ENVIRON ENTAL PROTECTION AGENCY
OFFICE OF ENFORCEMENT
EPA-330/9/78/001-R
NEIC POLICIES
AND
PROCEDURES MANUAL
ATIONAL ENFORCEMENT INVESTIGATIONS CENTER
DENVER. COLORADO
MAY 1978
(REVISED OCTOBER 1979)
o* _
%
-------
Environmental Protection Agency
Office of Enforcement
EPA-330/9-78-001-R
NEIC POLICIES AND PROCEDURES MANUAL
May 1978
[Revised October 1979]
National Enforcement Investigations Center
Denver, Colorado
-------
TRANSMITTAL RECORD
NEIC Policies and Procedures Manual
No. Additions and/or changes Date
1.
Replace entire Manual contents with revised contents
October 1979
2.
Replace pages 11-19 and 11-20
Insert the transmittal page
October 1980
1
i
-------
FOREWORD
As part of the Environmental Protection Agency, the National
Enforcement Investigations Center provides the Office of Enforcement
with technical information and evidence in support of EPA legal
actions. For this reason, the legally oriented standard operating
procedures described in this manual are important to every employee.
This manual discusses NEIC project phases, then presents pol-
icies and procedures which employees are responsible for knowing and
following. Should employees be called to testify as government
witnesses, they must be able to relate the facts acquired during
field and laboratory investigations in a truthful, confident, and
straightforward manner; helpful Witness Guidelines are appended to
this manual. By adhering to the Center's policies and procedures,
employees protect both their professional careers and the integrity
of NEIC.
-------
CONTENTS
I NEIC PROJECT PHASES . 1-1
INTRODUCTION 1-1
PROJECT REQUEST 1-2
BACKGROUND REVIEW 1-5
PROJECT PLAN 1-6
FOLLOWUP . 1-8
PROJECT ACTIVITIES . . 1-9
REPORT ... ... I-10
II NEIC OPERATING POLICIES AND PROCEDURES . ... II-l
EMPLOYEE CONDUCT . ... II-1
ENTERING A FACILITY . . 11*2
REQUESTING INFORMATION . . II-5
DISCLOSURE OF OFFICIAL INFORMATION II-6
PROJECT COORDINATOR RESPONSIBILITIES
AND AUTHORITY . . . . .... . . 11*7
PROJECT PLAN II-7
ADMINISTRATIVE MATTERS . . . II"8
FIELD ACTIVITIES . . . II-9
REPORT WRITING . . 11-10
SAMPLE CONTROL . . 11-11
SAMPLE IDENTIFICATION . .11-11
CHAIN-OF-CUSTODY PROCEDURES . 11-14
DOCUMENT CONTROL . 11-21
SERIALIZED DOCUMENTS . 11-21
PROJECT LOGBOOKS . 11-22
FIELD DATA RECORDS . 11-23
SAMPLE IDENTIFICATION DOCUMENTS . 11-23
CHAIN-OF-CUSTODY RECORDS . 11-24
OTHER CONTROLLED DOCUMENTS . . . 11-24
PHOTOGRAPHS . 11*26
CORRECTIONS TO DOCUMENTATION . . . 11-26
CONSISTENCY OF DOCUMENTATION . 11-27
DOCUMENT NUMBERING SYSTEM AND INVENTORY PROCEDURE . . 11*27
BRANCH FILES . 11*28
EVIDENTIARY FILE 11*28
REPORTS 11-29
LITIGATION DOCUMENTS . . 11*30
CONFIDENTIAL INFORMATION . 11*30
QUALITY ASSURANCE MANAGEMENT . . 11*31
ORGANIZATIONAL RESPONSIBILITY . . 11*31
MEASUREMENT METHODS . 11*31
TRAINING . . . 11-32
DATA REVIEW . . . 11*33
INDEPENDENT AUDIT . 11*33
DEFINITIONS . . 11*33
APPENDICES
A Witness Guidelines
B Procedures for Air Shipment of
Environmental Laboratory Samples
C Safety Precautions When Accepting
Samples From Outside Sources
FIGURES
1 Sample Tags 11*12
2 Chain-of-Custody Records (Water, Air) 11-16, 17
-------
1-1
(10/79)
I. NEIC PROJECT PHASES
INTRODUCTION
The projects undertaken by NEIC span a wide variety of activi-
ties, from one employee performing technical, supportive or admini-
strative tasks, to numerous employees from divergent disciplines
working as a team to accomplish a series of complex tasks. Most of
the Center's projects consist of these phases.
Project Request
Background Review
Project Plan
Project Activities
Report
Followup
This section of the manual discusses the items covered in each phase
which are common to most projects, and outlines NEIC policies per-
tinent to each phase.
-------
1-2
(10/79)
PROJECT REQUEST
All NEIC projects are preceded by requests to the Director or
the Assistant Director for Technical Programs for work to be per-
formed. Many requests received by NEIC for technical assistance,
involve projects which require extensive field work on pollution
problems in more than one medium. Others include, for example, a
technical and/or legal review of an abatement proposal, or analytical
support for a Regional enforcement case.
The content of the project request is essential to the success
of the project. To assure that NEIC is as responsive as possible, it
will consider informal requests from sources within the Agency. How-
ever, the official requester must followup with a specific written
request detailing the objectives, relating those objectives to an
enforcement action, and identifying the requester's contact. A
written, in addition to a verbal, request ensures NEIC of administra-
tive accountability and clarity of project definition, as well as
allowing management to adequately coordinate and schedule the Center's
workload.
Official requests for technical assistance will be received only
from the following:
Admi ni strator
Deputy Administrator
Assistant Administrator for Enforcement
Deputy Assistant Administrators \ . .. nff. „ .
,, , J . „. . . n. . > in the Office of Enforcement
Headquarters Division Directors J
Department of Justice, Headquarters with the knowledge and con-
currence of the Asst. Adminis-
trator for Enforcement
-------
1-3
(10/79)
Regional Administrators
Deputy Regional Administrators
Regional Enforcement Division Directors
Other Regional Division Directors with the knowledge and
U.S. Attorney's Offices — concurrence of the Regional
State and Local Program Directors Enforcement Division Director
Receipt of an official request will be acknowledged by NfIC and
the acceptance will include a tentative schedule for completing the
work. The acceptance usually sent to the requester before any work
begins, designates specific NEIC employees as contacts for technical
work and legal coordination, and seeks access to all files related
to the work. In some cases, for example, requests for technical sup-
port or review of an abatement proposal, the acknowledgement memoran-
dum can provide a sufficient outline of work activity.
To accomplish the objectives of a request efficiently and effec-
tively, a Project Coordinator is usually named. The selection of
this individual is generally determined by the type investigation or
assistance requested, such as. a multi-media evaluation with or
without sampling; case preparation; performance audit; pesticide use
investigation; or control technology assessment. In some instances,
a technical assistance request may involve only one individual —
for example, a detailed control technology assessment; or it may
involve only analytical support—such as pesticide analyses for
Regional investigations; or it may require support from several
Branches within NEIC.
When the technical assistance for a project is confined to one
Branch, the Branch Chief designates the coordinator. In those cases
where more than one Branch is involved, the Assistant Director for
Technical Programs, after consultation with the Deputy Assistant Dir-
ectors, will issue a memorandum designating the Coordinator. The
-------
1-4
(10/79)
individual selected will have demonstrated through past performance as
Project Coordinator, or as an assistant, the ability to perform the
extensive administrative and field responsibilities of the Project
Coordinator (as described in Section II).
-------
1-5
(10/79)
BACKGROUND REVIEW
Review of the available background information applicable to a
specific project is a logical and essential first step in providing
technical assistance. Scope and duration of the background review
varies with the complexity of the project request. Background infor-
mation is available at the Center through the in-house and affiliated
libraries and the NEIC computerized data retrieval systems. However,
for many projects it will be necessary to make visits to EPA headquar-
ters, Regional offices and/or State and local agencies to review and
obtain copies of pertinent files Where necessary, a reconnaissance
of the project site provides background verification or updating.
Examples of information obtained during a background review include:
the applicable laws and regulations, the status of current and pending
litigation related to the project, Regional Office legal strategy and
how the NEIC study relates to the strategy, specific descriptions of
related process and pollution control systems, copies of relevant
source permits and compliance schedules, past self-monitoring data,
prior government or facility studies, and availability of established
analytical methods.
The primary purpose of a review is to familiarize NEIC personnel
with the background of the work request and its legal ramifications
so that a comprehensive project plan can be developed. Moreover,
information obtained during the review will often be used during pro-
ject performance and report preparation. Therefore, it is important
to conduct as thorough a review as possible early in the project de-
velopment. The background review may even continue throughout the
project to obtain needed information.
-------
1-6
(10/79)
PROJECT PLAN
A general project outline is included with the NEIC acceptance
of an official request. After sufficient background information has
been obtained and evaluated, a comprehensive project plan is usually
prepared based on the specific objectives and tasks in the project
request. For projects that are small in scope, the acceptance memo-
randum may serve as the project plan. Projects such as complex pollu-
tion control evaluations, NPDES permit compliance evaluations, air
pollution source surveys, ambient air and/or receiving water quality
surveys, pesticide use investigations, and solid/hazardous waste dis-
posal evaluations normally require a detailed project plan.
The Project Coordinator prepares the project plan detailing the
project's scope, logistics and schedules. Items addressed in the pro-
ject plan are:
1. Objectives
2. Background information, including a summary of process(es),
applicable regulations or permit conditions, etc.
3. Survey methods, including sampling locations, schedules and
procedures, analytical requirements, quality control program,
etc.
4. Process data to be collected
5. Personnel and equipment requirements
6. Safety program and equipment
7. Custody procedures
8. Report schedules
9. Followup plans (when necessary)
The Project Coordinator works closely with the appropriate NEIC
staff to determine items such as equipment and logistical requirements,
-------
1-7
(10/79)
analytical capabilities, and personnel availability. The Project
Coordinator also communicates with the requester or designated rep-
resentative to ensure that the plan being developed addresses the
tasks requested and focuses on the objectives.
The importance of the project plan cannot be overemphasized.
The plan approximates an agreement between the requesting party and
those individuals performing the work. Manpower, equipment needs and
logistics can be forecast and scheduled. Additional equipment, con-
tract services, or personnel can be secured expeditiously with the
advance determination of needs.
