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Supporting Statement for a Request for OMB Review under

the Paperwork Reduction Act

1. IDENTIFICATION OF THE INFORMATION COLLECTION

1(a). Title and Number of the Information Collection

Title: PCBs, Consolidated Reporting and Recordkeeping Requirements

EPA ICR No.: 1446.11

OMB Control No: 2070-0112

Docket ID No.: EPA-HQ-OPPT-2014-0597

1(b). Short Characterization

The Toxic Substances Control Act (TSCA) section 6(e)(1), 15 USC 2605(e), directs EPA to 

regulate the marking and disposal of polychlorinated biphenyls (PCBs). Section 6(e)(2) bans the 

manufacturing, processing, distribution in commerce, and use of PCBs in other than a totally enclosed 

manner. Section 6(e)(3) establishes a process for obtaining an exemption from the prohibitions on the 

manufacture, processing, and distribution in commerce of PCBs. This provision requires that EPA must 

make a finding by rule that such activities will not present an unreasonable risk of injury to health or the 

environment. In addition, good faith efforts must have been made by the petitioner to develop a 

chemical substance that does not present an unreasonable risk to replace the PCBs. Exemptions may be 

granted for a period not to exceed one year. Since 1978 EPA has promulgated numerous rules 

addressing all aspects of the life cycle of PCBs as required by the statute. These regulations have been 

codified in the various subparts of 40 CFR 761, as shown in Table 1-1. Appendix A contains a copy of 

the statute and Appendix B is a copy of the regulations.

TABLE 1-1: SUBPARTS AND SECTIONS OF 40 CFR 761

Subpart Section 

Numbers

Subpart Title

Subpart A §§761.1 - .19 General

Subpart B §§761.20 - .35 Manufacturing, Processing, Distribution in Commerce, and Use of PCBs 

and PCB Items

Subpart C §§761.40 - .45 Marking of PCBs and PCB Items

Subpart D §§761.50 -.79 Storage and Disposal

Subpart E §§761.80 Exemptions

Subpart F §§761.91 - .99 Transboundary Shipments of PCBs for Disposal

Subpart G §§761.120 - .135 PCB Spill Cleanup Policy

Subpart J §§761.180 - .193 General Records and Reports

Subpart K §§761.202 - .219 PCB Waste Disposal Records and Reports

Subpart M §§761.240 - .257 Determining a PCB Concentration for Purposes of Abandonment or 

Disposal of Natural Gas Pipeline; Selecting Sample Sites, Collecting 

Surface Samples, and Analyzing Standard PCB Wipe Samples

Subpart N §§761.260 - .274 Cleanup Site Characterization Sampling for PCB Remediation Waste in 

Accordance with 40 CFR 761.61(a)(2)
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TABLE 1-1: SUBPARTS AND SECTIONS OF 40 CFR 761

Subpart Section 

Numbers

Subpart Title

Subpart O §§761.280 - .298 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 §§761.300 - .316 Sampling Non-Porous Surfaces for Measurement-Based Use, Reuse, and 

On-Site or Off-Site Disposal Under §§761.61(a)(6) and 761.79(b)(3)

Subpart Q §§761.320 - .326 Self-Implementing Alternative Extraction and Chemical Analysis 

Procedures for Non-Liquid PCB Remediation Waste Samples

Subpart R §§761.340 - .359 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

Subpart S §§761.360 - .378 Double Wash/Rinse Method for Decontaminating Non-Porous Surfaces

Subpart T §§761.380 - .398 Comparison Study for Validating a New Performance-Based 

Decontamination Solvent Under 40 CFR 971.79(d)(4)

This Supporting Statement is a renewal of the Information Collection Request (ICR) that 

addresses reporting and recordkeeping requirements found in the rules identified above. There are 

approximately 100 specific reporting, third-party reporting, and recordkeeping requirements covered by

this consolidated ICR. Some examples of reporting and third-party reporting requirements included at 

40 CFR 761 follow:

 Submitting reports/certifications to qualify for the exclusion from the manufacturing ban, thus 

allowing the manufacture or importation of chemical products that contain inadvertently 

generated trace PCB impurities.

 Registering newly discovered PCB Transformers with EPA (reporting) and building owners 

(third-party reporting).

 Submitting annual reports concerning the storage and disposal of PCBs.

 Notifying EPA to obtain approval to exceed the time limits for storing equipment slated for reuse 

or to exceed the current one-year limitation on storing equipment for disposal.

 Notifying EPA (i.e., reporting) and state and local officials (i.e., third-party reporting) of selfimplementing PCB remediation activities and changes to these activities, and providing 

certification that all records of remediation activities are on file.

 Requesting EPA approval to operate facilities that dispose or commercially store PCBs.

 Submitting Unmanifested Waste Reports.

 Sending Certificates of Disposal to generators of PCB waste (third-party reporting).

Examples of recordkeeping requirements under 40 CFR 761 include:

 Maintaining records of PCB Transformers and transformer inspections, Voltage Regulators, and 

Large Capacitors.

 Maintaining records of PCB equipment stored for reuse.

 Keeping records of remediation activities.
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 Preparing and maintaining plans for handling PCB spills [i.e., Spill Prevention, Control, and 

Countermeasure (SPCC) plans].

 Preparing and maintaining annual document logs for incineration facilities, chemical waste 

landfills, and high efficiency boilers.

 Maintaining monitoring records of the manufacture, import, processing, distribution in 

commerce, or use of chemicals containing inadvertently generated or recycled PCBs.

 Maintaining records associated with the transfer, storage, and disposal of PCBs and PCB 

equipment; the processing and distribution in commerce of PCBs; and the decontamination of 

PCB Items.

Information required by these regulations is used by EPA’s Regional Administrators, the Office 

of Enforcement and Compliance Assurance (OECA), or the Office of Pollution Prevention and Toxics 

(OPPT), as appropriate. Much of the information is maintained as part of the public docket. Confidential 

business information (CBI) submitted to EPA to qualify for the chemical manufacturing exclusions is 

maintained by OPPT in the CBI docket. Data collected under the transformer registration program are 

provided to the EPA Regional Offices and other environmental offices, on an as requested basis (e.g., 

state environmental agencies, fire response personnel, etc.), and is accessible online as well.

All of the information collection activities associated with the PCB regulations found at 40 CFR 

761 have been approved by OMB. The total hourly and cost burdens associated with the requirements 

discussed in this consolidated ICR include time needed to collect and review required information and 

transmit or otherwise disclose the information. EPA will use the information collected by the 40 CFR 

761 requirements to ensure PCBs are managed in an environmentally safe manner and that activities are 

being conducted in compliance with the PCB regulations. Specific uses of the information collected 

include determining the efficacy of a disposal technology; evaluating exemption requests and exclusion 

notices; targeting compliance inspections (e.g., determining if operational criteria for disposal facilities 

are being met); and ensuring adequate storage capacity for PCB waste.

2. NEED FOR AND USE OF THE COLLECTION

2(a). Need/Authority for the Collection

The reporting and recordkeeping requirements of this consolidated ICR are implemented under 

the TSCA authorities at 15 USC 2605(e). To meet its statutory obligations, EPA must obtain sufficient 

information to conclude that the specified activities do not result in an unreasonable risk of injury to 

health or the environment. The regulations are intended to prevent the improper handling and disposal of 

PCBs and to minimize the exposure of human beings or the environment to PCBs.

To assist EPA in achieving these goals, the information collected by these requirements will 

update the Agency’s knowledge of ongoing PCB activities, ensure that individuals using or disposing of 

PCBs are held accountable for their activities, and demonstrate compliance with the PCB regulations. 

Tables 2-1, 2-2, and 2-3 (located at the end of this section) provide specific regulatory citations for each 

reporting, third-party reporting, and recordkeeping requirement, respectively, as well as the use for each 

requirement, which is provided in response to section 2(b) of this Supporting Statement. Item numbers 

in the first column of the tables are included for ease of reference to the numerous requirements and are

carried through to other sections and tables throughout this document.
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There are, however, certain PCB requirements that are exempt from the Paperwork Reduction 

Act (PRA). In defining “collection of information,” OMB’s PRA regulations explicitly exempt public 

disclosures where all the information required to be displayed is supplied by the government. The last 

sentence of 5 CFR 1320.3(c)(2) states, “The public disclosure of information originally supplied by the 

Federal Government to the recipient for the purpose of disclosure to the public is not included within 

this definition” (emphasis added).

EPA’s PCB marking requirements at §§761.40 and .45 supply all the information required by 

EPA to be displayed on items containing PCBs, except for §§761.45(a) and .40(j)(2). All the 

information required to be disclosed for compliance with these two provisions is not provided by EPA, 

however, the requirements do not negate the above conclusion.

For §761.45(a), the mark prompts the recipient to add information identifying the name and 

telephone number of a person to contact beyond the contact information already supplied by EPA’s 

mark itself. (The mark gives an emergency 800 number at the U.S. Coast Guard in case of accidents or 

spills, and states “for disposal information contact the nearest U.S. EPA office.”) However, OMB’s PRA 

regulations state at 5 CFR 1320.3(h)(1) that the definition of “information” does not generally include 

“affidavits, oaths, affirmations, certifications, receipts, changes of address, consents, or 

acknowledgments; provided that they entail no burden other than that necessary to identify the 

respondent, the date, the respondent’s address, and the nature of the instrument.” Thus, requiring the 

recipient to display merely the name and phone number of a contact person falls outside OMB’s 

definition of “information” and therefore does not require OMB approval or negate the exemption, 

under 5 CFR 1320.3(c)(2), for the PCB marking requirements.

The second exemption is that §761.40(j)(2) allows the use of marks other than that prescribed by 

EPA at §761.45 for PCB Transformers (provided, among other things, that (i) those marks were in use 

before August 15, 1985, (ii) before August 15, 1985, the primary fire department accepted the 

alternative mark, (iii) the EPA Regional Administrator was informed in writing of the alternative mark 

by October 3, 1988, and (iv) the Regional Administrator approved the alternative mark within 30 days of 

receipt). This exception applies only to the discrete universe of individuals who were already using 

alternative markings before August 15, 1985, and received EPA’s approval to continue using it. At that 

time, the PRA did not apply to Agency requirements that regulated entities disclose information to third 

parties or the pubic rather than to the Agency itself, Dole v. United Steelworkers of America, 110 S. Ct. 

929, 938 (1990), such as a requirement to display a marking on PCB Transformers.

There are three main types of possible violations for these PCB marking requirements: PCB 

Transformers with (1) no labels, (2) unapproved alternative labels, or (3) inadequate labels with missing 

or incorrect information. Those persons who fail to use any mark and never submitted an application for 

an alternative, and those persons who are using an unapproved alternative mark, cannot assert the PRA 

as an affirmative defense, because they are required to use the mark specified in §761.45, which, 

according to 5 CFR 1320.3(c)(2), does not constitute the collection of information.

2(b). Use of the Data

EPA will use the information collected by the 40 CFR 761 requirements to ensure PCBs are 

managed in an environmentally safe manner and that activities are being conducted in compliance with 

the PCB regulations. Tables 2-1, 2-2, and 2-3 contain information on the specific use of the data for each 

information collection.
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TABLE 2-1: REPORTING REQUIREMENTS UNDER TSCA SECTION 6(e), 40 CFR 761 AND USE OF THE COLLECTED DATA

Ref. 

#

Regulatory 

Section(s) Collection Requirement 2(b) Use of Collected Information

40 CFR 761

Subpart A—General

1 §761.1(f)(1),(2),

and (3)

Comply with reporting requirements of Subpart J 

(§§761.185 - .187) as a condition to be exempt from the 

manufacturing ban of Subpart B, for persons who: 

inadvertently manufacture or import PCBs generated as 

unintentional impurities in excluded manufacturing 

processes; process, distribute in commerce, or use products 

containing PCBs generated in excluded manufacturing 

processes; or process, distribute in commerce, or use 

products containing recycled PCBs, as per §761.1(f)(1) to 

(3).

Provide means for Agency to verify that individuals who claim manufacturing 

exclusions are generating only allowed quantities of PCBs in the products that 

leave their manufacturing sites. Provide data used to establish who is generating 

new PCBs, where these PCBs are being generated, and in what quantities. Identify 

sites for compliance inspections of those facilities that have reported unusually 

high amounts of PCBs released to products, air, or water. Provide quality control in 

that the regulation encourages manufacturers to audit their operations, quantify 

their PCB releases, and maintain their particular PCB releases within prescribed 

limits. (Also see numbers 42 & 43.)

Subpart B—Use

2 §§761.20(b)and

(c)(1) and (3)

Submit an exemption petition as per TSCA section 6(e)(3) to 

manufacture (import), process, or distribute in commerce 

(export) PCBs, unless otherwise authorized. 

Implement statutory mandate that these activities will not result in an unreasonable 

risk of injury to health or the environment. (Also see numbers 34 and 39.)

3 §§761.30(a)(1)

(vi), (vii), and

(xv)(D)

Register newly discovered PCB Transformers. (See 

Appendix C for EPA Form 7720-12).

Provide EPA and building owners with key information about transformer 

locations. 

4 §§761.30(a)(2)

(v)(C) and

.30(h)(2)(v)(C)

Obtain EPA approval to use alternate method for 

reclassifying transformers.

Provide EPA with adequate information to respond to request for relief from 

regulatory requirement.

5 §761.30(i)(1)

(iii)(A)(1) and (C)

Submit a description, at the request of the Regional 

Administrator (RA), of a natural gas pipeline system owned 

or operated by a seller or distributor of natural gas that 

contains >50 ppm PCBs, and make available to EPA, upon 

request, documentation of data and actions to comply with 

the natural gas use authorizations at .30(i)(1)(iii)(A).

Keep EPA informed of the operation and compliance of a natural gas pipeline 

system that contains PCBs. 

6 §761.30(t)(3) Obtain EPA approval for the use of PCBs in other gas or 

liquid systems.

Ensure that the wide variety and sometimes rare cases of PCB-contaminated gas or 

liquid systems are identified and cleaned to <50 ppm.
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TABLE 2-1: REPORTING REQUIREMENTS UNDER TSCA SECTION 6(e), 40 CFR 761 AND USE OF THE COLLECTED DATA

Ref. 

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Section(s) Collection Requirement 2(b) Use of Collected Information

7 §761.35(b) Obtain EPA approval for an extended storage for reuse 

period.

Prevent indefinite storage of equipment in areas not designed, constructed, or 

operated in compliance with toxic/hazardous waste storage requirements (e.g., 

TSCA §761.65(b) or RCRA 3004 or 3006 facilities).

Subpart D—Storage and Disposal

8 §761.60(e), (i)(2);

.70(a), (b), and 

(d); .75(b)(7), 

(b)(8)(ii), and (c)

Submit permit application and, when applicable, a demo 

plan for obtaining approval to operate a PCB disposal 

facility (i.e., alternative method of disposal, incinerator, 

chemical waste landfill). Submit requests for approval of 

R&D for PCB disposal for persons not following selfimplementing requirements.

Determine if applications meet the technical and operational criteria for a disposal 

or R&D facility to prevent PCB releases into the environment.

9 §761.60(j)(1)

(i)

Notify EPA to obtain an identification number for 

conducting R&D on PCB disposal activities. (See Appendix 

D for EPA Form 7710-53).

Ensure EPA is knowledgeable of PCB R&D activities (i.e., a waste handling 

activity) to prevent risk of injury to health or the environment. (Also see number 

44.)

10 §761.60(j)(1)

(ii)

Notify EPA (as well as state and local environmental 

officials) of PCB disposal R&D activities.

Keep relevant regional authorities informed of PCB waste handling activities in 

their area.

11 §761.60(j)(2) Obtain EPA’s approval to exceed allowable volume of PCB 

material, maximum concentration of PCBs, total amount of 

pure PCBs or duration of an R&D activity. 

Ensure the PCB R&D disposal activities will not cause risk of injury to health or 

the environment.

12 §§761.61(a)

(3)(i) and (ii)

Notify EPA (as well as state, tribal, and local) officials of 

self-implementing remediation activity, including a 

summary of the procedures used to sample contaminated 

areas and sample collection and analysis data; submit 

additional information as requested; and certify that records 

of remediation activity are on file at the location designated 

in the certificate.

Allow for flexibility in self-implementing remediation by keeping proper 

authorities informed of remediation activities.

13 §761.61(a)(3)

(ii)

Notify EPA of changes to notification of self-implementing 

activities.

Allow for flexibility in self-implementing remediation by keeping proper 

authorities informed of remediation activities.

14 §761.61(a)(3)

(iii)

Request a waiver of the notification requirement for 

conducting cleanup of PCB remediation waste.

Allow for flexibility in self-implementing remediation by keeping proper 

authorities informed of remediation activities. 

15 §761.61(a)(8)

(i)(B)

Submit certification to EPA that the deed notation required 

by §761.61(a)(8)(i)(A) has been recorded. 

Ensure proper notification to potential land owners of PCB history at the site.
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TABLE 2-1: REPORTING REQUIREMENTS UNDER TSCA SECTION 6(e), 40 CFR 761 AND USE OF THE COLLECTED DATA

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Section(s) Collection Requirement 2(b) Use of Collected Information

16 §761.61(c)(1) Apply for risk-based disposal of PCB remediation wastes. 

Submit additional information as requested by EPA.

Allow EPA, on an as-requested basis, to assess proposed disposal option and 

ensure that it will not present risk of injury to health or the environment.

17 §761.62(c)(1) Obtain approval for risk-based disposal or storage of PCB 

bulk product waste. Provide additional information and 

periodic progress reports, as requested by EPA.

Allow EPA, on an as-requested basis, to assess proposed disposal or storage option 

and ensure that it will not present a risk of injury to health and the environment.

18 §761.65(a)(2) Provide notification that continuing attempts to dispose of or 

secure disposal for PCB waste within the one-year time 

frame have been unsuccessful, for which EPA may grant an 

automatic one-year extension.

Show good faith attempts to secure disposal of PCB wastes. Allow EPA to 

evaluate whether the one-year time frame for storage should be extended and 

ensure that appropriate treatment and disposal options are being pursued.

19 §761.65(a)(3) Submit requests for additional extensions beyond the initial 

one-year extension, including justification and information 

on measures taken to secure disposal.

Ensure that appropriate treatment and disposal options are being pursued.

20 §761.65(a)(4) Submit request for modifications to TSCA approval to allow 

for extended storage period.

Allow EPA to assess whether a facility is likely to present an unreasonable risk of 

injury as a result of being granted approval to extend the storage timeframes for the 

disposal of PCB waste.

21 §761.65(c)(6)

(i)(C)

Demonstrate to the EPA Regional Administrator and other 

appropriate regulatory authorities (i.e., Nuclear Regulatory 

Commission, DOE, or DOT), that the use of other containers 

for the storage of liquid and non-liquid PCB/radioactive 

wastes is protective of health and the environment.

Allow flexibility in using unique container designs that meet the criteria for 

containers used to store liquid or non-liquid PCB/radioactive waste. 

22 §761.65(d); 

(e)(1), (6), and 

(8); and (f)

Prepare application for commercial storage approval, 

including qualifications of key employees, closure plan, and 

closure cost estimate. Commercial storer must also notify 

EPA of facility modification, closure schedule, and 

completion of closure activities.

Allow EPA to assess operational capabilities, to determine whether storers/ 

disposers of PCB wastes have the ability to close their facilities in a safe manner, 

and to prohibit intermediate handlers of PCBs who are financially unable to close 

their facilities from becoming potential Superfund sites.

23 §761.65(e)(4) Submit a written request to the EPA Regional Administrator

to modify a storage approval to amend the closure plan, 

when there are changes in ownership, changes in expected 

dates of closure, and/or unexpected events.

Ensure proper management of storage facilities.

24 §761.65(g)(9) Notify issuing authority of modifications to commercial 

storage facilities.

Ensure financial assurance mechanism is adequately funded.
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TABLE 2-1: REPORTING REQUIREMENTS UNDER TSCA SECTION 6(e), 40 CFR 761 AND USE OF THE COLLECTED DATA

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Section(s) Collection Requirement 2(b) Use of Collected Information

25 §§761.65(j) Demonstrate that a new owner of a commercial storage 

facility has established financial assurance for closure. 

Submit new or amended commercial storage application as a 

result of change in ownership.

Ensure proper management of storage facilities and handling of PCB wastes prior 

to approving changes in ownership. 

26 §§761.70(a)(8), 

(9); and (d)(5)

Obtain approval of alternate measures when regulatory 

requirements cannot be met for operating a PCB incinerator.

Allow EPA to assess adequacy of alternate procedures for use at incinerators.

27 §§761.70(d)

(8); 761.75 (c) (7)

Notify EPA of change in ownership of disposal facility (i.e., 

incinerators and landfills).

Allow EPA to determine whether transfer will present risk of injury to health and 

environment.

28 §§761.71(a)(2) 

and (b)(2)

Notify EPA prior to initial use of high efficiency boiler to 

burn mineral oil dielectric fluid. Seek approval to burn 

liquids, other than mineral oil dielectric fluid in a HEB.

Ensure that the operation of high efficiency boilers will not present a risk of injury 

to health or the environment.

29 §§761.72(c)(2) Notify EPA as a scrap metal recovery oven or smelter used 

to dispose of PCBs and comply with the reporting 

requirements of Subparts J and K.

Ensure that the operation of industrial furnaces will not present risk of injury to 

health or the environment. (Also see number 44.)

30 §761.72(c)(3) Submit written request to the EPA Regional Administrator 

based on site-specific risk assessments, in lieu of meeting 

requirements listed in §761.72.

Allow EPA to assess whether scrap metal recovery oven and/or smelter operation 

will present risk of injury to health or the environment.

31 §§761.77(a)(1)(i),

(a)(1)(ii)(A)(1) 

and (C), and 

.77(a)(2)

Submit a notification to the EPA Regional Administrator for 

coordinated approval and additional information, as 

requested by EPA. Submit an application for TSCA disposal 

approval, if the Regional Administrator denies the request 

for a coordinated approval or determines that the conditions 

of the coordinated approval are not being met. 

Allow EPA to assess whether facilities seeking coordinated approval properly 

manage PCB wastes and recognize the federal or state waste management 

documents governing the properly managed facilities, thus contributing to more 

efficient use of limited resources.

32 §761.77(a)(3) Notify EPA of changes in waste management requirements 

in the non-TSCA waste management document used to 

obtain TSCA PCB coordinated approvals.

Ensure the proper handling of PCB wastes.

33 §§761.79(h) Submit requests for approvals of alternative decontamination 

or sampling methods, for any person decontaminating 

porous surfaces other than concrete, as per paragraph (b)(4), 

or non-porous surfaces covered with a porous surface, as per 

paragraph (b)(3) or (c)(6), and/or by using a selfimplementing procedures other than prescribed in paragraph 

(c). EPA may request additional information.

Allow EPA, on an as-requested basis, to ensure that decontamination methods will 

not pose risk of injury to health or the environment.
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TABLE 2-1: REPORTING REQUIREMENTS UNDER TSCA SECTION 6(e), 40 CFR 761 AND USE OF THE COLLECTED DATA

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Section(s) Collection Requirement 2(b) Use of Collected Information

Subpart E—Exemptions

34 §§761.80(e)(1)

and (i)(1)

Submit petition to qualify for the class exemptions for 

manufacturing PCBs for disposal R&D and for the 

manufacture, import, processing, distribution, and export of 

PCBs and analytical reference samples derived from PCB 

waste for R&D.

Allow EPA, on an as-requested basis, to assess whether a facility meets the criteria 

for being granted an exemption. Minimize negative impacts from the relatively 

time-consuming statutory process for individual companies seeking an exemption 

from the prohibition on manufacturing, processing, and distributing in commerce 

of PCBs. [Statutory requirement] (Also see numbers 2 and 39).

35 §761.80(e), (i)(2) 

and (n)

Submit requests for renewal of the class exemptions. Allow EPA, on an as-requested basis, to ensure that facility operations will not 

pose risk of injury to health or the environment.

36 §§761.80(e)

(3), (g)(2), and 

(i)(4)

Obtain approval from EPA to exceed limits of the 

exemption.

Allow EPA, on an as-requested basis, to ensure that facility operations will not 

pose risk of injury to health or the environment.

37 §761.80(e)(4) Notify EPA before beginning R&D activities that include 

the manufacture of PCBs.

Ensure that facility operation will not pose risk of injury to health or the 

environment.

38 §761.80(n) Submit a petition for certain exemptions to address increases 

in the amount of PCBs to be processed and distributed, 

imported (manufactured), or exported, or changes in the 

manner of processing and distributing, importing 

(manufacturing), or exporting PCBs.

Allow EPA, on an as-requested basis, to ensure that facility operations will not 

pose risk of injury to health or the environment.

Subpart F—Transboundary Shipments of PCBs for Disposal

39 §§761.93(a)

and .97(a)

Submit an exemption petition as per TSCA section 6(e)(3) to 

import PCBs or PCB Items for disposal.

Allow EPA, on an as-requested basis, to ensure that the import and export of PCBs 

and PCB Items will not pose a risk of injury to health or the environment.

[Required by Statute.] (See number 2.)

Subpart G—PCB Spill Cleanup Policy

40 §761.125(a)(1) (i) 

to (iii)

Report certain spills of PCBs to EPA. Request guidance 

from the EPA Regional Administrator in completing 

statistical sampling of the spill area to establish spill 

boundaries, where there are no visible traces of 

contamination. 

Make reporting consistent with CERCLA requirements and facilitate cleanup of 

PCBs, to prevent exposure to PCBs.

Subpart J—General Records and Reports
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TABLE 2-1: REPORTING REQUIREMENTS UNDER TSCA SECTION 6(e), 40 CFR 761 AND USE OF THE COLLECTED DATA

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Section(s) Collection Requirement 2(b) Use of Collected Information

41 §§761.180(b)

(3) and (c)(5)

Submit annual reports for the operation of PCB incinerators, 

chemical waste landfills, high efficiency boilers, and 

commercial storage facilities, including facilities that 

dispose of the PCB wastes they generate. Report suspension 

of operations.

Fill gaps in EPA’s knowledge of how PCB wastes are being handled and allow the 

Agency to respond to public and Congressional inquiries. Enable EPA to more 

effectively target disposal facilities for inspection and compliance monitoring.

41a §761.180(g) Provide records pertaining to the reclassification of PCB 

equipment, if requested by EPA.

Address EPA’s concerns regarding reclassification procedures and results for the 

specified equipment. (Also see number 68a.)

42 §§761.185 Notify EPA and certify low level PCB product 

contamination to be exempt from the requirements of 

Subpart B, regarding processes inadvertently generating 

PCBs and imports of products containing inadvertently 

generated PCBs. Certification must be repeated if the 

previous certification is no longer valid.

Ensure products do not reach U.S. markets with unacceptably high levels of PCBs.

43 §761.187 Notify EPA when PCB releases exceed limits, to be exempt 

from the requirements of Subpart B, for products, 

manufactured or imported with inadvertently generated 

PCBs.

Ensure that facility operations will not pose risk of injury to health/environment.

Subpart K—PCB Waste Disposal Records and Reports

44 §§761.202(a); 

205(a) to (c)

Notify EPA of waste handling activities, for generators, 

commercial storers, transporters, or disposers of PCB waste.

Inform EPA of generators, storers, transporters, and disposers of PCB waste so that 

the Agency can ensure compliance with applicable regulations.

45 §761.205(f) Report changes in notifications previously submitted by 

PCB waste handlers (i.e., amended notification).

Ensure that PCB waste handlers are operating within the proper criteria.
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TABLE 2-1: REPORTING REQUIREMENTS UNDER TSCA SECTION 6(e), 40 CFR 761 AND USE OF THE COLLECTED DATA

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Section(s) Collection Requirement 2(b) Use of Collected Information

46 §§761.217(a) and 

(b) and 

§761.219(a), (b), 

and (c) 

Submit Exception Reports to EPA when PCB waste 

generators, disposers, and/or commercial storers do not 

receive confirmation that a shipment of a PCB waste has 

been properly disposed of. Also, Submit a One-year 

Exception Report when 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; or 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 the disposal of 

the affected PCBs or PCB Items, or the generator or 

commercial storer receives a Certificate of Disposal 

confirming disposal of the affected PCBs or PCB Items on a 

date more than 1 year after the date of removal from service

Submit Exception Report to EPA for rejected shipments of 

PCB waste that are forwarded to an alternate facility by a 

designated facility using a new manifest.

Track the movement of PCB waste to ensure they arrive at intended storage or 

disposal site. Enable EPA to investigate potential violations and prevent further 

environmental contamination. Target companies for inspection.

47 §761.215(c) Submit Discrepancy Reports and copies of manifests to EPA 

when the PCB waste received by a disposer is significantly 

different from the description on the manifest that 

accompanies it, and the discrepancy is not resolved within 

15 days after receiving the PCB waste. 

Enable EPA to investigate potential violations and prevent further environmental 

contamination. Target companies for inspection.

 

48 No Longer Required 

49 §761.216(a) Submit Unmanifested Waste Reports (e.g., waste 

description, volume, disposition; date received; ID numbers 

of waste handlers for that waste) to EPA when disposers 

accept a shipment of PCB waste without an accompanying 

manifest, and the owner or operator of the commercial 

storage or disposal facility cannot contact the generator of 

the PCB waste

Enable EPA to investigate potential violations and prevent further environmental 

contamination. Target companies for inspection.

Subpart T—Comparison Study for Validating a New Performance-Based Decontamination Solvent under §761.79(d)(4)

50 §§761.395 and

398(a)

Submit results of analysis and validation study to the 

Director, National Program Chemicals Division (NPCD).

Allow EPA to confirm and publish findings in the Federal Register of new 

decontamination procedures.
May 21, 2015

Page 12 of 108

TABLE 2-2: THIRD-PARTY NOTIFICATION REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e) AND USE OF THE 

COLLECTED DATA

Ref. 

#

Regulatory 

Section(s) Collection Requirement 2(b) Use of Collected Information

40 CFR 761

Subpart B—Use

51 §§761.20(e)(3)

(ii);.30(i)(5)

(ii); and .60(b)

(5)(iv)(B)

Burner of used oil must provide a 1-time certification to the 

marketer that he is in compliance with notification 

requirement at §761.71(a)(2).

Limits distribution of used oil containing PCBs to authorized burners.

52 §§761.30(a)

(1)(xi) and

(xv)(A);

30(h)(1)

(ii)(B)

Report PCB Transformers and Voltage Regulator fire 

incidents to the National Response Center. 

Provide Federal officials with notice of individual and the environmental exposure 

to PCBs.

53 §761.30(a)(1)

(xiv)

Notify owner of PCB Transformer that equipment may pose 

risk of exposure to food or feed.

Allow determination to be made regarding risk of exposure to food and feed.

54 §761.30(a)(1)

(xv)(D)

Register PCB Transformers with the building owner within 

30 days of discovery.

Provide local notice of the existence of PCBs.

Subpart D—Storage and Disposal

55 §761.60(a)(3)

(ii)

Provide information to chemical waste landfills that liquids 

do not exceed 500 ppm and are not ignitable.

Prevent release of PCBs and provide flexibility in disposal options for incidental 

liquids, making the rule consistent with RCRA land ban restrictions.

56 §761.60(b)(5)

(i)(A)(1)

Include abandoned natural gas pipes that contain PCBs in 

public service notification programs. 

Prevent exposure to PCBs.

57 §761.60(f)(1)

(i)

Provide state and local officials with notification prior to the 

first use of an approved chemical waste landfill, incinerator, 

or alternate PCB disposal technology. 

Inform relevant authorities of the operation of a PCB disposal facility in their 

region.

58 §761.60(f)(1)

(ii)

Provide annual notice of the quantities and general 

description of the PCBs disposed of during the year, at the 

request of any state or local government.

Keep relevant authorities informed of PCB activities in their region.

59 §761.60(j)(1)

(ii)

Notify state, and local environmental officials (as well as 

EPA) of PCB disposal R&D activities.

