questioning Techniques which
follows.)
Summarize the Information
After each phase of the interview, recheck to see that all the "unknowns" on the
pre-interview list have been satisfactorily explored, and that all clues of
additional information have been explored. Consider whether there is any
conflicting information that deserves a request to be shown what the interviewee
means. Next, mentally rearrange the information obtained so that the details
follow one another in a logical continuity. Then summarize the interview by
stating all important details in proper sequence. Stop after each statement of
segment or the summary and ask the interviewee to verify the correctness of your
interpretation. If the interviewee indicates any disagreement, the discrepancy
should be corrected before proceeding.
Documenting the Interview
As discussed in detail in the previous section, the interview should be fully
documented. This is normally done by taking careful notes; in some cases,
inspectors may seek to obtain formal, written, and signed statements. The
interview may also be tape recorded.
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16C QUESTIONING TECHNIQUES
Questions are the principal tools of interviewing. The quantity and quality of
information obtained from interviewees will usually be proportional to the
inspector's skill in formulating and asking questions.
Some of the fundamental characteristics of good question construction are:
• Make questions short and confined to one topic.
• Make questions clear and easily understood.
• Use neutral words.
Types of Questions
The Seven "Ws"
When complete answers to the seven questions below are obtained, the issue being
explored is usually resolved satisfactorily. These questions are basic to all
interviews.
What? (What happened?)
When? (When did it happen?)
Where? (Where did it happen?)
Why? (Why did it happen?)
How? (How did it happen?)
Who? (Who was involved?)
Which? (Which one reviewed the records?)
The questions "Why?" and "Why not?" are the most powerful and are of great
value in interviews.
Precise Questions
The precise question is one that calls for a specific or an exact answer. It limits
the requested answer to definite items of information. Precise questions help
keep the discussion and pattern of thinking moving coward a particular goal
Usually they will extract the desired information quickly and with minimum effort.
The following questions are increasingly precise in ascending order
What did you do?
What did you do when you were growing up?
What did you do last year?
What did you do yesterday afternoon?
What did you do at about 3:15 yesterday afternoon?
What did you do about getting home when you missed the 3:15 bus
yesterday?
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Extended Answer Questions
Questions should generally be framed to require a narrative answer. Soliciting
"yes" or "no" answers usually restricts the information that the subject may be
inclined to give and usually is inadequate to completely answer the inquiry.
Questions requiring a "yes" or "no" answer frequently are leading or suggestive.
They may be acceptable when summarizing or verifying information, but should
not be used when seeking new information.
Leading Questions
Leading or suggestive questions are those which suggest the desired answer,
assume something to be fact which has not been established as a fact, or embody
a fact and require a simple negative or affirmative answer. Leading or suggestion
questions tend to influence the answers given by the interviewee and should be
avoided while asking for original information and monitoring inspection. Leading
questions can be useful in getting a particular answer or in refreshing an
individual's memory; they are frequently used in cross-examination to test or
break down previous statements.
Examples of leading questions in order of their suggestiveness:
• Did you see a ?
• Didn't you see a ?
• Didn't you see the ?
• Wasn't there a
Questions to Avoid
• Double or Triple Negative Questions. Questions or statements involving
double or triple negatives are confusing and often suggest an answer
opposite to the correct one. They should never be used. Examples:
Didn't he have no dinner? Couldn't you see him neither?
• Complex Questions. Complex questions and statements are those that are
too complicated to be easily understood, cover more than one subject or
topic, require more than one answer, or require a complicated answer.
Example: Where did you get the truck and how did you load the drums
in it?
Question Sequencing
An issue is an occurrence, situation, or subject in an inspection that needs to be
explained or resolved. Issues are generally resolved by sequences of questions.
As a rule, a separate sequence is required to resolve each issue. The sequence of
questions should push towards the resolution of the issue.
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General to Specific
The most efficient means of resolving an issue is to have the questions cover it
bv progressing from the GENERAL to the SPECIFIC. Seek general information on
the setting of an event before exploring details. Determine what was done before
exploring how it was done.
Reachine Backward
Questions will progress more logically with less risk of omissions if transition is
used to connect thought. To do this, start with known information and work
toward areas of undisclosed information. An efficient method of achieving this
sequence is to mentally reach backward over the known information and frame
the next question as the logical continuation of the facts previously related.
The following illustration portrays use of the "known to unknown" sequence
orientation before proceeding to the next question. Statements that are enclosed
in (parentheses) are the unspoken thoughts of the interviewer as he prepares to
frame each new question:
Q: (You said earlier you sent to Mudville.) Now what means of transportation
did you use?
A: A car.
Q: (If you sent in a car?) Who drove?
A: I did.
Q: (You drove a car to Mudville.) Was anyone with you?
A: Two guys went with me.
Q: (You drove a car with two passengers.) What were their names? Etc.
Estimates of Quantities
Interviewees rarely give the right answer the first time asked for the number or
quantity of anything. To determine more specifically time or quantities of space
and material, the following types of question sequences may be of value.
• Change of Reference Point. When descriptions of quantities are
complicated or hard to understand, they frequently can be simplified by
changing the reference point. Examples:
An interviewee may describe the location of an illegal discharge pipe as
four miles east, one and one-half miles south, and two miles southeast of
town. It is difficult to comprehend exactly where this location is. If
guided, the interviewee may be able to simplify by advising that it is
one-half mile downstream from the Long Lake Town Hall, on the river.
It does not mean much to mention a large quantity of hazardous waste.
If the interviewee will convert the amount to 60 barrels or a truckload,
it gives a clearer picture of the quantity.
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Comparison. When descriptions of quantities are vague or indefinite, they
can often be made more specific by comparing them with similar items of
known quantity. Examples:
Was he taller than I am?
Which one was the largest?
What share of the pizza did you get?
In some cases where quantities are persistently given in generalities, it is
productive to bracket the probable amount by suggesting quantities and
by enlarging or sub-dividing the suggested quantity to get the interviewee
to more specifically agree on an amount. Example:
Q: How far away was Smith when you first saw him?
A: He was a long ways down the road.
Q: About how far would you say?
A: I don't know — quite a ways.
Q: Do you know how long a mile is?
A: I'm a pretty good judge of distance.
Q: How far would you say it is from here to City Hall?
A: About two miles.
Q: That is a good estimate. Now, would you say Smith was more or less
than a mile away when you saw him?
A: Much less.
Q: Was he more or less than a half mile away?
A: Less.
Q: Was it more or less than a quarter mile?
A: More, I think.
Q: Would you say it was closer to a quarter mile or more nearly a half
mile?
A: It was closer to a quarter mile.
Q: Then would it be correct to say the distance was a little more than a
quarter of a mile?
A: That would be about right.
Applying Interviewing Techniques
Free Narrative
Free narrative is an orderly continuous account of an event or incident given
with or without prompting. It is used to get a quick resume of what a person
knows or is willing to tell about a matter. Usually it can be initiated by
requesting the individual to tell what he knows about the matter.
Frequently, the interviewee must be kept from digressing, but use a minimum of
interruption and do not be too hasty in stopping him from wandering in the
narration. He will sometimes give valuable clues while taking about things that
are only partially related to the matter under consideration. Be careful not to
erroneously interpret deviations from the anticipated narrative as wandering.
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Systematic Questioning
Systematic questioning (termed "direct examination" in legal proceedings) is
designed to bring out a connected account of an event or an incident. In an
interview, its purpose is to elicit new information or to fill in details omitted
during free narrative. Following are tips for eliciting more details in the
interview.
• Begin by asking questions that are not likely to cause interviewee to feel
threatened.
• Ask the questions in a manner that will develop the facts in the order of
their occurrence or in some other systematic order.
• Ask only one question at a time and frame the questions so that only one
answer is required by each question.
• Give the interviewee ample time to respond. Do not rush him.
• Try to help him remember but do not suggest answers, and be careful not
to imply any particular answer by facial expressions, gestures, methods of
asking questions, or types of questions asked.
• Repeat or rephrase questions again and again if needed to get desired
facts.
• If answers are not perfectly clear, have the interviewee explain them
again.
• Give the interviewee time to qualify his answers.
• Separate facts from inferences or opinions.
• Recognize conflicting information and learn when to say "show me."
• Get all of the facts. Almost everyone can provide more information that
he initially recalls or admits knowing.
• After the interviewee has given a narrative account, ask questions
Answers to little things will frequently contain clues to previously
unreported information of interest.
• After each segment of the interview, ask the interviewee to summarize
his information and then follow up by a resummarization and have the
interviewee verify the correctness of the statements.
Cross-Examination
Cross-examination is exploratory questions designed to test the reliability of or to
break down the previous statements of interviewees. It is generally not used by
inspectors in routine inspections; cross-examination is mostly associated with
criminal investigations. It is used to test previous statements for correctness.
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resolving conflicting information, determining completeness, filling in evaded
details, evaluating the judgment of interviewees, and undermining the confidence
of those who lie.
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16D'CREATING A PRODUCTIVE INTERVIEW ATMOSPHERE
The most productive interviews are those in which the interviewee feels
comfortable and respected. The following suggestions were adapted from
"Environmental Auditing Skills and Techniques Workbook* prepared by the Edison
Electric Institute.
Attitude and Approach
If the interviewer comes across as professional, courteous, genuine, and non-
threatening, the interviewee is more likely to provide candid information.
• Be courteous. The interviewee is more likely to give a positive response
if he feels respected. Acceptance of the interviewee's statements in a
matter-of-fact way can reduce threat. The inspector's choice of words
can also influence the tone of the interview. For example, "You seem
very determined," is a less threatening comment than "You are very
stubborn."
• Use an appropriate voice tone and inflection. Each interview should be
conducted in a tone of voice that will be perceived as soft, friendly, and
gentle.
• Do not lump to conclusions. An. interview can quickly turn sour if the
inspector indicates that he or she has drawn a negative (or positive)
conclusion. Conclusions regarding compliance status are not likely to rest
solely on interview statements; further, it is Agency policy not to
indicate inspection conclusions on-site. Also creating a poor atmosphere
is making a quick notation in the field logbook accompanied by a
statement such as "Thank you, that's all I need." A better approach is to
say, "If I understand you correctly, you are saying you do have a plan,
but it has not been approved by a professional engineer. Is that
correct?"
The Interview Setting
A poor interview setting can detract substantially from an effective interview
The following suggestions can aid in setting a comfortable atmosphere for the
interview.
• Go to the interviewee's work area. People are most comfortable in their
own work place. Except for the rare situation where it is completely
impractical, conduct the interview in the interviewee's own work area.
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• Make sure the interviewee feels that there is sufficient privacy. Onlv
the interviewee knows whether he or she feels constrained by other
employees who may be nearby or within earshot. Give the interviewee a
chance to opt for some place more private.
• Make sure both people are "on equal ground." Both the inspector and
interviewee should be on equal ground, that is, seated or standing
together in a comparable way.
• Trv to keep n "one-on-one." Whenever possible, try to avoid having two
or three inspectors "gang up" on an individual. If more than one
inspector is present, only one should ask the questions; the othensi
should take notes.
• Minimize distractions. Noise and interruptions are the most common
distractions. If there is a high level of noise, ask if it would be all
right to find a quieter place. If there are constant telephone calls.
explain in a polite and respectful way that uninterrupted time is needed
and suggest that a secretary take calls.
Non-Verbal Communication
Much of the information exchanged during an interview is done non-verbally
Communication is a composite of meanings, expressed through gestures, facial
expressions, voice inflection, and posture as well as through speech. Following
are a few suggestions regarding non-verbal communication that can aid m
interviews.
• Shake hands Start each discussion b> shaking hands with the
interviewee, to show respect and make him or her feel more comfortable.
• Maintain eve contact. Eye contact often connotes interest in. and
attention to, what the interviewee is saying. It may also aid the
inspector to distinguish body language that presents a different message
than what is being spoken.
• Keen the right distance. Sit at a comfortable distance from the
interviewee. Generally, a distance of three to five feet is appropriate.
• Non-verbal statements. Recall that an interviewee's gestures and
responses or lack or response to what someone else says can be
statements or adopted statements by the interviewee. Watch for and note
these.
Common Shortcomings in Interview Skills
The shortcomings described below are common even among experienced
interviewers. They can interfere with and reduce the effectiveness of the
interview process.
• Asking Leading Questions. Inspectors often ask questions that
unintentionally "lead" the interviewee toward desired answer. The form
might be something like: "You do clean the filter after each operation,
16-14
-------
don't you?" or "You would inform the spill coordinator if a spill were to
occur?"
The basic task of the inspector is to gather information, and this is
usually done by phrasing questions in a manner that produces the most
information. The "Seven W" words elicit these best. Avoid questions
that suggest the desired answer, and avoid questions that can be
answered by a simple "yes" or "no."
• Telegraphing,. Inspectors sometimes unintemially "telegraph" their
evaluation of the interviewee's response — favorable or unfavorable--
through gestures, facial expressions, or speech. Examples of verbal
telegraphing are: "You must be kidding", "Is that all you do", and
"Doesn't anyone important ever look at these records?" Frowns, scowls,
and other non-verbal signals can equally telegraph signs, but are harder
to control.
• Fear of Silence. When encountering a period of silence during an
interview, some interviewers tend to rephrase the pending question, or
put forth a new question, while the interviewee is attempting to
formulate his or her reply to the first question. Give the interviewer
adequate time to respond. Silence is rarely as long as it seems.
16-15
-------
INSPECTION CRITERIA
STORAffi
MIXING/
LOADING
Location:
Security:
Shelter:
Warning Signs:
Housekeeping:
EQUIPMENT:
Safety:
Potential hazard to environment, i.e., on
flood plain, sreek banks, fiult line.
fenced/ 'looked, access li-nred.
Covered or inside; -jell ventilated.
?o$ted pesticide or chemical -jarnina
(i.e.. DANGER POrSCS).
APPLICATIION Type:
Condition:
CLEANUP
CONTAINER
Containers:
Mix/Load
Equipment
and Air-
craft :
Procedures:
CONTAINER
DISPOSAL
STIB
Drums:
RECORDS
Location:
Security:
Warning Signs:
Procedure:
?eetioidee separated by type; neat,
properly labeled.
- functional; reduee» exposure to pesticides.
- Label directions followed?
- Protective clothing uorn by personnel?
- .Vianber and kind.
- Repair record.
- Maintenance facility.
- Mechanism for rinsing; disposal of rinse liquid.
- Equipment cleaned betueen applications?
Label directions folloued?
Triple-rinsed and offered for scrap cr recycle*
Actions reported or observed (i.e., iurr :zrre'.
Policy on pesticide dnons?
Hou are dr-jns handled?
Vho brings dr\*ns to aite?
Potential hazard to environment.
Fenced, locked, access limited.
Poeted pesticide or chemical warning eiyne.
Pesticide inventory.
Recordkeeping.
Certification: -
Ouner/appIieator
Other employees.
-------
WORKER
Farmer:
STANDARDS
Applicator:
APPLICATION Overspray:
OBSERVATION
Drift:
Flight
Pattern:
Weather:
Safety:
flame; crop; peatiaida last applied vhen, by -jhom?
Hou soon did -jorkera re-enter field?
Via -jams -jorkers or poets fields?
info did spplicator gi'Je famer?
Zees farmer -understand Worker Protectisn 5:sr.isrc
for Agricultural Peaticidea? Offer farmer 2 scz-j.
'/erify zbova info and adviae of responsibility ~c
reasonable effort for posting/notificztisn ^'
reatrioted-uaa pesticides.
*hen ia spray turnad on/off uitfc respect zo ends
of field?
you saa on/off fiald during application
-jith reapaet to peatieida miat?
- Direction of poaaaa and trvming.
Wind speed/direction, air temperature;
relative hiairidity.
field -jorkers, houeeat oorat pouar tinea, st<
obstacles. Sou doea applicator handle these
potential problems?
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF ENFORCEMENT AND COMPLIANCE MONITORING
EPA-330&89-OQ3-R
MULTI-MEDIA COMPLIANCE
AUDIT PROCEDURES
March 1989
NATIONAL ENFORCEMENT INVESTIGATIONS CENTER
Denver, Colorado
Pesticides
Pesticides are regulated by the Federal Insecticide, Fungicide, and
Rodentidde Act (FIFRA).
The following list is for use in conjunction with the checklist in Appendix L
and specific storage/use/disposal requirements found on pesticide labels.
FIFRA requires a written notice of inspection and written receipt for samples and
documents collected. Additional information is available in the EPA Pesticides
Inspection Manual which has been revised and is being reprinted in 1989.
-------
56
Determine types and registration status of all pesticides produced,
sold, stored and used at the facility, particularly if any are restricted
or expenmental use pesticides.
Determine use(s) of each pesticide.
Determine certification status of facility/handlers.
Verify who certifies facility/pesticide handlers (EPA, State,
DOD).
Determine if commercial or private application.
If restricted-use pesticides are used, check if pesticide
applicators are authorized to use these pesticides.
Check expiration dates on licenses/certificates.
Review applicable records
Check previous audit records and complaints.
Check application records.
Check restricted-use pesticides records (must be kept at
least 2 years). Document suspected violations accordingly.
Check inventory records.
Check training records.
Check equipment repair records.
Inspect storage, mixing/loading and container disposal areas
Check bulk storage areas for compliance with Federal/State
rules.
Check location, ventilation, segregation, shelter, and
housekeeping of pesticide storage/handling areas. Check
security, fire protection and warning signs, as may be
required by State regulations.
Check mixing equipment/procedures for reducing handlers'
exposures to pesticides.
Check for safety equipment/procedures/use.
-------
57
Check container cleanup and disposal procedures.
Pesticide waste disposal
Check to see that pesticides are disposed of in accordance
with applicable label and RCRA requirements.
Determine measures taken to ensure worker safety
Check pesticide use records for re-entry time limit notation.
Check pesticide use records for record of informing farmer
or warning workers and/or posting fields.
Provide farmer and/or applicator copy of current worker pro-
tection standards.
Observe actual pesticide application
Observe mixing/loading and check calculations for proper
use dilution.
Observe when spray is turned on/off with respect to ends of
field.
Watch for drift or pesticide mist dispersal pattern.
Note direction of spraying pattern and trimming techniques.
Record wind speed and direction, air temperature and
relative humidity.
Observe application with respect to field workers, houses,
cars, power lines, and other obstacles.
Determine if applicator and assisting personnel are wearing
safety gear required by the label.
Water Supply
Public drinking water supply systems (i.e., serve at least 25 people) are
regulated by the Safe Drinking Water Act (SDWA), as amended October 31,
1988.
-------
L-1
Appendix L
PESTICIDE INSPECTION CHECKLIST
INTERVIEW/RECORDS
1. Are pesticides used at the facility? Yes No
a. Circle general types used:
Algacides Insecticides Fungicides Herbicides Rodenticides
Other
2. Are any restricted use pesticides used at
this facility? Yes No
3. Are pesticides applied by facility personnel? Yes No
4. Are pesticides handlers certified? Yes No
a. Circle type of certification:
EPA State DOD Other
b. Are pesticide handlers authorized for
restricted use pesticides? Yes No.
c. Are licenses/certificates current (not expired)? Yes No.
5. Has the facility pesticide program been inspected
before? Yes No.
a. Circle by whom:
EPA State DOD Other
b. General results
6. Does the facility have application records? Yes No
7. Has the facility filed restricted use pesticide reports? Yes No
8. Does the facility have inventory records? Yes No
9. Are target pests indicated on application records? Yes No
a. Are the pesticides used registered for use
against the target pest? Yes No
(03/89)
-------
L-2
Appendix L (com.)
10. Are pesticide handlers' training records current? Yes No
a. Types of training.
STORAGE
1.
2.
3.
4.
5.
6.
7.
8.
9.
Is the storage area located on a flood plain?
Is the storage area fenced?
Is the storage area kept locked?
Are pesticides stored under cover?
Is the area well ventilated?
Is the area posted with pesticide or chemical
warning signs (i.e., DANGER - POISON)?
Are pesticides separated by type?
Are the pesticides properly labeled?
Are pesticides stored in other than original
containers?
a. Exolain. if ves.
Yes_
Yes_
Yes_
Yes_
Yes__
Yes_
Yes__
Yes__
Yes__
_No
__ No
__No
_ No
_No
__No
_No
_No
_No
MIXING/LOADING
1.
2.
3.
4.
5.
6.
7.
Is there a mixing/loading area?
Is the mixing/loading equipment functional?
Does the equipment help reduce the handlers
exposure to pesticide?
Are label'directions followed?
Is protective clothing worn by handlers?
Does protective clothing look used?
Is there a mechanism for rinsing containers?
Yes
Yes
Yes
Yes
Yes
Yes
Yes
_No
_No
__ No
_No
_No
_ No
_No
-------
L-3
Appendix L (com.)
8.
9.
Is spray equipment cleaned between applications?
a. How is rinse liauid disoosed of?
Yes__
_ No
CONTAINER DISPOSAL
1.
2.
3.
4.
5.
6.
7.
Are label directions followed?
Are empty containers triple rinsed?
Are containers offered for scrap or recycle?
Are containers punctured or crushed to help
prevent improper reuse?
Are drums given away for burn barrels, etc.?
Is there a container disposal site at the facility?
Is the site fenced and locked?
8. Are there pesticide or chemical warning signs
posted?
WORKER PROTECTION STANDARDS
1.
2.
3.
4.
5.
6.
Does responsible party keep application records?
Does responsible party know when workers re-enter
fields?
Does responsible party warn workers and/or post
fields?
Is responsible party informed by applicator when
re-entry restrictions apply?
Does responsible party understand current worker
protection standards?
Does applicator notify responsible party when using
RUPs?
Yes
Yes
Yes
Yes
Yes
Yes__
Yes__
Yes_
Yes
Yes
Yes
Yes__
Yes_
Yes
_No
_No
_No
_ No
__ No
__No
_No
__No
__No
__No
_No
_ No
__No
No
-------
L-4
7. Does applicator post fields when using RUPs? Yes No
APPLICATION OBSERVATION
1. Is spray turned on/off outside of the target field? Yes No
2. Is drift of pesticide mist visible off of the target field? Yes No
3. Is the application pattern recorded? Yes No
4. Are weather measurements taken? Recorded? Yes No
5. Are measures taken to ensure safety of field
workers? Yes No
6. Is the application planned to minimize drift to
houses, schools, cars, etc.? Yes No
-------
REPORT PREPARATION
-------
101
REPORT PREPARATION
OBJECTIVES
- TELL THE STORY
- DOCUMENT VIOLATIONS
- SATISFY SUPERVISOR, CASE PREP OFFICER, ATTORNEYS
- PROVIDE BASIS FOR FUTURE REFERENCE
WRITTEN INVESTIGATION REPORT
WHO, WHAT, WHY, WHEN, WHERE AND HOW
1. INTRODUCTION/FACTS
- DATE, TIME AND LOCATION OF INSPECTION
- NAME OF FIRM/RESPONSIBLE PARTY INFO
- PURPOSE/TYPE OF INSPECTION
- LIST OF INSPECTION EVENTS
2. FINDINGS
- EXPLAIN INSPECTION EVENTS
- DISCUSS DOCUMENTS,SAMPLES, INTERVIEWS, PHOTOS, ETC.
3.SUMMARY
- SUMMARIZE PROBLEMS IDENTIFIED
- LIST SUPPORTING DOCUMENTATION
4. ATTACHMENTS
- STATEMENTS OR AFFIDAVITS
- RECORDS AND LABELING
- PHOTOGRAPHS
- SAMPLE COLLECTION REPORTS
- SAMPLE ANALYSIS RERPORTS
-------
WRITE TO EXPRESS
NOT TO IMPRESS
WRONG
Next I went to the warehouse where I discovered
several drums on a forklift headed for the warehouse.
RIGHT
1 observed drums being transported to the warehouse.
-------
r
KEEP IT SIMPLE
WRONG
Several of these drums were placed on a forklift by the
workers who were on duty at the time and taken to the
warehouse that I have already described.
RIGHT
i observed drums being transported to the warehouse.
-------
KEEP THE READER IN MIND
WRONG
The A14 tank contained material more than 90 days after the
"D" line shut down.
RIGHT
The out-of-service degreaser was storing hazardous wastes
greater than 90 days after the unit ceased to be used for
manufacturing.
-------
WHO?
WRONG
The degreaser mechanic.
RIGHT
Elvis Ferguson, Operations Manager.
-------
WHAT?
WRONG
If there had been a fire, no firefighter equipment could
have been carried down the narrow aisle.
RIGHT
The aisle space between the drums was 16 inches
wide.
-------
WHEN?
WRONG
Mr. Ferguson called me an
-------
WHERE?
WRONG
The tank behind the warehouse.
RIGHT
The 1000 gallon tank used to store
chloride catalyst prior to recycling.
-------
WHY?
WRONG
They ship drums to the warehouse because the
storage area is so small.
RIGHT
Mr. Ferguson stated that drums are taken to the
warehouse because storage area B is too small.
Measurements indicate that storage area B is large
enough to contain 6 drums. Plant records indicate
that 8 drums a day are generated by the detergent
2 production line.
-------
HOW?
WRONG
Appropriate drums are used to avoid corrosion.
RIGHT
The facility neutralizes hydrochloric acid on
detergent line #1 in plastic "poly" drums.
-------
AVOID THE "IT" HABIT
WRONG
I inspected tank A, still B, and lagoon C. It was overflowing
and its secondary containment was indadequate.
RIGHT
I inspected tank A, still B, and lagoon C. Lagoon C was
overflowing. The secondary containment around lagoon C
was not capturing all of the overflow.
-------
AVOID CARELESS PRONOUNS
WRONG
Mr. Ferguson and Mr. Johnson walked to the warehouse
with me. He said they transported drums across a road.
RIGHT
Mr. Ferguson and Mr. Johnson walked to the warehouse
with me. Mr. Johnson said the company transported
drums across Scioto River Road.
-------
BE CONCISE
WRONG
Write your sentences as short as you possibly can
and avoid obtruse terminology.
RIGHT
Use short sentences and avoid unnecessarily
complicated terms.
-------
HANDOUT 17-2
GAS TANK FIRE REPORT »1
Date of Inspection: July 4, 1974 at 0100 hours
Location of Inspection: The Ace Auto Wreckers Yard,
222 First Street, Richmond, California
Nature of Suspected Violation: Open fire in violation of Regulation 1 consisting
of gasoline and gasoline tank
Owner George Peterson
Inspector Jane Robinson, Environmental Inspector,
Department of Environmental Control
INSPECTOR'S REPORT
I. Introduction: While on routine patrol on July 4, 1974, R/I noted dense
smoke coming from the Ace Auto Wreckers Yard on Pint Street in
Richmond, California.
II. Observations: R/I proceeded to the above location and observed an open
fire in a gasoline tank of an auto which was being wrecked. R/I contacted
the owner, Mr. George Peterson, for an explanation of the cause of ignition.
III. Statements: Mr. Peterson stated that an employee was removing a gasoline
tank from an auto while another employee was cutting on the front of the
same vehicle with a cutting torch. A spark from the cutting torch ignited
the contents of the gas tank. The fire suppression equipment was
inadequate, consisting of a one-inch water hose too short to reach the
burning auto.
IV. Conclusions: In R/Ps opinion Mr. Peterson was negligent in that the gas
tank was not removed from the auto before torch cutting began.
Additionally, fire suppression equipment was inadequate. R/I recommends a
Health and Safety Code 24361 complaint by the local district attorney.
Inspection 21
-------
HANDOUT 17-3
GAS TANK FIRE REPORT »2
(Revised Report)
Date of Inspection: July 4. 1974 at OJ40 hours
Location of Inspection: The Ace Auto Wreckers Yard,
222 First Street. Richmond, California
Nature of Suspected Violation: Open fire in violation of Regulation I consisting
of gasoline and gasoline tank
Facility/Other Participants: George Peterson (sole owner of wrecking yard)
222 First St., Richmond, CA
Thomas Brown, «4 Sutton Place, Lafayette, CA
Frank Fitzgerald, Room 38, Hotel Don,
Richmond CA
Inspector Jane Robinson, Environmental Inspector,
Department of Environmental Control
939 Ellis Street, San Francisco, CA
INSPECTOR'S REPORT
I. Introduction! At 12:35 P.M. on July 4, 1974 while on routine patrol at 23rd
and Macdonald in Richmond, Robinson/Inspector (R/I) noted a dense smoke
coming from the north Richmond wrecking yard area. A narrow plume of
dense, black smoke appeared to extend several hundred feet into the air.
II. Observations! R/I proceeded in the direction of the smoke and traced the
source to the "Ace Auto Wrecking Yard" at 222 First Street, Richmond
California. R/I arrived at that location at 0100 hours and observed that the
plume of smoke continued to extend several hundred feet into the air and
had not appeared to diminish in density or height. As R/I approached the
wrecking yard two male adults were observed near the burning vehicle. One
of the males had a cutting torch and was working on the front left portion^-^""
of the vehicle. Upon pulling into the driveway of the lot in R/I's blue''State
vehicle (with the State seal on each door), the male with the cutting^ch
was observed to extinguish the torch and both men walked away from the
area of the fire in the opposite direction from R/I.
When R/I first arrived at the scene, the entire vehicle appeared to be giving
off dense black smoke. Some flames (approximately one foot high) were
observed in the area of the gas tank.
R/I approached the male who had been operating the cutting torch (later
identified as Frank Fitzgerald and asked him "how did the fire get started?*
Mr. Fitzgerald stated 'you'd better ask the boss, he was here but walked
Inspection 22
-------
into the office when you drove up." R/I went to the office, which was
located approximately 50 feet north of the burning vehicle and located a Mr.
George Peterson in the office. R/I asked Mr. Peterson how the fire got
started. Mr. Peterson stated 'Frank (Frank Fitzgerald) was cutting up the
car and Tom (later identified as Thomas Brown) was pulling the gas tank and
the fire just somehow started. Nothing unusual, it happens all the time.*
Upon R/I's request. Mr. Peterson ordered Mr. Brown and Mr. Fitzgerald to
put out the fire with buckets of water obtained from a faucet on a wash
basin in the back of the office. The car was extinguished at approximately
1:30 p.m. after numerous buckets of water had been thrown on the fire for a
period of about 15 minutes. The fire department was not called as there
was little chance the fire would spread. The area within 50 feet of the
burning vehicle was clear.
R/I asked Mr. Peterson why no effort had been taken to put out the fire
until R/I requested it. Peterson stated "we usually just let the cars burn
out unless you guys come around. It's much quicker than stripping the
vehicle by hand."
After the fire wasextinguished R/I observed that the vehicle that had been
burning was a J955\EdseI which had been turned on its right side with the
bottom of the vtfcide facing the driveway entrance to the yard. The seats
and upholstery and other flammable materials had been removed from the
vehicle.
R/I examined the yard for firefighting equipment and observed one one-inch
hose approximately 20 feet in length connected to a faucet approximately 100
feet from the scene of the fire. R/I checked the water in the faucet and
determined that the water pressure was extremely low. There were no fire
extinguishers or any other firefighting equipment in evidence on the lot.
HI. Additional Evidence: R/I took the following Instamatic photographs:
1) photograph of plume from 23rd and Macdonald when smoke first observed:
2) photograph of fire taken upon arrival at the yard; and
3) photograph taken while employees were extinguishing fire with buckets of
water.
An overhead sketch of the yard showing the location of the fire is attached to
R/I's report. The photographs will be processed upon request.
IV. Conclusions: Based on R/I's observations and statements made by the
employees and the owner, Mr. Peterson, it is R/I's conclusion that the fire
was most likely intentionally set in order to expedite the stripping of the
vehicle and that no effort was made to put out the fire until R/I arrived on
the scene. Further, there was inadequate firefighting equipment at the
location to handle any possible fires.
Inspection 23
-------
19A THE INSPECTION REPORT
The results of all work done by an inspector are finally expressed in some form
of written report. Although one measure of an inspector's success in enforcement
is the quality of bis reports, many inspectors do aot appreciate the importance of
report writing. Proper documentation of an inspection is a key aspect of an
inspector's job. Government officials and attorneys who review the report must
have all the facts to make appropriate and effective decisions. Well written
reports create an impression of a well conducted inspection, and facilitate the
report review and decision making process.
The purpose of the inspection report is to present a factual record of an
inspection, from the time when the need for the inspection is perceived through
the analysis of samples and other data collected during the inspection. An
inspection report must be complete and accurate, because it will provide the basis
for potential enforcement actions and may become an important piece of evidence
in litigation. The length and format of inspection reports may vary based on
program and individual office policy and practice.
The objective of an inspection report is to organize and coordinate all evidence
gathered in an inspection in a comprehensive, usable manner. To meet this
objective, information in an inspection report must be:
o Accurate. All information must be factual and based on sound inspection
practices. Observations should be the verifiable result of first-hand
knowledge. Enforcement personnel must be able to depend on the
accuracy of ail information.
o Relevanf. Information in an inspection report should be pertinent to the
subject of the report Irrelevant facts and data will clutter a report and
may reduce its clarity and usefulness.
o Comprehensive. The subject of the report (i.e., any suspected violations)
should be substantiated by as much factual, relevant information as is
feasible. The more comprehensive the evidence, the better and easier the
prosecution task.
o Coordinated. All information pertinent to the subject should be organized
into a complete package. Documentary support (photographs, statements,
sample documentation, etc.) accompanying the report should be clearly
referenced so that anyone reading the report will get a complete, clear
overview of the subject.
o Objective. Information should be objective and factual; the report should
not draw conclusions.
19-2
-------
II?
o Clear. The information in the report should be presented in a clear,
well-organized manner.
o Neat and Legible. Adequate time should be taken to allow the
preparation of a neat, legible repon.
Inspection reports are normally prepared by the inspection team leader, with the
assistance of the inspection team member?. After an inspection has been
completed there is a psychological letdown. Reporting what happened during the
inspection may then seem a burdensome chore, but the inspector's iob is not
finished until the report a complete and the official filea are in order.
Remembering the simple rule that 'no job is complete until the paperwork is
finished" will assist the team in planning and conducting the inspection so that
the report will accurately portray the findings of the inspection.
Eltmenti of m Inioection Report
No single standard EPA inspection report format exists; the specific information
needs will vary depending on the program and regulatory requirements involved.
While the format and exact contents of the inspection report vary, the report
should always contain enough information that the reader can determine the
following:
o The specific reason for the inspection;
o Who participated in the inspection;
o That all required notices, receipts, and other legal requirements were
complied with;
o What actions were taken during the inspection, including the chronology
of these actions;
o What statements, records, physical samples and other evidence was
obtained during the inspection;
o What observations were made during the inspection; and
o The results of sample analyses related to the inspection.
Although the specific information requirements in a given inspection report will
depend on the type of inspection and what was found, most reports will contain
the same basic elements:
o Inspection Repon Forms
o Narrative Repon
o Documentary Support
-------
Intttection Rceort Forms
Individual inspectioa report forms, developed for most regulatory programs, are
designed to collect standard, reviewable informatioa about an inspection
Inspectioa report forms are only one aspect of a complete report and should by
no means b« considered to be sufficient documentation of the inspection in
themselves. They function as guides to ensure that all basic data are being
collected, and are generally completed as the inspection progresses. Individual
items on these forms often need clarification and elaboration; inspectors normally
use the field logbook for this information.
In cases where inspection report forms are unavailable, inappropriate, or not
comprehensive, the inspector should have recorded pertinent information in the
field logbook. This information should be used in the narrative of the Inspection
Report to clarify and expand upon the information from the Inspection Report
Forms.
Narrative Report
The narrative portion of an inspection report should be a concise, factual
summary of observations and activities, organized in a logical, legible manner, and
supported by specific references to accompanying evidence (documentary support).
A work plan will simplify preparation of the narrative and will help ensure that
information is organized in a usable form. Basic steps involved in writing the
narrative report include:
o Reviewing the information
o Organizing the material
o Referencing accompanying material
o Writing the narrative
Reviewing the Information. The first step in preparing the narrative is to collect
all information gathered during the inspection. The inspector's field logbook and
all Inspection Report Forms should be reviewed in detail All evidence should be
reviewed for relevancy and completeness. Gaps may need to be filled by a phone
call or, in unusual circumstances, a follow-up visit
Organising the Material. Organization of the information an take many forms,
depending on the case, but should present the material in a logical, comprehensive
manner. The narrative should be organized so that it will be understood easily by
the reader.
Referencing Accompanying Material- All evidence (e.g., copies of records.
analytical results, photographs) that accompanies a narrative report should be
clearly referenced so that the reader will be able to locate them easily. All
support documents should be checked for clarity prior to writing the report.
19-4
-------
11.0
Writing the Narrative Report. Once the material has been reviewed, organized.
and referenced, the narrative can be written. The purpose of the narrative
report is to record factually the procedures used in, and findings resulting from,
the evidence-gathering process. In this report, the inspector should refer to
routine procedures and practices used during the inspection, but should describe
m detail facts relating to potential violations and discrepancies. The Field
logbook is a guide for preparing the narrative report.
If the inspector has followed the steps presented in this manual, the report can
develop logically from the organizational framework of the inspection. in
preparing the narrative, simplicity should be a prime consideration:
o Use a simple writing style; avoid stilted language.
o Use an active, rather than passive approach: (e.g., "He said that ..*
rather than 'It was said that...*).
o Keep paragraphs brief and to the point.
o Avoid repetition.
o Proofread the narrative carefully.
Note Regarding Standard Operating Procedure^. When the inspector has followed
Standard Operating Procedures (SOPs) precisely in gaining entry, taking samples,
etc., this can be easily noted in the report (e.g., 'following standard procedures.
Joe Smith gained entry to...*). If there were any unusual circumstances or
deviations, however, these should be included in the report in more detail.
Confidentiality Considerations and Procedures
All documents and other materials that have been claimed confidential business
information are stored with the Document Control Officer as prescribed in the
Toxic Substances Control Act-Confidential Business Information (TSCA-CBH
Security Manual. The inspector may review these documents when preparing the
inspection report, but they must be handled under the strict security measures
imposed for TSCA-CBI.
In preparing the inspection report, it is recommended that TSCA-CBI be
referenced in a non-confidential manner (i.e., by Document Control Number and a
general description of the information contained in the document). An alternative
is to include' the information, but to treat the entire inspection report as a
confidential document. If the latter alternative is selected, the report should be
logged in with the Document Control Officer, ensuring that only persons cleared
for access are permitted to review it.
o Confidential Field Notes
The procedures for taking field notes (see Chapter ) require that potentially
confidential information should be only referenced in the logbook; the information
itself should be placed on separate sheets of paper. The purpose of these
19-5
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procedures is co reduce the risk of breach of confidentiality associated with the
field logbook.
In the event that confidential business information does appear in the logbook.
those pages should be photocopied and the photocopied pages logged in with the
Document Control Officer. The confidential business information in the logbook
should then be obliterated in such a manner as to make it unreadable.
To ensure that the photocopies of the obliterated pages can be used in an
enforcement proceeding, they must be carefully identified in the following manner.
o The inspector and a witness should initial and date a spot on the page
that will not need to be obliterated.
o A photocopy of the logbook page should be made. This photocopy should
be logged in by the Document Control Officer along with a statement by
the inspector which reads:
The undersigned certifies that this is a true copy of a page from my
field notebook from the inspection of (facility, address) on (date). The
original notebook pages were obliterated by me to protect confidential
business information."
Inspector's Signature Date
Witness' Signature Date
o Confidential business information on the logbook pages should be
obliterated; the identifying initials and date should remain.
TIPS for Writing an Effective Inspection Reaart
This section presents guidance in preparing effective inspection reports. The
style of these reports should be clear, concise, accurate, factual, fair, complete,
and logical. Inspection reports should not contain flowery phrases, levity.
superlatives, or unnecessary verbiage. Remember, the purpose of an inspection
report is to convey the facts determined during an inspection to a reader whose
course of action will depend upon its contents. This communication is not
complete until the reader understands precisely what was intended and is willing
to take action. To provide this communication, a report must be readable and
must inspire confidence in the reviewers. Written communication does not have
the advantages of facial expressions, voice tones, or gestures to get a message
across and to interpret how it is being received. Therefore, the report must be
written so as to eliminate the possibility of erroneous conclusions, inferences, or
interpretations. It will become part of the permanent records for the inspected
facility, along with the inspector's field logbooks, samples, formal statements.
photographs, drawings, maps, printed matter, mechanical recordings, electronic
recordings, and copies of records. A well written report will serve as a summary
of these other records.
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In general, three rules apply to preparation of good inspection reports.
o Write to e»pre«. not to impress. Just relate the facts and evidence that
are relevant to the compliance situation; don't tell about the inspection.
o Keep it simple. Organize complicated matters and state them m simple,
direct terms.
o Keen the reader in mind. If the writer doesn't sweat, the reader will.
aad the more effort the reader expends in comprehension of the meaning
and relationships of the words used, the less energy will be available for
understanding the thoughts behind the words.
The following sections provide a summary of the essential elements of good
reports and organizing the writing process.
EsMittltli of Good Reports
Fairness, accuracy, completeness, conciseness, clarity, and organization are all
essential characteristics of well written and effective inspection reports. Prepare
the report with these characteristics in mind, and keep them in mind during each
phase of reviewing and rewriting. Although, by themselves, these characteristics
will not ensure a well written report, they are essential.
o Fairness. Inspection reports must be entirely objective, unbiased, and
unemotional. Avoid distortion by being aware of the emotional tone of
words. For example, note the difference in implication bet-ween
"planning" and 'scheming.* Rumors or gossip should be included only if it
is material to the inspection and is clearly identified as hearsay. If you
can quote someone exactly, do so; otherwise paraphrase the statement as
accurately as possible. A report may mention a person's race, religion, or
political persuasion only if it is relevant and material. Never make
offensive remarks or use offensive slang in making reference to anybody's
race, religion, or ethnic origin.
o Accuracy. Be exact. Say precisely and accurately what you mean to say
in ptaia language. Precision depends on diction, phrasing, and sentence
structure. Avoid exaggerations. One small exaggeration may cast doubc
on the accuracy of other statements in the report. For example, do not
state that something was obvious; just state the facts. Omit opinions.
conclusions, and inferences. (Opinions may be expressed in rait
circumstances to clarify meaning, but they should be clearly identified as
nonfactual information. For example, 'this act indicated his knowledge"
is a conclusion and should be clearly identified as such.) The report
should present facts so clearly that there is no need for conclusions or
interpretations.
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State facts so that inferences can be drawn from them, but do not let
inferences replace facts. For example: If you saw someone loading bags
marked 'toxic chemicals.* do not write that you saw a person loading
toxic chemicals. You only saw someone loading bags marked toxic
chemicals. A frequent error found in reports is to substitute the word
•signature,* which by definition means signed by.
Inference: The compliance reports were signed by John Doe.
The compliance reports were signed. "John Doe.*
Avoid superlatives. Any attempt to strengthen a report in this way
actually weakens it, as reviewers tend to doubt its objectivity.
Accuracy means truthfulness. The accuracy of all findings and
computations must be verified before the final report is submitted. A
typographical error in date or time may cast doubt on other facts in a
report.
o Completeness. Include all information that is relevant and material.
Completeness implies that all the known facts and details have been
reported, either in the text of the report or in aa exhibit, so that no
further explanation is needed and the reviewer will be convinced that the
inspection was thorough and comprehensive. Include in the body of the
report only those pans of exhibits that are material to the inspection add
are necessary to give the reader a complete understanding of the
compliance matter involved. Exhibits should contain complete statements
or data.
o Source- Always report the source of evidence. When possible, make
inspection reports interview oriented (i.e.. report statements made by
interviewees). For example, do not say that the exhaust stack was black
if you did not see it. Write, 'John Jones said that the exhaust stack he
saw was black/ Explain how the interviewee acquired the knowledge you
are reporting, and tell how you obtained the information.
o Exhibit*,. The report should be complete in that it is one single
document Original or duplicate copies of laboratory reports, affidavits,
correspondence and other documents should be submitted as exhibits to
the original report These exhibits should be consecutively numbered in
the order that they are mentioned in the body of the report. Exhibits
are best introduced parenthetically. For example, *J.M. Dale told me (Ex.
1, Statement), I do not ...'.'
o Tearing Completeness. Test the report to ensure that it answers the
questions who, what, how, when, where, and why related to the
compliance situation.
- The first time they are mentioned in a report, all individuals should
be identified completely by their first, middle and last names. If
the person has no middle name or initial, indicate this by the use
of (NMN) or (NMI) between the first and last names.
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• The report should clearly indicate what happened and how it
happened, no more and no less. The chronology of occurrences
should be stated clearly. The report also should indicate the date
aad time (he happening occurred or an approximation if the exact
time a unknown. Do not place the date or time in the middle of a
sentence, as this causes ambiguity. The date and time an event
occurred should be placed either first or last in a sentence, as
appropriate.
- The location of the occurrence should be identified as a definite
place, to (he exclusion of all other places. The place should be so
clearly identified that no confusion or misinterpretation is possible.
• Why a situation occurred is particularly significant with respect to
violations where intent is an element of the offense. In such
cases, the report should set forth the faea bearing on intent with
such clarity that there is no need for conclusions or opinions
within the report.
o Conciseness. Conciseness does not mean omission. It is the avoidance of
all that is elaborate or not essential. Conciseness is not what you say,
but how you say it. Conciseness means omitting unnecessary words; it
does not mean omitting facts, detail and necessary explanation. It is not
the same as brevity. If clarity and completeness require a detailed
explanation, do not hesitate to use it
Readers like short sentences and short paragraphs with plenty of white
space in between. Remember that all sentences in a paragraph are
related to each other and express a unit of thought. Use tables to
describe a group of items having similar characteristics. Results of
sample analyses, observation times, record inspections, and similar
information should almost always be reported in table form.
