United States
Environmental Protection Agency
Office of Pollution
Prevention and Toxics
Washington, DC 20460
November 1997
EPA 745-B-97-008
EPCRA Section 313
Questions and Answers
Revised 1997 Version
Section 313 of the
Emergency Planning and
Community Rlght-to-Know Act
Toxic Chemical Release Inventory
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EPCRA Section 313 Questions and Answers
INTRODUCTION
INTRODUCTION
The Environmental Protection Agency (EPA) has prepared this "1997 EPCRA
Section 313 Questions and Answers Document" to help clarify reporting
requirements under Section 313 of the Emergency Planning and Community
Right-to-Know Act (EPCRA, or Title HI of the Superfund Amendments and
Reauthorization Act of 1986, Public Law 99-499). The EPCRA Section 313
program is also referred to as the Toxic Release Inventory or TRI. This docu-
ment supersedes all previous versions of the "EPCRA Section 313 Question
and Answer Document." Use this document as guidance beginning with the
1998 reporting year for reports due July 1,1999.
Under Section 313, facilities are required to report releases and other waste
management of specifically listed chemicals. They also are required to report
transfers of toxic chemicals for waste management to off-site locations. Facili-
ties that meet all three of the following criteria are subject to EPCRA Section
313 release and other waste management reporting:
the facility has 10 or more full-time employees;
the facility is included in Standard Industrial Classification (SIC) codes
20 through 39;! and
tine facility "manufactured" (defined to include imported), "pro-
cessed," or "otherwise used," in the course of a calendar year, any
specified chemical in quantities greater than a set threshold.
Reports under Section 313 (EPA Form R or Form A) must be submitted annu-
ally to EPA and designated State (or Tribal) agencies. Reports are due by July
1 of each year and cover activities at the facility during the previous calendar
year.
The Agency developed this document to facilitate facility reporting and to
provide additional explanation of the reporting requirements. It supplements
the instructions for completing Form R. Terms printed in italics in the text of
the questions and answers are defined in the glossary in Appendix B to this
document. Also, questions and answers that address the revised interpretation
of the term "otherwise use" (62 FR 23834; May 1, 1997) are noted by aster-
isks.
Copies of EPA Form R, instructions for completing the Form, and related
guidance documents are available from the National Center for Environmental
Publications and Information (NCEPI), P.O. Box 42419, Cincinnati, Ohio
Beginning January 1, 1998, an additional seven new industries in SIC codes
outside of 20-39 will be covered by the EPCRA section 313 requirements. For
more information about which industries have been added, refer to the defini-
tion of covered SIC code in the glossary of this document.
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INTRODUCTION
EPCRA Section 313 Questions and Answers
45242-2419. Additional information may be obtained by calling the EPCRA
Hotline at 1(800)535-0202 or by accessing EPA's TRI Homepage on the
Internet at http://www.epa.gov/opptintr/tri.
The questions and answers in this document are organized in sections as listed
in the table of contents on the following page. There is also an expanded
keyword index at the end of this document. The terms in the index are also
found in the sidebar of the document near relevant questions.
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EPCRA Section 313 Questions and Answers
TABLE OF CpNTENTS
TABLE OF CONTENTS
Section 1. DETERMINING WHETHER OR NOT TO REPORT: FACILITY 1
A. Types of Facilities That Must Report 1
B. Employee Threshold 4
C. Persons Responsible for Reporting.... 7
D. Multi-Establishment Facilities , 11
E. Threshold Determinations 14
F. "Manufacturing," "Processing," or "Otherwise Use" 23
G. Importing 41
H. Auxiliary Facilities 43
I. Indian Lands ! 44
Section2. EXEMPTIONS 47
A. General, Personal Use, and Intake Water or Air .... 47
B. Facility Maintenance and Structural Components 50
C. Vehicle Maintenance 56
D. Laboratory Activities 57
E. De Minimis ... 62
F. Articles 70
Section 3. DETERMINING WHETHER OR NOT TO REPORT:
LISTED TOXIC CHEMICALS 83
A. General Questions 83
B. Toxic Chemical-Specific Questions 86
Acids 86
Compound and Compound Categories , 90
Fume or Dust 94
Miscellaneous . 95
C. Mixtures 107
Section 4. COMPLETING THE FORM R: RELEASES AND
WASTE MANAGEMENT CALCULATIONS 109
A. Releases of the Toxic Chemical 109
B. Transfers to Off-Site Locations 127
C. Waste Treatment Methods and Efficiency 132
D. Waste Management 135
Section 5. FORM A AND FORM R SUBMISSIONS 139
A. Form A (Alternate Threshold Reporting) 139
B. Form R Submissions 141
C. Form R Withdrawals 150
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TABLE OF CONTENTS
EPCRA Section 313 Questions and Answers
Section 6. SUPPLIER NOTIFICATION 155
Section 7. TRADE SECRETS 171
APPENDIX A. SECTION 313 POLICY DIRECTIVES 173
DIRECTIVE #1 - ARTICLE EXEMPTION 174
DIRECTIVE #2 - DE MINIMIS EXEMPTION 176
DIRECTIVE #3-MOTOR VEHICLE EXEMPTION 181
DIRECTIVE #4 - COMPOUNDS AND MIXTURES 183
DIRECTIVE #5 - TOXIC CHEMICAL CATEGORIES 185
DIRECTIVE #6 - PCBs THRESHOLD DETERMINATION AND
RELEASE AND OTHER WASTE MANAGEMENT
REPORTING 187
DIRECTIVE #7 - DEFINITION OF "OTHERWISE USE"
(Effective Reporting Year 1998) 189
DIRECTIVE #8-AMMONIA AND AMMONIUM SALTS 194
DIRECTIVE #9 - SUPPLIER NOTIFICATION REQUIREMENTS 198
APPENDIX B. GLOSSARY 205
INDEX - 209
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EPCRA Section 313 Questions and Answers
SECTION 1
Reporting
Criteria
Reporting
Criteria, Form
R, Form A,
Alternate
Threshold
Reporting
Criteria,
Facility
Closure
SIC Code,
Definition of
Facility, Vessels
Section 1. DETERMINING WHETHER OR NOT TO REPORT: FACILITY
A. Types of Facilities That Must Report
1. Whatfacilities are subject to EPCRA Section 313 reporting?
Facilities must report release, transfer, and other waste management informa-
tion pursuant to EPCRA Section 313 if they: (1) have 10 or more full-time
employees or the equivalent; (2) are in a covered SIC code; and (3) exceed any
one threshold for "manufacturing" (including importing), "processing," or
"otherwise using" a toxic chemical listed in 40 CFR Section 372.65.
2. Is A facility which meets the employee and toxic chemical activity
thresholds, and is in a covered SIC code described in question one, re-
quired to report if it had no releases of the toxic chemical during the
reporting year?
Yes, even if it releases no toxic chemicals into the environment, the facility must
submit either the Form R or Form A (Alternate Threshold Certification Statement).
If One, facility meets the employee and chemical activity thresholds and is in a
covered SIC code, but it's annual reportable amount of the toxic chemical does not
exceed 500 pounds and the facility has not "manufactured," "processed" or "other-
wise used" more than one million pounds of the toxic chemical, the facility may
submit Form A (the two page certification statement) instead of the Form R.
However, if the facility exceeds either the 500 or one million pound limits, it must
report on the Form R. (See Section 5 A of this document on Alternate Threshold
Reporting.)
3. Must the Form R report be submitted by July 1 for facilities that were
in operation during part of the reporting year, but which were closed by
December 31?
Yes. A facility that operated during any part of a reporting year must report if
it meets the reporting criteria for that reporting year.
4. In Alaska several fish processors have factories on ships. They use
ammonia and chlorine in their fish processing operations. Is each ship a
covered facility under Section 313 or is the whole group of ships (assume
one company) a covered facility'!
A facility is defined as all buildings, equipment, structures, and other stationary
items which are located on a single site or adjacent or contiguous sites owned
or operated by the same person (40 CFR Section 372.3). A ship is not & facility
as defined under Section 313. It is not stationary and it is not located on a
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SECTION 1
EPCRA Section 313 Questions and Answers
single site (if it moves to other locations). Therefore, the ships should not
report even if they are in a covered SIC code.
Definition of
Facility,
Facility
Construction
Pipeline,
Facility
Definition of
Facility,
Contiguous/
Adjacent
SIC Code
5. A recently constructed/ad% which has not begun production but is in
a covered SIC code has used several listed toxic chemicals in preparing a
reactor bed and distillation columns for manufacturing. Is the facility
required to report these chemicals if they exceed the threshold levels?
Yes. Once a covered facility has been, constructed, any toxic chemicals used to
prepare production equipment for manufacturing activities must be included in the
threshold determinations that reporting year. This includes start-up activities.
6. A petroleum/a«7#y sends its hazardous waste containing a Section 313
toxic chemical to a land treatment facility by underground pipeline. The
two facilities are owned and operated by the same individual. The land
treatment/aci/iYy is not adjacent nor contiguous to the petroIeum/aci/tYy,
but the petroleum/ac/% maintains "right-of-way" of the pipe-line. Are
the two facilities considered to be one under EPCRA Section 313?
/
Since the land treatment facility is not adjacent nor contiguous to the petroleum
facility and they are connected only by a pipeline, the facilities are considered
two separate facilities with the same owner/operator, even though the petro-
leum jfac//#y controls "right of way" of the pipeline. However, releases and
other waste management activities associated with loading or unloading activi-
ties or leaks from a pipeline within the facility would be covered.
7. A company had been operating its manufacturing processes in a leased
warehouse that is neither contiguous nor adjacent to the facility. In June,
it bought a different warehouse and moved the manufacturing operations
there. These two locations are neither adjacent nor contiguous. The
company did not shut down or close during this time. How should the
company make threshold determinations and report for Section 313?
Because the operations were carried out at two distinctly separate, physical
sites, the company operated two separate facilities. The company, therefore,
must make threshold and release determinations and other waste management
estimates individually for each facility. The company need only file Form Rs
for the facility'(ies) that exceeded the reporting thresholds during the reporting
year. If independently both/acz7ifies meet the reporting criteria, the company
must submit the appropriate forms for each facility.
8. Facilities in the scrap and waste materials businesses are in SIC Code
5093, indicating that they assemble, shred, sort, melt, and wholesale scrap
metal ingots and waste materials. When they landfill residuals a small
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EPCRA Section 313 Questions and Answers
SECTION 1
SIC Code
Reporting
Criteria, SIC
Code
SIC Code,
FormR
Revisions
SIC Code,
NAICS
volume of air pollutants are generated. How extensive will the reports be
for such operations?
Such scrap metal processing facilities are not covered by Section 313 reporting
requirements if their primary SIC codes are in 5093.
9. Is an automobile proving ground facility subject to reporting under
Section 313?
Provided the automobile proving ground is not an auxiliary facility, the SIC
code for "automobile proving and testing grounds" is 8734. It, therefore, is not
within a covered SIC code and would not need to report.
10. I run a trucking company and all I do is pick up the chemicals at the
vendor and take them to the customer. Must I report under Section 313?
Trucking companies are generally not in a covered SIC code. If you are not in
a covered SIC code, then you are not required to report under Section 313.
11. ^facility whose SIC code is outside the covered SIC codes believes that
their current SIC code is misrepresentative of the facility's activities. In
actuality, the facility may be better represented by an SIC code within the
covered SIC codes. If the facility changes its SIC code to a covered group,
should they back report for previous reporting years under EPCRA
Section 313?
/
If the facility has not altered its operations and should have been classified in a
covered SIC code and has met the threshold and employee criteria, it is re-
quired to report for all the previous years under Section 313 of EPCRA. If the
mix of activities at the facility shifted from non-covered to covered SIC codes,
then it should begin reporting for the year in which the change occurred.
12. Effective January 1,1997, the Office of Management and Budget
adopted the North American Industry Classification System (NAICS). a
new economic classification system that replaces the 1987 Standard Indus-
trial Classification (SIC) system (62 FR17228; April 19,1997). How will
EPA update its EPCRA Section 313 regulations to reflect this change?
EPA will be addressing this SIC code change, as it relates to EPCRA Section
313, in an upcoming Federal Register notice.
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SECTION 1
EPCRA Section 313 Questions and Answers
Employee
Threshold,
Contractor
Hours
Employee
Threshold,
Vacation
Hours, Sick
Leave
Employee
Threshold,
Part-Time
Employee,
Full-Time
Employee
B. Employee Threshold
13. When should an individual's time spent working for a facility be
counted for purposes of determining whether or not a facility exceeds the
20,000 hour employee threshold?
If an individual is employed by the facility or by the facility's parent company
to work for the facility, then all of the hours worked by the individual should be
counted toward the 20,000 hour employee threshold. For example, a headquar-
ters engineer spends most of her time at headquarters but some of her time is
spent at a covered facility. The time the engineer spends at the covered facility
and the time the engineer spends working for the covered facility while at
headquarters should be included in the facility's employee threshold determina-
tion. If the individual is hired by the facility (or by the facility's parent com-
pany) as a contractor to work at the facility and is based at the facility, then all
hours worked by the contractor should be counted. If the individual is not an
owner, contractor, nor an employee of the facility, then the individual's time
spent working at the facility should not be counted toward the 20,000 hour
employee threshold. For example, the time spent by individuals who are perform-
ing intermittent service functions at the facility such as muncipal trash collectors
or the electric utility company repairing power lines should not be counted.
14. Under the Section 313 regulations a full-time employee is defined to
"...mean 2,000 hours per year of full-time equivalent employment." The
definition of full-time employee goes on to stipulate that "(a) facility would
calculate the number of full-time employees by totaling the hours worked
during the reporting year by all employees including contract employees
and dividing the total by 2,000 hours" (40 CFR Section 372.3). (It follows
that 20,000 hours worked is equivalent to 10 full-time employees.) When
calculating the total number of hours worked by all employees during the
reporting year should vacation and sick leave used be included toward the
20,000 hour threshold?
Yes. When making the full-time employee determination the facility should
consider all paid vacation and sick leave used as hours worked by each em-
ployee who claims such vacation or sick leave. If the facility meets or exceeds
the 20,000 hour threshold (including vacation and sick leave), the facility is
considered to have 10 or more full-time employees.
15. Would a facility with nine full-time employees and four part-time
employees be required to report under Section 313?
The total hours worked by all employees should be reviewed. A full-time
employee is defined on a time equivalent basis of 2,000 labor hours per year
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EPCRA Section 313 Questions and Answers
SECTION 1
Employee
Threshold,
Full-Time
Employee
Employee
Threshold,
Full-Time
Employee
Employee
Threshold,
Sales Staff
Employee
Threshold,
Truck Drivers
(40 CFR Section 372.3). If the total hours worked by all employees at a
facility including contractors, is 20,000 hours or more, the criterion for number
of employees has been met.
16. A manufacturing/a«% has 8 employees. Each employee worked
2,500 hours in the reporting year. Consequently, the total number of
hours worked by all employees at this facility is 20,000 hours. How should
the facility determine whether it meets the 10 full-time employee threshold
for purposes of reporting under Section 313?
One full-time employee is equal to 2,000 hours (40 CFR Section 372.3). The
number of full-time employees is determined by dividing the total number of
hours worked, 20,000, by 2,000 hours, or 10 full-time employees. Therefore,
even though only eight persons worked at this facility, the number of hours
worked is equivalent to 10 full-time employees, and this facility has met the
employee criterion.
17. Is an "employee" a group of people who work 2,000 hours per year
(such as three people who work 1/3 tune) or is it one person who works
full-time?
An "employee" can be either a single person or a group of people, including the
owner. The regulatory criterion is that the total hours worked by all employees is
equal to or greater than 20,000 for that reporting year at foe facility.
18. Does the full-time employee determination include the hours worked
by sales staff whose office is included in the same building as the produc-
tion staff?
Yes. All persons employed by a facility regardless of function (e.g.. sales,
clerical) or location count toward the employee threshold determination (40
CFR Section 372.22(a)).
19. The employee threshold under Section 313 is 10 full-time employees or
the equivalent, 20,000 work hours/year. This includes all sales staff, cleri-
cal staff and contractors. Would this also include delivery truck drivers
who returned to the facility only to pick up a shipment and then leave
again?
If the truck drivers are employed by the facility or the facility's parent com-
pany, and paid by the facility or by the parent company, then they are employ-
ees of the facility and would be factored into the employee threshold. If they
are based at the covered facility, all of the hours worked by the truck drivers are
counted towards the employee threshold. If the truck drivers are not based at
the covered facility, then only their time spent servicing the covered facility is
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SECTION 1
EPCRA Section 313 Questions and Answers
considered towards the employee threshold. However, facilities are not re-
quired to count hours worked by contract drivers.
Employee
Threshold
Employee
Threshold,
Facility Owner,
Profit Share
Employee
Threshold,
Permanent
Disability
Employee
Threshold,
Contractors
Employee
Threshold,
Contractors
20. A facility covered under EPCRA Section 313 has nine full-time em-
ployees and one part-time employee. The facility also has an employee who
works at the facility, but does not draw a salary. Should the hours worked
by the employee who does not draw a salary be counted towards the
employee threshold for the facility?
Yes. Even though the employee does not draw a salary, he/she is still working
for the facility. Therefore, the employee's hours must be counted towards that
facility's employee threshold.
21. The owner of a covered facility does not work at the facility but draws
an income from profit sharing. Would he/she be considered an employee
according to the definition under Section 313 of EPCRA (40 CFR Section
372.3)?
No. If the owner of the facility does not work at the facility and only draws a
profit share, the owner is not considered an employee and the reporting facility
will not count the owner towards the employee threshold.
22. A covered facility under EPCRA Section 313 has nine full-time employ-
ees. The facility also has one paid employee who is on permanent disabil-
ity. Should the facility include this employee in their employee threshold
determination (40 CFR 372.22(a))?
No, the facility does not have to include the disabled employee when determin-
ing their employee threshold. The employee would be considered the equiva-
lent of a retired employee.
23. An establishment leases one acre of land adjacent to the reporting
facility from a three-acre strawberry farm. The facility imports and re-
packages methyl bromide for sale and distribution. Does the facility have
to include the strawberry pickers when determining whether the 10
hour-time employee equivalent criterion applies?
The reporting/aa//fy should not tabulate the hours worked by farm workers it
does not pay. If however, the reporting/acz7z£y actually employs or contracts
with these farm workers then the hours worked on-site by these workers would
count towards the 10 fall-time employee equivalent (40 CFR Section 372.3).
24. A manufacturing company that normally employs only four employ-
ees hires a construction company to modify its facility. The construction
workers are employees of the construction company and worked on-site
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EPCRA Section 313 Questions and Answers
SECTION 1
Employee
Threshold,
Facility Owner
Employee
Threshold,
Facility
Closure
Reporting
Responsibility,
Owner/
Operator
for several months. Do the hours worked by the construction workers
count toward the 10 or more full-time employee threshold (20,000 hours of
work)?
Yes. The hours any contract employee works on-site or off-site for the facility
must be counted toward the 20,000 hour threshold (40 CFR Section 372.3). In
general, a contract employee is a person working on-site or off-site for the
facility under a specific contractual agreement performing specific tasks or
services for the facility, except intermittent trash pick-up.
25. If an individual both owns and works at a facility, how should the
owner's time be accounted for when determining whether or not the
facility exceeds the 20,000 hour employee threshold?
The owner must be counted as the equivalent of a. full-time employee of the
facility and his/her hours must be applied toward the 20,000 hour employee
threshold.
26. A manufacturing/aci% was shut down on January 30,1996. Be-
tween January 1,1996 and January 30,1996, the facility "manufactured" a
toxic chemical in excess of 25,000 pounds, and 10,000 hours were worked
at the/aci%. After the "manufacturing" activities ceased on January 30,
1996, six employees remained to work on electrical wiring and warehouse
activities. For purposes'of reporting under EPCRA Section 313, does the
facility have to add the working hours of the 6 employees to the 10,000
hours worked during January 1996 in order to determine if 20,000 hours
or more were worked at the facility during reporting year 1996?
Yes. In calculating the working hours, the manufacturing facility has to in-
clude the employees who worked after the facility ceased actual "manufactur-
ing" operations regardless of the type of work they did (the number of hours
worked do not necessary correlate directly to the "manufacturing" activities).
If, during the 1996 reporting year, the total working hours at the facility is
equal to or in excess of 20,000 hours, the facility owner/operator is subject to
reporting for that reporting year (40 CFR Section 372.22).
C. Persons Responsible for Reporting
27. Is the owner or the operator responsible for reporting?
Both the owner and the operator are subject to the Section 313 reporting
requirements. If no reports are received from a covered facility both persons
are liable for penalties, provided that the facility was required to file a Form R
or Form A. As a practical matter, EPA believes that the operator is more likely
to have the information necessary for reporting.
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SECTION 1
EPCRA Section 313 Questions and Answers
Reporting
Responsibility,
Change of
Ownership
Reporting
Responsibility,
Change of
Ownership
Reporting
Responsibility,
Change of
Ownership,
Definition of
Facility
28. Who is obligated to report toxic chemical releases in a given reporting
year if the facility has changed ownership during the year? Would both
owners be obligated to file separate Form Rs for that year?
The owner/operator of the facility on the annual July 1 reporting deadline is
primarily responsible for reporting the data for the previous year's operations
at that facility. Any other owner/operator of the facility from January 1st of the
reporting year to June 30th of the year in which reports are due may also be
held liable. The reports submitted must cover the full reporting year.
29. A company purchased a facility in September through bankruptcy
proceedings. The previous owner of the/ac/% filed Form Rs under
EPCRA Section 313 for the preceding reporting year. The new owner of
the facility has no plans to continue any manufacturing activities at the
site. All listed EPCRA Section 313 toxic chemicals at the facility were
removed or sold by the previous owner as terms of the bankruptcy pro-
ceedings prior to final sale to the new owner. Who must submit Form Rs
for the months during the reporting year that the facility was in operation?
The new owner/operator of the facility is liable for filing Form Rs for the
months of operation during the previous reporting year since he/she is the
owner/operator of the facility on the reporting deadline. The purchase of a
facility through bankruptcy proceedings does not negate the liability for report-
ing activities at ±e facility during the period it was in operation. The new
owner/operator must make every attempt to acquire the necessary information
to determine if Form Rs are to be submitted for the reporting year. If reports
must be filed, the new owner/operator must submit them in a timely and
accurate manner.
30. A facility owner sold a quarter of his plant to another company. This
purchase transaction was finalized January 15,1996. The quarter of the
plant that was sold was moved to its new location in April of the same year.
During the period between sale and move, the entire/ac/% kept operat-
ing. The new owner, however, controlled and operated the sold part of the
facility. For purposes of reporting under EPCRA Section 313, is the
original owner responsible for 1996 reporting for the part of the facility
that was sold?
From the time of the purchase transaction on January 15, there are two separate
facilities with two non-related owners and separate operators. Therefore, the
original owner only needs to report three quarters of the facility, if he "manu-
factured" "processed" or "otherwise used" a toxic chemical equal to or in
excess of a threshold amount for 1996. (Note: The original owner would also
include in threshold determination and release and other waste management
calculations any activities that went on in that part of the facility that was sold
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EPCRA Section 313 Questions and Answers
SECTION 1
Reporting
Responsibility,
Change of
Ownership,
NON
Reporting
Responsibility,
Owner/
Operator,
Business
Interest
Parent
Company, Joint
Venture
Definition of
Facility, Joint
Venture
from the beginning of January 1996 up to the time of the purchase transac-
tion.) The owner of the quarter of the facility also needs to report, if that
facility exceeds the reporting threshold during the period of January 15,1996
through April 1996. Once the facility is moved to its new location, a new
threshold determination must be made for the remainder i of the reporting year.
However, the original owner and purchaser may agree (in their purchase
transaction, for example) that the original owner will prepare and submit
reports that reflect activities that occurred at the portion of the facility that was
sold prior to its moving to the new location.
31. When a facility changes ownership after a Form R has been submit-
ted, who is required to respond to a Notice of Non Compliance (NON)
related to the Form R? Is the current or prior owner/operator required
to respond to the NON?
The current owner/operator has the primary responsibility for responding to a
NON. However, all prior owners/operators back to January 1 of the reporting
year may also be held responsible if the current owner/operator does not
respond to the NON in an accurate, complete and timely manner.
32. Would an owner of a facility who has no knowledge of any operations
at the facility be responsible for reporting?
An owner with no business interest in a. facility beyond owning the real estate
on which the covered facility is located is not responsible for reporting (40
CFR Section 372.38(e)). If the owner is part of the same business organiza-
tion as the operator, or has a business interest in the facility and contracts out
the operation of a particular site, he/she is not exempt from reporting.
33. Who is the parent company for a 50/50 joint venture?
The 50/50 joint venture is its own parent company.
34. An EPCRA Section 313 covered facility transfers wastes containing a
toxic chemical to a 50/50 joint venture company for treatment. The joint
venture is located within the property boundaries of the covered facility,
and is a partnership between the owners of the covered facility and a
separate company. Is the joint venture a separate/actffty as defined in 40
CFR Section 372.3?
The term "facility" includes all "buildings, equipment, structures, and other
stationary items which are located on a single site or on contiguous or adja-
cent sites and which are owned or operated by the same person (or by any
person which controls, is controlled by, or under common control with such
person)" (40 CFR Section 372.3). The joint venture is a separate facility
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SECTION 1
EPCRA Section 313 Questions and Answers
because a 50/50 joint venture is its own parent company. As its own parent
company, the joint venture is not owned nor operated by the same person (or
by any other person which controls, is controlled by, or under common control
with such person) as the covered facility.
Parent
Company,
Wholly Owned
Subsidiary
Reporting
Responsibility,
Facility
Facility,
Business
Interest, Multi-
Establishment
Definition of
Facility,
Contiguous or
Adjacent
35. Mom and Pop Plastics is a wholly owned subsidiary of a major chemi-
cal company which is a wholly owned subsidiary of Big Oil Corp. Which
is the parent company?
Big Oil Corporation is the parent company.
36. Company A owns a facility which manufactures crude oil. It sells the
crude oil to Company B, but the oil is kept in tanks on Company A's
facility that are leased to Company B. Who is subject to reporting under
Section 313?
Since the.tanks are part of Company A's facility and they are the owner/opera-
tor of ih& facility, Company A would be subject to Section 313 reporting for
any releases and any other waste management activities involving toxic chemi-
cals from the tank.
37. A fish processor rents space in a building. The refrigeration system in
the building uses ammonia. The building owner supplies the ammonia,
runs the refrigeration system, and bills the fish processor based on the
amount offish processed. Must the fish processor report for ammonia?
Another business, a frozen food packager also uses the refrigeration
system but is a separate company from the fish processor.
The owner of the building must report on the ammonia if the threshold for
ammonia is exceeded since he/she is operating the system - he/she has more
than just a real estate interest in the property. If both businesses are in covered
SIC codes and the owner is operating part of thai facility, he/she should report.
38. How would a facility report toxic chemicals in wastes that are treated
in waste treatment units that it does not own? For example, if a facility
sold a unit that is within its contiguous property to another company,
which/ac/% should report?
The facility creating the waste containing the toxic chemical would report the
toxic chemicals as an off-site transfer. Assuming the waste treatment units are
neither owned nor operated by the facility creating the waste, the waste treat-
ment is a separate/ac////y. The waste treatment/aa'/jYy would only report if
they "manufacture" "process," or "otherwise use" the toxic chemical in excess
of the thresholds. In that case, the waste treatment facility would report any
10
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EPCRA Section 313 Questions and Answers
SECTION 1
Primary SIC
Code, Multi-
Establishment
Definition of
Facility,
Establishment,
SIC Code
SIC Code,
Multi-
Establishment
Multi-
Establishment,
Activity
Threshold
release or other waste management activities associated with the toxic chemi-
cal at its facility.
D. Multi-Establishment Facilities
39. What is the definition of primary SIC code? How can there be more
than one primary SIC code for a facility'!
A primary SIC code generally represents those goods produced or services
performed by an establishment that have the highest value added of production
or produce the most revenues for the establishment. Form R and Form A
provide space for more than one primary SIC code because a facility may be
made up of several establishments each of which may have a different primary
SIC code.
40. Clarify the application of SIC codes for facility versus establishment"!
The SIC code system classifies businesses on the basis of an establishment,
which is generally a single business unit at one location. Many Section 313
coveted facilities will be equivalent to an establishment. However, a reporting
facility can encompass several establishments located within a property bound-
ary owned/operated by the same entity. Therefore,a facility can be a
multi-establishment complex.
41. Suppose a facility consists of several establishments, some of which
have primary SIC codes within the covered SIC codes and some of which
have primary SIC codes outside that range. How would this/oc/% deter-
mine if it needs to report?
The/acz7ify must report if those establishments that are in the covered SIC
codes have a combined value of more than 50 percent of the total value of
services provided or products shipped or produced by the whole facility, or if
one of those covered SIC code establishments has a value of services or prod-
ucts shipped or produced that is greater than any other establishment in the
facility (40 CFR Section 372.22(b)(3)).
42. A facility is comprised of several establishments. None of the establish-
ments meet a chemical activity threshold separately, but together, the
facility exceeds a chemical activity threshold. Since no single establishment
exceeds the reporting quantities, is it necessary for the facility to file the
Form R for each establishment within that/aci/ity?
The facility, not the establishments, must report if the/acz'% meets all other
reporting criteria. The threshold determination for "manufacture" "process,"
11
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SECTION 1
EPCRA Section 313 Questions and Answers
or "otherwise use" of the listed chemical must be made by adding the amounts
of the chemical from appropriate activities of all the facility's establishments.
Facility, Multi-
Establishment
Primary SIC
Code, Multi-
Establishment
Multi-
Establishment,
Off-site
Transfer, Form
R Submission
43. If a company has a plant in one state which "processes" 15,000 pounds
of methanol and a plant in another state which "processes" the same
amount of methanol, do both plants have to report as establishments of a
facility?
No. The two processing plants are separate facilities because they are not
located within the same, or adjacent, or contiguous physical boundary. Thus,
their activities are not additive, and neither would report for methanol because the
"processing" threshold of 25,000 pounds has not been met by either facility. ,
44. A muIti-establishment/oc/% grows wheat and mills it into flour. At the
agriculture portion of the facility, all of the wheat grain is grown, harvested
and placed into a silo. After leaving the silo, 20 percent of the wheat gram is
sold, while the remaining 80 percent of the wheat gram is milled into flour
and packaged. If the facility farms and sells more than it mills into flour and
sells, is it a covered facility! What is the primary SIC code?
In order to make the facility coverage determination, the facility must compare
the relative value of products shipped and/or produced at the two different
establishments (i.e.. agriculture versus the flour processing). The value of the
product produced at the agricultural establishment (SIC code 0111, not in a
covered SIC code) is the market value of all the wheat grain harvested during
the reporting year. The value of product from the milling/packaging establish-
ment (in SIC code 2041, a covered SIC code) is the value of the products
shipped and/or produced minus the market value of the wheat grain used to
produce the flour. In other words, you do not double count the value of the
wheat grain as part of the value of products from the flour processing opera-
tion. If the "value-added" of milled flour products is greater than the value of
harvested grain, then the facility's primary SIC code would be within a covered
SIC code and would be subject to reporting.
45. Each establishment of a multi-establishment facility files its own Form
R for a toxic chemical. The waste that this multi-establishment/aci'/fty
ships off-site is inventoried on an entire facility basis. To report the listed
toxic chemical in this waste, does each establishment estimate their per-
centage of the total listed toxic chemical in the waste or can one establish-
ment report the entire quantity of the listed toxic chemical in the waste?
