PCB Inspection
Manual
\
-------
-------
Disclaimer
The purpose of this manual is to provide inspectors with an in-
depth knowledge of the Toxic Substances Control Act (TSCA)
Polychlorinated Biphenyl (PCB) inspection process. The mention
of trade names, commercial products, or organizations does not
imply endorsement by the U.S. Government.
-------
-------
Table of Contents
Table of Contents
Glossary of Terms v
Foreword ix
Chapter One PCBs: Facts
1.0 PCBs: Facts 1-1
1.1 Background 1-1
1.2 Overview of TSCA Section 6 1-3
1.3 Overview of TSCA Confidential Business Information 1-7
Chapter Two Pre-lnspection Activities
2.0 Pre-lnspection Activities 2-1
2.1 Inspection Authority 2-1
2.2 Preparation 2-1
2.3 Confidential Business Information Clearance 2-3
2.4 Equipment Preparation 2-5
Chapter Three Inspection Procedures
3.0 Inspection Procedures 3-1
3.1 Entry 3-1
3.2 Opening Conference 3-4
3.3 Records Assessment 3-6
3.4 Records Verification 3-8
3.5 Inspecting for Compliance with Disposal Requirements 3-10
3.6 Marking Assessment 3-14
3.7 Storage Assessment 3-15
3.8 Closing Conference 3-18
3.9 Compliance Assistance 3-19
Chapter Four Equipment-Specific Information
4.0 Equipment-Specific Information 4-1
4.1 Transformers 4-1
4.2 Capacitors 4-9
4.3 Other Electrical Equipment 4-12
4.4 Hydraulic Systems 4-12
4.5 Other PCB Equipment 4-13
PCB Inspection Manual i August 2004
-------
Table of Contents
Table of Contents (continued)
Chapter Five Regulatory Requirements and Inspection Procedures
5.0 Regulatory Requirements and Inspection Procedures 5-1
5.1 Authorizations 5-1
5.2 Storage for Reuse 5-30
5.3 Marking of PCBs and PCB Items 5-32
5.4 Storage and Disposal 5-36
5.5 Transboundary Shipments of PCBs for Disposal 5-82
5.6 PCB Spill Cleanup Policy 5-83
5.7 General Records and Reports 5-90
5.8 PCB Waste Disposal Records and Reports 5-102
Chapter Six Sampling
6.0 Sampling 6-1
6.1 Sampling Guidelines 6-1
6.2 Priorities for Sampling 6-2
6.3 Sample Collection 6-5
6.4 General Considerations for Sampling 6-8
6.5 Sample Documentation 6-11
6.6 Sampling Strategies 6-15
6.7 Sampling Hazardous Materials 6-29
Chapter Seven Post-Inspection Activities
7.0 Post-Inspection Activities 7-1
7.1 Introduction 7-1
7.2 Inspection Follow-up 7-1
7.3 The Inspection Report 7-2
7.4 What To Do With the Completed Inspection Report 7-6
7.5 Data Entry 7-6
7.6 Appearing as a Witness 7-7
August 2004 ii PCB Inspection Manual
-------
Table of Contents
Appendices
Appendix A Inspection Forms
Appendix B National Policy: The Role of the EPA Inspector in Providing Compliance
Assistance During Inspections
Appendix C Large PCB Mark (MJ
Appendix D Inspection Conclusion Data Sheet (ICDS)
Appendix E PCB Manufacturers and Trade Names
Appendix F PCBs in Underground Mines
Appendix G PCBs in Natural Gas Pipelines
Appendix H Submersible Pump Units that Contain PCBs
Appendix I Incinerators
Appendix J Chemical Waste Landfills
Appendix K High-Efficiency Boilers
Appendix L Alternative Disposal Methods
Appendix M Scrap Metal Recovery Ovens and Smelters
Appendix N Reclassification of Retrofilled Transformers
Appendix O Sample Seal and Chain-of-Custody Form
Appendix P Department of Transportation Hazardous Materials Training
Appendix Q Appearing as a Witness
PCB Inspection Manual
August 2004
-------
Table of Contents
Blank Page
August 2004 iv PCB Inspection Manual
-------
Glossary of Terms
Glossary of Terms
Bushing: a rigid conductor that is placed between the transformer-winding leads and the
external conductor. Usually consists of a solid copper rod surrounded by porcelain.
Destructive sample: a discrete sample such as a piece of wood, paving, or brick (EPA Field
Manual for Grid Sampling of PCB Spill Sites to Verify Cleanup.)
Destructive sampling: using chisels, drills, and/or hole saws, to remove sufficient sample for
analysis.
High-concentration PCBs (as defined in §761.123): PCBs that contain 500 ppm or greater
PCBs, or those materials which EPA requires to be assumed to contain 500 ppm or greater
PCBs in the absence of testing.
Investment Casting Wax: wax used to either cast small models of precious metals (mostly
jewelry) or larger parts of steel, titanium, or alloys (precision casting).
Liquid PCBs (as defined in §761.3): a homogenous flowable material containing PCBs and no
more than 0.5 percent by weight non-dissolved material.
Low-concentration PCBs (as defined in §761.123): PCBs that are tested and found to contain
less than 500 ppm PCBs, or those PCB-containing materials which EPA requires to be
assumed to be at concentrations below 500 ppm (i.e., untested mineral oil dielectric fluid).
NPCD: National Program Chemicals Division.
Network Transformer: transformers hooked up in parallel systems so that if one transformer
fails another one will pick up the load.
Non-liquid PCBs (as defined in §761.3): materials containing PCBs that by visual inspection
do not flow at room temperature (25 °C or 77 °F) or from which no liquid passes when a 100 g
or 100 ml representative sample is placed in a mesh number 60 ±5 percent paint filter and
allowed to drain at room temperature for 5 minutes.
PCB and PCBs (as defined in §761.3): any chemical substance that is limited to the biphenyl
molecule that has been chlorinated to varying degrees or any combination of substances which
contains such substance. Refer to §761.1 (b) for applicable concentrations of PCBs. PCB and
PCBs as contained in PCB items are defined in §761.3. For any purposes under this part,
inadvertently generated non-Aroclor PCBs are defined as the total PCBs calculated following
division of the quantity of monochlorinated biphenyls by 50 and dichlorinated biphenyls by 5.
PCB Article (as defined in §761.3): any manufactured article, other than a PCB Container, that
contains PCBs and whose surface(s) has been in direct contact with PCBs. "PCB Article"
includes capacitors, transformers, electric motors, pumps, pipes and any other manufactured
item (1) which is formed to a specific shape or design during manufacture, (2) which has end
use function(s) dependent in whole or in part upon its shape or design during end use, and (3)
which has either no change of chemical composition during its end use or only those changes of
composition which have no commercial purpose separate from that of the PCB Article.
PCB Inspection Manual v August 2004
-------
Glossary of Terms
PCB Article Container (as defined in §761.3): any package, can, bottle, bag, barrel, drum,
tank, or other device used to contain PCB Articles or PCB Equipment, and whose surface(s)
has not been in direct contact with PCBs.
PCB bulk product waste (as defined in §761.3): waste derived from manufactured products
containing PCBs in a non-liquid state, at any concentration where the concentration at the time
of designation for disposal was>50 ppm PCBs. PCB bulk product waste does not include PCBs
or PCB Items regulated for disposal under §761.60(a) through (c), §761.61, §761.63, or §761.64.
PCB bulk product waste includes, but is not limited to:
(1) Non-liquid bulk wastes or debris from the demolition of buildings and other man-made
structures manufactured, coated, or serviced with PCBs. PCB bulk product waste does
not include debris from the demolition of buildings or other man-made structures that is
contaminated by spills from regulated PCBs which have not been disposed of,
decontaminated, or otherwise cleaned up in accordance with subpart D of this part.
(2) PCB-containing wastes from the shredding of automobiles, household appliances, or
industrial appliances.items are defined in §761.3. For any purposes under this part,
inadvertently generated non-Aroclor PCBs are defined as the total PCBs calculated
following division of the quantity of monochlorinated biphenyls by 50 and dichlorinated
biphenyls by 5.
(3) Plastics (such as plastic insulation from wire or cable; radio, television and computer
casings; vehicle parts; or furniture laminates); preformed or molded rubber parts and
components; applied dried paints, varnishes, waxes or other similar coatings or sealants;
caulking; adhesives; paper; Galbestos; sound deadening or other types of insulation; and
felt or fabric products such as gaskets.
(4) Fluorescent light ballasts containing PCBs in the potting material.
PCB Capacitor (as defined in §761.3): any capacitor that contains >500 ppm PCB.
Concentration assumptions applicable to capacitors appear under §761.2.
PCB Container (as defined in §761.3): any package, can, bottle, bag, barrel, drum, tank, or
other device that contains PCBs or PCB Articles and whose surface(s) has been in direct
contact with PCBs.
PCB-Contaminated Electrical Equipment (as defined in §761.3): any electrical equipment
including, but not limited to, transformers (including those used in railway locomotives and self-
propelled cars), capacitors, circuit breakers, reclosers, voltage regulators, switches (including
sectionalizers and motor starters), electromagnets, and cable, that contains PCBs at
concentrations of >. 50 ppm and < 500 ppm in the contaminating fluid. In the absence of liquids,
electrical equipment is PCB-Contaminated if it has PCBs at > 10 ug/100 cm2 and < 100 ug/100
cm2 as measured by a standard wipe test (as defined in § 761.123) of a non-porous surface.
PCB Equipment (as defined in §761.3): any manufactured item, other than a PCB Container
or a PCB Article Container, which contains a PCB Article or other PCB Equipment, and includes
microwave ovens, electronic equipment, and fluorescent light ballasts and fixtures.
PCB Household Waste (as defined in §761.3): PCB waste that is generated by residents on
the premises of a temporary or permanent residence for individuals (including individually owned
or rented units of a multi-unit construction), and that is composed primarily of materials found in
wastes generated by consumers in their homes. PCB household waste includes unwanted or
discarded non-commercial vehicles (prior to shredding), household items, and appliances or
appliance parts and wastes generated on the premises of a residence for individuals as a result
August 2004 vi PCB Inspection Manual
-------
Glossary of Terms
of routine household maintenance by or on behalf of the resident. Bulk or commingled liquid
PCB wastes at concentrations of >.50 ppm, demolition and renovation wastes, and industrial or
heavy duty equipment with PCBs are not household wastes.
PCB Item fas defined in §761.3): any PCB Article, PCB Article Container, PCB Container, PCB
Equipment, or anything that deliberately or unintentionally contains or has as a part of it any PCB
or PCBs.
PCB Transformer (as defined in §761.3): any transformer that contains >500 ppm PCBs. For
PCB concentration assumptions applicable to transformers containing 1.36 kilograms (3 Ibs.) or
more of fluid other than mineral oil, see §761.2. For provisions permitting reclassification of
electrical equipment, including PCB Transformers, containing >500 ppm PCBs to PCB-
Contaminated Electrical Equipment, see § 761.30(a) and (h).
PCB Waste(s) (as defined in §761.3): those PCBs and PCB Items that are subject to the
disposal requirements of subpart D of this part.
Posing an Exposure Risk to Food/Feed (as defined in §761.3): being in any location where
human food or animal feed products could be exposed to PCBs released from a PCB Item. A
PCB Item poses an exposure risk to food or feed if PCBs released in any way from the PCB
Item have a potential pathway to human food or animal feed. EPA considers human food or
animal feed to include items regulated by the U.S. Department of Agriculture or the Food and
Drug Administration as human food or animal feed; this includes direct additives. Food or feed
is excluded from this definition if it is used or stored in private homes.
Radial Transformer: transformers hooked up in a single line method, and if the transformer
fails, the load is not picked up by another transformer.
Recloser: circuit breakers with an automatic close feature, which are used to minimize outage
time when temporary problems occur.
Retrofill (as defined in §761.3): to remove PCB or PCB-contaminated dielectric fluid and to
replace it with either PCB, PCB-contaminated, or non-PCB dielectric fluid.
Self-implementing Clean-up: applicable for sites one acre or smaller (definition of moderately
sized site). This method includes: site characterizations, notification to Regional Administrator
or Director of State and/or local government environmental agency, and clean up levels have to
be followed according to 40 CFR 761.61(a)(4).
PCB Inspection Manual vii August 2004
-------
Glossary of Terms
Blank Page
August 2004 viii PCB Inspection Manual
-------
Foreword
Foreword
EPA developed this inspection manual to guide inspectors in conducting inspections to ensure
compliance with regulations promulgated under section 6(e) of the Toxic Substances Control
Act (TSCA) pertaining to polychlorinated biphenyls (PCBs). The pertinent regulations are found
at Part 761 of Title 40 of the Code of Federal Regulations (CFR). This manual contains frequent
citations to the regulations; all citations, unless otherwise noted, are to Title 40 of the CFR.
The manual gives inspectors an overview of the regulations they will use in determining
compliance. EPA case development/enforcement personnel make the ultimate determination of
where a violation has occurred.
Inspectors need to refer to the regulations as well as the manual. Appendices supplement
information in the manual. The chapters and appendices of the manual are summarized below:
Chapter One - PCBs: Facts contains an introduction, including a brief discussion of PCBs and
an overview of the PCB regulations.
Chapter Two - Pre-lnspection Activities contains general pre-inspection preparation
procedures.
Chapter Three - Inspection Procedures contains general inspection procedures, entry and
opening conference procedures, records assessment and verification, disposal provisions,
storage assessment, and closing conference procedures. Inspectors should use this chapter in
conjunction with Chapter Five, which covers specific regulatory requirements.
Chapter Four - Equipment-Specific Information presents an overview of PCB-containing
equipment that an inspector is likely to encounter during a PCB inspection. This chapter
includes general background information on the equipment, the locations of such items in the
economic sector, and a partial list of manufacturers and trade names. Regulations applicable to
such equipment are contained in Chapter Five.
Chapter Five - Regulatory Requirements and Inspection Procedures details the key
general regulatory provisions that apply to PCBs, PCB Items, and facilities. Such provisions
pertain to authorized activities (e.g., use and servicing), marking, decontamination, and general
recordkeeping and reporting. In addition, this chapter contains inspection procedures for
documenting compliance/noncompliance with such provisions. For provisions applicable to the
commercial disposal and storage facilities (e.g., incinerators and chemical waste landfills), see
the appendices.
PCB Inspection Manual ix August 2004
-------
Foreword
Chapter Six - Sampling is necessary to supplement documented evidence of potential
violations of the PCB regulations by determining the presence and concentration of PCBs. This
chapter includes guidelines for sampling, priorities for sampling, and procedures for sample
collection and documentation.
Chapter Seven - Post-Inspection Activities discusses the Inspection Report and provides
guidance and tips for writing the report.
Appendices. There are 17 appendices. Appendix A contains blank forms for Notice of
Inspection, TSCA Inspection Confidentiality Notice, and Declaration of Confidential Business
Information. Appendix B is the "Role of the EPA Inspector in Providing Compliance Assistance
During Inspections." Appendix C is a large PCB mark at the actual size of six inches by six
inches. Appendix D contains the Fiscal Year 2004 Inspection Conclusion Data Sheet Reporting
Forms and an accompanying memorandum. Appendix E contains a comprehensive listing of
PCB manufacturers and the trade names for PCB materials. Appendix F addresses the use
and distribution of PCBs in underground mines and mine-specific training and safety
considerations for inspectors. Appendix G discusses requirements pertaining to PCBs in
natural gas pipelines. The inspector should refer to the appendix appropriate for the specific
type of facility. Appendix H contains the manufacturer's models and serial numbers of
submersible pump units that contain PCBs. The next five appendices address specific disposal
methods and storage facilities subject to the regulations:
! Appendix I: Incinerators,
! Appendix J: Chemical Waste Landfills,
! Appendix K: High-Efficiency Boilers,
! Appendix L: Alternative Disposal Methods (as authorized by EPA), and
! Appendix M: Scrap Metal Recovery Ovens and Smelters
Appendix N contains a table from Part 761 that outlines the procedures for reclassifying
retrofilled PCB Transformers.
Appendix O includes blank sample seals and a blank chain-of-custody form.
Appendix P is Department of Transportation Hazardous Materials Training, which is applicable to
the handling, packaging, and shipping of hazardous material samples.
Appendix Q provides guidance for inspectors in appearing as a witness in court.
August 2004 x PCB Inspection Manual
-------
Chapter One PCBs: Facts
Chapter One
PCBs: Facts
Page
1.0 PCBs: Facts 1-1
1.1 Background 1-1
1.2 Overview of TSCA Section 6 1-3
1.3 Overview of TSCA Confidential Business Information 1-7
PCB Inspection Manual 1-i August 2004
-------
PCBs: Facts Chapter One
Blank Page
August 2004 1-ii PCB Inspection Manual
-------
Chapter One PCBs: Facts
1.0 PCBs: Facts
1.1 Background
Polychlorinated biphenyls (PCBs) are synthetic organic chemical compounds (aromatic
hydrocarbons) produced by substituting chlorine atoms for the hydrogen atoms on a biphenyl
molecule. PCBs have ideal properties for industrial applications. They are one of the most
stable synthetic compounds known, are inflammable, are resistant to breakdown, and exhibit low
electrical conductivity. PCBs can also extend the temperature range of operating fluid and can
provide long-lasting heat at a consistent temperature. Accordingly, the majority of PCBs
manufactured in the U.S. were used in electrical equipment because their properties made them
ideal dielectric and heat transfer fluids. PCBs were used widely in transformers, transformer
bushings, capacitors, voltage regulators, hydraulic systems, small capacitors in fluorescent light
ballasts, and heat transfer systems. In addition, PCBs were sometimes used in electrical cable,
switches, breakers, vacuum pumps, gas turbines, natural gas pipelines, carbonless copy paper,
paints, adhesives, caulking compounds, and investment casting wax.
Extensive research has shown a link between PCBs and various human health effects (acute
and chronic), including the formation of malignant and benign tumors, fetal deaths, reproductive
abnormalities, mutations, liver damage, and skin irritation (chloracne). In addition, experiments
have shown that PCBs attack the immunological system and affect the production of enzymes.
PCBs are pervasive throughout the environment. Measurable amounts of PCBs have been
found in soils, water, fish, milk of nursing mothers, and human tissue. In addition to being a
known hazard to humans, PCBs also present a serious threat to the environment. PCBs have
an affinity to be adsorbed onto organic matter and sediments and have been found in significant
concentrations in waterways and sediments throughout the world. They are widely spread
contaminants of fish and wildlife resources because of their pronounced tendency to
bioconcentrate in the tissues or lipids of living organisms. PCBs are highly toxic to aquatic
organisms in relatively low concentrations. The following is a list of potential PCB contamination
scenarios.
! Spills
- Maintenance operations
- Decontamination operations
- Transport operations
- Draining, refilling operations
Contamination of waste oil
Drainage systems, storm water systems, discharge points, sumps, and areas
adjacent to surface waters
Disconnection/disassembly of railroad transformers
Lack of spill containment provisions in work pits/servicing areas
PCB Inspection Manual 1-1 August 2004
-------
PCBs: Facts Chapter One
Poor housekeeping practices.
Improper storage.
! Leaks
- Normal wear of equipment in service (e.g., valves, gaskets, and fittings)
- Malfunctioning equipment
- Dismantling/reassembly of equipment
- Damaged equipment
- Cracked or damaged transformer bushings
- Containers used for storage and transport
Equipment stored for disposal or reuse.
! Improper storage of PCB-containing and/or PCB-contaminated equipment.
! Illegal importation of PCBs.
! Inadvertent manufacture of PCBs during chemical processing.
! Low Level of Worker Knowledge of Hazards
Spread of contamination through insufficient protective clothing and equipment
Improper handling techniques
- Improper disposal of defective PCB-containing and/or PCB-contaminated equipment.
! Other
Contaminated waste liquids
- Contaminated rags, filter media, and debris gathered during cleanup operations
- Contaminated parts
Contaminated soil
- PCBs discarded prior to TSCA regulations
- Fires.
The number and location of the chlorine atoms attached to the biphenyl ring determine the
physical properties and characteristics of the PCB congener. Generally, commercial PCBs tend
to be viscous and heavy (11 to 13 pounds per gallon), but also may be solid and waxy. In the
United States, the only large producer of PCBs was Monsanto Chemical Company, which
manufactured them from 1929 to 1975 under the name Aroclor. Monsanto Chemical
Company assigned a four-digit number to each Aroclor PCB product. The last two numbers
indicate the approximate percentage by weight of chlorine (for example, Aroclor 1260 is
approximately 60 percent chlorine by weight).
August 2004 1-2 PCB Inspection Manual
-------
Chapter One PCBs: Facts
1.2 Overview of TSCA Section 6
In recognition of the risks associated with PCBs and their spread throughout the environment,
under section 6(e) of the Toxic Substances Control Act (TSCA) of 1976, it is the intent of
Congress that EPA regulate the manufacturing, processing, distribution in commerce, use, and
disposal of PCBs.1
Section 6 states that "no person may manufacture, process, or distribute in commerce or use
any [PCB] in any manner other than in a totally enclosed manner" as of one year after the
effective date of TSCA (i.e., as of January 1, 1978). However, the EPA Administrator "may by
rule authorize the manufacture, processing, distribution in commerce or use (or any combination
of such activities) of any [PCB] in a manner other than in a totally enclosed manner if the
Administrator finds that such [activities] will not present an unreasonable risk of injury to health
or the environment." Under section 6, a "totally enclosed manner" means any manner that "will
ensure that any exposure of human beings or the environment to a [PCB] will be insignificant as
determined by the Administrator."
Section 6 sets additional deadlines after which no person may manufacture, process or
distribute in commerce PCBs, regardless of whether in a totally enclosed manner or not.
Section 6 states that "no person may manufacture any polychlorinated biphenyl after two years
after the effective date" of TSCA (i.e., after January 1, 1979), and that "no person may process
or distribute in commerce any polychlorinated biphenyl after two and one-half years" after the
effective date of TSCA (i.e., after July 1, 1979). However, "any person may petition the
Administrator for an exemption from [the prohibitions above], and the Administrator may grant by
rule such an exemption" if the Administrator finds that such an activity will not result in an
unreasonable risk to human health or the environment and that good faith efforts have been
made to develop a substitute chemical substance that does not pose an unreasonable risk to
health and the environment. Section 6 states that such exemptions shall be in effect for a
specified period not more than one year.
Under section 6, Congress required EPA to promulgate regulations prescribing methods for the
disposal of PCBs. Congress also mandated that EPA require clear and adequate markings,
warnings, and instructions with respect to the processing, distribution in commerce, use, and
disposal of PCBs.
1 Polychlorinated terphenyls (PCTs) were also manufactured and are similar in properties to PCBs. Although
PCTs are not covered by the regulations, most were contaminated with up to 10,000 ppm PCBs and,
therefore, are regulated.
PCB Inspection Manual 1-3 August 2004
-------
PCBs: Facts Chapter One
Regulations promulgated pursuant to section 6 of TSCA are summarized below. Guidance on
conducting PCB inspections to ensure compliance with key provisions of the regulations is
provided throughout the manual.
EPA regulations implementing section 6 of TSCA are found at 40 CFR Part 761. All citations to
the regulations are to Title 40 unless otherwise noted. The following is a summary of regulatory
actions concerning PCBs and a brief overview of major components of the regulations. For
more detail on regulatory provisions, see Chapter Five.
Regulations concerning PCBs have evolved over a number of years. EPA promulgated its initial
PCB rule under section 6(e) on February 17, 1978 (43 Federal Register 7'150). This rule
prohibited the manufacture, processing, distribution in commerce, or use of any substance
containing intentionally manufactured PCBs with concentrations of 50 parts per million (ppm) or
more, except in a manner that is "totally enclosed" or unless other uses are specifically
authorized by the Administrator.
EPA has amended the PCB regulations several times, including:
! Ban Rule: On May 31, 1979, EPA promulgated Interim Procedural Rules for Exemptions
from the PCB Processing and Distribution in Commerce Bans.
! Electronic Equipment Rule: On August 25, 1982, EPA promulgated this rule,
addressing totally enclosed PCB use.
! Fires Rule: On July 19, 1988, EPA promulgated the PCBs in Electrical Transformers
Rule.
! Notification and Manifesting Rule: On December 21, 1989, EPA promulgated this
rule, requiring notification of PCB activity, manifesting, and other recordkeeping
requirements.
! Approval Criteria for Commercial Storage of PCBs for Disposal: On November 9,
1993, EPA promulgated Criteria for Granting Approval for Commercial Storage of PCBs
for Disposal.
! Import Rule (overturned): On March 18, 1996, EPA promulgated regulations allowing
the importation of PCBs for disposal at 50 ppm or greater under certain circumstances.
These regulations were superceded by the June 29, 1998 amendments, which removed
the language allowing such imports.
August 2004 1-4 PCB Inspection Manual
-------
Chapter One PCBs: Facts
! Disposal of Polychlorinated Biphenyls (PCBs) or "Mega Rule": On June 29, 1998,
EPA promulgated a major revision to the PCB regulations, often referred to as the Mega
Rule. The revisions covered many aspects of PCB use and disposal, including revisions
of:
PCB Registration to EPA Headquarters
Prohibitions and exemptions
Marking requirements
Storage for disposal requirements
Disposal requirements
Transboundary (international) shipment of PCBs for disposal
Records and monitoring requirements
Certificate of Disposal deadlines
30-day storage inspection.
The revisions included new requirements to address:
The assumed concentration of PCBs where actual data are unavailable
Storage for reuse
Waste handling
PCB spill cleanup requirements
Sampling procedures for several types of projects
Decontamination procedures.
! Reclassification of PCB and PCB-Contaminated Electrical Equipment: On April 2,
2001, EPA promulgated a rule regarding the reclassification of PCB and PCB-
Contaminated electrical equipment.
! Polychlorinated Biphenyls; Manufacturing (Import) Exemptions: On January 31,
2003, EPA promulgated manufacturing (import) exemptions.
! Polychlorinated Biphenyls (PCBs); Use of Porous Surfaces, Amendment in
Response to Court Decision: On June 20, 2003, EPA amended the regulations
regarding the use of porous surfaces in response to a court decision that stated that the
regulatory language was unclear.
In general, TSCA and the PCB regulations are designed to ban the manufacture of PCBs and
ensure the proper disposal of PCBs and PCB Items, while minimizing the risk posed by the
storage, use, and handling of the substance. The PCB regulations apply to any substance,
mixture, or item with a concentration of 50 ppm PCBs or greater or with a concentration below
50 ppm that resulted from dilution. There are certain exceptions; for example, the regulations
restrict the marketing and burning of used oil containing any quantifiable PCB level (2 ppm) and
prohibit the use of waste oil that contains any detectible concentration of PCBs as a sealant,
coating, or dust control agent. Some of the major provisions of the PCB regulations include:
! General (Subpart A). In addition to identifying who is regulated, establishing definitions,
and listing reference documents, this subpart prescribes the assumed PCB
PCB Inspection Manual 1-5 August 2004
-------
PCBs: Facts Chapter One
concentrations, for regulatory purposes, of various articles (such as oil filled capacitors)
for which the actual PCB concentration is unknown.
! Prohibitions/Authorizations (Subpart B). There are numerous prohibitions on the use of
PCBs or PCB Items in a manner other than in a totally enclosed manner; on the
manufacture of PCBs for use within the United States or for export; and on the
processing and distribution of PCBs and PCB Items for use within the United States or
for export. However, the regulations also establish numerous exceptions and authorized
activities (e.g., where "non-totally enclosed" activities may be conducted). Such
authorizations pertain to the use of PCBs and servicing of PCBs in various PCB
Equipment, such as transformers, capacitors, natural gas pipelines, and hydraulic
systems; the manufacturing of certain products with inadvertent, low-concentration
production of PCBs; and the use of sewage sludge with PCBs where such sludge use is
regulated by other parts of 40 CFR. Owners of PCB Transformers must register the
transformers with EPA. Owners of PCB Articles may store them for reuse subject to
storage area specifications, maximum storage periods, and/or recordkeeping
requirements.
! Marking (Subpart C). Specified items including PCB Equipment (e.g., heat transfer
systems using PCBs, PCB large low voltage capacitors, and storage areas used to
store PCBs/PCB Items) must bear markings warning of PCBs in accordance with
prescribed formats. The regulation does not require PCB-contaminated electrical
equipment to be marked.
! Storage and Disposal (Subpart D). Regulations govern storage (for reuse or disposal)
and disposal of PCBs, PCB waste, and PCB Items, including PCB Articles (e.g.,
transformers, capacitors, and hydraulic machines) and PCB Containers. The subpart
includes separate sections that set out disposal requirements and allowed disposal
methods for PCB remediation waste, PCB bulk product waste, and PCB waste from
research and development activities. The regulations exempt PCB household waste
from regulatory requirements. The regulations also set out requirements applicable to
PCB waste and PCB Items in storage for disposal and decontamination of various
surfaces. Further regulatory sections specify requirements for each disposal method,
including incineration, high-efficiency boilers, scrap metal recovery ovens and smelters,
and chemical waste landfills. PCB disposal and PCB commercial storage facilities must
obtain written final approval to operate facilities.
! Exemptions (Subpart E). This subpart grants exemptions to specific companies or
groups of companies for the manufacture, processing, and distribution in commerce of
PCBs for specified purposes, including microscopy, research and development, and
laboratory sampling and analysis.
! Transboundarv Shipments of PCBs for Disposal (Subpart F). EPA prohibits the
importation of PCBs for disposal without an exemption issued under the authority of
TSCA section 6(e)(3). EPA prohibits the exportation of PCBs for disposal at
concentrations greater than or equal to 50 ppm. Shipments that leave the United States
only as part of their transit from one part of the United States to another are not
considered exports or imports. Shipments passing through from Canada to Mexico or
vice versa are not considered exports or imports.
August 2004 1-6 PCB Inspection Manual
-------
Chapter One PCBs: Facts
! Recordkeeping/Reporting (Subpart J). Owners and operators of facilities with PCBs and
PCB Items in service or projected for disposal, commercial storage facilities of PCB
waste, incineration facilities, chemical waste landfill facilities, high efficiency boiler
facilities, importers, facilities generating PCBs in excluded manufacturing processes,
and facilities that manufacture, import, process, distribute in commerce, or use
chemicals containing inadvertently generated PCBs must comply with recordkeeping
and reporting requirements. Some types of data for which records may be required to be
kept include PCB weights; the identification and numbers of items; storage, transfer, and
disposal dates; and the identification of shippers and receivers.
! PCB Waste Disposal Records and Reports (Subpart K). Some generators and all
transporters, storers, and disposers of PCB wastes must notify EPA that they are
engaging in such activity, and obtain an identification number from EPA. When a PCB
waste generator sends such wastes offsite, the generator, transporter, and disposer
must prepare and maintain manifests identifying the waste and tracking the dates and
parties involved in the disposal process. The disposer must prepare a Certificate of
Disposal and send it to the generator identified on the manifest. The subpart also
includes recordkeeping requirements and procedures for cases in which manifests or
Certificate of Disposal are not prepared by one of the parties in a transaction.
! Sampling and Decontamination Procedures for Wastes and Surfaces (Subparts M
through T). These subparts set out recommended procedures for sampling PCBs in
various wastes and surfaces, including sample site and size selection, sample
collection, analytical requirements, and interpretation of results. The regulations also set
out a method for decontaminating non-porous surfaces and requirements for studies of
new decontamination solvents.
1.3 Overview of TSCA Confidential Business Information
During the course of TSCA PCB inspections, inspectors may encounter information which may
be entitled to confidential treatment under TSCA Section 14 and EPA regulations (40 CFR Part
2). This section of the Statute and the regulations are designed to protect confidential business
information (CBI) from unauthorized disclosure. CBI includes information considered to be trade
secrets (including chemical identity, process, formulation, or production data) that could damage
a company's competitive position if it became public. Inspectors must be cleared to handled
CBI, however inspectors who have not been cleared to handle CBI can still inspect a facility.
Many PCB facilities do not have any CBI information.
PCB Inspection Manual 1-7 August 2004
-------
PCBs: Facts Chapter One
Blank Page
August 2004 1-8 PCB Inspection Manual
-------
Chapter Two Pre-lnspection Activities
Chapter Two
Pre-lnspection Activities
Page
2.0 Pre-lnspection Activities 2-1
2.1 Inspection Authority 2-1
2.2 Preparation 2-1
2.2.1 Document Preparation 2-3
2.3 Confidential Business Information Clearance 2-3
2.3.1 CBI and Inspectors 2-4
2.4 Equipment Preparation 2-5
Tables
Table 2-1. Types of Equipment Useful for an Inspection 2-6
PCB Inspection Manual 2-i August 2004
-------
Pre-lnspection Activities Chapter Two
Blank Page
August 2004 2-ii PCB Inspection Manual
-------
Chapter Two Pre-lnspection Activities
2.0 Pre-lnspection Activities
The chapter includes general pre-inspection preparation procedures.
2.1 Inspection Authority
Section 11 (a) of TSCA sets forth the authority for an inspector to enter and inspect a facility
handling PCBs or PCB Items. Under section 11 (a), "the Administrator and any duly designated
representative of the Administrator" may inspect "any establishment, facility, or other premises
in which chemical substances or mixtures are manufactured, processed, stored, or held before
or after their distribution in commerce." The inspector also may inspect "any conveyance being
used to transport chemical substances, mixtures, or such articles in connection with distribution
in commerce." The Agency may designate EPA employees, state/tribe personnel, or
contractors to conduct inspections.
Section 11 (b) of TSCA addresses the scope of the inspection. It prohibits the inspection of the
following unless described with reasonable specificity in the required written Notice of
Inspection (see Section 2.4.2 and Appendix A):
! Financial data
! Sales data (other than shipment data)
! Pricing data
! Personnel data
! Research data (other than data required under TSCA or a rule promulgated under
TSCA).
2.2 Preparation
To prepare, an inspector collects and analyzes background information such as address, parent
company, and compliance history on the facility to be inspected. This background information
enables the inspector to become familiar with facility operations and any previous legal issues
before entry. This preparation phase enables the inspector to note areas that may need
investigation during the inspection.
The inspector can obtain and review the following information for the facility, which may be on
file in previous inspection reports/files with Regions and EPA Headquarters. Some of this
information may also be available in the PCB Activity Database (PADS), which has information
on facilities that generate, store, transport, or dispose of PCBs. Inspectors can access this
database at http://www.epa.gov/pcb/data.html.
PCB Inspection Manual 2-1 August 2004
-------
Pre-lnspection Activities Chapter Two
General facility information, including the official name of the facility, exact physical
location of the facility, facility type and size, industrial processes employed, and EPA
identification number. EPA records or files on the particular facility (where a previous
inspection was conducted) may contain such data as well as the company web site (if
available). Inspectors may find enforcement and inspection data in the FIFRA/TSCA
Tracking System (FITS).
Facility offices or contacts, including names, titles, and telephone numbers.
Previous inspection records and reports. Note previous violations cited; target these
areas to ensure or verify compliance. Identify any changes in facility conditions since
previous inspection.
Compliance status, including past, current, and pending litigation, deficiency notices
issued to the facility, the status of administrative orders or consent decrees, penalties
imposed against the facility, and citizen suits or complaints. Some of this information is
found in EPA databases such as Enforcement and Compliance History Online (ECHO),
Online Targeting Information System (OTIS), and FIFRA/TSCA Tracking System (FTTS).
Permits, types of permits, and permit approvals (EPA and/or state). The main types of
permitted facilities or activities that include permits are commercial storers, disposal
facilities, and remediation/decontamination activities.
TSCA, PCB Exemptions granted by EPA. Note specific exemption eligibility
requirements listed (if any).
Reports of spills or other environmental incidents.
Transformers. Review the PCB Transformer Registration Database to find the number
of PCB Transformers the facility registered.
Annual PCB Records, Annual PCB Document Log, and Annual Reports for
commercial storers and disposers. Note omissions/deficiencies for clarification during
the inspection. Remember that the requirement to submit annual reports to EPA applies
only to commercial storers and disposers. If EPA possesses annual PCB records for an
owner/operator from a previous inspection, the inspector should review those records as
well.
Facility location, 100-year floodplain evaluation to verify that storage is not in a 100-
year floodplain or determine whether a landfill is subject to flood protection provisions of
the regulations. Consult U.S. Geological Survey topographic maps or Federal Flood
Insurance maps at http://www.usgs.gov/.
PCB manifests, exception reports, and unmanifested waste reports.
Correspondence between the facility and EPA.
August 2004 2-2 PCB Inspection Manual
-------
Chapter Two Pre-lnspection Activities
! PCB Transformer Registration Database at http://www.epa.gov/pcb/data.html for any
information which might be useful for PCB inspections.
! EPA's National Policy: The Role of the EPA Inspector in Providing Compliance
Assistance During Inspections (see Appendix B) and the Compliance Assistance
Resources Guide. Inspectors should familiarize themselves with this policy.
2.2.1 Document Preparation
Before conducting an inspection, the inspector should obtain an adequate number of the
following forms and documents to properly document all events that may take place during the
inspection.
Notice of Inspection
TSCA Inspection Confidentiality Notice
Receipt for Samples and Documents*
Declaration of Confidential Business Information*
PCB Inventory (part of the PCB Field Report: see Chapter Seven)
Custody Seals*
Chain of Custody Record*
Sample Collection Report*
A copy of TSCA and a copy of PCB Regulations
Related Information/Educational/Outreach Material to provide to the facility
A copy of the Inspection Conclusion Data Sheet (ICDS) forms or if entering information
directly into ICIS review the information that needs to be entered. Refer to Appendix D or
to the EPA Inspector website at http://intranet.epa.gov.oeca.oc.campd.inspector for
copies of the most recent ICDS forms.
* These documents are required when documentary or sample evidence will be collected. For
sample collection, the inspector should follow the regulations and the sampling quality assurance
plan approved by the appropriate Region prior to the inspection.
2.3 Confidential Business Information (CBI) Clearance
U.S. EPA PCB inspectors must be cleared for TSCA CBI clearance before handling any
information that is claimed as CBI by a facility. The CBI clearance process includes viewing a
video, completing a TSCA CBI form, and gaining approval from the Regional Document Control
Officer (DCO). Inspectors are required to view a video which covers the following topics:
! working with TSCA CBI on computers
! handling TSCA CBI
! storing CBI documents.
After viewing the video, inspectors need to fill out EPA Form 7740- 6: "TSCA CBI Access
Request, Agreement and Approval", which they can obtain from their Regional DCO. The form
PCB Inspection Manual 2-3 August 2004
-------
Pre-lnspection Activities Chapter Two
needs to be signed by the inspector's supervisor and submitted to the Regional DCO. The
Regional DCO sends the completed Form 7740-6 to the Headquarters/ OPPT DCO for
processing and approval. Once the form is submitted to the Headquarters DCO, inspectors
usually get CBI clearance within 24 hours.
Only EPA inspectors and government contractors working for EPA can obtain TSCA CBI
clearance. EPA-cleared government contractors go through a different process to get CBI
clearance including a published Federal Register Notice. It takes approximately 30 to 60 days
for contractors to obtain TSCA CBI clearance. State inspectors, grantees (including Senior
Environmental Employment (SEE) Program employees), and state inspectors working under a
grant cannot get TSCA CBI clearance. For more detailed information on TSCA CBI, please refer
to the TSCA CBI Security Manual that can be found at:
http://intranet.epa.gov/rmpolicy/ads/manuals/7700.pdf.
2.3.1 CBI and Inspectors
The PCB inspector must present the facility official with the TSCA Inspection Confidentiality
Notice (Appendix A) at the start of the opening conference. This notice informs the facility
representative of the right to claim any information (e.g., documents, records, physical samples,
or other material) collected from the facility during the inspection as confidential. The facility
may make CBI claims by completing the Declaration of Confidential Business Information form
(Appendix A). The inspector should also have available, if possible, certification that he or she is
authorized to have access to CBI.
The inspector should inform the facility official that an authorized facility official may declassify
information claimed as CBI in the original submission of the Declaration of Confidential Business
Information. However, the inspector must inform the facility official that the facility cannot make
such a declassification verbally, but rather must make it through a letter waiving confidentiality
sent to the EPA DCO for EPA's OPPT. The facility must send a separate letter for each item for
which confidentiality is waived.
The inspector must determine whether the facility official to whom the Confidentiality Notice was
given is authorized by the facility to make claims of confidentiality. The inspector should obtain
the official's signature on the notice certifying that the person does or does not have such
authority. The facility owner is assumed to have such authority. In most cases, it is expected
that the agent designated by the owner will also have such authority. It is possible that the facility
officials will want to consult with their attorneys concerning this issue.
August 2004 2-4 PCB Inspection Manual
-------
Chapter Two Pre-lnspection Activities
If no one at the site has the authority to make business confidentiality claims, the notice and
other inspection materials should be sent to the CEO of the company within two days of the
inspection. The CEO will then have seven calendar days in which to make confidentiality
claims. During this seven-day period, the inspector should follow routine security measures in
the event that records taken during the inspection are subsequently claimed as CBI. For
example, the inspector should file the records in a secured area instead of leaving them on
his/her desk.
2.4 Equipment Preparation
The inspector should assemble the equipment needed for the inspection. Table 2-1 lists the
general equipment and documents the inspector will most likely need. Note that the specific
equipment needed for an inspection varies, and the inspector should consider the equipment list
on a case-by-case basis, taking into account important factors such as the physical conditions
at the facility or whether sampling is likely.
PCB Inspection Manual 2-5 August 2004
-------
Pre-lnspection Activities
Chapter Two
Table 2-1. Types of Equipment Useful for an Inspection
General
Credentials
Camera
Film/memory card and
flash equipment
Pocket calculator
Tape measure
Clipboard
Waterproof pens,
pencils, and markers
Pre-addressed
envelopes (e.g., to
Document Control
Officer)
Plastic covers
Plain envelopes
Polyethylene bags
Disposable towels or
rags
Laptop computer or
personal digital assistant
(PDA)
Global Positioning
System (GPS) equipment
Portable copying
machine
Flashlight and batteries
Pocket knife
Locking briefcase
(especially for CBI)
Binoculars
Safety
Safety glasses or
goggles
Face shield
Ear plugs
Rubber-soled, metal-toed,
non-skid shoes
PCB-resistant gloves
(disposable, if possible)
Coveralls, long-sleeved
(disposable, if possible)
Long rubber apron
Hard hat
Disposable footwear
covers
Respirators and
cartridges
Self-contained breathing
apparatus (may be
required occasionally
under certain
circumstances)
Nitrile/butyl rubber gloves
Coated Tyvek
First-aid kit
Emergency
Emergency telephone
numbers
First-aid kit with
eyewash
Fire extinguisher
Soap and towels
Supply of clean water for
washing
Do not use waterless
hand cleaner
Sampling
Crescent wrench, bung
opener
Siphoning equipment
Weighted bottle sampler
Bottom sediment sampler
Liquid waste samplers
(e.g., glass samplers)
Auger, trowel, or core
sampler
Scoop sampler
Sample
bottles/containers
(certified clean bottles
with teflon-lined lids)
Labeling tags, tape,
chain-of-custody forms,
waterproof permanent
pen
Ice chest, ice (if required
by the lab)
Container for
contaminated material
Hazard labels for
shipping samples
Ambient air monitor
Field document records
Department of
Transportation (DOT)
approved shipping
containers
Thermometer
Colorimetric gas
detection tubes
PCB labels
Custody seals
Wipe sample template
Gauze pads
Safety Note: Some enclosed storage areas or transformer vaults may be in confined spaces that present health
hazards because of dangerous levels of explosives or insufficient oxygen. The inspector should not enter a
confined space unless properly trained and equipped.
August 2004
2-6
PCB Inspection Manual
-------
Chapter Three Inspection Procedures
Chapter Three
Inspection Procedures
3.0 Inspection Procedures 3-1
3.1 Entry 3-1
3.1.1 Credentials 3-1
3.1.2 Notice of Inspection 3-2
3.1.3 Withdrawal of Consent and Denial of Access 3-2
3.1.4 TSCA Inspection Confidentiality Notice 3-2
3.1.5 Problems with Entry or Initial Consent 3-3
3.1.6 Warrants and Warrant Procedures 3-3
3.2 Opening Conference 3-4
3.3 Records Assessment 3-6
3.3.1 Inventory 3-7
3.3.2 Compliance Assessment 3-7
3.4 Records Verification 3-8
3.4.1 Selection of PCB Items for Verification 3-8
3.4.2 Verification 3-10
3.5 Inspecting for Compliance with Disposal Requirements 3-10
3.5.1 Indicators of Disposal Violations 3-10
3.5.2 Sources of Potential Violations 3-11
3.6 Marking Assessment 3-14
PCB Inspection Manual 3-i August 2004
-------
Inspection Procedures Chapter Three
3.7 Storage Assessment 3-15
3.7.1 Storage Facility 3-16
3.7.2 Storage Containers 3-16
3.7.3 Storage Facility Operation 3-17
3.7.4 Outside Storage 3-17
3.7.5 Temporary Storage 3-17
3.8 Closing Conference 3-18
3.8.1 Discussions 3-18
3.8.2 Required Receipts 3-19
3.9 Compliance Assistance 3-19
3.9.1 General Outreach Activities 3-19
3.9.2 Information Sources 3-20
August 2004 3-ii PCB Inspection Manual
-------
Chapter Three Inspection Procedures
3.0 Inspection Procedures
This chapter includes general inspection procedures, entry and denial of entry, opening
conference, compliance assessments, and closing conference.
3.1 Entry
Consent to inspect the premises must be given by the owner or operator at the time of the
inspection. As long as the inspector is allowed to enter, entry is considered voluntary and
consensual, unless the inspector is expressly told to leave the premises. Expressed consent is
not necessary; absence of an expressed denial constitutes consent. See Sections 3.1.3-3.1.6
below for details on denials of entry and warrant and subpoena procedures to be followed when
entry or access to records is denied.
Under section 11 (a), the inspection team must start and complete the inspection with
reasonable promptness and conduct it at reasonable times, within reasonable limits, and in a
reasonable manner. When an inspection is likely to continue beyond the facility's customary
close-of-business, EPA recommends that the inspection continue on the following business day.
If facility officials do not object to the inspector working past regular working hours, the inspection
can conclude the same day. In general, the inspector should arrive at the facility during regular
working hours unless the inspection's purpose is to investigate special circumstances, such as
suspected illegal activity at night.
Upon arrival at the facility, the inspector should locate the facility official or agent-in-charge (i.e.,
president, owner, or plant manager) and present his/her credentials, a written Notice of
Inspection, and a TSCA Inspection Confidentiality Notice.
3.1.1 Credentials
The inspector must present appropriate credentials whether identification is requested or not.
Credentials are identifying documents that identify that the holder of the papers (i.e., the
inspector) is a duly designated representative of the Administrator. A letter of authorization and
photo identification or EPA-issued credentials may be used. The inspector should make a note
in his/her field logbook of the fact that credentials and a Notice of Inspection were presented, the
date and time of presentation, and the name and title of the facility official to whom they were
presented. Credentials should never leave the possession of the inspector, nor should they be
photocopied. Inspectors should safeguard where they store their credentials and should
immediately report lost or stolen EPA credentials to their immediate supervisor. For more
information on credentials, refer to the Final Fact Sheet: The United States Environmental
PCB Inspection Manual 3-1 August 2004
-------
Inspection Procedures Chapter Three
Protection Agency Credentials Fact Sheet, June 1, 2000. This document can be found in the
inspector website at: http:intranet.epa.gov/oeca/oc/campd/inspector.
3.1.2 Notice of Inspection
Section 11 (a) of TSCA requires that the inspector present a written Notice of Inspection to the
owner, operator, or agent-in-charge. The notice, EPA Form 7740-3, should include the date and
time of inspection. A blank Notice of Inspection is presented in Appendix A.
3.1.3 Withdrawal of Consent and Denial of Access
If the facility representative asks the inspector to leave the premises after the inspection has
begun, the inspector should leave as quickly as possible following the procedures discussed
previously for denial of entry. All activities and evidence obtained before the withdrawal of
consent are valid. The inspector should ensure that all personal and government equipment is
removed from the facility.
If, during the course of the inspection, access to some parts of the facility is denied, the
inspector should make a notation of the circumstances surrounding the denial of access and of
the portion of the inspection that could not be completed. He or she then should proceed with
the rest of the inspection. After leaving the facility, the inspector should contact his or her
supervisor or staff attorney at the Regional Office to determine whether a warrant should be
obtained to complete the inspection.
3.1.4 TSCA Inspection Confidentiality Notice
The EPA inspector may present the facility official with the TSCA Inspection Confidentiality
Notice (Appendix A) at the start of the opening conference or during the closing conference and
have the authorized facility official complete and sign the appropriate sections. This notice
informs the facility representative of the right to claim any information (e.g., documents, records,
physical samples, or other material) collected from the facility during the inspection as
confidential. The facility makes confidential business information (CBI) claims by completing the
Declaration of Confidential Business Information form (Appendix A). The notice informs the
official of his/her right to claim as CBI any information (e.g., documents, photographs, physical
samples) collected during the inspection.
The inspector should inform the facility official that an authorized facility official may declassify
information claimed as CBI in the original submission of the Declaration of Confidential Business
August 2004 3-2 PCB Inspection Manual
-------
Chapter Three Inspection Procedures
Information. The facility must send a separate letter to the EPA Document Control Officer
(DCO) for each item for which confidentiality is waived.
3.1.5 Problems with Entry or Initial Consent
Because a facility may consider an inspection to be an adversarial proceeding, the legal
authority, techniques, and competency of inspectors may be challenged. If explanations are not
satisfactory or disagreements cannot be resolved, the inspectors should leave and obtain further
direction from his EPA supervisor or legal staff. Professionalism and politeness must prevail at
all times.
If entry is not granted, the inspector should ask why to see if obstacles (such as
misunderstandings) can be removed. If resolution is beyond the authority of the inspector, he or
she may suggest that the officials seek advice from their attorneys to clarify EPA's inspection
authority under TSCA. If entry is still denied, the inspector should withdraw from the premises
and contact his or her supervisor or Regional Counsel. Generally, the supervisor will confer with
attorneys to discuss the desirability of obtaining an administrative warrant.
All observations pertaining to the denial are to be carefully noted in the field notebook and
inspection report. The inspector should include such information as the facility name and exact
address, name and title of person(s) approached, name and title of the person(s) who refused
entry, date and time of denial, detailed reasons for denial, facility appearance, and any
reasonable suspicions of regulatory violations. All such information will be important should a
warrant be sought.
Under no circumstances should the inspector discuss potential penalties or do anything that
may be construed as coercive or threatening.
Inspectors should use discretion and avoid potentially threatening or inflammatory situations. If a
threatening confrontation occurs, the inspector should document it and then report it immediately
to the supervisor or staff attorney. If feasible, statements from witnesses should be obtained
and included in the documentation.
3.1.6 Warrants and Warrant Procedures
A warrant is a judicial authorization for an appropriate official (e.g., EPA inspector, U.S. Marshal)
to enter a specifically described location and perform specifically described functions. A
magistrate at EPA issues an administrative warrant to enter and inspect a facility subject to
PCB Inspection Manual 3-3 August 2004
-------
Inspection Procedures Chapter Three
TSCA and the PCB regulations. EPA's authority to conduct inspections under section 11 of
TSCA serves as the basis for requesting the issuance of an administrative warrant.
Once the inspector has contacted his/her supervisor about the circumstances surrounding the
refusal of entry, the supervisor will contact the Regional Counsel (for the Region in which the
facility is located), to decide whether to obtain a warrant.
In addition to the observations pertaining to the denial of consent, if applicable, the inspector
should supply the supervisor/Regional Counsel with the following:
! Information specifically describing the premises to be searched
! Information specifically describing the items to be seized
! Identification of the particular regulatory provisions suspected of being violated (if any) or,
in the alternative, the particular predetermined inspection schedule (i.e., the neutral
scheme) upon which the inspection was to be based.
If the decision is to seek a warrant, the Regional Counsel will contact the U.S. Attorney's office
for the district in which the facility to be inspected is located. The Regional Counsel will brief the
U.S. Attorney (or Assistant U.S. Attorney) on the particular inspection, entry refusal, and
apparent need for a warrant. Finally, the Regional Counsel should arrange for the U.S. Attorney
(or Assistant U.S. Attorney) to meet with the inspector as soon as possible.
3.2 Opening Conference
Once the PCB inspector has presented, upon entry, his/her credentials and the required Notice
of Inspection (see Section 3.1.2 above), it is time for the opening conference. The inspector
should request the use of a conference room or office to conduct the opening conference with a
facility representative and review facility records with a facility representative.
The opening conference provides an opportunity for the inspector to strengthen EPA-industry
relations. The inspector's role, in addition to that of determining compliance problems at subject
facilities, can be that of an educator and EPA public relations representative. The inspector can
serve in this role throughout the inspection, but especially during the opening and closing
conferences (see Section 3.9).
It is important that the inspector have a thorough understanding of PCB regulations. This is
because facility officials may have questions and will probably be familiar with the provisions of
the regulations. The inspector should be at least as well informed as the regulated community
August 2004 3-4 PCB Inspection Manual
-------
Chapter Three Inspection Procedures
concerning TSCA's PCB provisions and the applicable regulations. For this reason, inspectors
should have a copy of the regulation on hand.
The inspector should keep in mind the following objectives during the opening conference:
! Inform facility officials of the purpose and scope of the inspection.
! Conduct the meeting on a positive and professional note.
! Collect and document general facility information.
! Establish a rapport with facility officials.
The inspector should describe the planned inspection. By providing a general description of how
the inspection will proceed, the inspector can foster an atmosphere of trust and cooperation
between EPA and the facility. The following are topics that the inspector should address during
the opening conference pertaining to the inspection:
! General Information
Information regarding facility official (e.g., position, length of time in position,
familiarity with facility operations)
General operations conducted at the facility
General history of the company
History of the site
Ownership of the business
Ownership of the property
Corporate structure
Whether the company is a subsidiary.
! PCB Activities at the Facility. Discuss how and where the facility stores and uses
PCBs. If the facility official is not familiar with PCBs or PCB regulations, questions about
electrical equipment may provide enough information to locate PCBs in use or storage at
the facility. Other questions may include the following:
Is the facility using or storing any of the liquid-filled equipment identified below?
- Transformers
- Railroad transformers
- Capacitors
- Containers of PCBs or PCB Items
- Hydraulic equipment
- Heat transfer systems
- Mining equipment
PCB Inspection Manual 3-5 August 2004
-------
Inspection Procedures Chapter Three
- Electromagnets
- Other electrical equipment (regulators, switches).
Are transformers serviced on the facility premises? If so, by whom?
Is the facility aware of any PCB spills on the premises?
Has the facility ever manufactured PCBs or PCB Items?
Does the site have a PCB storage area?
Does the facility produce PCBs as a by-product of any of its manufacturing
processes?
! Inspection Objectives. After going over the inspection objectives, discuss the order in
which the inspector will inspect activities at the facility.
! Meeting Schedules. If meetings with facility personnel are necessary, schedule them
during this conference.
! Access/Accompaniment. Request access to all areas of the facility potentially involving
PCB activities. Request that a facility official accompany you throughout the inspection.
! Safety Requirements. Determine what safety precautions (e.g., the use of protective
clothing or hard hats) should be observed during the inspection. Some industries and
facilities may have specific safety issues and requirements.
! Photographs. The inspector should advise facility officials that the inspector may use
cameras or electronic recording devices to gather evidence of compliance/non-
compliance. However, the inspector should also advise facility officials that the facility
may claim as CBI photographs and other data gathered through such means. If a facility
official forbids the inspector to take photographs, the inspector should continue to
conduct the inspection without taking photographs, make sketches, if relevant, and, after
leaving the premises, contact his/her supervisor to report the incident and determine next
steps. Note: Inspectors should keep a log of the photographs taken with name of facility,
date, time, and name of inspector taking the photographs.
! Samples. Inform facility officials that the inspection may require samples.
! Records. Identify records needed to review.
3.3 Records Assessment
The purpose of a records assessment is to develop an inventory of PCBs and PCB Items at the
facility. The assessment also will help determine compliance with the recordkeeping provisions.
The inspector should maintain a record of all discrepancies, such as missing or incomplete
records, in the field notebook. The inspector should obtain copies of any records necessary.
August 2004 3-6 PCB Inspection Manual
-------
Chapter Three Inspection Procedures
3.3.1 Inventory
The inspector should develop a PCB Inventory, which will become part of the PCB Inspection
Report (see Chapter Seven), that identifies the type, quantity, and status of PCBs and PCB
Items at the facility from the facility's records. The inventory information will be the same type of
information found in the annual document log required for certain facilities under §761.180. The
inspector can use the facility's annual document log as a framework to develop the PCB
Inventory.
3.3.2 Compliance Assessment
Based on the type of facility being inspected, the inspector should evaluate the records required
by the regulations to determine compliance. (See Chapter Five for specific recordkeeping
requirements.) In conducting this evaluation, the inspector should address the following
considerations:
! Is the facility meeting all of the annual document requirements?
Does the facility meet the minimal threshold (a PCB Transformer, 50 PCB
Capacitors, or 45 kilograms of PCB in a container) to be required to keep an annual
document log? (see §761.180(a) for more detailed information).
Is the necessary information provided in the annual document log?
Are annual document logs available for the past three years?
Are copies of signed manifests maintained; do they match the annual document log?
Is the three-year retention requirement for manifests being met?
Are Certificates of Disposal maintained?
! Is the facility keeping PCB Transformer inspection records?
! Is the facility keeping transformer registration records?
! Have there been any spills? Are there any spill reports?
! If the facility conducted decontamination, are records of confirmatory sampling after
decontamination available for the last three years?
! Are there any unmanifested waste reports that indicate that the disposer rejected waste
sent offsite for disposal due to PCBs?
! Do the records (and/or correspondence file) indicate areas needing further investigation?
! Is the facility operating under a distribution-in-commerce authorization?
If so, is the facility meeting the specific requirements listed in the authorization?
If not, do the shipping records indicate transfer of PCBs to other than storage or
disposal facilities?
PCB Inspection Manual 3-7 August 2004
-------
Inspection Procedures Chapter Three
Is the facility using PCBs/PCB Items under use authorizations and if so, is it using
them correctly?
3.4 Records Verification
The objective of records verification is to assess the accuracy of records by physically
inspecting selected items listed in the records inventory. Although the facility records document
the number of PCB items, the facility records may be incomplete, and the inspector should
check for PCB Items that are not documented. The inspector should document in the field
notebook any inaccuracies in the records. The inspector may need to take samples to establish
PCB concentrations of any suspect substance or material. If the facility conducted laboratory
testing of PCB concentrations, the inspector should obtain copies of the results. The inspector
should also take photographs at appropriate locations to document observations.
3.4.1 Selection of PCB Items for Verification
From the PCB Inventory developed in the records assessment, the inspector should select a
group of items (e.g., PCB Transformers, PCB containers, PCB large capacitors) to examine.
(This will depend on the type of facility being inspected.) Chapter Four provides equipment-
specific information, including background information, common locations, and maintenance and
repair activities relating to the specific equipment types.
! If the items are grouped in the facility records by location, select one or more groups for
examination.
! If records list only totals of each item, select a percentage of each total. Ascertain from
facility officials the location(s) of the items.
! Consider the following in making the selection:
- Practicality of inspection
- Discrepancies indicated in the records assessment
- Suspicions raised during the records assessment
- Facility violation history, if any.
Presented below is a sample equipment inspection list. The inspector should refer to the
following list to target specific areas of potential non-compliance with PCB regulations. The
inspector should not rely on this list to determine compliance with all PCB regulatory provisions
(see Chapter Five). Inspectors should check for:
! Condition of PCB-containing or PCB-contaminated equipment.
August 2004 3-8 PCB Inspection Manual
-------
Chapter Three Inspection Procedures
Leaks and spills
Storage areas (particularly incoming storage site)
Maintenance operations sites
Floor drains that empty into a sewer or outfall to ditches or streams.
Facility drainage systems, storm water systems, discharge points, sumps, and
areas adjacent to surface waters, which should be inspected and, if suspect,
sampled for PCB contamination.
Transport vehicles
Nearby operating equipment.
If the inspector encounters a leak or spill, he/she should note the actual amounts of
PCBs present in the ground. If the actual amounts are unknown, the inspector should
provide a range (e.g., 25 to 125 kg). The inspector should also provide the approximate
area of contamination.
Compliance with marking requirements (§761.40).
Enhanced electrical protection at the facility.
Compliance with recordkeeping requirements (§761.180 - §761.218). Facilities must
maintain the following records for at least three years (Note: Disposal facilities must keep
records for at least three years after ceasing the use/storage of PCBs):
Annual Document Logs
Manifests
Maintenance records
Inspection records and frequency of inspections
Record of registration.
Maintenance and repair operations of PCB-containing equipment.
Compliance with storage regulations at sites storing PCB-containing equipment
Storage for reuse (§761.35)
Storage for disposal (bulk, long-term, temporary) (§761.65).
Improper disposal of PCBs including:
Scrap areas and dumps
Abandoned buildings
Leachate from landfills
Maintenance areas.
Compliance with PCB transport requirements (Department of Transportation
requirements 49 CFR 171 through 180).
Compliance with retrofilling requirements (i.e., fluid less than 50 ppm PCB).
PCB Inspection Manual 3-9 August 2004
-------
Inspection Procedures Chapter Three
3.4.2 Verification
The inspector should locate the group(s) of items selected for verification and compare
information in the records with actual conditions, noting the following:
! Are items accurately described in the records?
- Type (transformer, capacitor, etc.)
- Status (in use, removed from service, stored for disposal)
- PCB ppm content
- PCB weight (if applicable).
! Is the number of items correct?
Safety Note. Inspectors should use extreme caution when in the vicinity of live electrical
equipment. They should NOT sample live equipment.
3.5 Inspecting for Compliance with Disposal Requirements
The inspector should check for and evaluate the extent of improper disposal while conducting
the physical assessment of the facility. The inspector should document in the field notebook all
evidence of improper disposal and sample when necessary to establish PCB concentrations
(see Chapter Six for guidance). Inspectors should note if the facility has or has had any PCB
spills, since these constitute improper disposal. The inspector should photograph all sample
locations and all suspected violations and obtain statements when possible to document where
the disposal violation occurred. Drawings, sketches, diagrams, or maps can be helpful. The
inspector should discuss prior spills and cleanup with the facility representatives and ask to
examine spill cleanup reports.
3.5.1 Indicators of Disposal Violations
A number of signs, including the following, may indicate disposal violations:
! Abandoned or discarded potential PCB-contaminated equipment, parts, or containers.
- Transformers
- Capacitors
- Fluorescent light ballasts
Drums
! Obvious spills or leaks
Discoloration of the soil near PCB Items, in drainage systems, or on the banks of
streams
- Oil films on the surface of streams or standing water
August 2004 3-10 PCB Inspection Manual
-------
Chapter Three Inspection Procedures
- Highly saturated soils
- Oily rags, debris, or other material
- Puddles or drips on or near equipment, containers, drip pans, or floors
Dead grass or other dead vegetation
Odor of chlorinated solvents - especially of trichlorobenzene, the principal solvent for
PCBs (the presence of detectible odor may indicate concentrations of PCBs over
5000 ppm)
Stains on equipment near spigots, cooling tubes, ganges, or insulators. Older stains
may have dust accumulations on them.
3.5.2 Sources of Potential Violations
Housekeeping Practices
Attitudes toward housekeeping may reflect attitudes toward compliance in general and may
provide an indication of potential disposal violations. The questions listed below will be helpful in
gauging these attitudes:
! Are PCB handling areas orderly and in good repair?
! How long has PCB waste (if any) been in storage? (A facility can store waste for no
longer than one year unless EPA issues an extension.)
! Are cleanup materials disposed of properly?
! Are oily rags, debris, or other material stored near PCB Items?
Worker Knowledge
A low level of worker knowledge of the hazards of PCBs may result in poor PCB handling
practices. The inspector may uncover actual or potential disposal violations by asking
managers and workers questions about PCBs. Questions to ask the managers include:
! Who deals with leaks and spills? Is training available to those employees?
! Who is responsible for conducting and recording required inspections of transformers
and storage areas?
Questions to ask the workers include:
! Are you trained to deal with leaks and spills?
! If you are not trained, who is trained to deal with leaks and spills?
PCB Inspection Manual 3-11 August 2004
-------
Inspection Procedures Chapter Three
Maintenance and Repair Operations
Maintenance and repair operations may take place at various locations throughout the facility and
will generate significant amounts of PCB waste. The inspector should consider the following in
assessing their effectiveness:
! Does the facility have written maintenance and repair procedures?
! Are maintenance sites located, constructed, and maintained to minimize the risk of
contamination of surrounding areas?
! Are there indications of leaks or spills at these sites?
! Are there provisions for spill containment (such as a copy of 40 CFR 761, Subpart G
[PCB Spill Cleanup Policy] or any other written policies/materials governing spill cleanup
and containment) at the facility? Do the procedures note the requirement to report spills
of one pound or more of PCBs to the National Response Center? Has the facility in fact
reported such spills? (Ask for records or interview responsible personnel.)
! Are draining/filling operations conducted in a manner to prevent spills?
! Are containers used in the maintenance process of adequate size and in good condition?
! Is maintenance equipment in good condition?
! Are waste PCBs, testing samples, filter media, and contaminated parts, among other
substances, handled, stored, and disposed of properly?
! Are oily rags, debris, or other contaminated material handled, stored, and disposed of
properly?
Decontamination Operations
Decontamination operations will often take place in conjunction with equipment maintenance and
repair and involve extensive handling of PCBs. The following issues should be addressed during
the inspection by referring to §761.79 (pertaining to decontamination generally):
! Does the facility have written decontamination procedures? (If so, the inspector should
obtain a copy.) Do the procedures meet the requirements of §761.79?