Write plainly. Use active verbs whenever possible. The active voice
gives force to writing. If you write like you talk, you probably will
avoid excessive use of the passive voice. Do not write, 'A low drive was
hit by Eddie Murray.' Instead, use the active voice, like you talk: 'Eddie
Murray hit a low drive.'
Avoid repeating the same material in several sections of the report.
Also, avoid redundant phrases such as: repetitive and redundant, approve
and accept, null and void, part and parcel, ways and means, basic
essentials, disappear from sight, while at the same time, revert back, pure
and simple, and gross exaggeration.
o Clarity. Inspection reports must be written clearly to avoid
misinterpretations. Clear writing leads to clear thinking and vice versa.
Order your thoughts; select those most useful to the reader; arrange them
logically; and select the words that will best convey your thoughts to the
reader.
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Everything in the report must be relevant and essential to the mam
purpose of (he report, and its relevancy and material nature must be
evident to the reader. Each sentence, paragraph, and division or pan
must represent a unit of thought and help establish the main point of the
report; which usually is an alleged violation of the law. The unity of the
report is enhanced by the use of topic headings, especially for major
parts of the report. Such headings should succinctly describe what is
contained in the particular part of the report.
The careless use of personal pronouns is a frequent cause of ambiguity.
If the use of a pronoun may result in ambiguity, use a noun. Avoid the
use of the pronoun "It* and the word "There* as substitutes for precise
word selection. For example, say "We should do ...". rather then 'It
should be done ...', and 'Changes have been made ...*. rather then 'There
have been changes.'
Use specific and concrete expressions rather than general or abstract
statements. Poor writing oftea reflects a failure to select words which
paint a clear mental picture. If you write that you took three water
quality samples, the meaning is not clear. But if you write, "I took one
effluent sample from Station £-1, one ground-water sample from station
G-l, and one sample from a nearby river at station R-l.' the reader
understands clearly.
Although in English grammar classes we have been aught to use
ingenuity and imagination, to be- original, and to avoid repeated use of
the same words ia our writing, inspection reports are not essays or
literary works. If necessary, repeating use of a word or sentence
structure is acceptable, if this uniformity increases clarity. Remember,
the purpose is to communicate clearly, not to entertain.
Punctuate to make the meaning easy to understand. For example,
consider the different meanings of the following three sentences: The
employee said the foreman is a blockhead. The employee said, "The
foreman is a blockhead." The employee." said the foreman, 'is a
blockhead*
In presenting a series of thoughts or actions, parallel construction helps
clarify meaning. For example, write 'collecting,, depositing, and reporting
revenue*, instead of 'collection, depositing, and tnfi reporting of revenue.'
o Organisation. An inspection report should be structured to allow a
logical'order and coherence in the presentation of facts. This means that
the relation of each event to the main idea and to the events immediately
preceding it in the report must be unmistakable. Otherwise, it is quite
likely that the reader will not understand the significance of the event.
Since the report writer cannot insert his conclusions or lead the reader
by drawing inferences, he must depend upon facts that are so clearly
stated and so logically arranged that the reader is certain to understand.
Each violation, event, or circumstance should be narrated ia full before
the writer passes on to the next facet of the report Most reports about
criminal violations, for example, begin with the gist of the crime. Then
they present the pertinent evidence of the alleged violator's connection
with the violation.
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The events that occurred of tea are reported ia chronological order (the
order in which they occurred). However, ia some instances the
significance of each event or item of evidence may be understood better
by some other arrangement. Usually, all evidence from a single source
should be presented before introducing information from another source.
In any report some facts aad events are more important than others, and
the writer wants to emphasize them so the reader is certain to notice
them. In an inspector's report this cannot be done by comments of (he
writer, but it can be accomplished by careful selection aad placement of
words, phrases, and paragraphs, aad by priority of orgaaiaation. Place
important words or phrases at the beginning or end of the sentence, and
important sentences at the beginning or ead of the paragraph. Emphasis
also can be accomplished by some device which makes the important item
different from other items. For example:
• Emphasize a sentence by indentation or by making it a separate
paragraph.
• Emphasize paragraphs by leaving margins wider than those of (he
other. less important paragraphs.
• Emphasize important names, words, or phrases by capitalizing or
underlining them. (This technique, however, should be used
sparingly; otherwise the element of differenness, and hence
emphasis, is lost).
Qr««aiiia« the Wrirla* PTOCMI
Preparation of the initial draft of a report is difficult without a clear idea of the
objective of the report, its subject, the methods used ia the inspection, and the
results of all data collection efforts. One* this information is all available,
however, developing the initial draft can still present a significant obstacle. An
outline for the narrative portion of the inspection report that can be adapted for
most situations appears at the ead of this section. The following tips for
preparing a draft are also intended to aid ia preparing the report.
Each writer has a personal style in draft preparation. Effective styles allow
authors to use POWER in preparing reports. The idea of POWER is simply stated
as a structure for writing: Ran, Qrganize, Write, Evaluate (edit), and Rewrite.
o P|»"- The first step in writing is to determine your objective. Why ire
you writing? What is the purpose of this report? Have a clear
understanding of the elements of the situation involved when you answer
these questions. Many good inspectors begin to plan their reports when
they begin planning the investigation. By thinking about how the facts
must be reported to make a clear report, they improve both the quality
of their reports and their inspections.
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Prepare • detailed topic outline with topic headings that distinguish
between major sections and minor topics. Include in the outline a brief
reference to each supporting exhibit. An outline not only lessens chances
of omitting necessary facts, but also assists in recognizing irrelevant
details and achieving a logical arrangement.
o QrnanJK- Most of the facts of an investigation axe in memorandum*.
field notes, documents, etc. that were gathered during the inspection
Arrange this material in the order you developed in the topic outline
From this bulk of material you can refine the topic outline and then
build the body of the report.
o Write, la writing the report, remember that the format of your narrative
report is determined by its purpose and by Agency policy. Refer to your
office's directives and official sample reports or copies of other w«u.
written reports to determine the format of the particular type of report
you are writing. Use the writing process to evaluate the information
being presented. Be willing to revise the topic outline to improve
structure and clarity.
o Evaluate. After you have written a draft of the report, put it aside for
a while, preferably at least overnight. Then analyze the report form the
viewpoint of the reviewer and answer the following Questions:
• What is the report trying to communicate?
- Has it fulfilled the purpose of the inspection?
- Can supervisors and reviewers make correct decisions based on this
report?
- Does it answer the questions who, what, when, where, why and
how?
- Are any further inquiries necessary?
• Is it readable?
• Is it fair, concise, complete, accurate and logical?
- b any pan ambiguous?
Proofread the report to check for the following problems:
- Inconsistency in format or style,
• Unnecessary repetition,
- Inappropriate tone.
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1X8
. Omission of pertiaeat information, and
- Typographical «rron.
Ac this point, it is often helpful to have the report reviewed by a
colleague who has knowledge of the inspection or investigation. A second
party can often identify problem areas more readily than (he primary
author, who nay become too close to the material to be an objective
evaluator.
After evaluating the draft, rewrite or revise those portions of
the narrative that do not respond to the questions used in evaluation.
Upon completion of this process, the official draft of the inspection
report will be circulated for official reviews and a copy of this draft win
be kept in the official files. Be certain the report is an accurate
representation of the complete situation.
Renart Outline
While the specific information items will vary, the following outline for the
narrative portion of an inspection report can be adapted to most situations.
Introduction
The introduction should briefly present all relevant background information about
the conduct of the inspection and summarize the findings of the inspection.
O General Information
• State the purpose of the inspection and how the facility came to be
inspected (Le., neutral scheme, follow-up, for cause).
- State the fact* of the inspection (i.e., dan, time, location, name of
the agent-in-charge, etc.).
- Participants in the inspection.
0 Summary of
• Give a brief, factual summary of the inspection findings.
0 History of Ftcilitv
. List the status of the facility (Le., corporation, propreitonhip,
partnership, state agency, non-profit organisation, etc., and where
incorporated).
- Give the lize of the organization based on inspector observations or
agency records.
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- List the type of operations performed at the facility under inspection.
. List names and titles of facility officials interviewed. List the aame(s)
of official(s) responsible for day-to-day operations at the facility.
Inspection Activities
The body of the report should present the chronology of inspection in the same
order that the inspection was conducted. Be certain to insert all observations
when appropriate and to cover the following topics when appropriate.
o Entrv/Qoening Conference
- Describe the procedures used at arrival, including presentation of
credentials and written Notice of Inspection, and to whoa they were
presented.
- Describe any special problems or observations if there was reluctance
on the part of facility officials to give consent, or if consent was
withdrawn or denied.
• If special procedures were necessary, such as obtaining a warrant.
describe the procedures.
. Summarise the topics discussed during the opening conference.
- Note presentation of any other required notices (e.g.. the TSCA
Inspection Confidentiality Notice) and the officials to whom they were
presented.
- Note if duplicate samples were requested.
0
- List the types of records reviewed, noting the reasons for their
review, and referencing documents chat were borrowed or copied.
• Describe any inadequacies in recordkeeping procedures, or if any
required information was unavailable or incomplete,
- Note if recordkeeping requirements were being met
o Evidence Collection
- Note and reference any statements taken during the inspection.
- Describe and reference photographs taken during the inspection if they
were relevant to possible discrepancies.
- Reference any drawings, maps, charts, or other documents made or
taken during the inspection.
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130
o Physical Samples
- Describe the purpose for which samples were obtained.
- Describe the exact location from which they were obtained.
• Describe sampling techniques used. They may be referred to as
standard operating procedures (SOPs), if SOPs were followed exactly.
If there were deviations from SOPs explain why aad what was done.
• Reference controlled identification procedures.
• Describe the physical aspects of the sample (color, texture, viscosity,
etc.).
• Describe chain of custody procedures used la sample handling.
• Summarize results of laboratory analysis (include actual data in the
appendix).
0 Clasinm Conferetieq
- Note and reference receipts for samples and documents given to
facility officials.
• Note procedures taken to confirm claims of confidentiality and
Receipts for Confidential Business Information.
• Note any recommendations, referrals, etc., made to facility officials.
Attaehaeaii
Supporting information should be attached to the report, to ensure that reviewers
have all of the daa needed to fully evaluate the compliance situation. All of
these attachments should be fully referenced in the body of the report.
0 List
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o Analytical
- Attach sample data and quality assurance data. This may be presented
as tables here, with pertinent information summarized ia the body of
the report.
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CASE PREPARATION AND PRESENTATION
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Chapter Four
2 Inspection File Review
To ensure che validity and quality of documentary evidence for an adminis-
trative or judicial enforcement proceeding, the RCDO must review the evi-
dence for objectivity, adequacy, and proper identification. In gome
instances the RCDO will need an enforeerneat case review, which could
include the verification of the sample's pesticide registration and
labeling status, as veil as an interpretation of laboratory test results.
In all cases, the RCDO must verify that all procedural safeguards were
implemented so as not to prejudice a possible enforcement action.
Substantiation of Each Violation ._
In most cases, a violation will be substantiated through a combination of
evidential sources. The RCDO's review must seek to substantiate each
possible violation from the evidence supplied by the inspector. Whenever
necessary, the RCDO should obtain from the inspector additional evidence or
clarification of existing evidence.
Controlled Identification of Each Sample
An important aspect of any review by the RCDO is the determination chat all
samples were properly collected and accurately and completely identified.
Whenever a sample is taken, the inspector prepares a Collection Report (EPA
Form 35^0-7), which describes the sample collection process. Information
required for the report includes:
• Type of sample;
• Sample number, subsample number;
• Date of collection;
• Collection method;
FIFRA Conpliauce/Eaforcement 4-3 Guidance Manual 1983
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Chancer Four Inspection Pile Revlew
• Description of sample (including quantity collected, color, tex-
ture, viscosity, etc.);
• Duplicate samples (if provided); and
• Description of procedures for sealing sample.
Each ID Jacket will also be identified by a sample number. The RCDO should
check the number to see if it corresponds to the ID number on the Collec-
tion Report Form.
All samples that are to be used as evidence should be sealed with the offi-
cial EPA seal (EPA Form 7500-2). The seal is placed on the sample con-
tainer by the inspector to help preserve the integrity of the sample.
A written receipt (EPA Form 3540-3) describing the sample obtained by the
inspector is issued to the appropriate facility representative whenever a
sample is taken. The receipt may also be used to verify that a duplicative
sample was given the facility. The ID Jacket may not always include a copy
of the receipt. If an enforcement action is considered, a copy may be
obtained from che Inspection Report that was filed with the Regional
Office.
The two types of samples commonly collected are official and investiga-
tional.
Official Samples. These include samples or documents of pesticides or
devices that, if violative, serve as a basis for legal action. In general,
an RCDO should ensure that an official sample:
• Was collected only from material chat had been "packaged, labeled,
and released for shipment" (see Glossary);
• Was representative of the lot from which it was obtained; and
• Was identified and officially sealed so as to maintain its continu-
ity and integrity as court evidence.
Official samples include:
• Producer/Marketplace Samples. Actual samples of a pesticide or
pesticidal device collected by an inspector at the producer, whole-
sale, or retail level.
• Documentary Samples. Copies of the label and/or labeling and
copies of any records showing shipment of the product and the re-
sponsible parties.
• Post-Seizure Samples. Actual samples collected from a lot of mer-
chandise that is in che custody of a U.S. court. A court order
must be entered before sampling, and these actions muse be carried
out in accordance with such orders.
FLFRA Compliance/Enforr*»m«»np
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Chapter Four Inspection Pile Review
• Induced Samples. Actual samples of pesticides or pesticidal
devices chat are not obtained by EPA official procedures (e.g.,
nocice of inspection, collection report, etc.). These samples ara
usually requested by mail. An induced sample is the least desir-
able method of obtaining a sample and should be used only vhen che
other methods have been exhausted.
• Import Samples. Actual samples of pesticides or pescicidal devices
chat are offered for importation into the United States from a for-
eign port. Proper documentation for import shipments should
include Customs entry papers, foreign invoices, and records showing
movement from che port of entry.
• Use Samples. Actual samples of the pesticide chat are collected
during a use inspeccion. This type of sample may be field col-
lected from a formulated pesticide, diluted pesticide, or as a res-
idue from plant material, animal tissue, soil, water, etc.
Investigational Samples. These include samples of pesticides or devices
collected for special investigation or information purposes. These samples
need not be collected from lots or stocks that have been packaged, labeled,
and released for shipment. No legal action can be taken on investigational
samples.
FIFBA Compliance/Enforcement 4-5 Guidance Manual 1983
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Chapter Four Inspection Pile Review
FLFRA Compliance/Enforcement 4-6 Guidance Manual 1983
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Chapter Four
3 Review of Adequacy of Evidence
Initial Review of che ID Jacket
Once the RCDO has received the ID Jacket, its contents oust be reviewed in
che context of che following considerations:
• Adequacy of che documentation (see below);
• Significance of violation (see Chapter Five for Level of Action
Policy); and
• Violative history of che firm (see Chapter Five for Level of
Action Policy). Violative history may be obtained from the FIJSA
and TSCA Enforcement System (FATES).
Adequacy of che Documentation
The initial phase of che review will focus on cwo aspects of che documenta-
tion:
• Thac ail necessary documentation and samples have been provided;
and
• Thac che documentation is adequate to prove che substance of che
violation as indicated by the results of che inspeccion.
The purpose of che-review is co develop a recommendacion for action on the
violation; either Co proceed wich an enforcement action or to dismiss che
violation as not worthy of prosecution.
In some instances, review will indicate possible violations noc documented
by che inspection. In these cases, the RCDO should seek to secure che
additional documencacion for che new violation. For example, chis may
require futher consultation with che inspeccor or forwarding che tile to
Headquarcers for an enforcement case review. When a violation is dis-
covered that is unrelated to che initial suspected violation, chac new via-
lacion should be pursued as a new accion.
FIF1A Compliance/Enforcement 4-7 Guidance Manual 1983
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Chapter Four ggrLeat of Adequacy of Evidence
Concents of the ID Jackec
The ID Jacket should normally contain che following i:aas:
Label of a Pescici.de or Device. The Label should either be an actual copy
(or photocopy) or a typewritten copy. The label should be Identified by
sample number, date of collection, inspector initials, and, if appropriate,
subsaople numbers.
Notice of Inspection (SPA Fora 3540-2) or Warrant. If an enforcement
action is being considered, a copy of the notice of inspection or warrant
may be obtained from the Establishment Inspection Report. The notice and/
or warrant should be reviewed to ensure the inspection adhered to che terns
specified in the documents.
Receipt for Sample. The written receipt should describe the sample and
verify that a duplicate sample, if requested, was given co che facility
official. The RCDO should verify sample identification numbers.
Collection Report. This is che official report of the sample collection.
The following should be verified from the report:
• The ID number appearing on the Collection Report should agree wich,
the number on the ID Jacket. For documentary samples, the notation
"DOC" will appear after the ID number; for investigational samples,
"I.W" will appear after the ID number; for post-seizure samples,
"P.S." will appear after che ID number; and import samples will be
identified by "Import";
• Date of shipment (from transportation records) of the sample;
• Amount of the product before sampling (the amount on hand must be
less than or equal to the amount shipped);
• Descriptions indicating number of samples and method of collection;
• Shipper of sample (from transportation records); and
• Reason for collection—either to document a suspected violation, or
as part of a "Market Basket Survey" of products without accompany-
ing documentation.
History of Official Sample (EPA Fora 35&0-17). This document is placed in
the ID Jacket by laboratory personnel once che physical sample has been
received by che laboratory for analysis. It shows whether che integrity of
the sample has been maintained during its stay at the laboratory. Each
time the sample seal is broken and resealed, it must be noted on the fora.
It is important for the RCDO to demonstrate that none of the samples
involved in the case preparation have been tampered with or contaminated
during collection, transit, storage, or analysis. An accurate accounting
PLPRA
-------
Chapter Four aaviev of Adequacy of Evidence
must be maintained co crace che possession of each sample from che aoner.c
of colleccion co tcs introduction as evidence. Accountability can be
checked by reviewing che following documents:
• Receipt for sample;
• Colleccion report; and
• Hiscory of official sample.
Laboratory Test Methods. Tesc methods employed in che analysis of pesci-
cide or pesticidal device samples fall inco two categories, official and
unofficial.
• Official Tesc Method. Refers co a cesc method accepted by a recog-
nized standard-setting organization, such as the Association of
Official Analytical Chemists (AOAC) or the American Society for
Testing and Materials (ASTM).
• Unofficial Test Method. Refers to a method that has not as yet
been accepted as a standard method but is employed by EPA in the
analysis of a sample because other reliable test methods are not
available.
Extreme care and judgment should be exercised in preparing enforcement
cases when unofficial test methods are used as the basis for evidence of a.
violation of che FIFRA. Consultations with Headquarters Case Development
Officers (HQCDOs) are strongly recommended before proceeding with enforce-
ment actions in these cases.
Laboratory Test Results. Test results are placed in the ID Jacket upon
completion of the analysis. Tests include:
• Sample Report of Analysis (EPA Form 3540-5), which shows the chemi-
cal composition of the sample collected versus composicion guaran-
teed by che registrant. Usually a cross-contamination will be
conducted by the laboratory and che percentage of contaminants, if
any, noted; and/or
• Efficacy test, which shows che effectiveness of che product.
Other Evidential Documentation. Suspected violations may also be documen-
ted by the inspector using the following support methods:
• Affidavit. Sworn statements taken by the Inspector relating to
personal first-hand knowledge of a potential violation. The affi-
davit may be used to substantiate the violation or to set the cir-
cumstances surrounding the violation. Careful review should be
made of che affidavit for evidence in support of an enforcement
action. The person making che affidavit must sign ic and be able
to personally verify che facts contained in the statement.
FITRA Compliance/Enforcement 4-9 Guidance Manual 1983
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Chapter Four Review of Adequacy of
The object of an affidavit is co obtain a clear and concise
record of factual information relating :o a suspected violation.
The oach taken by the person aaking che affidavit serves :a sub-
stantiate che truth of che scacament. Affidavits nay be used co
verify che dates obtained from a facility's records (e.g., ;-.e iaia
of shipment). Review should emphasize che admissibility of the
affidavit in court. This includes determining that t.-.e affisav.t
was properly executed and thac it contributes valid evidence :o ar.y
contemplated proceeding. The affidavit icself should contain tr.e
following:
- Identity of the affiant;
- The reason why the affidavit was taken;
- The pertinent facts in a simple narrative style, arranged in
chronological order; and
- A concluding paragraph indicating that the affiant read and
understood the statement.
In addition, any corrections made to the final copy must be ini-
tialed by the affiant.
• Statements. Similar in most respects to an affidavit except chat
statements are not taken under oath. Although not having' the same
weight in court, statements are taken for the same reasons and
under che same procedures as an affidavit. Statements can be used
to verify data collected during an inspection. For example, a
statement may be obtained from a facility representative as co a
date of shipment. Review should verify the person's identity and
the truth of the statement through a signature or some other writ-
ten or verbal acknowledgment.
• Printed Matter. This includes any brochures, literature, labeling,
or any other printed matter providing information concerning a pes-
ticide or pesticidal device including claims, directions for use,
contents data, or promotional information. For pesticides, review
of the printed matter directly relates to terms and conditions
specified in the registration. Printed matter aust be identified
by inspector's initials, dace of collection, and related sample
number.
• Photographs. The documentary value of photographs ranks high as
admissible evidence. Clear photographs of a relevant subject,
taken in proper light and at proper lens setting provides an objec-
tive record of conditions at the time of inspection. Review aust
ensure chat che photographs are clear, objective, and properly
identified. The photographs should be identified by location, pur-
pose, date, time, inspector's initials, and related sample number.
This information should be recorded on the photographs, or in che
inspector's field notebook, or both.
PIFRA
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WO
Chapter Four &evlev of Adequacy of Evidence
Drawings and Maps. Schematic drawings, maps, charts, and other
graphic records can be useful in supporting violation documenta-
tion. They can provide graphic clarification of site location rel-
ative co height and size of objects, and other information chac, in
combination with samples, photographs, and other documentation, can
produce an accurate, complete evidence package.
Review should ensure that drawings and maps are simple and free of
extraneous details. Basic measurements and compass points should
be included to provide a scale for interpretation.
Mechanical Recording. Records produced by an electronic or
mechanical apparatus can be entered as evidence. Review of charts,
graphs, and other "hard copy" should ensure relevance and
identity. The data collected should be identified by date of
collection, inspector's initials, and related sample number.
Further Processing of the ID Jacket—Enforcement Case Review
Once the ID Jacket has been initially reviewed by the RCDO, further devel-
opment of the case may be required at Headquarters. If so, the ID Jacket *
should be sent to the appropriate HQCDO who serves as coordinator for the
enforcement case review process. As peers of the case that may require fur-
ther processing include:
Product Registration Status. The scatus of a pesticide (registered or not
registered) is determined by the Registration Division after a search ot
their files. In some instances the Region may also wish to know whether a
pesticide registration is suspended or cancelled.
Pesticide or Device Determination. When a suspected pesticide is not
registered or is not under a Section 5 experimental use permit, then a
determination is made by the appropriate Registration Division official of
whether the product is a pesticide. Devices are reviewed to determine if
they are pesticidal in nature and if so whether or not they are exempt from
EPA regulation.
Labeling Review. Copies of all pesticide labels collected as part of an
inspection should be compared with the latest EPA-accepted label for that
pesticide and any major discrepancies noted. If the latest accepted label
is not present at the Regional Office, it should either be requested from
Headquarters or the corresponding ID Jacket should be sent to Headquarters
for review. In addition, questionable interpretations of label statements
should be classified by the Registration Division before the Regional
Office proceeds vith any enforcement action.
FI7RA Compliance/Enforcement 4-Li Guidance Manual 1983
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Chapter -OUT Review of Adequacy of Evidence
Scientific Review. If produce defects are noted as a result of laboratory
tests, :he ID JacL
-------
Ctiapcer Four BLeytew of Adequacy of Evidence
• Sources of Che pesticide or device; and
• Transporrsr of she pesticide or device.
Records providing chis information include:
• Bill of Lading;
• Freight 3i.ll;
• Parcel Post Cancellation Scamp;
• Invoice;
• Packing Slip;
• Purchase Order; and
• Receiving Report.
FLPRA Conpliaoce/Enforceaent4-13Guidance Manual 1983
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EXHIBIT H-l
INSPECTION REPORT EVALUATION GUIDE
The organization and format of an inspection report can vary based on the practice of the office
or program, the particular circumstances of the inspection, and the individual writing style of che
report writer. No matter what form the report takes, however, the report and its attachments should
contain the answers to the questions which follow.
Basic Inspection Information
Who prepared the inspection report?
Who signed the inspection report, and on what date?
Who performed the inspection (all participants)?
What is the name and location of the facility/site?
What is the facility/site's mailing address and telephone number?
What is the name and title of the responsible official who was contacted?
What was the reason for the inspection (e g.. routfne, response to a complaint, for cause)7
What are the names and titles of all of the government personnel who participated in the inspection0
Entry/Opening Conference
What are the facts about the entry (e.g., date, time, entry location, agent-in-charge)?
Is there documentation that proper entry procedures were followed?
Were all required notices and credentials presented?
Is there documentation that facility officials were informed of their right to claim information
confidential?
Were there any unusual circumstances about gaming consent to enter (e.g., reluctance, attempts to
limit inspection scope, attempts to place special requirements on inspectors)? How were they
handled?
Who was present at the opening conference? What topics were discussed?
17-17
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/
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EXHIBIT 17-1 (Continued)
Physical Sampling
What was the inspector's sampling plan for the facility/site?
What physical samples were collected at the site?
Are the sampling techniques used adequately explained?
Are all samples clearly tied to an identification number, location, purpose?
Are sampling conditions and other physical aspects of the sample (e.g., color, texture, viscosity)
described?
Were any deviations from the sampling plan and/or standard operating procedures (SOP)
adequately explained and documented?
Are chain of custody procedures documented?
Are the results of laboratory analysis clearly presented?
How do the sample results compare to permit limits?
Illustrations and Photographs
Are photographs taken during the inspection referenced? Properly documented?
Is there some information about the inspection that could be made easier to understand through
a diagram or sketch in the inspection report?
If sketches, diagrams, or maps are used, is the scale and/or other relationships shown clearly''
Interviews
What are the names and titles of facility officials and other personnel who were interviewed0
Are their statements clearly summarized?
What are the names and addresses of any other individuals who were interviewed or who were
witnesses?
Closing Conference
Is there documentation that required receipts for samples and documents were provided?
Is there documentation that facility officials were given an opportunity to make confidentiality
claims?
Are statements the inspector made to facility officials regarding compliance status, recommending
actions to take, or other matters noted?
17-19
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EXHIBIT 17-1 (Continued)
Documentation of Suspected Violations
The heart of the inspection report is really the documentation and substantiation of suspected
violations, which allows the Agency to determine whether a violation occurred, how and why it
occurred, and its seriousness. This substantiating information includes all of the evidence of
various kinds that has been collected. In an actual inspection report, some of the answers to the
questions on the preceding pages might be answered in the portion of the report which discusses
the evidence collected and other particulars regarding each suspected violation.
The inspection report should answer the following questions for each suspected violation.
Documentation of Suspected Violation
What regulation is suspected to have been violated?
What information proves thai the cited regulation applies to the facility/site?
Using the elements of the regulation as a guide, what information proves that the suspected
violation occurred?
What sampling methods (if appropriate) were used to determine that the violation occurred'' Are
any deviations from sampling methods adequately explained?
What information shows that possible exemptions to the rule do not apply?
Cause of Violation
Note: Not all programs require this information, but it may be useful even where not required
for such purposes as negotiating an appropriate remedy and penalty and for planning
future inspections. Causal information must be stated carefully so that it does noi
provide the violator with an excuse for the violation.
What information documents the possible cause of the violation (e.g., direct observations of guage
readings, production logs, physical appearance of materials, statements by facility personnel)"1
Is there any supporting information confirming/disapproving a possible claim of an upset or other
exempt activity?
17-20
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EXHIBIT 17-1 (Continued)
Other MIHaatlaa and Aggravating Fictora
The level or enforcement response is based on the seriousness of the violation. Civil penalty
amounts are based on the gravity and circumstances of the violation, which is usually a calculation
of the extent of the violation (e.g.. amount of material involved) and the extent of the actual or
potential harm that was or could be caused by the violation. This base penalty can be adjusted
upward or downward based on such factors as past compliance history, or efforts made by the
facility to correct the violation
The inspection report should contain information that will support the appropriate determination
of the seriousness and extent of the violation as well as other information that might be useful
in penalty calculation.
What is the seriousness of the violation (e.g., amount of emissions, length of time of excess
emissions, nature of emissions, location of source, perceived public impact)?
What harm resulted or could result from the violation?
What efforts did the facility make to correct the violation?
How difficult will it be to comply (e.g., availability of technology, cost of complying, time
required to correct the violation)?
What is the facility's past compliance history?
17-21
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17B OFFICIAL FILES
The official files related to an inspection or investigation comprise the Agency's legal
documentation of its activities. All original documents, data, and evidence related to an inspection
become part of the official records and should be treated as potentially admissible evidence in
legal proceedings. Further, the opposing side in an enforcement proceeding is likely to have
access as part of the discovery process. In criminal investigations, the Agency may turn over to
the opposing side literally every scrap of paper with a note jotted on it in order to comply with
the Jencks Act.
The inspector should always maintain a diligent and professional manner in recording notes of
conversations, planning meetings, interviews, inspection observations, sample and data collection
activities, and interactions with individuals related to the project. These notes should be prepared
immediately, or as soon after the interaction or observation as is possible, to avoid loss of
important details. All such records should be dated, legible, and contain accurate and complete
documentation. Their language should be objective, factual, and free of personal feelings or
inappropriate information. Avoid recording personal or irrelevant information where this
information may become part of official records.
Components of the Official Fllei
Historical Records
Historical records related to a project are probably already contained in the official files for the
facility being investigated. These records may include permit applications and associated
documentation; inspection plans and reports from previous inspections; reports of laboratory data
from samples collected during previous inspections or submitted by the facility; site maps, plans,
drawings, and descriptions; and photographs, photocopied records, and other physical samples or
evidence about the facility. All of these records are available to authorized inspection team
members, and should be used to provide a background of knowledge about the facility and its
history with the Agency. This information will often be valuable in planning an inspection
The Inspection File
The inspection file normally contains all of the records associated with an inspection. This file
is reviewed by case development personnel as part of the evaluation of whether an enforcement
response should be made to potential violations identified during the inspection, and if so. what
type of enforcement response should be made. A missing required inspection notice or incomplete
chain of custody record, for example, could jeopardize the Agency's ability to successfully
prosecute a violation.
17-23
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There are differences in statutory requirements as well as program and Regional policy and
practice, so no one list of file contents will be appropriate for all situations. The list of contents
which follows can serve as a guide to the types of records that should be kept in the inspection
file.
• Investigation reouests (if issued). If a written request was issued by another office (e g .
Headquarters or Regional program office) to conduct the inspection, a copy should be
included in the file.
• Communications,. For each inspection, communications may occur in many forms and
among many individuals. Copies of all official correspondence, possibly including
notifications of intent to conduct an inspection (both to the facility and to the State).
requests for data, and informational correspondence, should be included in the official
files. Records of telephone and personal conversations also should be included.
• Notice of Inspection. If the authority in the statute under which the inspection was
conducted requires presentation of a notice of inspection, the inspection file must contain
evidence that a written notice of inspection was presented. Case development personnel
will review it to ensure that the inspection adhered to the terms specified in the notice
• Verification of Credentials. Some EPA statutes also require that an inspector present
appropriate credentials to the owner, operator, or agent tn charge of the inspected
premises. Therefore, the inspection file should contain evidence that proper credentials
were presented.
• Inspection Confidentiality Notice. TSCA requires that facility officials be informed of
their right to claim inspection data as confidential business information (CBI) For all
TSCA inspections, the file should contain a copy of the CBI notice. It will be reviewed
for proper signatures and dates, as well as completeness.
• Declaration of Confidential Business Information and TSCA Confidentiality Clearance
References. These items are contained in the inspection file when materials have been
claimed as confidential. The Declaration collected during the inspection will be reviewed
for signatures, dates, and a complete listing of all documents and samples for which CBI
was claimed. The Clearance References will be checked to ensure that ail individuals
who handled or will handle TSCA-CBI held the appropriate clearances.
• Receipt for Samples and Documents. A receipt must be issued for all samples and
documents collected during inspection under some EPA statutes (RCRA, CERCLA,
TSCA); it is good practice under alj. statutes.
• Inspection (Project! Plan. The plan will be reviewed to ensure that it presented the
objectives, scope, logistics, and schedules for the inspection. Inspectors should be
prepared to* explain the inspection rationale and any deviations from the plan
• Narrative Inspection Report. Generally, a copy of both the draft and final versions of
the inspection report, including attachments, should be included tn the inspection file
However, some programs and Regions may have specific procedures for review and
retention of draft reports. The final report will be reviewed by case development
personnel for factual information, professional judgments, objectivity, and
comprehensiveness.
17-24
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ISO
Inspection penon Form. If the program has an inspeciion form or checklist that is
completed for each inspection, a copy should be included in the file.
Other Evidence. Other evidence that should be kept in the official files includes
photographs, copies of documents and records, statements, affidavits, drawings and
sketches, etc., collected during the inspection.
Custody Records. There should exist a complete inventory of sample tags and seals.
chain of custody records, and related materials that demonstrate the traceabihty and
proper identification of all samples taken during an inspection. Chain of custody records
include all of the following items:
- Official Chain of Custody Record forms used to record the custody of all samples
and other physical evidence collected during an inspection,
- Copies of Receipt for Samples forms (for RCRA, CERCLA, and TSCA samples) that
were provided to the owner or operator of the facility,
- Copies of letters authorizing laboratories to dispose of samples related to the project,
and
- Sample tags or labels from samples that have been destroyed by the laboratory
Laboratory Analyses. Test results from any laboratory analyses made in connection with
the inspection should be included in the inspection file.
Subpoena. If a subpoena was issued, a copy must be included in the inspection file It
will be reviewed to ensure that it was issued properly and that there was compliance with
the requirements of the document.
Warrant. If a warrant was issued, a copy of the warrant application, warrant, and
inventory should be in the file. These will be reviewed to ensure the warrant was
properly issued and that the inspection complied with its terms.
Field Loabook. The bound field logbook used by the inspector to record his or her field
activities on the inspection becomes part of the official file (although it may not be
physically located in the file itself). Once completed, the logbook becomes an
accountable document, it does not belong to the inspector.
17-25
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PC EVIDENCE AUDITING
Cases developed by EPA and referred to the Department of Justice for potential civil litjgation
must be based upon rigorously documented evidence and supporting data in order to minimize
delay in filing, facilitate discovery proceedings, present a convincing case for the EPA and DOJ
attorneys engaged in pre-trial negotiations, and finally, to prevail in the courtroom. Prior to
development of the evidence auditing program, EPA Headquarters and Regional staffs had
followed widely varying approaches to the preparation of referral packages and supporting
documentation.
The types and volume of documents relating to a case are often overwhelming. For instance, a
single hazardous waste case may involve 100,000 or more documents. The attorneys are
confronted with difficult tasks of assembling and organizing all documents, preparing witness lists.
and extracting information necessary to conduct interrogatories and depositions.
Documents supporting EPA civil referrals may originate in Regional and Headquarters program
offices. State files and/or contractors performing support services for the Agency. In addition,
records obtained from prospective defendants often are so voluminous and/or disorganized that
it is difficult for the EPA/DOJ case management team to effectively review them. Lack of
sufficient assembly and organization of this material becomes obvious at the time of discovery or
during settlement and negotiation discussions.
The consequences of all these factors may include unknowingly exposing case strategy,
inadvertently releasing privileged or confidential 'material, or being unaware of documents that
could strengthen or weaken the case. The Agency position is vulnerable to attack if the EPA/DOJ
case management team is not assured of both the integrity of the supporting documentation, and
a case file that is organized for rapid and efficient access.
Evidence Auditing Program .
An evidence audit includes the review, inventory and organization of the documents that make
up a case file. The audit of a simple case may involve only the assembly and handwritten
compilation of the documents present and a review of the case files to ensure that all pertinent
documents are present. The audit of a highly complex case may involve, in addition to assembly
and inventory of documents, computerized listings and sophisticated categorization, construction
of evidence profiles, and elaborate formatting as an aid to understanding the material content
The evidence audit system is designed to: (1) establish an overall case document control system.
(2) provide quick and complete access to records, and (3) provide a means for assuring
admissibility of the evidence. The system is flexible to accommodate the increase of material as
the case progresses, and is adaptable to changes in case strategy.
17-27
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With the advent of the hazardous waste enforcement programs and the conduct of a major portion
of the Agency's hazardous waste site investigations by contractors, the National Enforcement
Investigations Center was assigned responsibility for making evidence audits available to Regional
and Headquarters staffs for enforcement case referrals developed as a result of these activities
Evidence audits lend a major advantage to the case development process by enhancing the
supportive rationale and development of legal strategy of cases; detecting flaws in evidence with
a timeliness that permits repair; avoiding presentation of questionable evidence in the courtroom,
and perhaps most importantly, conserving the time and case handling capacities of the attorneys
and Regional and Headquarters staff.
The NEIC, through its evidence audit capability, has developed an additional litigation support
service to assist Regional case management teams with large and complex cases. The procedures
provide for assembling records; categorizing, marking, and inventorying documents; and making
microfiche copies.
17-28
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17D OFFICE SECURITY MEASURES
Security measures must be taken to protect all inspection data (including documents, samples, field
notes, and other documentation) collected by the inspectors. In addition to the routine security
measures that are always taken with regard to inspection data, the declaration of certain
information as TSCA confidential business information (TSCA-CBI) imposes a further layer of
security procedures designed to control access to the information within the Agency.
Routine Inspection Data
Routine inspection documents and field notes must be kept in a locked file cabinet when not in
actual use.
Confidential Business Information
Sometimes facility officials will claim data on a non-TSCA inspection as confidential business
information. While Regional and office policy may vary, usually only personnel authorized by
the Regional Administrator, Division Director, or Branch Chief are allowed access to the file.
An access log should be made for all transactions.
Copies of information marked "trade secret" and/or "confidential" should not be made withdut
explicit authorization from one of the individuals named above.
Requests for access to confidential information by any member of the public, or by an employee
of a State, local, or Federal agency are generally handled according to the procedures contained
in the Freedom of Information Act regulations (40CFR). All such requests are referred to the
responsible Regional or Headquarters organizational unit.
TSCA-CBI Security Procedure!
In addition to all the routine security measures that must be taken for any inspection data, the
further procedures discussed below must be followed with regard to information declared TSCA
Confidential Business Information.
• If the inspector has confidential business information in his or her possession from an
inspection when he or she returns to the office, the inspector should check it in with the
Document Control Officer (DCO) immediately upon his or her arrival.
• The Document Control Officer should be informed of any physical samples that were
declared confidential. It is the responsibility of the DCO to notify the laboratory of the
Document Control Number (DCN) assigned to the sample which should appear on the
sample chain of custody and laboratory analysis reports. If a copy of the laboratory
analysis is sent to the firm, it must be sent by registered mail in a double envelope.
• After the documents have been logged in by the DCO, they must then be handled m
accordance with the procedures detailed in the TSCA-CBI Security Manual.
17-29
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Chapter Seven
3 Complaint Preparation and Filing
Civil Penalty Complaint Criteria
As was previously discussed la Chapter Five, a civil penalty action is
warranted when the violation presents a real (but not an extreme and
unreasonable) risk to humans or the environment; is likely to be an
isolated occurrence; is apparently the result of ordinary negligence,
inadvertence, or mistake; and either:
• Involves a first offense under the Act by any registrant,
commercial applicator, "for-hire" applicator, wholesaler, dealer,
retailer, or other distributor (no prior warning is required by the
Act); or
• Involves a private applicator or other person (other than any party
specified above), who has received a prior warning or citation cor
a violation of the Act. (The prior warning or citation may have
been for the same or a different FIFRA violation.)
Issuance of a complaint initiates a FIFRA Section 14(a) administrative
penalty action.*
Involvement of Multiple Respondents in a Single Violation
Frequently, the distribution of pesticides or devices in commerce will
involve more than one party before the product is ultimately purchased for
use. These multiple-party relationships are known as "distribution
chains." Some examples of distribution chains include:
• A distributor who is also the registrant of a pesticide and the
company that produces the pesticide for this distributor/
registrant; and
* The complaint also serves to satisfy the notice and opportunity to be
heard requirement for those actions subject to Section 9(c)(l) of FIFRA.
Compliance/&iforc«vant 7-45 Guidance Manual 1983
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Chapter Seven Complaint Preparation ma
• A producer who holds a registration for a pescicide and a retailer
who sells che producer/registrant's pescicide.
Under certain circumstances, more than one party in a distribution chain
nay be legally responsible for che same produce violation. Pesticide
enforcement officials nay cite multiple respondents in administrative cases
for an identical violation where it is determined that:
• The distributor/registrant and/or producer has no mechanism and has
made no effort to determine the reliability of ics supplier or
packager;
• The violacive produce bears che name of a registered distributor
even when no physical contribution was made to a processing or
packaging error and there was no knowledge of the violation; or
• The violacive produce bears che name of a discributor who is not
che discributor/registrant buc whose name provides a basis for
consumer reliance.
Nonregiscered reeallers (functioning as "mere conduits" standing next to
the ultimate consumer in che chain of distribution) may, ac the
complainanc's discretion, be spared a civil penalty action in favor of a
Seceion 9(c}(3) notice of warning or an enforcement correspondence if:
• The violacive produce does noe bear che retailer's name; or
• The violacive produce bears the retailer's name buc the name does
noe provide che basis for consumer reliance.
A producer who is not a regiscranc buc who funccions as an agent of the
registrant, and whose liability is based solely on che legal relacion with
che regiscranc may, ac che complainant's discrecion be similarly created.
In che case of a single violation involving multiple respondents from
muleiple Regions, designation of regional Jurisdiction over che cases or
consolidation of cases thus arising will be determined jointly by che
involved Regions and Headquarters PTSCMS on a case-by-case basis.
Delegated Auchoricy
Regional Administrator
The Regional Administrator is co exercise all powers and duties as
prescribed or delegated under the Act and the CROP. In addition, che
ac
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Chapcer Seven Coaplalot Preparation and Filing
Regional Administrator* has been delegated Che authority to:
• Issue administrative complaints;
• Evaluate the appropriateness of civil penalties; and
• Negotiate and sign consent agreements memorializing settlements
between the Agency and respondent prior to the alleged violator's
filing of an answer or failure to file an answer to a complaint.
The Regional Administrator, however, must consult with the Regional
Counsel's office before exercising any of the above authorities.
In addition, the Regional Administrator aust consult (verbally or
in writing) with Headquarters PTSCMS in the following instances:
- Routine misuse cases (verbal),
- Exceptional misuse cases of first Impression or of unusual
national importance (written), and
- Settlement reductions of more than 40 percent of the penalty
amount originally proposed (written).
In every proceeding, the Regional Administrator will rule on all motions
filed or made before an answer to the complaint is filed. 22.16(c)
Regional Judicial Officer
A Regional Administrator may delegate all or part of his or her authority
to act in a given proceeding to a Regional Judicial Officer. Any such
delegation is to be performed in accordance with the CROP.
A Regional Judicial Officer may exercise any authority delegated to him or
her by the Regional Administrator, or the Regional Judicial Officer may
refer any case or notion to the Regional Administrator when such referral
is appropriate. 22.04
* The Assistant Administrator for Pesticides and Toxic Substances may also
exercise these authorities in multi-regional cases or cases of national
significance. However, he or she must consult in advance with the
Associate Administrator for OLEC or his or her designee and must notify
any affected Regional Administrators or their designees when exercising
any of the above authorities. These authorizations are redelegable to
the Division Director level.
Compliance/Before*—at ttl Guidance Manual 1983
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Chapter Seven Complaint Preparation and Piling
Presiding Officer
The Presiding Officer is co conduce a fair and impartial proceeding, ensure
chat che faces are fully elicited, adjudicate all issues, and avoid delay.
The Presiding Officer has che authority, under 22.04(c), to:
• Conduct administrative hearings under these rules of practice;
• Rule upon motions, requests, and offers of proof; dispose of
procedural requests; and issue all necessary orders;
• Administer oaths and affirmations and take affidavits;
• Examine witnesses and receive documentary or other evidence;
• For good cause, upon motion by a party or sua sponte (i.e., upon
his own motion), order a party or an officer or agent thereof to
produce testimony, documents, or other nonprivileged evidence and,
failing the production thereof without good cause being shown,
draw adverse inferences against that party;
• Admit or exclude evidence;
• Hear and decide questions of facts, law, or discretion;
• Require parties to attend conferences for the settlement or
simplification of the issues, or the expedition of the proceedings;
and
• Do all other acts and take all measures necessary for che
maintenance of order and for the efficient, fair, and impartial
adjudication of issues arising in proceedings governed by che CROP.
FIFRA Penalty Assessment Considerations
Factors for Determining Penalty Amount
Section I4(a)(4) of F1FHA requires that che Agency consider che following
factors in determining the initial penalty amount. Information impacting
on this determination may be obtained from financial reports (e.g., Dun and
Bradstreet), corporate reports, and reports filed with other government
agencies such as the Securities and Exchange Commission.