The project plan should be provided by NEIC to the requester and
the survey team at least two weeks before any specific field, labora-
tory, or consultant activity is undertaken. If no comments on the
plan are received from the requester during this period, it is assumed
that the plan is acceptable. Changes made to the project plan will
be coordinated with the requester by the Assistant Director for Tech-
nical Programs. If considered necessary, a meeting will be held between
the appropriate NEIC personnel and the requester to discuss any differ-
ences and modifications. Once all concerned parties agree to the
project plan, it serves as a reference document for the project.
However, during the conduct of the project, some modifications
to the plan may be deemed necessary by NEIC personnel when unforseen
circumstances arise.* If the requester desires changes in the project
plan after the project activities have commenced, such requests will
be directed to the Assistant Director for Technical Programs Each
request will be discussed with the appropriate management and super-
visory staff and with the project coordinator Agreed upon changes
will be detailed in a memorandum to the Assistant Director
* The plan will contain a statement that it is subject to change.
-------
1-8
(10/79)
F0LL0WUP
Because the majority of NEIC investigative activities are asso-
ciated with potential enforcement actions, all project plans, reports,
and related litigation documents will be transmitted by the Chief of
the Enforcement Specialist Office.
Completion and transmittal of the project report do not neces-
sarily signify the end of NEIC's involvement with the project. Con-
tinuing involvement may include technical consultation on monitoring
programs and remedial measures. NEIC personnel will continue to
followup project involvement in subsequent legal proceedings. In
such cases, NEIC personnel may be involved in enforcement cases
preparation and serve as, or be deposed as, witnesses [Appendix A
gives Witness guidelines for preparing testimony as an expert
witness]. Other reports may affect EPA policies or serve as fore-
runners for additional enforcement studies
-------
1-9
(10/79)
PROJECT ACTIVITIES
Technical duties such as legal and technical information searches,
inspections, evaluations, sampling surveys, observations, data gather-
ing and analytical testing are performed by the applicable established
procedures. When new methods or modifications to existing procedures
are required, they must be documented as expeditiously as possible.
Because of the close scrutiny that may be given to NEIC-gathered data
during litigation, all samples are maintained under chain-of-custody
procedures and accounted for by a document control program. To ensure
that all procedures practiced at NEIC yield accurate data, these pro-
cedures are audited routinely through a quality assurance management
program. (See Section II for procedures and programs )
-------
1-10
(10/79)
REPORT
The final report details the results of the project efforts, and
it can be the requester's basis for enforcement actions. Because the
report may be introduced as evidence in legal proceedings, it must be
accurate and legally defensible.
The overall responsibility for preparing the final report is
that of the Project Coordinator, who, along with the management of
NEIC, bears the burden for the accuracy and defensibility of the re-
port and its conclusions. Achieving this goal, however, requires
that each Branch participating in the project assure that its indi-
vidual contributions to the report are accurate.
The form of the final report will vary with the type and com-
plexity of the project. Some projects can be presented adequately in
a memorandum, while other more complex projects will require extensive
data and information presentation and discussion.
A color code has been adopted for all bound reports prepared at
NEIC. A black cover is reserved for a report specifically targeted
for enforcement case preparation. A red cover indicates a profes-
sional paper, special project, or technical information compilation
not directly related to enforcement action. A blue cover is used for
remote sensing reports. The green cover is used for unique types of
publications, such as the NEIC Safety Manual. All other miscellaneous
reports have tan covers. All white-cover reports are draft copies of
the above categories. Specific details for document control procedures
related to draft copies of reports are covered in Section II.
-------
1-11
(10/79)
The NEIC library maintains a set of the Center's bound reports
for reference use. Most reports are also available either as micro-
fiche or paper copy from the library supply. Other short-form reports
are available in the various Branch files, as well as the Evidentiary
File (described in Section II). Each employee is encouraged to be-
come familiar with the various forms of NEIC reports Public disclo-
sure of NEIC records will be made to the fullest extent possible.
External distribution of reports supporting pending enforcement actions
must be authorized through the Chief, Enforcement Specialist Office.
Extra copies of pending case reports will be maintained in a secure
area of the library. Report distribution restrictions terminate upon
resolution of the case. However, a report distribution log is main-
tained and the appropriate Regional Office may subsequently determine
to whom a report has been released.
Distribution restrictions also apply to reports that contain in-
formation for which a confidentiality claim has been asserted. Each
copy of the report will carry a notation that it contains confidential
information. All reports containing confidential information will be
kept in secure areas until a final determination removes the restric-
tions. These reports are not available in the library. Questions
concerning restricted report availability should be directed to the
Enforcement Specialist Office.
Copies of all NEIC bound reports that have been cleared for public
distribution are sent to the National Technical Information Service
(NTIS). Their availability to the public is then announced through
the NTIS publication, Government Reports Announcements. They will be
reproduced and distributed for a fee and will be offered in either
paper or microfiche form
-------
II-l
(10/79)
II NEIC OPERATING POLICIES AND PROCEDURES
EMPLOYEE CONDUCT
EPA employees are required to perform their duties in a profes-
sional and responsible manner, refraining from any use of official
position for private gain. NEIC employees are also required to
collect and report the facts of an investigation completely, accurately
and objectively. They must also conduct themselves at all times in
accordance with the regulations prescribed in the EPA handbook,
RESPONSIBILITIES AND CONDUCT FOR EPA EMPLOYEES. The following four
paragraphs review some topics in the handbook especially applicable
to NEIC work.
Employees shall avoid conflicts of interest through outside em-
ployment or other private interests. A conflict of interest may
exist whenever an EPA employee has a personal or private interest in
a matter which is related to his official duties and responsibilities.
It is important to avoid even the appearance of a conflict of interest
because the appearance of a conflict damages the integrity of the
Agency and its employees in the eyes of the public. All employees
must, therefore, avoid situations which are, or give the appearance
of, conflicts of interest when dealing with others in or outside the
government.
Good public relations and common sense dictate that employees
dress appropriately and with proper safety equipment for the activity
in which engaged. When in the laboratory, field, or industrial
facility, employees should consult their supervisor and the NEIC
SAFETY MANUAL relative to proper attire and safety requirements
-------
11 - 2
(10/79)
It is important that cooperation be obtained and good working
relations established when working with the public This can best be
accomplished by using diplomacy, tact, and persuasion. Employees
should not speak of any person, other regulatory agency or facility
in a derogatory manner, and should use discretion when asked to give
a professional opinion on specific products or projects. All infor-
mation acquired during an employee's duties is for official use only.
An employee is forbidden to solicit or accept any gift, gratuity,
entertainment, favors, loans, or any other thing of monetary value
from any person, corporation, or group which has a contractual or
financial relationship with EPA, which has interests that may be sub-
stantially affected by such employee's official actions, or which con-
ducts operations regulated by EPA. Responsibility for individual ac-
tions rests with the employee where circumstances make it inappropriate
to decline a nominally valued gratuity, such as lunch in a company cafe-
teria where no payment mechanism is provided.
ENTERING A FACILITY
Authori ty
Various Federal environmental statutes grant EPA enforcement
personnel authority to enter and inspect facilities. The authority
granted in each statute is similar to that stated below, in Section
308 of the Clean Water Act.
"(a)(B) the Administrator or his authorized representative, upon
presentation of his credentials -
(l) shall have a right of entry to, upon, or through any prem-
ises in which an effluent source is located or in which any
records required to be maintained . . are located, and
(ii) may at reasonable times have access to and copy any rec-
ords, inspect any monitoring equipment or method required
and sample any effluents which the owner or operator of such
source is required to sample . .
-------
11 - 3
(10/79)
For the specific requirements on conducting inspections and col-
lecting data pursuant to other particular Acts, see: Section 114 of
the Clean Air Act; Sections 8 and 9 of the Federal Insecticide, Fungi-
cide, and Rodenticide Act; Section 3007 of the Resource Conservation
and Recovery Act; Sections 8 and 11 of the Toxic Substances Control
Act; and Section 1445 of the Safe Drinking Water Act.
Unreasonable Search and Seizure
EPA authority under the various Acts is subject to the "unrea-
sonable search and seizure" provisions of the Fourth Amendment to the
Constitution. It prohibits all searches and seizures which are unrea-
sonable or to which required consent has not been given. While a
consensual entry may not be necessary for entering a public area or
for acting under emergency conditions, no forcible entry is permitted
without due process of law when entry has been denied. Consent, in
this context, means the intentional foregoing of right to privacy
which is not the result of either fear, ignorance or trickery.
When obtaining consent to enter, do not suggest that civil or
criminal consequences will result from entry denial. If the element
of surprise is critical to the inspection or prior behavior indicates
that entry will be denied, the Enforcement Specialist Office should
be notified before the inspection is attempted.
Consent to enter may be revoked by a facility prior to the comple-
tion of an inspection If that should occur, all work performed
during the consensual entry should remain in the possession of the
inspection team When a withdrawal of consent occurs, the inspection
team shall leave the area and follow the procedures for denial of entry
as detailed below.
-------
11-4
(10/79)
To comply with the Acts and avoid any "unreasonable search" and
procedural problems, a facility should be entered in the following
manner.
1. The plant premises should be entered through the main gate
or through the entrance designated by the source if in response to an
inspection notification letter.
2. The employee should introduce himself in a dignified, cour-
teous manner to a responsible plant official and briefly describe the
purpose of the visit. Identification credentials should always be
shown. A responsible plant official may be the owner, operator, of-
ficer or agent in charge for the facility, including the plant en-
vironmental engineer.
3. If there is only a guard present at the entrance, the em-
ployee should present his credentials and suggest that the guard call
his superior on the phone. The inspector may request that the guard
call the responsible official directly when the name is known.
4. If the Company provides a blank sign-in sheet, log, or visi-
tors register, it is acceptable to sign it. NEIC employees shall not,
however, sign a release of liability (waiver) when entering a facility
under the authority of Federal law.
5. If entry is refused, the employee should not contest the
issue with the facility representative, but will immediately do the
following:
a. Obtain name and title of the individual denying entry and
record the date and time;
b. Cite the appropriate EPA-administered legislation, ask if
he/she heard and understood the reason for your presence,
record the answer and any reasons given for denial of entry;
c Leave the premises
-------
11 - 5
(10/79)
After leaving the facility, the employee should, at the earliest
possible moment, inform the NEIC Enforcement Specialist Office, and
the appropriate Regional enforcement attorney of the events which
took place.