If individual establishments or groups of establishments report separately for
one listed toxic chemical they must report separately all releases and other
quantities of the toxic chemical managed as waste. Therefore, in the case cited
above, one establishment cannot report the off-site transport quantity of a toxic
-------
EPCRA Section 313 Questions and Answers
SECTION 1
Multi-
Establishment,
Part II
Section 3
Multi-
Establishment,
Facility, Right-
of-Way
Multi-
Establishment,
Facility,
Pipeline
chemical in waste from the entire facility. Each establishment would have to
report separately their percentage of the transfer quantity.
46. A. facility consists of many establishments and the operators have
chosen to file Form Rs by establishment rather than as a facility. Estab-
lishment #1 has a manufacturing process that "otherwise uses" over 10,000
Ibs. of a listed toxic chemical. Establishment #1 sends its wastewater to
Establishment #2 where it is treated. Establishment #2 just treats the toxic
chemical and does not use it anywhere else. Since a Form R has to be filed
because of Establishment #l's activities, how is the operator of Establish-
ment #2 to fill out the Form R, specifically Part II Section 3 for activities
and uses at the facility, and reflect the releases resulting from the waste
treatment?
Since the facility has chosen to report separately as two establishments, rather
than not answering that Section of the Form R, it is preferred to check the
block 3.3c for "otherwise use" as an ancillary use. The rest of the Form R can
be filled out as if that second establishment had triggered reporting itself. If
any further questions were to arise about activities at Establishment #2, its
required recordkeeping should indicate that the Form R is for treatment only
and reflects releases and other waste management activities transferred to
Establishment #2 by the facility.
47. Two manufacturing establishments, owned by the same corporation
are divided by a public railroad. One establishment has rented parking lot
space from the other establishment, and a walkway was constructed so the
employees can go over the railroad tracks to the parking lot. Is this a
multi-establishment facility or two separate facilities'!
Two establishments owned by the same corporation separated by a railroad
constitute one facility for Section 313, since they are still physically adjacent to
one another except for a public right-of-way. Therefore, reporting thresholds
would be determined by the combined toxic chemical volumes "processed"
"manufactured," or "otherwise used" at both establishments.
48. Two manufacturing plants owned by the same parent company are
connected to each other by a thin patch of land on which a pipeline rests
that joins the two plants. The pipeline and connecting land are also owned
by the same parent company. For the purposes of reporting on the Form
R, are the plants considered two separate facilities, or are they establish-
ments of the same facility"!
Under 40 CFR Section 372.3 the definition of facility means, "all buildings,
equipment, structures, and other stationary items which are located on a single
site or on contiguous or adjacent sites and which are owned or operated by the
13
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SECTION 1
EPCRA Section 313 Questions and Answers
same person (or by any person which controls or is controlled by or under
common control with such person)." A. facility may contain more than one
establishment. Since both plants are connected to each other by a strip of land
that is owned by the same parent corporation, they are contiguous and, there-
fore, are considered adjacent establishments of the same facility. This facility
must make threshold determinations based on the combined amounts of listed
toxic chemicals at both establishments. Both establishments may report to-
gether as the same facility or they may report separately provided that the sum
of the releases of the establishments reflects the total releases of the facility and
threshold determinations are based on activities at the entiiefacility.
Threshold
Determination,
Othenvise Use,
Multiple
Othenvise Use
Steps
Process
Threshold
Determination,
Storage, Metal
Alloy, Mixture
E. Threshold Determinations
49. Pi. facility buys 10,000 pounds of a listed toxic chemical in one year and
creates a mixture for a metal cleaning bath. In the following year, the
facility begins cleaning metal in the bath. How does the facility determine
thresholds for both years?
The threshold applies to the total amount of the toxic chemical "otherwise
used" during the reporting year that the mixture was created. The facility
would count the entire 10,000 pounds and any amount added to the bath during
that year toward the "otherwise use" threshold the first year. Only the amount
of the toxic chemical added to the bath during the second year would be counted
toward the "otherwise use" threshold determination for the second year.
50. A. facility owner/operator begins a process hi December 1996 by mix-
ing a batch of listed toxic chemicals into their product formulation. The
mixture remains in the vat until January 1997. At that tune, the mixture is
packaged into quart containers and sent to their customers. For Section
313 threshold purposes, are the toxic chemicals in the mixture considered
"processed" in 1996 or 1997?
"Process" is defined as "the preparation of toxic chemical, after its manufac-
ture, for distribution in commerce" (40 CFR Section 372.3). The Agency
interprets the activity of "processing" to be reportable when the toxic chemi-
cals are initially prepared. Therefore, the amount of toxic chemicals mixed in
1996 would be added to the "processing" threshold determination for 1996.
51. Does steel in storage constitute a covered activity? How would steel
that meets a reportable activity threshold be reported?
In general, the storage, in itself, of steel does not constitute a covered activity.
However, if the listed toxic chemicals in the steel are used elsewhere at the
facility and meet an activity threshold, any releases of the toxic chemical from
14
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EPCRA Section 313 Questions and Answers
SECTION 1
Activity
Thresholds,
Storage,
Maximum
Amount
On-Site
Threshold
Determination,
Storage
Reuse System,
Threshold
Determination
Reuse System,
Closed-loop,
Otherwise Use
the steel in storage would be considered in release and other waste manage-
ment determinations.
Steel itself is a metal alloy, which is a mixture of chemicals (metals). The
weight percent of the listed toxic chemicals in the steel must be multiplied by
the weight of the steel to determine if the threshold amount for any listed toxic
chemical (metal) is met. Individual listed toxic chemicals (e-g,, lead, copper)
that are actually "processed" or "otherwise used" (not in storage) count
toward the threshold determinations for reporting.
52. Jf a facility has a chemical in storage but does not "process" or "other-
wise use" it during the reporting year, is the owner/operator subject to
reporting?
No. The activity of storage in itself would not meet an activity threshold under
EPCRA Section 313 (Note: the facility may have reporting requirements under
other portions of EPCRA such as Sections 311 and 312). However, if the
facility exceeds the "manufacturing," "processing," or "otherwise use" thresh-
old for the same toxic chemical elsewhere at the facility, the facility must
consider releases from the storage of the toxic chemical. The facility must also
consider the amount of the Section 313 chemical in storage when calculating
the maximum amount on-site during the year.
53. Are materials in inventory fi.e.. amounts on hand at year end) factored
into threshold determinations?
No. Only quantities of a toxic chemical actually "manufactured" (including
imported), "processed," or "otherwise used" during the reporting year are to
be counted toward a threshold.
54. If a facility employs a reuse system, how does it determine the amount
that it must consider for threshold determinations?
For reuse systems, the amount considered for threshold determination purposes
is the amount added to the system during the reporting year. If the system is
completely empty and is started up during the year, a facility makes its thresh-
old determination by adding the total amount needed to .charge the system to
any amount which is added to the system during the reporting year.
55. Many facilities maintain reuse operations such as closed-loop refrig-
eration systems. IE a facility utilizes 15,000 pounds of ammonia as a cool-
ant in a closed-loop refrigeration system, this amount of the toxic chemical
is considered "otherwise usea" under EPCRA Section 313 because the
ammonia is not incorporated into the final product. Only the amount of a
listed toxic chemical added to a refrigeration system during the reporting
15
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SECTION 1
EPCRA Section 313 Questions and Answers
year must be included in the threshold calculation. If the facility replaces
its refrigeration system but uses the same ammonia to maintain the new
system, must the transferred ammonia be considered "otherwise used" and
therefore included in threshold determinations for EPCRA Section 313
reporting?
In such reuse systems, the amount of listed toxic chemical which must be applied
toward the "otherwise use" threshold would include any quantity added as a result
of start-up or total replacement of the contents of the reuse operation. If a reuse
system is completely empty and is started up during the year, a. facility must base
its threshold determination on the total amount initially needed to charge the
system plus any amount which is subsequently added to the system during the year.
In this case, the 15,000 pounds of ammonia should have been counted towards the
"otherwise use" threshold when it was first used to charge the old system and any
ammonia added to maintain the level of ammonia hi the old system should also
have been counted towards the "otherwise use" reporting threshold in the year that
it was added. If tins facility is reusing ammonia from the old system by simply
using it again in a new system this amount of ammonia would not have to be
counted towards the "otherwise use" threshold because it should have already been
counted towards that threshold.. This is consistent with EPA's past determinations
that once a chemical has been counted towards the "otherwise use" threshold, any
further use of that listed chemical at a. facility does not need to be counted again
towards the "otherwise use" threshold.
Recycling,
Reuse System,
TJireshold
Determination
Threshold
Determination,
Remediation
56. A toxic chemical in a solvent is used, recycled on-site, and then reused
as a solvent at the facility. How is that toxic chemical handled for the
purpose of threshold determination for Section 313?
For solvents in an on-site recycle and reuse system, the total amount of new
toxic chemical added to the-system during the reporting year is counted to-
wards the "otherwise use" threshold. The amount of the toxic chemical that is
reckculated in the recycle/reuse system is not considered unless it is replaced.
57. If you operate a treatment plant as part of remediation at a Superfund
site on your facility, do contaminants (already present at the site) have to
be included in calculating thresholds and releases and other waste manage-
ment activities?
EPCRA Section 313 listed toxic chemicals undergoing remediation are not
included in threshold determinations because remediated chemicals are not
"manufactured," "processed," or "otherwise used." However, if a covered
facility exceeds an activity threshold for a listed toxic chemical elsewhere at
the facility any releases and other waste management activities of the listed
toxic chemicals undergoing remediation must be included in the facility's
release and other waste management calculations. In that event, a release does
16
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EPCRA Section 313 Questions and Answers
SECTION 1
Threshold
Determination,
Remediation,
Release
Reporting,
Intake Water
Exemption
Threshold
Determination,
Release
Reporting,
Otherwise Use
Manufacture,
Import,
Threshold
Determination
Threshold
Determination
not include material already in a landfill but does include any material released
to the environment or transferred off-site due to the remedial activity.
58. A facility removes toxic chemicals from groimdwater in a clean-up
action. The listed toxic chemicals, after treatment, are sent off-site for
disposal. Is the facility required to report? Does the exemption for intake
water apply?
Since the toxic chemicals are not "manufactured" "processed" or "otherwise used,"
no reporting threshold applies to the cleanup action. If the toxic chemicals are
"manufactured," "processed" or "otherwise used" elsewhere at the facility and
exceed a threshold, releases and other waste management activities from the
cleanup must also be reported on the Form R. The intake water exemption
does not apply since the toxic chemicals are not being used in a "process"
activity.
*59. A toxic chemical manufacturer (SIC code 28) receives other facilities'
wastes containing toxic chemicals and disposes of them in their Class I
UIC well. Does the receiving/aa'fcXy need to report these toxic chemicals'!
Through reporting year 1997, if the manufacturing facility "manufactures,"
"processes," or "otherwise uses" the same toxic chemical above the threshold
amount, the disposal of other facilities' wastes containing this toxic chemical in
Class I UIC wells would be reported on the Form R even though the amount of
the toxic chemical in these wastes is not included in the threshold determina-
tion.
Beginning in reporting year 1998, the quantity of the toxic chemical in waste
that is received from off-site for purposes of waste management and subse-
quent on-site disposal (e.g.. in a Class I UIC well) would be applied to the
"otherwise use" threshold.
60. If a covered facility "manufactures" 19,000 pounds, "processes" 18,000
pounds, and imports 7,000 pounds of toxic chemical X during the reporting
year, is it required to report for toxic chemical X?
Yes. For the reporting year, the facility would have to report for toxic chemical
X because it would have exceeded the "manufacture" threshold of 25,000
pounds (19,000 (manufacturing) + 7,000 (importing) = 26,000). Note that
importing constitutes "manufacturing," and therefore, the amounts must be
added tpgether for threshold determinations.
61. Are the thresholds for "manufacture" and "process" considered sepa-
rately? That is, if a facility "manufactures" 24,000 pounds of toxic chemi-
17
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SECTION 1
EPCRA Section 313 Questions and Answers
cat A and "processes" 24,000 pounds of toxic chemical A., does the facility
need to report for toxic chemical A?
No. The facility does not have to report because it has not independently exceeded
either threshold. Thresholds are considered separately for "manufacture" "pro-
cess," and "otherwise use" of the same toxic chemical. Assuming that no indi-
vidual threshold is met for chemical A (i.e.. "manufacturing" "processing? or
"otherwise use"), the facility does not trigger reporting for chemical A.
Threshold
Determination,
Warehouse
Asbestos,
Threshold
Determination
Concentration
Range, Upper
Bound
Concentration
Range, Mixture
62. How are warehouses affected by Section 313?
A warehouse located within the physical boundary of a covered facility is
included in estimating threshold and release and other waste management
determinations for the toxic chemicals. If the warehouse is not within the
physical boundary of the covered facility, it may be covered as an auxiliary
facility. (See Auxiliary Facility discussion in Section 1H of this document.)
63. Are releases of asbestos from demolition of an old plant importable?
Maybe. If friable asbestos is not being "manufactured," "processed," or "other-
wise used," no releases of asbestos must be reported unless there are other
covered activities involving asbestos in the friable form at the facility, and the
threshold for reporting has been exceeded. If, however, during the demolition
of the plant, asbestos is created in the friable form, the "manufacturing" thresh-
old may be triggered.
64. If a facility only knows the range of concentration of a Section 313
toxic chemical in a mixture, is it required to use the upper bound concen-
tration to determine thresholds? Use of the average or midpoint of the
range will avoid overestimating emissions. If a metal mixture contains a
range of 1 to 10 percent of three metals together, how can this information
be used to determine thresholds?
The upper bound should be used if the person knows only the upper bound
concentration. If a range is available, using the midpoint or average is reason-
able. For the combination of three toxic chemicals, the owner/operator of the
facility should split the range among the three toxic chemicals based on the
knowledge that it has, so the total equals ten percent. The owner/operator of the
facility does not have to assume ten percent maximum for each toxic chemical.
65. A. facility uses a mixture in its processing operations and knows only
that the mixture contains <99.9 percent of four listed toxic chemicals
(combined). How should it report?
18
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EPCRA Section 313 Questions and Answers
SECTION 1
Concentration
Range
Concentration
Range, Lower
Bound
Concentration
Range, Upper
Bound, Mixture
Threshold
Determination,
Facility
Construction
The facility should proportion the amount of chemicals so that their total
percentage equals 99.9 percent, since each one cannot realistically be present
at 99.9 percent. The percentage could be divided equally among the four,
unless the facility has some basis for proportioning them differently.
66. A. facility is told by its supplier that the mixture the facility receives
contains as much as 80 percent of 4-aminobiphenyl, a listed toxic chemical,
and as little as 20 percent. How should the facility estimate the concentra-
tion of 4-aminobiphenyl in this mixture"!
If the facility knows the upper and lower bound concentrations in a mixture
(i.e.. 80 and 20 percent), it should use the midpoint of these concentrations for
threshold determinations. In this instance, 50 percent should be used because
it is the midpoint between 80 and 20 percent.
67. A covered facility receives a mixture from a supplier who only provides
the lower bound concentration of a Section 313 listed toxic chemical in the
mixture (e.g.. more than two percent toluene). Should the covered facility
use this information in threshold determinations for the listed toxic chemi-
cal!
The facility should subtract out the percentage of any other known components
of the mixture to determine what a reasonable "maximum" percentage of
toluene could be (e.g.. if the mixture contains 80 percent water then toluene can
be no more than 20 percent). The/aa'% then should use the midpoint of the
"minimum" and "maximum" percentages in order to determine the pounds of
toluene to apply toward the threshold. If no other information is available, the
facility should assume that the "maximum" is 100 percent.
68. A. covered facility knows that a mixture it processes contains up to 56
percent of mustard gas, a listed toxic chemical. How should the facility
estimate the concentration of mustard gas in this mixture for threshold
determinations?
If the facility knows only the upper bound concentration of the listed toxic
chemical, it should use this upper bound (i.e.. 56 percent) for threshold deter-
minations.
69. A manufacturing/adftYy ceased operations at the beginning of the
reporting year and construction work took place through July. At that
time, the facility resumed manufacturing operations. Listed toxic chemi-
cals were used at the facility during the construction phase. For purposes
of threshold and release and other waste management determinations
under EPCRA Section 313, does the/ac/% include in its calculations the
19
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SECTION 1
EPCRA Section 313 Questions and Answers
toxic chemicals used during construction when the facility was not in
operation?
Yes. Since the facility is a manufacturing facility, any covered activity of a
listed toxic chemical will count toward an applicable threshold. Therefore, the
toxic chemicals used during the construction phase would be counted toward
threshold determinations. Releases and other waste management of a given
toxic chemical, used during construction, would also be reported if, during the
course of a reporting year, an activity threshold was exceeded for that toxic
chemical. If the toxic chemical becomes a fixed part of the facility structure
and is not process related, then the structural component exemption may apply.
Tlireshold
Determination,
Metal Alloys,
Mixture
Tlireshold
Determination,
Metal
Compounds
MetalAlloys,
Article
Exemption, De
Minimis
Exemption
70. How does a facility determine the threshold for reporting of a listed toxic
chemical (such as chromium) in a solid piece of steel which it "processes?"
Since steel is a mixture (and not a compound), the "processing" threshold
determination is made based on the total amount of each toxic chemical present
in the steel. If the toxic chemical is present in a known concentration, the
amount present can be calculated by multiplying the weight of the steel by the
weight percent of the listed toxic chemical. The threshold for "processing" is
25,000 pounds.
71. How are threshold determinations made for metal-containing com-
pounds?
Threshold quantities for metal compounds are based on the total weight of the
metal compound, not just the metal portion of the metal compound. The
threshold quantities are determined by adding up the total weight of all metal
compounds containing the same parent metal. However, release and other
waste management estimates are based solely on the weight of the parent metal
portion of the metal compounds. Note that there are a few metal compounds
that are separately listed and are not counted in the metal compounds catego-
ries. For example, maneb (CAS number 12427-38-2) is a manganese com-
pound that is a separately listed chemical and is not reportable under the
manganese compounds category.
72. Regarding metals in mixtures, such as chromium in an alloy (stainless
steel), how are thresholds and releases and other waste management activi-
ties accounted for in a foundry type operation where all of the metals are
melted down? Could the de minimis and article exemptions be applied?
For threshold purposes, if the listed toxic chemicals in the metals are "pro-
cessed," "otherwise used," "manufactured" as an impurity (that remains with
the product), or imported, below the de minimis levels, then the de minimis
exemption may be taken for that metal in the alloy. However, the article
20
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EPCRA Section 313 Questions and Answers
SECTION 1
Threshold
Determination,
Metal
Compounds
Solution
Threshold
Determination,
Process,
Electroplating
Threshold
Determination,
Metal
Compounds,
Mixture, Metal
Silicates
exemption cannot be taken for this type of foundry operation since in founding,
a metal is melted down and poured into a mold. Consequently, the resulting
metal is not recognizable as its original form.
73. If a facility has a solution containing a chromium compound, does the
facility need to report on the entire mixture or just the chromium when
making a threshold determination under Section 313?
To determine if a. facility meets an applicable threshold for the chromium
compound (or any toxic chemical) in a solution, the facility is required to
determine the weight percent of chromium compound in the solution and use
that amount for threshold determination.
74. A product is immersed into a plating bath containing nickel chloride
(NiCl) to bond nickel to it prior to distribution in commerce. Nickel is
incorporated into the final product whereas the chloride remains in the
plating bath. Since nickel chloride is reportable under the nickel com-
pound category of Section 313, which threshold applies?
The total weight of nickel chloride used in the plating bath is considered
towards the facility's "processing" threshold determination. If the facility
exceeds the threshold, the owner/operator would only report releases and other
waste management of the nickel, the parent metal. Because the facility is also
creating elemental nickel, the amount of nickel "manufactured" from nickel
chloride is considered towards the "manufacturing" threshold. If the facility
exceeds both thresholds independently, they may file one Form R for nickel
and nickel compounds.
75. A. facility manufactures specialty glass products. The starting materi-
als are primarily metal silicates which are ground into a powder, mixed,
and heated. The resulting mixture, the specialty glass, has all the metal
silicates melted together in a non-crystalline structure. Since the metal
silicates do not exist by themselves in the mixture, how should a threshold
determination be made?
The metal silicates are "processed" since they become incorporated into a
product (the specialty glass) that is distributed in commerce. If the metal
silicates still exist as the original metal silicates but just mixed together then
each metal silicate that belongs to a particular metal compound category is
included in the "processing" threshold calculations for that category. If the
metal silicates have been reacted to produce another compound (Le., if the
specialty glass is not just a mixture of individual metal silicates but is another
new, metal compound) then the metal silicates have still been "processed," but
a new metal compound has also been "manufactured" and its weight (i.e.. the
21
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SECTION 1
EPCRA Section 313 Questions and Answers
whole weight of the glass) must be included in "manufacture" threshold
calculations.
Threshold
Determination,
Ne\v Facility
Threshold
Determination,
Manufacture,
Fuel, Natural
Gas
76. A chemical/aczYfry split into two separate facilities on July 1,1996. The
owners of the two new facilities do not have any common business interest.
The original/ac//#y did not "manufacture" "process" or "otherwise use" a
toxic chemical in excess of a reporting threshold for the period January 1
through June 30,1996. Neither of the new facilities independently "manu-
factured," "processed," or "otherwise used" a toxic chemical in excess of a
reporting threshold for the period of July 1 through December 31,1996.
However, if the total amount of toxic chemicals are combined for all three
facilities for the period of January 1 through December 31,1996, a report-
ing threshold will be met. For purposes of EPCRA Section 313, how are
thresholds for this combination of facilities to be determined?
In this case each of the two "new facilities" would determine what portion of
the "manufacture," "process" or "otherwise use" of the "old" facility were
attributable to it and combine these amounts with those for the period between
July 1, and December 31, 1996, to determine whether the facility met the
reporting threshold for 1996. If such a determination cannot be made, each
"new facility" would have to combine it's figures with those of the entire "old"
facility in assessing whether the reporting threshold was met. The "new"
facilities would not have to include the "manufacture," "process" or "other-
wise use" of the other "new" facility in computing the reporting threshold.
77. A covered facility purchases natural gas that contains EPCRA Section
313 toxic chemicals. The facility uses the gas on-site to heat buildings and
power equipment. Before the natural gas is used, the listed toxic chemicals
are removed and destroyed in a flare. The definition of "manufacturing"
in 40 CFR Section 372.3 states that," 'Manufacture' also applies to a toxic
chemical that is produced coincidentally during the 'manufacture,' 'pro-
cessing,' 'otherwise use' or disposal of another chemical or mixture of
chemicals, including a toxic chemical that is separated from that other
chemical or mixture of chemicals as a byproduct..." Are the toxic chemi-
cals that are removed from the natural gas coincidentally "manufactured,"
and hence subject to threshold determination under EPCRA Section 313?
The removal and destruction of an EPCRA Section 313 toxic chemical from a
fuel before it is used by a. facility is not considered an activity that falls under
the definition of "manufacturing" Facilities that use natural gas in production
processes sometimes need to remove impurities from the gas before it is used.
Such a. facility does not coincidentally produce toxic chemicals as byproducts,
but merely separates and removes toxic chemicals already present in the gas.
These chemicals would not be subject to threshold determinations for reporting
under EPCRA Section 313, and would not be subject to release and other
22
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EPCRA Section 313 Questions and Answers
SECTION 1
Threshold
Determination,
Non-isolated
Intermediates,
TSCA
PCBs,
Transformer,
Disposal,
Threshold
Determination
Activity
Thresholds,
Process,
Otherwise Use,
Incorporation
waste management reporting unless an activity threshold is exceeded elsewhere
at the facility. If the facility exceeds an activity threshold elsewhere, all re-
leases and other waste management activities from the impurity removal
process would be reportable.
Although these chemical impurities are usually destroyed, they could also be
captured for further use at the facility or for sale as products, either of which
would constitute a reportable activity under EPCRA Section 313. If the chemi-
cals are collected and sold as products or incorporated into products, they are
considered "processed" and the amount of each chemical is applied toward its
"processing" threshold. "Otherwise use" refers to any use of a toxic chemical
that is not covered by the definitions of "manufacture" or "process" (40 CFR
Section 372.3). If the chemicals are collected for further use at the facility, the
chemicals are considered "otherwise used," and the amount of each chemical is
applied toward its "otherwise use" threshold.
78. TSCA does not regulate non-isolated reaction intermediates. Do these
intermediates still need to be considered for threshold determinations and
release and other waste management calculations for EPCRA Section 313?
A facility owner/operator would need to consider the quantity of non-isolated
reaction intermediates "manufactured," "processed," or "otherwise used" at
the facility when determining thresholds and releases and other waste manage-
ment activities for EPCRA Section 313. There is no exemption for non-
isolated intermediates under EPCRA Section 313.
79. A manufacturing/aci'% removes PCB-laced oil that was contained in
its on-site transformers. Would this activity be considered a "process" or
an "otherwise use" of the PCBs, a listed toxic chemical, if the facility only
extracts the PCB to dispose of it off-site?
If the PCB laced oil is removed from an on-site transformer for disposal and is
not replaced with clean PCB laced oil, this would not be considered a "pro-
cess" or an "otherwise use." Removal of a toxic chemical from an article for
disposal does not constitute a "process" or "otherwise use" activity. There-
fore, this activity would not be subject to threshold determinations and
release and other waste management reporting under EPCRA Section 313.
F. "Manufacturing," "Processing," or "Otherwise Use"
*80. What is the difference between "process" and "otherwise use" for the
purposes of threshold determinations?
"Process" implies incorporation; the toxic chemical is intended to become part of a
product distributed in commerce. "Otherwise use" implies non-incorporation; the
23
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SECTION 1
EPCRA Section 313 Questions and Answers
toxic chemical is not intended to become part of a product. Beginning with report-
ing year 1998, "otherwise use" will include the on-site disposal, treatment for
destruction and stabilization of toxic chemicals in wastes received from off-site for
the purposes of further waste management and toxic chemical produced from the
management of wastes received from off-site.
Activity
Threshold
Otherwise Use,
Off-site Waste
Definition of
Otherwise Use,
Activity
Threshold,
Coincidental
Manufacture,
Off-site Waste
81. If I "manufacture" 74,000 pounds of a chemical and "otherwise use"
9,000 pounds, am I covered?
Yes. The facility has exceeded the "manufacturing" threshold of 25,000
pounds for the toxic chemical. Releases and other waste management from all
activities including the 9,000 Ibs "otherwise used" of the toxic chemical at the
facility are reportable.
*82. A covered facility receives a waste containing 13,000 pounds of a
listed toxic chemical. The facility disposes of 5,000 pounds of the toxic
chemical and stabilizes the other 8,000 pounds of the chemical. Does the
facility meet a Section 313 chemical activity?
Until January 1, 1998, this facility would not be "manufacturing," "processing"
or "otherwise using" the listed toxic chemical. However, beginning January 1,
1998, the facility would be "otherwise using" the toxic chemical. Because the
facility received the 13,000 pounds of chemical A in wastes received from
off-site for the purposes of further waste management, the amount of the toxic
chemical that is subsequently "stabilized" or "disposed" on-site is considered
"otherwise used" at the facility for the purpose of threshold determinations.
The facility would need to add the amount of the toxic chemical that is in-
volved in all "otherwise use" activities to determine whether the "otherwise
use" threshold of 10,000 has been exceeded. In this case, 13,000 pounds of the
chemical would be considered "otherwise used."
*83. A covered facility, in treating for destruction listed toxic chemical A,
which it receives from off-site, "manufactures'? 11,000 pounds of chemical
B, another listed toxic chemical. The facility subsequently disposes of
chemical B on-site. Would the facility meet the "manufacture" or "other-
wise use" threshold for chemical B?
This "manufacture" of chemical B is below the "manufacturing" activity
threshold of 25,000 pounds. However, after January 1, 1998, the facility would
also be "otherwise using" the toxic chemical. Included in activities covered by
EPA's revised interpretation of "otherwise use " is the disposal of a toxic
chemical that is produced from the management of a waste that is received by
the facility. In this example, because the facility received from off-site a waste
containing a chemical that is treated for destruction (i.e.. chemical A) and
during that treatment produced and subsequently disposed of chemical B, the
24
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EPCRA Section 313 Questions and Answers
SECTION 1
Activity
Thresholds,
Otherwise Use
Activity
Thresholds,
Otherwise Use,
Neutralization
Activity
Thresholds,
Otherwise Use,
Wastewater
Treatment
Otherwise Use,
Threshold
Determination,
Fumigants
disposal of chemical B under EPA's revised interpretation would be considered
"otherwise used" Because the facility disposed of, or "otherwise used"
11,000 pounds of chemical B, the 10,000 pound statutory threshold for "other-
wise use" is met. Thus, the facility would need to report all releases of, and
waste management activities involving, chemical B.
*84. A covered facility "manufactures" 11,000 pounds of chemical A, a
listed toxic chemical from the treatment of another toxic chemical which
was received from off-site. The facility disposes of 6,000 pounds of chemi-
cal A and uses 5,000 pounds of chemical A in a non-incorporative, manu-
facturing activity at the facility. Does this/aci'% meet an activity thresh-
old?
This facility would not meet the "manufacturing" threshold of 25,000 pounds
for chemical "A" nor would it meet the "otherwise use" threshold of 10,000
pounds because it is only "otherwise using" 5,000 pounds. However, after
January 1, 1998, the facility would meet the "otherwise using" threshold for
chemical A. Both the on-site disposal and the non-incorporative activities are
considered to be "otherwise use" activities. The on-site disposal of chemical A
is included among the various activities covered by EPA's revised interpreta-
tion of "otherwise use" The facility would add the amounts of chemical A
involved in both "otherwise use" activities at the facility to determine whether
they exceed the 10,000 pound "otherwise use" threshold. Since the total
amount of chemical A that is "otherwise used" is 11,000 pounds, the facility
would need to report on all releases of, and waste management activities
involving, chemical A.
85. A. facility adds a listed acid to wastewater to neutralize the wastewater
prior to discharge. Is this activity "manufacturing," "processing," or
"otherwise using" the toxic chemical?
Because the listed acid is not incorporated into the final product and distributed
in commerce, nor is it created at the facility, the toxic chemical is "otherwise
used" with a threshold of 10,000 pounds.
86. Would a chemical used only for wastewater treatment be considered
"processed" or "otherwise used" for determining the threshold level?
Because it is not intended to be incorporated into a product distributed in
commerce, the toxic chemical would be "otherwise used."
87. Must releases of listed toxic chemicals used as fumigants be reported if
the other criteria and thresholds are met?
25,
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SECTION 1
EPCRA Section 313 Questions and Answers
Activity
Threshold,
Process,
Ammonia,
Waste
Relabeling,
Threshold
Determination
Process,
Repackage,
Relabel
Threshold
Determination,
Metal
Compounds,
Metals,
Chemical
Conversion,
Copper,
Electroplating
Yes. Fumigant use would be subject to the 10,000 pound "otherwise use"
threshold.
88. A facility converts waste animal parts and blood into protein for use as
animal feed. The animal parts and blood contain ammonia which is
incorporated into the protein product. Is the ammonia subject to Section
313 reporting?
Yes. Because ammonia (NH.,) is incorporated into the end-product, it is con-
sidered "processed" and is subject to the 25,000 pound threshold.
89. Our facility domestically purchases a mixture containing toxic chemi-
cals. We store it and then sell it to our customers without even opening the
boxes. Must we report on these toxic chemicals'!
No, facilities must only report on those toxic chemicals that they "manufac-
ture," "process," or "otherwise use" in excess of the applicable activity thresh-
olds. Because relabeling or redistributing the toxic chemical where no repack-
aging of the toxic chemical occurs is not "manufacturing," "processing" or
"otherwise using" the toxic chemical (40 CFR Section 373.3), the facility is -
not conducting a reportable activity. Therefore, it does not need to apply these
toxic chemicals to the reporting thresholds.