• The Size of the Business of the Person Charged. As applied co
violators subject to Section 14(a)(l) of the Act and "for hire"
applicators under Section 14(a)(2), size of business should be
interpreted to include total business revenues from total business
operations of the business entity to which that product in
violation is attributable.
FI7KA Compliance/Safari
_/. O
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m
Chapter Seven Complaint Preparation and Filing
Where a subsidiary company is validly separable as an entity
discrete from its parent, it should be considered alone. Where
pesticide production is a constituent part of a total business
operation Involving numerous nonpesticide products, size of
business shall be based on total revenues. This determination
should be based on acceptable accounting procedures.
The proportion of the pesticide's component to the total
diversified activities of the respondent, profit versus loss, ecc.,
may be considered for purposes of mitigation, but should not be
entered at the outset when initial penalty assessment is determined
based on consideration of the size of the business.
The Effect on the Defendant's Ability To Continue in Business.
Should there be evidence at the outset that the proposed penalty
will affecc the respondent's ability to continue in business, the
initial assessment should reflect this consideration and such
mitigation as is appropriate.
Should it be clear at the outset that the respondent will be unable
to pay the proposed penalty (evidence of bankruptcy or busines
loss available in rare circumstances when the violation is
discovered), a penalty complaint should be filed nonetheless noting
the absence of any assessment based on inability to pay and follow-
through to an appropriate final order. In such case, respondent
retains the right to contest such complaint and allegation of
violation. (In no other situation should "zero" penalty occur.)
In the absence of information about respondent's inability to pay,
the initial presumption will be that the assessment of the proposed
penalty will not affect respondent's ability to continue in
business.
In no case should a threat by respondent to go out of business
voluntarily if a penalty is assessed be considered as evidence of
inability to pay.
The Gravity of the Violation. The gravity of any violation is a
function of the following factors [see Amvac Chemical Corporation
I.F.4R. Mo. IX-4CU974)]:
• The potential to injure humans or the environment,
- The severity of the potential injury,
- The scale and type of product use anticipated,
- The identity of the persons exposed to the risk of injury,
- The extent to which the applicable provisions of the Act were in
fact violated,
- The violator's history of compliance and actual knowledge of the
Act, and
- Any evidence of good faith.
fVU. Compliance/Bnfore at 7-<*9 Guidance Manual 1983
-------
Chapter Seven ComgUittt FrtW*Cioo and
History of compliance and good faith may be considered to include activi-
ties under FIFKA as amended ia 1972, 1975, 1978, and under the 1947 FIFRA,
provided that such history does not include any complaint or notice to
which respondent made answer or explanation and which was not further pur-
sued by the complainant [see In Re Beaulieu I.F.iR. No. IX-IOCC1974)}. \
prior notice without any further action may be considered by the complai-
nant in determining the issue of respondent's prior knowledge of the Ace.
Penalty Assessment Guidelines
EPA has established a penalty assessment system that initially assesses a
penalty amount based on the nature and extent of the violation and then
adjusts this amount in consideration of mitigating or exacerbating fac-
tors. The guidelines for assessing civil penalties are provided in
Appendix 6 of this manual.
Independently Aaaessible Charges
A separate civil penalty should be assessed for each violation of the Act
that results from an independent act (or failure to act) by the respondent
and is substantially distinguishable from any other charge in the complaint
for which a civil penalty is to be assessed. A given charge is independent
of, and substantially distinguishable from, any other charge when it
requires an element of proof not needed-by the others. (See Elements of a
Violation; Administrative in Section 2 of this chapter.) Not every charge
that appears in a complaint can be separately assessed. Where a charge
derives primarily from or merely restates another charge, a separate
assessment is not warranted. Charges that do not support a separate
assessment are to be indicated in the complaint as "lesser included
charges."*
Multiple Misbranding
Multiple instances of pesticide and device misbranding, however, are apt
independently assessible when there is a shipment of a single pesticide
* See In the Matter of Pearson 5 Company. I.D. ttes. 88176, 88468, 90943,
Initial Decision by ALJ Bernard D. Levinson, May 31, 1974; and In Re;
Chapman Chemical Company. I.D. No. 104559, amended Final Order by R. A.
Jack E. Ravan, July 29, 1975. See also Blockburger v. United States,
284 U.S. 299 (1932); and Tescipna v. aunter. 151 F.2d 589 (10th Cir.
1945).
FIFBA Compliance/Baforc 5t V50 Guidance Manual 1983
-------
Chapter Seven Coaplalnt Preparation and Filing
produce.* Multiple oisbrandings muse appear eicher:
• fa lesser included charges to accompany a count of misbranding; or
• As allegations in a single count.
In either case, only a single civil penalty should be assessed. The
gravity of the single violation involving several label deficiencies,
however, may be determined to be greater than that of a violation involving
only one misbranding. Thus it may support a higher penalty than chat
proposed for a single mi3branding. A proposed penalty may be derived by
locating on the penalty matrix a figure for one of the misbranding
violations and increasing that figure up to as much as 35,000. The
increase would depend on the number and/or seriousness of the additional
ai3brandings, as well as whether they are cited as primary or lesser
included charges.
Complaint Preparation
Since the complaint initiates an administrative civil penalty action and is
the focal point for all subsequent proceedings, it must be as complete as ^
possible. Failure to file a complaint that meets the standards and proce-
dures outlined la this chapter may:
• Cause a delay in the proceedings;
• Prevent the complainant from being granted a motion for default
under Section 22.17 of the CROP; and
• Make the complainant subject to adverse motions by other parties to
the proceedings.
Checklist of Complaint Requirements 22.14(a) **
The following elements are considered necessary to establish the legal
sufficiency of a civil penalty complaint:
1. Statement reciting the section(s) of the Act authorizing the
issuance of the complaint;
* See In the Matter of Hawk Industries, Inc., I.F.&R. Docket No.
II-120-C, issued by ALJ Bernard 0. Levlnson, December 21, 1976.
** The numbers to the left of each of the following items correspond to
numbers in Exhibit 7-1, which shows a sample complaint. The numbers in
the exhibit identify examples of each kind of information.
KinA Cc pllaace/bforcat 7^51Guidance Manual 1983
-------
Chapter Seven Complaint Preparation and Flllnz
2. Specific reference co each provision of che Ace and co che
regulations chac che respondent is alleged co have violated;
3* Concise scacemenc of che factual basis for alleging che violation;
4. Scacemenc explaining che proposed penalty;
5. Copy of the Agency's "Guidelines for the Assessment Section 14(a);
Citation Charges for Violations," 39 Fed. Reg. 27711 (1974);
6. Proposed amount of civil penalty to be assessed;
7. Notice of respondent's right to request a hearing on any material
fact contained in the complaint or on the appropriateness of che
amount of the proposed penalty;
8. Copy of che Consolidated Rules of Practice (CROP);
9. Notice of opportunity for an informal settlement conference; and
10. Date and signature with notation of title of a duly authorized
official of che Agency.
Elements of the Complaint
The discussion under each element of the complaint gives the purpose of che
element and in some cases che reason for its particular place in che
complaint.
Caption
Identification of Respondents (A.).* Respondents, or chose against
whom che complaint is filed, are co be accurately and individually
identified on the Left side of the caption.
Docket Number and Subjects of the Complaint (B). The I.F.&R.
Docket Number and natters addressed in the complaint are co be
properly identified on che right side of the caption. Docket
numbers are assigned by che Regional Hearing Clerk. The docket
number designates che Region involved in Roman numerals followed by
che case number (e.g., I.F.&R. Docket No. IX-10C). The docket
number must be accurately reflected in the caption, because it is
the identifying number for all subsequent documents filed in che
proceedings.
* The letters in parentheses to the right of each element correspond Co che
letters in Exhibit 7-1.
run* UDBpllance/ttLforci at 7-52 Guidance Manual
-------
Chapter Seven Complaint Preparation and Filing
Jurisdictional Authority (C)
The complaint oust contain a statement of jurisdictional authority chac
informs the Presiding Officer and the respondent of the statutory auchoricy
under which the complaint is issued. This statement should be in the
beginning of the complaint and should be as specific and precise as
possible.
22.14(a)(l)
Factual Allegations (D)
In this section of the complaint, the specific facts of a particular
violation are tied to the statute, rule, regulation, and/or order that
allegedly has been violated.
The goal of this section is to adequately inform the Presiding Officer of
the alleged violations and to inform the respondent of the charges so chat
an adequate response can be prepared.
Violations are identified by the particular sample (ID) number.
In the event of a complaint containing multiple sample (ID) numbers, the
discussion of each separate sample (ID) should contain an enumeration of
the facts and circumstances of each separate violation related to that
sample. The proposed penalty assessment should Include an enumeration of
the dollar amount proposed for each violation charged with respect co chat
sample or an indication chat a particular charge is "lesser included" and
bears no penalty assessment. The factual allegations of the complaint,
including multiple samples, should be separated into paragraphs.
In making factual allegations, the key word is "concise." "Conciseness"
means that all material faces necessary co establish the factual basis for
each violation are specified, while extraneous or Irrelevant information is
omitted. Although the purpose of this section is only to inform che
respondent and Presiding Officer of the facts that the alleged violation is
based on, all relevant facts should be included rather than risk failure co
meet che requirements set forth in the CROP. For instance, even chough che
respondent may have been present when certain facts were ascertained, chose
facts must still be included to inform the respondent and the Presiding
Officer of their legal significance.
Z2.14(a)(3)
Citation of Legal Requirements Violated (E)
The citation of the particular provision of the statute, regulation, rule,
or order that allegedly has been violated must be aa specific as possible.
For example, if the complaint alleges a violation of Section 12 of FIFRA,
the specific subsection under Section 12 chac is the basis of the violation
must be cited [e.g., misuse of pesticide l2(a)(2)(G)1.
22.14(a)(2)
at 7-53 Outdance Manual 1983
-------
Chapter Seven Complaint Preparation and Piling
Amount of Civil Penalty and Rationale (F, G)
This section of the complaint la intended to:
• Explain the reason for the proposed penalty (F) in a manner chac
reflects the fact that the Agency has considered the penalty
assessment factors specified by Section 14(a)(4) of FIFRA. Every
detail of the Agency's reasoning process need not be reflected;
however, the section should state that che FIFRA criteria vere
considered in assessing the penalty. In order to help meet che
statutory requirement without unnecessary elaboration, a copy of
the Agency's policy in assessing FIFRA civil penalties should be
attached to the complaint; and
22.U(a)(5)
• Specifically identify the proposed penalty amount (G).
22.14(a)(4)
Right to Request a Hearing (H)
The respondent must be informed of the right to request a hearing
concerning any material fact contained in the complaint or concerning chefc
appropriateness of the amount of the proposed penalty. The respondent
should be referred to a copy of the CROP, which is attached to the
complaint, for information concerning the request for a hearing and che
consequences of failing to request a hearing.
22.14UH6)
Notice of Opportunity for an Informal Settlement Conference (I)
The Agency encourages all parties against whom a civil penalty proceeding
has been initiated to pursue the possibility of settlement through informal
conferences with the Agency. Therefore, the respondent should be informed
that, regardless of whether a hearing is requested, a request for informal
settlement conference may be made. The respondent should be cautioned,
however, that a request for an informal conference does not stay the
running of the 20-day time period for requesting a hearing and filing an
answer.
Signature Block (J)
The complaint must be dated and signed (with notation of cicle) by a duly
authorized official of che Agency.
xiance/oixorc it 7-54
-------
Chapter Seven Complaint Preparation and Piling
Service of the Complaint
The respondent is served with a copy of the complaint in either of the
following inanners:
22.05(b)
• Personal service. The complaint and accompanying documents are
left with the respondent or an authorized representative; or
• Service by certified mail, return receipt requested. The complainc
and accompanying documents are mailed to the respondent or an
authorized representative.
Personal Service
For personal service on an individual at a business address, the complaint
is left with the respondent or a person who is in charge of the office,
such as an office manager, or a person who is responsible for the
respondent's administrative affairs, such as a personal secretary.
For personal service on a corporation, company, or association, the
complaint is left with an officer, partner, managing or general agent, or
any other person authorized by appointment or by Federal or State law to
receive service of process.
For personal service on a named individual at a residential address, the
complaint Is left with any person of suitable age and discretion who
resides there.
Service by Mail
If the complaint is addressed to an individual person, it should be mailed
to the last known business address by certified mail, return receipt
requested.
If the complainc is addressed to a corporation, company, or association, it
should be mailed, return receipt requested, to the last known address of an
officer, partner, managing or general agent, or any other person authorized
by appointment or by Federal or State law to receive service of process.
The return receipt establishes that the complaint was received on a
particular date.
The receipt should be attached to the original complaint, which is retained
by the Agency. If no return receipt is obtained, another letter should be
sent. If no receipt is again obtained, personal service may be necessary.
FIFHA Compliance/ailorcement7^55 Guidance Manual 1983
-------
Chapter Seven Complaint Preparation and Piling
Service Upon U.S. Government Officials or Agencies
Service upon an officer or agency of the United States must be made by
delivering a copy of the complaint to the officer or agency, or in the
manner prescribed by applicable regulations. If the agency is a
corporation, service may be either personal or by certified mail directed
to an officer, partner, managing or general agent, or any other person
authorized by appointment or law to receive service of process.
Service on State or Local Government Entities or Officials
Service upon a State or local unit of government, or a State or local
officer, agency, department, corporation, or other instrumentality oust
either be made in the manner prescribed by State lav or upon the chief
executive officer of the governmental unit or the State or local officer.
22.05(b)(l)(iT)
Certificates of Service
Proof of service oust be made either by a properly executed affidavit of
service (Exhibit 7-3) for personal service, or by a properly executed
return receipt, for service by mail. A certificate of service must be
filed with the original complaint.
22.05
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Chapter Seven
166
Exhibit 7-1
Saaple Covplalne
UNITED STATES
ENVIRONMENTAL PROTECTION AGENCY
BEFORE THE ADMINISTRATOR
In re:
(A)
Firecog Industries, Inc.
36 Sunshine Drive,
Clark, MA 028S6
Respondent
I.F.&R. Docket Mo. 1-420C (B)
COMPLAINT
AND
NOTICE OF OPPORTUNITY
FOR HEARING
COMPLAINT
(C)
«•
This civil penalty action is instituted pursuant co the authority vested
in the Administrator of the United States Environmental Protection
Agency by Section 14 (7 U.S.C. §1361] of the Federal Insecticide,
Fungicide, and Rodent icide Act, as amended (hereinafter referred to as
FIFRA). The complainant in this action is John Doe, Division Director,
Enforcement Division, Region I, United States Environmental Protection
Agency, who has been duly authorized to institute this action. The
respondent in this action is Firetog Industries, Inc.
Allegations or Counts (D)
This is to notify you that there is reason to believe respondent has
violated Section 12 [7 U.S.C. Sl36jJ of FIFRA. The pesticide listed
below is not in compliance with provisions of FIFRA as specified.
.
I.D. No. 152049 - MOLD STOP (EPA Registration No. 3681-3), which
was being held for sale or distribution by your establishment in Clark,
Massachusetts, on January Z9, 1983, was:
I. Mis branded in that the label stated, in part:
-* * *
MOLD
STOP
* * *
ACTIVE INGREDIENTS: 25Z Propionic Acid
* * *"
FITBA GrapUaaca/bforc at
7-57
Guidance Manual 1983
-------
Chapter S»ven Bahlblt 7-1
whereas, when tested, the product did not contain 25% Propionic Acid.
[FIFRA §l2(a)(l)(E), 7 U.S.C. § I36j(a}(1)(E); FIFRA §2(q)(l)(A), 7
U.S.C. Sl36(q)(l)(A)J
2. Adulterated in that its strength or purity fell below che professed
standard or quality under which it was being held for sale. [FIFRA
§12(a)(l)(E), 7 U.S.C. §136j(a)(1}(E); FIFRA §2(c)(l), 7 U.S.C.
§136(c)(l)]
(When analyzed, the product was found to contain only 13.31% and
14.23Z Propionic Acid in two separate tests.)
Proposed Civil Penalty (F)
In arriving at the assessment of che penalty specified below, the
Environmental Protection Agency, as required by Section 14(a)(4) of
FIFRA [7 U.S.C. Sl361(a)(4)], has taken into consideration the
following factors concerning the respondent:
• The size of respondent's business;
• The respondent's ability to continue in business, in light of the
proposed penalty; and
• The gravity of the alleged violation.
Agency policy with respect to assessment is governed by the Environ-
mental Protection Agency's "Guidelines for the Assessment Section
14(a); Citation Charges for Violations" [39 Fed. Reg. 27711 (1974)1, a
copy of which is attached to this complaint.
(C)
Based on the above considerations, the Environmental Protection Agency
proposes to assess a civil penalty in the amount of three thousand,
seven hundred and forty dollars (33,740) against Firetog Industries,
Inc.
Hotice of Opportunity To Request a Hearing (H)
This administrative civil penalty proceeding will be conducted pursuant
to the Consolidated Rules of Practice (CROP) [40 C.F.R. 522.01 et
seq. ], a copy of which accompanies this complaint. Pursuant co~che
CROP, you have the right to request a hearing to contest any factual
allegation set forth in the complaint or the appropriateness of the
proposed penalty. In the event that you wish to request a hearing and
to avoid having the above penalty assessed without further proceedings,
you oust file a written answer to this complaint with the Regional
Hearing Clerk, United States Environmental Protection Agency, Region 1,
John F. Kennedy Federal Buidling, Boston, Massachusetts 02203.
FIFIA Go pliaace/Enforc at 7-58 Guidance Manual 1983
-------
Iff
Chapter Seven Exhibit 7-1
If you do not request a hearing or file a written answer within twenty
(20) days of receipt of this complaint, the above penalty will be
assessed without further proceedings, and you will be so notified.
Settlement Conference (I)
The Environmental Protection Agency encourages all parties against whom
a civil penalty is proposed to pursue the possibility of settlement as
a result of informal conferences. Therefore, whether or not you
request a hearing, you may confer informally with the Agency concerning
(I) whether the alleged violation in fact occurred as set forth above,
or (2) the appropriateness of the proposed penalty in relation to the
size of your business, the gravity of the violation, and the effect of
the proposed penalty on your ability to continue in business. The
request for an informal conference does not stay the running of the
twenty (20) day time period for requesting a hearing and filing an
answer. To explore the possibility of settlement in this matter,
contact Ms. Kate Smith, Enforcement Division, United States
Environmental Protection Agency, Region 1, John F. Kennedy Federal
Building, Boston Massachusetts 02203, telephone (312) 989-9876.
0.
John Doe
Director, Enforcement Division
Date: At:
Enclosures: FIFRA, as amended
Guidelines for the Assessment Section 14(a); Citation
Charges for Violations
Consolidated Rules of Practice (CROP)
PI7BA CompUance/ftiforc at 7-59 Guidance Manual 1983
-------
Chapter Seven iMi-tblt 7-2
Sopla Cover Letter
UNITED STATES
ENVIRONMENTAL PROTECTION AGENCY
Region I
John F. Kennedy Federal Building
Boston, MA 02203
CERTIFIED MAIL
RETURN RECEIPT REQUESTED
G.B. Stubbs, Registered Agent
Flretog Industries, Inc.
36 Sunshine Drive,
Clark, MA 02856
Dear Mr. Stubbs:
Aa che enclosed complaint and notice of opportunity for hearing
indicates, che United States Environmental Protection Agency has
initiated an administrative civil penalty proceeding against Firecog
Industries, Inc., for violations of the Federal Insecticide, Fungicide.,
and Rodenticide Act, as amended (7 U.S.C. §136 et seq.).
It is suggested that you carefully "read and analyze the complaint and
the enclosed Consolidated Rules of Practice (40 C.F.R. §22.01 et aeq.)
so chat you are fully apprised of the alternatives offered co you in
considering the alleged violation, proposed penalty, and opportunity
for a hearing. You will note that you have only twenty (20) days from
your receipt of this notice within which to file an answer to che
enclosed complaint with the Regional Hearing Clerk, United Staces
Environmental Protection Agency, Region 1, John F. Kennedy Federal
Building, Boston, Massachusetts 02203. Failure to file a timely
answer, in writing, will result in a default order being entered
against you for the full amount of the assessed penalty.
The Agency encourages all parties against whom a civil penalty
proceeding has been initiated to pursue the possibility of settlement
through informal conferences with the Agency. Therefore, regardless of
whether you request a hearing, you are extended che opportunity co
request an informal settlement conference. To request a conference,
please write co Ms. Race Smith, United States Environmental Protection
Agency, Region 1, John F. Kennedy Federal Building, Boston,
Massachusetts 02203, or telephone Ms. Smith at (312) 989-9876. Any
discussion you may have with Ms. Smith will not affect che time period
in which you are permitted to request a hearing or file an answer co
che complaint.
Sincerely,
John Doe
Enclosure Director, Enforcement Division
FUR* Compliance/Enforcement 7-60 Guidance Manual 1983
-------
\f\fi
Chapter Seven Exhibit 7—3
Model Affidavit of Service
AFFIDAVIT OF SERVICE
UNITED STATES OF AMERICA
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
I hereby certify thac being a person over L8 years of age, I served a
copy of che within complaint
(check one) ( ) in person
( ) by registered mail, return receipt requested
( ) by leaving the copy ac principal place of business,
which is
( > (vrite in other method, such as leaving it at dwelling,
serving registered agent of corporation, etc.)
on the person named in the complaint on (month, day, and year).
(Signature of person malting service)
(Name of person making service)
(Title, if any)
F1FBA Compliance/biorc at 7-61 Guidance Manual 1983
-------
INSPECTOR SAFETY PROCEDURES AND EQUIPMENT
-------
ni
SAFETY
ENVIRONMENTAL SAMPLING
MELDS - RE-ENTRY DIRECTIONS ON LABEL
• AFTER ANY APPLICATION, WAIT UNTIL OUST AND SPRAY HAS SETTLED ANO
FOLIAGE IS DRY BEFORE RE-ENTRY
• OTHER - COMMON SENSE DERMAL PROTECTION FORMULATION SAMPLING - LABEL
APPLICATION OBSERVATIONS
FIELDS - STAY UPWIND AND WATCH FROM VEHICLE
Ft-.uGATION - AIR PURIFYING RESPIRATOR INSUFFICIENT
SPILLS AMD EMERGENCY RESPONSE - LABEL ANO GUIDES TO CHEMICAL HAZARDS
POISONING
SKIN IRRITATION - REDNESS, ITCHING, PIMPLES, SWELLING, BLISTERING,
ALLERGIC REACTION
EYE, NOSE, MOUTH ANO THROAT - STINGING, SWELLING
INTERNAL
LUNGS - SHORTNESS OF BREATH, CLEAR SPUTUM, PRODUCTION, RAPID
BREATHING
G.I. TRACT - NAUSEA, VOMITING, ABDOMINAL CRAMPS, DIARRHEA
NERVOUS SYSTEM - EXCESSIVE FATIQUE, SLEEPINESS, HEADACHE, MUSCLE
TWITCHING, LOSS OF SENSATION
FOR ANY POISONING THE TYPE OF PESTICIDE AND THE PESTICIDE LABEL IS IMPORTANT.
IF POSSIBLE TAKE THE CONTAINER WITH THE VICTIM. THE LABEL CONTAINS FIRST AID
INFORMATION. REMOVE THE VICTIM FROM EXPOSURE ANO GET HELP.
HELP - 24 HOURS/DAY, 365 DAYS/YEAR
NATIONAL PESTICIDE TELECOMMUNICATION NETWORK (NPTN)
1-800-858-7378
LOCATED AT TEXAS TECH UNIVERSITY SCHOOL OF MEDICINE
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PROTECTIVE CLOTHI;:G WILL s= V;C?.M AT ALL TI:SS DUSKS THE COMDUCT OF THE
FOLLOWING CATcCOSIES 0.= ACTIVITY:
I. Fo-.'-?JLATICN SAXPLUG ^0 PE5TICICE MiXTlSE C2S=.?/AT:C::3 -
A. HSAD CCVE-
B, FACE SHIELD os GC-:-:LES
C, RESPIRATCS
D. LCiNG-SLEEVcD CCVSRAUS
E. HATE?J«OOr A.°SCM
F, HEAVY Russsa GLOVES
G. Ruas=R BOOTS
II. APPLICATION osssavATics (TH-DSE OCCASIONS vw&i THERE is THE
POSSIBILITY 0? THE C3SE3VS3 3EIK3 SPPJV
A, HEAD COVER
B, FACE SHIELD oa GOGGLES
C. RESPIRATOR
D. LQNG-SLEE^/ED COVEPALLS
E. HAND COVERS
F. RIESER EOOTS
III. &TOY 1KTO A FIELD VIITHi;-! ^3 HOUS3 AFTER A??LLCATIO;i Or A PESTICIDE
TO THE FIELD, UNLESS ANOTHE3 Ef.TRY T!r.E IS SPECIFIED ON THE PESTiCiC
LA3EL -
A, HEAD COVER
-------
C. LONG-SLEEVED COVERALLS
D, HAND COVERS
E. RIBBER Boors
iv, HANDLING OBJECTS THAT MAY HAVE CONTACTED PESTICIDE SPRAY 02 car FT -
•A. LONG-SLEEVED COVERALLS
B. HAND COVERS
-------
CHROHIC TOXICITY
when an organism is rapidly affected by a pesticide, this
condition is referred to as acute poisoning or acute toxicity.
Generally this results from a single or very few closely spaced
exposures and is the kind of reaction most people equate with
being poisoned.
Toxicity is the innate capacity of a chemical to be
poisonous. It is important to remember that all poisoning is
dose related. For any compound the toxic response depends on the
size of the dose in relation to the size of the victim. The more
that is taken, the more serious the response.
Chronic toxicity is used to describe the effects of
prolonged or repeated low level exposures to a poisonous
substance. It is dose related. Types of chronic effects include
tumors and cancer* reproductive problems such as sterility and
birth defects, damage to the nervous system, damage or
degeneration of Internal organs such as the liver, and allergic
sensitization to particular chemicals. Any organ system in the
body may show a significant injury after chronic exposure to a
toxic material. In trying to determine the potential for chronic
effects in man, toxicologists must use very high doses of a
poison in animal tests compared to the probable human exposure.
Such information is necessary to establish whether or not any
risk level is possible, even as small as a one-in-a-million
response. Remembering that chronic toxicity is dose related,
does that mean that a real world exposure will produce a lesser
effect or just that it vill take longer to show up? Decision
makers must also consider whether there is such a thing as a
lesser cancer or an acceptable birth defect.
Hazard is different than toxicity. Hazard is the degree of
danger involved in using a pesticide. It is the chance or risk
that poisoning could occur under certain circumstances of use.
Hazard varies according to exposure and can be expressed as an
equation of exposure times toxicity. The toxicity comes built
into the pesticide. However, we can tilt the risk equation in
our favor if we eliminate or minimize exposure. Even a compound
with a high toxicity, acute or chronic, can be used with
negligible risk if you virtually eliminate exposure to it. The
more you expose yourself to it, the higher the risk. Preventing
exposure is the key to the safe use of pesticides and is the
reason why so much emphasis is placed on safety precautions
during storing, handling, using and disposing of them. With
chronic toxicity exposure is the cumulative effects from using
pesticides, residues in treated commodity that we eat and in the
things our skin comes in contact with, and possibly from the
water that we drink. That is why it is especially important to
-------
pay attention to all label statements for ground water
protection, re-entry intervals, pre-harvest intervals, disposal
instructions, and requirements for protective safety equipment.
EPA uses these regulatory options to reduce the exposure and
therefore the hazard of particular pesticides to a level
acceptable under the lav. If this option is lost because of
general disregard by applicators, then EPA will be required to
use some other option such as limiting or stopping further use.
Some pesticides bear warning statements on their labels due
to possible carcinogenicity or reproductive toxicity. The
Imposition of a requirement for either a cancer or birth defects
warning statement is decided on a case-by-case basis. The
following factors are considered in this decision:
1 ) Weight of the evidence—How solid is our Information tha
the pesticide is an oncogen or teratogen?
2) Whether there is a substantial magnitude of risk, taking
into consideration potency and expected exposure levels.
3) Size of the exposed population—Whether the number of
people who (a) would read-the lab«l and
-------
lit
Following is a list of pesticides for which warnings have
been required due to possible carcinogenicity or reproductive
toxicity. Those pesticides which have also been classified as
"Restricted Use" have been noted.
Cancer/tumor statement;
"This product contains (CHEMICAL NAME) which has been determined
to cause tumors in laboratory animals. Risks can be reduced by
closely following the use directions and precautions, and by
wearing protective clothing specified elsewhere on this label.*
alachlor
aldrin*
amitraz
amitrole*
arsenic acid (non-wood uses)*
captafol
chlordane*
chlordimeform*
dlclofop-methyl*
EDB*
formaldehyde
heptachlor*
lindane*
linuron
pentachlorophenol*
pronamide*
te-lone*
TPTH*
Birth defects statement:
"This product contains (CHEMICAL NAME) which has been determined
to cause birth defects in laboratory animals. Risks can be
reduced by closely following the use directions and precautions,
and by wearing protective clothing specified elsewhere on this
label."
brodifacoum
bromadiolone
chlorophacinone**
cyanazine*
dinocap
diphacinon
fumarin
pival
PMP
warfarin
* Restricted Use
•• One restricted use
-------
I-1.1
JU
HIGHLY TOXIC
TBPP
Parathlon
Methyl Parathion
Systox (Demton)
Dlsulfoton (Dl-Syston)
Carbofuran (Furadan)
flndrln
MODERATELY TOXIC
Oiatlnon
Baygon
Bux
Clodrin
Co-Ral
laudan
Hesurol
Metasystox-R
Toxaphene
Puraquat
PUT
SI.IQITLY TOXIC
Sevin
••alathion
Mothoiiychlor
Arrazinc
Oral
L050 (mg/kg)
1.2-2
3.6-13
9-25
2.5-12
2.6-12.5
11
5-45
300-400
95-104
170
125
56-230
300
87-130
56-65
69
ISO
250 (nan)
111 (rat)
500
1375
6000
3080
Dermal
6.8
300-400
8.2-14
20
10.200
60-120
1000>
38S
350-500
250
850
4100
Classification
organophosphn t c
ori'.anopliosphatc
ori>nnophospli:ttr
on-.'inophospliat-.-
orn»nophOb|»liatf
carbannte
orgnnoclilorinc
organopliosphatc
carbanate
ciirbamate
organophosphatc
orj;anophospli;it<:
ori'.nnopltospltut «•
cnrbunnte
orp.anopliO!tph.'itL>
rlilorinatcil caiuplirne
organochlorlnc
carbamate
organophospliatc
orp.anoclilorlnr
tri:izine
-------
Hazard Indicators
I
Toxlclty Categories
II
III
IV
Oral LD
'50
Inhalation LC50.
Dermal 1050
Eye effects
Skin effects.
Up to and Including
50 mg/kg.
Up to and Including
.2 mg/liter.
Up to and Including
200 mg/kg.
Corrosive; coroeal
opacity not reversi-
ble within 7 days.
Corrosive
From 50 thru 500
mg/kg.
From .2 thru 2 mg/
liter
From 200 thru 2000
mg/kg.
Comeal opacity re-
versible within 7
days;Irritation per-
sisting 'for 7 days.
Severe Irritation at
72 hours.
From 500 thru 5000
mg/kg.
From 2 thru 20 mg/
liter.
From 2000 thru
20,000 mg/kg.
No comeal opacity;
Irritation re-
versible within
7 days.
Moderate Irritation
at 72 hours.
Greater than 5000
mg/kg.
Greater than 20
mg/llter.
Greater than 20,000
mg/kg.
No Irritation.
Mild or slight irri-
tation at 72 hours.
REFERENCE: Federal Register, Vol. 40, No. 129 - Thursday, July 3, 1975, p. 28279.
-------
I •
Chapter Twenty-One
SAFETY
OBJECTIVE
This section is intended to protect persons who handle pesticides by ensuring the use of proper
safety equipment and proper working habits.
RESPONSIBILITIES
Headquarter*
EPA Headquarters must provide the regional offices with the guidance and requirements
necessary for them to comply with all Federal safety standards.
Regional Offices
The regional office must provide adequate training, guidance, and equipment to protect the
safety of persons handling pesticides.
Employees
Each employee has (he following responsibilities:
o To be familiar with all safety requirements practices;
o To maintain safety equipment in good condition and proper working order; and
o To use safety equipment in accordance with established requirements and instructions.
SAFETY EQUIPMENT
The inspector should follow label safety instructions when handling pesticides. Safety
equipment include, but is aot limited to, the following:
o Safety glasses (prescription if required), goggles, or face shield;
o Protective Footwear in the form of rubber-soled, non-skid, metal-toed shoes and plastic
disposable shoe covers, or rubber/neoprene boots.
Pesticides inspection Manual 2M " Jtoo.ry 1989
-------
Chapter Twenty-One ___ Safely
o Cloves that are liquid proof and made of natural or synthetic rubber, or throw a*a\
plastic and should be long enough (o protect the wrist:
o Cove rails made of closely woven fabric and spill- resistant;
o Long rubber apron:
o Hard fiat made of plastic with a plastic sweatband:
o Respirator* Protective Devices: Different types of cartridges and canisters must be
used to protect against different chemical gases and vapors. Be sure to use the one made
for the pesticide that is being sampled, and follow the label instructions on the respirator\
protection device. In all cases the respiratory equipment used shall be of (he type
approved b> either the National Institute of Occupational Safely and Health (MOSH) or
the Mining Enforcement and Safety Administration (U.S. Bureau of Mines).
Chemical cartridge respirator. This type of respirator covers the nose and mouth
(Some are available with goggles to protect eyes; if not. goggles should be worn as
well.) The inhaled air comes through both a filler pad and a cartridge made to absorb
pesticide vapors and remove most harmful vapors, gases, and particles.
Chemical canister respirator. This type of canister usually covers more of the face
than the cartridge respirator and has longer lasting absorbent material and filters.
Neither type of respirator is to be used for protection during fumigation or when the
oxygen supply is low (such as in silos).
Breathing Apparatus f SCBA1. The SCBA, whether cartridge or
canister, must fit the face snugly. A beard, heavy sideburns, or glasses may prevent a
good seal. Cartridges or cartridge filter units should be changed every 4 hours:
canisters should be changed every 8 hours. Both types should be changed more often
if needed. After each use. wash the face piece in detergent and water, rinse, dry. and
store in a clean, dry place away from the pesticide that was sampled.
The following additional safety equipment should be kept in the inspector's car for use as
necessary or appropriate:
o First aid kit;
o Fire extinguisher;
o Airtight containers for storing highly toxic and corrosive samples;
o Soap or waterless hand cleanser and towels;
o Supply of clean water for washing in case of an accident; and
o Emergency eye wash kit.
Pesticides inspection Manual 2l3January
-------
Chapter Twenty-One __ ^ ____ Safety
SAFE HANDLING OF PESTICIDES
General Safety Guidelines
The following guidelines should be followed when handling or sampling pesticides'
o Read the label and. as a minimum, follow the handling instructions for mixing and loading.
o Use only proper tools for opening containers and be careful when opening and reclosing
containers.
o Open and sample pesticides in areas where spills can be cleaned up easily and properly.
o If chemicals are spilled on clothing, remove (he clothing immediately and wash ihe skin
thoroughly. Always keep a change of clothes on band for such emergencies.
o Wash hands immediately after sampling.
o Do not use your mouth to siphon or put your hands near your mouth and eyes during
sampling operations.
o A supply of detergent soap, clean water, and waterless hand cleanser should be readily
available.
o Know the limitations of the protective equipment being used, especially respirators.
o Have the phone numbers of local hospitals, doctors, or poison control centers available.
Specif ie Safety Guidelines
Before sampling any pesticide, the inspector should read the precautionary statements on the
label to determine whether the pesticide is toxic through dermal absorption, inhalation, or ingestion.
(Some may be injurious through all three routes.) After determining what routes of exposure to avoid
for the pesticide being sampled, use the proper equipment for protection in handling that pesticide.
Always be careful when collecting samples regardless of the declared toxicity of the pesticide because
the product may be mislabeled or improperly formulated and thus would be misleading regarding us
true toxic nature.
Always be alert for such hazards as spilled materials, materials that are improperly stacked.
moving equipment (such as f orklif ts and conveyor belts), poor ventilation, and bad lighting.
The following information will provide some insight into the manner by which harmful sub-
stances may enter the body.
Inhalation
on a
pres-
Breathing gas. vapor, mist, fumes, or dust is the most common accidental form of exposure.
This route of entry is the most likely cause of systemic illness. The inhalation hazard depends on i
number of factors: (1) the likelihood of the chemical escaping to the air; (2) the concentration prc.
ent in the air; (3) the volatility of the chemical at a given temperature; (4) the inherent toxicity of the
chemical; and (4) the length of time the chemical is inhaled.
Pesticides Inspection Manual 21-3 jannaiy
-------
Chapter Twenty-One Safety
Inhaling fumes from certain chemicals may result in two distinct reactions. Fust, it may affect
the lining of the air passages of the nose, throat, and lungs, usually causing irritation and mild burns
Second, u may be absorbed by the lungs into the bloodstream and distributed throughout the bods
causing a systemic injury
The inspector should use the following precautions when obtaining samples from bulk con-
tainers of pesticides having an inhalation hazard:
o Read the label;
o Sample in well-vennJated area;
o Use a respirator;
o Wear protective clothing, including goggles or face shield and gloves as appropriate.
o Keep samples well marked and seal as soon as possible:
o Wash exposed skm areas with soap and water; and
o Transport and store samples in accordance with established procedures.
Skin Absorption
Certain chemicals are able to penetrate the unbroken skin aad are picked up by the blood- «.
stream and distributed throughout the body. Skin penetration is probably the second most common
accidental means of entry of chemicals into the body. The following precautions should be used when
collecting samples from bulk containers of pesticides that may be hazardous by skin contact:
o Read the label;
o Wear protective clothing, including goggles or face shield, and gloves as appropriate:
o If clothing becomes contaminated, remove at once and wash skin. (Contaminated clothing
should not be wora again until it has been decontaminated in accordance with established
procedures);
o Wash exposed skia areas with plenty of soap and water;
o Keep samples well marked aad seal as soon as possible; and
o Transport and store samples in accordance with established procedures.
[nge&tion
Toxic amounts of the pesticide may be carried to the mouth by the band when drinking, eating.
or smoking. Therefore, don't eat, drink, or smoke when sampling. Liquids should not be pipetted
by mouth under any circumstances.
The following precautions should be observed in collecting samples of pesticides, particularly
when sampling from bulk containers:
Pesticides Inspection Manual 21-4 January 1989
-------
Chapter Twenty-One ___ , _ Sifety
o Read the label:
o V. ear protective clothing, including gloves as required or appropriate:
o Do not eat. drink, smoke or put anything in the mouth when sampling:
o Wash exposed skin areas with soap and water after sampling:
o Keep samples well identified and seal as soon as possible; and
o Store and transport samples in accordance with established procedures.
Contact
The eyes may be harmed by chemicals in either the liquid or vapor form. Irritant effects varv m
degree from mild to severe. Most chemicals have the ability to injure the eye to some degree follow-
ins surface contact. Take the following precautions to avoid eye injury when collecting samples from
bulk containers:
o Read the label;
o Wear goggles or face shield as required or appropriate:
o Wash exposed skin areas thoroughly after sampling:
o Do not rub eyes when sampling: and
o Store and transport samples in accordance with established procedures.
EMERGENCY TREATMENT
Emergency treatment is necessary not only to obtain immediate relief, but to prevent further
damage from the poisoning until professional medical help arrives. In the case of pesticide poisoning
this is accomplished in three ways: removing, diluting, or slowing the movement of the poison.
Knowledge of the characteristics of the poison, combined with prompt treatment, is essential in
reducing xhe extent of the injury. Label instructions, when available, should be followed when admin-
istering first aid.
Skin Exposure
1. Wash the skin with copious amounts of soap and water.
2. If clothing t» contaminated, remove it immediately and wash the skin thoroughly w«h
running water.
3. Shower immediately, if there is one available, and remove your clothing while showering.
(This procedure may be life-saving, as certain highly toxic chemicals are rapidly absorbed
through the skin.)
5. All contaminated parts of the body, including hair, should be thoroughly decontaminated.
It may be necessary to wash repeatedly.
^sticlde. iBipcchoo Manual - HI J.nu.ry 1989
-------
19*1
Chapter Twenty-One Safely
6. If alcohol is available, it should be used lowash all affected areas, except the eyes
Ingestioa
1. Vomiting should be induced unless an aspiration hazard, such as from a petroleum prod-
uct, is a predominant factor. An emetic should be taken, if the toxicant is not corrosive, or
if the aspiration hazard is less than the systemic hazard. A tablespoon of salt or powdered
mustard in a glass of warm water can be taken as an emetic. Refer to label for specific
instructions.
2. Drink plenty of water and place a finger down the throat if oecess
-------
Chapter Twenty-One __ Safety
Sampling Pesticides and Producer, Distributor, or Marketplace Establishments
1. Hard hat
2. iafetv glasses
3. Protective footwear
4. Respiratory protective device when sampling from a larger size unit
5. Coveralls or long rubber apron when sampling from a larger size unit
6. Gloves when sampling from a larger size unit or handling highly toxic pesticides
7. Sampling from larger size units should be done in lighted, well-ventilated areas
Pesticides Inspection Maoaal 21-7 January
-------
How much cancer risk is associated with agrichemicals
has been debated for years. This story and an article
to follow in the next issue consider two sides of the question.
The
Chemical
Connection
to Cancer
BY WILLIAM MUELLER
1 t should be noted from the outset that
: fanning is a remarkably healthy occu-
j pation. Fanners live longer and have
fewer cancers than people in most occupa-
tional fields.
Be that as it may, a nagging question re-
mains for those who handle agrichemicals:
Can working with pesticides give you can-
cer? For yean that question has been asked
in the agricultural community. Answers
have been hard to obtain. That's primarily
because fanning remains one of the most
difficult areas to understand in terms of
occupation-related ilmemBs. Fpirteminlogisa.
who study diseases in order to determine
bow they are caused, say thai analyzing fann-
ing presents unusual challenges. Fanners
are independent They have unique lifestyles
and working environments, conduct varied
types of fanning operations, and continu-
ally adapt new methodologies, particularly
with regard to agrichemicals. If you add to
all these variables a disease—cancer-which
can take decades to detect, you might seem
to have a prescription for perpetual mys-
tery. Or do you?
Aaron Blair and his associates al the En*
vironmental Epidemiotogical Branch of the
National Cancer Institute (NCI) have de-
voted over a decade to studying this riddle.
Their early work, what Blair describes as
"crude" studies, sought to determine if there
were any patterns of cancer among farmers,
then to identity and correlate particular types
8 *9Um*\tut *9»ir**wi 1M9
of tumors with segments of die farm com-
munity, and finally to learn what causes these
tumors. The NCI group is now in the final
stage of that project, though it is certainty
not finished. Among their findings:
• Certain agricultural exposures are posi-
tively correlated with deaths due to cancers
of the prostate, brain, and lymphatic system;
• Farmers most at risk of getting leukemia
are dairy farmers, growers using insecticides
on large plantings of small grains, and young
fanners in areas where heavy amounts of
fertilizer are applied:
• Grain-mill workers exposed to pesticides
have higher than average risk for lymphatic
and hematopoietic (blood-related) cancers;
• Lung cancer is high among commercial
pesticide applicators, who apply 25 percent
of all pesticides in this country; •
• There is an increased risk of getting
leukemia and non-Hodgkin's lymphoma in
agricultural counties with high levels of pes-
ticide use;
• Multiple myeloma (tumors of the bone
marrow) is more likely to occur among fann-
ers who use the largest amounts of insecti-
cides or who have large chicken-production
operations, and particularly among opera-
tors under age 30; and
• Applicators with 20 or more days per
year of exposure to herbicides have a six- to
eight-fold increase in risk, over average farm-
en, of getting non-Hodgkin's lymphoma.
Historically, fanning has been associated
with higher rates of lip and skin cancer,
attributed to sun exposure. But because
farmers smoke less, drink less, and (suppos-
edly) lead less stressful lives, they seem to
have escaped the so-called urban cancers of
the lungs, colon-rectum, and esophagus.
This has made many investigators overlook
farmers in cancer studies. But back in the
late '70s, Blair, who has a farm background.
began studying maps which tabulated each
county in the country by type and frequency
of cancer. He saw that in a band of agricul-
tural states—including Minnesota, North
Dakota. Nebraska. Oklahoma and Texas -
leukemia rates in rural counties were running
10-20 percent over those in urban counties.
Armed with this directional indicator.
Blair's group moved to the next level of
investigation. It studied the records of rural
counties in states that had kept good regis-
tries of cancerous tumors. For some of the
work, county Extension personnel were en-
listed to help identify and classify deaths of
farmers from death certificates provided by
the state registries.
Relationships began to emerge from stud-
ies done in Iowa. Minnesota. Wisconsin.
Kansas, and Nebraska. Various possible
causes for the cancers were suggested by
the data, including dust, solvents, livestock
diseases, gasoline, and pesticides. Follow-up
studies looked more closely at correlations.
For example, Kellee Donham of the Insti-
tute of Agricultural Medicine at the Univer-
sity of Iowa found a correlation between
bovine leukemia and human leukemia among
ranchen in Iowa. Other studies looked at
related occupations, such as working in grain
-------
mjih, wet corn milling, and commercial pes-
ticide application, to see if these more con*
trotted environments would reveal significant
cancer rates.
