NEIC
National Enforcement Investigations Center, Denver
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF ENFORCEMENT AND COMPLIANCE MONITORING
EPA-330/9-78-001-R&
NEIC POLICIES AND PROCEDURES
May 1978
[Revised May 1986]
NATIONAL ENFORCEMENT INVESTIGATIONS CENTER
Denver, Colorado
-------
FOREWORD
As part of the Environmental Protection Agency, the National Enforce-
ment Investigations Center provides the Office of Enforcement and Compliance
Monitoring with technical information and evidence in support of EPA legal
actions. This function makes the standard operating procedures described
in this manual important to every employee.
This manual discusses NEIC project phases, then presents policies and
procedures which employees are responsible for knowing and following. These
procedures assure that work performed by NEIC will be admissible during any
subsequent enforcement action. Substantially equivalent procedures or
activities that are not covered in this manual must be coordinated through
supervisory personnel and the Enforcement Specialist Office and, when appro-
priate, will be incorporated in future revisions of this manual or a speci-
fic program procedures manual. Witness Guidelines are appended to this
manual to assist employees called to testify as Government witnesses. By
adhering to the Center's policies and procedures, employees protect both
their professional integrity and that of the NEIC.
-------
UPDATE
FOR
NEIC POLICIES AND PROCEDURES
The NEIC Policies and Procedures Manual was issued
in May 1978 and revised in 1979, 1980, 1981, 1983
and 1984 and 1985. This 1986 revision replaces the
manual in its entirety.
-------
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
3.
Replace: Title Page and Contents Page with new pages
Pages 1-1 and I-11 with new pages 1-1 and 1-11
Pages II-l and 11-34 with new pages II-1 and 11-46
December 1981
4.
Replace: Title, Update, and Transmittal page and
pages 1-2, 1-7, 1-10, II-3, II-4, and 11-22 with the
corresponding new pages
February 1983
5.
Replace entire Manual
November 1984
6.
Replace entire Manual
1985
7.
Replace entire Manual
May 1986
-------
CONTENTS
I NEIC PROJECT PHASES 1-1
INTRODUCTION [-1
PROJECT REQUEST .... 1-2
BACKGROUND REVIEW 1-4
PROJECT PLAN 1-5
DOCUMENT TRANSMITTAL 1-8
PROJECT ACTIVITIES 1-10
REPORTS . 1-11
FOLLOWUP 1-14
II NEIC OPERATING POLICIES AND PROCEDURES II-l
EMPLOYEE CONDUCT AND RESPONSIBILITIES II-l
GENERAL REQUIREMENTS II-l
Conflicts of Interest and Gifts, Gratuities, etc II-l
Public Relations . 11-2
SPECIFIC REQUIREMENTS FOR INVESTIGATIONS II-2
Entry Into Facilities 11*2
Unreasonable Search and Seizure . II-4
Request for Information 11-6
Disclosure of Official Information 11-7
Investigations of Alleged Criminal Activity II-8
PROJECT COORDINATOR RESPONSIBILITIES AND AUTHORITY 11-10
PROJECT PLAN 11-10
ADMINISTRATIVE MATTERS . ... . . 11-11
Petty Cash and Procurement Requests ... .... ... 11-11
Timekeeping . 11-11
FIELD ACTIVITIES 11-12
REPORT WRITING 11-13
SAMPLE CONTROL 11-15
SAMPLE IDENTIFICATION 11-15
CHAIN-OF-CUSTOOY PROCEDURES 11-19
Sample Custody . . . 11-19
Field Custody Procedures .... .... ... .... 11-19
Transfer of Custody and Shipment 11-20
Laboratory Custody Procedures 11-28
DOCUMENT CONTROL ... .... ... ... 11-31
SERIALIZED DOCUMENTS 11-31
PROJECT LOGBOOKS 11-32
FIELD DATA RECORDS . 11-33
SAMPLE IDENTIFICATION TAGS 11*33
CHAIN-OF-CUSTODY RECORDS 11-33
OTHER CONTROLLED DOCUMENTS 11*34
PHOTOGRAPHS 11*35
CORRECTIONS TO DOCUMENTATION II-3S
CONSISTENCY OF DOCUMENTATION 11*37
DOCUMENT NUMBERING SYSTEM AND INVENTORY PROCEDURE 11-37
BRANCH AND DIVISION FILES 11-38
EVIDENTIARY FILE 11*38
REPORTS ... 11*39
LITIGATION DOCUMENTS . 11-40
CONFIDENTIAL INFORMATION ... 11-40
TSCA Confidential Business Information (CBI) 11-41
Procedures for Obtaining, Maintaining and Relinquishing Clearance 11-41
Handling TSCA CBI . 11-42
-------
EVIDENCE AUDIT 11-46
EVIDENCE AUDIT FILE .... 11-46
ACCOUNTABLE DOCUMENTS ... 11-46
EVIDENCE AUDIT OF FIELD ACTIVITIES 11-46
EVIDENCE AUDIT OF LABORATORY ACTIVITIES 11-47
EVIDENCE AUDITS OF OOCUMENT FILES 11-47
ASSEMBLING AND STORING EVIDENTIARY FILES 11-47
CONFIDENTIAL FILES 11-48
CERTIFICATION OF COMPLETENESS OF EVIOENTIARY FILE 11-48
QUALITY ASSURANCE 11-49
QA PROGRAM PLAN 11-49
QA PERSONNEL . 11-49
DATA GENERATION II"50
DATA PROCESSING . . II-50
DATA QUALITY ASSESSMENT 11-51
DEFINITIONS 11-53
APPENDICES
A NEIC Laboratory Services Identification of Analytical Requirements
B Witness Guidelines
C Procedures for Air Shipment of Environmental Laboratory Samples
D Forms Required for TSCA Inspections
E NEIC Procedures for Microfilm Processing of TSCA CBI Documents
TABLE
1 Transmittal of NEIC Documents and Correspondence 1-9
2 Authorities Granted Under Federal Environmental Laws and Regulations . 11-3
FIGURES
1 Sample Tag .... ...... .... 11-16
2 Completed Sample Tag - 11-18
3 Chain-of-Custody Record .... .... 11-21
4 Completed Chain-of-Custody Record 11-22
5 Transfer of Samples Form 11-23
6 Completed Transfer of Samples Form ... ... 11-25
7 Receipt for Samples and Documents Form . 11-26
8 Completed Receipt for Samples and Document Form 11-27
-------
I. NEIC PROJECT PHASES
-------
1-1
(5/86)
I. NEIC PROJECT PHASES
INTRODUCTION
The projects undertaken by NEIC span a wide variety of activities
ranging from one employee performing technical, supportive or administrative
tasks to numerous employees from diverse 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 in each phase which are
common to most projects and outlines NEIC policies pertinent to each phase.
-------
1-2
(5/86)
PROJECT REQUEST
All requests for NEIC assistance are sent to the Director, NEIC. Many
requests received by NEIC for technical assistance involve projects which
require extensive field work on pollution problems in more than one medium
(e.g., multi-media compliance audits). Others include, for example, a tech-
nical and/or legal review of an abatement proposal or analytical support
for a Regional enforcement case.
The content of the 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. However, a written request should
follow any informal request and detail the objectives, relate those objec-
tives to an enforcement action, and identify the requester's contact. The
written request assures NEIC of administrative accountability and clarity
of project definition, as well as allowing management to adequately coordi-
nate and schedule the Center's workload.
Official requests for technical assistance will be received only from
the following:
Administrator
Deputy Administrator
Assistant Administrator for Enforcement and Compliance Monitoring
Associate Enforcement Counsels
General Counsel
Assistant Administrators
Inspector General
Headquarters Office Directors
Headquarters Division Directors
Department of Justice, (including FBI)
Regional Administrators
Deputy Regional Administrators
Regional Counsel
Regional Division Directors
U.S. Attorney's Offices
State and Local Program Directors
State Attorney General's Office
-------
1-3
(5/86)
Following receipt of an official request, a written acknowledgement is
sent to the requesting party and other appropriate individuals. The acknowl-
edgement will usually include a tentative schedule indicating when NEIC
will commence work on the project and, to the extent possible, when the
work will be completed. It designates specific NEIC employees as contacts
for technical and legal coordination and seeks access to all files related
to the work. In some cases (for example, requests for technical reviews,
workshops, specific laboratory analyses, etc.), the acknowledgement may
provide a sufficient description and schedule for NEIC work activities in
lieu of a project plan (discussed later in this section).
To accomplish the objectives of a request efficiently and effectively,
a Project Coordinator is named. The selection of this individual is gener-
ally determined by the type of investigation or assistance requested, such
as: a multi-media compliance inspection with or without sampling, case
preparation, performance audits, 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 only analytical support, such as specific analyses for
Regional investigations; or may require support from several branches within
NEIC.
The scope of the request determines which NEIC organizational elements
will be required to support the proposed study. Operations, Laboratory
Services, and Office of Criminal Investigations, for example, may assign
individuals to the project. The Project Coordinator, once designated, is
then responsible for assuring that all aspects of the project are carried
out. This individual will have demonstrated through past performance as
Project Coordinator, or as an assistant, the ability to perform the exten-
sive administrative and technical responsibilities of the Project Coordi-
nator (described in Section II).
-------
1-4
(5/86)
BACKGROUND REVIEW
Review of the available background information applicable to a specific
project is a logical and essential first step in providing technical assist-
ance. Scope and duration of the background review are related to the pro-
ject objectives and vary with the complexity of the project request. Back-
ground information is available at the Center through the in-house and affil-
iated libraries and the NEIC computerized data retrieval systems. However,
many projects require visits to EPA headquarters, Regional offices and/or
State and local agencies to interview knowledgeable personnel and to review
and obtain copies of pertinent files. Where necessary, a reconnaissance
visit to the project site provides background verification or updating.
Examples of information obtained and/or reviewed during a background review
include: the applicable (current and historic) laws and regulations, Admin-
istrative Orders, agreements, etc. and the status of current and pending
litigation related to the investigation, Regional office legal strategy and
how the NEIC investigation relates to the strategy, Office of Criminal Inves-
tigations (OCI) case opening reports, specific descriptions of process and
pollution control systems that may affect the environment, copies of relevant
source permits and compliance schedules, past self-monitoring data, prior
Government or facility studies, alternative control and treatment technology
applicable to the facility(s) being investigated, and the available sampling
and analytical methods.
In all field investigations, knowledge of the potential and existing
safety hazards associated with the facilities or targets are essential to
the expeditious and effective conduct of the investigation.
The purpose of a background review is to familiarize NEIC personnel
with the background of the work request so that a comprehensive project
plan can be developed. Additionally, information obtained during the back-
ground review will often be used during the field investigation and subse-
quent report preparation. For example, knowledge of all applicable State
and Federal regulations and a knowledge of previous actions taken (including
correspondence between the regulatory agency and the source), will give the
investigator a better understanding as to what constitutes noncompliance.
Therefore, a thorough review should be conducted early in the project
development.
-------
1-5
(5/86)
PROJECT PLAN
A general outline of the NEIC project activities can be included in
the response to the official request. After sufficient background infor-
mation has been obtained and evaluated, a project plan is prepared based on
the specific objectives and tasks in the project request.* Projects such
as complex pollution control and treatment evaluations, permit compliance
evaluations, air pollution source inspections, ambient air and/or receiving
water quality surveys, multi-media compliance investigations, solid/hazardous
waste disposal evaluations and inspections conducted pursuant to TSCA, RCRA,
etc., require a detailed plan.**
The Project Coordinator prepares the project plan detailing the proj-
ect's scope, logistics and schedules. Items usually addressed in the
project plan are:
1. Objectives (enforcement case preparation requirements)
2. Background information (i.e., in an industrial facility evaluation,
this would include a summary of process operations, sources of
pollution and their control or treatment, applicable regulations
and permit requirements). In those investigations where there
is, or a potential exists for, groundwater pollution, information
on the geologic and hydrogeologic conditions, onsite hazardous
waste disposal operations, etc., are necessary for plan development.
3. Investigative methods including a description of sampling locations
and monitoring methods and procedures to be followed, analytical
requirements, onsite records review and collection of operating
process data and information, etc.
4. Quality Assurance/Quality Control requirements
In some cases (e.g., a technical review involving minimal staff), the
NEIC memorandum accepting the project may suffice in identifying how
NEIC will meet the requester's objectives.
For those investigations where the technical assistance requested only
involves analyses by NEIC Laboratory Services, a special form to initiate
such assistance can be used [Appendix A]. The form is used primarily
by OCI Special Agents whose technical assistance needs generally consist
of the collection and analyses of evidence samples. The information
contained on the form, along with the OCI investigations plan, will
generally satisfy the information requirements of Laboratory Services.
-------
1-6
(5/86)
5. Document control and chain-of-custody requirements
6. Personnel and equipment needs
7. Safety requirements and safety plan
8. Schedules for investigation activities, (for example, can include
schedules for field work, analyses, reports, etc.)
The Project Coordinator works closely with the appropriate NEIC staff
to determine items such as equipment and logistical requirements, analytical
capabilities and personnel availability. The Project Coordinator also com-
municates with the requester or designated representative to ensure that
the plan focuses on the objective to be met. The plan, when completed,
represents an agreement between the requesting party and those individuals
performing the work.
As a general policy, NEIC will attempt to provide a draft project plan
to the requester and investigation team at least two weeks before any specific
field, laboratory or consultant activity is undertaken.* Changes and modi-
fications desired by the requester should be communicated to the Project
Coordinator who will assure that all affected parties are apprised of the
requested changes and provided an opportunity to respond to them. Once all
concerned parties agree to the project plan, it serves as a reference docu-
ment for the project.** The Project Coordinator determines when
* Project plans (draft and final) will be usually transmitted by an
Assistant Director or the Deputy Director. All draft project plans
are numbered and must be returned to the Project Coordinator. The
Project Coordinator is responsible for maintaining a record showing
who received draft copies and when such copies were returned. In addi-
tion, it is the responsibility of the Project Coordinator to assure
that all draft copies are returned. If difficulty arises in achieving
the return of draft copies, the Chief Enforcement Specialist's Office
shall be notified.