! Are the solvents used among those listed in §761.79 or have they undergone the
validation study set out in Subpart T of Part 761 ?
! Does the facility drain or clean PCB equipment prior to disposal?
August 2004 3-12 PCB Inspection Manual
-------
Chapter Three Inspection Procedures
\ Is the site adequate to protect surrounding areas from leaks and spills?
! Does the facility properly store and dispose of drained substances and solvents?
! Does the facility properly decontaminate movable equipment?
! Does the facility properly decontaminate drums and pallets prior to reuse?
Reclassification Operations
PCB authorization regulations (§761.30) allow for reclassification of specific types of PCB
equipment (e.g., transformers with a PCB concentration of greater than 500 ppm may be
reclassified to a PCB-Contaminated Electrical Equipment or to a non-PCB Transformer). For
reclassification in general, the inspector should ascertain compliance with regulations by
ensuring that the facility:
! Follows applicable regulatory procedures governing reclassification
! Documents that adequate loading conditions occurred or that they used an EPA-
approved alternative method to simulate loading
! Meets disposal requirements.
Drainage Systems
Contaminated drainage systems, which may include storm water systems, discharge points,
sumps, and areas adjacent to surface waters, are a source of direct discharge of PCBs into the
environment. Therefore, it is important to consider these issues:
! Is there evidence of leaks or spills near the systems?
! Are small spills washed into drainage systems by rain or by workers unaware of the
contamination risks?
! Is any oil mixed with motor fuels, waste solvents, other waste oils, etc.?
! Are PCB Items located in or near drainage systems?
PCB Inspection Manual 3-13 August 2004
-------
Inspection Procedures
Chapter Three
Waste Oil Use
The regulations specifically prohibit the use of waste oil containing any amount of PCBs for road
oiling, dust control, pesticide carriers, sealant, or rust prevention. However, waste oil may be
burned for energy recovery in accordance with §761.20(e). In general, when ensuring
compliance with waste oil provisions, the inspector should ascertain the following:
! Does the facility use waste oil for any of these purposes?
! What is the source of the waste oil?
! Does the facility burn waste oil for energy recovery (e.g., space heaters, boilers,
furnaces)? If so and the facility has a history of PCB spills and/or leaks, consider
sampling the waste oil.
Sites
The inspector may find evidence of leaks, spills, and illegally discarded PCB Items at various
sites throughout the facility:
! Scrap areas and/or dumps
! Abandoned buildings and vehicles
! Outbuildings
! Construction sites
! Warehouses
! Loading docks
! Basement sumps/underground tanks.
3.6 Marking Assessment (§§ 761.40 and 761.45)
The objective of the marking assessment is to determine that
all items are marked in accordance with the regulations so
that PCBs and PCB Items are clearly identified. The
inspector should document in the field notebook all evidence
of non-compliance and sample when necessary to establish
the PCB level. The inspector should identify the exact
location of each item in violation. The inspector should
photograph the item and its nameplate and all sample
locations and photograph suspected areas of non-
compliance and document these areas in the field notebook.
(See Chapter Five for regulatory requirements and inspection
procedures pertaining to marking.)
I
I CAUTION CONTAINS PCBS j
1 (Polychlorinated Biphenyls) |
IFOR PROPER DISPOSAL INFORMATION
I
f CONTACT U S ENVIRONMENTAL
| PROTECTION AGENCY |
Figure 3-1. Small PCB Mark,
also referred to as Ms. See
Appendix C for a Large PCB Mark
(ML) that is six inches by six
inches, the size required by the
regulations at §761.45(a).
August 2004
3-14
PCB Inspection Manual
-------
Chapter Three
Inspection Procedures
'
?'! / -
- '"MIT iy c "!t9Ji-J03Kj :fJ-:crii-
i
,
-:: 'rJr*PiT:*Jf**il!:ff
HXr " r - r-r^r. -r"M£]
Throughout the physical assessment, the
inspector should check compliance with the
marking requirements, giving particular
attention to:
! How all required items, including the
transformer, transformer accesses,
capacitors, and PCB Containers are
marked
! How transport vehicles are marked
! How storage areas, including
temporary storage areas, are
marked.
Figure 3-2. PCB Transformer nameplate.
3.7 Storage Assessment (§ 761.65)
The objective of the storage assessment is to determine whether the facility properly stores all
PCBs and PCB Items. The inspector should check to see whether storage operations comply
with the regulations, document all discrepancies in the field notebook, and sample when
necessary to establish the PCB level. The inspector should identify the location of items
suspected to be in violation and take photographs of these items when appropriate. In addition,
the inspector should inspect the storage site(s) on the facility premises. If the site is not within
the facility boundaries, the inspector should note the address and operator of the site. (See
Chapter Five for specific requirements pertaining to storage.)
Safety Note. The inspector should exercise caution prior to entering a closed storage area or
vault. The storage area should be ventilated sufficiently before entering because hazardous
conditions may exist (e.g., low oxygen content, explosive vapors).
PCB Inspection Manual
3-15
August 2004
-------
Inspection Procedures
Chapter Three
Figure 3-3. PCB Transformers in storage.
3.7.1 Storage Facility
In evaluating the storage facility, the inspector should consider:
! How is the facility marked for PCB?
! Does the facility have adequate roof and
walls to prevent rain water from reaching
the stored PCBs or PCB Items?
! Is the containment volume sufficient for
quantity of PCBs stored?
! Is the containment area free of drains,
valves, joints, or other openings?
! Are flooring and curbing requirements
met?
! Is the site above the 100-year flood
elevation?
3.7.2 Storage Containers
The inspector should determine the following when checking containers:
! Do containers meet DOT specifications 49 CFR Subchapter I?
For liquid PCBs: Specification 5 container without removable head, Specification 5B
container without removable head, Specification 6D over pack with specification 2S or
2SL polyethylene containers or specification 17E container.
For non-liquid PCBs: Specification 5 container, Specification 5B container or
Specification 17C container.
! Are storage containers dated and marked?
! Are other containers used?
If yes, have design review requirements been met? Has a Spill Prevention Control
and Countermeasure (SPCC) Plan been prepared? Are required records being
kept? Has a registered professional engineer certified the SPCC Plan?
August 2004
3-16
PCB Inspection Manual
-------
Chapter Three Inspection Procedures
3.7.3 Storage Facility Operation
A number of issues pertain to this area of the assessment:
! Does the facility have written storage procedures?
! Are articles and containers checked for leaks every 30 days?
! Are leaking articles and containers transferred to nonleaking containers?
! Is spilled or leaked material cleaned up immediately?
! Is movable equipment properly decontaminated prior to being removed from the facility?
! Are containers and articles handled in a manner that protects them from accidental
damage or breakage?
! Are the containers/articles dated with the out-of-service date?
! Are the containers/articles carrying PCBs properly marked?
! Is the storage-for-disposal area properly marked?
3.7.4 Outside Storage
Outside storage is overflow from a permanent storage location. The inspector should make
sure that outside storage areas meet all applicable regulations:
! Are large high voltage PCB Capacitors and PCB-Contaminated Electrical Equipment that
have not been drained of free flowing dielectric fluid the only items stored outside the
prescribed storage area?
- Are they on pallets?
- Are they structurally undamaged and free of leaks?
- Are they checked weekly for leaks?
! Is the outside area adjacent to the prescribed storage area?
! Does the facility maintain immediately available space in the prescribed storage area to
accommodate 10 percent of the volume of capacitors and transformers stored outside?
3.7.5 Temporary Storage
Temporary storage is any storage location used for less than 30 days. The use of temporary
storage also raises a number of issues:
PCB Inspection Manual 3-17 August 2004
-------
Inspection Procedures Chapter Three
! Is the temporary storage area properly marked?
! Are only nonleaking articles and containers in temporary storage?
Have articles and containers been in the storage area less than 30 days?
Do they have attached notations indicating the date they were removed from service?
- Are PCB liquids below 500 ppm being stored using a SPCC Plan? The inspector
should keep in mind that liquid PCBs containing more than 500 ppm PCBs may not
be temporarily stored.
- Do containers of PCB-contaminated liquid bear notations of PCB content?
3.8 Closing Conference
The inspector should hold a closing conference with the facility officials. The inspector should
limit the discussion to specific findings of the inspection. The inspector should note to the facility
officials that the Regional Office, not the inspector, determines overall compliance upon final
review of the report and other pertinent information. Therefore, the inspector should not discuss
compliance status, legal effects, or enforcement consequences of non-compliance, unless this
authority has been delegated to the inspector. Generally only the Division Director or whoever
has been delegated authority may make compliance determinations after reviewing all of the
evidence. The inspector may refer facility officials to approved compliance assistance sources
and documents. At this meeting, an inspector may request additional data, ask questions, and
secure necessary receipts (see Section 3.8.2).
3.8.1 Discussions
The inspector should discuss and clarify any questions or problems relating to the inspection.
The inspector should:
! Without using the term violation, inform facility officials of any leaks, spills, or other
problems that may need immediate attention and relay information to the facility official
concerning any conditions which may require corrective action.
! Respond to questions regarding TSCA and the PCB regulations and refer any questions
that exceed his/her knowledge or authority to other EPA personnel.
! Ensure the EPA sample chain-of-custody form is completed and maintain sample
integrity until the sample is delivered or shipped to laboratory.
! Do not advise that no violations were found (even if he/she believes this is the case)
unless this authority has been delegated to him/her. The inspector should explain to
facility official(s) that EPA makes compliance determinations after reviewing all of the
evidence.
August 2004 3-18 PCB Inspection Manual
-------
Chapter Three Inspection Procedures
3.8.2 Required Receipts
Under TSCA, inspectors must give written receipts for samples and documents taken from the
facility. These include the following:
! Receipts for Samples and Documents. Inspectors should list and describe all
samples taken and all documents taken or copied during the inspection, sign the receipt,
obtain facility official signatures, and distribute the appropriate copies to facility officials.
! Declaration of Confidential Business Information. Inspectors should list and
describe all information the facility declares as confidential, sign the receipt, obtain facility
official signatures, and distribute the appropriate copies to facility officials.
Note: Inspectors may not send any CBI documents via U.S. mail. Documents must be hand
delivered to the DCO.
3.9 Compliance Assistance
Since inspectors are often the only contact between EPA and the regulated industries, they
should be aware of opportunities to promote compliance with EPA regulations. After an
inspection, the inspector will have first-hand knowledge of the inspection site, as well as
knowledge of any specific questions or problems the site officials may have. The inspector can
use this time to answer those questions and/or convey information that will move the site toward
improving compliance and acting in an environmentally responsible manner. Please refer to the
National Policy: The Role of the EPA Inspector in Providing Compliance Assistance During
Inspections (Appendix B) for more information.
3.9.1 General Outreach Activities
Since the purpose of the inspection process is to promote future compliance as well as to
identify past and current violations, it is important for the inspector to help raise the level of a
facility's awareness of both PCB regulations and other EPA regulations. The inspector may
leave EPA listings of the names and telephone numbers of other media programs (i.e., air,
water) to help promote compliance with other EPA programs.
Depending on the particular situation, specific EPA or State initiatives may be applicable to the
facility. Examples of such initiatives include pollution prevention or EPAs Green Lights program.
The inspector can give the facility contact names, brochures, publications, or other materials
that address topics of concern to the site.
PCB Inspection Manual 3-19 August 2004
-------
Inspection Procedures Chapter Three
3.9.2 Information Sources
The inspector has a broad selection of information sources from which to obtain outreach/
educational materials. These sources include:
! EPA OECA Website, www.epa.gov/oeca/monitoring/index.html.
! EPA's PCB Home Page. EPAs internet site at http://www.epa.gov/pcb/ includes links to
statutory and regulatory language, guestion and answer documents, spill cleanup policy
guidance, regional contact lists, and other information sources. Versions of the PCB
Transformer Registration Database and the PCB Activity Database are available for
download. The site also includes listings of approved commercial storers and disposers.
! Pollution Prevention Information Clearinghouse (PPIC). On EPAs internet site at
http://www.epa.gov/opptintr/librarv/ppicindex.htm. PPIC is a free, nonregulatory
clearinghouse focusing on source reduction and recycling of industrial wastes. It
contains technical, policy, programmatic, legislative, and financial information.
! Inspectors Compliance Assistance Resources Guide. Located on EPA Inspector
Website at http://intranet.epa.gov/oeca/oc/campd/inspector.
August 2004 3-20 PCB Inspection Manual
-------
Chapter Four Equipment-Specific Information
Chapter Four
Equipment-Specific Information
4.0 Equipment-Specific Information 4-1
4.1 Transformers 4-1
4.1.1 Background 4-1
4.1.2 Transformer Locations 4-2
4.1.3 Maintenance and Repair of PCB Transformers 4-5
4.1.4 Manufacturers and Trade Names 4-7
4.2 Capacitors 4-9
4.2.1 Background 4-9
4.2.2 Locations 4-10
4.2.3 Maintenance and Repair 4-10
4.2.4 Manufacturers and Trade Names 4-10
4.3 Other Electrical Equipment 4-12
4.4 Hydraulic Systems 4-12
4.4.1 Background 4-12
4.4.2 Manufacturers and Trade Names 4-13
4.5 Other PCB Equipment 4-13
4.5.1 Fluorescent Light Ballasts 4-13
4.5.2 Heat Transfer Systems 4-14
4.5.3 Natural Gas Pipelines 4-15
4.5.4 Electric Motors 4-16
4.5.5 Electromagnets 4-16
4.5.6 Products Containing PCBs 4-16
PCB Inspection Manual 4-i August 2004
-------
Equipment-Specific Information Chapter Four
Tables
Table 4-1. Estimate of the Number of Registered Transformers by Industry Sector 4-4
Table 4-2. Transformer Manufacturers and PCB Fluid Trade Names 4-8
Table 4-3. Capacitor Manufacturers and PCB Fluid Trade Names 4-11
Table 4-4. Hydraulic Fluid Manufacturers and Trade Names 4-13
Table 4-5. TSCA Disposal Requirements for Fluorescent Light Ballasts 4-14
Table 4-6. Heat Transfer Fluid Manufacturers and Trade Names 4-15
August 2004 4-ii PCB Inspection Manual
-------
Chapter Four
Equipment-Specific Information
4.0 Equipment-Specific Information
An inspector may encounter several types of PCB-containing equipment during a PCB
inspection. This equipment consists chiefly of five major categories: transformers, capacitors,
other electrical equipment, hydraulic systems, miscellaneous (e.g., fluorescent light ballasts,
heat transfer systems), and other equipment. This chapter provides the inspector with general
information on these major categories of regulated PCB equipment for which EPA authorizes
certain activities (e.g., servicing and/or use), in accordance with Section 6(e) of TSCA.
For each type of PCB equipment discussed, this chapter provides information on the typical
economic sectors using the equipment and a list of manufacturers and trade names. This
chapter also includes information on inspections relating to specific equipment and the risk of
contamination from exposure to such equipment.
The sections below summarize those regulations pertaining only to activities authorized for the
specific equipment. Section 761.30, "Authorizations" describes these authorization provisions.
General regulatory requirements (e.g., provisions concerning disposal and storage, marking, and
recordkeeping) also apply to authorized uses of such equipment. Inspectors should refer to
Chapters Three and Four as well as the regulations when preparing to conduct inspections.
Each section in this chapter contains a list of manufacturers and trade names used for PCBs or
materials containing PCBs. Appendix E contains a comprehensive listing of PCB
manufacturers and the trade names they used for PCB materials.
4.1 Transformers [§761.30(a) and (b)]
4.1.1 Background
Transformers increase or decrease the voltage
level of an electric current. Electrical
transformers are often filled with a dielectric liquid
that increases the resistance of the unit to arcing
and acts as a heat transfer medium, helping to
cool the coils. Today, most transformers are
filled with mineral oil or silicone.
PCBs are chlorinated fire-resistant fluids that
meet the definition established in the National
Electrical Code (NEC) foraskarel, the generic
name for non-flammable synthetic chlorinated
hydro-carbons used for insulating media.
Figure 4-1. Two PCB Transformers.
PCB Inspection Manual
4-1
August 2004
-------
Equipment-Specific Information Chapter Four
Askarel transformers, containing 40 to 60 percent PCBs, with the remainder of the fluid being
chlorobenzenes, were manufactured in the United States from 1929 to 1978. Askarel
transformers were made in a variety of sizes, containing from three to 3,000 gallons (average
235 gallons) of liquid. They were generally used in locations where flammability was a concern.
Many mineral oil transformers may have been contaminated with PCBs through servicing or at
the time of manufacturing. Figure 4-2 shows an oil filled transformer and a non-oil filled
transformer.
The regulations define PCB and PCBs as any chemical substance that is limited to the biphenyl
molecule that has been chlorinated to varying degrees or any combination of substances which
contains such substances. The regulations define a PCB Transformer as any transformer
containing 500 ppm PCBs or greater. PCB-Contaminated Transformers contain PCBs at
concentrations greater than or equal to 50 ppm and less than 500 ppm. The inspector should be
aware that the PCB concentration of transformer bushings may differ from the transformer.
The inspector should note that regulations pertaining to railroad transformers are separate from
those relating to other transformers. Therefore, the information pertaining to railroad transformer
regulations, as well as to maintenance, repair, and inspection of railroad transformers, is
presented separately, later in this chapter.
4.1.2 Transformer Locations
As of August 28, 1998, owners/operators of PCB Transformers in use, or in storage for reuse,
must register those transformers with EPA. Owners/operators of a transformer who failed to
register in 1998 are still required to register. This registration is a one-time requirement. When
an owner/operator of a company removes PCB Transformers from service and disposes of
them, it need not update its original registration. EPA has developed a database of the
registered PCB Transformers (the PCB Transformer Registration Database) which can be
accessed at www.epa.gov/pcb/data.html. Based on a simple analysis of the company names in
the October 2001 version of this database, the industries listed in the table below registered the
most transformers. The inspector should use the information below only as a general guide to
which industries commonly have PCB Transformers, as opposed to an exact count of the
transformers in use. Some owners of PCB Transformers may not have registered, while others
incorrectly registered.
August 2004 4-2 PCB Inspection Manual
-------
Chapter Four
Equipment-Specific Information
Surge
Arrester
1
Non-Oil Filled
Transformer
Surge
Arrester
Oil Filled
Transformer
Surge
Figure 4-2. Oil filled and non-oil filled transformers.
PCB Inspection Manual
4-3
August 2004
-------
Equipment-Specific Information
Chapter Four
Table 4-1. Estimate of the Number of Registered
Transformers by Industry Sector
Industry Sector
Utilities
Steel
Federal
Metal
Automotive
Paper and Paper Products
Tire and Rubber
Mining
Education
Transportation
Textiles
Durable Goods
Chemicals and Polymers
Cement and Concrete
Non-Federal Government
Fertilizer and Allied Products
Glass
Pharmaceutical
Oil/Gas/Refinery
Building Materials
Other
Grand Total
Number of Registered
Transformers
10,644
1,968
1,805
1,292
1,063
391
344
340
308
287
221
215
208
179
164
150
135
113
111
102
1,814
21,854
PCB Transformers are in use in a wide variety of locations, often including:
PCB Transformers can be found in:
- Distribution substations
- Generating facilities (including coal, gas, and nuclear facilities).
August 2004
4-4
PCB Inspection Manual
-------
Chapter Four Equipment-Specific Information
Mines
! Transformers are usually located within the power substation that supplies electricity to
the entire mine. (See Appendix F for more information regarding the use and distribution
of PCBs in underground mines and training and safety issues for inspectors visiting
mines.)
Industrial and Other Sectors
! Industries with high-power requirements or equipment are likely to have PCB
Transformers. Likely locations of PCB Transformers include:
In electrical substations
Inside, around, or on top of buildings
- In powerhouses that generate and distribute electrical power throughout the facility
- In underground vaults.
! Transformers can also be found in the broadcasting industry.
Commercial Buildings
! PCB Transformers often are used inside commercial buildings to meet fire code
restrictions or to reduce fire insurance premiums. Most commercial building owners
contract the servicing of their transformers to transformer maintenance and repair
companies. However, commercial building owners may not own PCB Transformers.
The electric utility providing service to the building often owns such units. The inspector
should determine who owns and is responsible for the unit.
! Neon signs may also contain PCB Transformers and may be found on old or abandoned
commercial buildings or in scrap yards.
Railroads and Subways
! Railroad companies used PCBs in on-board transformers in electric locomotives and
self-propelled cars in service in the Northeast Corridor (Washington to Boston). The
transformers reduce the high voltage current from overhead lines. Subway systems
used PCB Transformers to distribute power to subway cars. Transformers are generally
underground.
4.1.3 Maintenance and Repair of PCB Transformers
PCB Transformers (both railroad and others) require periodic maintenance and repair, which
may be handled by facility staff or by independent contractors.
! Independent firms may contract to maintain and repair transformers for all types and
sizes of industries, including small firms (e.g., commercial buildings).
PCB Inspection Manual 4-5 August 2004
-------
Equipment-Specific Information Chapter Four
\ Maintenance divisions of larger industries may operate facilities to maintain and repair
transformers. These divisions occasionally service transformers for other firms.
Maintenance operations take place both onsite (at the operating location of the equipment) and
offsite (at a special shop or facility operated by the firm or by the contractor).
! Onsite maintenance and repair may involve considerable handling of PCBs, including:
- Transport of items such as waste liquids and contaminated rags to storage or
disposal.
! Offsite maintenance may occur in specific facilities used only for transformer
maintenance or in shops that handle other maintenance as well. The handling includes:
- Removal of the transformer from the operating site
- Transport of damaged or leaking equipment
- Transport of waste to storage or disposal site
Reinstallation of repaired equipment.
PCB Transformer Maintenance
PCB Transformers (excluding railroad transformers, which are discussed below) require
service periodically and repair when out-of-order. Maintenance includes:
! Sampling fluid to test dielectric strength
! Topping off fluid (historically a source of PCB contamination)
! Replacing gaskets, bushings, insulators, etc., which may involve partial draining of the
unit
! Removing and filtering the dielectric liquid and refilling the unit
! Removing PCB liquid and refilling with replacement dielectric fluid
! Generating waste liquid, contaminated rags, equipment, etc., which must be disposed of
in accordance with the regulations.
Railroad Transformer Maintenance
Railroad transformers require additional and more frequent maintenance because of their unique
installation and operating circumstances:
! On-board transformers are subject to severe conditions (high loads, cramped space)
and require a high level of maintenance.
! Pumps circulate oil containing PCBs through the transformers, where the oil absorbs
heat, to a series of finned radiators which dissipate the heat.
August 2004 4-6 PCB Inspection Manual
-------
Chapter Four Equipment-Specific Information
! Transformers and the cooling apparatus located in the undercarriage are subject to
damage from objects dislodged from the roadbed. Inspectors should be aware that
leaks can cause exterior surfaces to become contaminated.
Maintenance frequently takes place in repair pits, which can become severely contaminated with
PCBs. Operations are similar to those listed for other PCB Transformers, but include additional
activities, such as:
! Repairing/replacing circulating pumps and damaged, leaking cooling systems and
radiators
! Dismantling/disconnecting cooling systems filled with PCB fluids
! Decontaminating the system and equipment surfaces.
4.1.4 Manufacturers and Trade Names
Many manufacturers of PCB askarel liquid identified the substance by a trade name. PCBs
have been used since 1929, and many of the early manufacturers have gone out-of-business.
PCB Inspection Manual 4-7 August 2004
-------
Equipment-Specific Information
Chapter Four
Table 4-2. Transformer Manufacturers and
PCB Fluid Trade Names
Transformer Manufacturer
Allis-Chalmers
American Corporation
Cornell Dubilier
Electro Engineering Works
Envirotech Buell
ESCO Manufacturing Company
Ferranti-Packard Limited
General Electric
H.K. Porter
Helena Corporation
Hevi-Duty Electric
ITE Circuit Breaker Company
Kuhlman Electric
Maloney Electric
Mitsubishi
Monsanto (fluid only)
Niagara Transformer Corporation
Power Zone Transformer
Research-Cottrell
Standard Transformer Corporation
Uptegraff Manufacturing Company
Van Tran Electric
Wagner Electric
Westinghouse
PCB Fluid Trade Name
Chlorextol
Asbestol
Dykanol
Askarel*
Askarel*
Pyranol
Askarel*
Non-flammable Liquid
Saf-T-Khul
Kennechlor, Santotherm
Aroclor
Askarel*, EEC-18
EEC-18
Askarel*
No-Flamol
Inerteen
Nepolin
* Generic name for non-flammable insulating liquids.
Note: There may be other manufacturers and PCB fluid trade names that are not listed.
August 2004
4-8
PCB Inspection Manual
-------
Chapter Four
Equipment-Specific Information
4.2 Capacitors [§761.30(1)]
4.2.1 Background
Capacitors regulate the flow of electric current. PCBs were the dielectric fluid used in
approximately 95 percent of U.S.-produced, liquid-impregnated capacitors manufactured prior to
1978. The regulations require that all capacitors be disposed of as a PCB Capacitor except
when a specific capacitor is known not to contain PCBs based on a label or nameplate,
manufacturers' literature, or chemical analysis. To assist in this determination, EPA regulations
required all non-PCB, large low voltage capacitors, small capacitors, and fluorescent light
ballasts manufactured between July 1, 1978, and July 1, 1998, must bear a "No PCBs" label
[§761.40(g)].
There are two general types of capacitors containing PCBs: (1) capacitors built into electrical
equipment, such as fluorescent lights, televisions, and small motors, which are smaller in size;
and (2) capacitors used as separate units in electrical power distribution systems, which are
larger in size (see Figure 4-3).
The PCB regulatory program under TSCA defines three types of PCB Capacitors in 40 CFR
761.3:
A small capacitor contains less than 1.36
kg (3 pounds) of dielectric fluid.
A large high voltage capacitor contains 1.36
kg (3 pounds) or more of dielectric fluid and
operates at 2,000 volts (AC or DC) or
above.
A large low voltage capacitor contains 1.36
kg (3 pounds) or more of dielectric fluid and
operates below 2,000 volts AC or DC.
Figure 4-3. Six large high voltage capacitors.
PCB Inspection Manual
4-9
August 2004
-------
Equipment-Specific Information Chapter Four
4.2.2 Locations
The following is a list of likely locations, by economic sector, of capacitors. Within these
sectors, the capacitors may be located almost anywhere.
Electric Utilities
! Capacitors are usually located in distribution substations.
Manufacturing
! Capacitors are:
Located in banks or individually.
Located in underground pump stations.
Used for power factor correction on motor control circuits and as part of the circuitry
of electric induction furnaces.
Used for power correction or startups of large motors as used commonly with water
pumps for large air conditioning systems or lift stations.
Used for startup of any large motor associated with manufacturing (e.g., drills, saws).
Subway Systems
! Large capacitors are used:
- In conjunction with underground transformers.
- On subway cars.
Mines
! Capacitors are:
Usually located within the power substation that supplies electricity to the entire mine
Located underground in skid-mounted or wheel-mounted power centers or
individually
Often installed in control boxes for large electrical motors.
4.2.3 Maintenance and Repair
Facilities replace rather than repair non-functioning capacitors. Short-circuiting units can rupture
and leak.
4.2.4 Manufacturers and Trade Names
Several companies manufactured PCB Capacitors in the United States from 1929 until 1978.
Many of the manufacturers identified the PCB dielectric liquid by trade name. The following list
of manufacturers and trade names is not necessarily complete and, therefore, should be used
only as a guide.
August 2004 4-10 PCB Inspection Manual
-------
Chapter Four
Equipment-Specific Information
Table 4-3. Capacitor Manufacturers and PCB Fluid Trade Names
Capacitor Manufacturer
PCB Fluid Trade Name
Aerovox
Axel Electronics
Capacitor Specialists
Cornell Dubilier
Electrical Utilities Corporation
Electromagnetic Filter Company
Federal Pacific
General Electric
Jard Corporation
McGraw Edison
Monsanto (fluid only)
P.R. Mallory & Company
R.F. Interonics
Sangamo Electric Company
Sprague Electric Company
Tobe Deutschmann Labs
Universal Manufacturing Corporation
Westinghouse
York Electronics
Hyvol
Dykanol
Eucarel
Non-flammable liquid
Pyranol
Clorphen
Elemex
Aroclor, Capacitor 21, MCS 1489
Arclor B
Diaclor
Clorinol
Askarel*
Inerteen
: Generic name for non-flammable insulating liquids.
PCB Inspection Manual
4-11
August 2004
-------
Equipment-Specific Information
Chapter Four
4.3 Other Electrical Equipment [§761.30(h) and (m)]
Other PCB-Contaminated Electrical
Equipment includes circuit breakers,
reclosers, voltage regulators, switches
(including sectionalizers and motor
starters), and electromagnets. The
inspection guidelines are similar to those
for capacitors. Figure 4-4 shows a circuit
breaker system and location where PCB-
contaminated oil may be found.
4.4 Hydraulic Systems [§761.30(e)]
4.4.1 Background
Hydraulic systems are machines that
operate by the force exerted by pressurized
and confined liquid. Many steel
manufacturing and die casting plants used
PCBs in hydraulic systems to reduce fire
hazards on machines that handled hot
metals. These systems included hydraulic
systems for metal dye casting equipment,
trim presses, induction hardening
machines, heat treating furnaces, forge
furnaces, and forge presses. The PCB
regulations authorize the use of hydraulic
systems containing PCBs below 50 ppm.
Owners drained and flushed hydraulic
systems in an attempt to reduce PCB contamination. However, systems may still be
contaminated with residual PCBs that remained after refilling with non-PCB fluid. Hydraulic
systems normally leak several times their capacity each year because the fluid is often
pressurized to several thousand pounds per square inch causing the system to leak at
connection joints and piston rings.
Figure 4-4. Hydraulic system for closing circuit breaker.
August 2004
4-12
PCB Inspection Manual
-------
Chapter Four
Equipment-Specific Information
4.4.2 Manufacturers and Trade Names
The following list of hydraulic fluid trade names may not contain all trade names. PCBs have
been used since 1929, and many of the early manufacturers have gone out-of-business.
Table 4-4. Hydraulic Fluid Manufacturers
and Trade Names
Manufacturer
Monsanto
Hydraulic
Pydraul A-200
Pydraul A-200-B
Pydraul AC*
Pydraul AC-A*
Pydraul AC-28
Pydraul F-9
Pydraul F-9-A
Pydraul 135
Pydraul 135-A
Pydraul 150
Pydraul 150-A
Santovac 1
Fluid Trade Names
Pydraul 230
Pydraul 230-A
Pydraul 280
Pydraul 312
Pydraul 312-A
Pydraul 540
Pydraul 540-A
Pydraul 540-B
Pydraul 625
Pydraul 625-A
Turbinol 153
Santovac 2
* These were reportedly used as lubricating fluids in some natural gas pipelines as well.
4.5 Other PCB Equipment
4.5.1 Fluorescent Light Ballasts
Light ballasts are the primary electric components of fluorescent light fixtures and are generally
located within the fixture under a metal cover plate. The PCBs are located in the light ballasts'
small capacitor or in the potting material, the insulating material inside the ballast. Since 1978,
EPA has required manufacturers of fluorescent light ballasts to mark ballasts that do not contain
PCBs with the statement "No PCBs." Inspectors should assume that light ballasts contain PCB
small capacitors if they were manufactured before 1978 or do not have a "No PCBs" statement.
Table 4-5 indicates the disposal requirements for fluorescent light ballasts. Please note that
after July 1, 1998, fluorescent light ballast manufacturers are no longer required to mark
fluorescent light ballasts with the statement "No PCBs."
PCB Inspection Manual
4-13
August 2004
-------
Equipment-Specific Information
Chapter Four
Table 4-5. TSCA Disposal Requirements for Fluorescent Light Ballasts
PCB Capacitor
"No PCBs" label
None*
Intact and non-
leaking or none*
Intact and non-
leaking
Leaking
PCB
Potting
Material
< 50 ppm
>. 50 ppm
< 50 ppm
< 50 ppm
or
>. 50 ppm
Labeling,
Transportation, and
Manifesting for
Disposal
Not regulated under
TSCA.
Not regulated under
TSCA.
-Is a PCB bulk product
waste.
-No labeling is required.
-Manifesting is required for
disposal in accordance
with §761. 62(a); is not
required under §761 .62(b);
may be required under
§761.62(c).
No labeling or manifesting
required.
-Disposal as PCB bulk
product waste.
-No labeling is required.
-Manifesting is required for
disposal in accordance
with §761 .62(a); may be
required under §761 .62(c).
Disposal
Reference
in §761
o
N/A
N/A
.50(b)(2)(ii)
.62(a)-(c)
.50(b)(2)(i)
.60(b)(2)(ii)
.62(a) or (c)
Disposal Options
Not regulated under
TSCA.
Not regulated under
TSCA.
-TSCA incinerator**
-TSCA/RCRA landfill
Alternate Destruction
Method.
-Decontamination
(§761 .65(d) storage may be
required).
-Coordinated approval.
-State-approved landfill
(leach test required).
-Risk-based approval.
Dispose as municipal solid
waste (§761 Subpart D
options).
-TSCA incinerator*
-TSCA/RCRA landfill
Alternate Destruction
Method-
-Decontamination
(§761 .65(d) storage may be
required).
-Coordinated approval.
-Risk-based approval.
"None" means that the capacitor contains no PCB's or was manufactured after 1978.
** A TSCA incinerator is one approved by the Regional Administrator or by the Director of NPCD to handle TSCA waste.
Source: www.epa.gov/pub/quidance.html (EPA PCB Website)
4.5.2 Heat Transfer Systems [§761.30(d)]
Heat transfer systems use fluids of high heat capacity to remove unwanted heat or to transfer
heat from one place to another within a system. They are commonly used to provide heat in
chemical manufacturing where temperatures greater than that provided by steam are needed.
August 2004
4-14
PCB Inspection Manual
-------
Chapter Four
Equipment-Specific Information
Heat transfer systems in certain applications used PCBs as a heat transfer fluid. Heat transfer
systems that contained PCB fluid were refilled with non-PCB fluid approximately 90 percent of
the time. Despite this refilling, most systems contained residual PCBs. Leaks usually occur
through pump motor seals.
Inspectors of facilities using PCB heat transfer fluid should ensure that all systems are below the
50 ppm limit by checking records or sampling (if it is safe to sample). Inspectors should also
review disposal records such as manifests for PCB-contaminated fluid drained from the
systems to determine if the facility properly stored the fluids for disposal or disposed of the fluids
by incineration and visually check for PCB contamination and current releases of PCBs on site
due to prior spills or disposal of the PCB fluids.
The following is a list of heat transfer fluid manufacturers although it may not contain all trade
names. PCBs have been used since 1929, and many of the early manufacturers have gone
out-of-business.
Table 4-6. Heat Transfer Fluid Manufacturers
and Trade Names
Manufacturer
Geneva Industries
Monsanto
Heat Transfer
Monsanto FR-1
Therminol FR-0
Therminol FR-LO
Therminol FR-1
Fluid Trade Names
Therminol FR-2
Therminol FR-3
4.5.3 Natural Gas Pipelines [§761.30(i)]
A number of gas pipeline companies used PCBs as a working fluid in their compressors
between 1950 and the early 1970's. There are several sources of PCBs associated with natural
gas transmission pipelines. The use of PCBs in turbine compressors leaked PCBs (Arolcors
1221, 1242 and 1248) into the transmission pipelines and contaminated the existing natural gas
pipeline liquids (water and condensate). The condensate fraction consists of heavier
hydrocarbons that may be ignitable, BTEX (benzene, toluene, ethyl benzene and xylenes) and
naphthalenes. The PCB contamination spread to other interconnected pipeline systems. The
improper disposal of PCB contaminated condensate into open pits, via spills and venting caused
significant contamination at natural gas companies such as Texas Eastern and Transwestern
compressor stations. The historical use of waste oils, contaminated with PCBs, to "fog" or
lubricate the old pipelines and use (probably minor) of a Rockwell plug valve sealant/grease
containing PCBs (Aroclor 1268) also contaminated existing natural gas pipeline condensate.
The use of PCBs (Aroclors 1221, 1242, 1248 and 1254) in reciprocating air compressors and
associated blowdowns resulted in onsite surface soil and wastewater drainage system PCB
PCB Inspection Manual
4-15
August 2004
-------
Equipment-Specific Information Chapter Four
contamination. This use did not result in transmission pipeline PCB contamination. This
occurred at Texas Eastern, Tenneco, Columbia Gas, Texas Gas and other companies.
Current regulations (761.30(i)) authorize the use of PCBs in natural gas pipelines at
concentrations of less than and greater than 50 ppm PCBs under certain conditions. These
(761.30(i)) are the rules that now govern the PCBs that still remain in the various natural gas
transmission pipelines. The old PCB/Compliance Monitoring Program (CMP) was terminated
when this rule was promulgated in 1998. Additional NGP information and details of the 1981
and 1996 PCB CM Pare found in Appendix G of this manual.
4.5.4 Electric Motors
In the late 1960s and early 1970s, Reliance Electric for Joy Manufacturing Company
manufactured electric motors that contained PCBs. Liquid-filled motors were used because
they were smaller and lighter than air-cooled motors. Manufacturers chose a PCB mixture for
the liquid because it was non-flammable, provided adequate lubrication, and possessed the best
overall combination of electrical properties, chemical stability, and cost.
Mining machine electric motors used on certain underground continuous loaders built by Joy
contain PCBs as a coolant fluid in the large cutting head motors and traction motors. Previous
versions of the regulations established a deadline of January 1, 1982, for phasing-out the use of
these motors. The current regulations [§761.30(c)] allow the use of PCB-containing mining
equipment only under 50 ppm.
Submersible well pump motors manufactured before 1979 may contain up to five ounces of
PCB dielectric fluid in their capacitors. PCBs may leak out of these submersible well pump
motors during normal wear-and-tearorwhen the pump suddenly fails due to lightening strikes or
electrical failures or shorts. Appendix H contains the manufacturer's models and serial numbers
of some of the submersible pump units that contain PCBs.
4.5.5 Electromagnets [§761.30(h)]
Regulations prohibit servicing, including rebuilding, of PCB electromagnets with a PCB
concentration of 500 ppm or greater that requires the removal of internal components.
4.5.6 Products Containing PCBs
Other products that may contain PCBs include:
! Investment casting wax
! Carbonless copy paper
! Resins
! General sealants and coatings, including windshield sealant and silo sealant
August 2004 4-16 PCB Inspection Manual
-------
Chapter Four Equipment-Specific Information
\ Lubricants, including bridge bearings and additives to transmission fluids
! Paint, including marine paint
! Electrical cable insulation
! Gaskets
! Roofing materials.
PCB Inspection Manual 4-17 August 2004
-------
Equipment-Specific Information Chapter Four
Blank Page
August 2004 4-18 PCB Inspection Manual
-------
Chapter Five Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
and Inspection Procedures
5.0 Regulatory Requirements and Inspection Procedures 5-1
5.1 Authorizations 5-1
5.1.1 Transformer Use Conditions 5-1
5.1.2 Transformer Servicing Conditions 5-12
5.1.3 Railroad Transformers 5-14
5.1.4 Mining Equipment 5-15
5.1.5 Heat Transfer Systems 5-15
5.1.6 Hydraulic Systems 5-15
5.1.7 Carbonless Copy Paper 5-15
5.1.8 Electromagnets, Switches, and Voltage Regulators 5-16
5.1.9 Natural Gas Pipeline Systems 5-19
5.1.10 Research and Development 5-23
5.1.11 Scientific Instruments 5-24
5.1.12 Capacitors 5-25
5.1.13 Circuit Breakers, Reclosers, and Cable 5-25
5.1.14 Porous Surfaces Contaminated with PCBs 5-26
5.1.15 Rectifiers 5-27
5.1.16 Air Compressor Systems 5-27
5.1.17 Other Gas or Liquid Transmission Systems 5-28
5.1.18 Decontaminated Materials 5-29
5.2 Storage for Reuse 5-30
5.3 Marking of PCBs and PCB Items 5-32
5.4 Storage and Disposal 5-36
5.4.1 Applicability 5-36
5.4.2 Disposal Requirements 5-42
5.4.3 PCB Remediation Waste 5-49
5.4.4 Disposal of PCB Bulk Product Waste 5-55
5.4.5 Storage for Disposal 5-58
5.4.6 Approval of Commercial Storers 5-67
5.4.7 Coordinated Approval 5-74
5.4.8 Decontamination Standards and Procedures 5-75
5.5 Transboundary Shipments of PCBs for Disposal 5-82
PCB Inspection Manual 5-i August 2004
-------
Regulatory Requirements and Inspection Procedures Chapter Five
5.6 PCB Spill Cleanup Policy 5-83
5.7 General Records and Reports 5-90
5.7.1 PCBs and PCB Items in Service or Projected for Disposal 5-90
5.7.2 Disposers and Commercial Storers of PCB Waste 5-93
5.7.3 Retention of Special Records by Storage and Disposal Facilities 5-97
5.7.4 Certification Program and Retention of Records by Importers and Persons
Generating PCBs in Excluded Manufacturing Processes 5-98
5.7.5 Reporting Importers and by Persons Generating PCBs in Excluded
Manufacturing Processes 5-100
5.7.6 Maintenance of Monitoring Records by Persons Who Import, Manufacture,
Process, Distribute in Commerce, or Use Chemicals Containing Inadvertently
Generated PCBs 5-101
5.8 PCB Waste Disposal Records and Reports 5-102
5.8.1 EPA Identification Numbers 5-102
5.8.2 Notification of PCB Waste Activity 5-103
5.8.3 The Manifest - General Requirements 5-106
5.8.4 Manifest Procedures 5-108
5.8.5 Exception Reporting 5-115
5.8.6 Certificates of Disposal 5-117
August 2004 5-ii PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
5.0 Regulatory Requirements and Inspection Procedures
This chapter presents the key regulatory provisions applicable to PCBs and inspection
procedures for the major regulatory provisions. The summary addresses authorized activities
pertaining to PCBs and PCB Items: marking; disposal; storage for disposal; and recordkeeping
and reporting. Appendices I through M contain operating and reporting requirements applicable
to the following specific facilities', incinerators, chemical waste landfills, high efficiency boilers,
alternative disposal facilities, and scrap metal recovery ovens and smelters. Inspectors should
follow the procedures listed below when conducting an inspection.
5.1 Authorizations
5.1.1 Transformer Use Conditions
Regulation Reference: §761.30
Regulatory Requirements
Inspection Procedures
Transformer Use Conditions
Transformers, except railroad transformers, may
contain PCBs at any concentration for the
remainder of their useful lives (including servicing
and rebuilding) subject to the following use
conditions:
§761.30(a)
As of 10/1 /85, a person may not use or store
for use PCB Transformers in such a manner
that they pose an exposure risk to food or
feed. §761.30(a)(1)(i)
As of 10/1/90, a person may not use network
PCB Transformers with higher secondary
voltages (i.e., voltage >. 480 volts, including
480/277 volt systems) in or near commercial
buildings. §761.30(a)(1)(ii)
Determine whether facility location of
transformers is near food or feed posing
an "exposure risk to food or feed."
Remind operator/owner of the definition
of "exposure."
Determine whether transformer is a
"network" or "radial" transformer by
asking responsible facility official. Then
review transformer repair, maintenance,
and rebuilding procedures at the facility:
Ask company.
Ask utility.
Review/obtain electrical schematic.
PCB Inspection Manual
5-1
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Transformer Use Conditions
A person who removes from service a
network PCB Transformer with higher
secondary voltages in accordance with this
requirement must either reclassify the
transformer to PCB-contaminated ornon-
PCB status, place it into storage for disposal,
or dispose of it. §761.30(a)(1)(ii)
As of 10/1/85, no person may install PCB
Transformers which have been placed into
storage for reuse or which have been
removed from another location in or near a
commercial building. §761.30(a)(1)(iii)
- EPA indefinitely permits the installation of
a retrofilled mineral oil PCB Transformer
for reclassification purposes.
Check PCB nameplates of
transformers installed in or near
commercial buildings. If any are PCB
Transformers, check to see whether
service records show that (1) such
units have been placed into storage or
(2) relocated from another location.
August 2004
5-2
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Transformer Use Conditions
A person installing a retrofilled
transformer for reclassification
purposes must test the PCB
concentration 3 months after
installation. Classification from the
testing results is as follows:
<50 ppm PCB= non-PCB
transformer
50-500 ppm PCB= PCB-
Contaminated Transformer, and
>500ppm= repeat the
reclassification process until the
transformer can be classified as to
non-PCB or a PCB-contaminated
status; or remove the transformer
from service.
In order to avoid transformer ruptures from
high current faults, all radial PCB
Transformers and lower secondary voltage
network PCB Transformers not located in
sidewalk vaults (i.e., network transformers
with secondary voltages <480 volts) must
have electrical protection if they are located in
or near commercial buildings.
§761.30(a)(1)(iv)
Request and review reclassification
PCB testing data. Ensure
reclassification procedures and testing
data are in compliance with regulations.
Proper procedures include:
owner/operator assumption that
transformer contains >1000 ppm of
PCBs.
owner/operator retrofills transformer
with fluid containing <50 ppm of
PCBs and assumes transformer is
a PCB-Contaminated Transformer
(50 ppm - 500 ppm).
or use appropriate testing methods
such as those listed under 40 CFR
760(g)(1)(iii): Gas Chromatography
methods:
- EPA Method 608
"organochlorine Pesticide and
PCBs found at 40 CFR part 136,
Appendix A
- EPA Method 8082 - PCB by
Capillary Column Gas
Chromatography, SW-846,
available from NTIS
Obtain copies of documentation for
reclassification procedures.
Conduct visual inspection and check
facility records for existence of such
units at the facility and determine
whether electrical protection has been
installed and the date of installation.
PCB Inspection Manual
5-3
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Transformer Use Conditions
As of 10/1/90, PCB Transformers must have
protective equipment, such as current-limiting
fuses or other equally effective methods, to
detect sustained high current faults and de-
energize the transformer before transformer
rupture occurs. The owner of the transformer
must install, set, and maintain the protective
equipment in accordance with good
engineering practices. §761.30(a)(1)(iv)(A)
As of 10/1/93, lower secondary voltage
network PCB Transformers located in or near
commercial buildings (not located in sidewalk
vaults) must have protective equipment.
§761.30(a)(1)(iv)(B)
The owner must register the PCB
Transformer with the EPA Regional
Administrator (RA) by 10/1/90. The
registration must include §761.30(a)(1)(iv)(C):
- Location of the PCB Transformer
- Building address/building location of the
transformer
- Transformer identification number.
As of 10/1/93, no lower secondary voltage
network PCB Transformers located in
sidewalk vaults in use near commercial
buildings may be in service.
§761.30(a)(1)(iv)(D)
As of 10/1/93, in order to avoid transformer
ruptures from low current faults, all radial
PCB Transformers with higher secondary
voltages (i.e., > 480 volts, including 480/277
volt systems) must have electrical protection
if they are located in or near commercial
buildings. §761.30(a)(1)(v)
Facilities must have detection equipment
such as pressure and temperature sensors
or other equivalent technology to detect
sustained low current faults.
§761.30(a)(1)(v)(A)
Document types of protective
equipment via statements from
responsible officials, photos, electrical
drawings, and service records. Ask
responsible official(s) to clarify any
uncertainties.
Determine from registration records
whether any lower secondary voltage
network transformers are PCB
Transformers. If any are PCB
Transformers, inspect for required
protective equipment.
Verify that the owner registered each
PCB Transformer with EPA or Regional
offices by comparing the PCB
Transformer Registration Database
(www.epa.gov/pcb/data.htmn with the
identification number of each
transformer in the facility.
Explain to responsible official what a
secondary voltage network transformer
is and ask if there are any. Check
facility records for dates removed from
service, if such units exist at facility.
Conduct visual inspections for operation
of such units at facility and determine
whether electrical protection has been
installed and date of installation.
If any, check facility records for use of
such equipment. Ask facility official(s)
for clarification if necessary and for
locations of equipment. Ensure that
applicable criteria are met.
August 2004
5-4
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Transformer Use Conditions
Disconnect equipment must be provided to
ensure complete de-energization of
transformer in the event of abnormal
conditions in accordance with
§761.30(a)(1 )(v)(B). Equipment must:
Operate automatically within 30 seconds
to 1 minute of signaling a sustained low
current fault (circuit breakers must also
have the capacity to be opened manually
if necessary); or
- Allow for manual de-energization from a
manned onsite control center after
audio/visual signaling of a sustained low
current fault. Such manual de-
energization must occur within 1 minute
of the audio/visual signal.
The facility must properly install, maintain,
and set sensitively enough electrical
protection system to detect sustained low
current faults such that de-energization
occurs prior to transformer rupture and PCB
release. §761.30(a)(1 )(v)(C)
Review settings and maintenance
records to verify that the electrical
protection system works properly and
detects sustained low current faults.
Review facility procedures with facility
officials and document the procedures
to be implemented in case of sustained
low current fault detection (i.e., who is
responsible for de-energizing the PCB
Transformer).
PCB Inspection Manual
5-5
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Transformer Use Conditions
Owners of PCB Transformers (including PCB
Transformers in storage for reuse) were
required to register those transformers with
EPA by 12/28/98. Persons taking possession
of a registered PCB Transformer after
12/28/98 do not need to register. An owner,
who discovers after 12/28/98 an unregistered
PCB Transformer, must register within 30
days, unless the owner has already
registered other PCB Transformers at the
same location. The registration must include
the following information §761.30(a)(1)(vi):
- Company name and address
Contact name and telephone number
- Actual address of PCB Transformers
Number of PCB Transformers
- Total kilograms of PCBs in transformers
Signature of authorized representative
The registration may optionally include
information on whether any transformers have
flammable dielectric fluid.
The owner must keep records of the transformer
registration with the transformer inspection and
maintenance records for at least 3 years after
disposal of the transformer.
As of 12/1/85, owners of PCB Transformers
must register them with the building owner of
record if they are located in commercial
buildings and with all owners of buildings
within 30 meters of the transformer if the PCB
Transformer is located near commercial
buildings. The registrations must include the
following information §761.30(a)(1)(vii):
- The specific location of the PCB
Transformer
- The principal constituent of the
transformer's dielectric fluid
- The type of transformer installation
Check the PCB Transformer
Registration Database
(www.epa.gov/pcb/data.html) prior to
the inspection to find registrations from
the facility. During the inspection,
review the inspection and maintenance
records for PCB Transformers to locate
registration records.
Verify that the registration contains the
required information (refer to left
column).
Ensure registration has all of the
required information (refer to left
column). Verify with commercial
building owners if transformers are
registered with them and surrounding
commercial buildings.
August 2004
5-6
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Transformer Use Conditions
Effective 12/1/85, no person may store
combustibles within a PCB Transformer
enclosure, within 5 meters of a PCB
Transformer enclosure, or, if unenclosed,
within 5 meters of an PCB Transformer.
§761.30(a)(1)(viii)
Once every 3 months with at least 30 days
between inspections, owners must visually
inspect PCB Transformers in use or stored
for reuse. Owners must inspect PCB
Transformers for leaks of dielectric fluid on or
around the transformer. The inspections
should not require electrical shutdowns.
§761.30(a)(1)(ix)
Owners must eliminate the source of any
external PCB leaks from a PCB Transformer
and follow proper cleanup and disposal
requirements (§761.60) for PCBs resulting
from a leak. Owners must initiate cleanup as
soon as possible, but no longer than 48 hours
after discovery of PCB releases. In addition,
owners must contain PCBs from an active
leak and inspect the containment daily to
ensure that human or environmental
exposures are prevented. §761.30(a)(1 )(x)
Inspect several transformer enclosures
to ensure that no combustibles are
stored inappropriately.
Explain requirement, ask for policy and
procedures, review records, and obtain
documentation.
Explain requirement to facility officials.
Ascertain what policy and practice the
facility uses concerning leaks of PCBs
and obtain documentation, if available.
Review records to determine whether
there has been a leak (or leaks) and
how it was handled. Inspect units that
leaked and containment area(s).
PCB Inspection Manual
5-7
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Transformer Use Conditions
The owner of a PCB Transformer must report
any fire-related incidents involving such
equipment to the National Response Center
(NRC) (toll free 1-800-424-8802; in
Washington, DC 202-426-2675). The owner
must supply the following information to the
NRC: §761.30(a)(1)(xi)
- The type of PCB Transformer installation
involved.
- The cause of the fire-related incident.
In addition, the owner of the PCB Transformer
must seek to contain and control any potential
releases of PCBs and incomplete
combustion products as soon as is
feasible/safely possible. The owner should:
Block all floor drains in the transformer's
vicinity
Contain water runoff
Control/treat water used in cleanup
processes prior to release.
Explain requirements to facility officials.
Ascertain what policy and practice is at
facility concerning fire-related incidents,
and obtain documentation of such
policy/practice. Obtain documentation
of incident. Check both National
Response Center and facility records.
Through interviews with responsible
facility officials, records review, and site
observations, determine whether all
requirements have been met. Inspect
transformer/location involved in incident.
Inspect the facility for proper
containment and control for potential
PCB releases. Ensure the areas
comply with requirements (refer to left
column).
August 2004
5-8
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Transformer Use Conditions
Owners of PCB Transformers must keep
inspection and maintenance records. They
must maintain the records until at least 3
years after disposal of the PCB Transformer
and make these records available for EPA
inspection. The records must include the
following §761.30(a)(1)(xii):
- The location of the PCB Transformer
- Visual inspection dates and dates on
which any leaks were discovered
- Name of inspectors
- Location of any leaks
- Estimates of amounts of dielectric fluid
released from leaks
- Dates and descriptions of any cleanup,
containment, repair, or replacement
Description of results of containment and
daily inspection records for any
unconnected active leaks
- Transformer registration records
Records of transfer of ownership [see
§761.180(a)(2)(ix)]
EPA requires visual inspections only once
every 12 months if the PCB Transformer
§761.30(a)(1)(xiii):
(A) Has an impervious, undrained,
secondary containment capacity of at
least 100 percent of the total dielectric
fluid volume, or
- (B) Has a tested concentration of <60,000
ppm PCBs (after 3 months use if the
transformer was serviced to reduce the
PCB concentration).
A minimum period of 180 days must occur
between the annual inspections.
Review records and document missing
information. If incomplete, request
responsible official to provide missing
information and/or clarify. Note what
type and amount of incomplete
information or missing records.
Ask how inspections are conducted,
who conducts them, and how often they
are conducted. Review inspection
records and document facility
inspection practices.
PCB Inspection Manual
5-9
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Transformer Use Conditions
If a PCB Transformer in use or stored for
reuse constitutes an exposure risk to food or
feed, it is subject to an increased visual
inspection schedule of at least one inspection
per week. The user of the PCB Transformer
is responsible for inspection, recordkeeping,
and maintenance until the user notifies the
owner of the potential exposure risk. Once
notified, the owner is responsible for
determining the actual extent of the exposure
risk. §761.30(a)(1)(xiv)
Mineral oil transformers tested and found to
contain >500 ppm PCBs are subject to all of
the requirements of §761. The owner must
implement the following steps immediately to
bring the transformer into compliance
§761.30(a)(1)(xv):
Report fire-related incidents.
Mark the transformer within 7 days of
discovery.
- Mark the vault door, machinery room,
fence, hallway, or other access ways
within 7 days of discovery.
- Register the transformer with the building
owner within 30 days of discovery.
- Install electrical protective equipment if a
radial transformer/non-sidewalk vault
lower secondary voltage network
transformer is located in or near
commercial buildings within 18 months of
discovery or by 10/1/90 (whichever is
later).
Check facility inspection records of
PCB Transformers in use or in storage
for reuse.
Inquire whether facility has PCB testing
programs. Check records and obtain
documentation. Determine compliance
with conditions.
Inspect the PCB Transformer for proper
marking. If missing, photograph all
sides of the PCB Transformer.
Inspect vault doors, etc., for proper
marking.
Check and review facility owner's
records for compliance with registration
provisions.
Review documentation as to whether
the time frames are being met. Obtain
photos, electrical schematics, policy
statements. Obtain clarification from
responsible officials if necessary.
August 2004
5-10
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Transformer Use Conditions
Remove the transformer from service if
electrical protective equipment is not
installed on a non-sidewalk vault, or a
lower secondary voltage network
transformer within 18 months of discovery
or by 10/1/93.
Remove lower secondary voltage network
transformers from service if they are
located in sidewalk vaults within 18
months of discovery or by 10/1/93.
Retrofill and reclassify radial PCB
Transformers and lower/higher secondary
voltage network PCB Transformers within
18 months or by 10/1/90 (whichever is
later).
Retrofill and reclassify higher and lower
secondary voltage network PCB
Transformers which are located in
sidewalk vaults within 18 months or by
10/1/90 (whichever is later).
Visually inspect the areas described in
the left column.
PCB Inspection Manual
5-11
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.1.2 Transformer Servicing Conditions
Regulatory Requirements
Inspection Procedures
Transformer Servicing Conditions
Owners of PCB-Contaminated Transformers
(i.e., transformers that have less than 500
ppm PCBs) must service or rebuild them with
dielectric fluids containing less than 500 ppm
PCBs. §761.30(a)(2)(i)
No person may service a PCB Transformer
by removing the transformer coil from the
casing. §761.30(a)(2)(ii)
PCB Transformer owners/operators may
service the transformers with dielectric fluid at
any PCB concentration. §761.30(a)(2)(ii)
People servicing PCB Transformers must
capture and reuse the PCBs as dielectric fluid
or dispose of the PCBs in accordance with
the disposal regulations. §761.30(a)(2)(iii)
Persons servicing PCB Transformers must
not mix PCBs from PCB Transformers with
dielectric fluid from PCB-Contaminated
Transformers. §761.30(a)(2)(iii)
Electrical equipment may not contain
dielectric fluid of less than 500 ppm PCBs
that has been mixed with fluids of 500 ppm or
greater. The entire mixture must be
considered to be greater than 500 ppm PCB
and must be disposed of in an incinerator that
meets the requirements in §761.70.
§761.30(a)(2)(iv)
Ask facility owner/operator to see
service records to assess if any
transformers have been serviced or
rebuilt in the facility.
Ensure proper servicing procedures
were followed, such as:
Using dielectric fluids containing
<500 ppm.
Not removing the transformer coil
from the casing.
Not mixing PCBs from PCB
Transformers with dielectric fluid
from PCB-Contaminated
Transformers.
Refer to retrofilling chart in 40 CFR
761.30(a)(2) located in Appendix N
of this manual.
August 2004
5-12
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Transformer Servicing Conditions
A person may reclassify a PCB Transformer
as a PCB-Contaminated Transformer or non-
PCB Transformer by draining, refilling, and
servicing the transformer with non-PCB
dielectric fluid. After 3 months, the dielectric
fluid must contain 50 to 500 ppm PCBs (for
PCB-contaminated reclassification) or less
than 50 ppm (for non-PCB reclassification).
§761.30(a)(2)(v)
If an owner discovers after reclassification
that the PCB concentration in the
transformer has changed, the owner must
follow the regulations based on its actual
PCB content.
- Owners must keep reclassification
records in accordance with §761.180(g).
Persons using dielectric fluid containing 50
ppm or greater PCB to service transformers
must store the PCBs in accordance with the
storage for disposal requirements of §761.65.
§761.30(a)(2)(vi)
Only persons granted an exemption under
TSCA may process or distribute PCBs for the
purposes of servicing transformers.
§761.30(a)(2)(vii)
Determine number of PCB
Transformers reclassified as PCB-
contaminated or non-PCB from
records. Sample reclassified de-
energized transformers if non-
compliance is suspected. Check
testing records.
Obtain records of facility policy
concerning storage and servicing.
Inspect storage area for:
proper marking requirements,
reports of fire-related incidents, if
any,
inspection requirements, and
recordkeeping requirements for
storage areas.
If there is evidence that the facility
processed or distributed PCBs,
determine whether the facility has an
exemption.
PCB Inspection Manual
5-13
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.1.3 Railroad Transformers
Regulatory Requirements
Inspection Procedures
Railroad Transformers
After 7/1/86, the regulations prohibit the use of
railroad transformers that contain dielectric
fluids with a PCB concentration greater than
1,000ppm. §761.30(b)(1)
If the coil is removed from the casing of a
railroad transformer after 1/1/82, the person
servicing the transformer may not refill the
transformer with dielectric fluid containing a
PCB concentration greater than 50 ppm
PCBs. §761.30(b)(2)(i)
After 1/1/84, persons may only service
railroad transformers with dielectric fluid
containing less than 1,000 ppm.
§761.30(b)(2)(ii)
Dielectric fluid may be filtered through
activated carbon or otherwise industrially
processed to reduce the PCB concentration.
§761.30(b)(2)(iii)
Persons servicing PCB railroad transformers
must store PCB dielectric fluid in accordance
with the storage for disposal requirements of
§761.65. §761.30(b)(2)(iv)
Only those granted an exemption under
TSCA may process and distribute PCBs for
purposes of servicing railroad transformers.
§761.30(b)(2)(v)
A person may reclassify a PCB Transformer
as a PCB-Contaminated Transformer or non-
PCB Transformer by draining, refilling, and
servicing the transformer with non-PCB
dielectric fluid so that after 3 months, the
dielectric fluid contains 50 to 500 ppm PCBs
(for PCB-contaminated reclassification) or
less than 50 ppm (for non-PCB
reclassification). §761.30(b)(2)(vi)
Conduct visual inspections and review
records.
Review rebuilding, repair, and
maintenance records. Determine from
written work procedures or interviews of
workers/operators what these
procedures are. Determine level of
compliance with servicing restrictions.
Obtain records of facility policy
concerning storage and inspect storage
areas.
If there is evidence that the facility
processed or distributed PCBs,
determine whether the facility has an
exemption
Determine number of PCB
Transformers reclassified as PCB-
contaminated or non-PCB from
records. Sample reclassified de-
energized transformers if non-
compliance is indicated. Check testing
records.
August 2004
5-14
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
5.1.4 Mining Equipment
Regulatory Requirements
Inspection Procedures
Mining Equipment
Mining equipment may only contain PCBs at
concentrations less than 50 ppm. §761.30(c)
Check to determine whether PCBs are
still in use. Sample fluid from
suspected PCB motors when non-
compliance is suspected.
5.1.5 Heat Transfer Systems
Regulatory Requirements
Inspection Procedures
Heat Transfer Systems
Heat transfer systems may only contain PCBs at
concentrations less than 50 ppm. Persons may
service heat transfer systems in operation after
7/1/84 to maintain a PCB concentration less than
50 ppm. Persons may only service heat transfer
systems with fluids containing less than 50 ppm
PCBs. §761.30(d)
Check records for compliance. Take
samples as necessary. Question
facility officials regarding procedures for
reducing PCB concentrations.
5.1.6 Hydraulic Systems
Regulatory Requirements
Inspection Procedures
Hydraulic Systems
Hydraulic systems may only contain
concentrations of less than 50 ppm. Persons
may service hydraulic systems in operation after
7/1/84 to maintain a PCB concentration less than
50 ppm. Persons may only service hydraulic
systems with fluids containing less than 50 ppm
PCBs. §761.30(e)
Check records for compliance. Take
samples as necessary. Question
facility officials regarding procedures for
reducing PCB concentrations.
5.1.7 Carbonless Copy Paper
Regulatory Requirements
Inspection Procedures
Carbonless Copy Paper
Any person may use carbonless copy paper in a
non-totally enclosed manner indefinitely.
§761.30(f)
PCB Inspection Manual
5-15
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.1.8 Electromagnets, Switches, and Voltage Regulators
Regulatory Requirements
Inspection Procedures
Electromagnets, Switches, and Voltage Regulators
Persons may use PCBs to service or rebuild
electromagnets, switches (sectionalizers and
motor starters), and voltage regulators for the
remainder of their useful lives subject to the
following conditions: §761.30(h)
No one may use or store for service any
electromagnet that poses an exposure risk to
food or feed if it contains greater than 500
ppm PCBs. §761.30(h)(1)(i)
Voltage regulators with 1.36 kg (3 Ibs.) or
more of dielectric fluid with a PCB
concentration of 500 ppm are subject to the
following regulations: §761.30(h)(1)(ii)
- The owner must mark the voltage
regulator in accordance with §761.40.
- The owner must immediately report any
fire-related incident to the NRC.
- The owner must inspect the voltage
regulator according to the requirements of
§761.30(a)(1)(ix), (xiii), and (xiv).
- The owner must comply with the
recordkeeping and reporting requirements
at §761.180.
If an owner discovers that a voltage regulator
assumed to have <500 ppm PCBs in fact has
a concentration 500 ppm, the owner must
comply with marking requirements within 7
days, and with fire incident reporting,
inspection, and recordkeeping/reporting
requirements immediately. §761.30(h)(1)(iii)
No person may service or rebuild
electromagnets, switches, or voltage
regulators if the servicing requires the
removal and rework of internal components
and the use of PCBs with a concentration of
> 500 ppm. §761.30(h)(2)(i)
Interview facility officials and review
records to see whether such PCB use
is taking place and to ensure that
required conditions are being met.
Review testing records. Locate
electromagnet at the facility.
Inspect the voltage regulator for proper
marking. If missing, photograph all
sides of the voltage regulator to
document.
Check that all requirements are being
met by verifying that the owner/facility
designated official complies with:
proper marking requirements,
reports of fire-related incidents, if
any,
inspection requirements, and
recordkeeping requirements for
storage areas.
August 2004
5-16
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Electromagnets, Switches, and Voltage Regulators
Persons servicing or rebuilding
electromagnets, switches, or voltage
regulators that are classified as PCB-
Contaminated Electrical Equipment may only
use PCBs of less than 500 ppm.
§761.30(h)(2)(ii)
Persons servicing or rebuilding
electromagnets, switches, or voltage
regulators must be capture and either reuse
as dielectric fluid or dispose of in accordance
with §761.60 all PCBs removed during
servicing. §761.30(h)(2)(iii)
No person may mix PCBs from
electromagnets, switches, or voltage
regulators with a concentration
>. 500 ppm with the dielectric fluid from PCB-
Contaminated Electrical Equipment.