The cumulative work by NCI and others
indicates that certain types of cancer among
fanners are linked to two interrelated fac-
tors. Some types of cancer are associated
with specific production systems, and even
(o locations where those practices occur.
But pesticide use frequently is a cofactor
which exacerbates risks. And high pesticide
use alone can increase risks for certain kinds
of cancer.
For example, the 1985 NCI review of leu-
kemia studies points out that although no
single agricultural factor is consistently as-
sociated with leukemia, correlations have
been established between insecticide use
and leukemia in Nebraska and Wisconsin
fanners. Similar correlations with leukemia
hove been found with herbicide use in Iowa
and corn production in Nebraska and Iowa.
Leon Bunneister of the Department of Pre-
ventive Medicine and Environmental Health
at the University of Iowa corroborated much
of NCI's findings on leukemia. He also sug-
gested a link between high nitrates, the pres-
ence of pesticide residues in groundwater
used for drinking and livestock watering,
and higher levels of leukemia in dairymen.
As previously mentioned, leukemia among
Iowa dairymen has also been correlated with
bovine leukemia.
Researchers have worked from both ends
of the cancer equation. They have looked at
fanners with specific tumors to see what
kind of farm practices they engaged in. And
they have looked at farm practices for corre-
lations with patterns of cancer. The prob-
lem is that, while researchers can establish
associations both ways, they cannot get them
to match with enough frequency when they
go from state to state or compare nation-
wide results with foreign studies. For exam-
pie, in Nebraska and Iowa dairymen, the
most frequent cancers are acute and chronic
lymphatic cancer and acute unspecified leu-
kemia. But in Wisconsin dairymen, chronic
myeloid leukemia is most frequent And the
reports of multiple myeloma that are linked
to higher insecticide use have not been con-
firmed in all the state studies.
What is most frustrating is that the studies
by themselves are very revealing and clear-
cut. The Nebraska death certificate study is
a case in point. Here, investigators first.
charted the state according to which coun-
ties were highest in specific commodity pro-
ductions. A band oi eastern counties were
heavy in corn, hogs, and chickens, and were
also high in the use of herbicides, insecti-
cides, and fertilizers. Southern counties
ranked heaviest in wheat production, while
northern ones were heaviest in cattle, dairy, 5
and use of insecticides for dipping livestock. f
When death certificates for deceased farm- 2
ere were matched by these three regions, |
patterns emerged. The east had the highest |
rates for acute lymphatic, acute myeloid, %
and chronic myeloid leukemia. Northern S
counties were high in chronic lymphatic leu- I
kemia. Meanwhile, an independent variable
placed farmers under age 30 at far more risk
for any leukemia than older firmer*, in the
10-year period 1969-1979.63 pen*nl<>f»cute
lymphatic leukemias were found In Individ-
uals under age 30. Blair suggest* ihl» derives
from the changes in modern farm practices
since the advent of chemical farming.
The links between pesticide uw and can-
cer in farmers show patterns of corrobon-
tion as well as inconsistencies. Hy '•'• ^e
most suspect materials are the phen««y acetic
acid herbicides, particularly 2.4-1). ft date,
the most detailed study concentrating on
pesticides as the primary cancer rl«k factor
was conducted in Kansas by Shell" Hoar
and reported in &t Journal of the Amtricon
Medical Association, Sept. 5. IW'-
Hoar's study considered case* »f «°ft <•*•
sue sarcoma (STS), Hodgkin'sdlwiwe
-------
CANCER RISK
Continued from page 9
mixing uid application, his risk went up to
8x. The links with 2.4-D were associational,
based on the widespread use of 2.4-D by
both reporting fanners and from state use-
reports. How reported that her NHL find-
ings confirmed results of an earlier Swedish
study that implicated phenoxyacetic acid
herbicides as the primary carcinogen. How-
ever, that Swedish study also found that risks
of STS and HD related to the use of
phenoxyacetic acid, which was not corrob-
orated by Hoar's study.
Analysts of Hoar's work have criticized
the relatively small numbers of cases she
studied, particularly of individuals using
pesticides 20 or more days a year (Gve pa-
tients and six controls). Gregory Bond, re-
search leader in the Epidemiology Division
at Dow Chemical, also questioned what he
feels is an unusual characteristic for a typi-
cal farm population: "Fully 70 percent of
the controls who reported that they had
been in fanning said they never used herbi-
cides. I've been told that this seems like a
very high estimate of the number who never
used herbicides."
Hoar's study does establish clear correla-
tions between the years of exposure by farm-
en to herbicide and increased risk for getting
NHL An independent variable tuned out
to be a farmer's initial exposure to pesticide.
In other words, the longer the time since a
person first had contact with pesticide-
separate from what happened during subse-
quent yean-the higher risk he had of getting
NHL, particularly if the first exposure was
before 1946. Blair feels this might suggest
that 2,4-D formulations were more toxic back
in the '40s than they are now.
Planners who did not use protective equip-
ment, such as rubber gloves or masks, had
much greater risk (2.0x) than those who
protected themselves (1.5x). Marriage ap-
peared to be another prophylactic factor.
Widowed, divorced. and nevennamed farm-
ers generally experienced higher rates of
the NHL disease and death than married
farmers. Farmers using backpack or hand
sprayers had higher risk (Us), as did those
using tractor-mounted or mist-Mower spraying
(l.Sx). There were not enough soil-only pes-
ticide applicators to measure that factor
While 2.4-D—the most commonly used
herbicide in Kansas—was most closely as-
sociated with higher NHL rates, other pesti-
cides were also connected. According to
Hoar. Significant excesses were associated
with use of phenoxyacetic acids, triazines
(e.g.. atrazine, cyanazine, metribuzin.
prometone, propazine. terbutryn). amides
(e.g., alachlor. propachlor), trifluralin, and
nonspecific herbicides such as liquids, sprays,
and dusts (fanners' terms). Most farmers
reported use of chemicals in several of the
herbicide subgroups. Since the a priori
hypotheses dealt with phenoxyacetic acids,
we assessed risks associated with herbicides
ranked in a hierarchical manner. In the ab-
sence of phenoxyacetic acid exposure, the
O «*tdn taejftbnien 1989
NHL risk associated with triazine exposure
was reduced to 1.9 times and the risk with
uracil herbicides (e.g., bromacil, terbactl)
was reduced to 1.0." In addition, fanners
exposed to six or more days per year of
insecticides had a 2.8 x control rate of NHL.
Hoar's report suggests that it is probably
the dioxins in 2,4-D and 2,4.5-T which are
the primary carcinogens. The Swedish work
also reached that conclusion, and other stud-
ies have linked dioxins to disruption of the
immune system. "It should be noted," the
Swedish report cautions, "that 2,4-D. the
herbicide most frequently used by subjects
in this study, has not been shown to be carci-
nogenic in animals or unmunosuppressive...
The increased risk for farmers first using
2.4-D before 1946 may indicate the pres-
ence of carcinogenic impurities in the early
formulations, with subsequent improvements
in the manufacturing process."
The conclusion of Hoar's study is that a
six-times-contrpl risk of NHL is cause for
concern. That is particularly true in light of
the fact that for 1976 alone, 42 million pounds
of phenoxyacetic acid herbicides were applied
to US. farmlands. "If the risks reported are
accurate," the report said, "and if they reflect
a true causal relationship, then the amount
of NHL in the current study attributable to
herbicide exposure would be 11 percent"
Theodore Colton, of Boston University
School of Public Health, has reviewed Hoar's
Kansas study for the Journal of the Ameri-
can Medical Association. Colton found the
work valuable for identifying a significant
carcinogen (2,4-D), and because the study
suggests that researchers might learn more
about the carcinogenic effects of pesticides
by concentrating on NHL cases. Prelimi-
nary findings of studies now in progress by
Hoar in Nebraska indicate links between
NHL and exposure to atrazine, chlorinated
hydrocarbons, carbamates, organophos-
pnates, chlordane, diazmon, and nmla'hiTfn
In analyzing Hoar's techniques Colton
said that he felt the persons being inter-
viewed were not overly sensitized to the
issues of pesticides and cancer prior to
being interviewed. He also believed that the
corroborating testimony of the 110 farm
suppliers was also useful. Even though
many suppliers contradicted what farmers
or their next of kin had reported on pesti-
cide use. the rates of inconsistency were the
same for both the case and control groups.
Thus, Colton felt fanners with cancer were
not biased in their recollections. Colton's
only concern is that faulty recall might lead
to misclassirlcations.
Currently, NCI is doing a study of Chem-
Lawn employees. Company records, accord-
ing to Blair, give researchers very detailed
information on application rates and proce-
dures, which can be related to employees in
a dose-response relationship.
NCI is also reviewing several methods of
collecting pesticide-exposure information.
The goal is to find the most effective inter-
view which will give them the information
they need. Blair explains: "We're going to
ask questions kike 'When the wind changed.
did it Mow on you? or'How often did you get
it on your bands? 'Did you wash right away?
'What size containers did you use? 'Have
you cleaned the screens on the spraying
apparatus?' and so forth. A lot more ques-
tions about the influences of exposure will
be asked than we think they can answer.
Then for our next field study we will ques-
tion them at a level we really think they can
answer. This will make it more detailed than
what we have asked in the past."
Blair suggests keeping three things in
mind while reading the various NCI reports.
First, fanners still have lower overall cancer
rates than nonfarmers. Second, farmers who
use good safety procedures do not signifi-
cantly increase their nsk of getting cancer.
Third, we need to better appreciate the con-
cept of exposure.
That last fact was dramatically brought
home in a study funded by Farm Journal and
conducted by members of the Institute of
Agricultural Medicine at the University of
Iowa. The study was done during the 1986
corn-planting season. Twenty-two Illinois
farmers agreed to give pre- and post-handling
urine samples on the day they applied pesti-
cides, rwe controls were used who applied no
pesticide. Of the group. 13 applied organo-
phosphate insecticides, including Lorsban.
Thimet, Dyfonate. and Counter. Fhe farmers
used Furadan. and four farmers used only
herbicides, including atrazine, Sutan, Lasso,
Dual, 2,4-D, and Blades. None of tiie 27
fannen showed pre-exposure contamination.
Of the U handling organopbosphates. three
were contaminated. Metabolites for both
Dyfonate and Counter showed up in con-
centrations ranging from 13 to 130 micro-
grams per litec All of the fanners who handled
Furadan and submitted samples (one did
not for the test day) tested positively, with
concentrations from 100 to 685 micrograms
per liter, farm Journal1* report added: "In
the case of the herbicides used by fanners in
the test, there is no satisfactory method to
measure their presence in the urine. The
sole exception is 2.4-D."
Blair feels that the agrichemical indus-
try's philosophy for marketing pesticides is
upside down, "in that we're trying to allow
chemicals on the market that are safe. When
we are dealing witta pesticides which are
designed to be toxic—maybe we ought to
view it as that they are all hazardous, and
what we need to do is minimiM the hazard.
Some of them may be judged by society and
regulatory agencies to be so hazardous that
they shouldn't be allowed. That is okay. But
even those which are allowed on the market,
even without evidence that they cause harm
in humans, users better be careful with the
stuff. Keep it off you. Wash it off your bands."
Blair's experience is that every farmer has
at least one pesticide which scares die hell
out of him. but he has to use it regularly so
he takes special care in handling it. "What
we need is to expand that fear to the use of
all pesticides," he advises.
Tht author is a freelance writer based in
/owo.
-------
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-------
PHOTOGRAPHIC TECHNIQUES FOR ENFORCEMENT
-------
PHOTOGRAPHY
35MM VS POLAROID
OCCASIONAL #
ESTABLISHING SHOT
SEQUENCE TO PROBLEM
CAUSE AND EFFECT
LEARN TO USE FLASH
ENFORCMENT=OVEREXPOSED TO SHOW DETAIL
GET WHOLE STORY IN PICTURE
DATABACKS
RECOMMEND KODAK PRODUCTS AND PROCESSING
SLIDES RECOMMENDED
ECTACHROME VS KODACHROME
-------
-------
OFFICIAL PHOTOGRAPH
U S. ENVIRONMENTAL PROTECTION AGENCT
PROJECT/CASE NO:.
SUBJECT
LOCATION-
CITY COUNTY STATE
DATE TIME.
WEATHER- (SUN) (HAZE) (CLOUDY) '(RAIN) (SNOW)
PHOTOGRAPHER (Sig)
WITNESS.
CAMERA
FILM TYPE ASA T I/.
NEGATIVE LOCATION FILE
PROCESSED BY-
PHOTO »' Of
GPQ «I9-35«
-------
UnmdSiiM
Environmental Pnmeoon
*9»ncv
flagon 10
1200 Sixiti AVOTU*
Sort* WO
Gnonies
July I98B
<8>ERA Fundamentals of
Photography for
Government
-------
Fundamentals of Photography for Government
When you lake a Government camera with Government film out on an assignment,
you are making the effort to visually document key activities related to your work.
Success in this task requires a commitment on your part to gain knowledge of and
insight into photography. This publication is intended to help you in this effort.
The first step in the learning process is to understand the 3-cornerad. 3-way
relationship between light, film, and cmmert. Competence begins with a grasp of the
interplay between these elements.
Normally we lake light for granted - our eyes ad|usi to light automatically. But whan
you use light as a tool foi making photo-images, you must become sensitive to certain
qualities of both the light and the subject illuminated.
CONSIDER:
• The relative brightness of light and subject.
• The kind of source. Sun? Electrical tight?
• The dinction of the light
• The mtmtive brightness of the surround*.
These elements are crucial to certain decisions you. as a photographer, will have to
make And successful picture taking is based on a foundation of correct decision
making The relative brightness and the kind of source directly influence your choice
of film And the direction of light and subject surrounds influence how you set your
camera's controls It is tremendously helpful it you have a prior knowledge of the
conditions under which you will photograph This knowledge is the basis of the
selection of camera and lens, the basis of the selection ol film, and the basis of the
decision-making process that you. as a Government photographer, will be involved in.
Film
Film is your medium, youi image-recording tool All films use a very limited range of
light to make an image. The limns imposed are detwmnied by the rate at which light -
sensitive silver halkte crystals coated on the film respond to light.
Larger silver crystals are more light-sensitive and respond to light more quickly than
smaller ones. Film coated wilh such crystals are said to be test and are given a
numencally higher rating. Slow films ate coaled with smaller crystals and respond to
light lass readily.
All film, no matter what us rated speed, responds to a much nanowei range of light
than tire human eye. That very limned range ot light brightness where a film will
produce a usoable image is what the photographer has to wofk with Pictures made
under conditions which exceed this limited range of light brightness striking the film will
be difficult or impossible to use as lecords or evidence.
Overexposed
IA very bright, vary light final picture)
Underexposed
(A very dark, very dim final piclural
Optimum Exposure
(Fiitdl picture exactly as the photographer desired]
-------
Worthless Exposed Film
tin excess of either the limits of acceptable overexposure or
underexposure - pictures in which the subject cannot be made visible)
The range of acceptable exposure on boih sides ol the optimum exposure is
called the film's latitude.
Films aie classified by the rate ai which light forms images on the film by the
ASA/ISO (dm speed number system The slower the film's response to light, the lower
the number; the faster the film responds to light, the highei the number For example.
ASA/ISO 26 a about the slowest him commonly available, and ASA/ISO 1000 is the
fastest.
Film 'Speeds:
Advantages and Limitations
ASA/ISO
26-64
ASA/ISO
64-200
ASA/ISO
400-1000
Good for tine detail.
generous latitude.
low conirast
Adequate detail and
latitude, medium
contiasi. belter for
action or low light
levels lhan slow
film;.
Good for action and
low light levels, dark
subjects and
surrounds.
Limned to daylight
hours Less light.
bad weather, may
require flash or
tripod
Slight loss ol line
detail, limited
extension ol daylight
photo activity, flash
01 a tripod may still
be needed in low
light
Loss of fine deiail.
narrow latitude, high
contiast
These generalized statements apply to both coloi and black and white films See
specific lilm commentary in the Photograph tor Evidence section
Camera
There is light and a subject which reflects hyhi in varying degrees -
light to dark. There is film, responding to a limned range of light intensity to lorm the
image. And to weld the two, to match and balance, to catch the pictuie is the camera
(and. of course, the operator!
This machine performs several important functions some obviou* and some not
• It holds the film llai. centeiud to the lens, and ai 90" 10 the tuns axis
• It provides a means tor yuu tu view dinl tiiiine your |>liulu hcluiu you uki: il
• II miivus hush uiiuM>ubcim w.ml !>'
But most important of all -
The camera provides Oha controlling functions for adjustim
ol bflht that win strike the fUm to make the bnaga.
These controlling functions are shutter speed and (-stop They govern Time and
Volume
Time is controlled by the shutter, which is normally closed, admitting no light at all.
When the shutter operates, a blink ot light Hashes or) the film You regulate the duration
of this blink by controlling ihe shutter's mechanism This blink is measured in fractions
ol a second, usually beginning with one second Thu standard progression ol the
shutter's blinks for today's cameras is 1/2. 1/4. 1/B. 1/15. 1/30 1/60 1/126 1/250
1/500. and I/1000 of a second ....
The relationship between these fractions ot a second is an important concept Moving
the shutter speed control towards smaller (shorter) slices of tune, each new shutter
speed selected is 1/2 the value of the previous selling Moving the shutter speed control
towards larger (longer) amounts of lime, each now shutter speed is twica <2Xt the
value ol ihe previous selling RanMimbar this halving and doubling ralatfanshlnl
The volume ol tiyhl admitted to ihe lilm dunny shutter operation — when you lake
ihe piciuie - is a lunciion ol the lens upentnij, colled aperture Apertures are
standardised by '/' numbers I referred to as T stops)
When selecting the / it tops, it is crucial to understand thai each subsequent
(numerically highei I T number will result in a teduUion of the volume ol light striking
the film equal to halt (1/2) the volume at the previous setting Conversely, starting at
the smallest aperture (usually 122 >. each numerically tower T number selected wsl
result in a doubling I2X) of the volume ot liyhi sinking Ihe film when the picture is
taken Hamarnber this halving and doubling ralauonshipl
Each single increment ot change in either the lens aperture control m the shutter
speed is called a stop You either increase or decrease exposure by one or more slops
When you wish lo rater specifically 10 an increment of change in lens aperture, use the
iLim '/-stop'
The halving-doubling relationship of Ihe shutter speeds results in the same changes in
exposure as the doubling-halving relationship ot the lens aperture control Tins
'equivalency* means that lor any one given correct exposure, ait array ol shutter speed
and aperture combinations will deliver that exposure!
1st Example: ASA/ISO 25 Film
in Bright Daylight
IB at I/125 sac.
IS Vat i/KOsec™"" "°
140 at 1/500 sttc
f2 8 at 1/1000 sec
u} Vuluiiurilmti-tMriy l«nw
f 11 -At 1/60 sec
116 at 1/30 sec
t22al I/15 sec
(All these give the same exposure!)
2nd Exdmplu ASA/ISO 400 Film
in Bright Daylight
f 16 at I/500 sec.
lH I H.1.MINI I fl.HHi. Ill* 11 d-MHIJ lull* llHIMIoJiy Vlllimilt.Sl.it i ||| iMIItf I HUM
122 ol 1/250 sec 111 at 1/lOOOsec
(All these yive the same oxposuie!)
NUIIL«; how limited fdsl film is when used in unsuitable conditions
-------
3rd Example: ASA/ISO 400 Film
Nighttime Indoor* - By Room light
f2 8 at 1/60 sec.
Oiatilfu VoUM/lnciMung T«H biuiwng VUunufPitiOMina T«i»
11A at 1/260 MC. 122 «l I sac.
12.0 at 1/12S MC. 116 at K tec
14 at 1/30 tec. 111 at U tec.
f6.fi at 1/lfiMC. IB at 1/8 MC.
(All the** give the seme exposure! I
The equivalency relationship of tans apertures and shutter speeds ties into the
ASA/ISO film speed scale as follows: Each doubling ol the ASA/ISO film speed will
rasull in a one stop (eduction ot exposure for any given subject lighting situation (= V
the previous exposure! Any reduction by halt of the ASA/ISO number will result in a
one stop increase of exposure tor any given subject-lighting situation.
Examples:
ASA/ISO 26
ASA/ISO 84
ASA/ISO 26
ASA/ISO 200
ASA/ISO 26
ASA/150400
Bright
Daylight
Bright
Daylight
Sunset
18 at 1/126
18 at 1/250
fBat I/125
f8 at M1000
(5 6 at 1/8
(56 at 1/125
changes by
1 stop
changes by
3 stops
changes by
4 slops
All of this exposure change through Uillureni him speed must be considered
whan selecting Urn
To sum up, as you reduce (he volume ol light transmitted by ihe lens to the lilm, you
must increase the length ol time ihis lighi suites the lilm in ordei to keep an equivalent
total exposure. Likewise, as you decrease the lime ot exposure, you must increase the
volume ot ug.nl by an equivalent amount to maintain the same exposure
What Ihis span ol alternate exposure settings means is ihai the light camera Mm
interplay may be adjusted to suit the desires of the photographer and the need:, of ihe
situation For example, if you are photographing action, and wish lo stop or "Iteete"
ihe motion, reset the exposure towards smaller (shorter) amounts of nine (shutter
speed) and larger volumes ol light It-stop) By maintaining this equivalency, the
exposure will remain the same If you aie shooting landscapes, and want ihe great depth
of fietd that comes with small lens openings, and there is tatle 01 no molion at subject.
use a irrpod or some other steady rest and stop the tens down as tar as you wish With
the reduction in the volume ol light, the nme must increase When equivalency to the
base exposure is reached, take ihe picture
The simple single local length lens ol 50-55 mm sue is. sidiiui»d with most new
camera purchases. Alter that, the choice ot lenses lacing the pltoiogiaphui is
staggenng. Almost all ol these lenses shjie some common lediuies. iuU> »:>
• Focusing mechanism
• Adfustublo aperluiu und control iiuy
• leiii lo earnerti mourn
• Ouplh ol tiulit li. lu Uir I'liuiuijiLijiliui luikiy. J lull
iiy ol Ilit: lurulJiinjnl.il:, uiillilic-il ill lln.-bc (JJiJi'i will hul^ you IO Uku Uillul
Ul blJUI.llll i (HI lllHI M.'ll-
Pliolouraphy lui
' l«>" <"»' ((IIOIOIJIUIJIIK. iK.llflHJIft.-h. 'CMll
-------
Photography for Evidence
Now is a lime at EPA when the entoiceinem ol environmental laws, depends to an
evet greater degree on I he aciiwiiiiis ol the ddia gdlherers And increasingly.
photogiaphy plays an important lole in ihai process The investment ol nine diid
material in photogiaphy for data and evidence can only bu justified by the quality and
usefulness of the results What follows is a collection of facts and insight:, aimed at
helping you optimue ihe results ot your photographic efforts
Equipment and Techniques
• Where precision in aiming and iocusing Ihe camera is essential
• Where exposure determinations die difficult
• Where piciura taking at a distance or up very close may be part of the
same assignment .
• Where action sequence pictures may be vital to documentation
Then selection ol j single Ions rullex camera wiili appiupiiau- accessoiy equipment
becomes necessary This type ol cameiu wiiri it s ability in measuiu enpusure iluouijli
Ihe picture-taking Ic.is. and H's adaptability to A wide lantjc of lenses., muior dnvcs. and
special purpose accessories, is ihe most useful msiiuirieni thu Governmuni
phoiogrdpher can employ
However, there aie tiddeolfs Single luns ramuras diid aLCessones arc bulky heavy
noisy, and not vciy suitable lor subtle jiiciuir takuuj
• Where speed ol opeiation is important
• Where silent operation is desirable
• When the camera must be concealed
Then select one ol the small liiu.il li;ub. simple luitisuui caiiu'ias Compact, injiu
weight, with automatic exposure diid a wide angle luns .js sianildiui thcst- msliumeiiis
are excellent for '(jidb* shots picime uknuj on Hie mow Tin: ii.nli.ollb aie 'l ''>'»• '" ""' <~-'V
ul niLiliuin luuu vjluub MIC |iliiiii.<|i.i|>lifi iniibl
• Mdku d ludymuiit cull .»;. tu wlni.li pjn ul itiu viuwi-J IMUIJC is mubi
iiiiptiilunl
• Ouuiiulu tins (..uiicia s cn|iiibuii: .luluiiiutiiui CUIM-I tly tm tin- ilcsm.il
lusull
Since most camera metering systems lead liylit niiensiiies and average them, high
contrast picture situations wiH fool the exposure automation You have to identify the
problem, make the judgment call, and ad|uM your camera to compensate for the
problem
Example
Judgment Call 1 1
Detail lit the bnyhiesl arud is the most important Adjust camera override
towards underexposure (1/2X. 1/4X. or -I or -2)
Judgment Call f 2
Detail in the daik^sl area is most important Adjust camera ovuinde towards
overexposuie <2X. 4X. or -I 1 01 f 21
Return override to neutral when need lor compensation is over!
Since an accurate exposure determnidiion may be dillicull, and since film is
compdrdlivdv cheap -- bracket your exposures! Take two. three, or even four
pinuces of tho same shot at dillerent settings, using your judgment call as a guide
Exposure computation may also be accomplished by doubling the ASA/ISO
number tor each stop ot underexposure desired Resetting to halt tho previous
ASA/ ISO number will provide one stop ot overexposure Rentembar to reset to Ihe
piopcr ASA/ISO number for your film when the need for exposure compensation is
past
You may expect tu encounter high conliasi situdiions on dny blight, cloudless, sunny
day and at any time dark objects are positioned aydinst d light background, or Ihe
reveise Bewaru of including too much sky in your pictures, and be aware of
reflected light when photographing over or aruund water Strong diieuional sidelight
will produce harsh shadows, and any interior pictures thdi include light bulbs (lit) or
windows wilt cause problems Just reruemUer Make your judgment call, attar the
exposure compensation correctly, and then, to make sure, bracket the
exposure
Using a single lens reflex camera means you die going to confront the complexities of
lens interchdngeabiliiy and the many choices ol lenses which fit and work on your
camera
Because its perspective most closely matches thai ol ihe human eyu, the lenses in the
50-55 millimeter local length are termed normal local length Lenses with focal tengihs
of lowei numerical value are called wide angle, while lenses with highei numbered local
lengths die called telephoto
Zoom lenses oiler d continuous lamiu "' I4"-"1 Iwiyths m OIIB lens Some loom lenses
lun liom wide angle 10 nonnal. some doiii iionnal luf.dl length lu telcpliuio, diid some
/ooni lenses offer a lull rdinjit liont wide anglu to lelepliolo
For uvHliiiilidl phuloniaphy lenses die usuil in Iliu lollowin.) «oys Normal and
angle lenses aie suildhle lui silu anil aioa nvuiviuws Unl lemoinber thai the wide
,umlt! tans distorts perspective anil dist.iin.it ALi. \ni.M*a .• wnlu anyle lens lakes
in .T wnlui lii-UI ol vi.-w Kiu .i|jp.m-nl M/c ol Lvuiyllniiij in Ilic pi..luie will be induced
Use .1 macro lens lui lain I ..nil il.r.e >.|> |.l.ui,»jM|,liV A lebb ^i.blai lory solution '»
ll.e;,.um luns w ...... .... ••> , ,,|>al.il>ly »M .M.S. .>! rl> jilh .,) IN-IJ liiiilldliun^ use a tripod
dmlS the lens down In, I,, M „ -.»!„ «l^ .« 132 .«« k:..«ll When you ,d,,nu| I use a
ln(...il uw UK-' Mii.ill«JM .ipenuri- u.nsisl. .11 »,ll. .1 bl,i,nt, s(,ci.,l ol not less Ilian 1/60
bt-i unil in id .ivtinl loi ii .1111) l«u > lubuly
-------
Telaphoto tenses otlei magnification ol image sue with a somewliai unied-snc
perspective
135mm = 21 powers of magnification lor a 35mm camera
200mm = 4 powers ol magnification for a 35mm camera
400mm = 8 powers of magnification tor a 35mm camera
600mm = 10 powers of magnification for a 35mm camera
Every increase in magnification increases the potential lot losb ol sharpness, due to
camera motion A good rule ol thumb for handholding a camera -telephoio lens
combination is to never use a shutter speed less than the focal length of the lens
Use a tripod wherever and whenever possible The selection ot lastei dims lor
photography with lelephoto lenses, is also beneficial.
When photographing m the held with a inpod. try to avoid selling up near roads and
highways lhai are used by heavy traffic. Ground vibration can destroy image sharpness
Filtration for evidentiary photography with color film may be beneficial Here ii a list
ol the most useful Idlers and then applications
UV-1 Cuts excess blue color cast above 4000Ii altitude
Skylight Cuts excess blue color cast, has a very slight warmmy effect
81A Warming filler.good for open shade photography, and lor
use on days of heavy overcast
80A ft BOB Color conversion filters leu daylight films used under
tungsten tight. 2 3 stop filler factor
85A Color conversion lilier tor tungsten films used with ddyliyhi.
I 1/2-2 stop Itliei lacior
Polarizer Most useful For photo taking through Qldbb. it minimizes
surface lellections off glass and watei Also educes increased
saturation ol colors and performs interesting magic with
contrast Must be used with the sun eithei to youi led 01
right side any othei orientation diminishes filler
effectiveness 1 to 3 stop filler lacior Mote some palavers
are variable density
Film Selection
To obtain the bast possible results in the pictures thai you lake, selert your him
carefully Know the conditions you will be shooting pictures under and lei this be your
guide to film selection
• Where light levels are low
• Where subjects are in motion
• Where subjects are dark in lone or color
• Wheie tetephoto lenses must be w>ed
Then select the fastest film you I eel will capture* the iieuiluil midi|u llicic die
liddtfOlts the laster Hie lilm. thu IKJOIUI it1-, jbilily to luMilvi: lint.- ifet.ut Jiul ihu tubs
nidi DID loi exposing euui
lilt; -Juwi.-bl him luiviiuj usulul .lived lui Hi. bi kmiJ-, nl ..iiii.iliiiii-. r. I kl.M liimiit JIM
Here are some other fast film choices for you to consider
Tri • X black and white film rated at AS At ISO 400. can tie
used up to ASA/ISO I60O wit/i special development
Ektachrome 400 color lilin rated at ASA/ISO 400, can be used up to
ASA/ISO 1000 with special development Notify
Kodak it special development is required by using then
ESP-1 processing envelope
Ektachrome 800-1600 color film with vaiuble ASA/ISO Kodak must be
informed as to ASA/ISO actually used
Kodacolor 400 color film Expensive
Kodacolor 1000 color film Also expensive
NOTE When a film » identified by use ot the word 'chrome' in it's name, that film a
a color transpaiency or slide film When tlie film's name includes* the word 'color.' the
product is a print Urn EktaLhrome films have the advantage, atony with kodacolor films.
of being suitable lor local processing within short time spans Both print films have the
ability to be used under available light from different sources without corrective
filtration
• Where light is of sufficient brightness
• Where subjects motion is slower paced
• Where subjects are average or above average in brightness.
• Where detail rendition must be excellent.
Then select one of the slower films, such as
Kodachrome 26 color lilm It is the slowest speed color Mm Kodak
oilers, and has the highest resolution ol all Kodak
color lilrns
Kodachrome 64 cotot trim A bit more than one stop taster than
ASA/ISO 25 film, this product is almost as good
Ekiachrome 64 color tihn Closely duplicates Kudacluome 64 Otter*
rapid processing turnaround* lune
Kodacolor 100 color film Has the highest resolution ot all Kodak color
print films Expensive Shares same lighting flexibility
as its faster relatives
Pamuomic X black and white film ASA/ISO 32 Has the highest
resolution ot the conventional Kodak bttw films
Tech Pan 2415 black and while lilm ASA /ISO 25 A special film.
reijuutng special development Essentially grain tree
Any ol these blowei films will woik well in ddylujhl onl ol door:, iilualionb Whare
lowei light levels dre involved, ui when I ho u-.e ot lelupholo leiibtib
v. a Inpod or yood sluddy itbt would bu
-------
Iflb
CHATTER 7
PHOTOGRAPHS AS EVIDENCE
71. MUST BE A FAIR AND ACCURATE REPRESENTATION
Drawings, diagrams, maps, and plans have long been used ss
evidence of the buildings, lands or machines they represent when the
things themselves cannot be conveniently brought into court. Since the
development of photography, photographs have generally been received
in evidence on the same basis as maps and diagrams. Relevancy and
materiality of the matter which the photograph represents, are essential
to sdmisslbility. However, there oust also be testimony that the
photograph ia a fair and accurate representation of the object or scene
which it portrays. If the photograph is not a fair and accurate
representation of the object or scane, even though the object or scene
may be relevant and material, the photograph will almoat certainly not
be allowed in evidence.
72. MUST NOT BE UNDULY PREJUDICIAL
The question of admiaaiblUty is for the Judge and ia determined by
the rules of exclusion applicable to other types or kinds of evidence.
However, becauss photographs are traditionally susceptible to subjective
misinterpretations, the courts have exercised a broader diacretion in
disallowing them in evidence. Thus, even though a photograph may be a
fair and accurate representation of s relsvsnt and material matter, the
judge may reject it if in hia opinion it would be misleading or would not
aid the jury in a better understanding of the facts; and photographs,
otherwise admissible, will be rejected if the Judge thinks they may
create an undue prejudice in the minds of the Jury. For example, color
pictures of human dssth or Injury that show quantities of blood and gore
can create an emotional reaction in the viewer that la far in excess of
that warranted by the probative value of the evidence, and the pictures
can be excluded for that reason.
73. WHO KAY AUTHENTICATE
(1) The authentication of a photograph prior to its being received
in evidence may be done by any witness whose familiarity with the subject
natter of the photograph qualifies him to testify that it ia a fair and
accurate representation of the object or scene It portrays. The
testimony of the person who took the picture is not necessary. If the
photographer is called ss a witness It is not enough that he testify
merely that he took the picture. He nuae be able to aay that the picture
ia s fair and accurate representation of the object or scene.
- 29 -
-------
(2) 1C is che fairness and accuracy of the representation chat
Is important, and unless the processes and techniques o£ picture
taking,developing and printing are themselves relevant and material
on the question of accuracy, the judge may take Judicial notice of
such processes and techniques. This was not true years ago when
photographs were first offered In evidence, and judges often required
the testimony of the photographer as an expert witness to authenticate
all photographs. Today, the general principles of photography are so
veil known as applications of the natural laws, that they are properly
the subject of judicial notice. Most courts now accept that the
central issue is the fairness and accuracy of the representation and
not the chemistry behind it.
- 30 •
-------
SAMPLING - GENERAL CONSIDERATIONS
-------
SAMPLING - GENERAL CONSIDERATIONS
: ;CHM ELLISON ' 303 i 125-5 13? , FTS -75-5139 ".?
BR'JCE 3::-
-------
103
SAMPLING - GENERAL CONSIDERATIONS
Sampling - Coordination
- Decision Making
- Analytical Considerations
When you need help or advice, call us:
General John Ellison (303) 236-5139,
FTS 776-5136
General/Bulk Sampling Bruce Binkley (303) 236-5124
FTS 776-5124
Chemist John Gills (30) 236-7970
FTS 776-7970
Yes, a chemist - Learn how to communicate with chemists
Tend to be shy, introverted but important for
effective case development
Questions like containers, preservatives, holding
times, analyses, QA/QC, amount of sample to collect,
even collection methods
NEIC helps train chemists and can offer advice (won't accept
samples unless cleared ahead of time)
Dean Hill (303) 236-8138, FTS 776-8138
Important to develop good habits concerning sampling,
documentation, and safety
Hard to predict which samples/incidents/complaints will require
enforcement activity
wise (reason we're here) to treat everything the same
Sample Guidelines and Principles (pages 8,9, CDFA)
Sampling is more than filling jars
Need to coordinate easily between inspector,
supervisor, laboratory, and perhaps case preparation
officer, sometimes even legal personnel
Need to share information, objectives, goals
Need to be aware of multi-media possibilities such as:
RCRA, CWA, CAA, CERCLA, EPCRA
-------
Five steps Involved in Taking a Sample:
1. Determine that you want or need to take a sample:
establish hazardous areas (i.e., accidental
spills)
to prove a violation
to show human, animal, crop or environmental
contamination
to quarantine commodities
evidence that something has been done - right or
wrong
Okay to sample immediately if necessary (e.g., pesticide
that degrades quickly) and decide later what must be analyzed.
Reasons Not to Take a Sample:
degradation time exceeded
unofficial samples at least a mental
sample plan/sometimes written
want to make company do it
- have already proved what needs to be proved
2. How are you going to take samples:
a. Representative Sample
b. Grab Sample
Is a representative sample possible, e.g.,
physical access
What are you going to do with the data the
sample
Examples: Rep. Samp, to show drift or field sampling to
show commodity, over tolerance
Grid Pattern Foliage Samples or Soil Samples 10%
Distance in from Edges
-------
Plus one sample from each adjacent fields suspected to be
source of drift (no extra samples needed for commodity)
Reo. Samp, to show drift pattern
Gradient Foliage or Soil Sampling
Minimum 5 - 1 on treated field
1 on complainant property
3 equal in distance in between
Sampling Plan Refined
3. How much sample do you need
quantitative vs qualitative data
you must dispose of excess
Sampling Plan Refined
4. Document, document, document
background information
where, when, how - log book
photographs
sampling plan fulfilled
sampling site diagram
episode site diagram
technical data on pesticide
laboratory request/capabilities/limitations
custody information
-------
2 and 4 are so important, we have separate sessions for
them - 2 is the next topic and 4 win be discussed in detail
after lunch.
5. Laboratory Considerations
A. TALK TO YOUR CHEMIST
B. DO NOT COLLECT SAMPLES UNLESS YOU HAVE A GOOD
REASON
Avoid Unofficial Samples
Avoid Samples from Citizens or Taking
Samples to Make Someone Happy
Avoid Sampling When You Cannot Identify What
Compounds Should be Analyzed for
Talk to Your Chemist
C. DETERMINE PATTERN OF SAMPLING NECESSARY FOR
MEANINGFUL RESULTS
Talk to Your Chemist
Consider QA/QC Procedures
Composite Versus Grab Samples
Background Sampling
D. PREVENT CROSS-CONTAMINATION
Sample Clean/Background Areas First
Sample Contaminated Areas Second
Never Combine Environmental and Formulation
or Use-Dilution Samples
Take Use-Dilution/Formulation Samples Third
Keep Environmental Samples in Separate Ice
Chest
Talk to Your Chemist
-------
E. CONSIDER HOLDING AND ANALYTICAL TIMES
Talk to Your Chemist
No Set Required Times, But the Longer
Between Sampling and Analysis = Less
Pesticide Found
General Guidelines from Water and Hazardous
Waste are Keep Samples Cool and Dark,
Extract Within 7 Days and Analyze Within 40
Days after Extraction
-------
T"-a
ve j; :^a:o:» »,-.cu.i.
-!av« i samoii.-.g alan acaoced :j :.-.a resuirasan:
:. Hav« :.-.• .-.ecesjary saaoiing cjolj and saooia C3r.ca:nars.
3. Coilacc aaoolas 'ar^Lv in :r.« inv«icij*cion. Tha iooner 5ia:.-
are O3ca>.r.ea and analyzed, ^suaLiy, cna aora =eani.-;:j. :
aiL :nas«s ai tse invaiCLf ae tan , se :arefuL -.:: :
concaainaca voursel: or crssj-concaaunact :ne saraaiej. -v.-i
j«at c.san or ^usosaola jiov««, protacciva ciocrr.ng, ar.a >a:i:
eaui:aanc aa required by ;ne 3CJCic:4i i.abel, razulac'.a**, >-
:ol::v vnen entering fields or .land Ling laoole*.
;. Cone an t raca samolin; ;,i :iia ar«* :hac base r.an::a>:i : -
sytnacaai asaoeiaced vi:S cne ptotjlan. -iiffaren: :/-«j :
samale anaivsas (sucn as soil co grass) are di::::..; :
SiaiLar •aacenals snouid 3a used for r^nairii:
sucn as in cases wners :rsaced and non-craacec area
are ca a« csoDared. Li*a :ai;a?e cvpes ( gras*-co-?rass; >-;'..
;e same Led wnen aoss^aie.
aus: 3e rastaaenc a: iva ac :ne r.e^ia
j ice/csmaodtcv) bei.tg saooiea. Satecctan }£ •..-.aivi.iua.
:3liec:ian sices 3us: :e ^n-.farsiy a-.scnauted (-..a..
saacai, «cc. ) .
Seiecc ::.« isorooriaca sanoie cyseij) C:.e.. ::a3osi:a, :-:.
:aca jr soil! santeia^ :?ac wn.. :eec :.ie saeot.r.j ^ 3.15': : . - -5
Cjnsostca iamale: :;as i.-.ae ion of :vo or -ore
:o rraeue: a r.cr.ogenous sample.
-,or» saaales coiL«
candicions.
• Sal'.; Staple: division o: a sample inca c wa eoua
idencicai roctians.
-------
ir '.s :' :i • -" ~ a : •» r •. i. . * a. s: •
..:w :-« 5 . .ia; :-i» 5
= 3 . •» j.;» - T ; •. - :
. Idsn:::' 3-d offici jl'.v s-4l 'WL:T -ijscaiv sea.s; sir- - :
?. 7raw a Jiagraa of fa «a*.sod« sice. >e d-.agraa siouli .--..;»
suc.i :TLngs as :~a aaaole lacaeurn, laRsaaricj, aa;aeenc ::::5
ind Jicas, rsaa diaanaiana. :S« location of vicnenei, i-.jea-t-s
:ecv««n ooinei, ece. Crianc dia^rja :a daoicc nor:i ac :-.« ::?.
3e as aceuraea as aosaibla and includa :!i« diagram :: vi:n :--
r«oort.
10. 3o TOC »Tcios« jamole iaca or chain of suscodv saaerj .-
4ir*c: :3,n:aec wic.n samole. Idenei-yinj .-uaaers an
•: an : a i.iar i snouid s« -asied exaec Lw as JD :'-. e
rt :iain of tuscody sne«e :a idencifv :ht
'.aijoracorv. Con»oie:e ' tr.e Laooracorv'a reaussc far i-i..j.i
'.1. '."se srjaer scarage and ^reservation •etl'.ads. ^af»r :a "".
saasla Storage, ?res«cvacion and Shiaang" sect-.an j :' : - -. ;
manual .
be
:.-. ay are calLccted as u rojjisle. Sasicailv, aasioiei ars :»s:
>".a3«d frszsn or r« frigeraced, as aaorsaciata. I: :-'.s -s -;:
:rac:isal, ;he falijwir.g ju-.ieUnes Tiay :e of icisa isi:.
- ?Iane aaeerial does wall in a vencilaced
' a ; » r should ise 5-133 ed •. t :Leai jlasi tsncair. ers
3L-e-;:e" -..i scyrafoaa is a good vay :o snia, •'soeeiai.i/
*« aumaer.
-------
SAMPLING TECHNIQUES BY MEDIA
-------
SAPLING TECHNIQUES BY MEDIA
= i~i?i::ci: PESTICIDE E:;~c?.cE:'TE:n I:JYESTIC-ATIVE SA^
HAMUAL. JANUARY 1990 DRAFT 3Y CALir
DEPARTMENT OF TC!GD Vra ^C-P.ICVIT'JP.E
5L'??OSED TO PRCDUCE VJ ACCCMPAiJYI^G VIDEO
7EHY DETAILED QN AG SAMPLING
SAMPLING EQUIPMENT - SEE LIST
AIR SAMPLING AND RESIDUE SAMPLING OUTLINES FOLLOW
MOTE RECENT RESEARCH ON WIPE SAMPLING
-------
i2 3 I. . - g iJ-
-...si :•. .
':..:=«•: 3-;j.: :« :.jj--a :•:.«•••. *i-- jj»;..j. .5.-* ..,.
-*:«r. TJ -•-: -i« :*:sr?s-:j. Tj :«::-.:«;. -.a:* :•» *-...—
.it-, i'.s ::^3.« :.-.s- *-.:-. :. 3 :...•>: -i;*: :•»- -.-=j .
:r:3'. ;r .so5r:3v. i.::-.a. \.sa :<• i..-» :; .45- :..- •;•-.,
-i-<« : : 3 ; 3 s 4 : . j i.;/-i :; ::••/•->; : r : 5 i --.;--. IT . - j -. •
in
:i:«
5. Shovti, nanaso«d«, >-
siracar, gogglas, -.ari nac, ruooar jlavas ana :ac:>
rainsuiC, wadars, *cc.)
-•0-
-------
AIR SAMPLING
-------
AIR SAMPLING
ucxs AIR THP.CVGH FILTER xATEaix:
I? I FT CA3D = ELIMIIIATE 'AC "JVM ?V>!?