* In addition to the NEIC personnel directly involved in the project
reviews, copies of the plan will also be provided to the appropriate
Assistant Directors and Branch Chief; Chief, Enforcement Specialist
Office; Deputy Director and the Quality Assurance and Evidence Audit
Unit.
-------
1-7
(5/86)
modifications to the plan are necessary.* After project activities com-
mence, requests for changes in scheduling, etc. will be directed to NEIC
management officials and these changes will be discussed internally. Any
changes agreed upon will be documented to the requester.
* The plan will contain a statement that it is subject to change.
-------
1-8
(5/86)
DOCUMENT TRANSMITTAL
Documents typically generated during an enforcement investigation and
those which are most often transmitted to the requesting parties, include
project plans, data, memoranda on technical findings and conclusions, draft
and final reports, and related litigation documents (e.g., technical reviews,
comments, opinions, affidavits, etc. requested by case attorneys in EPA and
DOJ).
Because the majority of NEIC investigative activities are associated
with potential enforcement actions, the premature or inadvertent disclosure
of the information gathered during an investigation could adversely affect
the action or injure a potential party. Therefore, with the exception of
project plan transmittal, which was discussed earlier, other documents pre-
pared as part of the enforcement investigation will be transmitted by the
Chief, Enforcement Specialist Office. Any correspondence prepared in con-
nection with the investigation findings will be marked by this individual,
"Privileged, Prepared for Litigation". Changes to this requirement can
only be made by the Chief, Enforcement Specialist Office.
Table 1 lists various types of documents and correspondence that could
be generated during an investigation and the individuals responsible for
transmittal of the material external to NEIC.
-------
r-9
(5/86)
Table 1
TRANSMITTAL OF NEIC DOCUMENTS AMD CORRESPONDENCE
Subject Matter Signature Recipient
Transmitted Required
Project plans
Assistant Director/
Deputy Director/Director
DIvision
Counsel
Director and Regional
Correspondence with
facility officials
Chief, Enforcement Specialist
Office or Regional Counsel
Faci1ity
being inspected
Requests to facilities
for information (e.g.,
308, 114, etc., letters)
Appropriate Regional officials*
Facility
being inspected
Requests for TSCA-
related information
**
Facility
being inspected
Draft reports
Chief, Enforcement
Specialist Office
Division
Counsel
Director and Regional
Final reports
Chief, Enforcement
Specialist Office
Division
Counsel
Director and Regional
Technical review
comments, followup
documents on enforce-
ment cases***
Project Coordinator
or Senior technical person
(prepared for Supervisor)
Supervisor
Project costs/contract
costs
Assistant Director/Planning and
Management/Deputy Director/
Di rector
Requester and Regional Counsel
Procedures and
Operating manuals
Library
As appropriate
Technical reports,
professional papers
(non-enforcement
documents)
Author
Requester
FOIA Denials
Director, NEIC
Requester
NSIC mat/ prepare information requests for transmittal by appropriate Regional Official.
Director, NEIC or other appropriate Regional/Headquarters officials who have been dele-
gated authority to subpoena T5CA information
Transmitted to Regional Counsel, DOJ, etc. by Chief, Enforcement Specialist office
*
**
-------
1-10
(5/86)
PROJECT ACTIVITIES
Project activities such as legal and technical information searches,
inspections, evaluations, sampling surveys, observations, data gathering
and analytical testing are performed by the applicable established proce-
dures. 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 identified, maintained tinder chain-of-custody procedures and
accounted for by a document control program. Periodic audits are conducted
to ensure the quality and admissibility of investigation findings. (The
NEIC Evidence Audit and Quality Assurance procedures are described in
Section II.)
-------
1-11
(5/86)
REPORTS
The NEIC prepares various types of technical reports in carrying out
its enforcement program responsibilities. Most common of these is the
enforcement report which details the results of environmental compliance
investigations and which can be used by the requesting parties as the basis
for enforcement or corrective actions. Other reports prepared by NEIC
include procedures and operating manuals and technical and professional
papers/reports.
The form used to report enforcement investigation findings will vary
with the type and complexity of a project. Some investigation findings can
be presented adequately in a memorandum while other more complex investiga-
tions require extensive presentation and discussion of the data and informa
tion. The latter reports are generally bound reports. The following color
code is used for bound reports prepared by NEIC.
Color of Cover
Type Reports
White
All draft reports
Black
Final - all enforcement related
reports*
Green
Final - includes procedures and
operating manuals, safety manuals,
etc.
Maroon
Final - technical reports on such
topics as new or modified field
and laboratory methods and tech-
niques, professional papers, etc.
Tan
Final - includes, for example
information and data compilations,
etc.
The NEIC enforcement reports are also assigned
EPA publication numbers containing a standard
prefix followed by a designation of the year
that it was submitted for publication and the
chronological submission number; for example:
EPA 330/2-81-014.
-------
1-12
(5/86)
All project participants must assure that the facts within their
individual contributions to the report and other documents related to the
investigation are accurate, fully supportable, presented in a professional
manner, and commensurate with Agency and NEIC policies. The overall
responsibility for preparation and content of enforcement investigation
reports (including all supporting documents) is that of the Project Coordi-
nator. This individual, along with NEIC management and supervisory manage-
ment officials, must assure the accuracy and admissibility of the report,
its conclusions and supporting documentation. Consequently, all written
products, composing the project report and other documents related to the
investigation, shall first be submitted to the Project Coordinator for
review and approval.
All NEIC reports are prepared in draft for review within NEIC and by
the requesting parties.* The reports will generally be reviewed internally
prior to distribution in either draft or final form outside of NEIC.** In
addition to the NEIC personnel directly involved in the investigation and
report preparation process, review copies will be provided to the Assistant
Directors for Operations and Laboratory Services and their Branch Chiefs,
the Deputy Director; Chief, Enforcement Specialist Office and other appro-
priate personnel. The NEIC internal review process should result in a draft
report to the requesting parties that is essentially ready for final publi-
cation. Thus, following review by the requesting party(ies), the report
should be ready for final publication without additional internal review.
Specific details on the document control procedures applicable to draft
reports are covered in Section II.
The NEIC library maintains a set of the Center's bound reports for
reference use. Most reports are also available either as microfiche or
* The transmittal of NEIC reports is discussed on page 1-6 of the manual
and in Table 1.
** The cover page of all draft reports will be stamped DRAFT REPORT - FOR
AGENCY REVIEW ONLY, DO NOT DUPLICATE. Each page of the report will be
marked DRAFT.
-------
1-13
(5/86)
paper copy from the library supply. Other short-form reports are available
in the various Division files, as well as the Evidentiary File (described
from Section II).
Public disclosure of NEIC records will be made to the fullest extent
possible when it will not reveal matters that are privileged or confidential.
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 normally terminate upon resolu-
tion of the case; however, a log is maintained of the enforcement reports
distributed by NEIC.
Distribution is also restricted for reports that contain confidential
information. When a request for confidential treatment covers information
submitted for use in a report, the title page and every page containing
that information is marked CONFIDENTIAL. The report author prepares a log
of the confidential information used in each portion of the report. All
reports containing confidential information will be kept in secure areas
until restrictions are removed. These reports are not available in the
library and must be logged out by the Document Control Officer, who also
receives a copy of every memorandum subsequently transmitting that report.
Questions concerning restricted report availability will be directed to the
Enforcement Specialist Office. A summary of the strict procedures for han-
dling Toxic Substances Control Act Confidential Business Information begins
on page 11-34.
Copies of NEIC bound reports may receive public distribution through
the National Technical Information Service (NTIS). This includes reprts
with maroon, green or tan covers and those black-covered reports for which
enforcement actions have been resolved. Their availability to the public
is announced through the NTIS publication "Government Reports Announcement"
and a fee is set by NTIS for their reproduction and distribution in either
paper or microfiche form.
-------
1-14
(5/86)
FOLLOWUP
Completion and transmittal of the final enforcement report do not
necessarily signify the end of NEIC's involvement with an investigation.
Continuing involvement may include technical consultation on pollution
abatement and remedial action. As necessary, NEIC personnel will partici-
pate in enforcement case preparation and subsequent legal proceedings. In
such cases, NEIC personnel involved may be required to serve as, or be
deposed as, witnesses [Appendix B].
Other reports prepared by NEIC may affect EPA enforcement program
policies and/or may serve as forerunners to additional investigations.
-------
NEIC OPERATING POLICIES AND PROCEDURES
-------
II-l
(5/86)
II. NEIC OPERATING POLICIES AND PROCEDURES
EMPLOYEE CONDUCT AND RESPONSIBILITIES
GENERAL REQUIREMENTS
Each NEIC employee is expected to promote public confidence in the
integrity and dependability of the Environmental Protection Agency. Employees
are required to perform their duties in a dignified, tactful, courteous and
diplomatic manner. At all times they must conduct themselves in accordance
with the regulations prescribed in the EPA handbook, RESPONSIBILITIES AND
CONDUCT FOR EPA EMPLOYEES. Some topics in the handbook especially applic-
able to NEIC work are discussed below.
Conflicts of Interest and Gifts, Gratuities, etc.
Employees shall avoid conflicts of interest through outside employment
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 con- '
flict 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.
An employee is forbidden to solicit or accept any gift, gratuity,
entertainment, favor, loan or any other thing of monetary value from any
person, corporation or group which has a contractual or financial relation-
ship with EPA, which has interests that may be substantially affected by
such employee's official actions, or which conducts operations regulated by
EPA. Further guidance on EPA's policy for accepting gifts, gratuities, or
entertainment may be found at Title 40, Code of Federal Regulations, Section
3.400 and EPA's Guidance on Ethics and Conflicts of Interest.
-------
11-2
(5/86)
Public Relations
Good public relations and common sense dictate that employees dress
appropriately. While on official duty the employee will dress appropriately
for the activity in which engaging. This includes wearing the proper pro-
tective clothing and other safety equipment if the situation requires.
When in the laboratory, field or facility, employees should consult their
supervisor and the EPA Occupational Health and Safety (OHS) Manual and
related OHS orders regarding proper attire and safety requirements. Special
safety procedures may be required for specific types of investigations such
as those for lidar operations and the collection and analyses of hazardous
wastes/substances samples.
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 information acquired during an employee's duties
is for official use only.
SPECIFIC REQUIREMENTS FOR INVESTIGATIONS
Entry Into Facilities
Authority
Various Federal environmental statutes grant EPA enforcement personnel
authority to enter and inspect facilities [Table 2]. The authority granted
in each statute is similar to that stated below, from Section 308 of the
Clean Water Act:
"(a)(B) the Administrator or his authorized representative, upon
presentation of his credentials -
(i) shall have a right of entry to, upon, or through any premises in
which an effluent source is located or in which any records required
to be maintained. . .are located, and
-------
Table 2
AUTHORITIES GRANTED UNDER FEDERAL ENVIRONMENTAL LAWS & REGULATIONS
Air
Water
Superfund
Pesticides
Solid Waste
Drinking Water
Toxics
Inspection
CAA 114
CWA 308, 402
CERCLA
104
FIFRA 8,9
RCRA 3007, 9005
SDWA 1445
TSCA 11 717 17,
Authority
40 CFR 80.4,
40 CFR 122.41
40 CFR 160 15,
40 CFR 270.30
40 CFR 144 51,
40 CFR 792.15
86*
233.7
169 3
142.34
Recordkeeping
CAA 114, 208
CWA 308, 402
CERCLA
103
FIFRA 4.fl
RCRA 3001, 3002
SDWA 1445
TSCA 8
Authority
311
3003, 3004, 9003
40 CFR 51,
40 CFR 122.41,
40 CFR 160 63,
40 CFR 262.40,
40 CFR 144 51,
40 CFR 704, 710,
60, 79**
122.48, 233 7,
160.185-195,
263.22, 264 74,
144 54,
717.5, 720 78,
233.11
169, 171 11
264.279, 264 309
141.31-33
761, 761 180,
265.74, 265.94,
762 60, 763 144,
265.279, 265.309,
792 185-195
270.30,
270.31
Confidential
CAA 208, 307
CWA 308
CERCLA
104
FIFRA 7,10
RCRA 3007,9005
SDWA 1445
TSCA 14
Information
40 CFR 2 301,
40 CFR 2.302
40 CFR 2.307
40 CFR 2.305,
40 CFR 2.304,
40 CFR 2 306,
(40 CFR 2.201-2 215)
53,57,80
122.7, 233 18
260 2, 270 12
144 5
704 7, 707 75,
710.7, 712 15,
717 19,
720 85-95,
750 16, 750.36,
762 60, 763 74
Emergency
CAA 303
CWA 504
CERCLA
104, 106
FIFRA 27
RCRA 7003
SDWA 1431
TSCA 7
Authority
40 CFR 233 38
40 CFR 164,
40 CFR 122 7
40 CFR 144.34
166
Employee CAA 322 CWA 507 CERCLA 110 RCRA 7001 SDWA 1450 TSCA 23
Protection
Penalties CAA 113 CWA 309 CERCLA 103 FIFRA 14,15 RCRA 3008, SDWA 1423, TSCA 15, 16
40 CFR 233 28 9006 1424, 1431, 1441
* 86.077-7, 86.078-7, 86 441-78, 86.606, 86.1006.89
** Sl.320-.328, 57.105, 57.305, 57.404, 58, 60.7, 61.10, 61 24, 61.69-71, 79 5, 85.407, 85.1806, 85.1906, 86.077-7, 86 084-39 £ 40,
86 144-78 thru 82. 86 542-78. 86.609. 86.1009-84.
-------
11-4
(5/86)
(in) may at reasonable times have access to and copy any records,
inspect any monitoring equipment or method required. . and sample
any effluents which the owner or operator of such source is required
to sample. .
For the specific requirements on conducting inspections and collecting
data pursuant to other particular Acts, see: Section 114 of the Clean Air
Act; Sections 8 and 9 of the Federal Insecticide, Fungicide and Rodenticide
Act; Section 3007 of the Resource Conservation and Recovery Act; Sections 8
and 11 of the Toxic Substances Control Act; Section 1445 of the Safe Orink-
ing Water Act; and Section 104 of the Comprehensive Environmental Response,
Compensation and Liability Act.