Keep relevant regional authorities informed of PCB waste handling activities in 

their area.
June 9, 2015

Page 13 of 108

TABLE 2-2: THIRD-PARTY NOTIFICATION REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e) AND USE OF THE 

COLLECTED DATA

Ref. 

#

Regulatory 

Section(s) Collection Requirement 2(b) Use of Collected Information

60 §761.60(j)(1)

(vii)

Manifest, pursuant to Subpart K, all PCB wastes that are 

generated by R&D on PCB disposal and transported from 

the R&D facility to a commercial storage or disposal 

facility, unless the residuals or unused samples are returned 

to the site of generation.

Ensure proper handling and disposal of PCB wastes.

61 §§761.61(a)

(3)(i) 

Notify state, and local environmental officials (as well as 

EPA) of self-implementing remediation activity.

Allow for flexibility in self-implementing remediation by keeping proper 

authorities informed of remediation activities.

62 §761.61(a)(5)

(i)(B)(2)(iv)

Notify offsite non-TSCA facility of pending shipment of 

remediation waste.

Ensure proper handling of PCB wastes.

63 §761.61(a)(8)

(i)(A)

Attach a notation to the deed for property at which 

remediation projects require a permanent fence or cap.

Ensure potential buyer is aware property is site of PCB remediation.

64 §§761.62(b)

(4)(i) and (ii) 

Provide notification to a receiving facility that does not have 

a commercial PCB storage or disposal approval before the 

first shipment of a PCB bulk product waste stream. In 

addition, for certain waste this notice must be provided with 

each shipment thereafter.

Ensure proper storage and disposal for PCB bulk product waste. (See also

§§761.357 and 761.359.)

65 §761.65(c)(1) and 

(8)

Attach a notation to a PCB Item or PCB Container 

containing the item indicating the date the Item was 

removed from service.

Facilitate the proper storage and disposal of PCB Items and Containers.

66 §761.65(i)(3) Send information regarding the sample collector, the lab, 

date of shipment, quantity, and description of sample, when 

sending PCB samples to a laboratory for testing.

Inform workers of appropriate contact information to ensure proper handling of 

PCBs. 

Subpart G—PCB Spill Cleanup Policy

67 §761.125(a)(1) Report certain spills of PCBs to the National Response 

Center.

Make reporting consistent with CERCLA requirements and facilitate cleanup of 

PCBs, to prevent exposure to PCBs.

68 §761.125(c)

(2)(ii)

Place label or notice of PCB contamination at cleanup site. Inform personnel of presence of low level PCB contamination.

Subpart J—General Records and Reports
June 9, 2015

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TABLE 2-2: THIRD-PARTY NOTIFICATION REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e) AND USE OF THE 

COLLECTED DATA

Ref. 

#

Regulatory 

Section(s) Collection Requirement 2(b) Use of Collected Information

68a §761.180(g) Provide records pertaining to the reclassification of PCB 

equipment, if requested by recipients of equipment.

Address recipient’s concerns regarding liability for improper reclassification. (Also 

see number 41a.)

Subpart K—PCB Waste Disposal Records and Reports

69 §§761. 210(b), 

(c), and (d)(1) and 

(2)

Prepare manifests and provide generator-initiated manifests 

of PCB waste to each transporter or designated commercial 

storage or disposal facility. 

Ensure proper tracking of PCB waste shipments.

70 §§761.

213(a)(2)(v) and 

(b)(4)

Storer or disposer sends a copy of the manifest or shipping 

paper to the generator.

Ensure proper tracking of PCB waste shipments.

71 §§761.218(a) and 

(b)

Send Certificates of Disposal to generators of PCB waste 

when disposal of each item is complete for a manifested 

PCB waste shipment. 

Enable generators to confirm that each PCB Item in a shipment has been disposed 

of legally. Assure generator that the PCB waste has been disposed of and is in the 

final step of the cradle-to-grave monitoring of PCB waste.
June 9, 2015

Page 15 of 108

TABLE 2-3: RECORDKEEPING REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e) AND USE OF THE DATA

Ref. 

#

Regulatory 

Section(s) Collection Requirement 2(b) Use of Collected Information 

40 CFR 761

Subpart A—General

72 §761.1(f) Comply with recordkeeping requirements of Subpart J 

(§761.185 - .193) as a condition of the exclusion from the 

manufacturing, processing, distribution in commerce, and 

use bans of Subpart B, for persons who inadvertently 

manufacture or import PCBs generated as unintentional 

impurities in excluded manufacturing processes, or generate 

PCBs in excluded manufacturing process or products with 

recycled PCBs, as defined in §761.3. 

Provide quality control that encourages manufacturers to audit their operations, to 

quantify their PCB releases, and to maintain their particular PCB releases within 

the limits that will assure that they have generated only trace amounts of PCBs. 

(See number 100.)

Subpart B—Manufacturing, Processing, Distribution in Commerce, and Use of PCBs and PCB Items

73 §§761.20(e)

(4)(i) and (ii);

.30(i)(5)(ii); and

.60(b)(5)(iv)

(B)

Marketer who first claims used oil does not contain 

detectable PCBs must retain records supporting the claim 

and a copy of each certification notice received or prepared 

relating to transactions involving PCB-containing used oil. 

Burners must include among the records a copy of each 

certification notice that has been provided to a marketer of 

PCB-containing used oil.

Allow EPA to verify compliance with the used oil provisions.

74 §§761.30(a)(1)

(xii) and (xiv)

Maintain records of inspection and maintenance history for 

at least three years after the disposal of a PCB Transformer, 

including records of registration, as per 

§761.30(a)(1)(vi)(C).

Allow EPA to verify compliance with the regulations and that PCB equipment was 

registered.

75 §§761.30(a)(2)(v)

(C) and (D); 761 

.30(h)(2)(C) and 

(D) and 761.180 

(g)

Maintain records at the facility where PCB electrical 

equipment (i.e., transformers, voltage regulators, 

electromagnets, switches) has been reclassified to a lower 

PCB concentration.

Assist EPA in tracking the ultimate disposition of PCB equipment. 

76 §§761.30(i)(1)

(iii)(B) and (C) 

Keep records of data collected on natural gas pipeline 

systems that do not include sources of PCB contamination 

(e.g., natural gas compressors, natural gas scrubbers, and 

natural gas filters) but contain ≥50 ppm PCB. Retain data 

and records of actions taken to reduce PCB contamination 

by owners or operators of natural gas pipeline systems.

Be able to demonstrate the reduction of PCB levels in a natural gas pipeline 

system. 

77 §761.35(a)(2) Keep records of equipment stored for reuse. Ensure the proper handling of equipment stored for reuse.
June 9, 2015

Page 16 of 108

TABLE 2-3: RECORDKEEPING REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e) AND USE OF THE DATA

Ref. 

#

Regulatory 

Section(s) Collection Requirement 2(b) Use of Collected Information 

Subpart C—Marking of PCBs and PCB Items

78 §761.40(c)(2)

(ii) and (k)

Keep records of the protected location of PCB Large Low 

and High Voltage Capacitors, in lieu of marking. 

Have information available for preventing exposure to PCBs and allow flexibility 

in compliance with marking requirement.

Subpart D—Storage and Disposal

79 §761.60(j)(1)(ix) Keep records of R&D for disposal activities. Have information ensuring the proper management of R&D for disposal activities.

80 §§761.61(a)

(3)(i)(E); and

(a)(6)

Retain records of the 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, and certification that these records are on file at 

the location designated in the certificate. Keep records of 

comparison studies for any alternate method used that meet 

or exceed the requirements of §761.326. Keep records of 

sampling and sample analysis to verify cleanup and on-site 

disposal of bulk PCB remediation wastes and porous 

surfaces, as per Subpart O, §761.295.

Allow EPA inspectors to ensure the proper operation of PCB remediation 

activities. (See also §§761.295.)

81 §761.61(a)(3)(iii) Retain the original written waiver of the 30-day notification 

requirement for conducting a cleanup activity of PCB 

remediation waste.

Allow EPA to track administrative decisions regarding self-implementing 

remediation projects. 

82 §761.61(a)(9) Keep records in accordance with §761.125(c)(5) for (a)(3), 

(a)(4), and (a)(5) of this part.

Ensure that a remediation site has been properly decontaminated. (See number 97.)

83 §761.62(b)(5) Maintain a written record of all sampling and analysis of 

PCBs or notifications made under this part for three years 

from the date of its creation and make available to EPA 

upon request.

Allow EPA to assess whether PCB bulk product wastes are properly handled.

84 §§761.65(a)

(2)(ii) and (a)(3)

Keep a written record of attempts to secure disposal 

capacity. If requested, keep records of PCB wastes stored 

beyond the one-year storage extension.

Ensure that PCB wastes stored beyond the one-year storage extension do not pose 

unreasonable risk of injury to health and the environment.

85 §761.65(c)(1)(iv) Prepare/modify Spill Prevention, Control, and 

Countermeasure Plans to address liquid PCBs >500 ppm, to 

be able to temporarily store PCB Containers containing 

liquid PCBs in areas that do not comply with the storage 

requirements of §761.65.

Ensure that adequate remediation measures have been defined and can be taken to 

avoid exposure to PCBs in the event of a PCB spill.
June 9, 2015

Page 17 of 108

TABLE 2-3: RECORDKEEPING REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e) AND USE OF THE DATA

Ref. 

#

Regulatory 

Section(s) Collection Requirement 2(b) Use of Collected Information 

86 §761.65(c)(7)(ii) Prepare a Spill Prevention, Control, and Countermeasure 

Plan (SPCC) when using large stationary storage containers, 

as per 29 CFR 1910.106, for liquid PCBs.

Ensure that adequate remediation measures have been defined and can be taken to 

avoid exposure to PCBs in the event of a PCB spill.

87 §761.65(c)(8) Keep records of the quantity and the date of each batch 

added to the stationary storage container.

Allow EPA to monitor content of stationery storage containers.

88 §§761.65(c)(10) Establish and maintain records as per §761.180 for the 

storage and disposal of PCBs and PCB Items ≥50 ppm.

Allow EPA to assess whether PCBs and PCB Items are being properly stored for 

disposal. (See number 99.)

89 §§761.70(a)

(3), (4) and (7); 

(c); and 

761.180(c)

Maintain for incinerators records of quantities, feed rates, 

temperatures, combustion products, and operations, and 

special records, as per §761.180(c); retain records for 5 

years. 

Allow monitoring of incinerator operations.

90 §§761.71(a)

(1)(vi) and (vii), 

(a)(4), (b)(1)(vivii), and (b)(5); 

and .180(e)

Record feed rate, carbon dioxide emissions, the quantity of 

low concentration PCB liquid burned in a high efficiency 

boiler each month, and the analyses of the waste burned in 

high efficiency boilers and retain the records for 5 years.

Allow EPA to assess whether a high efficiency boiler has operated according to the 

required specifications.

91 §761.72(a)(9) and 

(b)(6)

Record and retain records of temperature readings from 

scrap metal recovery ovens.

Allow EPA to assess whether scrap metal recovery ovens and smelters are operated 

according to the required specifications.

92 §§761.75(b)

(6)(iii) and 

(b)(8)(iv); 

761.180(d)

Maintain records for all PCB disposal operations at chemical 

waste landfills, including PCB concentration in liquid 

wastes, the three-dimensional burial coordinates for PCBs 

and PCB Items, water sampling and analysis, and additional 

records as required in §761.180; retain records for at least 20 

years after the facility ceases disposal operations. 

Allow EPA to assess whether disposal facilities are operating in compliance with 

regulatory requirements.

93 §761.79(d)(4) and 

Subpart T

Retain test/validation results of performance-based organic 

decontamination fluids (PODFs) and verified aqueous 

decontamination fluids (VADFs).

Allow EPA to ensure that a decontamination activity used proper decontamination 

fluids.

94 §§761.79(f)(1) 

and (2)

Keep records for three years of confirmatory sampling and 

sampling locations/results for decontamination activities and 

compliance with self-implementing procedures.

Allow EPA to assess whether a decontamination activity was properly 

implemented.

Subpart E—Exemptions
June 9, 2015

Page 18 of 108

TABLE 2-3: RECORDKEEPING REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e) AND USE OF THE DATA

Ref. 

#

Regulatory 

Section(s) Collection Requirement 2(b) Use of Collected Information 

95 §§761.80(e) (5) 

and (i)(7)

Keep records of activities associated with 

manufacture/processing/distribution in commerce of PCBs 

or PCB reference samples derived from waste materials for 

R&D; retain records for three years after operations cease.

Ensure accountability for PCB activities otherwise banned by statute.

96 §761.80(g)(1) Keep records of activities associated with the processing and 

distribution in commerce of small quantities PCBs for R&D.

Ensure accountability for PCB activities otherwise banned by statute.

Subpart G—PCB Spill Cleanup Policy

97 §§761.125(b)

(3) and (c)(5); 

.61(a)(9)

Maintain records of cleanup and certification of 

decontamination for 5 years, for low- and high-concentration 

spills.

Allow EPA to assess compliance with requirements and pursue enforcement 

actions, when appropriate.

98 §761.125(c)(1) Maintain records documenting delay in spill cleanup 

activities and areas of visible contamination. 

Allow EPA to assess compliance with requirements and pursue enforcement 

action, when appropriate.

Subpart J—General Records and Reports

99 §§761.180(a), 

(a)(4), (b) and (f); 

761.65(c) (5)

Maintain annual records and written annual document log 

for PCBs and PCB Items for three years after facility ceases 

PCB activities, including signed manifests, Certificates of 

Disposal, records of inspections and cleanups, facility and 

Item identification information, total number of Items, 

telephone records, and PCB Item transfer information. 

Collect and maintain documents, correspondence and data 

pertaining to storage/disposal of PCBs that have been 

provided to as well as received from any state or local 

government agency and any application/correspondence 

submitted to local, state, or federal permitting authorities.

Allow EPA to assess compliance with requirements and pursue enforcement 

action, when appropriate.

100 §§761.185(c)

(2), (d) and .193 

(a) and (b)

Maintain theoretical analysis or monitoring records by 

persons who import, manufacture, process, distribute in 

commerce, or use products containing inadvertently 

generated or recycled PCBs, pursuant to §761.1(f)(1) to (3). 

Maintain letter certifying compliance with §761.1(f), for 

excluded manufacturing processes.

Allow EPA to ensure the proper management of PCB activities.
June 9, 2015

Page 19 of 108

TABLE 2-3: RECORDKEEPING REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e) AND USE OF THE DATA

Ref. 

#

Regulatory 

Section(s) Collection Requirement 2(b) Use of Collected Information 

101 §§761.210(a)(3), 

(e)(4), 211(d)(2), 

(e)(5), (f)(1)(iv), 

(f)(3)(ii), 

(f)(4)(ii), 

213(a)(2)(v), 

(b)(5), 214(a),(b), 

and (c)

File and maintain manifests initiated or received by a PCB 

waste handling facility (i.e., generators, transporters, 

commercial storers and disposers) and maintain records of 

all telephone and other conversations regarding manifest 

communications, which are to be included in the annual log 

in accordance with §761.180.

Provide a record of the fate of each waste shipment sent to a disposal site, allowing 

EPA to determine if a waste had been properly or improperly disposed.

102 §761.218(c) and 

(d)

Maintain a copy of each Certificate of Disposal received 

from disposers, for generators and commercial storers of 

PCB waste.

Provide a record of the disposal of a waste shipment, allowing EPA to determine if 

a waste has been properly or improperly disposed.

Subpart T—Comparison Study for Validating a New Performance-Based Decontamination Solvent under §761.79(d)(4)

103 §761.398(c) Record testing parameters and experimental conditions in 

standard operating procedures (SOP). Results of validation 

study are to be affixed as an appendix.

Allow EPA to assess compliance with requirements and pursue enforcement 

action, when appropriate.
June 9, 2015

Page 20 of 108

3. NON-DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA

3(a). Non-Duplication 

TSCA section 6(e) assigns the responsibility for regulating the manufacture, processing, 

distribution in commerce, use, storage, and disposal of PCBs to the EPA Administrator. All of the 

information requested under this ICR is required by the statute and the implementing regulations at 40 

CFR 761 and is not available from other sources. The information collection requirements addressed in 

the ICR are not duplicative of any other Federal agency legislation. No other Federal agency requires 

respondents to report or maintain information on the manufacturing, processing, or distribution in 

commerce of PCBs.

For example, the notification and recordkeeping requirements of §§761.185, 761.187, and 

761.193 comprise the sole source of information EPA relies on to identify the manufacturing sites that 

inadvertently manufacture PCBs and to verify that the members who have certified their eligibility for 

the exclusion are not exceeding the prescribed limits on PCB releases. Over time, reviewers of the PCB 

ICRs have suggested that the TSCA PCB requirements are duplicative of TSCA inventory Form U 

reports, EPCRA Tier I and II reports, and Customs records that presumably could be used by EPA to 

identify a product’s PCB concentration (§§761.185 and .187); that RCRA, CWA, CAA, and CERCLA 

could be used by EPA to address air and water emissions and process waste concerns (§761.187); and 

that EPCRA reporting requirements could be used by EPA to identify locations of PCB Transformers 

and PCB releases (§§761.30(a)(1) and .187). However, none of these requirements begin to address the 

concerns that are being tracked under the TSCA PCB regulations. For example, Customs records collect 

information on importation (i.e., chemical products, points of entry, and quantities, not products with de 

minimis levels of PCBs). The EPCRA and TSCA inventory reports do not gather information at the 

levels that would be useful under the PCB regulations. Finally, the RCRA, CWA, CAA, and CERCLA 

provisions cannot be used to monitor PCB concentrations in consumer products or to prescribe disposal 

procedures for PCBs.

3(b). Public Notice Required Prior to ICR Submission to OMB

In proposing to renew this ICR, EPA provided a 60-day public notice and comment period that 

ended on December 9, 2014 (79 FR 61302, October 10, 2014). EPA received one set of comments from 

the Utilities Solid Waste Activities Group (USWAG). A copy of the comments appear in Appendix E-1 

to this Supporting Statement and are briefly summarized in this section. EPA’s response to the

comments appear in Appendix E-2.

USWAG commented that the Supporting Statement did not reflect the changes made to the PCB 

recordkeeping and reporting requirements by the Agency’s final rule entitled “Polychlorinated 

Biphenyls (PCBs): Revisions to Manifesting Regulations” issued on September 6, 2012. This final rule 

aligned the PCB manifest requirements with the Agency’s hazardous waste manifest requirements that

resulted in the reorganization and renumbering of many of the PCB manifest requirements. USWAG 

provided specific references that required correction and stated that they could not give an accurate 

review of the PCB reporting and recordkeeping requirements and estimated burden until EPA amended 

the Supporting Statement to correct these items. USWAG also questioned the inclusion of specific

language used to describe the PCB Transformer Registration requirement. EPA appreciates USWAG’s 

comments highlighting these points. Accordingly, EPA revised this Supporting Statement to reflect the 

PCB manifest requirement amendments promulgated in the Agency’s final rule and updated the 

language regarding the PCB Transformer Registration requirement.
June 9, 2015

Page 21 of 108

3(c). Consultations

On numerous occasions during the course of regulating PCBs, the Agency has consulted with the 

regulated community and the public. These consultations have been held directly with industry officials 

and, on an ongoing basis, with owners and operators of regulated facilities, during EPA enforcement 

activities and facility inspections. For example, when developing the rules pertaining to PCB 

Transformer use, EPA consulted with the Department of Agriculture, U.S. Department of Health and 

Human Services and the Small Business Administration. To obtain information on the numbers of 

transformers subject to the requirements, EPA consulted with the Edison Electric Institute, Equitable 

Life Assurance, and the Building Owners and Managers Association. As a result of the promulgated 

Electrical Equipment Use Rule, EPA has consulted with various organizations and agencies on an 

ongoing basis. EPA also meets annually with representatives from more than 50 utilities and electric 

cooperatives who have verified the burden estimates related to inspection recordkeeping requirements 

for PCB Transformers. The most recent of these meetings, sponsored by Regulatory Compliance 

Services, Inc., was the National Convention held in October 2014, in Springfield, Missouri.

In conjunction with the current proposed rulemaking, Polychlorinated Biphenyls (PCBs) 

Reassessment of Use Authorizations, EPA has held six public meetings to gather input from key

stakeholders in addition to requesting comments in the advance notice of proposed rulemaking. The 

meetings were held in New York City on May 4, 2010; in Chicago on May 18, 2010; in Atlanta on May

25, 2010; in Washington, DC on May 27, 2010; in San Francisco on July 22, 2010; and in New York 

City on July 29, 2010. EPA also held Tribal, Federalism and Small Business Advocacy Review (SBAR) 

Panel meetings in 2013 and 2014. 

This current ICR renewal effort also involved gathering information about the number of 

notifications the Agency has received over the past three years for the various reporting burdens (see 

Table 2-1) and the number of PCB spills reported to the National Response Center in 2013 (U.S. Coast 

Guard, 2013). 

Additionally, under 5 CFR 1320.8(d)(1), OMB requires agencies to consult with potential ICR 

respondents and data users about specific aspects of ICRs before submitting an ICR to OMB for review 

and approval. In accordance with this regulation, EPA submitted questions to seven potential 

respondents via e-mail to solicit their opinion on the PCB recordkeeping and recording requirements. A 

copy of EPA’s consultation e-mail to the potential respondents below appears in Appendix F-1. The 

individuals contacted were:

Jim Roewer, Executive Director

Utility Solid Waste Activities Group

c/o Edison Electric Institute

701 Pennsylvania Avenue, NW

Washington, DC 20004-2696

Jim.Roewer@USWAG.org

(202) 508-5645

John B. Anthony

Senior Vice President

Maxymillian Technologies, Inc.

1801 East Street

Pittsfield, MA 01201

janthony@maxymillian.com

(413) 499-3050

Dorothy Kellogg

National Rural Electric Cooperative 

Association

4301 Wilson Boulevard

David J. Wawer, Executive Director

Color Pigments Manufacturers Association, 

Inc.

1850 M Street NW, Suite 730
June 9, 2015

Page 22 of 108

Arlington, VA 22201-1860

dorothy.kellogg@nreca.coop

(703) 907-5715

Washington, DC 20036

cpma@cpma.com

(202) 465-4901

Pam Lacey

American Gas Association

400 N. Capital St., NW

Washington, DC 20001

placey@aga.org

(202) 824-7000

Mike Lucey

EPS Industries

4 Industrial Park Drive

Wheeling, WV 26003 

gddonzella@epsonline.com

(304) 232-1590 ext.23

Mark Pennell

RCS, INC. 

Ozark, MO 65721

RCSINC@aol.com

(417) 886-4580

EPA received two sets of responses to its solicitation for consultations from: (1) USWAG; and 

(2) the Color Pigments Manufactures Association, Inc. (CPMA). The consultation response submitted 

by USWAG was identical to the public comments submitted to the docket under docket ID number 

EPA-HQ-OPPT-2014-0597 and summarized above in section 3(b) of this Supporting Statement. A copy

of the response from CPMA appears in Appendix F-2 and is briefly summarized in this section. 

CPMA commented that the cost estimates for the burden of compliance provided in the

Supporting Statement significantly underestimate the costs of compliance with the reporting obligations 

because the amount of management supervision and technical time needed for each reporting 

submission included is too low. This comment did not provide sufficient detail on what amount of 

management supervision and technical time is needed for the maintenance of records. EPA appreciates 

CPMA’s comments and responses regarding the PCB recordkeeping and recording requirements. 

However, EPA determined that these comments need not be addressed at this time with changes to the

Supporting Statement but may be considered in a future renewal.

3(d). Effects of Less Frequent Collection

EPA has judged that the reporting and recordkeeping requirements of the ICR are the minimum 

amount necessary to prevent injury to health and the environment. These requirements ensure adequate 

oversight by EPA over the use of PCBs and PCB equipment and the storage and disposal of PCB 

wastes. If these activities were conducted less frequently, the mismanagement and improper storage and 

disposal of PCBs would likely cause subsequent environmental contamination.

There are several examples of one-time PCB information collection requirements. One example 

is the notification and certifications requirements of §761.185, which are supported by relevant sampling 

data or by theoretical analysis. Only when processes are modified are importers and manufacturers 

required to re-notify. The notification requirements regarding installation of PCB Transformers in 

emergency situations and for owners who elect not to install enhanced electrical protection on lower 

voltage secondary transformers were one-time notifications that were to be completed by October 1, 

1990. Another example are the reports on total PCB releases of §761.187 that need only be submitted if 

the PCB levels in the products exceed the specified annual average of 25 ppm, or when releases to air 

and water exceed the regulatory thresholds. Also, EPA requires one-time notifications for owners to 
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register their newly discovered PCB Transformers (see EPA Form 7720-12, PCB Transformer 

Registrations at Appendix C) and for individuals to notify the Agency of their PCB waste handling 

activities (see EPA Form 7710-53, Notification of PCB Activity at Appendix D); both notifications can 

be accomplished by completing a simple form, although use of the form is optional when registering 

PCB Transformers.

3(e). General Guidelines

Most of the information requested by this ICR is consistent with OMB’s Paperwork Reduction 

Act guidelines. Exceptions are as follows.

Under the information collection requirements of §§761.185 and 761.193, manufacturing and 

monitoring records that document PCB levels in products and analyses that support the one-time 

notification and certification of compliance for the process must be retained for either three years after 

the certified process ceases operations or seven years, whichever is shorter. The content of the file most 

likely would not change over the seven-year period so the burden of keeping the file is substantially 

mitigated by its limited contents. Likewise, entities that monitor for actual PCB concentrations in the 

products they manufacture, use, process, distribute in commerce, or recycle must also maintain 

monitoring data records under §761.193 for either a three-year period after the operation ceases or up to 

seven years. The effect of this provision is to impose an equal retention period for sampling data on all 

those who deal with inadvertently generated PCBs in products, whether the PCBs result from excluded 

manufacturing processes or recycling.

To comply with the storage and disposal requirements of Subpart D, disposers and commercial 

storers must retain records for at least three years after the facility is no longer used for the storage or 

disposal of PCB wastes, except that chemical waste landfills must maintain records for at least 20 years 

after the facility no longer accepts PCB wastes. The reason for requiring records retention for landfills in 

excess of three years is that a leak from a chemical waste landfill could take years to develop into a 

noticeable environmental problem. Landfill records are the only mechanism to accurately trace the 

source of the contamination. Also, certain operational records maintained by the owner/operator of 

incineration facilities and high efficiency boilers must be retained for five years from the date of 

collection. This enables facilities to demonstrate to enforcement officials that the facility has 

consistently complied with relevant technical requirements and conditions specified in the disposal 

permit.

The Final Disposal Amendments Rule contains several provisions that require recordkeeping for 

five years or more. These provisions include §761.61(a)(9), which requires the notifications and 

remediation site cleanup activity documentation, pursuant §§761.61(a)(3), (4), and (5), to be maintained 

for five years. Section 761.61(a)(8)(i)(A) requires a notice be permanently affixed to the deed of any

property where a remediation project has resulted in the installation of a fence or ground cover cap to 

increase protection from exposure to PCBs. These measures were taken to enable adequate oversight of 

remediation projects by environmental officials and to provide adequate notice to potential new owners 

of property where remediation projects were undertaken.

There are a number of provisions in Part 761 that require reporting within 15 or 30 days of the 

occurrence of a specific event. For example, the third-party notification requirements of 

§§761.61(a)(5)(B)(2)(iv) and 761.62(b)(4)(i) and (ii) require generators to provide notice to certain offsite facilities at least 15 days prior to shipping certain wastes. These reporting requirements are not 

triggered by the calendar (i.e., they are not required quarterly or at more frequent intervals). Therefore, 
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the Agency does not believe that these provisions, or the following 30-day reporting requirements, need 

special justification:

 §761.30(a)(1)(vi)(A)(1) requires owners of PCB transformers to register the transformer with 

EPA within 30 days of discovery.

 §761.60(j)(1)(ii) requires EPA, state, and local environmental protection agencies to be notified 

of the commencement of pilot-scale PCB R&D disposal activity.

 §761.61(a)(3)(i) requires EPA, state or tribal, and county or local environmental protection 

agencies to be notified of the location of a remediation waste cleanup project.

 §761.65(a)(2)(i) requires EPA to be notified of intent to store waste beyond the one-year limit 30 

days prior to the expiration of the one-year time frame when disposal cannot be accomplished 

within that period.

 §761.70(b)(8) requires EPA to be notified 30 days prior to transferring ownership of an 

incinerator.

 §761.75(c)(7) requires EPA to be notified 30 days prior to transferring ownership of a landfill.

 §761.80(e) requires EPA to be notified 30 days prior to commencing PCB R&D disposal activity

when using manufactured/imported PCBs obtained under this exemption.

 §761.180(c)(5) requires EPA to be notified within 30 days of suspension of incineration 

operations.

 §761.205(f) requires EPA to be notified within 30 days of changes to previous PCB Notification.

 §761.207(c)(1)(iv) requires commercial storers/disposal facilities to send copy of manifest to 

generators within 30 days of receipt of waste.

 §761.218(b) requires disposers to send Certificates of Disposal to a generator within 30 days of 

disposing of his waste. 

3(f). Confidentiality

Petitioners or permit applicants may claim that all or part of any information given to EPA, such 

as process design information, is confidential business information (CBI). EPA handles claims of 

confidentiality pursuant to established CBI procedures, as found at section 14 of TSCA, 40 CFR 750.16 

and 750.36, and the Agency’s TSCA CBI Manual. CBI is also protected under the Freedom of 

Information Act (5 USC 525). Most of the information requested in the reporting or recordkeeping 

requirements of these collections is not of a confidential nature.

3(g). Sensitive Questions

EPA asks no questions of a sensitive nature.

4. THE RESPONDENTS AND THE INFORMATION REQUESTED

4(a). Respondents/NAICS Codes 

EPA’s PCB regulations could affect entities in all industrial categories, regardless of size, that 

currently possess PCB Items, PCB-contaminated equipment, or other PCB waste. These entities include 
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those in both the public and private sectors, and may include not-for-profit organizations as well as forprofit entities. Entities that generate PCB wastes comprise the following classes:

 Electric utility industry (NAICS 2211), including municipal and county electric systems, and 

other publicly owned systems, such as irrigation districts. It has been estimated that 70 percent of 

PCBs produced were used in dielectric fluid for transformers and capacitors. Thus, such highvoltage equipment represents a significant use of PCBs and therefore a major source of PCB 

waste generation. EPA studies of the numbers of such equipment in use assumed that utilities 

owned 30 percent of the askarel transformers, 80 percent of the mineral oil transformers, and 90 

percent of the large PCB Capacitors, with the remainder owned by non-utility industrial 

enterprises (U.S. EPA, 2004a).

 Non-utility entities with privately-owned electric equipment, such as:

 oil and gas producers (NAICS 211111)

 manufacturers (NAICS 31-33)

 line-haul railroads (NAICS 48211)

 telecommunications (NAICS 513)

 refuse systems (NAICS 562111).

EPA studies have shown that these entities account for more than 90 percent of PCB waste 

generated by the non-utility private sector. Hospitals (NAICS 62211) and colleges/universities (NAICS 

61131) are also likely to have high-voltage electrical equipment of the type associated with PCB use and 

contamination.

 Entities with PCB ballasts from fluorescent light fixtures, including manufacturing and industrial 

entities, government bodies and school districts that have such lighting equipment.

 Entities operating natural gas pipelines.

 Entities engaged in bulk solid waste operations, such as automobile shredders.

 Entities involved in remediating PCB wastes, such as Superfund and other hazardous waste sites. 

 PCB disposal facilities that must obtain approval from EPA to operate (e.g., incinerators, 

chemical waste landfills, alternate disposal technologies). This would include individuals, 

businesses, federal agencies, and state/local governments engaged in PCB waste management 

activities. NAICS code 562111, hazardous waste material disposal sites, may be applicable.