§761.30(h)(2)(iii)
No person may use dielectric fluid in electrical
equipment that is a combination of fluid with
a concentration of < 500 ppm PCBs and >
500 ppm PCBs. The regulations require that
the mixture be disposed of in an approved
incinerator. §761.30(h)(2)(iv)
Interview service technicians and
review servicing protocols to verify
compliance with PCB concentration
limits.
Interview service technicians and
review servicing protocols to verify
compliance with dielectric fluid handling
requirements.
PCB Inspection Manual
5-17
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Electromagnets, Switches, and Voltage Regulators
PCB electromagnets, switches, and voltage
regulators may be reclassified to PCB-
Contaminated Electrical Equipment or to a
non-PCB classification. PCB-Contaminated
Electrical Equipment may be reclassified to
non-PCB by draining, refilling, and/or
otherwise servicing the equipment.
§761.30(h)(2)(v)
- A person may reclassify electromagnets,
switches, and voltage regulators as PCB-
Contaminated Electrical Equipment or
Non-PCB Electrical Equipment by
servicing the equipment with non-PCB
dielectric fluid so that after 3 months of in-
service use, the dielectric fluid contains
50 to >500 ppm PCBs (for PCB-
contaminated reclassification) or less
than 50 ppm (for non-PCB
reclassification).
In-service uses means the equipment is
used electrically under loaded conditions.
The Assistant Administrator may approve
an alternative method that simulates
loaded conditions without further
rulemaking.
- If an owner discovers after reclassification
that the PCB concentration in the
electromagnet, switch, or voltage
regulator has changed, the owner must
follow the regulations based on its actual
PCB content.
Owners must keep reclassification
records in accordance with §761.180(g).
Persons must store PCBs of a concentration
>. 50 ppm used for servicing electromagnets,
switches, and voltage regulators in
accordance with disposal requirements
§761.65. §761.30(h)(2)(vi)
Only those granted an exemption under
TSCA may process and distribute PCBs for
purposes of servicing electromagnets,
switches, and voltage regulators
§761.30(h)(2)(vii). Note: Exemptions may not
be granted for more than one year (TSCA
6(e)(3)(B).
Check facility records, including the
facility's required reclassification
records, for data on reclassified
electromagnets.
If facility claims exemption, check facility
paperwork on exemption granted by the
Administrator and check if it is current.
August 2004
5-18
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
5.1.9 Natural Gas Pipeline Systems
Regulatory Requirements
Inspection Procedures
Natural Gas Pipeline Systems
Natural gas pipeline systems may contain
PCBs in concentrations of less than 50 ppm.
An owner of a natural gas pipeline system
who is not a seller or distributor of natural gas
may use PCBs at or over 50 ppm in that
system. §761.30(i)(1)(ii)
An owner of a natural gas pipeline system
who is a seller or distributor of natural gas
may use PCBs at or over 50 ppm in that
system if §761. 30(i)(1)(iii)(A):
- The owner submits to EPA upon request
a written description of the nature and
location of PCBs at or over 50 ppm within
the pipeline system (this may include
historical information)
- The owner characterizes the extent of
PCB contamination by sampling and
analysis to determine the beginning and
end points of the segment contaminated
at 50 ppm or greater. The
characterization must be complete by
12/28/98 or 120 days after discovering
contamination of 50 ppm or greater,
whichever date is later. This
characterization may include historical
information.
Gather company information to
determine ownership and business
lines.
Review the sampling and
characterization report to verify that it
was completed by 12/28/98 or 120
days after discovering the
contamination.
PCB Inspection Manual
5-19
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Natural Gas Pipeline Systems
- The owner samples and analyzes for
PCB concentration all potential sources of
introduction of PCBs to the pipeline
system, including compressors,
scrubbers, filters, and interconnects. The
sampling and analysis must be complete
by 12/28/98 or 120 days after the
characterization of the extent of PCB
contamination, whichever date is later.
These analyses may include historical
data.
- Within one year of characterization of the
extent of PCB contamination, the owner:
- reduces all demonstrated sources of
PCBs 50 ppm to <50 ppm, or
- removes the contaminating sources
from the pipeline system, or
- implements other engineering
measures or methods to reduce
levels to under 50 ppm and prevent
further introduction of PCBs over 50
ppm (e.g., pigging, decontamination,
or in-line filtration).
Note: The owner may use documented historical
actions to reduce PCB concentrations to meet
this requirement.
- The owner must repeat sampling and
analysis for PCBs at least annually until
the pipeline segment or component is
under 50 ppm PCBs in two successive
samples with a minimum interval between
samples of 180 days.
- The owner must mark aboveground
sources of PCB liquids 50 ppm with the
MI mark in accordance with §761.45(a).
Review the sampling and
characterization report to verify that all
potential sources of introduction of
PCBs to the pipeline system were
sampled and analyzed.
Interview facility personnel and review
records to verify that the owner
completed one of the three possible
actions.
Review sampling records to verify.
Inspect aboveground sources for the ML
mark. If missing, document through
photography and field notes.
August 2004
5-20
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Natural Gas Pipeline Systems
Owners or operators of systems without
potential sources of PCB contamination need
not complete characterization, sampling and
analysis for potential sources, reduction of
PCB concentration, or marking. They must
comply with other parts of the regulations
such as sampling and recordkeeping.
The owner of a natural gas pipeline system
must document in writing all data and actions
(taken or not taken) pursuant to the
requirements of §761 .30(i)(1 )(iii)(A). The
owner must keep the records for at least 3
years after the pipeline segment's PCB
concentration falls below 50 ppm.
EPA may modify the requirements of
§761 .30(i)(1 )(iii)(A). §761 .30(i)(1 )(iii)(D)
Any person may reuse PCB-contaminated
natural gas pipe and appurtenances in a
natural gas pipeline system, provided all free-
flowing liquids have been removed.
§761.30(i)(2)
Any person may use PCB-contaminated
natural gas pipe, drained of all free-flowing
liquids, in the transport of liquids (e.g., bulk
hydrocarbons, chemicals, petroleum
products, or coal slurry), as casing to provide
secondary containment or protection (e.g.,
protection for electrical cable), as industrial
structural material (e.g., fence posts, sign
posts, or bridge supports), as temporary
flume at construction sites, as equipment
skids, as culverts under transportation
systems in intermittent flow situations, for
sewage service with written consent of the
Publicly Owned Treatment Works (POTW),
for steam service, as irrigation systems (<20
inch diameter) of less than 200 miles in
length, and in a totally enclosed compressed
air system. §761.30(i)(3) _
Inspect the area to verify that there are
no potential sources of PCB
contamination.
Review records, if any, and ensure
compliance with recordkeeping
requirements.
Ask if using PCB-contaminated natural
gas pipeline drained of free-flowing
liquids in the manner described on the
left column. If so, verify facility
owner/operator has written consent of
the POTW.
PCB Inspection Manual
5-21
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Natural Gas Pipeline Systems
Any person characterizing PCB
contamination in natural gas pipe or natural
gas pipeline systems must do so by
analyzing organic liquids collected at existing
condensate collection points in the pipe or
pipeline system. The level of PCB
contamination found at a collection point is
assumed to extend to the next collection point
downstream. Any person characterizing
multi-phasic liquids must do so in accordance
with §761.1(b)(4); if no liquids are present,
they must use standard wipe samples in
accordance with subpart M of this part.
§761.30(i)(4)
Any person disposing of liquids containing
PCBs 50 ppm removed, spilled, or
otherwise released from a natural gas
pipeline system must do so in accordance
with §761.61(a)(5)(iv) based on the PCB
concentration at the time of removal from the
system. Any person disposing of materials
contaminated by spills or other releases of
PCBs 50 ppm from a natural gas pipeline
systems, must do so in accordance with
§§761.61 or 761.79, as applicable.
§761.30(i)(5)(i)
Any person who markets or burns for energy
recovery liquids containing PCBs at
concentrations <50 ppm PCBs at the time of
removal from a natural gas pipeline system
must do so in accordance with the provisions
pertaining to used oil at § 761.20(e). No
person may use liquid containing PCBs at
concentrations above the quantifiable
level/level of detection removed from a natural
gas pipeline system in any other way.
§761.30(i)(5)(ii)
Review sampling and disposal records
to verify compliance with
concentrations stated in
§761.61 (a)(5)(iv), 761.61, or 761.79 as
applicable.
August 2004
5-22
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
5.1.10 Research and Development
Regulatory Requirements
Inspection Procedures
Research and Development
A person may use PCBs in a non-totally enclosed
manner for research and development, subject to
the following conditions: §761.30(j)
User obtains PCBs from sources authorized
under §761.80 and the PCBs are packaged in
compliance with the Hazardous Materials
Regulations at 49 CFR Parts 171 through
180.
User stores all PCB wastes resulting from
R&D activities (e.g., spent laboratory
samples, residuals, contaminated media
such as clothing, etc.) in compliance with
§761.65(b) and disposes of all PCB wastes in
compliance with §761.64.
A person granted an exemption under
§6(e)(3)(B) of TSCA may process and
distribute PCBs for research and
development. §761.300(4)
Determine whether PCBs are still in
use at the facility by reviewing records
and interviewing facility personnel.
Inspect area where PCB wastes are
stored to verify compliance with
§761.65(b). Review storage and
disposal procedures and records.
Verify that the facility has an exemption
and check with Regional Office and
National Program Chemicals Division.
PCB Inspection Manual
5-23
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.1.11 Scientific Instruments
Regulatory Requirements
Inspection Procedures
Scientific Instruments
A person may use PCBs in a non-totally
enclosed manner indefinitely in scientific
instruments, e.g., in oscillatory flow
birefringence and viscoelasticity instruments
for the study of the physical properties of
polymers, as microscopy mounting fluids, as
microscopy immersion oil, and as optical
liquids. §761.30(k)
Only persons granted an exemption under
TSCA section 6(e)(3)(B) may manufacture,
process, or distribute in commerce PCBs for
use in scientific instruments. §761.30(k)
If PCBs are in use, determine if use is
allowed.
If the facility manufactures, processes,
or distributes PCBs, determine if used
in scientific instruments by checking to
whom they ship.
Check if facility has exemption from
Administrator and check that it is
current. Exemptions are only good for
up to one year.
August 2004
5-24
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
5.1.12 Capacitors
Regulatory Requirements
Inspection Procedures
Capacitors
Capacitors may contain PCBs at any
concentration subject to the following conditions:
§761.30(1)
No person may use or store for reuse any
large PCB High- and Low-Voltage Capacitors
that pose an exposure risk to food or feed.
No person may use large PCB High- and
Low- Voltage Capacitors unless capacitors
are within a restricted-access electrical
substation or in a contained and restricted-
access indoor installation. §761.30(l)(1)(ii)
A restricted-access electrical substation is an
outdoor fenced or walled-in facility that
restricts public access and is used for the
transmission or distribution of electrical
power. A contained and restricted-access
indoor installation does not have public
access and has a roof, wall, and floor that are
adequate to contain the release of any PCBs.
Inspect area to determine whether
capacitor is near food or feed and
conditions that allow exposure can
pose a threat.
Inspect substation or installation to
determine that it is
an outdoor fenced or walled-in
facility that restricts public access,
or
an indoor installation that has a roof,
wall, and floor that are adequate to
contain the release of PCBs and
restricts public access.
5.1.13 Circuit Breakers, Reclosers, and Cable
Regulatory Requirements
Inspection Procedures
Circuit Breakers, Reclosers, and Cable
A person servicing circuit breakers, reclosers,
and cable may use PCBs of any concentration in
and for the servicing subject to the following
conditions: §761.30(m)
A person may service or rebuild with PCBs of
less than 50 ppm. §761.30(m)(1 )(i)
A person must service in accordance with
§761.30(h)(2) "Use in and servicing of
electromagnets..." where the PCBs are found
to be at least 50 ppm. §761.30(m)(1 )(ii)
Review facility records to determine
compliance with servicing restrictions.
PCB Inspection Manual
5-25
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.1.14 Porous Surfaces Contaminated with PCBs
Regulatory Requirements
Inspection Procedures
Porous Surfaces Contaminated with PCBs
Any person may use porous surfaces contaminated
by spills of liquid PCBs at concentrations >10
ug/100 cm2 for the remainder of the useful life of the
surface and subsurface material if the following
conditions are met: §761.30(p)
The source of PCB contamination is removed
or contained to prevent further release to porous
surfaces.
If the porous surface is accessible to superficial
surface cleaning:
- The double wash rinse procedure in subpart
S of this part is conducted on the surface to
remove surface PCBs.
- The treated surface is allowed to dry for 24
hours.
After accessible surfaces have been cleaned
according to paragraph (p)(1)(ii) of this section
and for all surfaces inaccessible to cleanup:
- The surface is completely covered to
prevent release of PCBs with:
- Two solvent resistant and water
repellent coatings of contrasting colors
to allow for a visual indication of wear
through or loss of outer coating integrity;
or
- A solid barrier fastened to the surface
and covering the contaminated area or
all accessible parts of the contaminated
area. Examples of inaccessible areas
are underneath a floor mounted
electrical transformer and in an
impassible space between an electrical
transformer and a vault wall.
Interview facility personnel and
review records to verify that the
conditions for using porous surfaces
contaminated by spills of liquid PCBs
were met.
Note: Review 2003 Final Rulemaking
"Polychlorinated Biphenyls (PCBs) -
Use of Porous Surfaces,
Amendment in Response to Court
Decision."
Visually inspect the accessible area.
Note and photograph wear of paint
coatings, if applicable.
August 2004
5-26
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Porous Surfaces Contaminated with PCBs
- The surface is marked with the ML Mark in a
location easily visible to individuals present
in the area; the ML Mark shall be placed over
the encapsulated area or the barrier to the
encapsulated area. ML Marks shall be
replaced when worn or illegible.
A person may remove a porous surface
contaminated with PCBs from its location or current
use only for disposal in accordance with §761.61 or
761.79 for surfaces contaminated by spills, or
§761.62 for manufactured porous surfaces.
Inspect the surface for proper
marking. If missing, worn, illegible, or
not easily visible, photograph to
document.
Verify compliance by reviewing
records, if available.
5.1.15 Rectifiers
Regulatory Requirements
Inspection Procedures
Rectifiers
Any person may use PCBs at any concentration
in rectifiers for the remainder of the PCBs' useful
life and may use PCBs <50 ppm in servicing
(including rebuilding) rectifiers. §761 .30(r)
Review servicing records and
protocols to verify that only PCBs
<50 ppm are used to service
rectifiers.
5.1.16 Air Compressor Systems
Regulatory Requirements
Inspection Procedures
Air Compressor Systems
Any person may use PCBs in air compressor
systems at concentrations <50 ppm. §761.30(s)(1)
Any person may use PCBs in air compressor
systems (or components thereof) at concentrations
50 ppm provided that: §761.30(s)(2)
Verify that the PCB concentration in
the air compressor system is <50
ppm.
Review operating records, if
available, operating conditions, and
other relevant information to verify
compliance.
PCB Inspection Manual
5-27
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Air Compressor Systems
All free-flowing liquids containing PCBs 50 ppm
are removed from the air compressor crankcase
and the crankcase is refilled with non-PCB
liquid.
Other air compressor system components
contaminated with PCBs 50 ppm, are
decontaminated in accordance with §761.79 or
disposed of in accordance with subpart D of this
part.
Air compressor piping with a nominal inside
diameter of less than 2 inches is
decontaminated by continuous flushing for 4
hours, at no less than 300 gallons per hour
(§761.79 contains solvent requirements).
These requirements must be completed by
August 30, 1999 or within 1 yrof the date of
discovery of PCBs at 50 ppm in the air
compressor system, whichever is later. The
EPA may extend this deadline.
5.1.17 Other Gas or Liquid Transmission Systems
Regulatory Requirements
Inspection Procedures
Other Gas or Liquid Transmission Systems
Intact and non-leaking gas or liquid transmission
systems may contain PCBs at concentrations
<50ppm. §761.30(t)(1)
Intact and non-leaking gas or liquid transmission
systems not owned or operated by a seller or
distributor of the gas or liquid transmitted in the
system may contain PCBs at concentrations 50
ppm. §761.30(t)(2)
Any person may use PCBs at concentrations 50
ppm in intact and nonleaking gas or liquid
transmission systems, with the written approval
of EPA, subject to the requirements applicable to
natural gas pipeline systems at paragraphs
(i)(1)(iii)(A), (i)(1)(iii)(C) through (i)(1)(iii)(E), and
(i)(2) through (i)(5) of this section. §761.30(t)(3)
Interview facility personnel and
review records, such as operating
records, written approval for
operating system, if applicable, or
any records indicating the system
PCB concentration, to determine
who owns or operates the system.
If the owner or operator is a seller or
distributer of the gas or liquid
transmitted in the system, verify that
the system does not contain PCBs
at concentrations 50 ppm unless
the owner/operator has written EPA
approval from the Director of EPAs
National Program Chemicals
Division.
August 2004
5-28
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
5.1.18 Decontaminated Materials
Regulatory Requirements
Inspection Procedures
Decontaminated Materials
Any person may use equipment, structures, other
non-liquid or liquid materials that were
contaminated with PCBs during manufacture,
use, servicing, or because of spills from, or
proximity to, PCBs 50 ppm, including those not
otherwise authorized for use under this part,
provided that the materials were decontaminated
in accordance with:
A A TSCA PCB disposal approval issued under
subpart D of this part;
B. Section 761.79; or
C. Applicable EPA PCB spill cleanup policies
(e.g., TSCA, RCRA, CERCLA, EPA regional)
in effect at the time of the decontamination.
If not previously decontaminated, the materials
now meet an applicable decontamination
standard in §76179(b). §761.30(u)(1)
No person shall use or reuse such
decontaminated materials in direct contact with
food, feed, or drinking water unless otherwise
allowed under this section or this part.
§761.30(u)(2)
Any person may use water containing PCBs at
concentrations 0.5ug/ L PCBs without
restriction. §761.30(u)(3)
Any person may use water containing PCBs at
concentrations <200 ug/ L (i.e., < 200 ppb PCBs)
for non-contact use in a closed system where
there are no releases (e.g., as a non-contact
cooling water). §761.30(u)(4)
Verify that proper decontamination
procedures were followed by
reviewing records and procedures.
Verify that decontaminated materials
are not in direct contact with food,
feed, or drinking water.
PCB Inspection Manual
5-29
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.2 Storage for Reuse
Regulation Reference: §761.35
Regulatory Requirements
Inspection Procedures
Storage for Reuse
The owner or operator of a PCB Article may store it
for reuse in an area which is not designed,
constructed, and operated in compliance with
§761.65(b), for no more than 5 years after the date
the Article was originally removed from use (e.g.,
disconnected electrical equipment) or 5 years after
August 28, 1998, whichever is later, if the owner or
operator complies with the following conditions
§761.35(a):
Follows all use requirements at §761.30 and
marking requirements at subpart C of this part
that are applicable to the PCB Article.
Maintains records starting at the time the PCB
Article is removed from use or August 28, 1998.
The records must indicate:
- The date the PCB Article was removed from
use or August 28, 1998, if the removal date is
not known.
- The projected location and the future use of
the PCB Article.
If applicable, the date the PCB Article is
scheduled for repair or servicing.
Some facilities applied for and
received EPA approvals for their
storage for reuse areas. The
inspector should check for such
EPA approvals prior to the
inspection and should consult with
the permit writer or the person
responsible for the permit to
determine if any critical areas of the
facility need to be inspected or do
not need to be inspected. Visually
inspect and verify compliance with
storage time limit by reviewing
records and procedures.
Review records to verify that they
contain the required information.
August 2004
5-30
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Storage for Reuse
The owner or operator of a PCB Article may store it
for reuse in an area that does not comply with
§761.65(b) for a period longer than 5 years, provided
that the owner or operator has received written
approval from the EPA RA for the Region in which
the PCB Article is stored. An owner or operator of a
PCB Article seeking approval to extend the 5-year
period must submit a request for extension to the
EPA RA at least 6 months before the 5-year storage
for reuse period expires and must include an
item-by-item justification for the desired extension.
The owner or operator of the PCB Article being
stored for reuse must comply with the other
applicable provisions of this part, including the record
retention requirements at §761.180(a). §761.35(b)
Any person may store a PCB Article for reuse
indefinitely in: §761.35(c)
A unit in compliance with §761.65(b).
A unit permitted under section 3004 of RCRA to
manage hazardous wastes in containers.
A unit permitted by a State authorized under
section 3006 of RCRA to manage hazardous
waste.
Review records to determine if the
5-year limit has expired. If so, check
company records for EPA approval.
If no records found, note what
required records are missing. Note
records may be checked at EPA
prior to the inspection.
PCB Inspection Manual
5-31
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.3 Marking of PCBs and PCB Items
Regulation Reference: §§761.40 & 761.45
r
CAUTION
CONTAINS
PCBs
i
(Polychlorinated Biphenyls)
A toxic environmental contaminant requiring
special handling and disposal in accordance with
U.S. Environmental Protection Agency Regulations
40 CFR 761 - For Disposal Information contact the
,, nearest U.S. E.P.A. Office
In case of accident or spill, call toll free the U.S.
H Coast Guard National Response Center:
800-424-8802
I A
L
Figure 5-1. Large PCB Mark, also referred to as
See Appendix C for a Large PCB mark (ML) that is
inches by six inches, the size required by
regulations at §761.45(a).
Also contact
Tel. No.
i
six
the
jCAUTION CONTA.NS PCBS
I (Polychlorinated Biphenyls)
IFOR PROPER DISPOSAL INFORMATION
I CONTACT US ENVIRONMENTAL
PROTECTION AGENCY
Figure 5-2. Small PCB Mark, also
referred to as Ms. The size required
by the regulations at§761.45(b) is 1
inch by 2 inches.
Regulatory Requirements
Inspection Procedures
Marking Requirements
Each of the following PCB Items in existence on or
after July 1, 1978, shall be marked with the mark
ML: (1) PCB containers; (2) PCB Transformers; (3)
Large High-Voltage Capacitors; (4) Large Low-
Voltage Capacitors; (5) PCB Large Low Voltage
Capacitors at the time of removal from use; (6)
Electric motors using PCB coolants; (7) Hydraulic
systems; (8) Heat transfer systems; (9) PCB
Article Containers containing articles or equipment;
(10) Each storage area used to store PCBs and
PCB Items for disposal. §761.40(a)
Check for unmarked or improperly
marked items. Note location and, if
available, the serial or identification
numbers of the equipment.
Photograph items to document
unmarked or improperly marked
items.
August 2004
5-32
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Marking Requirements
The owner or operator of each transport vehicle
loaded with PCB containers that contain more than
45 kg of liquid PCBs at concentrations of 50 ppm
or loaded with one or more PCB Transformer shall
mark the vehicle on each end and each side with
the ML mark. §761.40(b)
If one or more PCB Large High Voltage Capacitors
are installed in a protected location, such as on a
power pole or behind a fence, the owner or
operator of the location must mark the structure
with the ML mark. The owner or operator of the
protected location must maintain a record or
procedure identifying the capacitors.
§761.40(c)(2)(ii)
After January 1, 1979, manufacturers of equipment
containing a PCB Small Capacitor must mark the
equipment with the statement, "This equipment
contains PCB Capacitor(s)." This mark must be
the same size as mark ML. §761.40(d)
As of October 1, 1979, owners or operators of PCB
containers, electric motors using PCB coolants,
hydraulic systems, and heat transfer systems
containing PCBs in concentrations of 50 to 500
ppm shall mark the items with the ML mark.
§761.40(e)
The manufacturer of large low voltage capacitors,
small capacitors normally used in alternating
current circuits, and fluorescent light ballasts
between July 1, 1978, and July 1, 1998, must mark
the items "No PCBs" if they contain none. Note:
Requirement has expired. §761.40(g)
Owners or operators must place all marks required
in §761.40 in a position on the exterior of the PCB
items, storage units, or transport vehicles so that
persons inspecting or servicing the PCB items,
storage units, or transport vehicles can easily read
the mark. §761.40(h)
Inspect transport vehicles (including
forklifts) for proper marking.
Photograph unmarked or improperly
marked PCB transport vehicles. Note
the type of PCB material carried and
the vehicle identification number.
Sample PCB material to determine
concentration if necessary.
Inspect the structure for proper
marking. Photograph unmarked or
improperly marked structures. Ask to
review the records or procedures that
the owner or operator is required to
maintain identifying the capacitors.
Inspect the equipment for proper
marking. Photograph unmarked or
improperly marked equipment.
Inspect the equipment for proper
marking. Photograph unmarked or
improperly marked equipment.
Inspect all marks to verify that they
can be easily read. Photograph
marks that are faded, damaged, or
inverted.
PCB Inspection Manual
5-33
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Marking Requirements
Containers of PCBs manufactured under an
exemption granted by EPA are not subject to the
requirements in §761.40 unless so specified in the
exemption (PCB Articles and equipment containing
these PCBs are subject to marking requirements).
§761.40(i)
The owner or operator of all PCB Transformer
locations must mark the vault and machinery room
doors, fences, hallways, or means of access with
the ML mark unless the conditions of §761.40(j)(2)
are met. The owner or operator must place the
mark in a manner that emergency personnel can
read easily. §761.400
As of 4/26/99, the owner or operator of all PCB
Large Low Voltage Capacitors not marked under
§761.40(a), shall mark the capacitor individually, or
shall mark the protected location where the
capacitor is installed (e.g., power pole, structure,
or fence). The owner or operator shall maintain a
record or procedure identifying the PCB Capacitors
at the protected location. The owner or operator
does not need to mark each PCB Large Low
Voltage Capacitors in inaccessible locations inside
equipment, provided the owner or operator marks
the equipment in accordance with §761.40(k)(2)
and marks the individual capacitors at the time of
removal from use in accordance with §761.40(a).
§761.40(k)(1)
As of 4/26/99, the owners or operators of all
equipment not already required to be marked under
§761.40(a) containing a PCB Transformer or a
PCB Large High or Low Voltage Capacitor shall
mark the equipment. §761.40(k)(2)
Owners or operators must mark each voltage
regulator that contains 1.36 kilograms (3 Ibs.) or
more of dielectric fluid with a PCB concentration of
SOOppm. §761.40(l)(1)
Inspect all PCB Transformer locations
for proper marking. Photograph
unmarked or improperly marked
locations.
Ask to review the records or
procedures that the owner or operator
is required to maintain identifying the
capacitors at protected locations.
Inspect the capacitors or their
protective location for proper marking.
Photograph unmarked or improperly
marked capacitors or locations.
Inspect all equipment containing a
PCB Transformer or large capacitor
for proper marking. Photograph
unmarked or improperly marked
equipment.
Inspect voltage regulators for proper
marking. Verify that unmarked voltage
regulators contain less than 3 Ibs. of
dielectric fluid with a PCB
concentration of 500 ppm.
Photograph unmarked or improperly
marked voltage regulators.
August 2004
5-34
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Marking Requirements
Owners or operators of locations of voltage
regulators that contain 1.36 kilograms (3 Ibs.) or
more of dielectric fluid with a PCB concentration of
500 ppm shall mark the vault door, machinery
room door, fence, hallway, or means of access,
other than grates or manhole covers with the ML
mark. §761.40(l)(2)
Mark ML must be at least 15.25 cm (6 inches) on
each side. If the PCB Article or PCB Equipment is
too small to accommodate this size, the mark may
be reduced in size proportionately down to a
minimum of 5 cm (2 inches) on each side.
§761.45(a)
Mark Ms must appear as a rectangle of 2.5 x 5 cm
(1 inch x 2 inches). The mark may be reduced to a
minimum of 1 x 2 cm (0.4 x 0.8 inches) if the PCB
Article or PCB Equipment is too small to
accommodate this size. §761.45(b)
All PCB marks must have letters and striping on a
yellow or white background and must be sufficiently
durable to equal or exceed the life of the items they
label. They must be placed on the exterior of items
so they can be easily read. §761.45 (a) and (b)
Inspect locations of voltage regulators
for proper marking. Verify that
unmarked locations have voltage
regulators that contain less than 3 Ibs.
of dielectric fluid with a PCB
concentration of 500 ppm.
Photograph unmarked or improperly
marked voltage regulator locations.
Photograph all sides of items
potentially not in compliance. Note
circumstances. Sample unmarked
suspect items to determine
presence/concentration of PCBs.
The marking requirements are not
applicable to PCB-Contaminated
Electrical Equipment.
PCB Inspection Manual
5-35
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.4 Storage and Disposal
5.4.1 Applicability
Regulation Reference: §761.50
Regulatory Requirements
Inspection Procedures
Applicability
Any person storing or disposing of PCB waste
must follow subpart D of this part. The following
prohibitions and conditions apply to all PCB waste
storage and disposal: §761.50(a)
No person may openly burn PCBs.
Combustion of PCBs approved under §761.60
(a) or (e), or otherwise allowed under part 761,
is not open burning.
No person may process liquid PCBs into
non-liquid forms to circumvent the high
temperature incineration requirements of
§761.60(a).
No person may discharge water containing
PCBs to a treatment works (as defined Sec.
503.9(aa) of this chapter) or to navigable waters
unless the PCB concentration is <3 g/L
(approximately 3 ppb), or unless the discharge
is in accordance with a PCB discharge limit
included in a permit issued under section
307(b) or 402 of the Clean Water Act.
Spills and other uncontrolled discharges of
PCBs at concentrations of 50 ppm constitute
the disposal of PCBs.
Any person land disposing of non-liquid PCBs
may avoid otherwise-applicable sampling
requirements by presuming that the PCBs
disposed of are 500 ppm (or 100 g/100 cm2
if no free-flowing liquids are present).
Any person storing or disposing of PCBs is also
responsible for determining and complying with
all other applicable Federal, State, and local
laws and regulations.
Any person removing PCB liquids from use (i.e., not
PCB remediation waste) must dispose of them in
accordance with §761.60(a), or decontaminate them
in accordance with 5761.79. 5761.50(b)(1)
Inspect the facility, interview facility
personnel, and review required
records as specified in Section 4.8 to
determine compliance with the PCB
waste storage and disposal
prohibitions.
August 2004
5-36
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Applicability
Any person removing from use a PCB Item
containing an intact and non-leaking PCB Article
must dispose of it in accordance with §761.60(b),
or decontaminate it in accordance with §761.79.
PCB Items where the PCB Articles are no longer
intact and non-leaking are regulated for disposal as
PCB bulk product waste under §761.62(a) or (c).
§761.50(b)(2)
Fluorescent light ballasts containing PCBs only in
an intact and non-leaking PCB Small Capacitor are
regulated for disposal under §761.60(b)(2)(ii).
Fluorescent light ballasts containing PCBs in the
potting material are regulated for disposal as PCB
bulk product waste under §761.62.
§761.50(b)(2)(i)and(ii)
PCB remediation waste, including PCB sewage
sludge, is regulated for cleanup and disposal in
accordance with §761.61. §761.50(b)(3)
Visually inspect and check what PCB
Articles facility has, if any.
Check PCB Articles are disposed
properly. For example, transformers
must be disposed of in a TSCA
incinerator or approved chemical
waste landfill. See Section 5.4.2 for
the disposal requirements for other
PCB Articles.
For the disposal requirements
applicable to flourescent light ballasts
refer to Table 3-5.
Ask owner/operator if any spills or
releases of PCBs have occurred and
if so, when did they occur, have they
been remediated, when and how. In
addition to spills or other releases
from electrical equipment, inspectors
should check hydraulic systems.
Previous use of PCBs in hydraulic
systems and subsequent spills from
that system are the main source of
contamination at facilities currently
undergoing remediation. Spills from
the use of PCB-contaminated
hydraulic oil contaminate surrounding
floors, drainage systems, outfalls, and
streams. Inspectors may also collect
samples from outfalls and oil/water
separators to check for PCBs.
PCB Inspection Manual
5-37
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Applicability
Any person responsible for PCB waste at
as-found concentrations 50 ppm that was
either placed in a land disposal facility, spilled,
or otherwise released into the environment prior
to April 18, 1978, regardless of the
concentration of the spill or release; or placed in
a land disposal facility, spilled, or otherwise
released into the environment on or after April
18, 1978, but prior to July 2, 1979, where the
concentration of the spill or release was 50
ppm but < 500 ppm, must dispose of the
waste as follows: §761.50(b)(3)(i)
- Sites containing these wastes are
presumed not to present an unreasonable
risk of injury to health or the environment
from exposure to PCBs at the site.
However, the EPA RA may make a finding
that an unreasonable risk of injury exists,
and then direct the owner or operator of the
site to dispose of the PCB remediation
waste in accordance with §761.61 such that
an unreasonable risk of injury no longer
exists.
August 2004
5-38
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Applicability
Unless directed by the EPA RA to dispose
of PCB waste in accordance with
paragraph (b)(3)(i)(A) of this section, any
person responsible for PCB waste at as-
found concentrations >.50 ppm that was
either placed in a land disposal facility,
spilled, or otherwise released into the
environment prior to April 18, 1978,
regardless of the concentration of the spill
or release; or placed in a land disposal
facility, spilled, or otherwise released into
the environment on or after April 18, 1978,
but prior to July 2, 1979, where the
concentration of the spill or release was
greater than 50 ppm but less than 500 ppm,
who unilaterally decides to dispose of that
waste (for example, to obtain insurance or
to sell the property), is not required to
cleanup in accordance with §761.61.
Disposal of the PCB remediation waste
must comply with §761.61. However,
cleanup of those wastes that is not in
complete compliance with §761.61 will not
afford the responsible party with relief from
the applicable PCB regulations for that
waste.
Any person responsible for PCB waste at
as-found concentrations 50 ppm that was
either placed in a land disposal facility, spilled,
or otherwise released into the environment on
or after April 18, 1978, but prior to July 2, 1979,
where the concentration of the spill or release
was 500 ppm; or placed in a land disposal
facility, spilled, or otherwise released into the
environment on or after July 2, 1979, where the
concentration of the spill or release was 50
ppm, must dispose of it in accordance with
either of the following: §761.50(b)(3)(ii)
- In accordance with the PCB Spill Cleanup
Policy (Policy) at subpart G of this part, for
those PCB remediation wastes that meet
the criteria of the Policy.
PCB Inspection Manual
5-39
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Applicability
The owner or operator of a site containing PCB
remediation waste has the burden of proving the
date that the waste was placed in a land disposal
facility, spilled, or otherwise released into the
environment, and the concentration of the original
spill. §761.50(b)(3)(iii)
Any person disposing of PCB bulk product waste
must do so in accordance with §761.62. PCB bulk
product waste is waste that was 50 ppm when
originally removed from service, even if its current
PCB concentration is <50 ppm. PCB bulk product
waste is regulated for disposal based on the risk
from the waste once disposed. Land disposed
waste is regulated based on how readily the waste
is released from disposal to the environment, in
particular by leaching out from the land disposal
unit. §761.50(b)(4)(i)
Any person disposing of metal surfaces in contact
with PCBs (e.g., painted metal) may use thermal
decontamination procedures in accordance with
§761.79(c)(6) [see §761.62(a)(6)].
§761.50(b)(4)(ii)
Any person storing or disposing of PCB Household
Waste must do so in accordance with §761.63.
§761.50(b)(5)
Any person disposing of PCB wastes generated
during and as a result of research and development
for use under §761.30(j), or for disposal under
§761.60(j), must do so in accordance with
§761.64. §761.50(b)(6)
Any person storing or disposing PCB/radioactive
waste 50 ppm PCBs must do so taking into
account both its PCB concentration and its
radioactive properties, except as provided in
§761.65(a)(1). (b)(1)(ii). and (c)(6)(i). §761.50(b)(7)
Inspector should ask owner/operator if
any PCB remediation waste is at the
site or removed from the site. If so,
ask for records that show the date
waste was removed and that show it
was disposed of.
August 2004
5-40
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Applicability
In most cases a person must dispose of porous
surfaces as materials where PCBs have
penetrated far beneath the surface, rather than a
simple surface contamination. §761.50(b)(8)
Any person disposing of porous surfaces on
which PCBs have been spilled and meeting the
definition of PCB remediation waste at §761.3
must do so in accordance with §761.61.
Any person disposing of porous surfaces
which are part of manufactured non-liquid
products containing PCBs and meeting the
definition of PCB bulk product waste at §761.3
must do so in accordance with §761.62.
Any person may decontaminate concrete
surfaces upon which PCBs have been spilled in
accordance with §761.79(b)(4), if the
decontamination procedure is commenced
within 72 hours of the initial spill of PCBs to the
concrete or portion thereof being
decontaminated.
Any person may decontaminate porous
non-liquid PCBs in contact with non-porous
surfaces, such as underground metal fuel tanks
coated with fire retardant resin or pitch, for
purposes of unrestricted use or disposal in a
smelter in accordance with §761.79(b)(3).
Any person who holds PCB waste must store it in
accordance with §761.65. §761.50(c)
Performance specifications for disposal
technologies:
Any person using an incinerator to dispose of
PCBs must use an incinerator that meets the
criteria in §761.70. §761.50(d)(1)
Any person using a high efficiency boiler to
dispose of PCBs must use a boiler that meets
the criteria in §761.71. §761.50(d)(2)
Any person using scrap metal recovery ovens
and smelters to dispose of PCBs must use a
device that meets the criteria in §761.72.
§761.50(d)(3)
Any person using a chemical waste landfill to
dispose of PCBs must use a chemical waste
landfill that meets the criteria in §761.73.
5761.50(d)(4)
Verify that the disposal facilities meet
the necessary criteria by reviewing
records that the incinerator meets
criteria specified in the regulations as
stated in Appendix I of this manual.
Verify facility has appropriate TSCA
Coordinated Approval documentation,
if applicable. Documentation may
include the application, any notice of
deficiencies, and final approval by
EPA.
PCB Inspection Manual
5-41
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.4.2 Disposal Requirements
Regulation Reference: §761.60
Regulatory Requirements
Inspection Procedures
Disposal Requirements
Persons must dispose of PCB liquids at
concentrations 50 ppm in an incinerator that
complies with §761.70. §761.60(a)
Persons may dispose of mineral oil dielectric
fluid with a PCB concentration of 50 ppm and
<500 ppm in a high efficiency boiler according
to §761.71 (a)
NOTE: Owners or users of mineral oil dielectric
fluid electrical equipment may use the procedures
in §761.60(g) to determine the concentration of
PCBs in the dielectric fluid.
Persons may dispose of liquids, other than
mineral oil dielectric fluid, containing a PCB
concentration of 50 ppm and <500 ppm in a
high efficiency boiler according to §761.71 (b).
Persons may dispose of liquids from incidental
sources, such as precipitation, condensation,
leachate or load separation and are associated
with PCB Articles or non-liquid PCB wastes in a
chemical waste landfill that complies with
§761.75 if information is provided to the owner
or operator of the landfill that shows that the
liquids are <500 ppm and are not an ignitable
waste per §76175(b)(8)(iii).
Persons may dispose of PCB Transformers in
accordance with either of the following:
§761.60(b)(1)
An incinerator that complies with §761.70
A chemical waste landfill that complies with
§761.75, provided that the requirements of
§761.60(b)(1)(i)(B) are met.
Review records to ensure compliance
with all applicable requirements (e.g.,
concentration of mineral oil dielectric
fluid is between 50 & <500 ppm at
the time of disposal).
Review records and verify that liquids
containing a PCB concentration of
50 ppm and <500 ppm, other than
mineral oil dielectric fluid, are
disposed in compliance with all
applicable requirements.
Review records and verify that PCB
Transformers are disposed in
compliance with all applicable
requirements.
August 2004
5-42
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Disposal Requirements
Any person may dispose of PCB Small Capacitors
as municipal solid waste, unless that person is or
was a PCB Capacitor manufacturer. The owner or
any PCB Large High- or Low- Voltage Capacitor
that contains 500 ppm PCBs must dispose of the
capacitor in an incinerator that complies with
§761.70. Any person who manufactures or at any
time manufactured PCB Capacitors or PCB
Equipment and acquired the PCB Capacitors in the
course of such manufacturing must place PCB
small capacitors in a container meeting DOT
requirements and dispose of them in an incinerator
that complies with §761.70. EPA may by notice
allow disposal of the above items in a chemical
waste landfill compliant with §761.75.
§761.60(b)(2)
Any person disposing of PCB hydraulic machines
that contain concentrations of 50 ppm PCBs
(such as die casting machines) must drain the
machines of all free-flowing liquid and disposed of
the liquid in an incinerator that complies with
§761.70. If the PCB liquid contains 1000 ppm
PCBs, the person must decontaminate the
machine in accordance with §761.79 or flush the
machine prior to disposal with a solvent containing
<50 ppm PCB and disposed of in accordance with
§761.60(a) or §761.79. §761.60(b)(3)
The drained PCB hydraulic machines may be
disposed of:
at a properly approved solid waste facility
in accordance with the decontamination
procedures at §761.79
in a scrap metal recovery oven or smelter
operating in compliance with §761.72
in an approved disposal facility.
Verify that all PCB Capacitors are
disposed of in compliance with all
applicable requirements by reviewing
records. Conduct a physical
inspection of what is stored for
disposal or its records. Small
capacitors contain less than 1.36 kg
(3 Ibs.) of dielectric fluid. If the actual
weight is unknown, the inspector can
assume that a capacitor whose total
volume is less than 1,639 cm3 (100
in3) meets the definition of a small
capacitor. If the capacitor weighs less
than 4.08 kg (9 Ibs.), the inspector can
assume that a capacitor whose total
volume is between 1,639 and 3,278
cm3 meets the definition of a small
capacitor.
Verify that PCB hydraulic machines
are disposed of in compliance with all
applicable requirements by reviewing
records.
PCB Inspection Manual
5-43
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Disposal Requirements
Any person disposing of PCB-Contaminated
Electrical Equipment (except capacitors) must
drain all free-flowing liquid from the electrical
equipment and dispose of the liquid in an
incinerator or high efficiency boiler. Persons must
dispose of the drained equipment and keep records
for four years:
at a properly approved solid waste facility
in accordance with the decontamination
procedures at §761.79
in a scrap metal recovery oven or smelter
operating in compliance with §761.72.
in an approved disposal facility.
Any person disposing of large capacitors with 50
and <500 ppm PCBs must do so in an approved
disposal facility and keep records for four years.
§761.60(b)(4)
The owner or operator of natural gas pipeline
systems containing 50 ppm PCBs, when no
longer in use, shall dispose of the system either by
abandonment in place of the pipe under paragraph
§761.60(b)(5)(i) or removal under paragraph
§761.60(b)(5)(ii). Any person determining the PCB
concentrations in natural gas pipeline systems
shall do so in accordance with paragraph
§761.60(b)(5)(iii). §761.60(b)(5)
Any person disposing of liquids containing
PCBs 50 ppm removed, spilled, or otherwise
released from a natural gas pipeline system
must do so in accordance with
§761.61(a)(5)(iv) based on the PCB
concentration at the time of removal from the
system.
Any person disposing of material contaminated
by spills or other releases of PCBs 50 ppm
from a natural gas pipeline system, must do so
in accordance with §761.61 or §761.79, as
applicable.
Verify that PCB-Contaminated
Electrical Equipment is disposed of in
compliance with all applicable
requirements by reviewing records.
August 2004
5-44
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Disposal Requirements
Any person who burns for energy recovery
liquid containing PCBs at concentrations <50
ppm PCBs at the time of removal from a
natural gas pipeline system must do so in
accordance with the provisions pertaining to
used oil at §761.20(e).
No other use of liquid containing PCBs at
concentrations above the quantifiable level of
detection removed from a natural gas pipeline
system is authorized.
Any person must dispose of PCB Articles with
concentrations at 500 ppm PCBs in an incinerator
that complies with §761.70 or a chemical waste
landfill that complies with §761.75, provided that all
free-flowing liquid PCBs have been thoroughly
drained from any articles before the articles are
placed in the landfill and the drained liquids are
disposed of in an incinerator that complies with
§761.70. §761.60(b)(6)(i)
Any person disposing of a PCB-contaminated
article must remove all free-flowing liquid from the
article and dispose of the liquid in accordance with
§761.60(a). The drained article must be disposed
of: §761.60(b)(6)(ii)
at a properly approved solid waste facility
in accordance with the decontamination
procedures at §761.79
in a scrap metal recovery oven or smelter
operating in compliance with §761.72.
in an approved disposal facility.
Persons disposing of fluorescent light ballasts
containing PCBs in their potting material must
dispose of them in a TSCA-approved disposal
facility, as bulk product waste under §761.62, as
household waste under §761.63 (where
applicable), or in accordance with the
decontamination provisions of §761.79.
§761.60(b)(6)(iii)
Check facility records, including old
records, new relevant records, and
test results, to determine compliance.
Verify that PCB Articles, such as
capacitors, transformers, electric
motors, pumps, and others, are
disposed of in compliance with all
applicable requirements by reviewing
the facility's records and procedures
and the disposal facility's records and
procedures.
Review disposal records such as
manifests to verify that fluorescent
light ballasts containing PCBs are
disposed of in a TSCA-approved
disposal facility, as bulk product waste
under §761.62, as household waste
under §761.63 (where applicable), or
in accordance with the
decontamination provisions of
§761.79. NOTE: Procedures for
inspecting ballast disposers and
recyclers are discussed in Appendix
L.
PCB Inspection Manual
5-45
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Disposal Requirements
Persons disposing of PCB Articles must wear or
use protective clothing or equipment to protect
against dermal contact with or inhalation of PCBs
or materials containing PCBs. §761.60(b)(8)
Any person disposing of PCB Containers with a
concentration of 500 ppm PCBs, unless
decontaminated in accordance with §761.60(c)(2)
or §761.79, must dispose of them in an incinerator
that complies with §761.70, or a chemical waste
landfill that complies with §761.75, provided that the
PCB Container is first drained and the PCB liquid
disposed of in accordance with §761.60(a). Any
container used to contain only PCBs at a
concentration of <500 ppm can be disposed of as
municipal solid waste, provided that the PCB
Container is first drained and the PCB liquid
disposed of in accordance with §761.60(a).
§761.60(c)
Any person who is required to incinerate any PCBs
and PCB Items may apply to EPA for a waiver if
that person can demonstrate that an alternative
method of destroying PCBs and PCB Items exists.
The person must not use the alternative method
until obtaining approval of the waiver. §761.60(e)
Persons must dispose of PCBs resulting from
spills and other uncontrolled discharges at
concentrations of 50 ppm or greater in accordance
with §761.60(a).
Inspect the protective clothing or
equipment to verify that the facility has
appropriate protective gear. Observe
if disposal is occurring.
Verify that PCB containers are
disposed of in compliance with all
applicable requirements by reviewing
records. Interview facility officials and
see what their disposal procedures
are.
Verify that any alternative methods in
use were approved by EPA by
reviewing the required paperwork.
Verify that PCBs resulting from spills
and other uncontrolled discharges in
concentrations of 50 ppm or greater
are disposed of in accordance with
§761.60(a) by reviewing disposal
records.
August 2004
5-46
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Disposal Requirements
Any person may conduct research and
development for PCB disposal without prior written
approval from EPA if they: §761.600(1)
file a notification and obtain an EPA
identification number. §761.60(j)(1)(i)
notify the EPA RA, the state environmental
protection agency, and local environmental
protection agency, having jurisdiction where the
R&D for PCB disposal activity will occur in
writing at least 30 days prior to the
commencement of any R&D for PCB disposal
activity. §761.600(1 )(ii)
do not treat more than 500 gal or 70 ft3 of liquid
or non-liquid PCBs or maximum concentration
of 10,000 ppm PCBs annually. §761.600(1 )(iii)
dispose of no more than 1 kg total of pure
PCBs per year in all R&D for PCB disposal
activities at the facility. §761.600(1 )(iv)
conduct each R&D for PCB disposal activity for
no more than 1 calendar year. §761.600(1 )(v)
store all PCB wastes (treated and untreated
PCB materials, testing samples, spent
laboratory samples, residuals, untreated
samples, contaminated media or
instrumentation, clothing, etc.) in compliance
with §761.65(b) and disposes of them
according to the undiluted PCB concentration
prior to treatment. §761.600(1 )(vi)
use manifests for all R&D PCB wastes being
transported from the R&D facility to an
approved PCB storage or disposal facility.
However, §761.207 through §761.218 do not
apply if the residuals or treated samples are
returned either to the physical location where
the samples were collected or a location where
other regulated PCBs from the physical location
where the samples were collected are being
stored for disposal. §761.600(1 )(vii)
package and ship all PCB wastes according to
DOT requirements under 49 CFR 171 through
180. §761.600(1 Xviii)
comply with the recordkeeping requirements of
5761.180. S761.60(j)(1)(ix)
Verify that the conditions are met if
conducting R&D for PCB disposal
without prior written approval from
EPA.
Verify that each written notification
includes the EPA identification
number, the quantity of PCBs to be
treated, the type of R&D technology to
be used, the general physical and
chemical properties of material being
treated, and an estimate of the
duration of the PCB activity. Note
records may be checked at EPA prior
to the inspection.
Verify that material limitations (500
gallons/70ft3 of liquid or non-liquid
PCB or maximum concentration of
10,000 ppm PCB) and time limitations
(one year) are not exceeded without
prior written approval from EPA.
PCB Inspection Manual
5-47
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Disposal Requirements
Portions of samples of a size designated in a
chemical extraction and analysis method for PCBs
and extracted for purposes of determining the
presence of PCBs or concentration of PCBs are
unregulated for PCB disposal. §761.64(a)
All other wastes generated during these activities
are regulated for disposal based on their
concentration at the time of disposal as follows:
§761.64(b)
Liquid wastes, including rinse solvents, must be
disposed of according to §761.61(a)(5)(iv).
Non-liquid wastes must be disposed of in the
same manner as non-liquid cleaning materials
and personal protective equipment waste
according to §761.61(a)(5)(v)(A).
August 2004
5-48
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
5.4.3 PCB Remediation Waste
Regulation Reference: §761.61
(NOTE: The PCB Spill Cleanup Policy found at Regulation Reference §761.125 (page 4-83) is intended
for spills less than 72 hours old. Any spills older than 72 hours must be cleaned up as PCB remediation
waste. There are three options for disposal/cleanup of PCB remediation waste: self implementing,
performance-based standards, and risk-based cleanup.)
Regulatory Requirements
Inspection Procedures
PCB Remediation Waste
Self Implementing Cleanup Policy
Persons should use self-implementing onsite
cleanup and disposal of PCB remediation waste
only for a general, moderately-sized site where
there should be low residual environmental impact
from remedial activities. Persons may not use the
self-implementing procedures to cleanup the
following: §761.61(a)(1)
surface or ground waters
sediments in marine and freshwater ecosystems
sewers or sewage treatment systems
any private or public drinking water sources or
distribution systems
grazing lands
vegetable gardens.
The self-implementing cleanup notice includes:
§761.61(a)(3)(i)
the nature of the contamination, including kinds
of materials contaminated
a summary of the procedures used to sample
contaminated and adjacent areas and a table or
cleanup site map showing PCB concentrations
measured in all pre-cleanup characterization
samples
the location and extent of the identified
contaminated area, including topographic maps
with sample collection sites cross referenced to
the sample identification numbers in the data
summary
a cleanup plan for the site, including schedule,
disposal technology, and approach
Verify that the site is adequately
characterized to be able to provide the
required notification information.
Verify that at least 30 days prior to the
date that the self-implementing
cleanup of a site begins, the person in
charge of the cleanup or the owner of
the property where the PCB
remediation waste is located notifies,
in writing, the EPA Regional
Administrator, the director of the state
or tribal environmental protection
agency, and the director of the county
or local government where the
cleanup will be conducted.
PCB Inspection Manual
5-49
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
PCB Remediation Waste
a written certification, signed by the owner of
the property where the cleanup site is located
and the party conducting the cleanup, that all
sampling plans, sample collection procedures,
sample preparation procedures, extraction
procedures, and instrumental/chemical
analysis procedures used to assess or
characterize the PCB contamination at the
cleanup site, are on file at the location
designated in the certificate, and are available
for EPA inspection
when applicable, a statement that alternate
methods for chemical extraction and chemical
analysis for site characterization will be used
and that a comparison study which meets or
exceeds the requirements of Subpart Q of
§761, and for which records are on file, has
been completed prior to verification sampling.
The EPA RA will respond in writing approving the
self-implementing cleanup, disapproving the self-
implementing cleanup, or requiring additional
information. If the EPA RA does not respond within
30 days of receiving the notice, the person
submitting the notice may assume that it is
acceptable and proceed with the cleanup according
to the information provided to EPA.
§761.61(a)(3)(ii)
Any person conducting a cleanup activity may
obtain a waiver of the 30-day notification
requirement, if they receive a separate waiver, in
writing, from each of the agencies they are required
to notify. The person must retain the original
written waiver. 5761.61 (a)(3)(iii)
Verify that once the self-implementing
cleanup is underway, the person
conducting the cleanup provides any
proposed changes from the
notification to the EPA RA in writing no
less than 14 calendar days prior to the
implementation of the change.
Review records to verify that the
cleanup was done in accordance with
the notice provided to EPA. If any
changes were made, verify that the
EPA Regional Administrator was
notified no less than 14 days prior to
the implementation of the proposed
change.
Review the original written waiver, if
applicable.
August 2004
5-50
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
PCB Remediation Waste
Responsible party must collect and analyze
samples to verify the cleanup and onsite disposal
of PCB waste according to specific parameters.
§761.61(a)(6)(i)
Where sample analysis results in a measurement
of PCBs less than or equal to the levels specified in
§761.61(a)(4), self-implementing cleanup is
complete. Otherwise, the owner or operator of the
site must either dispose of the sampled PCB
remediation waste, or reclean the waste
represented by the sample and reinitiate sampling
and analysis. §761.61(a)(6)(ii)
Verify that any person collecting and
analyzing samples to verify the
cleanup and onsite disposal of bulk
PCB remediation wastes and porous
surfaces do so in accordance with
Subpart O of §761. Sampling by the
responsibly party according to
Subpart O must precede the
beginning of cleanup for self-
implementing cleanup to be a viable
option.
Verify that any person collecting and
analyzing samples from non-porous
surfaces does so in accordance with
§761, Subpart P.
Verify that any person collecting and
analyzing samples from liquids does
so in accordance with §761.269.
PCB Inspection Manual
5-51
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
PCB Remediation Waste
Caps for PCB cleanup sites must meet specific
requirements. When referring to onsite cleanup
and disposal of PCB remediation waste, a cap
means a uniform placement of concrete, asphalt,
or similar material of minimum thickness spread
over the area where remediation waste was
removed or left in place in order to prevent or
minimize human exposure, infiltration of water, and
erosion. §761.61(a)(7)
Verify that any cap is designed and
constructed in accordance with
§264.310(a), and complies with the
permeability, sieve, liquid limit, and
plasticity index parameters in
§761.75(b)(1)(ii) through (b)(1)(v).
Verify that there is a cap of
compacted soil with a minimum
thickness of 25 cm (10 in).
Verify that a concrete or asphalt cap
has a minimum thickness of 15 cm (6
in).
Verify that the cap integrity is sufficient
to maintain its effectiveness during the
use of the cap surface which is
exposed to the environment.
Verify that a cap is not contaminated
at a level 1 ppm PCB per Aroclor (or
equivalent) or per congener before
use by sampling or reviewing testing
data.
Visually inspect for breaches and
determine if repair began within 72
hours of discovery.
Verify that, when there is a fence or
cap, the fence or cap is maintained.
August 2004
5-52
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
PCB Remediation Waste
When a cleanup activity conducted under this
section includes the use of a fence or a cap, the
owner of the site must maintain the fence or cap, in
perpetuity. In addition, whenever a cap, or the
procedures and requirements for a low occupancy
area, is used, the owner of the site must record a
notice on the deed.
The owner of the site may remove a fence or cap
after conducting additional cleanup activities and
achieving cleanup levels (§761.125) that do not
require a cap or fence. The owner may remove the
notice on the deed no earlier than 30 days after
achieving the cleanup levels that do not require a
fence or cap. § 761.61 (a)(8)
Performance Based Standards
Any person disposing of liquid PCB remediation
waste shall do so according to §761.60(a) or (e), or
decontaminate it in accordance with §761.79.
§761.61(b)(1)
Any person disposing of non-liquid PCB
remediation waste shall do so by one of the
following methods:
Dispose of it in a high temperature incinerator
approved under §761.70(b), an alternate
disposal method approved under §761.60(e), a
chemical waste landfill approved under
§761.75, or in a facility with a coordinated
approval issued under §761.77.
Decontaminate it in accordance with §761.79.
S761.61(b)(2)
Verify that the owner 1) recorded a
notation on the deed to the property,
or on some other document which is
normally examined during a title
search, and 2) submitted a signed
certification that they recorded the
notation to the EPA RA within 60 days
of completion of a cleanup activity.
The notation will in perpetuity notify
any potential purchaser of the
property:
- That the land has been used
for PCB remediation waste
disposal and is restricted to
use as a low occupancy area
as defined in §761.3.
Of the existence of the fence
or cap and the requirement to
maintain the fence or cap.
- The applicable PCB levels left
at the site, inside the fence,
and/or under the cap.
Verify that the fence or cap is
maintained.
PCB Inspection Manual
5-53
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
PCB Remediation Waste
Any person may manage or dispose of material
containing < 50 ppm PCBs that has been dredged
or excavated from waters of the United States:
§761.61(b)(3)
in accordance with a permit that has been
issued under Section 404 of the Clean Water
Act, or the equivalent of such a permit as
provided for in regulations of the U.S. Army
Corps of Engineers at 33 CFR 320
in accordance with a permit issued by the U.S.
Army Corps of Engineers under section 103 of
the Marine Protection, Research, and
Sanctuaries Act, or the equivalent of such a
permit as provided for in regulations of the U.S.
Army Corps of Engineers at 33 CFR 320.
Risk-Based Cleanup Provisions
Any person wishing to sample, cleanup, or dispose
of PCB remediation waste in a manner other than
prescribed in the self implementing cleanup policy
or performance based standards, or store PCB
remediation waste in a manner other than
prescribed in §761.65, must apply in writing to the
appropriate EPA RA or to the Director of the
National Program Chemicals Division. Each
application must contain information described in
the notification required by §761.61 (a)(3). No
person may conduct cleanup activities under
this paragraph prior to obtaining written approval by
EPA. §761.61(c)(1)
Identify whether facility has
appropriate permits and is operating in
accordance with the permit.
Some facilities applied for and
received EPA approvals for the
remediation of PCBs. The inspector
should check for such EPA approvals
prior to the inspection and should
consult with the permit writer or the
person responsible for the permit to
determine if any critical areas of the
facility need to be inspected or do not
need to be inspected.
August 2004
5-54
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
BAA Disposal of PCB Bulk Product Waste
Regulation Reference: §761.62
Regulatory Requirements
Inspection Procedures
Disposal of PCB Bulk Product Waste
Performance-based disposal of PCB bulk product
waste must be in accordance with specific
parameters. §§761.50(b)(4), 761.62(a) and
761.62(c)
Persons may dispose of PCB bulk product waste:
§761.62(a)
in an incinerator approved under §761.70
in a chemical waste landfill approved under
§761.75
in a permitted hazardous waste landfill
under an alternate disposal method approved
under §761.60(e)
in accordance with the decontamination
provisions of §761.79
for metal surfaces in contact with PCBs, in
accordance with the thermal decontamination
provisions of §761.79(c)(6)
in accordance with a TSCA PCB Coordinated
Approval issued under §761.77
as daily landfill cover as long as the daily cover
remains in the landfill and is not released or
dispersed by wind or other action or under
asphalt as part of a road bed.
Disposal of PCB bulk product waste in solid waste
landfills must be in accordance with specific
parameters (§761.62(b) through 761.62(d)).
Check disposal records to determine
where and how materials were
disposed.
When PCB bulk product waste is
disposed of in a solid waste landfill,
verify that the landfill is permitted,
licensed, or registered by a state as a
municipal or non-municipal non-
hazardous waste landfill.
For any disposal of PCB bulk product
waste, verify that a written record is
maintained of all sampling and
analysis of PCBs or notifications
made for 3 years from the date of the
waste's generation.
PCB Inspection Manual
5-55
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Disposal of PCB Bulk Product Waste
Any person may dispose of the following PCB bulk
product waste in a facility permitted, licensed, or
registered by a state as a municipal or non-
municipal non-hazardous waste landfill: §761.62(b)
plastics (such as plastic insulation from wire or
cable; radio, television, and computer casings;
vehicle parts; or furniture laminates); pre-
formed or molded rubber parts and
components; applied dried paints, varnishes,
waxes or other similar coatings or sealants;
caulking; Galbestos; non-liquid building
demolition debris; or non-liquid PCB bulk
product waste from the shredding of
automobiles or household appliances from
which PCB small capacitors have been
removed (shredder fluff)
other sampled PCB bulk product waste that
leaches PCBs at <10 ug/L of water measured
using a procedure used to simulate leachate
generation.
Any release of PCBs (including but not limited to
leachate) from the landfill unit must be cleaned up
in accordance with §761.61. §761.62(c)
Bulk product waste as described in the above
NOTE statement may be disposed of as daily
landfill cover as long as the daily cover remains in
the landfill and is not released or dispersed by wind
or other action or under asphalt as part of a road
bed.)
Any person disposing off-site of PCB bulk product
waste regulated under §761.62(b)(1) or (2) at a
waste management facility not having a
commercial PCB storage or disposal approval
must provide written notice to the facility a
minimum of 15 days in advance of the first
shipment from the same disposal waste stream
and, for disposal in solid waste landfills, with each
shipment thereafter. §761.62(b)(4)
Verify that, if materials other than
those listed under regulatory
requirements are disposed of in a
facility that is permitted, licensed, or
registered by a state to manage
municipal solid waste or nonmunicipal
nonhazardous waste, the following
are met:
the PCB bulk product waste is
segregated from organic liquids
disposed of in the landfill unit
leachate is collected from the
landfill unit and monitored for
PCBs.
If PCB release is suspected, sample.
Verify that the written notice states
that the PCB bulk product waste may
include components containing PCBs
at 50 ppm based on analysis of the
waste in the shipment or application of
a general knowledge of the waste
stream (or similar material) which is
known to contain PCBs at those
levels, and that the PCB bulk product
waste is known or presumed to leach
10uq/LPCBs.
August 2004
5-56
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Disposal of PCB Bulk Product Waste
Any person sampling or disposing of PCB bulk
product waste in a manner other than prescribed in
§761.62(a) or (b), or storing PCB bulk product
waste in a manner other than prescribed in
§761.65, must apply in writing to the EPA and
receive written approval. §761.62(c)
Any person may dispose of bulk product waste
described in §761.62(b)(1) provided EPA RA
approves:
as daily landfill cover as long as the cover
remains in the landfill and is not released or
dispersed by wind or other actions
under asphalt as part of a road bed.
Verify that, if bulk product waste is
disposed of in a manner other than
prescribed in §761.62(a) or 761.62(b),
the EPA RA (if the disposal site is
located in a single EPA Region) or the
Director of the National Program
Chemicals Division (if disposal is
occurring in more than one EPA
Region) received and approved the
application. Inspector can check PCB
website for a list of approved facilities:
www.epa.gov/pcb/stordisp.html
PCB Inspection Manual
5-57
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.4.5 Storage for Disposal
Regulation Reference: §761.65
(NOTE: This section applies to the storage for disposal of PCBs at concentrations 50 ppm and PCB
Items with concentrations of 50 ppm.)
Regulatory Requirements
Inspection Procedures
Storage for Disposal
No one may store PCB waste for more than one
year from the date they determined it to be waste
and decided to dispose of it. §761.65(a)(1)
To obtain an automatic one-year extension, the
person storing PCB waste for disposal may notify
the EPA Region that efforts to secure disposal
were unsuccessful. §761.65(a)(2)
EPA may grant additional extensions beyond the
one-year extension. EPA may also grant extended
storage time as part of a PCB storage or disposal
approval. §§761.65(a)(3) and (4)
Storage areas where PCBs and PCB Items are
stored for disposal must be marked with mark ML.
§761.65(c)(1)
Roofs and walls of storage facilities must be
adequate to prevent rain water from reaching PCBs
and PCB Items. §761.65(b)(1)(i)
Check storage records to verify that
no containers stored for disposal have
been in storage for more than nine
months (The one-year disposal time
includes 90 days for the disposal
facility to conduct the disposal, so the
generator's effective storage time is
nine months.) NOTE: This is a policy
requirement.
If PCB wastes have been stored for
more than one year, verify with
National Program Chemical Division
that the facility sent a complete notice
for the one-year automatic extension
or received another extension from
EPA. NOTE: The one year starts
when PCB waste is first placed into
the container or when PCB Items
were removed from service for
disposal.
Before entering a storage area, allow
the storage area to ventilate
sufficiently. Inspect storage area for
proper markings. Photograph and
note location of unmarked or
improperly marked storage areas.
Inspect roof and walls for evidence of
leakage. Provide exact location of
leaks by measurement from floor,
wall, or ceiling. Photograph when
possible, and draw a scale floor plan
noting objects water might contact.
Note drainage path of water (run-on
and runoff) around the storage
building.
August 2004
5-58
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Storage for Disposal
Floors must have at least a 6" continuous curb
creating a containment area (PCB radioactive
wastes are exempt). The containment area must
not have any drains, valves, expansion joints,
sewer lines, or other openings that would permit
liquids to flow from the curbed area. The floor and
curbing must provide a containment volume equal
to the greatest of: §§761.65(b)(1)(ii) and (iii)
at least twice the internal volume of the largest
PCB Article or Container stored
or 25 percent of the total internal volume of all
PCB Articles or Containers stored.
Floors and curbing must be constructed of Portland
cement, concrete, or continuous, smooth, and non-
porous materials, to prevent or minimize
penetration of PCBs. §761.65(b)(1)(iv)
The facility's PCB storage area must be located
above the 100- year flood elevation.