Unreasonable Search and Seizure
EPA authority under the various Acts is subject to the provisions of
the Fourth Amendment of the Constitution which prohibits unreasonable
searches and seizures. Consent to document an onsite investigation with
photographs should be obtained before any photographs are taken by the
inspector. 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 means the intentional foregoing of right to privacy which is
not the result of either fear, ignorance or trickery. When obtaining con-
sent, do not suggest that civil or criminal consequences will result from
entry denial. If the element of surprise is critical to the inspection,
the site is unoccupied, 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 completion
of an inspection. If that should occur, all work performed during the con-
sensual 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.
-------
11-5
(5/86)
To comply with statutory authority 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 facility in its response
to an inspection notification letter.
2. The employees should introduce themselves in a dignified, cour-
teous manner to a responsible plant official, clearly identifying
the organization they represent, and briefly describe the purpose
of the visit. Identification credentials will always be presented.
A responsible plant official may be the owner, operator, officer
or agent-in-charge of the facility, including the plant environ-
mental engineer.
3. If there is only a guard present at the entrance, the employee
should present his credentials and suggest that the guard call
his superior or the responsible official, when the name is known.
4. If the Company provides a blank sign-in sheet, log or visitors'
register, it is acceptable to sign it. NEIC employees shall not
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 immediately do the following:
a. Obtain the 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,
and record the answer and any reasons given for denial of
entry.
c. Leave the premises.
-------
11-6
(5/86)
After leaving the facility, the employee should, at the earliest
possible moment, inform the NEIC supervisory personnel and the Enforcement
Specialist Office of the events which took place.
Request for Information
The environmental statutes require those regulated to keep reports and
records. The statutes also protect the trade secrets and confidential infor-
mation of the regulated community. 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 information,
pursuant to statutory authority, will contain a statement allowing the facil-
ity 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 2.201-2.309 [41 Federal
Register (FR) 36902, September 1, 1976, as amended in 43 FR 39997, Septem-
ber 8, 1978]. In addition to citing the appropriate regulation(s), the
request should state that:
1. The business may, if it desires, assert a business confidentiality
claim covering part or all of the information in the manner des-
cribed by 40 CFR 2.203(b), 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 these regulations; and
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.
When conducting a plant evaluation, inspection or reconnaissance, NEIC
personnel should not accept confidential information unless it is essential
in performing NEIC responsibilities. When inspectors expect to obtain or
observe confidential information, they should maintain a separate logbook.
-------
11 - 7
(5/86)
When confidential information is entered into an inspector's logbook the
entire logbook must be treated as confidential with the cover and all pages
containing confidential information marked "CONFIDENTIALITY CLAIM." The
Evidence Audit Unit (EAU) will provide the inspectors with adhesive labels
and/or stamps to mark information submittals or observations for which a
business wishes to assert a claim of confidentiality. In those limited
situations, the company officials should be requested to mark the document
to identify the material which they claim is entitled to confidential treat-
ment. Confidentiality claims, which cover portions of otherwise non-
confidential documents, should be clearly identified by company officials.
By statute, effluent and emission data are not confidential. Any confiden-
tial information received in the mail or hand-delivered shall be marked
Confidential and handled appropriately as outlined in the document control
program [page 11-33].
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 organizations. This
policy, however, does not extend to confidential information or investiga-
tory information and evidence relating to the suspected violation of Federal
environmental laws. The transmittal by the Chief, Enforcement Specialist
Office, identifies the sensitive nature of documents supporting pending
enforcement actions to prevent their inadvertent or premature disclosure.
Any NEIC employee who receives a request, written or oral, for inspec-
tion or disclosure of NEIC investigatory records or confidential information,
even those made under judicial discovery procedures or the Freedom of Infor-
mation Act, shall immediately advise the Chief, Enforcement Specialist Office,
and obtain approval and guidance for the release of information. Other
information disseminated outside the Agency will be directed through the
appropriate Regional office or Headquarters.
Any NEIC employee who is contacted by any attorney requesting informa-
tion or assistance should immediately contact the Chief, Enforcement
Specialist Office.
-------
11-8
(5/86)
Investigations of Alleged Criminal Activity
Investigations of alleged criminal activities place even greater
responsibilities on the participants in the investigation. Because more
severe penalties may be imposed on the individuals convicted of violating
the criminal provisions of environmental laws or other statutes, there are
greater constitutional safeguards to protect these individuals from crimi-
nal prosecution. Thus, it is of critical importance that all participants
in criminal investigations be fully aware of these safeguards and conduct
themselves accordingly. Special Agents of the NEIC, Office of Criminal
Investigations (OCI), provide the necessary instructions and directions to
the investigation team on these matters. From the beginning of such an
investigation until it is completed, the rights of defendants must be fully
protected and established investigation procedures must be met. The
special emphasis given to these matters results from the potential defend-
ant's desire to conceal their criminal activities and, when detected, their
frequent challenges to the procedures used to apprehend them.
The above-mentioned desire to pose challenges to the Government's case
is encouraged by the "Exclusionary Rule". This rule prohibits the use of
evidence during the prosecution of a defendant whose constitutional rights
were violated by the procedures used to collect that evidence. The "Fruit
of the Poisonous Tree Doctrine" further excludes from that prosecution any
information subsequently derived from that improperly collected evidence.
Following the procedures in this manual assures protection for the potential
defendant's constitutional rights and leaves a paper trail of the investi-
gation supporting admission of the resulting evidence into a prosecution.
Another procedural challenge frequently occurs when a suspect provides a
statement to a law enforcement officer. The Special Agent assigned to the
case is responsible for issuing the "Miranda" warning if it is required.
If, during the course of a civil investigation, aspects of criminal
activity become apparent, the Assistant Director, OCI, will be apprised
immediately of these matters. If necessary, the Assistant Director may
wish to assign a Special Agent to the case. When this occurs, all parts
of the criminal investigation must be completely separated from the current
-------
11-9
(5/86)
(or planned) civil investigation. The Agent will maintain a separate file
following the document control procedures established by OCI and contained
in the Special Agent's Manual.
-------
11-10
(5/86)
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. Requests received from facility
officials and third parties for information relative to an NEIC enforcement-
type investigation, must be referred to the Enforcement Specialist Office.
PROJECT PLAN
The Project Coordinator is responsible for preparing the project plan.
This will involve obtaining the necessary background information from the
requester (Region, Headquarters, etc.), all affected NEIC technical staff,
the legal staff, the safety officer, the administrative staff, and the EAU.
A draft plan, which will be numbered and marked DRAFT REPORT, FOR AGENCY
REVIEW ONLY, DO NOT DUPLICATE, will be provided for internal review to
appropriate management and supervisory officials and other participating
NEIC personnel and the requesting parties. The Coordinator is responsible
for disseminating the draft project plan for review and accounting for al1
draft copies.* As a general rule, the draft plan will be provided the
requester and other participating parties at least two weeks before any
field work begins.** After comments (internal and external) have been incor
porated, as necessary, into the final project plan, all drafts will be
Project plans (draft and final) will usually be transmitted by an
Assistant Director or the Deputy Director. All draft project plans
are numbered and must be returned to the Project Coordinator. The
Project Coordinator is responsible for maintaining a record showing
who received draft copies and when such copies were returned. In addi-
tion, the Project Coordinator must assure that all drafts are returned.
If difficulty arises in achieving the return of draft copies, the Chief,
Enforcement Specialist Office, shall be notified.
The memorandum transmitting the draft project plan for review should
specify the date when comments are to be returned. The project plan
(draft and final) are transmitted generally by an Assistant Director
or the Deputy Director [Table 1].
-------
11-11
(5/86)
disposed of and a revised copy will be sent to the requesting parties and
other appropriate officials.
A briefing on the investigation will be held with the participants
prior to beginning the field work. At the time, those aspects of the inves-
tigation such as test methods, chain-of-custody procedures, legal aspects,
safety requirements, document control and related activities will be discus-
sed with all project participants and EAU. Each participant is expected to
read the project plan and be aware of the required procedures. The project
plan will contain a statement that it is subject to change.
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 necessary to receive credit for petty cash
expenditures. When apppropriate, the Project Coordinator wi11 arrange to
use purchase orders in the field.
Timekeeping
The Project Coordinator is expected to certify as correct the Time
Reports used by field personnel to report regular time, overtime and com-
pensatory hours. It is expected that Project Coordinators and Branch Chiefs
be familiar with the Fair Labor Standards Act and the EPA Pay Administration
Manual as it pertains to overtime, holiday and hazardous duty pay, and com-
pensatory hours.* Instructions for the completion and submission of time
records will be provided by the respective Branch Chiefs.
Copies of these documents can be obtained from the NEIC personnel office.
-------
11-12
(5/86)
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 per-
sonnel 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 project plan will, as mentioned earlier, contain a statement that
it is subject to change. The necessity for change from the project plan on
matters not affecting the objectives investigation - 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. Vehicles and mobile laboratories transported from Denver generally
travel in convoy, and it is imperative that the Project Coordinator be noti-
fied immediately of any delays that occur enroute. It is also expected
that the vehicles and other field equipment be kept in a state of readiness.
If equipment is returned from the field needing repair and/ or maintenance,
the borrower of that equipment shall assure that such repair and/or mainte-
nance is expeditiously accomplished.
During the field study, the Project Coordinator or designee is respon-
sible for seeing that all chain-of-custody and quality control procedures
for sampling, flow monitoring, analyses, recordkeeping, etc. are followed.
The field personnel are, however, expected to understand and follow the
chain-of-custody and quality control 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 they are complete.
-------
11-13
(5/86)
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 adhere to the applic-
able safety requirements.*
REPORT WRITING
The Project Coordinator, in cooperation with other personnel, will
develop an outline and determine the writing assignments for a project report.
To facilitate readability by the diverse audiences from technical,
administrative and judicial fields, the NEIC enforcement report** may be
structured in two major sections: the Executive Summary and the Technical
Analysis. The Executive Summary section clearly states investigation objec-
tives, discusses background information relative to the sources being inves-
tigated and presents conclusions supported by pertinent findings. Recommen-
dations are made if appropriate. The Technical Analysis section more com-
prehensively describes the investigation, giving specific details about the
source, NEIC data collection and analysis, and other pertinent aspects of
the field work. It is important that findings in the Technical Analysis
section be correlated to the conclusions as stated in the Executive Summary
so that the report presents a uniform analysis.
All reports are dated and the Project Coordinator is responsible for
assembling the report and circulating copies for peer review. Draft reports
are numbered, stamped DRAFT REPORT, FOR AGENCY REVIEW ONLY, DO NOT DUPLI-
CATE and each page is marked DRAFT. All reports are transmitted outside
NEIC by the Chief, Enforcement Specialist Office [Table 1]. The Coordi-
nator shall specify the review period and the transmittal memorandum/letter
* EPA Occupational Health and Safety Manual and related Orders.
** A black cover report prepared to support an ongoing or potential
enforcement action.
-------
11-14
(5/86)
shall inform all reviewers the date that comments are required.* Appro-
priate review comments will be incorporated in the final report. All draft
copies will be disposed of upon completion of the final report.
The report quality and content, and the ability to substantiate and
defend the report, are foremost. The Project Coordinator, NEIC management,
and supervisory personnel are responsible for assuring that alj NEIC reports
achieve this goal.
The Project Coordinator is responsible for maintaining a record showing
who received draft copies and when such copies were returned. In addi-
tion, it is the responsibility of the Project Coordinator to assure
that all copies are returned. If difficulty arises in achieving the
return of draft copies, the Chief, Enforcement Specialist Office, shall
be notified.
-------
11-15
(5/86)
SAMPLE CONTROL
A sample is physical evidence collected from a facility or the
environment. An essential part of all NEIC enforcement investigations is
the control of the evidence gathered. To accomplish this, the following
sample identification and chain-of-custody procedures have been established
Any other procedures specific to a program must be documented and approved
by the Chief, Enforcement Specialist Office.
SAMPLE IDENTIFICATION
The method of identification of a sample depends on the type of mea-
surement 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 number, station location,
date, time, and samplers), field observations and remarks. Examples of
in-situ measurements include pH, temperature, conductivity, flow measure-
ment, continuous air monitoring and stack gas analysis.
Samples, other than in-situ measurements, are identified by a sample
tag [Figure 1] or other appropriate identification (hereinafter referred to
as a sample tag). Parameters marked on the tag (e.g., RCRA Listed Waste or
RCRA Characteristics) will be identified specifically in the project plan.
These samples are removed and transported from the sample location to
a laboratory or other location for analysis. Before removal, however, a
sample is often separated into portions depending upon the analyses to be
performed. Each portion is preserved in accordance with applicable proce-
dures and the sample container is identified by a sample tag. The informa-
tion recorded on the sample tag includes:
For purposes of this manual, the term "logbook" includes remote sensing
imagery and data recorded on magnetic tape.
-------
11-16
(5/86)
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
NATIONAL ENFORCEMENT INVESTIGATIONS CENTER
Building 53. Box 25227, Denver Federal Center
Denver. Colorado 80225
P'oieci Ccce
Siai.on no
Montn Gay'^ear
Time
Oejiqnaie
Como
Gtao
FIGURE 1. SAMPLE TAG
-------
11-17
(5/66)
Project Code - A three-alpha-numeric digit assigned by NEIC
Station Number - A two-digit number assigned by the Project
Coordinator
Type of Sample - Grab or composite
Preservatives - Yes or No
Analyses Required - Check appropriate box or enter another parameter
Date - A six-digit number Indicating the month, day and
year of collection - for example: 031784 is
March 17, 1984
Time - A four-digit number indicating the 24-hour time of
collection - for example: 0954 is 9:54 am and
1629 is 4:29 pm
Station Description - The sampling station description as specified
by the Project Coordinator
- Each sampler signs the tag
- The samplers record pertinent information including
preservatives used
- May be completed by the receiving laboratory
Samplers
Remarks
Lab Sample No.