90. Are chemicals, which are bought and sold as is, exempt? Does adding
additional labels or changing labels in a warehouse constitute repackag-
ing?
Listed chemicals that are repackaged are considered to have been "processed."
However, simple relabeling of a container where no repackaging occurs is
neither "processing" nor "otherwise use."
91. In an electroplating operation, a facility uses an elemental copper
anode and an electrolyte solution containing a copper compound. During
the electrolytic process, elemental copper is deposited at the cathode (the
item being plated). As elemental copper is plated out at the cathode,
copper goes into solution at the anode forming a copper compound. For
purposes of EPCRA Section 313, how would the facility make threshold
determinations for copper and copper compounds?
The electroplating of copper is a two step process in which the elemental
copper from the anode is converted into a copper compound in solution and the
copper compound in solution is converted to elemental copper.
26
-------
EPCRA Section 313 Questions and Answers
SECTION 1
Activity
Thresholds,
Process,
Otherwise Use,
Metal
Compounds,
Electroplating
A constant concentration of copper compounds is thus maintained in the
electrolytic solution surrounding the electrodes. In such an electrolytic cell,
four separate thresholds are applicable for purposes of EPCRA Section 313:
a. The amount of copper anode consumed counts towards a "processing"
threshold for elemental copper (since its purpose is to provide copper to the
cathode, via the bath).
b. The amount of copper compound generated in the electrolytic solution
(as a result of dissolution of elemental copper at the anode) would count
towards a "manufacturing" threshold for copper compounds.
c. The amount of copper compound converted to elemental copper in the
electrolytic solution counts toward a "processing" threshold for copper com-
pounds (since it is available for reduction at the cathode).
d. Finally, the amount of copper deposited at the cathode would count
towards a "manufacturing" threshold for elemental copper (since elemental
copper is being produced from a copper compound).
For example, a facility uses up 15,000 pounds of copper anode per year (the
anode is composed of elemental copper). The elemental copper is "processed"
by "manufacturing" 37,000 pounds of copper sulfate (copper sulfate (CuSO4)
is 40% copper by weight and, in this example, is the form in which copper
exists in the electroplating bath). The copper sulfate is then "processed" by
"manufacturing" 15,000 pounds of elemental copper. The following thresh-
olds apply:
Elemental Copper
Copper Compounds
"Manufacture"
15,000 Ibs
37,000 Ibs
"Process"
15,000 Ibs
37,000 Ibs (CuSO4)
The facility would file a Form R for "Copper Compounds" because it exceeds
the "manufacturing" and "processing" thresholds for a copper compound.
92. An electroplating/aczTfry uses copper cyanide as its source of copper in
plating baths in their electroplating operation. Are they "manufacturing,"
"processing"or "otherwise using" this compound? How do they deter-
mine whether they meet the activity threshold and how are releases and
other waste management activities reported for this chemical?
In this process the copper cyanide is both "manufactured" and "processed."
The copper cyanide is created in the plating solution, and the amount created
27
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SECTION 1
EPCRA Section 313 Questions and Answers
should be counted towards the 25,000 pound "manufacturing" threshold. The
copper cyanide is also being "processed" since the copper from the copper
cyanide is plated onto an object that is to be distributed in commerce. Thus,
the copper cyanide used in this process should be counted towards the "pro-
cessing" threshold for both copper and cyanide compounds.
The copper cyanide is both a copper compound and a cyanide compound and is
reportable under both the copper compounds category and the cyanide com-
pounds category. The total weight of the copper cyanide is to be counted
towards the thresholds for both categories. However, for reporting releases and
other waste management activities, the total weight of the copper cyanide is to
be reported under the cyanide compounds category, but only the weight of the
copper is to be reported under the copper compounds category.
Activity
Thresholds,
Process,
Otherwise Use,
Adhesives
Activity
Thresholds,
Otherwise Use,
Process,
Solvent
Activity
Thresholds,
Process,
Impurity
93. A. facility covered under EPCRA Section 313 manufactures shoes.
During production the facility uses adhesives that contain solvents such as
acetone and toluene. Due to the inefficiency of the process, 20 percent of
the solvent remains behind in the shoes when they are sold in commerce.
Would the facility count the amount of solvent remaining in the shoes
toward the 25,000 pound "processing" threshold?
No. The amount of solvent used in the adhesive would count toward the
10,000 pound "otherwise use" threshold. Since the retention of the solvents in
the adhesives used to produce the shoes is unintentional, it would not be
considered "processed." Thus, the facility would file a Form R if it meets a
10,000 pound "otherwise use" threshold for the toluene in the adhesive.
94. If a solvent is used hi a process and 85 percent evaporates but 15
percent stays with the product, is the listed toxic chemical "processed" or
"otherwise used?" The 15 percent was not necessarily intended to stay
with the product.
In this case the entire quantity of the solvent is considered "otherwise used"
and subject to the 10,000 pound threshold. If the solvent was intended to
remain in the product, this would be "processing."
95. A raw material contains a listed toxic chemical as an impurity. The
raw material is "processed" at the facility, and the facility does not have
any devices to remove the impurity, which is incorporated into the final
product. However, the intent is not to have an impurity in a final product.
Is this facility "processing" or "otherwise using" the chemical?
For Section 313 reporting purposes, as long as the toxic chemical impurity is in
the raw material being received at the facility, and there is no system at the
facility to remove the impurity, the facility is "processing" the toxic chemical.
28
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EPCRA Section 313 Questions and Answers
SECTION 1
Activity
Thresholds,
Coincidental
Manufacture
Activity
Thresholds,
Coincidental
Manufacture,
Wastewater
Treatment
Activity
Thresholds,
Coincidental
Manufacture,
Adhesive,
Neutralization
Activity
Thresholds,
Process
Otherwise Use,
Manufacturing
Aid, Processing
Aid
96. Do toxic chemicals produced coincidentally to "manufacturing," "pro-
cessing," or "otherwise using" have to be reported?
Toxic chemicals "manufactured" coincidentally are included in determining
the quantity of the toxic chemical "manufactured." In the case of coincidental
"manufacture" of an impurity that remains in the product below the de mini-
mis level for distribution in commerce the de mim'mis exemption may apply
(40 CFR Section 372.38(a)). If, however, the impurity is removed from the
final product prior to distribution in commerce, the exemption does not apply.
97. How can wastewater treatment "products" be considered as "manu-
factured" from a treatment process?
The definition of "manufacture" includes the coincidental generation of a
listed toxic chemical as a consequence of the facility's waste treatment or
disposal activities. These toxic chemicals may not be produced for commercial
purposes. They are, nevertheless, created as a result of the facility's activities
and their release or other waste management must be accounted for.
98. A facility uses a caustic product in the manufacturing of an adhesive.
A listed acid is added to neutralize the solution to form another listed
Section 313 toxic chemical. Is this a covered activity?
Yes. The facility is coincidentally "manufacturing" the listed toxic
chemical.
99. A. facility draws steel rods into a smaller diameter and then distributes
the rods in commerce. Is this "manufacture," "process,
use?"
'," or "otherwise
This activity is considered "processing" because the toxic chemical remains
incorporated in the final product distributed in commerce.
100. What is the difference between a manufacturing aid and processing
aid?
A chemical processing aid is added directly to the reaction mixture or is
present in a mixture used to aid in processing and does not intentionally remain
in the product. Examples include catalysts, solvents, and buffers. A manufac-
turing aid helps to run the equipment and is never incorporated into the prod-
uct. Examples include lubricants, coolants, and refrigerants. Since incorpora-
tion of the toxic chemical into the final product is not intended in either case,
toxic chemicals that are used as manufacturing aids or as processing aids are
considered "otherwise used" under EPCRA Section 313.
29
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SECTION 1
EPCRA Section 313 Questions and Answers
Manufacture,
Chemical
Qualifier,
Fume or Dust,
Coincidental
Manufacture,
Mold
Activity
Thresholds,
Process
Process,
Activity
Thresholds,
Ingots
Activity
Tliresholds,
Lead
101. We have purchased in excess of 100,000 pounds of aluminum mate-
rial in block form to make a mold which stays on-site. When making the
mold, fumes and dust are byproducts. Do we report these as the toxic
chemical1!
Aluminum appears on the list of toxic chemicals as "aluminum (fume or dust)."
You must determine if you "manufacture," "process," or "otherwise use"
aluminum fume or dust. In this case you do not "process" or "otherwise use"
the fume or dust, but you do "manufacture" aluminum fume or dust coinciden-
tally as a byproduct of making molds. Therefore, you must report for alumi-
num (fume or dust) if you exceed the 25,000 pound "manufacturing" thresh-
old for the reporting year.
102. A. facility manufactures a part from stainless steel bar. The annual
quantity purchased is 500,000 pounds which is 18 percent chromium and 8
percent nickel. Does the facility have to report under Section 313 for
either chromium or nickel?
The facility must report for the quantity of chromium because its quantity
(90,000 pounds) is above the "processing" threshold of 25,000 pounds. The
facility would also have to report for nickel because its quantity (40,000
pounds) is also above the "processing" threshold.
103. A. facility melts aluminum ingots, reshapes them, and injects them
into die to form parts. Does the 25,000 pound "processing" threshold
apply to the amount of molten aluminum processed?
For the reporting year, the 25,000 pound threshold applies to the amount of
aluminum fume or dust generated at the facility, not the aluminum in molten
(liquid) or solid form. Therefore, the facility must determine whether they
"manufacture" or "process" more than 25,000 pounds of aluminum fume or
dust during then: processing operation.
104. A remanufacturer of auto engines cleans the engine parts and
thereby produces a lead-containing waste (from gasoline lead deposits)
which it disposes of on-site. Are they a "manufacturer,
"otherwise user" of lead compounds?
" "processor," or
None of the EPCRA Section 313 activities apply. Neither lead nor lead com-'
pounds are "manufactured." Lead is not incorporated into products for distri-
bution in commerce nor is it a manufacturing aid or a processing aid as those
terms are defined. Lead in the waste would not be included for threshold
determination. The facility does not "manufacture," "process," nor "otherwise
use" lead compounds.
30
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EPCRA Section 313 Questions and Answers
SECTION 1
Mixture,
Process,
Threshold
Determination
Activity
Thresholds,
Chromium,
Refractory
Brick, Metal
Compounds
Activity
Thresholds,
Process,
Repackage
105. Are chromium and nickel as components of stainless steel exempt
from reporting if the facility is "processing" the stainless steel?
No. Stainless steel is a solid/solid mixture. Chromium and nickel are compo-
nents of stainless steel. If foe facility is incorporating the stainless steel into a
product it intends to distribute in commerce, the company is "processing" the
stainless steel as defined in Section 313. For example, if foe facility makes
porous metal filters from stainless steel powder or fabricates pressurized
vessels, bar, or ingots of stainless steel, threshold determinations for the nickel
and chromium components of the steel are required. The facility must report if
the amounts "processed" exceed the reporting thresholds.
106. A glass manufacturer uses a brick in its refractory kiln that contains
chromium HI compounds. During the manufacturing process, the chro-
mium reacts to generate chromium VI compounds. The chromium com-
pounds, while being used hi the kiln, become part of the glass being manu-
factured. All the brick in the kiln is replaced every four to five years.
What activity thresholds apply to chromium in this situation?
The brick, and thus the chromium m compounds in the brick, are being "oth-
erwise used" based on the quantity of the bricks installed within a reporting
year. The chromium compounds in the bricks are also considered "processed,"
because the chromium compounds in the brick are incorporated as an impurity
into the final product (the glass) which is distributed in commerce. The chro-
mium VI compounds generated from the chromium in compounds are consid-
ered "manufactured." Thus, threshold calculations should be made for all
three EPCRA Section 313 activity thresholds. The thresholds would be calcu-
lated based on the total weight of the chromium compounds being "manufac-
tured," "processed," or "otherwise used." However, only the weight of the
chromium in the chromium compounds are used in release and other waste
management calculations. Any releases that go up the stack or are. sent off-site
for waste management must be included. When the brick is replaced and
disposed of, the amount of chromium that remains in the brick would also need
to be included in release and other waste management calculations.
107. A multi-establishment/ac/%, with a primary SIC code of 2911
operates a petroleum bulk station, and terminal, with SIC code 5171. The
bulk station receives gasoline from tanker trucks and stores the gasoline hi
storage tanks on-site. The facility also loads other tanker trucks with
gasoline that distribute the gasoline to service stations. Are the listed toxic
chemicals in the gasoline "processed," "otherwise used," or neither?
Since the facility repackages the gasoline by transferring it between trucks and
bulk storage containers for further distribution into commerce, the facility is
"processing" the listed toxic chemicals in the gasoline.
31
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SECTION 1
EPCRA Section 313 Questions and Answers
Activity
Threshold,
Othenvise Use,
Solvent
Activity
Thresholds,
Othenvise Use
Process
Activity
Thresholds,
Process,
Othenvise Use
Activity
Thresholds,
Process,
Repackage
Activity
Thresholds,
Process,
Othenvise Use,
Paint
108. If a listed toxic chemical is used as a solvent but does not become part
of the final product, is the chemical covered for reporting purposes?
If a solvent is not incorporated into a product distributed in commerce, then for
the purposes of Section 313, it would be considered "otherwise used." It
would be subject to reporting if used in quantities exceeding 10,000 pounds per
year.
109. A facility uses paint thinners in its processes. The thinners are evapo-
rated or baked out of the finished painted products. Are those chemicals
subject to Section 313 regulations?
If the chemical evaporates or is baked out of a finished coating, it has been
"otherwise used" and is subject to the 10,000 pound threshold.
110. Is soldering light bulbs with lead solder considered "processing" of
the solder?
Yes, it incorporates the solder into a product for distribution in commerce.
111. A facility uses methanol in its gas-carburizing heat treatment of steel.
The mam purpose of methanol in the facility's operations is to provide the
source of carbon that is deposited on the steel. Is this "processing" or
"otherwise use" of the methanol?
The methanol is being "processed," not "otherwise used," because the metha-
nol is the source of the carbon for the carburization activity. The methanol is
being reacted, and the carbon from it is being incorporated into the steel.
112. Does the placing of a bulk liquid containing a small percentage of a
Section 313 toxic chemical into small bottles for consumer sale constitute a
reportable/threshold activity of the mixture"!
Yes, it is a type of "processing" (40 CFR Section 372.3). If the bulk liquid
contains a Section 313 listed toxic chemical in excess of the de minimis level,
the toxic chemical in the liquid would have to be factored into calculations in
determining whether the "processing" threshold is exceeded for that toxic
chemical.
113. Paint containing listed toxic chemicals is applied to a product and
becomes part of an article. Does the 25,000 pound "processing" threshold
apply? What about the volatile toxic chemicals from the painting opera-
tion - are they "otherwise used," and thus subject to the 10,000 pound
threshold?
32
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EPCRA Section 313 Questions and Answers
SECTION 1
Activity
Thresholds,
Otherwise Use
Threshold
Determination,
Release to
Land, Land
Treatment,
Release
Reporting,
Fertilizer
Process,
Repackage,
Article
Component
Activity
Thresholds,
Process,
Chlorine
Yes. This is a case in which listed toxic chemicals in the same mixture may
have different uses and therefore, different thresholds. The listed toxic chemi-
cals that are incorporated as part of the coating are "processed," whereas the
volatile solvents in the paint are "otherwise used" because they are not in-
tended to be incorporated into the article.
114. A printing company uses a listed toxic chemical to manufacture
labels. The chemical is mixed with ink and then applied to the labels. The
chemical slows down the ink's evaporation rate. During the drying pro-
cess, the chemical is removed and the final product contains no trace of
the toxic chemical. Does the use of the chemical in this manner constitute
"processing" because it is used as a "performance enhancer?"
No. The toxic chemical is considered "otherwise used" because the listed
toxic chemical is not incorporated into the final product when it is distributed
in commerce. A toxic chemical is considered a "performance enhancer" if the
toxic chemical is incorporated into the end product and improves the perfor-
mance of the end product distributed in commerce.
115. When completing the Form R, how would a facility report the re-
leases of a listed toxic chemical that is used as a fertilizer? Does it matter
if the fertilizer is a waste or a purchased product? Would the application
on-site constitute a release to land on Part H Section 5.5 of Form R?
Based on the information provided, the amount of the toxic chemical hi the
fertilizer applied to land on-site would be counted towards the "otherwise use"
threshold unless it meets the facility grounds maintenance exemption. The
toxic chemical in the fertilizer would be reported in Part II Section 5.5 of the
Form R, regardless of whether it is a purchased product or a waste.
116. A car manufacturer has a central 25,000 gallon storage tank on-site.
A pipe leads from the central storage tank to a fill station where the cars
are filled with gas before being sent off-site to be sold. Is the "processing"
of the toxic chemical components of the gasoline considered "repackaging
only" or "as an article component?"
The toxic chemicals in the gasoline should be reported as "processed as an
article component" because they are incorporated into the car which is an
article. (See Section 3.2 (c) of the Form R and Instructions.)
',-,.
117. In an aluminum casting process, a facility bubbles chlorine gas
through molten aluminum. The chlorine reacts with impurities in the
aluminum and produces a byproduct called "dross," which is distributed
in commerce. Small quantities of unreacted chlorine are emitted during
this process. What is the applicable threshold for chlorine in this process?
33
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SECTION 1
EPCRA Section 313 Questions and Answers
Because the chlorine reacts with impurities and becomes incorporated in the
dross, which is distributed in commerce, the chlorine is considered "pro-
cessed." If the amount of chlorine "processed," which includes both the
chlorine incorporated in the dross and the unreacted chlorine, exceeds 25,000
pounds, a Form R must be filed and any releases of chlorine must be reported.
Activity
TJiresholds,
Process,
Otherwise Use,
Methylenebis
Molds
Activity
Thresholds,
Process, Toll
Processor,
Pesticides
Coincidental
Manufacture,
Ammonia
Activity
Thresholds,
Otherwise Use,
Ammonia,
118. A facility uses a listed toxic chemical methylenebis (phenylisocyanate)
to create molds from which they produce metal castings. Normally these
molds are kept by the manufacturer or are broken up for reuse. Has the
toxic chemical been "otherwise used" or "processed" by the facility'!
The toxic chemical is "otherwise used." It is not "processed," because it does
not become part of a product that is distributed in commerce.
119. An agri-chemical manufacturer produces a specialty pesticide for a
farmer by blending chemicals which have been supplied by the farmer. It
then applies the pesticide to the farmer's crops. Does the blending of the
listed toxic chemicals received from the farmer for application to the
farmer's crops constitute "processing" of the toxic chemicals'! Does the
agri-chemical manufacturer, as a "toll processor," have to count the listed
toxic chemicals towards the threshold determination?
Yes to both questions. The blending of the toxic chemicals and their subse-
quent transfer back to the farm for application to the farmer's fields constitutes
"processing." The origin of the processed material is irrelevant, and the return
of the blended toxic chemicals for application on the farmer's fields can be
considered products distributed in commerce. Therefore, the "processing"
threshold would apply. "Toll-processing" is no different than any other "pro-
cessing." The agri-chemical manufacturer must make threshold determinations
based on the amount of any listed toxic chemical it "processes" as well as any
other "manufacturing" or "otherwise use" activities that occur at its facility.
120. Are meat Tenderers who process animal waste byproducts (Le.,
blood, feathers, bones, etc.) required to report the ammonia generated in
the condensate water from the cooking of these byproducts?
The ammonia generated from the rendering (cooking) process is considered to
be coincidentally "manufactured," and thus, must be reported under EPCRA
Section 313 if ten percent of the amount of aqueous ammonia produced ex-
ceeds the 25,000 pound "manufacturing" threshold.
121. A food processor uses ammonia in its baking processes. In the first
process, aqueous ammonia is reacted to form ammonium bicarbonate.
The ammonium bicarbonate is added to the dough which is baked in an
oven. When baked, the ammonium bicarbonate is dissociated in the
34
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EPCRA Section 313 Questions and Answers
SECTION 1
Manufacture
Activity
Thresholds,
Process,
Redistribute,
Storage
Activity
Thresholds,
Process, Waste
Coincidental
Manufacture,
Byproduct,
Threshold
Determination,
Concentration
Information
dough and the heat drives off anhydrous ammonia. Is this considered
"manufacturing" or "otherwise using" ammonia?
The aqueous ammonia is reacted with another substance to form ammonium
bicarbonate which is then used on-site. Therefore, the aqueous ammonia is
considered to be "otherwise used" and is subject to the 10,000 pound "other-
wise use" threshold. The anhydrous ammonia is being "manufactured" from
the breakdown of the ammonium bicarbonate during the baking process which
generates anhydrous ammonia, carbon dioxide, and water vapor. Thus, the
amount of anhydrous ammonia generated during baking is counted towards the
25,000 pound "manufacturing" threshold.
122. If a person is simply storing and redistributing a toxic chemical
without repackaging it, is this activity considered "processing" of the toxic
chemical for Section 313 purposes?
No. The term "process" means the preparation of a listed toxic chemical, after
its manufacture, for distribution in commerce. Because the toxic chemical is
not repackaged but is merely redistributed, the facility is not "processing" the
toxic chemical.
123. A barge repair facility (SIC code 3731- ship building and repairing)
cleans barges at its facility by vacuuming out residual toxic chemicals and
selling the waste to a chemical recovery company. Must the facility report
for the listed toxic chemicals in waste? Is it a "processor" under Section
313? What if the waste is not sold?
Because the facility distributes the toxic chemicals in the waste into commerce,
they are "processing" the toxic chemical. Releases from activities such as
spills and equipment cleaning, must be reported if the facility exceeds the
"processing" threshold. If the toxic chemicals in the waste are not distributed
into commerce, the facility is not "manufacturing," "processing," or "other-
wise using" the toxic chemical and the toxic chemical is not subject to reporting.
124. A listed toxic chemical is "manufactured" as part of a mixture which
is a byproduct. The facility does not know the specific concentration of the
listed toxic chemical in this byproduct. For determining the threshold for
Section 313, does the facility include this byproduct without knowing the
specific concentration of the listed toxic chemical1!
Because the reporting facility is "manufacturing" the toxic chemical mixture
on-site, the facility is required to calculate the amount of the toxic chemical
coincidentally "manufactured" during the reporting year based upon an esti-
mate of the percentage of the toxic chemical in the mixture. This quantity is
35
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SECTION 1
EPCRA Section 313 Questions and Answers
aggregated to determine if the facility exceeds the 25,000 pound threshold for
"manufacturing."
Activity
Thresholds,
Process,
Othenvise Use,
MDI
Activity
Thresholds,
Otherwise Use
Activity
Threshold,
Otherwise Use,
Xylene
Activity
Threshold,
Otherwise Use,
Ammonia
Activity
Threshold,
Process,
Ammonia,
125. A covered facility uses methylene bis(phenylisocyanate) (MDI) as an
ingredient in the making of packing foam. When blown into .foam, the
MDI reacts to form a polymer. This foam is then packed with metal parts
and shipped from the facility. What threshold would apply to the MDI,
the "processing" or "otherwise used?"
The MDI would be subject to the "processing" threshold, since it is incorpo-
rated into a product that is further distributed in commerce.
126. A. facility received material X packaged in 50-gallon drums. Material
X is immersed in methanol which acts as a packaging/coolant medium for
material X during transport. As soon as the facility receives its delivery, it
removes material X from the methanol, recaps the drum, and sends it
back to the supplier. Should the owner/operator consider the methanol
for threshold determinations and release and other waste management
calculations under EPCRA Section 313?
Yes. The owner/operator must incorporate the methanol in drums that it opens
to remove material X into its threshold determinations and release and other
waste management calculations. The methanol, in this instance, is being
"otherwise used."
127. I use xylene as a carrier to apply coatings to a product. The xylene is
not incorporated into the product but it is necessary in order to manufac-
ture it. Is the xylene "processed" or "otherwise used?"
The xylene is "otherwise used" since it is not incorporated into the product.
128. An engineering company performs reduction processes. In a NOx
reduction process ammonia is used. Ideally, all of the ammonia would be
consumed but, realistically, some always escapes out the stack. The am-
monia reductions were determined to effect a net reduction in emissions.
Are the minor quantities that escape subject to Section 313 reporting?
The ammonia used in the process would be "otherwise used." If the "other-
wise use" exceeds the 10,000 pound threshold, the facility would be required
to report any releases of ammonia.
129. Ammonia, an EPCRA Section 313 chemical, is used at a manufactur-
ing facility to adjust pH levels in cheese products. During this process, the
ammonia is converted into a salt which remains with the final cheese
product. The cheese is then distributed in commerce. Is this considered a
36
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EPCRA Section 313 Questions and Answers
SECTION 1
Chemical
Conversion
Chemical
Qualifier,
Fume or Dust,
Aluminum
Process, Fuel
Otherwise Use,
Threshold
Determination,
Refractory
Brick
covered activity under EPCRA Section 313, and, if so, how should it be
reported on the Form R?
Ammonia used in this manner is considered "processed" under EPCRA
Section 313 and must be applied toward that threshold. The definition of
"process" found at 40 CFR Section 372.3 affirms that a listed toxic chemical
prepared for distribution in commerce is a reportable activity even if it is
distributed in a different form or physical state from that in which it was
originally received. All of the ammonia incorporated into the cheese is "pro-
cessed" as a reactant and should be reported as such on the Form R.
130. A. facility uses aluminum in its manufacturing operations. These
operations involve welding, diecasting, buffing, and grinding. Is the
facility subject to Section 313 reporting for this use of aluminum?
Aluminum would be reportable under Section 313 only if a fume or dust was
generated (i.e.. "manufactured") during welding, diecasting, buffing, grinding,
or other operations above 25,000 Ibs. In some operations, aluminum may be
"processed" in a fume or dust form.
131. A. facility covered under EPCRA Section 313 manufactures and
repairs airplanes. Prior to beginning any repair work, any fuel remaining
in the airplane's fuel tanks is emptied by service personnel at the facility.
After the repairs are completed, the airplane is refueled with fuel removed
from the airplane's fuel tanks and/or new fuel. Should the owner/operator
of the manufacturing and repair facility consider the toxic chemicals
present in the fuel when making Section 313 threshold and release and
other waste management calculations?
Yes. For purposes of Section 313 threshold and release and other waste man-
agement calculations, the listed toxic chemicals present in the fuel are consid-
ered to be "processed" because they are being further distributed in commerce.
Thus, the listed toxic chemicals present in the fuel are subject to the 25,000
"processing" threshold.
132. Refractory brick containing 12,000 pounds of lead is installed in a
reaction vessel. Is the lead in the brick considered "otherwise used" for
purposes of EPCRA Section 313? Also, are releases of lead from the brick
during the 1997 reporting year subject to release reporting on the Form R
if no new bricks are added during the reporting year?
The lead contained in the bricks is considered "otherwise used" since it is not
incorporated into the final product. The facility would count the amount of
lead in the bricks that are added to the reaction vessel only for the year in
which the bricks are installed. In answer to the second question, if the 10,000
37
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SECTION 1
EPCRA Section 313 Questions and Answers
pound threshold is exceeded, then all releases of lead would be reported.
Neither the lead contained in the refractory bricks in the inventory (i.e.. not yet
installed), nor in-place lead contained in bricks (i.e.. installed in a previous
year) are to be included in threshold determinations for the reporting year in
question. If no bricks are installed during the reporting year, and lead is not
used elsewhere at the facility, then a report would not be required.
Process,
Repackage
Activity
Tliresholds,
Process,
Reclamation,
Solvents
Process,
Naturally
Occurring
Chemical,
Nicotine
133. A. facility receives a shipment of five-gallon cans of paint containing a
listed toxic chemical. The facility breaks up the shipment into separate
five-gallon cans and packages each can in a box with a paint brush for
sale. Is the listed toxic chemical repackaged and thus "processed" for
purposes of EPCRA Section 313?
No. "Repackaging" refers to the act of removing a toxic chemical from one
container and placing it in another. Simply repackaging a container that
contains a toxic chemical does not constitute "processing" of that listed toxic
chemical under EPCRA Section 313.
134. A recIamation/aaftXy receives waste solvents containing an EPCRA
Section 313 toxic chemical from a separate facility that generated the
wastes (the generating/ac/frYy). The reclamation facility reclaims the listed
toxic chemical and returns it, as a product, to the generating/aczftYy. For
the purpose of EPCRA Section 313 threshold determinations, is the recla-
mation facility "processing" the listed toxic chemical?
Yes. By reclaiming the listed toxic chemical and returning it to the generator,
the reclamation/flc//*Yy has prepared the chemical for distribution in commerce
by incorporating the chemical into a product. Therefore, the reclamation
facility is "processing" the toxic chemical in the waste solvent it receives.
Assuming the reclamation facility is a covered facility with 10 or more
full-time employees, it is required to report under EPCRA Section 313 for the
toxic chemical if it exceeds an activity threshold (e.g.. "processing" more than
25,000 pounds) during the course of a reporting year.
135. A cigarette manufacturer receives tobacco which naturally contains
nicotine, an EPCRA Section 313 toxic chemical. The manufacturer does
not add or alter the concentration of nicotine in the cigarettes when
processing the tobacco. Is the nicotine considered to be "processed" even
though it is naturally present in tobacco and not added to the finished
product?
Yes. There are no provisions under EPCRA Section 313 that exempt naturally
occurring chemicals that are known to be a part of a facility's raw material.
Although the facility does not manipulate the concentration of the toxic chemi-
cal in the raw material, the facility is "processing" the toxic chemical as
38
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EPCRA Section 313 Questions and Answers
SECTION 1
Process, Infra-
Company
Transfer,
Formaldehyde
Process,
Double
Counting,
Multiple
Processing
Steps
defined in 40 CFR Section 372.3. Thus, the facility would need to file a Form
R or Form A for nicotine if it is "processed" at the, facility in amounts greater
than or equal to the 25,000 pound activity threshold, assuming that the/acr'%
meets the other applicability criteria found in 40 CFR Section 372.22.
136. A. facility covered under EPCRA Section 313 uses formaldehyde as an
ingredient in feedstock. The feedstock is sent for use to another/aa%
under common ownership. The preparing/a«## does not receive direct
compensation for the product, nor is the product distributed to the general
public. Does such a transfer of a listed toxic chemical, after its prepara-
tion, to another facility under common ownership constitute distribution
in commerce and thus need to be considered in threshold determinations
for reporting under EPCRA Section 313?
Yes. Under EPCRA, "process" means the preparation of a listed toxic chemi-
cal, after its "manufacture" for distribution in commerce (40 CFR Section
372.3). Distribution in commerce includes any distributive activity in which
benefit is gained by the transfer, even if there is no direct monetary gain.
Listed toxic chemicals that are shipped from one facility to another facility
under common ownership are considered to be distributed in commerce.
Although the chemical in the product is not distributed to the general public,
the preparing facility does derive economic benefit by transferring the listed
toxic chemical, as both facilities are under common ownership. The amount of
listed toxic chemical prepared at the facility must be counted towards the
25,000 pounds "processing" threshold.
137. A metal fabrication/ac/% covered by EPCRA Section 313 extrudes
ingots containing 20,000 pounds of copper into rods. The facility then
transfers the rods containing 20,000 pounds of copper to another portion
of the facility, which is completely separate from the extruding operation,
for further processing, such as grinding. Has the facility "processed"
40,000 pounds of copper, and thus exceeded the "processing" threshold of
25,000 pounds per reporting year?