 Other primary respondents include:

 trucking and warehousing (storage) (NAICS 484)

 sanitary services (incinerators, landfills) (NAICS 5622)

 steam suppliers [high efficiency boilers (HEB)] (NAICS 22133)

 Administrators of Environmental Quality Programs (NAICS 924).

 All chemical manufacturers (and importers of products) who wish to qualify excluded processes 

and continue the legal manufacture (or importation) of trace amounts of PCBs; the processing, 

distribution in commerce, or use of chemical products that contain the PCBs generated in 

excluded manufacturing processes; and the processing, distribution in commerce, or use of 

products containing “recycled PCBs” (§761.3) must comply with appropriate notification and 

recordkeeping requirements. These respondents are classified under NAICS codes 3254, 325611, 

325, 3253, which are drugs; soap, cleaners, and toilet goods; industrial organic chemicals; and 

agricultural chemicals, respectively. Other affected industries may include:

 alkalies and chlorine (NAICS 325181)

 inorganic pigments (NAICS 325131)
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 plastic materials and resins (NAICS 325211)

 synthetic rubber (NAICS 325212)

 organic fibers non-cellulosic (NAICS 325222)

 other chemicals and allied products (NAICS 3259981)

 adhesives and sealants (NAICS 32552)

 printing ink (NAICS 32591)

 chemical preparations (NAICS 325998)

 rubber and miscellaneous plastic products (NAICS 326).

 Respondents who petition the Agency for exemption from the prohibitions and restrictions on the 

manufacture, processing, and distribution in commerce of PCBs may include general 

manufacturing industries (NAICS 31 - 33) and Electric Equipment Manufacturing (NAICS 335).

4(b). Information Requested

4(b)(i). Data Items

Many of the information collection requirements are triggered only by an individual’s need to 

address a particular PCB scenario, while other requirements apply to the universe of individuals who 

use, process, distribute in commerce, or dispose of PCBs. EPA anticipates that no one individual would 

be subject to all of the requirements listed below. The reporting, third-party reporting, and 

recordkeeping data items contain the reference number used throughout this document, the existing ICR 

number, a description of the requirement, and the regulatory citation, and are organized according to the 

subparts of 40 CFR 761.

(A) Notifications/Reports. Respondents are required to submit information to EPA to 

accomplish the following reporting tasks. (Refer to Tables 2-1, 2-2, and 2-3 for summaries of the 

reporting, third-party reporting, and recordkeeping requirements of this consolidated ICR).

40 CFR 761, Subpart A—General

(#1) Certification Notification for Excluded Manufacturers: The primary reporting requirement 

for manufacturers who inadvertently generate PCBs and importers of products containing inadvertently

generated PCBs is a certified notification to EPA. The notification (1) identifies the manufacturing 

processes that generate PCBs in products at levels above 2 parts per million (ppm); (2) certifies 

compliance with all PCB release conditions on excluded processes; and (3) states whether the 

certification is based on actual monitoring data or on theoretical analysis of the chemical reaction(s) 

involved in the manufacturing process. Additionally, manufacturers and importers must report to EPA 

data on their processes during periods of unusually high generation or releases of PCBs. Reports are 

required in any calendar year where total quantities of PCBs in manufactured products exceed 0.0025% 

of a manufacturing site’s rated capacity, or the total quantity of PCBs imported exceeds 0.0025% of the 

average for PCB-containing products that were imported during the 1978-1982 timeframe. Also, 

reporting is required when total PCB releases to air or water exceed 10 pounds during the year at any

site, and certification must be repeated whenever process conditions are significantly modified [§§761.1 

(f)(1) - (3); Subpart J; also see the entries for #42 and #43].

Subpart B—Manufacturing, Processing, Distribution in Commerce, and Use of PCBs and PCB 

Items

(#2) Exemption Petitions: Individuals seeking exemptions to manufacture (import), process, or 
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distribute in commerce (export) PCBs as per TSCA section 6(e)(3), must submit exemption petitions 

unless otherwise authorized [§761.20(b) and (c)(1) and (3)].

(#3) Transformer Registration: Owners of PCB Transformers are required to register their 

transformers with EPA. The registration program provides state officials and emergency response 

personnel information for providing a significantly higher degree of protection in emergency situations. 

Information that must be included in the notification consists of the following: transformer address (i.e., 

location); number of PCB Transformers, including total weight in kilograms; and the name, address, 

telephone number, and signature of the owner, operator, or other authorized representative certifying the 

accuracy of the submitted information. The use of a form is optional, as is information on whether the 

unit(s) contains a flammable liquid. A copy of EPA Form 7720-12, which can be used for submitting 

this information [§761.30(a)(1)(vi)], is included in this report as Appendix C. Note that 

§761.30(a)(1)(xv)(D) removes the requirement to register PCB Transformers with the fire department, 

but retains the requirement to register the transformers with building owners. (See #54.)

(#4) PCB Equipment Reclassification: Persons wishing to use alternate methods to reclassify

PCB equipment (i.e., transformers, electromagnets, switches, and voltage regulators) must obtain EPA 

approval to do so [§§761.30(a)(2)(v)(c); .30(h)(2)(v)(c)]. Therefore, EPA requires information on the 

process that is being considered as well as equipment identification information.

(#5) Use of Natural Gas Pipelines and Other Gas or Liquid Systems: Owners/operators of natural 

gas pipelines who sell or distribute natural gas are authorized to use natural gas pipelines that have been 

contaminated with PCBs in concentrations ≥50 ppm, if they take certain actions to identify sources of 

contamination and reduce levels to <50 ppm PCBs. Owner/operators of these pipelines must submit a 

written description of the general nature and location of PCB contamination in concentrations ≥50 ppm 

if requested by EPA. This description is sent to the EPA Regional Administrator or the Director, 

National Program Chemicals Division (NPCD), at EPA, if the contaminated pipe is located in more than 

one Region. Owners/operators must also make available to EPA, upon request, documentation of their 

data and actions taken or not taken to comply with the conditions of the use authorization. 

[§761.30(i)(1)(iii)(A)(1); .30(i)(1)(iii)(C)].

(#6) EPA Approval for Uses of PCBs in Other Gas or Liquid Systems: The use of ≤50 ppm 

PCBs in “other” gas or liquid transmission systems is authorized. Operators with systems with PCBs at 

concentrations of ≥50 ppm must obtain written consent from the Director, National Program Chemicals 

Division, who may then specify conditions necessary to reduce the levels of PCBs in the system. It is not 

apparent that systems not otherwise authorized under the regulations exist. Therefore, EPA expects this 

authorization to be rare and has no basis for developing a burden for this notification requirement. 

Without this authorization, however, use of such gas or liquid systems with PCBs ≥50 ppm would be 

prohibited [§761.30(t)(3)].

(#7) Exceeding Storage Limitations for PCB Articles Stored for Reuse: EPA has limited the 

storage for reuse of PCB Articles in areas not meeting the TSCA approved storage standards in §761.65 

to a period of 5 years. However, RAs may grant extensions beyond 5 years with conditions if a request 

explaining the rationale for the extension is submitted 6 months prior to the expiration date [§761.35(b)]. 

Regulated entities obtained approvals for 5-year storage periods during 2008, which makes these 

approvals valid through 2013. The next approval period will occur during this ICR period.

Subpart D—Storage and Disposal
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(#8) Permit Applications and Demonstration Plans for Disposal Facilities: The application must 

contain the following types of information, if applicable: (1) name, address, and phone number of the 

unit’s principal manager; (2) location of the facility where the unit will be tested and the location where 

the unit will be stored and serviced when not engaged in testing; (3) detailed description of the unit 

including general plans and design drawings; (4) engineering report or other information on the 

anticipated performance of the unit; (5) sampling and quality assurance plan; (6) waste volumes 

expected to be handled, process design capacity, process control, reagent-to-waste feed ratios, and safety

features; (7) local, state, or federal permits or approvals; (8) schedules and plans for complying with the 

approval requirements; (9) contingency plan that describes steps taken in case of process failure, spill, or 

overflow; and (10) environmental impact, including process emissions, toxicity and disposal of process 

products, site relationships, and steps taken to protect the health of the operator.

Following receipt of the application, EPA may require additions or modifications to the 

application, disapprove the application, or determine that a process demonstration is required and will 

notify the person who submitted the application. The following information is requested of persons who 

are asked to demonstrate their process for the Agency: (1) time, date, and location of the process 

demonstrations; (2) quantity and type of PCBs and PCB Items to be processed; (3) parameters to be 

monitored and location of sampling points; (4) sampling plan and quality assurance plan, including 

sampling frequency, methods, and schedules for sampling analysis; and (5) names, addresses, and 

qualifications of persons who review the analytical results and other pertinent data and who will perform 

a technical evaluation of the effectiveness of the process demonstration. Following receipt of the process 

demonstration plan, EPA will either approve the plan, require additions or modifications to the plan, 

such as additional testing or analysis to help the reviewing officials determine the safety and efficiency

of the process, or disapprove the plan. 

Any person who is required to incinerate any PCBs and PCB Items and who can demonstrate 

that an alternative method of destroying PCBs and PCB Items can achieve a level of performance 

equivalent to an approved incinerator or high efficiency boiler, as per §§761.70 or .71, respectively, 

must submit a written request to EPA for a waiver from the incinerator or high efficiency boiler (HEB) 

requirements [§§761.60(e), (i)(2); .70(a),(b),(d); .75(b)(7), (b)(8)(ii), and (c)].

(#9 - 11) Notification about PCB Research and Development Activities (R&D): Individuals 

engaged in R&D for disposal under §761.60(j) must notify the EPA Regional Administrator, and state 

and local environmental officials 30 days before conducting the R&D for disposal activity

[§761.60(j)(1)]. The notification must provide the EPA identification number for the location of the 

R&D activity [§761.60(j)(1)(i)], quantity of PCBs to be processed, type of R&D, physical and chemical 

properties of the material being treated, and an estimate of the duration of the R&D activities 

[§761.60(j)(1)(ii)]. [NOTE: After reviewing the submitted information, EPA may determine, based on 

potential unreasonable risks to health or the environment, to impose additional conditions on the R&D 

project in the form of an Approval.] [§§761.60(j)(1) and (2)].

Additionally, requests to exceed the specified limits for the quantities of PCBs used, the 

maximum concentration of PCBs, the total amount of pure PCBs, or the duration of the R&D activities 

must be submitted to the EPA Regional Administrator. Each request shall specify the quantity or 

concentration requested or additional time needed and include a justification for each increase. For 

extensions to the duration of the R&D for PCB disposal activity, the request shall also include a report 

on the accomplishments and progress of the previously authorized R&D activity for which the extension 

is sought [§761.60(j)(2)].
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This notification identifies those individuals who do research on/with PCBs, their locations, and 

the type of activities they perform. By establishing a small quantity exemption for R&D, EPA is 

reducing the burden previously associated with the existing requirement that individuals who engage in 

R&D into PCB disposal technologies obtain a TSCA R&D Approval. EPA does not require this 

information to be submitted on a specific form or in a specific format. By requiring individuals to write 

a letter to the Regional Administrator, EPA is providing maximum flexibility to the respondent to 

minimize the burden associated with this notification provision.

(#12 - 15) Self-implementing Remediation: Owners of remediation sites are required to notify, in 

writing, the EPA Regional Administrator and the appropriate state (or tribal), county (or local) 

environmental agencies at least 30 days prior to conducting remediation activities. The notification must 

include the following information: the nature of the contamination; a summary of the procedures used to 

sample contaminated and adjacent areas; a table or cleanup site map; the location and extent of PCB 

contaminated areas, including topographic maps; and a cleanup plan for the site [§761.61(a)(3)(i)]. Once 

the remediation project has been initiated, any proposed deviation from the notification previously

submitted must be reported to EPA no less than 14 days prior to the proposed implementation of the 

change [§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 under this section [§761.61(a)(3)(iii)]. Additionally, under the self-implementing 

provision, persons must submit a written certification to the EPA Regional Administrator that the 

sampling plans, sample collection and preparation procedures, extraction procedures, and instrumental/ 

chemical analysis procedures used to assess or characterize the cleanup site are on file at the location 

designated in the certificate and are available for EPA inspection. Persons using alternate methods for 

chemical extraction and chemical analysis for site characterization must include in the certificate a 

statement that indicates that such a method will be used and that a comparison study that meets or 

exceeds the requirements of §761.269(c) of Subpart Q, for which records are on file, has been completed 

prior to verification sampling [§§761.61(a)(3)(i)(E) and 761.274]. Additionally, persons conducting 

remediation waste projects that require the use of a fence or cap, must record a notation on the deed to 

notify potential purchasers of the property (i.e., a third-party notification) and submit to EPA a 

certification that the property deed has a notation to that effect [§761.61(a)(8)(i)].

(#16) Risk-based Remediation: Any person wishing to clean up, store, or dispose of PCB 

remediation waste in a manner other than prescribed in the self-implementing or performance-based 

disposal options must apply in writing to the EPA Regional Administrator. Each application must contain 

information as described in §761.61(a)(3) (e.g., nature and extent of the contamination, sample 

procedure, cleanup plan, and certification that records have been maintained). The EPA may request the 

submission of other information it believes necessary to evaluate the application [§761.61(c)(1)].

(#17) Risk-based Cleanup Approval for PCB Bulk Product Waste: Any person wishing to 

sample or dispose of or store PCB bulk product waste in a manner other than prescribed in paragraphs 

(a) or (b), or store the waste other than prescribed by §761.65, must apply in writing to the EPA 

Regional Administrator or Director, NPCD. Each application must contain information indicating that 

the proposed storage and disposal methods or locations will not pose an unreasonable risk of injury to 

health or the environment. EPA may request the submission of other information it believes necessary to 

evaluate the application [§761.62(c)(1)].

(#18 - 20) Exceeding Storage Limitations for PCB Wastes: A mechanism has been established 

for automatically extending the one-year storage for disposal deadline for another year based on an 

adequate justification. Any person storing PCB waste that is subject to the one-year time limit for 
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storage and disposal may provide written notification to the EPA Regional Administrator that their 

continuing attempts to dispose of or secure disposal for their waste within the one-year time limit have 

been unsuccessful. For the automatic extension of the one-year time frame, EPA must receive the 

notification at least 30 days before the initial one-year time limit expires and the notice must identify the 

storer; the types, volumes, and locations of the waste, and the reasons for failure to meet the initial oneyear time limit [§761.65(a)(2)].

For subsequent extensions of the time frame for storing PCB wastes, the requestor must submit 

specific justifications and indicate measures he or she is taking to secure disposal or reasons why 

disposal could not occur during the prior extension. EPA may require specific actions as conditions to 

granting the extension, including marking, inspection, recordkeeping, or financial assurance to ensure 

that the waste does not pose an unreasonable risk of injury to health or the environment [§761.65(a)(3)] 

or the submission of periodic progress reports [§761.65(a)(4)].

(#21) Storage Containers for PCB/Radioactive Waste: Containers prescribed by the American 

National Standard Institute (ANSI) for nuclear criticality safety may be used for PCB/radioactive waste. 

However, other containers may be used if the users are able to demonstrate to EPA and other appropriate 

regulatory authorities [i.e., the Nuclear Regulatory Commission, the Department of Energy (DOE), or 

the Department of Transportation (DOT)] that such containers are protective of public health and safety 

and the environment [§761.65(c)(6)(i)(C)].

(#22) Preparing Application for Commercial Disposal Approval: Applicants for commercial 

storage approval shall submit a written application that includes any relevant information bearing upon 

the qualifications of the facility. The application shall identify the facility owner/operator and include 

information on the technical qualifications of the person in charge of operations, any past violations, and 

waste handling experience of the company and employees, estimates of maximum waste quantity that 

can be handled, the certification of compliance, the financial assurance instrument, a closure plan and 

closure cost estimate, and a demonstration of financial responsibility for closure. The applicant must 

also revise and update the closure plan when certain changes occur at the facility, and, within 30 days 

after the facility closes, submit certification that the facility has been closed in accordance with the 

approved plan [§§761.65(d), (e)(1), (6), and (8); and (f)].

(#23) Request to Amend the Storage Closure Plan: Owners/operators of storage facilities must 

submit requests to the EPA Regional Administrator to amend the closure plan, when there are changes in 

ownership, changes in expected date of closure, and/or unexpected events [§761.65(e)(4)].

(#24) Modifications to Commercial Storage Facilities: To ensure that the owner/operator of these 

facilities have made adjustments to their financial assurance mechanisms when modifications will 

increase the storage capacity of the facility, EPA is requiring that these individuals notify the federal or 

state issuing authority in writing that they have revised the financial assurance mechanism and activated 

it within 30 days of the completion of the modification [§761.65(g)(9)]. EPA does not require the 

information to be submitted on a specific form or in a specific format.

(#25) Change of Ownership for Storage Facilities: EPA will approve of the transfer of ownership 

or operational control of a commercial storage facility if the transferee has established financial 

assurance for the closure and the transferor or transferee has resolved any deficiencies (e.g., with 

technical operations, closure plans, cost estimates, etc.) that the Agency has identified in the transferor’s 

new or amended application [§761.65(j)].
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(#26) Approval of Alternate Measures for Operating Incinerators: Owners/operators of 

incinerators that burn PCBs must submit a contingency plan of alternate measures for operating the 

facility when regulatory requirements cannot be met. The plan must indicate what alternative measures 

the owner/operator would take if there is a failure of regulatory monitoring requirements or PCB rate 

and quantity measuring and recording equipment, or if excess oxygen falls below the percentages 

specified in paragraph (a)(1) of this section [§§761.70(a)(8) and (9); and (d)(5)].

(#27) Notification of Changes in Disposal Facility Ownership: Owners/operators of incinerators 

and chemical waste landfills that dispose of PCBs must notify EPA at least 30 days before transferring 

ownership of the facility. The notice must include a notarized affidavit signed by the transferee, which 

states that the transferee will abide by the transferor’s EPA incinerator approval [§§761.70(d)(8); 

.75(c)(7)].

(#28) High Efficiency Boiler Approval: Thirty days before any person burns mineral oil 

dielectric fluid in high efficiency boilers, the person must give a one-time written notice to the EPA 

Regional Administrator, including information on the owner and location of the boiler, boiler 

specifications, and associated equipment. To burn liquids other than mineral oil dielectric fluids, at a 

PCB concentration of 50 to 500 ppm, boiler owners must first obtain an approval of the Regional 

Administrator for the EPA Region in which the boiler is located. The request to the Regional 

Administrator must include at least the following: name and address of owner/operator of boiler and 

address of boiler, boiler rating in units of BTU/hour, carbon monoxide concentration and oxygen 

percentage in the stack when boiler is operated, type of equipment and procedures used to control feed 

and monitor emissions, type of waste to be burned, concentration of PCBs and other chlorinated 

hydrocarbons in the waste, estimate of the amount of waste to be burned in a 30-day period, and an 

explanation of the procedures to be followed to ensure that the burning of the waste will not adversely

affect the operation of the boiler such that combustion efficiency will decrease [§§761.71(a)(2) and 

(b)(2)].

(#29 - 30) Disposal by Scrap Metal Recovery Ovens and Smelters: Owners of scrap metal 

recovery ovens disposing of drained PCB-contaminated electrical equipment, natural gas pipelines and 

non-porous surfaces must notify EPA as disposers of PCBs and are required to comply with existing, 

applicable disposal facility reporting requirements in Subparts J and K [§§761.72(c)(2)]. In lieu of 

meeting the operating requirements, an owner or operator of a scrap metal recovery oven or smelter can 

submit a written request to the EPA Regional Administrator for a determination that the industrial 

furnace poses no unreasonable risk, based on a site-specific risk assessment [§761.72(c)(3)].

(#31 - 32) TSCA Coordinated Approval: Persons seeking a TSCA PCB coordinated approval 

may submit a request for approval to the EPA Regional Administrator at the same time they seek a 

permit approval or other action for a PCB waste management activity under any other federal or state 

authority. The request for coordinated approval shall include a copy of the confirmation of the EPA 

identification number, information regarding a point of contact at the other permitting authority, 

description of the waste activities to be conducted (or a copy of the waste management document, if one 

has been issued), and a certification that the requestor will adhere to the TSCA PCB reporting and 

recordkeeping requirements [§761.77(a)(1)]. The Regional Administrator may request additional 

information to remedy a deficiency in the waste management activities [§761.77(a)(1)(ii)(A)(1)]. If the 

Regional Administrator determines that conditions of the coordinated approval are not being met, the 

Regional Administrator may require the person to whom the coordinated approval was issued to submit 

an application for a TSCA PCB approval [§761.77(a)(2)]. Any person with a coordinated approval must 

notify the Regional Administrator in writing within 5 calendar days of changes relating to PCB waste 
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requirements in the non-TSCA waste management documents that serve as the basis for the coordinated 

approval [§761.77(a)(3)].

(#33) Approvals for Alternative Decontamination and Sampling Methods: Any person wishing 

to decontaminate material described in a manner other than prescribed in §761.79(b) or (c), or sample 

material other than prescribed in §761.79(f) must apply in writing to the EPA Regional Administrator. 

Each decontamination application must describe the material to be decontaminated and the proposed 

decontamination method, and must demonstrate that the proposed method is capable of decontaminating 

the material to the applicable level set out in §761.79(b)(1) through (4). Each application must describe 

in writing the material to be decontaminated and the proposed self-implementing decontamination 

method, and must include a proposed validation study to confirm performance of the method. Each 

sampling application must contain a description of the material to be decontaminated, the nature and 

PCB concentration of the contaminating material (if known), the decontamination method, the proposed 

sampling procedure, and a justification for how the proposed sampling is equivalent to or more 

comprehensive than the sampling procedure required under §761.79(f) of this section. EPA may request 

additional information it believes to be necessary to evaluate the application [§761.79(h)(1) to (4)].

Subpart E—Exemptions

(#34 - 37) Class Exemptions, Manufacture, Processing, Distribution of PCBs for R&D: 

Individuals seeking exemptions from the PCB prohibitions are required by statute [15 USC 2601, 

section 6(e)(3)(B)] to submit exemption petitions to EPA. The information provided to EPA in an 

exemption petition includes: name, address and telephone number of the petitioner; description of the 

exemption being requested for the manufacture/processing/distribution in commerce activity; location; 

length of time desired (one-year maximum); amount of PCBs to be manufactured processed and/or 

distributed in commerce, rationale regarding no unreasonable risk and substitutes criteria of section 

6(e)(3)(B)(i) and (ii), and the economic consequences of an EPA denial. Provisions regarding class 

exemptions for manufacturers of PCBs and processors/distributors of PCBs or analytical reference 

samples derived from PCB waste material require a petition be submitted 60 days prior to engaging in 

the activity [§761.80(e)(1) and (i)(1)]. Section 761.80(e)(2) and (i)(2) and .80(n) require individuals 

seeking renewals of class exemptions to submit requests for renewal as per §§750.11 and .31. If persons 

need to exceed the annual quantity limits, they must request approval from EPA [§§761.80(e)(3), (g)(2), 

and (i)(4)]. The owner or operator of the facility also must notify the EPA Regional Administrator in 

writing 30 days prior to beginning R&D activities that require the manufacturing or import of PCBs, 

unless the owner has obtained a PCB R&D approval from EPA, pursuant to §761.60(a) or (i)(2), or 

.70(b), that allows the manufacture of PCBs [§761.80(e)(4)].

(#38) Manufacturing, Processing, and Distribution in Commerce, Exemptions: When a facility

holding a certain type of exemption plans to increase the amount of PCBs to be processed and 

distributed, imported (manufactured), or exported, or to change the manner or processing and 

distribution, import (manufacture), or export of PCBs, the owner/operator of the facility must submit a 

new exemption petition to EPA, which will be addressed through an exemption rulemaking. The 

petitioners must provide the following information to extend manufacturing exemptions, as per 

§§750.11: (1) the identity, telephone number, and address of the petitioner; (2) description of the PCB 

exemption being requested, including items to be manufactured, and the nature of the manufacturing 

process; (3) location(s) of manufacturing sites requiring exemption; (4) length of time requested for 

exemption; (5) amount of PCBs to be manufactured or used during the requested exemption period and 

the manner of release of PCBs to the environment associated with such manufacture or use; (6) basis for 

meeting section 6(e)(3)(B)(i) criteria for “unreasonable risk;” (7) basis for meeting section 6(e)(3)(B)(ii) 
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criteria for “PCB substitutes;” and (8) quantification of the economic consequences of EPA denying the 

petition and an explanation of the manner of computation.

Persons interested in obtaining processing or distribution in commerce exemptions must provide 

information listed above as items (1), (4), (6), (7), and (8). In addition, as per §750.31, they must 

provide: a description of the PCB processing or distribution in commerce exemption being requested, 

including a description of the chemical substances, mixtures, or items to be processed or distributed in 

commerce, and if processing is involved, the nature of the processing; location(s) of processing sites 

requiring exemption; the estimated amount of PCBs to be processed or distributed in commerce or used 

during the requested exemption period; and the manner of release of PCBs to the environment 

associated with such processing, or distribution in commerce. EPA also requires specific information on 

the description, number, and/or location of PCB equipment to be serviced and the description of the uses 

of/exposures to PCB-contaminated substances or mixtures that are to be used for petitions filed under 

paragraphs §750.31(a)(1)-(9) [§761.80(n)].

Subpart F—Transboundary Shipments of PCBs for Disposal

(#39) Import and Export for Disposal: By Statute, no person may import or export PCBs or PCB 

Items for disposal without an exemption issued under the authority of TSCA section 6(e)(3) 

[§§761.93(a) and .97(a)].

Subpart G—PCB Spill Cleanup Policy

(#40) Reporting of PCB Spills: Parties responsible for the following types of PCB spills must 

notify EPA to obtain cleanup guidance: spills that directly contaminate surface waters, sewers, or 

drinking water supplies; spills that directly contaminate grazing lands or vegetable gardens; spills that 

exceed 10 pounds of PCBs by weight [§§761.125(a)(1)(i) to (iii)].

Subpart J—General Records and Reports

(#41) Annual Reports for Waste Disposed of by the Waste Generator: Owners/operators of PCB 

disposal facilities, including owners/operators who dispose of PCB waste generated at his/her own 

facilities, and owners of commercial storage facilities, shall submit annual reports to the EPA Regional 

Administrator. The reports shall summarize the records and annual document logs required to be 

maintained and prepared under §761.180(b)(1) and (b)(2) of this section. Within 30 days of suspending 

the operation of any incinerator, the owner/operator of the facility must submit a document to EPA that 

includes the date and time of the suspension and an explanation of the circumstances causing the 

suspension of operations [§§761.180(b), (b)(3), and (c)(5)].

(#41a) Records of Reclassified PCB Equipment: Owners of reclassified PCB electrical 

equipment must promptly provide records pertaining to the reclassification of PCB equipment, if 

requested by EPA. Also see #68a and #75 [§761.180(g)].

(#42) Notification/Certification of Product Contamination by Inadvertent PCBs: Manufacturers 

with processes inadvertently generating PCBs and importers of products containing inadvertently

generated PCBs must report to EPA within 90 days any excluded manufacturing process or imports for 

which the concentration of PCBs in products leaving the manufacturing site or imported is > 2 ug/g 

(roughly 2ppm) for any resolvable gas chromatographic peak. Manufacturers who must submit the 

report must transmit a letter notifying EPA of the number, type, and location of the excluded 
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manufacturing process. Persons must also certify compliance with the requirements of §761.1(f), specify

whether the compliance is determined by actual monitoring or theoretical assessments; and maintain 

determinations of compliance. Facilities with compliance based on theoretical assessment must also 

notify EPA of the estimated PCB concentration levels generated and released [§761.185].

(#43) Notification When PCB Releases Exceed Limits: Owners/operators of excluded 

manufacturing processes must report to EPA the total quantity of inadvertently generated PCBs released 

into the air and or water from these processes when the total quantity of each type of release in any 

calendar year exceeds 10 pounds [§761.187].

Subpart K—PCB Waste Disposal Records and Reports

(#44) Notify EPA of PCB Waste Activity: All generators with on-site storage, commercial 

storers, transporters, and disposers of PCBs shall notify EPA of their PCB waste activity by filing EPA 

Form 7710-53 (see Appendix D) prior to engaging in PCB waste-handling activities. The form includes 

individuals engaged in R&D and treatability studies and owners of scrap metal recovery ovens/smelters 

and HEBs. This one-time notification form asks for a statement of the type of activity taking place at the 

facility, the location of the facility, name and address of the owner, and the facility point-of-contact. 

EPA issues an identification number or verifies an existing RCRA identification number [§§761.202(a); 

205(a) to (c)].

(#45) Changes in Waste Handling Activities: Individuals who make changes in their wastehandling activities (e.g., relocating or assuming additional activities) are required to submit an amended 

notification form 30 days after the change in activity occurs. The information is collected using a onepage form (EPA Form 7710-53) that has previously been approved by OMB (OMB Control No. 2070-

0112) and requires minimal effort to complete [§761.205(f)].

(#46) Exception Reports: When a generator uses an independent transporter, he or she must 

confirm by telephone or other convenient means that the commercial storer or disposer actually received 

the manifested waste. If the disposal facility did not receive the waste, the generator shall contact the 

transporter to determine the disposition of the waste. If the generator has not received a manifest from 

the disposal facility, the generator shall submit an exception report to the EPA Regional Administrator. 

A disposer shall submit a One-Year Exception Report to EPA within 45 days from the end of the oneyear storage for disposal date when the facility receives the PCBs on a date more than nine months from 

the date when the PCBs were removed from service for disposal or when the facility can no longer 

dispose of the PCBs within the one-year date due to contractual commitments or other factors affecting 

the facility’s disposal capacity. Generators or commercial storers shall submit One-Year Exception 

Reports when they transferred PCB wastes within 9 months from the date of removal from service for 

disposal, when the facility has not received a Certificate of Disposal within 13 months from the date the 

waste was removed from service, or has received a Certificate of Disposal more than one year after the 

date the waste was removed from service [§§761.219(a), (b), and (c) and 761.217(a) and(b)].

(#47) Discrepancy Reporting: Upon discovering a significant discrepancy, the owner/operator of 

the designated commercial storage or disposal facility shall 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 shall immediately submit to the EPA Regional Administrator a letter 

describing the discrepancy and attempts to reconcile it, and a copy of the manifest or shipping paper at 

issue [§761.215(c)].
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(#48) No longer required.

(#49) Unmanifested Waste Reports: Disposers must submit unmanifested waste reports to EPA 

when they accept a shipment of PCB waste without an accompanying manifest. If an owner or operator 

of a commercial storage or disposal facility cannot contact the generator of the PCB waste, he or she 

shall notify the EPA Regional Administrator so that the Regional Administrator can determine whether 

further actions are required before the owner or operator may store or dispose of the unmanifested PCB 

waste [§761.216(a)]. Within 15 days after receiving the unmanifested PCB waste, the owner/operator 

shall prepare a report to the Regional Administrator of the Region where the storage or disposal facility

is located and the Region in which the PCB waste originated. The report shall include the EPA facility

identification numbers, facility information, date the waste was received, description of the waste, 

explanation why the waste was unmanifested, if the waste was stored or disposed, if the generator was 

identified, if a manifest was subsequently supplied, and if and when the waste was sent back to the 

generator [§761.216(a)].

Subpart T—Comparison Study for Validating a New Performance-Based Decontamination 

Solvent Under §761.79(d)(4)

(#50) Results of Analysis and Decontamination Validation Studies: Persons using the selfimplementing criteria for validating the conditions for the performance-based decontamination of 

solvents must submit validation study results to EPA [§§761.395 and .398].

(B) Third-Party Reports. Respondents are required to submit information to entities other than 

EPA headquarters or the EPA Regional Administrator, such as to state, tribal, county or local officials, 

waste generators, transporters, storers, and disposers, or the public.