§761.65(b)(1)(v)
Visually inspect floor for openings that
would permit liquids to flow from the
curbed area. Estimate volume of all
stored articles or containers through
records or by actual measurement.
Take special note of largest container
or article and take photographs.
Measure surface dimensions and
curbing height to determine volume of
containment area. Compare the
above to determine adequacy of
containment area. Check to ensure
that all items are stored far enough
away from dike to prevent potential
leaks from escaping over the dike. If a
discrepancy is found, verify all
measurements, and record in field
notebook. Photocopy records
describing volume of containers or
articles if available. NOTE: When
estimating the volume of storage
remember to account for the footprint
of drums, tanks, pallets, etc. which
reduce the volume.
Inspect containment area for any
openings, including cracks, floor
drains, and pipe conduits. Review
construction records including piping
and sewer blueprints. If openings are
found, verify exact location and
determine drainage path and ultimate
disposal. Note exact location of any
openings relative to a stationary
object. Photograph or provide scale
floor plan. Review blueprints showing
openings.
Prior to the inspection, determine the
100-year flood elevation from U.S.
Geological Survey or U.S. Army Corps
of Engineers records. During the
inspection, determine the elevation of
facility from facility records.
PCB Inspection Manual
5-59
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Storage for Disposal
PCBs and PCB Items designated for disposal
must be stored in a storage unit approved by EPA
pursuant to §761.65(d) or meeting the design
requirements of §761.65(b), unless the unit meets
one of the following conditions: §761.65(b)(2)
The unit is permitted by EPA under section
3004 of RCRA to manage hazardous waste in
containers, and PCB spills are cleaned up in
accordance with §761 subpart G.
The unit qualifies for interim status under
section 3005 of RCRA to manage hazardous
waste in containers, meets the requirements
for containment at Sec. 264.175 of this chapter,
and PCB spills are cleaned up in accordance
with §761 subpart G.
The unit holds a permit from a State authorized
under section 3006 of RCRA to manage
hazardous waste in containers, and PCB spills
are cleaned up in accordance with §761
subpart G.
The unit is approved or otherwise regulated
pursuant to a State PCB waste management
program no less stringent in protection of health
or the environment than the applicable TSCA
requirements found in this part.
The unit is subject to a TSCA Coordinated
Approval, which includes provisions for storage
of PCBs, issued pursuant to §761.77.
The unit has a TSCA PCB waste management
approval, which includes provisions for storage,
issued pursuant to §761.61 (c) or §761.62(c).
Check with the National Chemical
Program Division if unit is approved. If
the storage unit has not been
approved or does not meet the above
design requirements, determine if it
meets one of the conditions for
exemption by reviewing records.
Review the TSCA Coordinated
Approval for storage conditions.
Facilities must keep a copy of the
approval, so inspectors can review
the facility copy.
August 2004
5-60
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Storage for Disposal
Persons may store the following PCB Items in an
area that does not comply with §761.65(b) for up to
30 days from the date the item was removed from
service, provided that they attach a notation to the
PCB Item indicating the date the item was removed
from service: §761.61(c)(1)
Non-leaking PCB Articles and PCB Equipment
Leaking PCB Articles and PCB Equipment if the
PCB Items are placed in a non-leaking PCB
Container that contains sufficient sorbent
material to absorb any liquid PCBs remaining in
the PCB Items.
PCB Containers containing non-liquid PCBs
(e.g., contaminated soil, rags, and debris)
PCB Containers containing liquid PCBs at
concentrations >. 50 ppm, provided a Spill
Prevention Control and Countermeasure
(SPCC) Plan has been prepared for the
temporary storage area and the liquid PCB
waste is in packaging authorized in the
Department of Transportation (DOT)
Hazardous Materials Regulations (HMR) at 49
CFR Parts 171 through 180 or stationary bulk
storage tanks.
Persons may store non-leaking, undrained,
structurally undamaged PCB Large High Voltage
Capacitors and PCB-Contaminated Electrical
Equipment outside on pallets next to a storage
facility meeting the general requirements described
above. §761.65(c)(2)
Verify that only items meeting the
appropriate requirements are in
temporary storage. Inspect all
equipment or articles for leaks.
Photograph and establish location of
discrepant items. Describe leaks,
number of containers, condition of
equipment, drainage path, and
ultimate disposition. Collect sample
of leaked material.
Check notation on each item in
temporary storage to determine date
item was removed from service.
Compare with copies of records
indicating date of removal from
service. Note discrepancies.
Verify that an SPCC Plan has been
prepared for the temporary storage
area in accordance with 40 CFR 112;
obtain a copy of the plan, and review
for compliance with 40 CFR 112.
Check transformers and capacitors
for structural integrity and evidence of
leakage. Observe general condition of
outside storage area. Sample,
photograph suspected leaks. Verify
that the owner or operator checks the
capacitors and equipment for leaks
weekly.
PCB Inspection Manual
5-61
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Storage for Disposal
Persons may store capacitors and equipment
outside only when there is immediately available
space within the prescribed facility equal to 10% of
the volume of all capacitors and equipment stored
outside the facility. §761.65(c)(2)
Persons temporarily storing capacitors and
equipment outside must check them for leaks
weekly.
No one may remove moveable equipment that is
used for handling PCBs and PCB Items in the
storage units and comes in direct contact with
PCBs unless it has been decontaminated as
specified in §761.79. §761.65(c)(4)
Owners/operators must check for leaks at least
once every 30 days on all PCB Articles and PCB
Containers in storage §761.65(c)(5)
Owners/operators must transfer immediately to
properly marked non-leaking containers any leaking
PCB Articles and PCB Containers and their
contents. Owners/operator must immediately
cleanup and properly dispose of any spilled or
leaked PCB-contaminated materials and residues.
§761.65(c)(5)
Determine the volume of PCB
Capacitors and transformers stored
outside. Calculate volume of unfilled
stored space inside facility. Enter
measurements and calculations in
field notebook. Verify figures if
discrepancy appears. NOTE: This
requirement provides for immediate
inside storage of leaking capacitors or
equipment. When estimating volume
of storage, remember to account for
the footprint of drums, tanks, pallets,
etc. which reduce the volume.
Verify that personnel are conducting
weekly inspections. Obtain records
and/or statements. Note
discrepancies.
Visually inspect moveable equipment
used within the storage facility area for
proper decontamination; check
decontamination procedures and
verify use of these procedures.
Obtain wipe samples from suspect
equipment.
Verify that regular inspection is carried
out. Check for facility records of the
inspections.
Inspect articles, containers, and the
general storage area for evidence of
leakage. Determine whether leaking
articles and containers have been
placed in properly marked non-leaking
containers. Note, describe, and
establish location and photograph
leaking articles and containers.
Collect samples of suspected PCB
spills.
August 2004
5-62
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Storage for Disposal
PCB Containers must meet the shipping container
specifications of the Hazardous Materials
Regulations (HMR) at 49 CFR Parts 171 through
180. §761.65(c)(6)
Persons must package PCB waste not subject to
HMR (under 20 ppm or less than 1 pound of waste)
in accordance with Packaging Group III, unless
other hazards require Groups I or II. §761.65(c)(6)
Containers for PCB/radioactive waste need not
meet HMR standards, but:
must not be leaking,
for non-liquid wastes, must be designed to
prevent the buildup of liquids if in an area
meeting §761.65(b)(1)(ii),
must meet all requirements for nuclear
criticality safety. §761.65(c)(6)(i)
A person may use the following containers for liquid
PCBs for storage and transportation activities not
subject to DOT regulation: §761.65(c)(6)(ii)
Specification 5 containers, without removal
heads
Specification 5B containers, without removal
heads
Specification 6D overpack with specifications
2S or2SL polyethylene containers
Specification 17E containers
A person may use the following containers for non-
liquid PCBs for storage and transportation activities
not subject to DOT regulation: §761.65(c)(6)(ii)
Specification 5 containers, without removal
heads
Specification 5B containers, without removal
heads
Specification 17C containers
The specifications include exemptions
to the packaging requirements (49
CFR 173.155); packaging
requirements for non-bulk shipments
(49 CFR 173.202); and packaging
requirements for bulk shipments of
liquid PCBs (49 CFR 173.241) and
solid PCBs (49 CFR 173.240).
Check specification numbers where
available. When specification
numbers are not present, compare to
DOT specifications. (Use a caliper
gauge to measure container
thickness). Note and describe non-
compliance with DOT regulations and
notify DOT.
Verify that containers used to hold
nonliquid PCBs meet all applicable
DOT specifications, or in the case of
larger non-DOT specification
containers, that containers provide
adequate protection against leaking.
PCB Inspection Manual
5-63
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Storage for Disposal
Larger liquid PCB Containers other than those
specified above must be designed, constructed,
and operated in compliance with Occupational
Safety and Health Administration standards in 29
CFR 1910.106. Prior to use, the above design
must be reviewed to determine the structural safety
for containing PCBs. §761.65(c)(7)
Containers larger than those specified in DOT
specifications 5, 5B, or 17C may be used for non-
liquid PCBs if the containers are designed and
constructed in a manner that will provide as much
protection against leaking and exposure to the
environment as the DOT specification containers,
and are of the same relative strength and durability
as specification DOT containers.
Owners/operators of facilities using these
containers must keep records indicating the
quantity of PCBs and the date PCBs were added to
or removed from these containers. Disposition of
any PCBs removed must also be included.
Persons storing PCB Articles and Containers must
place the date of storage on the PCB Items when
they are placed in storage and manage the storage
area so that articles and containers can be located
by the date they entered storage. §761.65(c)(8)
Persons may store bulk PCB remediation waste or
PCB bulk product waste at the clean-up site or site
of generation for 180 days subject to the following
conditions: §761.65(c)(9)
The waste pile is designed and operated to
control wind dispersal, where necessary, by
means other than wetting.
Check specification numbers and
compare to OSHA regulations. Note
and describe non-compliance. Verify
by records or by statements that
safety of design was reviewed by
owner/operator. Note names, dates,
and findings. Use of such containers
must coincide with the preparation
and implementation of an SPCC Plan.
Inspectors may notify OSHA if
noncompliance is suspected.
Inspect these records for compliance.
Note missing or erroneous records.
Non-liquid PCB Containers must meet
the shipping container specifications
of the Department of Transportation
per§761.65(c)(6).
Verify that dates appear on all articles
and containers. Note locations and
contents of undated articles and
containers. Compare storage date
records with stored articles and
containers to see that they can be
located by date of storage. If
discrepancy appears, obtain copy of
records, and establish location of
relevant items.
Verify that the storage site meets the
conditions through visual examination
and records review.
August 2004
5-64
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Storage for Disposal
The waste does not generate leachate through
decomposition or other reactions.
The storage site has:
- A liner designed, constructed, and installed to
prevent any migration of wastes off or through
the liner into the adjacent subsurface soil,
ground water or surface water at any time
during the active life (including the closure
period) of the storage site. The liner may allow
waste to migrate into the liner.
The liner must be:
- Constructed of materials that have
appropriate chemical properties and
sufficient strength and thickness to prevent
failure due to pressure gradients (including
static head and external hydrogeologic
forces), physical contact with the waste or
leachate to which they are exposed,
climatic conditions, the stress of installation,
and the stress of daily operation.
- Placed upon a foundation or base capable
of providing support to the liner and
resistance to pressure gradients above and
below the liner to prevent failure of the liner
due to settlement, compression, or uplift.
- Installed to cover all surrounding earth likely
to be in contact with the waste.
- A cover that meets the requirements
§761.65(c)(9)(iii)(A), is installed to coverall of
the stored waste likely to be contacted with
precipitation and is secured so as not to be
functionally disabled by winds expected under
normal seasonal meteorological conditions at
the storage site.
Conduct visual inspections of the
area.
PCB Inspection Manual
5-65
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Storage for Disposal
A run-on control system designed, constructed,
operated, and maintained such that it
- Prevents flow onto the stored waste during
peak discharge from at least a 25-year
storm.
- Collects and controls at least the water
volume resulting from a 24-hour, 25-year
storm. Collection and holding facilities (e.g.,
tanks or basins) must be emptied or
otherwise managed expeditiously after
storms to maintain design capacity of the
system.
August 2004
5-66
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
5.4.6 Approval of Commercial Storers
Regulatory Requirements
Inspection Procedures
Approval of Commercial Storers
Commercial storers must submit an application to
EPA for storage approval. The storer must not
store PCB waste at its facility prior to written
approval from EPA. §761.65(d)
EPAs approval includes a maximum PCB storage
capacity that the commercial storer must not
exceed. The approval may include other
conditions as EPA deems necessary.
. Storage areas at transfer facilities are exempt
from the requirement to obtain approval as a
commercial storer of PCB waste under this
paragraph, unless the same PCB waste is
stored at these facilities for a period of time
greater than 10 consecutive days between
destinations. §761.65(d)(5)
Storage areas at RCRA-permitted facilities
may be exempt from the separate TSCA
storage approval requirements if they meet the
criteria at §761.65(d)(6).
Storage areas ancillary to TSCA-approved
disposal facilities may be exempt from a
separate facility approval provided they meet
the criteria at §761.65(d)(7).
Review facilities' EPA approval
document and facility records to verify
that the storer did not store PCB
waste prior to receipt of written
approval from EPA. Also review the
regional files.
NOTE: Commercial storers were
required to submit "complete"
applications by August 1990, and
some facilities may still be operating
without written approval.
Obtain and bring a copy of the EPA
approval to check for conditions.
Obtain information on the amount of
PCBs currently in storage. Collect
copies of at least the last 12 months
of manifests and bills of lading to
determine if the facility at anytime
exceeded their approved storage
capacity or store waste for 10 days or
more.
PCB Inspection Manual
5-67
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Approval of Commercial Storers
Commercial storers of PCB waste must have a
closure plan that has been accepted and approved
by EPA. The plan must include: §§761.65(e)(1)
and (2)
a description of how the PCB storage areas of
the facility will be closed in a manner that
eliminates the potential for post-closure
releases of PCBs into the environment
an identification of the maximum extent of
storage operations that will be open during the
active life of the facility, including an
identification of the extent of PCB storage
operations at the facility relative to other
wastes that will be handled at the facility
an estimate of the maximum inventory of PCB
wastes that could be handled at one time at the
facility over its active life and a detailed
description of the methods or arrangements to
be used during closure for removing,
transporting, storing, or disposing of the
facility's inventory of PCB waste, including an
identification of any offsite facilities that will be
used
a detailed description of the steps needed to
remove or decontaminate PCB waste residues
and contaminated containment system
components, equipment, structures, and soils
during closure, including a description of the
methods for sampling and testing of
surrounding soils, and the criteria for
determining the extent of removal or
decontamination
a detailed description of other activities
necessary during the closure period to ensure
that any post-closure releases of PCBs will not
present unreasonable risks to human health or
the environment (e.g., ground-water
monitoring, runon and runoff control, and
facility security).
Verify that the commercial storer of
PCB waste has a written closure plan
that EPA has determined to be
acceptable. Check list of EPAs
approved commercial storers:
www.epa.gov/pcb.
August 2004
5-68
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Approval of Commercial Storers
a schedule for closure of each area of the
facility where PCB waste is stored or handled,
including the total time required to close each
area of PCB waste storage or handling, and
the time required for any intervening closure
activities
an estimate of the expected year of closure of
the PCB waste storage areas, if a trust fund is
opted for as the financial mechanism.
Commercial storers do not need to submit a
separate and new closure plan in cases where a
facility is currently covered by a TSCA approval or
a RCRA permit, upon a showing to the satisfaction
EPA that the existing closure plan is substantially
equivalent to current requirements for closure
plans and that the plan adequately accounts for
PCB waste inventories. §761.65(e)(3)
The commercial storer must submit a written
request to EPA for modification of its closure plan
if: §761.65(e)(4)
changes in ownership, operating plans, or
facility design affect the existing closure plan
there is a change in the expected date of
closure, if applicable
in conducting closure activities, unexpected
events require a modification of the approved
closure plan.
Verify that the commercial storer of
PCB waste submitted a written
request to EPA for a modification to its
storage approval to amend its closure
plan if the storer meets the criteria
and that EPA has approved it. Facility
may be operating without written
approval.
PCB Inspection Manual
5-69
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Approval of Commercial Storers
Commercial storers of PCB waste must follow a
specific closure schedule. They must:
§761.65(e)(6)
notify EPA RA or Director of National Program
Chemicals Division at least 60 days prior to the
date on which final closure of its PCB storage
facility is expected to begin.
"expect to begin closure" no later than 30 days
after the date on which the facility received its
final quantities of PCB waste.
remove all PCB waste in storage from the
facility within 90 days after receiving the final
quantity of PCB waste for storage.
complete closure activities within 180 days
after receiving the final quantity of PCB waste
for storage at the facility.
When PCB waste is removed from the storage
facility during closure, the owner or operator
becomes a generator of PCB waste subject to the
generator requirements of §761.180 through
761.193.
During the closure period, the commercial storer
must dispose of all contaminated system
component equipment, structures, and soils in
accordance with the disposal requirements, or, if
applicable, decontaminated in accordance with the
levels specified in the PCB Spills Cleanup Policy.
§761.65(e)(7)
Within 60 days of completion of closure of each
facility for the storage of PCB waste, the
commercial storer of PCB waste must submit to
the EPA RA (or Director, NPCD if he approved the
closure plan), by registered mail, a certification that
the PCB storage facility has been closed in
accordance with the approved closure plan.
§761.65(e)(8)
Verify that the commercial storer
complies with the schedule. Note that
for good cause shown, EPA may
approve a reasonable extension to the
required deadlines regarding closure
activities. Approved commercial
storers may be found at the PCB
website
(www.epa.gov/pcb/waste.html).
Verify that the commercial storer
properly disposed of or
decontaminated the required items.
Obtain a copy of the certification from
the facility representative and verify
that the owner or operator and an
independent registered professional
engineer signed the certification.
August 2004
5-70
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Approval of Commercial Storers
Commercial storers of PCB waste must have a
detailed written estimate from the commercial
storer, in current dollars, of the cost of closing the
facility in accordance with its approved closure
plan. §761.65(f)(1)
The person who prepared the cost estimate must
certify it. The estimate must:
equal the cost of final closure at the point in the
PCB storage facility's active life when the
extent and manner of PCB storage operations
would make closure the most expensive, as
indicated by the facility's closure plan
be based on the costs to the owner or operator
of hiring a third party to close the facility, and
the third party is not be either a corporate
parent or subsidiary of the owner or operator,
or member in joint ownership of the facility
include the current market costs for offsite
commercial disposal of the facility's maximum
estimated inventory of PCB wastes, except
that onsite disposal costs may be used if
onsite disposal capacity will exist at the facility
at all times over the life of the facility
not incorporate any salvage value that may be
realized with the sale of wastes, facility
structures or equipment, land, or other assets
associated with the facility at the time of
closure.
During the active life of the PCB storage facility,
the commercial storer of PCB waste must adjust
the cost estimate annually for inflation within 60
days prior to the anniversary date of the
establishment of the financial instruments used to
demonstrate financial responsibility for closure,
except that owners or operators who use the
financial test or corporate guarantee must adjust
their closure cost estimates for inflation within 30
days after the close of the storer's fiscal year.
§761.65(f)(2)
Request the most recent cost
estimate to verify that it is kept at the
facility. Review the cost estimate to
verify that it was certified by the
person who prepared the cost
estimate and meets the necessary
criteria listed in the regulatory
requirements and has properly been
adjusted for inflation each year.
PCB Inspection Manual
5-71
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Approval of Commercial Storers
When the EPA approves a modification to the
facility's closure plan, and that modification
increases the cost of closure, the owner or
operator must revise the closure cost estimate no
later than 30 days after the modification is
approved. §761.65(f)(3)
A commercial storer must establish financial
assurance for closure of each PCB storage facility
that they own or operate. §761.65(g)
Laboratories are exempt from the reporting and
documentation requirements for commercial
storers if they meet stipulated conditions.
§761.65(i)(1)
Laboratory samples are exempt from the
manifesting requirements of §761.208 if the
sample is being: §761.65(i)(2)
transported to a laboratory for the purpose of
testing
transported back to the sample collector after
testing
stored by the sample collector before transport
to a laboratory for testing
stored in a laboratory before testing
stored in a laboratory after testing but before it
is returned to the sample collector
stored temporarily in the laboratory after testing
fora specific purpose (e.g., until conclusion of
a court case enforcement action where further
testing of the sample may be necessary).
Verify that the laboratory is storing
samples held for disposal in a facility
that complies with the standards in
§761.65(b)(1)(i) through (b)(1)(iv).
August 2004
5-72
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Approval of Commercial Storers
To qualify for the exemptions in §761.65(i)(2), the
sample collector or laboratory shipping the sample
must: §761.65(i)(3)
comply with applicable DOT or U.S. Postal
Service (USPS) shipping requirements, found
respectively in 49 CFR 173.345 and U.S.
Postal Regulations 652.2 and 652.3
assure that the following information
accompanies the sample:
- the sample collector's name, mailing
address, and telephone number
- the laboratory's name, mailing address,
and telephone number.
- the quantity of the sample
- the date of shipment
a description of the sample.
package the sample so that it does not leak,
spill, or vaporize from its packaging.
After the laboratory determines the concentration
of the PCB sample and terminates its use, the
laboratory must either manifest the PCB waste to
a disposer or commercial storer, retain a copy of
each manifest, and follow up on exception
reporting, or return the sample to the sample
collector who must then properly dispose of the
sample. §761.65(i)(4)
Review records and facility
procedures to verify that the facility
personnel are properly shipping
samples.
If inspecting a laboratory that
conducts PCB analysis, review facility
records to verify that the samples are
properly manifested to a disposer or
returned to the sample collector.
PCB Inspection Manual
5-73
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.4.7 Coordinated Approval
Regulation Reference §761.77
Regulatory Requirements
Inspection Procedures
Coordinated Approval
Any owner or operator of a facility that he or she
intends to use to: landfill PCB wastes; incinerate
PCB wastes; dispose of PCB wastes using an
alternative disposal method that is equivalent to
disposal in an incinerator approved under
§761.70 or a high efficiency boiler operating in
compliance with §761.71; or store PCB wastes;
or conduct research and development (R&D) into
PCB disposal methods (regardless of PCB
concentration), or conduct PCB remediation
activities may apply to EPA for a TSCA PCB
Coordinated Approval. Generally, EPA must find
that such a person holds a permit or other
document which properly regulates PCB wastes.
All requirements, conditions, and limitations of
any such other permit or waste management
document, cited or described in paragraph (b)
and (c) of this section, as the technical or legal
basis on which the TSCA PCB Coordinated
Approval is issued, are conditions of the TSCA
PCB Coordinated Approval. 5761.77
Verify compliance with the permit or
other document on which the
Coordinated Approval is based.
August 2004
5-74
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
5.4.8 Decontamination Standards and Procedures
Regulation Reference §761.79
Regulatory Requirements
Inspection Procedures
Decontamination Standards and Procedures
Decontamination in accordance with the
standards in §761.79(b) does not require a
disposal approval under §761, Subpart D.
Materials from which PCBs have been removed
by decontamination may be distributed in
commerce, used or reused, and are unregulated
for disposal. §761.79(a)
Any person decontaminating porous surfaces
other than concrete and non-porous surfaces
covered with a porous surface, such as paint or
coating on metal, must obtain an alternative
decontamination approval. §761.79(a)(5)
Persons using chopping (including wire
chopping), distilling, filtering, oil/water separation,
spraying, soaking, wiping, stripping of insulation,
scraping, scarification, or abrasives or solvents
to remove or separate PCBs from liquids,
concrete, or non-porous surfaces must adhere to
standards. §761.79(b)
Standards for water containing PCBs:
- < 200 ug/L (i.e., 200 ppb PCBs) for non-
contact use in a closed system where
there are no releases
- for water discharged to a treatment works
or to navigable waters, <3 ug/L
(approximately <3 ppb) or a PCB
discharge limit included in a permit issued
under section 307(b) or 402 of the Clean
Water Act
0.5 ug/L (i.e., approximately 0.5 ppb
PCBs) for unrestricted use
Standards for organic liquids and non-
aqueous inorganic liquids containing PCBs:
- <2 mg/kg (i.e., <2 ppm PCBs)
If the facility has conducted
decontamination, review records to
verify that it had a disposal approval or
that it conducted decontamination in
accordance with the standards in
§761.79(b).
Request the facility's alternative
decontamination approval if the facility
decontaminated porous surfaces other
than concrete or non-porous surfaces
covered with a porous surface.
Verify that they are adhering to the
applicable decontamination standards.
PCB Inspection Manual
5-75
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Decontamination Standards and Procedures
Standards for non-porous surfaces previously
in contact with liquid PCBs at any
concentration, where no free-flowing liquids
are currently present, for unrestricted use:
10 ug/100 cm2 as measured by a
standard wipe test at selected locations
Standards for non-porous surfaces in contact
with non-liquid PCBs (including non-porous
surfaces covered with a porous surface,
such as paint or coating on metal)
cleaning to Visual Standard No. 2, Near-
White Blast Cleaned Surface Finish, of
the National Association of Corrosion
Engineers (NACE) as verified by visually
inspecting all cleaned areas.
Standards for non-porous surfaces previously
in contact with liquid PCBs at any
concentration, where no free-flowing liquids
are currently present for disposal in a smelter
meeting specified standards under §761.72:
- < 100 ug/100 cm2 as measured by a
standard wipe test at selected locations
Standards for non-porous surfaces in contact
with non-liquid PCBs (including non-porous
surfaces covered with a porous surface,
such as paint or coating on metal) for
disposal in a smelter meeting specified
standards under §761.72:
cleaning to Visual Standard No. 3,
Commercial Blast Cleaned Surface
Finish, of NACE as verified by visually
inspecting all cleaned areas.
Standard for concrete
10 ug/100 cm2 as measured by a
standard wipe test if the decontamination
procedure is started within 72 hours of the
initial spill of PCBs to the concrete or
portion thereof being decontaminated.
August 2004
5-76
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Decontamination Standards and Procedures
Any person performing self-implementing
decontamination procedures must comply with
one of the following procedures: §761.79(c)
For PCB Containers, flush the internal
surfaces of the container 3 times with a
solvent containing <50 ppm PCBs. The
volume of each rinse must equal
approximately 10% of the PCB Container
capacity. §761.79(c)(1)
For PCB-contaminated movable equipment,
tools, or sampling equipment, swab surfaces
with a solvent, perform a double wash/rinse in
accordance with §761.360 through 761.378,
or perform another applicable
decontamination procedure. §761.79(c)(2)
For non-porous surface in contact with free-
flowing mineral oil dielectric fluid (MODEF) at
levels £10,000 ppm, drain all free-flowing
MODEF and allow the surfaces to drain for an
additional 15 h, dispose of drained MODEF
according to §761.75(g), soak the surfaces in
a sufficient amount of clean (containing <2
ppm PCBs) performance-based organic
decontamination fluid (PODF) such that there
is a minimum of 800 ml of PODF for each
100 cm2 of contaminated or potentially
contaminated surface for at least 15 h at
20°C, drain the PODF from the surfaces, and
dispose of the drained PODF in accordance
with §761.79(g). Approved PODFs include
kerosene, diesel fuel, terpene hydrocarbons,
and mixtures of terpene hydrocarbons and
terpene alcohols. 5761.79(c)(3)
Verify that persons performing self-
implementing decontamination complied
with one of the procedures in §761.79(c)
by reviewing records.
PCB Inspection Manual
5-77
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Decontamination Standards and Procedures
For a non-porous surface in contact with free-
flowing MODEF containing >10,000 ppm
PCB in MODEF or askarel PCB (up to 70
percent PCB in a mixture of
trichlorobenzenes and tetrachlorobenzenes),
drain the free-flowing MODEF or askarel and
allow the residual surfaces to drain for an
additional 15 h, dispose of drained MODEF or
askarel in accordance with §761.79(g), soak
the surfaces to be decontaminated in a
sufficient amount of clean PODF (containing
< 2 ppm PCBs) such that there is a minimum
of 800 ml of PODF for each 100 cm2 of
contaminated or potentially contaminated
surface for at least 15 h at > 20°C, drain the
PODF from the surfaces, dispose of the
drained PODF in accordance with
§761.79(g), resoak the surfaces to be
decontaminated in a sufficient amount of
clean PODF (containing < 2 ppm PCBs)
such that there is a minimum of 800 ml of
PODF for each 100 cm2 of surface for at
least 15 h at > 20°C, drain the PODF from
the surfaces, dispose of the drained PODF in
accordance with 5761.79(g). 5761.79(c)(4)
August 2004
5-78
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Decontamination Standards and Procedures
Any person decontaminating piping and air
lines in an air compressor system must:
§76179(c)(5)
- before decontamination proceeds,
disconnect or bypass the air
compressors and air dryers from the
piping and air lines and decontaminate the
air compressors and air dryers separately
dispose of filter media and desiccant in
the air dyers based on their existing PCB
concentration
- test the connecting line and
appurtenances of the system to assure
that there is no leakage by introducing air
into the closed system at from 90 to 100
psi. Only if there is a pressure drop of < 5
psi in 30 minutes may decontamination
take place.
- when there is no leakage, fill the piping
and air lines with clean (containing < 2
ppm PCBs) solvent. Solvents include
PODF, aqueous potassium hydroxide at a
pH between 9 and 12, or water containing
5 percent sodium hydroxide by weight
circulate the solvent to achieve turbulent
flow through the piping and air lines in the
air compressor system until the total
volume of solvent circulated equals 10
times the total volume of the particular
article being decontaminated, then drain
the solvent
- calculate the total volume of solvent
circulated by multiplying the pump rate by
the time of pumping
refill the system with clean solvent and
repeat the circulation and drain process.
For metal surfaces in contact with liquid and
non-liquid PCBs at concentrations < 500
ppm, use a scrap metal recovery oven or
smelter.
For metal surfaces in contact with liquid or
non-liquid PCBs at concentrations >. 500
ppm, decontaminate to a surface
concentration of 100 ug/100 cm2 then use a
scrap metal recovery oven or smelter.
Interview facility workers on
decontamination procedures. Check
disposal records to ensure facility
complied with disposal requirements.
PCB Inspection Manual
5-79
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Decontamination Standards and Procedures
Decontamination solvents: §761.79(d)
must be 5 percent or more by weight (unless
otherwise provided)
must have a PCB concentration of <50 ppm
may be tested and validated for performance-
based decontamination of non-porous
surfaces contaminated with MODEF or other
PCB liquids, in accordance with the self-
implementing procedures. Specific conditions
for the performance-based testing from this
validation are determined in the validation
study.
Any person conducting decontamination activities
shall limit their exposure and take necessary
measures to protect against direct release of
PCBs to the environment from the
decontamination area. §761.79(e)
Persons conducting self-implementing
decontamination must retain a written record
documenting compliance with required
compliance sampling or self-implementing
decontamination procedures for 3 years after
completion of the decontamination. §761.79(f)
Verify that individuals participating in
decontamination activities wear or use
protective clothing or equipment to
protect against dermal contact or
inhalation of PCBs or materials
containing PCBs.
Verify that the persons conducting self-
implementing decontamination have
retained the required written record for 3
years after completion of the
decontamination.
August 2004
5-80
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Decontamination Standards and Procedures
Persons must dispose of decontamination waste
and residues at their existing PCB concentration
unless otherwise specified. §761.79(g)
Any person wishing to decontaminate material or
perform sampling using an alternate method
must apply in writing to the EPA RA and receive
approval. §76179(h)
Verify that
distillation bottoms or residues and
filter media are disposed of as PCB
remediation waste.
PCB wastes physically separated
from regulated waste are disposed
of at their original concentration
hydrocarbon solvent that contains
<50 ppm PCB is burned and
marketed in accordance with
§761.20(e), disposed of in
accordance with §761.60(a) or
761.60(e), or decontaminated.
chlorinated solvent with any PCB
concentration are disposed of in an
incinerator in accordance with
§761.70 or decontaminated
solvents >. 50 ppm other than those
described above are disposed of in
accordance with §761.60(a) or
decontaminated
non-liquid cleaning materials and
personal protective equipment waste
at any concentration, including non-
porous surfaces and other non-liquid
materials such as rags, gloves,
booties, other disposable personal
protective equipment, and similar
materials resulting from
decontamination are disposed of in
accordance with §761.61 (a)(5)(v).
Verify that the facility does not conduct
decontamination or sampling using an
alternate methodology prior to obtaining
written approval from EPA.
PCB Inspection Manual
5-81
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.5 Transboundary Shipments of PCBs for Disposal
Regulation Reference §761.91 through §761.99
Regulatory Requirements
Inspection Procedures
Import for Disposal
No person may import PCBs or PCB Items for
disposal without an exemption issued under the
authority of TSCA section 6(e)(3). §761.93(a)
From EPA databases, review facility
historical enforcement data and obtain
information on whether the facility
imported PCBs or PCB Items. If so,
verify that the facility had received an
exemption at the time of import.
Export for Disposal
No person may export PCBs or PCB Items for
disposal without an exemption, except that PCBs
and PCB Items at concentrations <50 ppm (or <10
ug PCB/100 cm2 if no free-flowing liquids are
present) may be exported for disposal.
§761.97(a)(1)
Persons shall treat PCBs and PCB Items of
unknown concentrations as if they contain >50
ppm. §761.97(a)(2)
Obtain information on whether the
facility exported PCBs or PCB Items.
If so, verify that the facility received an
exemption prior to export, or that the
PCBs were below the specified
concentrations.
Other Transboundary Shipments
The following transboundary shipments are not
considered exports or imports:
PCB waste generated in the U.S., transported
outside the Customs Territory of the U.S.
(including any residuals resulting from cleanup
of spills of such wastes in transit) through
another country or its territorial waters, or
through international waters, and returned to
the U.S. for disposal. §761.99(a)
PCB waste in transit, including any residuals
resulting from cleanup of spills during transit,
through the U.S. (e.g., from Mexico to Canada,
from Canada to Mexico). §761.99(b)
PCB waste transported from any State to any
other State for disposal, regardless of whether
the waste enters or leaves the customs
territory of the U.S., provided that the PCB
waste or the PCBs from which the waste was
derived were present in the U.S. on January 1,
1979, and have remained within the U.S. since
that date. §761.99(c)
August 2004
5-82
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
5.6 PCB Spill Cleanup Policy
Regulation Reference §761.125
(NOTE: The PCB Spill Cleanup Policy is intended for spills less than 72hoursold. Any spills older than
72 hours must be cleaned up as PCB Remediation Waste found at Regulation Reference §761.61 (page
4-49). This is a policy, not a regulation.)
Regulatory Requirements
Inspection Procedures
PCB Spill Cleanup Policy
Unless expressly limited, the reporting, disposal, and
precleanup sampling requirements below apply to all
spills of PCBs at concentrations of >. 50 ppm which
are subject to decontamination requirements under
TSCA including those spills listed under §761.120(b)
which are excluded from the cleanup standards of
§§761.125(b)and(c). §761.125(a)
Where a spill directly contaminates surface water,
sewers, or drinking water supplies, the responsible
party must notify the appropriate EPA regional
office or National Chemical Program Division and
obtain guidance for appropriate cleanup measures
within 24 hours of discovery or sooner if possible.
§761.125(a)(1)(i)
Where a spill directly contaminates grazing lands
or vegetable gardens, the responsible party must
notify the appropriate EPA regional office and
proceed with immediate requirements specified
under §§761.125(b) or (c) within 24 hours of
discovery or sooner if possible. §761.125(a)(1)(ii)
Where a spill exceeds 10 pounds of PCBs by
weight and is not addressed in §§761.125(a)(1)(i)
or (ii), the responsible party must notify the
appropriate EPA regional office and proceed to
decontaminate the spill area in accordance with
this Policy within 24 hours of discovery or sooner if
possible. §761.125(a)(1)(iii)
Where a spill is 10 pounds or less and is not
addressed in §§761.125(a)(1)(i) or(ii), the
responsible party must decontaminate the spill
area in accordance with this Policy but does not
need to notify EPA. §761.125(a)(1)(iv)
Determine who is the responsible
party based on interviews and
information gathered from the citizen
complaint. Verify that the responsible
party notified the EPA within 24 hours
of discovery.
Verify that the responsible party
notified the EPA within 24 hours of
discovery and immediately began
cleanup.
Verify that the responsible party
notified the EPA within 24 hours of
discovery and immediately began
cleanup.
PCB Inspection Manual
5-83
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
PCB Spill Cleanup Policy
The responsible party must properly store, label,
and dispose of all concentrated soils, solvents,
rags, and other materials resulting from the
cleanup in accordance with Subpart D.
§761.125(a)(2)
The responsible party must use a statistically
based sampling scheme to determine the
boundaries of the spill where there are insufficient
visible traces yet there is evidence of a leak or spill.
§761.125(a)(3)
Low-concentration spills which involve less
than 1 pound of PCBs by weight (less than 270
gallons of untested mineral oil) §761.125(b)
Within 48 hours after they were notified or became
aware of the spill, the responsible party must:
§761.125(b)(1)
Double wash/rinse (as defined under §761.123)
all solid surfaces
Clean all indoor, residential surfaces other than
vault areas to 10 ug/100 cm2 by standard
commercial wipe tests.
Excavate all soil within the spill area (i.e., visible
traces of soil and a buffer of 1 lateral foot
around the visible traces) and restore the
ground to its original configuration by back-filling
with clean soil (< 1 ppm PCBs).
The responsible party may delay completion of
cleanup beyond 48 hours in case of circumstances
including but not limited to, civil emergency,
adverse weather conditions, lack of access to the
site, and emergency operating conditions. The
occurrence of a spill on a weekend or overtime
costs are not acceptable reasons to delay
response. The delay may only last for the duration
of the adverse conditions. If the adverse weather
conditions, or time lapse due to other emergency,
has left insufficient visible traces, the responsible
party must use a statistically based sampling
scheme to determine the spill boundaries.
§761.125(b)(2)
Verify decontamination procedures.
If cleanup completion was delayed
beyond 48 hours, document the
reason for the delay.
August 2004
5-84
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
PCB Spill Cleanup Policy
At the completion of cleanup, the responsible party
shall document the cleanup with records and certify
decontamination. They must maintain the records
and certification for 5 years. The records and
certification shall consist of the following:
§761.125(b)(3)
Identification of the source of the spill.
Estimated or actual date and time of the spill
occurrence.
Date and time cleanup was completed or
terminated (the nature and duration of the delay,
if applicable).
Description of the spill location.
Precleanup sampling data used to establish the
spill boundaries, if required, and a brief
description of the sampling methodology used
to establish the spill boundaries.
Description of the solid surfaces cleaned and of
the double wash/rinse method used.
Approximate depth of soil excavation and the
amount of soil removed.
A certification statement signed by the
responsible party stating that the cleanup
requirements have been met and that the
information contained in the record is true to the
best of their knowledge.
High-concentration spills and low-
concentration spills involving 1 pound or more
PCBs by weight (270 gallons or more of
untested mineral oil). §761.125(c)
As quickly as possible and within no more than 24
hours (48 hours for PCB Transformers) after the
responsible party was notified or became aware of
the spill, they must: §761.125(c)(1)
Notify the EPA regional office and the National
Response Center (NRC) as required by
§761.125(a)(1) or by other applicable statutes.
Cordon off or otherwise delineate and restrict
an area encompassing any visible traces plus a
3-foot buffer and place clearly visible signs
advising persons to avoid the area to minimize
the spread of contamination and the potential
for human exposure.
Check the company records and copy
of certification of decontamination for
the required information if applicable.
Verify that the responsible party
completed the required notification,
restriction, and documentation.
PCB Inspection Manual
5-85
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
PCB Spill Cleanup Policy
Record and document the area of visible
contamination, noting the extent of the visible
trace areas and the center of the visible trace
area. If there are no visible traces, the
responsible party shall record this fact and
contact the regional office of the EPA for
guidance in completing statistical sampling of
the spill area to establish spill boundaries.
Initiate cleanup of all visible traces of the fluid on
hard surfaces and initiate removal of all visible
traces of the spill on soil and other media, such
as gravel, sand, oyster shells, etc.
Estimate (based on the amount of material
missing from the equipment or container) the
area of the spill and immediately cordon off the
area of suspect contamination if there has been
a delay in reaching the site and there are
insufficient visible traces of PCBs remaining at
the spill site and utilize a statistically based
sampling scheme to identify the boundaries of
the spill area as soon as practicable.
Achieve prompt decontamination (EPA will
consider promptness of completion in
determining whether the responsible party
made good faith efforts to cleanup in
accordance with this policy.)
Note: The responsible party may delay the actions
above beyond 24 hours for the duration
of the adverse conditions (e.g., civil emergency,
hurricane, tornado, or other similar adverse
weather conditions, lack of access due to physical
impossibility, or emergency operating conditions).
The occurrence of a spill on a weekend or overtime
costs are not acceptable reasons to delay
response. Owners of spilled PCBs who have
delayed cleanup because of these types of
circumstances must keep records documenting
the fact that circumstances precluded rapid
response.
Take photographs of the spill.
If any of the actions above were
delayed beyond 24 hours, verify that
adverse circumstances cause the
delay.
August 2004
5-86
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
PCB Spill Cleanup Policy
The party responsible for a spill in outdoor electrical
substations must: §761.125(c)(2)
Clean contaminated solid surfaces (both
impervious and non-impervious) to a PCB
concentration of 100 ug/100 cm2 (as measured
by standard wipe tests).
At the option of the responsible party, clean soil
contaminated by the spill to 25 ppm PCBs by
weight, or to 50 ppm PCBs by weight provided
that a label or notice is visibly placed in the
area. If the responsible party demonstrates that
cleanup to 25 ppm or 50 ppm will jeopardize the
integrity of the electrical equipment at the
substation, the EPA regional office may
establish an alternative cleanup method or level
and place the responsible party on a reasonably
timely schedule for completion of cleanup.
Verify conformance to the cleanup standards by
post-cleanup sampling as specified under
§761.130.
The party responsible for a spill in other restricted
access areas must: §761.125(c)(3)
Clean high-contact solid surfaces to 10 ug/100
cm2 (as measured by standard wipe tests). A
high-contact surface is a surface that is
repeatedly touched, often for long periods of
time. Examples of high-contact industrial
surfaces are manned machinery or control
panels. Examples of high-contact
residential/commercial surfaces are doors,
walls below 6 feet, uncovered flooring,
windowsills, bannisters, fencing, stairs,
automobiles, and children's play areas.
Decontaminate low-contact, indoor, impervious
solid surfaces to 10ug/100 cm2.
Verify that the responsible party
cleaned the spill to the prescribed
concentrations.
If improper cleanup procedures are
suspected or no records are available,
the inspector may sample.
Verify company's sampling records to
ensure that the responsible party
cleaned the spill to the prescribed
concentrations.
PCB Inspection Manual
5-87
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
PCB Spill Cleanup Policy
At the option of the responsible party, clean low-
contact, indoor, nonimpervious surfaces to 10
|jg/100 cm2 or clean to 100 |jg/100 cm2 and
encapsulate. The EPA RA may disallow the
encapsulation option for a particular spill
situation upon finding that the uncertainties
associated with that option pose special
concerns at that site.
Clean low-contact, outdoor surfaces (both
impervious and nonimpervious) to 100 ug/100
cm2.
Clean soil contaminated by the spill to 25 ppm
PCBs by weight.
Verify conformance to the cleanup standards by
postcleanup sampling as specified under
§761.130.
Note: Persons responsible for spills to outdoor
electrical substations or other restricted access
areas that have been converted to another use
must clean the spill to the nonrestricted access
requirements at §761.125(c)(4).
The party responsible for a spill in nonrestricted
access areas must: §761.125(c)(4)
Dispose of furnishings, toys, and other easily
replaceable household items in accordance
with the provisions of subpart D of this part and
replace them.
Clean indoor solid surfaces and high contact
outdoor solid surfaces, defined as high contact
residential/commercial surfaces under
§761.123, to 10 ug/100 cm2 (as measured by
standard wipe tests).
Decontaminate indoor vault areas and low-
contact, outdoor, impervious solid surfaces to
10 ug/100 cm2.
Visually inspect and review company
sampling records to ensure that the
responsible party cleaned the spill to
the prescribed concentrations.
If improper sampling is suspected,
inspector may sample area affected
by the spill.
August 2004
5-88
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
PCB Spill Cleanup Policy
At the option of the responsible party, clean low-
contact, outdoor, nonimpervious solid surfaces
to 10 ug/100 cm2 or clean to 100 ug/100cm2
and encapsulate. The EPA RA may disallow
the encapsulation option for a particular spill
situation upon finding that the uncertainties
associated with that option pose special
concerns at that site.
Decontaminate soil contaminated by the spill to
10 ppm PCBs by weight, excavate the soil to a
minimum depth of 10 inches, replace the
excavated soil with clean soil (<1 ppm PCBs),
and restore the spill site.
Verify conformance to the cleanup standards by
postcleanup sampling as specified under
§761.130.
The responsible party must document the cleanup
with records of decontamination and maintain the
records for 5 years. The records and certification
shall consist of the following: §761.125(c)(5)
Identification of the source of the spill
Estimated or actual date and time of the spill
occurrence
Date and time cleanup was completed or
terminated (the nature and duration of the delay,
if applicable).
Description of the spill location (outdoor
electrical substation, other restricted access
location, or in a nonrestricted access area) and
the nature of the materials contaminated.
Precleanup sampling data used to establish the
spill boundaries, if required, and a brief
description of the sampling methodology used
to establish the spill boundaries.
Description of the solid surfaces cleaned.
Approximate depth of soil excavation and the
amount of soil removed.
Postcleanup verification sampling data and, if
not otherwise apparent, a brief description of
the sampling methodology and analytical
technique used.
Check the records and certification of
decontamination for the required
information.
PCB Inspection Manual
5-89
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.7 General Records and Reports
5.7.1 PCBs and PCB Items in Service or Projected for Disposal
Regulation Reference §761.180(a)
Regulatory Requirements
Inspection Procedures
PCBs and PCB Items in Service or Projected for Disposal
Beginning 2/5/90, owners and operators of a facility
other than a commercial storer or disposer of PCB
waste, using or storing at any time at least 45
kilograms (99.4 pounds) of containerized PCBs,
one or more PCB Transformers, or 50 or more
PCB Large High-or Low-Voltage Capacitors must
develop and maintain all annual records and a
written annual document log of the disposition of
PCBs and PCB Items. The owners and operators
must prepare a written annual document log for
each facility by July 1st covering the previous
calendar year (January - December) and maintain
the annual document log for at least 3 years after
the facility ceases using or storing PCBs.
§761.180(a)
The annual records must include:
§761.180(a)(1)
All signed manifests generated by the facility
during the calendar year
All certificates of disposal (CODs) that have
been received by the facility during the calendar
year
Records of inspections and cleanups
performed in accordance with §761.65(c)(5).
The annual document log must include:
§761.180(a)(2)
Name, address, and EPA ID number of the
facility covered by the annual document log and
the calendar year covered by the annual
document log §761.180(a)(2)(i)
Check the amount of PCBs or PCB
Items to determine whether facility is
subject to general recordkeeping
requirements. If PCBs or PCB Items
are present in prescribed amounts,
verify that the facility is preparing and
maintaining the proper records.
Inspect annual records for required
information.
Inspect annual document log for
required information.
August 2004
5-90
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
PCBs and PCB Items in Service or Projected for Disposal
The manifest number of every manifest
generated during the calendar year, and from
each manifest and for unmanifested waste
stored at the facility, the following information:
§761.180(a)(2)(ii)
All PCB Items First date it was removed from
service for disposal, date it was placed into
transport for storage or disposal, and date of
disposal.
Bulk PCB waste Weight in kg, total bulk weight
in kg of bulk PCB waste that was placed into
storage for disposal or disposed of during the
calendar year.
PCB Transformers The serial number or other
means of identifying each PCB Transformer,
weight in kg of the PCB waste in the transformer or
capacitor, and the total number of PCB
Transformers and total weight in kg of PCBs
contained in the transformers.
PCB Containers A unique number identifying
each PCB Container, a description of the contents
of each PCB Container (liquid, soil, cleanup debris,
etc.), total weight in kg of PCB Container(s), and
total weight in kg of the contents of PCB
Containers.
PCB Articles a unique number identifying each
PCB Article Container, a description of the contents
of each PCB Article Container (pipes, capacitors,
motor pumps, etc.), total weight of material in PCB
Container(s), the total number by specific type of
PCB Articles, total weight in kg of PCBs and PCB
Articles, and total number of PCB Article
Containers.
Interview owner/operator and verify
what materials the facility handles and
inspect annual document log for
required information applicable to
specific materials.
Take photographs of facility's PCB
items, waste, transformers,
containers, and articles.
Ensure all of the above comply with
the appropriate requirements.
PCB Inspection Manual
5-91
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
PCBs and PCB Items in Service or Projected for Disposal
The total number by specific type of PCB
Articles and the total weight in kg of PCBs in
PCB Articles, the total number of PCB Article
Containers and total weight in kg of the
contents of PCB Article Containers, the total
number of PCB Containers and the total weight
in kg of the contents of PCB Containers, and
the total weight in kg of bulk PCB waste that
was placed into storage for disposal or
disposed during the calendar year.
§761.180(a)(2)(iii)
The total number of PCB Transformers and
total weight in kg of PCBs contained in the
transformers remaining in service at the end of
the calendar year. §761.180(a)(2)(iv)
The total number of Large High or Low Voltage
PCB Capacitors remaining in service at the end
of the calendar year. §761.180(a)(2)(v)
The total weight in kg of any PCBs and PCB
Items in PCB Containers, including the
identification of container contents, remaining in
service at the facility at the end of the calendar
year. §761.180(a)(2)(vi)
For any PCBs or PCB Item received from or
shipped to another facility owned or operated by
the same generator, the information required
under §761.180(a)(2)(ii). §761.180(a)(2)(vii)
A record of each telephone call, or other means
of verification agreed upon by both parties,
made to each designated commercial storeror
designated disposer to confirm receipt of PCB
waste transported by an independent
transporter (as required by §761.208).
§761.180(a)(2)(viii)
Verify whether any PCBs or PCB
Items were received from or shipped
to another facility owned or operated
by the same generator; if so, check
annual report log for required
information.
Verify whether any PCBs or PCB
Items were shipped for storage or
disposal via transportation by an
independent transporter; if so, check
annual report log for records of
required verification.
August 2004
5-92
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
PCBs and PCB Items in Service or Projected for Disposal
Whenever a PCB Item, excluding small
capacitors, with a concentration of 50 ppm is
distributed in commerce for reuse pursuant to
§761.20(c)(1), the name, address, and
telephone number of the person to whom the
item was transferred, date of transfer, and the
permanently marked serial number or internal
identification number of the item.
§761.180(a)(2)(ix)
For purposes of the annual document log, PCB
Voltage Regulators must be recorded as PCB
Transformers. §761.180(a)(4)
Verify whether any PCB Item was
transferred, sold, or otherwise
distributed in commerce.
5.7.2 Disposers and Commercial Storers of PCB Waste
Regulation Reference: §761.180(b)
Regulatory Requirements
Inspection Procedures
Disposers and Commercial Storers of PCB Waste
Beginning 2/5/90, each owner and operator of a
facility (including high-efficiency boiler operations
used for the commercial storage or disposal of
PCBs and PCB Items) must maintain annual
records on the disposition of all PCBs and PCB
Items at the facility and prepare and maintain a
written annual document log for PCBs and PCB
Items that were handled as PCB waste at the
facility. §761.180(b)
The owner and operator must prepare the written
annual document log by July 1 for the previous
calendar year (January - December) and maintain
the log at each facility for at least 3 years after
each facility is no longer used for the storage or
disposal of PCBs and PCB Items, except that
owners/operators of chemical waste landfills must
maintain the annual document log for at least 20
years after the landfill is no longer used for PCB
disposal. The maintenance requirements for
annual records are the same as those for the
annual document log. §761.180(b)
Verify that annual records and written
annual document log are being
maintained and are correct.
Verify that annual records and annual
document log are maintained
according to specified time table.
PCB Inspection Manual
5-93
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Disposers and Commercial Stprers of PCB Waste
The annual records must include: §761.180(b)(1)
All signed manifests generated by the facility
during the calendar year
All certificates of disposal (CODs) that have
been received by the facility during the
calendar year
Records of inspections and cleanups
performed in accordance with §761.65(c)(5).
The annual document log must contain the
following information: §761.180(b)(2)
Name, address, and EPA ID number of the
facility covered by the annual document log
and the calendar year covered by the annual
document log §761.180(b)(2)(i)
The manifest number of every manifest
generated by the facility during the calendar
year and from each manifest and for
unmanifested waste stored at the facility, the
following information: §761.180(b)(2)(ii)
All PCB Items First date it was removed from
service for disposal, date it was received at the
facility, date it was placed into transport offsite
disposal (if applicable), date of disposal (if known),
and confirmed date of disposal.
Bulk PCB waste Weight in kg.
PCB Articles not in a PCB Container A
unique number identifying each PCB Article and
weight in kg of the PCB waste in the article.
PCB Containers The unique number assigned
by the generator identifying each PCB Container
and a description of the contents of each PCB
Container (liquid, soil, cleanup debris, etc.), and
total weight in kg of the PCB waste in the PCB
Container(s).
Inspect annual document log for all
required information.
Verify what materials are handled at
facility and inspect annual document
log for required information applicable
to specific materials.
The inspector should also obtain
copies of at least one years worth of
shipping documents (manifests and
bills of lading). By comparing the
dates of incoming and outgoing
weights, the inspector can determine if
the facility at any time exceeded their
allowed storage capacity.
August 2004
5-94
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Disposers and Commercial Storers of PCB Waste
PCB Article Containers The unique number
assigned by the generator identifying each PCB
Article Container and a description of the contents
of each PCB Article Container (e.g., pipes,
capacitors, electric motors, pumps, etc.), and total
weight in kg of the PCB waste in the PCB Article
Container.
For any PCBs or PCB Items received from or
shipped to another facility owned or operated by
the same generator, the information listed in
§761.180(b)(2)(ii). §761.180(b)(2)(iii)
The owner or operator of a PCB disposal or
commercial storage facility must submit an annual
report (that briefly summarizes the records and
annual document log required to be maintained
and prepared as indicated above) to the RA of the
EPA Region where the facility is located by July 15
of each year. §761.180(b)(3)
Verify what materials are handled at
facility and inspect annual document
log for required information applicable
to specific materials.
Verify whether any PCBs or PCB
Items were received from or shipped to
another facility owned or operated by
the same generator; if so, check
annual report log for required
information.
During the inspection, verify that
annual report has been submitted to
the EPA Regional Administrator
according to required timetable.
PCB Inspection Manual
5-95
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Disposers and Commercial Stprers of PCB Waste
The annual report must contain:
Name, address, and EPA identification number
of the facility covered by the annual report for
the calendar year §761.180(b)(3)(i)
A list of the numbers of all signed manifests of
PCB waste initiated or received by the facility
during that year §761.180(b)(3)(ii)
The total weight in kg of bulk PCB waste, PCB
waste in PCB Transformers, PCB waste in
PCB Large High- or Low- Voltage Capacitors,
and PCB waste in PCB Containers in storage
at the facility at the beginning of the calendar
year, received or generated at the facility, or
disposed of at the facility during the calendar
year and remaining in storage for disposal at
the facility at the end of the calendar year.
(The information must be provided for each of
these categories as appropriate.)
§§761.180(b)(3)(iiiandv)
The total number of PCB Transformers, the
total number of PCB Large High- or Low-
Voltage Capacitors, the total number of PCB
Article containers, and the total number of PCB
Containers in storage at the facility at the
beginning of the calendar year, received or
generated at the facility, or disposed of at the
facility during the calendar year, and remaining
in storage for disposal at the facility at the end
of the calendar year. (The information must be
provided for each of these categories as
appropriate.) §§761.180(b)(3)(iv and vi)
The requirement to submit annual reports to the
EPA RA continues until the submission of the
annual report for the calendar year during which
the facility ceases PCB storage or disposal
operations. §761.180(b)(3)(vii)
Whenever a commercial storer of PCB waste
accepts PCBs or PCB Items at his or her storage
facility and transfers the PCB waste offsite to
another facility for storage or disposal, the
commercial storer of PCB waste must initiate a
manifest for the transfer of PCBs or PCB Items to
the next storage or disposal facility.
§761.180(b)(4)
Inspect annual report for all required
information. (See left column.)
If facility has ceased operations, verify
that an annual report was submitted to
the EPA RA for the calendar year in
which the facility ceased operations.
Verify whether facility has accepted
PCBs or PCB Items and transferred
the PCBs or PCB Items to an offsite
facility for storage or disposal; if so,
inspect manifests executed pursuant
to this requirement.
August 2004
5-96
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Disposers and Commercial Storers of PCB Waste
For purposes of these requirements, PCB Voltage
Regulators must be recorded as PCB
Transformers. §761.180(b)(5)
5.7.3 Retention of Special Records by Storage and Disposal Facilities
Regulation Reference: §761.180(f)
Regulatory Requirements
Inspection Procedures
Retention of Special Records by Storage and Disposal Facilities
In addition to the information required to be
collected and maintained under §761.180(b),(c),(d)
and (e), each owner or operator of a PCB storage
or disposal facility (including high-efficiency boiler
facilities) must collect and maintain for three years
the following data for the time period specified in
§761.180(b):§761.180(f):
All documents, correspondence, and data that
have been provided to the owner or operator of
the facility by any State or local government
agency and that pertain to the storage or
disposal of PCBs and PCB Items at the facility
All documents, correspondence, and data that
have been provided by the owner or operator of
the facility to any State or local government
agency and that pertain to the storage or
disposal of PCBs and PCB Items at the facility
Any applications and related correspondence
sent by the owner or operator of the facility to
any local, State, or Federal authorities in regard
to wastewater discharge permits, solid waste
permits, building permits, or other permits or
authorizations such as those required by
§§761.70(d)and761.75(c).
Inspect facility records for all required
information.
PCB Inspection Manual
5-97
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.7.4 Certification Program and Retention of Records by Importers and Persons
Generating PCBs in Excluded Manufacturing Processes
Regulation Reference: §761.185
Regulatory Requirements
Inspection Procedures
Certification Program and Retention of Records by Importers and Persons
Generating PCBs in Excluded Manufacturing Processes
Manufacturers with processes inadvertently
generating PCBs and importers of products
containing inadvertently generated PCBs must
report to EPA any excluded manufacturing
processes or imports for which the concentration
of PCBs in products leaving the manufacturing site
or imported is greater than 2 ug/g (approximately 2
ppm) for any resolvable gas chromatographic
peak. The manufacturers and importers must file
such reports within 90 days of having processes
or imports for which such reports are required.
The reports must contain the following:
§761.185(a)
For manufacturersthe number, type, and
location of excluded manufacturing processes
in which PCBs are generated when the PCB
level in products leaving any manufacturing site
is greater than 2 g/g for any resolvable gas
chromatograph peak.
For importersthe concentration of PCBs in
imported products when the PCB
concentration of products being imported is
greater than 2 g/g for any resolvable gas
chromatograph peak.
Persons required under this section to report to
EPA must also certify the following: §761.185(b)
Their compliance with all applicable
requirements of §761.1 (f), including any
applicable requirements for air and water
releases and process waste disposal.
Verify whether the manufacturing
facility or importer has manufactured
or imported products with PCBs and
determine the concentration; if greater
than 2 ug/g, inspect report for all
required information and verify that it
was sent to the EPA National
Chemical Program Division within 90
days of the commencing of the
process or importation for which the
report was required.
Verify whether the report has been
properly certified by a company-
authorized person and submitted to
EPA National Chemical Program
Division.
Review the report to verify that the
following items were certified:
Compliance with all applicable
requirements of §761.1 (f)
(recordkeeping and reporting
requirements of Subpart J),
Whether determinations of
compliance are based on actual
monitoring of PCB levels or on
theoretical assessments, and
That such determinations of
compliance are being maintained.
August 2004
5-98
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Certification Program and Retention of Records by Importers and Persons
Generating PCBs in Excluded Manufacturing Processes
Whether determinations of compliance are
based on actual monitoring of PCB levels or on
theoretical assessments (if the determination
of compliance is based on a theoretical
assessment, the letter must also notify EPA of
the estimated PCB concentration levels
generated and released).
That such determinations of compliance are
being maintained.
Any person who reports pursuant to this section:
§761.185(c)
Must have performed either a theoretical
analysis or actual monitoring of PCB
concentrations; and
Must maintain for a period of 3 years after
ceasing process operations or importation, or
for 7 years, whichever is shorter, records
containing the following information:
Theoretical analysisManufacturers records
must include the reaction or reactions believed
to be generating PCBs; the levels of PCBs
generated; and levels of PCBs released.
Importers records must include the reaction or
reactions believed to be generating PCBs and
the levels of PCBs generated; the basis for all
estimations of PCB concentrations; and the
name and qualifications of the person or
persons performing the theoretical analysis;
-or-
Actual monitoringThe method of analysis,
the results of the analysis including data from
the Quality Assurance Plan, description of the
sample matrix, name of the analyst(s), date
and time of the analysis, and numbers for lots
from which the samples are taken.
A responsible corporate official must sign the
certification required by section §761.185(b) in
accordance with §761.185(d) and (e).
Verify whether theoretical or actual
analysis was utilized in determining
PCB levels in manufactured or
imported products and that the records
containing the analysis are being
maintained for 3 years after ceasing
process operations or importation, or
for 7 years., whichever is shorter.
Verify a responsible corporate official
properly signed the report.
PCB Inspection Manual
5-99
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Certification Program and Retention of Records by Importers and Persons
Generating PCBs in Excluded Manufacturing Processes
The manufacturer or importer must repeat the
certification process whenever process conditions
are significantly modified to make the previous
certification invalid. §761.185(g)
Verify the facility records and ensure
that the certification process is
repeated whenever process conditions
are significantly modified to make the
previous certification no longer valid.
Obtain information on modifications of
process conditions.
5.7.5 Reporting Importers and by Persons Generating PCBs in Excluded Manufacturing
Processes
Regulation Reference: §761.187
Regulatory Requirements
Inspection Procedures
Reporting Importers and by Persons Generating PCBs
in Excluded Manufacturing Processes
PCB-generating manufacturing processes or
importers of PCB-containing products are "excluded
manufacturing processes" only when the following
conditions are met:
The owner/operator or importer reports to the
EPA data concerning the total quantity of PCBs
in product from excluded manufacturing
processes leaving any manufacturing site in any
calendar year when such quantity exceeds
0.0025% of that site's rated capacity for such
manufacturing processes as of October 1,
1984; or the total quantity of PCBs imported in
any calendar year when such quantity exceeds
0.0025% of the average total quantity of such
product containing PCBs imported by such
importer during the years 1978, 1979, 1980,
1981 and 1982. §761.187(a)
Compare internal facility reports to
those submitted to EPA, which can be
found in the National Chemical
Program Division database at
http://www.epa.gov/pcb/data.html, to
verify that the data reported to EPA are
correct.
August 2004
5-100
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Reporting Importers and by Persons Generating PCBs
in Excluded Manufacturing Processes
The owner/operator or importer reports to the
EPA data concerning the total quantity of
inadvertently generated PCBs released to the air
or water from excluded manufacturing
processes at any manufacturing site in any
calendar year when such quantity exceeds 10
pounds. §§761.187(b) and (c)
5.7.6 Maintenance of Monitoring Records by Persons Who Import, Manufacture, Process,
Distribute in Commerce, or Use Chemicals Containing Inadvertently Generated
PCBs
Regulation Reference: §761.193
Regulatory Requirements
Inspection Procedures
Maintenance of Monitoring Records by Persons Who Import, Manufacture, Process,
Distribute in Commerce, or Use Chemicals Containing Inadvertently Generated PCBs
Persons who import, manufacture, process,
distribute in commerce, or use chemicals
containing PCBs present as a result of inadvertent
generation or recycling or who perform any actual
monitoring of PCB concentrations must maintain
records of any such monitoring for a period of 3
years after a process operation or importation
ceases, or for 7 years, whichever is shorter.
§761.193(a)
Monitoring records must contain the method of
analysis, results of the analysis, including data from
the Quality Assurance Plan, description of the
sample matrix, name of the analyst(s), date and
time of the analysis, and numbers for the lots from
which the samples are taken. §761.193(b)
Verify if monitoring of PCB
concentrations has taken place; if so,
inspect monitoring records of all
required information and retention for
prescribed time period.
PCB Inspection Manual
5-101
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.8 PCB Waste Disposal Records and Reports
5.8.1 EPA Identification Numbers
Regulation Reference: §761.202
Regulatory Requirements
Inspection Procedures
EPA Identification Numbers
A generator of PCB waste shall not:
Process, store, dispose of, transport, or offer
for transportation PCB waste without having
received an EPA identification number. A
generator of PCB waste who is exempted from
notification under §761.205(c)(1) or who
notifies EPA in a timely manner under
§761.205(c)(2)(i), but has not yet received a
unique identification number, shall be regarded
as having received from EPA the
identification number "40 CFR PART 761."
§761.202(b)(1)(i)
Offer the PCB waste to transporters,
disposers, or commercial storers of PCB
waste who have not received an EPA
identification number. §761.202(b)(1)(ii)
A transporter of PCB waste shall not:
Transport PCB waste without having received
an EPA identification number.
§761.202(b)(2)(i)
Deliver PCB waste to transporters, disposers,
or commercial storers of PCB waste that have
not received an EPA identification number.
§761.202(b)(2)(ii)
A commercial storer of PCB waste shall not
accept any PCB waste for storage without having
received an EPA identification number.