-J,-3 SZPLACZ FILTZS MArraiAL VI7H EXISTING SLSFACiS
( COVi?.ZD U^IDEa RS5I2L*S SAMPLING )
50Ps/:-*ZTHODS INCLUDED TOR '/ARIOUS TYPES OF Aia SAMPLING
FACTORS TO CONSIDER
INDOOR SAMPLING
- SUB-SAMPLKIG GIVEN VOLUME ( IMFILTRATION7/LZAXAGE? )
- QUALITATIVE RESULTS ( 3 EMI -QUANTITATIVE AT 9EST )
- NO STANDARDS OR REGULATIONS TO INTERPRET RESULTS
- MICHIGAN GUIDELINES
- CHLORDANE APPLICATION IN LAST YEAR = TAKE AIR
AND WIPE SAMPLES
- USE PUF SAMPLER DRAWING 500 LITERS OF AIR THROUGH
SAMPLE IN 4-5 HOURS
- TAKE Z AIR SAMPLES PER RESIDENCE < 3ASEMENT/MA::i
FLOOR )
- SAAMPLE 2 RESIDENCES PER DAY =» START PUMPS AT
ONE LOCATION AND GO TO SECOND LOCATION
- IF ANY SAMPLE CONTAINS MORE THAN 8 MICROGRAMS
PER CUBIC METES, THEN PCO ASKED TO RETURN TO
ADDRESS PROBLEM AND TAKE ADDITIONAL SAMPLES
-------
- LABEL Y:CLATI:::S
- CIVIL LAWSUITS/rxMAGs: CLAIMS
r'jT-cca SAMPLING
- 3-3-SAMPLING v.ncrcwN VCL^S
- QUALITATIVE RESULTS ( PRESENCE OH ABSENCE ) »
CO JICT KNODW I? MATERIAL TOQID ARRIVED III SLVG
GS SLUGS OR SYESLY OVT3 SAMPLE PERIOD
- MO STANDARDS TO INTERPRET RESULTS
- ENFORCEMENT
- LABEL VIOLATIONS
- TOLERANCE OH OTHER CROPS
- CIVIL LAWSUITS/DAMAGE CLAIMS
CALIBRATION ( SAME FOR SEP"-PAKS,PUTS AND HI VOLS )
- LOAD SYSTEM AND TAKE MAXIMUM VACUUM READING
- REPEAT WITH KUHZ METER (MASS FLOW METER J IN Li:iE
- THEN REPEAT AT DIFFERENT VACUUM READIES IT
CALIBRATION CURVE DESIRED
ZSITT CARDS
- OIL-SENSITIVE AND WATER-SENSITIVE PAPERS
- MEED TO SET OUT 3EFORE APPLICATION
- CAN DETERMINE DRIFT VERSUS OVERSPRAY AMD
O:RECT:OW DROPLETS CAME THOM
-------
COMPENDIUM METHOD TO-10
DETERMINATION OF PESTICIDES IN
AMBIENT AIR USING LOW VOLUME
POLYURETHANE FOAM (PUF) SAMPLING
WITH GAS CHROMATOGRAPHY/ELECTRON
CAPTURE DETECTOR (GC/ECD)
QUALITY ASSURANCE DIVISION
ENVIRONMENTAL MONITORING SYSTEMS LABORATORY
U.S. ENVIRONMENTAL PROTECTION AGENCY
RESEARCH TRIANGLE PARK, NORTH CAROLINA 27711
MAY, 1988
-------
7310-29
SAMPLING CARTRIDGE
115V ADAPTER/
CHARGER PLUG
FIGURE 1. LOW VOLUME AIR SAMPLER
-------
RESIDUE SAMPLING
-------
RESIDUE SAMPLING
IF \ GLASS CC.VTA:::!? -:s ::cr cc:r;i:;:i:;T :?. ??.^CT::*-J
• =i =i-.T-'::.-j:! rc:i SJ.-D * PLASTIC =\c- -5 * s-j-?-_i
::::T>::;I?.
V.C'j:iT 70 COLLECT VARIES ACCCRO::,'G 70 ?£37:::z=l ZE17Z:7":;
L::iI7S AND AMOUNT ?R£SE:iT. 121 GE^IERAL:
SOIL - 100 GRAMS TO 1 QUART (A GOOD HANDFUL CR PL'JG ,
WAXES - i QUART OR LITER TO 1 GALLON
VEGETATION - 100 GRAMS (COUPLE HANDFULS)
HOW TO SAMPLE - TAG, BAG AND SEAL ALL SAMPLES
SOIL - COLLECT WITH SCOOP, SPOON OR CORING DEVICE.
PLACE SAMPLE IN FOIL, PLACE FOIL WRAPPED SAMPLE
IN PLASTIC BAG. MOTE FOR ACIDIC OR ALKALINE
SOIL USE GLASS SAMPLE CONTAINER. OILY PESTICIDES
FOUND AT SURFACE. AQUEOUS PESTICIDES FOUND DEEPER
^•ATER - USUALLY JUST HAND DIP GLASS SAMPLE CONTAINER,
CLOSE WITH TEFLON OR FOIL-LINED CAP. LOTS OF
DEVICES FOR COLLECTION OF WATER AT DEPTH. FOR
STREAMS SAMPLE UPSTREAM AND DOWNSTREAM OF
SUSPECTED CONTAMINATION SITE
VEGETATION - TWEEZER, CLIPPERS, SHOVEL OR WHATEVER IS
NEEDED TO COLLECT PLANTS. WRAP IN FOIL
AND BAG FOIL-WRAPPED SAMPLE
PRESERVATION - KEEP COOL AND DARK - OK TO FREEZE VEGETATION
- WORRY LESS ABOUT SOIL
-------
=WA3 C2 :•/:?£ SAMPLES TO I-iTISi-ririS PESTICIDE PRESENCE
SOLVENT c:r 3rr?.:ii =AT,
i:FE?.GE:.'cr SAMPLING WHIM •.•::=? E?A?ED
~ca SWAS SAM?L::;G. co r;cT T?.Y TC ~:ILD CLEAN.
RIMSE GLASS WITH WATER TO 3E SAMPLED 3EFORE
SAMPLING, ^SE TIN FOIL TO LI^TE CAP, USE STYSOFCAM
COOLER TO KEEP SAMPLES COOL AND DARK, MOTIFY LAB
AS SOON AS POSSIBLE
-------
Itfl
Table 2
RECOVERY DATA USING VARIOUS COMMON SOLVENT;
Sorbent: TLC saturation oads
C :rr.c v-nd
Chloriane
Chlorpynfoa
Malathion
Diazinon
Aroclor 1260
Bendiocarb
Propoxur
Solvent
liooctane
Acetone
Isopropanol
Dichloromethane
Isooctane
Acetone
Isopropanol
Dtchlorome thane
Isooctane
Acetone
[sopropanol
Dichlorome thane
Isooctane
Acetone
Isopropanol
Dichloromethane
Isooctane
Acetone
Isopropanol
Dichloromethane
Isooctane
Acetone
Isopropanol
Isooctane
Acetone
Isopropanol
No of
Replicates
4
4
4
3
4
4
4
3
4
4
4
4
4
4
4
4
4
4
4
4
3
4
4
4
3
3
Spike
-»•••
13
13
1.3
1.3
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
375
375
375
375
30
50
50
50
515
515
1,650
2.560
2.560
2.560
Recovery
^
:4
• I
42
23
56
72
34
39
30
66
42
51
70
57
62
55
ao
76
71
60
51
56
34
49
90
96
7.cZ
."
— T
.-t
* 1
.t
14
23
23
5
5
12
i
«•
9
13
9
3
!5
•J
:o
13
i
i,
n
10
-«
3
-------
Table 3
-\MFLING A.YD EXTRACTION EFFICIENCIES
FOR VAHIOt'3 SOP.3E.NT MATIRIAL5
Solvent: Optimum soivenc from. Table 2
C :~ pound
Chiordane
Chlorpjmfos
Malathion
Propoxur
Aroclor 1260
Sampling
?,eccvery
Material ~c
Polyurethane
Cotton balls
Gauze
Saturation paper
Dental wick
Polyure thane
Cotton balls
Gauze
Saturation paper
Dental widk
Polyurethane
Cotton balls
Gauze
Saturation paper
Dental wick
Polyurethane
Cotton bails
Gauze
Saturation paper
Dental wick
Polyurethane
Cotton balls
Gauza
Saturation paper
Dental wick
30
.YDa
71
66
24
48
20
72
77
45
53
31
64
30
06
72
26
71
93
66
50
30
80
48
?-3D
- £
5
•
10
3
20
21
40
10
4
ia
13
29
14
4
9
7
19
13
3
3
20
13
3
Id
I t:r a ::•.;.-.
R=co-.ery
»—
r
10 L
101
96
106
82
36
99
95
114
90
89
36
36
96
L09
103
99
100
1Q2
35
96
34
33
101
?^Z
'_ 3
• )
2
19
i
14
3
9
4
3
3.
14
1
~
3
1
3
1
3
1
13
22
13
9
\ot detected-
-------
Table 4
PERCENT RECOVERIES FOR VARIOUS SURFACE TYPES
5orberu: TLC saturation pads
Solvent: Optimum solvent from Table 2
Surface
C;.r.?:ur.i Type
Chicrzar.e Veneer
Glass
Aluminum foil
Tile (wax)
Tile (no wax)
Wood (painted
Chlorpynfos Veneer
Glass
Aluminum foil
Tile (wax)
Tile (no wax)
Wood (painted)
Malathion Veneer
Glasa
Aluminum foil
Tile (wax)
Tile (no wax)
Wood (painted)
Propoxur Veneer
Glass
Aluminum foil
Tile (wax)
Tile (no wax)
Wood (painted)
Aroclor 1260 Veneer
Glasa
Aluminum foil
Tile (wax)
Tile (no wax)
Wood (painted)
No. of
Samples
3
4
4
3
3
3
3
4
4
3
3
3
3
4
4
3
3
3
3
4
4
3
3
3
3
4
4
3
3
3
Recovery
•~c i
LO
23
65
30
36
16
6
53
72
42
31
23
3
84
30
67
35
6
6
32
93
22
13
13
•20
41
30
45
54
19
?-5I
X
•|^
<***
i
20
14
13
37
19
6
10
i
0
.23
5
4
3
•29
17
30
7
9
i <
.-«
17
3
30
15
3
f
13
5
-------
Table 5
RECOVERIES OF WIPING AM) BLOTTING TSCKNIQIIS
Sorbent: TLC saturation pads
Solvent: Optimum solvent from Table 2
Surface: Aluminum foil
Compound
Chiordane
Chlorpynfos
Malathion
Propoxur
Arochlor 1260
Recover/
Replicates <*&)
4 30
4 66
4 87
4 58
4 78
RSD
'"VI
12
6
5
3
12
Recover/
.56
62
90
49
79
•3 ~-\
-
5
2
2
3
Experience and consistency of technique were determined to play
significant roles concerning the overall accuracy and precision, m
obtaining surface samples. Three samplers of varying degrees o£
experience collected surface samples using the described technique
Higher recoveries and greater reproducibility were reflected by the mere
experienced sampler [Table 6].
Table 6
COMPARISON OP SAMPLING EFFICIENCIES BETWEEN
INDIVIDUAL SAMPLERS OF VARYING EXPERIENCE
Sorbent: TLC saturation pads
Solvent: Acetone
Surface: Aluminum foil
Anaiyte: Chlorpynfos
Sampler
a
b
c
Sample
Xo.
4
4
4
Recovery
(%)
44
33
62
RSD
W
16
17
6
Sampling Experience: c > b > a
-------
SUMMARY
3ased on the results of :his limited study, the following guide...-.i:
are provided to personnel who plan to engage in a surface sampling ?".-::-.
cor pesticides and/or PC3s:
• TLC saturation pads or 3-ir.ch x 3-inch gauze pads as --r
iorbent of choice
• Isooctane as the most effective solvent applied to the sorbent c: .-
most pesticides of interest; if a carbamate or a known polar
pesticide are to be sampled, isopropanol is the more effective
solvent.
• A single sorbent with a single pass in both the horizontal and
vertical direction can be used for a nonporous surface such as
glass or metal; however, the process should be repeated with a
second solvent treated sorbent for a porous surface such 35
wood and/or tile.
-------
BULK SAMPLING
-------
BULK SAMPLING
:'?LE CC:;T\:::E? s lip.c-ER THA.V c-:s 1^1::
r? .*-s s:?--Li .
-------
BULK SAMPLING
Bulk Materials - liquids or solids
Bulk Liquids - subsample from containers larger than legal
1. 55 gallon/30 gallon/15 gallon/5 gallon/2 2/1 gallon
drums - both metal and plastic
2. Tanks - 250 to 5,000/10,000 sometimes even 20,000
gallon tanks - both vertical and horizontal
Drums/Small Tanks - open carefully
Work over plastic
Thief - most common - simplest
1. lower slowly/keep vertical
2. Wipe off as thief is removed
for larger drums/small tanks - basically a 2
person job
3. Thief is disposable
4. Glass rod especially dangerous after use -
contaminated
5. Place in capped non-breakable protective tube - for
example: capped PCV pipe
Siphon tube 2 or 3 depths if unable to mix contents
Composite from: middle of top 1/3 rd
middle of middle 1/3 rd
middle of bottom 1/3 rd
30 gal/55 gal drums
siphon from middle of
top half
siphon from middle of
bottom half
-------
Large Tanks - most difficult/most dangerous
Reference ASTM Standard D4-57 - Attached
Safety Considerations:
you may fall off/keep your BB4'
watch out for loose and/or corroded ladders
tricky carrying equipment up ladders
consider hauling up with rope
often rounded tops/working over plastic increases
hazards - smaller piece of plastic and work over tank
opening
tricky getting back onto ladder
may want to tie in/use extra person/mountain climbing
techniques
don't take chances
Sampling
can tank be circulated or mixed
okay to sample from valve if operator opens and closes
valve
Never open valves
If no valves/no mixing or circulation and you want a
representative sample
L = quantitative sample
Use Bacon Bomb or similar device
Vertical tanks - simplest sampling approach
*
same approach as for large drums
divide volume into thirds by height
sample mid-point of each third
equal composites into sample container
-------
Horizontal tanks
vertical tank in resting position
underground tanks
need ASTM Table or Cheat Sheet because volume not
distributed evenly with depth
LOOK AT TABLE
WORK THROUGH CALCULATION
EXPLAIN CHEAT SHEET
(Get One) - Calibrated sample bottles helpful
EXAMPLE TOR 10' DEEP TANK 80% FULL
Where do you Sample from Bottom of Tank
Sampling Parts
Level %
From bottom . 7xd-. 7x10=7 ' - 2x50 = 100 ml upper
From bottom . 5xd=. 5x10=5 ' - 5x50 = 250 ml middle
From bottom . 2xd-. 2x10=2' - 3x50 = 150 ml bottom
500
Or from TOD of Tank
Upper sample collected 10/7 3' below top of tank - 100 ml
Middle sample collected 10/5 5' below top of tank - 250 ml
Bottom sample collected 10/2 8' below top of tank - 150 ml
-------
•jofl
Now if you have a stand pipe (fill pipe) add to measurement for
marking chart, i.e., if you have 2' fill pipe and measuring from
top of sample @ 5'
7'
10' depths
l. Get % of depth Uqyug Depth _ x 100 = % tank is full
Tank Depth -
2. Look at sampling levels above bottom on Table
3. Look at parts
Measure tanks - tank diameter
tank depth
liquid depth
Vertical tank: above 10*
Divide in thirds - samples in middle of each depth
10» or less - 2 points
Sample @ 1/3 point (i.e. 9' of oil
sample @ 3f& 6
Horizontal tank: measure depth of tank
measure depth of liquid
measure the fill pipe - subtract to
total depth of
Major drawbacks to tank sampling for most pesticides:
contaminate non-diposable equipment
that it is difficult to clean in field
Bulk Solids - Subsample from containers larger than 40 pounds
may be bags/fiderboard boxes or drums/even large
bins
qualitative vs quantitative samples
qualitative samples - disposable plastic scoop
quantitative samples difficult to collect
large bins almost impossible unless very
consistent material
-------
but usually mixtures of active ingredients to
(or pias- fillers that will separate by density
tic golf
club - best sampling tool available - Grain Thief
tube)
insert several times through material sub sample
with spatula
only good for flowable or granular materials
does not sample bottom of container - bag sample
- use thief from 2 directions which also carry
tape to repair bag
Optional Safety Clothing
Disposable gloves, coveralls, nuke boots
Splash shield/resp/power resp. (1/2 face can't be fit
tested)
Problems - fatigue/visibility
Bulk Plants - do mass balance on chemicals in/product out
Packaged finished product 95% or better of raw products
Chemical Engineer or good Pesticide Chemist can provide yield
information for particular process
"Missing" product may - environmental contamination or
unrecorrded shipments
General Suggestion for Sampling
Develop SOPs
How to Plagerize/reference NEIC, CDFA, ASTM, etc.
collect
equip- Provides guidelines for new employees
ment
Amount Chemists know what to expect
Where
Type More defensible if challenged but be careful to
Freq. document what you actually do and always
QA.QC subject to change in field
Next Topic: Documentation
Buen Provechel
Bon Appetit!
Let's Eat!
-------
•1. LU »
ru 5«:X
I^ W^tll* it
.41 3t >U3O«ai
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8
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a J .a i'«o •«« 31 391* eaauiai
SAMW.E
4IOOLC SAMPUt
i itaer ei ui* •tat. *t i
ie iuu MIB 11 it ivt.
Sui«U«Oe*«M
»O«T:I 71. .- — -n
-------
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-------
r
STANDARD G?i3A7:'!G ?eCCi:
"ATiQuAL H.':FCSCE.MWT INVEST:3Ar::-,:s CENTER
1 o* ::
, ._-, - . .. _ ; a .
-5"M ^-273-55 (^siooroved 1930)
This method cavers procedures for obtaining reoresentative samoles of stcc'
-------
DOCUMENTATION
-------
13*
DOCUMENTATION
Document all inspection activities State/FIFRA Forms
Logbook
Your most important link to the past for report preparation
and also for preparing for court room testimony which may
be years later.
* . <• i i"«,wK \oy I'"-- k
Show plus bound green logbook
Logbook
Simply a document that allows you to take notes and log
data.
SUGGESTIONS
1. Flexible good grade of paper
2. Bound - stitched binding
3. Water resistant
4. Practical size
5. Accountable document - limit the numbers
6. Return address
ENTRIES
1. Indelible inJc - don't assume a pen is indelible
2. Description of facility you are investigating
3. Names and phone numbers of facility personnel you deal
with - get business cards if possible to tape or
staple into logbook
4. Notes of interviews - time, date, place, name of
individual you talked to. If particularly intersting
bit of information is obtained - try to get that
individual to read your notes for accuracy and sign
the logbook.
During interviews only one individual should take
notes.
5. Description of all sampling activities
Sample location - sketch if necessary map with
measurements
Drum or container - size, condition, color,
pertinent markings, degree of fullness
-------
Description on material sampled - solid, liquid,
semi-solid, phases, odor, color
Background information
Sampling Plan
Technical data on pesticide
Laboratory request information
Name of sampler and assistant/time and date
Method - especially if equivalent or special
method
List of all photographs taken by roll #,
date/time if important
Field measurements - how/where
Amounts of material present
Custody information
LANGUAGE
Simple - almost terse
Objective - billboard next day
Qualify - soil like, petroleum like, odor
Never put notes in your logbook pertaining to another case.
Never leave your logbood unattended - especially on site.
MISTAKES
Change - initial - date if it was not immediate
Only you write in logbook - if someone else must have them,
sign and date/time they made entry - avoid if possible.
You can't take too much good information.
-------
DOT REGULATIONS
-------
DOT REGULATIONS
172.101 Hazardous Materials Table
Pesticides usually Poison B/Flammable
172.102 Optional Hazardous Materials Table
Generic pesticide listing if unknown
New DOT Regulations effective June 4, 1990
More detailed emergency response information
24 hour telephone number for person with
knowledge of the hazards and characteristics of
the hazardous material being shipped
Additional description requirements especially
for generic, n.o.s. shipments
Training
DOT
Federal Express
-------
A Put
1
3fcSe
of Restricts.
Title 49 Coc
•-*.
minar for #
n
;e Trar
i
isoort
1 Articles According to
1e of Federal Reoulatior
* > *
!
af/ffin
s
-------
SHIPPER DUTIES
1, IDENTIFY
2. CLASSIFY
a PACKAGE
4. MARK
5. LABEL
& CERTIFY
7. PROVIDE PLACARDS IF NEEDED
-------
USE OF TABLE
COLUMN 1 172.101-B
+ = WILL ALWAYS BE SHIPPED AS LISTED IN THE TABLE.
A = ONLY REGULATED BY AIR—{non hazardous by all other modes)
W = ONLY REGULATED BY WATER—(non hazardous by all other modes)
E = IDENTIFIES A MATERIAL WHICH MAY BE A HAZARDOUS SUBSTANCE. A MATERIAL
BECOMES A HAZARDOUS SUBSTANCE WHEN THE AMOUNT SHIPPED PER OUTSIDE
CONTAINER EQUALS OR EXCEEDS THE R Q WEIGHTS LISTED IN COLUMN 2.
-------
221*1
DEPARTMENT OF TRANSPORTATION
HAZARDOUS MATERIALS TABLE
(49 CFR 172.101, Revised as of October, 1987; 52 FR 41303, October 27, 1987; 52 FR
17158, May 13, 1988, effective Jan. 2, 1989; 53 FR 38272, Sept. 29, 1988, effective Sept. 30,
1988; 54 FR 3466, Aug. 21, 1989; 54 FR 38793, Sept. 30, 1989; effective Nov. 15, 1989; 54
FR 39500, Sept. 26, 1989; effective Oct. 31, 1989; 54 FR 40068, Sept. 29, 1989; 54 FR 47986,
Nov. 20, 1989; 54 FR 49998, Dec. 4, 1989; 54 FR 51031, Dec. 12, 1989)
§172.101 Hazardous Materials Table—Contd.
III
V
w
A
12)
HiuflkM* RUucmla dncnpnoaa and proper
uiippui namo
Accuraulaaor. preuunied tftttwuau or
lifdmUo conlOHiinr nonjnMmaMf tat
AcetU
1llll»HII)lH Mtif a&tnivaW
Aceuldccrde innooi*
Acne add tttaimi unuvooi
AOHIC tod. ejacul
Acetic utydnde
Aceiom
Ati HUM cyuobydna
Accueai od
Acommnki
Acayl errldne peroaide. m sontfio* •«* nof
monf (Aw 0% 0v iMriiKi onr«v ojvene. Srr
Ortwc peraude. liquid or utution
OO.I.
•ttiYjn1 aatoK* orarutr m* man mat Ml o»
**iliff ocnw cuyfa*
Accrrl Deararl penarte. nor nonr itan
40% m aafHfuM Sf* Aeeryt benaovl
pmiiae Muiaga. noi ow '0% pranaV
40% ro MtonM
Acarl beunK peroude tolulioii nor o*tr
Ac«rl orooude
Aoerfl rMnrrte
iMfyl cydtaneuenulphoByl peroaide. nof
monr fAnji 42% vmrrf ~uH «0r /m /now
1 j* •our far Orpgjc perame, mid.
naa.
pannide. latead or lolauo*. a at.
Ueutnai
rrr*«,«
DI
Haufd
cl*a«
Sonnammaota
•aa
RimmaMi
liquid
Flimmmu
liquid
ORM-A
Connive
rnueml
Corronrt
nuienal
Cormi.e
rneimeJ
FlammaMl
liquid
Poiioa B
FlinnnaBW
hguid
nanmuk
liquid
Forbaddm
Fortiadia
Orpine
perOMM
Correave
matanal
nearaak
liquid
FlamraKHe r»
FOTMMB
FortMdB
DAI
Idnti-
ficanon
lumoer
S1IOM
LNIOII
UNIOI*
LNII4I
UN27«0
UN27M
UNIHJ
union
UN 1341
L'NIO*!
NAI64I
UN20W
UNSHI
UNIMI
UNITII
UNI1II
UN2W2
UN20I)
UNIOOI
1*1
UoeVil
mmrad
nfnoi
eiimedl
MxinimmaDU
P*
namruMe
liquxt
FIlfflniMe
liquid
None
Comiive
Coiiuuve
Comiire
FlmmaMe
liquid
Ponoe
.'
Flamrrtabd -
liquid
FlinniHe
liquid
Orfjaic
peiuiide
FlannaMe
liquid
RiAnatk) K>
(
Pica.
ill
Etcroiioni
173 Kit
173 III
None
173301
17):**
1732*4
1732*4
17)111
None
I71III
17] III
None
I73<44
17)244
Need
I)
nim
Ibi
SMClfic
requin-
Rienn
17) II*
17)11*
17)110
1 7) 24]
17) 24)
17 J 2*5
17)11*
173)4*
1 7) 3a
17)11*
17)11*
1 73 222
17)24?
17)247
17} Ml
1
Maximum
m one
III
aircraft or
mtou
No linn
I quM
ForMdra
Mo linn
1 quail
1 quM
1 quit
1 quilt
FortMdeo
1 quart
1 quill
For***,
1 qmn
1 quart
ForbKkta
K
wi auanniv
oeckact
101
iinran
No l.m«
10 r"-~
lOcillon
No liran
10 iiUoa
lOtallora
I itfoa
ia rii~~
ISiaUoa
IDpHont
lOplkxn
1 quM
1 nnm
1 iilloa
MOpouadl
in
Ortfl
•nirl
1 2
1 3
1 )
1 2
1 2
1 2
1 2
1 )
1
12
1
1 2
1
1
1
* aicr inipr
ID)
PII.
•cue!
1 >
4
3
1 2
1 2
1 I
1 2
4
3 i
1
*
1
1
1
1
e-it
•ei
Orser -eouireT
Slo* tcmraie fi
rune acid or 01
diiina. fnaiertan
Sto* teaaraic Tom
nunc xio or
o
Shade from itliai
neai
01-26-90
Copynght e 1990 by The Bureau of National Attain. Inc.
OI4g-7973/90/$0.+.50
[Sac. 172.101]
-------
221:0102
HAZARDOUS MATERIALS TRANSPORTATION
§172.101 Huavdoo* Material* T«ile—Court.
Ill
»l
V
w
,
_
A
,
,
A
12)
lAippuu najno
Acenlrat utnmmdi
ue»l iodide
*.cetyl neroaida. tot "ton (Aon MS «
totuiioM Str «etyl pmiulc toiutiofl wi
o«r 11% pmuidr
tctirt man* to/tat or «ionr Him .'J» in
icVuion
Acnyl penaide nuion m ow .'-'»
PMidr
1CIO Butyl PUOWUU
Acid carboy efflpry Str Carom, empty
Acid, liquid, n 0.1.
Acrokn, iiuoucd
Anylic acid
Acrylonnai
Acuiunt carffie*. etplome Ifiit
r-r/iHfluavr or lO/Mrf
Adkee...
Ad*.*
•Irani pwnWf iVr Cornpmned lu. n o L
Air ammmna
Air candinoniiaj rucnino Srr Refnetnnni
machint
Air refnaenied liquid Icrrotnic liquid).
Awytcnf flan Sff Firework*, ipeeiaj
Alcobohc «cvcna»
AlcoBjot, n o^
AkoML not.
Aldn.
AldTM r** tolHt
Aldnp maiun. dry l-nli nan ikm »l%
AUna Riitturt dry mn 61% or ten aUrn
Alcno niuun. liquid Cm* mar ill* 6P*>
Aldno minun. liquid, -ua 60t> or Mi
iWnn
Altatina Infwn liquid. 0.0 a.
AUaaaulfoaK and
liquid, not
ABetbno
Alyl akcoaol
Auyl oronudi
11)
Huud
ORM-
Carrotivt
material
ForbKldn
Orpiic
peraaidt
CormiM
maurul
Mtenir
n.rvmaWe
iquid
material
Flammable
•quid
OmC
eiptoaiw*
ComBuflibta
iqud
nannubkl
iquid
M«rlaaa«UH
Nonflammable
Flammable
iqind
"nntbinlinui
FlanrnaHe
iquid
Ponoa •
ORM-A
PC.KM B
OIUM
Pouoo a
ORM-A
rTomaivo
nuumd
Cormiv*
maifral
ORM-A
Rtmmaoti
l«nud
FlaRunMe
llCJUMl
lOBUI.
numoer
LS2W4,
LNI19I
b.N2M4
LN20M
LNI7II
NAI7M
UNIO>]
LN22II
UNIOtl
UN II 11
UNI 1 31
UN 100!
UN 100)
UN II 70
UN II 70
UNI9.I7
UNI4I7
NA27O
NA176I
NAJ70I
SA27tl
IKA1762
NA17«2
NAI7H
UN21I4
WA2901
UNIO«I
UNIO*>
14)
UOeKll
nouirad
lit not
eicniedl
NOM
Corrouv*
Orpnic
eeroiide
Corrouve
Corroiive
Flamtnaole IHI-
md and Ponon
rorrOHve
FUmmaMt
iduua and
POIIOB
E>otoy>eC
None
FlimmaHe
Nonflinmaote
NonDanimabkl
namnuMe
liquid
None
nimnuMo
liquid
NOM
Ponoa
Now
Ponoo
Nam
Ponoa
SOM
Cofroti*e
COTOU'O
Nan.
nannubkl
hauid aad
Poraoa
FltmmaO*
liquid
in
Pacbvoi
(ai
Eiceptiwa
1)10)
71244
7) 111
71144
7)244
Non>
17)244
None
17)114
17)111.
unit
mw6
171)20
17)111
17) ilia
17)111
mi lie
171)64
17) X»
17)164
I7)M)
mm
17) MI
1 D244
17)244
17) Ml
None
17)111
ibi
Specific
requift-
nKflla
71110
1)24T
D222
1)141
7)24>
7)122
17)241
ID in
"lorn
17)112
mjoi
|7))II
11)116
171129
Neev
1111:1
Noon
|7))76
11)510
17)17*
HI 510
|7] 161
i7)sia
17)244
It) 241
UJJIO
mu»
17) la
|7)||*
Maaimun net quantity
m one packet)
In
Paiarrwr
aircraA or
railcai
0 plkMi
quan
Foraiqdra
l quan
1 quort
Forbiddea
1 quan
Forbidden
Mpouodl
No limit
1 quan
IM pound!
Forbidden
Set
I71IIIIO
No limit
1 quan
No limn
» pouadi
Mo limit
50 pound
no limn
1 quan
No limu
1 quart
) nnii
No Icrna
l
-------
2214106
HAZARDOUS MATERIALS TRANSPORTATION
$172.101 HtturtoM Mttcftab Tibt> Comd.
(ii
Hunta
Ubdfi)
raid
(i)
(O
01,0
m
Ottof
wow
Corran*
UNI 94*
UNim
IT11M
cWoxtt. A» I
OOM-A
I1JJ4J
173171
mm
mut
12
IJ
UNI11I
UNIT1J
UNIJ5I
NAIIil
NAIK*
UNITll
NAIM
UN MM
UNIMI
UNIM*
UNIMI
UMIIM
UNI 557
NAisrr
VNI9U
umna
urant
umm
UNIIM
I7JS»
I119H
111 M»
!I3J*»
Ul 1M
IT1IH
in MI
UJ2U
ITIJOt
u> no
ITIJW
ITJMI
1T1M4
IT! US
inn*
in m
inm
in MI
in 1*4
1 71 Ml
111510
mm
imt»
in iii
IT1M»
171 M
171215k
171245
17] Ml
17)114
17} lit
171 III
inn*
17) Ml
I7J.M*
in MI
171 M4
tDMI
Not
No tat
No 1
100 o
100 p
17)14*
171)47
II! MI
IJ
IJ
IJ
Do AM I
nonet v oe
Ul tit
1m mi toBou-
0144.7973/M/JO+.30
[SM. 1711011
-------
HAZARDOUS MATERIALS TABLE
$172.101 Hazardous Materials Table—Com*,
V
w
A
A
AW
Kao^c-™*.™. *****
Onjuotm omen*. Kiid. not. rnmeouMi
dud prvpcwratu
ORM-A oov
OP.M-B no-t.
OHM-C Sit I'J.'OO gjut 174 TO
OX.W-E lieu* o- Hlid. not.
Soi Haurdoui luNunca.
hqiid or Mid. not.
OnHonitrouuiM Sir Nuroaailim
Oiiduay «omat««. liquid, not.
Oiidiaer corrotive, iolid.no*.
Oxalizrr nauiai foetid «i* otarr arnrfa Sn
HI III
Oiiduar ao.i. er Ondmat naunaL noi.
Ointucr poiicauua. liquid, not.
Oiiduar pntonou. Nlid not.
Oiym finyfiia;
aid' »* m <-x> «*J »»*o«r-i oracidr
Pfrcnkma. not
Huard
clan
Ponoo
ORM-A
ORM-B
Oiidiia
Oiidiur
Oudiar
Oiiducr
Oiidim
NonlbmmiMf
Mi
NanfluimaMi
"*
romouuibk
liquid
nammaolf
liquid
Comivt
nuucnal
CORIDIMOM
liquid
FlamnuMt
liquid
ORM-A
nintnattl
liuuid
Orianic
piromida
Poim 4
Poiioa B
Ponon B
Potto. B
FhrnaaM
liqvH)
FortMidm
FUramaoh
liquid
Faftnddti.
Onnuuc
pnomli
Ondiar
Identi-
ncniaa
mimter
UN27I6
NAI6«1
NAI7M
NA9I91
SA«I«4
UNI47t
NAVI40
NA4200
UNI072
UN 1071
UM261
UNI2I1
NAI760
NAi:ti
UN 1261
UN::U
U.M:W
UN2I21
NAI947
NAJJI1
NA27I]
NA27I1
UN2IN
UN 1310
UN 1241
NA211I
NAI4II
UbeHil
required
(if mx
eiceptcdl
Pawn
NOM
f-aat
Oiidiur lad
Comnivr
Ondizir ud
Carroll ve
OiKluir
Oiulncr ud
Pam
Oiidiier •«.
POIMA
OlKllKT
Oiidim
None
nimnaaki
liquid
Corrouvt
NOM
•
Flinmalw
liquid
NOM
Flamnaw
liquid
Orunic
pmiidr
Potion in
POHOO
POilOO
Poitaa
Flinmtolt
iiaud ind Poi-
ton
FlimmaMi
liquid
Onaatc
peroud.
OlDlKT
Ptciami
^f_
No limi
1 quirt
1 quart
No linn
1 quart
JOpoindt
I nun
l qiian
Fortidcan
Foroidden
90 pound!
ForMden
Fortiddra
Fortndtln
1 prn
29 poundl
Ib)
Canjo
lirentt
200 pound!
No linn
NO limit
l quart
11 pouaa
21 pmiadi
l quan
11 pauia
HO pouadi
rmiiiiiiiii
No linn
11 ultoa
1 |-"~
No limn
llallOM
mpouai
lOpJIOM
i quart
Forttiddn
l quan
200 pouadi
1 quart
FortMoca
lOullom
!pm
lOOpouadi
i')
-Viler iniomcnti
Cum
vend
I]
1
1
12
1
12
11
1
11
11
11
1!
11
11
12
1 1
1 1
11
l 1
1
11
1
1)
'01
Pit.
lenerr
12
,
4
1 2
1
4
1 2
1
1 2
,
fc
1 2
i :
i:
i
4
9
l 1
1 1
1 1
1
4
4
1 1
ICI
Otner requircmmii
tAdcr OCCB uo-»iar
mu M in xfl
•enulaled vace
Stov WDmnie rront
flunmioles. Do not
canjo
Scfreunon wme 11
'01 flimfliiOK ta>i*
idl Mpirtie Irum
rlimmiDif |awt or
iriiiemii or j/uruc
pcronoes
Sh40c rom ijuni
hcti
STdCrrc''-'^?.
010-27-89
Copyright * 1989 by The Bureau of National Affairs, Inc.
0148-7973/89/SO.-K50
[Ste. 172.101]
-------
HAZ-IU
221:0301
DEPARTMENT OF TRANSPORTATION REGULATIONS FOR USE OF
HAZARDOUS MATERIALS TABLES; PURPOSE AND USE OF THE
OPTIONAL HAZARDOUS MATERIALS TABLE
(49 CFR 172.102: 45 FR 34560, May 22, 1980; amended at 45 FR 43761, June 30, 1980;
45 FR 74640, November 10, 1980; 47 FR 44471, October 7, 1982; 51 FR 25639, July 15,
1986; 51 FR 42174, November 29, 1986; 52 FR 4842, February 17, 1987)
§172.102 Purpose and use of the
optional hazardous materials table for
international shipments.
(a) The Optional Hazardous Materials
Table (Optional Table) set forth in this
section provides descriptions, classifi-
cations, labeling and vessel stowage re-
quirements which may be used for
international shipments as authorized
by §171.12 of this subchapter. The Op-
tional Table provides alternatives to
corresponding requirements in §172.101
subject to conditions set forth in this
section. The provisions of this section
do not apply to materials designated
as hazardous materials under this sub-
chapter that are not subject to the re-
quirements of the IMDG Code. This
section does not designate matenals as
hazardous materials and it does not
specify packaging requirements, ex-
ceptions or limitations. They are made
only in §172.101. A number of materials
listed in the Optional Table may not be
subiect to the requirements of this sub-
chapter, but they are subiect to regula-
tion under widely applied international
standards. They are listed in this sec-
tion in the interest of providing con-
sistency with those standards and to
alert persons offering or accepting
these materials for transportation that
the materials may be subiect to regula-
tion in international transport.
(1) A shipping description and any
associated entry which is listed in the
current edition of the IMDG Code but is
not listed in the Optional Table may be
used as if it was listed in the Optional
Table, if approved by the Director.
OHMT.
[51 FR 25639. July 15, 1986)
(b) A material describedr classed
and labeled in accordance with this
section must be in conformance with all
additional defining or limiting condi-
tions prescribed for the description in
the appropriate schedule of the IMDG
Code.
(c) When a material ia transported by
aircraft, motor vehicle, or rail transport
vehicle under the description and I MO
class or division provided in the
Optional Table, the shipping paper
required by f 172.202fa) must include
the class name from Part 173 of this
subchapter which most closely
corresponds to the IMO class
indicated for the material in the
Optional Table. For example, the IMO
proper shipping name, class and
identification number for Ethylene oxide
are "Ethylene oxide. 2.1. UN10W.
While Ethylene oxide would be classed
as a Flammable liquid under i 172.101,
the class in Part 173 of this lubchapter
that moat closelycorresponds to the
IMO class provided in the Optional
Table is "Flammable gas". The proper
shipping paper description would be
"Ethylene oxide, 2.1. Flammable gas, UN
1040".
(d) When appropriate, the entries
"IMO" or "IMO Class" may be
entered immediately before or
immediately following the class entry in
the basic description. For example:
"Ethylene oxide. IMO Class 2.1.
Flammable gas. UN 1040." •
(e) When an appropriate shipping
name from the Optional Table is used
to describe a hazardous material
which is also a hazardous substance.
the additional description re-
quirements for hazardous substances
in §§172.203(c) and 172 324 are
applicable.
[172 102(e) revised by 51 FR 42174.
Nov 29. 1986. 52 FR 4842. Feb. 17.
1987]
(f] Column 1 contains the letter "N"
immediately adjacent to certain entries.
The letter "N" means that the entry is
not an acceptable alternative and the
material must be transported under the
appropriate entry in f 17X101.
(g) Column 2 lists the optional proper
shipping names for hazardous materials.
Proper shipping names are limited to
those shown in Roman type (not italics).
In the selection of a proper shipping
name >o describe a particular material if
the correct technical name is not shown.
or is not appropriate, selection must be
made from the general description or
"n.o.s." entries corresponding to the
specific hazard class of the material
being shipped. The name that moat
appropriately describes the material
must be used: e.g.. an alcohol not listed
by name in the Optional Table must be
snipped as an "Alcohol n.o s." rather
than "Flammable liquid n.o s." unless
the technical name of the alcohol is
listed, e.g.. Methanol. Some mixtures
may be more appropriately described by
their application, such as "Paint" or
"Cleaning compound".
(1) Shipping names may be entered in
either upper or lower case letters.
(2) The words in italics are not part of
the proper shipping name but may be
used in addition to the proper shipping
I name. The word "or" in italics indicates
that any terms in the sequence may be
used as the proper shipping name, as
appropriate.
(3) When one entry references another
entry by use of a "see" and both names
are in Roman type, either name may be
used as a proper shipping name (e g.
Methyl alcohol. See Methanol}.
(4) If not included in the proper
shipping name in the Optional Table, the
proper shipping name for a hazardous
material that is a hazardous waste must
include the word "Waste" preceding the
name of the material. For example.
'Vaste turpentine.
(h) Column 3 contains (he hazard
class or division designated for the
material in the IMDG Code. In the
case of explosives, a letter designating
the "compatibility group" of the
substance or article is also included
immediately following the division
Detailed definitions of the classes, di-
visions, and compatibility groups are
provided in the IMDG Code Basic def-
initions of the IMO classes and diu-
3-27-87
Published by THE BUREAU OF NATIONAL AFFAIRS INC WASHINGTON 0 C 20037
(See. 172
43
-------
221:0302
HAZARDOUS MATERIALS TRANSPORTATION
siona [with corresponding DOT classes
shown in italics) are as follows:
(1) Class I— Explosives.
(i) Division l.l — Substances and ar-
ticles which have a mass explosion
hazard. Explosive A
(u) Division 1.2 — Substances and
articles which have a protection haz-
ard but not a mass explosion hazard.
Explosive A or B
(in) Division 1.3 — Substances and
articles which have a fire hazard and
either a minor blast hazard or a minor
projection hazard or both, but not a
mass explosion hazard. Explosive B
(w) Division 1 .4 — Substances and
articles which present no significant
hazard. Explosive C
[v] Division 1.5 — Very insensitive
substances. Blasting Agent
(2) Class 2— Gases (compressed.
liquefied or dissolved under pressure).
(i) Division 2.1— Flammable gases.
Flammable gas
(n) Division 2.2 — Nonflammable
gases. Nonflammable gas
(in) Division 2.3— Poison gases.
Poison A
(3) Class 3— Flammable liquids.
(i) Division 3.1 — Low flash point
group (liquids with flash points below
0°F.). Flammable liquid
(ii) Division 3.2 — Intermediate flash
point group (liquids with flash points of
0°F. or above but less than 73°F.).
Flammable liquid
(111) Division 3.3 — High flash point
group (liquids with flash points of
73° F. or above up to and including
(4) Class 4 — Flammable solids or
substances.
(i) Division 4 1—Flammable solids.
Flammable solid
(u) Division 4.2—Substances liable
to spontaneous combustion. Flammable
solid or. for pyrofonc liquids. Flam-
mable liquid
(ui) Division 4.3—Substances emitting
flammable gases when wet. Flammable
solid
(5) Class 5—Oxidizing substances.
(i) Division 5.1—Oxidizing substances
or agents. Oxidizer
(ii) Division 5.2—Organic peroxides.
Organic peroxide
(6) Class 6—Poisonous and infectious
substances.
(i) Division 6 1—Poisonous sub-
stances. Poison B
(u) Division 6 2—Infectious sub-
stances. Etiologic agent
(7) Class 7—Radioactive substances.
Radioactive material
(8) Class 8—Corrosives. Corrosive
material
(9) Class 9—Miscellaneous dangerous
substances. Other regulated material
(i) Column 4 contains the United
Nations number listed for the substance
or article in the IM DC Code. A number
of substances or articles have no UN
number provided for them in the IMDG
Code. For some of these entries, the UN
number of the article or substance
which moat appropriately correspond*
to thai particular entry is shown in
parentheses.
(l) Column 3 specifies the labels to be
applied to each package. Specifications
for labels for domestic and export
shipments shall be either as provided in
this subchapter or as provided in the
IMDG Code, except that color shall be
as prescribed in S 172.407(d). The label
referred to ae the "St Andrews Cross"
label is the "Harmful-Slow Away From
Foodstuffs" label provided by (MO for
materials of Class 6.1 Packaging Croup
(k) Column 8 provides the packaging
group specified for the material in the
IMDG Code.
(1) Column 7 specifies each of the
authorized stowage locations on board
cargo vessels and passenger vessels and
certain additional requirements (or
shipments of listed hazardous materials.
Section 178.83 of this subchapter sets
forth the physical requirements for each
of the authorized stowage locations
listed In Column 7. The authorized
stowage locations are defined as
follows:
(1) "1" means the material must be
stowed "on deck."
(2) "2" means the material must be
stowed "under deck,"
(3) "3" means the material must be
stowed "under deck away from heat."
(4) "1.2" means the material may be
stowed either "on deck" or "under
deck": however, "under deck" stowage
should be used if available.
(5) "1.3" means the material may be
stowed either "on deck" or "under deck
away from heat": however, "under deck
away from heat" stowage should be
used if it is available.
(8) "5" means the material is
forbidden and may not be offered or
accepted for transportation by vessel.
(7) "8" meana the material is
authorized to be transported in a
magazine subject to the requirements of
}| 178.133 through 178.144 of this
subchapter.
Chemical Regulation Reporter
[Sec. 172.102(1X7))
44
-------
HAZ-I2I
221:0351
DEPARTMENT OF TRANSPORTATION OPTIONAL
HAZARDOUS MATERIALS TABLE
(49 CFR 172.102; 48 FR 50234, October 31, 1983; Amended 52 FR 36671, September
30, 1987)
172.102 Optional Huardwu Material* Table
II)
few
Huudou Meierab Oocnpura i
AceuMcnydi amm tut
Acculdefttd* otioie
Kid. glacial or «xei»
II
11
4
33
» *« Kit ma* ma* *'*
i: Kid wluiiuft mgff ffe« i\
»«
AJei. inhydnda
Airtrae
Aictone cynnhyilnii.