40 CFR 761, Subpart B—Manufacturing, Processing, Distribution in Commerce, and Use of PCBs 

and PCB Items

(#51) Certification for Burners of Used Oil: Before the first shipment of used fuel oil containing 

detectable PCBs, the burner of the oil must provide a one-time written certification to the marketer of 

the oil that the incinerator is in compliance with the notification requirements of §761.71(a)(2) or 40 

CFR 279, Subpart G. This regulation also applies to marketing or burning for energy recovery liquids 

containing PCBs at concentrations <50 ppm at the time of removal from a natural gas pipeline system 

[§§761.20(e)(3)(ii); .30(i)(5)(ii); and .60(b)(5)(iv)(B)].

(#52) Transformer and Voltage Regulator Fire Emergency Notification: Owners of PCB 

Transformers and PCB Voltage Regulators (containing ≥500 ppm PCBs) must report any fire-related 

incidents involving this equipment and the release of PCBs to the National Response Center. 

Information must be provided regarding the type of PCB Transformer installation involved in the 

incident (e.g., high or low secondary voltage network transformer, high or low secondary voltage radial 

system, expanded radial system, primary selective system, primary loop system, or secondary selective 

system) and the readily ascertainable cause of the fire (e.g., high current fault in the primary or 

secondary or low current fault in secondary). The National Response Center notifies the appropriate 

Regional Administrator [§§761.30(a)(1)(xi) and (xv)(A); (h)(1)(ii)(B)].

(#53) Notification to Owners of PCB Transformers: Users of a PCB Transformer in use or stored 

for reuse that may pose an exposure risk to food or feed must notify the owner of the Transformer 

[§761.30(a)(1)(xiv)].
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(#54) Registering Newly Discovered PCB Transformers: In the event that a mineral oil 

transformer assumed to contain <500 ppm PCBs is tested and found to be contaminated at ≥500 ppm, 

the owner of the PCB Transformer must register the equipment with the building owner (and EPA; see

#3) within 30 days of discovery [§§761.30(a)(1)(xv)(D)].

Subpart D—Storage and Disposal

(#55) Documentation About and Disposal Approval for PCB-Contaminated Liquids: Prior to any

chemical waste landfill disposing of PCB-Contaminated liquids from incidental sources associated with 

non-liquid PCB waste, the landfill owner/operator must be provided with documentation that shows that 

the waste does not exceed 500 ppm PCBs, that it is not an ignitable waste as described in 

§761.75(b)(8)(iii), and that disposal does not violate 40 CFR §268.32(a)(2) and §268.42(a)(1), which list 

specific hazardous wastes prohibited from land disposal, including liquid hazardous wastes containing 

PCBs >50 ppm [§761.60(a)(3)(ii)].

(#56) Inclusion of Abandoned Natural Gas Pipes in Public Service Notification Programs: One 

disposal option for natural gas pipeline systems containing PCBs at any concentration but no freeflowing liquids, and having a nominal inside diameter of ≤4 inches, is to seal each end closed, abandon 

the pipes in the place where they were used to transport natural gas, and include them in a public service 

notification program, such as a one-call system under 49 CFR 192.614(a) and (b). One-call systems are 

programs run by utility companies to inform landowners that they should contact the utility companies 

before beginning any excavation work on their property to avoid disturbing underground utility pipes 

[§761.60(b)(5)(i)(A)(1)].

(#57) Notification About Approved PCB Disposal Facilities: Each operator of a chemical waste 

landfill, incinerator, or approved alternative disposal technology meeting the incineration standard must 

notify state and local officials at least 30 days prior to the first use of the facility [§761.60(f)(1)(i)].

(#58) Annual Notification about PCBs Disposed of: If requested by state and local officials, each 

operator of a chemical waste landfill, incinerator, or approved alternative to incineration must provide 

annual information about the quantities and types of PCBs disposed of [§761.60(f)(1)(ii)].

(#59) Notification to State and Local Officials of PCB Activities: Any person may conduct R&D 

for PCB disposal without prior written approval from EPA, if they meet certain conditions, one of which 

is to notify state and local environmental agencies at least 30 days prior to beginning the activities. Each 

written notification must contain the EPA identification number for the site, the quantity of PCBs to be 

treated, the type of R&D technology to be used, the physical and chemical properties of the materials 

being treated, and an estimation of the duration of the activities [§761.60(j)(i)(ii)].

(#60) Manifest R&D PCB Wastes: Research facilities must use manifests, pursuant to Subpart K, 

for all R&D PCB wastes being transported from the R&D facility to an approved PCB storage or 

disposal facility for disposal. Manifests are not needed if the residuals are returned to the site of 

generation [§761.60(j)(1)(vii)].

(#61) Self-implementing Remediation: Owners of remediation sites are required to notify, in 

writing, the appropriate state (or tribal), county (or local) environmental agencies at least 30 days prior 

to conducting remediation activities. The notification must include the following information: the nature 

of the contamination, a summary of the procedures used to sample contaminated and adjacent areas, a 

table or cleanup site map, the location and extent of PCB contaminated areas, including topographic 
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maps, and a cleanup plan for the site [§761.61(a)(3)(i)].

(#62) Notification of Pending PCB Shipments: Generators of bulk PCB remediation waste must 

provide written notice to each off-site facility where the waste is destined that is not subject to a TSCA 

PCB disposal approval about the quantity and the highest concentration of PCBs shipped, at least 15 

days before the first shipment of the waste from each cleanup site [§761.61(a)(5)(i)(B)(2)(iv)].

(#63) Deed Restrictions on Property Where Remediation Projects Have Been Conducted: Within 

60 days of completion of a cleanup activity and in accordance with state law, site owners must record a 

notation on the deed to the property, or on some other instrument that is normally examined during the 

title search, that will in perpetuity notify any potential purchaser of the property that the land has been 

used for disposal of PCB remediation waste, the site is restricted for use, and the fence or cap must be 

maintained, as well as the applicable cleanup levels left at the site. This notice becomes a permanent 

attachment to the deed [§761.61(a)(8)(i)(A)].

(#64) Disposal of PCB Bulk Product Waste: Any person disposing off site of PCB bulk product 

waste under paragraph (b)(1) at a waste management facility not having a commercial PCB storage or 

disposal approval, must provide written notification to the receiving facility a minimum of 15 days in 

advance of the first shipment from the same disposal waste stream. The notice shall state that the waste 

may include components containing PCBs at ≥50 ppm and that the waste is known or presumed to leach 

< 10 ug/L PCBs. The objective of the notification is to alert the waste facilities and prevent the generator 

from sending a waste to a facility that may be restricted from receiving PCBs, based on a state-issued 

permit [§§761.62(b)(4)(i) and 761.357]. Any person disposing off site of PCB bulk product waste under 

paragraph (b)(2) at the same type of facility must comply with the same notification requirements, 

except that the notice shall state that the waste is known or presumed to leach ≥10 ug/L PCBs 

[§§761.62(b)(4)(i) and (ii); 761.357 and .359].

(#65) Notations on PCB Items and Containers: To store PCB Items, either for disposal or 

temporarily in areas that do not comply with §761.65(b) for up to 30 days from the date of an Item’s 

removal from service, owners of the Items must place on the Item the date it is removed from service. 

Items that can be temporarily stored include non-leaking PCB Articles and PCB Equipment; leaking 

PCB Articles and Equipment if the PCB Items are placed in a non-leaking PCB Container; PCB 

Containers containing non-liquid PCBs; or PCB Containers containing liquid PCBs at concentrations 

≥50 ppm in areas with SPCC plans [§§761.65(c)(1) and (8)].

(#66) Notification of Shipping Laboratory Samples: To qualify for the exemption from 

manifesting laboratory sampling wastes, as per §761.65(i)(2)(i) and (ii), the sample collector shipping 

the samples to a laboratory and a laboratory returning samples to a sample collector must comply with 

applicable DOT requirements found at 49 CFR 173.345 and U.S. Postal Service regulations, 652.2 and 

652.3. Information on the sample collector, the laboratory, and date of shipment must accompany a PCB 

sample when it is shipped to the testing laboratory or back to the sample collector [§761.65(i)(3)].

Subpart G—PCB Spill Cleanup Policy

(#67) Requirements for the Spill Cleanup Policy: Spills involving 1 pound or more by weight of 

PCBs must be reported to the National Response Center [§761.125(a)(1)].

(#68) Notification of PCB Contamination at a Cleanup Site: Parties responsible for cleaning up 

PCB spills as per the Spill Cleanup Policy can clean up the site to 50 ppm PCBs by weight (as opposed 
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to 25 ppm) provided that a label or notice is visibly placed in the area [§761.125(c)(2)(ii)].

(#68a) Records Pertaining to Reclassification of PCB Equipment: Owners of reclassified PCB 

electrical equipment must promptly provide records of reclassified PCB equipment to any party holding 

or possessing the equipment (for example, through sale, loan, lease, or for servicing). Also see #41a and 

#75 [§761.180(g)].

Subpart K—PCB Waste Disposal Records and Reports

(#69) Manifests for PCB Wastes: Generators who relinquish control over PCB wastes by 

transporting, or offering for transport, PCB waste for commercial off-site storage or disposal shall 

prepare a manifest (EPA Form 8700-22, currently approved under OMB No. 2050-0039), which 

specifies the identity of the waste, the earliest date of removal from service for disposal, the weight in 

kilograms of the waste, the unique identifying number of a PCB Article Container or PCB Container, the 

serial number or other identification of PCB Articles not in containers [§761.207(a)]. For bulk shipments 

within the United States transported solely by water, waste generators are required to provide three 

copies of the dated and signed manifests to the owner or operator of the designated commercial storage 

or disposal facility [§761.210(c)]. For rail shipments of PCB wastes that originate at the site of 

generation, the generator shall send at least three copies of the manifest to the next non-rail shipper, if 

any, and the designated commercial storage or disposal facility, if transported solely by rail [§761.210 

(d)(1) and (2)].

(#70) Send Manifest to Generator: When a commercial storage or disposal facility receives an 

offsite shipment of PCB waste accompanied by a manifest, the owner/operator of the facility must send 

a copy of the manifest to the generator within 30 days after the delivery. When a commercial storage or 

disposal facility receives a PCB waste from a rail or water (bulk shipment) transporter accompanied by a 

shipping paper containing all the information required on the manifest except the EPA identification 

number, generator’s certification, and signatures, the owner/operator of the facility shall send a copy of 

the manifest or shipping paper to the generator [§761.213(a)(2)(v) and (b)(4)].

(#71) Certificates of Disposal to Waste Generators: Owners or operators of disposal facilities 

must send Certificates of Disposal to generators of PCB wastes identified on the manifests that 

accompany each shipment. The Certificates must be sent within 30 days of the date that the disposal of 

each item of PCB waste identified on the manifest was completed, unless the generator and the disposer 

agree to another time frame. The Certificate of Disposal shall identify the disposal facility and waste 

affected by the certificate and include a statement certifying the date of disposal and disposal process for 

the identified PCB waste [§761.218(a) and (b)].

(C) Records. Respondents are required to maintain records as follows:

40 CFR 761, Subpart A—General

(#72) Recordkeeping of Excluded Manufacturing Processes and Certification: Chemical 

manufacturers and importers of products that contain inadvertently generated PCBs (i.e., excluded 

manufacturing processes) must maintain the monitoring data (or other analyses) that were used to 

support the determination of compliance with the conditions of §761.3, and copies of the signed 

certification of compliance. These recordkeeping requirements expire under their own terms, either three 

years after the manufacturer has ceased operating the process that necessitated notification, or after 

seven years, whichever is a shorter retention period. Monitoring records must contain the method of 
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analysis; the results of the analysis, including data from the Quality Assurance Plan; a description of the 

sample matrix, the name of the analyst or analysis; the date and time of the analysis; and numbers for the 

lots from which the samples are taken [§§761.1(f)(1), .185(c)(2) and (d), and .193].

Subpart B—Manufacturing, Processing, Distribution in Commerce, and Use of PCBs and PCB 

Items

(#73) Records of Marketing Used Oil: Marketers who first claim used oil does not contain 

detectable levels of PCBs must retain records supporting the claim and a copy of each certification 

notice received or prepared relating to transactions involving PCB-containing used oil. Burners must 

include among the records a copy of each certification notice that has been provided to a marketer of 

PCB-containing used oil. These requirements also apply to persons who market or burn for energy

recovery liquid containing PCBs at concentrations <50 ppm PCBs at the time of removal from a natural 

gas pipeline system [§§761.20(e)(4)(i) and (ii); .30(i)(5)(ii); and .60(b)(5)(iv)(B)].

(#74) Records of PCB Transformer Registration, Inspection, and Maintenance: Individuals are 

required to retain a copy of the transformer registration and the return receipt signed by the EPA and 

records of inspection and maintenance history for a period of three years after the disposal of the 

transformer(s). The records also shall contain information of the location of each transformer; inspection 

dates; date of discovery of any leaks; inspector’s name; location of any leaks; estimate of the amount of 

dielectric fluid leaked; date and description of any cleanup, containment, repair, or replacement; the 

results of any containment and daily inspection required for uncorrected active leaks; and any transfer of 

ownership of PCB Items [§§761.30(a)(1)(vi)(C), (xii), and (xiv)].

(#75) Records of Reclassified PCB Equipment: Owners of reclassified PCB equipment must 

maintain records at the facility where the equipment has been reclassified to a lower PCB concentration 

for a period of three years after reclassified and sold, transferred, or disposed. These records, generated 

during the normal course of the reclassification procedure, must show that the equipment was 

reclassified following the required reclassification procedure. When these procedures require testing, the 

records must include copies of the pre-and post-reclassification PCB concentration of the unit, taken by

a laboratory using quality control and quality assurance procedures. Equipment includes transformers, 

voltage regulators, electromagnets, and switches. Also see #41a and #68a [§§761.30(a)(2)(v)(C) and 

(D); .30(h)(2)(v)(C) and (D), and .180(g)].

(#76) Natural Gas Pipeline Data: PCBs at concentrations of ≥50 ppm are authorized for use in

natural gas pipelines if certain actions are taken to characterize the concentration and extent of 

contamination, as well as remedial measures taken to reduce the PCB concentrations below regulated 

levels. Records of the results of the sampling and analysis as well as any actions taken or not taken to 

reduce the PCB concentrations must be kept for three years after the PCB concentrations have been 

reduced to below regulated levels. EPA expects the recordkeeping burden to be minimal as the 

regulations allow for use of historical data. Owners or operators of natural gas pipeline systems that do 

not include sources of PCB contamination (e.g., natural gas compressors, natural gas scrubbers, and 

natural gas filters) containing ≥50 ppm PCBs also must comply with the recordkeeping requirements 

[§§761.30(i)(1)(iii)(B) and (C)]. 

(#77) Records of Equipment Stored for Reuse: Owners of PCB Articles stored for reuse must 

maintain records starting at and indicating the time the PCB Article is removed from use or starting from 

August 28, 1998, if the date it was removed from use is not known. The records must also include the 

projected location and the future use of the PCB Article, and, if applicable, the date the PCB Article is 
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scheduled for repair or servicing [§761.35(a)(2)].

Subpart C—Marking

(#78) Records for Identifying PCB Large Low Voltage Capacitors: Owners or operators of PCB 

Large Capacitors located in protected locations must maintain a record for identifying the PCB 

Capacitors, but only if they choose not to mark each capacitor individually [§§761.40(c)(2)(ii) and (k)].

Subpart D—Storage and Disposal

(#79) Records of Disposal for R&D Facilities: The self-implementing provisions under 

§761.60(j) allow individuals to conduct research and development for PCB disposal. One of the 

provisions is that R&D facilities must comply with existing recordkeeping requirements in §761.180 

(e.g., maintain the annual document log and annual records) and the applicable storage and disposal 

requirements in Subpart D [§761.60(j)(1)(ix)].

(#80) Records of Remediation Activities: Individuals conducting self-implementing remediation 

projects are required to maintain records of the 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. Persons using alternate methods for 

chemical extraction and chemical analysis for site characterization must keep on file records of a 

comparison study that meets or exceeds the requirements of §761.269(c) [§§761.61(a)(3)(i)(E) and 

(a)(6), and Subparts O and Q].

(#81) Waivers of the Notification Requirement: Under the self-implementing remediation 

provisions of §761.61, individuals who receive a waiver of the 30-day notification requirement must 

maintain the original written waivers received from each of the agencies they are required to notify

under this section (i.e., the EPA Regional Administrator, state and county (or local) environmental 

offices) [§761.61(a)(3)(iii)].

(#82) Records of Remediation Cleanup Activities: For the cleanup of bulk PCB remediation 

waste, non-porous surfaces, porous surfaces, and liquids, site owners must keep records as per 

§761.125(c)(5) for a period of 5 years. The records must identify the source of the spill and include 

information on the estimated or actual date of the spill, the date cleanup was completed or terminated, a 

brief description of spill location and the nature of the materials contaminated, pre-cleanup sampling 

data used to establish spill boundaries, a brief description of the solid surfaces cleaned, the approximate 

depth of soil excavation and the amount of soil removed, post cleanup verification sampling data, and a 

brief description of the sampling methodology [§761.61(a)(9)].

(#83) Records of Sampling and Analysis of PCB Bulk Product Waste: Persons disposing of PCB 

bulk product waste in solid waste landfills must keep records of the sampling and analysis of PCB bulk 

product waste as well as required notifications. The records must be maintained for three years from the 

date of their creation and made available to EPA upon request [§761.62(b)(5)].

(#84) Attempts to Secure Disposal: The regulations include a provision that would grant 

individuals an automatic one-year extension to store waste beyond the one-year deadline for disposal if 

certain conditions are met. One of the conditions is that the individual must maintain a written record of 

his efforts to secure disposal capacity until the waste is disposed. These records must be made available 

for inspection by the EPA [§§761.65(a)(2)(ii), and (3)].
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(#85 - 86) Spill Prevention, Control, and Countermeasure (SPCC) Plan: Owners/operators of 

facilities using PCB storage containers, as per 29 CFR 1910.106, must prepare SPCC plans. SPCC plans 

are also necessary to temporarily store containers of PCB liquids >50 ppm. An SPCC plan is necessary

when an individual has not previously stored liquid PCBs on a temporary basis [§§761.65(c)(1)(iv) and 

(7)(ii)].

(#87) Records of PCB Items in Stationery Storage Containers: PCB Items shall be dated when 

removed from service for disposal. For each batch of PCBs added to storage containers, as per 

§761.65(c)(7), owners of the containers shall maintain a record that includes the quantity of the batch 

and date the batch was added to the container. The record shall also include the date, quantity, and 

disposition of any batch of PCBs removed from the container [§761.65(c)(8)].

(#88) Records of Storage for Disposal of PCBs and PCB Items: Owners/operators of commercial 

storage facilities must establish and maintain records, as per §761.180, for the storage and disposal 

PCBs and PCB Items ≥50 ppm [§§761.65(c)(10) and .180].

(#89) Incinerator Records: Owners and operators of incinerators must keep records 5 years after 

the date of collection of the quantity of PCBs fed into the incinerator and the rate at which the PCBs are 

fed, the temperature of the incineration process, the results of continuous monitoring of combustion 

products for oxygen and carbon monoxide, at a frequency specified by EPA, and information on the 

weight of solid residue generated by the incinerator [§§761.70(a)(3), (4), and (7); (c); and .180(c)].

(#90) High Efficiency Boiler (HEB) Feed Rate and Emissions Record Retention: Persons 

burning liquids other than mineral oil dielectric fluid, containing PCBs between 50 and 500 ppm, in an 

approved HEB must retain the following records for a period of 5 years: the quantity of low 

concentration PCBs burned in the boiler each month, monthly waste analysis records, and the data 

required in §§761.71(b)(1)(vi) and (b)(1)(vii), which includes the carbon monoxide concentration and 

excess oxygen percentage in the stack gas; the fuel feed rate; waste fluid feed rate; and the quantities of 

fuel and waste fluid fed to the boiler [§§761.71(a)(1)(vi) and (vii), (a)(4), (b)(1)(vi) and (b)(1)(vii), 

(b)(5), and .180(e)].

(#91) PCB Disposal Using Scrap Metal Recovery Ovens and Smelters: The use of scrap metal 

recovery ovens and smelters is authorized for disposing of PCB-contaminated items when the equipment 

meets certain operating parameters and conditions. One of these parameters addresses the temperature of 

the hearth (i.e., at least 1,000o C when charged with PCB Items). Operators are required to record the 

temperature and retain the data at the facility for three years from the date each charge is introduced. 

Because these devices are considered disposal units, owners of the equipment must meet all applicable 

recordkeeping requirements in 40 CR 761 Subparts J and K (e.g., maintain annual document log and 

annual records) [§§761.72(a)(9) and (b)(6)].

(#92) Chemical Waste Landfill Records: Owners/operators of chemical waste landfills that 

dispose of PCBs must maintain records at least 20 years after a facility ceases disposal operations of all 

PCB disposal operations, including PCB concentration in liquid wastes, the three-dimensional burial 

coordinates for PCBs and PCB Items, water sampling and analysis (i.e., samples of surface and ground 

water at locations and frequencies specified by EPA in their approvals), and additional records. The 

samples must be analyzed for PCBs, pH, specific conductance, and chlorinated organics 

[§§761.75(b)(6)(iii) and (b)(8)(iv) and .180(d)].
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(#93 - 94) Decontamination Activities: If individuals follow self-implementing decontamination 

procedures (and maintain the required records), they will not need to obtain a PCB disposal approval, as 

is currently the case, to decontaminate for continued use or distribution in commerce items that had been 

contaminated with PCBs. Test and validation results of performance-based decontamination activities 

using PODFs and VADFs must be retained [Subpart T, §761.79(d)(4)]. Also, individuals that conduct 

PCB decontamination activities must maintain records of sampling activities that show sampling 

locations, analytical results, and information about the wastes generated by a decontamination process. 

These records must be retained at the site of decontamination for a period of three years for inspection 

by EPA [§§761.79(f)(1) and (2)].

Subpart E—Exemptions

(#95 - 96) Manufacture of PCBs and Processing/Distributing of Limited Quantities of PCBs or 

PCBs in Waste Materials for R&D: Under the class exemptions for manufacturers of PCBs and 

processors and distributors of limited quantities of PCBs and PCB analytical reference samples derived 

from waste materials for purposes of research and development, facilities seeking the exemption must 

maintain records on the source(s) of PCBs, the person(s) to whom the PCBs were shipped, and the 

amount(s) of PCBs received, processed and distributed in commerce annually. These records must be 

retained for a period of either three years after ceasing the processing and/or distributing operations or 5 

years [§§761.80(e)(5), (g)(1), and (i)(7)].

Subpart G—PCB Spill Cleanup Policy

(#97 - 98) Records of Spill Cleanup and Delays: Parties responsible for cleaning up PCB spills 

must maintain documentation of the cleanup activities and certification of the documentation for five 

years. Owners of PCB spills who have delayed cleanup because of circumstances such as civil 

emergency; hurricane, tornado, or other similar adverse weather conditions; lack of access due to 

physical impossibility; or emergency operating conditions, must keep records documenting the fact that 

circumstances precluded rapid response [§§761.125(b)(3), (c)(1) and (c)(5) and .61(a)(9)].

Subpart J—General Records and Reports

(#99) The Annual Document Log for PCBs and PCB Items: Owners/operators of PCBs and PCB 

Items in service or projected for disposal must maintain annual records and a written annual document 

log for three years after the PCB activities cease. The records must include signed manifests, Certificates 

of Disposal, records of inspections and cleanups, facility and Item identification information, total 

number of Items, telephone records, and Item transfer information. Individuals must also collect and 

maintain documents, correspondence, and data pertaining to storage/disposal of PCBs that have been 

provided to as well as received from any state or local government agency and any

application/correspondence submitted to local, state, or federal permitting authorities [§§761.180(a), 

(a)(4), (b), and (f); and 761.65(c)(5)].

(#100) Recordkeeping of Monitoring Data for Inadvertently Generated PCBs: Any importers of 

or manufacturers generating PCBs in excluded manufacturing process must maintain for a period of 3 

years after ceasing process operations or importation, or for seven years, whichever is shorter, 

monitoring or analytical data used to determine compliance of import, manufacture, process, distribution 

in commerce, or use of chemicals containing inadvertently generated PCBs. The manufacturers’ records 

must include the reaction(s) believed to be generating PCBs, the levels of PCBs generated, and the 

levels of PCBs released. Importer records must include the reaction(s) believed to be generating PCBs, 
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the levels of PCBs generated, the basis for all estimations of PCB concentrations, and the name and 

qualifications of the person performing the analyses. Monitoring data must include the method of 

analysis, the results of the analysis, description of the plan matrix, names of the analysts, date and time 

of the analysis, and number for the lots from which the samples were taken [§§761.185(c)(2), (d), and 

.193(a) and (b)].

Subpart K—PCB Waste Disposal Records and Reports

(#101 - 102) Recordkeeping of Manifests and Certificates of Disposal: PCB waste generators 

must retain a written record of all manifests and telephone and other confirmations regarding 

manifesting communications, which are to be included in the annual document log, in accordance with 

§761.180 [§761.210(a)(3) and (e)(4)]. Each transporter, storer, and disposer must retain one copy of 

each manifest or shipping paper [§§761.211(d)(2), (e)(5), (f)(1)(iv), (f)(3)(ii), (f)(4)(ii), 

761.213(a)(2)(v), and (b)(5)]. Each PCB waste-handling facility that initiates or receives a manifest must 

file and maintain a copy of each manifest. The generator of PCB waste shall keep a copy of each 

manifest until the generator receives a signed copy from the designated commercial storage or disposal 

facility that received the PCB waste. The generator, transporter, and owners/operators of the storage and 

disposal facilities shall keep a copy signed by the storer or disposer for at least three years from the date 

the PCB waste was accepted by the initial transporter [§761.214(a),(b), and (c)]. Generators and 

commercial storers of PCB waste must also maintain a copy of each Certificates of Disposal received 

from disposers [§761.218(c) and (d)].

Subpart T—Comparison Study for Validating a New Performance-Based Decontamination 

Solvent Under §761.79(d)(4)

(#103) Results of Validation Studies: Persons conducting studies to validate a new performancebased decontamination solvent must record the testing parameters and experimental procedures in 

standard operating practices and must affix in an appendix the results of the validation study

[§761.398(c)].

4(b)(ii). Respondent Activities

Typical respondents include: manufacturers, processors, distributors of PCBs in commerce; 

owners of PCB-contaminated equipment and PCB Items; PCB waste generators, transporters, 

commercial storers, and disposers (i.e., PCB waste handlers); owners/operators of laboratories; and other 

users of PCBs. All respondents must read the rule and determine which provisions are applicable to their 

operations; plan and modify their procedures to come into compliance with the rule; provide training to 

appropriate staff; process, compile, and review information for accuracy and appropriateness; and 

record, disclose, and/or report the required information. Specific responsibilities for each type of 

respondent are as follows:

Manufacturers, Processors, Distributors in Commerce of PCBs: Individuals who are included in 

the manufacturing exclusions must gather and document data on raw materials and intermediates used in 

the manufacturing process; analyze the reactions and conditions at issue; survey the facility site and 

specific equipment to determine and document where and to what extent PCBs could be released into 

air, water, and end products. Individuals who seek exemptions from the manufacturing, processing, or 

distribution in commerce bans must document the amount of PCBs affected by the exemption request; 

describe the manufacturing/processing/distribution in commerce processes; comply with additional 

statutory requirements of TSCA section 6(e)(3)(B); quantify the economic consequences of an 
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exemption denial; and provide specifics about servicing and use activities, develop certification 

statements, and complete other paperwork.

Owners of PCB Items and PCB-Contaminated Equipment: There are various requirements for 

owners of the many different types of PCB Items. Owners of newly discovered PCB Transformers must 

register their Transformers with EPA and building owners, providing information on the number of PCB 

Transformers, their locations, and his or her name, address, telephone number and signature, or that of 

the authorized representative, which certifies the accuracy of the submitted information. Owners of these 

PCB Transformers must record inspection and maintenance information and file and maintain the data 

and information in the annual log about any transfer of ownership of a PCB Transformer. Owners of 

reclassified transformers, voltage regulators, electromagnets, and switches must maintain records 

showing that they followed the required reclassification procedures. When testing is required, equipment 

owners must keep records of the pre-and post-reclassification PCB concentration measurements. They

must also provide records of the reclassification procedure to EPA and recipients of the equipment, upon 

request.

Individuals who discover fire-related incidents that result from a rupture of a PCB Transformer 

or PCB Voltage Regulator must report the incident to the National Response Center. Owners of PCB 

Items distributed in commerce for reuse must retain records in the annual document log of any transfers 

of ownership. Owners of large capacitors located in protected locations who choose not to mark these 

units individually must maintain records for identifying the Capacitors.

Owners of PCB Articles stored for reuse must maintain records of the Articles. Some owners of 

PCB Items may want to obtain approval to store equipment for disposal beyond the current one-year 

limit, or to exceed the five-year limit for the storage of equipment for purposes of reuse. In those cases, 

they would be required to contact the appropriate EPA Regional Administrator and compile and submit

the requisite information. Utilities and other owners of PCB-contaminated equipment must create or 

modify their Spill Prevention, Control, and Countermeasure Plan (SPCC) if temporarily storing PCB 

liquids. Owners of PCB Items (in addition to PCB Transformers) are also required to record and 

maintain records of inspection, maintenance activities, cleanup, disposal, and certain decontamination 

activities. When PCB Items are removed from service for disposal, the owners of the Items must place 

the date on the item.

When owners of PCB Items generate wastes that must be handled as a PCB remediation or bulk 

product waste, they will need to determine which of the available disposal options (i.e., selfimplementing, performance-based, or risk-based options) should be used to address their disposal needs. 

These disposal options will require compliance with various reporting and recordkeeping requirements.

PCB Waste Handlers: PCB waste handlers must respond to the notification requirements by 

filling out a brief one-time form (EPA Form 7710-53) (see Appendix D) and filing and maintaining the 

information. Individuals who handle PCB-Contaminated liquid wastes must notify chemical waste 

landfill owners of the certain specified properties of the waste, and the landfill must obtain written 

approval from the EPA Regional Administrator before disposing of these wastes. Individuals disposing 

of PCB waste, such as in a high efficiency boiler, must notify the Regional Administrator about the 

activity.

Waste handlers attempting to secure disposal must maintain records of these attempts to be 

granted an automatic one-year extension to store wastes beyond the one-year deadline for disposal. If 

waste handlers change their waste-handling activities, they are also required to file an amended TSCA 
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PCB notification form (EPA Form 7710-53, Appendix D), which provides information on the amended 

activity.

To handle PCB remediation wastes under the self-implementing option, site owners must notify

the EPA Regional Administrator and other authorities about the remediation activities and submit a 

written certification to the Regional Administrator that site sampling and waste characterization plans 

are on file at a specified location. Generators of bulk PCB remediation waste must provide written 

notice to off-site waste handling facilities about the quantities that will be shipped to the facilities and 

the highest concentration of PCBs in the shipment. Property owners with remediation sites that require 

the use of a fence or a cap must submit to EPA a certification that the property deed has a notation to 

that effect. The recordkeeping activities for individuals using the self-implementing remediation 

provisions for disposing of PCB remediation waste include retaining written waivers received from EPA 

or other authorities for five years, maintaining records of sampling plans and characterization 

procedures, recording in the deed any sites that require the use of a fence or cap, and keeping records of 

cleanup activities for five years. PCB waste handlers are required to record and maintain records, such 

as calculations used and validation and sampling results, on certain decontamination activities.

Any person using the risk-based disposal option to dispose of PCB bulk product waste must 

apply in writing to EPA to do so. Persons handling PCB bulk product waste must maintain records of 

sampling and analysis for three years. Any person with a spill involving one pound or more of PCBs 

must report the spill to the National Response Center.