REQUESTING INFORMATION
Section 308 of the Clean Water Act and Section 114 of the Clean
Air Act address the protection of trade secrets and confidential
information. As a general policy, EPA is extremely reluctant to
accept this type of information unless it is necessary for carrying
out Agency functions under these Acts.
In compliance with EPA regulations, a request* for Company in-
formation, pursuant to statutory authority, will contain a statement
allowing the facility to designate all or part of the information
requested by the Agency as confidential by marking it according to:
Title 40 of the Code of Federal Regulations (CFR), Part 2, Subpart B,
Sections 2 201-2 304 [41 Federal Register (FR) 36902]. In addition to
citing the appropriate regulation(s), the request should state that:
(1) the business may, if it desires, assert a business confi-
dentiality claim covering part or all of the information in
the manner described by 40 CFR Part 2, and that information
covered by such a claim will be disclosed by EPA only to
the extent, and by means of the procedures, set forth in
those regulations;
(2) if no such claim accompanies the information when it is
received by EPA, it may be made available to the public by
EPA without further notice to the business.
* Written requests are generally sent through the Regional
Enforcement Division.
-------
II-6
(10/79)
When conducting a plant evaluation, inspection or reconnais-
sance, NEIC personnel should not accept confidential information un-
less it is essential in performing NEIC responsibilities. In those
limited situations, the source should be requested to provide NEIC
with a written statement identifying the material which is entitled
to confidential treatment. In addition, reasons must be given to
substantiate the claim, including any supportive technical data or
legal authority By statute, effluent and emission data are not
confidential. Any confidential information received in the mail or
hand-delivered shall be marked Confidential and handled appropriately
as outlined in the document control program (see page 11-29).
DISCLOSURE OF OFFICIAL INFORMATION
It is EPA policy to make information about EPA and its work
available, freely and equally, to all individuals, groups and or-
ganizations. This policy, however, does not extend to confidential
information or investigatory information and evidence relating to the
suspected violation of Federal environmental laws.
Any NEIC employee who receives a request, written or oral, for
inspection or disclosure of NEIC investigatory records, whether made
under judicial discovery procedures or the Freedom of Information
Act, shall immediately advise the Chief, Enforcement Specialist
Office for approval to release the information. This procedure also
applies to all requests for "confidential" information. Non-confiden-
tial information disseminated outside of the Agency will be directed
through the appropriate Regional Office or Headquarters.
-------
11-7
(10/79)
PROJECT COORDINATOR RESPONSIBILITIES AND AUTHORITY
The Project Coordinator, is the primary contact for a specific,
assigned project. All communications with the Regional, State, local
and company officials, the public, and the news media (press, radio,
TV, etc.) need to be coordinated through this individual.
PROJECT PLAN
The Project Coordinator is responsible for preparing the project
plan. This will involve obtaining the necessary inputs from the re-
quester (Region, Headquarters, etc.), all affected NEIC Branches, the
legal staff, the safety officer, the administrative staff, and the
Evidence Audit Unit. A draft plan (stamped DRAFT REPORT FOR AGENCY
REVIEW ONLY, DO NOT DUPLICATE) will be provided for internal review
to all Branch Chiefs and other affected parties. The Coordinator is
responsible for disseminating the draft project plan for review and
accounting for all draft copies. After comments have been incorporated
into the final project plan, all drafts will be disposed of and a
revised copy will be sent to the Region or other EPA organization
requesting the work. As a general rule, the final plan should be
sent to the requester and given to project participants at least two
weeks before any field work begins.
A briefing on the plan will be held prior to beginning any field
work. At that time, those aspects of the study such as test methods,
chain-of-custody procedures, legal aspects, safety requirements,
document control and related activities will be discussed with all
participants in the project, who are expected to read the project
-------
II-8
(10/79)
plan and be aware of the required procedures. (Section I discusses
changes to the project plan once it has been transmitted to the
requester )
ADMINISTRATIVE MATTERS
Petty Cash and Procurement Requests
Prior to the survey, the respective NEIC Branches are expected to
submit purchase requisitions for survey needs in a timely fashion to
avoid emergency requests. The Project Coordinator is responsible for
determining petty cash needs for the study and designating those
individuals who will receive petty cash. Proper receipts are neces-
sary to receive credit for petty cash. When appropriate, the Project
Coordinator will arrange to use purchase orders in the field. For
example, ice is often required in large quantities during a survey,
thus, a purchase requisition is often appropriate.
Time Keeping
The Project Coordinator is expected to certify as correct the
Time Reports used by field personnel to report regular time, over-
time, and compensatory hours. It is expected that Project Coordina-
tors and Branch Chiefs be familiar with the Fair Labor Standards Act,
the EPA Pay Administration Manual as it pertains to overtime, holiday
and hazardous-duty pay, and compensatory hours. As appropriate, the
Coordinator will be provided a packet containing the necessary pay
manuals, policy statements, and forms. Instructions for the comple-
tion and submission of time records will be provided by the respec-
tive Branch Chiefs.
-------
11-9
(10/79)
FIELD ACTIVITIES
The Project Coordinator shall have the overall responsibility
for determining that all field activities are performed expeditiously
and that the project objectives are met. Branch Chiefs are expected
to assign personnel capable of performing the Branch responsibility
associated with a particular study; these personnel are expected to
understand and follow the procedures relative to their assignments.
The necessity for change from the project plan not affecting the
objectives or overall scope of the study—such as addition or deletion
of sampling points; modifications to schedules or frequencies; or
changes in analytical load—will be coordinated through and approved
by the Project Coordinator This includes any support work being
conducted in Denver.
Transportation needs in the field will be determined during the
planning stage. GSA vehicles will be used whenever available The
Project Coordinator will be responsible for assuring that vehicles
and mobile laboratories transported from Denver will generally travel
in convoy, and it is imperative that the Project Coordinator be
notified immediately of any delays that occur enroute. It is also
expected that the rolling stock (mobile laboratories, vehicles,
boats, monitoring equipment) are kept in a state of readiness If
equipment is returned from the field needing repair, maintenance, or
overhaul, it shall be accomplished expeditiously by the appropriate
Branch.
During the field study, the Project Coordinator or designee is
responsible for seeing that all chain-of-custody and quality control
procedures for sampling, flow monitoring, analyses, record keeping,
etc. are followed The field personnel are, however, expected to
-------
11-10
(10/79)
understand and follow the custody procedures relative to their assign-
ments. Following completion of the field activities and before
returning to NEIC, the Project Coordinator or designee shall account
for all field documentation—such as field logbooks, sample tags,
Chain-of-Custody records—and verify that it is complete.
The Project Coordinator is responsible and has the authority for
assuring that all field work is conducted safely, and that required
safety equipment is used. All participants are required to read and
adhere to the NEIC SAFETY MANUAL.
REPORT WRITING
The Project Coordinator, in cooperation with other personnel,
will develop an outline and determine the writing assignments for a
project report. The Coordinator is responsible for assembling the
report and circulating review copies which will be numbered and
stamped DRAFT REPORT FOR AGENCY REVIEW ONLY, DO NOT DUPLICATE. The
Coordinator shall make every attempt to ensure that all draft copies
are returned, and that all appropriate comments are incorporated.
These draft reports are disposed of upon completion of the final
report. In preparing reports, the quality of, and the ability to
substantiate and defend the contents, are foremost. The Project
Coordinator, NEIC management, and supervisory personnel are responsi-
ble for assuring that aj_l_ NEIC reports achieve this goal.
-------
11-11
(10/79)
SAMPLE CONTROL
A sample* is physical evidence collected from a facility or from
the environment. An essential part of all NEIC enforcement investi-
gations is that the evidence gathered be controlled. To accomplish
this, the following sample identification and Chain-of-Custody pro-
cedures have been established
SAMPLE IDENTIFICATION
The method of identification of a sample depends on the type of
measurement or analyses performed. When in-situ measurements are
made, the data are recorded directly in logbooks or Field Data Records
(FDRs), with identifying information (project code, station numbers,
station location, date, time, samplers), field observations and
remarks. Examples of in-situ measurements are pH, temperature,
conductivity, flow measurement, continuous air monitoring, and stack
gas analysis.
Samples, other than in-situ measurements, are identified by a
sample tag (page 11-12) or other appropriate identification (herein-
after referred to as a sample tag)
These samples are removed from the sample location and trans-
ported to a laboratory or other location for analysis. Before re-
moval, however, a sample is often separated into portions depending
upon the analyses to be performed Each portion is preserved in
* For purposes of this manual, the term 'sample' includes remote
sensing imagery.
-------
SAMPLE TAGS
11-12
(10/79)
Proj. Code
Station No.
Mo./Day/Yr.
Time
Designate:
Comp. Grab
Station Location
Samplers: (Signature)
rv
)—
OJ
4->
03
Oi *
cu
cr
CO
Of
3
~o
A3
=tfc
Remarks:
CD
CD
O
r+
O
CQ
<<
C
c+
<0
o
o
(-"t-
<<
CD
O
"5
CU
3
u.
O
l/>
~o
"S
_J.
o
_)
c+
"D
O
c
c+
QJ
3
r+
oo
O
-5
CO
SU
3
O
m
O
o
00
o
Qj
Gi-
rt)
o
o
a
CO CP
o o
-J o
Q.
CO
CO
00
00
r5
__j.
o
co
G)
on
fD
to
"O
•»~"
LO
QJ
10
S-
aj
>
a;
cc
ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF ENFORCEMENT
NATIONAL ENFORCEMENT INVESTIGATIONS CENTER
BUILDING 53, BOX 25227, DENVER FEDERAL CENTER
DENVER, COLORADO 80225
f/EPA
-------
11-13
(10/79)
accordance with applicable procedures and the sample container is
identified by a sample tag. The information recorded on the sample
tag includes:
Project Code
Station Number
Date
Time
Station Location -
Samplers
Tag Number
Remarks
A three-digit number assigned by NEIC
A two-digit number assigned by the Project
Coordinator and listed in the project plan
A six-digit number indicating the year,
month, and day of collection.
A four-digit number indicating the military
time of collection - for example: 0954
The sampling station description as specified
in the project plan
Each sampler is identified.
A unique serial number is stamped on each tag
The samplers record pertinent observations.
The tag used for water samples (also soil, sediment and biotic
samples) contains an appropriate place for designating the sample as
a grab or a composite, and identifying the type of sample collected
for analyses. The tag used for air samples requires the sampler to
designate the sequence number and identify the sample type. The
Project Coordinator will detail procedures for completing tags used
for soil, sediment and biotic samples. The sample tags are attached
to or folded around each sample.