A.eione aib
«ciamnle in MeiM eyniJe
I Aiefyl acetone peratide. maximum uMrniwH • >» .« rt«a
-»ceiyl bmuyl peroiue, i*eum*m nutimtlm JJ'* « Hnn»
Xcmlcnlunde
A..etyl eyeiohr
Acc'.l ivctohoane wlohovl perjid*.
matunm nnnwn**
i
gmh>i aamt
^ d Ttiturei. ipr^i mimmf
M a« iwuil a o i. So Cdrmiive Imno • it»
At,r.ui.ie
' | Atrolein. iihihud
• fvlK »>.id. inAibited
Ai.'Kuedca-Om S«i Cimm. .uixne)
«cn«iied clurcuei. *» CarBOK eciivucrt
rwiaofitfiif d
I
I I
91
II
n
)3
I
41
I
61
. J.'»
of/torn-
u a«r
Amaol flnpiiijen. »t» i nracut cf HUV ntx cm, or m**
Vpe 8 Sw Eiptaenck bbtunej, Type •
Type & So Eipttana, btMiufi Type B
Air
Aircnft
Alewdr
UN 101*
UN IMt
UX 1311
UN 1719
UN ITI9
UN 1040
LN IMI
IN 10*1
VN2990
LNJfll
I 1116
UN ITIT
UN MM
Ut« 20IJ
UN IUOI
UN 114*
UN 1611
LM 10*4
Fli
Com-Mve.
Lsuad
Cbrruut. Fltn
Flair.mk4t Liquid
Oigimc Pemiide
Orymc rVoodt
Corroiv*
RimmaMe Liqvid,
Ottnc rVmrtt
FluiraMi LiQMd
Coriuiiix
UN 1041
LN20T4
UN 10*1
UN 1' 11
L'N 113}
I'S 11JJ
UN 1101
UN l«»l
U.N I4M
UN 1«»
Liqud
Lwa*,
Si AndreviCrnel
Carrane. F1;
Ri
n«Miubtt Liqind
ntramwitt Loud
Si AMrrMCm*
Flimmah4e Cm
II I 1 i»»
_LN •'"
a i
61
I UN I9M
UN I9JO
UN mo
II
41
141
Jl
FlimneMe Lm.id
Flwixiuble l.iqiul
Rtfiunotf Liqwd
Si AndriMCrav
Commve
UN ion
UN mi
UN 1003
UN 0001
UN IW
UN 19(7
UN 14*1
Id
II
II
11/111
t.-n
in
i/n
n
n
I.J
Keepcral
Keep cool
SWB «»i> froet fordualli
Sefreeeooi lame el for ftimmaftte liquid^.
C'iu lArboyi ia lumpen prombtud wioer
dec*
Glue Larboyt w (Matpen prohibited undo
aevk
a* leparevd lontiiuilinally by n inter
.cmm conplem caoipumeni or hold
From' eiptaivei Se|>e|iuoa uae • for
rUmauMe kquidi
rim
Ken ilrt Ole« careen iimHiejml « p»
trier •
CoamU
10 dcf C rJneneKy
Coairol tempenm -10 def C Eacrieeey
lenBcniyn 0 ilef C «.
Shede rnm ridM teu Seo» 'lepenud
frooi-chlamd
Keep 4r> Gl*m auboyi prakitacd a* tm>
Cmiiral icmpeffMttn 10 def C EAier|cAt.r
icnpeniin U del C
Sim> i«»> from' fltianda
Keep cool
Keep cool
SKede tarn ndu
Shade fron riduw Heat Ktp com Seenia
lion av. for namnanle liqiudt. Glen
u upereled Inar aoeiylen. On
Keep on*
•An taerak in column out of tint itbk indraft an eniry ihai »« aMed or chanted « *l FR 3OU4. October 31. IM
10-23-87 PubliSltM by THE BUREAU OF NATIONAL AFFAIRS. INC . WASHINGTON. 0 C 20037
(SOC. 172.102)
-------
OPTIONAL TABLE
HAZ-89
172.102 Optional Hazardooa Material* Table (Confd)
Symoob
111
MCO
Mori.
V
Nil
(S)
UteXD nqonri
OIMP
(M
to
Other
, , liquid, tone. fkaioeMe, o.u. flak
faaa omm 11«tf C nri tl dtf C
b liquid, IOIK. 0,0*.
Orgnoptapbora pennda icUd. louc. O.OA
OrB»aaa compoundl 0.01.
OruiMiapeucidei bqind. fluiffliele. uue. aoj. flattfouu Mbw
OrguiMui pewadch hquid. tosie, fliimMMt, lat, ptOiftaa kr-
Orj
Jl
6.1
Oiyfa (ram1 li«ui( quincn
m M for luuuisBlt liquidi
•at • for fUffliubk liqu*
Slow •mty from' bnf
Stow lepmud froaf i __
•od 'Awiy InMo' powdmd B
Koep dry
ind rad
Sww "iwir Iron' hvm| auuren
tnof icttylcao. Da MI
Stow 'twty Irea1 ill other oornswm
Stow '••», fnxo- pawdmd i
inudfraa1!
Scov 'm? froei' hydnaa*
Kerp
2-22-85
PubliSMd by THE BUREAU Of NATIONAL AFFAIRS. INC.. WASHINGTON. 0 C 20037 [S«C. 172.102]
37
-------
221 .-0384
HAZARDOUS MATERIALS TRANSPORTATION
172.102 Optional Hazardous. Material! Table (Cont'd)
(1)
MOO*
•nd
Sruoota
•
•
•
•
•
•
•
'
•
c
•
•
Haaardoa Maurala Docnpaeei lad Proper Skippou) Nana
Peaaada. bqvd. UK*. naaaneMe. a.oi Aaiapnai tiniain ISt^C
«We/«V»C
Pnnodea. liquid, tone, nji a.
Poncida. loud, tout, a-o a.
Petroleum dmriUaea, ooj.
Pefokura ether &• Pnralnn (pint
PtiiuujiaB faaea, bojBafiod
Ptirokwaoil
PetrofctDB spra
Pant 5n Onohat
RMBawyl bromdM
Ptieactidina (». ,»)
Phenol
Phenol main
Phenol toiunoe*
Pheaobatpboeac and. Ana*
Phfiieiy peaaoiea.Bbd.inuc. ant.
Phrnow panada, liquid. nuuiuMe. lone, noi. flotifauii Ita
Ptieany peuicidn. hqind, 101*. flanmapkt. a o a., floitpom or-
Mm J/dVc dial »» datC
Phenol* peuntda. liquid. MMC. n e a.
FtayuMOBiiru*. liquid
PncnylaCctyl chlondB
PhcnyteatftoytamiM ehlonde
Phmyfchkvafom.U'j
PHenytencdamma tot «t> p-/
Pficn y 1 h Vfifi CUM
PHaiyl f9oc>«uu(«
__
Phenyl photpenrae dBbtanoi
Phenyi oKukmeuaBa
Mhdm*jd HIVM iHtjUM^aflaMV If 11 II M! AafjBa>1Slfla*L xaialtja j»«^fc JafaliitTMaW *•••
r*n lUtfC
Pheinl ura in mi alia, hquid, tauc rtunmaMe. flat, /lertnarai
anwrn U i*Cv* 61 tit C
Phaayl arg |iina.ida», bgjad. tpaie. a eta.
(1)
IMCO
Claai
6.1
61
41
61
61
61
61
61
j I
12
11
12
11
11
1 1
1 ^
11
31
31
11
4.1
61
6.1
61
6.1
1
61
61
12
6.1
6.1
61
6.1
6.1
61
6.1
1
61
6.1
61
61
61
6 1
6 1
6 1
6.1
6.1
A 1
9 1
1
1
JJ
6.1
6.1
6.1
6.1
14)
Acm
.Number
UN 290)
UN 2901
UN 2901
UNN02
UN 2402
UN 2902
UN 211*
UN 2JM
UN 1267
UN 1267
UN 1267
UN 1261
UN 1261
UN lit*
UN 1073
UN12TO
UN11T)
UN 1270
UN 1271
UN 1171
LN 1271
UNtMl
UN 2111
UN 1671
UN 1311
UN 2111
L'N IH3
UN 2'*J
UN 1763
UN2'66
UN 299*
UN 2999
UN 2999
UN MOO
UN WOO
UN 3008
UN24W
UN 1377
UN 1677
UNIT46
UN 1671
UN 2372
UN Ml
UN 2}3T
UN 167*
UN 2026
UN 2026
UN 119*
UNint
UN 2799
UN laM
UN 1761
UNMOI
UN MOl
UNMOI
UNMOI
(3)
LiaeKil raqaiied
Poem, Flaamabai
Uqud
Ponon. FUnnabl*
Si Andrew Oen
Ponoai
Poao.
Si Andrew* Crew
Poocn
St. Aodrew« Croat
RtounaMe Liqiad
Fumuiaai Uquml
RaimaM* L»ud
Hemmabk Uqiud
Flamnaokl Uqoal
FlanaaMtCa
Flimmaolc 1 ion)
Flamiuolt Liomd
namnaeai Liquid
FlnnuM* Uqiud
Flammaola Uqiud
Flimaianla Liquid
Poooa,
St Andrewi Crwa
Poonai
Poea
POOBB
Corpnsve
POHM
St Andrew! Crc*
FUmirable Lund and
PootnorSl
(accordiog to
loucilyl
rVmoo, FlammiMa
Liqiud
Paoon. FlanmabHi
Uqud
Si AndrcwiCrm,
nammable Uqud
Poona)
Ponoa
Si Andrewi Oo»
St. AaOrewi Cn>M
Corroanx
Poaoa
PnooaL Curroan*
Si Aadrcwi Croat
Poooi
PcmoB, RajfpiiaMt
Uqud
fonon. Flammabki
Liquid
Pnn.
Sc AndrewiCroB
fonam
%ZL.
Conom
Flafllllllllil ' •«*•••"• •*•«•
PonooorSi.
Aadrewi Croat
toiicay)
Poena. FliiiimKlla
Uqiud
nilhTiil n>a1Bliahll1
Uqiud
SL Andrewi Cram
Flaimnitrj Qqaat
Pom
(6)
Group
'
II
III
I
II
III
l/ll
111
II
II
II
II
II
_
II
II
II
II
II
U
II
III
II
II
II
II
l/ll
III
i/n
i
n
in
i
El
III
III
(1
1
II
III
II
II
(
||
I/II
III
II
f|
II
(/I)
1
IB
III
1
m
Vena1 Siowaut leauremeaa
ID
C«rto
«cacl
1
12
11
1
1.2
U
1.2
12
| 1
I J
12
U
11
II
11
1.2
1.1
1.1
12
1 1
12
U
1,3
U
U
1
1.2
1.2
1.2
11
1.1
1
1.2
12
1
12
1.2
1.2
1
1
It
1.1
12
|
1 2
i 5
1 *
1 1
1.1
1 2
!'
!
1,2
1
U
u
i
n»
p»
veuel
1
'
12
1
1
12
U
1.2
9
i
12
3
1.2
I
3
1.2
j
1
l.l
1
1.2
1.2
1
1.2
1
1.2
1.1
1
1
I
12
1
1
12
1.2
1
3
1.1
11
12
3
i 3
i *
1 2
JZ
1 2
i
i
1
i
a
u
|
(c)
Oi her roqmr cnwnn
SecretaoM ume • for Daauuole liquids
Stfreunan tune a for fluuiunfe liqutli
Sr«rcM"on ttme e> lot lUmnuble liquid!
eepcaal
Kapoaol
Keep cool
Keep cool
Keep cool Slow *iway From' Impi quinen
Slow 'away from' hvma; qwrtm
Mnal diuna only under deck
Sefrefanoa ume a for flunmible Itquidi
Seimanoa UCM a (of (limiraele liqu uii
Slow away froo livmi qiunen
Stnw 'away ftom bvni| quaran
Shade from radiaal heaL Slow tuty fron
liviat quairen. SeiretBrioa ume tt fur
AimmaBk liqindi
tnianoatauieaior un
Keep dry
Snictauca tu» m Cor llanuubki liquidi
^MfV^iaMlM titiVeal fA ftiur rta»mo>»>ll
-------
172.200
SHIPPING PAPERS
1. PSN These three entries are the
basic description and must
2. Hazard Class be shown in proper
sequence.
a ID Numbers
4 # of pieces and net quantity
5. Certification statement
& PAX/CAO statement
7. Signature
-------
EXPRESS ACCOUNT NUMBER
STREET AOWESS IP O BOX NUMBERS
INrENOERKTMSSHPMEMr SWEfl AGREES THAI
f£C SHAU NOT BE UA1U =OB SKOAL itOCCN
OR CONSEQUENTIAL DAMAGES AMSMG FRC*
CARNAGE tenor f E c as
GUMS *U WMAAMtS
WSPEtT TO TMS SHIPMENT THS IS » NON WGOTIABLE
«imu SUBJECT TO coMimoNS OF CONTRACT SET ROT*
ON REVERSE OF SHPIWS COW IMJSS TflU OECLAffi *
WCRVAUE nCUABUTYOFFEDEMlKMESStOI
POIUT10N IS UMITEO TO HID 00 30EIW. EXPRUS
DOES HOT CARRY C4RGO LUBUTV INSURANCE
VOW NOTESREKREME
ffSf 12 CHABKTBB
CBJVBW AMI SP6BM. WHOM
nOlD fOH ?IW UP A1
1DE«IAI. EXPRESS LOCATION SHOW*
IS SERVICE uUIBE «£OPItNrs
SHONE NUMBER IS REQUIRED
OATE/TIC taMrtEiOMMi
SHIPPER'S CERTIFICATION FOR RESTRICTED ARTICLES
NET CXJANTm
PER PACKAGE
ADDITIONAL
OESCRIPTION
REQUIREMBOTS
FOR
RADIOACTIVE
MATERIALS
(SEE BACK)
PASSENGER
AIRCRAFT
CARGO
AIRCRAFT ONLY
(OELETE-NONAPPLlCABLE)
THtS SHIPMENT IS WITHIN THE LIMITATIONS PRESCRIBED FOR
IF ACCEPTABLE FOR PASSENGER AIRCRAFT, THIS SHIPMENT CONTAINS RADIOACTIVE MATERIAL INTENDED FOR USE IN. OR INCIOEN1
TO. RESEARCH. MEDICAL DIAGNOSIS OR TREATMENT.
I HEREBY CERTIFY THAT THE CONTENTS OF THIS CONSIGNMENT ARE FULLY AND ACCURATELY DESCRIBED ABOVE BY PROPER
SHIPPING NAME AND ARE CLASSHEO, PACKEP, MARKED, AND LABELED, AND IN PROPER CONDITION FOR CARRIAGE BY AIR
ACCORDING TO APPLICABLE NATIONAL GOVERNMENTAL REGULATIONS.
-------
No* tryotrdon't know your F
your toc« Ftdfral Expru* otflc^jLyou I
DMT on ywt UM^IM to twp MM»ttt«w tMHMHt
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-------
CARGO AIRCRAFT ONLY LABEL
IS REQUIRED WHEN:
1. QUANTITY SHIPPED IN ONE PACKAGE EXCEEDS THE PASSENGER AIRCRAFT LIMITS
2. COMMODITY IS FORBIDDEN FOR PASSENGER AIRCRAFT
a RADIOACTIVE SHIPMENTS FOR MEDICAL USE WITH A T.I. EXCEEDING 3.0 MR/HR
4. RADIOACTIVE SHIPMENTS FOR INDUSTRIAL USE IQT.I.sORLESS
-------
MARKINGS 172.300
1 PROPER SHIPPING NAME AND I.D.#
2. NAME AND ADDRESS OF SHIPPER OR CONSIGNEE (FEC PREFERS BOTH)
3. IF LIQUID "THIS SIDE UP" OR "THIS END UP"
4 IF REQUIRED: THE BOX SPEC # (DOT. IATA, OR ICAO BOX SPECS.)
5. HIDDEN MARKING REQUIREMENTS, USUALLY FOUND IN EXPLOSIVE PACKAGING NOTES.
EX: "HANDLE CAREFULLY" "KEEP FIRE AWAY"
6. IF A DOT CYLINDER OR BOX IS OVERPACKED, WE CANT SEE THE DOT #. THE WORDS "INSIDE
PACKAGES (CONTAINER) COMPLYS WITH PRESCRIBED SPECIFICATION" MUST BE MARKED ON
THE OUTSIDE PACKAGE.
7 LIMITED QUANTITIES AND ORM Ds ARE NOT REQUIRED TO BE MARKED WITH THE IDENTIFICA-
TION NUMBER.
8 PACKAGES CONTAINING A HAZARDOUS SUBSTANCE MUST BE MARKED WITH THE LETTERS RQ.
(NOT THE WEIGHTS) / -j ,z/,
9. ALL CONSTITUENTS OFTHE HAZARDOUS SUBSTANCES MUST BE MARKED IN ASSOCIATION WITH
THE BASIC DESCRIPTION IF THE PROPER SHIPPING NAME FAILS TO INCLUDE THEM.
ALL MARKINGS MUST BE:
DURABLE, ENGLISH, PRINTED, UNOBSCURED ON A CONTRASTING BACKGROUND AND LOCATED
AWAY FROM SIMILAR MARKINGS.
-------
MARKING REQUIREMENTS
All Restricted Article packages must be marked with-
1 Proper Shipping Name , "J^ O 7\v-v* b^
2. Name and Address of Shipper or Consignee
3 "This Side Up" when inside is a liquid
4 All other marking requirements in the packaging section.
In addition, Other Regulated Materials, (ORM's) must be marked as follows:
For an ORM A
For an ORM-B Solid that is corrosive only
to Aluminum When Wet
Form an ORM B
For an ORM C
For an ORM E
Form an ORM D
The rectangle must be at least 1/4 inch larger on all sides than lettering.
-------
,-"7 -*>'•
PLACEMENT OF LABELS / •'
1. NEAR PROPER SHIPPING NAME
2. ON TAGS OK (EXCEPT FOR RADIOACTIVE MATERIAL)
a DIFFERENT LABELS MUST BE NEXT TO EACH OTHER, NOT OPPOSITE
4. NO OVERLAPPING INTO THE BORDER.
5. RADIOACTIVE MATERIAL REQUIRES DUAL LABELING ON OPPOSITE SIDES
& UNOBSCURED BY MARKING LABELS, ETC.
-------
GENERAL PACKAGING REQUIREMENTS BY AIR
173.6
1 INNER CONTAINERS MUST WITHSTAND PRESSURE AND TEMPERATURE CHANGES.
2. BREAKABLE INNER CONTAINERS MUST BE CAPABLE OF WITHSTANDING A 4 FOOT DROP TEST
THEY MUST BE PACKAGED. WITH COMPATIBLE CUSHIONING AND ABSORBENT MATERIALS.
3. SUFFICIENT OUTAGE MUST BE PROVIDED TO PREVENT THE LIQUID CONTENT FROM
COMPLETELY FILLING THE CONTAINER AT 130°F.
4. STOPPERS, CORKS, AND OTHER FRICTION TYPE CLOSURES MUST BE SECURED TO PREVENT
LOOSENING.
5. INSIDE PLASTIC PACKAGING MUST HAVE CLOSURES SECURED BY POSITIVE MEANS.
6. BAGS MUST BE WATER RESISTANT AS OUTSIDE PACKAGING WHEN REGULATIONS PERMIT.
FEDERAL EXPRESS PREFERS AN OVERPACK FOR ALL BAGS.
7. MANDATORY CYLINDER VALVE PROTECTION.
A. SAFETY CAPS
B. BOX OR CRATE
10
-------
US. Department
of Transportation
Research and
Special Programs
Administration
HAZARDOUS MATERIALS TRANSPORTATION
HAZARDOUS MATERIALS DEFINITIONS
051
The following definitions have been abstracted from the Code of Federal Regulations, Title 49,
Transportation, Parts 100-177. Refer to the referenced sections for complete details. NOTE: In
column (1), Sec. 172.101, Hazardous Materials Table, the plus (+) fixes the proper shipping name and
hazard class. The name and class do not change whether the material meets or does not meet the
definition of that class. [Sec. 172.101(a)(l)]
HAZARDOUS MATERIAL - A substance or material which has been determined by the Secretary of
Transportation to be capable of posing an unreasonable risk to health, safety and property when
transported in commerce, and which has been so designated. (Sec. 171.8)
MULTIPLE HAZARDS - a material meeting the definition of more than one hazard class is classed
according to its position in the lists in Sec. 173.2(a) and (b).
DOT
HAZARD CLASS
CLASS A
EXPLOSIVE
CLASS B
EXPLOSIVE
CLASS C
EXPLOSIVE
BLASTING
AGENT
UN
CLASS
1
1
I
DEFINITION
An Explosive - Any chemical compound, mixture, or device — the
primary or common purpose of which is to function by explosion,
that is substantially instantaneous release' of gas and heat.
Exception — such compound, mixture, or device is otherwise speci-
fically classified in Parts 170-189. (Sec. 173.50)
*.
Detonating or otherwise of maximum hazard. The nine types of
Class A explosives are defined in Sec. 173.53.
Flammable hazard - In general, functions by rapid burning rather
than detonation. Includes some explosive devices such as special
fireworks, flash powders, etc. (Sec. 173.88)
Minimum hazard - Certain types of fireworks and certain types of
manufactured articles containing restricted quantities of Class A
and/or Class B explosives as components. (Sec. 173.100)
A material designed for blasting which has been tested in accor-
dance with Sec. 173.U4a(b). It must be so insensitive that there is
very little probability of: (1) accidental explosion or (2) going from
burning to detonation. [Sec. I73.114a(b)]
Compressed Gas - Any material or mixture having in-the-
container a pressure EXCEEDING 40 psia at 70" F., OR a pressure
exceeding 104 psia at 130° P.; or any liquid flammable material
having a vapor pressure exceeding 40 psia at 100° F. [Sec.
173.300(a)l
Non-liquefied compressed gas is a gas (other than gas in solution)
which, under the charged pressure, is entirely gaseous at a
temperature of 70° F.
Liquefied compressed gas is a gas which, under the charged
pressure, is partially liquid at a temperature of 70° F.
63
-------
— DOT
HAZARD CLASS
FLAMMABLE GAS
NONFLAMMABLE
GAS
COMBUSTIBLE
LIQUID
FLAMMABLE
LIQUID
FLAMMABLE
SOLID
ORGANIC
PEROXIDE
OXIDIZER
POISON A
POISON B
Urf
CLASS
2
2
3
3
4
5
5
2
6
DEFINITION
Compressed gas in solution is a compressed gas which is dissolved
in a solvent.
Any compressed gas meeting criteria as specified in Sec.
173.300(b). This includes: lower flammability limit, flammability
limit range, flame projection, or flame propagation.
Any compressed gas other than a flammable compressed gas.
Any liquid having a flash point at or above 100° F. and below
200" F. Authorized flash point methods are listed in Sec.
173.115(d). Exceptions are found in Sec. 17 3. 115 (b).
Any liquid having a flash point below 100° F. Authorized flash
point methods are listed in Sec. 17 3. 115 (d). For exceptions, see
Sec. 173.115(a).
Pyroforic Liquid - Any liquid that ignites spontaneously in dry or
moist air at or below 130" F. [Sec. 173.115(c)]
Any solid material (other than an explosive) which is liable to
cause fires through friction or retained heat from manufacturing
or processing. It can be ignited readily and burns so vigorously
and persistently, as to create a serious transportation hazard.
Included in this class are spontaneously combustible and water-
reactive materials. (Sec. 173.150)
Spontaneously Combustible Material (Solid) - A solid substance
(including sludges and pastes) which may undergo spontaneous
heating or self-burning under normal transportation conditions.
These materials may increase in temperature and ignite when
exposed to air. (Sec. 17L8)
Water Reactive Material (Solid) - Any solid substance (including
sludges and pastes) which react with water by igniting or giving
off dangerous quantities of flammable or toxic gases. (Sec. 17L8)
An organic compound containing the bivalent -0-0 structure. It
may be considered a derivative of hydrogen peroxide where one or
more of the hydrogen atoms have been replaced by organic
radicals. It must be classed as an organic peroxide unless it meets
certain criteria listed in Sec. 173.151(a).
A substance such as chlorate, permanganate, inorganic peroxide,
or a nitrate, that yields oxygen readily. It accelerates the
combustion or organic matter. (See Sec. 173.151)
Extremely Dangerous Poisons - Poisonous gases or liquids — a
very small amount of the gas, or vapor of the liquid, mixed with
air is dangerous to life. (Sec. 173.326)
Less Dangerous Poisons - Substances, liquids or solids (including
pastes and semi-solids), other than Class A or Irritating mate-
rials — so toxic (or presumed to be toxic) to man that they are a
hazard to health during transportation. (Sec. 173.381)
64
-------
DOT
IRRITATING
MATERIAL
ETIOLOGIC
AGENT
RADIOACATIVE
MATERIAL
CORROSIVE
MATERIAL
ORM - OTHER
REGULATED
MATERIALS
ORM-A
ORM-B
ORM-C
ORM-D
'ORM-E
• OHT
6
6
7
8
9
9
9
9
9
— -
A liquid or solid substance which, upon contact with fire or air,
gives off dangerous or intensely irritating fumes. They do not
include any poisonous material, Class A. (Sec. 173.381)
An "etiologic agent" means a living mitro-organism (or its toxin)
which causes (or may cause) human disease. (Sec. 173.386)
Any material, or combination of materials, that spontaneously
gives off ionizing radiation. It has a specific activity greater than
0.002 microcuries per gram. (Sec. 173.389 [See Sec. 173.389(a)
through (1) for details]
Any liquid or solid that causes visible destruction or irreversible
damage to human skin tissue. Also, it may be a liquid that has a
severe corrosion rate on steel [See Sec. 173.240(a) and (b) for
details]
(1) Any material that may pose an unreasonable risk to health and
safety or property when transported in commerce; and (2) does
not meet any of the definitions of the other hazard classes
specified in this subpart; or (3) has been re classed an ORM
(specifically or permissivelyT~according to this subchapter. [Sec.
173.500U)]
A material which has an anesthetic irritating, noxious, toxic, or
other similar property. If the material leaks during transportation
passengers and crew would have extreme annoyance and dis-
comfort [Sec. I73.500(b)(l)J
A material (including a solid when wet with water) the leakage of
which could cause significant damage to the vehicle transporting
it. Materials meeting one or both of the following criteria are
ORM-B materials: (1) Specifically designated by name in Sec.
172.101 and/or (2) a liquid substance that has a corrosion rate
exceeding 0.250 inch per year (IPY) on non-clad aluminum. An
acceptable test is described in MACE Standard TM-01-69. [Sec.
173.500(b}(2)]
A material which has other inherent characteristics not described
as an ORM-A or ORM-B. It is unsuitable for shipment, unless
properly identified and prepared for transportation. Each ORM-C
material is specifically named in Sec. 17 2. 10 L [Sec. 173.500(b)(3)]
A material such as a consumer commodity which presents a
limited hazard during transportation due to its form, quantity and
packaging. They must be materials for which exceptions are
provided in Sec. 172.10L A shipping description applicable to
ORM-D material is found in Sec. 172.101 [Sec. I73.500(b)(4)]
A material that is not included in any other hazard class, but is
subject to the requirements of this subchapter. Materials in this
class include (1) HAZARDOUS WASTE and (2) HAZARDOUS
SUBSTANCE, as defined in Sec. 17L8 [Sec. 173.500(b)(5)]
65
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THE rutiLiUWinu AKfi ujfFElLED TO EXPLAIN SOME OF THE ADDITIONAL
PREPARATION OP HAZARDOUS MATERIALS FOR SHIPMENT. (See. 17L8)
LKJTTEKM
EXPLANATION
CONSUMER
COMMODITY
(See ORM-D
on previous page)
A material that is packaged or distributed in a form intended and suitable for
sale through retail sales-type agencies. The material is for use by indwiduaL-
for personal care or household use. This term also includes drugs an<
medicines. (Sec. 17L8)
FLASH POINT
The minimum temperature at which the flammable vapors of a substance (ii
contact with a spark or flame) will ignite. For liquids, see Sec. 173.115.
FORBIDDEN
Material is prohibited from being offered or .accepted for transportation.
This prohibition does not apply if these materials are diluted, stabilized, 01
incorporated in devices AND they are classed in accordance with Sec.
172.10i(dXD.
HAZARDOUS
SUBSTANCE
For transportation purposes, a material (and its mixtures or solutions) tnat is
identified by the letter "E" in Column (1) of the Hazardous Materials Table,
Sec. 172.10L The quantity of the material transported in one package (or in
one transport vehicle, if not packaged) must equal or exceed the reportable
quantity (RQ).
HAZARDOUS
WASTE
Any material that is (I) subject to the hazardous waste manifest requirements
of the Environmental Protection Agency specified in the CFR, Title 40, Parts
262; or (2) would-be-subject to these requirements (in the absence of an
interim authorization to a State) see Title 40, CFR, Part 123, Subpart F; Sec.
17L8. Questions regarding EPA hazardous waste regulations, call Toll Free:
(800) 424-9065 or in Washington: 554-1404.
LIMITED
QUANTITY
The maximum amount of a hazardous material authorized for specific
labeling and packaging exceptions. Consult the sections applicable to the
particular hazard class. See Sec. 173.118, 173.118(a), 173.153, 173.244, 173.306,
173.345, 173.364 and 173.39L
REPORTABLE
QUANTITY
The quantity of hazardous substance specified in the Hazardous Materials
Table (Sec. 172.101). Reportable Quantity is identified by the letter "RQ" in
Column (2). (Sec. 17L8)
•THIS HANDOUT IS DESIGNED AS A TRAINING AID FOR ALL INTERESTED PARTIES WHO MAY
BECOME INVOLVED WITH HAZARDOUS MATERIALS. IT DOES NOT RELIEVE PERSONS FROM
COMPLYING WITH THE DEPARTMENT OF TRANSPORTATION'S HAZARDOUS MATERIALS
REGULATIONS. SPECIFIC CRITERIA FOR HAZARD CLASSES AND RELATED DEFINITIONS
ARE FOUND IN THE CODE OF FEDERAL REGULATIONS (CFR), TITLE 49, PARTS 100-177.
NOTE; This material may be reproduced without special permission from this office.
comments or recommendations should be sent to:
INFORMATION SERVICES DIVISION. DfAT-11
OFFICE OF OPERATIONS AND ENFORCEMENT
MATERIALS TRANSPORTATION BUREAU
DEPARTMENT OF TRANSPORTATION
WASHINGTON. D.C. 20590
Any
66
May 1984
-------
USOecwrrmenr
of Tfonsooflanon
Sp*ctel Programs
Adiiiumliomm
COMPANY
Aeromexico
(Air Carrier)
Atehison, Topeka &
Santa Fe RR Ctx
Atlantic Cylinder Co.
(Cylinder repairer)
Campbell Oil Co., Inc.
(Carrier)
Colrick Trucking Co.,
Inc.
(Carrier)
Craig Systems
(Shipper)
Direct Courier of
America, Inc.
(Shipper)
Emery Air Freight
(Freight forwarder)
Flying Tiger Line
(Carrier)
Fort Edward Express
(Carrier)
GSF Corp.
(Carrier)
Great Lakes Chemical
Corp. (Shipper)
Hawaii
(Passenger)
Helena Chemical Co.
(Carrier)
EXAMPLES OF DOT PENALTY ACTIONS CONCERNING THE
HAZARDOUS MATERIAL REGULATIONS
OFFENSE
Accepting and transporting 12 shipments of radioactive materials on
passenger-carrying aircraft which were not authorized. Shipments were not
accompanied by the proper certificates and were in activities in excess to the
prescribed amounts authorized for transport by air.
Transported a tank car that last contained a flammable gas entrained next to
the locomotive. (S 174.93)
Failure to properly heat-treat and test repaired DOT specification cylinders;
failure to be a DOT approved cylinder repair facility. (S L73.34(iK6)
Requiring or permitting a driver used to transport hazardous materials to
remain on duty more than 60 hours in seven consecutive days. (SS 177.804 and
395.3(b)
Failing to maintain driver qualification file (S 177.823); Fading to properly
placard a motor vehicle (S 177.842(b); Failing to block and brace a package of
radioactive material labeled "RADIOACTIVE YELLOW 0.1" so it cannot
change position during transportation (S 177.804, 391.51, 177.823, 177.842(b) &
177.842(d».
Offered a shipment described as hardware and hand tools which in fact
contained 40 fiberboard cartons labeled flammable liquids. Due to the
improper packaging of liquids wiinm this shipment, leakage resulted. They
were cited for 20 separate violations of the HMR's.
Offered a shipment containing a 1-gallon can of Hopper Polyester Resin, a
flammable liquid, without completing a shipping paper. The box was not
properly marked, labeled, and failed to. have the UN number noted. The
package had been marked as printed matter and was not packed in accor-
dance with the regulations and leaked while in transit.
Offered a shipment of cigar and cigarette lighters charged with flammable
gas without the proper annotations on the shipping paper (the proper shipping
name, hazard class, UN number, total weight, and the words "Cargo Only
Aircraft"). The lighters were not inspected by Bureau of Explosives and
approved by the Director for Operations and Enforcement, MTB. The lighters
were not properly packaged.
Accepted a shipment of radioactive material, NOS, without the proper
notations on the shipping document. The package was shipped under an
exemption and the number was not noted on the package.
Failing to require a qualified person to remain in attendance of a cargo tank
during the unloading of hazardous materials. (S 177.834(0.
Failing to have adequate overturn protection on a cargo tank used to
transport hazardous materials (SS 177.802, 173.24(d), 173.33 & 178.340-8(c);
failing to visually inspect a cargo tank at least once in every two-year period,
as required. (S 177.824)
Offered a corrosive (Bromine) for rail transportation in a tank car loaded in
excess of the maximum permitted filling density. (S 173.252(aX3Xi).
Offered a shipment consisting of one cardboard box of Sears laundry
detergent as checked baggage which contained two one-gallon plastic bottles
containing hydrogen peroxide and sodium hydroxide solutions. During trans-
port, the bottles leaked and caused injuries to baggage handlers during off-
loading. The passenger was charged with 17 separate violations of the HMR's.
Using a driver not medically examined and certified as physically qualified to
drive a motor vehicle during the preceding 24 months to transport hazardous
materials (SS 177.804, 39L41 & 391.45); transporting shipment of hazardous
materials not accompanied by properly prepared shipping papers (S 177.817).
PENALTY
INITIATING AGENCY
$32,000
(FAA)
$2,500
(FRA)
59,000
(MTB)
S3,000
(FHWA)
$2,500
(FHWA)
$32,000
(FAA)
$3,000
(FAA)
$5,000
(FAA)
$3,000
(FAA)
$2,000
(FHWA)
$4,000
(FHWA)
$1,500
(FRA)
$1,500
(FAA)
S 5,000
(FHWA)
69
-------
COMPANY
Nuclear Systems, Inc.
(Shipper)
Pan American World
Airways
(Carrier)
Petroleum Transport,
Inc. (Carrier)
St. Louis South-
western Railway Co.
(Carrier)
Sergent-Welch
Scientific Co.
(Shipper)
South Carolina
Distributors, Inc.
(Carrier)
Southwest Nuclear Co.
(Carrier)
Steevens-Diy Air
Freight, Inc.
(Freight forwarder)
United Chemicals,
Inc.
(Carrier)
OFFENSE
Offering a hazardous material for transportation that is not properly
packaged and in condition for shipment to insure that at any time during
normal conditions incident to transportation the radiation dose would not
exceed 200 millirem per hour on the external surface and the transport index
would not exceed 10 (SS 171.2(a) & 173.393(1)); Failing to insure by examination
that each closure device of the packaging for a radioactive material is
properly installed and secured (S 173.393(n)(3).
Accepted and transported a motor vehicle that had fuel in the gas tank and
the battery was not disconnected. The motor vehicle was not properly
marked and the shipping paper did not include the proper shipping name,
hazard class or UN number.
Requiring and permitting drivers to remain on duty more than 70 hours in
eight consecutive days. (S 177.804)
Transported a tank car that last contained Poison B entrained next to the
engine. (S 174.93)
Offered a shipment with a shipping document stating the package contained
one pint of nitric acid, over 40% in the oxidizer class. During a routine
inspection, it was determined that the shipment actually contained a one pint
bottle of 90% nitric acid, five 2.2 liter containers of acetic acid, glacial (RQ-
1000/45%) 500 grams of potassium bromate, and miscellaneous chemistry
supplies. All the items were not properly packaged and were not authorized
in the same package. Further, the amount of acetic acid exceeded the
authorized package limit.
Transporting a shipment of hazardous materials not accompanied by properly
prepared shipping paper (S 177.817); Failing to properly placard a motor
vehicle used to transport hazardous materials. (S 177.823)
Shipping radioactive materials that were not packaged in strong, tight
packages so there would be no leakage of radioactive materials under
conditions normally incident to transportation. Shipping a package of
radioactive materials containing significant removable surface contami-
nation. Shipping a package of radioactive materials which exceeds a
radiation dose rate of 10 millirem per hour at a point of 6 feet from the
vertical planes of the transport vehicle. (SS 173.392(cXD, 173.392(c)(2),
and 173.393(jX3X
Offered a package containing flammable liquids in excess to the amounts
authorized. The package was not properly marked or labeled and a
shipping certificate was not tendered for this shipment.
Failing to visually inspect a cargo tank at least once each 2-year period
and/or failing to retain a copy of each such visual inspection report in the
carrier's files as required (S 177.824(b); Fading to properly secure a
portable tank of corrosive material against movement within the vehicle
on which it is being transported. (S 177.834)
PENALTY
INITIATING AGENCY
$1,500
(FHWA)
$2,500
(FAA)
$3,000
(FHWA)
$1,000
(FRA)
$13,500
(FAA)
$5,000
(FHWA)
$5,000
(FHWA)..
$4,000
(FAA)
$3,000
(FHWA)
For questions concerning these Penalty Actions, write to the Office of
Chief Counsel, Department of Transportation, 400 Seventh Street, S.W.,
Washington, D.C. 20590, indicating the appropriate agency:
MTB George Tenley DCC-1
FHWA James Stapleton HCC-20
FAA Allan Horowitz AGC-260
FRA Michael Chase RCC-30
Revised March 1985
70
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Indicators of Hazardous
IUMMt^iolt Materials Shipment Violations
The is i partial list of things which you as a shipper, container manufacturer, or carrier may use to spot check your compliance with the DOT
Hazardous Materials Regulations. As stated in the title, these are indicators of violations and not necessarily violations in and of themselves.
The hazardous materials regulations for shippers are organized in Parts 171, 172, 173, 178 and 179 in the Code of Federal Regulations (Ct-K).
Title 49, Parts 100-199, as communication regulations and general requirements. When a compliance inspection is made, documental'on.
marking, labeling and packaging are ooserved for discrepancies. With this list as a guide, you may spot check your own documentation.
marking, labeling and packaging for compliance. When using this information, remember this is intended to be used as an aid and does not
cover all aspects of the regulations.
I. CLASSIFICATION AND PROPER SHIPPING NAME
A. Improper classification of hazardous materials.
B. Failure to properly classify material having mope than one hazard.
C. Improper description and/or proper shipping name for material being shipped.
D. Omission of technical name of material following n.o.s. description of material offered for export by vessel
E. The letters "KQ" not displayed in association with the proper shipping name when required.
[I. PACKAGING (CONTAINERS IN GENERAL)
A. Use of DOT specification containers which are not authorized for the commodity Being shipped.
ti. Use of containers that are leaking.
C. Manufacturing and marking containers as meeting a DOT specification when they do not meet the specification.
D. Packagings exceeding maximum quantity limitations for materials.
E. Packages improperly marked.
F. Offering for shipment improperly packaged material
G. Consignee or consignor's name marking omitted from packaging.
H. Omission of identification numbers on pack agings.
III. CONTAINERS (MISCELLANEOUS)
A. STEEL
L Labeled containers (without further overpack) with no DOT specification marking (commonly found are 5 gallon 29 guage
metal pails and S gallon rectangular cans).
2. Packages of hazardous materials with temporary repairs.
a. Damaged, sealed with tape, putty, chewing gum, or screws.
b. Shipped upside down.
3. Labeled containers m improper condition.
a. Dented.
b. Rusted or corroded. (NOTE: These are judgemental decisions).
4. Labeled containers on which specification markings are illegible.
5. Labeled reused containers marked "NRC" (look for old date of manufacturer, dents, rust, and paint layers).
6. Labeled reused containers marked "STC" and/or 17C, I7E, and 17H with no reconditioned marking.
7. Labeled reused containers with a reconditioner's marking that is not a DOT I7C, 17E or 17H container.
8. Labeled 53 gallon open-nead drums w.th 2 rolling hoops and/or less than 5/8" ring bolt, non-drop forged ring lugs, and/or "lever
lock" ring closures. (Good possibility of non-DOT specification.)
9. Imported drums marked as meeting the DOT hazardous materials regulations.
3. CORRUGATED FIBERBOARD
I Boxes with no DOT specification marking when inside pack agings larger than the "limited quantity" exception for tne
commodity and specification packaging a required.
1. Boxes marked with DOT specification markings which are poorly constructed (Le., gaps, uneven closures, seams and joint
separation!,
3. If inner flaps do not meet, are fill-in pieces used to fill void*
4. Boxes damaged by water.
S. Improperly closed boxes (look for masking tape, cellophane tape, and string).
6. Leak ing containers.
7. Non-DOT specification ftberooard box used in lieu of specification container when required.
C. POLYETHYLENE CONTAINERS
L Open-head polyethylene containers (used for materials not authorized to be in them).
2. Illegibly marked containers.
3. Leaking containers offered for transportation.
4. When poison is shipped, a the container marked POISON?
D. FIBER DRUMS
L Non-DOT specification fiber drums.
2. Fiber drums constructed of materials weaker than required by the specification.
3. Use of fiber drum marked UOT-21F without inside polyethylene liner.
4. Using fiber drum marked "STC" more than once for hazardous materials.
S. Fiber drum damaged by fork lift truck.
8. Improper markings on containers for the commodity being shipped.
71
-------
E. CYUNDERS
L Re-use of single-use cylinders such as DOT Specification 39.
2. Cylinders in use beyond test date.
3. Cylinders in improper condition:
a. No valve protection
b. Bulge m side
c. Dented or corroded
d Defective valve
4. Cylinders re-filled by other than the owner of the cylinder without permission.
S. Cylinders improperly marked (duplication of serial numbers).
6. Cylinders offered for transportation without proper identification of contents.
7. Identification symbols not registered with the Bureau of Explosives or the Department of Transportation.
8. Illegible cylinder markings.
P. PORTABLE TANKS
L Name of owners or lessee omitted on tank.
2. No labels and/or placards displayed on tank containing hazardous materials.
3. No identification number dsplayed on the placard or on an orange panel
a CARGO TANKS
E Using a cargo tank, marked for one hazardous material, for another hazardous material without proper identification of
contents.
2. Improperly marked, e.g. size of marking or not marked in contrasting color.
J. Omission of the marking "QT" (Quenched and Tempered Steel) or "NQT" (other than Quenched and Tempered steel), when
required on cargo tank.
4. Omission of identification number on placard or orange panel
IV. MARKING OP CONTAINERS
A. No commodity description (proper shipping name) on the container.
B. No name and address of consignee or consignor on the container.
C. No DOT Exemption number on containers shipped under DOT Exemptions.
D. Container markings not m a contrasting color.
E. Container of liquid hazardous material not marked on outside "THIS END UP" or "THIS SIDE UP."
F. Gross weight not marked on Radioactive Materials packages weighing over 110 pounds.
G. Reconditioned drums improperly marked.
H. USA not included as part of the DOT Specification markings for Radioactive Materials packages destined for export
L Portable tanks not marked with proper name of the hazardous material
J. Omission of identification numbers (when required) on placard or orange panel
V. LABELING
A. No labels on outer container to represent mixed packaging of hazardous materials (materials with .nore tnan one uozard - jual
labeling).
B. Label on the container not consistent with the hazard class on the shipping papers when appropriate.
C. Use of obsolete labels.
D. Color and/or size of label does not meet the standards of the CFR, Title 49, See. 172.407.
E. No label on container of hazardous materials when required.
P. No label on shipments destined for air transport.
G. Labeling containers not authorized to be labeled.
H. No label on "LIMITED QUANTITIES" offered for air transportation.
1. Less than two Radioactive Materials labels (White I, Yellow D or Yellow 01) on containers (two opposite sides).
VL PLACARDING
A. Failure to placard vehicle requiring placarding.
B. Failure to use more than one kind of placard to indicate more than one hazard class of material loaded within vehicle.
C. Frenrht container containing hazardous material over 640 cubic feet not placarded.
D. Placards not applied to both sides of cargo tank.
E. Placarding material not authorized to be placarded.
F. Ommuaion of identification numbers (when required) on placard or orange panel
YD. SHIPPING PAPERS
A. No proper shipping name and/or classification of hazardous material entered on shipping papers.
B. Proper shipping name and/or classification abbreviated.
C. No certification for shipment.
D. No wordage for "LIMITED QUANTITY" on ahipments excepted from specification packaging and labeling.
E. No DOT Exemption number on shipments moving under DOT Exemption.
F. Color of label indicated in Ueu of the proper hazard class.
G. Improper format for hazardous materials description on shipping papers, e.g., HM entries not first, highlighted or no HM column.
H. No identification number (UN or NA) on shipping paper.
THIS MATERIAL MAY BE REPRODUCED WITHOUT SPECIAL PERMISSION FROM THIS OFFICE
NOTE: Send comments or suggestions to the address listed below:
Information Services DivBion, DMT-11
Office of Operations and Enforcement
Materials Transportation Bureau
U.S. Department of Transportation
Washington, D.C. 20590
REVISED JANUARY 198S
72
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US Deportment
ol Transportation
Research and
f 111 • •!••! ^^M^M.M»M
special rioytm
Admmntratton
HAZARDOUS MATERIALS TRANSPORTATION
GUIDE FOR SHIPPERS
USE OF GUIDE - This Guide is presented as an aid to shippers of hazardous materials. It does not contain or
refer to all of the DOT requirements for shipping hazardous materials. For specific details, refer to all of
the DOT requirements for shipping hazardous materials. For specific details, refer to the Code of Federal
Regulations (CFR), Title 49, Transportation, Parts 100-199.
