UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 


SUBPOENA AND INFORMATION REQUEST 


I. STATUTORY AUTHORITY 


This Subpoena and Information Request is issued pursuant to the authority vested in the EPA 

Administrator, as delegated to the Assistant Administrator for Chemical Safety and Pollution 

Prevention, under Section 1 l(c) ofthe Toxic Substances Control Act ("TSCA"), 15 U.S.C. § 261 O(c). 

II. CERTIFICATION 

The information provided shall be verified by, and submitted under an authorized signature by a 

responsible corporate officer, 1 with the following certification: 

I certify under penalty of law that this document and all attachments were prepared under 

my direction or supervision in accordance with a system designed to assure that qualified 

personnel properly gather and evaluate the information submitted. Based on my inquiry 

ofthe person or persons who manage the system, or those persons directly responsible for 

gathering the information, I certify that the information submitted is, to the best of my 

knowledge and belief, true, accurate, and complete. I am aware that there are significant 

penalties for submitting false information, including the possibility of fine and 

imprisonment for knowing violations. 

III. CONFIDENTIAL BUSINESS INFORMATION 

The information requested herein must be provided notwithstanding the possibility that the 

information requested may be characterized as confidential business information or trade secrets. 

Request for confidential treatment must be made when information or access to records is provided and 

in accordance with the instructions provided in Section V .M. below. 

IV. SUBMISSION OF YOUR RESPONSE TO THE INFORMATION REQUESTED 

All submissions required by this request shall be provided within thirty (30) days of receipt of 

this request, and addressed to: 

Tanya Hodge Mottley 


Director, National Program Chemicals Division 


U.S. Environmental Protection Agency 


1200 Pennsylvania Avenue, NW 


MC: 7404M 


Washington, DC 20460 


1 The term "responsible corporate officer," as used herein, means a president, secretary, treasurer, or vice-president ofthe 

corporation in charge of a principal business function, or any other person who performs similar policy or decision-making 

functions for the corporation. 
Do not submit information that you consider to be confidential business information (CBI) 

electronically through EPA's electronic public docket or by e-mail. For guidance on submitting CBI, see 

paragraph V.M. Addresses for CBI: 

U.S. Mail 

U.S. EPA 


Office ofPollution Prevention and Toxics 


Document Control Office (7407M) 


1200 Pennsylvania Ave., NW 


Washington, DC 20460 


Courier 

U.S. EPA 


Office of Pollution Prevention and Toxics 


Confidential Business Information Center (CBIC) 


William Jefferson Clinton East Building, Room 6428 


1201 Constitution Ave., NW 


Washington, DC 20004-3302 


V. INSTRUCTIONS 

A. Respond to Each Request Completely. Each request is numbered. A separate response must be made 

to each request. Provide a separate narrative response to each request and clearly identify your responses 

with the number and text ofthe request to which it corresponds. Each question posed must be answered. 

If the appropriate response is "none" or "not applicable," that information should be so stated. You must 

also submit any documents you relied on in preparing your response. Incomplete, evasive, or ambiguous 

answers shall constitute failure to respond to this Subpoena and Information Request and may subject 

you to penalties as discussed in the cover letter. 

B. Source(s) ofResponse. Include with each narrative response, the name, position, and title of each 

person(s) who provided infonnation responsive to the request. 

C. Submission of Documents. Label each document submitted with the request number and subpart (if 

applicable) to which it corresponds. Date stamp each document you submit. If anything is deleted from a 

document produced in response to this Information Request, state the reason for and the subject matter 

ofthe deletion. 

D. Documents Responsive to More than One Request. Ifa document you submit is responsive to more 

than one request, provide one copy ofthe document and identify all the requests, by number and subpart, 

to which it corresponds. 

E. Do Not Substitute Derivative or Summary Documents. Where a document is requested, please 

provide the responsive document. You may, if you wish, provide additional or explanatory documents to 

accompany the responsive document(s). However, your failure to provide the document requested will 

be considered a failure to completely respond to this Subpoena and Information Request. 
F. Provide the Best Information Available. Unless otherwise specified, responses do not require you to 

create new data or information. However, you should provide responses to the best of your ability, even 

ifthe information sought was never put down in writing or if the written documents are no longer 

available. You should seek responsive information from current and former employees and/or agents. 

Submission of cursory responses when other responsive information is available to you will be 

considered a failure to completely respond to this Subpoena and Information Request. Ifyou cannot 

provide a precise answer to any questions, please approximate and state the reason for your inability to 

be specific. 

G. Unavailability of Records. Ifyou are unable to respond to a request in a detailed and complete 

manner, or if you are unable to provide any ofthe information requested, indicate the reason for your 

inability to do so. Ifa record(s) responsive to a request is not in your possession, custody, or control and 

you have reason to believe that another person may be able to provide it, state the reasons for your belief 

and provide the person's name, address, telephone number, and any information available (i.e., author, 

date, or subject matter) about the record(s). 