PCB waste generators must provide manifests and/or shipping papers that will accompany the 

waste shipment to the transporters and to the disposers. When a generator uses an independent 

transporter, he or she must confirm either by phone or some other convenient means that the receiving 

PCB storage and/or disposal facility actually received the wastes. Generators, storers, transporters, and 

disposers must sign and retain copies of the manifests when they handle a shipment of PCB waste. 

Generators must submit exception reports to EPA when they fail to receive confirmation from the 

disposer that a shipment of PCB waste has been properly disposed of.

Persons seeking coordinated approval for their waste-handling activities are required to submit 

requests for approval to the EPA Regional Administrator. These individuals are required to adhere to 

recordkeeping and reporting requirements, submit additional information as required by EPA, or submit 

an application for a TSCA PCB approval, and notify the Regional Administrator of any changes relating 

to the waste management documents that serve as the basis for the coordinated approval.

Owners and Operators of PCB Disposal Facilities: These respondents are expected to complete 

the EPA approval process: develop a description and a plan for a demonstration of the system; conduct 

demonstration and complete an analytical assessment of the results; and record/disclose information; 

submit a demonstration report; and develop standard operating procedures, a closure plan and financial 

assurance that cover the closure costs of the facility. Operators of approved chemical waste landfills, 

incinerators, or alternate PCB disposal technologies must also notify state and local officials prior to the 

first use of the technology, and if requested by a state or local government, provide annual notice of the 

quantities and types of PCBs disposed of during the year.

Owners/operators of incinerators must keep records regarding the PCBs fed into the incinerator 

and the operating conditions of the equipment. Owners of chemical waste landfills must collect and 

analyze samples of surface and ground water at EPA-approved locations. To dispose of residual PCB 

waste in a scrap metal recovery oven or smelter, the owner must obtain a permit or have the unit 
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approved by the EPA Regional Administrator, and comply with applicable reporting requirements of 

Subparts J and K, such as recording operating temperatures. Persons burning PCB liquids in high 

efficiency boilers must retain records of the quantities burned, waste analysis results, and operational 

conditions of the boiler.

Owners and operators of PCB disposal facilities are required to submit annual reports to EPA. 

PCB waste disposers must submit unmanifested waste reports to EPA when they accept a shipment of

PCB waste without an accompanying manifest. Disposers also must submit discrepancy reports when 

the PCB waste they receive for disposal does not match the description of the manifest that accompanies 

it. Owners/operators of disposal facilities must submit Certificates of Disposal to waste generators when 

a disposal is complete for each item on a manifested waste shipment. The disposers must maintain all of 

the above records. Owners/operators of PCB disposal facilities also are required to attempt to contact the 

generator when they receive a shipment of PCB waste that does not include a manifest.

Owners/Operators of Commercial Storage Facilities: These respondents must complete the EPA 

approval process; i.e., submit closure plans and financial assurances to EPA. They must notify the 

appropriate EPA Regional Administrator when it is necessary to exceed the one-year storage limitation, 

to modify the facility, or amend the financial assurance mechanism. For subsequent extensions to the 

storage limitations, the requestor must submit specific justification for the extension and indicate 

measures he is taking to secure disposal. Owners of commercial storage facilities must record and 

maintain records associated with PCB equipment inspections and cleanups. They must also submit a 

summary report to EPA of the type and quantity of PCB wastes that were managed at the facility during 

the preceding year. Commercial storers of PCB wastes must submit Exception Reports when they

transfer the PCBs or PCB Items to the disposer within 9 months from the date of removal of the Item 

from service or when they have not received within 13 months from the date of removal from service for 

disposal a Certificate of Disposal confirming the disposal of the Item, as applicable.

Users of PCB waste storage containers can use containers other than those prescribed by ANSI 

for nuclear criticality safety if the user demonstrates that such containers are protective of human health 

and the environment. Managers of large bulk PCB storage containers shall have a record that includes 

for each batch of PCBs the quantity of the batch and the date the batch was added to the container.

If owners of storage facilities change their waste-handling activities, they would also be required 

to file an amended TSCA PCB notification form. EPA will approve changes in ownership of storage 

facilities if the transferee has established financial assurance for closure and the transferor has resolved 

any deficiencies, such as with operations, closure plans, and cost estimates.

Owners/operators of PCB commercial storage facilities are required to attempt to reconcile, with 

either the generator and/or transporter any significant discrepancy in the manifest. Owners/operators of 

PCB commercial storage facilities are required to attempt to contact the generator when they receive a 

shipment of PCB waste that doesn’t include a manifest.

Laboratories: Persons conducting R&D on PCB disposal are required to obtain an EPA 

identification number and notify EPA and other authorities before conducting the R&D activities. R&D 

facilities must also manifest wastes, as applicable, and submit requests to EPA when exceeding the 

specified limits for the PCBs used. R&D facilities can also submit requests for extensions in the duration 

of the activity. Facilities can submit exemption petitions to qualify for the class exemptions to 

manufacture PCBs for disposal-related R&D activities or to process or distribute PCBs or PCB 

analytical reference samples derived from waste materials. Facilities seeking the exemption must 
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maintain records of the activities for the annual log. Laboratories conducting self-implementing R&D 

for disposal activities must maintain annual records, as well.

R&D facilities seeking coordinated approvals may submit requests for approval to the EPA 

Regional Administrator. They are required to adhere to recordkeeping and reporting requirements, 

submit additional information as required by EPA or submit an application for a TSCA PCB approval, 

and notify the Regional Administrator of any changes relating to the waste management documents that 

serve as the basis for the coordinated approval.

Operators of laboratories who wish to exceed quantity limitations for the manufacture, 

processing, or distribution in commerce of PCBs will have to submit requests to EPA.

Other Individuals (e.g., Users of PCBs): Owners of PCB-Contaminated natural gas pipeline 

systems who sell or distribute natural gas, can use these systems if they keep records of sampling and 

analysis results and actions taken to reduce the PCB concentrations to below regulated levels and submit 

a description of the system to EPA, if requested. Documentation of data and actions must also be made 

available to EPA upon request. Owners of natural gas pipelines must also include the system in public 

service notification programs, which inform landowners that they should contact the utilities before 

beginning any excavation work on their property. Owners of other PCB-contaminated gas liquid systems 

must obtain the consent of the EPA (Director, National Program Chemicals Division) to use the systems.

Persons burning for energy recovery used oil or liquids containing PCBs <50 ppm from a 

natural gas pipeline system must keep records of each certification notice, and marketers of these liquids 

must retain records related to transactions that they claim do not contain detectable PCBs. Other users of 

PCBs may have to deal with remediation waste or PCB bulk waste disposal issues. In that event, they

will need to determine which of the available options (i.e., self-implementing, performance-based, 

leachability or risk-based) could be used to address their disposal needs. These disposal options will 

require compliance with various reporting and recordkeeping requirements.

5. THE INFORMATION COLLECTION — AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY, AND INFORMATION MANAGEMENT

5(a). Agency Activities

EPA resources are devoted to reviewing and analyzing data submissions, compiling and 

recording data, maintaining hard-copy files of submitted data, inspecting facilities, producing inspection 

reports, responding to public inquiry, providing regulatory interpretations and developing rulemakings. 

OPPT staff members do not print or otherwise prepare collection instruments, compile mailing lists, or 

publish results. Although a web site has been established, EPA plans to continue/expand its review of 

the use of the Internet to facilitate the transfer of information from EPA to the public. More specific

Agency activities are discussed below.

Data submitted to EPA for consideration in granting or denying requests for exemptions are 

reviewed, analyzed for confidentiality and appropriate protection, and placed in the docket. EPA makes 

determinations of whether to grant exemptions and develops rulemakings in response to the requests for 

exemptions. Agency staff also receives, analyzes, and reviews requests to exceed quantity limitations 

imposed by class exemptions.
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Under the self-implementing procedures of the PCB regulations, data are submitted to EPA to 

qualify for the exclusion for processes/products containing low levels of PCBs from the statutory bans 

on the manufacture (including import), processing, and distribution in commerce of PCBs. These data 

are reviewed and stored pursuant to confidentiality requirements, when appropriate, and placed in the 

docket for public review (sanitized documents only); inspections are conducted as prescribed by the 

enforcement policy. The information is used by EPA to identify manufacturers and importers of 

products containing low levels of PCBs, as well as for compliance monitoring and enforcement 

purposes.

Pursuant to the use authorization for PCB Transformers, EPA staff members created and 

currently maintain the PCB Transformer Database. Staff presently process registrations for newly

discovered PCB Transformers. As Agency resources permit, EPA also updates the database to include 

additional information voluntarily submitted by PCB Transformer owners on the current status of PCB 

Transformers previously registered. This supplemental data is not required or solicited by EPA. On an 

“as requested basis,” EPA resources provide information from the PCB Transformers Database to 

environmental and emergency response officials. EPA also has placed these data on the Internet.

EPA staff also process both new and amended PCB notifications of waste handling activities and 

updates the Notification of PCB Activity Quarterly Reports on PCB waste handlers. These data are 

currently available on the Internet.

Information from annual reports that are submitted by storers and disposers of PCB waste 

enables the Agency to respond to public and Congressional inquiries, target inspections, and conduct 

compliance monitoring and other enforcement activities. To produce the inspection reports, EPA inputs, 

indexes and files data that are obtained during inspections, and prepares, reviews and revises the 

inspection reports.

Activities routinely conducted by EPA in processing requests for permits to operate a PCB 

disposal facility are as follows:

 Review/analyze applications to determine whether facilities have adequate technical plans and 

financial capabilities to operate and maintain the facility.

 Attend demonstrations.

 Grant/deny approval.

 Store the data.

Engineers in EPA’s Office of Resource Conservation and Recovery as well as staff in regional 

offices review the PCB disposal applications. The adequacy of the data contained in these applications is 

evaluated during a thorough review of the data and calculations and the assessment of subsequent 

demonstrations. In addition to disposal approvals, the Agency receives, analyzes, and reviews 

applications for commercial storage approvals and coordinated approvals; as well as requests to exceed 

R&D and storage limitations and to use alternate disposal methods. For commercial storage approvals, 

EPA must also determine if the facility will be able to close in an environmentally safe manner.

5(b). Collection Methodology and Management

Currently, given the nature of the collections and disclosure requirements, all of the PCB 

information collections are done in hard copy form. Although the content of these various collections 
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has been specified earlier in this Supporting Statement, the majority of the collections do not require the 

use of a specific form or format. Only two of the collections involve a specifically prescribed form. EPA 

plans to review the efficiency of using the Internet to facilitate the transfer of information (including the 

use of reporting forms) between EPA and potential respondents. In fact, EPA believes that a move 

toward electronic manifesting as soon as feasible would be beneficial both to the Agency and to others 

interested in the program, and efforts are underway. For example, as discussed earlier, once electronic 

manifesting for hazardous waste under the Agency’s RCRA program is implemented, OPPT intends to 

work on a compatible electronic option for the manifesting requirements for PCBs. In addition, OPPT 

intends to convert the notifications of PCB Transformer Registration that is required by the PCB 

Regulations at 40 CFR 761.30 into an electronic notification. This notification information is used to 

produce a publically-available database that gives the location and number of PCB transformers in the 

country. Converting the reported form into an electronic notification in a CDX database will enable the 

publically-available database to track the phase-out of transformers either as industry replaces them or if 

they are phased-out through an EPA rule-making. Enabling the public to track the attrition of the PCB 

transformers would also support the Agency's Next Generation Enforcement initiative.

Requests for disposal approval may be submitted in the form most convenient to the applicant. 

Because of the nature of the information (i.e., engineering blueprints), most of the information is 

generally submitted on paper, rather than electronically. Where appropriate, EPA accepts data in 

electronic format. There is no requirement for the information to be submitted in an automated, 

electronic, mechanical, or other technological information format. 

Records are maintained at EPA by the staff overseeing the review of permit applications. 

Applications are retained for the duration of the disposal facilities operating approval. The public may

access the non-confidential portions of applications.

5(c). Small Entity Flexibility

Small businesses are not exempt from the PCB regulations under TSCA, and the information 

collections will affect all entities, regardless of size, that own or use PCBs or PCB-containing equipment 

and generate PCB waste. The potential health ramifications necessitate equal reporting and 

recordkeeping requirements for all persons, and due to heightened awareness and concern for proper 

PCB disposal practices, the potential human and environmental risk necessitates equal disclosure by all 

applicants regardless of size. While all practical steps have been taken to minimize the reporting and 

recordkeeping burdens, the requirements imposed are the minimum necessary to maintain proper 

accountability for the disposition of the PCBs. These requirements assist EPA in meeting its statutory 

obligation to make a finding of no unreasonable risk for an authorized activity and determining, for 

example, whether a petitioner is eligible to receive the benefit of an approval, exemption, or exclusion. 

In general, while the reporting and recordkeeping requirements impose additional obligations on small 

businesses, these requirements are of a conventional nature that should be familiar to businesses, and are 

no more burdensome than conventional standard business practices. In addition, some requirements 

overlap with sound business practices, such as periodically inspecting valuable equipment, maintaining 

an inventory of property and other basic recordkeeping.

Small organizations will usually handle smaller volumes of PCBs than larger entities, thereby

minimizing their reporting and recordkeeping burdens. The complexity of toxic material disposal and 

the required financial assurance to ensure against environmental liabilities seem to deter smaller 

businesses from engaging in disposal facility enterprises (e.g., it is economically infeasible). In another 

example, the majority of PCB Transformers subject to these requirements are located in large industrial 
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and utility locations, as the use of transformers designed to use PCBs (Askarel transformers) is 

associated with high-voltage applications. Therefore, fewer small businesses are likely to own many 

PCB Transformers because of the nature of their application as well as significant costs associated with 

the initial purchase of the equipment and the long-term expense for operation and maintenance. 

Moreover, even assuming that PCB Transformers are as likely to be owned by small entities as larger 

firms, the regulatory cost remains very small relative to overall revenues.

In another example, the manufacturing exclusion was designed to minimize the burdens of the 

TSCA section 6(e) bans on chemical manufacturers. This rule has relieved small business manufacturers 

from the burdens of filing annual petitions for exemption from the manufacturing, processing, and 

distribution in commerce bans, as required under section 6(e)(3). Further, to minimize the burdens of 

information collection on small organizations, EPA allows significant flexibility in its information 

collection requirements so that manufacturers have options available to them for supporting their 

requests for exclusion. One option avoids the need for repeated sampling and reporting by allowing 

manufacturers to conduct theoretical analyses rather than actual sampling of process streams to estimate 

the levels of PCBs generated by the processes. If the basis for the theoretical analysis is sound, the 

manufacturer may certify compliance on the basis of that analysis, until and unless he or she engages in 

a new process or significantly alters the reported process. Additional flexibility is available for 

estimating the levels of PCBs generated and released. Rather than specifying any one sampling regime 

or method of theoretical analysis, the reports require only that petitioners support the estimates by any

defensible basis. For example, sampling results may be accompanied by a description of the sample 

matrix and any data from a quality assurance plan.

5(c)(i). Small Entities Affected by the PCB Regulations

Small business entities may include both those in the public and private sectors, and not-forprofit organizations as well as for-profit entities. The Regulatory Flexibility Act identifies three classes 

of small entities of special concern:

 Small for-profit businesses as defined by the Small Business Administration’s (SBA) Table of 

Size Standards.

 Small governments, defined as governmental jurisdictions, such as cities, towns, counties, or 

school districts, with a population less than 50,000.

 Small organizations, defined as not-for-profit enterprises that are independently owned and not 

dominant in their fields.

Entities generating PCB wastes comprise the following classes:

 Electric utility industry: PCB-oil and contaminated mineral oil from electrical equipment such as 

transformers and large capacitors. Included in this category are publicly owned entities such as 

municipal and county electric systems as well as other public power systems such as irrigation 

districts.

 Non-utility entities with privately owned electrical equipment, such as PCB Transformers and 

Capacitors and other PCB-Contaminated electrical equipment. This group includes those entities 

that own high-voltage transformers and large capacitors. A 1989 EPA report identified such 

entities as most likely to be in oil and gas production, manufacturing, railroads, and 

telecommunication industries. Not-for-profit entities such as colleges and universities and

hospitals are also to be included in this group (EPA, 1989). Public-sector operations such as 

prisons might also possess this type of equipment.
June 9, 2015

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 Entities with PCB ballasts from fluorescent light fixtures. Due to the widespread use of 

fluorescent lighting, any entity operating out of a fixed location built prior to the late 1970s is a 

possible candidate for inclusion in this class of waste generators. Included are government 

bodies, such as school districts, that have such lighting equipment.

 Entities operating natural gas pipelines may have PCB-contaminated pipeline equipment 

resulting from the contact of condensate with PCB-contaminated oils used in pipeline 

compressors.

 PCBs have been found in electrical components of appliances and in automobiles, and disposal 

operations such as automobile or appliance shredding may generate PCB-contaminated 

materials.

 Cleanup of Superfund sites and other hazardous waste sites may generate PCB-contaminated 

materials.

Electric Utilities: It has been estimated that 60 to 70 percent of the PCBs produced were used in 

dielectric fluid for transformers and capacitors. Thus, such high-voltage equipment, including askarel 

and mineral oil transformers and large PCB Capacitors, represents a major source of PCB waste 

generation. EPA studies of the numbers of such equipment in use assumed that utilities owned 30 

percent of the askarel transformers, 80 percent of the mineral oil transformers, and 90 percent of the 

large PCB capacitors, with the remainder owned by non-utility industrial enterprises (U. S. EPA, 

2004a). In 2003, EPA estimated that 3,170 utilities might own PCB and PCB-contaminated electrical 

equipment (U.S. EPA, 2003). The SBA small-entity definition for the electric utility industry includes 

entities producing 4 million megawatt-hours of electricity sales or less. Small publicly owned utilities 

are those owned by government bodies with a population of less than 50,000.

Other Industrial Sectors: The available evidence suggests that PCB waste generation related to 

contaminated electrical equipment, fluorescent light ballasts, and other PCB wastes, is common 

throughout a number of industrial sectors. The 1989 EPA study, based on Arkansas, New York, and 

California state information about PCB waste generators, identified oil and gas production (NAICS 

211111), manufacturing (NAICS 31-33), line-haul railroads (NAICS 48211), telephone communications 

(NAICS 513), and refuse systems (NAICS 562111) as accounting for over 90 percent of the non-utility, 

private sector PCB waste generators. Information on PCB waste generators for New York and California 

indicate that a large proportion of non-utility PCB waste generators fall within NAICS codes 211, 31-33, 

335, and 562. These industries are expected to account for most of the PCB wastes associated with the 

disposal of electrical equipment. Hospitals (NAICS 62211) and colleges and universities (NAICS 

61131) are also likely to have high-voltage electrical equipment of the type associated with PCB 

contamination and thus should be included within the class of PCB waste generators associated with 

such equipment. This assumption is corroborated by the inclusion of such establishments among the 

New York hazardous waste generators listed as disposing of PCB transformers and capacitors. The 

specific description of the wastes for each generator provided by the New York data also confirms the 

belief that wastes associated with fluorescent light ballasts are generated by establishments throughout 

the private and public sectors.

EPA used this information about the industrial pattern of PCB waste generation to develop 

industry-specific estimates of the number of establishments that might have PCB and PCBContaminated Electrical Equipment. Based on a previous study of the electric utility industry, EPA 

estimated that 0.3 percent of electric utility customers receive power at high voltage levels (ERG, 1993). 

High-voltage customers in most cases have transformers, capacitors, and other equipment necessary to 

transform the voltages and distribute electricity within their premises. That study also estimated that 85 
June 9, 2015

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percent of such establishments own their own high-voltage transformation equipment, the remainder 

using transformation equipment provided or leased to them by their utility company.

Previously, EPA estimated that approximately 50,000 industrial establishments have affected 

equipment (U.S. EPA, 2003). While the likelihood of owning the regulated equipment increases for 

high-voltage customers, it is not the only characteristic that is relevant. Low-voltage distribution 

equipment can also be PCB-contaminated.

EPA distributed the affected establishments among industries using judgments of the distribution 

of high voltage equipment among 3-digit NAICS industries. Thus, while an establishment need not be a

high-voltage customer to be affected by the regulations, being a high-voltage customer was considered 

the best indicator of whether the establishment would be using PCB-containing equipment. The 

methodology included the following judgments. First, the industries were stratified according to whether 

they would include a substantial number (high prevalence), relatively few (low prevalence), or a 

negligible number of high-voltage users. Second, high-prevalence industries were judged to account for 

two-thirds of the list of high-voltage users. The 50,000 affected establishments were then distributed 

among industries within these two groups on the basis of the overall distribution of establishments. The 

results of this distribution methodology are shown in Table 3-2 of the Draft Analysis of the Cost Impacts 

of Potential Amendments to the PCB Regulations at 40 CFR 761 (U.S. EPA, 2003).

For most NAICS industries, SBA classifies small entities by employment size. Depending upon 

the industry, entities with fewer than 500, 750, or 1,000 employees are classified as small businesses. 

For most of the remaining industries, small firms are classified by revenue size.1 To estimate the 

number of small entities for these industries, average revenues per entity were calculated for each 

employment size category in each six-digit NAICS code. The average revenue per entity for 

employment size classification in each NAICS code was then compared to the SBA small business 

definition. All entities in size classifications falling below the small business definition were counted as 

small businesses.

Table 3-3 in the Draft Analysis of the Cost Impacts of Potential Amendments to the PCB 

Regulations at 40 CFR 761 presents estimates of the number of entities in each industry that own 

affected equipment (U.S. EPA, 2003). These estimates are based on the distribution of high-voltage 

equipment establishments and assume that the frequency of high-voltage equipment ownership among 

entities is the same among establishments. Also, small entities are assumed to be as likely to own highvoltage equipment as larger firms, an assumption that may result in an overstatement of the actual 

number of small entities that own such equipment. Updating this table with the most recently available 

data (U.S. Census, 2007) suggests that in addition to the estimated 8,911 non-utility entities with highvoltage equipment, 1,858 electric utilities own high-voltage equipment. Similarly, 8,571 small nonutility entities and 1,681small utility entities are estimated to own high-voltage equipment. Additionally, 

comments submitted to EPA by the Utility Solid Waste Activities Group (USWAG, 2010) suggests that 

companies have disposed of approximately 2 to 3 percent of PCB equipment annually, with PCB 

equipment estimated to be phased out by 2029. This indicates that the number of small businesses being 

impacted continues to decrease.

 

1 Except for utilities (NAICS 221111, 221112, 221113, 221119, 221121, and 221122). These utility industries are 

defined as small if they generate less than 4 million megawatt-hours of electricity sales per year. Electric utility operating 

data collected and reported by the Energy Information Administration (EIA, Form 861) were used to determine the number 

of small entities and revenues for utilities.
June 9, 2015

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5(d). Collection Schedule

Most of the reporting activities are triggered by specific events or on an as-needed basis rather 

than by specific dates, as shown on Table 5-1 and 5-2.
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TABLE 5-1: REPORTING SCHEDULE

Ref. 

#

Regulatory Section(s) Collection Requirement Collection Schedule

40 CFR 761

Subpart A—General

1 §761.(f)(1)(2), and (3) Submit new reports or modifications to existing reports to 

qualify for manufacturing/import exclusions, pursuant to 

compliance with the reporting requirements of Subpart J.

Within 90 days of initiating a manufacturing process/import. 

Subsequent submission of information is required if a manufacturer 

significantly alters a production process, or to report periods of 

unusually high generation or release of PCBs. (See numbers 42 and 43)

Subpart B—Use

2 §§761.20(b) and

(c)(1) and (3)

Submit an exemption petition as per TSCA section 6(e)(3) 

to manufacture (import), process, or distribute in commerce 

(export) PCBs, unless otherwise authorized. 

On an as needed basis.

3 §761.30(a)(1)(vi)

and (vii); (xv)(D)

Register newly discovered PCB Transformers. Within 30 days of identifying Transformer.

4 §§761.30(a)(2)(v)(C) and 

.30(h)(2)(v)(C) 

Submit requests to reclassify equipment using alternate 

methods.

On an as needed basis.

5 §761.30(i)(1)(iii)

(A)(1) and (C)

For gas pipeline systems owned/operated by a seller or 

distributor of natural gas, submit a description of the 

systems that contain >50 ppm PCBs and make available 

documentation of data and actions to comply with use 

authorizations.

Upon request of EPA.

6 §761.30(t)(3) Obtain EPA approval for the use of PCBs in other gas or 

liquid systems.

When planning use of system.

7 §761.35(b) Obtain EPA Regional Administrator approval for an 

extended storage for reuse period.

6 months prior to expiration.

Subpart D—Storage and Disposal
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TABLE 5-1: REPORTING SCHEDULE

Ref. 

#

Regulatory Section(s) Collection Requirement Collection Schedule

8 §§761.60(e) and (i)(2), 

.70(a), (b), and (d), and

.75(b)(7), (b)(8)(ii),

and (c).

Submit disposal permit applications, when appropriate, and 

demonstration plans. 

Applications are submitted as needed. Once an approval is granted, the 

permittee must notify the Agency prior to the expiration date if a 

renewal of the approval is desired. If no changes or modifications have 

been made to the disposal process in the year preceding expiration, the 

permittee must simply re-demonstrate the process.

9 §761.60(j)(1)(i) Obtain an identification number for PCB R&D disposal. When planning R&D for disposal.

10 §761.60(j)(1)(ii) Notify EPA (as well as state and local environmental 

officials) of PCB disposal R&D activities.

30 days prior to initiating R&D activity. 

11 §761.60(j)(2) Obtain a waiver to increase the volume or concentration of 

PCBs or duration of an R&D activity. R&D disposal 

approval may be required by the EPA Regional 

Administrator. 

When needed.

12 §§761.61(a)(3)(i) and (ii) Notify EPA (as well as state and local environmental 

officials) of self-implementing remediation activity. 

Additional information may be requested. 

30 days prior to remediation.

13 §761.61(a)(3)(ii) Notify EPA of changes to self-implementing remediation 

activities. 

Within the 30-day notification period.

14 §761.61(a)(3)(iii) Request a waiver of the notification requirement. If remediation is needed.

15 §761.61(a)(8)(i)(B) Submit certification that the deed notation for properties 

requiring a fence or cap has been recorded and includes the 

cap/fence notice.

Within 60 days of completion of remediation.

16 §761.61(c)(1) Apply for risk-based disposal of PCB remediation wastes. 

Submit additional information as requested by EPA.

Before alternative activity takes place. 

17 §761.62(c)(1) Obtain approval for risk-based disposal or storage of PCB 

bulk product waste. Provide additional information and 

periodic progress reports, as requested by EPA

Before activity takes place.

18 §761.65(a)(2) Provide information on continuing attempts to secure 

disposal. Request a one-year storage extension. 

30 days prior to disposal deadline.

19 §761.65(a)(3) Submit request for additional extensions beyond the initial 

one-year extension, including justification and information 

on measures taken to secure disposal.

When needed.
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TABLE 5-1: REPORTING SCHEDULE

Ref. 

#

Regulatory Section(s) Collection Requirement Collection Schedule

20 §761.65(a)(4) Submit request for modifications to TSCA approval to 

allow for extended storage period.

Before extension expires.

21 §761.65(c)(6)(i)(C) Demonstrate that other containers for storage of 

PCB/radioactive wastes are protective of health and the 

environment.

When needed.

22 §§761.65(d); (e)(1),(6), 

and (8); and (f)

Prepare application for commercial storage approval. 

Notify EPA of facility modification, impending closure, 

and completion of closure.

When needed; 60 days before final is scheduled to begin; within 60 

days of completion of closure. 

23 §§761.65(e)(4) Submit a written request to the EPA Regional 

Administrator to modify a storage approval to amend the 

closure plan, when there are changes in ownership, changes 

in expected dates of closure, and/or unexpected events.

When needed.

24 §761.65(g)(9) Notify EPA of modifications to commercial storage 

facilities.

Within 30 days of facility modification.

25 §§761.65(j) Demonstrate that a new commercial storage facility owner 

has established financial assurance for closure. 

As of the date of final EPA approval. Submit new or amended 

commercial storage application as a result of change in ownership.

26 §§761.70(a)(8), (9); and 

(d)(5)

Obtain approval of alternate measures when regulatory 

requirements cannot be met for operating an incinerator 

used for incinerating PCBs.

When needed.

27 §§761.70(d)(8);

761.75(c)(7)

Notify EPA of change in ownership of disposal facility 

(i.e., for incinerators and landfills).

Within 30 days of transferring ownership.

28 §§761.71(a)(2) and

(b)(2)

Notify EPA of high efficiency boiler information, (e.g., 

HEB owner, address, and specifications).

Seek approval to burn liquids, other than mineral oil 

dielectric fluid in a high efficiency boiler.

One-time notification 30 days before initially burning mineral oil 

dielectric fluid (MODEF) in the boiler.

One-time approval prior to burning liquids.

29 §761.72(c)(2) Notify EPA as a scrap metal recovery oven or smelter used 

to dispose of PCBs.

Before burning PCBs (Also see #44).

30 §761.72(c)(3) Request approval to dispose of PCBs in an oven or smelter 

based on site-specific risk assessments, in lieu of meeting 

requirements listed in §761.72. 

Before use of unit.
June 9, 2015

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TABLE 5-1: REPORTING SCHEDULE

Ref. 

#

Regulatory Section(s) Collection Requirement Collection Schedule

31 §§761.77(a)(1)(i),

(a)(1)(ii)(A)(1) and (C), 

and .77(a)(2)

Submit a notification to the EPA Regional Administrator

for coordinated approval and additional information, as 

requested by EPA. Submit an application for TSCA 

disposal approval, if the Regional Administrator denies the 

request for a coordinated approval or determines that the 

conditions of the coordinated approval are not met. 

When seeking coordinated approval; when requested by the Regional 

Administrator.

32 §761.77(a)(3) Notify EPA of changes in PCB waste management 

requirements in the document(s) used to obtain TSCA PCB 

coordinated approvals.

Within 5 days of when changes are made. 

33 §761.79(h) Request approval of alternative decontamination or 

sampling methods.

When needed.

Subpart E—Exemptions

34 §§761.80(e)(1) and (i)(1) Submit R&D exemption petition to qualify for the class 

exemption for manufacturing PCBs for disposal and for 

processing and distributing PCBs and analytical reference 

samples derived from PCB waste.

60 days prior to activities.

35 §761.80(e), (i)(2)

and (n)

Submit certified letter to request renewal of certain 

exemptions. 

6 months prior to expiration.

36 §§761.80(e)(3),

(g)(2) and (i)(4)

Obtain approval to exceed limits of the exemption. 60 days before manufacture of PCBs.

37 §761.80(e)(4) Notify EPA in writing when R&D activities will include 

the manufacture of PCBs.

30 days prior to beginning R&D activities. 

38 §§761.80(n) Submit a petition for certain exemptions to address 

increases in the amount of PCBs to be processed and 

distributed, imported (manufactured), or exported, or 

changes in the manner of processing and distributing, 

importing (manufacturing), or exporting PCBs.

When needed.

Subpart F—Transboundary Shipments of PCBs for Disposal
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TABLE 5-1: REPORTING SCHEDULE

Ref. 

#

Regulatory Section(s) Collection Requirement Collection Schedule

39 §§761.93(a) and .97(a) Submit an exemption petition to import or export PCBs or 

PCB Items for disposal.

When needed (See #2).

Subpart G—PCB Spill Cleanup Policy

40 §761.125(a)(1)(i) to (iii) Report all spills to certain areas of 10 pounds or more to 

EPA (and spills involving 1 pound of PCBs to the National 

Response Center). 

Within 24 hours of discovery.

Subpart J—General Records and Reports

41 §§761.180(b), (b)(3), and 

(c)(5)

Submit annual reports for PCB wastes disposed of in a PCB 

disposal facility (including wastes disposed of by waste 

generators), and for wastes stored by commercial storage 

facilities. 

By July 15 of each year for the previous calendar year.

41a §761.180(g) Provide records of PCB equipment reclassification, if 

requested, to EPA. Also see #68a.