After collection, separation, identification, and preservation,
the sample is maintained under Chain-of-Custody procedures discussed
below. If the composite or grab sample is to be split, it is aliquo-
ted into similar sample containers Identical sample tags are com-
pleted and attached to each split and marked " Split" The
tag identifies the split sample for the appropriate government agency,
-------
11-14
(10/79)
facility, laboratory, or company. In a similar fashion, all tags on
blank or duplicate samples will be marked "Blank" or "Duplicate" re-
specti vely.
CHAIN-OF-CUSTODY PROCEDURES (March 29, 1978)
Due to the evidentiary nature of samples collected during en-
forcement investigations, possession must be traceable from the time
the samples are collected until they are introduced as evidence in
legal proceedings. To maintain and document sample possession,
chain-of-custody procedures are followed.
Sample Custody
A sample is under custody if:
1.
It is in your possession, or
2.
It is in your view, after being in
your possession, or
3.
It was in your possession and then
you locked it up to
prevent tampering, or
4.
It is in a designated secure area.
Field Custody Procedures
1. In collecting samples for evidence, collect only that
number which provides a good representation of the media
being sampled. To the extent possible, the quantity and
types of samples and sample locations are determined prior
to the actual field work. As few people as possible should
handle samples.
-------
11-15
(10/79)
2. The field sampler is personally responsible for the care
and custody of the samples collected until they are trans-
ferred or dispatched properly.
3. Sample tags shall be completed for each sample, using
waterproof ink unless prohibited by weather conditions. For
example a logbook notation would explain that a pencil was
used to fill out the sample tag because a ballpoint pen
would not function in freezing weather.
4. The Project Coordinator determines whether proper custody
procedures were followed, during the field work and decides
if additional samples are required.
Transfer of Custody and Shipment
1. Samples are accompanied by a Chain-of-Custody Record (see
pages 11-16 and 11-17). When transferring the possession of
samples, the individuals relinquishing and receiving will
sign, date, and note the time on the Record. This Record
documents sample custody transfer from the sampler, often
through another person, to the analyst in a mobile labora-
tory, or at the NEIC laboratory in Denver.
2. Samples will be packaged* properly for shipment and dis-
patched to the appropriate NEIC laboratory** for analysis,
with a separate custody record accompanying each shipment
(e.g., one for each field laboratory, one for samples
* See Appendix B
** See Appendix C for Safety Precautions When Accepting Samples
From Outside Sources.
-------
[Or TA DTE _ JN
Office of Enforcement
CHAIN OF CUSTODY RECORD
N, _ IAI JRC_ JT I1... TIG
Building 53. Box 25227, Denver Federal Center
Denver, Colorado 80225
, JR
Proj No
SAMPLERS (Signature)
STA NO DATE
TIME
STATION LOCATION
analysis
PI OUPIO
s_
+->
Z3
OO
to
c
o
r>
(/)
" J—
o
(J
c
c
•1—
>>
OJ
>>
CO
o
o
S-
4->
o
rO
cu
Q_
o
CO
¦ i—
o
,
a>
"O
•r—
o
O)
CD
u
4-3
i—
•r—
C
r—
"O
• r—
r-
O
OJ
S-
(—
cC
c
s-
+->
•r—
c>
aj
c
rO
o
fO
+->
CO
rO
p—
CTi
• r—
t—
to
+->
O
>)
r~
S-
S-
o
»
O-
i. _
CO
t I
CO
_ cr
CC uj
u> 2
ca ii_ -
SO<
i I
o
! -1
I ¦ i
Remarks
o
=n
o
cz
LO
—I
o
o
-<
TO
m
o
o
~o
o
2*
—I
m
Relinquished by (Signature)
Date/
'Time
Received by (Signature)
Relinquished by (Signature)
Date/
'Time
Received
(Signaturel
Relinquished by
Signature)
Date/
'Time
Received by
(Signature)
Relinquished by
(Signature)
¦ Date/
'Time
Received
(Signature)
—-J I—1
o 1
^ r
Relinquished by (Signature)
Date/
'Time
Received for Laboratory by
.(Signature)
Date/Time
—•
Remarks ^ cn
Distribution Original Accompanies Shipment Copy to Coordinator Field Files
-------
_ ....lOI JTA^ . ..OTLw. .JN
Office of Enforcement
.^AC\
CHAIN OF CUSTODY RECORD
_ JAL _ JRC_ _ IT II __ TIG . JS ( _ .ER
Building 53, Box 25227, Denver Federal Center
Denver, Colorado 80225
Pro) No Project Name
SAMPLERS (Signature)
sta no date
TIME
SEO NO
STATION LOCATION
SAMPLE TYPE
„<¦
rV
.&
o°
0>
r>>
G*
>
• V
¦0
&
^vv°
,o^ V9- v
cn
rr-
cc uj
Q ii —
l°l
z o
u
Remarks
o
~3>
1
0
-n
1
o
c=
GO
—I
o
O
-<
TO
P*1
O
O
TO
O
>
HH
TO
Relinquished by (Signature)
Date/Time
Received by (Signature)
Relinquished by (Signature)
Date/T ime
Received
(Signature)
Relinquished by
(Signature)
Date/Time
Received by
(Signature)
Relinquished by
(Signature) I
Date/T ime
Received
<;
Remarks
—1
-------
11-18
(10/79)
driven to Denver) Shipping containers will be padlocked
for shipment to the Denver laboratory. The method of ship-
ment, courier name(s) and other pertinent information is
entered in the "Remarks" box.
3. Whenever samples are split with a source or government
agency, a separate Chain-of-Custody Record is prepared for
those samples and marked to indicate with whom the samples
are being split. The person relinquishing the samples to
the facility or agency should request the signature of a
representative of the appropriate party, acknowledging
receipt of the samples. If a representative is unavailable
or refuses to sign, this is noted in the "received by" space.
When appropriate, as in the case where the representative
is unavailable, the custody record should contain a statement
that the samples were delivered to the designated location
at the designated time.
4. All shipments will be accompanied by the Chain-of-Custody
Record identifying its contents. The original Record will
accompany the shipment, and a copy will be retained by the
Project Coordinator.
5. If sent by mail, the package will be registered with return
receipt requested. If sent by common carrier, petty cash
will be used for expenditures of less than $100, otherwise
a Government Bill of Lading will be used. Air freight
shipments are sent collect Freight bills, post office
receipts and Bills of Lading will be retained as part of
the permanent documentation.
-------
11-19
(10/80)
Laboratory Custody Procedures
1. A designated sample custodian accepts custody of the
shipped samples and verifies that the information on the
sample tags matches that on the Chain-of-Custody Records.
Pertinent information as to shipment, pickup, courier,
etc., is entered in the "Remarks" box. The custodian then
enters the sample tag data into a bound logbook which is
arranged by project code and station number.
The laboratory custodian will assign a unique laboratory
number to each sample tag.
2. The custodian distributes samples to the appropriate ana-
lysts. The names of individuals who receive samples are
recorded in internal Branch records. Laboratory personnel
are responsible for the care and custody of samples from
the time they are received until they are exhausted or
returned to the custodian. Samples received after normal
working hours may be analyzed immediately or stored as
appropriate.
3. When sample analysis and necessary quality assurance checks
have been completed in the field laboratory, the unused portion
of the sample must be disposed of properly. All identifying
tags, data sheets, and laboratory records shall be retained as
part of the permanent documentation. Samples forwarded to the
Denver laboratory for analysis will be retained after analyses
and quality assurance checks are completed, and until investiga-
tive documents are requested by the Evidence Audit Unit for
the evidentiary file; at that time all identifying tags will be
removed and retained as part of the permanent documentation.
Sample containers and remaining sample material should be
appropriately disposed of.
-------
11-20
(10/80)
4. To avoid potential contamination, tags from samples received
by the Regulated Laboratory are not to be permanent documents
and will not be incorporated into the evidentiary file. The
Regulated Laboratory will verify that the information on
arriving sample tags is accurately recorded on the appropriate
Chain-of-Custody Records and notify EAU of any discrepancies.
The Sample Tag number is entered on the Chain-of-Custody Record
in the comments column. Regulated laboratory personnel initial
the entry after verifying sample tag data or resolving a dis-
crepancy.
5. The Regulated Laboratory will submit a memorandum to EAU when
the project documents are assembled. The memorandum, to be re-
tained in the evidentiary file, certifies that the sample tags
have been appropriately disposed of together with the sample
containers and any remaining portions.
-------
11-21
(10/79)
DOCUMENT CONTROL
The goal of the NEIC Document Control Program is to assure that
all project documents issued to or generated by NEIC personnel will
be accountable when the project is completed. This program includes
a serialized document number system, a document inventory procedure,
and an evidentiary filing system, all operated and controlled by the
Evidence Audit Unit (EAU).
Accountable documents used or generated by NEIC employees in-
clude logbooks, field data records, correspondence, sample tags,
graphs, Chain-of-Custody records, bench sheets and photograhic
prints (see page 11-29 for a more complete list). Each document
bears a serialized number and is listed, with the number, in a
project document inventory assembled by each Branch at the proj-
ect's completion. Unused accountable documents may be disposed of
after they are returned to the EAU. Unless prohibited by weather,
waterproof ink is used in recording all data on serialized account-
able documents.
SERIALIZED DOCUMENTS
The Evidence Audit Unit (EAU) is responsible for assigning the
necessary serialized NEIC documents to project personnel for field
activities Once a Project Coordinator is appointed, all field log-
books, field data records, sample tags and Chain-of-Custody records
are assigned to this person. The Coordinator is responsible for en-
suring that a sufficient supply of documents is obtained for an in-
vestigation and that these documents are properly distributed to the
appropriate personnel. The EAU provides the Project Coordinator with
a list of the serialized project documents that were issued to personnel
for that project.
-------
11-22
(10/79)
PROJECT LOGBOOKS
The logbook of the Project Coordinator will document the transfer
of logbooks to the individuals who have been designated to perform
specific tasks on the survey All pertinent information should be
recorded in these logbooks from the time each individual is assigned
to the project until the project is completed.
Logbook entries should be dated, legible and contain accurate
and inclusive documentation of an individual's project activities.
Because the logbook forms the basis for the later written reports, it
must contain only facts and observations. Language should be objec-
tive, factual and free of personal feelings or other terminology
which might prove inappropriate. Entries made by individuals other
than the person to whom the logbook was assigned are dated and signed
by the individual making the entry.