No. In this scenario, the facility has only "processed" 20,000 pounds of
copper and would not be subject to reporting pursuant to 40 CFR Part 372 for
this toxic chemical. For threshold purposes, facilities must count the amount
of a toxic chemical that is "processed" during the reporting year. Facilities
should not, however, double count toxic chemicals that are subject to multiple
on-site processing steps before being distributed in commerce. Conversely,
facilities that transfer listed toxic chemicals off-site for "processing" and
receive the same toxic chemical back for further "processing" must count the
listed toxic chemical twice when calculating thresholds because the listed toxic
chemical is considered to be newly obtained.
39
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SECTION 1
EPCRA Section 313 Questions and Answers
Process,
Repackage
Activity
Thresholds,
Manufacture,
Compounds,
Compounding
Activity
Thresholds,
Process,
Otherwise Use,
Zinc
Compounds
138. A manufacturing/acz'/fty receives shipments of an EPCRA Section
313 listed toxic chemical in rail cars. The listed toxic chemical is trans-
ferred from the rail cars into large tank trucks for distribution to custom-
ers. The quantity of the listed toxic chemical held in the tank trucks is
approximately equivalent to the amount held in the rail cars. Would the
transfer of the listed toxic chemical from the rail cars to the tank trucks be
considered repackaging and therefore included in "processing" threshold
determinations?
Yes. All activities involving the preparation of a listed toxic chemical, after its
"manufacture," for distribution in commerce are to be included in the "pro-
cessing" threshold determination for that chemical. The Agency defines
"processing" to include "...the preparation of a chemical for distribution in
commerce in a desirable form, state, and/or quantity (i.e.. repackaging)..." (53
FR 4506; February 16, 1988). The act of removing a listed toxic chemical
from one container and placing it in another is considered repackaging, regard-
less of the size of the containers involved. As such, the facility must include
any amounts transferred from the rail cars to the tank trucks in its "process-
ing" threshold for that chemical.
139. The Section 313 definition of "manufacture" includes the term com-
pounding, does this mean that if a chemical is mixed with other chemicals
in order to compound a product that the "manufacturing" threshold is to
be used?
No. Compounding as used under Section 313 means that a chemical has been
created not that chemicals have been mixed together to form a new product.
Thus, depending on the specifics of the use of the chemical amounts would be
counted towards the "otherwise use" threshold or the "processing" threshold,
but not the "manufacture" threshold.
140. For reporting under EPCRA Section 313, a facility sprays a solution
that contains zinc phosphate onto steel to coat it. Of the 100 pounds of
solution that are actually sprayed onto the steel, only 1 pound actually
coats the steel; the remaining 99 pounds are overspray. While on the steel
the zinc compounds serve a dual purpose; they inhibit corrosion and clean
the steel. How is the zinc phosphate process to be reported?
In this process it appears that the primary purpose of applying the zinc phos-
phate solution is to clean the steel. As such, the Agency considers the 99
percent of the zinc compound used to clean the steel to be "otherwise used"
and subject to the 10,000 pound threshold. The one percent of the zinc that is
incorporated into the product to inhibit corrosion is counted towards the "pro-
cessing" threshold.
40
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EPCRA Section 313 Questions and Answers
SECTION 1
Activity
Threshold,
Otherwise Use,
Formaldehyde
Import
Import,
Manufacture
Import, Foreign
Trade Zone
141. A melamine formaldehyde resin containing a small amount of
unreacted formaldehyde monomer is purchased by a facility, dissolved in
water and applied to paper to produce a polymer-coated product. In the
process of coating the paper all of the formaldehyde evaporates. Is the
formaldehyde "processed" or "otherwise used?"
Since the formaldehyde is not incorporated into the product, it is "otherwise
used." The formaldehyde would not be counted at all if the amount is below
the de minimis of 0.1 percent in the incoming resin mixture (53 FR 4509;
February 16, 1988).
G. Importing
142. Under "manufacture/import," what constitutes import! Does the
threshold apply if you have a broker who imports the toxic chemical for
you, stores it for you, and then ships the toxic chemical to you? What
criteria apply?
Use of a broker does not negate facility "importation" ("manufacture") of a
listed toxic chemical. If your facility specified that a listed toxic chemical or
mixture containing a toxic chemical be obtained from a foreign source and you
specified the amount, then your facility "imported" the toxic chemical. The
criteria are that you caused the listed toxic chemical to be brought into the
customs territory of the U.S. and you "control the identity of the toxic chemical
and the amount to be imported"
143. Should the amounts of a chemical "manufactured" and imported be
added together to count towards the "manufacturing" threshold?
Yes. Because EPCRA defines both creation and importation as "manufactur-
ing," you must add the amounts of the chemical undergoing each activity
together to determine the "manufacturing" threshold.
144. My facility imports over 25,000 Ibs of an EPCRA Section 313 toxic
chemical to be used in the U.S. to manufacture a product (e.g., used as an
intermediate) or to be processed in the United States, The product is then
exported in its entirety. Is the chemical subject to the EPCRA Section 313
requirements?
Yes. If tiae facility that caused the importation meets the employee criterion,
covered SIC code criterion, and toxic chemical activity threshold, then the
facility must fill out a Form R. The only exception would be if the chemical
was imported for entry into "Foreign Trade Zones (FTZ)" for reexport. How-
ever, if any portion of the chemical or the product is withdrawn from the FTZ
with intention of distribution into the U.S., then the chemicals that were used
41
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SECTION
EPCRA Section 313 Questions and Answers
for the portion entering U.S. commerce are counted toward the TRI activity
threshold. Please remember, there are other EPA importing requirements
under other environmental statutes.
Import, Toll
Processor,
Threshold
Determination
Import,
Warehouse
Import, Broker
145. Facility A orders 50,000 pounds of a listed toxic chemical from a
foreign supplier but has that toxic chemical shipped directly to a toll
processor. The toll processor then sends the formulated product contain-
ing the toxic chemical to Facility A in the same reporting year. Who is
considered the importer and thus subject to the "manufacturing" threshold
for that toxic chemical?
The toll processor has not caused the listed toxic chemical to be imported,
therefore they are not subject to the "manufacturing" threshold. The toll
processor, however, is subject to the "processing" threshold for that listed toxic
chemical and should report. Facility A has imported the listed toxic chemical
when the product is received from the toll processor. This is because Facility A
has caused the listed toxic chemical to be imported and ultimately received the
listed toxic chemical, even though there was some intermediate processing
applied to the toxic chemical. There is no practical difference in coverage
under the regulations unless the manufacturing facility does not further "other-
wise use" or "process" the product. For example, if the facility only labels the
product containers and ships them to customers, they are still subject for
reporting the toxic chemical because the act of importation is considered
"manufacturing."
146. Regarding 40 CFR Section 372.45, a facility imports a listed chemical,
but it is imported directly to stand-alone warehouses (not of the facility's
ownership). The facility controls the sale/distribution of these unaltered
products. Should the warehouses properly report on these materials or
should the facility'!
The facility should count the chemical towards its "manufacturing" threshold
only if it actually receives the toxic chemical at the facility. The warehouse is a
separate facility, and may not be within a covered SIC code', it therefore may
not need to report. If the warehouse assumes the SIC code of the facility it
supports, it is an auxiliary facility, and it will need to make employee and
threshold determinations. Because the warehouse has not caused the toxic
chemical to be imported, it has not "manufactured" the toxic chemical. How-
ever, if the warehouse "processes" or "otherwise uses" the chemical above an
applicable activity threshold, and meets the other EPCRA Section 313 criteria,
it would be required to file the Form R.
147. A. facility did not specify a source for a material broker to obtain a
listed toxic chemical, but learns that the only U.S. manufacturer of the
42
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EPCRA Section 313 Questions and Answers
SECTION 1
Auxiliary
Facility, SIC
Code
Auxiliary t
Facility, '
Reporting
Criteria
Auxiliary
Facility, SIC
Code, Multi-
Establishment,
Laboratory
chemical has gone out of business. Is the facility importing the chemical
and, therefore, subject to the "manufacturing" threshold?
Yes. The facility knows that it has caused the listed toxic chemical to be
imported to the U.S. because there are no U.S. sources. Therefore, the amount
of the'chemical that is caused to be imported by the facility through a broker
must be included within the 25,000 pound "manufacturing" threshold determi-
nation for that listed toxic chemical.
H. Auxiliary Facilities
148. An auxiliary wastewater treatment plant, which is not a RCRA
Subtitle C facility, has taken on the SIC code of a covered facility because it
primarily services a covered facility. Does the facility where the treatment
plant is located have to report even if the rest of the establishments at that
facility are not in the covered SIC codes'!
A. facility must report only if it meets the employee, SIC code and activity
criteria. As long as the wastewater treatment plant does not represent the
major part of the goods and services produced at the facility, the SIC code
criterion is not met. Therefore, the facility as a whole need not report. The
covered facility producing the listed toxic chemical in the waste must report the
off-site transfer to the facility containing the wastewater treatment plant.
149. Are auxiliary facilities associated with activities at a facility in a
covered SIC code exempt from reporting under Section 313?
No. An "auxiliary facility" is one that directly supports another facility/
enterprise's activities and therefore takes the SIC code ofthe facility supported.
Auxiliary facilities located on separate property must report if they also meet
the employee and activity thresholds. Auxiliary establishments that are part of
multi-establishment facilities should be included in facility threshold and
release other waste management determinations. For example, a spill from the
warehouse would be included in the covered facility's release quantities.
150. Is my facility covered by EPCRA Section 313, if the value of labora-
tory research at my facility is greater than 50 percent of the total value of
goods and services produced at my facility1!
If the research laboratory is a separate establishment from the other activities at
the facility and its SIC code is not in a covered SIC code, then the 50 percent
test is used to determine if the whole facility is in the covered SIC codes. In
this case, the facility would not be subject to reporting because the primary SIC
code is not within the covered SIC codes. However, if the laboratory is within
the covered SIC codes, because it is an auxiliary establishment providing
43
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SECTION 1
EPCRA Section 313 Questions and Answers
research to support operations in the covered SIC codes, the facility would be
covered by Section 313.
Auxiliary
Facility,
Electroplating
Indian Lands,
EPCRA
Reporting
151. An airplane engine repair shop (generally SIC code 7699) owns an
"auxiliary"/a«7^y at a separate location that does metal plating for the
engine repair shop and other facilities (generally SIC 3471- Plating of
Metals and Formed Products). Would the plating/acz'% be exempt?
According to the SIC code manual, this/ac/% would not be "auxiliary"
because it is not primarily engaged in performing support services for one
other facility. Instead this/ac///fy would be considered a separate operating
establishment conducting a "manufacturing" activity. It would, therefore,
need to make the employee and activity threshold determinations and report, if
appropriate, because it falls within a covered SIC code.
I. Indian Lands
152. In 1986, Congress passed EPCRA, to help local communities, includ-
ing Indian reservations, protect public health and the environment from
chemical hazards by informing citizens about the chemicals present in
their communities. On July 26,1990, EPA published a rulemaking in the
Federal Register designating Indian Tribes and their chief executive
officers as the implementing authority for EPCRA on all Indian lands (55
FR 30632). What is EPA's policy regarding the implementation of the
different provisions of EPCRA on Indian lands?
EPA's policy is to work with Tribes on a government to government basis in
implementing the requirements of EPCRA. EPCRA contains four major
provisions: planning for chemical emergencies, emergency notification of
chemical accidents and releases, reporting of hazardous chemical inventories,
and toxic chemical release reporting. The emergency planning provisions of
EPCRA Sections 301-303 are designed to help Indian Tribes prepare for, and
respond to chemical emergencies occurring on Indian lands that involve ex-
tremely hazardous substances (EHSs), found at 40 CFR Part 355, Appendix A
and B. The chief executive officers of federally recognized Tribes must ap-
point Tribal Emergency Response Commissions (TERCs), responsible for
carrying out the provisions of EPCRA in the same manner as State Emergency
Response Commissions (SERCs). Alternatively, Tribal leaders can join a
Tribal Coalition which functions as the TERC, or establish a Memorandum of
Understanding with a State to participate under the SERC. TERCs establish
emergency planning districts and can appoint Local Emergency Planning
Committees (LEPCs) or act as TERCs/LEPCs, performing the functions of
both. LEPCs use information collected under EPCRA to develop local emer-
gency response plans to respond quickly to chemical accidents. The chief
executive officer should ensure that TERCs maintain a broad-based representa-
44
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EPCRA Section 313 Questions and Answers
SECTION T
tion, including Tribal public agencies and departments dealing with environ-
mental, energy, public health and safety issues, as well as other tribal commu-
nity groups with interest in EPCRA. The Tribal LEPC should also be repre-
sentative of the community, and should include elected Tribal officials, fire
chiefs, Indian Health Services officials, Bureau of Indian Affairs officials,
Tribal elders and leaders, representatives of industries on or near the reserva-
tion, and members of the general community.
The emergency release notification provisions of EPCRA Section 304 require
facilities to immediately notify TERCs and LEPCs of releases in excess of
reportable quantities of EHSs and CERCLA hazardous substances, found at 40
CFR Section 302.4. Facilities must also provide written follow-up reports on
the actions taken to respond to releases and possible health effects of the
released substances. The emergency release notification provisions cover
releases from commercial, municipal, and other facilities on Tribal lands,
including those owned by the Tribe, and those from accidents on transportation
routes within the reservation. Substances covered by this Section include not
only EHSs, but also hazardous substances subject to the emergency release
notification requirements of CERCLA Section 103. CERCLA requires notifi-
cation of releases to the National Response Center. In cases where releases
from facilities located on Indian lands may affect areas outside Indian jurisdic-
tion, the legislation under EPCRA Section 304(b)(l) requires that notice be
provided to all SERCs and LEPCs likely to be affected by the releases. Re-
sponse to such releases will be handled by cooperation between the affected
jurisdictions. EPA encourages Indian Tribes, SERCs, and LEPCs to participate
in joint planning efforts to prepare for such potential emergencies. The hazard-
ous chemical right-to-know provisions of EPCRA Sections 311 and 312,
require facilities that prepare material safety data sheets (MSDSs) for hazard-
ous chemicals under OSHA, and have hazardous chemicals or EHSs present
above applicable threshold levels, to submit these MSDSs, or lists of such
chemicals to TERCs, LEPCs, and local fire departments. Facilities are also
required to submit hazardous chemical inventory forms which detail the
amounts, conditions of storage, and locations of hazardous chemicals and
EHSs to TERCs, LEPCs, and local fire departments. It is the responsibility of
TERCs and LEPCs to make this information available to the public.
Toxic chemical release reporting under EPCRA Section 313, requires covered
facilities to submit annual reports on routine and accidental toxic chemical
releases and other waste management activities to EPA and the Tribal environ-
mental, health, or emergency response agency which coordinates with the
TERC. TERCs and EPA make this information available to the community
through the national Toxic Release Inventory (TRI) database. The data is also
released to the public annually in national and state TRI reports.
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SECTION 1
EPCRA Section 313 Questions and Answers
The information collected under EPCRA enables TERCs and LEPCs to paint a
picture of the hazardous substances, chemicals, and toxics found on Indian
lands. It also allows the Tribal communities to work with industries to reduce
the use and releases of toxic chemicals into the environment and prevent
chemical accidents. EPA recognizes that resources are often limited on Indian
lands, and is committed to helping Indian tribes comply with EPCRA. EPA
provides technical assistance, guidance, and training tailored to the needs and
capabilities of Indian tribes. EPA's Office of Chemical Emergency Prepared-
ness and Prevention (CEPPO) can provide TERCs with grants/cooperative
agreements to aid in the implementation and effectiveness of their EPCRA
programs. To be eligible for consideration under this grant program, a tribe or
Tribal Coalition must function as an independent TERC. To the extent that
Tribes have these functions performed by states, they are not eligible for these
grants. Tribal agencies can also apply for training grants provided by FEMA
under EPCRA Section 305(a) to gain or improve skills needed for carrying out
emergency planning and preparedness programs. These grants are provided
through the TERCs or other agencies. The Hazardous Materials Transportation
Uniform Safety Act of 1990 (HMTA) also includes funding grants for Indian
tribes for training public sector employees in emergency response activities.
HMTA provides planning grants for developing, improving, and implementing
EPCRA plans, and for developing a training curriculum for TERCs and
LEPCs. Tribes should contact their EPA Regional office for information on
how to apply for these grants.
Enforcing the provisions of EPCRA is key to providing Tribal communities
with the information necessary to prepare for and prevent chemical accidents.
EPA provides assistance to Tribal communities for specific enforcement
actions against violators of Sections 302, 311, and 312. Since EPA does not
receive or process information under these Sections, actions should be initi-
ated at the tribal and district levels.
46
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EPCRA Section 313 Questions and Answers
SECTION 2
Exemption
Retention
FDA
Personal Use
Exemption,
Office Supplies
Personal Use
Exemption,
Office Supplies
Personal Use
Exemption,
Employee
Comfort
Section 2. EXEMPTIONS
A. General, Personal Use, and Intake Water or Air .
153. Does a listed toxic chemical retain its exemption even if other formu-
lations, articles, or fuels with the same listed toxic chemical are not ex-
empt?
Yes, the toxic chemical retains its exemption. Exempted uses of a listed toxic
chemical do not need to be reported, even if other (non-exempted) uses of the
same listed chemical trigger thresholds at the facility.
154. Is a feed company that is regulated by the Food and Drug Adminis-
tration (FDA) exempt from filing Form R under Section 313?
No. Section 313 applies to any facility that meets all the applicable criteria.
There is no specific exemption for facilities or toxic chemicals regulated by the
FDA.
155. Do office supply type products require coverage under Section 313
reporting?
EPA does not intend to require covered facilities to account for listed toxic
chemicals in typical office supplies such as correction fluid and copier machine
fluids. Although not specifically exempt in the regulation, EPA interprets such
mixtures or products to be equivalent to personal use items or materials present
in a facility's cafeteria, infirmary, or materials used for routine janitorial activi-
ties and/ac/% grounds maintenance (40 CFR Section 372.38(c)(3)).
156. A. facility meets the threshold for "otherwise use" of 1,1,1-
trichloroethane as a cleaner. Would the release of that listed toxic chemical
contained in the office supply product "white-out" also be included?
Office products fall within the same realm as the personal use and janitorial
maintenance exemptions. The release of 1,1,1, trichloroethane in "white-out"
is exempt.
157. A. facility adds chlorine to its water supply system. The chlorinated
water is used only for drinking purposes by employees. Is this use of
chlorine reportable under EPCRA Section 313?
Chlorine that is added by a facility to its water supply system to prepare po-
table water for consumption at the facility is exempt from reporting under the
personal use exemption, which exempts "personal" use by employees or other
persons at the facility of foods, drugs, cosmetics, or other personal items
47
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SECTION 2
EPCRA Section 313 Questions and Answers
Personal Use
Exemption,
Office Supplies
Personal Use
Exemption,
Cafeteria
Refrigerants
Personal Use
Exemption,
Employee
Comfort,
Air
Conditioning
containing toxic chemicals, including supplies of such products within the
facility such as in a facility operated cafeteria, store, or infirmary (40 CFR
372.38(c)(3)). Since chlorine is used to prepare an item (i.e.. potable water)
that will be used only for drinking purposes by facility employees, it is ex-
empted from reporting under EPCRA Section 313.
158. A facility uses ammonia in gas cylinders in their blueprint machines.
The facility uses a total of 12,000 pounds of reportable ammonia per year
in this operation and does not "otherwise use" or "process" any other
quantities of ammonia. Is this use exempt from Section 313 reporting
under the office supplies for personal use exemption (40 CFR Section
372.38(c)(3))?
Blueprint machines are not typical office supply items for personal use. Since
the 10,000 pound "otherwise use" threshold is exceeded, the facility must
report for the ammonia.
159. A. facility uses listed toxic chemicals in its cafeteria refrigeration
units. The units enable the cafeteria to store food that will later be served
to staff of the facility. Would these chemicals need to be included in
EPCRA Section 313 threshold determinations?
No. Under the personal use exemption "foods, drugs, cosmetics or other
personal items containing toxic chemicals, including supplies of such products
within the facility such as in a facility operated cafeteria, store, or infirmary"
used by employees or other persons at the facility are exempt from threshold
determinations (40 CFR Section 372.38(c)(3)). The listed toxic chemicals used
in the cafeteria refrigeration units, therefore, are exempt from threshold deter-
minations and release and other waste management reporting requirements.
Non-exempt uses of the same listed toxic chemicals elsewhere at the facility,
however, must be included in threshold determinations and release and other
waste management reporting.
160. Would listed toxic chemicals used as refrigerants in a facility's air
conditioning unit be exempt from EPCRA Section 313 reporting under the
personal use exemption (40 CFR Section 372.38(c) (3))?
Yes, if the air conditioning unit is used for the purpose of maintaining em- ,
ployee comfort, the listed toxic chemicals used in the unit would be exempt
from EPCRA Section 313 reporting under the personal use exemption. If,
however, the air conditioning unit is integral to the/ac//zYy's operation or
activity (e.g.. maintaining constant temperature and humidity for machinery or
cold storage rooms), then the toxic chemicals used in the unit would not be
exempted from EPCRA Section 313 reporting.
48
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EPCRA Section 313 Questions and Answers
SECTION 2
Personal Use
Exemption,
Ammonia,
Sewage
Intake Water
Exemption
Intake Air
Exemption,
Compressed
Air
Intake Water
Exemption,
Personal Use
Exemption,
Employee
Comfort
161. A facility covered under Section 313 of EPCRA has met a reporting
threshold for ammonia. A sewage system within the facility collects hu-
man waste from different parts of the/ac/%. The ammonia present in the
sewage is not involved in any "manufacturing," "processing? or "otherwise
use" activities at the/ac/%. Since the facility has already exceeded an
activity threshold for ammonia, are they required to report the releases of
ammonia that are emitted in the sewage?
No. The ammonia present in the sewage is derived from the employees work-
ing at the plant and is eligible for the personal use exemption (40 CFR Section
372.38(c)). Therefore, even though the facility has exceeded an activity thresh-
old, they would not be required to report the exempted releases of ammonia.
162. A facility uses river water as process water. The water taken from
the river contains more lead (1.0 pph) than the water returned to the river
(0.5 ppb). Is it subject to the process water exemption (40 CFR Section
372.38 (c)(5))? If not, is the/aci% treating the water?
The process water can be considered exempt because the listed toxic chemical
was present as drawn from the environment. The facility does not need to
consider lead in the process water for threshold or release and other waste
management reporting.
163. Would a listed toxic chemical present in compressed air be exempt?
What if the listed toxic chemical is present in boiler emissions air?
A listed toxic chemical present in compressed air drawn from the environment
would not have to be counted toward a threshold determination because it meets
the intake air exemption (40 CFR Section 372.38(c)(5)). If mat same listed toxic
chemical is present in the boiler emission air only because it was in the compressed
air fed to the boiler, then that would remain an exempt use. However, if the listed
toxic chemical is created as a result of combustion, you have coincidentally
"manufactured" the toxic chemical and must consider it for reporting.
164. Are water treatment chemicals such as chlorine covered? Do we
have to count the chlorine in the city water we use?
You are not required to account for amounts of a listed toxic chemical present
in water that you draw into your facility. For example, chlorine present in
water taken from municipal sources does not have to be considered for thresh-
old determinations and release and other waste management estimates. Any
chlorine you use to treat process water used in your facility, however, counts
toward the "otherwise use" threshold determination. However, if you use the
chlorine to treat drinking water for personal use at the facility the chlorine is
exempt from threshold and release and other waste management calculations.
49
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SECTION 2
EPCRA Section 313 Questions and Answers
Personal Use
Exemption,
Intake Water
Exemption
Facility
Maintenance
Exemption,
Process
Equipment
Maintenance
Facility
Maintenance
Exemption,
Process
Equipment
Maintenance
Facility
Maintenance
Exemption,
Recreational
Use, Swimming
Pool
165. A covered facility draws drinking water from an on-site well. The
water contains a Section 313 chemical as a contaminant. Must the facility
count the amount of the contaminant in its threshold determinations?
No. The listed toxic chemicals in the water would be exempt from Form R
reporting under either the personal use exemption if the water is for the em-
ployees consumptive use on-site (40 CFR Section 372.38(c)(3)) or would be
exempt under the intake water exemption (40 CFR Section 372.38(c)(5)).
B. Facility Maintenance and Structural Components
166. How is routine janitorial maintenance defined in the exemption list?
Is equipment maintenance included?
Equipment maintenance such as the use of oil or grease is not exempt. The
routine janitorial and facility grounds maintenance exemption is intended to
cover janitorial or other custodial or plant grounds maintenance activities using
such substances as bathroom cleaners, or fertilizers and pesticides used to
maintain lawns (40 CFR Section 372.38(c)(2)).
167. An EPCRA Section 313 toxic chemical is used to clean a process-
related tower at a manufacturing/aci/ity. Is the use of the chemical ex-
empt from threshold and release and other waste management calculations
under the routine janitorial smA facility grounds maintenance exemption
of 40 CFR Section 372.38(c)(2)?
No. Materials used to maintain process-related equipment at a facility (e.g..
cleaners and lubricants) are not exempt under Section 372.38(c)(2). Because
the tower is process related, the exemption does not apply. This exemption
only applies to the use of products that are specifically used for routine janito-
rial or facility grounds maintenance.
168. A. facility maintains a swimming pool on the facility site for recre-
ational use by the facility employees. Chlorine is used to treat the swim-
ming pool water. Is the chlorine so utilized by the facility subject to
threshold and release and other waste management calculations under
EPCRA Section 313?
No. The chlorine used to treat the swimming pool water is exempt from
threshold and release and other waste management calculations under the
exemption found at 40 CFR Section 372.38(c)(2) for use of products for
routine janitorial or facility grounds maintenance.
50
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EPCRA Section 313 Questions and Answers
SECTION 2
Facility
Maintenance
Exemption,
Manufacture
Facility
Maintenance
Exemption,
Similar in
Type or
Concentration,
Coincidental
Manufacture
Facility
Maintenance
Exemption
Facility
Maintenance
Exemption,
Otherwise Use
169. An EPCRA Section 313 covered facility uses 55-gallon drums of paint
containing a listed toxic chemical to paint lines on the roads and air strips on
the facility's grounds. Paint is also used to maintain road signs and facility
building signs. Would the listed toxic chemicals in the paint be exempt from
EPCRA Section 313 reporting requirements under the facility grounds
maintenance exemption found at 40 CFR Section 372.38(c)(2)?
The facility grounds maintenance exemption in 40 CFR Section 372.28(c)(2)
applies to the use of products used for routine janitorial or facility grounds
maintenance. This exemption includes both individually packaged products
(e.g.. cans of paint) and substances in bulk containers (e.g.. 55-gallon drums of
paint). Therefore, if the paint in the drums used to maintain the roads and the
signs is similar, the listed toxic chemicals in the paint would be exempt from
EPCRA Section 313 reporting requirements.
170. A. facility has an ornamental pond on-site. Does the addition of listed
toxic chemicals to an ornamental pond on a facility site qualify for the
routine janitorial or facility grounds maintenance exemption (40 CFR
Section 372.38(c)(2))?
Yes. The facility grounds maintenance exemption applies. The facility owner/
operator should also be aware that coincidental "manufacture" of other toxic
chemicals may result (e.g.. nitrate compounds) and, any listed chemicals
"manufactured' must be applied to the "manufacturing" threshold.
171. It appears that janitorial type chemicals are exempt. Does this mean
that if I use formaldehyde as a disinfectant in a sterile area in excess of the
threshold, it is exempt?
No. The use of the disinfectant described in the question seems to be process-
related and is therefore not exempt. Also, "janitorial type chemicals" are not
exempt; rather, chemicals used for routine janitorial at facility grounds mainte-
nance are exempt.
172. PL facility uses a contact cleaner to clean relays at the covered facility,
that are used to control lights. For Section 313 purposes, is this use
exempt as part of routine janitorial grounds maintenance or must the
amount of the listed toxic chemical in the cleaner used be included hi an
applicable threshold?
The use of the cleaner is not exempt because it is not janitorial use and does
not relate to facility grounds maintenance. The use is integral to the production
processes of the facility. Unlike other equipment repair or maintenance, the
chemicals are not being incorporated into the structure of the facility. There-
51
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SECTION 2
EPCRA Section 313 Questions and Answers
Facility
Maintenance
Exemption,
Otherwise Use,
Cooling Towers
Facility
Maintenance
Exemption,
Pesticides
Structural
Component
Exemption,
Paint,
Stationary
Equipment,
Mobile
Equipment,
Welding Rods
Structural
Component
Exemption,
Paint,
Solvents
Stntctural
Component
Exemption,
Paint
fore, the amount of the listed toxic chemicals in the cleaner must be included in
the calculation of "otherwise use" for the facility.
173. Are pesticides which are used to control algae in cooling water towers
exempt?
No, such pesticides would not fit the routine maintenance exemption. The
"otherwise use" threshold would apply.
174. Would a facility that exterminates insects using pesticides contain-
ing listed toxic chemicals need to report for the listed toxic chemicals?
If the pesticides are used as part of routine facility maintenance and are not
process related, they would be exempt under the facility maintenance exemp-
tion (40 CFR Section 372.38(c)(2)). If the pesticides are used for the comfort
of the facility personnel, the listed toxic chemicals would be exempt under the
personal use exemption (40 CFR Section 372.38(c)(3)). However, if the
pesticides are used to support the facility's process, neither exemption would
apply, and a covered facility would need to consider the "otherwise usjs" of the
listed toxic chemical in the pesticides in making threshold and release and
other waste management determinations.
175. Would the structural component exemption apply to welding rods
used to maintain process equipment and therefore be exempt (40 CFR
Section 372.38(c)(l)) as a structural component of the/aci%? Does it
matter if the equipment is not attached to the facility (a reactor) but is
mobile (e.g., baskets on wheels)?
No, because the welding rod is used to maintain process equipment. However,
if the same rods are used to maintain the facility (such as in the repair of a door
frame) then the facility maintenance exemption may apply.
176. Are solvents and other listed toxic chemicals in paint used to main-
tain si facility exempt?
Yes. Painting to maintain the physical integrity of the facility is consistent with
the "structural component" exemption (provided that it is used to paint passive
structures), even though the solvents in the paint do not become part of the
structure (40 CFR Section 372.38 (c)(l)).
177. A manufacturing company routinely paints the exterior of on-site
buildings. The solvent in the paint is an EPCRA Section 313 toxic
chemical. The paint brushes used to paint the buildings are cleaned with a
solvent that is also an EPCRA Section 313 toxic chemical. Is the solvent
52
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EPCRA Section 313 Questions and Answers
SECTION 2
Structural
Component
Exemption,
Paint, Pipes
Structural
Component
Exemption,
Fuels
used to clean the brushes subject to threshold and release and other waste
management calculations under Section 313?
The structural component exemption set out at 40 CFR Section 372.38(c)(l)
applies to the solvent in the paint used to paint the facility. It also applies to
the solvent used to clean the paint brashes since this is part of the painting
process. Likewise, any paint and cleaning solvent residues would not be
subject to threshold or release and other -waste management calculations.
178. Is the painting of process equipment to meet OSHA standards ex-
empt from Form R threshold and release and other waste management
determinations under the structural component exemption?
No. Painting process pipes would not qualify for the structural component
exemption because the exemption only applies to non-process related equip-
ment (40 CFR Section 372.38(c)(l)).
179. An EPCRA Section 313 covered facility uses a fuel-powered paint
sprayer for the sole purpose of painting the facility's structure. The listed
toxic chemicals within the paint used to maintain thefacittty's appearance
are exempt from EPCRA Section 313 threshold determination and release
and other waste management reporting requirements under the structural
component exemption (40 CFR Section 372.38(c)(l)). The fuel used to
power the paint sprayer also contains listed toxic chemicals reportable
under EPCRA Section 313. Must the listed toxic chemicals hi the fuel be
applied toward the 10,000-pound "otherwise use" threshold?