§761.202(b)(3)
A disposer of PCB waste shall not accept any
PCB waste for disposal without having received an
EPA identification number. A disposer of PCB
waste who owns more than one disposal facility or
mobile treatment unit shall not accept waste
unless the disposer has received an EPA
identification number for each facility or mobile
unit. 5761.202(b)(4)
Check National Chemical Program
Division database records to ensure
that the generator of PCB waste has
an EPA identification number.
Check records to ensure that the
transporter of PCB waste transported
waste only after receiving an EPA
identification number and only
delivered waste to facilities that had
EPA identification numbers.
Check records to ensure that the
commercial storer of PCB waste has
an EPA identification number.
Check records to ensure that the
disposer of PCB waste has an EPA
identification number.
August 2004
5-102
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
EPA Identification Numbers
Generators (other than generators exempt from
notification under §761.205(c)(1)), commercial
storers, transporters, and disposers of PCB waste
who are required to have EPA identification
numbers, and who engaged in PCB waste
handling prior to 2/5/90, are not subject to the
prohibitions of §761.202(b) if they have applied for
an EPA identification number. Such persons must
use "40 CFR Part 761" or a number assigned by
EPA or a State under RCRA, until EPA or a State
issues a specific identification number under
§761.205(a), (b) or (c). §761.202(c)
If the generator, commercial storer,
transporter or disposer is handling
PCBs without an EPA identification
number, verify that (1) facility was
handling PCBs prior to 2/5/90, and (2)
that facility has applied for an EPA
identification number in accordance
with §761.205.
5.8.2 Notification of PCB Waste Activity
Regulation Reference: §761.205
Regulatory Requirements
Inspection Procedures
Notification of PCB Waste Activity
All commercial storers, transporters, and
disposers of PCB waste who were engaged in
PCB waste handling activities on or prior to 2/5/90
shall notify EPA of their PCB waste activities by
filing EPA Form 7710-53 with EPA by no later than
4/4/90. §761.205(a)(1)
All generators (other than generators exempt from
notification under paragraph (c)(1) of this section),
commercial storers, transporters, and disposers
of PCB waste who first engage in PCB waste
handling activities after 2/5/90, shall notify EPA of
their PCB waste activities by filing EPA Form
7710-53 with EPA prior to engaging in PCB waste
handling activities. §761.205(a)(2)
Upon receiving the notification form, EPA will
assign an EPA identification number to each entity
that notifies.
Prior to inspection, check National
Chemical Program Division database
to verify that the facility filed EPA Form
7710-53 before 4/4/90. Can also
check PCB website
(www.epa.gov/pcb/waste.html) for
approved facilities.
Verify that the facility filed EPA Form
7710-53 before engaging in PCB
waste handling activities by reviewing
records. Note: Not all generators
have to notify; most can use the
generic identification number for
manifesting.
PCB Inspection Manual
5-103
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Notification of PCB Waste Activity
All of the following information shall be provided to
EPA on Form 7710-53: §761.205(a)(4)
The name of the facility, and the name of the
owner or operator of the facility
EPA identification number, if any, previously
issued to the facility
The facility's mailing address
The location of the facility
The facility's installation contact and telephone
number
The type of PCB waste activity engaged in at
the facility
Signature of the signer of the certification
statement, typed or printed name and official
title of signer, and date signed.
Generators (other than those generators exempt
from notification under §761.205(c)(1)),
commercial storers, transporters, and disposers
of PCB waste who have previously notified EPA or
a State of hazardous waste activities under RCRA
shall notify EPA of their PCB waste activities under
this part by filing EPA Form 7710-53 with the
Director of National Chemical Program Division or
Regional Administrator by no later than 4/4/90.
The notification shall include the EPA identification
number previously issued by EPA or the State and
upon receipt of the notification, EPA shall verify
and authorize the use of the previously issued
identification number for PCB waste activities.
§761.205(b)
Generators of PCB waste need not notify EPA and
receive unique EPA identification numbers unless
their PCB waste activities meet the following
requirements of §761.205(c)(2). Generators
exempted from notifying PEA shall use the generic
identification "40 CFR PART 761." S761.205(c^m.
Review Form 7710-53 to verify that all
of the information was provided and is
accurate.
Note that most generators do not have
to notify and can use the generic
identification number for manifesting.
August 2004
5-104
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Notification of PCB Waste Activity
Generators of PCB waste who use, own,
service, or process PCBs or PCB Items shall
notify EPA of their PCB waste activities only if
they own or operate PCB storage facilities
subject to the storage requirements of
§761 .65(b) or (c)(7). Such generators shall
notify EPA in the following manner:
§761.205(c)(2)
Generators storing PCB waste subject to
the storage requirements of §761 .65(b) or
(c)(7) shall notify EPA by filing EPA Form
7710-53 with EPA by no later than 4/4/90.
- Generators who desire to commence
storage of PCB waste after 2/5/90 shall
notify EPA and receive an EPA
identification number before they may
commence storage of PCBs at their
facilities established under §761 .65(b) or
- Generators of PCB waste shall submit a
separate notification to EPA for each PCB
storage facility they own or operate. Upon
receiving these notifications, EPA will
assign generators unique EPA
identification numbers for each storage
facility.
When a facility has previously notified EPA
(National Chemical Program Division Director or
RA) of its PCB waste handling activities using EPA
Form 7710-53 and those activities change, the
facility must resubmit EPA Form 7710-53 to reflect
those changes no later than 30 days from when a
change is made. Examples of when a PCB waste
handler must renotify EPA include, but are not
limited to the following: the company changes
location of the facility; or the company had notified
solely as engaging in a certain type of PCB waste
handling activity and now wishes to engage in
another PCB waste activity (e.g., previously only
commercially stored PCB waste and now wishes
to transport PCB waste). §761 .205(f) _
Identify whether the facility has
changed its PCB waste handling
activities by reviewing Form 7710-53,
their current manifests, waste storage
areas, and disposal records. Check
National Chemical Program Division
database and PCB website
(www.epa.gov/pcb/waste.html) to see
if all are approved in their current
form. If they have, verify that the
facility resubmitted Form 7710-53.
PCB Inspection Manual
5-105
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.8.3 The Manifest - General Requirements
Regulation Reference: §761.207
Regulatory Requirements
Inspection Procedures
The Manifest - General Requirements
A generator who ships by transporting, or offering
for transport by his or her own vehicle or by a
vehicle owned by another person, PCB wastes for
commercial offsite storage or offsite disposal must
prepare a manifest on EPA Form 8700-22, with a
continuation sheet if necessary. On the manifest,
the generator must specify: §761.207(a)
For each bulk load of PCBs, identification of
the PCB waste, the date of removal from
service for storage and/or disposal, and the
weight in kg of the PCB waste;
For each PCB Article Container or PCB
Container, the unique identifying number, type
of PCB waste (e.g., soil, debris, small
capacitors), date of removal from service for
storage and/or disposal, and weight in kg of the
PCB waste;
For each PCB Article not in a PCB Container,
the serial number (if available) or other
identification number if there is no serial
number, the date of removal from service for
storage and/or disposal, and weight in kg of the
PCB waste in each PCB Article.
The generator must designate on the manifest one
offsite commercial storage or disposal facility
approved for the commercial storage and/or
disposal of PCBs and PCB Items described on the
manifest. §761.207(g)
The manifest that accompanies the PCB waste
must consist of at least the minimum number of
copies required to provide the generator, the initial
transporter, each subsequent transporter, and the
owner or operator of the designated commercial
storage or disposal facility with one legible copy for
each of their records, and one additional copy
signed by the commercial storage or disposal
facility and returned to the generator. §761.207(0
Inspect manifests for all required
information, signatures (manifests
must be maintained as part of the
facility annual record). Verify that the
facility has manifests terminated
(signed) by the storage or disposal
facility for all shipments of PCB
waste.
An inventory sheet should accompany
the manifest with the appropriate
number of waste and the out-of-
service date of each piece of
equipment.
Verify that the designated storage
and/or disposal facility listed on the
manifest is approved under the Part
761 for the storage and/or disposal of
the PCBs or PCB Items listed on the
manifest.
Verify that the facility is manifesting
waste using an adequate number of
manifest copies.
August 2004
5-106
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
The Manifest - General Requirements
The requirements of this section apply only to PCB
wastes as defined in §761.3. This includes PCB
wastes with PCB concentrations below 50 ppm
where the PCB concentration below 50 ppm was
the result of dilution; these PCB wastes are
required under §761.1 (b) to be managed as if they
contained PCB concentrations of 50 ppm and
above. An example of such a PCB waste is spill
cleanup material containing <50 ppm PCBs when
the spill involved material containing PCBs at a
concentration of 50 ppm. However, there is no
manifest requirement for material currently below
50 ppm which derives from pre-April 18, 1978,
spills of any concentration, pre-July 2, 1979, spills
of <500 ppm PCBs, or materials decontaminated
in accordance with §761.79. §761.207(1)
PCB Inspection Manual
5-107
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
5.8.4 Manifest Procedures
Regulation Reference: §761.208 through §761.211
Regulatory Requirements
Inspection Procedures
Manifest Procedures
Generators of PCB wastefor shipments of PCB
waste for which a manifest must be executed, the
generator must:
Sign the manifest certification by hand
Obtain the handwritten signature of the initial
transporter and date of acceptance on the
manifest
Retain one copy among its records for at least
3 years in accordance with §761.209(a)
Give to the transporter the remaining copies of
the manifest that will accompany the shipment
of PCB waste. §761.208(a)(1)
For bulk shipments of PCB waste within the U.S.
transported solely by water, the generator must
send three copies of the manifest dated and
signed in accordance with this section directly to
the owner or operator of the designated
commercial storage or disposal facility. Copies of
the manifest are not required for each transporter.
§761.208(a)(2)
For rail shipments of PCB waste within the U.S.
which originate at the site of generation, the
generator must send at least three copies of the
manifest dated and signed in accordance with this
section to the next nonrail transporter, if any, and
the designated commercial storage or disposal
facility if transported solely by rail. §761.208(a)(3)
When a generator has employed an independent
transporter to transport the PCB waste to a
commercial storer or disposer, the generator must
confirm by telephone, or by other means of
confirmation agreed to by both parties, that the
commercial storer or disposer actually received
the manifested wastes. The generator must
confirm receipt of the waste by the close of
business the day after they receive the manifest
copy hand-signed by the commercial storer or
disposer. §761.208(a)(4)
Verify that generator of PCB waste is
in compliance with required
manifesting procedures.
If the generator is shipping bulk
shipments of PCBs via water, verify
that special requirements for such
shipments are being met, such as
sending 3 copies of manifests to the
owner/operator of the designated
commercial storage or disposal
facility.
If the generator is shipping bulk
shipments of PCBs via rail, verify that
special requirements for such
shipments are being met, such as
sending 3 copies of the manifest to
the non-rail transporter, if any, and to
the storage or disposal facility.
Verify that the generator has in place
the required procedures for confirming
receipt of PCB waste shipments.
August 2004
5-108
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Manifest Procedures
If a generator does not receive the copy of the
manifest hand-signed by the commercial storage
or disposal facility within 35 days after the
transporter accepted the PCB waste, the
generator must telephone, or communicate by
some other agreed upon means, the disposer or
commercial storerto determine whether the PCB
waste has actually been received. If the PCB
waste has not been received, the generator must
contact the transporter to determine the disposition
of the PCB waste. If the generator has not
received a hand-signed manifest from an EPA-
approved facility within 10 days from the date of
the telephone call or other means of agreed upon
communication, to the transporter, the generator
must submit an exception report to the EPA RA for
the Region in which the generator is located
pursuant to the requirements of §761.215. The
generator must retain a written record of all
telephone or other confirmations to be included in
the annual document log in accordance with
§761.180. §761.208(a)(4)
A generator of PCB waste must keep a copy of
each manifest signed in accordance with
§761.208(a)(1) until they receive a signed copy
from the designated commercial storage or
disposal facility that received the PCB waste. The
generator must retain the signed copy of the
manifest for at least 3 years from the date the PCB
waste was accepted by the initial transporter.
Note: A generator subject to annual document
requirements under §761.180 must retain manifest
copies for the period of time specified in
§761.180(a). §761.209(a)
Transporters of PCB wastesfor shipments of
PCB waste for which a manifest must be
executed:
A transporter may not accept PCB waste from
a generator unless it is accompanied by a
manifest signed by the generator as required
by§761.208(a)(1). §761.208(b)(1)
Verify that the generator has in place
the required procedures for PCB
waste for which a hand-signed
terminated manifest is not returned to
the generator within the specified
period of time.
Verify that if such procedures have
been invoked by the generator, then all
required records are included in the
annual document log.
Verify that the generator has on hand
all required copies of manifests for
shipments of PCB waste for storage
or disposal. For recent shipments
where the copy from the storage or
disposal facility has not yet been
received by the generator, verify that
the generator has a copy of manifest
with the generator and transporter
hand-signed signatures.
Verify that the PCB waste transporter
is in compliance with required
manifesting procedures.
PCB Inspection Manual
5-109
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Manifest Procedures
A manifest is not required if any of the following
conditions exists:
The shipment of PCB waste consists solely of
PCB wastes with PCB concentrations <50
ppm, unless the PCB concentration <50 ppm
was the result of dilution, in which case
§761.1 (b) requires that the waste be managed
as if it contained PCBs at the concentration
prior to dilution.
The PCB waste is accepted by the transporter
for transport only to a storage or disposal
facility owned or operated by the generator of
the PCB waste.
Before transporting the PCB waste, the transporter
must sign and date the manifest acknowledging
acceptance of the PCB waste from the generator.
The transporter must return a signed copy to the
generator before leaving the generator's facility.
§761.208(b)(2)
The transporter must ensure that the manifest
accompanies the PCB waste. §761.208(b)(3) *
A transporter who delivers PCB waste to another
transporter, or to the designated commercial
storer or disposer, must: §761.208(b)(4) *
Obtain the date of delivery and the handwritten
signature of the subsequent transporter, or of
the owner or operator of the designated
commercial storage or disposal facility
designated on the manifest.
Retain one copy of the manifest in accordance
with §761.209(b)(1).
Give the remaining copies of the manifest to
the accepting transporter of PCB waste, or to
the designated commercial storage or disposal
facility. §761.208(b)(4)
If the transporter has transported PCB
waste without an accompanying
manifest, verify that one or both of
these conditions existed for the
shipment shipped without a manifest.
Review the generator's manifests to
verify that the transporter
acknowledged acceptance of the PCB
waste and returned the signed copy.
Review the transporter's manifests to
verify that they are properly dated and
signed.
August 2004
5-110
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Manifest Procedures
* Note: These requirements do not apply to
transporters of bulk shipments by water or rail
shipment if aH of the following applicable conditions
are met:
For transporters of bulk shipments by water
§761.208(b)(5)
The PCB waste is delivered by water to the
designated commercial storage or disposal
facility.
A shipping paper containing all the information
required on the manifest (excluding EPA
identification number, generator certification,
and signatures) accompanies the waste.
The person delivering the PCB waste to the
initial water transporter obtains the date of
delivery and signature of the water transporter
on the manifest and forwards it to the
designated facility.
Each water transporter retains a copy of the
shipping paper or manifest in accordance with
§761.209(b).
For shipments involving rail transportation
§761.208(b)(6)
These requirements do not apply; instead, the
requirements described at 40 CFR §263.20(f)
[Rail Transportation of Hazardous Waste]
apply to rail shipments of PCB waste.
The transporter must deliver the entire quantity of
PCB waste accepted from a generator or
transporter to either the designated commercial
storage or disposal facility listed on the manifest or
the next designated transporter of PCB waste.
§761.208(b)(7)
If PCB waste cannot be delivered in accordance
with §761.208(b)(7), the transporter must contact
the generator for further directions and shall revise
the manifest and/or return the PCB waste
according to the generator's instructions.
5761.208(b)(8)
Verify that the transporter has in place
and observes the required procedures
to comply with the requirements for
undeliverable shipments of PCBs.
PCB Inspection Manual
5-111
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Manifest Procedures
A transporter of PCB waste must keep a copy of
the manifest signed by the generator, transporter,
and the next designated transporter, if applicable,
or the owner or operator of the designated
commercial storage facility. This copy must be
retained for at least 3 years from the date the PCB
waste was accepted by the initial transporter.
§761.209(b)(1)
A water (bulk shipment) transporter must retain a
copy of the shipping paper described in
§761.208(b)(5)(ii) for a period of at least 3 years
from the date the PCB waste was accepted by the
initial transporter. §761.209(b)(2)
The initial rail transporter shall keep a copy of the
manifest and the shipping paper required to
accompany the PCB waste for a period of at least
3 years from the date the PCB waste was
accepted by the initial transporter.
§761.209(b)(3)(i)
The final rail transporter shall keep a copy of the
signed manifest, or the required shipping paper if
signed by the designated facility in lieu of the
manifest, for a period of at least 3 years from the
date the PCB waste was accepted by the initial
transporter. §761.209(b)(3)(ii)
Commercial storage or disposal facilities receiving
offsite shipment of PCB wastes for which a
manifest was executed must:
Sign and date each copy of the manifest to
certify that the PCB waste covered by the
manifest was received.
Note any significant discrepancies in the
manifest (as defined in §761.210(a)(1)) on
each copy of the manifest.
Give the transporter at least one copy of the
signed manifest immediately.
Send a hand-signed copy of the manifest to the
generator within 30 days after the delivery.
Retain a copy of each manifest among the
facilities records in accordance with
§761.209(d). §761.208(c)(1)
Verify that the transporter is in
compliance with manifest retention
requirements.
Verify that the water (bulk shipment)
transporter is in compliance with
manifest retention requirements.
Verify that the rail transporter is in
compliance with manifest retention
requirements.
Verify that the commercial storage or
disposal facility is in compliance with
required manifesting procedures.
August 2004
5-112
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Manifest Procedures
If a commercial storage or disposal facility
receives PCB waste from a rail or water (bulk
shipment) transporter accompanied by a shipping
paper containing all of the information required on
the manifest except the EPA identification
numbers, generator's certification, and signatures,
the owner or operator, or her/his agent, must:
Sign and date each copy of the manifest or
shipping paper to certify that the PCB waste
covered by the manifest or shipping paper was
received.
Note any significant discrepancies in the
manifest or shipping paper on each copy of the
manifest or shipping paper.
Give the rail or water transporter at least one
copy of the manifest or shipping paper
immediately.
Send a copy of the hand-signed and dated
manifest to the generator; however, if the
manifest has not been received within 30 days
after delivery, the owner or operator must send
a copy of the shipping paper signed and dated
to the generator within 30 days after the
delivery.
Retain at the commercial storage or disposal
facility a copy of the manifest and shipping
paper, if signed in lieu of the manifest, in
accordance with §761.209(d). §761.208(c)(2)
If the commercial storage or disposal facility
initiates any offsite shipments of PCB waste, the
owner or operator of the commercial storage or
disposal facility must comply with all manifest
requirements applicable to generators of PCB
waste. §761.208(c)(3)
The owner or operator of a PCB commercial
storage or disposal facility that receives offsite
shipments of PCB waste shall retain a copy of
each manifest or shipping paper that the owner or
operator signs in accordance with §761.208(c)(1)
or(c)(3). §761.209(c)
If commercial storage or disposal
facility accepts PCB waste shipments
by water (bulk shipment) or rail
transport, verify that manifesting
procedures are in place and the
facility is complying with those
procedures.
If the commercial storage or disposal
facility ships PCB waste offsite, then
the facility becomes a generator of
PCB waste for that shipment; verify
that the facility complies with all
requirements applicable to
generators.
PCB Inspection Manual
5-113
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Manifest Procedures
Upon discovering a significant manifest
discrepancy as defined in §761.210(a)(1), the
owner or operator of the designated commercial
storage or disposal facility must attempt to
reconcile the discrepancy with the waste generator
or transporter. If the discrepancy is not resolved
within 15 days after receiving the PCB waste, the
owner or operator must immediately submit to the
EPA RA for the Region in which the designated
facility is located a letter describing the
discrepancy and attempts to reconcile it, and a
copy of the manifest or shipping paper at issue.
§761.210(b)
If, after 4/4/90, a PCB commercial storage or
disposal facility receives any shipment of PCB
waste from an offsite source without an
accompanying manifest or shipping paper (where
required in place of a manifest), and any part of the
shipment consists of any PCB waste regulated for
disposal, then the owner or operator of the
commercial storage or disposal facility must
attempt to contact the generator. If the owner or
operator cannot contact the generator of the PCB
wastes, he shall notify the RA of the EPA Region in
which the facility is located. Within 15 days after
receiving the unmanifested PCB waste, the owner
or operator must prepare and submit to the EPA
RA an unmanifested waste report prepared in
accordance with the requirements of §761.211 (c).
§761.211(a)
Note: The periods of record retention required by
§761.209 will be automatically extended during the
course of any outstanding enforcement action
regarding the regulated activity.
Verify that the commercial storage or
disposal facility has in place and
complies with the required manifest
discrepancy procedures. If the
discrepancy is not resolved within 15
days, verify that facility submitted a
letter describing the discrepancy to
the EPA RA.
If the facility has ever accepted
unmanifested waste after 4/4/90,
verify that an unmanifested waste
report was prepared and submitted to
the EPA RA in accordance with
§761.211. Check Regional records.
August 2004
5-114
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
5.8.5 Exception Reporting
Regulation Reference: §761.215
Regulatory Requirements
Inspection Procedures
Exception Reporting
A generator must file an exception report with the
EPA RA if the generator has not received a copy of
the manifest with the hand-written signature of the
owner or operator of the designated facility within
45 days of the date the waste was accepted by the
initial transporter. The exception report shall be
submitted to EPA no later than 45 days from the
date on which the generator should have received
the manifest. The exception report shall include
the following: §§761.215(a) and (b)
A legible copy of the manifest for which the
generator does not have confirmation of
delivery
A cover letter signed by the generator or his
authorized representative explaining the efforts
taken to locate the PCB waste and the results
of those efforts.
A disposer of PCB waste shall submit a One-year
Exception Report to the EPA RA for the Region in
which the disposal facility is located no later than
45 days from the end of the 1-year storage for
disposal date when the following occurs:
§761.215(c)
The disposal facility receives PCBs or PCB
Items on a date more than 9 months from the
date the PCBs or PCB Items were removed
from service for disposal, as indicated on the
manifest or continuation sheet.
Because of contractual commitments or other
factors affecting the facility's disposal capacity,
the disposer of PCB waste could not dispose
of the affected PCBs or PCB Items within 1
year of the date of removal from service for
disposal.
When inspecting facility records, if it is
determined that the generator had not
received a copy of the manifest with
the hand-written signature of the
owner or operator of the designated
facility within 45 days of the date the
waste was accepted by the initial
transporter for any waste shipments,
verify that the generator initiated an
exception report in conformance with
all exception report requirements.
If the disposer of PCB waste was
required to submit a One-year
Exception Report to the EPA RA,
verify that the report was submitted in
conformance with all exception report
requirements by reviewing the
facility's regional files and facility
records.
PCB Inspection Manual
5-115
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Exception Reporting
A generator or commercial storer of PCB waste
who manifests PCBs or PCB Items to a disposer
of PCB waste shall submit a One-year Exception
Report to the EPA RA for the Region in which the
generator or commercial storer is located no later
than 45 days from the date the following occurs:
§761.215(d)
The generator or commercial storer
transferred the PCBs or PCB Items to the
disposer of PCB waste on a date within 9
months from the date of removal from service
for disposal of the affected PCBs or PCB
Items, as indicated on the manifest or
continuation sheet.
The generator or commercial storer either has
not received within 13 months from the date of
removal from service for disposal a Certificate
of Disposal confirming disposal of the affected
PCBs or PCB Items on a date more than one
year after the date of removal from service.
The one-year exception report must include:
§761.215(e)
A legible copy of any manifest or other written
communication relevant to the transfer and
disposal of the affected PCBs or PCB Items
A cover letter signed by the submitter or an
authorized representative explaining:
(1) the date(s) when the PCBs or PCB Items
were removed from service for disposal;
(2) the date(s) when the PCBs or PCB Items
were received by the submitter of the report, if
applicable;
(3) the date(s) when the affected PCBs or PCB
Items were transferred to a designated
disposal facility;
(4) the identity of the transporters, commercial
storers, or disposers known to be involved with
the transaction; and
(5) the reason, if known, for the delay in
bringing about the disposal of the affected
PCBs or PCB Items within 1 year from the
date of removal from service for disposal.
If a generator or commercial storer of
PCB waste who manifests PCBs or
PCB Items to a disposer of PCB
waste was required to submit a one-
year exception report to the EPA RA,
verify that one-year exception report
was submitted in conformance with all
one-year exception report
requirements by reviewing Regional
records and facility records.
August 2004
5-116
PCB Inspection Manual
-------
Chapter Five
Regulatory Requirements and Inspection Procedures
Regulatory Requirements
Inspection Procedures
Exception Reporting
PCB/radioactive waste that is exempt from the
one-year storage for disposal time limit pursuant to
§761 .65(a)(1 ) is also exempt from the exception
reporting requirements of §761 .215 (c), (d), and
(e). §761.215(f)
5.8.6 Certificates of Disposal
Regulation Reference: §761.218
Regulatory Requirements
Inspection Procedures
Certificates of Disposal
For each shipment of manifested PCB waste that
the owner or operator of a disposal facility accepts
by signing the manifest, the owner or operator of
the disposal facility must prepare a Certificate of
Disposal for the PCBs and PCB Items disposed of
at the facility. The Certificate of Disposal must
include: §761.218(a)
The identity of the disposal facility, by name,
address and EPA identification number
The identity of the PCB waste affected by the
Certificate of Disposal including reference to
the manifest number for the shipment
A statement certifying the fact of disposal of the
identified PCB waste, including the date(s) of
disposal, and identifying the disposal process
used
A certification pursuant to §761.3.
The owner or operator of the disposal facility must
send the Certificate of Disposal to the generator
identified on the manifest which accompanied the
shipment of PCB waste within 30 days of the date
that disposal of the PCB waste identified on the
manifest was completed unless the generator and
the disposer contractually agree to another time
frame. §761.218(b)
The disposal facility must keep a copy of each
Certificate of Disposal among the records that it is
required to retain under 5761.180(b). 5761.218(c)
Verify that the disposal facility is in
compliance with all Certificate of
Disposal requirements.
Check disposal facility records for
dates the facility sent manifests to
generators. Compare these to the
dates of disposal on the Certificates of
Disposal. If over 30 days, ask facility
whether it had an agreement to use
another time frame. Obtain a copy of
the agreement if possible.
Verify that the disposal facility has
retained copies of all Certificates of
Disposal as required.
PCB Inspection Manual
5-117
August 2004
-------
Regulatory Requirements and Inspection Procedures
Chapter Five
Regulatory Requirements
Inspection Procedures
Certificates of Disposal
Generators of PCB waste must keep a copy of
each Certificate of Disposal that they receive from
disposers of PCB waste among the records they
retain under §761.180(a). §761.218(d)(1)
Commercial storers of PCB waste must keep a
copy of each Certificate of Disposal that they
receive from disposers of PCB waste among the
records they are required to retain under
§761.180(b). §761.218(b)(2)
Verify that the generator facility has
retained copies of all Certificates of
Disposal as required.
Verify that the commercial storage
facility has retained copies of all
Certificates of Disposal as required.
August 2004
5-118
PCB Inspection Manual
-------
Chapter Six Sampling
Chapter Six
Sampling
6.0 Sampling 6-1
6.1 Sampling Guidelines 6-1
6.2 Priorities for Sampling 6-2
6.3 Sample Collection 6-5
6.3.1 Sampling Collection Indicators 6-5
6.3.2 Sampling Plan 6-5
6.3.3 Standard Operating Procedures 6-6
6.3.4 Personal Protective Equipment 6-6
6.3.5 Suggested Sampling Equipment 6-7
6.4 General Considerations for Sampling 6-8
6.4.1 Samples: Number and Volume 6-9
6.4.2 Sample Preservation 6-10
6.4.3 Safety Procedures 6-10
6.5 Sample Documentation 6-11
6.5.1 Documentation of Precision and Accuracy 6-12
6.5.2 Chain-of-Custody 6-12
6.5.3 Sample Identification 6-14
6.5.4 Sample Seal 6-14
6.6 Sampling Strategies 6-15
6.7 Sampling Hazardous Materials 6-29
Tables
Table 6-1. Sampling Priority Table 6-3
Table 6-2. Suggested Sample Volumes from Inspectors and Program Office
based on Sample Type 6-9
Table 6-3. Guidance for Sampling Transformers, Heat Transfer Systems, and
Hydraulic Systems 6-16
Table 6-4. Guidance for Sampling Barrels and Drums 6-17
Table 6-5. Guidance for Sampling Drip Pans and Puddles 6-18
Table 6-6. Guidance for Surfaces Sampling 6-19
Table 6-7. Guidance for Destructive Sampling (defined in glossary) 6-20
PCB Inspection Manual 6-i August 2004
-------
Sampling Chapter Six
Table 6-8. Guidance for Sampling Surface Soil and Gravel 6-21
Table 6-9. Guidance for Taking Soil Core Samples 6-22
Table 6-10. Guidance for Sampling Water 6-23
Table 6-11. Guidance for Sampling Vegetation 6-26
Table 6-12. Composite Sampling 6-27
Table 6-13. Other Types of Sampling 6-28
Table 6-14. Sample Site Selection 6-29
August 2004 6-ii PCB Inspection Manual
-------
Chapter Six Sampling
6.0 Sampling
6.1 Sampling Guidelines
Inspectors should consider sampling for analysis an integral part of any PCB-related inspection.
The purpose of sampling is to verify the presence and concentration of PCBs. Since it is
impractical to sample everything that might contain PCBs, EPA has established sampling
guidelines intended to assist the inspector in making sampling determinations. These guidelines
set out general principles for sampling and prioritize the types of situations in which inspectors
should undertake sampling. The wide variety of field situations an inspector can encounter
make it impractical to specify in advance exactly when the inspector should or should not take
samples. In addition, sampling policies may vary among the Regions. Considering the
guidelines below and Region-specific policies, the inspector must make this determination.
1. Take a sample whenever one is needed to prove a potential violation.
This means obtaining a sample of any material that the inspector needs to verify as
containing PCBs. Sample results eliminate any uncertainty concerning whether or not
the material at issue is a PCB.
2. Sample only when there is reason to suspect PCB presence.
Unless there is some reason to believe that PCBs are present, there is little likelihood of
finding them through indiscriminate sampling. These general rules ensure the best case
preparation in all instances, but they are sometimes impractical to observe:
! On many inspections, an inspector would need to take a very large number of samples,
resulting in an unduly long inspection and an unreasonable backlog of sample analyses.
! In some instances, it is not possible or advisable for an inspector to take a sample. For
example, inspectors usually cannot sample transformers on poles, and should never
sample energized transformers.
3. Verify the presence of PCBs by sampling and other means.
The most common sources of such verification are the company's records, nameplate
or label information, and statements by company representatives. Such sources may be
contested, but experience to date indicates that they usually are not. Therefore,
sampling becomes less important when there is other evidence of the presence of
PCBs.
PCB Inspection Manual 6-1 August 2004
-------
Sampling Chapter Six
4. Always be sure that a laboratory is available and capable of providing reliable and
defensible analyses within the necessary time frame.
Verify with the laboratory prior to taking unusual samples or when anticipating the collection
of an unusually large number (>10) of samples as part of an inspection or investigation. The
laboratory should use an appropriate standard operating procedure (SOP) in conducting the
analysis.
6.2 Priorities for Sampling
The following table lists the order of priority for taking samples. These priorities are based on
the following:
! Potential exposure presented by the suspected violation
! Extent of the potential violation
! Need for independent proof of the presence of PCBs.
August 2004 6-2 PCB Inspection Manual
-------
Chapter Six Sampling
Table 6-1. Sampling Priority Table
(Level 1 is the highest priority, Level 7 is the lowest)
DISPOSAL VIOLATIONS
Level 1: Improper disposal (including leaks and spills)
MAJOR USE, STORAGE, MARKING, OR RECORDKEEPING VIOLATIONS
Level 2: Items bearing no indication ofPCB content that are suspected to contain PCBs
! Transformers
! Large containers
! More than ten 55-gallon drums
Level 3: Items claimed to be decontaminated that are suspected to contain PCBs
! Transformers
! Large tanks
Level 4: Other items claimed to be decontaminated that are suspected to contain PCBs
Level 5: Other unmarked or unidentified items that are suspected to contain PCBs
MAJOR STORAGE OR RECORDKEEPING VIOLATIONS
Level 6: Items bearing a mark or indication ofPCB content when the concentration is
unknown.
! Transformers
! Large tanks
! More than ten 55-gallon drums
Level 7: Other items bearing a mark or indication ofPCB content
The highest sampling priority is to prove disposal violations because they result in direct
environmental contamination and present the highest risk of human exposure.
! Level 1 includes sampling in all instances of improper disposal, including leaks and
spills, with priority for potential exposure to the public or potential to contaminate water,
food, or feed.
The next four levels involve major use, storage, marking, or recordkeeping violations. These
violations are grouped together because they often occur together.
! Level 2 calls for sampling in situations involving large amounts of material for which
there is no independent proof of the presence of PCBs. These situations involve a risk of
extensive environmental harm and require solid evidence.
! Level 3 calls for sampling in situations where large numbers of items are claimed to be
decontaminated. Although these situations pose a lower risk of environmental harm,
PCB Inspection Manual 6-3 August 2004
-------
Sampling Chapter Six
there is a need for solid evidence because companies are likely to dispute claims of PCB
presence.
! Level 4 involves sampling other items claimed to be decontaminated. The need for
evidence is high, but the risk of environmental harm is less than in Level 3, since the
amount of material involved will be smaller.
! Level 5 calls for the sampling of unmarked items suspected of containing PCBs.
Although there is a strong need for evidence in such cases, the risk of harm is lower
because smaller amounts of PCB materials will usually be involved.
The last group of priorities concerns situations where major storage or recordkeeping violations
are suspected involving items that bear some indication of PCB content (such as a label).
Sampling establishes concentration levels for determining compliance/noncompliance and the
extent of the violation for penalty purposes.
! Level 6 calls for sampling in situations where the risk of potential harm is high due to the
large amount of PCB material.
! Level 7 includes sampling in situations involving smaller amounts of PCB material.
Sampling is usually necessary where there is reason to determine compliance/noncompliance
with the ban on unauthorized manufacture, process, distribution in commerce, or use of PCBs.
Experience to date indicates that these violations are not usually encountered in routine
inspections. Therefore, these violations are not included in the priority list. Because of the
seriousness of such violations, the inspector should design in advance, in consultation with the
appropriate EPA personnel to include EPA Headquarters, a sampling plan to document
compliance/noncompliance.
Sampling is not required, in general, for situations involving only minor storage, marking, or
recordkeeping violations. In these instances, independent evidence of PCB presence, either
through records or marking, will usually exist. Moreover, the risk posed by these situations will
usually be relatively small. Unusual circumstances sometimes will necessitate sampling in
such cases. For example, the suspected violator may:
! Refuse access to records that would indicate PCB presence.
! Refuse to answer questions that would indicate PCB presence.
! Indicate, through past behavior or statements made to the inspector, reluctance to come
into compliance.
Such actions indicate a need for more comprehensive evidence. The decision whether or not to
sample in such situations rests with the inspector.
August 2004 6-4 PCB Inspection Manual
-------
Chapter Six Sampling
6.3 Sample Collection
The first step in any sample collection program is to determine the purpose of obtaining a
sample for laboratory analysis. Samples collected for determining the PCB level of possible
contaminated solvents or for establishing whether a transformer with unidentified dielectric fluid
contains PCBs will require different sampling considerations than samples collected to confirm
spills of PCBs or to identify the extent of PCB contamination of soil, surface water, or
groundwater resulting from spills or improper disposal.
6.3.1 Sampling Collection Indicators
Inspectors should generally obtain samples when direct physical evidence indicates that
contamination has taken place. Sample collection is in order when:
! Leaking PCB articles or equipment are present.
! Discoloration of soil adjacent to in-service or stored PCB articles, equipment, or
containers is present.
! Oil films, sheens, or sheets in standing water or on banks of nearby streams is present.
! Soils are highly saturated and groundwater contamination from PCB leakage is
suspected.
! The facility improperly stores PCB materials, such as rags and other debris.
! There is reason to believe PCBs are present in unmarked or improperly stored articles.
! Dead or stressed grass or other vegetation is present.
When sampling spills and/or leaks near equipment, the inspector should sample both the spill
area and the equipment to verify the source of the PCB contamination unless a PCB mark or
nameplate identifies the equipment as containing PCBs.
6.3.2 Sampling Plan
An effective sample collection program includes the development of a sample plan that is
consistent with the requirements of the Region's quality assurance plan and contains at least the
following items:
! An overall evaluation of the facility based on records of previous inspections and onsite
observations
! An evaluation of the risk to sampling personnel
! Identification of proper equipment and procedures for safe, effective sampling
! Laboratory availability, capacity, capability, and reliability
PCB Inspection Manual 6-5 August 2004
-------
Sampling Chapter Six
! Identification of representative sampling sites (properly identified photographs are helpful)
! Procedures to collect sufficient volumes of the PCB mixtures, water, soil, or sludge to
carry out the required analyses
! Procedures to preserve samples to maintain sample integrity (refer to sampling guidance
tables at the end of this chapter)
! Proper labeling of the sample containers (including the exact location where the sample
was taken)
! Procedures for identifying and handling potentially hazardous samples (PCBs in other
hazardous substances)
! Procedures for maintaining and documenting chain-of-custody.
Inspectors should record the time, date, location, type of sample, sampling method, and reasons
for obtaining the sample in their field logbook at the time of sample collection and, if possible,
photograph the sampled area. If it is impossible to take photographs, the inspector should draw
or sketch the contaminated area including a reference point. The drawing should indicate where
the inspector takes any samples. Specific procedures for collecting PCB samples are detailed
below.
6.3.3 Standard Operating Procedures
Specific regional procedures may exist on the collection of routine samples to ensure
consistency and reconstructability, as well as serving as a training guide for new inspectors.
Generally, these procedures take the form of SOPs. The inspector should review pertinent
SOPs prior to the inspection.
6.3.4 Personal Protective Equipment
The inspector may take the following personal protective equipment to an inspection and
sampling site depending on the situation. Please note that all equipment may not be available or
necessary depending on the inspection type.
! Full face, air purifying, negative pressure respirator with organics cartridge(s)
! Disposable PCB-resistant gloves
! Disposable footwear covers
! Safety glasses with side shields or goggles
! Disposable full-body coveralls impervious to PCBs
August 2004 6-6 PCB Inspection Manual
-------
Chapter Six Sampling
\ Hard hat
! Safety shoes/boots
! First-aid kit
! Other safety equipment specified by EPA and facility safety officers.
6.3.5 Suggested Sampling Equipment
The validity of PCB samples depends upon the integrity of sampling equipment. The following
guidelines should be observed:
! Use appropriate containers.
- Inspectors should use glass vials, bottles, or jars with Teflon-lined lids as
sample containers. If cap is not Teflon-lined, cover vial, bottle, or jar with
solvent-rinsed aluminum foil and cap. Do not use plastic as a primary
container for PCB samples. PCBs will absorb in most plastics and can
contaminate samples with plasticizers; however Teflon/Tedlar plastic
bags can be used in place of poly or vinyl plastic.
- An inspector may use new containers without additional treatment for
samples where only PCB concentrations at or above 1 ppm are of
concern. Keep the lids in place during storage and travel to the field. Do
not reuse sample containers.
- If the data objective is PCB concentration of less than 1 ppm, then clean the primary
sample container with three rinses of acetone followed by three rinses of hexane. It
is preferable that the laboratory that will conduct the analysis performs this rinsing.
! Prepare a field blank, which is an empty capped (and officially sealed) container of each
type used in a sampling exercise, and submit it to the laboratory as a quality control
check. Take this empty container to the sampling site, but do not uncap it. For surface
samples, submit as a control a piece of the swabbing material, treated with the solvent
used, in a vial or bottle.
! Choose from the following list of equipment customarily used to sample for PCBs:
Glass tubing or coliwassa samplers (solvent rinsed)
Glass pipettes, with squeeze bulbs
Disposable 10 ml pipettes and bulbs
Extra clean sample jars for scooping
Eye droppers
- Aluminum foil
- Container of solvent (hexane is recommended)
- Pharmaceutical grade gauze pads (3" x 3")
PCB Inspection Manual 6-7 August 2004
-------
Sampling Chapter Six
Stainless steel forceps (several)
Stainless steel or disposable cardboard templates (10 cm x 10 cm)
Stainless steel trowels, or Teflon scoops
Laboratory spatulas (precleaned)
- Soil coring devices (such as King-tube samplers, piston corers, or bulb planters)
- Flashlight
- Hammer and chisel
- Hole saw and drill
- Pruning shears
- Precleaned stainless steel buckets
- Disposable wiping cloths
- Plastic disposal bags
Plastic secondary container bags and official seals
Survey stakes
100 ft tape measure
Ice chests containing ice or ice packs and secured with padlocks (if required by the
laboratory)
Compass and maps
Duct tape
Subsurface water sampling equipment (such as pumps, siphons, and glass
sampling jars with attachments)
- Container of distilled water
- Stainless steel mixing bowls and spoons
- Peterson dredge, Ekman dredge, weighted bottom dredge
- 1/4" sieves
- Adjustable wrench or channel lock pliers
- Chain-of-custody forms
Sample labels
Evidence tape
Indelible markers.
! Take an adequate number of sampling tools (whether disposable or not) to each
inspection site to avoid having to decontaminate such implements in the field.
! Notify the laboratory receiving the samples prior to the inspection to ensure availability of
necessary analytical support.
6.4 General Considerations for Sampling
To minimize the likelihood of PCB spills and health hazards during sampling, the inspector
should:
! Avoid contamination of the outside of the sample container.
! Ensure that the cap is tightly affixed.
! Wipe stop cocks, hard surfaces, etc., when sampling is complete.
August 2004 6-8 PCB Inspection Manual
-------
Chapter Six
Sampling
\ Dispose of all contaminated sampling equipment or store the equipment for
decontamination.
The inspector should try to minimize the risk of cross-contamination at all times to protect
sample containers. If glass tubing or dipping vessels are used to collect a sample, the inspector
should use a separate clean unit for each sample and should not co-store samples suspected
of containing greater than 50 ppm with environmental samples where less than 1 ppm is of
interest.
Inspectors should not use tools (e.g., adjustable wrenches or channel lock pliers) on any of the
facility's equipment. If necessary, the inspector should request that the facility representative
use the facility's tools (e.g., to open a transformer drain cock).
6.4.1 Samples: Number and Volume
The inspector should prepare a field blank for each type of container used to collect samples
and submit it to the laboratory as a quality control check. The inspector should also collect one
duplicate sample for every ten samples collected.
Collect a sufficient volume of each sample obtained to perform all the required PCB analyses
and to provide for any quality control needs, split samples, or repeat testing. The size of the
sample depends on the type of material and the analyses to be performed. Suggested amounts
required for each sample type are listed below.
Table 6-2. Suggested Sample Volumes from Inspectors and
Program Office based on Sample Type
Sample Type
Transformer oil and other
homogeneous PCB mixtures (i.e.,
hydraulic oil or heat transfer oil)
Nonhomogeneous PCB mixtures,
including waste oil
Soil, sludge, sediment
Water
Water-oil mixtures
Solid PCB mixtures
(nonhomogeneous, e.g., pigments)
Surfaces
Required
Volume
100ml
3x25 ml -35 ml
Approximately 250 g (Yz
Ib)
4L
3x100 ml
3x50g
3 cm x 1 0 cm x 1 0 cm areas
PCB Inspection Manual
6-9
August 2004
-------
Sampling Chapter Six
The inspector may collect the lower sample volume for uses where the target level is in the 50
ppm or greater range. Collect larger volumes where samples will be analyzed to identify
environmental levels (1 ppm). The inspector should consult the laboratory in such cases.
The inspector may encounter some situations (e.g., condensate in natural gas lines or residual
oil from drained drums) where the recommended sample size is not available; in these cases,
the inspector should sample as feasible.
6.4.2 Sample Preservation
PCBs are normally stable in oil, soil, and surface samples, but the laboratory may require some
or all of the following sample preservation procedures. To minimize the effects of temperature,
pH, and bacterial action, protect all samples from high temperatures and sunlight. Keep water
and other environmental samples (target levels < 1 ppm) below 4» C. Arrange for freezing of all
soil, surface, and vegetation if lengthy storage periods are necessary before transfer to the
laboratory. According to 40 CFR 136.3, the maximum holding time for samples to be analyzed
for PCBs is seven days until extraction and 40 days after extraction.
6.4.3 Safety Procedures
The inspector should observe all facility safety requirements. In addition, the inspector should
take special precautions, including the following, to avoid contact with PCBs or exposure to the
fumes from hot PCBs:
! Wear clean or new disposable PCB-resistant gloves, coveralls, and safety goggles while
taking samples suspected to contain PCBs.
! Wear disposable shoe covers when entering areas known or suspected to be
contaminated with PCBs.
! Dispose of gloves, shoe coverings, and other disposable protective garments in a plastic
bag after use. Final disposition of these items should be the same as for PCBs.
! Do not enter an area where there is an odor of fumes, solvents, or PCBs, unless wearing
a full-face canister-type respirator.
! Ask facility personnel to obtain a sample, if required, from transformers. Observe and
fully document the entire sample collection procedure. Photograph activities if possible.
! Do not attempt to obtain samples from transformers that are in operation or service.
August 2004 6-10 PCB Inspection Manual
-------
Chapter Six Sampling
! Ask facility personnel to obtain a sample, if required, from operating heat transfer
systems. Have the liquid drained directly into the sample bottle, and leave the bottle open
until cool enough to handle.
! Do not insist on samples of transformer or heat transfer system liquids if the facility is
uncooperative, or if the sampling expertise is not available, but note in the report the
problem and the reason for requesting a sample.
! Observe the safety regulations of the facility.
! Note that PCBs may pose a greater risk to pregnant women and nursing mothers.
! Leave power substations immediately when raining/lightning.
Treatment for PCB Contact with Skin
PCBs on the skin are likely not particularly hazardous if washed off within one-half hour.
! Do not touch and contaminate food or drink.
! Clean PCBs off skin and dispose of the wiping material as PCBs.
! Wash with soap and water.
! If PCBs get into the eyes, flush with water for several minutes and get immediate
medical attention.
! If skin is blistering or symptoms of chloracne occur, see a physician immediately.
Polychlorinated dibenzofurans are possible components of some PCB mixtures
and may cause these symptoms.
6.5 Sample Documentation
Sample documentation procedures include the means of establishing both chain-of-custody and
the precision, accuracy, and representativeness of the samples. The procedures discussed
below cover the basic elements that should be a part of all sample documentation procedures
for PCB inspections. Inspectors should also become familiar with any additional or different
documentation procedures required by their Regional office. These procedures are designed to
assure that an inspector will be able to testify that a particular sample was drawn from a
particular location at a particular time, describe the procedures that were used to obtain the
sample, and explain how the integrity of the sample was secured.
PCB Inspection Manual 6-11 August 2004
-------
Sampling Chapter Six
6.5.1 Documentation of Precision and Accuracy
Field Measurement and Sampling Process. The inspector should follow the Region's quality
assurance project plan (QAPP) for collecting and handling samples and performing field
measurements in the sampling process. The inspector uses the field logbook to record the
procedures undertaken during sampling. The documentation should identify:
! Type of sample matrix
! Exact location where each sample was collected
! Types of sample containers used for each parameter or group of parameters
! Sample container preparation process
! Sample collection process
! Sample preservation and handling
! Type and frequency of calibration and maintenance of field analytical procedures
! Calibration and maintenance of field instruments
! Identification and documentation of samples
! Custody of samples collected
! Decontamination of sampling equipment
! Date and time when each sample was collected.
6.5.2 Chain-of-Custody
The purpose of chain-of-custody procedures is to be able to trace possession of a sample from
the time it was collected until the time it is introduced as evidence in a legal proceeding. Case
development personnel should be able to demonstrate that none of the samples involved have
been tampered with or contaminated during collection, transit, storage, or analysis. The various
handlers should maintain an accurate written record to trace the possession of each sample
from the moment of collection through its introduction as evidence. The concept of custody
requires the maintenance of several procedures to ensure the authentication of the sample.
These procedures begin with the identification of the sample and continue through the laboratory
analysis process.
! Establishing Custody. Sample custody is initiated at the time of collection by sealing the
sample with an official seal. The inspector should place evidence tape onto the sample
and initial and date the tape in ink/waterproof pen.
! Preparing Sample Documentation. The inspector and lab personnel must prepare the
documentation. Properly maintained, this documentation will serve as a clear and
complete account indicating that the sample offered into evidence was the same one that
was collected.
August 2004 6-12 PCB Inspection Manual
-------
Chapter Six Sampling
The documentation includes the entries in the inspector's field logbook, the Official
Sample Seal, and the Chain-of-Custody Record (see Appendix O for blank sample seals
and a Chain-of-Custody Record). The inspector needs to assure that the relationship
between the physical sample and the related documentation is clear, complete, and
accurate. The sample number, date, and inspector's initials should appear on all
documents, and the inspector should fully and accurately complete all forms.
! Ensuring custody during transit. Shipment of samples to the laboratory should involve
the following procedures:
Samples must be accompanied by the Chain-of-Custody Record. The originator
retains copies of documents.
- If sent by common carrier, the inspector must obtain and keep a bill of lading.
- The inspector must keep all receipts and shipping documents and include them in
the Chain-of-Custody documentation.
! Initiating Chain-of-Custodv Record. Inspectors initiate the process that controls and
records access to the sample once it has left their possession by filling out the Chain-of-
Custody Record. The sample number relates the sample to the Chain-of-Custody
Record which accompanies the sample through all the processing stages.
! Field Logbook Entry. The inspector's entry in the field logbook is the principal reference
for the sample. Note this record may be maintained electronically such as in a PC tablet.
The following information should be included about each sample collected:
Sample identification number
- Any other unique identifying marks on the container
- Date and time of collection
- Type of matrix (e.g., oil, sludge, sediment, etc.)
- Description of specific location of collection
- Collection method (should include collection equipment; field analytical equipment;
and all calculations, results, and calibration data for field sampling analytical and
physical measurement equipment. All sampling and field analyses must be traceable
to the type of equipment used and the inspector who did the work.)
Rationale for selecting the sample and representativeness considerations
Description of any deviations from standard protocols
- A note regarding provision to the facility of duplicate or split samples, if appropriate.
PCB Inspection Manual 6-13 August 2004
-------
Sampling Chapter Six
6.5.3 Sample Identification
Tag each sample container immediately upon collection with a standard EPA sample tag. In
some cases, particularly with biological samples such as vegetation, the tag may have to be
included with or wrapped around the sample. Fill out appropriate sample tag and/or field data
sheet.
The following basic considerations govern identification of samples:
! Use one sample number for each sample. Assign only one number to one sample
consisting of several subsamples or units.
! Inspectors may seal subsamples in a single bag if they are part of one sample and if
adequate packaging protection is provided.
! The inspector must include sample numbers on all documentation relating to a sample:
official seals, Chain-of-Custody Records, drawings, or photographs.
6.5.4 Sample Seal
Once the inspector collects and tags the sample, the inspector should place its container inside
a plastic bag. The inspector should first write her/his name or initials and the date on the bag
and then turn the bag inside out to prevent any means of tampering with its contents. Place the
sample inside the inverted bag, then tape it closed in a secure manner with the Official Sample
Seal (EPA Form 7500-2). Blank sample seals are provided in Appendix O. Seal the sample
container or wrapper so that it may not be opened at any point without breaking the seal and/or
the original unit package. Do not seal more than one sample under one seal. The inspector
may choose to use evidence tape as well. If it becomes necessary to break a seal, mount the
seal on a piece of paper, properly initial and date it, and submit it with sample records to provide
a continuous history. Reseal the sample with a new seal.
If the company declares a physical sample as confidential business information (CBI), the
inspector should mark the seal "Confidential Business Information". Transfers of TSCA CBI
must be conducted through the facility's DCO, in accordance with the following procedures:
! Inspectors may not deliver samples to a laboratory. Samples can only be mailed by: 1)
inspectors cleared by the TSCA CBI DCO (this is on a case-by-case basis) to deliver
samples/documents, or 2) by inspectors who are TSCA CBI DCO's.
! Inspectors must take the samples to their regional TSCA CBI DCO, who can deliver the
samples to a CBI cleared laboratory for analysis.
For more details on how to transfer CBI materials, please refer to the TSCA Confidential
Information Security Manual.
August 2004 6-14 PCB Inspection Manual
-------
Chapter Six Sampling
6.6 Sampling Strategies
EPA has developed guidance related to sampling strategies for 761 Subparts M, O, P, and R.
This guidance provides an excellent source for inspectors developing a sampling strategy. The
guidance is titled Sampling Guidance for 40 CFR 761 Subparts M, O, P and R and is available
at http://www.epa.gov/pcb/guidance.html. The following tables provide additional information on
sampling strategies.
PCB Inspection Manual 6-15 August 2004
-------
Sampling
Chapter Six
Table 6-3. Guidance for Sampling Transformers,
Heat Transfer Systems, and Hydraulic Systems
CAUTION: Do not sample electrically live transformers or systems by yourself. If samples
are required, experienced facility personnel should take them in the presence of the inspector
and should use the facility's, not the inspector's, tools. The inspector should fully witness and
document the procedures followed in obtaining these samples.
Equipment ! PPE - Disposable coveralls, footwear covers, safety goggles and
disposable PCB-resistant gloves (one pair per sample)
! 40 ml volatile organic analysis (VOA) vials with Teflon (TFE)-lined 1 ml
caps
! Secondary sample container bags, custody seals, and custody forms
! Disposable wiping clothes
! Plastic disposal bags
! Container labels and indelible pens
! Flashlight
! Disposable 10 ml pipettes and bulbs
! Extra clean sample jars for scooping.
A sample from a transformer or system drain cock is assumed to be
representative of the entire system.
Transformer drain cock *
System drain cock *
! Expansion tank drain cock *
! Reservoir tank (hydraulic system)
Note: (1) Hydraulic fluid may also be sampled from barrels in storage
or from drip pans and puddles.
(2) De-energized transformers may be sampled by unlocking
the top cover or opening the refilling port.
Volume ! 25 - 35 ml
Procedures ! Use the PPE listed above.
! Have the facility personnel open the drain cock because it may be
difficult to reclose.
! Drain 25 - 35 ml into the container.
! Identify, officially seal, and log samples. Place samples in an ice
chest."
! Wipe spills from the sampling point.
! Place contaminated equipment in a plastic bag for disposal or
decontamination.
* Beware drain cocks may be difficult to reclose.
Placing samples in an ice chest is recommended when dealing with PCBs.
Site Selection
Sampling
Points
August 2004
6-16
PCB Inspection Manual
-------
Chapter Six Sampling
Table 6-4. Guidance for Sampling Barrels and Drums
Since pure PCBs and chlorinated solvents used to dilute PCBs in electrical fluids are heavier
than water, these materials will sink in water. However, PCBs in petroleum solvents as
waste oils or rinsing solutions will be lighter than water and will float. For this reason, to the
degree possible, drums of liquids suspected of containing PCBs should be representatively
sampled from the top to the bottom.
Equipment ! PPE - Disposable coveralls, disposable PCB-resistant gloves (one pair
per sample), footwear covers, and respiratory protection
! New glass tubing or coliwassa sampler
! Suitable size glass bottles with TFE-lined caps (new containers may
be used as received)
! Secondary sample container bags, official seals, and custody forms
! Sample labels and indelible pens.
Volume ! As appropriate to the volume of the sample. Collect three samples
from the drum, if nonuniformity is evident.
Procedures ! Use the PPE listed above.
! Open the sample container.
! Insert the glass sampler into a drum to just above the bottom of the
drum or until solids are contacted. Allow the sampler to fill as the tub is
lowered. Cap the sampler.
! Remove the sampling device.
! Place the bottom end of the sampler into the sample container and let
the sample slowly drain by removing the cap.
! Identify, officially seal, and log samples. Place samples in an ice
chest.*
! Decontaminate sampling equipment and dispose of the waste.
Placing samples in an ice chest is recommended when dealing with PCBs.
PCB Inspection Manual 6-17 August 2004
-------
Sampling
Chapter Six
Table 6-5. Guidance for Sampling Drip Pans and Puddles
Drip pans and puddles may be present under equipment drains, barrel stop cocks, etc.
Equipment ! PPE - Disposable PCB-resistant gloves (one pair per sample),
disposable coveralls, footwear covers, and safety goggles
! 40 ml VOA vials with TFE-lined 1 ml caps (new containers may be
used as received)
! 25 ml clean glass sample containers (new containers may be used as
received)
! Glass pipette and squeeze bulb
! Eye dropper
! Clean sampling spatula
! Secondary sample container bags, custody seal, and custody forms
! Disposable wiping cloths
! Plastic disposal bags
! Sample labels and indelible pens.
Site Selection
Volume
Procedures
Obtain a sample from the center of the pan or puddle.
25 ml (or whatever available, if less). Collect three samples, if the
liquid is nonhomogenous.
Use the PPE listed above.
Using a pipette, draw approximately 25 ml by means of a squeeze
bulb. NEVER PIPETTE BY MOUTH. Use a separate pipette for each
sample.
Deposit the sample in a 40 ml VOA vial. Cap the container.
Identify, officially seal, and log samples. Place samples in an ice
chest.*
Wipe any spills from the sampling point.
Place contaminated equipment into a plastic bag for disposal or
decontamination.
Placing samples in an ice chest is recommended when dealing with PCBs.
August 2004
6-18
PCB Inspection Manual
-------
Chapter Six
Sampling
Table 6-6. Guidance for Surfaces Sampling
Take wipe samples of any smooth surface that is considered relatively nonporous (e.g.,
metal, glass, or enameled wood). Take destructive samples of hard porous surfaces (e.g.,
cement, brick, asphalt, or bare wood). See also the definition of standard wipe test under
§761.123.
Equipment
Site Selection
Procedures
PPE - Disposable PCB-resistant gloves (one pair per sample),
disposable coveralls, footwear covers, and safety goggles
Gauze pads (3" x 3" pharmaceutical grade)
40 ml VOA vials with TFE-lined caps (new containers may be used as
received)
Stainless steel forceps
Container of hexane (e.g., eyedropper bottle)
Steel template or disposable cardboard template (10 cm x 10 cm)
Plastic disposal bags
Secondary sample container bags, official seals, and custody forms
Sample labels and indelible pens
If the area of suspected contamination is small, take three co-located
samples from the center of area, if possible. If large (e.g., a spill site),
see Sample Site Selection.
Use the PPE listed above.
Identify in the field logbook the size and location of the areas to be
sampled. Photograph the area, if possible.
Dip gauze pad into hexane or wet thoroughly with eyedropper.
Using stainless steel forceps or a disposable rubber glove to hold the
wool or pad, thoroughly swab a 100 cm2 sample area as identified with
the template. Swab in horizontal direction with one side of the
swabbing material and repeat in the vertical direction with the other
side.
Place the pad in a clean sample container. Cap the container.
Identify, officially seal, and log samples. Place samples in an ice
chest.*
Place contaminated equipment into a plastic bag for disposal or
decontamination.
At the end of the sampling prepare a control blank by going through the
entire procedure without swabbing the surface.
Placing samples in an ice chest is recommended when dealing with PCBs.
PCB Inspection Manual
6-19
August 2004
-------
Sampling
Chapter Six
Table 6-7. Guidance for Destructive Sampling (defined in glossary)
Equipment
PPE - Disposable PCB-resistant gloves (one pair per sample),
disposable coveralls, footwear covers, and safety goggles
Full face piece, supplied air (as specified by OSHA regulation 29 CFR
Part 1915)
8 oz glass jars with TFE-lined caps
Hammer, chisel, drill, or hole saws
Clean glass sample bottle
Aluminum foil
Plastic disposal bags
Secondary sample container bags, official seals, and custody forms
Sample containers labels and indelible pens.
If the area of suspected contamination is small, take three samples
from the center. If the area is large (e.g., a spill site), follow the
procedures outlined in Sample Site Selection in this chapter.
Use the PPE listed above.
Remove a sufficient sample for analysis (consult with the laboratory).
Place samples of less than 1 cm in glass sample jars (8 oz) and cap
or solvent-rinsed aluminum foil. Aluminum foil packets should be
identified and placed in a secondary plastic bag.
Identify, officially seal, and log samples. Place samples in an ice
chest.*
Place contaminated equipment into a plastic bag for disposal or
decontamination.
Placing samples in an ice chest is recommended when dealing with PCBs.
Site Selection
Procedures
August 2004
6-20
PCB Inspection Manual
-------
Chapter Six
Sampling
Table 6-8. Guidance for Sampling Surface Soil and Gravel
Equipment ! PPE - Disposable PCB-resistant gloves (one pair per sample),
disposable coveralls, footwear covers, and safety goggles
! Disposable or cleaned aluminum or Teflon scoop (washed with soap
and water, rinsed with distilled water, acetone and hexane, and
wrapped in aluminum foil)
! 8 oz glass sample containers, with TFE-lined caps (New container
may be used as received if PCB levels of concern > 1 ppm.)
! Secondary sample bags, custody seals, and custody forms
! Plastic disposal bags
! Stainless steel templates or disposable cardboard template (10 cm x
10cm)
! Sample container labels and indelible pens
Site Selection ! If the area of suspected contamination is small (less than 10 sq ft),
collect three samples from near the center of the area. In larger areas
(e.g., a spill site), follow the procedures outlined in Sample Site
Selection in this chapter.
Volume ! 250 grams (approximately 1/> Ib)
Procedures ! Use the PPE listed in Section 6.3.4 of this chapter.
! Remove foil from the sampler. Scoop to a depth of approximately 1
cm.
! Collect three 250 gram samples. Deposit them in a sample container.
Cap the container.
! Identify, officially seal, and log samples. Place samples in an ice
chest.*
! Place contaminated equipment into a plastic bag for disposal or
decontamination.
Placing samples in an ice chest is recommended when dealing with PCBs.
PCB Inspection Manual
6-21
August 2004
-------
Sampling
Chapter Six
Table 6-9. Guidance for Taking Soil Core Samples
Equipment
PPE - Disposable PCB-resistant gloves (one pair per sample),
disposable coveralls, footwear covers, and safety goggles
Piston core, bulb planter, hand auger, or King-tube sampler
New or clean sample containers of sufficient size to contain a cored
sample of 5 cm (8 oz glass jar with TFE-lined cap or prepare an
aluminum field packet)
Aluminum foil (solvent-rinsed if environmental levels (< 1 ppm) are of
concern)
Secondary sample bags, custody seals, and custody forms
Full face, negative pressure respirator, if necessary, for highly
contaminated or enclosed area
Plastic disposal bags
Sample containers labels and indelible pens
If the area is small, core samples should be taken at the center and
edge of the area. In larger areas (e.g., a spill site), follow the
procedures outlined in Sample Site Selection in this chapter.
Cores of 5 cm should be taken initially. If there is visible contamination
at the 5 cm level, deeper samples should be taken. Analytical results
may also indicate the need for deeper samples to be taken later.
Use the PPE listed in Section 6.3.4 of this chapter.
Take at least three surface samples as previously described.*
Use the corer to obtain a 5 cm sample. Displace compacted surface
soil with a trowel or laboratory spatula if necessary.
Extrude the sample into hexane-rinsed foil and wrap.
Label the top and bottom of the sample.
Place the sample in a container. Cap the sample container.
Identify, officially seal, and log samples. Store the samples in an ice
chest."
Place contaminated equipment into a plastic bag for disposal or
decontamination.
Very high surface concentrations of PCBs may easily contribute to cross-
contamination at lower depths during sampling, thus the results of surface sampling
will indicate this possibility and the need to resample using a more sophisticated or
careful technique.
Placing samples in an ice chest is recommended when dealing with PCBs.
Site Selection
Volume
Procedures
August 2004
6-22
PCB Inspection Manual
-------
Chapter Six
Sampling
Table 6-10. Guidance for Sampling Water
Water sampling requires special attention. Because of the chemical properties of PCBs and
because other substances may be in the water, PCBs may be present as a surface film
(particularly when PCBs are dissolved in hydrocarbon oils) or sink to the bottom (particularly
when PCBs are in askarel or other heavier-than-water materials). When a surface film is
suspected (or visible), sample the water surface. Otherwise, take the water sample near the
bottom.
Equipment
Volume
Site Selection
Procedures
PPE - Disposable PCB-resistant gloves (one pair per sample),
disposable coveralls, footwear covers, and safety goggles
Cleaned, capped sample containers (4 L bottles or jars with TFE-lined
caps)
Peterson dredge
Ekman dredge
Weighted bottom dredge
3-gallon hexane-rinsed steel bucket
Plastic disposal bags
Disposable wiping cloths.
4 Liters.
Surface Water Samples
Stagnant, standing water (puddles, ponds, impoundments, etc.)
Use the PPE listed in Section 6.3.4 of this chapter.
Slowly lower a tilted wide-mouth sample jar or bottle into the water until
the water begins to run into it.
Slowly turn the bottle upright keeping the lip just under the surface of
the water so that the whole sample is surface water.
Carefully lift the bottle out of the water and cap. Wipe the outside of the
bottle with disposable wiping cloths.
Identify, officially seal, and log the sample. Store samples in an ice
chest.*
Place contaminated equipment into a plastic bag for disposal or
decontamination.
Placing samples in an ice chest is recommended when dealing with PCBs.
PCB Inspection Manual
6-23
August 2004
-------
Sampling
Chapter Six
Table 6-10. Guidance for Sampling Water (continued)
Site Selection
Procedures
Subsurface Samples
In moving water, choose the most turbulent area where the greatest
amount of mixing is taking place. Avoid quiescent areas. In still water,
choose areas that appear to have an oil film on the surface.
Use the PPE listed in Section 6.3.4 of this chapter.