Field analysts who conduct their assigned project analyses in a
mobile laboratory are assigned a logbook by the appropriate Branch.
In addition to information documenting the analysis performed, field
analysts document in their logbooks or on bench sheets the date and
results of any calibration of mobile laboratory equipment. A record
is also kept of any incidents related to the survey; for example, the
electricity going off in the laboratory, tampering with government
vehicles or equipment, etc. Appropriate notations of visitors to the
mobile laboratory, such as facility personnel, are entered in the
logbook.
All project logbooks are the property of NEIC and are to be re-
turned to the Project Coordinator when a survey assignment has been
concluded
-------
11-23
(10/79)
FIELD DATA RECORDS
Where appropriate, serialized Field Data Records (in the form of
individual sheets or bound logbooks) are maintained for each survey
sampling station or location and the project code and station number
are usually recorded on each page. The Project Coordinator also num-
bers the FDR covers with the appropriate project code and station
number. All in-situ measurements and field observations are recorded
in the FDR's with all pertinent information necessary to explain and
reconstruct sampling operations. Each page of a Field Data Record is
dated and signed by all individuals making entries on that page. The
Coordinator and the field team on duty are responsible for ensuring
that FDR's are present during all monitoring activities and are stored
safely to avoid possible tampering. Any lost, damaged or voided FDR's
are reported to the Project Coordinator.
SAMPLE IDENTIFICATION DOCUMENTS
All necessary serialized sample tags are distributed to field
personnel by the Project Coordinator (or designated project parti-
cipant) and the serial numbers are recorded in the Project Coordi-
nator's logbook. Individuals are accountable for each tag assigned
to them A tag is considered in their possession until it has been
filled out, attached to a sample, and transferred to another indivi-
dual with the corresponding Chain-of-Custody Record. At no time are
any sample tags to be discarded and if any tags are lost, voided, or
damaged, this is noted in the appropriate FDR or logbook immediately
upon discovery and the Project Coordinator is notified At the
completion of the field investigation activities, all unused sample
tags are returned to the designated individual who checks them against
the list of assigned tag serial numbers Tags attached to those
samples split with the source or another government agency are accounted
for.
-------
11-24
(10/79)
CHAIN-OF-CUSTODY RECORDS
Serialized Chain-of-Custody Records are assigned and accounted
for in a manner similar to that used for sample tags When samples
are transferred to mobile laboratory personnel, the analyst, after
signing, retains the white (original) custody record and files it in
a safe place The courier returns a copy of the custody record to
the Project Coordinator. A similar procedure is followed when dispatch-
ing samples via common carrier, mail, etc., except that the original
accompanies the shipment and is signed and retained by the receiving
laboratory sample custodian.
When samples are split with the source or another government
agency, this is noted on a separate Custody Record (see page 11-15).
The tag serial numbers from all splits are recorded on the Custody
Record A copy of the the custody record will be provided to the
source or agency upon request; and the white originals are returned
to the Project Coordinator.
OTHER CONTROLLED DOCUMENTS
The logbooks and data sheets that are used for various purposes
such as chemical, bacteriological, and biological analyses, equipment
calibration, etc., within the NEIC laboratories are not distributed
by the EAU. These documents are accountable by the procedures dis-
cussed in the following paragraphs.
Bench sheets and other similar documents will be serialized
Each document will show the project number, dates, name(s) of ana-
lyses) and other pertinent information. Instrument printouts and
other separate documents except laboratory logbooks will be labeled
in a similar manner. These documents will be sent to the Evidentiary
File when requested.
-------
11-25
(10/79)
All laboratory observations and calculations not recorded on
serialized bench sheets, instrument graph printouts, etc., are entered
in serialized logbooks assigned by a Branch custodian or other desig-
nated individual. Each numbered page of the logbook* actually consists
of two pages - an original and a copy. The original copy is perfor-
ated so that it can be removed from the logbook when project files
are compiled for the Evidentiary File. When this type of logbook is
unavailable, duplicates of individual pages will be identified.
The logbook needs to contain information sufficient to recall
and describe succinctly each step of the analysis performed because
it may be necessary for the analyst to testify in subsequent enforce-
ment proceedings. Moreover, sufficient detail is necessary to enable
others to reconstruct the procedures followed should the original
analyst be unavailable for testimony. Any irregularities observed
during the testing process need to be noted. If, in the technical
judgment of the analyst, it is necessary to deviate from a particular
analytical method, the deviation shall be justified and properly
documented
The serialized logbook assigned to an individual can be used for
more than one project. However, only one project is discussed on
each page. That page is labeled with the project code, dated, and
signed by the individual. The custodian closes out each completed
laboratory logbook and may retain it or return it to the analyst for
reference puposes.
Where applicable, the Branch file custodian issues a serialized
instrument logbook in which all information relating to calibration
and maintenance of a particular laboratory instrument is recorded
* The original page reguires no carbon paper. The logbook is
referred to as an NCR logbook.
-------
11-26
(10/79)
PHOTOGRAPHS
When movies, slides or photographs are taken which visually show
the effluent or emission source and/or any monitoring locations, they
are numbered to correspond to logbook entries The name of the
photographer, date, time, site location, and site description are
entered sequentially in the logbook as photos are taken. Chain-of-
Custody procedures depend upon the type of film and the processing it
requires. Once developed, the slides or photographic prints shall be
serially numbered corresponding to the logbook descriptions and may
be labeled
CORRECTIONS TO DOCUMENTATION
As previously noted, unless prohibited by weather conditions,
all orgimal data recorded in logbooks, FDR's, sample tags, custody
records and other data sheet entries are written with waterproof ink.
None of the accountable serialized documents listed above are to be
destroyed or thrown away even if they are illegible or contain inaccur-
acies which required a replacement document.
If an error is made on an accountable document assigned to one
individual, that individual may make contemporaneous corrections
simply by crossing a line through the error and entering the correct
information. Any subsequent error discovered on an accountable
document should be corrected by the person who made the entry. All
subsequent corrections must be initialed and dated.
If a sample tag is lost in shipment, or a tag was never prepared
for a sample(s), or a properly tagged sample was not transferred with
a formal NEIC Chain-of-Custody Record, the following procedure applies
A written statement is prepared detailing how the sample was collected,
air-dispatched or hand-transferred to the field or NEIC laboratory.
-------
11-27
(10/79)
The statement should include all pertinent information, such as
entries in field logbooks regarding the sample, whether the sample
was in the sample collector's physical possession or in a locked
compartment until hand-transferred to the laboratory, etc. Copies of
the statement are distributed to the Project Coordinator, and the
appropriate Branch project files.
CONSISTENCY OF DOCUMENTATION
Before release of a final project report, the Chemistry and/or
Biology Branches assemble and cross-check information on correspond-
ing sample tags, custody records, bench sheets, analyst logbooks and
sample entry logbooks to ensure that data pertaining to each partic-
ular sample is consistent throughout the record. The Project Coordi-
nator concurrently performs a cross-check of evidentiary data in his
possession (FDR's, logbooks, custody records, etc.) to ensure that
information recorded corresponds with that of the NEIC laboratories
and is consistent throughout the project record. A statement that
all project evidentiary data has been accounted for accompanies the
transfer of the assembled branch file to the EAU.
The EAU is responsible for correlating accountable documents for
a project when there has been a change in the project number
DOCUMENT NUMBERING SYSTEM AND INVENTORY PROCEDURE
To provide document accountability to the appropriate individuals,
each of the document categories discussed above features a unique
serialized number for each item within the category. Logbooks,
FDR's, sample tags and custody records are serially numbered by the
EAU before assignment to project personnel The logbooks and FDR's
are usually given a five-digit number, with the project code as the
-------
11-28
(10/79)
first three digits followed by a two-digit document number. Sample
tags and custody records are labeled with a four digit document
number and the project code. All Branch documentation not covered by
the above (logbooks, data sheets, graphs, etc.) are uniquely and
serially numbered using the project code as part of the number
All other documents (such as recorder graph paper, data calcula-
tion sheets, memorandum, correspondence, photos, etc.) which are
generated during a project are sequentially numbered with the project
code, the Branch initials and a serialized number (e.g., 707-CB-01),
usually at the time the Branch file is assembled.
BRANCH FILES
After a Branch has completed its work for a particular investi-
gation, all documents generated from that project should be assembled
in the Branch file. Individuals may retain clean (no handwritten
comments) copies of documents for their personal files but only after
personally verifying that the original or similar copy is in the
Branch file The Chief of each Branch in Technical Programs is
responsible for assuring the collection, assembly, and inventory of
all documents relative to a particular project at the time the proj-
ect objectives are completed The file then becomes accountable. Any
records leaving the file must be signed out.
EVIDENTIARY FILE
When the NEIC has completed the project objectives, all inven-
toried Branch file documents are reviewed and submitted to the Evi-
dence Audit Unit by each Branch Chief. By this time each document
will have been labeled with a unique serialized number as specified
above. The format of the Evidentiary File is to arrange each project
by Branch documents and includes the following document classes:
-------
11-29
(10/79)
A. Project Plan
B. Project Logbooks
C. Field Data Records
D. Sample Identification Documents
E. Chain-of-Custody Records
F. Analytical Logbooks, Lab Data, Calculations, Bench Cards,
Graphs, etc.
G. Correspondence
1. Intra-office
2 EPA
3. Industry
4 Record of Confidential Material
H. Report Notes, Calculations, etc.
I. References, Literature
J. Sample (on-hand) Inventory
K. Check-out Logs
L. Litigation Documents
M. Miscellaneous - photos, maps, drawings, etc.
N. Final Report
Once deposited in the Evidentiary File, documents may only be
checked out through the EAU or designated representative.
REPORTS
All draft reports are dated and numbered and are accountable
They are stamped in red DRAFT REPORT FOR AGENCY REVIEW ONLY, DO NOT
DUPLICATE on the cover page The author is responsible for dissemi-
nating draft reports for internal NEIC review, and preparing the ap-
propriate transmittal memorandum to the requestor. All draft copies
of the report are to be returned to the author. Once comments have
been incorporated and the final report has been prepared, all draft
copies are disposed of However, Regional Offices may retain a copy
of the draft report with their comments until they receive the final
report at which time the draft will be returned to the NEIC for disposal
-------
11-30
(10/79)
LITIGATION DOCUMENTS
Any court documents, litigation reports, letters, memorandum,
etc from the Chief, Enforcement Specialist Office, EPA Regional
Office(s), State Pollution Control Offices, etc., which discuss legal
matters or strategies, should be placed in a separate file folder
(see Evidentiary File format) which is reviewed by the Enforcement
Specialist Office at the appropriate time.