No. The listed toxic chemicals are exempt from EPCRA Section 313 threshold
determination and release and other waste management reporting require-
ments. Although the structural component exemption most commonly applies
to toxic chemicals incorporated into a facility's physical structure, the exemp^-
tion also extends to toxic chemicals whose sole use derives from or is associ-
ated with an exempt use. Examples of toxic chemicals exempt in this manner
include solvents used to clean paint brashes that had been utilized to paint a
facility's structure and fumes generated from the welding of non process-
related pipes during installation at a facility. Be aware, however, that combus-
tion of fuels may coincidentally "manufacture" Section 313 toxic chemicals.
Such coincidental "manufacture" is not eligible for de minimis limitations (see
the directive on de minimis') and amounts produced must be compared against
the "manufacturing" threshold. The EPA publication, "Toxic Air Pollutant
Emission Factor - A Compilation of Selected Air Toxic Compounds and
Sources" (EPA 45/2-8 8-006a) contains emission factors for many specific
compounds emitted during fuel combustion.
53
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SECTION 2
EPCRA Section 313 Questions and Answers
Structural
Component
Exemption,
Pipes
Threshold
Determination,
Aluminum
Oxide,
Structural
Component
Exemption
Structural
Component
Exemption
Structural
Component
Exemption,
Active/Passive
Degradation
180. Does the "structural component" exemption (40 CFR Section
372.38(c)(l)) cover the small amounts of abraded or corroded metals from
pipes and other equipment that become part of process streams?
If the pipes are not process related, the structural component exemption would
apply and the listed toxic chemicals contained in the pipes would not need to
be considered in threshold and release or other waste management determina-
tions. If the pipes are process related, the structural component exemption
does not apply, and if the facility exceeds a threshold for the listed toxic chemi-
cal, any nonexempted releases of the listed toxic chemical should be consid-
ered in release and other waste management determinations.
181. A foundry uses aluminum oxide both in grinding wheels as well as in
the refractory brick which lines the furnace. Must the facility count the
aluminum oxide in the brick toward the reporting threshold, or is the
brick exempt as part of the structure of the facility!
The aluminum oxide in the brick must be counted toward the "otherwise use"
threshold if it is a fibrous, man-made form of aluminum oxide. It does not
meet the structural component exemption, because it is a material that is in
essence a replaceable insulation liner that is part of the process. If releases
from the brick amount to less than 0.5 Ibs over the course of the reporting year,
the article exemption may apply.
182. Does material contained in the structure of a building need to be
reported?
No. Structural materials not associated with the process are exempt from
reporting. They are exempt from threshold and release and other waste man-
agement determinations and determinations of maximum quantity on site.
183. The structural component exemption under EPCRA Section 313
covers the small amounts of abraded/corroded metals from pipes and
other non-process related/ac/% equipment (40 CFR Section 372.38
(c)(l)). Does the structural component exemption apply to equipment
which regularly suffers abrasion, such as grinding wheels and metal
working tools? What criteria can a facility use to decide which pieces of
equipment are structural components and which are not?
The Section 313 structural components exemption would not apply to grinding
wheels and metal working tools. These items are intended to wear down and
to be replaced because of the nature of their use. The structural component
exemption applies to passive non-process related structures and equipment,
such as pipes. The abrasion/corrosion includes normal or natural degradation,
54
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EPCRA Section 313 Questions and Answers
SECTION 2
Structural
Component
Exemption,
Article
Exemption
Structural
Component
Exemption,
Degreasers,
Otherwise Use
Structural
Component
Exemption,
Active
Degradation,
Electroplating
Structural
Component
Exemption,
Asbestos
such as occurs in pipes, but not active degradation, such as occurs in a grinding
wheel.
184. If a facility stores a listed toxic chemical on-site, and then uses it by
installing it in the facility, is the facility required to consider the listed toxic
chemical (a component) for Section 313 submission?
When the listed toxic chemical is installed as a passive structural component (a
component not related to the facility's process), then the structural component
exemption applies to the toxic chemical in the component (40 CFR Section
372.38(c)(l)). If the toxic chemical is in a process related component but has
less than 0.5 Ibs of releases over the course of the year, it may qualify for the
article exemption.
185. Are degreasers employed hi plant maintenance shops exempt under
the structural component exemption (40 CFR Section 372.38 (c)(l))?
No, degreasers used in plant maintenance do not meet the structural component
exemption. The listed toxic chemicals in the degreasers would be considered
"otherwise used,"
186. As part of the equipment involved in a hard chrome plating process,
lead anodes conduct a current to parts being plated. The lead anodes do
not provide a metallic ion to the plating process, but only act as bus bars
to conduct the electrical current. The anodes require replacement over
tune due to erosion just as other pieces of electrical supply equipment.
The anodes are solidly connected to the electrical supply system for the
sole purpose of conducting electricity. Are the anodes considered a struc-
tural component of the facility and therefore, exempt from reporting
under the structural components exemption (40 CFR Section 372.38
No, the lead anodes are not considered exempt as a structural component since
they play such an integral role in an electrochemical process. The erosion
which the anodes undergo is not the same as other electrical supply equipment
since the degradation is specifically caused by contact with process chemicals
in a plating bath.
187. A facility is removing asbestos insulation for disposal. Is this covered
by the structural component exemption?
Removal of friable asbestos insulation is not being used in the "manufacture,"
"process" or "otherwise use" of friable asbestos. Since friable asbestos is not
being "otherwise used" in this activity, the structural component exemption
cannot be taken. However, if the facility does "manufacture" "process" or
55
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SECTION 2
EPCRA Section 313 Questions and Answers
Motor Vehicle
Exemption,
Gasoline, Anti-
Freeze
Motor Vehicle
Exemption,
Gasoline
Motor Vehicle
Exemption, Jet
Fuel
"otherwise use" friable asbestos in excess of the thresholds elsewhere at the
facility, this type of off-site transfer would be reportable.
C. Vehicle Maintenance (see also Appendix A: Section 313 Policy Directive
#5 - Motor Vehicles Use Exemption)
188. Please verify that any motor vehicle operated by the facility, whether
licensed or not, is eligible for the exemption listed in 40 CFR Section
372.38(c)(4). This includes forklifts and automobiles. Also, please verify
that gasoline, lubricants, oils and anti-freeze are all considered to be
substances subject to this exemption.
The motor vehicle exemption does not include all motor vehicles in any use at
the facility. It does include benzene in gasoline, lubricants and oils and glycol
ether in antifreeze used to maintain and operate a motor vehicle employed at
ih& facility. The exemption only applies to the "otherwise use" of the toxic
chemical. It does not apply to "processing" or "manufacturing." For ex-
ample, this exemption would not apply in the case of an automobile manufac-
turing plant. As part of the production of vehicles, such a. facility would be
incorporating the toxic chemicals into an article for distribution in commerce.
189. A single company owns many facilities which are required to report
under Section 313. The company stores gasoline at one of the facilities.
The gasoline is used by trucks from all of the facilities, which come to the
central location for fuel and then leave. Is the gasoline in the storage tank
exempt because it is used to maintain motor vehicles even though they are
operated from different facilities'!
Since those trucks are being driven to the one facility site to be fueled, they can
be considered as being operated by that one facility. Therefore, the gasoline
stored and used by that one facility would be exempt from being reported as
long as the listed toxic chemical is used to maintain a motor vehicle operated
by the facility as per 40 CFR Section 372.38(c)(4).
190. An airplane manufacturer uses JP4, a jet fuel, to move the planes
around on the facility. Can this fuel be considered exempt under the
"maintenance of motor vehicles used at thefacitttyn exemption?
Amounts of fuel used only at the facility to transport vehicles on the facility's
property do not have to be counted towards threshold and can be included
under the motor vehicle exemption. If the jet fuel is in the planes when they
leave the site to be sold or distributed in commerce, then the facility is consid-
ered to be "processing" the jet fuel and is subject to 313 reporting.
56
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EPCRA Section 313 Questions and Answers
SECTION 2
Laboratory
Activity
Exemption,
Quality
Control
Activities
Laboratory
Activity
Exemption,
Technically
Qualified
Individual,
TSCA
Laboratory
Activity
Exemption
SIC Code,
Pilot Plant,
Laboratory
Activity
Exemption
D. Laboratory Activities
191. Does Section 313 reporting include laboratory chemicals?
Yes. However, the quantity of a listed toxic chemical "manufactured," "pro-
cessed" or "otherwise used" in a laboratory under the supervision of a techni-
cally qualified person is exempt from threshold and release and other waste
management calculations. This exemption includes laboratories performing
quality control activities including those located in manufacturing facilities (40
CFR Section 372.38(d)).
192. 40 CFR Section 372.38(d) lists uses of listed toxic chemicals in labora-
tories which are exempt from threshold determination and release and
other waste management reporting. It states: "if a toxic chemical is
"manufactured? "processed? or "otherwise used" in a laboratory at a
covered facility under the supervision of a technically qualified individual,
as defined in Section 720.3(ee) of this title," it is excluded from 313 report-
ing requirements. What is that reference?
Section 720.3(ee) is found in Toxic Substances Control Act (TSCA) regula-
tions (40 CFR 720.3(ee)) and defines "technically qualified individual" as a
person or persons who, because of education, training or experience, or a
combination of these factors, is capable of understanding and minimizing risks
associated with the substance, and is responsible for safe procurement, storage,
use, and disposal within the scope of research.
193. If a facility has manufacturing and exempted laboratory activities on
the same site, does the site have to include the exempted laboratory activi-
ties in the threshold calculations?
No. The facility does not need to consider listed toxic chemicals used in
exempt laboratory activities when making threshold and release and other
waste management determinations.
194. Does a pilot plant within a covered SIC code have to report or is it
covered by the laboratory activities exemption?
A pilot plant within the appropriate SIC codes is a covered facility if it meets
the employee and chemical threshold criteria. Pilot plants are not covered by
the laboratory activities exemption.
57
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SECTION 2
EPCRA Section 313 Questions and Answers
Laboratory
Activity Exemp-
tion, Speciality
Chemical
Production
Laboratory
Activity
Exemption,
QA/QC
Activities
Laboratory
Activity
Exemption,
QA/QC
Activities
Laboratory
Activity
Exemption,
Pilot Plants
Laboratory
Activity
Exemption,
R&D
Activities
195. What is meant by "speciality chemical production" as an exception
to the laboratory activities exemption?
Specialty chemical production refers to listed toxic chemicals produced in a
laboratory setting that are distributed in commerce.
196. Does the exemption for laboratory activities also cover quality con-
trol labs?
There is not a specific "quality control lab" exemption. Rather, the exemption
applies to laboratory activities in which any listed toxic chemical is "manufac-
tured" "processed," or "otherwise used" under the supervision of a "techni-
cally qualified individual." This exemption can cover activities in quality
control labs.
197. A. facility sends materials that are sampled from processing opera-
tions to a laboratory for quality control purposes. Are these quantities
exempted under the laboratory activity exemption, provided that they are
handled by a technically qualified individual (40 CFR Section 372.38(d))?
No, any quantity of a listed toxic chemical "manufactured," "processed" or
"otherwise used" must be counted for the purpose of threshold determination.
The fact that it is drawn from a process for purposes of quality control testing
does not allow tine facility to subtract that quantity from the total amount of the
toxic chemical factored into the threshold and release and other waste manage-
ment determinations.
198. If a pilot plant is contained within a laboratory, assuming the rest of
the lab deals with research and quality control, must the facility calculate
the threshold based on the entire lab, or just on the chemicals used for the
pilot plant?
The facility would only be required to consider the pilot plant portion of the
laboratory.
199. A. facility manufactures "prototype" vehicles (buses, etc.) for research
and development. They "otherwise use" solvents that contain listed toxic
chemicals in excess of the activity threshold. Are the listed toxic chemicals
exempt under the laboratory activity exemption?
Yes, if the listed toxic chemicals contained in the solvents are used under the
supervision of a technically qualified individual, they are exempt from thresh-
old determinations and release and other waste management reporting.
58
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1EPCRA Section 313 Questions and Answers
SECTION 2
Laboratory
Activity
Exemption,
QA/QC
Activities,
Product Testing
Product
Testing,
Laboratory
Activity
Exemption
Product
Testing,
Laboratory
Activity
Exemption
Laboratory
Activity
Exemption,
Product Testing
200. A. facility tests specific components of a machinery line. Its functions
include testing for durability of engines, hydraulic systems, power trains,
electrical systems and transmissions; building prototypes of products; and
qualitative and quantitative analytical testing of materials in a chemical
laboratory. Since these activities are test, development, and research
oriented, is the facility eligible for the laboratory activity exemption (40
CFR Section 372.38(d))?
Equipment and component testing is equivalent to laboratory activities and
thus is subject to the laboratory activity exemption as long as the testing is
overseen by a technically qualified individual.
201. Are the following marine engine testing operations that use listed
Section 313 toxic chemicals exempt under the laboratory activities exemp-
tion: (a) testing of production engines intended for sale in specialized
engine test cells; (b) testing engines for research and development pur-
poses in specialized engine test cells; (c)testing for research and develop-
ment purposes in open water bodies?
Yes, all of the noted operations are considered "product testing" and as such
are intended to be included under the laboratory activities exemption as long as
they are performed under the supervision of a technically qualified individual
(40 CFR Section 372.38(d)). .
202. If a manufacturer of transportation equipment (airplanes) is re-
quired to file a Form R for their uses of benzene as a component in jet
fuel, must the facility include emissions of this benzene when the jet fuel is
used to power the equipment in an on-site test run?
The facility would not have to include emissions of benzene consistent with the
laboratory activities exemption. The benzene is being used for product testing;
therefore, emissions resulting from this product testing would not need to be reported.
203. A small arms manufacturer test fires handguns. The lead bullets are
fired at a bullet trap, collected, and sent off-site for recycling. The particu-
late and smoke is collected in a filter house; used filters are disposed of at
a licensed hazardous waste facility. Can the manufacturer claim the
laboratory activities exemption for lead?
Test-firing of handguns at a covered facility under the direct supervision of a
technically qualified individual would be considered experimental "otherwise use"
and would be exempt from reporting under the laboratory activities exemption. If,
however, the handguns are fired in any nonexperimental (test) activities, lead and
other listed toxic chemicals in the bullets would have to be included in threshold
determinations and release and other waste management calculations.
59
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SECTION 2
EPCRA Section 313 Questions and Answers
Laboratory
Activity
Exemption,
Laboratory
Support
Activities
Laboratory
Activity
Exemption,
Samples
Laboratory
Activity
Exemption,
Activity
Ttiresholds,
Manufacture
204. The owner/operator of a newspaper has a photography laboratory
on-site that produces the pictures that appear in the newspaper. The
laboratory does not perform product testing or analysis for the newspaper.
The primary function of the photography laboratory is to develop film to
be used in the newspaper. Will this photo laboratory meet the laboratory
activity exemption under EPCRA Section 313 (40 CFR Section 372.38(d))?
No. The laboratory activity exemption, 40 CFR Section 372.38(d), is primarily
for laboratories that perform auxiliary functions for the "manufacturing" or
"processing" activities at the facility. The photography laboratory does not
perform an auxiliary function, but performs activities which are essential to the
"manufacturing" of the newspaper, i.e.. they make a product (photographs)
that is used in the "manufacture" of another product (newspaper), and is
therefore not exempt from reporting under EPCRA Section 313.
205. A. facility prepares a product that contains a listed toxic chemical for
sample distribution. The sample product is prepared on a small scale and
is distributed to potential customers for trial use. Would the amount of
toxic chemical "processed" in the preparation of these samples be ex-
empted from threshold and release and other waste management calcula-
tions under the laboratory activities exemption (40 CFR 378.38(d»?
No. Amounts of listed toxic chemicals that are "manufactured," "processed,"
or "otherwise used" in conjunction with the preparation of trial samples are
not excluded from threshold and release and other waste management calcula-
tions under the laboratory activities exemption.
206. A company "manufactures" 26,000 pounds a year of a listed toxic
chemical, 2,000 of which are "manufactured" and used in an on-site labo-
ratory under the supervision of a technically qualified individual. Should
the 2,000 pounds be counted toward determination of the "manufactur-
ing" threshold under EPCRA Section 313, or will this "manufacturing"
activity be exempt under the laboratory activity exemption (40 CFR
Section 372.38(d))?
The 2,000 pounds are exempt from the threshold determination for "manufac-
turing" under the laboratory activities exemption (40 CFR Section 372.38(d))
because the listed toxic chemical was "manufactured" in a laboratory under
the supervision, of a technically qualified individual. The facility will count
only 24,000 pounds of the "manufactured" chemical toward its applicable
"manufacturing" threshold.
60
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Section 313 Questions and Answers
SECTION 2
Laboratory
Activity
Exemption,
Threshold
Determination,
Release
Calculation,
Laboratory
Support
Activity
Laboratory
Activity
Exemption,
Product Testing
Activity
Thresholds,
Otherwise Use,
Laboratory
Activity
Exemption
207. A mamifacturing/a«7#y operates several on-site laboratories and
shops (e.g.. machine shops, glass blowing shops) that support the laborato-
ries activities. Assuming the activities in the laboratories are exempt
under 40 CFR Section 372.38(d), are the listed toxic chemicals used in the
shops also exempt from threshold determinations and release and other
waste management estimates? If the shops also support some nonexempt
laboratory activities, would they be required to account for the fraction of
chemicals used for nonexempt purposes?
In either case the listed toxic chemicals used in the shops would not be exempt
from threshold determinations and release and other waste management esti-
mates. The fact that the shops support exempt laboratory activities does not
exclude the listed toxic chemicals used in the shops from threshold determina-
tions and release and other waste management estimates. The laboratory
activities exemption in Section 372.38(d) applies to toxic chemicals that are
"manufactured" "processed" or "otherwise used" for certain purposes such
as research or quality control in a laboratory under the supervision of a techni-
cally qualified individual. This exemption does not exempt the facilities
themselves, it only exempts those listed toxic chemicals that are "manufac-
tured," "processed," or "otherwise used" during certain laboratory activities
from threshold determinations and release and other waste management esti-
mates required under EPCRA Section 313. Specifically, section 372.38(d)(3)
states that the exemption does not apply to "activities conducted outside the.
laboratory."
208. A paint manufacturer, at a separate research/0cz'frYy, applies auto
coatings (two cars per day) for testing for an automobile manufacturer.
The coating contains listed toxic chemicals. Is the "otherwise use" of the
listed toxic chemicals exempt as a laboratory activity?
Yes, the "otherwise use" of the listed toxic chemical is exempt as a laboratory
activity, this is not a pilot plant in the sense intended.
209. A. facility manufactures fire fighting and fire protection equipment.
The facility has a training school on how to use that equipment. As part of
the training school, on-site fires are set using gasoline containing benzene,
a listed toxic chemical. For Section 313 threshold determinations, would
this be an "otherwise use" of benzene, or would this use be exempt as
product testing under the laboratory exemption? (40 CFR Section
372.38(d))
The benzene would be considered "otherwise used" for the Section 313
threshold determination since the benzene is being used in a nonincorporative
activity in order to train individuals to use equipment. The laboratory activity
exemption is intended to cover activities in a laboratory (e.g.. product testing)
61
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SECTION 2
EPCRA Section 313 Questions and Answers
De Minimis
Exemption,
Mixture, Trade
Name Product
under the supervision of a technically qualified individual. Training is not
considered product testing nor research and development and thus would not
be exempt under the laboratory activities exemption.
E. De Minimis (see also Appendix A: Section 313 Policy Directive #2 -- De
Minimis Exemption)
210. Please explain the de minimis concentration limitation under Section
313, and its application to mixtures and trade name products (40 CFR
Section 372.38(a))?
The de minimis exemption allows facilities to disregard certain minimal
concentrations of listed toxic chemicals in mixtures or trade name products that
they "process" or "otherwise use" when making threshold determinations and
release and other waste management determinations. The de minimis exemp-
tion does not apply to the "manufacture" of a listed toxic chemical except if
that listed toxic chemical is "manufactured" as an impurity and remains in the
product distributed in commerce below the appropriate de minimis level or is
imported in below de minimis concentrations. The de minimis exemption does
not apply to a byproduct "manufactured" coincidentally as a result of "manu-
facturing," "processing," "otherwise use," or any waste management activity.
When determining whether the de minimis exemption applies to a listed toxic
chemical, the owner/operator should consider only the concentration of the
listed toxic chemical in mixtures and trade name products in process streams in
which the listed toxic chemical is undergoing a reportable activity. If the listed
toxic chemical in a process stream is "manufactured" as an impurity or im-
ported, "processed," or "otherwise used" and is below the appropriate de
minimis concentration level, then the quantity of the listed toxic chemical in
that process stream does not have to be applied to threshold determinations nor
included in release or other waste management determinations. If a listed toxic
chemical in a process stream meets the de minimis exemption, all releases and
other waste management activities associated with the listed toxic chemical in
that stream are exempt from EPCRA Section 313 reporting. It is possible to
meet an activity (e.g.. "processing") threshold for a toxic chemical on afacil-
zfy-wide basis, but not be required to calculate releases or other waste manage-
ment quantities associated with a particular process because that process
involves only mixtures or trade name products containing the toxic chemical
below the de minimis level.
Once a listed toxic chemical concentration is above the appropriate de minimis
concentration, threshold determinations and release and other waste manage-
ment determinations must be made, even if the chemical later falls below de
minimis level in the same process stream. Thus, all releases and other quanti-
ties managed as waste that occur after the de minimis level has been exceeded
62
-------
EPCRA Section 313 Questions and Answers
SECTION 2
Deminimis
Exemption,
Mixture,
Impurity,
Waste,
Byproduct
De minimis
Exemption,
Metal
Compounds
De minimis
Exemption,
Xylene, Mixed
Isomer
are subject to reporting. If a listed toxic chemical in a mixture or trade name
product above de minimis is brought on-site, the de minimis exemption never
applies.
The de minimis concentration level is consistent with the OSHA Hazard
Communication Standard requirements for development of Material Safety
Data Sheets (MSDSs). The de minimis level is 1.0 percent except if the listed
toxic chemical is an OSHA-defined carcinogen. The de minimis level for
OSHA-defined carcinogens is 0.1 percent. For mixtures or other trade name
products that contain one or more members of a listed Section 313 toxic chemi-
cal category, the de minimis level applies to the aggregate concentration of all
such members and not to each individually. The list of toxic chemicals in the
publication "Toxic Chemical Release Inventory Reporting Form R and Instruc-
tions" for the current reporting year contains the de minimis values for each of
the toxic chemicals and chemical categories.
This de minimis exemption applies solely to "mixtures." EPA's long-standing
interpretation has been that "mixture" does not include waste. Therefore, the
de minimis exemption cannot be applied to toxic chemicals in a waste even if
the waste is being "processed" or "otherwise used."
211. Does the de minimis exemption apply regardless of whether a listed
toxic chemical is present in a mixture as an impurity or in a waste or
separated out as a byproduct?
The de minimis exemption applies to impurities present in products "pro-
cessed," "otherwise used," imported, or coincidentally "manufactured" as an
impurity if it remains in the product for distribution. It does not apply to listed
toxic chemicals that are "manufactured" as a byproduct regardless of whether
the byproduct is a waste.
212. Does the de minimis exemption apply to the parent metal component
of a compound in a mixture for Section 313 reporting?
No. For threshold determinations, the weight percent of the whole compound
in the mixture is used. In general, the de minimis value for compounds is one
percent, unless the particular compound is itself an OSHA carcinogen and then
the de minimis level is 0.1 percent.
213. For calculating de minimis for xylene (mixed isomers), should the
isomers be aggregated to determine if the weight percent is less than one?
To determine the de minimis for xylene (mixed isomers), the one percent
would be applied to the aggregated isomers weight percent in the mixture. For
example, if a mixture contains 30 pounds each of the three isomers, and 9,910
63
-------
SECTION 2
EPCRA Section 313 Questions and Answers
De minimis
Exemption
De minimis
Level
De minimis
Level,
Carcinogen
pounds of Chemical Z, the total xylene would be 90 pounds; and that 90
pounds would constitute less than one percent of the total weight of 10,000
pounds, and would therefore be exempt.
214. We are taking part in an experimental shale oil extraction process.
When the shale is extracted, concentrations of atoxic chemical are present
in trace amounts in the shale far below the de minimis concentration.
Does the de minimis exemption apply?
Yes, the de minimis exemption applies to the listed toxic chemical present in
the shale provided that it is "processed" or "otherwise used."
215. How do we determine whether the de minimis level for a Section 313
listed toxic chemical should be 1 percent or 0.1 percent?
The de minimis levels are dictated by determinations made by the National
Toxicology Program (NTP), Annual Report on Carcinogens, the International
Agency for Research and Cancer (IARC) Minographs, or 29 CFR part 1910,
Subpart Z, Toxic and Hazardous Substances, Occupational Safety and Health
Administrations. Listed toxic chemicals listed as carcinogens or potential
carcinogens under NTP (classified as a known or probable carcinogen), IARC
(classified as 1, 2A or 2B), or 29 CFR part 1910, Subpart Z have a 0.1% de
minimis concentration level. EPA generally refers to these chemicals as the
"OSHA carcinogens." All other toxic chemicals have a 1 percent de minimis
concentration level. EPA periodically reviews the latest editions of the IARC
and the NTP reports as well as 29 CFR part 1910 Subpart Z to see if a listed
chemical's status has changed and updates the EPCRA Section 313 lists ac-
cordingly.
The list of toxic chemicals in the publication "Toxic Chemical Release Inven-
tory Reporting Form R and Instructions" for the current reporting year contains
the de minimis values for each of the toxic chemicals and chemical categories.
The list is also available from the EPCRA hotline and on the EPA's TRI
homepage on the internet. Although not required to do so, EPA prepares this
list as a courtesy to the reporting public.
216. What is the basis for determining that a toxic chemical is subject to
the 0.1 percent de minimis level rather than the 1.0 percent de minimis
level, and when do changes in toxic chemical de minimis levels take effect?
In the final rule (53 FR 4500, Feb. 16,1988) that implements the reporting
requirements of EPCRA Section 313, EPA adopts a de minimis exemption
which permits facilities to disregard de minimis levels of listed toxic chemicals
64
-------
EPCRA Section 313 Questions .and Answers
SECTION 2
De minimis
Exemption,
Release
Reporting
for threshold and reporting calculations. The regulations adopts a 0.1% de
minimis level for chemicals which are carcinogens "as defined in 29 CFR
1910.1200(d)(4)." This Section of the CFR reads as follows:
"(4) Chemical manufacturers, importers and employers evaluating chemicals
shall treat the following sources as establishing that a chemical is a car
cinogen or potential carcinogen for hazard communication purposes:
(i) National Toxicology Program (NTP), Annual Report on Carcinogens
(latest edition);
(ii) International Agency for Research on Cancer (IARC) Monographs
(latest editions); or
(iii) 29 CFR part 1910, subpart Z, Toxic and Hazardous Substances,
Occupational Safety and Health Administration."
Therefore, once a chemical's status under NTP, IARC, or 29 CFR part 1910,
subpart Z indicates that the chemical is a carcinogen or potential carcinogen,
the reporting facility may disregard levels of the chemical below the 0.1% de
minimis concentration provided that the other criteria for the de minimis
exemption is met. For convenience purposes, EPA refers to these chemicals as
the "OSHA carcinogens."
If in reporting year "A," IARC or NTP classifies a chemical as a probable or
known carcinogen (thus lowering the EPCRA Section 313 de minimis concen-
tration from 1.0% to 0.1%), the lower de minimis concentration for the pur-
poses of reporting would be applicable starting with reporting year "A+l." For
example, vinyl acetate was classified as a group 2B chemical by IARC in
1995, so the lower de minimis of 0.1% applied starting with the 1996 reporting
year (i.e.. it was effective as of January 1,1996 for reports due July 1, 1997).
Suppliers would need to notify their customers of such changes with the first
shipment in the year in which the change is applicable. If, as in the vinyl
acetate example, the classification changes in 1995, then the supplier would
notify customers with the first shipment on or after January 1,1996.
217. If a facility has process streams with less than 1 percent (or 0.1 per-
cent for carcinogens) of a listed chemical, do fugitive releases from these
streams have to be included in release estimates?
De minimis exclusions apply to process streams when a starting material for
the process is a mixture containing less than 1 percent (or 0.1 percent) of a
listed chemical. If the process stream is exempt under de minimis. releases
from the stream are not reported on the Form R.
65
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SECTION 2
EPCRA Section 313 Questions and Answers
DeMinimis
Exemption,
Concentration
Range
De minimis
Exemption,
Concentration
Range
218. A facility regulated under EPCRA Section 313 uses a chemical mix-
ture that contains a listed Section 313 toxic chemical. The concentration of
the listed toxic chemical is given as a range on the material safety data sheet
(MSDS). If the maximum and minimum concentrations are above and
below the de minimis concentration level, how can the facility determine
quantities for Section 313 compliance?
The amount of the listed toxic chemical in the mixture that is at or above the de
minimis level, and therefore counts towards the threshold, can be assumed to
be proportional to the ratio of the amount at or above de minimis concentration
to the amount of the total concentration range. The concentration of the
chemical in the mixture that is not exempt is the average of the de minimis
level and the maximum concentrations.
For example, assume that a facility manufactures 10 million pounds of a
mixture containing 0.25-1.20 % of a toxic chemical that is subject to a 1% de
minimis level. The quantity of the mixture subject to reporting is:
10.000.000 Ib x (1.20-0.99) = 2,210,526 Ibs
(1.20-0.25) Non exempt mixture
This 2,210,526 pounds of nonexempt mixture is multiplied be the average
concentration above the de minimis. which is 1.1 percent, or
^
1.20 + 0.99
2
2,210,526 x 0.011 = 24,316 pounds
In this example, the amount of chemical that counts toward a threshold is
24,316 pounds.
219. A covered facility processes a mixture of chemicals which includes a
non-carcinogenic listed toxic chemical present between concentrations of
0.5-1.0 %, as stated on the MSDS provided with the mixture. Is the listed
toxic chemical in the mixture eligible for the de minimis exemption? If not,
how would a facility make a threshold determination for a toxic chemical
whose concentration ranges from below the de minimis level to the de
minimis level?
A listed toxic chemical with a concentration range that has an upper bound
equal to the de minimis level is not exempt from reporting under EPCRA
Section 313. The exception applies only if the chemical concentration is below
the de minimis level. The amount of the listed toxic chemical in the mixture
that is at or above the de minimis level, and therefore counts towards the
66
-------
EPCRA Section 313 Questions and Answers
SECTION 2
De minimis
Exemption,
Wastestreams
De minimis
Exemption,
Byproduct
threshold, is proportional to the ratio of the amount at or above the de minimis
concentration to the amount of the total concentration range. The concentra-
tion of the chemical in the mixture that is not exempt is the average of the de
minimis level and the maximum concentration, which in this case is the, same.
The fraction of the listed toxic chemical that is not exempt is the fraction that is
at the de minimis level, Le,, 1% The fraction that is exempt is that below the
de minimis level, which is 0.5% - 0.9% (one significant figure).
For example, assume that a facility manufactures 10 million pounds of a
mixture containing 0.5-1.0 % of a toxic chemical that is subject to a 1% de
minimis exemption. The quantity of the mixture subject to reporting is:
10.000.000 Ibx (1.0-0.9) = 200,000 Ibs
(1.0 - 0.5) Non exempt mixture
220. A raw material contains less than the de minimis level of a listed toxic
chemical. During "processing" of the listed toxic chemical, its concentra-
tion remains below de minimis. However, the concentration of the listed
toxic chemical in the wastestream that results from that "processing"
activity is above the de minimis concentration level for that toxic chemical.