The following is offered as a step-by-step program to aid compliance with the applicable DOT Regulations.
STEP 1 - DETERMINE THE PROPER SHIPPING NAME - The shipper must determine ihe proper
shipping name of the materials as listed in the Hazardous Materials Table, Sec. L72.101,
Column (2).
STEP 2 - DETERMINE THE HAZARD CLASS OR CLASSES
A. Refer to the Table, See. 172.101, Column (3) and locate the hazard class of the
material.
B. If more than one class is shown for the proper shipping name, determine the proper
class by definition.
C. If the materials have more than one hazard, classify the material based on the order of
hazards in See. 173.2.
STEP 3 - SELECT THE PROPER IDENTIFICATION NUMBERS
A. Refer to the Table, Sec. 172.101, Column (3a) and select the Identification Number
(ID) that corresponds to the proper shipping name and hazard class.
B. Enter the ID number(s) on the shipping papers and display them, as required, on
packagings, placards and/or orange panels. -
STEP 4 - DETERMINE THE MODE(S) OF TRANSPORT TO ULTIMATE DESTINATION
A. As a shipper, you must assure yourself that the shipment complies with the various
modal requirements.
8. The modal requirements may affect the following: (1) Packaging; (2) Quantity per
Package; (3) Marking; (4) Labeling; (5) Shipping papers; (6) Certification.
STEP 5 - SELECT THE PROPER LABEL(S) AND APPLY AS REQUIRED
A. Refer to the Table, See. 172.101, Column (4) for required label(s),
B. For details on labeling refer to: (I) Additional Labels, See. 172.402; (2) Location of
Labels, See. 172.406; (3) Packagings (Mixed or Consolidated), Sec. 172.404(a) and to);
(4) Packages Containing Samples, Sec. 172.402(h); (5) Radioactive Materials, Sec.
172.403; (6) Authorized Label Modifications, Sec. 172.405.
STEP 6 - DETERMINE AND SELECT THE PROPER PACKAGES
A. Refer to the Table, Sec. 172.101, Column 5(a) for exceptions and Column (55) for
authorized packagings. Consider the following when selecting an authorized container:
Quantity per package; Cushioning material, if required; Proper closure and reinforce-
ment; Proper pressure; Outage; etc. as required
B. If packaged by a prior shipper, make sure the packaging is correct and in proper
condition for transportation.
STEP 7 - MARK THE PACKAGING (INCLUDING OVERPACKS)
A. Apply the required markings (Sec. 172.300); Proper shipping name and ID number, when
required (Sec. 172.301); Name and address of Consignee or Consignor (Sec. 172.306).
B. For details and other required markings, See Sections 172.300 through 172.338.
73
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STEPS - PREPARE SHIPPING PAPERS
A. The basic requirements for preparing shipping papers include: Proper Shipping name;
Hazard class; ID number; Total quantity; Shipper's certification.
B. Make all entries on the shipping papers using the information required and m proper
sequence (Sec. 172.202).
C. For additional requirements, see Sections 172.200 through 172.205.
STEP 9 - CERTIFICATION
A. Each shipper must certify by printing (manually or mechanically) on the shipping
papers that the materials being offered for shipment are properly classified, described.
packaged, marked and labeled and are in proper condition for transportation according
to the applicable DOT Regulations (Sec. 172.204).
B. For surface shipment, see Sec. 172.204(a) and (b); for air shipments, see Sec. 172.204(c).
STEP 10 - LOADING, BLOCKING AND BRACING - When loading hazardous materials into the
transport vehicle or freight container, each package must be loaded, blocked and braced m
acordance with the requirements for the mode of transport.
A. If the shipper loads the freight container or transport vehicle, the shipper is
responsible for the proper loading, blocking and bracing of the materials.
B. If carrier personnel do the loading, the carrier is responsible.
STEP 11 - DETERMINE THE PROPER PLACARD(S) - Each person who offers hazardous materials for
transportation must determine that the placarding requirements have been met.
A. For Highway, unless the vehicle is already correctly placarded, the shipper must
provide the required placard(s) and required Identification numbers) (Sec. 172.506).
B. For Rail, if loaded by the shipper, the shipper must placard the rail car if placards are
required. (Sec. 172.508)
C. For Air and Water shipments, the shipper has the responsibility to apply the proper
placards.
STEP 12 - HAZARDOUS WASTE/HAZARDOUS SUBSTANCE
A. If the material is classed as a hazardous waste or hazardous substance, most of the
above steps will be applicable.
B. Pertinent Environmental Protection Agency Regulations are found in the Code of
Federal Regulations, Title 40, Part 262.
"It Li Me duty of each person who offers hazardous materials for transportation to instruct each of his
officers, agents, and employees having any responsibility
shipment as to the applicable regulations. . ." (Section l73.Ho))
riuu'is that shippers are required to make certain that those officers, agents and employees who have
any responsibility for preparing or offering hazardous materials for transportation are thoroughly instructed
concerning the regulations as they apply to their job functions.
NOTE; The following suggestions will help to comply with this requirement:
1. Identify all personnel who have hazardous materials transportation responsibilities.
2. Determine what additional instruction or training each needs.
3. Assure that those needing instruction receive it.
4. Maintain record of training.
5. Periodically review training needs in order to maintain the required expertise.
AS A FINAL CHECK AND BEFORE OFFERING THE SHIPMENT FOR TRANSPORTATION, VISUALLY
INSPECT YOUR SHIPMENT.
NOTE; This material may be reproduced without special permission from this office. Any comments or
recommendations should be sent to:
INFORMATION SERVICES DIVISION, DMT-11
OFFICE OF OPERATIONS AND ENFORCEMENT
MATERIALS TRANSPORTATION BUREAU
U.S. DEPARTMENT OF TRANSPORTATION
WASHINGTON, D.C. 20590
74 May 1984
-------
us Department
of Transportation
Research and
Special Programs
Administration
GUIDE FOR MARKINGS
USE OF GUIDE - This guide was prepared as an aid to shippers and earners of hazardous materials.
It does not contain or refer to all of the DOT requirements for marking. For specific details, refer
to the appropriate Sections of the Code of Federal Regulations,Title 49, Transportation, Parts 100-
i y •/ •
NOTE; Rulemakmg proposals for ne* and/or existing regulations are outstanding or contemolated.
Keep up to date with the changes.
MARKING - means the application of the descriptive narr.e, proper shipping name, hazard class,
identification number (when authorized), instructions, cautions, weight or a combination on the
outside shipping container. 'Marking also includes any required specification marks both on the
inside and outside shipping containers.
DESCRIPTIVE INFORMATION
I. GENERAL REQUIREMENTS (Section 172.300-172.304)
Unless specifically exempted, all containers of
hazardous materials, i.e. packages, freight
containers, or transport vehicles, must be marked
with the proper shipping name(s) of the contents
and the name and address of either the consignee
or consignor. All markings must be:
Durable, in English, and printed on (or
affixed to the surface of) the package or on
a label, tag or sign.
On a background of a sharply contrasting
color AND unobscured by labels or attachments.
Away from other markings that could reduce
its effectiveness.
A.
B.
C.
LIQUIDS - INSIDE CONTAINERS (Section 172.312)
A. Inside containers must be packed with
closures in the upright position.
B. Vlust be marked on the outside with
"THIS END UP" or "THIS SIDE UP".
C. Use arrow symbol to show upright orientation
of package (See ANSI Standard MH6.11968
"Pictorial Marking for Handling Goods").
Example: "THIS SIDE UP" or "THIS WAY UP".
Antimony Chloride. Solid
To: Johnson Products Co.
1420 Main St.
Armstrong. AK 52650
Corrosive Liquid. N
'Johnson Products Co
1420 Mam St.
' Armstrong. AK
52650
THIS SIDE UP
OS
75
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III. EXPORT BY V\ATtK (Section 172.302)
When authorized in Sections 172.101 or 172.102, all
n.o.s. entries for export by water must have the
technical Harriets) of the material immediately
following the proper shipping name. For mixtures
of two or more hazardous materials, the technical
name of at least two components must
be identified.
IV. RADIOACTIVE MATERIALS (Section 172.310)
A. Containers weighing over 110 pounds - the
gross weight must be marked on the con-
tainer.
H. Vlust be marked "TYPE A" or "TYPE B"
as required in letters at least 1/2" high.
C. For export ship-nents, the letters "USA" must follow
the specification markings or package
certification.
/\
Corrosive Liquid. N.O.S
(Pnosohonc Acid)
To:
Johnson Products Co.
1420 Rue Oe La Main
Nice. Prance
rn»«« Saoioacav* Miitntia
G.W 9BSLM.
TVM B. U-SJWMQ/ei IP
To
NIC*
V. OTHER REGULATED MATERIALS (ORM's) (Section 172.316)
VI.
VII.
ORM materials must be so designated immediately
following, or below, the proper shipping name.
Marking must be within a rectangular border
approximately 1/4 inch larger on each side of
the designation. The appropriate designation
must be one of the following:
A. ORM-A
B. ORM-B
C. ORM-B
D. ORM-C
E.
F.
G.
ORM-D
ORM-D-AIR
ORM-E
NOTE: These markings serve as the certification
by the shipper that the material is properly
described, classed, packaged, marked and labeled
(when appropriate) AND in proper condition for
transportation. Use of this type of certifi-
cation does not preclude the requirement for
a certificate on the shipping paper (Section
172.316(c)).
Oiled Material
ORM-C
To:
Johnson Products Co.
1420 Main St.
Armstrong. AK
S26SO
ORM-8 KEEP ORV
EXAMPLE
AUTHORIZED CONTAINERS IN OUTSIDE CONTAINERS - When a DOT specification is
required for a hazardous material and that container is overpacked in another container it
must meet the requirements of Section 173.21 and Section 173.24. Also the outside container
must be marked in accordance with Section 173.25. Examples: "THIS SIDE UP" or "INSIDE
PACKAGES COMPLY WITH PRESCRIBED SPECIFICATIONS".
CYLINDERS - All cylinders must be marked in accordance with Section 173.34 and Section
173.301 through Section 173.306. Cylinders passing reinspection and retesting must be marked
in accordance with Section 173.34(eX6).
76
-------
251 /
proper
vni. PORTABLE TAKKS (Sections 172.326 and 172.332) - Portable tanks must display the
shipping name in letters at least 2 inches high and placed on two opposite sides. When
authorized in the Hazardous Materials Tables, identification numbers must be applied on each
side and each end for capacities of 1,000 gallons or more. For capacities of less than 1,000
gallons, mark on two opposing sides in association with the proper shipping name. The name of
the owner or lessee must be displayed. Tanks carrying compressed gases (DOT-51) must have
all inlets and outlets (except safety relief valves) marked. Designate whether or not the inlets
and outlets communicate with vapor or liquid (Section 178.245-6(b)).
IX. CARGO TANKS - HIGHWAY (COMPKESSLD GASES) (Section 172.328) - Cargo tanks must oe
marked, in letters no less than 2 inches high, with either the proper shipping name of the gas
OR an aopropriate common name, such as "Refrigerant Gas". Largo tanks must only be
marked for the material it contains. Use proper shipping name and identification number when
authorized Sections 171.101 nnd 171.102. DOT \\C 331 tanks must have inlets and outlets (except
safety relief valves), marked. The markings will designate whether the inlets and outlets
communicate with liquid or vapor, when the tank is filled to its maxi Mim permitted filling
density (Section 178.337-9(c)).
X. TANK CARS- RAIL (Section 172.330) - Certain tank cars are required to be marked with the
proper shipping name by Parts 173 and 179. If so, they must be marked in letters at least 4
inches high with at least 5/8 stroke. Mark the tank with the prooer shipping name or the
appropriate common name. When authorized, identification number markings must be
displayed on each side and each end (Sections 171.101 and 171.102). Tank cars must only be
marked for the material it contains.
NOTE: See reference sections for requirements for DOT-106 and DOT-110 tank car tanks.
ID NUMBER
OR
112031
ID NUMBER
OR
1005
If the ID number is not displayed on the ends of the vehicle, check the sides of the transport vehicle.
NOTE: When ID numbers are displayed on placards, orange panels are not required. v\hen ID
numbers are displayed on orange panels, appropriate placards are ALSO rtliyUDvEu.
OTHER MARKING rtHQUlREMENTS
I. REQUALIF1ED CONTAINERS - Heusable cylinders, portable tanks, cartic tanks and tank cars
are required to be either visually inspected or retested at periodic intervals. When this is done
the date of the requalification must be shown on the container (See Sections 173.24, 173.31,
173.32, 173.33, and 173.34).
-------
II. REUSE OF CONTAINERS - Some steel containers in the DOT Series (DOT-17C, 17E and 17H)
may be qualified for reuse by a reconditioner of drums. The reconditioner must be registered
with the Department of Transportation. These drums must meet the requirements of Section
173.28(m). Remove old labels, remove exemption number (if any) and descriptive markings and
recondition the drum. Other containers iray be reused under varying conditions. See Section
173.28 for details.
III. CARGO HEATERS - Cargo heaters authorized for use with flammable liquid or gas must be
marked in accordance with Section 177.834(1) (2) (e) and (f).
IV. MOTOR VEHICLES - A carrier may not move a transport vehicle containing a hazardous
material unless the vehicle is marked in accordance with Part 172 or unless an emergency exists
(See Section 177.823 and 177.824 for details).
SPECIFICATION CONTAINERS
I. GLNERAL - Markings on specifications containers must have the DOT specification number to
which the containers are made (Parts 178 <5c 179). The manufacturer's name and address or
symbol must be registered with the Associate Director for the Office of Hazardous Material
Regulation. Duplicate symbols are not authorized.
II. MARKINGS - All containers must comply with the marking requirements of Section 173.24 and
the appropriate Section of Parts 178 and 179. Exception for Canadian and other import/export
situations may be found in Sections 171.12 and 173.8.
NOTE: For certain containers, specific detailed information (such as original test date
information and type of material) are required. (See Parts 178 and 179.
This handout does not contain all the marking requirements. It is designed as a guide only. For
details on markings, consult the Code of Federal Regulations, Title 49, Parts 100-199.
This publication may be reproduced without special permission from this office.
INFORMATION SERVICES DIVISION, DMT-U
OFFICE OF OPERATIONS AND ENFORCEMENT
MATERIALS TRANSPORTATION BUREAU
RESEARCH AND SPECIAL PROGRAMS ADMINISTRATION
DEPARTMENT OF TRANSPORTATION
WASHINGTON, D.C. 20590
REVISED JULY 1983
78
-------
US Deportment
of Transportation
Research and
Special Programs
Administration
SOURCES OF
HAZARDOUS MATERIALS
WARNING LABELS AND PLACARDS
This listing has been designed as a convenient reference for purchasing labels and placarc
in order co comply with the Hazardous Materials Regulations, Code of Federal Regulations,
Title 49, Parts 100-199, Subpart E - Labeling and Subpart F - Placarding, including
Appendices A and B of Part 172.
It is the responsibility of the shipper to insure the labels and placards meet the
specification requirements.
NOTE: The use of labels, placards and orange panels supplied by these sources or any
other source by shippers and/or carriers does not relieve persons from complying
with Che Department of Transportation's Hazardous Materials Regulations.
American Trucking Assoc. , Inc.-*
1616 P Street, N.W.
Washington, D.C. 20036
(202) 797-5384
Avery Label Systems I
777 East Foothill Blvd.
Azusa, CA 91702
(213) 969-3311
Bee Line, Inc.2
265 Wattis Way
San Francisco, CA 94080
(415) 871-4848
W. H. Brady Co. 3
727 W. Glendale Ave.
P.O. Box 571
Milwaukee, WI 53201
(414) 961-2233
California Labels Inc.
461 North H Street
P.O. Box 12284
Fresno, CA 93779
(209) 485-1091
(800) 742-1-033 (N. Calif)
Carlton Label & Decal Inc.
3150 Nasa Road One
Seabrook, TX 77586
(713) 334-1543
Contact Products, Inc.
P.O. Box 31005
Dallas, TX 75231
(214) 231-6367
Creative Products Intl.
P.O. Box 14356
Tampa, FL 33609
(813) 839-6356
Dawson Patterson Printing It
366 Wacouta Street
St. Paul, MN 55101
(612) 222-8445
E. I. DuPont de Nemours Co. 3
Gen. Serv. Dept.-Graphics Div.
Stationery and Forms Section
Wilmington, DE 19898
(302) 774-4444
Ever Ready Label Corp. 2
357 Cortlandt Street
Belleville, NJ 07109
(201) 759-5500
General Offset Company,
34 Hubert Street
New York, NY 10013
(212) 925-1700
Inc.
Imperial Marking Systems, Inc.
P.O. Box 2337
990 Garden Street
San Leandro, CA 94577
(415) 562-4459
J. J. Keller 3
145 Wisconsin Avenue
Neenah, Wisconsin 54956
1-800-558-5011
Labelmaster 3
7525 N. Wolcott Avenue
Chicago, IL 60626
(800) 621-5808
(312) 973-5100
'. abeltape Inc.
P.O. Box 8823
4275 Airwest Drive S.E.
Grand Rapids, MI 49508
(616) 698-8890
Lawrence Packaging Supply
113 North 13th Street
Newark, NJ 07107
(201) 485-4400 (NJ)
(212) 962-4393 (NY)
Legible Signs, Inc.
P.O. Box 1946
2210 Nimitz Road
Rockford, IL 61110
(815) 654-0100
79
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Mar-Kal Products Corp.
105 Walnut Street
Moncclair, NJ 07042
(201) 783-7155
Meyers Printing Company
Change-A-Label Division
500 South 3rd Street
Minneapolis, MN 55415
(612) 332-1591
MPI Label Systems .' .
P.O. Box 70 - 450 Courtney Re
Sebring, Ohio 44672
(216) 938-2134
Penn Lithographies, Inc.
7201 South Greenleaf Avenue
Whittier, CA 90602
(213) 698-8168
Prest-On Products Corp.
110 West 18th Street
New York, NY 10011
(212) 242-3505
Quickway Staput, Inc.
P.O. Box 1086
Huskegon, MI 49443
(616) 722-2044 or 739-895(
Related Products, Inc.
3223 N. Western Avenue
Chicago, IL 60618
(312) 528-2900
Safety Systems Hawaii, Inc. Salem Label Company, Inc.
302 Mokauea Street 838 S. Lundy Avenue
Honolulu, Hawaii 96819 Salem, OH 44460
(216) 332-1591
Soabar Graphics -*
P.O. Box J - 2305 Soabar Dr.
Greensboro, NC 27402
(919) 275-9397
o 1
Southeastern Label & Tape Cor Triangle Tape & Label
P.O. Box 80443 Box 15455
Chamblee, GA 30366 Cincinnati, OH 45215
(404) 451-9056 or 9063 (513) 772-5649
UNZ & Company
190 Baldwin Avenue
Jersey City, NJ 07306
(800) 631-3098
(212) 344-2270 (New York)
Whitlam Label Co., Inc.'
13920 E. Nine Mile Road
Warren, MI 48089
(313) 773-8170
Artcraft Converters, Inc.
710 South Fourth Street
Memphis, TN 38101
(901) 525-1441
1 - Labels only
2 - Placards only
3 - Labels and Placards
NOTE: Companies not listed but would like to be placed on this listing must submit samples
of their labels, placards, or orange panels to the attention of the address listed
below.
THIS MATERIAL MAY BE REPRODUCED WITHOUT SPECIAL PERMISSION FROM THIS OFFICE
Information Services Division, DK Li
Office oE Operations and Enforces._ :
Materials Transportation Bureau
Department of Transportation
Washington, D.C. 20590
80
REVISED MARCH 1982
-------
PRESERVATION, CHAIN-OF-CUSTODY, SHIPPING
-------
PRESERVATION, CKAIN-OF-C-STODY, SHIPPING
PRESERVATION - 5EZ TA3LES
CUSTODY
- IN YOUR POSSESSION
- IN YOUR VIEW AFTER BEING IN YOUR POSSESSION
- LOCKED UP
- DESIGNATED SECURE AREA
SHIPMENT
- DOT REGULATIONS
- PACKAGING
-------
216
Preservation, chain-of-Custody, Shipping
Pass
Samples
Custody: in your possession
in your view after being in your possession
locked up
designated secure area
splits - always taken
- not always offered
receipt for samples and documents taken
Shipment
recommend Federal Express
avoid mail
Demo - Jar and can and ice chest
DOT regulates shipping and packaging 49 CFR 172 and 173
Hazardous Material Table 49 CFR 172.101
proper shipping name
Packaging 49 CFR 173.21(a) and air shipping 49 CFR
173.6 (b)
ullage for waste samples
overpack water samples
VOAs in cubitainers
dry ice: "carbon dioxide, solid"
No abbreviations unless in H.M. table
N.O.S. okay
shipper signing is liable for damage/violation
labels on outer container - no tape overlaps or label
overlaps
-------
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:=«
--.3-
-------
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-------
2-46.
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ENVIRONMENTAL PROTCC HON AGENCY
Ollice ol EnloictmeiK
CHAIN OF CUSTODY RECORD
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ENVIHONMENIAL PHO1ECHON AGtNCY
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
NATIONAL ENFORCEMENT INVESTIGATIONS CENTER
Building 53, BOH 25227. Denver Federal Center
Denver, Colorado 80225
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CRIMINAL AND CIVIL PROCEDURES
INCLUDING REFERRALS
-------
3C ENFORCEMENT RESPONSES
An enforcement action is always a response to something a person or company
has done in violation of a law or regulation. The violator started the chain of
events that led to an agency's enforcement action; the agency gets involved to
correct the situation. It is EPA's policy that every instance of noncompliance is
responded to by some form of enforcement response.
EPA has a range of options when contemplating an enforcement response against
a violator. These options range from informal actions that take little effort to
formal ones involving large commitments of time and money. EPA views
these as a collection of enforcement tools, from which the most appropriate one
must be selected for the job at hand.
The Goals of Enforcement
In choosing the appropriate enforcement response to a given violation. EPA tries
to achieve several goals:
o Correction of the violation as quickly as possible. In many cases an
environmental problem or threat has been created by a violation. It is
the Agency's goal to resolve that problem or threat quickly.
o Deterrence of future violations by the same party or by other parties.
o Equitable treatment of the regulated community through use of a uniform
approach to selecting enforcement responses (i.e. similar violations are
treated similarly).
o Punishment of serious, willful wrongdoing by imposition of criminal
sanctions, such as fines and jail time.
o Effective use of enforcement resources by using the enforcement response
that achieves the environmental and health goals at the least expenditure
in money and staff time.
Tvnei of Enforcement Responses
A broad array of possible enforcement responses is available under the
environmental laws EPA administers. The Agency usually has room to exercise
judgement in selecting the response to a given noncompliance situation. The
broad spectrum of responses reflects four "levels of action," differing in seventy
and in the scale of Agency resources required. Inspectors play a role in each
type of response. They may help in drafting informal responses or even formal
complaints; they are often key witnesses in cases which are litigated.
3-13
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A given violation may be addressed by actions at more than one level. It is
EPA's policy to escalate its enforcement response in a given case, if a lower-level
response fails to achieve satisfactory results in a timely manner.
The four levels of action are described here in order of increasing severity:
o Informal responses are administrative actions, such as a notice of
noncompliance or a warning letter, that are advisory in nature. In these
actions, EPA advises the manager of a facility what violation was found,
what corrective action is needed, and by what deadline the violation
should be corrected. Generally, informal actions are used for lower
priority violations and for first-time violators. Although informal actions
carry no penalties nor power to compel action, the record of informal
actions can be used later to support more severe actions of the types
discussed below.
o Formal administrative responses are formal, legal actions that result in an
order requiring the violating facility to correct the violation and, in most
cases, to pay a civil penalty amount commensurate with the seriousness
and the circumstances of the violation. These administrative actions are
strong enforcement tools; if a company violates the terms of an
administrative order, EPA may obtain U.S. Court action to force
compliance with the order.
Because they are generally the most expedient means of requiring
correction, administrative actions are used heavily by most programs that
have the authority for them. Administrative actions also include more
rarely used options such as revoking or suspending permits or removing
violating products from commerce.
Administrative actions in several programs are taken under EPA's internal
administrative litigation system, which is comparable to any court system,
except that it is presided over by EPA's own administrative law judges
(ALJs). All administrative actions have the potential to be challenged in
the U.S. Court system, so conduct of these actions is governed by an
extensive set of procedural rules designed to provide due process to the
alleged violator and ensure the integrity of the system. Violating firms
may appeal rulings of the ALJ to the EPA Administrator and ultimately to
the U.S. Courts.
o Civil judicial responses are formal actions taken in the U.S. Court system
by the U.S. Department of Justice (DOJ) at the request of EPA. Typically
they are used against the more serious or recalcitrant violators of
environmental laws, and to seek prompt correction of imminent hazard
situations posing an immediate threat to human health or the
environment. Preparation of civil judicial cases is resource-intensive,
both because of DOJ involvement and the more formalized procedures
required for court actions than for administrative actions. Sometimes
litigation may take several yean to complete. For these reasons, EPA
often addresses violations through other mechanisms, if possible.
3-14
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Civil judicial cases often result in penalties and court orders requiring
correction of the violation and requiring specific actions (such as
specialized monitoring) to prevent future noncompliance.
o Criminal judicial responses are taken when a person or company has
knowingly and willfully committed a violation of the law. In a criminal
case, the Department of Justice prosecutes an alleged violator in the U.S.
Court system, seeking criminal sanctions, usually including fines and
incarceration (imprisonment, or "jail time"). Criminal actions are taken
for flagrant, intentional disregard for environmental laws (such as
midnight dumping) and deliberate falsification of documents or records.
Criminal cases are usually brought by DOJ at the request of EPA. but
DOJ also can initiate them on its own.
Criminal cases are the most difficult to pursue. They require special
investigation and case development procedures, and they involve the
highest standard of proof, including proof of the intent of the violator to
commit the violation.
Enforcement Response Policies ^^_^^^____^^_^^____^_
Ideally, every potential violation observed by the inspector would be fully
documented, including collection of physical samples as appropriate. However,
when multiple potential violations are observed, time and logistical constraints
sometimes require decisions to be made in the field about the extent of
documentation that should be collected.
While there are no hard and fast rules for making these judgments, the inspector
can prepare for them by being familiar with the particular program's enforcement
priorities and how serious the Agency considers various categories of violations.
As a quick guideline when choices must be made in the field, inspectors should
most fully document the more serious violations, being sure to collect the
information needed to determine an appropriate enforcement response. This is
because, stated generally, the likelihood that the Agency will pursue a formal
enforcement action — and the size of the civil penalty assessment, when
appropriate — increases with the seriousness of the violation. The standard of
proof required to prove that a violation occurred also increases with the level of
enforcement action taken (informal, administrative, judicial). Likewise, the
likelihood of a challenge to the Agency's action increases with the level of action
and size of penalty assessment.
Nearly all EPA programs have issued penalty policies based on an Agency-wide
framework that sets out the principles and rationale for determining the
seriousness (or "gravity") of various types of violations as a factor in assessing
penalty amounts.' ' Some programs have also issued broader enforcement response
1 Factors other than gravity (e.g., economic benefit, compliance history,
culpability) are also considered in determining penalty amounts. The
gravity factor, however, is the most relevant to the inspector.
3-15
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policies indicating the level of enforcement action that is appropriate to different
violation and compliance history situations. Some program policies also set out
which individual violations would be grouped together in a formal enforcement
action and counted as one charge (with one penalty assessed), and other types of
violations that would normally be considered "other lesser charges" (no penalty
assessment).
Factors Affecting Gravity of Violations
In a penalty policy, categories of violations are often ranked according to their
seriousness, considering the following factors:
o Actual or possible harm. This factor focuses on whether the activity of
the violator actually resulted or was likely to result in a discharge or
exposure which the regulatory scheme was designed to prevent.
o Importance to the regulatory scheme. This factor focuses on the
importance of the requirement to achieving the goal of the statute or
regulation. For example, if labelling is the only method used to prevent
dangerous exposure to a chemical, then failure to label should result in a
relatively high penalty. By contrast, a warning sign that was visibly
posted but was smaller than the required size would not ordinarily be
considered as serious.
o Availability of data from other sources. The violation of any
recordkeeping or reporting requirement is a very serious matter. But if
the involved requirement is the only source of information, the violation
is far more serious. By contrast, if the Agency has another readily
available and cheap source for the necessary information, the violation is
less serious.
Beyond the hierarchy of categories of violations within a program, the facts of a
particular violation distinguish its seriousness among violations within the
category. The factors considered are usually quantifiable, and the information
(e.g., data, samples, observations) necessary to support the calculations would
ordinarily be collected as part of the inspection. Such factors include:
o Amount of pollutant. The seriousness of the violation may vary according
the amount and/or concentration of the pollutant involved in the
violation.
0 Toxicitv of the pollutant Violations involving highly toxic pollutants are
more serious.
3-16
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o Sensitivity of the environment. This factor focuses on the location where
the violation was committed. For example, improper discharge into
waters near a drinking water intake or recreational beach is usually more
serious than discharges not near any such use.
o Length of time a violation continues. In most circumstances, the longer
a violation continues uncorrected, the greater the risk of harm.
3-17
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Chapter Five
Determination of Appropriate
Enforcement Response
Chapter Contents Page
1 Introduction 5-1
2 Level of Action Policy 5-3
Advertising Letters 5-3
Notices of Detention 5-4
Notices of Waning 5-4
Terminations of Establishment Registrations 5-5
Denials, Suspensions, Modifications, .or
Revocations of Applicator Certifications 5-6
Recall Requests 5-8
Stop Sale, Use, or Removal Orders 5-10
Civil Administrative Penalties 5-13
Injunctions 5-14
Seizures 5-15
Criminal Proceedings 5-16
Exhibit 5-1: Efficacy Standards and Level of Action
Guidance for Disinfectants and
Rodenticides 5-18
Exhibit 5-2: Criteria for Determining the Gravity
of a Use Violation for Purposes of
a Certification Action 5-21
compliance/ more at 5-1 ravl«*""•* nanuaa.
-------
Chapter Five
1 Introduction
Once the documentation of a violation is complete and EPA personnel have
determined that an enforcement action is warranted, EPA. must decide upon
the appropriate Level of action called for by the severity of the viola-
tion. There are two categories of action—administrative and Judicial.
Generally, the Agency uses administrative actions for violations of a
lesser nature, for first-time violators, or to obtain relief on short
notice, as in the case of stop sale* use, and removal orders. The Agency
reserves Judicial actions for use in violations of an especially egregious
nature that result in serious harm to human health or the environment, and
for willful or repeated violations.
Administrative levels of action include the following:
• Advertising letters;
• Notices of detention under Section I7(c);
• Notices of warning under Sections 9(e)(3) and 14(a)(2);
• Terminations of establishment registrations under 40 C.F.R. $167.3;
• Denials, suspensions, modifications, or revocations of applicator
certifications under 40 C.F.R. $17L.ll;
• Recall requests;
• Stop sale, use, or removal orders under Section 13(a); and
• Civil administrative penalties under Section 14(a).
The criteria for the use of each of the above levels of action are dis-
cussed later in this chapter. Specific procedures for preparing and
issuing these actions are found in Chapter Six, "Administrative Enforcement
Actions: Notices of Violation and Administrative Orders," and Chapter
Seven, "Administrative Enforcement Actions: Civil Penalty Proceedings."
5-1Guidance Manual 1983
-------
Chapter Five Introduction
Judicial actions may involve either civil or criminal proceedings. Civil
proceedings include:
• Injunctions under Section I6(c); and
• Seizures under Section I3(b).
Criminal proceedings are authorized under Section 14(b), The criteria for
che use of judicial actions are also found later in this chapter. Chapter
Eight, "Judicial Enforcement: Civil Actions," and Chapter Nine, "Judicial
Enforcement: Criminal Actions," discuss procedures for civil and criminal
Judicial proceedings.
In addition, Exhibit 5-1 contains level of action guidance applicable to
efficacy standards for hospital or medical use disinfectants and
rodenticides.
compliance/suorcfl at 5-2 Guidance Manual
-------
z?/
Chapter Five
2 Level of Action Policy
Advertising Letters
An advertising letter la a letter issued by EPA as aotice to a company that
.collateral literature concerning a product (i.e., literature or advertising
that does not accompany the product) bears unaccepted pesticide statements
or pesticide or device claims. Aa advertising letter may be issued by ehe
Agency upon receipt of or knowledge of such literature and without EPA
having in i£s possession an official sample of the pesticide or device
accompanied by the literature. An advertising letter should identify:
e The literature; and
e The unaccepted statements (if related to a registered product), the
pesticide claims (if related to an unregistered pesticide), or the
device claims (if related to a device).
In addition, the advertising letter should request a written response from
the recipient informing the Agency of whatever action the company plans to
take in response to the concerns expressed by EPA. The Agency will take no
further action* (even when the company fails to respond to the letter)
until and unless EPA collects an official product sample with the offending
literature. At that time, EPA may issue a aotice of warning or civil com-
plaint, as warranted by the circumstances.
* The Agency may, however, refer a case of unacceptable advertising to
the Federal Trade Commission for action.
PIRA Compliance/fi»forc«at 5^3 Guidance Manual 1983
-------
Chapter Five Level of Action Policy
Notices ox Detention
Section 17 of FITSA authorizes EPA to refuse admission of a pesticide or
device being imported into the United States if EPA determines that such
pesticide or device violates any provisions of the Act. This refusal is
known as a Notice of Detention and Hearing. Upon receiving a copy of the
notice, the Department of the Treasury, through the Customs Service, will
refuse delivery to the consignee and will oversee destruction of any pesti-
cide or device refused delivery that is not exported by the consignee
within 90 days from the date of the notice. However, under the Customs
regulations for the enforcement of Section 17(c) of FIFRA, the District
Director of Customs may release a shipment to the importer or the impor-
ter's agent before an EPA inspection of the shipment. Such a release
occurs only upon execution of a bond in the amount of the value of the
pesticide or device, plus duty. Should the shipment subsequently be
refused entry and the importer or agent fails to return the pesticide or
device, the bond is forfeited. A shipment released to the importer cannot
be used or otherwise disposed of until EPA makes a determination of the
adalssibility of that shipment.
Notices of Warning
Section U(a)(2) Notices of Warning
Section 14(a)(2) of FIFHA requires EPA to use a notice of waning in re-
sponse to the first civil offense committed by a private applicator or
other person not covered under Section 14(a)(l). Section 14(a)(l) covers
registrants, commercial applicators, "for hire" applicators, wholesalers,
dealers, retailers, and other distributors. "For hire" applicators are
applicators who apply general use pesticides as a service in controlling
pests but who do not deliver any unapplied pesticides.
Section 9(c)(3) Notices of Warning
Since the Agency is attempting to concentrate its pesticides enforcement
resources on serious violations and repeat offenders, EPA may also issue
notices of warning under Section 9(c}(3) of FIFHA in response to first-time
violations committed by those persons covered by Section 14(a)(l), with the
following exceptions:
• The Agency should pursue a remedy more severe than a warning in
response to first offenses that result in (1) a real risk to humans
or the environment or (2) any actual harm stemming from the viola-
tor's failure to exercise due care (i.e., the degree of care a rea-
sonably prudent person would exercise in sialllar circumstances);
and
Fore at 5^4(TulHance Manual 1983
-------
Chapter Five L*»«lof Action Policy
• The Agency should apply a remedy other than a notice of warning in
Che case of a violation by a person who has already been placed oo
notice of the existence of FIFRA or its requirements. (EPA will
consider a person to have been placed on nocice if chat person has
been subject to a formal inspection by EPA personnel or has
interacted with the Agency by obtaining a product registration, an
establishment registration, or any other similar license, permit,
or certification.)
The Agency, in its discretion, may decide to issue a Section 9(c)(3)
warning notice against persons included in the latter exception or against
a repeat violator whose second violation is an extremely minor one, if EPA
enforcement officials believe that justice will be served by employing such
a remedy.
Termination of Establishment Registration
The regulations related to the registration of pesticide-producing estab-
lishments (40 C.F.R. J167.3) state that an establishment registration will
remain in effect so long as the establishment continues to submit annual
pesticides reports. If the establishment fails to submit a report in any
year, the Agency may issue either a notice of warning or a civil penalty, *
based on the provisions of FIFHA Sections 7(c)(l) and L2(a)(2)(L).* A
notice of warning would be the typical -action for a newly registered estab-
lishment that failed to submit its initial pesticides report. The Agency
should initiate a civil penalty la response to the failure to file a
pesticides report on the part of an establishment that previously filed at
least one annual report and is thus on notice as to its continuing
responsibility to submit annual reports. If the establishment does not
submit an annual pesticides report within 20 days after the date of receipt
of the notice of warning or civil penalty, EPA will initiate procedures to
terminate the establishment registration, independent of che other action.
Son-Enforcement Termination
Termination of establishment registration may also occur upon request of
the establishment or parent company, typically because the establishmenc
has gone or will go out of business, no longer produces pesticides, or
otherwise no longer falls under the purview of FIFRA Section 7. In such
cases the procedures for terminating establishment registration are
* Newly registered establishments must submit reports within 30 days of
notification of establishment registration; subsequent reports are due by
February 1 of each year. The Agency may, however, grant discretionary
extentions of up to 30 days for filing a report before the report is
considered delinquent.
FINA Ge pliance/Hnforcat P5Guidance Manual 1983
-------
Chapter Five Lrml of Action Policy
strictly technical aad are based on the operating procedures of the FIFRA
and TSCA Enforcement System (FATES). Terainatioa of establishment regis-
tration in such situations should not be confused with termination for
cause.
Denials, Suspensions, Modifications, or Revocations of Applicator
Certifications ___________«____________-_____________
The regulations relating to the certification of pesticide applicators (&0
C.P.R. Part 171) authorize EPA to deny, suspend, modify, or revoke feder-
ally issued applicator certifications if the certificate holder violates
FIfRA or its regulations. The Agency views an enforcement action affecting
certification status as a very strong measure, to be taken only when the
"public health, interest or welfare warrants immediate action" [40 C.F.R.
f171.11 (f)(S)(i)]. Therefore, EPA will deny, suspend, modify, or revoke a
certification only in response to serious violations or against persons
with a history of noncompliance. The Agency may take any of these actions
if it determines that an applicant for or holder of a certification has:
• Been convicted under Section 14(b) of FIFRA;
e Been subject to a final order Imposing a civil penalty under
Section 14(a);
• Misused a pesticide;
• Made available for use, or used, a registered pesticide classified
for restricted use other than in accordance with Section 3(d);
• Refused to keep and maintain records required by 40 C.F.R. Part
171;
• Made false or fraudulent records, invoices, or reports;
• Failed to comply with any limitations or restrictions on or in a
previously issued certificate; or
• Violated any other provision of FIFRA or its regulations.
Denial/Revocations
The denial or revocation of a certification not only deprives an applicator
of the authority to apply restricted use pesticides but also, as compared
to suspension of a certification, forces the applicator to take additional
steps to acquire or re-acquire certification. In addition, the Agency will
not consider an application to acquire or re-acquire certification for a
period of not less than six months following denial or revocation. Thus
EPA will deny or revoke a certification only where a violation has resulted
/v*,rL1«».-/B!»«E5; Jit5^6 Guidance Manual 1983
-------
Chapter give Level of Action Policy
in a fatality or created an imminent danger of a fatality, where the viola-
tor's certification has been suspended as a result of a previous violation,
or where a person has made fraudulent records or reports.
Suspensions
When considering invoking the less severe alternative of suspending a cer-
tification, EPA personnel oust determine whether it Is appropriate co pur-
sue a suspension and for how long such suspension should be in effecc.
These determinations will depend upon the gravity of che violation in
question.
Suspension (Misuse Violation). In suspending a certification due co an
incident of misuse, EPA will refer to criteria for assessing the gravity of
a use violation (see Exhibit 5-2). The gravity of a use violation is a
function of:
• The risk of harm posed to human health and the environment by the
violation; and
• The degree of misconduct exhibited by the violator.
The Agency will assign weightings, based on the gravity criteria, for each
use violation relative to the pesticide involved, the harm to human health.
and/or to the environment, che history of noncompliance, and che culpabil-
ity of the violator. (For purposes of .this section of the manual, EPA will
not distinguish between commercial and private applicators. Consideration
of applicator status is inherent in the policy in that suspensions have a
more substantial impact on commercial applicators, affecting their primary
business activity.) The Agency will use the gravity value thus obtained to
decide whether and for hov long to suspend a certification, in accordance
with che following table:
Total Gravity Value Enforcement Remedy
4 or below
5 to 8
9 to 12
13 or above
Mo action or Notice of Warning
Suspension of up to 2 months
Suspension of between 2 and 4 months
Suspension of between 4 and 6 months
To determine whether the term of a suspension should be at the higher or
lower end of the given ranges, EPA will consider any gravity-related fac-
tors not accounted for in the gravity criteria. In addition, EPA will con-
sider the degree to which the suspension will have an adverse economic im-
pact on the applicator. Applicators who would be minimally affected by a
suspension, such as those who apply restricted use pesticides infrequently,
should receive longer suspensions than applicators whose day-to-day
compliance/aixorc at 5-7 Guidance Manual 1983
-------
Chapter Five Level of Action Poli<
business activities would be severely disrupted by the Loss of their
certifications.
Suspensions should generally be pursued against individual applicators in
lieu of a Section 14
-------
Chapter Five Level of Action Policr
• Physical or economic injury because of ineffectiveness or due co
the presence of actionable residues; or
• Identifiable adverse effect on Che environment.
EPA, personnel nuat view a request for recall as a serious and extraordinary
matter and must make a request for recall of a product only in chose cases
where Che evidence clearly supports such action. The initial decision chac
a product should be withdrawn from Che market will be based on information
in Che sample file including laboratory analyses, staff evaluations and
opinions, and such other information as may be available and relevant. All
information supporting a recall decision must be included in Che official
file.
Formal and Informal Recalls
There are two types of recalls—formal and informal* Formal recalls are
used for more serious problems when it is essential that EPA regional per-
sonnel follow up the recall with a visit to the company. Formal recall
involves EPA monitoring, detailed reporting by the company involved, and
notification to State officials. This type of recall is normally accom-
panied by another enforcement action, generally a civil penalty.
The Agency uses informal recalls in eases where a recall is necessary but-
the level of potential hazard is not great or when it is unlikely chat sig-
nificant amounts of the defective product remain in the marketplace. An
informal recall is conducted entirely by the company involved with no moni-
toring by EPA or State officials.
Level of Recall Determination
The level of recall is the point in the distribution chain from which the
product is to be recalled. The determination of chat point is based on the
potential hazard, use patten, and distribution pattern of the product.
The following recall levels should be considered:
• Wholesale or First Point of Distribution. This will normally
include all informal recalls and those formal recalls in which the
product distribution is limited and consequently the potential dan-
get is low.
• Retail Level. This will be the normal level for most formal re-
calls1:
• User Level. This level will be requested only in cases in which
there is a known serious hazard to human health or the environment.
5E P5 Guidance Manual 1983
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Chapter 71ve Lerel of Action Policy
Scope of Che Recall
EPA, must also consider the scope of the recall (i.e., the amount of che
product chat the recall will cover). In the case of Labeling violations,
the recall should include all of che product bearing che unacceptable
labeling. For chemical violations, the recall should Include all of che
product bearing the sane batch code(s) as the saaple(a) found in viola-
tion. If the product is uncoded, EPA will determine che scope of che
recall after contacting che responsible company. After reviewing che
firm's manufacturing and shipping records, EPA personnel should be able co
determine a range of manufacturing dates to include la the recall.
The recall of a defective product by the manufacturer or distributor is che
most effective and efficient means of removing such a product from che mar-
ket . However, since it is strictly voluntary, the success of the recall
program depends on che industry's knowledge that:
• EPA will make a recall request only in those cases where there is a
likelihood of physical or economic injury from che use of a product
according to label directions;
• The Agency will use all legal means available to it to support or
supplement any recall request, including stop sale, use, or removal
orders, seizures, and civil penalties; and
• State officials will cooperate with the Agency in the removal of
such products.
Stop Sale, Use, or Removal Orders
A stop sale, use, or removal order (SSURO) should be issued by EPA if che
violation is of an ongoing nature and threatens to cause serious or
widespread harm* This remedy is noc designed to prevent future violations,
but rather is intended to limit the amount of harm chat might result from a
violation. In order to preserve the hearing rights of the recipient of an
SSURO, EPA should supplement the order with a civil penalty assessment.
An SSURO is among the most expedient and effective remedies available co
EPA in its efforts to prevent illegal sale, distribution, and use of pesti-
cides. Its advantages over other actions (such as seizures) are chat:
• It may be issued without prior adjudication of the vlolative char-
acter of the product (i.e., EPA may issue an SSURO simply when ic
has reason to believe that che product is in violation of che Act);
• It is easier to prepare and issue than a seizure;
Core at 5-10 Guidance Manual 1983
-------
Chapter Five Level of Action Policy
• It can be written so as to Include future amounts of the product
chac may come into the custody of Che person on whoa the SSURO is
served; and
• It can be easily adapted to particular circumstances.