Immerse a sealed wide-mouth sample jar (1 L jar is recommended) to
the required depth.
Remove the bottle top to let the air escape and the bottle fill.
Transfer the sample into a precleaned sample container (4 L jar or
bottle). Repeat as necessary to fill sample container. Wipe the
container with disposable wiping cloths.
Use a separate dipping vessel for each sample to prevent cross-
contamination.
Identify, officially seal, and log samples. Store samples in an ice
chest.*
Place contaminated equipment into a plastic bag for disposal or
decontamination.
Groundwater
Note: Take these samples only in consultation with a groundwater hydrological
laboratory.
Site Selection
Procedures
Collect samples from a water well located downgradient from the area
of suspected contamination.
Use the PPE listed in Section 6.3.4 of this chapter.
Open the tap on the supply line from the well (or hand pump the well).
Let water run about 2-3 minutes at full flow.
Fill and cap the sample container.
Seal, identify, and log samples. Store samples in an ice chest*
Place contaminated equipment into a plastic bag for disposal or
decontamination.
Placing samples in an ice chest is recommended when dealing with PCBs.
August 2004
6-24
PCB Inspection Manual
-------
Chapter Six
Sampling
Table 6-10. Guidance for Sampling Water (continued)
Site Selection
Procedures
Sediment (Bottom Samples)
Take samples from the same area that surface samples were taken.
Use the PPE listed in Section 6.3.4 of this chapter.
For lakes and slow-moving streams, use a weighted bottom dredge.
For hard bottoms of sand, gravel, etc., use a Peterson dredge; for soft
bottoms, use an Ekman dredge.
Collect the sample.
Empty the contents into a hexane-rinsed 3-gallon steel bucket. Stir to
mix thoroughly. Pass the slurry through a 1/4 inch mesh sieve if
necessary to remove sticks, leaves, etc.
Allow the sediment to settle.
Slowly pour off water.
Transfer 1 liter of the sediment to a clean, wide-mouth sample jar. Cap
the jar.
Identify, officially seal, and log samples. Place samples in an ice
chest.*
Place contaminated equipment into a plastic bag for disposal or
decontamination.
Placing samples in an ice chest is recommended when dealing with PCBs.
PCB Inspection Manual
6-25
August 2004
-------
Sampling Chapter Six
Table 6-11. Guidance for Sampling Vegetation
The sample design or visual observation may indicate that samples of vegetation (e.g., tree
leaves, bushes, and flowers) are required.
Equipment ! PPE - Disposable PCB-resistant gloves (one pair per sample),
disposable coveralls, footwear covers, and safety goggles
! Pruning shears, heavy duty scissors, or other suitable tools
! Cleaned glass sample containers (8 or 16 oz jars with TFE-lined caps)
! Plastic disposal bags
! Sample containers labels and indelible pens
! Secondary sample bags, custody seals, and custody forms.
Procedures ! Use PPE listed above.
! Place sufficient material (usually about 250 grams or Y2 pound) into a
clean glass sample jar. Cap.
! Identify, officially seal, and log samples. Place samples in an ice
chest.*
! Place contaminated equipment into a plastic bag for disposal or
decontamination.
Placing samples in an ice chest is recommended when dealing with only PCBs.
August 2004 6-26 PCB Inspection Manual
-------
Chapter Six
Sampling
Table 6-12. Composite Sampling
Compositing is the pooling of several discrete samples from different areas to form one
sample for chemical analysis; usually, only soils lend themselves to this approach. In many
circumstances, it may be desirable to composite samples to reduce the number of (often
costly) analyses.
The following PCB regulation subparts specify compositing procedures for the analyses
regulated by those subparts.
§761 Subpart
Compositing Procedures
Subpart O-Sampling to Verify Completion of
Self-Implementing Cleanup and On-Site Disposal of Bulk
PCB Remediation Waste and Porous Surfaces in
Accordance with §761.61 (a)(6)
Subpart P-Sampling Non-Porous Surfaces for
Measurement-Based Use, Reuse, and On-Site or Off-Site
Disposal Under §761.61 (a)(6) and Determination Under
§76179(b)(3)
Subpart R-Sampling Non-Liquid, Non-Metal PCB Bulk
Product Waste for Purposes of Characterization for PCB
Disposal in Accordance With §761.62, and Sampling PCB
Remediation Waste Destined for Off-Site Disposal, in
Accordance With §761.61
§761.289
§761.310
§761.350
PCB Inspection Manual
6-27
August 2004
-------
Sampling Chapter Six
Table 6-13. Other Types of Sampling
For other types of sampling, such as that conducted under §761.130, the following
compositing procedures may be used. These suggested strategies for compositing
samples are taken from PCB spill sites sampled using the grid sampling methods described
in the Field Manual for Grid Sampling of PCB Spill Sites to Verify Cleanup (May 1986),
available on the EPA webpage http://www.epa.gov/pcb/guidance.html. Consult with the
laboratory prior to compositing to ensure regulatory levels can be validly achieved.
! Composite only samples of the same type (i.e., all soil or all water). Since the
composite must be thoroughly mixed to ensure homogeneity, do not composite certain
types of samples, such as asphalt, wipe samples, and other hard-to-mix matrices.
! Do not form a composite with more than 10 samples, since in some situations
compositing a greater number of samples may lead to such low PCB levels in the
composite that the recommended analytical method approaches its limit of detection
and becomes less reliable.
! Keep in mind that the PCB concentration of interest (e.g., regulatory or clean-up level)
for the composite will be equal to:
Regulatory or clean-up concentration level
Number of samples in composite
It must be assumed that one sample at the target regulatory or clean-up level could be
diluted by the remainder of the samples, which may be nondetectible or at very low
levels with respect to the PCB concentrations.
! For each type of sample, determine the number of composites to be formed using the
table below.
Number of Samples Number of Composites
2-10 1
11-20 2
21-30 3
31-37 4
As much as possible, try to form composites of equal size. For example, if 37 soil
samples are taken, then 4 composites could be formed using 9, 9, 9, and 10 samples
apiece.
To the extent possible, composite adjacent samples. If residual contamination is
present, it is likely that high PCB levels will be found in some samples taken close
together.
August 2004 6-28 PCB Inspection Manual
-------
Chapter Six Sampling
Table 6-14. Sample Site Selection
Regulated facilities conducting sampling must follow the procedures set out in §761 Subparts
M through R where the sampling activities are within the scope and applicability of those
subparts. For example, a facility conducting abandonment-in-place or removal and disposal
off-site of a natural gas pipeline in accordance with §761.60(b)(5) must use the procedures in
Subpart M to select surface sampling sites for determining the pipe's PCB surface
concentration. For further guidance on sample site selection, see:
! Sampling Guidance for 40 CFR 761 Subparts M, O, P and R;
\ Verification of PCB Spill Cleanup by Sampling and Analysis', and
! Field Manual for Grid Sampling of PCB Spill Sites to Verify Cleanup.
All are available at the EPA webpage http://www.epa.gov/pcb/guidance.html.
6.7 Sampling Hazardous Materials
During sampling, inspectors handle hazardous materials and are subject to Department of
Transportation (DOT) requirements applicable to handling, packaging, and shipping hazardous
material samples. Information regarding these requirements and where training for these
procedures is available can be found in EPA's Fact Sheet titled the Department of
Transportation Hazardous Materials Training (see Appendix P).
PCB Inspection Manual 6-29 August 2004
-------
Sampling Chapter Six
Blank Page
August 2004 6-30 PCB Inspection Manual
-------
Chapter Seven Post-Inspection Activities
Chapter Seven
Post-Inspection Activities
Page
7.0 Post-Inspection Activities 7-1
7.1 Introduction 7-1
7.2 Inspection Follow-up 7-1
7.3 The Inspection Report 7-2
7.3.1 Objectives 7-2
7.3.2 Time Frame for Preparing the Inspection Report 7-3
7.3.3 Confidential Business Information Considerations 7-3
7.3.4 Elements of the Inspection Report 7-3
7.3.5 Practical Tips for Report Preparation and Writing 7-5
7.4 What To Do With the Completed Inspection Report 7-6
7.5 Data Entry 7-6
7.6 Appearing as a Witness 7-7
PCB Inspection Manual 7-i August 2004
-------
Post-Inspection Activities Chapter Seven
Blank Page
August 2004 7-ii PCB Inspection Manual
-------
Chapter Seven Post-Inspection Activities
7.0 Post-Inspection Activities
7.1 Introduction
The effectiveness of a PCB compliance inspection is dependent on many factors, including the
thoroughness of the inspection, the evidence collected by the inspector, and the cooperation of
the facility being inspected. Critical to the success of the inspection process are two steps that
follow the inspection itself:
! Conducting necessary follow-up activities at the conclusion of the inspection
! Preparing the inspection report
! Ensuring data is entered into the appropriate databases.
This chapter addresses inspection follow-up activities (Section 7.2), the preparation of the
inspection report (Section 7.3), and what to do with the completed inspection report (Section
7.4). It also includes tips for developing narrative language for the inspection report.
Some of the actions described above may change as new technologies (e.g., handhelds,
notebook computers) are implemented. These technologies may enable inspectors to complete
their inspection reports in the field; however, the information regarding the elements that should
be included in the report and the practical tips for report writing and preparation will continue to
be applicable.
7.2 Inspection Follow-up
Prior to preparing the inspection report, the inspector should gather all data collected during the
inspection, including records and reports and other supporting evidence (e.g., photographs,
samples, affidavits, laboratory analyses reports, and the field logbook and/or other inspection
notes). The inspector should review the information, noting any gaps or discrepancies, and
refresh her/his memory of the entire inspection process. The inspector may need to fill in gaps
by a phone call to the facility or, if necessary, by a follow-up visit. The inspector may also use
written requests to collect additional information. Requests for supplemental data should specify
a time frame for a response.
The inspector should conduct any necessary follow-up activities to answer outstanding
questions and obtain relevant documents. The inspector should also collect information that
clarifies the data already in the inspector's possession and include the additional and/or clarifying
information in the inspection report (see Section 7.3.4). Other follow-up can be through EPA
Headquarters (late reports, etc.), other contacts suggested onsite, or other program offices, if
warranted.
PCB Inspection Manual 7-1 August 2004
-------
Post-Inspection Activities Chapter Seven
In some instances, the inspector may have identified potential violations of other statutes. In this
case, the inspector should refer this information to the applicable EPA or State program office or
other Federal or State agency.
7.3 The Inspection Report
The primary function of the inspection report is to serve as the main document upon which the
Division Director or other delegated authority will base enforcement decisions concerning the
facility. The inspector's role in the preparation of the report is to be as accurate and inclusive as
possible in recording the events that occurred and the observations that were made during the
inspection. The following guidance on preparing the PCB inspection report includes objectives
of the report (Section 7.3.1), the time frame for preparing the report (Section 7.3.2), CBI
considerations (Section 7.3.3), and report elements (Section 7.3.4).
The inspection report should present a complete and factual record of the inspection process
from opening conference, through the inspection itself, to closing conference. The inspector
should keep in mind that the report should contain enough information about the facility and the
inspection (as well as observations made during the inspection) to enable the Division Director
or other delegated authority to make enforcement decisions pertaining to the subject facility and
to develop a case, as necessary.
7.3.1 Objectives
As the inspector prepares the report, she/he should have the following objectives in mind:
! To include in the report all of its basic elements (see Section 7.3.4), ensuring that
the report contains copies of relevant forms and documents as appendices, and
the narrative component of the report references those forms and documents
! To substantiate with as much evidence as possible each potential violation of
PCB regulations cited in the report (including location, type and size of PCB
equipment in violation, size and description of spills, and nature of the suspected
violation)
! To ensure that any documents and/or photographs are appended to the report
and referenced in the narrative component of the report. (This is necessary so
that the Division Director or other delegated authority know how the data relates
to the inspection.)
! To write the report in clear and concise language
! To present factual and accurate information pertaining to all steps in the
inspection process from opening to closing conference and follow-up
August 2004 7-2 PCB Inspection Manual
-------
Chapter Seven Post-Inspection Activities
\ To make only those observations that are based on firsthand knowledge of the
facility since enforcement personnel must be able to depend on the accuracy of
all information
! To include only information that is relevant to the facility and its compliance with
PCB regulations. (Irrelevant facts can interfere with enforcement decision-
making.)
7.3.2 Time Frame for Preparing the Inspection Report
The inspector should prepare the inspection report as soon as possible following the inspection.
EPA recommends that the report be completed within 45 days of the inspection. However, the
actual amount of time will depend on the ability to obtain any additional required information in a
timely fashion. This time frame should be sufficient to conduct necessary follow-up and to
prepare the report.
7.3.3 Confidential Business Information Considerations
While preparing the inspection report, the inspector should keep in mind that some or all of the
data gathered during the inspection may be CBI, if claimed as such by the facility. Under normal
circumstances, a report may be released to the public in response to a Freedom of Information
Act (FOIA) Request, unless the report falls under a FOIA exemption, such as law enforcement.
On the other hand, if the inspection report contains CBI, those portions of the inspection report
must be treated in accordance with CBI procedures and not released under FOIA. In preparing
the inspection report, it is recommended that the inspector reference CBI in a non-confidential
manner (i.e., by Document Control Number and a general description of the information
contained in the document). Note, inspection reports may be released after the case file is
closed.
7.3.4 Elements of the Inspection Report
Although inspection reports may vary in general content and format, there are certain elements
that should be contained in each inspection report to ensure that necessary information is not
inadvertently overlooked. The basic components of the inspection report are discussed below.
The inspection report should be a concise account of observations made and activities
undertaken during the inspection, from opening conference to closing conference and follow-up.
The inspector should use the field logbook and an inspection checklist (if one was used) to
develop the narrative. These tools can help the inspector recall and include in the narrative
important details concerning the inspection. Inspectors should include and note in the report any
information submitted by the company as a result of the inspection.
PCB Inspection Manual 7-3 August 2004
-------
Post-Inspection Activities Chapter Seven
The following is suggested information that may be included in the inspection report. The
inspector is encouraged to include additional information in the inspection report as may be
necessary.
! Title Page
! Index
! Facility Information
Company name, address, and telephone number
EPA Federal Registry System (FRS) ID Number
Primary NAICS/SIC code
DUNS number
Number of employees
Type of facility
Parent company name and address
Primary areas of business
! Inspection Conduct Information
Type of inspection conducted
Date and time of inspection
Responsible official's name, title, and telephone number
Name of EPA inspector(s) (Identify lead inspector if there is more than
one inspector.)
Other facility participants
Person to whom the inspector presented his credentials
Person to whom the inspector provided the Notice of Inspection
Narrative of the inspector's observations regarding
compliance/noncompliance with the regulations.
! Administrative Exhibits
The inspector should attach, as exhibits to the inspection report, all
documentary evidence that supports the observations made during the
inspection (and which should be described in the report narrative, as
appropriate). The inspector should be sure that any data attached to the
report as an exhibit is labeled as such and is mentioned within the
narrative. Also, the inspector should prepare an index of exhibits (or
attachments) listing the name and the location of each exhibit. This index
should precede the exhibits and serve as a reference for enforcement
personnel. Exhibits the inspector should include are: Notice of Inspection,
Inspection Confidentiality Notice, Declaration of Confidential Business
Information, Laboratory Analyses, Receipt for Samples and Documents,
and other evidence.
! The inspector's signature with date.
The inspection report should not include any statements concluding that violations of PCB
regulations exist.
August 2004 7-4 PCB Inspection Manual
-------
Chapter Seven Post-Inspection Activities
7.3.5 Practical Tips for Report Preparation and Writing
The style of the inspection report should be clear, concise, accurate, factual, fair, complete, and
logical. The inspector should write the report in such a way as to eliminate the possibility of
erroneous conclusions, inferences, or interpretations. The report will become part of the
permanent records for the facility, along with the samples, formal statements, photographs, and
other pieces of evidence. A well-written report will serve as a summary of these other records.
In general, three rules apply to the preparation of good inspection reports:
! Write to express, not to impress. The inspector should include only facts and
evidence that are relevant to the compliance situation.
! Keep the report simple. The inspector should discuss complicated matters in
organized, simple, direct terms.
! Keep the reader in mind. The inspector should use writing, language, and terms
familiar to the reader.
Keeping these rules in mind, the inspector should follow these basic steps when preparing to
write the inspection report:
! Review the information. As the first step, the inspector should collect and review
all information gathered during the inspection, including inspection report forms
and checklists. The inspector should then review the information for relevance
and completeness. If the inspector identifies gaps, he or she can make follow-up
telephone calls or, if necessary, conduct a follow-up inspection.
! Organize the material. There are several different methods available for
organizing the inspection data. Whatever the method, the inspector should
present the material in a logical, comprehensive manner and organize it so it is
easily understood.
! Reference accompanying material. The inspector should clearly reference all
pieces of evidence (e.g., copies of records, analytical results, and photographs)
that accompany the report so that the reader can locate them easily. The
inspector should check supporting documents for clarity prior to writing.
When developing the narrative language portion of an inspection report, the inspector should:
! Ensure that the reader is able to readily ascertain the following information from
the narrative:
The persons who participated in the inspection (i.e., identity of each facility
representative and inspector)
A brief description of the facility being inspected (i.e., what it manufactures
and/or imports, physical size of plant, number of buildings, etc.)
Verification that all required notices and receipts were completed and
issued as required and are attached to the report
PCB Inspection Manual 7-5 August 2004
-------
Post-Inspection Activities Chapter Seven
The actions taken and observations made during the inspection which
establish compliance status
The evidence (e.g., documents, photographs) that was collected during
the inspection.
! Include the facility information, inspection conduct information, and inspection
results within the narrative.
! Consider the types of information necessary to prove the circumstance and
extent of noncompliance as shown in the PCB Penalty Policy, which can be
found on the following website:
http://www.epa.gov/Compliance/resources/policies/civil/tsca/.
In writing the report, the inspector should record in a factual manner the procedures used in, and
the findings resulting from, the evidence-gathering process. The report should refer to routine
procedures and practices used and describe in detail the facts relating to potential
noncompliance and discrepancies, but should not suggest or conclude that there may be or are
potential violations.
7.4 What To Do With the Completed Inspection Report
After the inspector files the inspection report, the supervisor or designated senior inspector
reviews it and sends it to the case development officer (CDO). If a case is issued and does not
settle out-of-court, the inspector may need to appear as a witness in court.
7.5 Data Entry
In addition to writing the inspection report, the inspector should submit required information for
EPA's data tracking system. PCB inspectors must enter or provide appropriate information to
data entry staff.
Inspectors must complete the Inspection Conclusion Data Sheets (ICDS) forms immediately
after completing the inspection. If inspectors enter the ICDS information directly into ICIS they
may include the ICDS information in their inspection notes without filling the actual form. Refer
to Appendix D for information on Inspection Conclusion Data Sheets (ICDS). Current
information on ICDS is found in the EPA inspector website at
http://intranet.epa.aov/OECA/OC/CAMPD/inspector.
Finally, it is important that inspection data is submitted to the FIFRA/TSCA Tracking System
(FTTS). FTTS is a regional system used to track compliance activities such as inspections,
case review, enforcement actions taken, and samples collected. Compliance monitoring and
enforcement activities are tracked from the time an inspector conducts an inspection until the
time the case is closed.
August 2004 7-6 PCB Inspection Manual
-------
Chapter Seven Post-Inspection Activities
7.6 Appearing as a Witness
The majority of cases that the EPA files result in out-of-court settlements that will not usually
require the inspector's testimony. However, in cases that do not settle, the inspector may be
called upon to be a "fact witness," or one who describes personal knowledge obtained through
one of the five senses. Throughout the enforcement process, everything an inspector hears,
sees, samples, or records may become evidence about which he or she may be questioned.
Many cases are tried years after the field and laboratory activities have been conducted. Thus,
the inspection report and field notebook should be sufficiently detailed and legible to allow the
inspector to reconstruct the inspection "on the record." See Appendix Q for detailed information
regarding preparing to testify; legal etiquette, appearance, and demeanor; and testifying during
deposition, direct examination, and cross-examination.
PCB Inspection Manual 7-7 August 2004
-------
Post-Inspection Activities Chapter Seven
Blank Page
August 2004 7-8 PCB Inspection Manual
-------
Appendices
-------
Blank Page
-------
Appendix A Inspection Forms
Appendix A
Inspection Forms
The following pages contain blank Notice of Inspection, TSCA Inspection Confidentiality Notice,
and Declaration of Confidential Business Information forms. See Chapter 2 for more detailed
information regarding these forms. These forms may be obtained by calling the EPA
Headquarters warehouse in Cincinnati, Ohio at (513) 489-8190.
PCB Inspection Manual A-1 August 2004
-------
Inspection Forms
Appendix A
1. INVESTIGATION IDENTIFICATION
DATE INSPECTOR'S NO. DAILY SEQ. NO.
2. INSPECTOR'S ADDRESS
3. FACILITY NAME
4. FACILITY ADDRESS
US ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, DC 20460
TOXIC SUBSTANCES CONTROL ACT
NOTICE OF INSPECTION
For Internal EPA Use. Copies may be provided to recipient as acknowledgment of this notice.
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 premises in which chemical substances or mixtures, articles containing same are manufactured, pro-
cessed, stored or held before or after their distribution in commerce (including records, files, papers, processes, controls, and
facilities) and any conveyances 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 are applicable to the chemical substances, mixtures, or articles within, or associated with, such premise or
conveyance have been complied with.
In addition, this inspection extends to (check appropriate blocks):
A. Financial data V^ D. Personnel data
V^ B. Sales data V^ E. Research data
\4 C. Pricing data
The nature and extent of inspection of such data specified in A through E above is as follows:
INSPECTOR'S SIGNATURE
NAME
TITLE
DATE SIGNED
RECIPIENTS SIGNATURE
NAME
TITLE
DATE SIGNED
EPA FORM 7740-3 (REVISED JULY 1997) CORE TSCA PREVIOUS VERSIONS ARE OBSOLETE
Recipient's COPY
August 2004
A-2
PCB Inspection Manual
-------
Appendix A
Inspection Forms
£^ US ENVIRONMENTAL PROTECTION AGENCY
S9 WASHINGTON, DC 20460
'O'EPA
TOXIC SUBSTANCES CONTROL ACT
TSCA INSPECTION CONFIDENTIALITY NOTICE
1. INVESTIGATION IDENTIFICATION
DATE INSPECTION NO. DAILY SEQ. NO.
2. INSPECTOR'S NAME
3. INSPECTOR'S ADDRESS
4. FACILITY NAME
5. ADDRESS
6. NAME OF CHIEF EXECUTIVE OFFICER
7. TITLE
For Internal EPA use Copies may be provided to recipient as acknowledgment of this notice.
TO ASSERT A TSCA CONFIDENTIAL BUSINESS INFORMATION CLAIM
It is possible that EPA will receive public requests for release of the information
obtained during the inspection of the facility cited above. Such requests will be
handled by EPA in accordance with provisions of the Freedom of Information
Act (FOIA), 5 USC 552; 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 in response to FOIA requests unless the EPA
Administrator determines that the data is entitled to confidential treatment, or
may be withheld from release under other exceptions of FOIA.
Any or all information collected by EPA during the inspection may be claimed
as confidential if it relates to trade secrets, commercial, or financial matters
that you consider to be confidential business information (CBI). If you assert a
CBI claim, EPA will disclose the information only to the extent, and by means
of the procedures set forth in the regulations (cited above) governing EPA's
treatment of CBI. Among other things, the regulations require that EPA notify
you in advance of publicly disclosing any information claimed as CBI.
A CBI claim may be asserted at any time prior to, during, or after the
information is collected. This notice was developed by EPA to assist you in
asserting a CBI claim. If it is more convenient for you to assert a CBI claim
on your own stationary or by making the individual documents or samples
"TSCA confidential business information," it is not necessary for you to use
this notice. The inspector will be glad to answer any questions you may have
regarding EPA's CBI procedures.
While you may claim any collected information or sample as CBI, such claims
are not likely to be upheld if they are challenged unless the information meets
the following criteria:
1. Your company has taken measures to protect the confidentiality of the
information and it intends to continue to take such measures.
TO BE COMPLETED BY FACILITY OFFICIAL RECEIVING THIS NOTICE
I acknowledge receipt of this notice:
SIGNATURE
NAME
TITLE DATE SIGNED
2. The information is not, and has not been, reasonably obtainable without
your company's consent by other persons (other than governmental
bodies), or by use of legitimate means (other than 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 make claims that
some or all of the information is CBI.
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 documents, samples, and other
materials to the Chief Executive Officer of your company within 2 days of this
date. The Chief Executive Officer must return a statement specifying any
information which should receive CBI treatment.
The statement from the Chief Executive Officer should be addressed to:
and mailed by registered, return-receipt requested mail within 7 calendar days of
receipt of this notice. Claims may be made at any time after the inspection, but
the inspection data will not be entered into the TSCA/CBI security system until an
official confidentiality claim is made. The data will be handled under EPA's routine
security system unless and until a claim is made.
If there is no one on the premise who is authorized to make CBI claims for this
facility, a copy of this notice and other inspection materials will be sent to the
company's Chief Executive Officer. If there is another official who should also
receive this information, please designate below.
NAME
TITLE
ADDRESS
EPA FORM 7740-4 (Revised July 1997) PREVIOUS VERSIONS ARE OBSOLETE
INSPECTOR'S COPY
PCB Inspection Manual
A-3
August 2004
-------
Inspection Forms
Appendix A
'O'EPA
US ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, DC 20460
TOXIC SUBSTANCES CONTROL ACT
DECLARATION OF CONFIDENTIAL BUSINESS INFORMATION
1. INVESTIGATION IDENTIFICATION
DATE
INSPECTION NO.
DAILY SEQ. NO.
2. COMPANY NAME
3. INSPECTOR ADDRESS
4. COMPANY ADDRESS
For internal EPA use. Copies of this form may be provided to recipient as acknowledgment of TSCA Confidential documents described below collected in connection
with the administration and enforcement of the Toxic Substances Control Act.
INFORMATION DESIGNATED AS CONFIDENTIAL BUSINESS INFORMATION
NO.
DESCRIPTION
INSPECTOR SIGNATURE
CLAIMANT SIGNATURE
NAME
NAME
TITLE
DATE SIGNED
TITLE
DATE SIGNED
EPA FORM 7740-2 (REVISED JULY 1996)
PREVIOUS VERSIONS ARE OBSOLETE
INSPECTOR'S COPY
August 2004
A-4
PCB Inspection Manual
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
\ / WASHINGTON, D.C, 20460
'fJ% njcyijdd IIMK
-------
For your information, here is a summary of the Policy's major points:
EPA compliance inspectors are encouraged to provide appropriate general, and limited
site-specific, compliance assistance, consistent with the primary purpose of compliance
determination. The Policy provides examples of general and site-specific compliance
assistance.
The Policy is not intended to address every inspection scenario or situation. The Policy
does not supplant the need for prudent judgement by EPA inspectors, based on their
knowledge, experience, and expertise.
EPA inspectors should not provide site-specific interpretive technical assistance during
compliance inspections.
EPA inspectors should not provide site-specific interpretive legal assistance during
compliance inspections.
EPA inspectors should not make applicability determinations in the field.
Specific activities occurring during the inspection should be documented and reported
after the inspection, including potential violations, actions taken to address potential
violations, and compliance assistance provided.
Facilities receiving compliance assistance are not shielded from possible enforcement
actions for violations identified during the compliance inspection.
Please distribute this policy widely throughout the organization to all EPA employees,
EPA contractors, and EPA grantees that conduct inspections. If you have questions, please call
the Compliance Assessment and Media Programs Division (CAMPD) at 202-564-2300.
Attachments: National Policy: A) Background and Sources of Information; and B) U.S. EPA
Compliance Assistance Resources
Addressees: Regional Enforcement Division Directors, Regions 1, 2, 4, 6, and 8
Regional Science and Technology Division Directors, Regions 1-10
Regional Media Division Directors, Regions 1-10
Regional Enforcement Coordinators, Regions 1-10
Regional Compliance Assistance Coordinators, Regions 1-10
David S. Evans, Director, Oil Program Center
Steve Page, Director, Office of Air Quality Planning and Standards
Brian McLean, Director, Office of Atmospheric Programs
James Jones, Director, Office of Pesticide Programs
Charles Auer, Director, Office of Pollution Prevention and Toxics
Debbie Dietrich, Director, Chemical Emergency Preparedness and Prevention
Office
-------
Robert Springer, Director, Office of Solid Waste
Cliff Rothstein, Director, Office of Underground Storage Tanks
Cynthia Dougherty, Director, Office of Ground Water and Drinking Water
James A. Hani on, Director, Office of Wastewater Management
Diane Regas, Director, Office of Wetlands, Oceans and Watersheds
cc: Phyllis Harris, Principal Deputy Assistant Administrator, OECA
Steve Shimberg, Associate Assistant Administrator, OECA
Michael Stahl, Director, OC
Lisa Lund, Deputy Director, OC
OC Division Directors and Branch Chiefs
Walker B. Smith, Director, ORE
David Nielsen, Deputy Director, ORE
ORE Division Directors
Leo D'Amico, Director, OCEFT
OCEFT Division Directors
Gerald A. Bryan, Director, NETI
Mary-Kay Lynch, Director, OPPAC
David Kling, Director, FFEO
Diana Love, Director, NEIC
Anne N. Miller, Director, OFA
Susan E. Bromm, Director, OSRE
-------
NATIONAL POLICY
The Role of the EPA Inspector in Providing Compliance Assistance During Inspections
Summary of
Policy The main purpose of EPA conducting compliance inspections is to determine
compliance with environmental regulations and enforcement agreements.
This policy clarifies, but does not change, the existing practice of providing
appropriate compliance assistance during inspections (recent results from the
Inspection Conclusion Data Sheet project indicate that inspectors currently
provide assistance during 75% of compliance inspections). This policy applies
during the course of the on-site compliance inspection and only to EPA inspectors
as defined under the Inspection Process section. Here is a summary of the main
points:
EPA compliance inspectors are encouraged to provide appropriate general,
and limited site-specific, compliance assistance, consistent with the
primary purpose of compliance determination, as time allows. Examples
of general and site-specific compliance assistance are provided in the
Policy.
The Policy is not intended to address every inspection scenario or
situation. The Policy does not supplant the need for prudent judgement by
EPA inspectors, based on their knowledge, experience, and expertise.
EPA inspectors should not provide site-specific interpretive technical
assistance during compliance inspections.
EPA inspectors should not provide site-specific interpretive legal
assistance during compliance inspections.
EPA inspectors should not make applicability determinations in the field.
EPA inspectors should only provide assistance on state requirements that
are identical to federal environmental regulations.
Specific activities occurring during the inspection should be documented
and reported after the inspection, including potential violations, actions
taken to address potential violations, and compliance assistance provided.
Facilities receiving compliance assistance are not shielded from possible
enforcement actions for violations identified during the compliance
inspection.
Facilities are subject to potential enforcement action, even if they correct
potential violations observed during the compliance inspection.
-------
This policy was developed based on information sources (Attachment A), tips
from a Region III inspector, comments from the Regions/HQ offices, and the
Region VII Documentation Guidelines for Compliance Related Field Activities.
Index
This Policy includes the following:
Introduction
Inspection process
Definition for this policy
Appropriate general assistance
Inappropriate assistance
Site-specific examples
Documentation
Reporting
Introduction In 1997, a workgroup of Headquarters and regional compliance inspectors and
managers was formed to discuss and report on the proper role of the EPA
inspector in providing compliance assistance. The workgroup developed a report
that was circulated to the Regions. However, the 1997 report was never
communicated as a national policy that EPA inspectors should follow. It was
issued only as a guide. This national policy document supercedes the 1997
report.
This national policy describes the appropriate role of the EPA inspector when
providing compliance assistance. The Regions and HQ offices played a significant
role in formulating this revised policy. Their comments are incorporated in this
final Policy.
Inspection
Process
During every compliance inspection, EPA inspectors (i.e., EPA employees,
contractors, and SEE enrollees, as well as state and tribal inspectors using federal
credentials to conduct inspections) are tasked primarily with determining
compliance and, secondarily, with determining the appropriate level of
compliance assistance to provide to the facility being inspected. Generally, an
EPA inspector conducts the following activities during an inspection:
presents credentials and gains access to the facility;
identifies a facility representative with knowledge and authority to answer
questions, and conducts interviews with various facility personnel;
announces the purpose of the inspection and, in some cases, presents a
notification of inspection;
takes environmental samples when appropriate;
reviews a variety of records, reports, and other written documentation;
conducts an on-site review of the physical buildings, processes, pollution
-------
control equipment, and monitoring practices;
makes notes of observations and interviews and takes photographs; and
conducts a closing or exit conference.
At any time during these activities, the EPA inspector could be asked general
and/or site-specific compliance-related questions. This policy provides guidance
to EPA inspectors on how to respond to these questions and what types of
assistance should, and should not be, provided.
Caution: If the facility fixes or corrects potential violation(s) observed during the
inspection, the EPA inspector should make note of it in the inspection report.
However, the facility is still subject to an enforcement action if the potential
violation is deemed appropriate, and there is ample evidence documenting it.
Under no circumstances should the EPA inspector tell the facility that it is
exempt from enforcement actions if the facility corrects or fixes potential
violations observed during the inspection.
Definition for
this Policy While EPA has a broader definition of Compliance Assistance for other
purposes, this policy defines compliance assistance as:
Providing tools or regulatory assistance to the facility during an on-site
compliance inspection to help the facility understand and comply with
federal environmental regulations/requirements.
Compliance assistance for this policy does not include the following two
situations:
EPA inspectors may observe situations where there are significant
problems that rise to the level of an imminent and substantial
endangerment to human health or the environment. If the inspector
believes such a situation exists, he/she must notify the facility during the
inspection and refer the facts to the appropriate office for subsequent
action. This is an obligation EPA inspectors assume as part of their
normal duties.
EPA inspectors may share information about, or provide a review of the
compliance status of the facility including a preliminary evaluation of
some, but possibly not all, of the potential violations observed during the
closing conference. These preliminary findings could change at a later
date subject to research, management or legal review, or new information
received by the Agency. This information is part of the routine
compliance and enforcement process and is not considered compliance
assistance.
-------
Regional and HQ inspection programs vary on whether EPA inspectors
share initial inspection results, and even final inspection reports, with
facility owners/operators. This national policy does not alter these existing
regional or HQ inspection program practices or policies.
Appropriate
General
Assistance EPA compliance inspectors are encouraged to provide general compliance
assistance during the compliance inspection. The following examples illustrate
appropriate general compliance assistance during inspections:
Providing physical copies of environmental statutes or regulations,
conveying a general explanation of where to obtain the regulatory
requirements, and providing information on where to find regulatory
interpretations (e.g., CAA Applicability Determination Index);
Providing information including prepared guidance, manuals, and
technology transfer documents;
Providing information on what assistance can be obtained from EPA,
State, local assistance programs, trade associations, and other
organizations;
Informing facilities regarding the physical equipment or processes and
reports and/or records they need to maintain, as well as a general idea of
what these documents should contain to ensure compliance;
Distributing the small business information sheet with information on web
sites, hotlines, and other materials;
Providing prepared literature on pollution prevention techniques and
opportunities, environmental management practices, and innovative
technologies;
Providing information on visible compliance problems (e.g., labeling, aisle
space), which do not pose any issues of first impression requiring legal or
technical interpretation by the inspector, potentially enabling the facility to
undertake quick action to remedy the non-compliance problem;
Providing facilities with the website for the EPA Audit Policy and Small
Business Policy to encourage self-auditing;
Providing suggestions from published material developed and recognized
by EPA on simple techniques and concepts to reduce or eliminate
pollution (e.g., housekeeping tips);
-------
Sharing information from published material developed and recognized by
EPA on control practices and equipment used within a specific sector to
comply with environmental regulations and potentially reduce their
regulatory burden;
Providing information published material developed and recognized by
EPA on recognized industry or sector-based practices and concepts to
reduce or eliminate pollution (e.g., chemical substitution, equipment
changes);
Explaining regulations or guidance that describe how to collect a sample,
but not providing advice on the number or location of samples necessary
to meet "representative" criteria; and
Mentioning to regulated facilities that state requirements, which may apply
to them, may be different than federal requirements.
Inappropriate
Assistance EPA inspectors should not provide site-specific interpretive technical assistance,
nor should they provide site-specific interpretive legal assistance during
compliance inspections. Legal assistance involves providing advice to the facility
on how to deal with EPA or the state on a potential violation or enforcement
action, or stating that no action will be taken if potential violations are corrected
by the facility.
Examples of inappropriate site-specific technical and legal assistance that should
NOT be provided during EPA compliance inspections include:
Providing information on specific commercial consultant services, or
recommending a specific product or consultant providing a service;
Providing interpretive site-specific legal or technical advice on how a site
or facility can achieve compliance with environmental regulations;
Providing interpretations that do not already exist in writing or are not
written agency policy;
Providing determinations of whether a facility, unit, waste, or piece of
equipment is subject to federal environmental requirements, providing
regulatory interpretations, or approving alternative monitoring approaches.
These are typically known as applicability determinations;
Providing specific design information on a facility's particular problem,
engineering design, or materials management process;
-------
Divulging information that could be classified as confidential business
information;
Advising on technical solutions, such as process changes that should be
made or types of equipment that should be purchased; and
Offering opinions on recommendations made by others, particularly state,
tribal, or local inspectors. EPA inspectors should only provide assistance
on state requirements that are identical to federal environmental
regulations.
The above examples are not appropriate for the following reasons:
Complexity - Due to the scope of regulatory requirements, routine changes to
manufacturing processes, technological advances, and limited time for reviewing
and observing on-site procedures and practices, EPA inspectors may not always
have the information and time needed to provide appropriate compliance
assistance. Also, the facility owner or operator may provide EPA inspectors with
incorrect or misleading information. This lack of, or incorrect, information may
lead the EPA inspector to make statements that do nothing to improve the
facility's operations or its ability to achieve compliance with environmental
requirements.
Potential legal implications - It may affect the Agency's ability to develop and
prosecute civil and criminal enforcement actions. For example, if a facility relied
upon assistance that the EPA inspector provided to initiate action to achieve
compliance and a subsequent enforcement action was taken for non-compliance or
imminent and substantial endangerment resulting from that assistance, it could
cause problems in successfully prosecuting the case and achieving environmental
compliance. The Office of Regional Counsel or Office of Regulatory
Enforcement should be consulted if this issue arises during, or after, a compliance
inspection.
Potential to develop new policy in the field - Policy decisions at one facility can
have a precedential effect on all other facilities. It is important that EPA
inspectors follow established procedures for developing national compliance and
enforcement policies. EPA inspectors may not have all of the facts or the
authority necessary to make policy decisions in the field. They may need to
consult existing guidance and obtain technical advice to ensure consistency on
how to address the issue, which may not be available during the inspection.
Site-Specific
Examples The following examples are provided to assist the EPA inspector in identifying
appropriate and inappropriate site-specific assistance during a compliance
inspection. These examples are illustrative only and do not represent the entire
-------
spectrum of all possible site-specific compliance assistance situations.
Example 1 - Missing Labels: An inspector on a tour of a facility observes a
number of electric transformers on-site. The transformers have no labels posted
on them. The inspector inquires as to the type of transformers. The plant operator
states that the transformers contain polychlorinated biphenyls (PCBs).
Appropriate assistance
The inspector tells the facility, "the regulations require that you will need to put
labels on transformers containing PCB's. The labels must say 'Caution Contains
PCBs and other specific language.'" The inspector directs the facility to the
specific regulatory citation for the exact wording for the labels.
Inappropriate assistance
The inspector either places the labels on the transformers for the facility or
recommends a specific company or brand of label by saying, "here is X company
who sells and can provide you with the correct labels."
Example 2 - Open Containers - In the aerosol fill area of a facility, the
inspector observes a 55-gallon satellite accumulation container that is open. The
inspector verifies that the container is full. A plant operator informs the inspector
that the container is used to collect spent line flushing solvent (lacquer thinner)
used to wash paint out of the fill equipment. The inspector asks the plant operator
if the spent solvent is classified a hazardous waste by the company. The plant
operator affirms it is classified a hazardous waste.
Appropriate assistance
The inspector tells the facility, "the regulations specify that you need to make sure
containers holding hazardous waste that are full are closed except when it is
necessary to add or remove waste." The inspector directs the facility to the
specific regulatory citation requiring the containers to be closed. The inspector
also discusses standard industry practices from published material developed and
recognized by EPA to ensure proper handling of hazardous waste.
Inappropriate assistance
The inspector tells the facility that if it fails to keep containers holding hazardous
waste closed, it will have to change its process to avoid generating the waste.
Alternatively, the inspector suggests a different process design for the facility that
will allow waste to be generated but will keep the containers closed. The
inspector advises the facility on how to avoid penalties for drums remaining open.
Example 3 - Sludge Deposits - The state waste water permit for a facility
requires that "[w]aters shall be free from substances in sufficient amounts to cause
formation of putrescent, unsightly, or harmful bottom deposits." At the facility's
outfall, the inspector observes the receiving stream to have 4-5 inches of sludge
deposit at the bottom, as well as significant bloodworm populations. After
-------
discussion with the facility, the facility operator signs a statement that the facility
has been losing solids to the stream for four months due to an increased organic
load from a meat packing company.
Appropriate assistance
The inspector inquires whether there are other discharges from the facility, what
treatment processes and controls are in place to prevent solids from reaching the
outfalls, and what problems have occurred. The inspector asks the facility about
its understanding of permit conditions regarding sludge deposits in the receiving
stream, and whether the facility is meeting its permit conditions. The inspector
tells the facility that it should limit solids reaching the outfall to meet its state
permit requirements. The inspector directs the facility to the specific permit
language regarding protection of the receiving stream and to agency guidance
discussing wastewater requirements and various treatment methods for solids.
Inappropriate assistance
The inspector tells the facility it will have to stop accepting waste from the meat
packing plant to meet the permit limits. Alternatively, the inspector suggests a
different process design for the facility that will prevent solids from reaching the
outfall. The inspector advises the facility on how it can renegotiate its permit with
the state.
Example 4 - Chromate Coating Process - A steel plant facility states it is
"galvanizing" steel with a 55% aluminum and 45% zinc coating followed by a
chromate dip. The inspector consults the EPA development document and
concludes that the chromate coating process is actually "electroplating" and that
residues from treating the spent chromate solution would be a listed hazardous
waste. If the process is defined as "electroplating", the facility could have
significant noncompliance with hazardous waste requirements.
Appropriate assistance
The inspector asks the facility what processes and controls it has in place for
handling the spent chromate solution. The inspector inquires whether the facility
has looked into whether the spent chromate solution requires special handling as
hazardous waste, what it found, and the rationale for operating the controls that
are currently being implemented. The inspector asks the facility to explain why it
determined that the process is "galvanizing" rather than "electroplating".
The inspector tells the facility that there are some questions about the process,
specifically its definition of the process as "galvanizing" rather than
"electroplating". The inspector states that an applicability determination will have
to be made, after a review and research, as part of evaluating the facility's
compliance status and consultation with EPA management and legal counsel. The
Agency may also request additional information about the process.
The inspector directs the facility to available agency, state, or local materials and
-------
websites dealing with galvanizing, electroplating, and chromate coating processes,
such as the Metal Finishing Compliance Assistance Center (1-800-AT-NMFRC or
http://www.nmfrc.orgl the Self-Audit and Inspection Guide for Facilities
Conducting Cleaning, Preparation, and Organic Coating of Metal Parts (EPA 305-
B-95-002, August 1998), and/or the CAA Applicability Determination Index at
http ://www. epa. gov/Compliance/planning/data/air/adi. html.
Inappropriate assistance
The inspector tells the facility it needs to stop operating the galvanizing process
until the Agency determines whether the operation generates a hazardous waste.
Alternatively, the inspector advises the facility to modify its process to allow it to
be defined as a "galvanizing" process.
Example 5 - Record keeping - An inspector observes that a facility did not
maintain good air emission monitoring records over a two-year period. The
managers at the facility had a system to record readings from their continuous
monitoring system, but no one at the facility had direct responsibility to ensure the
readings were properly recorded every day. A review of the records revealed that
a daily report was being used for several days of readings. The standards
specifies separate records for each 24-hour period.
Appropriate assistance
The inspector tells the facility: "the underlying standards clearly specify that
separate records must be maintained for each 24-hour period." The inspector
directs the facility to the standards requiring the record keeping requirements.
Inappropriate assistance
The inspector tells the facility that to ensure the records are maintained it should
include the responsibility in the plant engineer's job description.
Documentation EPA inspectors should document in their field notes, and subsequent inspection
reports, the following information:
any and all actions actually observed that were taken by the facility to
come into compliance; and
any assistance provided (both written and oral) to the facility.
In FY 2003, some EPA inspection programs (CAA-Stationary Source, CWA-
NPDES, TSCA lead-based paint, Good Laboratory Practices, and CAA-Mobile
Source) are required to complete an Inspection Conclusion Data Sheet (ICDS).
The ICDS form is designed to capture information on deficiencies observed and
communicated, actions taken to address deficiencies, and compliance assistance
provided during inspections.
-------
Reporting EPA currently has two existing databases that capture instances where EPA
inspectors provide compliance assistance during inspections.
1. The Integrated Compliance Information System has a data field for
capturing compliance assistance during inspections. In a December 4,
2002 memo to the Regions, Headquarters described the process for
reporting the ICDS information.
In FY 2003, for the five regional and HQ inspection programs
targeted to complete the ICDS, the regions had the option of using
either entering the data into ICIS or completing and sending a
manual form as part of the mid-year and end-of-year RECAP
request.
In FY 2004 and later years, additional media-specific inspection
programs (e.g., RCRA Hazardous Waste and TSCA) will be added
to the ICDS reporting.
The Regional Compliance Assistance Tracking System (RCATS) tracks
only the number and type of tools distributed during on-site activities,
including inspections. RCATS does not capture the other ICDS
information (deficiencies observed and communicated, specific actions
taken to address deficiencies, and site-specific compliance assistance).
The preferred approach is the Regions and HQ offices conducting compliance
inspections to use ICIS to report general and site-specific compliance assistance
provided during inspections.
Attachment A: Background Sources of Information and SBREFA Information Sheet
Attachment B: SBREFA Information Sheet (revised)
-------
ATTACHMENT A
Role of the EPA Inspector in Providing Compliance Assistance During Inspections
Background and Sources of Information
Sources This policy was developed based on the following sources of information:
Role of the EPA Inspector in Providing Compliance Assistance Final
Report. July, 1997.
Regional Inspector Dialogues, February-May, 1998.
National EPA Inspector Workshop, November 28-30, 2000.
National EPA Inspector Workshop, December 11-13, 2001.
Informal discussions between OECA managers, staff and the Regions.
SBREFA law and handout.
Draft Region III Compliance/Corrective Assistance Tips for Inspectors.
Summer, 2002.
Documentation Guidelines for Compliance Related Field Activities.
October 17, 2002, Region VII Enforcement Coordination Office.
Background In March, 1995 the Office of Compliance initiated a headquarters and regional
work group co-chaired by Region III to review the traditional roles and assess
innovative roles for EPA compliance monitoring inspectors with regard to
providing compliance assistance and technical assistance to regulated facilities
and to facilitate multi-media and sector-based activities.
The reader is encouraged to obtain a copy of the 1997 report titled the "Role of the
EPA Inspector in Providing Compliance Assistance" and read it as a main
companion piece to this policy. The report is available on the OC Inspector
Website, under Reference Materials. The URL for the website is:
http://intranet.epa.gov/oeca/inspector.
The workgroup produced a report that discussed options for providing on-site
compliance assistance during inspections, implementation issues, conclusions and
recommendations. The workgroup conclusions were:
On-site compliance assistance during inspections can be viewed as a
continuum from the simple to more complex. The most technically
complex and site-specific level of assistance, Tier III, is not an appropriate
EPA inspection activity, but the use of any compliance assistance depends
on the training and expertise of the particular inspector in techniques and
substance.
To be most effective, EPA decisions about when and how to use
compliance assistance to address an environmental problem or non-
compliance situation should be made during up-front planning and
targeting processes, particularly in the development of sector-based
strategies.
-------
Inspector's
Guide
Since October 1, 2001, the Regions have been completing ICDS forms for the
CAA-Stationary, CWA-NPDES, Lead-based paint, and Good Laboratory
Practices (GLP) inspections. The Office of Compliance recently sent a memo to
the Regions summarizing the results of the mid-year data. The results showed
that EPA inspectors provided compliance assistance on 77% of a total of 1269
inspections for the first half of FY 2002 in the above programs.
OC expects to finalize the Inspector's Compliance Assistance Resource Guide in
the late 2002 or early 2003. This guide will provide information to EPA
inspectors on how to use the compliance assistance resources that OECA has
developed. These resources range from hard copy documents to interactive on-
line tools. The Guide's main purpose is to enable EPA inspectors to know what
is available to provide to inspected facilities. The Guide includes information on:
Sector Notebooks
Compliance Assistance Centers
Compliance Assistance Clearinghouse
Audit Protocols
Sector-specific tools
The draft guide can found at http://www.ergweb.com/pro]ects2/inspectorguide/.
SBREFA The Small Business Regulatory Enforcement Fairness Act (SBREFA) was signed
into law on March 29, 1996. The Act required agencies conducting enforcement
at facilities "subject to an audit, on-site inspection, compliance assistance effort,
or other enforcement related communication or contact by agency personnel" have
a means to comment on such enforcement actions.
To implement this provision, OECA has developed a revised SBREFA
Information Sheet (following attachment). SBREFA information should be
provided when EPA has its initial enforcement contact with a small business,
which may or may not be at the time of the inspection. A small business is
defined by the Small Business Administration and is based on the SIC/NAICS
code, number of employees, and annual receipts. The inspector should distribute
the SBREFA sheet if he/she is uncertain whether the business meets the definition
of a "small business".
-------
ATTACHMENT B
U.S. EPA Compliance Assistance Resources
If you own a small business, the United States Environmental Protection Agency (EPA) offers a variety of
compliance assistance resources and tools to assist you in complying with federal and State environmental laws.
These resources can help you understand your environmental obligations, improve compliance and find cost-
effective ways to comply through the use of pollution prevention and other innovative technologies.
Hotlines, Helplines, and Clearinghouses
EPA sponsors approximately 89 free hotlines and
clearinghouses that provide convenient assistance
regarding environmental requirements.
The National Environmental Compliance
Assistance Clearinghouse provides quick access to
compliance assistance tools, contacts, and planned
activities from the U.S. EPA, states and other
compliance assistance providers:
http://www.epa. gov.clearinghouse
Pollution Prevention Clearinghouse
http://www.epa.gov/opptintr/library/ppicindex.htm
EPA's Small Business Ombudsman Hotline Can
provide a list of all the hot lines and assist in
determining the hotline best meeting your needs. (800)
368-5888
Emergency Planning and Community Right-to-
KnowAct (800)424-9346
National Response Center (to report oil and
hazardous substance spills) (800) 424-8802
Toxics Substances and Asbestos Information
(202) 554-1404
Safe Drinking Water
(800)426-4791
Stratospheric Ozone and Refrigerants
(800) 296-1996
Clean Air Technology Center
(919) 541-0800
Wetlands Hotline
(800) 832-7828
EPA Websites
EPA has several Internet sites that provide useful
compliance assistance information and materials for
small businesses. If you don't have access to the
Internet at your business, many public libraries provide
access to the Internet at minimal or no cost.
EPA's Home Page
http://www.epa.gov
Small Business Assistance Program
http://www.epa.gov/ttn/sbap
Office of Enforcement and Compliance Assurance
http://www.epa.gov/compliance
Compliance Assistance Home Page
http://www.epa.gov/compliance/assistance
Office of Regulatory Enforcement
http://www.epa.gov/compliance/civil/index/htm
Office of Site Remediation Enforcement
http://www.epa.gov/compliance/cleanup
Innovative Programs for Environmental
Performance
http://www.epa.gov/partners
Small Business Ombudsman
www.sba.gov/ombudsman
Compliance Assistance Centers
In partnership with industry, universities, and other
federal and state agencies EPA has established national
Compliance Assistance Centers that provide Internet
and "faxback" assistance services for several industries
with many small businesses. The following
Compliance Assistance Centers can be accessed
through the Center's gateway at
http://www.assistancecenters.net or by calling the
phone numbers below and at their respective websites.
Metal Finishing
(1-800-AT-NMFRC or http://www.nmfrc.org)
Printing
(1-888-USPNEAC or http://www.pneac.org)
Automotive Service and Repair
(1-888-GRN-LINK or http://www.ccar-greenlink.org)
-------
Agriculture
(1-888-633-2155 or http://www.epa.gov/oeca/ag')
Printed Wiring Board Manufacturing
(1-734-995-4911 or http://www.pwbrc.org')
The Chemical Industry
(1-800-672-6048 or http://www.chemalliance.org')
The Transportation Industry
(1-888-4509-0656 or http://www.transource.org')
The Paints and Coatings Center
(1-800-286-6372 or http://www.paintcenter.org')
Three new centers are under development for the auto
salvage sector, the construction industry, and the U.S.
Mexican border waste issues.
State Agencies
Many state agencies have established compliance
assistance programs that provide on-site and other
types of assistance. Contact your local state
environmental agency for more information. For
assistance in reaching state agencies, call EPA's Small
Business Ombudsman at (800)-368-5888 or visit the
Small Business Environmental homepage at
http ://www. smallbiz-enviroweb. org/state .html.
Compliance Incentives
EPA provides incentives for environmental compliance.
By participating in compliance assistance programs or
voluntarily disclosing and promptly correcting
violations, businesses may be eligible for penalty
waivers or reductions. EPA has two policies that
potentially apply to small businesses: the Audit Policy
http://www.epa.gov/oeca/auditpol.html') and the Small
Business Policy
(http://www.epa.gov/oeca/smbusi.htmlX These do not
apply if an enforcement action has already been
initiated.
Commenting on Federal Enforcement Actions and
Compliance Activities
The Small Business Regulatory Enforcement Fairness
Act (SBREFA) established an ombudsman ("SBREFA
Ombudsman") and 10 Regional Fairness Boards to
receive comments from small businesses about federal
agency enforcement actions. The SBREFA
Ombudsman will annually rate each Agency's
responsiveness to small businesses. If you believe that
you fall within the Small Business Administration's
definition of a small business (based on your North
American Industry Classification System (NAICS)
designation, number of employees or annual receipts,
defined at 13 CFR 121.201; in most cases, this means a
business with 500 or fewer employees), and wish to
comment on federal enforcement and compliance
activities, call the SBREFA Ombudsman's toll free
number at 1-888-REG-FAIR (1-888-734-3247).
Every small business that is the subject of an
enforcement action is entitled to comment on the
Agency' s actions without fear of retaliation. EPA
employees are prohibited from using enforcement or
any other means of retaliation against any member of
the regulated community because the regulated
community previously commented on its activities.
Your Duty to Comply
If you receive compliance assistance or submit
comments to the SBREFA Ombudsman or Regional
Fairness Boards, you still have the duty to comply with
the law, including providing timely responses to EPA
information requests, administrative or civil complaints,
other enforcement actions or communications. The
assistance information and comment processes do not
give you any new rights or defenses in any enforcement
action. These processes do no affect EPA's obligation
to protect human health or the environment under any
of the environmental statutes it enforces, including the
right to take emergency actions when appropriate.
Those decisions will be based on the facts in each
situation. The SBREFA Ombudsman and Fairness
Boards do not participate in the resolution of EPA's
enforcement actions. Also remember that to preserve
your rights, you need to comply with all rules
governing the enforcement process.
EPA is disseminating this information to you
without making a determination that your
business or organization is a small business as
defined by Section 222 of the Small Business
Regulatory Enforcement and Fairness Act
(SBREFA) or related provisions.
-------
Appendix C Large PCB Mark (MJ
Appendix C
Large PCB Mark (ML)
CAUTION I
CONTAINS 1
| PCBs
m (Polychlorinated Biphenyls)
SA toxic environmental contaminant requiring
special handling and disposal in accordance with 3
ft U.S. Environmental Protection Agency Regulations m
S40 CFR 761 - For Disposal Information contact k
the nearest U.S. E.P.A. Office 5
Sin case of accident or spill, call toll free the U.S.
Coast Guard National Response Center: K
800-424-8802 I
I i
21 Also contact g
Tel-N°-
PCB Inspection Manual C-1 August 2004
-------
Large PCS Mark (MJ Appendix C
Blank Page
August 2004 C-2 PCB Inspection Manual
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
NOV 2 5 2003
OFFICE OF
ENFORCEMENT AND
COMPLIANCE ASSURANCE
MEMORANDUM
SUBJECT: Fiscal Year 2004 Inspection Conclusion Data Sheet Reporting Forms
FROM: Michael M. Stahl }v\0>
TO:
Director
Office of Co
//
miffiance
Regional Enforcement Division Directors, Regions 1,2,4,6 and 8
Regional Media Division Directors, Regions 1-10
Regional Science and Technology Division Directors, Regions 1-10
Purpose
The purpose of this memorandum is to provide the forms for fiscal year 2004
Inspection Conclusion Data Sheet (ICDS) data collection/reporting. ICDS
reporting will continue to be required for the following inspection/evaluation
programs in 2004:
Clean Air Act (CAA) Stationary Source
Clean Water Act NPDES, excluding pretreatment inspections
Good Laboratory Practices (GLP)
Toxic Substances Control Act (TSCA) lead-based paint
Clean Air Act Mobile Source
and for the following new programs (number of 2003 inspections in parentheses):
Resource Conservation and Recovery Act Subtitle C (1643)
Underground Storage Tanks (1327)
TSCA core, PCBs and asbestos (1090)
CAA 112 (r) (632)
Reporting The regions and headquarters programs have two options for reporting the FY
2004 ICDS information:
Manual reporting: Submit summary ICDS information at mid-year
(April, 2004) and end-of-year (October, 2004) using the form in
Attachment A. First-line supervisors need to review the ICDS forms prior
Internet Address (URL) http://www.epa.gov
Recycled/Recyclable Printed with Vegetable OH Based Inks on Recycled Paper (Minimum 30% Postconsumer)
-------
to compiling the ICDS data for mid-year and end-of-year reporting to verify
its completeness and accuracy.
Integrated Compliance Information System (ICIS): Use ICIS to enter
the ICDS data. HQ will then pull the ICDS information from ICIS for mid-
year and end-of-year reporting.
Goal 5 One reason to continue to expand ICDS to new media programs is the new
structure of the EPA Strategic Plan. Under Goal 5, Compliance and Environmental
Stewardship, the sub-objective for Monitoring and Enforcement includes a strategic
target for the outcomes from compliance inspections. The strategic target is listed
as "the percentage of regulated entities taking complying actions as a result of
compliance monitoring." The measure for this strategic target is dependent upon
data collected from the ICDS.
ICDS Forms Attachment A includes:
Changes to the ICDS manual form;
Procedures for reporting ICDS information manually; and the
FY 2004 Inspection Conclusion Data Sheet Manual Reporting Form
Attachment B includes:
FY 2004 Process for Entering ICDS Information into ICIS;
Step-by-Step Process for Entering ICDS Information Into ICIS; and the
FY 2004 Inspection Conclusion Data Sheet Form for ICIS Reporting
Data Quality We continue to emphasize it is critically important for regional and HQ first-line
supervisors (or designated alternates) to review either the manual ICDS forms prior
to compiling the ICDS data, or the ICDS information entered into ICIS to verify its
completeness and accuracy.
If you have questions about this memorandum or the Attachments, please call Ken
Gigliello at 202-564-7047. We thank you for your attention to this memorandum.
Attachment A: FY 2004 Inspection Conclusion Data Sheet (ICDS) Manual Reporting Form
Attachment B: FY 2004 Process for Entering ICDS Information into ICIS
cc: OC and ORE Division Directors
Enforcement Coordinators, Regions 1-10
MO A Coordinators, Regions 1-10
Field Operations Group, Regions 1-10
-------
ATTACHMENT A
FY 2004 Inspection Conclusion Data Sheet Manual Reporting Form
Changes to the Form in FY 2004:
The ICDS form has been changed to include the new programs added in FY 2004.
Additional changes should make it easier for the regions or HQ program to compile the data for
mid-year and end-of-year reporting and minimize reporting errors. EPA inspectors and first-line
supervisors (or designated alternates) should find it easier to completely and accurately record the
ICDS information. The changes include:
Added RCRA Subtitle C, UST, TSCA core, PCBs and asbestos, and CAA112 (r) to
form;
Modified the question dealing with observing and communicating deficiencies into
two (2) separate questions;
Modified the two questions on compliance assistance to reflect the national policy
of the Role of the EPA Inspector in Providing Compliance Assistance During
Inspections; and
Revised the ICDS instructions.
FY 2004 Reporting Process:
After completing the revised attached form, EPA inspectors should forward the
form to their first-line supervisor or designated alternate. The first-line supervisor
or designated alternate should review the forms for accuracy and completeness.
The first-line supervisor or designated alternate should compile the results from the
individual ICDS forms completed by the inspectors and fill in the numbers on the
"ICDS DATA REPORTING FORM FOR FY 2004 MID-YEAR and EOY"
The completed "ICDS DATA REPORTING FORM FOR FY 2004 MID-YEAR
and EOY" should be forwarded to OECA at mid-year (April, 2004) and end-of-
year (October, 2004).
A-l
-------
FY 2004 EPA MANUAL INSPECTION CONCLUSION DATA SHEET (ICDS) FORM
Instructions and Definitions for Completing the Information Follow
1. Region: Facility Name/Location:
2. General Facility Permit ID or Media-Specific Permit ID number (e.g. NPDES permit #):
3. SIC (4-digit) II II II II OR NAICS Code (5-digit): I' II II II II
4. Date of Inspection: (mm/dd/yyyy)
5. Media Type (check one only)
CAA-Stationary D CWA-NPDES d GLP D TSCA Lead Paint n CAA 112r n
CAA-Mobile Sources d RCRA D UST D TSCA core, PCBs, asbestos O
6. Deficiencies: Did you observe deficiencies during inspection? CDYes CDNo [N/A is not allowed]
a. If YES, go to #7
b. If NO, go to #9
1. If YES: Did you communicate the deficiencies to the facility during the inspection? CDYes CDNo
8. Actions Taken: Did you observe or see the facility take any actions during the inspection to address the
deficiencies communicated? CD Yes CD No [N/A is not allowed]
a. If NO, go to #9
b. If YES, check the action(s) taken, or describe any other actions taken. (Check all that apply)
Action(s) taken
Verified compliance with previously issued enforcement action -part or all conditions
Corrected recordkeeping deficiencies
Corrected monitoring deficiencies
Completed a notification or a report
Requested a permit application
Implemented new or improved management practices or procedures
Improved pollutant identification (e.g., labeling, manifesting, storage, etc.)
Reduced pollution (e.g., use reduction, industrial process change, emissions or discharge change,
etc.). Specify the pollutant(s) reduced only if this action is checked..
Water: Ammonia D BOD D COD D TSS D O/G D TC D DO D Metals D CN D
Air: NOx D SO2 D PM D VOC D Metals D HAPs D CO D
List other actions observed or other pollutants reduced:
9. Assistance: Did you provide general assistance based on national policy? Yes CD No CD
Did you provide site-specific assistance based on national policy? CD Yes CD No
Note: EPA inspectors are not required to provide compliance assistance.
Optional Information: Describe actions taken or assistance provided to assist the facility.
-------
NOTE TO EPA INSPECTORS:
The main purpose of EPA inspections/evaluations is to determine compliance with environmental regulations and
enforcement agreements. Secondary purposes include providing a field presence to create a credible deterrent and
providing assistance, when appropriate, to help facilities achieve compliance.
The ICDS is used to identify observable corrections to deficiencies and compliance assistance activities.
ICDS is NOT designed to capture all of the observations, findings, and other data contained in the final
inspection report. Deficiencies identified as potential violations, and actions to address deficiencies noted on
the ICDS must be included in the final EPA inspection report.
ICDS information will be used to collect accomplishments of EPA's national inspection efforts, develop
inspection outcomes for GPRA, and manage national compliance monitoring resources.
The information will NOT be used to track individual EPA inspectors' performance.
The ICDS should only be used for EPA-led inspections, not for state oversight inspections.
Instructions for each question:
1. Region. Facility Name/Location: Enter the Region, and facility name/location (for unpermitted facilities).
2. Permit ID#: Enter either the Facility Registration System (FRS) permit ID or media-specific ID # (e.g.,
NPDES, CAA, or RCRA permit number).
3. SIC/NAICS Codes: Identify the SIC orNAICS code at (http://www.commerce.gov).
(http://www.osha.gov/oshstats/sicser.html). (http://www.census.gov/epcd/www/naics.html). by CD-rom
(PB98-502024- NTIS (800-553-6847), or OC Inspector Website (http://intranet.epa.gov/oeca/inspector)
4. Date of Inspection: Enter the beginning date of the inspection (e.g., 04/10/2004)
5. Media Type: Check the environmental media program inspection being conducted.
6. Deficiencies: Check YES or NO. EPA inspectors should follow the regional policy on when and how to
inform facilities of deficiencies. Deficiencies are defined as potential violations. Deficiencies are NOT
compliance determinations (further review is needed to determine violations). A list of potential deficiencies
is on the ICIS compliance monitoring screen. (https://caribou.rtpnc.epa.gov/ICIS/)
7. Communication: Check YES or NO. N/A is not allowed.
8. Actions Taken: Check YES or NO. If Yes, check only action(s) actually observed/seen, or write in a short
description of the action in the "Other" section. These are not compliance determinations. Check the box to
specify the pollutant: Ammonia - NH3-N, ammonia nitrogen, ammonia as N, 50D-Biochemical Oxygen
Demand, COD- Chemical Oxygen Demand, 7U-Total Conform, TSS- Total Suspended Solids, SS, Settleable
solids, O/G- Oil and Grease, DO- Dissolved Oxygen, NOx- Nitrogen Oxides, SO2- Sulphur Dioxide, PM-
Particulate Matter, VOC- Volatile Organic Compound, CN- Cyanide, HAPs - Hazardous Air Pollutants, CO-
Carbon Monoxide, Metals- Hexavalent Chromium, Lead, Mercury, etc. Write in other pollutants if not listed.