H. Documents That Have Been Transferred. Ifany records responsive to a request have been 

transferred or otherwise disposed of, identify the document, identify the person to whom it was 

transferred, describe the circumstances surrounding such transfer or other disposition, and state the date 

or approximate date of such transfer or other disposition. 

I. Duty to Provide and/or Correct Information on a Continuing Basis. Ifany records responsive to a 

request are not known or are not available to you at the time you submitted your response, but later 

become known or available to you, you must submit the new information as a supplement to your 

response. Ifat any time after submission of your response you learn that any portion is or becomes false, 

incomplete, or misrepresents the facts, you must notify EPA ofthis fact as soon as possible and provide 

a corrected response. Failure to supplement your response within thirty (30) days of discovering such 

responsive information may subject you to an enforcement action. Ifany part of the response to this 

Subpoena and Information Request is found to be false, the signatory to the response and the company 

may be subject to criminal prosecution. 

J. Identify Personal Privacy Information. Personnel and medical files, and similar files, the disclosure of 

which to the general public may constitute an invasion of privacy, should be segregated from your 

responses, included on separate sheet(s), and marked as "Personal Privacy Information." You should 

note however, that unless prohibited by law, EPA may disclose this information to the general public 

without further notice to you. 

K. Indicate Objections to Requests. While you may indicate that you object to certain requests 

contained in this Subpoena and Information Request, you must provide responsive information 

notwithstanding those objections. To object without providing responsive information may subject you 

to the penalties discussed in the cover letter. 

L. Claims of Privilege. Ifyou claim that an entire document responsive to this Subpoena and 

Information Request is a communication for which you assert that a privilege exists, identify the 

document and provide the basis for asserting the privilege. For any document for which you assert that a 

privilege exists for a portion of it, provide the portion of the document for which you are not asserting a 

privilege; identify the portion of the document for which you are asserting the privilege; and provide the 

basis for such an assert.ion. Please note that regardless ofthe assertion of any privilege, any facts 
contained in the document which are responsive to the Subpoena and Information Request must be 

disclosed in your response. 

M. Confidential Business Information. You must provide the information requested even though you 

consider it confidential information or trade secrets. You may assert a business confidentiality claim for 

part or all of the information requested, as described below and set forth in 40 C.F.R. Part 2, Subpart B. 

Information covered by such a claim will be disclosed by EPA only to the extent and only by the 

procedures set forth in 40 C.F.R. Part 2, Subpart B. Ifno confidentiality claim accompanies the 

information when EPA receives it, the information may be made available to the public by EPA without 

further notice to you. 

Ifyou wish EPA to treat any information or response as "confidential," you must advise EPA 

and comply with the following procedures. Place on or attach to the information at the time it is 

submitted to EPA a cover sheet, stamped or typed legend, or other suitable form of notice employing 

such language as trade secret, proprietary, or company confidential.2 You must clearly identify 

allegedly confidential portions of otherwise non-confidential documents and you may want to submit 

these separately to facilitate identification and handling by EPA. EPA will ask you to substantiate each 

claim of confidential business information by separate letter in accordance with applicable EPA 

regulations, 40 C.F.R. Part 2, Subpart B. 

VI. DEFINITIONS 

Except as otherwise defined below, terms in this Subpoena and Information Request have the 

same definition used in TSCA, 15 U.S.C. §§ 2601 through 2695d, and the regulations promulgated 

thereunder. 

A. The terms "and" and "or" shall be construed either disjunctively or conjunctively as necessary to 

bring within the scope of this Subpoena and Information Request any information which might 

otherwise be construed to be outside its scope. 

B. The term "any," as in "any documents," for example, shall mean "any and all." 

C. The term "company" means the entity identified as the addressee on the cover letter to this 

Subpoena and Information Request and all related and affiliated facilities or corporate entities 

(including, but not limited to, parent corporations, subsidiaries, joint ventures, partnerships, and 

affiliates) that manufacture, process, or distribute in commerce mercury and/or mercury compounds. 

D. The terms "distribute in commerce" and "distribution in commerce" when used to describe an 

action taken with respect to a chemical substance or mixture or article containing a substance or mixture 

mean to sell, or the sale of, the substance, mixture, or article in commerce; to introduce or deliver for 

introduction into commerce, or the introduction or delivery for introduction into commerce of, the 

substance, mixture, or article; or to bold, or the holding of, the substance, mixture, or article after its 

introduction into commerce. 