Upon request.

42 §761.185 Notify EPA and certify low level PCB product 

contamination to be exempt from the requirements of 

Subpart B, regarding processes inadvertently generating 

PCBs and imports of products containing inadvertently 

generated PCBs. Certification must be repeated if the 

previous certification is no longer valid.

Within 90 days of having processes or imports for which such reports 

are required.

43 §761.187 Notify EPA when PCB releases exceed limits, to be exempt 

from the requirements of Subpart B, for products, 

manufactured or imported containing inadvertently 

generated PCBs.

When limits are exceeded. 

Subpart K—PCB Waste Disposal Records and Reports

44 §§761.202(a); 205(a) to 

(c)

Notify EPA of waste handling activities, for generators, 

commercial storers, transporters, or disposers of PCB 

waste.

Prior to engaging in PCB waste handling activities.

45 §761.205(f) Report changes in notifications previously submitted by 

PCB waste handlers.

Within 30 days of making a change.
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TABLE 5-1: REPORTING SCHEDULE

Ref. 

#

Regulatory Section(s) Collection Requirement Collection Schedule

46 §§761.217(a) and (b) and 

§761.219(a),(b), and (c)

Submit Exception Reports to EPA when PCB waste 

generators, disposers, and/or commercial storers do not 

receive confirmation that a shipment of a PCB waste has 

been properly disposed of. Also, Submit a One-year 

Exception Report when 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; or 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 the disposal 

of the affected PCBs or PCB Items, or the generator or 

commercial storer receives a Certificate of Disposal 

confirming disposal of the affected PCBs or PCB Items on 

a date more than 1 year after the date of removal from 

service

Submit Exception Report to EPA for rejected shipments of 

PCB waste that are forwarded to an alternate facility by a 

designated facility using a new manifest.

Within 45 days of the events that trigger the report.

47 §761.215(c) Submit Discrepancy Reports along with a copy of the 

manifest to EPA when the PCB waste received by a 

disposer is significantly different from the description on 

the manifest, and the discrepancy is not resolved after 

receiving the waste. 

Within 15 days after receiving the unmanifested PCB waste.

48 No Longer Required

49 §761.216(a) Submit Unmanifested Waste Reports (e.g., waste 

description, volume, disposition; date received; ID numbers 

of waste handlers for that waste) to EPA when disposers 

accept a shipment of PCB waste without an accompanying 

manifest, and the owner or operator of the commercial 

storage or disposal facility cannot contact the generator of 

the PCB waste

Within 15 days after receiving the unmanifested PCB waste.

Subpart T—Comparison Study for Validating a New Performance-Based Decontamination Solvent under §761.79(d)(4)

50 §§761.395 and

761.398

Submit results of analysis and validation study to the 

Director, National Program Chemicals Division (NPCD).

Prior to the first use of a new solvent for alternate decontamination
June 9, 2015

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TABLE 5-2: THIRD-PARTY REPORTING SCHEDULE 

Ref. 

#

Regulatory Section(s) Collection Requirement Collection Schedule

40 CFR 761

Subpart B—Use

51 §§761.20(e)(3)(ii); 

.30(i)(5)(ii); and 

.60(b)(5)(iv)(B)

Burner of used oil must provide a 1-time certification to the 

marketer that he is in compliance with notification 

requirement at §761.71(a)(2).

Before accepting the first shipment of used oil.

52 §§761.30(a)(xi)

and (xv)(A) and

.30(h)(1)(ii)(B)

Notify National Response Center of PCB Transformer and 

PCB Voltage Regulator fires.

Immediately upon discovery of an incident.

53 §761.30(a)(1)

(xiv)

Notify owner of PCB Transformer that equipment may 

pose risk of exposure to food or feed.

When discovering potential exposure to food or feed.

54 §761.30(a)(1)(xv)

(D)

Register PCB Transformers with the building owner. Within 30 days of discovery of the PCB Transformer.

Subpart D—Storage and Disposal

55 §761.60(a)(3)(ii) Provide information to chemical waste landfills that liquids 

do not exceed 500 ppm and are not ignitable.

Prior to disposal in the landfill.

56 §761.60(b)(5)(i)

(A)(1)

Include natural gas pipes that contain PCBs in public 

service notification programs. 

Before abandoning natural gas pipes.

57 §761.60(f)(1)(i) Notify state and local officials of PCB disposal in chemical 

waste landfill, incinerator, or an alternate PCB disposal 

technology.

At least 30 days before a facility is first used.

58 §761.60(f)(1)(ii) Provide annual notice to state and local governments about 

PCBs disposed of during the year.

At the request of the state or local governments.

59 §761.60(j)(1)(ii) Notify state and local environmental officials (as well as 

EPA) of PCB disposal R&D activities.

30 days prior to initiating R&D activity.

60 §761.60(j)(1)(vii) Manifest wastes generated by R&D on PCB disposal that 

are transported from the R&D facility to a commercial 

storage or disposal facility, unless the residuals or unused 

samples are returned to the site of generation.

Upon transport of waste.
June 9, 2015

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TABLE 5-2: THIRD-PARTY REPORTING SCHEDULE 

Ref. 

#

Regulatory Section(s) Collection Requirement Collection Schedule

61 §§761.61(a)(3)(i) Notify state and local environmental officials (as well as 

EPA) of self-implementing remediation activity. 

30 days prior to remediation and when additional information is 

requested.

62 §761.61(a)(5)(i)

(B)(2)(iv)

Notify offsite non-TSCA facility of pending shipment of 

PCB remediation waste.

15 days prior to [first] shipment. 

63 §761.61(a)(8)(i)

(A)

Attach a notation to the deed for property at which 

remediation projects require a permanent fence or cap.

Within 60 days of completion of the cleanup activity.

64 §§761.62(b)(4)(i) and (ii) 

(See also §§761.357 and 

359)

Provide notification to a receiving facility that does not 

have a commercial PCB storage/ disposal approval of a 

pending shipment of remediation or bulk product waste.

15 days in advance of the first shipment and with each shipment 

thereafter. 

65 §§761.65(c)(1)

and (8)

Attach a notation to a PCB Item or PCB Container 

containing the item indicating the date the Item was 

removed from service for disposal, to be able to 

temporarily store the item/container in an area that does not 

comply with the storage requirements of paragraph (b) of 

this section. 

When removed from service for disposal.

66 §761.65(i)(3) Send information, instead of manifest, regarding the sample 

collector, laboratory, and date of sample shipment with 

sample.

When sending PCB samples to a laboratory for testing. 

Subpart G—PCB Spill Cleanup Policy

67 §761.125(a)(1) Report spills involving 1 pound or more by weight of PCBs 

to the National Response Center (and all spills to certain 

areas or of 10 pounds or more to EPA). 

Within 24 hours of discovery.

68 §761.125(c)

(2)(ii)

Place label or notice of PCB contamination at cleanup site. When contaminated soil is cleaned up to 50 ppm PCBs and not 25 

ppm.

Subpart J—General Records and Reports

68a §761.180(g) Provide records of PCB equipment reclassification, if 

requested, to recipient of equipment. Also see #41a.

Upon request.
June 9, 2015

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TABLE 5-2: THIRD-PARTY REPORTING SCHEDULE 

Ref. 

#

Regulatory Section(s) Collection Requirement Collection Schedule

Subpart K—PCB Waste Disposal Records and Reports

69 §§761. 210(b), (c), and 

(d)(1) and (2)

Send manifests to the next transporter When generators ship PCB wastes .

70 §§761. 213(a)(2)(v) and 

(b)(4)

Send a copy of the manifest or shipping papers to the 

generator.

Within 30 days after delivery.

71 §§761.218(a) and (b) Send Certificates of Disposal to generators of PCB waste 

when disposal of each item is complete for a manifested 

PCB waste shipment. 

Within 30 days after the disposal date.
June 9, 2015

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6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

6(a). Estimating Respondent Burden

To update the respondent burden for this ICR, the hourly burdens and the total number of 

respondents for each requirement were reviewed using a number of data and information sources and 

consultations with regulated entities. The level of effort remains the same as the previous ICR, as 

respondent tasks have not changed.

One data source used to revise this Consolidated ICR was Appendix A: Data Acquisitions Report 

for an Economic Analysis of Phasing Out PCB Transformers and Large Capacitors (U.S. EPA, 2004b). 

This document includes estimates of PCB transformers and capacitors based on recent discussions with 

industry stakeholders. Other data sources include EPA’s Notification of PCB Activity Quarterly Reports, the 

PCB annual report, and the EPA PCB website, which contain data about entities that generate, store, 

transport, dispose, research, and smelt PCB wastes and equipment (U.S. EPA, 2010a 2010b, 2010c, 

2010d). EPA PCB Regional Coordinators were also contacted to obtain information about the number of 

notifications that were submitted to the Agency over the past few years. The number of notifications 

EPA Headquarters received was also tallied.

New hourly wage rates were included for managerial, professional and technical (e.g., 

engineers), and clerical staff. Wages for these categories were taken from the Bureau of Labor Statistics 

(BLS) Employer Costs for Employee Compensation (ECEC) supplementary tables data for private 

manufacturing industry workers2(BLS, 2014). The cost of fringe benefits such as paid leave and 

insurance, specific to each labor category, are taken from the same ECEC series. An additional loading 

factor of 17 percent is applied to wages to account for overhead. This approach is used for consistency

with Office of Pollution Prevention and Toxics economic analyses (Rice, 2002). This overhead loading 

factor is added to the benefits loading factor, and the total is then applied to the base wage to derive the 

fully loaded wage. Fully loaded costs for managerial, profession/technical, and clerical labor are 

calculated as shown in Table 6-1. 

Burden summary. The total estimated time for respondents to comply with the reporting, thirdparty reporting, and recordkeeping requirements of this Consolidated ICR is 685,335 hours. The annual 

burden associated with respondents complying with the reporting requirements of this Consolidated ICR 

is estimated to average 151,166 hours industry-wide. The total third-party reporting burden is estimated 

to average 15,595 hours, industry-wide, and the total recordkeeping burden of this Consolidated ICR is 

estimated to average 518,574 hours, industry-wide. The average hourly estimates and total number of 

respondents for each reporting, third-party reporting, and recordkeeping burden are explained on Tables 

6-2 to 6-4, respectively. Note that the burdens associated with requirement numbers 1, 2, 4, 6, 11, 19, 

20, 26, 28-30, 32, 36, 38, 39, 42, 43, 47, 51, 53-55, 58, 59, 61, 64, 66, 72, and 73 will either have 

negligible impacts to the requirements or were costed with other requirements as indicated on the tables, 

and thus no estimates were included for these requirements.

 

2 The wage data for this ICR are taken from ECEC Supplementary Tables Historical Data Table 2, which presents wages for 

private manufacturing industry workers. The prior ICR used ECEC Table 9 which presents wages for private industry 

workers in goods-producing and service-providing industries. 
June 9, 2015

Page 64 of 108

TABLE 6-1: DERIVATION OF LOADED RESPONDENT WAGE RATES

Labor 

Category BLS Series Wage

(a)

Fringe 

Benefit

(b)

Fringes as 

% wage

(c)=(b)/(a)

Overhead % 

wage

(d)

Fringe + 

overhead factor*

(e)=(c)+(d)+1

Loaded 

Wages

(f)=(a)* 

(e)

Managerial

Management, 

business and 

financial

$46.25 $23.70 51% 17% 1.68 $77.81 

Professional/

Technical

Professional and 

related $38.16 $19.90 52% 17% 1.69 $64.55 

Clerical

Office and 

administrative 

support

$18.05 $9.24 51% 17% 1.68 $30.36 

Methodology Source: Rice, 2002; Data Source: BLS, 2014.

To simplify the presentation of the numerous hourly burden and cost estimates, the data are 

arrayed according to reporting, third-party reporting, and recordkeeping requirements for each section of 

the regulation, consistent with the presentation of the information in the tables of sections 2 and 5, rather 

than to rearrange and present the data by respondent type. EPA anticipates that no one individual would 

be subject to all of the requirements 40 CFR Part 761. Refer to section 4 for a complete description of 

the activities listed on Tables 6-2 to 6-4.

6(b). Estimating Respondent Costs

Tables 6-5, 6-6, and 6-7 show the annual respondent hourly burden and cost estimates for the 

reporting, third-party reporting, and recordkeeping requirements of the Consolidated ICR. Refer to 

section 6(a), above, for an explanation of the wage rates used, which are as follows:

 Managers—$77.81

 Professional/technical—$64.55

 Clerical—$30.36

There is one capital cost associated with this ICR. For Item # 68, there is an estimated $50 per 

site cost to place a sign at a PCB contamination cleanup site. For 212 sites, the total estimated annual 

capital cost would be $10,600 (not annualized). There are no new training costs anticipated to the 

affected industries or the Federal government associated with responding to the information collections 

that are subject to renewal, nor have there been any Federal costs associated with printing or mailing. 

Costs associated with reading the rules, providing training, and updating procedures to comply with the 

reporting and recordkeeping requirements are not included in this renewal as no new regulations have 

been promulgated that involve paperwork burdens. One-time requirements remain annualized for a 

three-year period, as indicated on Tables 6-5 to 6-7. Because operations and maintenance costs for these 

information collections (i.e., costs associated with telephone calls, photocopying, and other general 

office overhead expenses) have been estimated to be relatively low and within the range of the 

estimation error, there are no added costs for these activities. Also note that variations in some of the 

totals on the tables are caused by rounding.
June 9, 2015

Page 65 of 108

TABLE 6-2: REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

40 CFR 761

Subpart A—General

1 §761.1(f)(1), (2), 

and (3)

Submit new reports or modifications to 

existing reports to qualify for 

manufacturing/ import exclusions, 

pursuant to compliance with the reporting 

requirements of Subpart J.

— — Burdens are reported under §§761.185 and 

§761.187. See numbers 42 and 43.

Subpart B—Use

2 §§761.20(b) and

(c)(1) and (3)

Submit an exemption petition as per TSCA 

section 6(e)(3) to manufacture (import), 

process, or distribute in commerce (export) 

PCBs, unless otherwise authorized. 

— — Burdens are reported under §§761.80(e) and 

(i). See number 34.

3 §761.30(a)(1)(vi)

(A)(1), (xv)(D)

Register PCB Transformers, as 

appropriate, within 30 days of discovery.

1 hour 318 PCB 

Transformers

Only requirements for new disclosures are 

now applicable. The revised number of 

disclosures was based on an average of the 

number of PCB Transformers Registered in 

2007 and 2008. 

4 §§761.30(a)(2) 

(v)(C) and 

.30(h)(2)(v)(C)

Obtain EPA approval to use alternate 

method to reclassify PCB equipment.

20 hours 0 requests The number of respondents decreased from 38, 

based on requests received by the Agency over 

the past few years. 

5 §761.30(i)(1)(iii)

(A)(1) and (C)

Submit a description of a natural gas 

pipeline system that contains >50 ppm 

PCBs, and/or make available 

documentation of data and actions to 

comply with use authorization if requested 

by EPA.

4 hours 50 systems The number of respondents has been increased 

to account for anticipated data requests under 

.30(i)(1)(iii)(C) that were not previously 

estimated. The time estimate has been 

averaged to account for the lesser technical 

and managerial burden associated with (C) 

data requests. 

6 §761.30(t)(3) Obtain approval for the use of PCBs in 

other gas or liquid systems.

20 hours 0 No respondents anticipated.
June 9, 2015

Page 66 of 108

TABLE 6-2: REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

7 §761.35(b) Obtain approval for PCB Articles stored 

for reuse for >5 years in a facility that does 

not comply with §761.65(b).

0.166 hour (10 

minutes per 

piece of 

equipment)

225 The approval for the latest 5-year storage 

period ends in 2013. The 10-minute time 

estimate is based on public comment and 

EPA’s review of submissions during the 

previous reporting period. EPA’s review of 

submissions during the previous reporting 

period also indicated that EPA granted 

approximately 3 waivers per year. EPA 

estimates that each request will cover 

approximately 75 items3. 

Subpart D—Storage and Disposal

8 §§761.60(e) and 

(i)(2); .70(a), (b), 

and (d); .75(b) 

(7), (b)(8)(ii), 

and (c)

Submit permit application and, when 

applicable, a demo plan for obtaining 

approval to operate a PCB disposal facility 

(i.e., alternative method of disposal, 

incinerator, chemical waste landfill). 

Submit requests for approval of R&D for 

PCB disposal for persons not following 

self-implementing requirements. 

40 applications per year, as follows: 5 new incinerator applications (3,000 hrs to 

prepare); 15 applications for incinerator modifications and 15 new permit and 

modification applications for non-thermal (alternate and landfill) facilities (700 hrs 

to prepare); 15 renewal letters for all technologies, without modifications (8 hours 

to prepare). Total number of applicants remains the same, based on the number of 

applications submitted to the Regions and EPA Headquarters over the past few 

years.

Revised weighted average burden is about 900 hours per submission, decreased 

from 990 hours, based on a higher percentage of renewal applications compared to 

new applications. [(3,000 x 5) + (700 x 30) + (8 x 15)]/40.

9 §761.60(j)(1)(i) Notify EPA to obtain an identification 

number for conducting R&D on PCB 

disposal activities.

1.5 hours 5 facilities The estimated total number of respondents 

remains the same, based on the number of 

notifications the Agency has received over the 

past few years.

10 §761.60(j)(1)(ii) Notify EPA (as well as state, and local) 

officials prior to conducting R&D on PCB 

disposal activities.

6 hours 10 facilities Burden reported here for both EPA and thirdparty notification at Table 6-3. Estimated total 

number of respondents remained the same, 

based on the number of notifications the 

Agency has received over the past few years.

 

3 75 items is based on the average number of items from previous ICRs
June 9, 2015

Page 67 of 108

TABLE 6-2: REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

11 §761.60(j)(2) Submit permit application and, when 

applicable, a demo plan for obtaining 

approval to operate a PCB disposal facility 

(i.e., alternative method of disposal, 

incinerator, chemical waste landfill). 

Submit requests for approval of R&D for 

PCB disposal for persons not following 

self-implementing requirements, as per 

paragraph (j) of this section. 

20 hours 0 No respondents anticipated. 

12 §§761.61(a)(3)(i) 

and (ii). 

Notify EPA (as well as state, tribal, and 

local) officials of self-implementing 

remediation activity, including a summary 

of the procedures used to sample 

contaminated areas and sample collection 

and analysis data; submit additional 

information as requested; and certify that 

records of remediation activity are on file 

at the location designated in the certificate.

100 hours 58 sites Number of respondents stayed the same, based 

on the number of notifications received by the 

Agency over the past few years. Burden is 

reported here for this requirement and is listed 

on Table 6-3.

13 §761.61(a)(3)(ii) Notify EPA of changes to notification of 

self-implementing activities.

2 hours 13 sites Number of respondents stayed the same based 

on the number of notifications the Agency has 

received over the past few years. The hourly 

estimate is based on the time estimate to 

prepare other notifications for the selfimplementing remediation requirements.

14 §761.61(a)(3)(iii) Request a waiver of the notification 

requirement for conducting cleanup of 

PCB remediation waste.

20 hours 17 sites Number of respondents stayed the same based 

on number of notifications the Agency 

received over the past few years.

15 §761.61(a)(8)(i)

(B)

Submit certification of recording the deed 

notation required under paragraph 

(a)(8)(i)(A) of this section has been 

recorded. 

4 hours 28 sites Number of sites stayed the same based on the 

number of notices the Agency has received in 

the past few years.

16 §761.61(c)(1) Apply for risk-based disposal of PCB 

remediation wastes. Submit additional 

information as requested.

1,600 hours 17 Number of respondents stayed the same based 

on the number of applications the Agency has 

received in the past few years.
June 9, 2015

Page 68 of 108

TABLE 6-2: REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

17 §761.62(c)(1) Obtain approval for risk-based disposal or 

storage of PCB bulk product waste. 

Provide additional information.

1,600 hours 20 Number of respondents stayed the same based 

on the number of applications the Agency has 

received in the past few years.

18 §761.65(a)(2) Notify of continuing attempts to secure 

disposal and to request a one-year storage 

extension.

3 hours 5 waste 

storers

Combined for numbers 18, 19, and 20. 

Estimated total notifications stayed the same, 

based on number of notifications the Agency 

has received in the past few years.

19 §761.65(a)(3) Submit request for additional extensions 

beyond the initial one-year extension, 

including justification and information on 

measures taken to secure disposal.

— — See #18, above.

20 §761.65(a)(4) Submit request for modifications to TSCA 

approval to allow for extended storage 

period.

— — See # 18, above.

21 §761.65(c)(6)(i)

(C)

Demonstrate that other containers for 

storage of PCB/radioactive wastes are 

protective of health and the environment.

40 hours 5 Number of demonstrations remained the same, 

based on the number conducted over the past 

few years.

22 §761.65(d); 

(e)(1), (6), and 

(8); and (f)

Prepare application for commercial storage 

approval, including qualifications of key 

employees, closure plan, and closure cost 

estimate. Commercial storer must also 

notify EPA of facility modification, 

closure schedule, and completion of 

closure activities.

240 hours 12 new; 13 

renewal 

applications

Number of new applications stayed the same 

based on the number the Agency has received 

in the past few years. The weighted average to 

prepare new and renewal application is 240 

hours [(392 hrs x 12 new) + (100 hrs x 13 

renewal)]/25. Time to prepare notification of 

modification was estimated to be about onefourth the time to prepare initial application. 

(Also see # 25.)
June 9, 2015

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TABLE 6-2: REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

23 §761.65(e)(4) Submit a written request to the EPA 

Regional Administrator to modify a storage 

approval to amend the closure plan, when 

there are changes in ownership, changes in 

expected dates of closure, and/or 

unexpected events.

2 hours 10 times Number of requests stayed the same based on 

the number the Agency has received in the past 

few years.

24 §761.65(g)(9) Notify issuing authority of modifications 

to commercial storage facilities.

2 hours 7 storage 

facilities

Number of notifications stayed the same based 

on the number the Agency has received in the 

past few years.

25 §§761.65(j) Demonstrate that a new owner of a 

commercial storage facility has established 

financial assurance for closure. Submit 

new or amended commercial storage 

application as a result of change in 

ownership.

120 hours 12 

applications

Total number of respondents is consistent with 

the total number of applications for 

commercial storage approval, as per # 22, 

above. Number of notifications stayed the 

same based on the number of applications the 

Agency has received in the past few years.

26 §§761.70(a)(8), 

(9); and (d)(5)

Obtain approval of alternate measures 

when regulatory requirements cannot be 

met for operating a PCB incinerator.

1,910 hours 0 No respondents anticipated. It was assumed 

that if a facility does not meet the performance 

criteria, it will not accept PCB waste. 

27 §§761.70(d)(8);

761.75(c)(7)

Notify EPA of change in ownership of 

disposal facility (i.e., for incinerators and 

landfills).

8 hours 5 facilities Note that the hourly estimate includes only a 

cursory review of the existing permits by the 

new owner, not a thorough review. Number of 

notifications remained the same, based on the 

number of notifications the Agency has 

received over the past few years. 

28 §§761.71(a)(2)

and (b)(2)

Notify EPA prior to initial use of a high 

efficiency boiler to burn mineral oil 

dielectric fluid. Seek approval to burn 

liquids, other than mineral oil dielectric 

fluid in a HEB.

1.5 hours to 

notify EPA of 

HEB 

information; 40 

hours to prepare 

approval request 

letter to the RA

0

respondents

The number of notifications and approvals 

remained the same, based on the number EPA 

has received in the past few years. Also see # 

44.
June 9, 2015

Page 70 of 108

TABLE 6-2: REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

29 §761.72(c)(2) Notify EPA as a scrap metal recovery oven 

or smelter used to dispose of PCBs and 

comply with the reporting requirements of 

Subparts J and K. 

1.5 hours 0 No requests anticipated. Also see # 44.

30 §761.72(c)(3) Request approval to dispose of PCBs in an 

oven or smelter based on site-specific risk 

assessments, in lieu of meeting 

requirements listed in §761.72.

1,600 hours 0 No requests anticipated.

31 §§761.77(a)(1)(i)

, (a)(1)(ii)(A)(1) 

and (C), and 

.77(a)(2)

Submit a notification to the EPA Regional 

Administrator for coordinated approval 

and additional information, as requested 

by EPA. Submit an application for TSCA 

disposal approval, if the Regional 

Administrator denies the request for a 

coordinated approval or determines that 

the conditions of the coordinated approval 

are not being met. 

36 hours 

(notification); 

480 hours 

(approval 

application)

6 

notifications;

0 approval 

applications

Number of notifications remained the same, 

based on notifications the Agency has received 

in the past few years.

32 §761.77(a)(3) Notify EPA of changes in waste 

management requirements in the nonTSCA waste management document used 

to obtain TSCA PCB coordinated 

approvals.

8 hours 0 waste 

disposers

No notifications were submitted in the past 

few years.

33 §761.79(h) Prepare requests for decontamination 

approvals of alternative decontamination 

or sampling methods. EPA may request 

additional information.

1,600 hours 20 Number of notifications remained the same. 

Subpart E—Exemptions

34 §§761.80(e)(1) 

and (i)(1)

Submit R&D exemption petition to qualify 

for the class exemptions to mfg. PCBs for 

disposal R&D and to mfg., import, 

process, distribute, and export PCBs and 

analytical reference samples derived from 

PCB waste for the purpose of R&D.

40 hours 1 company Number of respondents is based on recent 

Agency submissions. Estimates are combined 

for numbers 2, 34, 36, and 38.
June 9, 2015

Page 71 of 108

TABLE 6-2: REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

35 §761.80(e)(2) 

and (i)(2)

Submit requests for renewal of the 

exemptions as per §§750.11 and 31. 

(Renewals to company-specific 

exemptions can be handled following the 

same procedures.) 

1 hour 1 request Number of respondents is based on recent 

Agency requests.

36 §§761.80(e)(3), 

(g)(2), and (i)(4)

Obtain approval from EPA to exceed 

limits of the exemption. —

0 requests for 

approval

See # 34, above.

37 §761.80(e)(4) Notify EPA before beginning R&D 

activities that include the manufacture of 

PCBs.

20 hours 1 notification Number of respondents is based on recent 

Agency submissions.

38 §761.80(n) Submit a petition for certain exemptions to 

address increases in the amount of PCBs to 

be processed and distributed, imported 

(manufactured), or exported, or changes in 

the manner of processing and distributing, 

importing (manufacturing), or exporting 

PCBs. (See #35 for renewals.)

40 hours 0 requests There have been no such requests in the past 

several years. Total captured in Item # 34.

Subpart F—Transboundary Shipments of PCBs for Disposal

39 §§761.93(a) and 

.97(a)

Submit an exemption petition to import or 

export PCBs or PCB Items for disposal. ___ ___

Burden is reported at §§761.20(b) and (c)(1) 

and (3). See # 34.

Subpart G—PCB Spill Cleanup Policy

40 §§761.125(a)(1)

(i) to (iii)

Report certain spills of PCBs to the EPA. 0.167 hours (10 

minutes)

100 calls Number of calls remained the same, based on 

the amount the Agency received in the past 

few years. Requirement also on Table 6-3.

Subpart J—General Records and Reports
June 9, 2015

Page 72 of 108

TABLE 6-2: REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

41 §§761.180(b), 

(b)(3), and (c)(5)

Submit annual reports for the operation of 

PCB incinerators, chemical waste landfills, 

high efficiency boilers, and commercial 

storage facilities, including facilities that 

dispose of the PCB wastes they generate. 

Report suspension of operations.

59 hours 124 facilities The estimate for number of facilities was 

generated by using the total number of EPAapproved storage and disposal facilities (108), 

and increasing this number by 15 percent to 

reflect the additional facilities that also dispose 

of the waste that they generate (U.S. EPA, 

2014a, 2010b and 2010c). 

41a §761.180(g) Provide records of PCB equipment 

reclassification, if requested, by EPA.

0.25 hours 45 

Transformers

Industry representatives indicated that only the 

very large, expensive transformers would 

likely be reclassified and only an insignificant 

number of voltage regulators, electromagnets, 

and switches would be reclassified (Davis, 

2003; U.S. EPA, 2003). Thus, this ICR deals 

only with estimating the burden associated 

with the reporting requirements for 

Transformers. EPA estimates that 58,457 PCB 

Transformers remain at the end of 2006 (U.S. 

EPA, 2004b; U.S. EPA, 2006). Assuming that 

1.15% will be retrofilled and reclassified (U.S. 

EPA, 2004b,) the Agency estimates 

approximately 672 units may be reclassified 

during this ICR period. Of this total, Regional 

PCB Coordinators estimate requesting 45 

records per year. (See numbers 74c and d). The 

hourly estimate assumes it takes 15 minutes 

for equipment owners to provide requested 

records (ERG, 2000). 

42 §761.185 Notify EPA and certify low level PCB 

product contamination to be exempt from 

the requirements of Subpart B, regarding 

processes inadvertently generating PCBs 

and imports of products containing 

inadvertently generated PCBs. 

Certification must be repeated if the 

previous certification is no longer valid.

20 hours 0 companies Submissions will report about new, modified, 

or import activities or about excess releases. 

The Agency received one submission in 2006 

and no submissions in 2007, 2008, and 2009. 

The number of submissions is declined 

because companies with exclusions have 

identified themselves in the initial group of 

submissions.
June 9, 2015

Page 73 of 108

TABLE 6-2: REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

43 §761.187 Notify EPA when PCB releases exceed 

limits, to be exempt from the requirements 

of Subpart B, for products, manufactured 

or imported containing inadvertently 

generated PCBs.

20 hours 0 company Number of notifications remained the same, 

based on the number received by the Agency 

in the past few years. Hourly estimate is based 

on time to review the monitoring log and 

compile information into the notification.

Subpart K—PCB Waste Disposal Records and Reports

44 §§761.202(a); 

205(a) to (c)

Notify EPA of waste handling activities, 

for generators, commercial storers, 

transporters, or disposers of PCB waste.

1.5 hours 100 waste 

handlers

Roughly 8,700 notices have been received; in 

recent years approximately 100 per year, 

relatively few “new” submissions are 

anticipated. Also see numbers 9, 28, and 29, 

above.

45 §761.205(f) Report changes in notifications previously 

submitted by PCB waste handlers.

1.5 hours 200 waste 

handlers

—
June 9, 2015

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TABLE 6-2: REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

46 §§761.217(a) and 

(b) and 

§761.219(a),(b), 

and (c)

Submit Exception Reports to EPA when 

PCB waste generators, disposers, and/or 

commercial storers do not receive 

confirmation that a shipment of a PCB 

waste has been properly disposed of. Also, 

Submit a One-year Exception Report when 

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; or 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 the disposal of the 

affected PCBs or PCB Items, or the 

generator or commercial storer receives a 

Certificate of Disposal confirming disposal 

of the affected PCBs or PCB Items on a 

date more than 1 year after the date of 

removal from service

Submit Exception Report to EPA for 

rejected shipments of PCB waste that are 

forwarded to an alternate facility by a 

designated facility using a new manifest.

2 hours 325 reports Number of reports remained the same, based 

on the amount the Agency has received 

annually in the past few years. Combined for 

numbers 46 and 47.

47 §761.215(c) Submit Discrepancy Reports along with a 

copy of the manifest to EPA when the 

PCB waste received by a disposer is 

significantly different from the description 

on the manifest, and the discrepancy is not 

resolved after receiving the waste. 

— — See # 46, above.

48 No Longer Required
June 9, 2015

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TABLE 6-2: REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

49 §761.216(a) Submit unmanifested Waste Reports (e.g., 

waste description, volume, disposition; 

date received; ID numbers of waste 

handlers for that waste) to EPA when 

disposers accept a shipment of PCB waste 

without an accompanying manifest.

2 hours 57 reports Number of reports stayed the same based on 

the number the Agency has received annually 

in the past few years. 