Criteria for Use
The language of Section 13(a) confers broad authority upon EPA to issue
SSUROs. The Agency may issue an SSURO when any one of three situations
exists:
• If, upon inspection or testing, EPA believes a product is in viola-
tion of the Act;
• If EPA believes that a product has been or is intended to be dis-
tributed or sold in violation of the Act; or
• If EPA has cancelled or suspended the registration of a product.
An SSURO is ordinarily issued by EPA without prior notice to the person
served. Because an order is issued without notice, the actual or potential
danger to human health or the environment posed by the violatlve product or
situation must be both serious and imminent. In-addition, the danger must
require such urgent relief that there is no time to seek other remedies or
that other administrative remedies would-be inappropriate. Accordingly,
EPA officials must observe stringent guidelines in determining whether
issuance of an SSURO is appropriate, as outlined below.
Mandatory Issuance of an SSURO. The Agency must issue an SSURO against
persons who own, control, or have custody of pesticides in the following
categories:
• Pesticides whose registrations have been cancelled or suspended by
EPA, except cases in which the Agency has permitted the use of
existing stocks, or where continued marketing presents ao human
health or environmental hazard;
• Pesticides for which there Is reason to believe present a potential
hazard to man or the environment because:
- They are not registered, or are so grossly overformulated or
adulterated, as to present a serious health hazard, or
- They are packaged in improper or damaged containers, or are so
inadequately labeled, as to make safe or effective use unlikely
or impossible;
compliance/aurora at 5-11 Guidance Manual 1983
-------
Chapter Five Lsrmi of Action Pollcr
• Pesticides or devices with Labeling chat is materially misleading
or fraudulent and. if observed by a uaer, is likely to cause a
life-endangering health hazard or serious adverse environmental
condition. (A pesticide lacking a restricted use label Is an
especially serious labeling violation.) This provision includes
labeling for produces that:
- Are ineffective for the purposes claimed,
- Are so chemically deficient as to affect deleteriously the pro-
duct's efficacy, as determined by laboratory test results, or
- Bear false or misleading safety claims;
• Pesticides or hazardous devices* that are in violation of the Act
and are the subject of a voluntary recall, but which the respon-
sible party refuses to remove, is recalcitrant in removing, or is
unable to remove from channels of trade; and
s Pesticides or hazardous devices that are in violation of the Act
and for which a civil penalty has been issued but which have not
been brought into compliance.
Discretionary Issuance of an SSURO. EPA may exercise its discretion in
issuing an SSURO in cases where a product either is in violation of the Act
or is intended to be distributed or sold in violation of the Act, and the
gravity of the violation is less than that required for issuance of a -
mandatory SSURO. In addition to an analysis of the relative severity of
the violation (or lack thereof), the following factors should be
considered:
• Whether the violation is another in a series of violations by the
producer or distributor. In cases of recidivism, of uncorrected
violations previously brought to the individual's attention, or of
repeated negligent conduct, an SSURO may be appropriate where other
enforcement remedies have failed to bring about corrective action
or where it is deemed necessary to prevent continued marketing of
the violative product;
• Whether the violation is easily corrected. If it appears that the
individual is cooperative and can easily remedy the violation, an
SSDRO may be unnecessary; and
A hazardous device is one presenting a direct threat to human health or
the environment by its use (e.g., a water treatment device whose labeling
makes false, misleading, or fraudulent claims to purify raw veil water or
other untreated water supplies). For nonhazardous devices (e.g., an
electromagnetic rodent repelling device) that are mlsbranded, Agency
policy is to complete civil penalty proceedings before issuing an SSURO.
See December 19, 1979 Memorandum: "Enforcement Actions Concerning
Nonhazardous Pesticide Devices."
nt 5-12 Guidance Manual 1983
-------
Chapter Five Lsrpel of Action Policy
• Who has custody of the product. An SSURO may be more Appropriate,
and a violation more immediately cured, if the violative product is
found at the producer level rather than at che retail level.
In all other cases, EPA should consider an alternative enforcement remedy
available under FIPRA.
Use of SSURO for Minor Violations
While EPA will usually reserve the use of an SSURO to relatively serious
violations, the need to issue an SSURO may arise in certain cases involving
minor violations. For example, in the face of continued and repeated minor
violations, or when several minor violations appear together on a label,
EPA may decide to Issue an SSURO to ensure that the product will be
distributed only in compliance with the Act.
Alternative Approaches
Even la cases where the existence of a serious violation would justify the
Issuance of an SSURO* the Agency may consider the use of alternative
approaches to achieve compliance. For example, certain pesticide labeling
violations can be rectified through a voluntary recall by the manufacturer,
and this may be the moat expeditious way to prevent any harm to human fc
health or the environment. Thus, in certain cases that could legitimately
call for the issuance of an SSURO, particularly those concerned with
labeling violations, EPA might first consider contacting the appropriate
responsible party and negotiating a voluntary recall.
Civil Administrative Penalties
A civil penalty, as authorized by Section 14(a) of FIFRA, 13 the remedy of
choice for most violations. A civil penalty should be proposed where the
violation presents (a real but not an extreme and unreasonable) risk co
humans or the environment; is likely to be an isolated occurrence; was
apparently committed as a result of ordinary negligence, Inadvertence, or
mistake; and either:
e Involves a first offense under the Act by any registrant, commer-
cial applicator, "for hire" applicator, wholesaler, dealer, re-
tailer, or other distributor (no prior warning is required by FIFRA
for violators in this category); or
• Involves a private applicator or other person, other than any party
specified in the first category, who has received a prior warning
or citation for a violation of FIFRA. (The prior warning or cita-
tion may have been for the same or a different FIFRA violation.)
5-13 Guidance Manual 1983
-------
Chapter Five Level of Action Policy
Injunccioua
Section 16(c) of FIPRA gives EPA the authority eo initiate injunctive
actions before district courts.* Because an injunction is an extraordinary
fora of relief, the Agency's arguments oust be clear and compelling. In
initiating a permanent injunction action, EPA must indicate to the court
that:
• The Agency's administrative or other Judicial enforcement remedies
would be Inadequate either at restraining the violation or at pre-
venting unreasonable risk to human health or the environment;
• The Agency has, in fact, already diligently exercised all appro-
priate administrative remedies (such as SSUTLOa and civil penal-
ties), yet the violation continues unabated; and
• Irreparable injury, loss, or damage will result if relief is not
granted.
In the case of a preliminary injunction or temporary restraining order, the
Agency must additionally demonstrate that:
e Immediate and irreparable injury, loss, or damage will result if
relief is not granted; and
• There is a likelihood of success at trial, based on facts before
the court.
Under FURA, there are a number of specific circumstances that may Justify
injunctive relief. These Include but are not limited to:
• The violation of a Section 6 suspension order;
• The violation of an SSURO where a civil penalty or criminal prose-
cution vould not provide a timely or effective remedy to deter fur-
ther violations;
• There is continued production, shipment, sale, or use of an unreg-
istered pesticide after Che Agency has taken civil or criminal
action; and
* These actions may consist of permanent injunctions, preliminary injunc-
tions, or temporary restraining orders. These types of injunctions are
discussed in more detail in Section 4 of Chapter Eight.
umpJ-Lance/iBixorc* ac 5~l*
-------
Chapcar five Lwel of Action Policy
• Th« Agency has exercised an enforcement remedy and a person con-
tiaues Co make available for use a reacrlcced use pesclclde ocher
Chan in accordance wlch FIFRA Section 3(d), or concinues to use a
pesticide in a manner inconsistent with ics labeling or in a manner
contrary Co an experimental use permit.
Seizures
Section 13(b) of FIFRA gives EPA Che authoricy to initiate in rem condemna-
clon proceedings in district court. Once a court grants the Agency's
request for authority to conduct a seizure, FIFRA Section 9(b) authorizes
duly designated Agency employees to obtain and execute warrants for the
purpose of seizing any pesticide or device that is in violation of the Act.
Since seizures are Judicial actions directed against vlolaclve products
rather than against individuals, EPA may initiate actions in court against:
e A pesticide chat is adulterated, misbranded, unregistered, not
colored or discolored as required, or bears claims or directions
for use chat differ from chose made in connection vich its regis-
tration;
• A device Chat is misbranded; or
• A pesticide or device chat causes unreasonable adverse effects upon
Che environment, even when used in accordance with requirements
imposed by the Act.
The above examples are similar Co chose chat would lead Che Agency to ini-
tiate an SSURO. Because an SSURO can be effected in less time and with
less preparation than that required for a seizure, it is the preferred
remedy in terns of expediency. Nevertheless, the Agency should consider
initiating a seizure in the following circumstances:
• The Agency has issued an SSURO, but the recipient of Che order has
not complied with it;
• The Agency has reason to believe chat a person, if issued an SSURO,
will not comply with it;
e There exists a pesticide so hazardous chat it should be removed
from the marketplace or place of use;
e The seizure will be used to support a recall; or
e It is necessary to dispose of products being held under an SSURO
for which the responsible party has taken no corrective action*and
has expressed an intent noc to take corrective action.
UMpi&aace/Buorc at 5-15 Outdance Manual 1983
-------
Chapter Five Lrrel of Action Policy
Criminal Proceedings
Section 14(b) of FIFRA provides EPA with the authority to proceed with
criminal sanctions against violators of the Act, subject Co the following
distinctions:
• A registrant, commercial applicator, wholesaler, dealer, retailer,
or other distributor who knowingly violates the Act is subject,
upon conviction, to a fine of not more than $23,000, or imprison-
ment, for not more than one year, or both.
• A private applicator or other person not included above who know-
ingly violates the Act is subject, upon conviction, to a fine of
not more than 31,000, or imprisonment for not more than 30 days, or
both.
The Agency may initiate criminal proceedings in every cue in which EPA can
meet the stringent requirements of evidence and proof leading to a convic-
tion. However, Agency policy, aa well as pragmatic resource considera-
tions, argues against the use of criminal sanctions in any but the most
serious instances of environmental misconduct, as determined by the nature
of the violation, the history of compliance on the part of the responsible
person, or the seriousness of the environmental consequences.
Considerations
There are a number of specific factors that the Agency must carefully con-
aider before proceeding with a criminal prosecution. (Chapter Nine,
"Judicial Enforcement: Criminal Actions," addresses these considerations
in ouch greater detail.)
Knowledge. The Agency must determine that the violator in question know-
ingly violated the statute. That is, there must be evidence of intent in
the commission of the violatlve act, rather than it merely being the result
of accident or mistake.
Seriousness. Criminal actions should be considered for the most serious
types of environmental misconduct. This consideration will be Judged by
reviewing the extent of environmental harm or human health hazard that
resulted from, or was threatened by, the prohibited conduct. Factors such
as the duration of the conduct and the toxicity of the pollutants are
considered. Also of significance in assessing the seriousness of the
conduct is the impact—real or potential—upon EPA's regulatory function.
Deterrence. The Agency must consider the importance of and need for deter-
rence of criminal conduct, either on the part of a specific person, or on
the part of the larger community. In the case of a serious and willful
violation, the interests of deterrence may well best be served by the
Imposition of criminal sanctions.
coreat5-15Guidance Manual 1983
-------
Chapter Five Level of Action Policy
Compliance History. The compliance history of the person who Is the sub-
ject of possible criminal proceedings will enter into Che Agency's deliber-
ations. While a history of aoncompliance is not requisite for pursuing
criminal sanctions, certainly criminal prosecution becomes more appropriate
when a history of noncompliance exists.
Simultaneous Actions. The Agency may consider whether there is a need for
criminal enforcement proceedings contemporaneous with a civil or adminis-
trative enforcement action, or whether one type of action alone will serve
the situation in question. While simultaneous proceedings are permissible,
and there may be very compelling reasons for pursuing both, the legal and
practical difficulties inherent in so doing argue against such an approach
except in the most extraordinary circumstances.
Uee of Criminal Proceedings
The Agency has identified a number of specific situations that may be
considered of such a serious nature that criminal prosecution is
particularly appropriate. To list these situations, however, should not be
viewed as precluding criminal prosecution la circumstances not included
belov:
• Failure to report information on the unreasonable adverse effects
of a registered pesticide;
• Falsification of records;
• Violation of an order suspending or cancelling a product
registration;
• Violation of aa SSURO;
• Unlawful uses of pesticides; and
• Illegal distribution of unregistered pesticides.
at 5-17 Guidance Manual 1983
-------
Chapter Five Bxfaibit 5-1
Efficacy Standard* and Level of action Guidance
for BLainfectanta and lodenticidea
Efficacy standards have been developed and are being utilized by che
Agency for hospital or medical use disinfectant products and rodenti-
cides. The efficacy standards and level of action guidance for these
two typea of pecticides are summarized below. However, for the com-
plete disinfectants laboratory testing procedures and level of action
guidance, refer to December 17, 1980 Memorandum: "Regulation of Public
Health Related Disinfectant Products." Additionally, for both disin-
fectants and rodenticides, consult the civil penalty matrix in Appendix
6 for the appropriate civil penalty calculations.
Dlsiafectanta
Only hospital or medical use products that maka claims for Salmonella
eholaraesius, Staphyloeoeeua aureua, or Psaudomonua aeruginosa* are
tested.
Level I Testing
In Level I testing, 60 carriers muat'be tested against each of the
above organisms with each of three samples, representing three
different batches. This amounts to 180 carriers per sample; a total
of 540 carriers.
• Disinfectant Sample(s)
Performance Standard; A sample is determined to fail efficacy
testing if organisms on 2 or more of the 60 carriers are not
destroyed.
Level of Actiont For each sample that fails che above standard,
an SSURO is issued on the batch from which the sample was
collected and a civil penalty is issued for failure of the
batch to meet the efficacy requirements.
Failure of a product to destroy Pseudomonus aeruginosa is considered
equal to failure of a product to destroy Staphylococcus aureua or
Salmonella choleraesiua.
?01A Comfiliance/Bnfore at 5-18 Guidance Manual 1983
-------
Chapter Five bfalbit 5-1
• Disinfectant Product(s)
Performance Standard; A produce provisionally fails efficacy
testing if two or more of the three samples fail to destroy any
test organism*
Level of Action; Level II testing is initiated for each produce
chat fails the above standard.
Level II Testing
If a product falls Level I testing, five additional samples represen-
ting five different batches are collected for testing at Level II.
Sixty carriers are tested for each organism that the product fails to
destroy in Level I.
e Disinfectant Saaple(s)
Performance Standard: A sample is determined to fall efficacy
requirements UE organisms on 2 or more of the 60 carriers are
not destroyed.
Level of Action; For each saaple that fails the above standards,
an SSURO is issued on the batch from which the sample was col-
lected, and a civil penalty is issued for failure of the batch to
meet the efficacy requirements.
e Disinfectant Product(s)
Performance Standard; A product is determined to fail efficacy
testing if three or more of the five samples fail to destroy any
organism**
Level of Action; Initiation of cancellation proceedings.
Both single dose (acute) and multiple dose rodenticides that make
claims for commensal rodents are tested for efficacy.
Level II product failures are based on the upper bounds of the 95
percent confidence level. Consequently, a sample must fail S out of
60 carriers (not 2 out of 60 as in Level I tests) to count as a
failure.
PUIA Compliance/Enforo at 5-19 Guidance Manual 1983
-------
Chapter Five Sinlbit 5-L
e Acute or Single Dose
Performance Standard; The minimum standard is 90 percent rodent
mortality after eight days of testing for the product to be
effective in commensal rodent control.
Level of Action; A civil penalty is issued for failure of the
batch to meec the above efficacy requirements.
• Multiple Dose
— Cereal or water baits
Performance Standard; The minimum standard is 33 1/3 percent
bait acceptance and 90 percent mortality in order for the product
to be considered effective in a commensal rodent population.
Level of Action: A civil penalty is issued for failure of the
batch to meet the above efficacy requirements.
— Paraffin blocks
Performance Standard; The minimum standard is 25 percent bait
acceptance and 80 percent mortality in order for the product to
be considered effective in a commensal rodent population.
Level of Action; A civil penalty is issued for failure of the
batch to meet the above efficacy requirements.
FIFBA Compliance Bhforo at 5-20 Guidance Manual 1983
-------
Chapter Five
Exhibit 5-
Criteria for Determining the Gravity of a Dee Violation
for Porpoaee of a Certification Action
Violation
Weighting
Activity
GRAVITY. OF HAWt
Pesticide
Harm co Hunan
Health
Environmental
Barn
Toxicity—Category I pesticides,
restricted use pesticides, or
pesticides that are associated
vith chronic health effects
(mutagenicity, oncogenicity,
teratogenicity, etc.)
Toxi city—Categories II through
IV, QO known chronic effects
Serious or widespread actual harm
to human health
Serious or widespread potential
harm to human health
Minor potential or actual harm to
human health, neither serious nor
widespread
Substantial or widespread actual
harm to the environment (e.g.,
crops, water, livestock, wildlife,
wilderness, or other sensitive
natural areas)
Substantial or widespread
potential harm to the environment
Minor potential or actual harm to
the environment, neither wide-
spread nor substantial
POTA Compliance/Eofore at
5-21
Guidance Manual 1983
-------
Chapter Five
Exhibit 5-2
Violation
Weighting
Activity
GRAVITY OF MISCONDUCT
Noncompliance
History
Culpability
2
0
4
2
0
More chan one prior violation of
FIFRA by the applicator
One prior violation
No prior violations
Knowing or willful violation
Violation resulting from negligence
Violation was neither knowing nor
willful and did not result from
negligence; good faith efforts
aade to comply with the law
PIFBA Compliance/tefore* at
5-22
Guidance *••«•* i 1993
-------
Chapter Seven
I//
Elemmnta of a Violation: Administrative
Section* 12(a)(l)(B); 2(q)(2)(C)
Amy pesticide chat was misbranded in chat there was noc affixed Co ics
container, and to Che outside container or wrapper of the retail package,
if chere be one, through which the required information on the iounediace
container cannot be clearly read, a label bearing the required
information.
ELEMENTS OF THE VIOLATION
ESTABLISHING THE VIOLATION
3.
Respondent (person) distri-
buted, sold, offered for sale,
held for sale, shipped,
delivered for shipment, or
received and (having so
received) delivered or offered
to deliver a pesticide.
Determination chat the product
is a pesticide.
Determination that the product
label does not bear the
following required information:
• The name and address of the
producer, registrant, or
person for whom the
pesticide «a> produced;
The name, brand, or
trademark under which the
pesticide is sold;
The net weight or measure of
the contents, unless an
exemption is granted by the
Administrator; and
The registration number
assigned to the pesticide
and the use classification.
Identification of the responsi-
ble party for suspected violation
in commerce* See "Additional
Sources of Documentation"
(Chapter 4).
Appropriate regional or RO
personnel review product labeling*
claims to determine whether the
product is a pesticide. See
"Further Processing of the ID
Jacket—Enforcement Case Review'*
(Chapter 4).
Appropriate regional or RC
personnel review product labeling
to determine if the label
obtained in the inspection
conforms to the label accepted in
conjunction with the product's
application for registration.
For the significance of the
omissions, see "Level of Action
Policy" (Chapter 5) and for the
penalty amount, see Appendix 6.
FOTA Co pllance/tnforo nt
7-19
Guidance Manual 1983
-------
Chapter Seven
El ats of a Violation; Administrative
Sections 12(a)(l)(E); 2(q)(2)(D)
Any pesticide that was misbranded in that 1C contained a substance or
substances highly toxic Co humans and its label failed to bear:
• The skull and crossbones;
• The word "Poison" in red on a distinctly contrasting background;
and
• A statement of practical treatment (first aid or otherwise) in case
of poisoning.
ELEMENTS OF THE VIOLATION
ESTABLISHING THE VIOLATION
1.
2.
3.
Respondent (person) distri-
buted, sold, offered for sale,
held for sale, shipped,
delivered for shipment, or
received and (having so
received) delivered or offered
to deliver a pesticide.
Determination that the product
is a pesticide.
Determination that the produce
label does not bear toe
required statements or
designs.
Identification of the responsi-
ble party for suspected violation
in commerce. See "Additional
Sources of Documentation"
(Chapter 4).
2. Appropriate regional or RD per-
sonnel review product Labeling
claims to determine whether the
product is a pesticide. See
"Further Processing of the ID
Jacket—Enforcement Case Review"
(Chapter 4).
Appropriate regional or RD
personnel review the product
labeling to determine whether ctie
label obtained during inspection
conforms to the label accepted in
conjunction with the product's
registration application.
Consult 40 C.F.B.. Sl62.LO(h) for
the requirements. For the
significance of the omission, see
"Level of Action Policy* (Chapter
5) and for the penalty amount,
see Appendix 6.
FIFRA Ompllance/Boforcj at
7-20
Guidance Manual 1983
-------
Chapeer Seven
El
ta of a Violation; Administrative
Section* 12(a)(i)(B); 2(c)
Any pesticide chat was adulterated in that:
• Its strength or purity fell below the professed standard of quality
under which it was sold;
• Another substance had been substituted wholly or in part for the
pesticide; or
• A valuable constituent of the pesticide had been wholly or in pare
abstracted.
ELEMENTS OF THE VIOLATION
ESTABLISHING THE VIOLATION
Respondent (person) distri-
buted, sold, offered for sale,
held for sale, snipped,
delivered for shipment, or
received and (having so
received) delivered or offered
to deliver a pesticide.
Determination that the product
is a pesticide.
3.
Determination thac the product
was adulterated in a manner
described by the Act.
1. Identification of the responsible
party for suspected violation in
commerce. See "Additional
Sources of Documentation"
(Chapter 4).
I, Appropriate regional or RD per-
sonnel review product labeling
claims to determine whether the
product is a pesticide. See
"Further Processing of the 10
Jacket—Enforcement Case Review"
(Chapter 4).
3. Appropriate regional or RD per-
sonnel review chemistry labora-
tory tests to determine whether
the produce composition conforms
to the composition accepted in
conjunction with the application
for registration. See
"Scientific Review" under
"Further Processing of the ID
Jacket—Enforcement Case Review"
(Chapter 4). For the
significance of the adultera-
tion, see "Level of Action
Policy" (Chapter 5) and for the
penalty amount, see Appendix 6.
FI?RA Compllance/bforcfl at
7-21
Guidance Manual 1983
-------
Chapter Sevan
ita of a Violation: Administrative
Section 12(a)(2)(G)
A person used a registered pesticide in a manner inconsistent with Us
labeling.
ELEMENTS OF THE VIOLATION
ESTABLISHING THE VIOLATION
I.
Determination that the product
is a registered pesticide.
2.
Determination that the produce
was used in a manner inconsis-
tent with its labeling.
2.
Regional personnel ensure that
product is registered through
regional files or RO review.
Review accepted label to deter-
mine acceptable uses. See
"Labeling Review" under "Further
Processing of the ID Jacket-
Enforcement Case Review" (Chapter
4).
Review documentation to determine
whether the actions of the
respondent (use of the pesticidef
were inconsistent with the
product's label. For the
significance of the alleged
violation, see "Level of Action
Policy" (Chapter 5) and for the
penalty amount, see Appendix 6.
PIRA Compliance/Bnfore* at
7-32
Guidance Manual 1983
-------
MFT W COMUMi MD KMIUTMV W*AI1S
of net w M]H H*Mmniii
NOTICE OF INnUCTlW
issuing Admimsirann
A G HERA 0 G BRA
8 G IA EG BLRA
C 2 SFR* F O OPLA
G C OCOM
Oaie ol Service
On
Data ol infraction
Finn '_j
U pm
At
Place ol infraction
Respondent t fut Name (Ust firsl MKMie)
sireet
City. State
Formal 10 G Yes G No Recidwist G
Social Security No or Tax Idenuheanon No
Ltcerse/PemM
You are charged with violating the District of
indicate Below each infraction listed whether yol
fraction with an explanation, or deny the
a Hearing
setoutWBw Voumust
•actan. admit the in-
right to request
Admit wnn upianaton G Omy
Roe
S
Nature ol infracton
G Aam« with eiplanatnn G Deny
Fine
S
C Admit G Aomii witn ewunawn Q Deny
nMiuirea tine or request a hearing or an adjudication By mail
the date of service at this notice, you win oe subnet to the
and suspension ot your license/pennit Che line amount
raceme wnnn 15 flays The line amouil will triple it pay-
wrtnm 30 days it tnis is nol yow hrst mlraclicn. you witl oe auo-
the commmion el tna intraaanisi idled aeove
insoecnr s/invesiijaiVs Siflnaiure 10 No
i nereoy acknMMge recent ot ties Notice ot intracuon
RESPONDENT S SIGNATURE
i OCHVPO COPY
DATE
-------
SCHEDULE OP FINES
PESTICIDES AND HAZARDOUS WASTE
INTERNAL STATUTORY CITE
CODE OR REGULATION
1. 12201 20 DCMR 1007.2
2. 12202
5. 12205
6. 12206
10. 12210
12. 12212
20 DCMR 1007.4
3. 12203 20 DCMR 1007.6
4. 12204 20 DCMR 1007.7
20 DCMR 1010.2
20 DCMR 1007.10
7. 12207 20 DCMR 1010.5
8. 12203 20 DCMR 1011.3
9. 12209 20 DCMR 1007.1
20 DCMR 1010.1
11. 12211 20 DCMR 1007.3
20 DCMR 1007.9
CLASS FINE DESCRIPTION
2 $500 Recommendation for pes-
ticide use inconsistent
with labeling
2 $500 Using fraud or misre-
presentation in appl;
ing for certificatioi
or license
2 $500 Falsa claims on effec >
of pesticides or appl_-
cation method
2 $500 Applying ineffective
improper pesticide ana
operating faulty or
unsafe equipment
Using faulty or unsafe
equipment .
Aiding/abetting/con-
spiring to evade pesti-
cide lavs
Applying pesticides in
a harmful manner
Distributing/storing/
transporting pesticidf
in a dangerous manner
2 $500 Using pesticides incon-
sistent with label di-
rections
2 $500 Misuse of registered
pesticides
2 $500 Falsifying/refusing/
neglecting to maintain
or make records avail-
able
2 $500 Making false/fraudulen
records, invoices or
reports
2
2
2
2
$500
$500
$500
$500
-------
SCHEDULE OP PINES
PESTICIDES AMD HAZARDOUS WASTE
INTERNAL STATUTORY CITE
CODE OR RECDLATIQN
13. 12213
14. 12214
15. 12215
19. 12219
20. 12301
21. 12302
22. 12303
23. 12304
24. 12305
25. 12306
26. 12307
:: I:CVP. 1*07.8
20 DCMR 1007.11
20 DCMR 1106.3
16. 12216 20 DCMR 1200.1
17. 12217 20 DCMR 1308.1
18. 12248 20 DCMR 1308.3
20 DCMR 1308.10
20 DCMR 1007.5
20 DC::R 1007.12
20 DCMR 1007.13
20 DCMR 1008.5
20 DCMR 1008.8
20 DCMR 1008.?
TV* MO 1
<
CLASS Flag
2 $500
2 $500
2
2
2
2
3
3
3
3
3
-
$500
$500
$500
$500
$100
$100
$100
$100
$100
$100
sioo
DESCRIPTION
7aulty, careless or .-e.;-
ligent use of pesti-
cides
Making fraudulent/mis-
leading statements dur-
ing inspection
Certified applicator not
licensed with each
employing operator
No operator' s license
Not meeting records or
report requiremnts
No restricted use pesi-
cide records maintained
Failure to report pes-
ticide accidents or
incidents
Non-compliance with
restrictions on certif-
icate or license
Impersonating an
inspector
Distributing an adul-
terated pesticide
Selling pesticide under
the name of another
Labeling does not con-
tain directions foe use
Pesticide labels with-
out ingredient state-
rent
Pesticide labels with-
out statement of use
classifications
-------
SCHEDULE OP FINES
PESTICIDES AND HAZARDOUS WASTE
INTERNAL STATUTORY CITE
SQJQE OR REGULATION
27. 12308
28. 12309
31. 12312
32. 12313
33. 12314
34. 12315
35. 12316
37. 12318
38. 12319
39. 12322
20 DCMR 1008.12
20 DCMR 1008.14
29. 12310 20 DCMR 1010.8
30. 12311 20 DCMR 1011.1
20 DCMR 1012.2
20 DCMR 1010.6
20 DCMR 1012.3
20 DCMR 1015.1
20 DCMR 1015.2
36. 12317 20 DCMR 1015.3
20 DCMR 1015.5
20 DCMR 1015.7
20 DCMR 1100.1
£L&£§ FINE DESCRIPTIQM
3 $100 Pesticide labels with
out warning or caution-
ary statement
3 $100 Labeling not indicating
toxic pesticides
3 $100 Unlicensed operator L. •
specting for wood de-
stroying pest
3 $100 Injurious use of pesti-
cides and pesticide
containers
3 $100 Not providing safety
equipment and protec-
tive clothing
3 $100 Applying a pesticide
with wind velocity to<
high
3 $100 Non-compliance with re
entry requirements
3 $100 Unlicensed or uncerti-
fied applicator per-
forming fumigation
operation
3 $100 Untrained fumigation
crew members
3 $100 Performing fumigation
without notification
3 $100 Warning signs not con-
spicuously posted on
treated area
3 $100 No guard on site durirv
fumigation
3 $100 Application of re-
stricted use pesticides.
by unlicensed person
-------
111
SCHEDULE OF FINES
PESTICIDES AND HAZARDOUS WASTE
INTERNAL STATUTORY CITE
CODE OR REGULATION
40. 12324
41. 12325
42. 12326
43. 12327
44. 12328
45. 12329
46. 12330
48. 12401
49. 12402
50. 12403
51. 12404
20 DCMR 1111.1
20 DCMR 1203.3
20 DCMR 1203.6
20 DCMR 1203.7
20 DCMR 1302.2
20 DCMR 1307.3
20 DCMR 1309.4
47. 12331 20 DCMR 1012.1
20 DCMR 1005.5
20 DCMR 1007.14
20 DCMR 1008.4
20 DCMR 1010.3
CLASS FINE
3 $100
3 $100
3
3
3
3
3
3
4
4
4
$100
$100
$100
$100
$100
$100
$50
$50
$50
$50
DESCRIPTION
Applying pesticides
without supervision of
licensed certified ap-
plicator
Cancellation of pesti-
cide operators insur-
ance without notifi-
cation
Insurance not kept in
full force or effect
Failure to carry pre-
scribed limits of
liability insurance
Disregarding a "stop
sale use or removal"
order
Non-renewal of pesti-
cide license
Selling or transfer-
ring restricted use
pesticides to an uncer-
tified person
Employees not notified
of pesticide hazards
Invalid use of public
applicator license
Using unregistered
pesticides
Non-compliance with
package or container
requirements
Using pesticide con-
tainers for other pur-
poses
-------
SCHEDULE OF FINES
PESTICIDES AND HAZARDOUS WASTE
INTERNAL STATUTORY CITE
CODE OR
52. 12405
53. 12406
54. 12407
55. 12408
56. i2409
57. 12410
59. 12412
60. 12413
61. 12414
62. 12415
63. 12418
20 DCMR 1010.4
20 DCMR 1010.7
20 DCMR 1100.17
20 DCMR 1100.18
20 DCMR 1200.8
20 DCMR 1200.9
58. 12411 20 DCMR 1309.1
20 DCMR 1309.2
20 DCMR 1309.3
20 DCMR 1004.1
20 DCMR 1004.4
20 DCMR 1008.7
CLASS FINE DESCRIPTION
4 $50 Anti-siphon device for
equipment not provided
4 $50 Displaying or selling
pesticides in damaged
container
4 $50 Applicators license no
conspicuously posted on
premises
4 $50 Applicators license in-
accessible for inspec-
tion
4 $50 Operator's license not
conspicuously posted 01
premises
4 $50 Operator's license not
accessible for inspec-
tion
4 $50 Restricted use pesti-
cide records- not main-
tained three years
4 $50 Non-compliance with re
quest for records
4 $50 Incomplete restricted
use pesticide records
4 $50 Unregistered employee
applying pesticide
4 $50 Licensed pesticide
operator fails to
register employees
4 $50 Pesticide label posted
inconspicuously and
stated in terms not un-
derstood by the ordi-
nary individual
-------
SCHEDULE OP PINES
PESTICIDES AND HAZARDOUS HASTE
INTERNAL STATUTORY CITE
Q£C£ OR
S.',. 12419
65. 12420
66. 12421
67. 12422
68
. 1242:
69. 12501
70. 12502
71. 12503
72. 12504
73. 12505
74. 12506
75. 12507
20 DCMR 1008.13
20 DCMR 1106.4
20 DCMR 1106.5
20 DCMR 1200.6
20 DCMR 1202.4
20 DCMR 1000.1
20 DCMR 1008.6
20 DCMR 1015.8
20 DCMR 1004.7
20 DCMR 1004.8
20 DCMR 1111.7
.20 DCMR 1000.3
CLASS
4
FINE
5
5
5
5
5
$50 Labels not properly cf-
fixed on pesticide" con-
tainers
$50 Non-submission of ap-
plicator1 s license/ere
dentials to operator afta
termination
$50 Director not notified
when applicator termi-
nated and credentials
not returned
$50 Non-submission of oper-
ator1 s license/credentials
after termination
$50 Director unnoticed
that applicator super-
visor unavailable
$20 Using pesticides not
registered with EPA
$20 MO registration number
on pesticides labels
$20 Guard not capable, alert,
awake and on site through-
out fumigation period
$20 Failure to carry regist-
ration ID card
$20 Failure to notify and
return registered
employees credentials
$20 Failure to have pesticidefc
labels at job site
$20 Failure to register a
pesticides product in D.C.
-------
U.S. v. Araent Chemical Laboratories at al. fW.D. Wash.l
Eliot Lawrence Lieberman, the President and Treasurer of
Argent Chemical Laboratories, Inc., which represented itself as
the nation's largest manufacturer of aquatic pesticides, was
sentenced in U.S. District Court in Seattle on March 31, 1988, to
one year imprisonment, with 10 months suspended, a $20,000 fine,
and was placed on 5 years probation. The jail term for
Lieberman was the first to be imposed on a corporate officer of a
pesticide manufacturer for the sale of unregistered pesticides.
In 1982, the State of Washington and the EPA advised the
defendants, in connection with a Stop Sale Order concerning
Argent's sale of its unregistered algacide, Copper Control, of
the federal requirements for the registration of all pesticide
products. Nonetheless, EPA investigators determined that the
defendants continued their sales of Copper Control and other
unregistered pesticides produced by the company. While engaged
in such sales, Lieberman, on January 20, 1985, submitted a
written affidavit to state and federal authorities falsely
asserting that Argent had not produced or sold any pesticide
products. In conjunction with the FIFRA violations, the
government also established that the defendants were engaged in
the interstate sale of misbranded veterinary drugs in violation
of the Federal Food, Drug and Cosmetic Act (FDCA), 21 U.S.C.
§ 301 et seq.. and that Argent falsely reported through Lieberman
to the FDA that Argent was not manufacturing and distributing one
such drug when in fact it was doing so.
Lieberman pled guilty on January 14, 1988, to three counts
of illegal pesticide sales, between 1984 and 1986, to state fish
hatcheries in Arkansas, Mississippi and Arizona, in violation of
FIFRA, 7 U.S.C. § 136j(a)(1)(A). The sales involved herbicides
used by fish farms or hatcheries to eliminate predacious or trash
fish. Lieberman also had pled guilty to two counts of illegal
sales of unapproved veterinary drugs to fisheries in Oregon and
Indiana, in violation of the FDCA, 21 U.S.C. §§ 331(a) and
333(a). The Vice-President and Secretary of Argent, Beatriz
Faith Shanahan, was sentenced to a suspended, indeterminate
period of imprisonment and fined $10,000 for her guilty plea to
two misdemeanor counts for her role in the illegal sales of
unregistered pesticides. Argent was fined $70,000 for its guilty
plea to two felony counts of illegal sales of pesticide products.
Argent also was placed on five years of probation.
-------
123
JWGTON POST
Orkin Guilty of Violation in 2 Deaths
Failure to Use Monitor in \b. Couple's Home a Federal Charge
United Prat Interoitmil
ROANOKE. Aug. 8—Orion Ex-
terminating Co.. charged in two
fumigation deaths in 1986. was
found guilty today of violating fed-
eral pesticide law.
The company was convicted of
not using a monitoring device be-
fore exterminators allowed a Ga-
lax. Va.. couple to return home
after their house had been treated
with chemicals.
A sentencing hearing has been
scheduled for Sept. 6 to determine
whether the violation constituted
negligence.
Orkin, the nation's largest exter-
minator, faces a maximum fine of
$500,000 if the government can
prove negligence in the deaths of
Hubert and Freida Watson.
If the government cannot link
the violation and the deaths, the
maximum fine » $100,000. said
Assistant U.S. Attorney Richard
Pierce.
In an unusually short trial in
which no evidence was presented,
U.S. District Judge James Turk dis-
missed -four other misdemeanor
charges.
The single conviction of violating
the federal pesticide act comes a
little more than a year after more
serious state charges, including
manslaughter, were dropped.
The -two men who-applied the
pesticides reached a plea bargain
last summer to avoid manslaugh-
ter charges, and a S2.5 million civil
suit is pending against the compa-
ny.
Orion's Roanoke attorney, Sam
Wilson, declined.to comment after
the 15-nunute tnaL •
The Atlanta-based company was
charged in a five-count indictment
April 21 with improperly using
Vikane. a Dow Chemical Co. prod-
uct, to exterminate wood borers at
the Watsons' home in September
1986.
The Watsons were allowed to
return to their home the day after
it was treated, even though exter-
minators did not use a Vikane de-
tector and removed several warn-
ing signs concerning the chemi-
cal's toxuity.
Hubert Watson. 73. died the
following day. and Freida Watson.
65, died five days after the treat-
ment.
Earlier this year, the Environ-
mental Protection Agency approved
a 15,000 fine against Orkin in the
case of Patricia and Walter Sexton
of Galax, who alleged that an im-
proper termite treatment at their
former home m CarroH County h
July 1985 caused them to lose their
unborn child.
An $18.2 million civil lawsuit
filed by the Sextons in March 198?
was dismissed this year but is ex-
pected to be refiled.
Also pending against Orkin is a
$10.9 million lawsuit that was filed
by a Pulaski County. Va.. couple
who alleged that an extermination
at their house several years ago
caused them to suffer numerous
medical problems.
-------
IN THE
UNITED STATES DISTRICT COURT
FOR THE
WESTERN DISTRICT OP VIRGINIA
AT ROANOKE
APRIL, 1988, SESSION
UNITED STATES OF AMERICA
v.
ORKIN EXTERMINATING CO., INC.
Criminal No.
COUNT ONE
The Grand Jury charges:
That on or about September 26, 1986, in the Western District
of Virginia, ORKIN EXTERMINATING COMPANY, INC., a commercial
applicator, dealer and retailer under the terms of The Federal
Insecticide, Fungicide and Rodenticide Act did knowingly use a
registered pesticide in a manner inconsistent with its labeling;
in that, agents of ORKIN EXTERMINATING COMPANY, INC., acting for
the benefit of the said corporation and within the scope of their
authority did use Vilcane, a registered pesticide, at the home of
Hubert H. and Freida S. Watson, 101 Bona Vista Lane, Galax,
Virginia, and allowed the fumigation site to be occupied before
the aeration operation was completed contrary to the Vikane
labeling.
All in violation of Title 7, united States Code, Section
136j(a)(2}(G), 1361(b)(1) and Title 18, United States Code,
Section 3623.
A i KUC COPY. TESTE:
JOVCB-F. WITT. CLERK
BY: ^'/rcd
DEPUTY CUERK
-------
COUNT TWO
The Grand Jury charges:
That on or about September 26, 1986, in the Western District
of Virginia, ORXIN EXTERMINATING COMPANY, INC., a commercial
applicator, dealer and retailer under the terns of The Federal
Insecticide, Fungicide and Rodenticide Act did knowingly use a
registered pesticide in a manner inconsistent with its labeling;
in that, agents of ORKIN EXTERMINATING COMPANY, INC., acting for
the benefit of the said corporation and within the scope of their
authority did use Vikane, a registered pesticide, at the home of
Hubert H. and Freida S. Watson, 101 Bona vista Lane, Galax,
Virginia, and removed warning signs before aeration was determined
to be complete by the use of a suitable fumigant monitoring
instrument as required by the Vikane- labeling.
All in violation of Title 7, United States Code, Section
136j(a)(2)(G), 1361(b)(1) and Title 18, United States Code,
Section 3623.
COUNT THREE
The Grand Jury charges:
That on or about September 25, 1986, in the Western District
of Virginia, ORKIN EXTERMINATING COMPANY, INC., a commercial
applicator, dealer and retailer under the terms of The Federal
Insecticide, Fungicide and Rodenticide Act did knowingly use a
registered pesticide in a manner inconsistent with its labeling;
- 2 -
-------
in that, agents of ORKIN EXTERMINATING COMPANY, INC., acting for
the benefit of the said corporation and within the scope of their
authority did use vikane, a registered pesticide, at the home of
Hubert H. and Preida S. Watson, 101 Bona Vista Lane, Galax,
Virginia, without removing mattresses and pillows completely
enveloped in water proof covers and removing the covers as
required by the Vikane labeling.
All in violation of Title 7, United States Code, Section
136j{a)(2)(G), 1361(b)(l) and Title 18, United States Code,
Section 3623.
COUNT FOUR
The Grand Jury charges:
That on or about September 25, 1986, in the Western District
of Virginia, ORK1N EXTERMINATING COMPANY, INC., a commercial
applicator, dealer and retailer under the terms of The Federal
Insecticide, Fungicide and Rodenticide Act did knowingly use a
registered pesticide in a manner inconsistent with its labeling;
in that, agents of ORKIN EXTERMINATING COMPANY, INC., acting for
the benefit of the said corporation and within the scope of their
authority did use Vikane, a registered pesticide, at the home of
Hubert H. and Freida S. Watson, 101 Bona Vista Lane, Galax,
Virginia, without using chloropicrin as a warning agent five to
- 3 -
-------
ten minutes prior to fumigation as required by the Vikane
labeling.
All in violation of Title 7, United States Code, Section
136j(a)(2)(G), 1361(b)(1) and Title 18, United States Code,
Section 3623.
COUNT FIVE
The Grand Jury charges:
That on or about September 26, 1936, in the Western District
of Virginia, ORKIN EXTERMINATING COMPANY, INC., a commercial
applicator, dealer and retailer under the terns of The Federal
Insecticide, Fungicide and Rodenticide Act did knowingly use a
registered pesticide in a manner inconsistent with its labeling;
in that, agents of ORXIN EXTERMINATING COMPANY, INC., acting for
the benefit of the said corporation and within the scope of their
authority did use Vikane, a registered pesticide, at the home of
Hubert H. and Freida S. Watson, 101 Bona vista Lane, Galax,
Virginia, without using an approved positive pressure,
self-contained breathing apparatus to enter the space under
fumigation as required by the Vikane labeling.
- 4 -
-------
All in violation of Title 1, United States Code, Section
136j(a)(2)(G)f 1361(b}{1) and Title 18, United States Code,
Section 3623.
A TRUE BILL, this fQ \ day of April, 1988.
UNITED STATES/ATTORNBY
ES/i
- 5 -
-------
FIFRA Criminals Orkin Found Guiltv In Vikane
Orkin Exterminating Co. was found guilty of removing
warning signs from a fumigated home before chemical fumes had
dissipated, and faces a $500,000 fine. U.S. v. orkin
Exterminating Co.. DC WDVa, No. 88-0040.
In a sentencing hearing, U.S. attorneys attempted to prove
that the deaths of two people which came within five days of the
fumigation, were linked to exposure to illegally high levels of
Vikane, a Dow Chemical Co. sulfuryl fluoride fumigant. In a
trial Aug. 8, the U.S. District Court Judge dismissed four of
the five criminal misdemeanor charges brought against Orkin by a
federal grand jury April 21. No evidence was presented at the
trial because both sides agreed on the basic facts involved.
Orkin was found guilty of the remaining count, removing warning
signs before aeration was complete, a violation of FIFRA. Orkin
could be fined up to $100,000 if no link is made to the deaths,
and up to $500,000 if the government can prove the connection.
Government lawyers opted to seek fines under an alternative
fine schedule from the Criminal Fine Enhancement Act of 198A.*
which allows a $500,000 penalty under any federal statute for a
misdemeanor by a corporation that.results in a death. Criminal
provisions of FIFRA allow a maximum fine of $25,000 per
violation. This was the first time the alternative fine
schedule was used for a FIFRA case.
The couple's home was fumigated by Orkin Sept. 25, 1986.
Orkin employees violated the labeling directions for Vikane by
allowing the house to be occupied the following day without
properly monitoring the level of sulfuryl fluoride in the air.
Structures fumigated with Vikane cannot be inhabited until the
level of the chemical in the air is below 5 parts per million.
according to the product's label. An appeals court turned down
an attempt by Orkin to have the case dismissed. The company
argued that the federal government cannot prosecute criminal
violations of the federal pesticides law because states are
delegated primary enforcement responsibility for misuse under
FIFRA (12 CRR 516). (U.S. v. Oricin. CA 4, No. 88-5821) this
defense was rejected.
FTFRA criminals $100,000 Fine; Corporate Officer Sentenced To
Jail For Pesticides Violations
A pesticide manufacturer has received a jail sentence for
selling unregistered pesticide products. Argent Chemical
Laboratories President Eliot Lieberman was sentenced to serve
one year in jail, with 10 months suspended, for violations of
FIFRA. U.S. v. Argent Chemical Laboratories Inc.. DC WWash, No.
CR 88-0230.
------- |