CONFIDENTIAL INFORMATION
Any information received by NEIC with a request of confidential-
ity is handled as "confidential." A separate, locked file is main-
tained in the Evidentiary File room for the segregation and storage
of all confidential and trade-secret information. Upon receipt by
NEIC, this information is directed to and recorded in the Confidential
Inventory Log by the EAU. The information is then made available to
NEIC personnel, but only after it has been logged out. The informa-
tion should be returned to the locked file at the conclusion of each
working day unless the employee can guarantee its security Confiden-
tial information may not be reproduced except upon approval by and
under the supervision of the EAU Any reproduction should be kept to
an absolute minimum. The EAU will enter all copies into the document
control system and apply the same requirements as for the original.
In addition, this information may not be entered into any computer or
data handling system Confidential documents may not be destroyed
except upon approval by and under the supervision of the Chief,
Enforcement Specialist Office. The Project Coordinator will be
notified prior to destruction of confidential information. The EAU
shall remove and retain the cover page of any confidential information
disposed of for one year and shall keep a record of the destruction
in the Confidential Inventory Log.
-------
11-31
(10/79)
QUALITY ASSURANCE MANAGEMENT
Quality assurance (QA) procedures are followed at NEIC to assure
that high quality data are produced. Documented, official EPA and/or
state-of-the-art measurement methods are used with integral quality
control (QC) procedures to detect and minimize errors.
The quality of project conclusions and recommendations depends
on the quality of the sampling network design, sample collection
techniques, field and laboratory measurement methods, and data reduc-
tion techniques. Therefore, so far as practical, QC methods are used
to verify individual measurement operations during each portion of a
project.
ORGANIZATIONAL RESPONSIBILITY
The Quality Assurance Coordinator for the Center is responsible
for assisting each Branch Chief in developing quality control procedures
for his Branch. Each Branch that performs measurements is responsible
for developing and documenting QC procedures, where appropriate, for
the measurement operations it performs.
MEASUREMENT METHODS
When available, EPA-approved methodology is used. Where approved
methods do not exist, such as for monitoring toxic organic compounds,
each Branch will develop the methodology required to meet the study
objectives Any measurement method unique or new to NEIC is documented
-------
11-32
(10/79)
to show satisfactory performance before it is used routinely. Recom-
mended documentation for new methodology includes a method description
with integral quality control procedures and, if possible, data to
show the precision, accuracy, and detection limit of the method.
When appropriate the format of methods documentation should address
the following.
Summary and limitations of the method
List of supplies, equipment, and instrumentation required
Calibration and maintenance procedures and schedules, in-
cluding the source and quality of standards
Detailed operating procedures for each step in the method;
an instrument or standard reference manual is referenced only
if the procedure being used is exactly described
Integral quality control procedures to verify that the meas-
urement is being performed properly and to measure the
precision, accuracy, and detection limit of the method
Method-specific forms to record all sample and quality
control data
To assure that significant new methodology is consistent with
the state-of-the-art, new methods are sent for review to the appro-
priate EPA laboratory, peer group or scientific journal.
TRAINING
Staff members are trained before being allowed to independently
perform a measurement during a survey. The Branch Chiefs are respon-
sible for assuring that this training is provided formally or on-the-job
-------
11-33
(10/79)
DATA REVIEW
The primary responsibility for the proper performance of a mea-
surement including QC checks lies with the employee making the measure-
ment. The employee evaluates the QC results as soon as possible
after the measurement is performed. When QC results are determined
to be outside accepted limits, the measurement process is stopped,
problems are corrected and documented and then the measurement is
conti nued.
INDEPENDENT AUDIT
The NEIC participates in all appropriate EPA interfaci1ity air,
water, and radiation performance evaluation studies. The NEIC QA
Coordinator, or his designee, initiates round-robin or other inter-
laboratory audit procedures to assure the quality of specific measure-
ment techniques, as required.
DEFINITIONS
Quality Control (QC) - The documentation and evaluation of methods,
personnel training, and routine performance
checks integral to each measurement process
which is used to verify proper performance.
Examples of the routine checks are instrument
maintenance and calibration, flowrate and
leak measurement checks, and blank, duplicate,
and spiked sample determinations. The
resulting data are evaluated immediately and
problems are corrected by the individual
performing the checks.
-------
11-34
(10/79)
Quality Assurance (QA) - The sum of independent audits performed to
verify that the quality control system is
effective and adequate to assure high
quality data. Quality assurance audits are
generally performed by a person or technique
outside of the normal operation. Examples
are audits using reference flow measuring
devices and laboratory reference standards.
Accuracy - The degree of agreement between a measured
value and the true value. It is difficult
to determine the accuracy of a measurement
on an environmental sample because the
true value is unknown. Therefore, the
accuracy of an individual measurement pro-
cedure is usually determined by analyzing
a standard reference material or device,
or by spiking a sample with a known quantity
of material and re analyzing.
Precision - The degree of agreement between repeated
measurements of one property using the
same method or technique.
Detection Limit - The limit at which one can distinguish between
inherent randomness or instrument "noise" in
the measurement and a real value. Operation-
ally defined as the analyte concentration
equivalent to three times the standard devia-
tion of background readings.
-------
APPENDICES
A WITNESS GUIDELINES
B PROCEDURES FOR AIR SHIPMENT
OF ENVIRONMENTAL LABORATORY
SAMPLES
C SAFETY PRECAUTIONS WHEN ACCEPTING
SAMPLES FROM OUTSIDE SOURCES
-------
APPENDIX A
WITNESS GUIDELINES
The following suggestions are made for prospective witnesses in
order to lessen the fears and apprehensions which almost everyone has
when first testifying before a board, commission, hearing officer, or
in court. Even those who have testified previously encounter a
certain anxiety when called for a repeat performance. When a witness
is properly prepared, both with regard to the subject matter of
testimony and conduct on the witness stand, there should be little
fear about testifying.
It is of utmost importance that the witness be thoroughly prepared
as to the subject matter of his testimony. Only the witness can
recall what occurred in the field and/or laboratory and why. Since
many cases are tried substantially after field and laboratory activities
are conducted, it is imperative that adequate documentation be originally
prepared in order that a witness1 memory may be refreshed. A thorough
and detailed review of all survey documents is the only way prospective
witnesses can be adequately prepared.
In order to assist witnesses on how they should conduct themselves
the following suggestions are given
The witness will be required to take an oath to tell nothing but
the truth. The important point is to remember that there are two
ways to tell the truth—one is a halting, stumbling, hesitant manner,
which makes the board member, hearing officer, judge or jury doubt
that the witness is telling all the facts in a truthful way, and the
other way is in a confident, straightforward manner, which inspires faith
in what is being said. It is most important that the witness testify
-------
A-2
(10-79)
in the latter manner. To assist a witness in testifying in such a
manner, a list of time-proven hints and aids are provided below.
GENERAL INSTRUCTIONS FOR A WITNESS
If you are to be a witness in a case involving testimony concern-
ing the appearance of an object, place, condition, etc., try to refresh
your recollection by again inspecting the object, place, condition,
field notes and records, etc., before the hearing or trial. While
making such inspection, close your eyes and try to picture the item
and recall, if you can, the important points of your testimony. Repeat
the test until you have thoroughly familiarized yourself with the fea-
tures of your testimony that will be given.
Before you testify, visit a court trial or board hearing and
listen to other witnesses testifying. This will make you familiar
with such surroundings and help you to understand some of the things
you will come up against when you testify. At least be present at the
hearing of the matter in which you are to testify in sufficient time
to hear other witnesses testify before you take the witness chair.
This, however, may not always be possible since, on occasion, witnesses
are excluded from the court room.
A good witness listens to the question and then answers calmly
and directly in a sincere manner. The facts should be well known so
they can be communicated Testimony in this manner applies to cross-
examination as well as direct examination.
Wear neat, clean clothes when you are to testify. Dress conserva-
tively.
-------
A-3
(10-79)
Do not chew gum while testifying or taking an oath. Speak clearly
and do not mumble. You will not be permitted to smoke while testifying.
DIRECT EXAMINATION
In a discussion on administrative procedures, E. Barrett Prettyman,
Retired Chief Judge, U.S. Court of Appeals for the District of Columbia,
gave the following advice:
The best form of oral testimony is a series
of short, accurate, and complete statements
of fact. Again, it is to be emphasized that
the testimony will be read by the finder of
the facts, and that he will draw his find-
ings from what he reads . . . Confused, dis-
cursive, incomplete statements of fact do
not yield satisfactory findings.
Stand upright when taking the oath. Pay attention and say "I do"
clearly. Do not slouch in the witness chair.
Do not memorize what you are going to say as a witness. If you
have prepared answers to possible questions, by all means do not mem-
orize such answers. It is, however, very important that you familiarize
yourself as much as possible with the facts about which you will be
called upon to testify.
During your direct examination, you may elaborate and respond
more fully than is advisable on cross-examination. However, when
you volunteer information, do not ramble and do not stray from the
main point raised in your lawyer's question. The taking of testimony
is a dialogue, not a monologue. If your testimony concerns a spe-
cialized technical area, the Court or hearing board will find it easier
to understand if it is presented in the form of short answers to a
-------
logical progression of questions. In addition, by letting your lawyer
control the direction of your testimony, you will avoid making remarks
which are legally objectionable or tactically unwise.
Be serious at all times. Avoid laughing and talking about the
case in the halls, restrooms or any place in the building where the
hearing or trial is being held.
While testifying, talk to the judge, hearing officer or jury.
Look at him or them most of the time, and speak frankly and openly
as you would to any friend or neighbor. Do not cover your mouth with
your hand. Speak clearly and loudly enough so that anyone in the
hearing room or courtroom can hear you easily. At all times make cer-
tain that the reporter taking the verbatim record of your testimony
is able to hear you and record what you actually say. The case will
be decided entirely on the words that are finally reported as having
been the testimony given at the hearing or trial. Always make sure
that you give a complete statement in a complete sentence. Half
statements or incomplete sentences may convey your thought in the con-
text of the hearing, but may be unintelligible when read from the cold
record many months later.