2 Note that EPA has issued guidance that may be relevant in considering whether to assen confidentiality claims. For 

example, the Agency has stated that, in general, EPA expects to find that chemical identity in health and safety studies 

submitted under the Toxic Substances Control Act is not CBI unless it explicitly contains process infonnation or discloses 

ponions of a mixture. 75 Fed. Reg. 29,754 (May 27, 20 I 0). Also, in the interest of transparency, we ask that you exercise 

prudence and assert CBI claims sparingly. 
E. The term "manufacture" means to import into the customs territory ofthe United States (as defined 

in general note 2 ofthe Harmonized Tariff Schedule ofthe United States), produce, or manufacture. 

F. The tenn "mercury" means elemental mercury (Chemical Abstracts Service Registry Number 

7439-97-6). 

G. The term "mercury compound" means mercury reacted with another substance (e.g., mercury 

chloride, mercury oxide, methylmercury). 

H. The term "mixture" means any combination oftwo or more chemical substances if the combination 

does not occur in nature and is not, in whole or in part, the result ofa chemical reaction; except that such 

term does include any combination which occurs, in whole or in part, as a result of a chemical reaction if 

none ofthe chemical substances comprising the combination is a new chemical substance and ifthe 

combination could have been manufactured for commercial purposes without a chemical reaction at the 

time the chemical substances comprising the combination were combined. 

I. The term "person" means an individual, trust, firm, joint stock company, corporation (including a 

government corporation), limited liability company, partnership, association, state, municipality, 

commission, political subdivision of a state, or an interstate body. 

J. The term "process" means the preparation of a chemical substance or mixture, after its 

manufacture, for distribution in commerce: 

1. 	 in the same form or physical state as, or in a different form or physical state from, that in 

which it was received by the person so preparing such substance or mixture, or 

2. 	 as part of an article containing the chemical substance or mixture. 
VII. SUBPOENA AND INFORMATION REQUEST 


Your response to the following questions is due within thirty (30) days of receipt of this request. 


To the extent you know or can reasonably ascertain, EPA requests the following information 

from you in regard to mercury and/or mercury compounds: 

1. 	 List of customers that purchase or otherwise receive mercury from your company as ofJanuary 1, 

2015. For each customer, include contact information (company name, and name, title, mailing 

address, telephone number, and email address of your main contact(s)). 

2. 	 Total quantity in pounds ofmercury manufactured or processed by your company from mercury, 

mercury compounds, or mixtures containing mercury during each of the calendar years 2010 and 

2013. 

3. 	 Maximum quantity in pounds of mercury stored on-site by your company during each of the 

calendar years 2010 and 2013. 

4. 	 Total quantity in pounds of mercury stored on-site by your company for the purpose ofeventual sale 

during each of the calendar years 2010 and 2013. 

5. 	 Total quantity in pounds of mercury stored on-site by your company for the purpose ofeventual 

transfer to a long-term management and storage facility at the U.S. Department of Energy, in 

accordance with 42 U.S.C. § 6939f(g)(2)(B), during each ofthe calendar years 2010 and 2013. 

6. 	 Total quantity in pounds of mercury distributed in commerce by your company during each of the 

calendar years 2010 and 2013. 

7. 	 Ofthe quantity in pounds identified in response to question 6, total quantity in pounds of mercury 

transferred off-site by your company during each of the calendar years 2010 and 2013. 

8. 	 Ofthe quantity in pounds identified in response to question 7, total quantity in pounds ofmercury 

transferred off-site by your company to a separate company for storage and certified for eventual 

transfer to a long-term management and storage facility at the U.S. Department ofEnergy, in 

accordance with the 42 U.S.C. § 6939f(g)(2)(B), during each ofthe calendar years 2010 and 2013. 

Also provide the name and address ofthe receiving facility. 

9. 	 Ofthe quantity in pounds identified in response to question 7, total quantity in pounds of mercury 

transferred off-site by your company to a separate company for processing3 during each of the 

calendar years 2010 and 2013. Also provide the name and address of the receiving facility. 

IO. Ofthe quantity in pounds identified in response to question 6, total quantity in pounds of mercury 

sold by your company during each of the calendar years 2010 and 2013. 

11. Did your company import mercury, mercury compounds, or mixtures containing mercury for 

manufacturing or processing during each of the calendar years 20 I 0 and 2013? Ifso, total quantity in 

pounds ofmercury and/or mercury compounds imported by your company and from which 

country(ies) of origin during each ofthe calendar years 2010 and 2013. 

12. Did your company export mercury during each of the calendar years 20 I 0 and 2013? Ifso, total 

quantity in pounds of mercury exported by your company and to which country(ies) of destination 

during each ofthe calendar years 2010 and 2013. 

3 Do not include quantities transferred off-site for recycling that were reported to the Toxics Release Inventory for calendar 

years 2010 and 2013. 
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

SUBPOENA AND INFORMATION REQUEST 

SIGNATORY: 

JAME J JONES 

ASSIS T ADMINIST TOR 

OFFICE OF CHEMICAL SAFETY AND POLLUTION 

PREVENTION