The wastestream containing that listed toxic chemical is disposed in an on-
site landfill. Should the toxic chemical handled in the "process" line be
included in the facility's threshold determination? Do the quantities of the
listed toxic chemical in wastestreams that are generated from this process
require reporting? What if the h'sted toxic chemical is present hi the
wastestream above the de minimis level?
No. The de minimis exemption can be applied to the listed toxic chemical in
the raw material that is "processed." Because the de minimis exemption can be
taken, 1) the quantities "processed" do not have to be applied to the "process-
ing" threshold for that toxic chemical at the/ac/% and 2) quantities of the
listed toxic chemical that are released or otherwise managed as waste as a
result of this specific "processing" activity are exempt from release and other
waste management determinations. The exemption applies even if the listed
toxic chemical is concentrated above the de minimis level in the wastestream
resulting from ihat"processing" activity.
221. A small quantity of a listed toxic chemical is "manufactured" in a
wastestream. Are facility owners/operators required to include the
amount of the listed toxic chemical present in the wastestream as part of
the threshold determination if the concentration of the listed toxic chemi-
cal in the wastestream is below the de minimis level?
Yes. This de minimis exemption applies solely to mixtures. EPA's long-
standing interpretation has been that mixture does not include waste. Also,
67
-------
SECTION 2
EPCRA Section 313 Questions and Answers
Threshold
Determination,
De minimis
Exemption,
Manufacture,
Wastewater
Treatment
De minimis
Exemption
De minimis
Exemption,
Wastes
De minimis
Exemption,
Petroleum
Refining
generally, de minimis does not apply to listed toxic chemicals that a facility
manufactures. Therefore, the de minimis exemption cannot be applied to listed
toxic chemicals "manufactured" as a byproduct.
222. If a facility "manufactures" 900,000 gallons per day of a toxic chemi-
cal at a 0.5 percent concentration in a wastewater treatment system, is this
quantity to be considered for threshold and release and other waste man-
agement determinations?
Since the chemical is "manufactured" at the facility as part of a waste treat-
ment process, the de minimis exemption does not apply and the toxic chemical
must be considered for both threshold and release and other waste manage-
ment determinations.
223. A. facility receives chlorine in 100-ton tank car quantities in concen-
trations above the 1 percent de minimis level. The chlorine is transferred
to a bleaching vessel to make a bleaching mixture, where its concentration
drops below the de minimis level. Does the de minimis exemption apply?
No. The mixture received by and initially "processed" by the facility contains
chlorine above the de minimis concentration level. Because the mixture con-
tained chlorine in a concentration above the 1 percent de minimis level, the de
minimis exemption does not apply. The facility must consider the total weight
percent of the chlorine in the mixture toward a threshold determination. Any
amounts of the listed toxic chemical that are ultimately released or otherwise
managed as waste as a result of this processing step should be reported regard-
less of the concentration of the chlorine in the wastestream.
224. How does the de minimis exemption apply to listed toxic chemical
residues contained within used or spent containers that are sent off-site for
disposal?
The de minimis exemption cannot be applied to quantities of the listed toxic
chemical in used or spent containers that are sent off-site for disposal. The de
minimis exemption can only be applied to a listed toxic chemical in a mixture
or trade name product that is "processed," "otherwise used" "manufactured"
as an impurity (that remains with the product), or imported, provided that the
listed toxic chemical is present in the mixture or trade name product below the
de minimis concentration level.
225. In petroleum refining processes, mixtures such as crude oils, fuels,
and refinery process streams may contain trace amounts of listed toxic
chemicals. During the refining process, these mixtures may undergo
beneficiation activities which would result in the listed toxic chemicals
68
-------
EPCRA Section 313 Questions and Answers
SECTION 2
Deminimis
Exemption, Air
Releases,
Storage Tanks
Deminimis
Exemption,
Waste
Treatment
Processes
De Minimis
Exemption,
Compound
Category,
Delimited
Category
being concentrated to levels that exceed the de minimis levels. Would the
deminimis exemption apply to these processes?
Yes, the de minimis exemption would apply to these toxic chemicals until they
are concentrated above the applicable de minimis level. For purposes of
threshold and release determinations and other waste management estimates,
the facility would account for a listed toxic chemical from the first point in the
process in which the concentration of the toxic chemical meets or exceeds the
applicable de minimis level for that toxic chemical, in the process mixture.
226. As a petroleum refiner, do we have to estimate air releases of chemi-
cals from storage tanks containing crude oil if the concentration of the
chemical is below de minimis level? We understand that the amounts of
these chemicals would be counted towards threshold since we are extract-
ing and purifying them to concentrations above de minimis.
Facilities that receive chemicals into the plant at concentrations below de
minimis have to report releases and other waste management activities from
points in the process only after the chemical is concentrated to exceed de
minimis. This facility would not have to report air emissions from their crude
oil tanks for the chemicals present in oil below de minimis. For those above de
minimis. they must report releases and other waste management activities.
227. Is the creation of listed chemicals in waste treatment processes ex-
empt if the concentration is less than the de minimis level?
No. The "manufacture" of a Section 313 chemical during a waste treatment
process is not covered by the de minimis exemption.
228. When determining the de minimis level for members of an EPCRA
section 313 category, the total weight of all the members of the category hi
the mixture must be counted and compared to the applicable de minimis
level. How would a facility determine the de minimis level for a mixture
containing members of a category, such as the polycyclic aromatic com-
pounds category, where one or more of the members has a different de
minimis level than the others?
For delimited categories in which one or more members have a lower de
minimis level than the other members, two calculations are done. First, the
weight of all members of the category in the mixture that have a 0.1% de
minimis is determined and compared to the 0.1% de minimis level. Second,
the weight of all members of the category in the mixture (both those with 0.1%
and 1.0% de minimis) is determined and compared to the 1.0% de minimis. If
only the first de minimis calculation is exceeded then only those chemicals
with the 0.1% de minimis must be included in threshold and release and other
69
-------
SECTION 2
EPCRA Section 313 Questions and Answers
Article
Exemption,
Threshold
Determination
Article
Exemption,
Threshold
Determination
Threshold
Determination,
Article
Exemption,
Recycle
waste management determinations. Therefore, category members with the
1.0% de minimis would be excluded from threshold and release and other
waste management determinations if only the first de minimis calculation is
exceeded. If the second de minimis calculation is exceeded then all of the
category members in the mixture must be included in threshold and release and
other waste management determinations.
F. Articles
229. Are "articles" exempt from threshold determinations in normal
"processing? "otherwise use? or disposal?
An "article" would be exempt from threshold determinations if the article
meets the criteria for exemption. The article must be a manufactured item 1)
which is formed to a specific shape or design during manufacture; 2) which has
end use functions dependent in whole or in part upon its shape or design during
end use; and 3) which does not release a toxic chemical under normal condi-
tions of "processing" or "otherwise use" of the item at the facility or establish-
ments. If an item retains its initial thickness or diameter in whole or in part, as
a result of normal "processing" or "otherwise use" then it meets the first part
of the definition. Disposal of materials that are recognizable as the processed
article is not considered a release nor management of a waste containing a
listed toxic chemical from an article, and thus, does not negate the article
status.
230. Are metal articles exempt from threshold determinations in normal
'"processing? "otherwise use" or disposal?
The fact that the item is metal is irrelevant since metals do not have special
status under the article exemption. If the metal article meets all the criteria for
the article exemption during normal "processing" and "otherwise use," then it
would be exempt from threshold determinations and release and other waste
management estimates.
231. A facility manufactures "non-article" metal items. If all wastes from
the manufacturing process are recycled, are the items still subject to
threshold determinations?
If a "non-article" metal item is processed but all wastes are recycled, the item
is still subject to threshold determinations. The toxic chemicals therein must
be applied to the appropriate thresholds.
70
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EPCRA Section 313 Questions and Answers
SECTION 2
Article
Exemption,
Article
Releases, Half
Pound Policy
Article
Exemption,
Manufacturing
Article
Article
Exemption,
Manufacturing
Article
Article
Exemption,
Article
Releases,
Welding Rods
232. Please clarify the Agency's half pound policy for the article exemption.
The Agency has adopted a "round to the nearest pound policy." If the amount
of a listed toxic chemical in releases from "processing" or "otherwise using"
all like items is equal to or less than a half pound, this amount can be rounded
to zero. Thus, the exemption would be maintained. The half pound limit does
not apply to each individual article, but applies to the sum of all amounts
released during "processing" or "otherwise use" of all like items. If the listed
toxic chemical that is released exceeds a half pound and is completely re-
cycled/reused, on-site or off-site, then the item may still maintain it status as an
article.
233. Does the article exemption in the Section 313 rule apply to prepara-
tion fie., "manufacturing") of the article! What about "processing" or
"otherwise using" that article!
The article exemption applies to the normal "processing" or "otherwise use" of
an article. It does not apply to the "manufacture" of an article. For example,
"manufacturing" of articles such as tableware is not exempt. Toxic chemicals
"processed" into articles produced at a. facility must be factored into threshold
determinations and release and other waste management estimates.
234. A. facility uses sheet metal to "manufacture" metal desks. When
"manufacturing" the desks, the operator welds and solders some of the
sheet metal together. Must the/aci% include the toxic chemicals in the
welding rods, solders, and the metals being joined for its threshold deter-
mination? Does the metal desk meet the article exemption?
If 0.5 Ibs. or less of the toxic chemical is released from all like articles in the
reporting year and the overall thickness or diameter of the sheet metal is not
changed when processed into the desk, the sheet metal would retain its article
status. The desk itself would not meet the criteria for the article exemption
because the exemption does not apply to the "manufacturing" of articles.
Also, because air emissions are generated from the welding and soldering rods
when they are used, the owner/operator must assess the entire amount of the
toxic chemical in the rods for "processing" threshold purposes.
235. Our facility uses welding rods for equipment maintenance. Can these
be considered articles'!
One of the three qualifying criteria for the article exemption (40 CFR 372.3),
states that an article "does not release a toxic chemical under normal condi-
tions of 'processing' or 'otherwise use' of that item at the facility or establish-
ment" When the welding rod is used, a listed toxic chemical is released.
Therefore, the welding rod can not be considered an article.
71
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SECTION 2
EPCRA Section 313 Questions and Answers
Article
Exemption,
Fume or Dust
Qualifier
Article
Exemption,
Recycle
Article
Exemption,
Fume or Dust
Qualifier
236. A facility generates steel dust when it "processes" sheet steel metal.
Each dust particle is actually an alloy containing more than one type of
metal (&g., chromium and aluminum). If the toxic chemical in the steel is
listed with a qualifier which includes dust (e.g.. aluminum), does EPA
consider the dust particle the listed toxic chemical!
In this example, EPA considers steel dust particles which contain aluminum in
the dust form a listed toxic chemical. Therefore, that weight percentage of the
steel dust which is aluminum would be subject to threshold and release and
other \vaste management reporting as aluminum dust.
237. A facility uses a die block to "manufacture" items. When the block
becomes worn and needs adjustments such as shaving and melting to
restore its shape, how does the facility report on releases resulting from
that activity?
If, upon shaving and melting the die block, the diameter or thickness are not
retained in whole or in part or toxic chemicals are released in an amount which
exceeds 0.5 pounds for all like items, then the block would no longer qualify
for the article exemption and the facility would have to perform threshold
determinations and report releases and other waste management of the listed
toxic chemical. When threshold determinations are made, the facility must
consider the weight of the toxic chemical contained in the entire block for
threshold determinations. However, only quantities in like articles that do not
meet the article definition and were placed into use within the reporting year
would be considered towards thresholds. Those items in use from previous
years would not be considered in the threshold determinations for the current
reporting year.
238. A company processes a galvanized sheet metal containing elemental
zinc, not a zinc compound. When the sheet metal is processed it generates
zinc dust, all of which is captured and sent off-site for recycling. The sheet
metal is formed to a specific shape and its end use functions depend in
whole on its shape during end use. Can the company claim an exemption
because the sheet metal remains an article, or must it do a threshold
determination for zinc because it has coincidentally "manufactured" zinc
in the dust form?
Elemental zinc is listed with a qualifier, fume or dust, and is only reportable in the
form of fume or dust. Thus, the zinc in the sheet metal would not count toward the
threshold determinations since it is not in the fume or dust form. The zinc that is
generated (in the form of fume or dust) as a result of the sheet metal processing is
reportable and would be counted toward the 25,000 pound threshold determination
for "manufacturing," regardless of the sheet metal's article status.
72
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EPCRA Section 313 Questions and Answers
SECTION 2
Article
Exemption,
Process,
Batteries
Article
Exemption,
Reportable
Release
Article
Exemption,
Glass
Article
Exemption,
Article
Releases
If the sheet metal contained other toxic chemicals (e.g.. chromium), the sheet
metal would qualify as an article if all releases from the metal during process-
ing are recycled or reused, and it meets the other criteria for the article exemp-
tion. However, if wastes containing the listed toxic chemical are not recycled
or reused, and if these wastes amount to more than 0.5 pounds for all like
items, then the article exemption would not apply.
239. If an automobile manufacturer receives finished car batteries and
places these batteries into the cars they sell, must the automobile manufac-
turer report the lead which is incorporated in the battery?
If the car battery is completely sealed while present at tine, facility, it would be
considered an article, and thus would be exempt from EPCRA Section 313
reporting. If lead is released from the batteries under normal "processing" at
the facility, as might occur during maintenance of the battery, the release
would negate the article exemption. If the exemption is negated, the amount of
lead and any other toxic chemical in these non-article batteries would be
applied toward the 25,000 pound "processing" threshold to determine if the
facility must report.
240. I am a power tool manufacturer and we use copper, a listed toxic
chemical. We receive copper plates and shave the rough edges of them.
The shavings are vacuumed and sold to a scrap meteAfacility which makes
ingots and sells them. Is the copper plate an article"! How do I consider
the shavings?
Because all of the copper released from the plate is collected and reused, no
reportable release has occurred and the article exemption is maintained. If the
copper is disposed of, on the other hand, the plates lose the article status.
241. If glass is purchased (with about a 20 percent lead content) and its
form is physically changed to make light bulbs, is that considered "pro-
cessing" or does the article exemption apply?
The article exemption does not apply because: (1) the end use of the glass is
not dependent on the specific shape or design of the glass entering the process
- the glass is melted and reshaped, and/or (2) emissions result from heating of
the glass during "processing."
242. A facility cuts metal sheets containing nickel, releasing fumes. It then
further grinds the metal to its final shape, producing grindings. For the
sheets to retain their article status, the fumes and grinding* must be equal
to or less than 0.5 pound/year to any media. Does this value apply to
aggregate grindings and fumes from like articles being "processed" or
"otherwise used" in the same way fi.e.. cutting or grinding) or to grindings
73
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SECTION 2
EPCRA Section 313 Questions and Answers
Article
Exemption,
Article
Releases,
Supplier
Notification
Article
Exemption,
Sheet Metal,
Threshold
Determination
Article
Exemption,
Wire
and fumes generated from all manners of "processing" or "otherwise use"
of like articles (i.e.. cutting and grinding)?
The 0.5 pound/year release value applies to aggregate grindings and fumes
from like articles being "processed" or "otherwise used" in all manners at the
facility. This value applies to the total aggregate grindings and fumes of the
listed toxic chemical from both steps of the process (i.e.. cutting and grinding).
The various shapes resulting from the cutting are "the same type of item" as
the initial sheet. Thus, the amount of fumes resulting from cutting should be
added to the amount of resulting grindings.
243. A facility uses plastic containing di-(2-ethylhexyl) phthalate (DEHP)
to wrap its products. The plastic is cut by a hot wire, a process during
which minute quantities of DEHP are released. Is the plastic exempt from
reporting and from supplier notification because it can be considered an
article!
The plastic wrap containing DEHP is not exempt as an article because quanti-
ties of DEHP are released during the cutting process. If a facility releases 0.5
pounds or less of DEHP during the reporting year from all like items, this
amount can be rounded to zero and therefore would be exempt. If the facility
can reasonably document that none of its customers are likely to release more
than 0.5 pounds, no supplier notification is required.
244. A facility "processes" sheet metal that contains a listed toxic chemical.
When "processed," some pieces of the sheet metal are cut generating
shavings which contain the listed toxic chemicals and which are not 100
percent recycled. Thus, the sheet metal does not meet the article exemp-
tion criteria. Must the facility consider the amount of the listed toxic
chemical in the entire piece of sheet metal for threshold determinations or
may the facility consider just the amount of listed toxic chemical in the
area of the sheet metal that is cut?
All of the listed toxic chemical in the entire piece of cut sheet metal must be
counted toward the "processing" threshold, not just the weight of the listed
toxic chemical in the section of the item on which work is done. The weight of
the listed toxic chemical in the entire piece of sheet metal is used; the exemp-
tion cannot apply to a portion of the article.
245. I use copper wire in one of my products. I cut it and bend it and then
heat seal it into a glass bulb. How do I consider the copper wire for Sec-
tion 313 reporting?
First, the wire would remain an article if during the manufacture of the glass
bulbs no toxic chemicals are released, and if the wire meets the other two
74
-------
EPCRA Section 313 Questions and Answers
SECTION 2
Article
Exemption,
Wire
Article
Exemption,
Wire
Article
Exemption,
Sheet Metal
criteria of the article exemption (i.e.. it is formed to a specific shape or design
during manufacture and it has end use functions dependent in whole or in part
upon its shape or design). If the wire is not an article, then for an element such
as copper, both copper metal and copper compounds are subject to Section 313
reporting. Determine the form of the copper in the wire first. If it is pure
copper wire, the entire weight of the wire must be used. If it is an alloy, the
weight percent times the wire weight must be used. If there are copper com-
pounds, the entire weight of each copper compound must be used for the
threshold determination.
246. We cut copper wire into segments which are then wound around a
motor part. The ends are not stacked and our engineer determined that
no copper is released. Is the wire still an article"!
Cutting the wire into segments and winding it around a motor part do not
negate the exemption since the diameter and thickness of the wire is not
changed. The copper wire remains an article as long as no toxic chemicals are
released during use. Since your engineer determined no copper is released, the
article exemption does apply and the copper wire does not have to be consid-
ered for threshold determination.
247. Copper wire at a facility is cleansed by dipping it into a sulfuric acid
solution. This acidic solution etches away a portion of the surface of the
wire. The etched copper reacts with the acid to form copper sulfate. The
wastestream containing the copper sulfate is sent directly to a POTW and
no other releases of copper occur on-site to any other environmental
media. Is the article exemption (40 CFR 372.38(b)) negated for the copper
wire?
The transfer of the copper sulfate to the POTW constitutes a release from the
article. The release from the copper wire in the form of a copper compound
would negate the article exemption for the copper wire. If the facility exceeds
an activity threshold for the copper wire, a report must be filed for copper. In
addition, if the 25,000 pound "manufacturing" threshold is exceeded for the
copper sulfate, a report must also be filed for copper compounds. If a thresh-
old for copper and copper compounds is individually met, the facility may file
one report for both.
248. I run a metal fabrication/«ciftYy, SIC code 34. If I cut the metal
sheets and send the shavings off-site for reuse, can I consider the metal
sheets articles'!
Yes. If the only thing separated from the metal sheets during cutting are
shavings, and if all the shavings are sent off-site for reuse, and the thickness of
75
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SECTION 2
EPCRA Section 313 Questions arid Answers
Article
Exemption,
Sheet Metal,
Article
Releases
Article
Exemption,
Sheet Metal
Article
Exemption,
Article
Releases
the metal sheet is not completely altered during "processing," then the metal
sheets are still considered articles and are exempt. If cutting results in shav-
ings or other waste materials from the sheets, and if these shavings are com-
pletely captured and sent either on-site or off-site to be either recycled or
reused, then the item (in this case, metal sheets) can retain the article exemp-
tion, given that the other criteria for exemption are met.
249. A facility "processes" metal sheets containing nickel in a four-step
process: 1) sheets cut with a laser saw (releasing nickel fumes); 2) pieces
further ground to their final shape (releasing grindings); 3) ground pieces
sent off-site for heat treatment; 4) heat treated pieces returned to facility
where holes are bored (producing turnings) and the resultant pieces are
assembled into the final product. How are releases reported?
Although the pieces are sent off-site in step 3, they are returned to the process
as essentially the same material. Thus, the activity is to be treated as a continu-
ous process activity. If there is scrap material which is recognizable as the
original form of the article, and if releases from steps 1, 2, and 4 (collectively),
which are not recycled, do not exceed 0.5 pounds, then the metal sheets could
be exempt as articles.
250. Does the article exemption apply to flat rolled sheet metals, if they
are used in operations which typically produce scrap but no release?
Assuming the scrap metal pieces are recognizable as the original piece, the
article exemption does apply to these metals if the forming process caused 0.5
pounds or less of releases of a listed toxic chemical from all like items or
retains thickness of sheet metal in whole or in part. Once an operation is
performed on a metal that causes a release which is not recycled which ex-
ceeds 0.5 pounds, however, such as heating, grinding, welding, the article
exemption no longer applies and releases must be reported when chemicals in
a sheet metal are "processed" in quantities greater than 25,000 pounds.
251. A metals working plant machines, cuts, forms, and joins plate, cylin-
der, and other purchased metal alloy parts. Alloys of nickel and chro-
mium, in above de minimis levels, are "processed" in amounts that exceed
50,000 pounds per year. Does the article exemption apply since emissions
from operations such as welding represent only a small fraction of the
total metallic component of the surface area "processed?"
Releases of the chemicals contained in mixtures, including alloys, during
fabrication operations disqualifies the item processed from the article exemp-
tion. Wastes generated in a form recognizable as the processed article (e.g..
pieces of a plate or cylinder) are exempt from release and other waste manage-
76
-------
EPCRA Section 313 Questions and Answers
SECTION 2
Article
Exemption,
Bar Stock
Article
Exemption,
Bar Stock
Article
Exemption,
Manufacturing
Article
Article
Exemption,
Lead Bricks
ment calculations. Releases include the chemical component of fumes, dust,
grindings, and turnings generated from metal fabrication activities.
252. Is bar stock that is used to make precision tuned parts an article and
thus exempt from Section 313 reporting? The bar stock is "processed" to
produce parts that in whole or hi part retain the basic dimensional char-
acteristic of the bar stock. The production of the part itself is dependent
upon the specific shape and dimension of the bar stock and there are no
releases during "processing."
Bar stock is an article if its basic dimensional characteristics are maintained in
whole or in part in the finished product and if processing the bar stock does not
result in releases. If the end product is totally different in diameter or thick-
ness, then the bar stock would not be an article.
253. Can facilities which extrude copper bars or rods into wire treat the
bar or rod as an article!
No. If you are completely changing the shape or form of an item during
"processing," the article exemption no longer applies. An article has end use
functions dependent in whole or in part upon its shape or design during end
use. The end use function is dependent upon the copper being in the shape of
the wire, so the copper bar cannot be considered an article,
254. A manufacturer of plastic bottles makes the bottles by blow-molding
a mixture of plastic resin and polymer pellets that contain lead chromate
(a toxic chemical) and fillers. Once the bottles are made, they are checked
for flaws (i.e.. a quality assurance check). Any bottles that do not pass the
quality assurance test are placed in the facility dumpster and are subse-
quently disposed of in the local municipal landfill. Do these substandard
bottles meet the article exemption and thereby exempt the lead chromate
from being a release of listed toxic chemical under Section 313?
No. The "manufacture" of articles is not exempt. Thus, the lead chromate
that is sent to the landfill is considered a release of lead chromate since the
substandard bottles that are disposed of are waste from the "manufacturing"
process.
255. A. facility (ship builder) incorporates lead bricks in ships as ballast
for distribution in commerce. They remain permanently with the ship.
The lead bricks could be considered articles and therefore be exempt from
reporting. However, the facility infrequently cuts some of the bricks,
generating lead dust, which it collects and sends to an off-site lead
reprocessor. How should the facility report? What should be counted
towards the threshold if the lead bricks are not considered articles'!
77
-------
SECTION 2
EPCRA Section 313 Questions and Answers
Article
Exemption,
Article
Releases
Article
Exemption,
Battery
If all of the lead is recycled or reused then the lead dust does not have to be
counted as a release. Therefore, the cut bricks retain their article status. If
while cutting the bricks, there are releases which are not recycled and that
exceed 0.5 pounds for a year, then the cut bricks would not be considered
articles. In this case, count only the lead in bricks actually "processed" (i.e..
cut) toward the threshold determination. Any amounts of toxic chemicals sent
off-site for recycling would be reported appropriately on the Form R.
256. During the construction and repair of ships, small quantities of a
listed toxic chemical are emitted in the form of fumes when steel plates are
being welded together. The steel plates qualify as articles because they are
formed to a specific shape during "manufacture" and their end use func-
tion is dependent upon their shape. Are these steel plates articles and
should the amount of toxic chemical (fumes from the steel plates) emitted
from the steel plates during the welding process be included in determin-
ing the threshold?
If the "processing" or "otherwise use" of all like manufactured items results in
the release of 0.5 pounds or less of a toxic chemical, EPA will allow this
quantity to be rounded to zero and the manufactured items may be exempt as
articles. If the listed toxic chemical that is released exceeds 0.5 pounds over a
calender year and is completely recycled or reused, on-site or off-site, then
these steel plates may also be exempt as articles. Any amount that is not
recycled or reused will count toward the 0.5 pound per year cut-off value.
257. How should a facility owner/operator handle the reporting require-
ment for listed toxic chemicals found in industrial and commercial batter-
ies under EPCRA Section 313 that it employs onsite? What if the/aci%
manufactures the batteries?
A manufactured item (e,g.. maintenance-free batteries) containing a listed toxic
chemical may be considered an article if the facility uses the item as intended
and the listed toxic chemical is not emitted during its "processing" or "other-
wise use." If the facility services the item by replacing the listed toxic chemi-
cal, the amount of the listed toxic chemical added during the reporting year
must be counted toward the threshold determination. "Fox facilities which
manufacture batteries, lead that is incorporated into a lead acid battery is
"processed" to manufacture the battery, and therefore must be counted toward
threshold determinations and release and other waste management estimates.
The article exemption does not apply to the manufacture of an item. However,
the use of the battery elsewhere in the facility does not have to be counted.
Disposal of the battery after its use does not constitute a release.
78
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EPCRA Section 313 Questions and Answers
SECTION 2
Article
Exemption,
Catalyst
Article
Exemption
Article
Exemption,
End Use
Function
258. A. facility uses a catalyst containing a listed toxic chemical in a fixed
bed reactor. The catalyst is in the form of cylindrical or trilobed
extrudates (pellets) in a specific size. It is used to promote atoxic chemical
reaction and is not physically altered during use. The spent catalyst is sent
to a reclaimer for eventual reuse. Can the catalyst be exempted as an
article under Section 313?
No. Although the catalyst is "manufactured" to a specific shape or design, and
has end use functions dependent upon its shape during end use, EPA believes
that releases occur during transfer operations; therefore, the article exemption
does not apply. Such catalysts usually contain dust size material that is not the
same size and shape of the pellets. The likely releases would be dust emis-
sions and potential spills that occur during charging and removing the catalyst
from the reactor. Such operations are part of the normal conditions of "pro-
cessing" and "otherwise use" that must be considered under the article defini-
tion. The intent of EPCRA is to capture all releases, whether they are inten-
tional or not. The spent catalyst sent off-site for recycling does not itself
constitute a release that invalidates the article exemption, as long as all of the
toxic chemical is recycled. The facility should also consider whether any on-
site regeneration of the catalyst results in the toxic chemical being released in
wastestreams.
259. A. facility "processes" a metal item containing nickel. The finished
product retains in part the dimension characteristics of the original item
and all the metal shavings resulting from the process are sent off-site for
recycling. Since the Pollution Prevention Act requires reporting of re-
cycled amounts of a listed toxic chemical, does that mean the material is
not an article"!
The Pollution Prevention Act requirements do not affect the article status of
the metal item. If all of the releases from the article are sent off-site for
recycling, the item would still be exempt as an article. If this is the only
occurrence of nickel in the facility, the facility would not have to report for
nickel.
260. A. facility "manufactures" lead came (i.e., slender, grooved, lead rods).
A lead billet is placed into a press and pushed through a die to produce a
unique form. The/a«% "processes" 100,000 pounds of lead came. Is this
process exempt from reporting under the article exemption?
The article exemption does not apply. The lead billet does not qualify as an article
because it does not have an end use function other than to be of a size and shape
convenient to further "processing," and the end product is significantly different in
shape and dimension from the starting material. Since the "processing" quantity
exceeds the 25,000 pounds threshold, the facility must report.
79
-------
SECTION 2
EPCRA Section 313 Questions and Answers
Article
Exemption,
Recognizable
as an Article,
Disposal,
Process
Article
Exemption,
Light Bulbs
Article
Exemption,
PCB
Transformers
261. A manufacturing/acz'ftfp produces neon signs by bending leaded glass
tubing. The facility uses enough tubing annually to "process" in excess of
25,000 pounds of lead, an EPCRA Section 313 toxic chemical. When signs
are formed from glass tubing, the diameter of the tubes remains un-
changed and lead is not released during the heating or bending process,
qualifying the tubes for the article exemption. If a discrete number of
glass tubes are broken and discarded during the year, under what circum-
stances would disposal of the broken tubes constitute a release that negates
the article exemption, and how would the facility calculate the amount of
lead used in their operation?
Disposal of the glass does not necessarily constitute a release which automati-
cally negates the article exemption. For the tubing to meet the definition of an
article when discarded, the diameter of the tubing must remain intact and
unchanged. As a result, shards of glass no longer qualify as articles. If more
than 0.5 pounds of lead is released and not recycled, then the article exemption
would not apply to this process.
262. ^facility subject to EPCRA Section 313 crushes light bulbs and uses
the crushed glass in their process. The light bulb stems are not used in the
process and are disposed of. There is a lead "button" in each light bulb
stem which is disposed of. Is this button considered an article and there-
fore exempt from threshold and release and other waste management
calculations under 40 CFR Section 372.38(b)?
No, the lead buttons from crushed light bulbs would not be considered articles
and the lead would not be exempt from threshold and release and other waste
management calculations. On-site disposal of a listed toxic chemical however,
is not a covered activity (i.e.. "manufactured" "processed" or "otherwise
used"), therefore the lead in these buttons would not be counted toward any
threshold. The facility would only be required to report the release of lead
buttons if a threshold for lead was exceeded by a covered activity elsewhere at
ih& facility.
263. A facility uses PCB transformers. Are these considered to be articles,
and therefore exempt from reporting under Section 313?
PCB transformers are considered to be articles, as long as PCBs are not re-
leased from the transformers during normal use or if the facility does not
service the transformer by replacing the fluid with other PCB-containing fluid.
(See also: Section 313 Policy Directives - Directive #6: PCBs Threshold
Determinations and Release Reporting.)
80
-------
EPCRA Section 313 Questions and Answers
SECTION 2
Article
Exemption,
PCS
Transformers
Article
Exemption,
Process,
Article
Releases
264. A. facility has a PCB transformer on-site which it uses for energy.
The PCBs were removed from the transformer and disposed of. Is the
amount of PCB removed for disposal counted towards the "otherwise use"
threshold? How is this activity covered under EPCRA Section 313?
If the facility removes the entire transformer including the PCB laced oil as an
article, the amount of PCB in the article would not be included in Section 313
threshold and release and other waste management reporting. If a toxic chemi-
cal is present in an article at a covered facility, a person is not required to
consider the quantity of the toxic chemical present in such article when deter-
mining whether an applicable threshold has been met or when determining the
amount to be reported as a release or other waste management.