Subpart T—Comparison Study for Validating a New Performance-Based Decontamination Solvent under §761.79(d)(4)

50 §§761.395 and 

761.398

Submit results of analysis and validation 

study to the Director, National Program 

Chemicals Division (NPCD).

16 hours 5 studies Estimate for the total number of respondents is 

5 percent of the estimated 100 

decontamination sites. Also refer to # 93, 

Table 6-4. 
June 9, 2015

Page 76 of 108

TABLE 6-3: THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

40 CFR 761

Subpart B—Use

51 §§761.20(e)(3)(ii)

; .30(i)(5)(ii); and 

.60(b)(5)(iv)(B)

Burner of used oil must provide a 1-time 

certification to the marketer that he is in 

compliance with notification requirement 

at §761.71(a)(2).

1 hour — No respondents anticipated. 

52 §§761.30(a)(1)(xi) 

and (xv)(A); .30 

(h)(1)(ii)(B)

Report PCB Transformers and Voltage 

Regulator fire incidents to the National 

Response Center.

0.167 hour (10 

minutes)

20 calls National Response Center data for 2013

indicate the Center received a total of 208

PCB-related calls (U.S. Coast Guard, 2013. 

An overview of these data indicates that a 

number of calls were to report transformer 

fire incidents. It will be assumed for this ICR 

that 10 percent of all calls (20 calls) are to 

report fire-related incidents.

53 §761.30(a)(1)

(xiv)

Notify owner of PCB Transformer that 

equipment may pose risk of exposure to 

food or feed.

— — No burden. All notifications were to have 

been made by October 1, 1985, although 

notification could occur if a mineral oil 

transformer in a location near food or feed is 

discovered to contain ≥500 ppm PCBs.

54 §761.30(a)(1)(xv)

(D)

Register PCB Transformers with the 

building owner within 30 days of 

discovery

— — Burden reported on Table 6-1.

Subpart D—Storage and Disposal

55 §761.60(a)(3)(ii) Provide information to chemical waste 

landfills that liquids do not exceed 500 

ppm and are not ignitable.

20 hours — No respondents anticipated.
June 9, 2015

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TABLE 6-3: THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

56 §761.60(b)(5)(i)

(A)(1)

Include abandoned natural gas pipes that 

contain PCBs in public service 

notification programs. 

0.25 hour (15 

minutes)

50 pipes Industry representative indicated no change to 

this element (Lacey, 2003).

57 §761.60(f)(1)(i) Provide state and local officials with 

notification prior to first use of an 

approved chemical waste landfill, 

incinerator, or alternate PCB disposal 

technology.

0.50 hour (30 

minutes). 

600 

notifications

Since cleanup activities remain the same, the 

estimates for the use of mobile equipment at 

300 unique sites remains the same, and will 

be used as follows: 200 substations per year 

will use mobile equipment to clean PCB 

transformers; about 50 remediation sites will 

use solvent extraction units; 5 sites will use 

mobile incinerators, vitrification units, or 

physical separation units, and 45 sites will use 

other existing or newly permitted equipment.

58 §761.60(f)(1)(ii) Provide annual notice of the quantities 

and description of the PCBs disposed of 

to state or local governments, at their 

request.

0.5 hour — Since the annual reporting requirement to 

state/local governments would be initiated at 

the state or local government level, EPA has 

no way of estimating this total burden. 

59 §761.60(j)(1)(ii) Notify state and local officials (as well as 

EPA) of PCB R&D disposal activities.

— — Total burden for EPA and third-party 

reporting requirements are reported on Table 

6-1.

60 §761.60(j)(1)(vii) Use manifests, pursuant to Subpart K, for 

all R&D PCB wastes being transported 

from the R&D facility to an approved 

PCB storage or disposal facility.

1 hour 57 facilities Estimate is based on one shipment per year 

for each facility. Total number of R&D 

facilities is listed on the Notification of PCB 

Activity Quarterly Reports (U.S. EPA, 

2014a). 

61 §§761.61(a)(3)(i) Notify state and local officials (as well as 

EPA) of self-implementing remediation 

activity.

— — Total burden for EPA and third-party 

reporting requirements is reported on Table 6-

1. 

62 §761.61(a)(5)(i)

(B)(2)(iv)

Notify offsite non-TSCA facility of 

pending shipment of remediation waste.

2 hours 100 waste 

shippers

Combined for remediation and bulk product 

wastes (numbers 62 and 64).
June 9, 2015

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TABLE 6-3: THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

63 §761.61(a)(8)(i)

(A)

Attach a notation to the deed for property 

at which remediation projects require a 

permanent fence or cap.

3 hours 100 sites —

64 §§761.62(b)(4)(i) 

and (ii) (See also

§§761.357 and

359)

Provide notification to a receiving facility 

that does not have a commercial PCB 

storage or disposal approval before the 

first shipment of a PCB bulk product 

waste stream. In addition, for certain 

waste this notice must be provided with 

each shipment thereafter.

— — See # 62, above.
June 9, 2015

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TABLE 6-3: THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

65 §§761.65(c)(1)

and (8)

Attach a notation to a PCB item or PCB 

container containing the item indicating 

the date the item was removed from 

service for disposal, to be able to 

temporarily store the item/container in an 

area that does not comply with the 

storage requirements of paragraph (b) of 

this section. 

0.083 hours 

(5 minutes)

93,120

items,

containers,

and article

containers

The number of items, containers, and article 

containers is based on extensive analysis 

conducted for the Draft Analysis of the Cost 

Impacts of the Potential Amendments to the 

PCB Regulations at 40 CFR Part 761 (U.S. 

EPA, 2003). This report indicates that 

582,000 units that contain PCBs are removed 

from service for disposal each year (including 

PCB transformers, large capacitors, small 

capacitors, and voltage regulators, as well as 

circuit breakers, reclosers, rectifiers, switches, 

electromagnets, and cables) and that 8 percent 

of these units contain ≥500 ppm PCBs 

(46,560 PCB Items). There will be as many 

PCB containers and article containers as 

articles, making the total number of PCB 

items 93,120. For example, there may be 

instances where contaminated soil from one 

PCB article spill may fill 50 containers or that 

the oil drained from one PCB transformer fills 

4 containers. The estimate captures that some 

articles will be combined into one container.

The time estimate for these requirements 

considers that all items must be dated when 

removed from service for disposal, whether or 

not the item will be placed in temporary 

storage or not. 

66 §761.65(i)(3) Send information regarding the sample 

collector, the lab, date of shipment, 

quantity, and description of sample, when 

sending PCB samples to a laboratory for 

testing. 

4 hours — Since EPA has no way of estimating the 

number of samples that would be sent off-site 

annually for testing, or the frequency with 

which the samples are sent to an off-site lab, 

EPA cannot estimate the total annual burden 

associated with this requirement. 
June 9, 2015

Page 80 of 108

TABLE 6-3: THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

Subpart G—PCB Spill Cleanup Policy

67 §761.125(a)(1) Report certain spills of PCBs to the 

National Response Center. 

0.167 hours (10 

minutes)

208

incidences

New average based on the number of PCBrelated incidences reported to the National 

Response Center for 2013 (U.S. Coast Guard, 

2013). Related requirement to notify EPA is 

included on Table 6-1.

68 §761.125(c)

(2)(ii)

Place label or notice at PCB 

contamination cleanup sites at outdoor 

electrical substations that involved 1 lb or 

more PCBs by weight (270 gallons or 

more of untested mineral oil).

1 hour 198 sites Revised estimate assumes that the > 1-lb 

spills at electrical substations are a large 

subset but not all of all the spills that must be 

reported to the National Response Center; 95 

percent of the average annual 208 spills 

reported for 2013 (U.S. Coast Guard, 2013). 

The capital costs for placing the sign is 

assumed to be $50 per site (e.g., for posts, 

labels, etc.), for a total of $10,600.
June 9, 2015

Page 81 of 108

TABLE 6-3: THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

Subpart J—General Records and Reports

68a §761.180(g) Provide records of PCB equipment 

reclassification, if requested, by recipients 

of equipment.

0.5 hours 336 units Estimate assumes it takes 5 minutes for a 

manager to approve and delegate each request 

for records and 25 minutes for a clerk to copy 

and send a paper or electronic version of each 

complete record (ERG, 2000). 

EPA estimates that 58,457 PCB Transformers 

remain at the end of 2006 (U.S. EPA 2004b; 

U.S. EPA 2010a). Assuming that 1.15% will 

be retrofilled and reclassified (U.S. EPA 

2004b,) the Agency estimates approximately 

672 units of reclassified equipment during 

this ICR period. Of this amount, 50 percent 

will be retained by owners (336), and 50 

percent will be transferred to other entities 

(e.g., sold, loaned, leased, sent for servicing).
June 9, 2015

Page 82 of 108

TABLE 6-3: THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

Subpart K—PCB Waste Disposal Records and Reports

69 §§761. 210(b), 

(c), and (d)(1) and 

(2)

Prepare manifests and provide generatorinitiated manifests of PCB waste to each 

transporter or designated commercial 

storage or disposal facility.

0.083 (5 

minutes) average

68,670 items According to a compilation of the PCB 

Annual Reports, from 1998 to 2011, an 

annual average of 68,670 items (PCB 

capacitors, article containers, transformers, 

and PCB containers) were transferred to 

another facility (e.g., a storer or disposer) 

(U.S. EPA, 2011). Each item or container of 

items or waste transported from a generator 

either to a storer or disposer requires 

information included on a manifest. To 

compile the original information for the first 

manifest that accompanies a piece of 

equipment or container would take about 10 

minutes per item (0.167 hours). It would take 

less time per item for storers to include 

information on a manifest (to send to a 

disposer) because the information is already 

available. Thus it will be assumed that the 

time to include information on a manifest per 

item would average 5 minutes per item (0.083 

hours). Refer to numbers 101 and 102.

70 §§761. 

213(a)(2)(v) and 

(b)(4)

Storer or disposer sends a copy of the 

manifest or shipping paper to the 

generator.

0.167 hours (10 

minutes)

3,434 reports The manifest information is already prepared 

at this point with a number of items contained 

on the manifest or shipping paper. A 

shipment can contain from 1 item (such as a 

large 20-ft x 20-ft transformer) to about 40 

drums that contain PCB articles or bulk waste 

(Orton, 2003), with each item or drum 

requiring a unique recordkeeping number. It

will be assumed for this report that the 

average number of items on a manifest is 20, 

so that of the 68,670Items transferred, only 

3,434 manifests or shipping papers need to be 

returned. Refer to # 101 and 102.
June 9, 2015

Page 83 of 108

TABLE 6-3: THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year

Comments

71 §§761.218(a) and 

(b)

Send certificates of disposal to generators 

of PCB waste when disposal of each item 

is complete for a manifested PCB waste 

shipment. 

0.25 hour (15 

minutes) average

4,117

certificates

Based on the PCB Annual Report, the 

average annual total number of capacitors, 

Article containers, transformers, and PCB 

containers disposed of from 1996 to 2011 is 

82,333 (U.S. EPA, 2014). Assuming that 

information regarding 20 items is included on 

one certificate of disposal, then there are a 

total of 4,117 certificates. This number is 

similar to the total reports in Item # 70, but 

assumes that the information on the 

certificates is not necessarily the same as the 

items sent to the disposers by storers (i.e., 

some shipments could have included items 

from various generators, thus, this 

information could not be sent on the same 

certificate, although it is based on the 

information from the manifest or shipping 

paper). Even when a facility must input data 

for each item, most of the required 

information is readily available for a majority 

of cases. Also refer to # 101 and 102.
June 9, 2015

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TABLE 6-4: RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year

Comments 

40 CFR 761

Subpart A—General

72 §§761.1(f) Comply with recordkeeping requirements of 

Subpart J [§§761.185(c)(2) and (d), and 

.193] as a condition of the exclusion from 

the PCB bans, for persons who inadvertently 

manufacture or import PCBs generated as 

unintentional impurities in excluded 

manufacturing processes or generate PCBs 

in excluded manufacturing process or 

products with recycled PCBs. 

— — Burden is reported at §§761.185(c)(2) and (d), 

and 761.193(a). See # 100.

Subpart B—Manufacturing, Processing, Distribution in Commerce, and Use of PCBs and PCB Items

73 §§761.20(e)(4)(i) 

and (ii); .30(i)(5) 

(ii); and .60(b)(5) 

(iv)(B)

Marketer who first claims used oil does not 

contain detectable PCBs must retain records 

supporting the claim and a copy of each 

certification notice received or prepared 

relating to transactions involving PCBcontaining used oil. Burners must include 

among the records a copy of each 

certification notice that has been provided to 

a marketer of PCB-containing used oil.

0.25 hours (15 

minutes)

— No significant burden anticipated.
June 9, 2015

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TABLE 6-4: RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year

Comments 

74a,

b

§§761.30(a)(1) 

(xii) and (xiv)

Maintain records of inspection and 

maintenance history for at least three years 

after the disposal of a PCB transformer, 

including records of registration, as per 

§761.30(a)(1)(vi)(C).

0.05 hour (3 

minutes) to 

track 

inspection 

data; 0.033 (2 

minutes) to file 

and maintain 

data

58,457 PCB

transformers

50 percent

(29,229) are

inspected

annually and

50 percent 

are inspected

quarterly

Revised estimate represents the approximately 

58,457 PCB transformers estimated to be in 

existence during the clearance period of this ICR 

(U.S. EPA, 2004, U.S. EPA, 2005b). Time 

estimate remains the same and reflects the 

average time for a technician to track the data (3 

minutes) and for a clerk to file and maintain the 

data (2 minutes). This report does not account 

for actual inspection time. The calculations for 

this estimate account for the differences in 

burden between annual and quarterly 

inspections. It is assumed that the time to 

maintain records for the disposed transformers is 

insignificant.

74c,

d

§§761.30(a)(1)

(xii) and (xiv)

Maintain records of inspection and 

maintenance history for at least three years 

after the disposal of a PCB transformer, 

including records of registration, as per 

§761.30(a)(1)(vi)(C). Accounts for the 

reduced number of transformers that will be 

subject to this requirement based on the 

implementation of the Reclassification Rule, 

§§761.30(a)(2)(v) and (vi).

0.05 hour (3

minutes) to 

track

inspection 

data; 

0.033 (2 

minutes)

to file and

maintain data

-672 PCB 

transformers; 

50 percent

(-336) are

inspected

annually and

50 percent 

are

inspected

quarterly

An estimated 672 PCB transformers will be 

reclassified each year during this reporting 

period (see #41a). 

The Reclassification Rule (see #75a and b), 

reduces the total number of transformers subject 

to the inspection recordkeeping requirement. 

Using the same calculation method as indicated 

above for #74 a and b, this requirement shows 

the estimated savings for the reduced number of 

transformers that will be subject to this 

requirement. 
June 9, 2015

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TABLE 6-4: RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year

Comments 

75 §§761.30(a)(2)(v)

(C) and (D); 

761.30(h)(2)(vi)

(C) and (D); and 

761.180(a) 

Maintain records at the facility where 

electrical transformers, voltage regulators, 

electromagnets, and switches have been 

reclassified to a lower PCB concentration.

0.25 (15 

minutes)

672 

transformers

Refer to #41a for an explanation of the number 

of transformers reclassified each year. It is 

assumed that the burden associated with 

reclassified equipment other than transformers 

will be insignificant. It was also assumed that it 

will take 15 minutes to maintain the records on 

pre-and post-reclassification concentration of the 

transformer (EPA, 2000). 

76 §§761.30(i)(1)

(iii)(B) and (C)

Keep records on certain natural gas pipeline 

systems with ≥50 ppm PCBs and records of 

actions taken to reduce PCB contamination 

for three years after PCBs reduced to <50 

ppm.

4 hours 100 systems It is not anticipated that new records will need to 

be developed; historical data can be used.

77 §761.35(a)(2) Keep records of equipment stored for reuse. 0.15 hour 170,303 

pieces of 

equipment

Total pieces of equipment that require 

recordkeeping is based on information reported 

in the cost analysis for the Final Rule, which was 

reviewed to generate the Draft Analysis of the 

Cost Impacts of the Potential Amendments to the 

PCB Regulations at 40 CFR Part 761 (U.S. 

EPA, 2003). It was reported in the cost analysis 

that equipment owners will store 182,700 PCB 

articles for <5 years in areas that do not comply 

with §761.35(b) and 6,525 PCB articles for >5 

years, with compliance with recordkeeping and 

reporting requirements, for a total of 189,225 

pieces of equipment for this requirement. 

However, based on recent experience the number 

of pieces of equipment is approximately 10% 

less, or about 170,303. 
June 9, 2015

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TABLE 6-4: RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year

Comments 

Subpart C—Marking of PCBs and PCB Items

78 §761.40(c)(2)(ii) 

and (k)

Keep records of the protected location of 

PCB large capacitors where owner chooses 

not to mark individually (optional). 

0.1 hour (6 

minutes)

100,000 

pieces of 

equipment

Based on analysis contained in the Draft 

Analysis of the Cost Impacts of the Potential 

Amendments to the PCB Regulations at 40 CFR 

Part 761 (U.S. EPA, 2003). 

Subpart D—Storage and Disposal

79 §761.60(j)(1)(ix) Keep records of R&D for disposal activities. 12 hours 57 facilities Number of facilities based on data contained in 

the Notification of PCB Activity Quarterly 

Reports (U.S. EPA, 2014a).

80 §§761.61(a)(3)(i)

(E); and (a)(6)

Retain records of the 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, and 

certification that these records are on file at 

the location designated in the certificate. 

Keep records of comparison studies for any 

alternate method used that meet or exceed 

the requirements of §761.326. Keep records 

of sampling and sample analysis to verify 

cleanup and on-site disposal of bulk PCB 

remediation wastes and porous surfaces, as 

per Subpart O, §761.295.

1 hour 100 sites Also see §761.295.

81 §761.61(a)(3)(iii) Retain original waivers from the selfimplementing remediation requirements 

received from the EPA Regional 

Administrator, state, and local agencies.

0.167 hour (10 

minutes)

100 sites This estimate remained the same.

82 §761.61(a)(9) Keep records in accordance with §761.125 

(c)(5) for (a)(3), (a)(4), and (a)(5) of this 

part.

20 hours 100 sites This estimate remained the same.
June 9, 2015

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TABLE 6-4: RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year

Comments 

83 §761.62(b)(5) Maintain a written record of all sampling and 

analysis of PCBs or notifications made under 

this part and make available upon request.

4 hours 26 sites Estimate is 15 percent of 170 total number of 

affected sites.

84 §§761.65(a)(2)(ii) 

and (a)(3) 

Keep a written record of attempts to secure 

disposal capacity. Records may be required 

for periods of extended storage.

4 hours 88 waste 

storers Number of waste storers is 1 percent of the total 

number of waste generators and storers (8,778) 

listed in the Notification of PCB Activity 

Quarterly Reports (U.S. EPA, 2014a). 

85a,

b

§761.65(c)(1)(iv) Prepare/modify Spill Prevention, Control 

and Countermeasure (SPCC) Plans to 

address liquid PCBs >500 ppm, to be able to 

temporarily store PCB Containers containing 

liquid PCBs at ≥50 ppm in areas that do not 

comply with the storage requirements of 

§761.65.

60 hours/new 

plan; 2 hours/ 

adapted plan

5 new

respondents; 

10 adapt 

existing 

plans

It is estimated that only 5 waste generation 

facilities will be required to prepare plans from 

scratch and 10 facilities will adapt existing plans.

86 §761.65(c)(7)(ii) Prepare SPCC Plan, when using stationary 

storage containers, as per 29 CFR 1910.106, 

for liquid PCBs.

60 hours 5 facilities It is not foreseen that many facilities will enter 

into the PCB storage business each year.

87 §761.65(c)(8) Keep records of the quantity and the date of 

each batch added to the stationary storage 

container.

0.083 hours (5 

minutes)

30,000

batches

Number of batches remained the same.

88 §§761.65(c)(10) 

and 761.180

Establish and maintain records as per 

§761.180 for storing for disposal PCBs and 

PCB Items ≥50 ppm.

843 hours 65

commercial

storers

The total number of storers was obtained from 

EPA’s list of Commercial Storage Approvals 

(U.S. EPA, 2014b). Note: See #99 for generator 

burden, including generators with storage units.

89 §§761.70(a)(3), 

(4) and (7); (c); 

and 761.180(c)

Maintain for incinerators records of 

quantities, feed rates, temperatures, 

combustion products, and operations, and 

special records, as per §761.180(c). 

843 hours 7

incinerators

From the EPA’s list of Commercially Permitted 

PCB Disposal Companies (U.S. EPA, 2014c).
June 9, 2015

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TABLE 6-4: RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year

Comments 

90 §§761.71(a)(1)(vi) 

and (vii), (a)(4), 

(b)(1)(vi-vii), 

(b)(5);761.180(e)

Record and retain monthly HEB operation 

data. 12 hours 20 HEBs Note that 5 of these HEBs (from EPA Region 

VI) are used intermittently, so that total hourly 

burden may actually be less than indicated in this 

report. Also, total number of HEBs is based on 

EPA estimate of 2 per region.

91 §§761.72(a)(9) 

and (b)(6)

Record and retain records of temperature 

readings from scrap metal recovery ovens. 3 hours 8 ovens From EPA’s list of Commercially Permitted 

Scrap Metal Recovery Ovens (U.S. EPA, 

2014d).

92 §§761.75(b)(6)(iii

) and (b)(8)(iv); 

761.180(d)

Maintain records for all PCB disposal 

operations at chemical waste landfills, 

including PCB concentration in liquid 

wastes, the three-dimensional burial 

coordinates for PCBs and PCB items, water 

sampling and analysis, and additional 

records as required in §761.180. 

843 hours 10 landfills From EPA’s list of Commercially Permitted 

Disposal Companies (U.S. EPA, 2010c).

93 §761.79(d)(4) and 

Subpart T

Retain test/validation results of PODFs and 

VADFs. 0.5 hour 5 facilities Estimate is 5 percent of the 100 decontamination 

sites.

94 §§761.79(f)(1) 

and (2)

Keep records of confirmatory sampling and 

sampling locations/results for 

decontamination activities and compliance 

with self-implementing decontamination 

procedures.

2 hours 100 sites No change.

Subpart E—Exemptions

95 §761.80(e)(5) and 

(i)(7)

Keep records of activities associated with 

manufacture/processing/distribution in 

commerce of PCBs or PCB reference 

samples derived from waste materials for 

R&D.

12 hours 57 facilities Number of facilities based on the Notification of 

PCB Activity Quarterly Reports (U.S. EPA, 

2014a).
June 9, 2015

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TABLE 6-4: RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year

Comments 

96 §761.80(g)(1) Keep records of PCB processing and 

distribution in commerce activities, for 

facilities that process and distribute small 

quantities of PCBs for R&D.

12 hours 15 facilities Total number of facilities remained unchanged 

based on an Agency review of existing petitions.

Subpart G—PCB Spill Cleanup Policy

97 §§761.125(b)(3) 

and (c)(5); 

.61(a)(9)

Maintain records of cleanup and certification 

of decontamination. 8 hours 208 sets of 

records

Based on the annual number of spills reported to 

the National Response Center in 2013 (U.S. 

Coast Guard, 2013). 

98 §761.125(c)(1) Maintain records documenting delay in spill 

cleanup activities and areas of visible 

contamination.

0.5 hours 11 sites It is anticipated that 5 percent of the total number 

of spills, as reported above, would face delays in 

cleanup.

Subpart J—General Records and Reports

99 §§761.180(a),(a) 

(4), (b) and (f); 

761.65(c)(5)

Maintain annual records and document log 

for PCBs and PCB items for 5 years after 

facility ceases, including manifests, CDs, 

records of inspections and cleanups, facility 

and item ID information, number of Items, 

phone records, and Item transfer 

information, for owners/operators of storage 

and disposal facilities. Collect and maintain 

documents, correspondence, and data 

pertaining to storage/disposal of PCBs that 

have been provided to as well as received 

from any state/local agency and any 

application/ correspondence submitted to 

permitting authorities.

52 hours 8,670 waste

handlers

The time to keep the annual log varies widely, 

based on the level of PCB activity taking place 

and the volume of PCBs and PCB items handled. 

To keep the annual log takes from 1 hour to over 

40 hours each week. Total number of facilities is 

the total number of PCB waste handlers (8,778) 

minus the total number of commercial storers 

and disposers (108 facilities). (U.S. EPA, 2004a, 

2005a, 2014c, and 2006).
June 9, 2015

Page 91 of 108

TABLE 6-4: RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year

Comments 

100 §§761.185(c)(2), 

(d) and .193(a) 

and (b)

Maintain theoretical analysis or monitoring 

records by persons who import, manufacture, 

process, distribute in commerce, or use 

products containing inadvertently generated 

or recycled PCBs, pursuant to §761.1(f)(1) 

to (3). Maintain letter certifying compliance 

with §761.1(f), for excluded manufacturing 

processes.

5 hours to file 

records; 5 

hours to 

maintain 

previous 

reports

35 

respondents

Number of respondents remained the same based 

on recent Agency records.

Subpart K—PCB Waste Disposal Records and Reports

101 §§761.210(a)(3), 

(e)(4), 211(d)(2), 

(e)(5), (f)(1)(iv), 

(f)(3)(ii), 

(f)(4)(ii), 

213(a)(2)(v), 

(b)(5), 214(a),(b), 

and (c)

File and maintain manifests initiated or 

received by the PCB generator and any 

subsequent PCB waste handler.

0.167 hour (10 

minutes)

3,434

manifests

Total number of manifests is an average of 20 

items per manifest for a total of 68,670 items and 

3,434 manifests. Refer to numbers 69 and 70.

102 §761.218(c) and 

(d)

Maintain a copy of each certificate of 

disposal received from disposers, for 

generators and commercial storers of PCB 

waste.

0.167 hour (10 

minutes)

3,434

certificates

Estimates are based on the estimates used for a 

similar requirement, # 101, above. Refer to 

numbers 69 and 70. 

Subpart T—Comparison Study for Validating a New Performance-Based Decontamination Solvent under §761.79(d)(4)

103 §761.398(c) Record testing parameters and experimental 

conditions in SOP. Results of validation 

study are to be affixed in an appendix.

16 hours 5 facilities No change.
June 9, 2015

Page 92 of 108

TABLE 6-5: ANNUAL RESPONDENT HOURLY BURDEN AND COST ESTIMATE – REPORTING

Hours and Costs Per Respondent Total Hours and Costs

Mgr. @ Tech. @ Cler. @ Hours/ Labor Total Total Total

$77.81 $64.55 $30.36 Resp./ Cost/Resp. # of Hours/ Cost/

Ref # Regulatory Citation Information Collection Activity /Hour /Hour /Hour Year (a) Year (b) Resp. Year (c) Year (d, e)

Subpart B

3

761.30(a)(1)(vi),(vii), 

(xv)(D)

Register newly discovered PCB 

Transformers 1 - - 1 $78 318 318 $9,429 (e)

5 761.30(i)(1)(iii)(A)(1)

Submit descriptions of gas pipeline systems 

and make documents available to EPA 1 1 2 4 $203 50 200 $3,869 (e)

7 761.35(b)

Obtain approval for PCB Article storage in 

a facility that does not meet 761.65(b) 0.166 0.166 $11 225 37 $919 (e)

Subpart D

8

761.60(e), (i)(2); 

.70(a),(b),(d)(2); 

.75(b)(7),(b)(8)(ii),(c) Submit disposal permit applications - 825 75 900 $55,528 40 36,000 $846,366 (e)

9 761.60(j)(1)(i) 

Obtain identification number for R&D 

disposal - 1.5 - 1.5 $97 5 8 $184 (e)

10 761.60(j)(1)(ii) Notify officials of R&D activities - 4 2 6 $319 10 60 $3,189

12 761.61(a)(3)(i),(ii) Notify officials of self-imp. remediation 30 50 20 100 $6,169 58 5,800 $357,796

13 761.61(a)(3)(ii) Notify EPA of self-imp. remed. changes - 2 - 2 $129 13 26 $1,678

14 761.61(a)(3)(iii) Request waiver of notification requirement 2 16 2 20 $1,249 17 340 $21,235

15 761.61(a)(8)(i)(B) Certify recording of deed notation - 4 4 $258 28 112 $7,229

16 761.61(c)(1)

Apply for risk-based disposal approval for 

remediation waste - 1,480 120 1,600 $99,173 17 27,200 $642,430 (e)

17 761.62(c)91)

Apply for risk-based disposal or storage 

approval for bulk PCB product waste - 1,480 120 1,600 $99,173 20 32,000 $755,800 (e)

18 761.65(a)(2),(3),(4) Notify of attempts to secure disposal - 2 1 3 $159 5 15 $797

21 761.65(c)(6)(i)(C)

Demonstrate that storage containers for 

PCB/rad waste are protective of health/env - 32 8 40 $2,308 5 200 $4,398 (e)

22 761.65(d),(e)(1),(e)(6-8),(f) Prepare storage approval application - 240 - 240 $15,491 25 6,000 $147,575 (e)

23 761.65(e)(4)

Submit RA request to modify storage 

approval 1.5 - 0.5 2 $132 10 20 $1,319

24 761.65(g)(9) Notify EPA of changes to storage facilities - 1.5 0.5 2 $112 7 14 $784

25 761.65(j) Demonstrate financial assurance for closure 20 80 20 120 $7,327 12 1,440 $33,504 (e)

27 761.70(d)(8);.75(c)(7)

Notify EPA of changes in disposal facility 

ownership 7 - 1 8 $575 5 40 $2,875

31

761.77(a)(10(i),(a)(1)(ii) 

(A)(1),(C); (a)(2) Request coordinated approval 8 20 8 36 $2,156 6 216 $4,930 (e)
June 9, 2015

Page 93 of 108

TABLE 6-5: ANNUAL RESPONDENT HOURLY BURDEN AND COST ESTIMATE – REPORTING

Hours and Costs Per Respondent Total Hours and Costs

Mgr. @ Tech. @ Cler. @ Hours/ Labor Total Total Total

$77.81 $64.55 $30.36 Resp./ Cost/Resp. # of Hours/ Cost/

Ref # Regulatory Citation Information Collection Activity /Hour /Hour /Hour Year (a) Year (b) Resp. Year (c) Year (d, e)

33 761.79(h)

Prepare requests for decontamination 

approvals of alternative decontamination 

sampling methods. - 1,480 120 1,600 $99,173 20 32,000 $755,800 (e)

Subpart E

34 761.80(e)(1); (i)(1) Qualify for R&D exemptions 32 - 8 40 $2,733 1 40 $2,733

35 761.80 (e)(2), and (i)(2)

Submit requests for renewal of the class 

exemptions 1 - - 1 $78 1 1 $78

37 761.80(e)(4)

Notify EPA of PCB mfg. before R&D 

activities 2 16 2 20 $1,249 1 20 $1,249

Subpart G

40 761.125(a)(1)(i) to (iii) Report certain spill of PCBs to EPA 0.167 - - 0.167 $13 100 17 $1,299

Subpart J

41 761.180(b), (b)(3),(c)(5)

Prepare/submit annual reports on 

storage/disposal 56 - 3 59 $4,449 124 7,316 $551,623

 

41a 761.180(g)

Provide EPA with info on reclassified 

equipment 0.25 - - 0.25 $19 45 11 $875

Subpart K

44 761.202(a), 205(a - e) Notify EPA of PCB waste activity 1 - 0.5 1.5 $93 100 150 $9,299

45 761.205(f)

Report changes in waste handler 

notifications 1 - 0.5 1.5 $93 200 300 $18,598

46

§§761.217(a) and (b) and 

§761.219(a),(b), and (c)

Submit Exception and Discrepancy Reports 

EPA - 1.5 0.5 2 $112 325 650 $36,400

48 No Longer Required - -

49 761.216(a) Submit Unmanifested Waste Reports - 1.5 0.5 2 $112 57 114 $6,384

Subpart T

50 761.395, .398

Submit results of validation study analysis 

to EPA 1 14 1 16 $1,012 5 80 $5,059

TOTALS 150,753 $4,236,255

Notes: [a] Sum of staff hours; [b] Sum of staff hours x labor rates; [c] Hours/respondent/year x total number of respondents; [d] Labor costs/respondent x total number of respondents. 