The sample tag contains an appropriate place for designating the sam-
ple as a grab or a composite and identifying the type of sample collected
for analysis. The sampler may use the remarks section to designate a
sequence number and identify the sample type. The Project Coordinator will
detail procedures for completing tags used for soil, sediment, and biotic
or other samples. The sample tags are attached to each sample or container
Figure 2 illustrates a completed sample tag.
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 aliquoted into similar
sample containers. Identical information is completed on the tag attached
to each split and one is marked " * Split". In a similar fashion, tags
will be marked for "Blank" or "Duplicate" samples.
The blank is completed to identify the split sample for the appropriate
Government agency, facility, laboratory or company, for example, company
split.
-------
11-18
(5/86)
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
NATIONAL ENFORCEMENT INVESTIGATIONS CENTER
Building 53. Box 25227, Denver Federal Center
Denver, Colorado 80225
A
Pioieci Cooe Sianon no
Mortin Oay'Vear
Time
/at?
Oengniie
Coma Giao
o
Z
i
1
OJ z
o 0
h-*
f—
&>
CT
01
a
£
2
o
ST AT.On OESCAiPTiOn
Drt^yy, Savh? U.
Samoief* iS'QnaiufejV'
33
n
a
"tj I
A
N
a
o
a
>
r
¦
*
a
€
•
•
*
*
A
&
•
•
TS
r>
(D
•
<
0
»
ft
0
m
3
•
?3
tt —
if
!•
ft
i
n
«
ft
9
•
2
ft
ft
•
3*
ft
a
0
n
•
1
2 n
s §
• H
o 8
%
DOD Anion*
iolld. (TSSMTDSMSSI
>
7.
r»
r~
-<
CO
m
CO
-<
O -O
M o
~ S
<
Z ~
° s
9-
'S
I 1
1
FIGURE 2. COMPLETED SAMPLE TAG
-------
11-19
(5/86)
CHAIN-OF-CUSTOPY PROCEDURES
Due to the evidentiary nature of samples collected during enforcement
investigations, possession must be traceable from the time the samples are
collected until they or their derived data 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 you locked it up, or
4. It is in a designated secure area.
Field Custody Procedures
1. Collect only the number of samples needed to represent the media
being sampled. To the extent possible, determine the quantity
and types of samples and sample locations prior to the actual
field work. As few people as possible should handle samples.
2. The field sampler is personally responsible for the care and cus-
tody of the samples collected until they are properly transferred
or dispatched.
3. Sample tags shall be completed for each sample, using waterproof
ink unless prohibited by weather conditions. For example, a log-
book notation would explain that a pencil was used to fill out
the sample tag because a ballpoint pen would not function in
freezing weather.
-------
11-20
(5/86)
4. The Project Coordinator determines whether proper custody proce-
dures were followed during the field work and decides if addi-
tional samples are required.
Transfer of Custody and Shipment
1. Samples are accompanied by a Chain-of-Custody Record [Figure 3].
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 laboratory or at the NEIC laboratory in Denver. Figure 4
illustrates a completed Chain-of-Custody Record.
2. Samples will be packaged* properly for shipment and dispatched 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 shipped, driven, or otherwise
transported to NEIC). Shipping containers** will be padlocked or
sealed for shipment to the laboratory.
3. It is a policy of the NEIC that sample splits will be offered to
facility officials whenever samples are collected during an inves-
tigation. Samples may also be split with other Government agencies.
When samples are split, a separate Transfer of Samples form
[Figure 5] 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
See Appendix C
Lidar data magnetic tapes are transported in secure magnetic-safe metal
containers.
-------
ENVIRONMENTAL HftOIECIION AGENCY NATIONAL ENFORCEMENT INVEST IGATIONS CENTER
QIIki ul Enlutttiiienl ButUmgSl Wo*2S23J OtiMi FetkutCinici
CHAIN OF CUSTODY RECORD Dtiwri CoI»uwil
STA NO
OATI
nut
S1ATION DESCRIPTION
—
—
:
-
—
—
—
—
IblinqyillMdbv
Dim / Time
1
by
H«td by
lldinQuithad by
0«w / Tinx
ftKCIvrd t)y
R«U 1 441
N 1232
-------
environmental PROTECTION ACENCV
Oltu ul Eitlutccimal
CHAIN OF CUSTODY RFCORD
NATIONAL ENFORCEMENT INVESTIGATIONS CENTER
Qutldt^ 6] Uoi 2S22I. Dtnmi Fctliiil C*nltl
[>pnyri Colmulo 80776
PHOJ NO
Xf-A
PHOJICT NAME
oy*i s
SAMttMS i
C-l,i-> ,
Oi
/} 7-
a>3
OATl
/utf
TlUt
Joiff
ilUL
STATION DESCRIPTION
ZViiftt !r
SaiJL—Sum
ftltmqwtfMd by
linquithid by
HllinQuiOMii by
0*1* / T unc
Dill /Imw
Dili / rime
MO
Of
CON
i Aiians
H«cciv«4 |>y (S«fn*iw«»J
Received by
TAG NUMBERS
AJJS64 - ISO)
i/a-tj Iia< ML
REMARKS
~
lUlinijuikM by fSywiMt)
Heiinouithed by
Received Iiii4Mii ^
N 1232
-------
ENVIRONMENTAL HVJltXIlON ACENCV
Ollice ul Enlofteitteiil
transter of samples
O
c
90
m
ui
H
30
>
Z
z
•o
r-
m
i&lnDtiliun Cimj.nji io Coot Jut^lui t »oJ*J f ik1) Copy lo FdiiMy
N 84 2
00 l
cj\ ro
—- co
-------
11-24
(5/86)
sign, this is noted in the "Received by" space. When appropriate,
as in the case where the representative is unavailable, the
Receipt for Sample form should contain a statement that the samples
were delivered to the designated location at the designated time.
Figure 6 illustrates a completed Transfer of Samples form.
Section 3007(a)(2) of the Resource Conservation and Recovery Act
(RCRA) states . .If the officer, employee or representative
obtains any samples, prior to leaving the premises, he shall give
to the owner, operator, or agent-in-charge a receipt describing
the samples obtained and, if requested, a portion of each such
sample equal in volume or weight to the portion retained". Sec-
tion 104 of the Comprehensive Environmental Response, Compensa-
tion and Liability Act contains identical requirements. The
Receipt for Samples and Documents form [Figure 7] satisfies the
above requirements. This form must be completed [Figure 8] and
signed by the NEIC investigator and a responsible facility offi-
cial (e.g., the owner, operator or agent-in-charge). When splits
are offered but refused, indicate such refusal on the Receipt for
Samples and Documents form in the description block.
For investigations conducted pursuant to the Toxic Substances
Control Act (TSCA), the NEIC investigator must provide a respons-
ible official of the facility with Notice of Inspection and TSCA
Confidentiality Notice forms [Appendix D]. At the completion of
the inspection, a Declaration of Confidential Business Information
and Receipt for Samples and Documents forms [Appendix D] are com-
pleted, as appropriate.
4. All shipments will be accompanied by the Chain-of-Custody Record
identifying its contents. The original record will accompany the
shipment, and the copy will be retained by the Project Coordinator.
-------
ENVmONMlNl AL PHOlLCIlON AGtNC*
Office ol Enforcement
TiiANsrcR or samples
NATIONAL ENFORCEMENT INVESTIGATIONS CtnlER
Building S3 Bo* 7S727 Denver Federal Center
Oen«er. Colorado 8022S
•n
a
c
so
m
n
O
Z
•v
r
m
H
m
0
H
90
>
2
(/>
ti
01
99
O
•n
>
Z
•v
r-
rn
v>
¦n
O
90
z
PROJ NO
2-9- P>
PROJECT NAME
SAMPLERS
a /
N«me ol F*c»l>ly
Facility Location
V/2- S7C
, Ok-J*-
S 1A NO
DAU
IIMi
HO Of
CON
lAINtRS
I AC NUMBERS
S1 At lON OESCRlPT ION
Rf MARKS
&!
y=»^ < 2.
e>z-
&HS
)
AJ13 ot
^ii'/ J+
o*>
1115
/
J/J3&9
n/ytji-c^ j/£mt jflwr /
/
/
\
(
\
\
)
/
/
/
\
V
\
)
{
(
\
\
IrftMlened b
CUto
I into
IZ*SC>
Neceivod by (SigriafuivJ
Title
/owl
Telephoiw
*-?7-6?3z^
Cldta
-2-,
Oiilnbulion Otujinjl lu f (igijtuatuf f icIJ Files Copy 'o Facility
yt/s-i
Time
/z- 3£>
N
842
00 ho
cn oi
-------
rr-26
(5/86)
ENVIflGNM£NTAl PROTECTION AGENC*
0r«(j by /S>9n#ivr#j
recipient signature
name
SAFE 5ICWE0
TITLE
PATE aiLKlO
Oit(f
-------
11-27
(5/86)
ENVWCNMENfAt PROTECTION AGENCY
OMtc» ol Enlofcamant
NATIONAL ENFOflCCMfiNT INVESTIGATIONS CfcrtTEfl
Building S3 Bo> 23217 0.n,.r Canltr
Otnw, Coiexao 8013S
RECEIPT FOR SAMPLES AND DOCUMENTS
Nam* ol Facility
/ Oyrf S
PRO J NO
22-A
f-
Facility Location
(TV 2. C? YCSLnA. S/"•
/2>JacJ: /-e,f
ry / 1 —
" ' \SAMPL
RECEIPTOR Thg QQCUMENTiS) ANOrpH SAMPLE (S) OgjCRIBID IS HEREBY ACKNOWLEDGED
DESCRIPTION
Z
TZfCM- S ZS C 7 C»»t/a.> **1) af dts c*-» Led
Cu%4» yc.^rv'J.Sj Prt
UM 'f£-{-»>
and
rcc-tfyels fvtOt cU
T>»mi«"«at>y fSffWuftj .
RECIPIENT SlQNATU^e
TTTtf
cJt)&v\ ftA. La,vd. h
I | Sire;
jUm
PATE SICNgP'
\J. JTyi 4 .
TITLE"
fr-e.«iu Copy ta Fn.iiiiy
N 1232
FIGURE 8. COMPLETED RECEIPT FOR SAMPLES
AND DOCUMENTS FORM
-------
11-28
(5/86)
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. Freight bills, post office receipts and
Bills of Lading will be retained as part of the permanent
documentation.*
Laboratory Custody Procedures
1. A designated sample custodian accepts custody of the shipped sam-
ples and verifies that the Information on the sample tags matches
that on the Chain-of-Custody Record. A check mark along with the
person's initials and date are then placed in the sample tag veri-
fication column on the Chain-of-Custody form. Pertinent informa-
tion as to shipment, pickup, courier, etc. is entered in the
"Remarks" section.
The laboratory custodian will use the sample tag number or assign
a unique laboratory number to each sample tag and assure that all
samples are transferred to the proper analyst or stored in the
appropriate secure area.
2. Laboratory personnel are responsible for the care and custody of
samples from the time they are received until the sample is
exhausted or returned to storage.
3. Each Branch must follow its established system for tracking samples
through the Laboratory and identifying the supporting documents.
Each employee will be knowledgeable of the Standard Operating
Procedures applicable to his/her respective Branch.
* Copies of the bills and receipts are provided the NEIC Office of Plan-
ning and Management to assure proper payment. Originals of these docu-
ments are retained for the project file.
-------
11-29
(5/86)
4. When sample analyses and necessary quality assurance checks have
been completed in the field laboratory, the unused portion of the
sample secured as evidence must be disposed of properly. All
identifying tags, data sheets and laboratory records shall be
retained as part of the permanent documentation. Samples received
by the NEIC laboratory will be retained until after analyses and
quality assurance checks are completed. When investigative docu-
ments are requested by the EAU for the evidentiary file, all iden-
tifying tags are removed* for retention in the permanent docu-
mentation. Sample containers and remaining sample material should
be disposed of appropriately when all analyses and related quality
assurance work are completed. The Assistant Director, Laboratory
Services, in coordination with the Chief, Enforcement Specialist
Office, will authorize disposal of samples and remaining sample
portions for all investigations other than criminal investiga-
tions.** For the latter, the Assistant Director, Office of Criminal
Investigations, will notify the Assistant Director, Laboratory
Services and the Chief, Enforcement Specialist Office, when the
disposal of samples collected in support of criminal investigations
can occur.
5. Samples of materials which have been associated with high hazard
levels are received in a Regulated Access Laboratory (RAL). This
laboratory reduces the hazardous characteristics of these samples
and prepares them for routine analysis. To avoid potential con-
tamination, tags from samples received by the RAL are not con-
sidered permanent documents and will not be incorporated into the
Tags will only be removed if the samples are no longer required for
evidence. If the samples are required for evidence, a list of the
sample tags will be provided the Evidence Audit Unit. When the tags
can be removed, they will be sent to the Evidence Audit Unit for the
evidentiary file.
Sample disposal will be as described in the document titled "NEIC Regu-
lated Materials Disposal Procedures."
-------
11-30
(5/86)
evidentiary file. The RAL will verify that the information on
arriving sample tags is accurately recorded on the appropriate
Chain-of-Custody Record and notify the Project Coordinator of any
discrepancies. The sample tag number is entered on the Chain-of-
Custody Record in the "Comments" column. RAL personnel will
initial the entry after verifying sample tag data or resolving a
discrepancy.
6. The RAL will submit a memorandum to EAU when the project docu-
ments are assembled. The memorandum, to be retained in the evi-
dentiary file, certifies that the sample tags have been appro-
priately disposed of together with the sample containers and any
remaining portions.
7. Lidar data magnetic tapes will be copied into the appropriate
NEIC minicomputer disc files. The original tapes will then be
stored and the disc data will be used for computer data processing.
-------
11-31
(5/86)
DOCUMENT CONTROL
The goal of the NEIC Document Control Program is to assure that all
project documents used by NEIC personnel will be accounted for when the
project is completed. This program includes a serialized document system,
a document inventory procedure and an evidentiary filing system, all oper-
ated and controlled by the EAU. The Document Control Officer (DCO) main-
tains separate locked files for confidential information and a secure file
for project documents supporting a criminal investigation.