If the facility removes the PCB laced oil from the article, this removal would
negate the article exemption. To determine if Hhe facility exceeds a threshold,
the operator of the facility shall count the amount of the chemical added to the
recycle/reuse operation during the reporting year (40 CFR Part 372.25(e)).
If a facility has a transformer that leaks PCB laced oil, this leaking would also
negate the article exemption. To determine if the facility exceeds a threshold,
again, the owner/operator of the facility must count the amount of the chemical
added to the recycle/reuse operation during the reporting year.
The facility would be "otherwise using" the PCB added to the transformer
(ancillary use). Only the amount of PCB added to the transformer needs to be
aggregated for threshold determination, and the facility will most likely not be
adding PCB laced oil to the transformer. Therefore, it is unlikely that the
facility will exceed the 10,000 pound "otherwise use" threshold. The facility,
therefore, would not be required to report releases of the PCBs for Section
313.
If, however, the facility exceeds the 10,000 pound threshold and needs to report
PCBs, the PCBs removed from the transformer and sent off-site for final
disposal would be a reportable release.
265. I process a plastic pipe which contains formaldehyde (3 percent by
weight). I also know how much formaldehyde is released when I process
the pipe. Do I need to report these emissions?
If the quantity of the formaldehyde released during "processing" of all like
items exceeds 0.5 Ibs, the facilities cannot take the article exemption for the
pipe; all formaldehyde incorporated into the pipe should be counted toward the
"processing" threshold. The facility should report if the "processing" threshold
81
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SECTION 2
EPCRA Section 313 Questions and Answers
Article
Exemption,
Article
Releases,
Polyurethane
Foam
is exceeded. If the quantity of formaldehyde released during "processing" of
the pipes is 0.5 Ibs or less, the facility would not have to report because it is
part of an article.
266. A. facility buys and sells rigid polyurethane insulating foam contain-
ing Freon 113, a fluorocarbon, in higher than the de minimis concentra-
tions. The facility cuts the foam and packages it to be sold and distributed
in commerce. Does the facility need to report the Freon 113, a Section 313
chemical, released to the air as a result of cutting polyurethane foam?
Freon 113 in foam pieces that are cut, counts toward the "processing" thresh-
old. If the threshold is met, the facility must report all releases of Freon 113 as
a result of cutting polyurethane foam and any diffusion of Freon 113 in poly-
urethane foam to the environment under normal storage conditions. Note that
the polyurethane foam may meet the article exemption if it has 0.5 pounds or
less, from all like items, of Freon 113 released during "processing" and main-
tains a specific shape or design.
82
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EPCRA Section 313 Questions and Answers
SECTION 3
Toxic Chemical
List
Toxic Chemical
List
Chemical
Name,
Trade Name
CAS Number,
Chemical
Name,
Mixtures
Section 3. DETERMINING WHETHER OR NOT TO REPORT:
LISTED TOXIC CHEMICALS (See also Appendix A: Section 313 Policy
Directive #5 - Toxic Chemical Categories)
A. General Questions
267. What list of toxic chemicals is subject to reporting under EPCRA
Section 313?
EPCRA Section 313 defined the list of toxic chemicals. The initial list (with
certain technical modifications and revisions) appears in the regulations (40
CFR Section 372.65) and in the instruction booklet for completing Form R.
EPA, from time to time, has revised the list. The most recent instructions
booklet for completing the Form R contains the updated chemical list. To
obtain information on the latest additions or deletions from the list of toxic
chemicals contact the Emergency Planning and Community Right-to-Know
Information Hotline.
268. What is the difference between the Section 313 list of toxic chemicals
and other EPCRA lists of regulated chemicals?
Some overlaps exist between lists of chemicals covered by different Sections
of EPCRA. Section 313 focuses on toxic chemicals that may cause chronic
health and environmental effects, although the list does contain chemicals that
cause acute health effects. The Section 313 list was developed from lists of
regulated toxic chemicals in New Jersey and Maryland. The other EPCRA lists
cover chemicals of concern for emergency planning purposes. The EPA "List
of Lists" document identifies toxic chemicals that are specifically listed and
must be reported under various Sections of EPCRA.
269. Can common or trade names other than those listed in the regula-
tions be used for submissions?
No. EPA has provided a list of standard chemical names and CAS numbers for
all chemicals that must be reported. The regulations require the use of these
standard names. Many Form Rs submitted previously could hot be processed
because unlisted CAS numbers or names were used.
270. We use a toxic chemical with a CAS number not on the h'st of Section
313 toxic chemicals. There are similar toxic chemicals on the list, but none
with the same CAS number. How can I be sure I do not have to report?
Although CAS numbers are useful, a facility should also use the toxic chemical
name to determine if a toxic chemical is listed on the EPCRA Section 313 list.
Be aware, however, that mixtures are often assigned CAS numbers. These
83
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SECTION 3
EPCRA Section 313 Questions and Answers
Chemical
Categories,
Activity
Thresholds,
Metal
Compounds,
Release
Reporting
Chemical
Categories,
Category
Code, CAS
Number
Chemical
Categories,
Health Effects
mixtures may contain individually listed toxic chemicals. The facility should
use all available information, including the toxic chemical name as well as
process and chemical knowledge, to determine if a component of the mixture is
a listed toxic chemical under Section 313. CAS numbers may be of limited use
in this case. Also, certain specific compounds (e.g.. copper chloride) are not
listed individually on the EPCRA Section 313 list with a specific CAS number,
but are reportable under a compound category.
271. How are toxic chemical categories handled under Section 313 thresh-
old determinations and release reporting?
All toxic chemicals in the category that are "manufactured," "processed" or
"otherwise used" at a facility must be totaled and compared to the appropriate
thresholds. A threshold determination for toxic chemical categories is based on
the total weight of the compound. Except for metal compound categories and
nitrate compounds, the total weight of the compound released or otherwise
managed as waste must be reported. Releases and other waste management
quantities of metal compounds are reported as the parent metal portion of the
compounds. If the metal and corresponding metal compounds exceed thresh-
olds, a joint report for metal compounds, including the parent metal, can cover
both reporting requirements.. Similarly, releases and other waste management
quantities of nitrate compounds are reported as the nitrate portion of the com-
pound.
272. If an item on the Section 313 list incorporates toxic chemicals with
multiple CAS numbers (i.e.. nickel compounds), how is the CAS number
of the item described?
Do not enter a CAS number in such cases. Instead, enter the appropriate
category code (provided in the instructions to the Form R) in the space for the
CAS number in Part II Section 1.1 of Form R. The individual chemical mem-
bers of a listed category are not required to be, and should not be, identified in
the report.
273. Do the toxic chemical categories such as nickel compounds include all
compounds, even those which have not been associated with adverse
health effects? What is the authority for this decision?
The Section 313 list established by Congressional legislation included catego-
ries. EPA interprets these listings to mean all compounds of nickel, for ex-
ample, regardless of whether specific lexicological problems have been identi-
fied for a specific compound in the category. However, EPA may grant, and
has granted, petitions to delete specific compounds from a category if the
Agency determines that the compound is found to not meet the listing criteria.
84
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EPCRA Section 313 Questions and Answers
SECTION 3
Threshold
Determination,
Chemical
Conversion
Metal
Compounds,
Threshold
Determination
Chemical
Deletions,
Effective Date
274. Some toxic chemicals released into the environment react to form
other toxic chemicals, for example, phosphorus (a listed toxic chemical)
oxidizes in air to form phosphorus pentoxide (not a listed toxic chemical).
Which should be reported, the transformed toxic chemical or the source
toxic chemical? How would the report(s) be prepared if both the source
and resulting toxic chemical are listed?
Report releases of the listed toxic chemical. The facility is not responsible for
reporting a toxic chemical resulting from a conversion in the environment (e.g..
outside of a facility air stack).
275. Do we count the nonmetal portion of metal compounds?
The nonmetal portion of metal compounds is included in threshold determina-
tions but not in release and other waste management determinations.
276. EPCRA Section 313(d) provides for the addition and deletion of
chemicals to and from the list of toxic chemicals found at 40 CFR Section
372.65. According to EPCRA Section 313(d)(4), any revision to the list
made on or after January 1 and before December 1 of any reporting year
will take effect beginning with the next reporting year. Any revision made
on or after December 1 and before January 1 of the next reporting year
will take effect beginning with the reporting year following the next re-
porting year. While all additions to the list are subject to these provisions,
the Agency has not applied the delayed effective dates specified in EPCRA
Section 313(d)(4) for any rules deleting chemicals from the EPCRA Sec-
tion 313 list. To date, the promulgated final rules delisting chemicals have
been effective on the date of publication of the final rule in the Federal
Register. Moreover, when EPA has issued the final rule before July 1, the
Agency has relieved facilities of their reporting obligation for the previous
reporting year in addition to obviating future reporting. Given the statu-
tory language, why has EPA not promulgated a delayed effective date for
those actions deleting substances from the list of toxic chemicals'!
Although the statutory language outlines a delayed effective date provision*
EPA interprets EPCRA Section 313(d)(4) to apply only to actions which add to
the list of toxic chemicals. As explained in the final rule deleting di-n-octyl
phthalate from the EPCRA Section 313 list, published on October 5,1993 (58
FR 51785), the Agency believes that it may, in its discretion, make deletions
effective immediately upon the determination that a chemical does not satisfy
the listing criteria found at EPCRA Section 313(d)(2). Since a deletion from
the list alleviates a regulatory burden, and 5 U.S.C. Section 553(d)(l) permits
any substantive rule which relieves a restriction to take effect without delay,
EPA is authorized to delete chemicals from the list effective immediately. The
Agency believes that the purpose of EPCRA Section 313(d)(4) is to provide
85
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SECTION 3
EPCRA Section 313 Questions and Answers
pH,
Neutralization,
Release
Reporting
Coincidental
Manufacture,
Combustion
Byproducts,
Hydrochloric
Acid, Metal
Compounds
AcidAerosol,
Treatmentfor
Destruction,
Hydrochloric
Acid, Sulfimc
Acid
facilities with adequate time to incorporate newly listed chemicals into their
data collection processes. Because facilities can immediately cease reporting
on a delisted chemical, and since the chemical no longer satisfies the listing
criteria, EPA has not specified a delayed effective date for deletions from the
list of toxic chemicals under EPCRA Section 313.
B. Toxic Chemical-Specific Questions
Acids
277. A strong mineral acid solution is neutralized, i.e., the pH of the
solution is adjusted to pH 6 or greater, before release to surface waters.
How do we report this release on the Form R?
For purposes of EPCRA Section 313 reporting, a discharge of pH 6 or above
contains no reportable amount of mineral acid. The facility owner/operator
should report zero, not NA, in Part II Section 5.3 of the Form R.
278. A facility has a coal-fired boiler. The combustion of the coal gener-
ates aerosol forms of hydrochloric acid as a byproduct. Should the aero-
sol forms of the HC1 emissions be reported under EPCRA Section 313?
Yes. In the combustion of coal, the facility will be coincidentally "manufac-
turing" aerosol forms of hydrochloric acid, as well as hydrofluoric acid and
sulfuric acid. The combustion of coal will also result in the coincidental
"manufacture" of new metal compounds. The facility must submit a Form R
if it "manufactures" more than 25,000 pounds of any of these listed toxic
chemicals.
279. A wastestream containing aerosol forms of hydrochloric and sulfuric
acid goes up a stack. Before exiting the stack, the wastestream passes
through a scrubber where the acid aerosols are captured in an aqueous
solution. How is this to be reported under Section 313?
When a scrubber is used to remove sulfuric or hydrochloric acid aerosols prior
to or in a stack, the acid aerosols are usually converted to the non-aerosol form.
The non-aerosol forms of sulfuric and hydrochloric acid are not reportable
under EPCRA Section 313 because the qualifier to the sulfuric acid and hydro-
chloric acid listing includes only acid aerosol forms. Sulfuric and hydrochloric
acid as discrete chemicals have not actually been destroyed by the scrubber,
but the form of these acids reportable under EPCRA Section 313 has been
destroyed. Therefore, since sulfuric or hydrochloric acid aerosols removed by
scrubbers are converted to non-reportable forms, the quantity removed by the
scrubber can be reported as having been treated for destruction. However, all
of the sulfuric acid or hydrochloric acid aerosols that are produced prior to or
86
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EPCRA Section 313 Questions and Answers
SECTION 3
Acid Aerosols,
Acid Reuse
System
after the scrubber count towards that "manufacturing" threshold, and any acid
aerosols that are not removed by the scrubber and continue out of the stack
must be reported as a release to air.
280. How are sulfuric and hydrochloric acid aerosols that are generated
over and over again in acid reuse systems to be reported under Section
313?
When solutions of sulfuric acid and hydrochloric acid are aerosolized the
"manufacture" of a listed chemical (sulfuric acid or hydrochloric acid aerosols)
has occurred. This is a result of the qualifier to the sulfuric acid and hydro-
chloric acid listings, which excludes non-aerosol forms and limits the reporting
to aerosol forms only. The addition of the acid aerosol qualifier has an impact
on certain processes that, prior to the addition of the qualifier, would not have
been considered to be "manufacturing" a listed chemical. Acid reuse systems
that use aqueous solutions of sulfuric acid or hydrochloric acid to generate acid
aerosols, use the acid aerosols, condense them back into solution, and then
reuse the acid solution again and again are impacted by the addition of the acid
aerosol qualifiers. In such processes, the continuous reuse of the acid solutions
generates very large quantities of acid aerosols that technically should be
counted towards the "manufacture" (the generation of the acid aerosol is the
"manufacture" of sulfuric or hydrochloric acid (acid aerosol)) and "otherwise
use" thresholds. This may result in many facilities greatly exceeding the
"manufacture" and "otherwise use" reporting thresholds that, prior to the
addition of the qualifier, would not have exceeded thresholds.
While it is technically correct to apply all of the quantities of acid aerosols
generated in such systems towards the "manufacture" and "otherwise use "
reporting thresholds, EPA did not intend to increase the reporting burden as a
result of the addition of the acid aerosol qualifiers. In addition, under EPA's
general approach to reuse systems a listed toxic chemical is not counted toward
thresholds each time it is reused but only once per reporting period, and that
approach would apply to sulfuric acid or hydrochloric acid reuse systems were
it not for the aerosol qualifiers. Therefore, EPA is providing the following
guidance to reduce the reporting burden for facilities that operate such pro-
cesses and to bring the treatment of such systems into alignment with EPA's
general approach to reuse.
Rather than having facilities count all quantities of acid aerosol generated in
such systems towards the "manufacture" and "otherwise use" thresholds, EPA
will allow facilities to apply the total volume of acid in these systems only
once to these thresholds. For example, if an acid reuse system starts the year
with 2,000 pounds of acid and 500 pounds is added during the year then the
total amount applied towards acid aerosol thresholds would be 2,500 pounds.
87
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SECTION 3
EPCRA Section 313 Questions and Answers
ummg
Sulfuric Acid,
Sulfiiric Acid,
Oleum
Threshold
Determination,
Coincidental
Manufacture,
Combustion
Byproducts,
Sulfiiric Acid
This reflects a one time per year counting of all of the acid molecules as being
in the acid aerosol form rather than counting them over and over again each
time the acid aerosol form is generated and subsequently used. Since in these
acid reuse systems the acid aerosols are "manufactured" and then "otherwise
used" the 10,000 pound "otherwise use" threshold would be the threshold that
triggers reporting from such systems.
This guidance applies only to acid reuse systems and the reporting of sulfuric
acid and hydrochloric acid aerosols under EPCRA Section 313. This guidance
does not apply to any other types of processes or to any other listed chemical.
281. A. facility uses fuming sulfuric acid. This particular chemical is not
listed as importable under Section 313 of EPCRA, but it is chemically
similar to sulfuric acid which is reportable. Should the facility report if it
meets threshold amounts and is a covered facility'!
Fuming sulfuric acid, more commonly known as Oleum, is a mixture of sulfu-
ric acid and sulfur trioxide. The facility must report on the acid aerosol forms
of the sulfuric acid portion of the mixture in accordance with Section 372.30(b)
if this portion exceeds the applicable threshold. The facility should also note
that sulfur trioxide reacts rapidly with water to form sulfuric acid. Any sulfuric
acid aerosol formed from sulfuric trioxide at the facility must be counted
toward the "manufacturing" threshold.
282. A utility boiler, located at an EPCRA Section 313 covered facility,
burns residual oil. As a result of the burning operation, the facility emits
sulfur dioxide (SO2), sulfur trioxide (SO,), and particulate sulfates
through a point source. Once emitted, the sulfur trioxide readily reacts
with water vapor (both hi ah* and in flue gases) to form a sulfuric acid
mist. For purposes of EPCRA Section 313, must the facility report on the
generation of sulfuric acid?
The sulfuric acid formed in the chemical reaction of sulfur trioxide and water
that often occurs in the air after releasing sulfur trioxide is not included in
threshold determinations. The facility owner/operator is not responsible for
tracking or reporting on the formation of a listed toxic chemical once a chemi-
cal is released from a facility. However, if the reaction of sulfur trioxide and
water takes place prior to being emitted (e.g.. in the stack), the facility would
be required to factor the quantity of sulfuric acid mist generated towards the
"manufacturing" threshold, and if the threshold is exceeded report all releases
and other waste management estimates of sulfuric acid aerosols from the
facility.
88
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EPCRA Section 313 Questions and Answers
SECTION 3
Coincidental
Manufacture,
Hydrochloric
Acid
pH,
Concentration
Range, Waste
Treatment
283. Must a facility report itself as a "manufacturer" of hydrochloric acid
aerosols, if the hydrochloric acid aerosol is formed in the stack?
Yes, assuming thresholds are exceeded, the facility must report for hydrochlo-
ric acid aeorsol. It is irrelevant where at the facility the acid aerosol forms.
284. Listed acids such as nitric acid are commonly used throughout the
manufacturing sector as product ingredients, reactants, and chemical
processing aids. Often, listed acids are present in aqueous wastestreams
that are neutralized on site. If the listed acid is neutralized on site,
EPCRA Section 313 requires an indication on the Form R of the range of
concentration of the listed toxic chemical in the influent wastestream.
These concentrations are expressed in percentages, parts per million
(ppm), or parts per billion (ppb). If the pH of a waste steam containing a
listed mineral acid is quantified, can the pH data be used to calculate the
total mineral acid concentration in the influent wastestream?
In cases where only one acid is present in solution, the total mineral acid
concentration can be derived by using the pH value of the solution and the
molecular weight and ionization constant of the acid. In order to assist the
regulated community in EPCRA Section 313 reporting, EPA derived a table
which lists the total acid concentration for each listed mineral acid at different
pH values ("Estimating Releases and Waste Treatment Efficiencies for Mineral
Acid Discharges Using pH Measurements" (EPA 745/F-97-003), June 1991).
The concentrations are expressed in pounds per gallon (Ibs/gal) and can be
converted to the appropriate units for reporting purposes. The concentration
that must be reported is based on the amount or mass of the toxic chemical in
the wastestream compared to the total amount or mass of the wastestream. For
example, assume that & facility treats, by neutralization, a wastestream contain-
ing nitric acid (HNO3) where the pH of the influent stream is 4. A pH of 4
corresponds to a concentration of 0.000052 pounds of HNO3 per gallon of
wastestream ("Estimating Releases and Waste Treatment Effeciencies for
Mineral Acid Discharges Using pH Measurements," Table 1). The amount of
HNO3 in the influent wastestream can be converted using the following calcu-
lation:
Influent Wastestream
(0.000052 Ibs/gal) x (1 gal/3.78 liters) x (453,000 mg/1 Ib)
= 6.2 mg/1 of HNO3 in the wastestream
Since mg/1 of solutions or dispersions of a chemical in water is equivalent to
ppm, 6.2 ppm of HNO3 is the concentration in the influent wastestream.
89
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SECTION 3
EPCRA Section 313 Questions and Answers
Chemical
Qualifier,
Hydrochloric
Acid, Acid
Aerosols
Concentration,
Nitric Acid
Metal
Compounds,
Metals,
Threshold
Determination
The Form R requires a range of influent concentration, thus the facility should
select the appropriate range code and enter that value in the Range of Influent
Concentration column in the On-Site Waste Treatment Methods and Efficiency
section of the Form.
285. Hydrochloric acid, also known as hydrogen chloride (CAS number
7647-01-0), is a listed toxic chemical under EPCRA Section 313. Hydro-
chloric acid can exist in both aqueous solution and in a gaseous, anhy-
drous form. On July 25,1996, EPA modified the listing of hydrochloric
acid to include only acid aerosols including mists, vapors, gas, fog and
other airborne forms of any particle size (61FR 38600). Does the modi-
fied listing of hydrochloric acid refer to both the aqueous and the anhy-
drous forms of this chemical?
Yes. The CAS number 7647-01-0 identifies both aqueous and anhydrous
forms of hydrochloric acid. The listing modification also applies to both
aqueous and anhydrous forms of hydrochloric acid. Beginning with the 1995
reporting year, an EPCRA Section 313 covered facility that "manufactures,"
"processes," or "otherwise uses" more than a threshold quantity of hydrochlo-
ric acid aerosols, either in aqueous or anhydrous forms, must submit a Form R
or a Form A for hydrochloric acid aerosols.
286. How should nitric acid (CAS number 7697-37-2) be reported under
Section 313? It does not exist in a pure or anhydrous form. Commercial
nitric acid is produced at a concentration of 70 percent nitric acid in
water.
The listed CAS registry number for nitric acid specifically relates to the mo-
lecular formula HNO3. Therefore, facilities are required to count the amount
of nitric acid in solutions toward thresholds and release and other waste man-
agement calculations. If 100 pounds of 70 percent nitric acid is released, the
release should be reported as 70 pounds of nitric acid.
Compound and Compound Categories
287. For Section 313 reporting, a catalyst contains 61 percent total nickel,
which includes 26 percent nickel metal and 35 percent nickel contained in
compounds. Should the threshold determination be based on the 61
percent total nickel?
The 61 percent total nickel cannot be used in the threshold determinations.
Nickel compounds are a listed toxic chemical category, therefore the full
weight of nickel compounds (not just the 35% nickel contained in the com-
pounds) must be used in the threshold determination for nickel compounds.
90
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EPCRA Section 313 Questions and Answers
SECTION 3
Chemical
Qualifier,
Cyanide
Compound
Metal
Compounds,
Compound
Category,
Electroplating
Metal
Compounds,
Cyanide
Compounds,
Threshold
Determination,
Process,
Electroplating
Metal
Compounds,
Threshold
Determination,
Copper
Compounds
A separate threshold determination is required for the nickel metal since nickel
is a separately listed toxic chemical under Section 313.
288. In the Federal Register, (53 FR4538; February 16,1988) EPA de-
scribes cyanide compounds as X+CN- where X=H+ or any other group
where a formal dissociation may occur; examples are KCN and Ca(CN)2.
Are cyanide compounds that do not dissociate reportable?
Cyanide compounds that do not dissociate are not reportable. However,
dissociable cyanide compounds are not limited to the simple salts. Rather this
category includes all cyanide compounds for which dissociation upon release
to the environment is expected to occur.
289. A. facility uses chromium compounds in its electroplating operation,
and as a result, a hexavalent chromate compound is generated. Are the
hexavalent chromate compounds reportable under Section 313?
The hexavalent chromate compounds are members of a reportable toxic chemi-
cal category, chromium compounds, and have been "manufactured" by the
oxidation/reduction reaction that occurred in the electroplating operation. As a
result, the total amount of the hexavalent chromate compounds produced must
be compared to the "manufacturing" threshold for chromium compounds.
290. An electroplating/acz7zYy uses metal cyanide compounds in their
electroplating operations. Are they "processing" or "otherwise using"
those cyanide compounds, how do they determine whether they meet the
threshold, and which threshold applies?
The parent metal is plated onto a substance electrochemically, leaving the
cyanide as waste product. The metal compounds are "processed," the cyanide
compounds are "processed" because the metal cyanide is the source of the
metal that is plated and subsequently distributed in commerce. Metal cyanides
are reportable as both cyanide compounds and metal cyanides. The total
compound weight is applied for threshold determinations for both categories.
291. We manufacture and use copper wire. We also use copper com-
pounds in various parts of our processes. The Section 313 list contains
both copper and copper compounds. Should we combine these categories
for our determination of thresholds and reporting? Do we report the
release and other waste management of copper compounds as copper
metal?
Copper and copper compounds are separate entries on the Section 313 list, and
therefore should be tallied separately to determine if thresholds are exceeded.
Copper compounds are a listed category and will include the aggregate of all
91
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SECTION 3
EPCRA Section 313 Questions and Answers
Compound
Category,
Threshold
Determination,
Release
Reporting
Metal
Compounds,
Tlireshold
Determination,
Lead
Compounds,
Chromium
Compounds,
Lead
Metal
Compounds,
Chromiutn
Compounds
copper compounds (other than the free metal). For both submissions, report
releases and other waste management activities as copper (e.g.. as the copper
ion in wastewater), not as the total mass of copper compounds released. If a
facility exceeds thresholds for both the parent metal and compounds of the
same metal, EPA allows tine facility to file on combined report (e.g.. one report
for copper compounds, including copper).
292. How would a compound that falls into two reporting categories be
reported (e.g.. PbCrOj) on the Form R?
A compound that has constituents in two listed categories would have to be
included under both categories when submitting a Form R. In the example
indicated, the total weight of PbCrO3 must be included in determining the
threshold for both lead compounds and in determining the threshold for chro-
mium compounds. In reporting the releases of lead, only the stoichiometric
weight of the lead in PbCrO3 released or otherwise managed as waste would be
included. Likewise, only the chromium in PbCr03 that is released and other-
wise managed as a waste would be included on the Form R.
293. If a facility uses lead, lead chromate, and other chromium com-
pounds for Section 313 reporting requirements and threshold determina-
tions, can they be considered separately or must they be combined into
categories? When reporting releases and other waste management activi-
ties, must quantities of categories be determined as well?
Threshold determinations for metal containing compounds are made separately
from parent-metal threshold determinations because they are listed separately
under Section 313. In the scenario presented in the question, the facility would
apply the quantity of the lead metal "manufactured," "processed," or "other-
wise used" to the appropriate threshold for lead. The facility would apply the
quantities of the lead chromate "manufactured," "processed," or "otherwise
used" to the appropriate threshold for lead compounds and would apply the
quantities of the lead chromate and other chromium compounds "manufac-
tured" "processed" or "otherwise used" to the appropriate threshold for
chromium compounds. However, a facility may, once a threshold has been met
individually, combine the parent metal and its metal compounds for reporting.
In completing the Form R, only the weight of the parent metal (not the entire
compound weight) is to be considered.
294. Are chromium compounds (e.g., chromic acid CAS No. 11115-74-5
or chromic acetate CAS No. 1066-30-4) importable under Section 313?
All chromium compounds are reportable. They must be aggregated together
for purposes of threshold and maximum amount on-site calculations. How-
92
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EPCRA Section 313 Questions and Answers
SECTION 3
Metal
Compounds,
Release
Reporting,
Lead
Compounds,
Lead
Metals, Metal
Compounds,
FormR
Submissions,
Lead
Compounds,
Lead
Compound
Categories,
Release
Reporting,
Threshold
Determination,
Metal
Compounds
ever, release and other waste management amounts should be for chromium
metal portion only.
295. An EPCRA Section 313 covered facility "processes" both lead in the
elemental form and lead compounds. The facility exceeds the 25,000
pounds per year "processing" threshold for lead compounds, but not for
elemental lead, and must submit a report for lead compounds only. When
calculating releases and other waste management activities from the lead
compounds, the owner/operator is only required to account for the weight
of the parent metal released (40 CFR Section 372.25(h)). Should the
facility account for both releases of lead from activities involving lead
compounds and releases of lead from activities involving elemental lead?
No. In the case when an activity threshold is exceeded only for lead com-
pounds, the report is only required to be based on the releases and other waste
management estimates of lead, the parent metal, from lead compounds only.
Releases and other waste management estimates of lead resulting from activi-
ties involving elemental lead need not be included in the release and other
waste management calculations. Conversely, if the facility were to exceed an
activity threshold for only elemental lead, the report would only have to be
based on releases and other waste management estimates from activities
involving elemental lead only.
296. A. facility has determined that it needs to report under EPCRA
Section 313 for both elemental lead and lead compounds. Can this facility
file one Form R that takes into account both the releases and other waste
management activities of lead and lead compounds, or is it required to
report separately?
If a covered facility exceeds thresholds for both the parent metal and com-
pounds of that same metal, it is allowed to file one joint report (e.g.. one report
for lead compounds and elemental lead). EPA allows this because the release
and other waste management information reported in connection with metal
compounds will be the total pounds of the parent metal released and otherwise
managed as a waste.
297. In calculating threshold quantities for metal-containing compounds,
please confirm that it is the calculated amount of the metal contained in
the compound rather than the weight of the metal compound itself that
goes into the estimate?
Thresholds are determined by adding up the total weight of compounds con-
taining the same parent metal. However, release and other waste management
calculations are based on only the weight of the parent metal portion of com-
pounds released or otherwise managed as wastes.
93
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SECTION 3
EPCRA Section 313 Questions and Answers
Threshold
Determination,
Metal
Compounds
Chemical
Qualifier,
Fume, and Dust
Coincidental
Manufacture,
Fume or Dust,
Processing
Fume or Dust,
Vanadium
Pentoxide
298. An oxidation/reduction reaction that occurs as part of a waste treat-
ment operation results in the formation of 2,500 pounds of lead chromate.
How must a threshold determination be made for this compound?
Lead chromate meets the criteria for both a lead compound arid a chromium
compound. In such cases, the total amount of the compound "manufactured,"
"processed" or "otherwise used" must be applied to the threshold determina-
tion for both metal compound categories. The weight of the entire compound,
not the weight of the parent metal, is applied for the threshold determination of
each metal compound category.
Fume or Dust
299. There are three chemicals on the list with the qualifier "fume or
dust" (zinc, aluminum, and vanadium). What exactly is a "fume" or a
"dust?"
EPA does not have a regulatory definition of a fume or a dust, but considers
dusts, for purposes of reporting, to consist of solid particles generated by any
mechanical processing of materials including crushing, grinding, rapid impact,
handling, detonation, and decrepitation of organic and inorganic materials such
as rock, ore, and metal. Dusts do not tend to flocculate except under electro-
static forces. A fume is an airborne dispersion consisting of small solid par-
ticles created by condensation from the gaseous state, in distinction to a gas or
vapor. Fumes arise from the heating of solids such as lead. The condensation
is often accompanied by a chemical reaction, such as oxidation. Fumes floccu-
late and sometimes coalesce.
300. A. facility processes aluminum, vanadium, and zinc. These three toxic
chemicals are listed under Section 313 with the qualifier "fume or dust."
Is this processing operation subject to reporting?
If the processing of these substances generates (i.e.. "manufactures") any fume
or dust or if the three substances were "processed" or "otherwise used," at any
time, as a fume or dust, the activities would be reportable under EPCRA
Section 313. The "manufacturing," "processing" or "otherwise use" of these
substances hi fume or dust form would be subject to threshold determinations.
301. Vanadium pentoxide is not explicitly listed under Section 313, al-
though vanadium does appear on the list. Are we correct in assuming that
we don't need to report for vanadium pentoxide?
Vanadium is listed only as a fume or dust under Section 313. Vanadium
compounds are not listed under EPCRA Section 313. However, as a result of
94
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EPCRA Section 313 Questions and Answers
SECTION 3
Chemical
Qualifier,
Fume or Dust,
Metal Vapors,
Aluminum
Chemical
Qualifier,
Aluminum,
Fume or Dust,
Coincidental
Manufacture
Threshold
Determinations,
FumeorDustj
Zinc, Particles,
Mixture
Concentration,
Xylene, Mixed
using vanadium pentoxide or elemental vanadium, a fume or dust of vanadium
may be "manufactured" and could be subject to Section 313 reporting.