Totals may not add due to rounding; [e] Total costs are annualized using a discount rate of 7% over a three-year period for the one-time requirements of numbers 3-9, 16, 17, 21, 22, 

25, 31, and 33.
June 9, 2015

Page 94 of 108

TABLE 6-6: ANNUAL RESPONDENT HOURLY BURDEN AND COST ESTIMATE - THIRD-PARTY REPORTING

Hours and Costs Per Respondent Total Hours and Costs

Mgr. @ Tech. @ Cler. @ Hours/ Labor Total Total Total

$77.81 $64.55 $30.36 Respond./ Cost/ Capital # of Hours/ Cost/

Ref 

# Regulatory Citation Information Collection Activity /Hour /Hour /Hour Year[a] Year[b] Costs[c] Respon. Year[d] Year[e, f]

Subpart B

52

761.30(a)(1)(xi),(xv)

(A) (h)(1)((ii)(B)

Report PCB Transformer and Voltage 

regulator fires to the National Response 

Center - 0.167 - 0.167 $11 - 20 3 $216

Subpart D

56 761.60(b)(5)(i)(A)(1) Include gas pipes in notification programs - 0.25 - 0.25 $16 - 50 13 $807

57 761.60(f)(1)(i) Notify state/local govts of PCB disposal - 0.333 0.167 0.5 $27 - 600 300 $15,938

60 761.60(j)(1)(vii) Manifest R&D PCB waste - 1 - 1 $65 - 57 57 $3,679

62

761.61(a)(5)(i)(B)(2) 

(iv)

Notify offsite non-TSCA facility of 

pending shipment of remediation/waste - 2 - 2 $129 - 100 200 $12,909

63 761.61(a)(8)(i)(A) Certify deed notation recording - 3 - 3 $194 - 100 300 $19,364

65 761.65(c)(1),(8)

Attach date notation on PCB Items and 

Containers - 0.083 - 0.083 $5 - 93,120 7,729 $498,883

Subpart G

67 761.125(a)1)

Report certain spills of PCBs to the 

National Response Center 0.167 - - 0.167 $13 - 208 35 $2,703

68 761.125(c)(2)(ii)

Place notice of PCB contamination at 

cleanup site - 1 - 1 $65 $50 198 198 $8,642[f]

Subpart J

68a 761.180(g)

Provide records of reclassification, if 

requested, to recipients of reclassified 

equipment 0.083 - 0.417 0.5 $19 - 336 168 $6,424

Subpart K

69

§§761. 210(b), (c), 

and (d)(1) and (2)

Prepare manifests of each PCB waste for 

PCB waste transporters, storers, and 

disposers 0.083 - - 0.083 $6 - 68,670 5,700 $443,501

70

§§761. 213(a)(2)(v) 

and (b)(4)

Storer/disposer sends manifest to 

generator 0.167 - - 0.167 $13 - 3,434 573 $44,624

71 §§761.218(a) and (b)

Send Certificates of Disposal to 

generators - 0.25 - 0.25 $16 - 4,117 1,029 $66,435

TOTALS $50 16,305 $1,124,125

Notes: [a] Sum of staff hours; [b] Sum of staff hours x labor rates; [c] Capital cost calculated per respondent [d] Hours/respondent/year x total number of respondents; [e]

Labor/respondent x total number of respondents. Totals may not add due to rounding. [f] Total costs are annualized using a discount rate of 7% over a three-year period for the onetime requirements of number 68. 
June 9, 2015

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TABLE 6-7: ANNUAL RESPONDENT HOURLY BURDEN AND COST ESTIMATE – RECORDKEEPING

Hours and Cost Per Respondent Total Hours and Costs

Mgr @ Tech. @ Cler @ Hours/ Labor Total Total Total

$77.81 $64.55 $30.36 Respon./ Cost/ # of Hours/ Cost/

 Ref 

# Reg. Citation Information Collection Activity Hour Hour Hour Year[a] Year[b] Respon. Year[c] Year[d, e]

Subpart B

74a 761.30(a)(1)(xii)

Maintain PCB Transformer inspection data 

(annual) - 0.05 0.033 0.083 $4 29,229 2,426 $123,615

74b 761.30(a)(1)(xii) Maintain PCB Transformer inspect. data (quart.) - 0.2 0.133 0.333 $17 29,229 9,733 $495,347

74c 761.30(a)(1)(xii)

Maintain PCB Transformer inspection data 

(annual) - 0.05 0.033 0.083 $4 -336 -28 -$1,421

74d 761.30(a)(1)(xii) Maintain PCB Transformer inspect. data (quart.) - 0.2 0.133 0.333 $17 -336 -112 -$5,694

75

761.30(a)(2)(v); 

761.180(a) Maintain records of retrofilled equipment - 0.167 0.083 0.25 $13 672 168 $8,937

76 761.30(i)(1)(iii)(B), (C) Keep records of gas pipeline system data 1 2 1 4 $237 100 400 $23,727

77 761.35(a)(2) Keep records of equipment stored for reuse - 0.15 - 0.15 $10 170,303 25,545 $1,648,887

78 761.40(c)(2)(ii), (k) Keep large capacitor records (optional) - 0.1 - 0.1 $6 100,000 10,000 $645,472

Subpart D

79 761.60(j)(1)(ix) Keep R&D for disposal records - 12 - 12 $775 57 684 $44,150

80

761.61(a)(3)(i)(E); 

(a)(6); .295 Retain remediation sampling/analysis records - 1 - 1 $65 100 100 $6,455

81 761.61(a)(3)(iii) Retain waivers from self-impl. remed. projects - 0.167 - 0.167 $11 100 17 $411[e]

82 761.61(a)(9) Keep records according to Spill Cleanup Policy 4 12 4 20 $1,207 100 2,000 $120,725

83 761.62(b)(5)

Maintain sampling/analysis records for bulk 

product wastes 1 3 - 4 $271 26 104 $2,689[e]

84 761.65(a)(2)(ii), (a)(3) Keep records of attempts to secure disposal - 4 - 4 $258 88 352 $22,721

85a 761.65(c)(1)(iv) Prepare SPCC plans 5 45 10 60 $3,597 5 300 $6,854[e]

85b 761.65(c)(1)(iv) Modify SPCC plans for liquid PCBs >500 ppm 0.5 1 0.5 2 $119 10 20 $1,186

86 761.65(c)(7)(ii)

Prepare SPCC plans for facilities using storage 

containers 5 45 10 60 $3,597 5 300 $6,854

87 761.65(c)(8)

Keep records of the quantity/date of each batch 

added to a stationery storage container - 0.083 - 0.083 $5 30,000 2,490 $160,723

88 761.65(c)(10)

Establish and maintain annual log records as per 

.180 for PCB storage facilities 24 - 819 843 $26,731 65 54,795 $1,737,522

89

761.70(a)(3),(4),(7); 

(c); .180 Maintain incinerator records 48 260 535 843 $36,759 7 5,901 $257,313

90

761.71(a)(a)(vi), (vii); 

(b)(1)(vi), (vii), (b)(5); 

.180(e)

Retain monthly HEB operating data

- 12 - 12 $775 20 240 $15,491

91 761.72(a)(9), (b)(6) Retain scrap metal recovery oven records - 3 - 3 $194 8 24 $1,549
June 9, 2015

Page 96 of 108

TABLE 6-7: ANNUAL RESPONDENT HOURLY BURDEN AND COST ESTIMATE – RECORDKEEPING

Hours and Cost Per Respondent Total Hours and Costs

Mgr @ Tech. @ Cler @ Hours/ Labor Total Total Total

$77.81 $64.55 $30.36 Respon./ Cost/ # of Hours/ Cost/

 Ref 

# Reg. Citation Information Collection Activity Hour Hour Hour Year[a] Year[b] Respon. Year[c] Year[d, e]

92

761.75(b)(6)(iii), 

(b)(8)(iv); .180(d) Maintain chemical waste landfill records 24 - 819 843 $26,731 10 8,430 $267,311

93 761.79(d)(4) Retain PODF/VADF validation results - 0.5 - 0.5 $32 5 3 $61[e]

94 761.79(f)(1), (2) Keep decontamination sampling records - 2 - 2 $129 100 200 $4,919[e]

Subpart E

95 761.80(e)(5), (i)(7)

Keep records of PCB mfg/ proc/dist. in com. 

R&D activities - 12 - 12 $775 57 684 $44,150

96 761.80(g)(1)

Keep records of PCB proc/dist. in com. of small 

quantities of PCBs for R&D activities - 12 - 12 $775 15 180 $11,618

Subpart G

97 761.125(b)(3), (c)(5)

Maintain records of cleanup and certification of 

decontamination 1 5 2 8 $461 208 1,664 $95,943

98 761.125(c)(1) Maintain records documenting delay in cleanup - - 0.5 0.5 $15 11 6 $167

Subpart J

99

761.180(a), (a)(4), (f); 

.65(c)(5)

Maintain annual records and log for PCBs and 

PCB Items 12 - 40 52 $2,148 8,670 450,840 $18,623,940

100a

761..185(c)(2) and 

.193(a), (b) Maintain monitoring data of inadvertent PCBs .5 4.5 - 5 $329 25 125 $8,234

100b

761..185(c)(2) and 

.193(a), (b)

Maintain previous records of monitoring data of 

inadvertent PCBs - - 5 5 $152 10 50 $1,518

101

761.210(a)(3), (e)(4), 

211(d)(2), (e)(5), 

(f)(1)(iv), (f)(3)(ii), 

(f)(4)(ii), 213(a)(2)(v), 

(b)(5), 214(a),(b), and 

(c) File and maintain manifests - - 0.167 0.167 $5 3,434 573 $17,410

102 761.218(c) and (d) Maintain Certificates of Disposal - - 0.167 0.167 $5 3,434 573 $17,410

Subpart T

103 761.398(c)

Record test parameters and SOP conditions for 

decontamination validation studies - 16 - 16 $1,033 5 80 $1,968[e]

TOTALS 578,868 $24,418,164

Notes: [a] Sum of staff hours; [b] Sum of staff hours x labor rates; [c] Hours/respondent/year x total number of respondents; [d] Labor/respondent x total number of respondents. Totals 

may not add due to rounding; [e] Total costs are annualized using a discount rate of 7% over a three-year period for the one-time requirements of numbers 81, 83, 85a, 86, 93, 94 and 

103.
June 9, 2015

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6(c). Estimating Agency Burden and Cost

The estimated Agency burden associated with this Consolidated ICR is shown on Table 6-8 with 

comments indicated on the table. The detailed costs associated with the Agency burden are shown in 

Table 6-9. The hourly rates for EPA staff were based on a composite management level at GS-15/5 

($67.88); technical support at GS-12/5 ($41.07), and clerical support at GS-7/5 ($23.15), using the 2014 

General Schedule salary table for the locality pay area of Washington-Baltimore-Northern Virginia, DCMD-VA-WV-PA4

, effective January 2014 (U.S. OPM, 2014). (Note that Tables 6-8 and 6-9 appear at 

the end of section 6(e)).

6(d). Estimating the Respondent Universe and Total Burden and Costs

Refer to Tables 6-2 through 6-7 for this information.

6(e). Bottom Line Burden and Costs

6(e)(i). Respondent Tally

As indicated on Table 6-5, the total respondent reporting burden is 150,753 hours and 

$4,236,255. As indicated on Table 6-6, the total respondent third-party reporting burden is 16,305 hours 

and $1,124,125. As indicated on Table 6-7, the total respondent recordkeeping burden is 578,868 hours 

and $24,418,164. Table 6-10 summarizes the respondent burdens and costs for each applicable subpart 

of 40 CFR 761. As shown on the table, the total paperwork burden for this Consolidated ICR is 745,926

hours and $29,778,544.

6(e)(ii). Agency Tally

As indicated on Table 6-9, the Agency annual burden is 56,526 hours and $2,287,959.

6(e)(iii). Variations in the Annual Bottom Line

This section does not apply. There are no anticipated significant variations in the annual 

respondent reporting or recordkeeping burden or cost over the course of the requested clearance period 

for either industry or the federal government.

 

4 Note that the prior ICR used the base General Schedule Salary Table as the source for hourly rates. The specific locality 

pay area salary table used for this ICR incorporates a locality payment that increases the rates 24.22 percent over the base 

General Schedule rates.
June 9, 2015

Page 98 of 108

TABLE 6-8: ANNUAL AGENCY HOURLY BURDEN 

Collection Activities

Burden 

Hrs/Year

Respondents/

Year Comments

Review/analyze data submissions (i.e., new exemptions 

and renewal data); develop rulemakings in response to 

the petitions for exemption; publish rulemakings in the 

Federal Register; index and file the data in the public 

docket.

203 hours 5 renewal 

petitions: 2 

new petitions

Federal Register publication costs add approximately $1,500 

to the annual cost of this collection activity.

Review preliminary PCB Transformer inspection 

reports; input data; index/file data.

20 hours 500 

inspections

The total time to conduct inspections equals 4 days.

Review exclusion submissions; record/enter 

submissions; analyze requests for confidentiality and 

provide appropriate protection; store data.

6 hours 0 submissions —

Review technology-based disposal applications; attend 

demonstrations (EPA engineers and contractor 

analytical chemists); develop (i.e., grant/deny) approval; 

maintain files.

641 hours 15 

submissions

Costs vary depending on number and type of applications 

received. Number of §761.60 approvals has remained fairly 

constant over the last several years and is expected to remain 

so.

Review facility records, including annual reports. 2 hours per 

review

1,100 

inspections

Based on Compliance Monitoring Plan, maximum number 

of inspections for all 10 Regions combined is 1,100/year.

Review applications for commercial storage approval, 

with contractual support. 

72-125 hours/

application; 

98.5 hours, 

average, 

rounded to 100

3.3 

applications/ 

year average, 

rounded to 3

Review time varies based on the number of deficiencies 

initially discovered and any supplemental information that is 

submitted to correct the deficiencies. EPA uses contractual 

support to review applications.

Process PCB notification forms; update Notification of 

PCB Activity Quarterly Reports; respond to inquiries

regarding these submissions; maintain hard-copy files of 

these submissions; and provide contractor oversight. 

520 hours

— These activities will be conducted at EPA Headquarters 

only. The hourly figures represent the time allocation to 

handle all respondents.

Process PCB Transformer registrations. 520 hours — These activities will be conducted at EPA Headquarters 

only. The hourly figures represent the time allocation to 

Maintain PCB Transformer database handle all respondents. 260 hours —
June 9, 2015

Page 99 of 108

TABLE 6-8: ANNUAL AGENCY HOURLY BURDEN 

Collection Activities

Burden 

Hrs/Year

Respondents/

Year Comments

Respond to numerous requests for regulatory 

interpretations and inquiries regarding the PCB 

notification and Transformer Registration Programs.

1,850 hours —

Maintain official files of all requests for approvals and 

EPA’s responses.

675 hours — See comment above.

Review requests for approval for PCB Articles stored 

for reuse >5 yrs.

2 hours/ 

submission

1 submission In 2008, the Storage for Reuse provision in Number 7, Table 

6-5 will be up for renewal. Based the Agency’s historical 

experience, a total of 83 renewal requests, each one 

addressing about 75 pieces of equipment, will be submitted 

for 6,250 pieces of equipment total. Over 5 years, this is 17 

applications per year.

Review requests for risk-based disposal and coordinated 

approvals and alternate decontamination or sampling 

methods; issue approvals or waivers; maintain files.

515 hours 55 

submissions

Costs vary depending on number and types of applications 

received. Respondents increased from 46 to 55. Burden 

hrs/year figure corrects erroneous figure (23,675) in previous 

ICR Supporting Statement.

Note: The total burden hours/year for the category “Review technology-based disposal applications; attend demonstrations (EPA engineers and contractor 

analytical chemists); develop (i.e., grant/deny) approval; maintain files” was originally recorded as 660, but the sum of the components adds to 641 as shown 

in Table 6-9.

TABLE 6-9: ANNUAL AGENCY HOURLY BURDEN AND COST

Hours and Cost per Respondent Total Hours and Costs

GS-15/5 GS-12/5 GS-7/5 Agency Labor Total Total Total 

$67.88 $41.07 $23.15 Hours/ Cost/ Capital # of Hours/ Cost/

Information Collection Activity /Hour /Hour /Hour Year(a) Year(b) Costs(c) Resp. Year(d) Year(e, f)

PCB Manufacturing, Processing, and Distribution in Commerce Exemptions

Review/analyze new exemption petitions and 

renewal data 1 28 - 29 $1,218 - 7 203 $8,525

Develop rulemakings 3 160 8 171 $6,960 - 1 171 $6,960

Index/file data - - 2 2 $46 - 1 2 $46

FR publication 1 24 8 33 $1,239 $1,500 1 33 $2,739

SUBTOTAL 409 $18,270

PCB Use in Electrical Equipment and Transformers
June 9, 2015

Page 100 of 108

TABLE 6-9: ANNUAL AGENCY HOURLY BURDEN AND COST

Hours and Cost per Respondent Total Hours and Costs

GS-15/5 GS-12/5 GS-7/5 Agency Labor Total Total Total 

$67.88 $41.07 $23.15 Hours/ Cost/ Capital # of Hours/ Cost/

Information Collection Activity /Hour /Hour /Hour Year(a) Year(b) Costs(c) Resp. Year(d) Year(e, f)

Review preliminary inspection report - 8 - 8 $329 - 500 4,000 $164,280

Review reformatted report - 4 - 4 $164 - 500 2,000 $82,140

Review/input data - 4 - 4 $164 - 500 2,000 $82,140

Index/file data - - 4 4 $93 - 500 2,000 $46,300

SUBTOTAL 10,000 $374,860

PCB Exclusions, Exemptions, and Use Authorizations

Review exclusion request submissions - 2 - 2 $82 - 0 0 $0

Record/enter submissions - 1 - 1 $41 - 0 0 $0

Analyze requests for confidentiality and provide 

appropriate protection - 1 - 1 $41 - 0 0 $0

Store data - 2 - 2 $82 - 0 0 $0

SUBTOTAL 0 $0

PCB Disposal Permitting Regulation

Review applications - 312 - 312 $12,814 - 15 4,680 $192,208

Attend demonstrations - 156 - 156 $6,407 - 15 2,340 $96,104

Contractor support for demos. - 140 - 140 $5,750 - 15 2,100 $86,247

Develop (grant/deny) approval 2 30 - 32 $1,368 - 15 480 $20,518

Maintain files - 1 - 1 $41 - 15 15 $616

SUBTOTAL 9,615 $395,692

Notification and Manifesting for PCB Waste Activities

Record and retain scrap metal recovery oven - 2 - 2 $82 - 1,100 2,200 $90,354

Maintain chemical waste landfill records - 100 - 100 $4,107 - 3 300 $12,321

SUBTOTAL 2,500 $102,675

Final Regulations Amending the PCB Regulations at 40 CFR 761

Process notification forms; update Notification 

of PCB Activity Quarterly Reports - 520 - 520 $21,356 - 1 520 $21,356

Process PCB Transformer registrations - 520 - 520 $21,356 - 1 520 $21,356

Create PCB Transformer database - 260 - 260 $10,678 - 1 260 $10,678

Respond to numerous requests for regulatory 

interpretations and inquiries regarding the PCB 

notification and Transformer Registration 

Programs - 1,850 - 1850 $75,980 1 1,850 $75,980

Maintain official files of all requests for - 675 - 675 $27,722 1 675 $27,722
June 9, 2015

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TABLE 6-9: ANNUAL AGENCY HOURLY BURDEN AND COST

Hours and Cost per Respondent Total Hours and Costs

GS-15/5 GS-12/5 GS-7/5 Agency Labor Total Total Total 

$67.88 $41.07 $23.15 Hours/ Cost/ Capital # of Hours/ Cost/

Information Collection Activity /Hour /Hour /Hour Year(a) Year(b) Costs(c) Resp. Year(d) Year(e, f)

approvals and EPA’s responses

Review requests for approval for PCB Articles 

stored for reuse >5 years - 2 - 2 $82 - 1 2 $82

Review requests for risk-based disposal and 

coordinated approvals and alternative 

decontamination or sampling methods; issue 

approvals, waivers or letters of approval; 

maintain files of requests for approval - 515 - 515 $21,151 - 55 28,325 $1,163,308

Respond to requests for regulatory 

interpretations - 1,850 - 1,850 $75,980 - 1 1,850 $75,980

SUBTOTAL 34,002 $1,396,462

TOTALS 56,526 $2,287,959

Notes: [a] January 2010 data, U.S. OPM, 2014. [b] Sum of staff hours; [c] Sum of staff hours x labor rates; [d] EPA estimates; [e] Total number of respondents x Agency hours/year; 

[f] Labor x respondent x total number of respondents; [g] Totals may not add due to rounding.
June 9, 2015

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TABLE 6-10: SUMMARY OF RESPONDENT BURDENS AND COSTS BY SUBPART

Subparts Total # of 

Respondents

Total Hours 

Per Year

Total Hours Per 

Respondent[a]

Total Cost Per 

Year

Total Cost Per 

Hour[b]

Reporting

Subpart B 593 555 0.937 $14,217 $26

Subpart D 283 141,491 500 $3,587,891 $25

Subpart E 3 61 20 $4,060 $67

Subpart G 100 17 0.167 $1,299 $78

Subpart J 169 7,327 43 $552,499 $75

Subpart K 699 1,223 2 $71,230 $58

Subpart T 5 80 16 $5,059 $63

Subtotal 

Reporting 1,852 150,753 $4,236,255 $28

Third-Party Reporting

Subpart B 20 3 0.167 $216 $65

Subpart D 94,027 8,598 0.091 $551,581 $64

Subpart G 406 233 0.573 $11,345 $49

Subpart J 336 168 0.500 $6,424 $38

Subpart K 76,221 7,302 0.096 $554,560 $76

Subtotal ThirdParty Reporting 171,010 16,305 $1,124,125 $69

Recordkeeping

Subpart B 328,861 48,133 0.146 $2,938,870 $61

Subpart D 30,706 75,959 2.474 $2,656,935 $35

Subpart E 72 864 12 $55,769 $65

Subpart G 219 1,670 7.623 $96,110 $58

Subpart J 15,573 452,162 29 $18,668,512 $41

Subpart T 5 80 16 $1,968 $25

Subtotal 

Recordkeeping 375,436 578,868 $24,418,164 $42

Totals 548,298 745,926 $29,778,544

Notes: [a] Total hours per year/total number of respondents; [b] Total cost per year/total hours per year

6(f). Reasons for Change in Burden

This request reflects an increase of 60,591 hours (from 685,335 hours to 745,926) in the total 

estimated respondent burden from that currently in the OMB inventory. The changes in the total annual 

respondent reporting and recordkeeping burdens and costs are due to updates to the most current wage 

rate data and to revisions to the total number of respondents. The revisions to total number of 

respondents are the result of new data gathered for this ICR effort as well as another recent PCB 

regulatory analysis, and updated Agency data regarding total numbers of regulated entities. The up-todate wage rates and the change from the previous ICR are as follows:

 Manager - new rate, $77.81; prior rate; $61.42 (27 percent increase)

 Clerical - new rate, $30.36; prior rate, $24.98 (22 percent increase)

 Professional/technical - new rate, $64.55; prior rate, $50.50 (28 percent increase).

The specific adjustments to this Consolidated ICR are explained on Tables 6-2 through 6-7 and 

are summarized on Table 6-11 and in the following discussion:
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 Item number 41 - The reduced estimate of the number of facilities was generated by using the 

total number of EPA-approved storage and disposal facilities (108), and increasing this number 

by 15 percent to reflect the additional facilities that also dispose of the waste that they generate. 

The estimated number of facilities dropped from 131 to 124. This decreases the burden by 413

hours.

 Item number 52 - An overview of NRC data indicates that the number of calls involving reports 

of fire incidents and PCB spills decreased slightly from 22 calls to 20 calls. This decreases the 

burden by 0.33 hours. 

 Item number 60 - The number of facilities increased from 48 to 57. This number is based on the 

total number of R&D facilities is listed on the Notification of PCB Activity Quarterly Reports 

(U.S. EPA, 2014a). This increases the burden by nine hours. 

 Item number 67 - The number of incidences requiring reporting decreased slightly from 223 to 

208. The new estimate is based on the number of PCB-related incidences reported to the 

National Response Center for 2013 (U.S. Coast Guard, 2013). This decreases the burden by three 

hours. 

 Item number 68 - The number of sites decreased slightly from 212 to 198. Revised estimate 

assumes that the > 1-lb spills at electrical substations are a large subset but not all of the spills 

that must be reported to the National Response Center; 95 percent of the average annual 208 

spills reported for 2013 (U.S. Coast Guard, 2013). This decreases the burden by 14 hours. 

 Item number 69 - The number of items increased from 61,074 to 68,670. This estimate is based 

on a compilation of the PCB Annual Reports, from 1998 to 2011, that showed an annual average 

of 68,670 items (PCB Capacitors, Article Containers, Transformers, and PCB Containers) were 

transferred to another facility (i.e., a storer or disposer) (U.S. EPA, 2011). This increases the 

burden by 630 hours.

 Item number 70 - The number of reports increased from 3,054 to 3,434. EPA assumed for this 

report that the average number of items on a manifest is 20, so that of the 68,670 items 

transferred, only 3,434 manifests or shipping papers need to be returned. This increases the 

burden by 63 hours.

 Item number 71 - The number certificates increased from 4,022 to 4,117. Based on the PCB 

Annual Report, the average annual total number of capacitors, article containers, transformers, 

and PCB containers disposed of from 1996 to 2011 is 82,333 (U.S. EPA, 2014). Assuming that 

information regarding 20 items is included on one Certificate of Disposal, there are a total of 

4,117 certificates. This increases the burden by 24 hours.

 Item number 79 - The number of facilities increased from 48 to 57. The number of facilities is 

based on data contained in the Notification of PCB Activity Quarterly Reports (U.S. EPA, 

2014a). This increases the burden by 108 hours. 

 Item number 84 - The number of waste storers increased slightly from 76 to 88. EPA based its 

estimate on the assumption that the number of waste storers is 1 percent of the total number of 

waste generators and storers (8,778) listed in the Notification of PCB Activity Quarterly Reports 

(U.S. EPA, 2014a). This increases the burden by 48 hours. 

 Item number 88 - The number of commercial storers decreased from 66 to 65. The total number 

of storers was obtained from EPA’s list of Commercial Storage Approvals (U.S. EPA, 2014b). 

This decreases the burden by 843 hours.

 Item number 89 - The number of incinerators increased slightly from 5 to 7. This number is from 

EPA’s list of Commercially Permitted PCB Disposal Companies (U.S. EPA, 2014c). This 

increases the burden by 1,686 hours. 

 Item number 95 - The number of facilities increased from 39 to 57. This number is based on the 

Notification of PCB Activity Quarterly Reports (U.S. EPA, 2014a). This increases the burden by 
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Page 104 of 108

216 hours.

 Item number 97 - The number of sets of records decreased from 223 to 208. This number is 

based on the annual number of spills reported to the National Response Center in 2013 (U.S. 

Coast Guard, 2013). This decreases the burden by 120 hours. 

 Item number 99 - The total number of facilities increased from 7,534 to 8,670. This number is 

determined by the total number of PCB waste handlers minus the total number of commercial 

storers and disposers. This increases the burden by 59,072 hours. 

 Items number 101 and 102 - The total number of manifests and certificates increased from 3,054

to 3,434. Total number of manifests is an average of 20 items per manifest for a total of 68,670

items. The estimate for certificates is based on the estimate for manifests. This increases the 

burden by 63 hours for item number 101 and it increases the burden by 63 hours for item number 

102. 

TABLE 6-11: CHANGES IN BURDEN HOURS TO EXISTING PCB ICR TOTALS

Item Number Change in Burden Hours

41 -413

52 -0.33

60 9

67 -3

68 -14

69 630

70 63

71 24

79 108

84 48

88 -843

89 1,686

95 216

97 -120

99 59,072

101 63

102 63

Total 60,591

Note: Totals may not add due to rounding

6(g). Burden Statement

The annual public burden for this collection of information, which is approved under OMB 

Control No. 2070-0112 (EPA ICR No. 1446.11), is estimated to average about 1.36 hours per response. 

Burden is defined in 5 CFR 1320.3(b). An agency may not conduct or sponsor, and a person is 

not required to respond to, a collection of information unless it displays a currently valid OMB control 

number. The OMB control number for this information collection appears above. The OMB control 

numbers for EPA’s regulations in title 40 of the CFR, after appearing in the Federal Register, are listed 

in 40 CFR part 9 and included on the related collection instrument or form, if applicable.
June 9, 2015

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The Agency has established a public docket for this ICR under Docket ID No. EPA-HQ-OPPT2014-0597, which is available for online viewing at www.regulations.gov, or in-person viewing at the 

Pollution Prevention and Toxics Docket in the EPA Docket Center (EPA/DC). The EPA/DC Public 

Reading Room is located in the West William Jefferson Clinton Bldg., Room 3334, 1301 Constitution 

Ave., N.W., Washington, DC. The EPA/DC Public Reading Room is open from 8:30 a.m. to 4:30 p.m., 

Monday through Friday, excluding legal holidays. The telephone number for the EPA/DC Public 

Reading Room is (202) 566-1744, and the telephone number for the Pollution Prevention and Toxics 

Docket is (202) 566-0280.

You may submit comments regarding the Agency's need for this information, the accuracy of the 

provided burden estimates and any suggested methods for minimizing respondent burden, including the 

use of automated collection techniques. Comments may be submitted to EPA electronically through 

http://www.regulations.gov or by mail to: EPA Docket Center, Environmental Protection Agency, Mail 

Code 28221T, 1200 Pennsylvania Ave., NW, Washington, DC 20460. You can also send comments to 

OMB, addressed to “OMB Desk Officer for EPA” and referencing OMB Control No. 2070-0112 (EPA 

ICR No. 1446.11) via email to oira_submission@omb.eop.gov. Include docket ID No. EPA-HQ-OPPT2014-0597 and OMB control number 2070-0112 (EPA ICR No. 1446.11) in any correspondence, but do 

not submit any other information (e.g., forms, reports, etc.) to these addresses.

7. Attachments to the Supporting Statement 

The following is a list of the attachments to the Supporting Statement for this ICR are available 

in the public docket established for the rulemaking under Docket ID No. EPA-HQ-OPPT-2014-0597. 

These attachments are available for online viewing at http://www.regulations.gov or can be accessed 

directly using the links provided.

Ref. Document Title

A Toxic Substances Control Act (TSCA), Section 6(e) (15 USC 2605(e))

B Polychlorinated Biphenyls (PCBs) Manufacturing, Processing, Distribution in Commerce, and 

Use Prohibitions, 40 CFR 761

C EPA Form 7720-12 (PCB Transformer Registration) and Instructions. Available at 

http://www.epa.gov/epawaste/hazard/tsd/pcbs/pubs/772012.pdf and 

http://www.epa.gov/epawaste/hazard/tsd/pcbs/pubs/7720back.pdf

D EPA Form 7710-53 (Notification of PCB Activity) and Instructions. Available at 

http://www.epa.gov/epawaste/hazard/tsd/pcbs/pubs/771053.pdf and 

http://www.epa.gov/epawaste/hazard/tsd/pcbs/pubs/7710back.pdf

E-1 Public Comments from the Utilities Solid Waste Activities Group (USWAG)

E-2 EPA’s Response to Comments

F-1 Consultations Message Sent by EPA to Potential Respondents

F-2 Response from the Color Pigments Manufactures Association, Inc. (CPMA)
June 9, 2015

Page 106 of 108

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