Accountable documents used or generated by NEIC employees include log-
books, field data records, correspondence, sample tags, graphs, Chafn-of-
Custody Records, Transfer of Samples forms, Receipt for Samples and Docu-
ments forms, bench sheets and photographic prints. Each document is listed
in a project inventory assembled by the appropriate Branch or Division at
the project's completion. The Project Coordinator disposes of all unused
serialized documents.* Unless prohibited by weather, waterproof ink is
used to record all data on serialized accountable documents.**
SERIALIZED DOCUMENTS
The Project Coordinator or his/her designee receives all serialized
NEIC documents for the field activities. The EAU is responsible for pro-
viding numbered field logbooks, field data record forms, sample tags, Chain
of-Custody Record forms, Transfer of Samples forms, and Receipt for Samples
and Documents forms. The Project Coordinator is responsible for ensuring
that a sufficient supply of documents is obtained for an investigation and
that these documents are properly distributed to the appropriate personnel.
The Project Coordinator, at the completion of the project, will inform
the EAU by memorandum that he/she has disposed of all unused documents.
When weather conditions prohibit use of waterproof ink, entrys will be
made using a non-smear lead pencil (e.g., 2H or 3H).
-------
11-32
(5/86)
PROJECT LOGBOOKS
The Project Coordinator is responsible for the transfer of logbooks to
the individuals who have been designated to perform specific tasks on the
survey. Individuals sign their logbooks* upon receipt and use them to
record all pertinent information until the project is completed. Observa-
tions made into a recording device must be promptly transcribed. The
inspector verifies the accuracy of the transcription and signs it. The
original recording of the data is retained for the evidentiary files.
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 objective, 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 analyses performed, field analysts document
in their logbooks or on bench sheets the date and results of any calibra-
tion of mobile laboratory equipment. A record is also kept of any inci-
dents related to the survey; for example, the electricity going off in the
laboratory, tampering with Government vehicles or equipment, etc. Appro-
priate 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 returned
to the Project Coordinator when a survey assignment has been concluded.
Or the label for remote sensing or data recorded on magnetic tape
-------
11-33
(5/86)
FIELD DATA RECORDS
Where appropriate, serialized Field Data Records (in the form of indi-
vidual 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. All in-situ measurements and field observations are
recorded in the FDRs with all pertinent information necessary to explain
and reconstruct sampling operations. Each page of an FDR 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 FDRs are available
during all monitoring activities and are stored safely to avoid possible
tampering. Any lost, damaged or voided FDRs are reported to the Project
Coordinator.
SAMPLE TAGS
All necessary serialized sample tags are distributed to field personnel
by the Project Coordinator (or designated project participant). After the
tag has been filled out, it is attached to a sample and transferred to
another individual by use of a Chain-of-Custody Record [Figure 3] or Trans-
fer of Samples Form [Figure 5]. Sample tags contaminated with a hazardous
substance are disposed of properly with any other hazardous wastes. Serial
number of the contaminated tag is noted in the appropriate logbook and the
Project Coordinator is notified. At the completion of the field investiga-
tion activities, all unused tags (including those damaged or voided) tags
are returned to the Project Coordinator for disposal. The Transfer of
Samples form is used to account for those tags attached to samples split
with the facility or another Government agency.
CHAIN-OF-CUSTODY RECORDS
Serialized Chain-of-Custody Records are distributed in a manner simi-
lar to that used for sample tags. When samples are transferred to mobile
laboratory personnel, the analyst, after signing, retains the white (origi-
nal) custody record and files it in a safe place. The courier returns a
-------
11-34
(5/86)
copy of the custody record to the Project Coordinator. A similar procedure
is followed when dispatching samples via common carrier, mail, etc., so
that the original accompanies the shipment and is signed and retained by
the receiving laboratory sample custodian while the copy retained for the
Project Coordinator is returned from the dispatch point.
When samples are split with the source or another Government agency,
this is documented by the Transfer of Samples form [Figure 5]. The tag
serial numbers from all splits are recorded on the form and a copy of the
form is provided for the source or agency. 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 calibra-
tion; etc. within the NEIC laboratories are neither serialized nor distri-
buted by the EAU. These documents are accountable by the procedures dis-
cussed in the following paragraphs.
The computer printouts of lidar data analyses, opacity calculations
and verification results are retained, uniquely numbered and submitted to
EAU with the branch files.
Bench sheets and other similar documents will be numbered. Each docu-
ment will show the project number, dates, name(s) of analyst(s) 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.
Laboratory observations and calculations not recorded on numbered bench
sheets, instrument graph printouts, etc. are entered in numbered logbooks
assigned by a branch custodian or other designated individual. Each
-------
11-35
(5/86)
numbered page of the logbook actually consists of two pages - an original
and a copy.* The original is perforated 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 des-
cribe succinctly each step of the analysis performed because it may be
necessary for the analyst to testify in subsequent enforcement proceedings.
Moreover, sufficient detail is necessary to enable others to reconstruct
the procedures followed should the original analyst be unavailable for tes-
timony. Any irregularities observed during the testing process need to be
noted. If, in the technical judgment of the analyst, it is necessary to
modify a particular method to perform an analysis, the modification shall
be justified and properly documented.
The numbered 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 indi-
vidual. The custodian closes out each completed laboratory logbook and may
retain it or return it to the analyst for reference purposes.
Where applicable, the Branch file custodian issues a numbered instru-
ment logbook in which all information relating to calibration and mainten-
ance of a particular laboratory instrument is recorded.
PHOTOGRAPHS
When movies, slides or photographs are taken which visually show the
effluent or emission source and/or any monitoring locations, they are num-
bered to correspond to logbook entries. Identifying information (e.g.,
The original page requires no carbon paper. The logbook is referred
to as an NCR logbook.
-------
11-36
(5/86)
photographer, date, time, site location, etc.) is entered in the logbook as
photos are taken. The photographer is not required to record the aperture
settings and shutter speeds for photographs taken within the normal auto-
matic exposure range. Special lenses, films, filters or other image enhance-
ment techniques must be noted in the logbook. Chain-of-custody procedures
depend upon the subject matter, type of film and the processing it requires.
Film used for aerial photography, confidential information or criminal
investigations require chain-of-custody procedures. Logbook notations and
receipts may be used to account for routine film processing. Once developed,
the slides or photographic prints are numbered and identified corresponding
to the logbook descriptions.
CORRECTIONS TO DOCUMENTATION
As previously noted, unless prohibited by weather conditions, all ori-
ginal data recorded in logbooks, field data records, sample tags, custody
records and other data sheet entries are written with waterproof ink.
If an error is made on an accountable document assigned to one indivi-
dual, that individual may make contemporaneous corrections simply by cross-
ing a line through the error and entering the correct information. Any
subsequent error discovered 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 Cha1n-of-Custody Record, a written statement is prepared detailing how
the sample was collected, air-dispatched, or hand-transferred to the field
or NEIC laboratory. 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 compart-
ment until hand-transferred to the laboratory, etc. Copies of the state-
ment are distributed to the Project Coordinator and the appropriate Branch
project files.
-------
11-37
(5/86)
CONSISTENCY OF DOCUMENTATION
Each Branch or Division assembles its documents and cross-checks
information on corresponding sample tags, custody records, bench sheets,
analyst logbooks and other logbooks to ensure that data pertaining to each
particular sample is complete and consistent throughout the record. The
file shall be arranged in the order described on page 11-32, "Evidentiary
File". The Project Coordinator concurrently performs a cross-check of field
documents (FDRs, logbooks, custody records, etc.) to ensure that the infor-
mation recorded corresponds with that of the NEIC laboratory's and is con-
sistent throughout the project record. All NEIC project files shall be
inventoried and numbered. Evidence Audit contract personnel will inventory
all administrative and civil case files after these have been transferred
to EAU. Criminal case files are inventoried and numbered at the time of
file assembly by the respective NEIC Branches/Divisions involved in the
case.
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 serial-
ized number for each item within the category. Logbooks, FDRs, sample tags,
custody records and receipts for samples are serially numbered by the EAU
before assignment to project personnel. The logbooks and FDRs are identi-
fied with the project code as the first three alpha-numeric digits followed
by a two-digit document number. Sample tags, custody records, and receipts
for samples are labeled with the prefix "N", a four-digit document number
and the project code.
All project documentation (such as logbooks, graph paper, data calcula-
tion sheets, memoranda, correspondence, photos, etc.) which are used during
a project are uniquely identified with the project code, the Branch initials,
-------
11-38
(5/86)
and a sequential number (e.g., A49-CIB-01). The document numbers for all
files dealing with civil and administrative cases will be added by Evidence
Audit contract personnel. Document numbers for all criminal case files
will be added by the respective NEIC Branches/Divisions involved in the
case.
BRANCH OR DIVISION FILES
After a Branch has completed its work for a particular investigation,
all documents generated from that project should be assembled in the Branch
or Division 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 file. Each Branch
Chief is responsible for assuring the collection and assembly of all docu-
ments relative to an administrative or civil case-type project at the time
the project objectives are completed. Criminal case files will be numbered
and inventoried prior to transfer to EAU. The file then becomes accountable.
Any records leaving the file must be signed out by the agent or coordinator
developing the case.
EVIDENTIARY FILE
When NEIC has completed the project objectives, all inventoried Branch
and Division file documents are reviewed and submitted to the EAU as speci-
fied above. The format of the evidentiary file is to arrange each project
by branch documents and includes the following document classes:
A. Project Plan
B. Project logbooks
C. Field Data Records
D. Sample tags
E. Chain-of-Custody Records
F. Receipt of Samples and Documents forms
G. Transfer of Samples forms
H. Analytical logbooks, lab data, calculations, bench cards, graphs,
etc.
-------
11-39
(5/86)
I. Correspondence
1. Intra-office
2. EPA
3. Facility
4. Record of confidential material
J. Report notes, calculations, etc.
K. References, literature
L. Check-out logs
M. Litigation documents
N. Miscellaneous - photos, maps, drawings, etc.
0. Final report
Once deposited in the evidentiary file, documents may only be checked
out through the EAU document control personnel. Investigatory files main-
tained by Special Agents follow the format established by the Office of
Criminal Investigations.
REPORTS
All draft reports* are dated and numbered, each page is marked DRAFT,
and the report marked DRAFT REPORT, FOR AGENCY REVIEW ONLY, DO NOT DUPLICATE.
The Project Coordinator is responsible for disseminating draft reports for
NEIC review and preparing the appropriate transmittal memorandum to the
requester from the Chief, Enforcement Specialist Office [Table 1]. All
draft copies of the report are to be returned to the Project Coordinator at
the end of the specified review period except that the Regional offices may
wish to retain a copy of the draft report until the final report is received.
At that time, the draft retained will be returned to the NEIC for disposal.
The Project Coordinator must account for all draft copies.**
Page 1-12 discusses NEIC internal review procedures.
The Project Coordinator is responsible for maintaining a record show-
ing who received draft copies and when such copies were returned. In
addition, it is the responsibility of the Project Coordinator to assure
that all copies are returned. If difficulty arises in achieving the
return of draft copies, the Chief, Enforcement Specialist Office shall
be notified.
-------
11-40
(5/86)
LITIGATION DOCUMENTS
Any litigation reports, letters, memoranda, draft court documents,
etc. from the Enforcement Specialist Office or other Government attorney
which discuss legal matters or strategies should be separately identified
in individual Branch and Division files. These documents will be marked by
the Enforcement Specialist Office to identify the privileged nature of their
contents. All NEIC materials prepared at the request of the case attorney
will be transmitted by the Chief, Enforcement Specialist Office. Internal
distribution is limited to the appropriate project participants and the
yellow "rainbow" copy for the Central Files.
CONFIDENTIAL INFORMATION
Any information received by NEIC with a request for confidentiality is
handled as "confidential." A separate, locked file is maintained by the
EAU 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 Document Control Officer
(DCO). The information is then made available to NEIC personnel, but only
after it has been logged out. The information should be returned to the
locked file at the conclusion of each working day unless the employee can
guarantee its security. Confidential information may not be reproduced
except upon approval by and under the supervision of the DCO. Any repro-
duction should be kept to an absolute minimum. The DCO will enter all copies
into the document control system and apply the same requirements as for the
original. 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 confiden-
tial information. The DCO shall remove and retain the cover page of any
confidential information disposed of for 1 year and shall keep a record of
the destruction in the Confidential Inventory Log.
All analytical work on confidential samples will be separately per-
formed in a secure manner. The resulting documentation will be isolated
-------
11-41
(5/86)
from the Branch or Division files when the records are called in by the
EAU. Specific procedures for handling confidential information collected
under authority of the Toxic Substances Control Act are discussed in the
next section.
TSCA Confidential Business Information (CBI)
Provisions of the Toxic Substances Control Act (TSCA) allow a company
to make a claim of confidentiality for any or all information collected by
EPA during an inspection if the material meets al1 of the following criteria:
1. The company has taken measures to protect the confidentiality of
the information, and it intends to continue to take such measures.
2. The information is not, and has not been, reasonably obtainable
without the company's consent by other persons (other than Govern-
ment bodies) by use of legitimate means (other than discovery
based on a showing of special need in a judicial or quasi-judicial
proceeding).
3. The information is not publicly available elsewhere.
4. Disclosure of the information would cause substantial harm to the
company's competitive position.
Once confidentiality is claimed, there are stringent procedures that
must be followed. Only persons who have been granted TSCA CBI clearance
may have access to the material in the files.
Procedures for Obtaining, Maintaining and Relinquishing Clearance
1. The supervisor of the individual to be cleared contacts the Docu-
ment Control Officer (DCO). The DCO will complete the "TSCA CBI
Access Request, Agreement and Approval" form.
-------
11-42
(5/86)
2. Prior to receiving CBI access approval, the employee must attend
a security briefing. The briefing is in the form of a slide pre-
sentation followed by a written test covering procedures described
in the TSCA Confidential Business Information Security Manual.