CROSS EXAMINATION
Concerning cross-examination, Judge Prettyman gives the following
advice to prospective witnesses-
Don't argue. Don't fence. Don't guess. Don't
make wisecracks. Don't take sides. Don't get
irritated Think first, then speak. If you do
not know the answer but have an opinion or be-
lief on the subject based on information, say
exactly that and let the hearing officer decide
whether you shall or shall not give such infor-
mation as you have. If a 'yes or no' answer to
a question is demanded but you think that a
-------
A-5
(10-79)
qualification should be made to any such answer,
give the 'yes or no1 and at once request per-
mission to explain your answer. Don't worry
about the effect an answer may have. Don't worry
about being bulldozed or embarrassed; counsel
will protect you. If you know the answer to a
question, state it as precisely and succinctly
as you can. The best protection against exten-
sive cross-examination is to be brief, absolutely
accurate, and entirely calm.
The hearing officer, board member or jury wants only the facts,
not hearsay, conclusions, or opinions. You usually will not be allowed
to testify about what someone else has told you.
Always be polite, even to the attorney for the opposing party.
Do not be a smart aleck or cocky witness. This will lose you the
respect and objectivity of the trier of the facts in the case.
Do not exaggerate or embroider your testimony.
Stop instantly when the judge, hearing officer or board member
interrupts, or when the other attorney objects to what you say. Do
not try to sneak your answer in.
Do not nod your head for a "yes" or "no" answer. Speak out clearly.
The reporter must hear an answer to record it.
If the question is about distances or time and your answer is only
an estimate, be certain that you say it is only an estimate.
Listen carefully to the question asked of you. No matter how nice
the other attorney may seem on cross-examination, he may be trying to
-------
hurt you as a witness. Understand the question. Have it repeated if
necessary; then give a thoughtful, considered answer. Do not give a
snap answer without thinking. You cannot be rushed into answering,
although, of course, it would look bad to take so much time on each
question that the board member, hearing officer or jury would think
that you are making up the answers.
Answer the question that is asked--not the question that you
think the examiner (particularly the cross-examiner) intended to ask.
The printed record shows only the question asked, not what was in
the examiner's mind and a nonresponsive answer may be very detrimental
to your side's case. This situation exists when the witness thinks
"I know what he is after but he hasn't asked for it." Answer only
what is asked.
Explain your answers if necessary. This is better than a simple
"yes" or "no." Give an answer in your own words. If a question can-
not be answered truthfully with a "yes" or "no," you have a right to
explain the answer.
Answer directly and simply the question asked you and then stop.
Never volunteer information.
If by chance your answer was wrong, correct it immediately; if
your answer was not clear, clarify it immediately.
You are sworn to tell the truth. Tell it. Every material truth
should be readily admitted, even if not to the advantage of the party
for whom you are testifying. Do not stop to figure out whether your
answer will help or hurt your side Just answer the question to the
best of your abi1ity.
-------
A-7
(10-79)
Give positive, definite answers when at all possible. Avoid saying
"I think," "I believe," "in my opinion." If you do not know, say so.
Do not make up an answer. You can be positive about the important
things which you naturally would remember. If asked about little details
which a person naturally would not remember, it is best to say that you
do not remember.
Do not act nervous. Avoid mannerisms which will make it appear
that you are scared, or not telling the truth, or all that you know.
Above all, it is most important that you do not lose your temper.
Testifying at length is tiring. It causes fatigue. You will recognize
fatigue by certain symptoms: (a) tiredness, (b) crossness, (c) nervous-
ness, (d) anger, (e) careless answers, (f) willingness to say anything
or answer any question in order to leave the witness stand. When you
feel these symptoms, recognize them and strive to overcome fatigue.
Remember that some attorneys on cross-examination are trying to wear
you out so you will lose your temper and say things that are not correct,
or that will hurt you or your testimony. Do not let this happen.
If you do not want to answer a question, do not ask the judge,
hearing officer or board member whether you must answer it. If it is
an improper question, your attorney will object for you. Do not ask
the presiding officer, judge or board member for advice.
Do not look at your attorney or at the judge, hearing officer or
board member for help in answering a question. You are on your own.
If the question is an improper one, your attorney will object. If the
judge, hearing officer or board member then says to answer it, do so.
Do not hedge or argue with the opposing attorney.
-------
A-8
(10-79)
There are several questions which are known as "trick questions."
That is, if you answer them the way the opposing attorney hopes you
will, he can make your answer sound bad. Here are two of them:
"Have you talked to anybody about this matter?" If you say "no,"
the hearing officer or board member, or a seasoned jury, will know that
is not right because good lawyers always talk to the witnesses before
they testify. If you say "yes," the lawyer may try to imply that you
were told what to say. The best thing to say is that you have talked
to Mr. , your lawyer, to the appellant, etc., and that you
were just asked what the facts were. All we want you to do is simply
tell the truth.
"Are you getting paid to testify in this appeal?" The lawyer ask-
ing this hopes your answer will be "yes," thereby implying that you
are being paid to say what your side wants you to say. Your answer
should be something like "No, I am not getting paid to testify; I am
only getting compensation for my time off from work, and the expense
it is costing me to be here."
In addition to the above suggestions and guidelines, several addi-
tional references are available for further background.
Expert Witnesses and Environmental Litigation, J. L. Sullivan
and R. J. Roberts, Journal of the Air Pollution Control Assoc.,
April 1975, Vol. 25, No. 4.
Environmental Litigation and the In-House Engineer, F. Finn;
R. C. Heidrick; K. Thompson, Journal of the Air Pollution
Control Assoc., Feb. 1977, Vol. 27, No. 2.
Essentials of Cross-Examination, Leo R. Friedman, CEB 1968.
-------
APPENDIX B
PROCEDURES FOR AIR SHIPMENT OF
ENVIRONMENTAL LABORATORY SAMPLES
Many NEIC surveys require shipment of environmental samples by
air from field locations to NEIC-Denver laboratories to meet required
EPA holding times. Environmental samples collected during water surveys
are categorized as: drinking water, ambient water, effluent, biological
sediment, sludge, and other environmental laboratory samples. Unless
noted, the following NEIC procedures comply with Department of Transpor-
tation (DOT) regulations for packaging and shipping.
1. Unpreserved drinking water, ambient water, effluent, bio-
logical sediment and sludge samples.
Normal unpreserved environmental samples collected by EPA
employees are not regulated under DOT Hazardous Transporation
Regulations and may be shipped using NEIC packaging and
handling procedures for shipment of non-hazardous samples.
2. Preserved drinking water, ambient water, effluent, biolog-
ical sediment and sludge samples.
Table 1 lists the common preservatives and preservation
techniques used by EPA and listed in the Hazardous Material
Table, 49 CFR 4172.101 Samples preserved in the recommended
manner may be shipped using current NEIC packaging and hand-
ling procedures for shipment of non-hazardous samples.
-------
TABLE 1
Standard Preservatives Listed in the Hazardous Materials
Table (49 CFR £172 101) used by EPA for Preservation of Water,
Effluent, Biological Sediment and Sludge Samples
Preservative Sample Type/ pH Quantity of Weight % of Packaging (49 CFR) Specific
Parameter Recommendation Preservative Added Preservation Hazard Class Label Exceptions Requirements
HC1
HgC 12
hno3
h2so4
NaOH
h2po«
Freezing
0°C
Organic Carbon
Nitrogen Species
*Metals, Hardness
Nitrogen Species
COD, Oi1 & Grease
P (hydrolyzable)
Organic Carbon
Cyanides
Phenolics
Biological -
Fish & Shellfish
<2 (-1 9)
N A
<2(~1. 6)
<4
N A
2 ml of 1 1
40 mg
3 ml of 1 1
<2(-l 15) 2 ml of 36N
>12 (-12 3) 2 ml of ION
Sufficient to
yield desired pH
N A
0.04%
0 004%
0.15%
0.35%
0 080%
N. A
Corrosive
Material
Poison B
Oxidizer,
Corrosive
Material
Corrosive
Material
Corrosive
Material
Corrosive
Material
ORM-A
Corrosive
Poison
Oxidizer and
Corrosive, 0
& Poison,
Corrosive
Corrosive
Corrosive
Corrosive
None
173 244
173 364
None
173 244
173 244
173.244
None
173 263
173 372
173 268
173 272
173 248
173 245(b)
173 249
173.245
173 615
(Dry Ice) Tissue**
* If sample must be shipped by passenger aircraft or railcar, the sample may be initially preserved by icing and immediately shipping it to the
laboratory Upon receipt in the laboratory, the sample must be acidified with cone, HN03 to pH 2 At time of analysis, sample container should
be thoroughly rinsed with 1 1 HN03; washings should be added to sample
** Dry ice is classified as a ORM-A hazard by DOT There is no labeling requirements for samples preserved with dry ice, but samples must be
packaged in accordance with the requirements of 49 CFR 173 615 and advance arrangements must be made between the shipper and the air carrier.
0 co
1 i
no
to
-------
B-3
(10-79)
3. Reagents
Reagents which are designated as hazardous by DOT's Hazardous
Material Table, 49, CFR 4172.101, shall be shipped pursuant
to the appropriate DOT regulations. The shipper (NEIC) is
required to determine if an individually shipped reagent is
likely to be classified as a hazardous material when it is
not listed in the DOT Table. Nitric acid in any concentration
is forbidden on passenger-carrying aircraft or railcar.
For investigations where nitric acid must be used for metals
preservation, means other than transport by passenger-carrying
aircraft or railcar must be used to transport the acid to
the site of investigation.
4. Other Samples
Some environmental samples collected by EPA employees, such
as leachates, untreated process materials or samples from
spill investigations, may contain concentrations of contami-
nants in excess of those normally encountered in preserved
drinking water, ambient water, effluent, biological sediment
and sludge samples. If such samples are collected and shipped
by air, and the technical name of a sample contaminant ma-
terial is known, and if the contaminant material is desig-
nated in the Hazardous Materials Table, it must be shipped
pursuant to applicable DOT Hazardous Materials regulations.
If the technical name of the sample contaminant material is
not known, the DOT regulations place the burden on the shipper
to determine if the sample meets the definition of a hazardous
material. In the case of samples being forwarded to a labora-
tory for analysis, it is assumed that the shipper would
have some information concerning the sample,
-------
B-4
(10-79)
and based on that information, be able to make a reasonable
determination whether the sample is likely to be classified
a hazardous material. When a reasonable doubt exists as to
whether a sample is subject to DOT regulations, the shipper
should consult the Hazardous Materials Transportation Coordi-
nator as to the appropriate procedures to follow in the
shipment of the sample.