The Case Conclusion Data Sheet Training Booklet [November, 2000] provides additional information on
actions taken. The Training Booklet can be obtained by calling the Office of Compliance(202-564-6004).
9. Compliance Assistance: Inspectors are not required to provide compliance assistance during inspections.
Check YES or NO to the two questions. General compliance assistance involves distributing prepared
information on regulatory compliance, P2 or other written materials/websites. Refer to National Policy: Role
of the EPA Inspector in Providing Compliance Assistance During Inspections. June, 2003 for more
information for examples of site-specific assistance. The policy is available on the EPA website
(www.epa.gov). the Inspector Website (http://intranet.epa.gov/oeca/inspector), or calling (202-564-2300).
Data Collection Process:
4 Inspectors must complete the ICDS immediately after the inspection is conducted.
4 Inspector should forward completed forms to first-line supervisor/designated alternate within five (5) days after
returning from either a single inspection, or a series of inspections.
4 The first-line supervisor/designated alternate must review the ICDS for completeness and accuracy and compile
the ICDS information by media program to report ICDS results using the consolidated manual reporting form. The
consolidated manual reporting form will be sent to HQ for mid-year 2004 & end-of-year 2004 reporting.
A-3
-------
ICDS DATA MANUAL REPORTING FORM FOR FY 2004 MID-YEAR AND EOY
REPORT BY MEDIA PROGRAM
IMPORTANT NOTE:
This is the only form the region must submit if they are using manual reporting instead of ICIS reporting.
DO NOT SEND INDIVIDUAL ICDS FORMS TO OECA.
Total number of on-site inspections/evaluations conducted
Number of on-site inspections/evaluations where deficiencies were observed
Number of inspections/evaluations where deficiencies were communicated to the facility
Number of on-site inspections/evaluations where the facility took action to address deficiencies
noted during the inspection or evaluation
Total number of inspections/evaluations where general compliance assistance was provided
Total number of inspections/evaluations where site-specific compliance assistance was provided
Total number of SIC/NAICS codes inspections/evaluations
List the SIC/NAICS codes and (# of inspections for each SIC/NAICS code):
SIC example: 4513 (10), 3922 (2), 3713 (4), 1209 (6), 4522 (12)
NAICS example: 45123 (18), 21456 (6), 32785 (3), 20575 (7)
A-4
-------
ATTACHMENT B
FY 2004 Process for Entering ICDS Information into ICIS
If the regions and the HQ inspection/evaluation programs decide to use ICIS to report the
ICDS information, they will also need to determine who will be responsible for entering the data
into ICIS. There are two options:
1. Require EPA inspectors to enter the data directly into ICIS
2. Require central data processing personnel to enter the data into ICIS
While each approach has advantages and disadvantages, HQ strongly supports data
entry by EPA inspectors. By enabling and requiring EPA inspectors to be responsible for ICIS
data entry, it:
eliminates the need for completing the ICDS form (inspectors may still want to
complete the form)
makes EPA inspectors more accountable for data quality of inspections, and
encourages EPA inspectors to utilize the ICIS data system more fully
If EPA inspectors will be responsible for ICIS data entry:
The EPA inspectors will need to be provided access to ICIS and will need some training
from the regional/HQ ICIS coordinator. EPA inspectors will not be required to complete
the ICDS form since all of the ICDS information should be included in the inspector's
notes to complete the ICIS data entry process. EPA inspectors can choose to complete the
form in the field directly after the inspections to facilitate ICIS data entry at a later date.
If non-EPA inspectors (regional data entry personnel) will be responsible for ICIS
data entry:
EPA inspectors will have to complete the longer ICDS form to enable the data entry
personnel to efficiently enter the ICDS data into ICIS. After completing the longer form,
EPA inspectors should forward it to their first-line supervisor or designated alternate. The
first-line supervisor or designated alternate should review the forms for accuracy and
completeness, and then forward the forms to the central data entry personnel. Inspectors
can photocopy the ICDS form for their inspections.
Page 1
-------
Step-by-Step Process for Entering ICDS Information Into ICIS
The data fields below are required for ICDS. Not all ICIS data fields are required to be entered
for ICIS. Regions may decide to enter additional data fields for their own purposes.
Acquire access to the ICIS data system through the regional or HQ ICIS contact
Log onto the ICIS system: https://caribou.rtpnc.epa.gov/ICIS/ with a user ID & password
Click on "Data Entry"
Click on "Add Compliance Monitoring"
Complete the data fields on the ICIS screens. The majority of the data fields have pull
down menus to assist in making data entry simple and straightforward.
The data fields that need to be completed for ICDS information are:
1. Compliance Activity Type (Select Compliance Inspection only)
2. Compliance Monitoring Activity Name (Type in the name of facility, site, etc.)
3. Compliance Monitoring Type (There is a long list segregated by statute. Click on only one
compliance monitoring type - e.g., Clean Air Act Full Compliance Evaluation FCE, RCRA
Compliance Evaluation Inspection CEI, etc.)
4. Regi on (S el ect the appropri ate regi on)
5. Facilities (enter the facility name)
6. Federal Statutes (Select either the CAA, CWA, RCRA, or TSCA)
7. Sections (Select the appropriate statutory section that was inspected)
8. SIC and NAICS code (Select the appropriate SIC or NAICS code inspected)
9. Compliance Monitoring Action Reason (Select on either Agency priority, Citizen
compliant, Core program, selected monitoring action, or random evaluation/inspection)
10. Compliance Monitoring Action Type (Select EPA only)
11. Select Yes, if you observed deficiencies during the inspection/evaluation.
12. Select Yes, if you communicated the deficiencies to facility during inspection
13. If Yes to question #12, click on Edit Deficiencies and select the deficiencies observed
during the inspection/evaluation listed from the pull down menu.
14. Click Yes or No on whether actions were taken by the facility to address deficiencies
observed? You must select NO if the answer to question #12 was NO.
15. If Yes to question #14, click on Edit Corrective Actions and select the appropriate actions
listed on the pull down menu
16. If one of the actions taken was "Reduced Pollution", click on Edit Water Pollutants or Edit
Air Pollutants and select the pollutants reduced.
17. Click Yes or No on whether general compliance assistance was provided during the
inspection or evaluation
18. Click Yes or No on whether site-specific compliance assistance was provided during the
inspection or evaluation
19. The inspector can add comments about the inspection or evaluation in the optional
"Summary of Comments".
20. Hit "Save" and the ICDS information entered is saved in the ICIS system
Page 2
-------
FY 2004 Inspection Conclusion Data Sheet (ICDS) Form for ICIS Reporting
* Data elements required to be completed for the ICIS system
** Data elements required for Inspection Conclusion Data Sheet reporting
Data elements that do not have asterisks are optional
For Data Entry Staff Use Only
Date Information is Entered into ICIS (mm/dd/year):
EPA Inspector Name:
EPA Inspector Phone # (include entire phone # 404-566-9000):
THIS FORM MIRRORS THE FORMAT OF THE ICIS DATA ELEMENTS
1. * Compliance Activity Type: (enter Compliance Inspection only)
2. * Compliance Monitoring Activity Name:
3. *Compliance Monitoring Type: Circle ONLY ONE of the following choices:
CLEAN AIR ACT (CAA) CWA Pretreatment Industrial User Sampling Inspection
CAA Asbestos Demolition and Renovation CWA Reconnaissance Inspection (RI)
CAA Case Development Inspection CWA Sanitary Sewer Overflow (SSO) inspection
CAA Full Compliance Evaluation (FCE) CWA Section 311 SPCC Inspection
CAA Partial Compliance Evaluation (PCE) CWA Section 311 SPCC Plan Review
CAA Stack Test CWA Stormwater inspection
CAA 112 (r)(7) Desk Audit CWA Toxics Sampling inspection
CAA 112 (r) (7) Inspection (i.e., site visit) CWA Section 404 Wetlands
CAA 112 General Duty Clause inspection CWA Sewage Sludge Inspection
CAA CFR Section 68.220 Desk Audit
CAA CFR Section 68.220 Site Visit EPCRA
CAA CFR Section 608 Stratospheric Ozone inspection EPCRA 313 Data Quality Inspection
CAA CFR Section 609 Stratospheric Ozone inspection EPCRA 313 Non/Late reporter Inspection
CAA Motor vehicle fuels (Section 211) EPCRA 304/CERCLA 103 Inspection
CAA Motor vehicle/engine (Section 203) EPCRA 311/312 inspection
CAA Wood Heater Evaluation
FIFRA
CLEAN WATER ACT (CWA) FIFRA Good Laboratory Practices
CWA Compliance Evaluation Inspection (CEI) FIFRA Agricultural Use inspection
CWA Compliance Biomonitoring Inspection (CBI) FIFRA Agriculture Use follow-up inspection
CWA Compliance Schedule Evaluation (CSE) FIFRA Non-Agriculture Use inspection
CWA Compliance Sampling Inspection (CSI) FIFRA Non-Agriculture Use follow-up inspection
CWA Case Development Inspection (GDI) FIFRA Experimental Use inspection
CWA Combined Sewer Overflow (CSO) inspection FIFRA Producing Establishment inspection
CWA Concentrated Animal Feeding Operation inspection FIFRA Marketplace inspection
CWA Diagnostic Inspection (DI) FIFRA Import inspection
CWA Performance Audit Inspection (PAI) FIFRA Export inspection
CWA Pretreatment Audit FIFRA Certified applicator inspection
CWA Preatreatment Compliance Inspection (PCI) FIFRA Use Restricted Pesticide Dealer inspection
CWA Pretreatment Industrial User Non-sampling Insp. FIFRA Worker Protection Standards inspection
Page3
-------
RCRA Hazardous or UST
RCRA or UST Compliance Evaluation Inspection (CEI)
RCRA or UST Compliance Schedule Evaluation (CSE)
RCRA or UST Compliance Sampling Inspection (CSI)
RCRA Comp. Groundwater Monitoring Evaluation(CME)
RCRA Corrective Action Oversight (CAO)
RCRA Laboratory Audit Inspection
RCRA Non-Financial Record Review
RCRA Operation and Maintenance Inspection (OAM)
RCRA or UST Case Development Inspection (CDI)
RCRA or UST Follow-up inspection
RCRA Illegal operators inspection
RCRA or UST Focused Compliance Inspection (FCI)
RCRA or UST Citizen complaint inspection
SDWA (Public Water Supply & UIC)
SDWA Sanitary survey
SDWA UIC inspection
TSCA
TSCA AHERA, federally conducted
4. *Region:
5. *Facilities Name and Location:
TSCA AHERA, SEE conducted
TSCA Section 6 Asbestos Ban, Federal conducted
TSCA Section 6 Asbestos Ban, SEE conducted
TSCA Asbestos MAP, federally conducted
TSCA Asbestos MAP, SEE conducted
TSCA Section 6 Asbestos Worker Protection, federally
conducted
TSCA Section 6 Asbestos Worker Protection, SEE
conducted
TSCA Good Laboratory Practices
TSCA Core (Sections 5 and/or 8)
TSCA Fob/chlorinated Biphenyls (PCBs)
TSCA Section 1018 Lead Paint
TSCA Section 12/13 Imports/Exports
TSCA Section 402/404 inspections
TSCA Section 406 inspections
OTHER
Other Oversight Inspection
Statistically valid non-compliance rate inspection
6. Planned Start:
7. Planned End:
8. **Actual Start:
9. **Actual End:
(mm/dd/yyyy)
(mm/dd/yyyy)
(mm/dd/yyyy)
(mm/dd/yyyy)
10. *Federal Statutes: Check only ONE of the following:
CAA_
RCRA
CWA_
SDWA
CERCLA_
TSCA
EPCRA
FIFRA
MCBRMA
11. *Sections: Circle or check the statutory section that applies to the inspection or the evaluation
Statute
Clean Air Act
Statutory Section
(CAA):
CAA 110 State Implementation Plans (SIPs)- National Primary & Secondary Ambient Air Quality Standards
CAA 111 Standards of Performance for New Stationary Sources (NSPS)
CAA 112 National Emission Standards for Hazardous Air Pollutants (NESHAPS/MACTs
CAA 112(r)(l) Prevention of Accidental Release/General Duty Clause
CAA 112(r)(7) Prevention of Accidental Release/Risk Management Plans
CAA 118 Control of Pollution from Federal Facilities Control of Pollution from Federal Facilities
CAA 129 Solid Waste Fuel Combustion
CAA 183(e)(A) Federal Ozone Measures - Best Available Controls
CAA 183(e)(B) Federal Ozone Measures - Consumer or Commercial Products
Page 4
-------
CAA 183(f) Federal Ozone Measures - Tank Vessel Standards
CAA 202 Emission Standards for New Motor Vehicles or New Motor Vehicle Engines
CAA 203 Prohibited Acts - Motor Vehicle & Motor Vehicle Engines
CAA 207 Compliance by Vehicles and Engines in Actual Use
CAA 208 Information Collection from Motor Vehicle Manufacturers
CAA 211 Regulation of Fuels for Motor Vehicle and Engines
CAA 213 Emission Standards for Nonroad Engines and Vehicles
CAA 219 Urban Bus Standards and Retrofit Requirements
CAA 608 Stratospheric Ozone- National Recycling & Emission Reduction Program
CAA 609 Stratospheric Ozone - Servicing of Motor Vehicle Air Conditioners
CAA 610 Stratospheric Ozone- Nonessential Products Containing Chlorofluorocarbons
CAA 611 Stratospheric Ozone - Labeling
CAA Part C Prevention of Significant Deterioration (PSD) of Air Quality
CAA Part D Requirements for Non Attainment Areas/SIP Provisions
CAA Title IV Acid Rain
CAA Title V Operating Permits
Clean Water Act (CWA)
CWA 301/307
CWA301/311
CWA 301/404
CWA 308(a)(B)
CWA 308(a)(B)
CWA 308(a)(B)
CWA 308(a)(B)
CWA 308(a)(B)
CWA 308(a)(B)
CWA 308(a)(B)
CWA 308(a)(B)
Effluent Limitations -
Effluent Limitations -
Effluent Limitations -
Records and Reports;
Records and Reports;
Records and Reports;
Records and Reports;
Records and Reports;
Records and Reports;
Records and Reports;
Schedule
Records and Reports;
- NPDES Toxic and Pretreatment Effluent Standards
Oil and Hazardous Substance Liability Effluent Limitations
-Permits for Dredged or Fill Material
Inspections - Sanitary Sewer Overflows
Inspections - Combined Sewer Overflows
Inspections - Stormwater
Inspections - Concentrated Animal Feeding Operations
Inspections - Biosolids/Sewage Sludge
Inspections - Aquaculture
Inspections - Other Permit Violations, Base Program Limits, Reporting,
Inspections - Information Requests
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)
CERCLA 103(a) Notification requirements respecting released substances
CERCLA 104(e) Information gathering and access
CERCLA 106 Abatement actions - Response Actions by Potentially Responsible Parties
CERCLA 107(a) Liability - Cost Recovery
Emergency Planning and Community Right to Know Act (EPCRA)
EPCRA 302 Substances and Facilities Covered and Notification
EPCRA 303 Comprehensive Emergency Response Plans
EPCRA 304 Emergency Notification Section 313 program
EPCRA 311 Material Safety Data Sheets
EPCRA 312 Emergency and Hazardous Chemical Inventory Forms
EPCRA 313 Toxic Chemical Release Forms (TRI)
EPCRA 325 Enforcement: Civil & Administrative Penalties, & Procedures for Administrative Penalties including
subpoenas
Mercury Containing Battery Recycling Management Act (MCBRMA)
MCBRMA 103 A Rechargeable Batteries, Rechargeable Consumer Products, Easy Removability and Labeling
MCBRMA 6 Records, Reports, Access - Battery Recycling
Page 5
-------
Resource Conservation and Recovery Act (RCRA) & Underground Storage Tanks (UST)
RCRA 3002 Standards Applicable to Generators of Hazardous Waste
RCRA 3003 Standards Applicable to Transporter of Hazardous Waste
RCRA 3004 Standards Applicable to Owners/Operators of Hazardous Waste Treatment, Storage & Disposal
Facilities
RCRA 3005 Permits for Treatment, Storage or Disposal of Hazardous Waste
RCRA 3010 Notification of Hazardous Waste Activity
RCRA 3013 Monitoring, Analysis, Testing
RCRA 3014 Restrictions on Recycled Oil
RCRA 3017 Export of Hazardous Wastes
RCRA 3020 Interim Control of Hazardous Waste Injection
RCRA 7003 Interim Control of Hazardous Waste Injection
RCRA 9002 Notification of Underground Storage Tanks
RCRA 9003 Release, Detection, Prevention, and Correction Regulations
RCRA 9005 Inspections, Monitoring, Testing and Corrective Action
RCRA 9006 Federal Enforcement: Compliance Orders, Procedure, Contents, Civil Penalties
Toxic Substances Control Act (TSCA)
TSCA 4 Testing of Chemical Substances and Mixtures
TSCA 5 Manufacturing and Processing Notices
TSCA 6 Regulation of Hazardous Chemical Substances and Mixtures (includes PCBs and asbestos)
TSCA 7 Imminent Hazards
TSCA 8 Reporting and Retention of Information
TSCA 11 Inspections and Subpoenas
TSCA 12 Exports
TSCA 13 Entry into Customs Territory of the U.S.
TSCA 14 Disclosure of Data
TSCA 15 Prohibited Acts
TSCA 203 EPA Regulations - Asbestos in Schools
TSCA 206 Contractor and Laboratory Accreditation
TSCA 208 Emergency Authority
12. **Citations: Enter the regulatory citation(s) that apply to the inspection conducted
13. * Programs: No entry needed. This data element is automatically populated by the ICIS data system based on
the information provided in items #10 and #11.
14. **SIC (4-digit) or NAICS Code (5-digit):
15. Media Monitored: Check only ONE of the following:
Air
Animals (only applies to FIFRA)
Humans (only applies to FIFRA)
Land (includes RCRA waste, FIFRA Pesticides, TSCA Asbestos and PCBs)
Plants (only applies to FIFRA)
Schools/Housing/Buildings (includes TSCA lead paint and asbestos)
Soil (CERCLA and RCRA Corrective Action, TSCA PCBs, UST soil, UIC remedial activities)
Water (biosolids and other sludges) Water (drinking) Water (ground)
Water (navigable) Water (sediment) Water (stormwater)_
Water (wastewater to or from POTW) Water (wetlands)
Page 6
-------
16. *Compliance Monitoring Action Reason: (Check only one of the following)
Agency Priority Citizen Complaint/Tip Core Program
Selected Monitoring Action Random Evaluation or Inspection
17. *Compliance Monitoring Agency Type: (EPA is only choice)
18. If State, local or tribal lead, did EPA assist: Does not apply to ICDS activities. Leave the box blank.
19. Number of days physically conducting the activity:
20. Number of hours spent physically conducting the activity:
21. Compliance Monitoring Action Outcome: Check one (if known at the time of the activity):
Administrative Immediately corrected Judicial No violation
No compliance monitoring (access denied) No compliance monitoring (facility shutdown)
Not immediately corrected Notice of Determination Under review
Withdrawn
22. MOA Priorities: (Circle only one that apply from the following)
CAA Air Toxics and NSR/PSD - Coal-Fired Power Plant(SIC 4911) RCRA - Permit Evaders (RCRPE)
CAA Air Toxics and NSR/PSD - NSR SDWA Microbial - SWTR Violations (SWTR)
CAA Air Toxics and NSR/PSD - PSD SDWA Microbial - TCR Violations (PWTCR)
Petroleum Refining - Benzene Waste (BENZW) Wet Weather - CAFO (AFLOT)
Petroleum Refining - LDAR (LDAR) Wet Weather - Combined Sewer Overflow (CSO)
Petroleum Refining - Refinery Fuel Gas (REFFG) Wet Weather - Sanitary Sewer Overflow (SSO)
RCRA - Misidentified Wastes (RMISWT) Wet Weather - Stormwater (STORM)
23. Regional Priorities: (Check only one that apply from the following)
Agriculture FIFRA Distributor Registrants Comp.with FIFRA Section 3
Consumer Confidence Rule (CCR) under Safe Drinking Water Act Endangered Ecosystems
EPCRA and CAA Section 112(r) Accident History by Facility Lead-Based Paint
EPCRA and CAA Section 112(r) Accident History by Sector RCRA Permit Evaders
EPCRA and CAA Section 112(r) St. Louis Project Sensitive Populations
24. * *Did you observe deficiencies (potential violations) during the on-site inspection? CD Yes CD No
**If you observed deficiencies, did you communicate them to facility during the inspection?
OYes ONo
**If deficiencies were observed select one or more of the following:
Potential violation of a compliance schedule in an enforceable order
Potential failure to maintain a record or failure to disclose a document
Potential failure to maintain/inspect/ repair equipment including meters, sensors, and recording equipment_
Potential failure to complete or submit a notification, report, certification, or manifest
Potential failure to obtain a permit, product approval, or certification
Potential failure to follow a required sampling or monitoring procedure or laboratory procedure
Potential failure to follow or develop a required management practice or procedure
Potential failure to identify and manage a regulated waste or pollutant in any media
Potential failure to report regulated events such as spills, accidents, etc.
Potential incorrect use of a material (e.g., pesticide, waste, product)or use of improper/unapproved material
Potential failure to follow a permit condition(s)
Potential excess emission in violation of a regulation
Page 7
-------
27. **Did you observe or see the facility take any actions during the inspection to address the deficiencies
communicated to the facility? CD Yes CD No
If YES, check only the action(s) actually observed/seen and/or write a short description of the action in the "optional"
section. (Check all of the actions that apply)
Action(s) taken
Complete(d) a Notification or Report
Correct(ed) Monitoring Deficiencies
Correct(ed) Record Keeping Deficiencies
Implemented New or Improved Management Practices or Procedures
Improved Pollutant Identification (e.g., Labeling, Manifesting, Storage, etc.)
Reduced Pollution (e.g., Use Reduction, Industrial Process Change, Emissions or Discharge Change, etc.)
Requested) a Permit Application or Applied for a Permit
Verify (ied) Compliance with Previously Issued Enforcement Action - Part or All Conditions
The following common air or water pollutant(s) should only be checked if the "Reduced Pollution" action
was checked.
Water: Ammonia D BOD D COD D TSS D O/G D Total Coliform D D.O. D Metals D Cyanide D
Other
Air: NOx D SO2 D PM D VOC D Metals D HAPs D COD
Other
28. Did you provide general compliance assistance in accordance with the policy on the Role of the EPA
Inspector in Providing Compliance Assistance During Inspections? CD Yes CD No
29. Did you provide site-specific compliance assistance in accordance with the policy on the Role of the EPA
Inspector in Providing Compliance Assistance During Inspections? CD Yes CD No
Note: This form does not require EPA inspectors to provide compliance assistance.
Optional Information: Describe actions taken by the facility or assistance provided to the facility:
EPA Form 3540-39
PageS
-------
NOTE TO EPA INSPECTORS
The main purpose of EPA inspections/evaluations is to determine compliance with environmental regulations and
enforcement agreements. Secondary purposes include providing a field presence to create a credible deterrent and
providing assistance, when appropriate, to help facilities achieve compliance.
The ICDS is designed to identify readily observable corrections to deficiencies and compliance assistance
activities. ICDS is NOT designed to capture ALL of the observations, findings, and other data contained in the
final inspection report. Deficiencies identified as potential violations, and actions to address deficiencies noted on
the ICDS must be included in the final inspection/evaluation report.
ICDS information will be used to collect accomplishments of EPA's national inspection/evaluation efforts,
develop outcomes for GPRA, and manage national compliance monitoring resources.
The information will NOT be used to track individual EPA inspector's performance.
The ICDS should only be used for EPA-led inspections or evaluations, not for oversight inspections of the states.
Instructions for Each Question:
1. Compliance Activity Type: EPA inspectors should only enter compliance inspection. This choice includes Clean
Air Act Full Compliance Evaluations (FCEs) and Partial Compliance Evaluations (PCEs)
2. Compliance Monitoring Activity Name: Enter the actual name of the facility inspected/evaluated
3. Compliance Monitoring Type: There are a number of choices listed in alphabetical order by statute. Circle the
appropriate choice pertaining to the type of inspection or evaluation conducted. Circle only one choice.
4. Region: Enter the EPA region or HQ associated with the inspection/evaluation.
5. Facilities: Enter the facility name. If the facility is in FRS, it will automatically populate when you enter
sufficient information. If the facility is not in FRS, the data entry person will have to create a new facility to link
to FRS.
6. Planned Start Date of Inspection: Enter the planned start of the inspection/evaluation
7. Planned End Date of Inspection: Enter the planned end date of the inspection/evaluation
8. Actual Start Date of Inspection: Enter the actual start date of the inspection/evaluation
9. Actual End Date of Inspection: Enter the actual end date of the inspection/evaluation
10. Federal Statutes: Check only one of the statutes listed that applies to the inspection/evaluation being conducted.
11. Sections: Enter the section(s) of law(s) that authorize the compliance inspection/evaluation. Examples: Solid
Waste Disposal Act Section 3002 for RCRA generator inspections, Clean Air Act Section 112 for MACT partial
compliance evaluations, and CWA Section 308 for NPDES inspections. NOTE: When selecting a statute from
the previous data element, ICIS provides a pull down list of the statutory sections available for that statute.
12. Citations: Enter the regulatory citations that were inspected or evaluated during the on-site activity.
Examples: RCRA:40 CFR262.11 and 40 CFR 265.31.
CAA: 40 CFR 63.1254 and 40 CFR 60.703
CWA:40 CFR 129.8 and 40 CFR 122.41
13. Programs: This data element is automatically generated by ICIS when completing items #10 and #11.
14. SIC/NAICS Codes: Identify the code corresponding to the facility. Guidance on how to identify SIC or NAICS
codes can be downloaded at (http://www.doc.govX CD-rom (PB98-502024) by calling NTIS (800-553-6847), or
Inspector Website (http://intranet.epa.gov.oeca/oc/metd/inspector).
15. Media Monitored: Check one or more of the fifteen (15) choices listed.
16. Compliance Monitoring Action Reason: Check only one of the five (5) reasons for performing the
inspection/evaluation.
Page 9
-------
17. Compliance Monitoring Agency Type: Write in EPA. This is the only choice that should be entered
18. If State, local or tribal lead, did EPA assist: Does not apply to ICDS activities. Leave the box blank.
19. Number of days physically conducting the activity Enter the number of days to conduct the
inspection/evaluation
20. Number of hours spent physically conducting the activity: Enter the number of hours it took to conduct the
inspection/evaluation
21. Compliance Monitoring Action Outcome: Check one of the outcomes associated with the inspection/evaluation
(if known at the time of the inspection or evaluation)
22. MOA Priorities: These are the national priorities. Choose only one that applies to the inspection/evaluation
23. Regional Priorities: These are the regional priorities. Choose only one that applies to the inspection or
evaluation.
24. Did you Observe Deficiencies: Check YES or NO.
25. Communicating Deficiencies: If Yes to question #24, did you communicate the deficiencies to the facility?
Check YES or NO. EPA inspectors should follow the Regional policy on when and how to inform facilities of
deficiencies. Deficiencies are defined as readily observable violations of statues, permits, or regulations.
Deficiencies are NOT compliance determinations (further review by a compliance officer or attorney is needed to
determine actual violations).
26. Deficiencies Observed: Check one or more of the eleven (11) choices.
27. Actions Taken: Check YES if you observed the facility taking actions. Check only the action(s) actually
observed/seen, or write a short description of the action in the "Optional" section. These are not compliance
determinations. If the Reduced Pollution Box is checked, specify the pollutant(s): Other - any pollutant
besides listed below. Ammonia - NH3-N, ammonia nitrogen, ammonia as N, 5ftD-Biochemical Oxygen
Demand, COD- Chemical Oxygen Demand, 7U-Total Conform, TSS- Total Suspended Solids, SS, Settleable
solids, O/G- Oil and Grease, DO- Dissolved Oxygen, NOx- Nitrogen Oxides, SO2- Sulphur Dioxide, PM-
Particulate Matter, VOC- Volatile Organic Compound, CN- Cyanide, HAPs - Hazardous Air Pollutants, CO-
Carbon Monoxide, Metals- Hexavalent Chromium, Lead, Mercury, etc. You can write in other pollutants if not
listed. The Case Conclusion Data Sheet Training Booklet [November, 2000] provides additional information on
actions taken. The Training Booklet can be obtained by calling the Office of Compliance at 202-564-6004.
28. General Compliance Assistance: Check YES if the EPA inspector provided general compliance assistance
during the inspection or evaluation. Inspectors are not required to provide compliance assistance during
inspections. General compliance assistance includes distributing or sharing information on industry regulatory
compliance, ^pollution prevention, or technical written assistance materials or websites and EPA, state and local
assistance programs.
29. Site-Specific Compliance Assistance: Check YES if the EPA inspector provided site-specific compliance
assistance during the inspection or evaluation. Inspectors are not required to provide compliance assistance
during inspections. Site-specific compliance assistance is defined in the National Policy on the Role of the EPA
Inspector in Providing Compliance Assistance During Inspections, dated June 25, 2003.
Data Collection Process:
4 Inspectors should complete the ICDS form immediately after the inspection or evaluation is completed.
4 Completed forms should be forwarded to the first-line supervisor or designated alternate within five (5) days after
returning from either a single inspection/evaluation or a series of inspections/evaluations.
4 The first-line supervisor or designated alternate should review the ICDS for completeness and accuracy.
4 The first-line supervisor or designated alternate should then forward the form to the central data entry personnel for
entry of the data into ICIS.
Page 10
-------
Appendix E
PCB Manufacturers and Trade Names
Appendix E
PCB Manufacturers and Trade Names
Manufacturer
PCB Fluid Trade Name
Aerovox
Allis-Chalmers
American Corporation
Axel Electronics
Bayer (Germany)
Caffaro (Italy)
Capacitor Specialists
Chernko (Czechoslovakia)
Cornell Dubilier
Dings Company
Electrical Utilities Corporation
Electro Engineering Works
Electromagnetic Filter Company
Envirotech Buell
Eriez Magnets
ESCO Manufacturing Company
Ferranti-Packard Limited
General Electric
Geneva Industries
H.K. Porter
Helena Corporation
Hevi-Duty Electric
ITE Circuit Breaker
Hyvol
Chlorextol
Asbestol
Clophen
DK, Fenclor, Inclor
Dykanol
Eucarel
Pyranol
Askarel*
Askarel*
Pyranol
Askarel*
Non-Flammable Liquid
PCB Inspection Manual
E-1
August 2004
-------
PCB Manufacturers and Trade Names
Appendix E
Manufacturer
PCB Fluid Trade Name
Jard Corporation
Kanegafuchi (Japan)
Kuhlman Electric
Maloney Electric
McGraw Edison
Mitsubishi (Japan)
Monsanto (US and UK)
Monsanto (US)
Monsanto (UK and Japan)
Monsanto (UK and Europe)
Niagara Transformer Corporation
P.R. Mallory & Company
Power Zone Transformer
Prodelec (France)
R.C. Upteraff
R.F. Interonics
Reliance Electric Company
Research-Cottrell
Sangamo Electric
Sovol (USSR)
Sprague Electric Company
Standard Transformer Corporation
Stens Magnetics
Tobe Deutschmann Labs.
Universal Manufacturing Corporation
Uptegraff Manufacturing Company
Van Tran Electric
Wagner Electric
Westinghouse
York Electonics
Clorphen
Kennechlor
Saf-T-Khul
Elemex
Kennechlor, Santotherm
Aroclor
Therminol, Pydraul, Santovac 1 and 2
Santotherm FR
Pyroclor
Askarel*, EEC-18
Aroclor B
EEC-18
Phenoclor, Pyralene
Askarel*
Diaclor
Chlorinol
Askarel*
No-Flamol
Inerteen
Nepolin, Apirolio, Kaneclor
* Generic name for non-flammable insulating liquids.
Note: This list is a compilation of information from several data sources.
August 2004
E-2
PCB Inspection Manual
-------
Appendix F PCBs in Underground Mines
Appendix F
PCBs in Underground Mines
Underground mines present potential hazards unique to the mining environment and
specialized training is needed before an inspector goes underground. However, an
understanding of mines is necessary before training is considered. Therefore, this appendix is
divided into two major sections, "Use and Distribution of PCBs in Underground Mines," followed
by "Training and Safety."
Use and Distribution of PCBs in Underground Mines
As of January 1, 1982, PCBs used in mining equipment must be at a concentration under 50
ppm [§761.30(c)J. The discussion that follows explains how mines use PCBs. PCB electrical
equipment may be found in mines because electrical systems in mines follow the same general
pattern as any other industry.
General Description of Mines
All underground mines are categorized as either coal mines or metal/nonmetal mines. Each is
different in their operation and in their use of electrical equipment. Underground coal is most
frequently accessed via a ground-level entry leading to the coal seam. The entry, or "adit," may
include an electric trolley for personnel, equipment, or coal transportation, or the transportation
may be provided by rubber-tired vehicles. Often, coal is hauled out of the mine separately by a
conveyor belt. Either way, all personnel and equipment access is via the adit, which may be
level or inclined.
In "room-and-pillar" mining, the working area of the mine is divided into numerous sections by
"pillars," or columns of coal, that are left intact during mining for roof support. These columns
are left standing until the section is mined out, after which they too may be removed and the
roof allowed to collapse. Another type of coal mining is called "longwall" mining, in which
several hundred feet of a coal face is mined at once. As the machinery advances into the
seam, the roof is allowed to collapse behind it. The transformers that power the underground
equipment are located away from active working areas of the mine.
Coal mining also is done by hand, or with the use of hand-held equipment, when the seam is
not thick enough for the use of mining equipment. Such "low-seam coal" will not be of concern
to the PCB inspector since PCB electrical equipment will not be found underground in such
mines.
PCB Inspection Manual F-1 August 2004
-------
PCBs in Underground Mines Appendix F
Metal/nonmetal mines, which produce metal ores containing gold, silver, or lead, or nonmetal
resources such as salt and other minerals, often gain access to the ore via adits. More often
the access is gained via a vertical shaft. An elevator, which is used to transport both personnel
and ore, is operated from a surface-level shaft house that contains electric motors, controls, and
a hoist. The shaft may lead to a number of mining levels, much like an elevator in a building.
Working levels can be 10,000 or more feet below the surface and constitute miles of drifts.
Working levels are typically separated by 100 or more feet of rock. Transportation of material
and people in the mine can be by diesel or electric vehicle, train or other means. Mines vary
considerably in size, manpower, production capacity, and in the use of electrical equipment
underground. Ore may undergo primary crushing and milling underground or on the surface.
Whichever applies, ore or concentrates can be hoisted or pumped to the surface or can be
transported horizontally, by train, truck or pipeline to the surface.
All mines have fresh air ventilation systems and personnel escape routes that are incorporated
into the mining plan. Health and safety compliance is enforced by the Mine Safety and Health
Administration (MSHA), which conducts unannounced quarterly inspections of each mine.
Federal law provides for mandatory personal safety equipment and training, as discussed later
in this appendix.
PCBs in Underground Equipment
Underground mines can have a high demand for electric power, both on the surface and
underground. Both coal and metal/nonmetal mines may use high-voltage/high-amperage
equipment on the surface for ventilation, shaft equipment, coal or rock loading facilities, and
associated ore mills. PCB Transformers can be found at the mine's primary electrical
substation (located on the surface), at areas of power use such as an associated mill, shaft
house, or ore loading facility, or in the mine's equipment storage area. PCB Capacitors may be
found in motor control boxes, transformer locations, loading facilities, or in storage areas.
Underground equipment can also have high-current requirements. Coal mining makes
substantial use of electrical coal-cutting machines (such as "continuous miners"), conveyors,
mobile loading machines, drilling machines shuttle cars, and water pumps. Metal/nonmetal
mines may have a number of electrical applications underground, including vehicles, crushers,
pumps, etc. These applications are significantly different from coal and thus these mines are
discussed separately below.
PCBs in Coal Mines. In coal mines, high voltage (1,000 to 13,000 volts AC) from a mine's
primary substation is typically cabled underground to smaller distribution substations to provide
lower voltage for trolleys, continuous miners, conveyor belts, groundwater pumps, and other
equipment. High-voltage cables are normally suspended from the roof, or "top," along primary
access routes. Many coal mines have replaced transformers with "mobile power centers."
These power centers are rectangular steel enclosures measuring approximately 22 feet long, 6
August 2004 F-2 PCB Inspection Manual
-------
Appendix F PCBs in Underground Mines
feet wide, and 3 feet tall. They are mounted on skids and contain a dry-type transformer. Coal
mine operators prefer these units because they are designed for rugged use. According to
industry sources, about 10 percent of them contain capacitors. Units that were manufactured
up until the late 1970's may contain PCB Capacitors. One model that contains PCB capacitors
is a 4,160 volt, 500 kV unit manufactured by Hubbel Ensign Company. Other models may have
also been manufactured with PCB Capacitors, and there may be no indication on the enclosure
that PCBs are located inside. Other manufacturers of mobile power centers include, but are not
limited to, Line Power Manufacturing, Pemco, Service Machine Company, MCI Corporation, and
Sasser.
Inspecting mobile power centers requires some planning because the units must be de-
energized in order to look inside. If the mine is in production, it may not be possible to inspect
the units that are in service until there is a change in work shift. Mines that operate around the
clock normally have three shifts in each 24-hour period, with approximately one-half hour of
nonproduction activity per shift. If the mine is on standby, meaning that it is not producing but
the mine is being maintained by a small crew, then it should be possible to shut off power to all
units for the purpose of inspection. It is reasonable for the inspector to request that the mine
operator shut power to the units s/he intends to inspect, and that mine personnel remove the
steel cover plates to enable you to look inside, when the unit is not in active service. Shutting
power and removing the covers are routine operations. In some models, removal involves
unbolting the top panels and sliding them to the side. Access to the inside may vary with the
model.
The manufacturer's nameplate should provide information about the type of dielectric fluid in the
capacitor. If they are PCB Capacitors, examine the casing and the area below the capacitor.
Leaks may be common in these units because of their age and rugged use environment. As
usual, follow standard precautions when inspecting electrical equipment. The capacitors will
retain a charge after the power has been shut off. Do not place any part of your body within the
mobile power center's enclosure.
PCBs were also used as a coolant in the electric motors of continuous coal miners and loaders
manufactured by Joy from 1961 to 1973; some 652 of the units were still in service in 1973,
requiring some 23,000 kilograms of PCBs per year for "topping off." Electric motors in mine
equipment are usually rebuilt every 5 years or less. A mine that has been in uninterrupted
operation since 1973 would not be expected to have PCB-filled electric motors today. However,
there may be motors in storage. Also, a mine may have closed in the early 1980s and
reopened recently, and may therefore contain such motors; or there may be older, disabled
equipment abandoned in the mine. There is also evidence that PCB hydraulic fluid was used in
mining equipment, although the amount and specific applications are not well documented.
Be aware that EPA has little information concerning the disposition of the PCB Transformers
that were used in coal mines prior to the advent of dry-type mobile power centers. However,
PCB Inspection Manual F-3 August 2004
-------
PCBs in Underground Mines Appendix F
there is reason to believe that some mine operators may have abandoned their PCB
Transformers in the mine. Economics may have played a role in such abandonment due to the
cost of mine labor. Like other equipment, the salvage value of PCB Transformers may have
been less than the cost of removal. Also, after the enactment of TSCA and the PCB rules, PCB
Transformers became increasingly less attractive on the transformer resale market. It is useful
to inquire whether there are any liquid-filled transformers in the mine, even if the mine uses only
the mobile power centers. It is possible that there are transformers stored or abandoned in
nonproducing sections of the mine.
PCBs in Metal/Nonmetal Mines. Unlike coal mines, metal/nonmetal mines did not replace
their PCB Transformers with mobile power centers. In 1981, the U.S. Bureau of Mines
estimated that 1,300 PCB Transformers were in use in underground metal/nonmetal mines.
This estimate was an extrapolation based on limited data. More recent data from the Centers
for Disease Control (CDC), and from EPA's enforcement experience, suggests that this figure
may have been low.
Metal/nonmetal mines will most likely have one or more shaft houses leading to different
sections of the mine. If there is a shaft house or mine section that is not in operation, inquire
about the location of electrical equipment there. Although it may not be possible to inspect the
equipment, such information may be useful should an enforcement action be taken.
Ask the mine representative to show you the location of all liquid-filled capacitors and
transformers. It is useful to examine the mine map before going underground, since the
transformer locations may be indicated there. Transformers are typically located near the shaft
entry at each level, or in a larger mine may be distributed throughout the mine section.
Additional indication of transformer location can be determined by the size of the conductors. If
you see large-gauge conductors leading somewhere, inquire about the equipment they serve
and whether there are additional transformers there.
Additional Inspection Tips
It may be worthwhile to contact MSHA prior to inspection for information and planning purposes
(you may also need to contact MSHA for specific certification and training, as described in the
next section). For example, MSHA personnel can tell you how much time it may take to inspect
a particular mine, what the shift schedules are, the general compliance policy of the
owner/operator, and who you should expect at the entry conference. MSHA can also tell you
whether the mine is in active operation or on standby and can supplement information provided
in the PCB Checklist for many mines.
Most mines should have a mine map indicating the locations of electrical substations. It is
helpful to review this map during the entry conference when planning your inspection
underground.
August 2004 F-4 PCB Inspection Manual
-------
Appendix F PCBs in Underground Mines
Frequently, mines will keep scrap equipment in outdoor storage yards for spare parts. These
areas may contain PCB Transformers, older mobile power centers with PCB Capacitors, electric
motors, containers of PCB hydraulic fluid, and other equipment with PCBs. Inspecting this area
before entering the mine can give you a sense of the equipment being used underground.
Inspectors should also inquire about underground storage areas, particularly in large or old
mines.
Training and Safety
Inspections at mines are essentially the same as inspections at any facility that uses or stores
PCB electrical equipment. The main difference is the equipment and training needed to enter a
mine. This section describes the equipment and training requirements.
General
MSHA accident data indicates that mining is one of the most hazardous industrial occupations
in the United States. While mine safety is strictly regulated under Federal and State law, there
are hazardous conditions in an operating mine that are not encountered in other facilities.
Specialized training is needed for EPA inspectors. This section will identify the regulatory
training requirements for mine entry, and where the inspector can obtain training.
Equipment
30 CFR Parts 48, 57, and 75 set forth a number of health and safety requirements for both coal
and metal/nonmetal mines. This section describes the general requirements that apply to
persons who enter a mine.
D Breathing Devices
Self-Contained Self-Rescuers (Coal)
Under 30 CFR 75.1714, all persons who enter an underground coal mine
must carry or have within easy reach a self-contained self-rescuer
(SCSR). These units are carried on the belt and provide oxygen in the
event of fire. The units produce oxygen via a chemical reaction; some
units may have oxygen tanks. Oxygen production continues for at least
one hour, providing the user more time to reach the surface through the
designated escape passageways. Training in the use of this equipment
can be provided by the mine operator, or by the local MSHA office.
PCB Inspection Manual F-5 August 2004
-------
PCBs in Underground Mines Appendix F
Self-Rescuers (Metal/Nonmetal)
Under 30 CFR 57.15030, all persons who enter an underground metal/nonmetal
mine must carry a self-rescuer (SR). Unlike SCSR's, these units merely convert
carbon monoxide to carbon dioxide. They are smaller and easier to operate than
SCSR's. However, they cannot be used in coal mines. The mine operator or the
local MSHA office can provide training in the use of this equipment.
Steel-Reinforced Footwear
Persons entering a mine must, at a minimum, wear boots with steel-reinforced
toes. In some States the law requires full reinforcement from the toe to the top of
the instep.
EPA inspectors normally carry steel-toe boots. The inspector may want to
consider obtaining fully-reinforced boots, and if the mine is wet, to use boots
made of a waterproof material.
D
D
Miners carry battery-powered cap lamps that attach to the hardhat. Hardhats
intended for mining use have a clip to which the lamp is attached. The battery is
carried on a belt.
All persons entering an underground mine must leave their identification tag at
the mine's main office. The tag is usually made of brass and is stamped with the
person's name and social security number. Alternatively, the inspector can leave
a slip of paper at the mine office with the same information. This records the
inspector's entry into the mine in the event of a mine emergency.
Hardhats
Hardhats are required when on mine property. Hardhats intended for mining
have a clip to which the cap light is attached. In some mines, a distinctively-
colored hardhat is required for all visitors, as they are for all new miners, which
the mine's management may want to provide for inspectors.
August 2004 F-6 PCB Inspection Manual
-------
Appendix F PCBs in Underground Mines
D Eve Protection
All persons are required to wear safety glasses, goggles or face shields or other
suitable protective devices when in or around are area of a mine where a hazard
exists which could cause injury to unprotected eyes.
Training and Supplies
Under 30 CFR 48.31, mine operators must provide training for new miners in the following
areas:
D Hazard recognition and avoidance
D Emergency and evacuation procedures
D Safe working procedures
D Self-rescuer and respiratory devices
D Such other instruction as determined by the MSHA District Manager.
This training is focused on personnel who will be working in the mine and thus exposed to
hazards associated with mine production activities. Other than training in the use of SCSRs
or SRs, there are no similar training requirements for EPA inspectors or other temporary
visitors in the mine. An inspector can obtain this training at the mine just prior to an
inspection. Mine opertors can often supply all necessary equipment except for boots. The
principal safety precaution for all mine visitors is to accompany a mine representative at all
times, however, the inspector may still be asked to sign a release absolving the company of any
liability should the inspector be injured. In general, EPA's policy is that inspectors should not
sign such releases. In addition, before an EPA inspector enters a mine, s/he should become
familiar with mine operations and general safety procedures. The following sections describe
the training resources available to the EPA inspector.
Mine Safety and Health Administration. MSHA District, Subdistrict, and Field Offices can be
consulted for training prior to conducting an inspection.1 MSHA can provide training in the use
of SCSRs (coal) and SRs (metal/nonmetal), and the equipment should be available on loan.2
JThe EPA Regional Office should have a copy of the MSHA Directory; alternatively, the MSHA
Headquarters Office can provide the inspector with the local MSHA contact for training purposes.
The inspector may contact the Coal Mine Safety and Health Division at
(703)235-9423 and the MetaI/Non metal Mine Safety and Health Division at (703)235-1565.
2 A training video entitled "An Efficient Method for Donning the SR-100," a type of SCSR, has been
distributed to the Regional Pesticides and Toxics Branches.
PCB Inspection Manual F-7 August 2004
-------
PCBs in Underground Mines Appendix F
The inspector may also borrow hard hats, cap lamps, and utility belts, and obtain information on
vendors that supply name tags. In addition, the MSHA local office may be able to provide mine-
specific training in hazard recognition and avoidance, and the mine's emergency evacuation
procedures.
MSHA also operates the National Mine Health and Safety Training Academy, which is an
excellent training facility in Beckley, West Virginia. The facility offers a wide range of training
courses. These courses are offered free or at low cost to government inspectors and the facility
provides room and board. EPA inspectors should take "Introduction to Mining" offered by the
Academy to become familiar with the various mining operations and general safety procedures.
The Academy continually develops and modifies is safety training programs, and may suggest
additional training courses depending on the timing and availability of the courses offered. The
address and telephone number are as follows:
U.S. Department of Labor
Mine Safety and Health Administration
National Mine Health and Safety Academy
1301 Airport Road
Beaver, West Virginia 25813-9426
(304) 256-3257
U.S. Environmental Protection Agency. There are several EPA inspectors who have
experience in underground mine inspection. In addition to the training available through MSHA,
it may be possible for the experienced inspectors to train new inspectors in the field. Contact
the Office of Enforcement and Compliance Assurance/Office of Compliance/Compliance
Assessment and Media Programs Division/Compliance Monitoring and Water Programs Branch,
for further information.
August 2004 F-8 PCB Inspection Manual
-------
Appendix G PCBs in Natural Gas Pipelines
Appendix G
PCBs in Natural Gas Pipelines
Background
Major interstate natural gas pipelines (NGPs) transport natural gas from production areas on the
Gulf Coast and western US to local distribution companies (LDCs) that distribute the natural gas
to industrial and urban customers. PCBs were used in turbine and air compressors as a
hydraulic/lubricant and a plug valve sealant by some large interstate natural gas transmission
pipeline companies and by some smaller LDCs. Some pipeline companies may have had PCB
Transformers and/or PCB Capacitors at large compressor stations and/or maintenance facilities.
Between 1950 and the early 1970's, Monsanto manufactured and sold several brands of
hydraulic/lubricant oils containing PCBs. These included Turbinol 153 that contained 6.4%
Aroclor 1221 and 81.5% Aroclor 1242, Santovac 1 and 2 containing 100% 1248 and 1254,
respectively. In addition, several Pydraul-brand oils containing both PCBs and PCTs (poly-
chlorinated terphenyls) containing Aroclors 1221, 1242, 1248, and 1254 with PCB content
ranging between 20% and 70%. Note that the early PCT oils were found to be contaminated
with PCBs between 2 and 10% and therefore should be assumed to contain PCBs.
At some compressor stations, the PCBs above were used in large turbine compressors. As part
of the normal operation, PCB compressor lubricants could leak or blow by pressure seals and
enter the transmission pipeline. These PCBs would generally mix with the "pipeline liquids"
already in the transmission lines. The main components of pipeline liquids are water and
heavier hydrocarbons that condense-out ("condensate") of the natural gas as pressure drops
along the pipeline. Pipeline liquids may also contain metal-based corrosion inhibitors and other
liquids (methanol) that were added to the pipeline when cleaning ("pigging") the lines. These
liquids traveled through the pipeline and entered other companies' pipelines via numerous
interconnections. The liquids/condensate are removed downstream at compressor stations and
other condensate collection ("drip") points along the pipeline. PCBs pipeline liquids were
illegally disposed of in unlined earthen pits, vented to the atmosphere and surface soils at
various equipment blowdowns, used as herbicides on station fence-lines, and used for dust
control on roads. Examples of past cases/settlements involving the use of PCBs in turbine
compressors include the Texas Eastern Gas Pipeline Company and Transwestern Gas Pipeline
Company.
PCB Inspection Manual G-1 August 2004
-------
PCBs in Natural Gas Pipelines Appendix G
At some compressor stations, Monsanto-brand Pydrauls were used in reciprocating air
compressors to start the main natural gas compressors or turbines and to power hand tools.
These air compressors were not directly connected to the pipeline. PCBs used as air
compressor-lubricants did not normally enter into the gas pipeline and were used in much
smaller quantities than PCBs used in the large natural gas turbine units. Air compressor "water
& condensate" containing PCBs was routinely formed in air receiver tanks or bottles. This
"water & condensate" mixture was vented to the atmosphere and surface soils from receiver
tank or bottle blowdown valves. PCBs may have also been captured by the wastewater
drainage control or treatment systems at some compressor stations, thereby contaminating the
systems. Some examples of past cases or settlements involving the use of PCBs in
reciprocating air compressors include the Tennessee Gas Pipeline Company, Columbia Gas
Pipeline Corporation, and Transcontinental Gas Pipeline Company. Note that these air
compressor and air compressor systems were required to be decontaminated via alternate
disposal permit and/or air compressor system decontamination guidance.
Rockwell made a plug valve sealant (No 860 and 991) that contained PCB Aroclor 1268
sometime prior to the mid-1970s. The PCB sealant or grease was apparently dissolved by
transmission pipeline condensate and spread to other downstream locations.
PCBs are also present in natural gas pipelines as a result of the historical practice of oil fogging.
Oil fogging was a gas conditioning technique used in natural gas pipelines in the late 1940s
through the late 1960s. This technique minimized dust entrainment in the gas stream and
reduced leaks in cast iron pipe joints by keeping the packing material moist. Reclaimed
transformer and waste oils, probably containing PCBs, were used in the oil fogging process at
some pipelines. By the late 1960s the practice of oil fogging had largely disappeared. Welded
steel pipe now replaces cast iron pipe in most pipelines, and the remaining cast iron joints may
be sealed with bell joint clamps. Dry filters now in use remove dirt and rust entrained in the gas
stream. Nevertheless, the residues from prior oil fogging may still remain in parts of natural gas
pipelines.
In 1981, EPA discovered PCBs in pipeline liquids in Long Island, NY. Consequently, EPA, the
states and industry formed a cooperative task force to address this problem. Extensive
sampling of pipeline transmission liquids revealed that 13 major natural gas interstate
transmission companies and a number of regional LDCs had PCB contamination greater than
50 ppm in their transmission lines. EPA Headquarters retained the responsibility for
implementing remedial programs with the interstate gas transmission companies. EPA regional
offices worked with states, public service commissions, and the local utilities to determine the
extent of PCB contamination and established remedial monitoring programs with the LDCs.
In late 1981, EPA Headquarters instituted a Compliance Monitoring Program (CMP) for the 13
interstate companies with PCBs greater than 50 ppm in their pipelines. The CMP had four basic
objectives: (1) contain the contamination to limited areas; (2) eliminate any further entry of
August 2004 G-2 PCB Inspection Manual
-------
Appendix G PCBs in Natural Gas Pipelines
PCBs into the pipeline system; (3) remove known contamination from the system and ensure its
proper handing and disposal; and (4) perform periodic monitoring of each companies pipeline
system.
In 1981, the use of PCBs at greater than 50 ppm in a non-totally enclosed manner was
prohibited by 40 CFR §761.20(a). EPA decided that it would not bring enforcement actions
against the 13 companies for the improper use of PCBs as long as they participated in EPA's
CMP and undertook measures to reduce PCBs in their pipeline systems. The 13 CMP
companies were required to comply with all other aspects of the PCB rule and other applicable
laws and regulations. Thus, the 1981 CMP allowed the use of PCBs in natural gas
transmission lines subject to certain conditions, including the proper disposal of PCB wastes
and compliance with applicable federal and state laws. The 1981 CMP did not grant immunity
to any of the participating companies from enforcement if violations were discovered. The 1981
CMP has not prevented EPA from taking judicial or administrative enforcement actions against
participating companies such as Texas Eastern Gas Pipeline Company, Transwestern Gas
Pipeline Company, Tennessee Gas Pipeline Company, Columbia Gas Pipeline Corporation and
Transcontinental Gas Pipeline Company. Several states have also taken enforcement actions
against companies participating in the CMP.
The CMP was revised in 1996 for ten remaining companies still participating in the program. A
detailed description of the 1981 and 1996 revised CMP was sent to the Regions on December
24, 1996. Under the revised CMP, each participating company was required to submit their
Annual "PCB Condensate" Compliance Monitoring Report to EPA by June 15th of each year.
Promulgation of 1998 PCB disposal amendments terminated the 1996 PCB CMP. The 1998
rule revised the use authorization for natural gas pipelines at 40 CFR Part 761.30(i) to permit
the use of PCBs in natural gas pipelines at greater than 50 ppm under certain conditions.
Regulatory Requirements
The regulations governing the use of PCBs in natural gas pipeline systems are found at Section
761.30(i)(1). See also Section 4.1.9 Natural Gas Pipeline Systems Chapter Four.
Inspection Focus
The general inspection procedures detailed in this manual should be followed when conducting
PCB inspections of natural gas pipeline sites. The inspector should evaluate the following likely
PCB locations (sources of PCB contamination) for evidence of potential violations of PCB
regulations:
D PCB Sources
Natural Gas Turbine Compressors
Air Compressors
Condensate Drip Points
PCB Inspection Manual G-3 August 2004
-------
PCBs in Natural Gas Pipelines Appendix G
Condensate Scrubbers (oil scrubbers may have PCBs)
Pig Launchers and Receivers.
Wastewater/Oils Treatment System
PCB Storage
Condensate Storage Tanks
Condensate and Oil Scrubber Storage Tanks
Waste Oil Storage Tanks
Wastewater Storage Tanks
PCB Disposal
Slowdown Vents (all types of compressors and equipment)
Burn Pits
Burn Barrels
Surface Disposal (Soil, Drains, Floor)
Condensate Disposal
Condensate Scrubber Disposal
Dehydration Material Disposal
Wastewater and Storm Water Discharge Points.n
August 2004 G-4 PCB Inspection Manual
-------
Appendix H Submersible Pump Units that Contain PCBs
Appendix H
Submersible Pump Units that Contain
PCBs*
The following pump units, which are identified by manufacturer's model and serial number, are
potential sources of PCB contamination in well water.
Dempster Industries: Prior to 1964, Dempster may have distributed pump units manufactured
by REDA and Sta-Rite that may have contained PCBs. Use the REDA and Sta-Rite
identification data for those pump units.
F.E. Myers: Models SF and SF-2, two wire units manufactured from 1964 through 1970 in 1/3 to
1 horsepower and models SG and S2G, two wire units manufactured from 1970 through 1976 in
1/3 to 1 horsepower with date codes prior to 1976 are included. Some S2X models
manufactured before 1979 utilized capacitors that contained less than 50 parts per million of
PCBs. The date code is located on the motor casing and on a nameplate or tag in the format
MMYY, e.g., 1177 signifies November 1977.
Fairbanks Morse: Two wire units manufactured from 1964 through January, 1979 have a coded
alpha numeric date code on the nameplate. These include the Colonial series and the Chateau
series units with date codes of J_, K_, L_, M_, N_, P_, R_, S_, T_, V_, W_, X_, A_, B_, C_, and
DA. The blanks are filled with additional characters.
Modified from Appendix I: Submersible Pump Units that are Known to Contain PCBs of "The Potential
for Drinking Water from Submersible Well Pumps," Wisconsin Department of Natural Resources,
Bureau of Water Supply, PUBL-WS-025-92.
PCB Inspection Manual H-1 August 2004
-------
Submersible Pump Units that Contain PCBs Appendix H
SERIES
Colonial
Chateau
MODEL NUMBERS
A2-2507
A2-3309
A2-5012
A2S-3309
A2S-5012
A2S-7517
A2S-10021
C2-3306
C2-751 1
C2S-3306
C2S-5008
C2S-751 1
C2S-10014
E2-7509
E2-10011
E2S-7509
E2S-10011
E2S-15015
G2-1009
G2S-1009 273
G2S-15012 275
277
Johnston Water Systems: Peabody Barnes manufactured these pumps. Models include:
V507-31 V513-52 V909-51 VSP913-75 V317-150
V507-32
V509-31
V509-32
V513-51
V523-100
V531-100
V906-31
V906-32
V909-52
V913-75
V917-100
V923-150
VSP909-52
VSP909-51
V1 309-75
V313-100
V1 306-51
V1 307-52
V1 809-1 00
V1 81 3-1 50
Montgomery Ward: Peabody Barnes manufactured these pumps. Models include:
3677A 3679A 3681C 3682E 3684D 24623
3677B 3679B 3681D 3683C 3675A 24625
3678A 3680C 3682C 3683D 3675B
3678B 3680D 3682D 3684C 3675C
Peabody Barnes: Two wire units are identified with the letter "W" as part of the model number,
e.g., 409W52. In 1977, an "N" was added to the model number, e.g., 409W52 became
409WN52. The date codes are the last 3 or 4 digits of the coding, showing month, then year of
manufacture, e.g., 409WN52-67753-1279 signifies a two wire unit manufactured in December
1979. Codes are on a stainless steel band located around the discharge neck of the pump.
August 2004 H-2 PCB Inspection Manual
-------
Appendix H Submersible Pump Units that Contain PCBs
REDA: Two wire units have a date code on the nameplate with the format MMYY, e.g., 0877
signifies August 1977. All models listed below with a year code of 79 or less are included. All
motors had the serial number stamped on the head of the motor preceded by the four digit date
code.
41100
41101
41120
42070
42090
42091
42121
42131
42171
42181
42251
43091
43171
43181
43121
43131
44091
44251
7D9P030
7D9P031
9D5P031
9D6P030
9D9P050
9D9P051
4D35P101
6D35P151
7D18P071
10D18P101
12D5P050
12D5P051
12D9P071
14D18P151
17D5P071
17D9P101
23D5P101
23D9P151
312X7P050
314X4P050
320X4P050
32D5P151
Red Jacket: The capacitor is encapsulated in a plastic housing and the unit is fastened to the
bottom of the motor. Although these units are less likely to leak PCBs, there are confirmed
cases of PCB contamination from Red Jacket pump motors. Motor Models include two wire
units with the designations "BV", "BVC", "C", "W, and "RW, 1/3 through 1-1/2 horsepower. The
model designation appears as the first part of the identification number, e.g., BV 300-2 or
50WO-9BC.
The date of manufacturer is on the motor housing and on the pump. Codes include:
1968 MC_andNC_ 1973 AH_ through NH_ 78
1969 AD_ through ND_ 1974 AK_ through NK_ e.g. 20378 signifies the 2nd week of
1970 AE_ through NE_ 1975 AL_ through NL_ March 1978
1971 AF_ through NF_ 1976 AM_ through NM_
1972 AG_ through NG_ 1977 AN_ through NN_
e.g. 3FHR signifies the 3rd week of June, 1973
STA-RITE: Two wire units have a date code on the nameplate with the format MYY. The month
is coded as a letter from "A" to "M" and the year as a number, e.g., B77 signifies February 1977.
Units dated 1979 or earlier are included.
NOTE: Some three wire motors with Sta-Rite labels have been verified containing PCB.
PCB Inspection Manual H-3 August 2004
-------
Submersible Pump Units that Contain PCBs Appendix H
Blank Page
August 2004 H-4 PCB Inspection Manual
-------
Appendix I Incinerators
Appendix I
Incinerators
Except as specifically provided by regulation (see §761.60[a]), PCBs at concentrations of 50
ppm or greater must be disposed of in a high temperature incinerator. 40 CFR 761.70 requires
high temperature incineration facilities to meet certain technical (e.g., operating and monitoring)
requirements. (Technical criteria are discussed in the operating requirements section of the
regulatory review, below.) Persons may dispose of any PCBs or PCB Items (e.g., liquid and
nonliquid PCBs, PCB articles) by incineration; persons must dispose of some items (e.g., liquid
PCBs 500 ppm and above) by incineration. The regulations authorize disposal methods other
than incineration (e.g., chemical waste landfills) for disposal of PCBs and PCB Items under
certain circumstances.
The owner or operator of a PCB incinerator may not dispose of PCBs unless they receive
written approval of the appropriate Regional Administrator or, under certain circumstances, the
Director of the National Programs Chemical Division (NPCD) (at Headquarters). The owner or
operator must include the following in the application for approval: location of the incinerator,
engineering reports on facility performance, and available sampling and monitoring equipment.
The inspector must obtain the facility's approval document and refer to it during the inspection.
The inspector should verify compliance with the approval document as well as the regulations.
The Regional Administrator or the Director, NPCD may require the facility to conduct a trial burn.
If so, the Regional Administrator or the Director, NPCD must notify the owner or operator of this
requirement. Prior to disposal, the owner or operator must submit a detailed plan for conducting
and monitoring the trial burn and receive approval of the plan from the Regional Administrator or
the Director, NPCD.
Once the Regional Administrator (or the Director, NPCD) determines that the incinerator meets
all regulatory requirements, he will issue a written, signed approval stating all requirements
applicable to the facility. The final approval may contain the following items:
Technical requirements
Person(s) authorized to operate the incinerator
Owner(s) of the facility
PCB Inspection Manual 1-1 August 2004
-------
Incinerators Appendix I
Additional requirements (if any) necessary to ensure that the operation of the
facility does not present unreasonable risk to health or the environment
Period of time for which the approval is valid (if limited)
Waivers (if any) from one or more of the technical requirements if there is a
finding, based upon evidence submitted by the owner or operator, that the
incinerator will not present an unreasonable risk if one or more of the
requirements are not met.
Acceptable for Disposal
Liquid PCBs 500 ppm and above must be disposed of by incineration; other liquid
PCBs (with PCB concentrations between 50 and 500 ppm) may be disposed of
by incineration or by other methods as allowed by the following regulations:
§761.60(a)
§761.60(a)(1) - Mineral oil dielectric fluid may be disposed of in a high
efficiency boiler according to § 761.71 (a).
§761.60(a)(2) - Liquids other than mineral oil dielectric fluid may be
disposed of in a high efficiency boiler according to § 761.71 (b).
§761.60(a)(3) - Liquids from incidental sources, such as precipitation,
condensation, leachate or load separation and are associated with PCB
Articles or non-liquid PCB wastes may be disposed of in a chemical
waste landfill which complies with § 761.75 if information is provided to or
obtained by the owner or operator of the chemical waste landfill that
shows that the liquids do not exceed 500 ppm PCB and are not an
ignitable waste as described in § 761.75(b)(8)(iii).
All other PCBs and PCB Items are acceptable at an approved incinerator. These
PCBs and PCB Items include, but are not limited to, non-liquid PCBs with at least
50 ppm in the form of rags, soil, or other debris; dredged materials and sludges;
articles; and PCB containers. §761.60(b) and §761.60(c)
The following tables provide an overview of the regulatory requirements and inspection
procedures related to incinerators used to dispose of PCBs.
Inspectors must be familiar with §§761.60 and 761.70 and conditions of the PCB approval for the
incinerator before conducting the inspection. Note that incinerators for PCB liquids must meet
all of the requirements specified in §761.70(a)(1 )-(a)(9). The inspector should check for any
waivers as provided for under §761.70(d)(5).
August 2004 I-2 PCB Inspection Manual
-------
Appendix I
Incinerators
Regulatory Requirements
Inspection Procedures
Notice Requirements (§761.60)
Owners/operators must notify the State and
local governments, within whose jurisdiction
the incinerator is located, at least 30 days
before the facility is first used for disposal of
PCBs. §761.60(f)(1)(i)
At the request of any State or local
government, owners/operators must provide
an annual notice to the government of the
quantities and general description of PCBs
disposed of during the year no more than 30
days after the end of the year covered.