3. The NEIC Director signs as authorizing official.
4. The authorization and test form is forwarded to Washington, D.C.,
and the individual is placed on the authorized access list.
5. Maintaining CBI clearance requires employees to attend a renewal
briefing and testing on an annual basis. Employees not attending
the briefing are automatically removed from the access list by
the TSCA security staff in Headquarters.
Handling TSCA CBI
1. CBI documents may be checked out from the DCO for no more than 90
days. At the end of the 90-day period, an extension may be granted
by the DCO.
2. Overdue documents must be identified in a weekly report circulated
to users of CBI. If these documents are not returned to the DCO
within 30 days after they first appear on the overdue notice,
they will become unaccounted for and an investigation will be
conducted by Headquarters TSCA security staff.
3. TSCA CBI can be discussed only with authorized persons. If CBI
is to be discussed on the telephone, both parties to the call are
responsible for verifying that the other is authorized for access
to TSCA CBI. Telephone logs must be kept for these conversations
and they must be logged into the document tracking system by the
DCO.
-------
11-43
(5/86)
4. CBI must be safeguarded when in use by keeping it under constant
surveillance and by covering it or placing material face down
when unauthorized persons enter the area. It must be returned to
approved storage containers when not in use.
5. Copying of TSCA CBI should be limited. TSCA CBI may be repro-
duced only by a DCO or under a DCO's supervision. Copies must be
logged into the tracking system.
6. Transmittals of TSCA CBI to other authorized individuals is accom-
plished through the respective Document Control Officers.
7. Personal working papers which include materials such as notes,
outlines and initial drafts of documents which remain in the pos-
session and control of the author have a limited exemption from
logging procedures (see the November 1985 TSCA CBI Security Manual,
pages 14-16).
8. While in travel status, TSCA CBI must remain in the employee's
possession and cannot be checked as luggage. CBI may be stored
inside a locked trunk of a vehicle for a short period of time but
never overnight. If the employee does not transfer possession of
the CBI material (for example, if they are being brought for use
in a meeting), they need not be double-wrapped. However, the
traveler must maintain the materials in his/her constant posses-
sion or control.
9. If 1t is necessary to take photographs or use microfilm for TSCA
CBI, these films must be processed at Vint Hill Farms, Warrenton,
Virginia. Vint Hill is the only approved processor for TSCA CBI.
Procedures to be followed are contained in Appendix G.
10. When TSCA CBI is discussed at meetings, it Is the responsibility
of the meeting chairperson to provide a sign-in sheet. All those
in attendance must sign in. This sheet must be taken to the DCO
-------
11-44
(5/86)
for entry into the document tracking system. Additional duties
of the chairperson are discussed on pages 18 and 19 of the Secur-
ity Manual.
All the materials used in typing documents containing TSCA CBI,
including word processing disks, ribbons, carbons and waste paper,
must also be treated as CBI and must be stored in approved storage
containers when not in use. When using diskettes, the following
procedures will be followed:
a. Record TSCA CBI information on a diskette by itself; do not
mix it with non-TSCA information. If you record data and
subsequently learn it is TSCA CBI, transfer the TSCA CBI
information to a blank diskette and transfer the non-TSCA
information to another blank diskette. Hand-carry the mixed
data diskette to the EAU for disposition.
Deleting the document from the index does not completely
erase it from the diskette. It can be electronically
retrieved.
b. Once recorded, the diskette becomes subject to the same con-
trols as any other TSCA CBI data.
(1) Notify the DCO that you have created a TSCA CBI diskette.
(2) Have it logged and properly signed out to you.
c. Diskettes and ribbons containing TSCA CBI information must
be returned to the DCO at the end of each working day unless
you have access to an approved storage container.
d. All trash paper and/or carbons generated when typing TSCA
CBI must be hand-carried to the DCO for destruction.
-------
11-45
(5/86)
e. Ribbons used to type TSCA CBI data must also be destroyed by
the DCO. Do not leave the ribbon in your printer overnight
(see item c).
Penalties for violating required procedures are severe. A "violation"
is the failure to comply with any provision in the TSCA Confidential
Business Information Security Manual, whether or not such failure leads to
actual unauthorized disclosure of TSCA CBI. Willful disclosure of TSCA CBI
to any person not authorized to receive it may subject you to: (1) a fine
of up to $5,000 and/or imprisonment for up to 1 year and (2) disciplinary
action with penalties up to and including dismissal.
All employees who are authorized to TSCA CBI access are responsible
for reporting (1) possible violations, (2) the loss of TSCA CBI materials
or (3) any unauthorized disclosure to their Division Director, who will
notify the Information Management Division (IMD) Director. The IMD Director
is responsible for investigating reported violation and determining the
appropriate action to take.
-------
11-46
(5/86)
EVIDENCE AUDIT
The Evidence Audit Unit (EAU) provides an evaluation of enforcement
investigation activities for evidentiary requirements. This evaluation
addresses document control, chain-of-custody, file assembly and evidence
security.
The eight primary functions of the EAU are:
Maintaining the evidence audit file for each project
Issuing accountable documents to project coordinators
Conducting evidence audits of field investigation activities
Conducting evidence audits of laboratory investigation activities
Conducting evidence audits of document files
Assembling and storing evidentiary files
Maintaining confidential files
Certifying completeness of evidentiary files
EVIDENCE AUDIT FILE
An evidence audit file is maintained for each project. It contains
checkout logs, document return logs, memoranda, audit logbook and file cer-
ti fication.
ACCOUNTABLE DOCUMENTS
The NEIC document control program requires the use of serialized
accountable documents for field investigations. These documents include,
but are not limited to, logbooks, field data records, sample tags, Chain-
of-Custody Records and Receipt for Samples forms. These items are issued
to the Project Coordinator's designee by the EAU.
EVIDENCE AUDIT OF FIELD ACTIVITIES
The audit of field activities is the evaluation of sampling operations
and data recording. The evaluation is based on the project plan, this manual,
-------
11-47
(5/86)
instructions by the Coordinator to field personnel and standard procedures
instituted by each Branch. The auditor contacts the Coordinator and dis-
cusses the various activities described in the project plan and schedules
the audit activities pertaining to each field team. The auditor periodi-
cally accompanies the field investigation team to evaluate document control
and chain-of-custody procedures.
The auditor works closely with the Project Coordinator during the
entire audit process. If deviations from standard procedures occur, the
Coordinator is notified immediately.
EVIDENCE AUDIT OF LABORATORY ACTIVITIES
The laboratory activities audit is the evaluation of sample custody,
laboratory procedures, quality assurance and documentation. The evaluation
is based on the project plan, this manual, and standard procedures insti-
tuted by each Branch. The audit covers each parameter or task described in
the project plan.
EVIDENCE AUDITS OF DOCUMENT FILES
The EAU requires submission of all records for inclusion in the evi-
dentiary file at the completion of a project. These files are reviewed to
assure accountability of all documents used. The individual Branch files
are checked for completeness. The case record is checked for completeness
and consistency throughout and any discrepancies are brought to the atten-
tion of the Project Coordinator.
ASSEMBLING AND STORING EVIDENTIARY FILES
Evidentiary files are assembled by each NEIC organizational unit
according to format presented on page 11-32 of this manual. They are stored
in a secure area and may be checked out as needed by NEIC personnel.
-------
11-48
(5/86)
CONFIDENTIAL FILES
A separate file is maintained for information when a company has made
a claim of confidentiality. These records are labeled confidential, stored
in EAU locked filing cabinets, and may be checked out to NEIC employees on
a need-to-know basis. All incoming confidential information is submitted
to the EAU for log-in and distribution.
Confidential Business Information (CBI) received under the Toxic Sub-
stances Control Act (TSCA) requires strict adherence to procedures outlined
in the TSCA Confidential Business Information Security Manual. Access to
material in these files is restricted to those who have received special
clearance.
CERTIFICATION OF COMPLETENESS OF EVIDENTIARY FILE
A memorandum certifying the completeness of the evidentiary file is
prepared for the Chief, Enforcement Specialist Office. This memorandum
addresses adherence to or deviations from NEIC policies and procedures for
chain-of-custody, document control and evidence security.
-------
11-49
(5/86)
QUALITY ASSURANCE
A Quality Assurance (QA) program is established at NEIC to assure that
data produced are of known and documented quality. The authority and
responsibility for directing QA activities within NEIC are delegated to the
QA Officer (QAO). QA direction and guidance are specified in the NEIC QA
Program Plan. QA program requirements cover all measurement activities
performed, supported or required by NEIC.
QA PROGRAM PLAN
The NEIC QA Program Plan provides policy and guidance for QA activi-
ties. The plan specifies measurement activities requiring QA documentation
and data quality assessment for precision, accuracy, representativeness,
comparability and completeness. It provides for a line of communication of
the progress and deficiencies of QA to NEIC management. The plan is the
basis for conducting system audits and determining adherence to NEIC QA
requirements.
QA PERSONNEL
The Quality Assurance Officer's responsibilities include development,
evaluation and documentation of QA policies and procedures at NEIC. The
QAO is assisted by QA division representatives from the Operations and Lab-
oratory Services Divisions in implementing and coordinating the QA program.
Other personnel involved in measurement activities are responsible for
carrying out quality assurance requirements in accordance with the QA Pro-
gram Plan and NEIC Standard Operating Procedures and for informing the QAO
or division representatives of the need for corrective actions.
The QAO develops and conducts system audits to monitor the QA program
and is available to consult with and recommend to the NEIC staff appropriate
and necessary QA methods and plans for assuring the quality of data produced.
-------
11-50
(5/86)
DATA GENERATION
QA is applied throughout the entire monitoring process to assure that
the data produced are of known and acceptable quality. The QA elements
included in the monitoring activities are described in project plans or
Standard Operating Procedures (SOPs) which are prepared for measurement
activities conducted by NEIC. Routine tasks are specified in SOPs. These
include:
Sampling and analytical methodology
Sample holding times and preservation
Federal reference, equivalent and alternate test procedures
Instrumentation selection and use
Calibration and standardization
Preventive and remedial maintenance
Replicate sampling and analysis
Blind and spiked samples
Data handling, evaluation and storage procedures
Measurement procedures will be in accordance with EPA regulations and
guidelines and NEIC Standard Operating Procedures. Deviations must be jus-
tified and documented. Adherence to approved procedures will be determined
during internal systems audits.
DATA PROCESSING
To prevent introducing errors or losing or misinterpreting the data,
adequate precautions must be taken during the reduction and storage of data.
A. Checks will be made at data handling points between the analysts
determining the data values and the individual entering the data into
the data storage system.
-------
11-51
(5/86)
All data must be recorded clearly and accurately in field
logbooks or on laboratory data sheets.
All data must be transferred and reduced from field logbooks
and bench sheets completely and accurately.
All field and bench records will be retained in permanent
files.
Whenever possible, data will be organized into standard
formats.
B. A data storage and information system will be capable of:
Receiving all entered data
Screening and validating data to identify and reject out-
liers or errors
Preparing, sorting, and entering all data into the data stor
age files (which are either computerized or manual)
Providing stored data points with associated QA/QC "labels"
which can indicate the level of confidence or quality of the
data. These labels should possess the capability of:
Indicating what QA/QC activities were included in the
major steps of the monitoring process
Quantitatively describing the precision/accuracy of the
analysis
Making data available to users, as required. Specific
requirements and procedures for the above aspects of
data processing will be described in Standard Operating
Procedures.
DATA QUALITY ASSESSMENT
The quality of measurement data generated and processed will be assessed
for precision, accuracy, representativeness, comparabi1ity and completeness
based on Standard Operating Procedures and available external measures of
quality (e.g., audit materials).
-------
11-52
(5/86)
EPA-approved and/or best available methodology will be used for data
quality assessment. For many measurements of the NEIC, suitable methodology
must be developed and verified.
Aspects of data quality which will be addressed are:
Precision - Standard Operating Procedures will contain a mechanism for
demonstrating the reproducibility of each measurement process. Exam-
ples of activities to assess precision are: replicate samples, colo-
cated monitors and instrument checks.
Accuracy - Standard Operating Procedures will contain mechanisms for
demonstrating the relationship of the reported data compared to the
"true" value(s).
Traceability of Instrumentation - Each measurement device will be
assigned a unique identification number. Documentation shall
identify the specific measurement device, where and when used,
maintenance performed, and the equipment and standards used for
calibration.
Traceability of Standards - Standards and each measurement device
will be calibrated against a standard of known or higher accuracy
when possible. Calibration standards will be traceable to avail-
able standards of the National Bureau of Standards (NBS). If NBS
standards are not available, other available validated (primary)
standards will be used.
Traceability of Data - Data will be documented to allow complete
reconstruction from initial field records through data storage
system retrieval.
Methodology - If available, Federal reference, equivalent or
approved alternate test methods will be used. Other methodology
must be fully documented and justified.
-------
11-53
(5/86)
Reference or Spiked Samples - Recoveries shall be within
predetermined acceptance limits. Unacceptable recoveries are
identified and documented.
Performance Audits - NEIC will participate in the EPA Performance
Audit Programs.
Representativeness, Comparability, Completeness - Where appropriate,
statements on representativeness, comparability and completeness will
be included.
DEFINITIONS
ACCURACY - the degree of agreement of a measurement with an accepted refer-
ence or true value. Accuracy is expressed as (1) the difference between
the two values, (2) a percentage of the reference or true value, or
(3) a ratio of the two values.
AUDIT - a systematic check to determine the quality of operation of some
function or activity. Audits may be of two basic types: (1) perform-
ance audits in which quantitative or qua!itative data are independently
obtained for comparison with routinely obtained data in a measurement
system, or (2) systems audits of a qua!itative nature that consist of
an onsite review of a laboratory's quality assurance system and physical
facilities for sampling, calibration and measurement.