When a sample is not listed in DOT's Hazardous Materials
Table, 40 CFR 4172.101, it is necessary for a shipper to
make a reasonable determination whether the sample is likely
to be classified as a hazardous material. The following
classes of hazardous materials must be considered and they
are listed below in the order of greatest concern, 40 CFR
4173.3.
Radioactive material
Poison A
Flammable gas
Non-flammable gas
Flammable liquid
Oxidizer
Flammable solid
Corrosive material (liquid)
Poison B
Corrosive material (solid)
Irritating materials
Combustible liquid (in containers having capacities
exceeding 110 gallons)
0RM-B (other regulated material, i.e., barium oxide,
calcium oxide, copper chloride)
0RM-A (i e , dry ice, carbon tetrachloride, chloroform,
DDT, dieldrin, formaldehyde, lindane, malatlnon, naptha-
lene, vinyl acetate)
Combustible liquid (in containers having capacities of
110 gallons or less)
-------
B-5
(10-79)
The above hazards likely to be applicable to NEIC survey sam-
ples as defined by DOT regulations are as follows:
Poison A (49 CFR 173.326) - Poisonous gases or liquids of such
nature that a very small amount of gas, or vapor of the liquid
mixed with air is dangerous to life. This class include the
following:
Bromacetone
Cyanogen
Cyanogen chloride containing less than 0.9% water
Diphosgene
Ethyldichlorarsine
Hydrocyanic acid
Methyl dichlorats me
Nitrogen peroxide (tetroxide)
Phosgene (diphosgene)
Nitrogen tetroxide - nitric oxide
Mixtures containing up to 33.2% weight nitric oxide
Flammable liquid [49 CFR 173.115(a)] - "Any liquid having a
flash point* below 100°C (37.8°F) ... " Some of the flammable
liquids listed in DOT1s Hazardous Materials are acetone, alcohol
n o.s. (not otherwise specified), benzene, cyclopentane, hexane,
ink, methyl alcohol, methyl ethyl ketone, toluene, and xylene.
Oxidizer (49 CFR 173 151) - "A substance such as a chlorate,
permanganate, inorganic peroxide, nitro carbo nitrate, or a ni-
trate that yields oxygen readily to stimulate the combustion of
organic matter."
Corrosive materials (49 CFR 173.240) - "A liquid . that causes
visible destruction or irreversible alterations in human skin
*
Flash point means the minimum temperature at which a substance
gives off vapors which in contact with spark or flame will
ignite, 49 CFR 171.8.
-------
B-6
(10-79)
tissue at the site of contact, or in the case of leakage from
its packaging, . . that has a severe corrosion rate of steel."
Poison B (49 CFR 173.343) - "Those substances, liquid or solid
(including pastes and semisolids), other than Class A poisons
or Irritating Materials, which are known to be so toxic to man
as to afford a hazard to health during transporation; or which,
in the absence of adequate data on human toxicity, are presumed
to be toxic to man because they fall within any one of the follow-
ing categories when tested on laboratory animals:
Oral toxicity ....
Toxicity on inhalation ....
Toxicity by skin absorption ....
Examples taken from DOT's Hazardous Material Table include aldrin,
copper cyanide, mecuric acetate, nitroaniline, thiophosgene and
zinc arsenate. The foregoing categories shall not apply if the
"physical character!'sties or the probable hazards to humans as
shown by experience indicate that the substances wi11 not cause
serious sickness or death."
Irritating Material (49 CFR 173.381) - "A liquid or solid sub-
stance which upon contact with fire or when exposed to air gives
off dangerous or intensely irritating fumes, such as brombenzyl-
cyanide, chloracetophenone, diphenylaminechlorarsine, and diphenyl-
chlorarsine, but not including any poisonous material, Class A."
Combustible liquids [49 CFR 173 115(b)] - Any liquid that ...
has a flash point at or above 100°F (37.8°C) and below 200°F
(93.3°C) ... " Examples of combustible liquids include alcohol-
n.o s., benzaldehyde, camphor oil, chlordane-1lquid, creosote-
coal tar, fuel oil, pine oil, road oil, and wax-liquid
-------
B-7
(10-79)
Etiological agent (49 CFR 173.386) - a viable microorganism or
its toxin, which causes or may cause human disease. A "diagnos-
tic specimen" means any human or animal material including, but
not limited to, excreta, secreta, blood, and its components, tis-
sue, and tissue fluids being shipped for purposes of diagnosis.
The list of etiological agents in the Department of Health, Edu-
cation and Welfare (HEW) regulations, 42 CFR 72.25(c), includes
bacterial, fungal, and viral agents and would cover organisms
found in sewage, human and animal waste. Diagnostic specimens
of etiological agents are excepted from DOT hazardous materials
regulations but HEW requires an etiological agent label to be
affixed to all packages which contain etiological agents. How-
ever, so long as the shipper does not have reason to believe
that viable disease-causing organisms are present in a sample
based on the company's NPDES permit and DMR data, then the
sample will not be considered an etiological agent. Therefore,
the sample will not require an HEW etiological label and may be
shipped pursuant to NEIC packing and handling procedures for
shipment of non-hazardous samples.
The Clean Water Act (Section 311(b)(2)) requires the identification
of hazardous substances which present an imminent and substantial danger
to the public health and welfare. DOT has proposed that any substances
not previously listed in the Hazardous Material Table be classified as
ORM-E. The EPA Safety Manual for Hazardous Waste Site Investigations*
details procedures for transporting unknown hazardous waste materials
samples.
NEIC Packaging and Handling Procedures for Shipment of
Non-Hazardous Samples
The basic guidelines for NEIC packaging procedures meet DOT stan-
dard requirements for all packages as specified in 49 CFR 173.24, e.g :
* In DRAFT circulation at time of this printing.
-------
B-8
(10-79)
Each package . shall be so designed and constructed, and its
contents so limited, that under conditions normally incident to
transportation:
There will be no significant release of ... materials to
the environment.
the effectiveness of the packaging will not be substantially
reduced; and
there will be no mixture of gases or vapors in the package
which could, through any credible spontaneous increase of
heat or pressure, or through an explosion, significantly
reduce the effectiveness of the packaging
In addition, shipments by air must meet the requirements at 49 CFR
Section 173.6:
Each package ... shall be so designed and constructed, and its
contents so limited, that under conditions normally incident to
transportation,
There will be no significant release of . . materials to the
envi ronment.
Inner containers that are breakable (such as earthenware,
glass, or brittle plastic), must be packaged to prevent
breakage and leakage under conditions normally incident
to transportation. These completed packagings must be
capable of withstanding a 4-foot drop on solid concrete
in the position most likely to cause damage. Cushioning
and absorbent materials must not be capable of reacting
dangerously with the contents ....
-------
B-9
(10-79)
For any packaging with a capacity of 110 gallons or less
containing liquids, sufficient outage (ullage) must be provi-
ded to prevent liquid contents from completely filling the
packaging at 130°F. The primary packaging (which may include
composite packaging), for which retention of the liquid is
the basic function, must be capable of withstanding, without
leakage, an internal absolute pressure of no less than 26
lbs/sq inch or no less than the sum of the absolute vapor
pressure of the contents at 130°F (55°C) and,
Stoppers, corks, or other such friction-type closures must
be held securely, tightly, and effectively in place with
wire, tape, or other positive means. Each screw-type clo-
sure or any inside plastic packaging must be secured to
prevent the closure from loosening due to vibration or sub-
stantial changes in temperature.
Present NEIC custody procedures require samples to be placed in
locked metal picnic coolers with hard plastic liners. EPA analytical
methods recommend that samples be preserved with ice or below a temper-
ature of 4°C. These must be adhered to in addition to the following
packaging procedures based on the above DOT guidelines.
Samples in quart-size and smaller glass bottles should be en-
closed in styrofoam packaging and sealed with filament reinforced
tape In the case of the 1-gallon bottles used for non-preserved
organic samples, carved styrofoam sheets at the top and bottom will
be used to hold the bottle in place. A picnic cooler containing plastic
16-ounce bottles and ice was dropped three times from a distance of
four feet and did not experience any leakage nor damage to the inside
bottles This indicates that it affords the type of sturdy protection
which is the goal of 49 CFR 173 24 and 173.6. Therefore, 16 ounce
polyethylene bottles will be used for samples containing acid preserva-
tives and the bottles will not require additional styrofoam enclosures.
-------
B-10
(10-79)
The caps will be tightly screwed on before being placed in the cooler
Small volatile organics glass bottle samples will be placed inside
quart cubic containers to prevent breakage. Plastic containers and
quart-size glass bottles (enclosed in styrofoam containers) will be
put into large heavy-duty plastic bags inside the cooler, ice will be
placed around the samples and the bags will be tightly closed. The
cooler drainage hole must be secured to prevent leakage. All sides
of the cooler will have arrows which indicate the proper upward posi-
tion of the cooler and a "THIS SIDE UP" sticker will be placed on
top. Following these packaging procedures, will minimize to the great-
est degree presently possible, any harm which could occur from trans-
portation of NEIC environmental samples in commerce.
-------
APPENDIX C
SAFETY PRECAUTIONS
WHEN
ACCEPTING SAMPLES FROM OUTSIDE SOURCES
In order to minimize hazards to NEIC analytical personnel and to
prevent laboratory contamination, procedures for collection and
transportation of samples for analysis by the NEIC laboratory are as
follows:
1. NEIC will accept potentially dangerous samples only in
cases where there has been active participation in the
planning and execution of the sampling program by a des-
ignated NEIC staff member.* Such active participation must
include full sharing of knowledge relative to process,
previous analytical data, and other information relative to
the characteristics of the material to be sampled.
2. Samples from municipal sewage treatment plants or the
ambient environment will be accepted only after detailed
discussion and agreement between the Regional project
coodinator and the NEIC Chemistry Branch Chief or his
representative. This exchange of information must include
a positive sample identification scheme, full discussion of
known characteristics of the material sampled, and sample
preservation and shipment procedures. Except in emergency
situations such agreement will be confirmed in writing by
NEIC prior to sampling.
In an emergency precluding participation of NEIC personnel,
procedures can be worked out by a telcon
-------
C-2
(10-79)
3. Submission of unusual or non-routine kinds of samples,
i.e , bag samples of gaseous emissions, core samples from
landfills, etc., will be governed by procedures similar to
those in item 2 above. However, if there is a possibility
of toxic exposure, the procedures in item 1 will be followed.
------- |