§761.60(f)(1Kii)
Check PCB databases at
http://www.epa.gov/pcb/data.html
to check if facility submitted required notices
and check facility files to ensure their
records are properly kept.
PCB Inspection Manual
I-3
August 2004
-------
Incinerators
Appendix I
Regulatory Requirements
Inspection Procedures
Recordkeeping Requirements (§761.180)
Owners/operators must measure and record
the rate and quantities of PCBs fed into the
incinerator at least every 15 minutes
§761.180(c)(1)(i)
Owners/operators must continuously
measure and record the temperatures of the
incineration process by either:
Direct temperature readings
(pyrometer)
Indirect temperature readings
(wall thermocouple-pyrometer
correlations).
Owners/operators must monitor and record
combustion products and incineration
operations for the following parameters
whenever the incinerator is incinerating
PCBs:
O2 and CO Continuous monitoring and
recordkeeping
CO,
Periodic monitoring and
recordkeeping specified by the
Regional Administrator.
§761.70(a)(7)and
Verify and review monitoring records
indicating:
Rate and quantities of PCBs fed into
incinerator
Determine if the temperature of
incineration is maintained at 1200°C
(± 100°C) for2-second dwell times
or 1600°C (± 100°C) for 1.5-second
dwell times.
Check facility operations records or facility
monitoring logbook for compliance with
required monitoring frequency. Use these
records to verify that 2% (1 .5-second dwell
time at 1600°C) or 3% (2-second dwell time
at 1200°C) oxygen is maintained in the stack
gas and to verify that combustion efficiency
(CE) is at least 99.9% using the following
equation.
CE=
X100%
([C02] + [CO])
August 2004
I-4
PCB Inspection Manual
-------
Appendix I
Incinerators
Regulatory Requirements
Inspection Procedures
Owners/operators must monitor and record
stack emissions when:
The incinerator is first used for PCB
disposal
The incinerator is first used after it has
been modified in a way that may affect
stack emissions. §761.180(c)(2)
Owners/operators must monitor and record
the following stack emissions when
monitoring is required:
02
CO
CO2
NOY
HCI
RCI
PCBs
Total Particulate Matter
§761.70(a)(6)(iii) and §761.180(c)(2)
Owners/operators must keep records of the
total weight (kg) of:
Solid residues generated by the
incineration of PCBs and PCB Items
during the calendar year
Any solid residues disposed of in
chemical waste landfills
Any solid residues remaining on the
facility site. §761.180(c)(3)
The Regional Administrator may require the
owners/operators to collect additional
periodic data as specified by in the approval
document. §761.180(c)(4)
Each owner or operator of a PCB incinerator
must collect and maintain the information
required under §761.180(b) and (c) for 5
years. §761.180(c)
Check facility operations records or facility
monitoring logbook for compliance.
Check facility records for compliance.
Check the approval document to see if
additional data are required to be collected
by the facility. Then, check facility records
to see if such data have been collected.
Check facility records for compliance.
PCB Inspection Manual
I-5
August 2004
-------
Incinerators
Appendix I
Regulatory Requirements
Inspection Procedures
Upon suspension of operations pursuant to
§76170(a)(8), the owner/operator must
prepare and submit to the Regional
Administrator within 30 days of suspension a
document including the date and time of
suspension and an explanation of
circumstances causing the suspension.
§761.180(c)(5)
Prior to transferring ownership of an
incinerator, the owner/operator must notify
EPA 30 days in advance of the transfer and
provide a notarized affidavit signed by the
transferee stating that the transferee agrees
to abide by the EPA approval document.
§761.70(d)(8)
Check EPA correspondence file for
compliance.
If applicable, check EPA files for transfer
notice and affidavit.
August 2004
I-6
PCB Inspection Manual
-------
Appendix I
Incinerators
Regulatory Requirements
Inspection Procedures
Operating Requirements for Liquid and Non-Liquid PCBs
Owners/operators must maintain
combustion efficiency at a rate of at least
99.9%, as computed below:
Combustion efficiency = Cco2/(Cco2 +
Ceo) x 100
where:
Cco2 = Concentration of carbon dioxide
Ceo = Concentration of carbon monoxide.
§76170(a)(2) and §761.70(b)(2)
Owners/operators must use water scrubbers
to control HCI and must meet any
performance requirements specified by the
Regional Administrator or the Director of
NPCD. Owners/operators may use an EPA-
approved alternative method of HCI control
(e.g., cement kilns). §761.70(a)(9) and
§761.70(b)(2)
The flow of PCBs into the incinerator must
stop automatically if one or more of the
following conditions occurs:
Failure of monitoring operations for
combustion products and incineration
operation parameters
Failure of PCB rate and quantity
measuring and recording equipment.
§761.70(a)(8) and §761.70(b)(2)
Note: Alternatively, the owner/operator can
submit a contingency plan to the Regional
Administrator or the Director of NPCD for
approval indicating measures to be taken if
these conditions occur. §761.70(a)(8)
Owners/operators must store PCBs for
disposal under conditions complying with
§761.65, governing storage for disposal
requirements. S761.60(31(6')
When the incinerator is in operation, check
combustion efficiency records against the
required level.
Determine water scrubber compliance with
any required performance standards.
Check procedures and equipment used to
ensure fail-safe operations of the facility.
See Chapter Four regulatory provisions
pertaining to storage for disposal §761.65.
PCB Inspection Manual
I-7
August 2004
-------
Incinerators
Appendix I
Regulatory Requirements
Inspection Procedures
Liquid PCB Operating Requirements
Owners/operators must incinerate liquid
PCBs according to either of the following
combustion criteria:
Maintenance of the introduced liquids
for a 2-second dwell time at 1 ,20f> C
(+100* C) and 3% excess O2 in the
stack gas. §761.70(a)(1)(i)
Maintenance of the introduced liquids
for a 1 .5-second dwell time at 1 ,600
degrees C (+100* C) and 2% excess
O2 in the stack gas. §761 .70(a)(1 )(ii)
For liquid PCBs, the flow into the incinerator
must stop automatically if the following
conditions occur:
The excess O2 level falls below 3%.
(Alternatively, a contingency plan can be
submitted to, and approved by, the
Regional Administrator or the Director of
NPCD.) §761 .70(a)(8)
The combustion temperature falls below
that specified in the chosen combustion
criteria. §761.70(a)(5)
Check facility operating records for
compliance with the required combustion
criteria. (Verifying that the combustion
criteria are met is also outlined above in the
review of the monitoring requirements.)
Check facility operating records to verify that
flow to the incinerator stops automatically
when the required conditions occur.
Non-Liquid PCB Operating Requirements
The air mass emissions for the incinerator
must be no greater than O.OOIg PCB/kg
(destruction and removal efficiency [ORE] of
99.49%) of the PCB introduced to the
incinerator. §761.70(b)(1)
Check facility operating records for
compliance with air mass emissions.
August 2004
I-8
PCB Inspection Manual
-------
Appendix J Chemical Waste Landfills
Appendix J
Chemical Waste Landfills
According to §761.75, the owner or operator of a chemical waste landfill used for the disposal of
PCBs and PCB Items must obtain written approval from the EPA Regional Administrator prior to
use of the landfill for PCB disposal. The landfill must meet technical operating requirements,
but the Administrator, based on a finding of no unreasonable risk, may grant a waiver from one
or more of the technical requirements. To obtain approval, the landfill owner/operator must
submit to the Regional Administrator an initial report containing such items such as landfill
location, description of site, an engineering report describing how the landfill complies with PCB
regulations, and an operations plan. The inspector should obtain from the facility the approval
document and refer to it during the inspection. The inspector should verify compliance with the
approval document as well as the regulations.
Landfills must meet various requirements, including provisions pertaining to synthetic
membrane liners, flood protection, groundwater monitoring wells, and the development of an
operations plan. A landfill approval document from EPA may include the following items:
Technical requirements
A list of persons authorized to operate the landfill
Any additional requirements, at the discretion of the Regional Administrator,
where s/he finds that such requirements are necessary to protect human health
and the environment
The period of time for which the approval is valid (if limited)
Waivers (if any).
Acceptable for Disposal
The following list provides selected PCB and PCB-contaminated wastes acceptable for disposal
at chemical waste landfills:
Liquid PCBs (in concentrations of 50 to 500 ppm) that are from incidental
sources, such as precipitation, condensation, leachate, or load separation, and
are associated with PCB Articles or non-liquid PCB wastes if information is
provided to the landfill owner/operator showing that the PCB level does not
exceed 500 ppm and they are not ignitable wastes. §761.60(a)(3)
PCB Inspection Manual J-1 August 2004
-------
Chemical Waste Landfills Appendix J
PCB Transformers, if drained, filled with solvent, allowed to stand for 18 hours,
and then thoroughly drained. Solvents may include kerosene, xylene, toluene,
and other solvents in which PCBs are readily soluble. (Precautionary measures
should be taken to ensure that the solvent flushing procedure is conducted in
accordance with applicable safety and health standards as required by Federal
or State regulations.) §761.60(b)(1)(i)(B)
PCB articles (excluding transformers, capacitors, hydraulic machines, or PCB-
contaminated electrical equipment) with PCB concentrations > 500 ppm, if free-
flowing liquid is drained prior to article disposal. §761.60(b)(4)(ii)
PCB containers that have not been decontaminated if they have PCB
concentrations > 500 ppm and if liquid PCBs are drained prior to container
disposal. §761.60(c)(1)(ii)
Not Acceptable for Disposal
Liquid PCBs (in concentrations > 500 ppm). §761.60(a)
Liquid PCBs in concentrations < 50 ppm that are the result of dilution of liquid
PCBs > 50 ppm. §761.60(a)
Large PCB Capacitors with high- and low-voltage that contain 500 ppm or
greater PCBs (after 3/1/81) unless the Administrator finds that the capability for
incinerating PCB Capacitors is not available, or that such incineration will
significantly interfere with incineration of liquid PCBs, or that other good cause is
shown. §761.60(b)(2)(iii)(B), §761.60(b)(2)(v)
PCB small capacitors (after 3/1/81) owned by manufacturers of PCB Capacitors
or PCB equipment and acquired in the course of such manufacturing. (Other
small capacitors may be disposed of as municipal solid waste.) §761.60(b)(2)(iv)
The following tables provide an overview of the regulatory requirements and inspection
procedures related to chemical waste landfills used to dispose of PCBs.
August 2004 J-2 PCB Inspection Manual
-------
Appendix J
Chemical Waste Landfills
Regulatory Requirements
Inspection Procedures
Notice Requirements (§761.60)
When operating under a landfill waiver
pertaining to the disposal of dredged
materials and sludges, owners/operators must
give State or local governments within whose
jurisdictions the disposal will take place
written notice at least 30 days before
conducting disposal activities. §761.60(f)(2)
Each operator of a landfill shall give the State
and local government within whose
jurisdiction the disposal facility is located at
least 30 days notice before a facility is first
used for disposal. §761.60(f)(1)(i)
At the request of any State or local
government, owners/operators must provide
annual notice of the quantities and general
description of PCBs disposed of during the
year not more than 30 days after the end of
the year covered. §761.60(f)(1)(ii)
Check correspondence file for compliance
with notification requirements.
PCB Inspection Manual
J-3
August 2004
-------
Chemical Waste Landfills
Appendix J
Regulatory Requirements
Inspection Procedures
Recordkeeping Requirements (§761.180 & 75)
Owners/operators of chemical waste landfills
must establish and maintain for at least 20
years after the landfill is no longer used for
the disposal of PCBs the following records:
All records and the annual document log
required by §761.180(b) and (d) for
disposal facilities. Required records
include signed manifests, certificates of
disposal, water analyses, and operations
records with three-dimensional burial
coordinates. §761.180(d)
Water analysis data for PCBs, pH, specific
conductance, and chlorinated organics
obtained in accordance with
§761.75(b)(6)(iii). §761.180(d)(1)
PCB concentration in liquid wastes and
three-dimensional burial coordinates.
§761.75(b)(8)(iv). §761.180(d)(2)
Prior to transferring ownership of a chemical
waste landfill, the owners/operators must
notify EPA 30 days before the transfer and
provide a notarized affidavit stating that the
transferee agrees to abide by the EPA
approval document. §761.75(c)(7)
Check facility records against regulations
for all required records including: the
annual document log, signed manifests,
certificates of disposal, water analyses,
operations records with three-dimensional
burial coordinates, water analysis data,
PCB concentration in liquid wastes, and
three-dimensional burial coordinates.
Determine adequacy of water analysis
data.
Check for records of PCB concentration in
liquid wastes. These may be kept in the
same place as records required under
§761.180.
Check for transfer document in EPA
Regional files.
August 2004
J-4
PCB Inspection Manual
-------
Appendix J
Chemical Waste Landfills
Regulatory Requirements
Inspection Procedures
Facility Requirements (§761.75)
Soils. The landfill site should be located in
thick, relatively impermeable formations, such
as large-area clay pans. Where this is not
possible, the soil should have a high clay and
silt content with the following parameters:
§761.75(b)(1)
In-place soil thickness of 4 ft or compacted
soil liner thickness of 3 ft
Permeability (cm/sec) equal to or less than
1 x 10-7
Percentage of soil passing No. 200 Sieve >
30
Liquid Limit > 30
Plasticity index > 15.
When the Regional Administrator requires
synthetic membrane liners, they must provide
permeability equivalent to the soil parameters
in §761.75(b)(1), be compatible with PCBs,
and be at least 30 mils thick. §761.75(b)(2)
When a landfill has a liner, the
owners/operators must take precautions,
including providing adequate soil underlining
and soil cover, to ensure that the liner does
not rupture. §761.75(b)(2)
The bottom of the landfill liner system or
natural in-place soil barrier must be above the
historical high groundwater table by at least
50 ft, and the site must avoid floodplains,
shorelands, and groundwater recharge areas.
§761.75(b)(3)
There must be no hydraulic connection
between the site and any standing or flowing
surface water. §761.75(b)(3)
Review engineering plans and site tests to
determine compliance with soil parameters
and liner or soil barrier requirements in
§761.75(b)(1).
Check approval document for membrane
liner requirement. Acquire sample of
membrane liner if the Regional
Administrator required synthetic membrane
liners.
Verify compliance of the placement of the
bottom of the landfill liner system or natural
in-place barrier at least 50 ft above the
historic high groundwater table when the
landfill is initially approved.
Verify that there is no hydraulic connection
when the landfill is initially approved.
Check for hydraulic connection to surface
water.
PCB Inspection Manual
J-5
August 2004
-------
Chemical Waste Landfills
Appendix J
Regulatory Requirements
Inspection Procedures
Facility Requirements (§761.75)
The site shall have monitoring wells and
leachate collection. §761.75(b)(3)
If the landfill site is below the 100-year flood
elevation, there must be surface water
diversion dikes around the perimeter of the
site at least 2 ft above the flood evaluation.
§761.75(b)(4)(i)
If the landfill site is above the 100-year flood
elevation, the owners/operators must provide
structures that are capable of diverting all of
the surface water runoff from a 24-hour, 25-
year storm. §761.75(b)(4)(ii)
The landfill site shall be located in an area of
low to moderate relief to minimize erosion and
to help prevent landslides or slumping.
§761.75(b)(5)
A 6-foot woven mesh fence, wall, or similar
device must be located around the site to
prevent animals or unauthorized persons from
entering. §761.75(b)(9)(i)
The owners/operators must maintain roads to
and within the site that are adequate to
support the operation and maintenance of the
site without causing safety or nuisance
problems or hazardous conditions.
§761.75(b)(9)(ii)
Determine from company records the
presence of monitoring wells and the
leachate collection system.
Determine the 100-year flood evaluation
from U.S. Geological Survey or U.S. Army
Corps of Engineers records prior to the
inspection. During the inspection,
determine the elevation from facility
records. Compare these records to
requirement to determine compliance.
Measure adequacy of diversion dikes
when needed.
Determine from records and actual
measurement (if necessary) that the water
diversion structures are capable of
diverting all of the surface water runoff
from a 24-hour, 25-year storm.
Determine if the containment structure
meets the height requirement and is
located around the entire perimeter of the
site.
Physically inspect roadways to determine
that they are adequate to support the
operation and maintenance of the site
without causing safety or nuisance
problems or hazardous conditions.
August 2004
J-6
PCB Inspection Manual
-------
Appendix J
Chemical Waste Landfills
Regulatory Requirements
Inspection Procedures
Operating Requirements (§761.60 & 75)
The landfill must comply with all conditions and
limitations stated in the written approval by the
Regional Administrator for the Region in which
the facility is located. §761.75(c)
Liquid PCBs from incidental sources, such as
precipitation, condensation, leachate, or load
separation and are associated with PCB
articles or non-liquid PCB wastes in
concentrations of 50 to 500 ppm must be
accompanied by information showing that the
liquids do not exceed 500 ppm PCBs.
§761.60(a)(3)(ii)
Persons must pretreat and/or stabilize (e.g.,
chemically fix, evaporate, mix with dry inert
absorbent) bulk liquid PCBs in concentrations
not exceeding 500 ppm to a nonflowing
consistency prior to disposal to eliminate the
presence of free liquids. §761.75(b)(8)(ii)
Prior to disposal, persons must drain PCB
Transformers of free-flowing liquid, fill them
with solvent, allow them to stand for at least 18
hours, and then drain them thoroughly.
§761.60(b)(1)(i)(B)
Prior to disposal, persons must drain free-
flowing liquid from other PCB articles
(excluding transformers) with PCB
concentrations of 500 ppm or more.
§761.60(b)(6)(i)(B)
Check approval document for special
conditions and limitations. Take careful
note of operating compliance.
Examine labels on liquid PCB containers
to determine PCB concentration. Sample
if violation is suspected.
Determine, through statement from
operator, procedures for stabilizing bulk
liquid PCBs. Sample if violation is
suspected.
Determine from operator or employees
whether PCB Transformers are properly
decontaminated prior to disposal.
Determine from operator or employees
whether PCB articles were drained prior
to disposal.
PCB Inspection Manual
J-7
August 2004
-------
Chemical Waste Landfills
Appendix J
Regulatory Requirements
Inspection Procedures
Operating Requirements (§761.60 & 75)
Prior to disposal, persons must drain the liquid
from PCB containers that are not
decontaminated and that contain PCB
concentrations of 500 ppm or greater.
§761.60(c)(1)(ii)
-or-
Sufficient inert sorbent material to absorb all
liquid contents must surround all PCB
containers not drained of liquid.
§761.75(b)(8)(ii)
The owners/operators must dispose of liquids
drained from PCB Items to permit landfill
disposal in accordance with §761.60(a) or
§761.70 (governing incineration). §§761.60(b)
and (c)
Persons must place PCBs and PCB Items in
the landfill in a manner that will prevent
damage to containers or articles.
§761.75(b)(8)(i)
Wastes other than PCBs must be compatible
with PCBs and PCB Items or must be
segregated from the PCBs throughout the
waste handling process. §761.75(b)(8)(i)
No person may dispose of ignitable wastes in a
chemical waste landfill. §761.75(b)(8)(iii)
The owners/operators must operate and
maintain the landfill site in a manner to prevent
safety problems or hazardous conditions
resulting from spilled liquids and windblown
materials. §761.75(b)(9)(iii)
When storage is necessary prior to disposal,
the owners/operators must store the PCBs and
PCB Items in accordance with §761.65.
§761.60(a)(6)
Review disposal procedures with a
responsible facility employee(s). Follow-
up indicators of improper disposal.
Determine procedures for drainage
and/or burial of PCB containers.
Check procedures for handling ignitable
wastes that may be transferred to the
facility.
Assess facility safety measures for spill
prevention and for general housekeeping
practices.
August 2004
J-8
PCB Inspection Manual
-------
Appendix J
Chemical Waste Landfills
Regulatory Requirements
Inspection Procedures
Monitoring Requirements (§761.75)
Prior to disposal operations, the
owner/operator must sample groundwater and
surface water from the disposal area for use
as baseline data. §761.75(b)(6)(i)(A)
The Regional Administrator may designate
surface water courses that the owner/operator
must sample at least monthly when the landfill
is being used for disposal operations.
§761.75(b)(6)(i)(B)
EPA requires at least 3 groundwater monitor
wells equally spaced on a line through the
center of the disposal area. The line must
extend from the highest to the lowest water
table elevation on the property.
§761.75(b)(6)(ii)(A)
Groundwater monitor wells must be cased
and the annular space between the monitor
zone and the surface must be completely
backfilled and plugged with cement to prevent
percolation of surface water into the well bore.
The well must have a removable cap to
provide access and to prevent entrance of
rainwater or storm water runoff.
§761.75(b)(6)(ii)(B)
Before obtaining a sample for analysis, the
person sampling must pump the well to
remove the volume of liquid initially contained
in the well §761.75(b)(6)(ii)(B)
Liquid pumped from groundwater monitor
wells must be treated to meet applicable State
or Federal discharge standards or recycled to
the chemical waste landfill.
§761.75(b)(6)(ii)(B)
Check water sampling records are kept for
the amount of time required.
Check for monthly sampling records (if
required by Regional Administrator).
Check engineering plans to determine the
locations of the groundwater monitoring
wells.
Determine the procedures that the facility
uses for taking samples and for disposing
of samples after analysis.
PCB Inspection Manual
J-9
August 2004
-------
Chemical Waste Landfills
Appendix J
Regulatory Requirements
Inspection Procedures
Monitoring Requirements (§761.75)
The owner/operator must install a leachate
collection system above the chemical waste
landfill and monitor it monthly for the quantity
and physicochemical characteristics of the
leachate produced. §761.75(b)(7)
Leachate must be treated to acceptable limits
for discharge in accordance with State or
Federal permits or disposed of by another
State or federally approved method.
§761.75(b)(7)
After final closure of the disposal area, the
owner/operator must sample surface water
courses designated by the Regional
Administrator no less than once every 6
months. §761.75(b)(6)(i)(C)
The laboratory must analyze all water
samples for PCBs, pH, specific conductance,
and chlorinated organics, and the
owner/operator must maintain all data and
records as required in §761.180(d)(1).
§761.75(b)(6)(iii)
Sampling methods and analytical procedures
must comply with 40 CFR 136, as amended.
§761.75(b)(6)(iii)
Check engineering plans to verify that the
facility installed a leachate collection
system above the landfill and monitoring
records to verify that the collection system
is monitored monthly for quantity and
characteristics of the leachate.
Check procedures for treatment and
disposition of leachate samples.
Check monitoring records for water
sampling if applicable.
August 2004
J-10
PCB Inspection Manual
-------
Appendix K High Efficiency Boilers
Appendix K
High Efficiency Boilers
PCB regulations allow for disposal of specified PCB fluids with concentrations of 50 to less than
500 ppm PCBs in high-efficiency boilers. Boilers must meet certain design and operating
criteria. These technical requirements differ depending upon the type of liquid intended for
disposal, as discussed below. Other regulatory provisions (e.g., marking, storage) may also
apply and, likewise, will differ based on the waste to be disposed.
Wastes Acceptable for Disposal
In general, two types of PCB-contaminated liquids may be disposed of in high-efficiency boilers:
Mineral oil dielectric fluid from PCB-contaminated electrical equipment containing
PCBs in concentrations of 50 to less than 500 ppm. §761.60(a)(2)(iii)
Liquids other than mineral dielectric fluid containing PCBs in concentrations of 50
to less than 500 ppm.
Technical requirements applicable to wastes authorized for disposal in high-efficiency boilers
are described below under the relevant regulatory provisions. Requirements applicable to each
of the two waste fluid categories are discussed separately, followed by a summary of provisions
that applies to both categories.
PCB Inspection Manual K-1 August 2004
-------
High Efficiency Boilers
Appendix K
Regulatory Requirements
Inspection Procedures
Owners/operators of high efficiency
boilers burning mineral oil dielectric fluid
containing a PCB concentration of > 50
ppm but < 500 ppm must operate
according to certain parameters.
§761.71(a)
Verify that high efficiency boilers burning mineral
oil dielectric fluid containing a PCB concentration
of > 50 ppm, but <500 ppm meet the following
criteria:
-the boiler is rated at a minimum of 50 million
BTU hours (by checking the manufacturer's
manual or website)
-if the boiler uses natural gas or oil as the primary
fuel, the CO concentration
in the stack is£ 50 ppm and the excess oxygen
is at least 3% when PCBs are being burned
-if the boiler uses coal as the primary fuel, the
CO concentration in the stack is £ 100 ppm and
the excess oxygen is at least 3% when PCBs are
being burned
-the mineral oil dielectric fluid does not comprise
more than 10% (on a volume basis) of the total
fuel feed rate
-the mineral oil dielectric fluid is not fed into the
boiler unless the boiler is operating at its normal
operating temperature (this prohibits feeding
these fluids during either start up or shut down
operations)
-the owner or operator of the boiler does one of
the following:
-continuously monitors and records the
CO concentration and excess oxygen
percentage in the stack gas while burning
mineral oil dielectric fluid
-if the boiler will bum <30,000 gal of
mineral oil dielectric fluid per year,
measures and records the CO
concentration and excess oxygen
percentage in the stack gas at regular
intervals of no longer than 60 min while
burning mineral oil dielectric fluid.
August 2004
K-2
PCB Inspection Manual
-------
Appendix K
High Efficiency Boilers
Regulatory Requirements
Inspection Procedures
Owners/operators of high efficiency
boilers burning mineral oil dielectric fluid
containing a PCB concentration of >. 50
ppm but < 500 ppm must operate
according to certain parameters.
§761.71(a) (Continued)
-the primary fuel feed rates, mineral oil dielectric
fluid feed rates, and total quantities of both
primary fuel and mineral oil dielectric fluid fed to
the boiler are measured and recorded at regular
intervals of no longer than 15 min while burning
mineral oil dielectric fluid
-the CO concentration and the excess oxygen
percentage are checked at least once every hour
that mineral oil dielectric fluid is burned. If either
measurement falls below the levels specified in
this section, the flow of mineral oil dielectric fluid
to the boiler is stopped immediately.
Verify that 30 days before any person burns
mineral oil dielectric fluid in the boiler, the owner
or operator provides written notice to the EPA
Regional Administrator for the EPA Region in
which the boiler is located.
Verify that the notice contains the following
information:
-the name and address of the owner or operator
of the boiler and the address of the boiler
-the boiler rating in units of BTU/hour
-the CO concentration and the excess oxygen
percentage in the stack of the boiler when it is
operated in a manner similar to the manner in
which it will be operated when mineral oil
dielectric fluid is burned
-the type of equipment, apparatus, and
procedures to be used to control the feed of
mineral oil dielectric fluid to the boiler and to
monitor and record the CO concentration and
excess oxygen percentage in the stack.
PCB Inspection Manual
K-3
August 2004
-------
High Efficiency Boilers
Appendix K
Regulatory Requirements
Inspection Procedures
Owners/operators of high efficiency
boilers burning mineral oil dielectric fluid
containing a PCB concentration of > 50
ppm but < 500 ppm must operate
according to certain parameters.
§761.71(a) (Continued)
Owners/operators of high efficiency
boilers burning liquids other than mineral
oil dielectric fluid containing a PCB
concentration of >. 50 ppm but
< 500 ppm must operate according to
certain parameters. §761.71 (b)
Verify that, when burning mineral oil dielectric
fluid, the boiler operates at a level of output no
less than the output at which the required
measurements were taken.
Verify that any person burning mineral oil
dielectric fluid in a boiler obtains the following
information and retains the information for 5 yr at
the boiler location
-the data which is required to be collected
-the quantity of mineral oil dielectric fluid burned
in the boiler each month.
Verify that a high efficiency boiler burning liquids
other than mineral oil dielectric fluid containing a
PCB concentration of > 50 ppm but < 500 ppm
meets the following criteria:
-the boiler is rated at a minimum of 50 million
BTU/hour
-if the boiler uses natural gas or oil as the primary
fuel, the carbon monoxide concentration in the
stack is < 50 ppm and the excess oxygen is at
least 3% when PCBs are being burned
-if the boiler uses coal as the primary fuel, the
carbon monoxide concentration in the stack is <
100 ppm and the excess oxygen is at least 3%
when PCBs are being burned
-the waste does not comprise more than 10%
(on a volume basis) of the total fuel feed rate
-the waste is not fed into the boiler unless the
boiler is operating at its normal operating
temperature (this prohibits feeding these fluids
during either start up or shut down operations)
August 2004
K-4
PCB Inspection Manual
-------
Appendix K
High Efficiency Boilers
Regulatory Requirements
Inspection Procedures
Owners/operators of high efficiency
boilers burning liquids other than mineral
oil dielectric fluid containing a PCB
concentration of >. 50 ppm but
< 500 ppm must operate according to
certain parameters. §761.71 (b)
(Continued)
-the owner or operator of the boiler does one of
the following:
- continuously monitor and record the
CO concentration and excess oxygen
percentage in the stack gas while burning
waste fluid
- if the boiler will burn <30,000 gal of
waste fluid per year, measure and record
the CO concentration and excess oxygen
percentage in the stack gas at regular
intervals of no longer than 60 min while
burning waste fluid
-the primary fuel feed rate, waste fluid feed rate,
and total quantities of both primary fuel and
waste fluid fed to the boiler are measured and
recorded at regular intervals of no longer than 15
min while burning waste fluid
-the CO concentration and the excess oxygen
percentage are checked at least once every hour
that the waste is burned. If either measurement
falls below the specified levels, the flow of waste
to the boiler is stopped immediately.
Verify that the owner/operator obtained approval
from the EPA Regional Administrator prior to
burning liquids other than mineral oil dielectric
fluid containing a PCB concentration of > 50 ppm
but< 500 ppm.
Verify that the request for approval contains the
following:
-the name and address of the owner or operator
of the boiler and the address of the boiler
-the boiler rating in units of BTU/hour
-the CO concentration and the excess oxygen
percentage in the stack of the boiler when it is
operated in a manner similar to the manner in
which it will be operated when low concentration
PCB liquid is burned
PCB Inspection Manual
K-5
August 2004
-------
High Efficiency Boilers
Appendix K
Regulatory Requirements
Inspection Procedures
Owners/operators of high efficiency
boilers burning liquids other than mineral
oil dielectric fluid containing a PCB
concentration of >. 50 ppm but
< 500 ppm must operate according to
certain parameters. §761.71 (b)
(Continued)
(NOTE: On the basis of the information
in the request for approval, and any
other available information, the U.S.
EPA Regional Administrator may, at
his/her discretion, find that the alternate
disposal method will not present an
unreasonable risk of injury to health or
the environment and approve the use of
the boiler.)
-the type of equipment, apparatus, and
procedures to be used to control the feed of
mineral oil dielectric fluid to the boiler and to
monitor and record the carbon monoxide
concentration and excess oxygen percentage in
the stack
-the type of waste to be burned (e.g., hydraulic
fluid, contaminated fuel oil, heat transfer fluid,
etc.)
-the concentration of PCBs and of any other
chlorinated hydrocarbon in the waste and the
results of analyses using the American Society of
Testing and Materials (ASTM) methods
-the quantity of wastes estimated to be burned in
a 30-day period
-an explanation of the procedures to be followed
to ensure that burning the waste will not
adversely affect the operation of the boiler such
that combustion efficiency will decrease.
Verify that, when burning PCB wastes, the boiler
operates at a level of output no less than the
output when it is operated in a manner similar to
the manner in which it will be operated when low
concentration PCB liquid is burned.
Verify that the following information is obtained
and retained for 5 yr at the boiler location:
-the data required to be collected
-the quantity of low concentration PCB liquid
burned in the boiler each month
-the analysis of the waste required once a month
for each month during which
low concentration PCB liquid is burned in the
boiler.
August 2004
K-6
PCB Inspection Manual
-------
Appendix L Alternative Disposal Methods
Appendix L
Alternative Disposal Methods
For PCBs and PCB Items
Approval Requirements §761.60
In accordance with Section 761.60(e), the Regional Administrator (or the Director of NPCD) may
approve of the request for the use of an alternative method, at her/his discretion, if s/he makes
the following findings:
That the alternative method will destroy PCBs as efficiently as does an approved
incinerator (under Section 761.70) or a high efficiency boiler. §761.71
That the alternative method of destroying PCBs will not present an unreasonable
risk of injury to health or the environment. §761.60(e)
The Regional Administrator (or the Director of NPCD) must state the approval of any alternative
method in writing. It may contain appropriate conditions and limitations as deemed appropriate
by the approval authority. The inspector should obtain the facility's approval document and refer
to it during the inspection. The inspector should verify compliance with the approval as well as
the regulations.
Since §761.60(e) approvals have a variety of technologies, the best sources of information are
found by reading the approval and talking to the permit writer. Please note that some of the
§761.60(e) approvals are Regional while other approvals may be mobile, or located in more than
one Region (i.e., a National approval). To avoid confusion, it is best to determine whether the
approval is Regional or National. If it is a National approval, the inspector may want to contact
other Regions for possible violations or contact EPA Headquarters Enforcement.
The recycling of PCB fluorescent light ballasts is covered in this section. Ballast recyclers
reclaim metals (e.g., sheet steel, high silicon steel, copper, aluminum) from ballast components.
Facilities may not recycle leaking ballasts and must properly dispose of them.
The recycling process typically involves freezing the ballast to enbrittle the potting compound,
separating the metal case to allow the ballast core with capacitor to drop out, and cutting the
leads to the capacitor, which contains PCBs and is regulated for disposal, from the transformer
core. The frozen potting material encased transformer core is then struck on the edge of a fixed
metal bar located over a waste collection drum or on the edge of the drum to shatter the brittle
PCB Inspection Manual L-1 August 2004
-------
Alternative Disposal Methods Appendix L
potting material allowing the brittle material to drop into the waste container. Any potting material
still adhering to the core is crumbled off with gloved hands and/or removed with an air driven
chisel or needle gun. The metal recovery activity scatters potting material far and wide. To
insure that PCBs are not released from the decontamination area to the environment, the activity
should be conducted within an enclosure equipped with walls, roof, and energy saving type strip
doors at personnel and material ingress and egress points. Workers should also be protected
against dermal contact and inhalation of PCB containing materials with disposable painter's
breathing masks, eye protection, gloves, and coveralls.
In addition to alternative approval for disposal, ballast recyclers usually have EPA approval as a
Commercial TSCA storerfor storing the incoming ballasts and the PCB wastes generated by
the recycling process. If the facility has EPA Commercial Storer approval, the inspector should
collect copies of at least the last 12 months of manifests and bills of lading, which can be used
to determine if the facility at any time exceeded their approved storage capacity.
When inspecting a PCB fluorescent light ballast recycler, the inspector should make sure that
PCB wastes are contained within the work area and not allowed to migrate to other areas of the
facility or outside of the facility.
The inspector should visually inspect or collect samples of recovered metals. Unrestricted use
decontamination standards for non-porous surfaces previously in contact with non-liquid PCBs
for unrestricted use are:
10 ug/100 cm2 as measured by standard wipe test, or
Visual Standard No. 2, Near White Blast Cleaned Surface Finish of the National
Association of Corrosion Engineers (NACE) as verified by visual inspection of all
cleaned areas.
The decontamination standards for disposal in a smelter meeting specified standards under
§761.72 are:
100 ug/100 cm2 as measured by standard wipe test,
or Visual Standard No. 3, Commercial Blast Cleaned Surface Finish of NACE as
verified by visual inspection of all cleaned areas.
Notice Requirements §761.60
Owners and operators of an incinerator, a chemical waste landfill, or an approved alternative
disposal facility must give the following written notices to the State and local governments where
the facility is located:
Notice at least 30 days before a facility is first used for disposal of PCBs.
§761.60(f)(1)(i)
August 2004 L-2 PCB Inspection Manual
-------
Appendix L Alternative Disposal Methods
At the request of any State or local government, annual notice (given no more
than 30 days after the end of the year covered) of the quantities and general
description of the PCBs disposed of during the year. §761.60(f)(1 )(ii)
To avoid confusion, inspectors should check if facility has Regional Approval
versus Nationwide Approval.
PCB Inspection Manual L-3 August 2004
-------
Alternative Disposal Methods Appendix L
Blank Page
August 2004 L-4 PCB Inspection Manual
-------
Appendix M
Scrap Metal Recovery Ovens and Smelters
Appendix M
Scrap Metal Recovery Ovens and Smelters
Scrap metal recovery ovens and smelters may burn PCB-contaminated articles regulated for
disposal such as transformer cores and metal surfaces contaminated with PCBs less than 500
ppm from which all free-flowing liquids have been removed. The scrap metal recovery ovens
and smelters burn off the PCB contamination so the scrap metal can be recovered.
The following tables provide an overview of the regulatory requirements and inspection
procedures related to scrap metal recovery ovens and smelters used to remove PCB
contamination from metals.
Regulatory Requirements
Inspection Procedures
Scrap metal recovery ovens or smelters
being used for the disposal of PCBs
must meet specific requirements.
§761.72
(NOTE: Any person may dispose of
residual PCBs associated with PCB-
Contaminated articles regulated for
disposal under §761.60(b), metal
surfaces in PCB remediation waste
regulated under §761.61, or metal
surfaces in PCB bulk product waste
regulated under §761.62(a)(6) and
§761.79(c)(6), from which all free-
flowing liquids have been removed: in a
scrap metal recovery oven or a smelter
meeting the requirements specified in
this table.)
Verify that the scrap metal recovery oven meets
the following:
-it has at least 2 enclosed (i.e., negative draft, no
fugitive emissions) interconnected chambers
-equipment with all free-flowing liquid removed is
first placed in the primary chamber at room
temperature
-the primary chamber operates at a temperature
between 537 ° C and 650 ° C for a minimum of
2.5 h and reaches a minimum temperature of
650 ° C (1,202 .° F) once during each heating
cycle or batch treatment of unheated,
liquid-free equipment
-heated gases from the primary chamber feed
directly into the secondary chamber (i.e.,
afterburner) which operates at a minimum
temperature of 1,200 ° C (2,192 ° F) with at least
a 3% excess oxygen and a retention time of 2.0 s
with a minimum combustion efficiency of 99.9%.
-heating of the primary chamber does not
commence until the secondary chamber has
reached a temperature of 1,200 +/-100 ° C
(2,192+/-180°F)
PCB Inspection Manual
M-1
August 2004
-------
Scrap Metal Recovery Ovens and Smelters
Appendix M
Regulatory Requirements
Inspection Procedures
Scrap metal recovery ovens or smelters
being used for the disposal of PCBs
must meet specific requirements.
§761.72 (Continued)
Verify that the scrap metal recovery oven meets
the following:
-continuous emissions monitors and recorders
for CO2, CO, and excess oxygen in the
secondary chamber and continuous temperature
recorders in the primary and secondary
chambers are installed and operated while the
primary and secondary chambers are in
operation to assure that the 2 chambers are
within the specified operating parameters
-emissions from the secondary chamber are
vented through an exhaust gas stack in
accordance with either of the following:
-valid state and local air regulations and
permits
-particulates < 0.015 grains/dscf, sulfur
dioxide < 35 ppmv, nitrogen oxide < 150
ppmv, carbon monoxide < 35 ppmv, and
hydrogen chloride < 35 ppmv
-exhaust gas stack emissions are: particulates <
0.015 grains/dscf, sulfur dioxide < 35 ppmv,
nitrogen oxide < 150 ppmv, carbon monoxide <
35 ppmv, and hydrogen chloride < 35 ppmv
-a measurement of the temperature in the
secondary chamber at the time the primary
chamber starts heating is taken, recorded, and
retained at the facility for 3 yrfrom the date each
charge is introduced into the primary chamber.
-the operating temperature of the hearth is at
least 1,000 ° C at the time it is charged with any
PCB-Contaminated non-porous surface
-each charge containing a PCB-Contaminated
item is added into molten metal or a hearth at >.
1,000 °C
August 2004
M-2
PCB Inspection Manual
-------
Appendix M
Scrap Metal Recovery Ovens and Smelters
Regulatory Requirements
Inspection Procedures
Scrap metal recovery ovens or smelters
being used for the disposal of PCBs
must meet specific requirements.
§761.72 (Continued)
(NOTE: Scrap metal recovery ovens
and smelters are not required to submit
annual reports.)
Verify that the smelter meets the following:
-successive charges are not introduced into the
hearth in less than 15-min intervals.
-the smelter operates in compliance with any
applicable emissions standards in the Clean Air
Act standards of performance for new stationary
sources in 40 CFR 60
-the smelter has an operational device which
accurately measures directly or indirectly, the
temperature in the hearth
-takes, records and retains at the disposal facility
for 3 yrfrom the date each charge is introduced,
a reading of the temperature in the hearth at the
time it is charged with a non-porous surface
item.
Verify that scrap metal recovery ovens and
smelters either have a final permit under RCRA
or are operating under a valid state air emissions
permit which includes a standard for PCBs.
Verify that scrap metal recovery ovens and
smelters disposing of PCBs provide notification
as disposers of PCBs and otherwise comply with
all applicable provisions of 40 CFR 761, Subparts
J and K, as well as other applicable federal,
state, and local laws and regulations.
PCB Inspection Manual
M-3
August 2004
-------
Scrap Metal Recovery Ovens and Smelters Appendix M
Blank Page
August 2004 M-4 PCB Inspection Manual
-------
Appendix N
Reclassification of Retrofilled Transformers
Appendix N
Reclassification of Retrofilled Transformers
If test results show
the PCB concentration
(ppm) in the
transformer prior to
retrofill is...
1 ,000 (or untested)
500 but <1 ,000
50 but <500
and you retrofill the
transformer with
dielectric fluid
containing...
< 50 ppm PCBs
< 50 ppm PCBs
<50 ppm PCBs
<50 ppm PCBs
2 but <50 ppm PCBS
<2 ppm PCBs
and you...
operate the
transformer
electrically under
loaded conditions for
at least 90-continuous
days after retrofill,
then test the fluid for
PCBs
operate the
transformer
electrically under
loaded conditions for
at least 90-continuous
days after retrofill,
then test the fluid for
PCBs
test the fluid for PCBs
at least 90 days after
retrofill
test the fluid for PCBs
at least 90 days after
retrofill
test the fluid for PCBs
at least 90 days after
retrofill
(no need to test)
and test results show
the PCB concentration
(ppm) after retrofill
is...
50 but < 500
<50
50 but <500
<50
<50
(not applicable)
then the
transformer's
reclassified status
is...
PCB-contaminated
non-PCB
PCB-contaminated
non-PCB
non-PCB
non-PCB
Source: §761.30(a)(2)
PCB Inspection Manual
N-1
August 2004
-------
Reclassification of Retrofitted Transformers Appendix N
Blank Page
August 2004 N-2 PCB Inspection Manual
-------
Appendix O
Sample Seal and Chain-of-Custody Form
Appendix O
Sample Seal and Chain-of-Custody Form
Chain-of-Custody forms may be obtained by calling the EPA Headquarters Warehouse in
Cincinnati, Ohio at (513) 489-8190.
2 ^f MI | o * P i (,",'& L '!&** *«A#"" !. f? 5 fci A L ;
V ,-..<'
,, *""«., U N i 1 t D "j T * ~ O _
»"^E*2 ^'-.C.A'.'.AVPLtseA.
\. ,,,-" I
.'" '., UNi I r_i iT.i'E5
°"':-"LW»Pl?^-
\4yjfafr ^
"-"-"-' ' " """""""-
i g»'»'ur''.. _ mm_ ^UN:!ED 1?*''CS
*" ttV '* " '"'""'' o^"^'"i'A L SAM P-.S igAL.
*F ;"
*-"'; ""» . .LMTi;F :>!.*il.£'5 ,..
i ^
^iKSW
,1.,^-jne
r*.«T 'W.MC iiW f US (!,,^.(tt.r fl.-wyy w ?"»
,.:.K*TU«S
PRiKT N*Mt S-"<.J TII'.E f,':v4.«-.ft,/ 4.'.|.V'r ,r ftr
>f.-V.?l-i BO
-,ir/f,*fuss
;>WIH^ h*WE i"Jr: !i""s.= f. '<-.«-. -er A-a.;'' » i'*
'.,*<*-, f; no-
,iy«*IL»e
f> K 1 H T n i VE *N II 1 i ft. e f .!r.r« ».-.;».«« .4 %n}-f c<" >i
S C-1*-'."«t
T* ! «"' M.* we .* n ^ f i I f f ?, ,,.,,,-, .. ., ,4 -aJjif jr F.
r* "v
:<,»-«; j
^ft,...-*p>
:
l-f"
\ *> * */
US'
-j :
» "
\
J"
I
-
f 1
i
- !
j ,,
««iwt
i :
1
1«
? ?
? 3
t
*'
Cf *
o i
rx fe
i
I«J
J
;r
-i
PCB Inspection Manual
O-1
August 2004
-------
Sample Seal and Chain-of-Custody Form
Appendix O
£^ United States
^b ^Z ^3 ^V Environmental Protection
'^CF'C F ^\ Agency
Chain of Custody Record
Inspector Name and Address
Inspector Signature
SampleNumber TaskNumber
Inspection Number
Sample Name
Date Sample Time Duplicate Requested
QYes ()No
Location of Sampling
Analysis/Testing Required
Laboratory
Date Received
Received By
Sent Via
Sample Condition
Condition of Seals
Units Received
Storage Location
Assigned By
Assigned To
Delivered By
Date Delivered
Number of Units Received
Units Analyzed
Date Seal Broken
Date Resealed
Resealed By
Storage Location
Date Results of Analysis Issued
to EPA
Date Results of Analysis
Issued to Facility
Remarks
August 2004
O-2
PCB Inspection Manual
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
February 21,2002
'
COMPLIANCE ASSURANCE
MEMORANDUM
SUBJECT: Updated Fact Sheer. Department of Transportation Hazardous
Materials Training
FROM: Michael S. Alushin, Director^ /. >fw^--
Compliance Assessment and Media Programs Division
TO: Addressees
Environmental Protection Agency inspectors are potentially subject to the Department of
Transportation's (DOT) hazardous materials training requirements. This is an updated fact sheet
to provide guidance to managers and staff on Hie DOT training and certification requirements, I
appreciate your assistance in distributing this fact sheet to the inspectors and their supervisors.
During the 2000 National Inspector Workshop, many participants requested the development of a
quick reference fact sheet. The original fact sheet was released on February 6,2001, We
received several comments that warranted an update to the original fact sheet
Please note that persons other than inspectors, i.e., secretarial and administrative staff,
may also be subject to the Department of Transportation's training and certification
requirements. General information and website addresses on the three major transportation
carriers most likely used by EPA uiapectors were added to this tact sheet. This fact sheet wiO be
posted on the EPA Inspector Website. The website address is
http:^intraDetepa,gov/oeca/oc/metd/uispector, The website version of this fact shed will
provide you witti direct links to the three major transportation carriers* websites mentioned
above.
Several incidents over the past few years have prompted the Department of
Transportation to emphasize hazmat training reviews. It is the responsibility of our inspectors,
supervisors and staff to be in compliance with the Department's regulations.
If you have any questions about this fact sheet, please contact Everett Bishop at
202-554-7032.
-------
DEPARTMENT OF TRANSPORTATION
HAZARDOUS MATERIALS TRAINING
What are DOT
training
requirements?
Why does
hazmat training
apply to me?
Does my EPA
training
substitute for
DOT training
requirements?
What type of
DOT training do
I need?
What are DOT's
training
requirements for
hazardous
materials?
DOT's training requirements can be found at 49 CFR Part 172, Subpart H. In
general, any employee who has a responsibility working with hazardous
materials (hazmat) that is placed in commerce must have hazmat training. The
employee must be familiar or aware of the requirements enabling the employee
to recognize and identify hazardous materials, i.e., environmental samples vs.
hazardous waste samples, consistent with the hazard communication standards.
The training must be commensurate with functions and responsibilities of the
employee.
As an inspector, you are likely to be a hazmat employee because you collect
samples during an inspection and prepare the hazmat samples for
transportation. The EPA is a hazmat employer because the Agency causes
hazmat to be transported or shipped in commerce through its employees. DOT
defines "hazmat employer" to include any department, agency, or
instrumentality of the United States, a State, a political subdivision of a State,
or an Indian Nation. Administrative and secretarial staff are also subject to
DOT training if their responsibilities cause hazmat materials to be placed into
commerce, i.e., preparing shipping papers.
EPA Health & Safety courses may substitute for some or all of DOT's safety
training requirements. However, the employer must make that determination.
No EPA Health & Safety course will meet DOT's general awareness
/familiarization requirement. See DOT's training requirements.
DOT hazmat training is function-specific. For most inspectors, the general
awareness hazardous materials training course found on the DOT's website
will be sufficient to meet the DOT training requirements. Alternatively, the
employer can provide function specific training from other sources.(see
below).
DOT's hazmat training, 49 CFR §172.704, focuses on three requirements
applicable to inspectors and administrative staff:
General awareness/familiarization
S Each hazmat employee shall be provided general
awareness/familiarization training designed to provide
familiarity with the hazmat requirements and to enable the
employee to recognize and identify hazardous materials
consistent with the hazard communication standards.
EPA Inspector Training
DOT's General Awareness Hazardous Materials Training
February 2002
-------
What are DOT's
training
requirements for
hazardous
materials? cont.
Function-specific
S Each hazmat employee shall be provided function-specific
training as it applies to the employee's job responsibilities.
Safety
Emergency response information required by part 172,
subpart G, i.e., information that can be used in the mitigation
of an incident involving hazardous materials;
Measures to protect the employee from the hazards associated
with hazardous materials to which they may be exposed in the
work place, including specific measures the hazmat employer
has implemented to protect employees from exposure; and
Methods and procedures for avoiding accidents, such as the
proper procedures for handling packages containing hazardous
materials.
Where can I find
training
opportunities?
A good training resource is DOT's hazmat page, hazmat.dot.gov/training.
You download the instructor's and student's training manual for in-house use.
The training manual does include test questions. Self-training is acceptable by
DOT so long as §172.704 training requirements are met. The DOT's
Transportation Safety Institute in Oklahoma City, OK offers training on-site.
Course dates are available from the website.
In addition to DOT's hazmat site, this web link, hazmat.dot.gov/thirdpty.htm
identifies third party providers who offer a variety of hazmat training courses.
How long does
the certification
last?
Who is
responsible for
training?
The hazardous materials training is required to be completed within the first 90
days of employment. The certification period is good for three years and then
the hazardous materials training program must be retaken. If your job
responsibilities change, your training needs may change.
The employer is responsible. DOT's definition of employer is not clear in
terms of EPA's administrative structure. "Employer" could be defined as the
Administrator or any other manager in direct supervisory line of the employee.
Who is
responsible for
keeping the
training record?
The employer is responsible for keeping the employee's records.
EPA Inspector Training
DOT's General Awareness Hazardous Materials Training
February 2002
-------
What should be in
the training
record?
Documentation that shows the employee has completed the necessary training,
has been tested and certified.
A record of current training, inclusive of the preceding three years must be
documents need to retamed for as long as the employee is employed by that employer as a hazmat
be retained? employee and for 90 days thereafter. The record shall include the following
information:
(1) The inspector's name;
(2) The most recent training completion date of the inspector's training;
(3) A description, copy, or the location of the training materials used to meet
the requirements;
(4) The name and address of the person providing the training; and
(5) Certification that the hazmat employee has been trained and
tested.
Does the employee
have to "pass" the
test?
The requirements do not state that the employee must "pass" a test; however,
an employee may only be certified in areas in which he/she can successfully
perform their hazmat duties.
Know Your
Shipper's
Requirements!
Before collecting samples, know which shipping company you will be using to
ship your samples. Some require additional training and certification beyond
the basic DOT requirements. Here are three common carriers with some of
their requirements for shipping hazmat materials.
Federal Express (FedEx)
The shipping method you select determines what type of training FedEx
expects you to have completed. If you plan to ship samples by ground, the
DOT training requirements are sufficient. If you plan to ship the samples by
air, then you must be trained according to International Air Transport
Association (IATA) regulations. Successful completion of the IATA
requirements will meet DOT's hazard communications requirements. IATA
training and information can be found at: www.iata.org.
EPA Inspector Training
DOT's General Awareness Hazardous Materials Training
February 2002
-------
Know Your
Shipper's
Requirements!
cont.
United Parcel Service (UPS)
DOT's general awareness training is acceptable by UPS for ground shipments.
Shipments by air require IATA training.
United States Postal Service (USPS)
DOT's general awareness training and testing is acceptable by USPS for both
shipping by ground and air. However, the Postal Service does have limits
which are more stringent than DOT's regulations. Check this website for
further details - http://pe.usps.gov/text/dmm/c023.htm
Before shipping, you should inquire with the shipping company if they have
additional requirements for handling, packaging and shipment limitations for
the hazmat materials.
Here are a few issues an inspector may face with the different shippers:
Do you want them to meet you at the site? You may need to call ahead
to schedule the pickup before you arrive at the site to collect samples.
Do you plan on dropping the shipment off? Not all offices can accept
dangerous goods and hazmat.
Shipping papers may need to be typed, not handwritten. Do you bring
a portable typewriter with you or type the shipping papers before
leaving the office?
EPA Inspector Training
DOT's General Awareness Hazardous Materials Training
February 2002
-------
Appendix Q Appearing as a Witness
Appendix Q
Appearing as a Witness
I. Introduction
Inspectors perform a vital role throughout the regulatory enforcement process. An enforcement
action begins with the inspector collecting and documenting on-site evidence. This chapter
deals with the inspector's responsibility to present evidence in formal legal proceedings.
Due in large part to the high quality work that inspectors produce, the EPA files strong cases.
Nearly all of the cases that the EPA files result in out of court settlements that will not usually
require the inspector's testimony. Of the cases that do not settle, a substantial majority of the
legal action takes place in the EPA administrative law system rather than the federal courts.
Major differences distinguish administrative from federal courts, such as rapid processing and
the absence of a jury. Despite the differences between these two legal proceedings, the
inspector's role as a witness will remain predominantly the same.
Under most circumstances an inspector will be called as a "fact witness." A fact witness
describes personal knowledge obtained through one of the five senses. Throughout the
enforcement process, everything an inspector hears, sees, samples, or records may become
evidence about which he or she may be questioned. Many cases are tried years after the field
and laboratory activities have been conducted. Thus, the inspection report and field notebook
should be sufficiently detailed and legible to allow the inspector to reconstruct the inspection "on
the record."
II. Pre-Testimony Matters
A. Preparation
Preparation is the key to giving accurate and effective testimony. Successful preparation
requires a substantial time commitment. Attorneys and witnesses work together in two types of
preparation: factual and procedural.
The inspector will complete most of the factual preparation by writing the inspection report as
described in this manual. The witness and the attorney will meet to discuss details from this
report. Other items should also be discussed, including the field notebook, photographs, and the
inspector's qualifications. Qualifications include the inspector's educational degree, professional
accreditations, inspector training as required by Executive Order 3500.1, and on the job
PCB Inspection Manual Q-1 August 2004
-------
Appearing as a Witness Appendix Q
experience. The inspector's qualifications must never be exaggerated. Even a small
exaggeration may cause the inspector's testimony to lack credibility.
The inspector should inform the EPA attorney of any problems, questions, or concerns in the
case as early as possible. An example of one such concern are the confidential business
information (CBI) procedures to which the inspectors must adhere. CBI procedures that bind
the inspector during an inspection also have implications for the legal proceeding.
The attorney has the primary responsibility over procedural preparation, which is assembling the
facts for presentation in a formal legal setting. In addition to one-on-one preparation, the
inspector and attorney may consider whether the inspector should participate in a mock trial or
visit a hearing to observe other witnesses testifying. During one-on-one preparation, the attorney
and the inspector should discuss:
Times and dates that require the inspector's attendance.
Legal etiquette and procedure.
General legal framework of the case.
Significance of the inspector's testimony in this framework.
Probable areas of questioning, including direct and cross-examination.
What documents, if any, will be used by the inspector during testimony.
Before giving testimony, the witness should again review inspection documents, his or her
professional qualifications, and information provided by the attorney. This review should be
repeated until the witness has become thoroughly familiar with the details of the testimony and
how it will be presented.
An inspector may be subpoenaed to give testimony by the opposing attorney or even by the EPA
attorney. A subpoena is a Court Order to appear, and it is a mandatory legal process that does
not suggest dishonesty or bias, an inspector should not be offended if he or she receives a
subpoena. If an inspector is subpoenaed, the appropriate EPA attorney should be contacted
immediately. Time will be short to prepare to give testimony or to fight the subpoena.
B. Legal Etiquette, Appearance, and Demeanor
A witness's conduct should reflect the solemn nature of the administrative or judicial proceeding.
To act in accordance with required legal etiquette, a witness should:
Dress conservatively following the advice of the EPA attorney.
Arrive early and be available immediately when called to testify.
Address the judge as "your honor."
Treat an administrative proceeding as seriously as a federal court trial.
August 2004 Q-2 PCB Inspection Manual
-------
Appendix Q Appearing as a Witness
A witness should not:
Whisper, talk, or make jokes in the hearing room. If necessary, a note may be passed.
Bring magazines or newspapers into the hearing room.
Discuss the case within the hearing of anyone but the EPA attorney.
Posture, speech, and appearance influence a witness's credibility. An inspector is a
professional who collects, preserves, and presents evidence. In order to convey a professional
demeanor, an inspector should:
Firmly but politely speak to the opposing attorney.
Appear natural and animated, but not impatient or overly anxious to testify.
Minimize nervous tendencies.
Remain calm.
Refrain from showing hostility toward the opposing counsel, the specific defendant, or
the regulated community as a whole.
III. Giving Testimony
A. General Considerations
A witness gives testimony to create a legal record of the facts. Before giving testimony, a
witness will take an oath that he or she will tell the truth. Failure to tell the truth is actionable as
perjury. A witness may give pre-trial testimony in a deposition or trial testimony under direct
examination or cross-examination.
To give effective testimony, a witness should 1) listen, 2) pause, and then 3) answer if possible.
Listening carefully to the wording and implications of an attorney's questions requires significant
effort. If the witness does not understand the question, he or she should stop to think, have the
question repeated, or have it explained.
A witness should pause before answering. Pausing provides time to think, makes the response
more considered and deliberate, and gives the attorney time to object if necessary. When
pausing, the witness should not use words such as "urn." As the court reporter documents
everything spoken, these words may incorrectly indicate hesitation when later read from the
written record.
When answering, a witness should:
Reply with a "Yes" or "No" when appropriate.
Speak in complete sentences when answering more fully.
PCB Inspection Manual Q-3 August 2004
-------
Appearing as a Witness Appendix Q
Be as descriptive as possible in referring to exhibits or photographs. For example, "In the
upper right hand corner, we see" rather than "Here, we see."
Stop immediately if the judge or either of the lawyers begins to speak.
Avoid memorizing answers to potential questions.
Never manipulate an answer to benefit one side.
A witness's credibility is defined as the degree of confidence that the judge or jury gives to the
witness's testimony. The opposing attorney will try to "impeach" a witness's credibility by
suggesting the following: bias, inaccuracy, inability to recollect, false testimony, or even
corruption. To lessen the opposing attorney's ability to discredit the witness's testimony, the
witness should:
Tell the truth.
Answer only the question asked, without volunteering information.
Explain answers fully. If the opposing attorney does not allow a full explanation, the EPA
attorney can choose to bring this out later in the trial during a redirect examination.
Answer within the limits of his or her knowledge of the facts.
Say, "I don't know," or "I don't remember," if that is the case.
Correct any mistakes in his or her previous testimony as soon as a mistake is
recognized.
Carefully identify estimates.
Never exaggerate.
Never guess.
Avoid absolutes, like "I always..." or "I never...".
B. Pre-Trial Testimony: Depositions
In a federal court trial, an inspector may be subpoenaed to give a deposition, which is pre-trial
questioning under oath by the opposing attorney. Depositions are not often conducted in
administrative hearings. Participants include the attorneys for each side, a court reporter, and
the witness. Most importantly, a judge will have no role in deposition testimony unless one side
abuses the process and the other side seeks relief.
The attorney may use a deposition to "discover" information or to contradict a witness's
testimony at trial. In most cases, deposition testimony cannot be used as a substitute for live
testimony. To properly prepare for and give deposition testimony, an inspector should:
Read the notice of deposition.
Consult with the EPA attorney to determine what documentation will be necessary.
Realize that he or she is not "off the record" until completely away from the deposition
setting.
Request a break whenever needed.
August 2004 Q-4 PCB Inspection Manual
-------
Appendix Q Appearing as a Witness
After the deposition is transcribed, the witness can read it to make any appropriate corrections.
Small errors always exist, but some transcripts contain absolute disasters. Errors in technical
details, such as numbers and units, can have a large impact. A witness should never waive the
right to read and sign the finished deposition.
C. Trial Testimony: Direct Examination
The EPA attorney will question the inspector during direct examination in order to put the facts
known by the inspector on the record in a well-organized and logical manner.
A good direct examination leads the inspector through his or her entire testimony using a
dialogue of short questions and answers. The attorney is responsible for asking appropriate
questions in the correct order and ensuring that nothing important is omitted. The witness is
only responsible for answering the attorney's questions completely and truthfully.
In order to avoid legally objectionable or tactically unwise remarks, the witness should trust the
EPA attorney's final decision concerning what questions to ask at the hearing. If the inspector
has forgotten a fact, the attorney may refresh the inspector's recollection with documents, such
as the inspection report. The EPA attorney might also ask, "Is there anything else?" to signal to
the inspector that something has been left out.
Redirect examination is a round of questioning only concerning issues raised during cross-
examination. Redirect will give the EPA attorney an opportunity to reduce any damage done to
the credibility of the inspector's testimony during cross-examination.
D. Trial Testimony: Cross-Examination
Cross-examination, questioning by the opposing attorney, will subject the witness to a more
difficult interrogation than direct examination. The opposing attorney will try to cast doubt on the
credibility of the witness's testimony. Many witnesses fear counsel techniques such as leading
questioning and twisting interpretation. The EPA attorney will try to protect the witness from
abusive uses of these techniques.
The witness can also protect the credibility of his or her testimony by 1) answering briefly, 2)
answering accurately, and 3) remaining calm. Answering briefly consists of being responsive to
the question, but not volunteering extra information. Avoid rambling, even if the opposing
counsel remains silent.
In addition to the recommendations in the section "Giving Testimony," answering accurately
requires listening carefully for the following types of questions:
PCB Inspection Manual Q-5 August 2004
-------
Appearing as a Witness Appendix Q
Questions that inaccurately paraphrase the witness's previous testimony. The error
should be corrected or the previous answer restated in full.
Hypothetical questions or questions requiring a "Yes" or "No" answer. If these questions
may compel a misleading or incomplete answer, the witness should explain the answer
fully at that time or later during redirect if cut short by the opposing attorney.
Two-part questions. The inspector should ask the attorney to restate the question or
carefully answer each part separately.
Even when a witness's truthfulness, occupational competence, or professional conclusions are
challenged, he or she should remain calm. An angry, sarcastic, or argumentative answer is
inconsistent with the inspector's role as a neutral government witness. Remaining calm will add
credibility to the inspector's testimony. Becoming familiar with the process, including
participation in a mock trial can help reduce the stress of cross-examination.
IV. Special Considerations
A. Technical Testimony
An inspector frequently presents technical facts. The inspector must balance the need to be
technically accurate with the need to reduce scientific issues to simple terms and concepts.
The first barrier to communicating technical information is the use of jargon. The inspector
should prepare carefully in order to simplify his or her language without over-simplifying the
scientific concepts. The inspector should:
Speak as clearly as possible. The court reporter may have difficulty recognizing
numbers and unfamiliar technical terms.
Provide a glossary of technical terms, including acronyms, to the reporter.
Review the meaning of frequently used acronyms, such as OECA meaning the Office of
Enforcement and Compliance Assurance.
Even after the witness explains the definitions of the technical language, the underlying concepts
may still be difficult to understand. To teach the necessary technical concepts, the inspector
and attorney should consider using:
Short answers in a logical progression of questions.
Slow enough questioning to avoid information overload.
Diagrams and pictures.
Appropriate analogies.
August 2004 Q-6 PCB Inspection Manual
-------
Appendix Q Appearing as a Witness
Finally, the inspector should not try to outdo the opposing attorney on technical issues. Not only
may the inspector confuse the judge or jury in the process, but also a well-prepared attorney will
have thoroughly studied the subject before trial and will have a large advantage in legal debate.
To successfully answer questions regarding technical information, an inspector should:
Examine questions and answers for assumptions and exceptions.
Look for inaccurate paraphrasing of the inspector's previous testimony.
Always identify estimates.
Use references in cases of complicated details. For example, the inspection report
could be consulted before testifying about the characteristics of a specific sample.
B. Expert Witness
Expert witnesses give opinions on the record. An expert witness has technical or other
specialized knowledge that helps the judge or jury better understand the case. In order to prove
a witness's expertise, his or her qualifications are introduced by one side and cross-examined
by the other side. Only those opinions that the witness is qualified to express by virtue of special
training or expertise will be admissible.
An expert is not necessarily someone from outside the agency with particular academic or
research credentials. Due to the inspector's professional expertise, he or she might be asked
specific questions that require an opinion or might even be called as an expert witness. The
EPA attorney will object if the opposing counsel asks inappropriate questions and will decide
whether to use the inspector as an expert witness. The inspector should stay carefully within his
or her limits of expertise and knowledge whenever asked a question requiring an opinion.
PCB Inspection Manual Q-7 August 2004
-------
Appearing as a Witness Appendix Q
Blank Page
August 2004 Q-8 PCB Inspection Manual
-------
-------
U.S. EPA Office of Compliance
Compliance Assessment and Media Programs Division
1200 Pennsylvania Avenue, N.W.
Washington, DC 20460
August 2004
EPA-305-X-04-003
------- |