COMPARABILITY - a measure of the confidence with which one data set can be
compared to another
COMPLETENESS - a measure of the amount of valid data obtained from a mea-
surement system compared to the amount that was expected to be obtained
under normal circumstances
-------
11-54
(5/86)
PRECISION - the degree of agreement between repeated measurements of one
property using the same method or technique
QUALITY ASSURANCE - the total integrated program for assuring the relia-
bility of monitoring and measurement data
QUALITY ASSURANCE PROGRAM PLAN - an orderly assembly of management policies,
objectives, principles and general procedures by which an agency or
laboratory outlines how it intends to produce quality data
QUALITY CONTROL - the routine application of procedures for obtaining pre-
scribed standards of performance in the monitoring and measurement
process
REPRESENTATIVENESS - the degree to which data accurately and precisely rep-
resent a characteristic of a population, parameter variations at a
sampling point or an environmental condition
STANDARD OPERATING PROCEDURE - an operation, analysis, or action whose
mechanics are thoroughly prescribed and documented and which is com-
monly accepted as the usual or normal method for performing certain
routine or repetitive tasks
-------
APPENDICES
A NEIC LABORATORY SERVICES IDENTIFICATION OF
ANALYTICAL REQUIREMENTS
B WITNESS GUIDELINES
C PROCEDURES FOR AIR SHIPMENT OF
ENVIRONMENTAL LABORATORY SAMPLES
D FORMS REQUIRED FOR TSCA INSPECTIONS
E NEIC PROCEDURES FOR MICROFILM PROCESSING OF
TSCA CBI DOCUMENTS
-------
APPENDIX A
NEIC LABORATORY SERVICES
IDENTIFICATION OF ANALYTICAL REQUIREMENTS
-------
NEIC LABORATORY SERVICES
IDENTIFICATION OF ANALYTICAL REQUIREMENTS
PROJECT NUMBER:
REQUESTER:
PROJECT NAME:
LOCATION:
OBJECTIVE(S) OF INVESTIGATION:
SAMPLES:
ESTIMATED NO.:
TYPE:
FIELD PERSONNEL:
DATE(S) OF SAMPLING:
BACKGROUND INFORMATION:
FACILITY/SOURCE:
SOURCE OF SAMPLES:
PARAMETERS OF INTEREST:
PAST DATA:
TIME CONSTRAINTS:
-------
APPENDIX B
WITNESS GUIDELINES
-------
B-l
(5/86)
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 witness' 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 tell-
ing 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 in the latter manner. To assist a
witness in testifying in such a manner, a list of timeproven hints and aids
are provided below.
GENERAL INSTRUCTIONS FOR A WITNESS
If you are to be a witness in a case involving testimony concerning
the appearance of an object, place, condition, etc., try to refresh your
-------
B-2
(5/86)
recollection by again inspecting the object, place, condition, field notes
and records, etc., before the hearing or trial. While making such inspec-
tion, 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 features 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 surround-
ings 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 crossexamination as
well as direct examination.
Wear neat, clean clothes when you are to testify. Dress conservatively.
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 findings from what he reads. . .Confused,
discursive, incomplete statements of fact do not yield satisfac-
tory findings.
-------
B-3
(5/86)
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 memorize 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 crossexamination. 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 mono-
logue. If your testimony concerns a specialized 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 addi-
tion, 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 certain 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.
-------
B-4
(5/86)
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 belief on
the subject based on information, say exactly that and let the
hearing officer decide whether you shall or shall not give such
information as you have. If a 'yes or no' answer to a question
is demanded but you think that a qualification should be made to
any such answer, give the 'yes or no' 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 embar-
rassed; 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 extensive 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.
-------
B-5
(5/86)
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 with-
out 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 askednot the question that you think the
examiner (particularly the crossexaminer) 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 cannot 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 ability.
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.
-------
B-6
(5/86)
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. Tes-
tifying at length is tiring. It causes fatigue. You will recognize fatigue
by certain symptoms: (a) tiredness, (b) crossness, (c) nervousness, (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 ques-
tion 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.
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.
-------
B-7
(5/86)
"Are you getting paid to testify in this appeal?" The lawyer asking
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 some-
thing like "No, I am not getting paid to testify; I am only getting compen-
sation 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 additional
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 C
PROCEDURES FOR AIR SHIPMENT OF
ENVIRONMENTAL LABORATORY SAMPLES
-------
c-l
(5-86)
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 Transportation (DOT) regulations
for packaging and shipping.
1. Unpreserved drinking water, ambient water, effluent, biological
sediment and sludge samples.
Normal unpreserved environmental samples collected by EPA employ-
ees are not regulated under DOT Hazardous Transporation Regula-
tions and may be shipped using NEIC packaging and handling proce-
dures for shipment of non-hazardous samples.
2. Preserved drinking water, ambient water, effluent, biological
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
§172.101. Samples preserved in the recommended manner may be
shipped using current NEIC packaging and handling procedures for
shipment of non-hazardous samples.
3. Reagents
Reagents which are designated as hazardous by DOT'S Hazardous
Material Table, 49, CFR §172.101, 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
-------
TABLE C-l
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
Preservati ve
Sample Type/
Parameter
pH Quantity of Weight % of
Recommendation Preservative Added Preservation Hazard Class Label
Packaging
Exceptions
Specific
Requirements (49 CFR)
HC1
HgCl2
HN03
HzS04
NaOH
H,P04
Freezing
0°C
Organic carbon
Nitrogen species
Metals, hardness*
Nitrogen species
COD, oil & grease
P (hydrolyzable)
organic carbon
Cyanides
Phenolics
Biological -
fish & shellfish
<2 (-1 9)
N A
<2(~1.6)
<2(-l 15)
2 m£ of 1.1
40 mg
3 mi of 1 1
2 mA of 36N
>12 (-12.3) 2 m£ of ION
<4
N. A
Sufficient to
yield desired pH
N A
0 04
0 004
0 15
0.35
0.080
N A
Corrosive
material
Poison B
Oxidi zer;
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
(Dry Ice) tissue*
173.263
173.372
173.268
173 272
173.248
173.245(b)
173.249
173.245
173 615
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 m the laboratory, the sample must be acidified with cone, HHOa 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 an ORN-A hazard by DOT. There are no labeling requirements for samples preserved with dry ice, but samples must be
packaged m accordance with the requirements of 49 CFR 173 615 and advance arrangements must be made between the shipper and the air carrier.
-—- <~>
en i
\ ro
00
CT1
-------
C-3
(5-86)
DOT Table. Nitric acid in any concentration is forbidden on
passenger-carrying aircraft or rail car.
For investigations where nitric acid must be used for metals pres-
ervation, means other than transport by passenger-carrying aircraft
or railcar must be used to transport the acid to the site of inves-
tigation.
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 contaminants in ex-
cess 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 material is known, and if the con-
taminant material is designated 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
laboratory for analysis, it is assumed that the shipper would
have some information concerning the sample, 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 Mate-
rials Transportation Coordinator 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 §172.101, it is necessary for a shipper to make a reason-
able determination whether the sample is likely to be classified
-------
C-4
(5-86)
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 §173.3.
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)
ORM-B (other regulated material, i.e., barium oxide,
calcium oxide, copper chloride)
ORM-A (i.e., dry ice, carbon tetrachloride, chloroform,
DDT, dieldrin, formaldehyde, lindane, malathion, naptha-
lene, vinyl acetate)
Combustible liquid (in containers having capacities of
110 gallons or less)
The above hazards likely to be applicable to NEIC survey samples 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
Oiphosgene
Ethyldichlorarsi ne
Hydrocyanic acid
-------
C-5
(5-86)
Methyldichloratsine
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
DOT's 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, permanga-
nate, inorganic peroxide, nitro carbo nitrate, or a nitrate that yields
oxygen readily to stimulate the combustion of organic matter."
Corrosive materials (49 CFR 173.240) - "A liquid ... that causes vis-
ible destruction or irreversible alterations in human skin 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 (includ-
ing 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 following categories when tested on labora-
tory animals:
Oral toxicity ....
Toxicity on inhalation
Toxicity by skin absorption ....
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.
-------
C-6
(5-86)
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
characteristics or the probable hazards to humans as shown by experience
indicate that the substances will not cause serious sickness or death."
Irritating Material (49 CFR 173.381) - "A liquid or solid substance
which upon contact with fire or when exposed to air gives off dangerous
or intensely irritating fumes, such as brombenzylcyanide, chloraceto-
phenone, diphenylaminechlorarsine, and diphenylchlorarsine, 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-1iquid, creosote-coal tar, fuel oil, pine oil,
road oil, and wax-liquid.
Etiological agent (49 CFR 173.386) - a viable microorganism or its
toxin, which causes or may cause human disease. A "diagnostic specimen"
means any human or animal material including, but not limited to,
excreta, secreta, blood, and its components, tissue, and tissue fluids
being shipped for purposes of diagnosis. The list of etiological
agents in the Department of Health, Education and Welfare (HEW) regula-
tions, 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 haz-
ardous materials regulations but HEW requires an etiological agent
label to be affixed to all packages which contain etiological agents.
However, 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 con-
sidered 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.
-------
C-7
(5-86)
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 pro-
cedures 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 standard
requirements for all packages as specified in 49 CFR 173.24, e.g.:
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 pres-
sure, or through an explosion, significantly reduce the effective-
ness 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 environment.
* In DRAFT circulation at time of this printing.
-------
C-8
(5-86)
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. . ..
For any packaging with a capacity of 110 gallons or less containing
liquids, sufficient outage (ullage) must be provided 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 closure or any inside
plastic packaging must be secured to prevent the closure from
loosening due to vibration or substantial 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 temperature 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 enclosed 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
-------
C-9
(5-86)
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 preservatives and the bottles will not require additional styrofoam
enclosures. 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 position of the cooler and a "THIS SIDE
UP" sticker will be placed on top. Following these packaging procedures,
will minimize to the greatest degree presently possible, any harm which
could occur from transportation of NEIC environmental samples in commerce.
-------
APPENDIX 0
FORMS REQUIRED FOR TSCA INSPECTIONS
Figure D-l Notice of Inspection
Figure D-2 Completed Notice of Inspection
Figure D-3 TSCA Inspection Confidentiality Notice
Figure D-4 Completed TSCA Inspection Confidentiality
Notice
Figure D-5 Receipt for Samples and Documents
Figure D-6 Completed Receipt for Samples and Documents
Figure D-7 Declaration of Confidential Business
Information
Figure D-8 Completed Declaration of Confidential
Business Information
-------
D-l
(5/86)
US ENiVlHOVMENTAL PROTECTION AGEfsiCY
WASHINGTON OC 20<160
TOXIC SUBSTANCES CONTROL ACT
NOTICE OF INSPECTION
Form Appealed
OUB No :0?0 0007
\pprouI cxpirti 8 31 85
1 I NVESTIGATlON IDENTIFICATION
OATE
INSPECTOR NO DAILY SEQ NO
2 TIME
3 FiRM NAME
4 INSPECTOR AOORESS
5 FIRM ADDRESS
REASON FOR INSPECTION
Under the authority of Section 11 of the Toxic Substances Control Act
I ) For the purpose of inspecting (including taking samples photographs, statements and other inspection activities) an establish
ment, facility, or other premises in which chemical substances or mixtures or articles containing same are manufactured proc
essed or stared, or held before or after their distribution in commerce (including records, files, papers, processes controls, and
facilities) and any conveyance being used to transport chemical substances, mixtures, or articles containing same in connection
with their distribution in commerce (including records, files, papers, processes, controls, and facilities) bearing on whether the
requirements of the Act apphcaole to the chemical substances, mixtures, or articles within or associated with such premises or
conveyance have been complied witn
D In addition, this inspection extends to {Check appropriate blocks}
OA Financial data Do Personnel data
Ob Sales data De Research data
0 C Pricing data
The nature and extent of inspection of such data specified in A through E above is as follows.
in$p:ctor signature
RECIPIENT SIGNATURE
NAM£
NAME
TITLE
OATE SIGNED
Title
OATE SIGNED
EPA Form 7740-3 112 B2I
•U 5 iOkSfi ~ Pf *>T S Off CL Ht'-f.'ll
INSPECTION PILE
FIGURE D-l. NOTICE OF INSPECTION
-------
D-2
(5/86)
&EPA
uS Environmental protection agency
WASHINGTON DC 20460
TOXIC SUBSTANCES CONTROL ACT
NOTICE OF INSPECTION
Form ApprQitd
OMB No 20 70 0007
Approval expiret 8 J I 85
\ investigation identification
DATE
INSPECTOR NO
DAILY SEQ NO
4 i.YSPEtfTOR AOORESS
Aoi 1*12-1 8jJ 5*3 /
P «h v* ty" £*«»*
froZ.'2-S
3 FIRM NAME
A £ C Cawpa. n ^
5 FIRM ADDRESS
' &ToJt"Dn^K.
Mvftuii-ui-c, j USA
REASON FOR INSPECTION
Under the authority of Section 11 of the Toxic Substances Control Act
For the purpose of inspecting (including taking samples photographs, statements and other inspection activities) an establish
ment, facility, or other pr«misei in whic^ chemical substances or mixtures or articles containing same are manufactured proc
essed or stored or held before or after thetr distribution in commerce (including records, files, papers, processes controls and
facilities) and any conveyance being used to transport chemical substances, mixtures, or articles containing same m connection
with their distribution in commerce (including records files, papers processes controls, and facilities) bearing on whether the
requirements of the Act applicable to the chemical substances, mixtures, or articles within or associated with such premises or
conveyance have been complied witn
In addition, this inspection extends to (Check appropriate blocks)
CD A Financial data gfo Personnel data
~ B Sales data Q E Research data
O C Pricing J ta
The nature and extent of inspection of such data specified »n A through E above ¦» as follows
&cc ar ynjtkvj ^
NSPZCTOR SIGNATURE
PGCIPi£NT SIGNATURE
N AW //
NAME
i iYi6
DATE SIGN E0
/AM
title
J / c J
sJaA V) C. *sJo V) es
DATE SIGNED
y/rJsL
tl
ocr^
EPA Form 7740-3 112 82)
INSPECTION FILE
FIGURE D-2. COMPLETED NOTICE OF INSPECTION
-------
D-3
(5/86)
US ENVIRONMENTAL PROTE.TlON AGENCY
WASHINGTON OC 20460
TOXIC SUBSTANCES CONTROL ACT
TSCA INSPECTION CONFIDENTIALITY NOTICE
Form Approved
OMB No 2070 0007
Ipprotol txpirci 8 3185
1 INVESTIGATION IDENTIFICATION
DATE
INSPECTOR NO
OAILY SEQ NO
2 FIRM NAME
3 INSPECTOR NAME
4 FIRM AODRESS
5 INSPECTOR AODRESS
6 CHIEF EXECUTIVE OFFICER NAME
TO ASSERT A CONFIDENTIAL BUSINESS INFORMATION CLAIM
l( it possible that EPA will receive public requests for release of the
information obtained during inspection of the facility above Such
reauests will be handled by EPA m accordance with provisions of the
Freedom of Information Act (FOIA), S USC 5S2 EPA regulations
issued thereunder, 40 CFR Part 2, and the Toxic Substances Control
Act (TSCA), Section 14 EPA is required to make inspection data
available m response to FOIA requests unless the Administrator o! the
Agency determines that the data contain information entitled to confi*
dential treatment or may be withheld from release under other excep-
tions of FOIA
Any or all the information collected by EPA during the inspection may
be claimed confidential if it relates to trade secrets or comme'ciel or
financial matters that you consider to be confidential business mfor
mation if you assert a C8I claim, EPA will disclose the information
onty to the extent, and by means of the procedures set forth m the
regulations (cited above) governing EPA's treatment of confidential
business information Among other things, the regulations require that
EPA notify you in advance of publicly disclosing any inlormation
you have claimed as confidential business information
A confidential business information (CBI) claim may be asserted at any
time You may assert a CBI claim prior to, during, or alter the mfor
mation is collected The declaration form was developed by the Agency
to assist you in asserting a CBI claim If it is more convenient for you to
assert a CBI claim on your own stationery or by marking the individual
documents or samples "TSCA confidential business information ' it is
not necessary for you to use this form The inspector will be glad to
answer any questions you may have regarding the Agency s CBI
procedures
While you may claim any collected information or sample as confiden
tiol business information, such claims are unlikely to be upheld if they
are challenged unless the information meets the following criteria
1 Your company has taken measures to orotect the confi
dentiahty of the information, and it intends to continue
to take such measures
2 The information is not and has not been reasonably obtainable
without your company s consent by other persons (other than
governmental bodies) by use of legitimate means (other than
discovery based on showing of special need m a juaiaal or
quasi judicial proceeding)
3 The information is not publicly available elsewhere
4 Oisdosure of the information would cause substantial
harm to your company's competitive position
At the completion of the inspection, you will be given a receipt for all
documents, samples, and other materials collected At that time you
may make claims that some or all of the information is confidential
business information
If you are not authorized by your company to assert a CBI claim this
notice will be sent by certified mail, along with the receipt for docu
menu samples, and other materials to the Chief Executive Officer of
your firm within 2 days of this date The Chief Executive 0"icer must
return a statement specifying any information which should receive
confidents treatment
The statement from the Chief Executive Officer should be addressed
and mailed by registered return-receipt requested mail within 7 calen
dar days of receipt of this Notice Claims may be made any time
after the inspection, but inspection data will not be entered into (he
special security system for TSCA confidential business information
until an official confidentiality claim is made The data will be handled
under the agency's routine security system unless and until a claim is
made
TO 8E COMPLETED BY FACILITY OFFICIAL RECEIVING THIS NOTICE
I have received and read the notice
If there it no one on the premises of the facility wno is aunorueo to ma«e
business confidentiality claims for the firm, a copy of this Notice and other
msoection materials will be sent to the company's chief executive officer If
there is another company official who should also receive this information,
please designate below
SIGNATURE
NAME
OATE SIGN£D
ADDRESS
ZJ
EPA Form 77404 (12 62)
INSPECTOR S FILE
FIGURE D-3^ TSCA INSPECTION CONFIDENTIALITY NOTICE
-------
D-4
(5/86)
rcJe_ ~£?rti/e_
&5A 2176,$
3 INSPECTOR NAME
Jqy*£.S SIhjTTt
5 INSPECTOR ADOflESS f .
^o)t irzi7 >S/J S3
ZW«r T'tdw
z>,
/t-v> f they
are challenged unlets the information meets the following criteria
1 Your company has taken measures to protect the confi
dentielity of the information, and it intends to continue
to take such measures
2 The information is not, and hat not been, reasonably obtainable
without your company s consent Dy other persons (other than
governmental bodies) by use of legitimate means (other man
discovery based on showing of special need in a judicial or
Quasi judicial proceeding)
3 The information is not publicly available elsewhere
4 Disclosure of the information would cause substantial
harm to your company's competitive position
At the completion of the inspection, you will be given a receipt for all
documents samples, and other materials collected At that time you
may ma*e claims that some or all of the information is confidential
business information
If you are not authorized by your company to auert aC8l claim th'i
notice will be sent by certified mail along with the receipt for docu
ments samples and other materials to the Chief Executive Officer of
your firm within 2 days of this date The Chief Executive Officer mutt
return a statement specifying any information which should receive
confidential treatment
The statement from the Chief Executive Officer should be addressed
to
Jay>e~ Dot. 7~ScA PCO
AJo.h?v\ ¦/~vu m —* i* vlH^S
SojC 2.5IZ. 7 /3/e? ,
p I/C^V c* lo t "LS
and mailed by registered return-receipt requested mail withm 7 caien
dar days of receipt of tnis Notice Claims may be made any time
after the inspection but inspection data will not be entered into we
special security system for TSCA confidential business informj.
-------
D-5
(5/86)
US ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, OC 20460
TOXIC SUBSTANCES CONTROL ACT
RECEIPT FOR SAMPLES AND DOCUMENTS
form Approied
CMfB ,No 2O'O 0007
Approval txpirei S 31 85
0ATE
I INVESTIGATION IDENTIFICATION
J INSPECTOR ADDRESS
INSPECTOR NO
DAILY SEQ NO
2 FIRM NAME
4 PirtM ADDRESS
The documents and samples of chemical substances and/or mixtures described below were collected in connection with the
administration and enforcement of the Toxic Substances Control Act
RECEIPT OF THE DOCUMENT(S) AND/OR SAMPLE(S) DESCRIBED IS HERE8Y ACKNOWLEDGED
DESCRIPTION
OPTIONAL
DUPLICATE OR SPLIT SAMPLES REQUESTED AND PRQVIOEO D NOT REQUESTED O
INSPECTOR SIGNATURE
RECIPIENT SIGNATURE
tITLS
DAVE SIGNED
TITLE
DATE SIGNfeD"
EPA Form 7740-1 (12 82)
IMS PEC ~ OS S P iLE
FIGURE D-5, RECEIPT FOR SAMPLES AND DOCUMENTS
-------
D-6
(5/86)
J US ENVIRONMENTAL PROTECTION AGENCY
1 Jk WASHINGTON OC 20460
MnFnO TOXIC SUBSTANCES CONTROL ACT
tilm% RECEIPT FOR SAMPLES AND DOCUMENTS
Form Approved
OMS So 2070 0007
Approval txpittt 3 JJ S3
1 INVESTIGATION IDENTIFICATION
2 FIRM NAME »
OATE INSPECTOR NO
y/s-J?l \
DAILY SEQ NO
3 iWSPfcCTOH ADDRfcSS
A/csfantoJ £*--C*ce r* i<\~£ -A ^duMi
J)i** l/{~ *La*ra^l
Pe-viv't^ C*b, <^2-2,5"
i fibmadBHESS f ®
« ~ 15> J? &£>
1 1 3 S /?Jy*
2-K Sa^f/tS C 7~Zj A*>s. <*/- >i~S V - > 2.3?
OPTIONAL
DUPLICATE OR SPLIT SAMPLES R EQuESTE O »N0 f AO V lOE D CD NOT REQUESTED
INSPECTOR SlCNAXpRE
RECIPIENT SIGNATURE
S—-
NAVE ^
J ar/ies. zV
NAME ~ //
cJo I y\ (C. ~Jc3 y> e s
iMTLG
OATE SIGNEO
y'/f/vL
TITLE
e'Z/c»Jisv\l£
OATt slONtU
yJr/zL
EPA Farm 774
-------
D-7
(5/86)
US £NVIRONMENTAL PROTECTION AGBNC Y
[ffTTiA WASHINGTON OC 20460
r^S^B TOXIC SUBSTANCES CONTROL ACT
DECLARATION OF CONFIDENTIAL BUSINESS INFORMATION
Form A pprcud
0\tB So rOTO 0007
Approve! esptret £ J/ 3S
1 INVESTIGATION IDENTIFICATION
2 FIRM NAME
~ATE
INSPECTOR NO
OAILV SEQ NO
3 INSPECTOR ADDRESS
4 FIRM ADDRESS
INFORMATION DESIGNATED AS CONF IDENTIAL BUSINESS INFORMATION
NO
DESCRIPTION
ACKNOWLEDGEMENT BY CLAIMANT
The undersigned acknowledges that the information described above is designated as Confidential Business Information under Section 14(c] of the
Toxic Substances Control Act The undersigned further acknowledges that he/she is authorized to make such claims for his/her firm
The undersigned understands that challenges to confidentiality claims may be made, and that claims are not likely to be upheld unless the infor-
mation meets the following guidelines (1) The company has taken measures to protect the confidentiality of the information and it intends to
continue to take such measures, (2) The information is not, and has not been reasonably attainable without the company's consent by other
persons (other than governmental bodies) by use of legitimate means (other than discovery based on a showing of special need tn a |udicial or
quasi judicial proceeding), (3} The information is not publicly available elsewhere, and (4) Disclosure of the information would cause substantial
harm to the company's competitive position
INSPECTOR SIGNATURE
CLAIMANT SIGNATURE
NAME
NAME
TITLE
DATE SIGNED
TITLE
DATE SIGNED
EPA Porm 77d0-2 (12 821 INSPECTION F ILE
FIGURE D-7, DECLARATION OF CONFIDENTIAL
BUSINESS INFORMATION
-------
0-8
(5/86)
US ENVIRONMENTAL PROTECTION AGENCY
A WASHINGTON OC 2O460
TOXIC SUBSTANCES CONTROL ACT
DECLARATION OF CONFIDENTIAL BUSINESS INFORMATION
form Approved
OMB No 3070 0007
Approval tsptrtt t Ji $S
1 INVESTIGATION IDENTIFICATION
2 FIRM NAME
f (j)wv Dolm.^
OATE / 1 INSPECTOR NO
//f/W \
OAILY SEQ NO
3 ftySPECTOR ADDRESS ,
A£0* ASd
Vc^yi U IfS fa JjLsVtJ? Cc^n4*"
-Ds^a Cj-Jn WLif
4 FIRM ADDRESS \
/J-l 5 &rok<^ I
USA ^nus
INFORMATION OESIGNATEO AS CONFIDENTIAL SUSINESS INFORMATION
NO
DESCRIPTION
7~X/S -fvrm '5 "To b< C
ba.v
)^ia.jce cja.\w\5
4// iXn,1*4/* -Ar a CL\~ >'s
J>t intends to
continue to take such measures (2) The information is not. and has not been reasonably attainable wxhoui the company s consent by other
persons (other than governmental bodies) by use of legitimate means (other than discovery based on a showing of special need in a judicial or
quasi ludicia! proceeding), (3) The information is not publicly available elsewhere and (4) Disclosure of the information would cause substantial
harm to the company's competitive position
INSPECTOR SIGNATURE
CLAIMANT SIG/JAfURE
^—)s-rrst^C4~-'
NAME /
<^awJZS
NAMEf' /y
C. Joyces
TITLE
' vi ay
DATE SIGNED
y/zyrf
TITLE
'/Mxi
CPA Fnrm 77dO-2 112 62) IN St" ECT ION F IL E
FIGURE D-8. COMPLETED DECLARATION OF
CONFIDENTIAL BUSINESS INFORMATION
-------
APPENDIX E
NEIC PROCEDURES FOR MICROFILM PROCESSING
OF TSCA CBI DOCUMENTS
-------
E-l
(5/86)
NEIC PROCEDURE FOR MICROFILM PROCESSING OF TSCA CBI DOCUMENTS
1. Kodak Infocapture AHU 1454 microfilm shall be used for filming all
TSCA CBI documents. For 35mm photography, use Ektachrome film.
2. Obtain packaging materials and instructions from the NEIC Document
Control Officer, including:
Preprinted shipping labels
Chain-of-custody records
Custody seals
Double envelopes
Green TSCA cover sheets
TSCA loan receipt
3. Prepare each roll of microfilm for shipment to the processor:
Enclose the film in double-wrapped packages
Place a green TSCA cover sheet in the inner package
Place a TSCA loan receipt in the inner package
Complete a Chain-of-Custody Record, place the white copy in the
inner package and keep the pink copy for the field files
Seal inner package with a custody seal and sign and date it
Mark the inner package:
"TO BE OPENED BY ADDRESSEE ONLY
TSCA CONFIDENTIAL BUSINESS INFORMATION"
4. Ship the film via Federal Express to the Springfield, Virginia Federal
Express office and instruct that it is to be held for pickup. USE
SIGNATURE SECURITY SERVICE ONLY.
This practice requires the courier to sign, the station personnel to
sign, and the delivery courier to sign.
Instruct the Springfield Federal Express office to hold the shipment
for pickup and to notify:
-------
E-2
(5/86)
Mr. Vern Webb
USEPA/EPIC
Vint Hill Farms Station, Bldg. 166
Warrenton, Virginia 22186
FTS and Comra: (703) 557-3110
5. Telephone Mr. Webb and inform him of the date shipped, the number of
rolls of film, the air bill number and your phone number.
6. Telephone the NEIC Document Control Officer and inform her.
7. Telephone Mr. Webb the following day and verify film quality to deter-
mine if repeat microfilming is necessary.
8. The pink copy of the Federal Express form, with the shipment cost and
project number indicated, must be turned in to the Assistant Director,
Planning and Management. If you are in the field for an extended
period of time (3 weeks or more), the pink copies must be mailed to
NEIC.
------- |