302. A facility coats materials with aluminum using the vacuum deposi-
tion process. Is the facility subject to the reporting requirements under
Section 313 for aluminum fume?
No. In vacuum deposition, the aluminum is converted to the vapor state under
low pressure. The vapor then condenses on the material which is being coated.
A metal fume consists of finely divided paniculate dispersed in a gas. Because
a metal fume and a metal vapor are different physical forms of a metal, metal
vapor is not considered to be a type of fume. However, any aluminum fume
that is produced as a result of the condensation of the metal vapor should be
applied to threshold determinations for aluminum.
303. A facility manufactures aluminum cookware. It generates aluminum
dust of various particle sizes during polishing and edging of the cookware.
the facility collects the larger particles of aluminum dust by wet cloth.
Does the facility consider only smaller dust particles that escaped for
reporting purposes?
Aluminum in the form of dust is a listed Section 313 toxic chemical. All of the
aluminum dust (no size limit) generated should be considered toward the
"manufacturing" threshold. Provided tine facility meets the activity threshold
for aluminum fume or dust, and employee and SIC code criteria, the amount of
the aluminum dust particles that escape the facility's collector system should
be reported as released.
304. PL facility processes a zinc/mercury amalgam alloy and mercuric
oxide to produce batteries. The amalgam is in particulate form. The
molten amalgam is injected into a cooling chamber which produces par-
ticles with desired characteristics (such as size). Since zinc is listed as
"fume or dust" only, would the facility need to consider the zinc from the
amalgam towards the applicable "processing" threshold?
Yes, EPA considers "dusts" to be solid particles generated by any mechanical
processing of materials (including mixtures'). This includes, but is not limited
to, handling, crushing, grinding, and rapid impact of materials such as rock,
ore, metals, and alloys. In this case, the particles produced would constitute a
dust and require a threshold determination.
Miscellaneous
305. Is Xylene (mixed isomers) CAS number 1330-20-7 a specified weight
percent combination of m-xylene, o-xylene, and p-xylene? Does the mix-
95
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SECTION 3
EPCRA Section 313 Questions and Answers
Isomers
Mixtures,
Xylene
(Mixed
Isomers), De
Minimis
Exemption,
Threshold
Determination
Mixtures,
Xylene (Mixed
Isomers),
Concentration
tare need to contain all three individual isomers or can it contain any
combination of two of the isomers?
Xylene (mixed isomers) is an unspecified mixture that could contain just two
of the individual isomers or all three in any weight/percent combination.
306. Xylene mixed isomers are present in two of & facility's refined prod-
ucts. For EPCRA Section 313 reporting, may the isomers be reported
separately? For a mixture of the isomers, how are thresholds and de
minimis to be determined? Reported separately, the facility exceeds
thresholds but is below de minimis concentrations.
All of the xylene isomers are individually listed under EPCRA Section 313. In
addition, there is a listing for xylene (mixed isomers) which covers any combi-
nation of xylene isomers. When the threshold and de minimis concentration
for each isomer in the mixture are exceeded independently, the facility may
report under the individual isomer listings or under the mixed isomers listing.
When the threshold and/or de minimis for each isomer in the mixture are not
exceeded independently, but are exceeded collectively, the facility should
report under the CAS number for xylene (mixed isomers).
307. A facility "processes" two of the three xylene isomers in separate
streams, along with an additional stream containing a mixture of xylene
isomers of unknown concentrations. How would the facility determine if
an activity threshold has been exceeded? How would the facility report
the xylene on the Form R?
The toxic chemical list at 40 CFR Section 372.65, contains four xylene listings
(mixed isomers, ortho-, meta-, and para-xylene) which appear with their own
CAS number. The CAS number specified for xylene (mixed isomers),
1330-20-7, applies to any combination of xylene isomers. The facility must
make separate threshold determinations for each individual chemical listed at
Section 372.65. If the thresholds are not exceeded for any of the individual
xylene listings of Section 372.65, then the facility would not have to report on
any releases of xylene at the facility. For example, if the facility "processes,"
in separate streams, 10,000 pounds of ortho-xylene (CAS number 95-47-6),
10,000 pounds of para-xylene (CAS number 106-42-3), and 10,000 pounds of
xylene where the isomers are mixed in unknown concentrations (CAS number
1330-20-7), a threshold is not exceeded for any of the xylene listings. There-
fore, no reports for xylene would be required. The quantities of the individual
xylene listings "processed" by the facility should not be aggregated for the
purposes of making threshold determinations.
If the thresholds are exceeded for two or more of the individual isomer xylene
listings, the facility has two choices when filling out the Form R. The facility
96
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EPCRA Section 313 Questions and Answers
SECTION 3
Glycol Ethers
Category,
Diethylene
Glycol
Glycol Ethers
Category,
Dipropylene
Glycol
Glycol Ethers
Category,
Ethylene
Glycol, Mono
Butyl Ether
may file separate Form Rs for each isomer or unique isomer mixture listed in
Section 372.65, or the facility may file one combined report. For example, the
facility "processes" in separate streams, 30,000 pounds of ortho-xylene (CAS
number 95-47-6), 30,000 pounds of para-xylene (CAS number 106-42-3), and
30,000 pounds of xylene where the isomers are mixed in unknown concentra-
tions. Because the activity threshold for each of the three xylene listings is
exceeded independently, the facility can report releases and other waste man-
agement activities from each of three listings separately on three different
Form Rs (one for ortho-xylene, one for para-xylene, and one for the mixed
isomers) or the facility can report all xylene releases and other waste manage-
ment estimates on one Form R as xylene (mixed isomers).
308. Although the category of glycol ethers requires reporting under
Section 313,1 am not clear on whether the glycol ether, diethylene glycol,
requires reporting.
Diethylene glycol is not subject to reporting. Glycol ethers, with the following
structure, are reportable: R-(OCH2CH2)n-OR', where n = 1, 2, or 3, R = alkyl
C7 or less, or phenyl or alkyl substituted phenyl, and R' = H or alkyl C7 or less
or OR', consisting of a carboxylic acid ester, sulfate, phosphate, nitrate, or
sulfonate. The R groups for this structure are unsubstituted alkyl or aryl
groups. For diethylene glycol, neither R or R' contain alkyl or aryl groups and
thus it is not subject to reporting under Section 313. For more information
refer to EPA's document entitled, 'Toxic Release Inventory: List of Toxic
Chemicals Within the Glycol Ethers Category" (EPA-745-R-95-006).
309. Are dipropylene glycol ethers having a HOC3H6OC3H6OH structure
considered a glycol ether for Section 313 toxic chemical reporting?
Dipropylene glycol ethers are ethers but not Section 313 reportable glycol
ethers since it has (OCH2CH2CH2)n or (OCH2CH(CH3))n instead of
(OCH2CH2)n in its structure. Propylene glycol based ethers are not covered by
this category.
310. Is ethylene glycol mono butyl ether a Section 313 chemical reportable
as a glycol ether?
Using the structural definition of glycol ethers as they appear in the final rule,
ethylene glycol mono butyl ether is reportable under Section 313.
R-(OCH2CH2)n -OR'
In this case R is equal to butyl - (CH3CH2CH2CH2-); R'=H; and n=l.
97
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SECTION 3
EPCRA Section 313 Questions and Answers
Mixtures,
Polyethylene
Mixtures,
Mineral Oil
Vinyl Chloride,
Polyvinyl
Chloride
Monomer,
Co-polymer,
ABS
DEHP, MSDS,
DOP
_
311. Is polyethylene considered a mixture, the components of which must
be counted for purposes of reporting under Section 313 of EPCRA?
Polyethylene is not a listed chemical and thus is not subject to reporting under
Section 313. Polyethylene is a reaction product, not a mixture, and is not
subject to reporting under Section 313. A "mixture" is any combination of two
or more chemicals if the combination is not, in whole or in part, a result of a
chemical reaction. If the combination resulted from a reaction but could have
been produced without a chemical reaction, it is still treated as a mixture. Any
EPCRA Section 313 listed toxic chemicals used hi the manufacture of polyeth-
ylene should be evaluated against the proper Section 313 activity threshold.
312. A. facility uses hydraulic fluid which is 95 percent mineral oil and 5
percent other unspecified components. Does the facility have any 313
chemicals to report?
Mineral oil is a highly refined mixture of saturated C15 to C50 hydrocarbons.
Barring any information to the contrary, it is unlikely that mineral oil contains
significant quantities of any Section 313 chemicals.
313. Are vinyl chloride, a listed toxic chemical, and polyvinyl chloride, not
listed, the same thing?
Polyvinyl chloride is not a listed toxic chemical and does not need to be re-
ported. It is a polymer of vinyl chloride. Only unreacted vinyl chloride mixed
with the polymer should be evaluated for threshold determinations.
314. Are toxic chemical monomers such as acrylonitrile, butadiene and
styrene, which are contained in a plastic co-polymer known as ABS,
reportable under Section 313?
These chemicals are monomers that react to make the ABS co-polymer which
is not reportable under Section 313. However, if any unreacted acrylonitrile,
butadiene, or styrene monomers are present in the ABS co-polymer in excess
of de minimis concentrations then they are reportable.
315. A. facility uses a toxic chemical known to them as DOP, which they
think is n-dioctyl phthalate. N-dioctylphthalate has the CAS No. 117-84-0
and is not on the Section 313 list. However, the MSDS from their supplier
states that the toxic chemical is called DEHP or DOP and has the CAS No.
117-81-7. DEHP is di(2-ethylhexyl) phthalate on the Section 313 list.
Should this chemical be reported?
DOP is a commonly used acronym for both di(2-ethylhexyl) phthalate (DEHP)
and n-dioctylphthalate (DNOP). DOP is also listed as a synonym for DEHP in
98
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EPCRA Section 313 Questions and Answers
SECTION 3
Asbestos, CAS
Number
Chemical
Qualifier,
Aluminum
Oxide, Fibrous
Forms
Chemical
Qualifier,
Aluminum
Oxide, Fibrous
Forms
Chemical
Qualifier,
Aluminum
Oxide, Fibrous
Forms
the Section 313 Common Synonyms document. However, as the supplier
provided the acronym DEHP and the CAS No. is 117-81-7, the facility has
sufficient information to distinguish between DNOP and DEHP and thus
should report for DEHP.
316. Asbestos, with CAS number 1332-21-4, is a listed toxic chemical
under Section 313. The synonym list does not contain reportable asbestos
forms. Our facility uses the following forms of asbestos and would like to
know if they are reportable: Actinolite (CAS 77536-66-4), Amosite (CAS
12172-73-5), Anthropylite (CAS 17068-78-9), Chrysotile (CAS 12001-29-5),
Crocidolite (CAS 12001-28-4), and Tremolite (CAS 77536-68-6).
The Section 313 listing for asbestos (CAS 1332-21-4) includes specific forms
of asbestos, such as those mentioned above, that have their own individual
CAS numbers. Therefore, those types of asbestos are reportable as long as
they are "manufactured," "processed," or "otherwise used" in the friable form.
317. A facility was advised by one supplier that aluminum oxide, CAS No.
1344-28-1, is a listed toxic chemical under Section 313. The facility was
advised by another supplier that this toxic chemical was on the toxic
chemical list in error. Is aluminum oxide included on the toxic chemical
list in error? Is aluminum oxide included on the toxic chemical list and
therefore potentially reportable under Section 313?
Only fibrous forms of aluminum oxide are reportable under Section 313.
Other forms of aluminum oxide are not subject to reporting (55 FR 5220,
February 14,1990).
318. A dinnerware manufacturer wants to know if she has to report
aluminum oxide in her clay, which is a raw material for her product.
Aluminum pxide in clay is usually part of another compound or mineral, such
as kaolin, and is not present as a listed toxic chemical. In addition, it is un-
likely the clay contains man-made, fibrous forms of aluminum oxide. Natu-
rally occurring aluminum oxide, known as corundum, has a separate CAS No.,
1302-74-5, and is not reportable.
319. Are aluminosilicates reportable as aluminum oxide (fibrous forms)?
Aluminosilicates, aluminoborosilicates, zeolites, aluminum silicate hydroxides,
and other related materials are either naturally occurring or are prepared by
fusion at high temperatures. As a result, these materials are not considered to
be fibrous forms of aluminum oxide under Section 313 and are not subject to
reporting.
99
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SECTION 3
EPCRA Section 313 Questions and Answers
Mixtures,
Zeolite,
Aluminum
Oxide
Formaldehyde,
Ravfonnaldefiyde
Mixtures,
Toluene
Diisocynate,
Threshold
Determination
Chemical
Qualifiers,
Activity
Thresholds,
Atnmonia,
Aqueous,
Anhydrous,
Release
Reporting
320. For Section 313 purposes, is zeolite considered to be a mixture that
contains aluminum oxide or is it considered to be a compound which is not
a reportable substance?
Zeolite is an aluminum silicate compound which is not reportable under Sec-
tion 313.
321. Is paraformaldehyde, CAS No. 30525-89-4, reportable as formalde-
hyde under Section 313?
No. Paraformaldehyde is hydrated polymerized formaldehyde, a solid material
that is different from formaldehyde. At ambient temperature, vaporization
occurs, emitting formaldehyde gas. Though paraformaldehyde itself is not
reportable, any formaldehyde "manufactured" as a gas or a solution during the
"manufacture" "processing" or "otherwise use" of paraformaldehyde must be
applied to any threshold determination for formaldehyde.
322. A. facility receives a chemical mixture, 70 percent of which is toluene
diisocyanate (TDI). Of this 70 percent, 80 percent is 2,4-TDI, with CAS
number 584-84-9, and 20 percent is 2,6-TDI, with CAS number 91-08-7.
The CAS number that appears on the MSDS for TDI is 26471-62-5. How
should the facility report?
CAS number 26471-62-5 covers the mixture of the 2,4 and 2,6 TDI isomers.
The 2,4 and 2,6 TDI isomers are also individually listed under EPCRA Section
313. When the threshold and de minimis concentration for each isomer in the
mixture are exceeded independently, the facility may report under the indi-
vidual isomer listings or under the mixed isomers listing. When the threshold
and/or de minimis for each isomer in the mixture are not exceeded indepen-
dently, but are exceeded collectively, tins facility should report under the CAS
number for TDI (mixed isomers).
323. A manufacturing/aci/zYy subject to EPCRA Section 313 processes an
aqueous ammonia solution from water-dissociable ammonium salts in
tanks and open vats. Evaporative losses occur at several points during
processing. Are these evaporative losses considered releases of aqueous
ammonia or anhydrous ammonia for purposes of EPCRA Section 313
reporting?
Evaporation and drying losses from aqueous ammonia solutions result in the
release of anhydrous ammonia, which is 100 percent reportable under the
EPCRA Section 313 ammonia listing. Although EPA modified the ammonia
listing on June 30, 1995 (60 FR 34172), the modification only limits the
quantity of aqueous ammonia that is reportable. The modification does not
apply to anhydrous ammonia, which remains 100 percent reportable. Facility
100
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EPCRA Section 313 Questions and Answers
SECTION 3
Threshold
Determination,
Release
Reporting,
Chemical
Qualifier,
Ammonia,
Aqueous,
Anhydrous
owners or operators must still include all anhydrous ammonia "manufactured?
"processed" or "otherwise used" at a covered facility in threshold determina-
tions and release and other waste management reporting. Anhydrous ammonia
generated through the evaporation or drying of aqueous ammonia solutions
derived from water-dissociable ammonium salts or other sources must be
counted toward the applicable activity threshold. For example, if a. facility
"processes" aqueous ammonia, it has "processed" 100 percent of the aqueous
ammonia in that solution. If the ammonia stays in solution, then 10 percent of
the total aqueous ammonia is counted toward thresholds. If there are any
evaporative losses of anhydrous ammonia, then 100 percent of those losses
must be counted toward the "processing" threshold. If the "manufacturing,"
"processing? or "otherwise use" thresholds for the ammonia listing are ex-
ceeded, the facility must report 100 percent of these evaporative losses in Part
II Sections 5 and 8 of the Form R.
324. Ammonia is included on the EPCRA Section 313 toxic chemical list
with the qualifier "includes anhydrous ammonia and aqueous ammonia
from water dissociable ammonium salts and other sources; 10 percent of
total aqueous ammonia is reportable under this listing" (40 CFR Section
372.65). As this qualifier indicates, the quantities applied to EPCRA
Section 313 threshold determinations depend on the specific form of
ammonia "manufactured," "processed," or "otherwise used," and release
and other waste management calculations depend on the form of ammonia
released or otherwise managed as waste. How does one distinguish be-
tween anhydrous ammonia and aqueous ammonia for the purpose of this
listing? What are the differences in threshold and release and other waste
managemement calculations for the two forms of ammonia?
The term "anhydrous" generally means "lacking water," whereas "aqueous"
means "dissolved in water." Anhydrous ammonia (in either the gas or liquid
state) may, however, contain a small amount of water. The presence of water
in anhydrous ammonia does not constitute aqueous ammonia unless the
amount of water present is sufficient to dissolve the ammonia. If ammonia is
not actually dissolved in water, then the ammonia must be,considered anhy-
drous. Facilities must be able to distinguish between anhydrous ammonia and
aqueous ammonia when making threshold determinations and release and
other waste management estimates because different percentages of the total
amount of ammonia apply depending on the form of ammonia present.
If anhydrous ammonia is "manufactured," "processed," or "otherwise used,"
then 100 percent of the anhydrous ammonia must be counted when determin-
ing whether an activity threshold has been exceeded. If the facility exceeds an
activity threshold for ammonia (anhydrous and/or aqueous), then all of the
anhydrous ammonia released and otherwise managed as wastes must be
included in the facility's release and other waste management calculations.
101
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SECTION 3
EPCRA Section 313 Questions and Answers
Threshold
Determination,
Concentration,
Chemical
Qualifiers,
Ammonia,
Ammonium
Hydroxide
Total aqueous ammonia includes .both the ionized (NH4+) and un-ionized
(NEy forms of ammonia present in aqueous solutions. When a facility "manu-
factures," "processes," or "otherwise uses" aqueous ammonia, it is conducting
a threshold activity on 100 percent of the aqueous ammonia. However, the
facility owner/operator counts only 10 percent of the total aqueous ammonia
involved in a covered activity when making threshold determinations. Simi-
larly, when estimating annual releases and other waste management estimates
of ammonia from a. facility, only 10 percent of the total aqueous ammonia must
be included in the calculations.
Dissolving water-dissociable ammonium salts in water constitutes "manufac-
turing" of aqueous ammonia. According to the ammonia qualifier, 10 percent
of the total amount of aqueous ammonia created must be applied toward the
25,000 pound "manufacturing" threshold as well as the "processing" or
"otherwise use" threshold depending on the use of the aqueous ammonia at the
facility. However, since 100 percent of the anhydrous form of ammonia is
reportable under the ammonia listing, all anhydrous ammonia used to make
aqueous ammonia must be applied toward either the "processing" or "other-
wise use" threshold, depending on the use of the aqueous ammonia solution at
thefacility.
325. An EPCRA Section 313 covered facility maintains a Material Safety
Data Sheet (MSDS) for ammonium hydroxide (CAS #1336-21-6). The
MSDS lists the concentration of total ammonia in the ammonium hydrox-
ide at 29 percent. To assist covered facilities in calculating total ammonia
in aqueous solutions, EPA has pubh'shed a guidance document titled
EPCRA Section 313 "Guidance for Reporting Aqueous Ammonia," which
lists NH3 equivalent weight percents for chemical sources of aqueous
ammonia. Ammonium hydroxide is listed as a chemical source of aqueous
ammonia consisting of 48.59 percent total aqueous ammonia (Table 1, p.
12). When calculating the weight of total aqueous ammonia from ammo-
nium hydroxide, should a facility use the percentage on the MSDS or the
percentage hi the Agency's guidance document? When calculating the
weight of total aqueous ammonia hi other solutions of aqueous ammonia,
what percentage should a facility use if given the choice between EPA's
guidance document and solution-specific information?
The chemical ammonium hydroxide (NH4OH) is a misnomer. It is a common
name used to describe a solution of ammonia in water (i.e.. aqueous ammonia),
typically a concentrated solution of 28 to 30 percent ammonia. EPA has
consistently responded to questions regarding the reportability of these pur-
ported ammonium hydroxide solutions under the EPCRA Section 313 ammo-
nia listing by stating that these are 28 to 30 percent solutions of ammonia in
water and that the solutions are reportable under the EPCRA Section 313
102
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EPCRA Section 313 Questions and Answers
SECTION 3
Chemical
Categories,
Threshold
Determination,
Release
Reporting,
Delimited
Category,
PACs
ammonia listing. For a more detailed discussion, see page 34175 of the
era! Register final rule of June 30,1995 (60 FR 43172).
Facilities should use the percent total ammonia specified on the label of ammo-
nium hydroxide solutions they purchase to determine the total ammonia con-
tent in these solutions. Ammonium hydroxide has the chemical formula
NH OH; however, as discussed above, strong evidence indicates that the
species NH4OH does not exist. Bottles of concentrated aqueous ammonia
purchased from chemical supply companies are almost always labeled ammo-
nium hydroxide. These solutions primarily consist of molecules of NH3
dissolved in water (along with small amounts of ionized ammonia). The 48.59
percent listed hi Table 1 for ammonium hydroxide is based on the ammonia
weight of the chemical formula NH4OH, not the actual concentration of total
ammonia in ammonium hydroxide solutions. The actual concentration may
vary depending upon the amount of NH3 used to make the solution. Thus,
Table 1 may not accurately reflect the actual weight of total aqueous ammonia
in any given solution labeled ammonium hydroxide.
The percentages, reported in Table 1 as NH3 equivalent weight percents for
chemical sources, are the precise percentages of total ammonia (expressed as
NH3 equivalent weights) contained in each chemical listed based on the mo-
lecular formula for each chemical. Except for ammonium hydroxide, these
numbers are exact for the pure chemical and do not vary. Facilities can use
these numbers to calculate how much total ammonia will be in aqueous solu-
tions made from these chemicals. If more specific information on the actual
concentration of total ammonia in an aqueous solution is available from an-
other source such as an MSDS, label, or measurement, facilities can use this
information rather than performing the calculations prescribed in the "EPCRA
Section 313 Guidance for Reporting Aqueous Ammonia."
326. On November 30,1994 (59 FR61432), EPA finalized the addition of
286 chemicals and chemical categories to the EPCRA Section 313 toxic
chemical list. These additions, effective for the 1995 reporting year, in-
clude 39 chemicals as part of two delimited chemical categories. A delim-
ited category includes a finite number of chemicals specifically designated
by EPA to be included as part of that category. Are threshold and release
and other waste management calculations for these two delimited chemical
categories different than threshold and release and other waste manage-
ment determinations for other EPCRA Section 313 listed chemical catego-
ries?
Threshold determinations are made in the same manner for both delimited and
nondelimited categories. If a facility "manufactures," "processes," or "other-
wise uses" more than one member of a listed chemical category, the total
volume of all the members of the category must be counted towards the appli-
103
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SECTION 3
EPCRA Section 313 Questions and Answers
CAS Numbers,
Radioactive
Cobalt,
Threshold
Determination
CAS Numbers
cable activity threshold (40 CFR Section 372.27(d)). If an activity threshold is
exceeded, the owner/operator of the facility is required to report under EPCRA
Section 313. The report must cover all non-exempt activities at. the facility
involving members of the category.
The two delimited categories added on November 30, 1994, are diisocyanates
and polycyclic aromatic compounds (PACs). The diisocyanates category
consists of 20 specific members and the PACs category consists of 19 specific
members. For reporting of delimited categories, only the members that are
specifically listed as part of the category are subject to EPCRA Section 313
reporting. When reporting other nondelimited chemical categories, any unique
chemical substance that contains the named category compound as part of that
chemical's structure, or any compound meeting the specified molecular for-
mula, is subject to threshold determinations.
EPA has developed guidance to facilitate accurate reporting for PACs entitled
"Guidance for Reporting Toxic Chemicals within the Polycyclic Aromatic
Compounds Category" (EPA 745-R-95-003). The guidance contains a list of
Chemical Abstract Service (CAS) numbers for the individual chemicals within
the PAC category and a CAS number list of some mixtures that might contain
chemicals within the PACs category.
327. Must a facility consider the use of the radioactive Cobalt-60 (CAS
number 10198-40-0) in its threshold calculations for cobalt (CAS number
7440-48-4)?
Cobalt-60 with CAS number 10198-40-0 is not on the list of toxic chemicals
under EPCRA Section 313. The listed toxic chemical is cobalt with CAS
number 7440-48-4. As such, Cobalt-60 is not reportable under EPCRA Sec-
tion 313.
328. The Chemical Abstract Service (CAS) maintains a computerized
filing system that contains two main index files. The chemical abstract
(C A) file provides bibliographic information referencing chemicals ap-
pearing in over 9,000 journals, papers, and symposiums from 1967 to the
present. The C A file is an important tool for people interested in learning
about the research, patents, and uses for specific chemicals. The chemical
registry number file assigns CAS registry numbers to unique chemicals for
purposes of identification. Assigning a CAS number to a particular chemi-
cal facilitates managing and regulating that chemical by universally identi-
fying it with a specific number. Only one CAS number is assigned to each
chemical and under EPCRA Section 313, only one CAS number is listed
per toxic chemical. If chemicals are to be assigned only one CAS number,
why are some chemicals listed with multiple Chemical Abstract Service
(CAS) numbers in 40 CFR Table 302.4 and the Title HI List of Lists?
104
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EPCRA Section 313 Questions and Answers
SECTION 3
Chemical
Categories,
Waste
Treatment, Off-
site Transfer,
Barium Sulfate,
Barium
Chloride
There are two possible reasons for a chemical to have multiple numbers. The
CAS numbers could refer to different forms of a chemical where each is
considered unique for its particular properties and characteristics. The CAS
registry number file includes the registry number, synonyms, chemical struc-
ture, and molecular formula for each chemical recorded in the file. If specific
research has been done on a particular form of a chemical, a separate CAS
number may be assigned to that particular form to facilitate the search process
in the CAS file. For example, sodium hypochlorite is listed with two CAS
numbers, 7681-52-9 and 10022-70-5. The former refers to the sodium salt
form of hypochlorous acid, sodium hypochlorite, while the latter refers to the
pentahydrate form of sodium hypochlorite. Both forms could be called sodium
hypochlorite, thus sodium hypochlorite has, in effect, two CAS numbers.
A chemical may also be listed with multiple CAS numbers when multiple
numbers have been inadvertently assigned to the same chemical. This multiple
assignment can occur when forms of a chemical are originally believed to be
unique, but after further review by chemists are identified as the same chemi-
cal. In this case, all the CAS numbers are cross-referenced, allowing the
chemical to be located with any assigned number. The misassigned numbers
are deleted as registry numbers, but remain oh file for referencing purposes.
The CAS number first assigned is the more accurate number to use when
denoting the chemical. Although all of the numbers will find the chemical,
only the more accurate number will prompt the CAS registry file system to
display the name, synonyms, and characteristics associated with the chemical.
Chromic acid, listed with CAS numbers 1115-74-5 and 7738-94-5, illustrates
this situation. After further review by chemists, the first CAS number,
1115-74-5, was deleted as a registry number, but remains on file for future
reference. CAS number, 7738-94-5 is the more accurate number to identify
chromic acid because it was the first registry number assigned.
*329. Waste containing barium chloride is shipped off-site to a RCRA
Treatment, Storage, or Disposal (TSD)/aci%. The TSD facility treats the
barium chloride, converting it to barium sulfate. The barium sulfate is
stabilized and subsequently disposed. Since barium sulfate is excluded
from the EPCRA Section 313 barium compounds category, should the
barium chloride be reported as shipped off-site for treatment or trans-
ferred off-site for disposal?
Barium chloride is being converted into a chemical that is not reportable under
EPCRA Section 313. Therefore, the barium chloride would be considered to
be treated for destruction. The barium chloride should be reported in Section
6.2 as transferred off-site for treatment. M69 other waste treatment
should be used. Despite the fact that barium chloride is a metal compound, the
quantity of barium chloride transferred off-site should be reported in Section
8.7 rather than Section 8.1. The waste management of barium chloride is
105
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SECTION 3
EPCRA Section 313 Questions and Answers
Tlireshold
Determinations,
Mixtures
CAS number,
MDI
reported this way in Section 8 because the metal compound that barium
chloride is converted to (barium sulfate) is not reportable and thus the barium
chloride can be considered to be destroyed.
The following is effective starting January 1,1998:
The TSD facility receiving the barium chloride should apply the quantity of the
barium chloride that is converted to barium sulfate to the "otherwise use"
threshold because it 1) received the barium chloride from off-site for purposes
of waste management and 2) treated the barium chloride for destruction (a
listed chemical converted into a non-listed chemical). The TSD should also
report the quantity of barium chloride that was treated for destruction in Sec-
tion 8.6 quantity treated on-site. It should also report any other releases or
other waste management activities associated with the treatment for destruc-
tion.
330. A petroleum refinery manufactures naphtha from crude oil. A
paraffin, olefin, naphthalene and aromatics (PONA) analysis revealed that
the naphtha contains 2.5 percent by weight of C9 alkylbenzenes. Only two
out of a possible eight C9 alkylbenzenes are reportable under Section 313.
How would this manufacturer calculate the Section 313 reporting thresh-
old for the generic chemical name category of C9 alkylbenzenes in this
instance?
The facility should not report for the generic mixture name, such as C9
alkylbenzenes, but for the specific chemical. Since the facility does not know
the concentration of each chemical in the naphtha, and assuming 2.5 percent as
the upper bound for each is unrealistic, the facility should assume that each
listed C9 alkylbenzene is present and divide the concentration evenly between
the eight.
331. A. facility processes methylenebis(phenylisocyanate) abbreviated
MDI. MDI is listed under the EPCRA Section 313 diisocyanates category
with the CAS number 101-68-8. The MDI purchased by the/oci%,
however, has the CAS number 26447-40-5. How should the facility treat
this material with regard to Section 313 reporting requirements?
The EPCRA Section 313 listed chemical and the purchased chemical are not
necessarily the same chemical. The purchased chemical is termed by the
Chemical Abstract Service as an incompletely defined substance which may be
or may contain the listed chemical. The facility must use all available informa-
tion (e.g.. supplier notification information), to identify the amount of the listed
toxic chemical present in the purchased material for threshold determinations
and release and other waste management calculations. If this material does
106
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EPCRA Section 313 Questions and Answers
SECTION 3
Mixture,
Compound
Mixture,
Compound,
Release
Reporting
Mixture, CAS
Number
Mixture Name,
Part II
Section 1
contain MDI, the quantity of MDI present should be included in all threshold
calculations for the diisocyanates category.
C. Mixtures (see also Appendix A: Section 313 Policy Directive #4 -
Compounds and Mixtures)
332. What is the difference between a mixture and a compound?
When a compound is formed, the identities of the reactant chemicals are lost,
but in a mixture, the individual components retain their own identity and could
be separated again. For example, polyethylene is a reaction product, not a
mixture (and is not subject to reporting under Section 313). Steel fabricated
into its solid form is considered a mixture because the individual metals retain
their chemical identity.
333. Must a facility report the various mixtures of compounds and sub-
stances that it manufactures?
A facility must consider the specific compounds within mixtures, not the
mixtures themselves, to determine whether a report must be filed. The indi-
vidual listed chemicals or chemical compounds in mixtures are separately
reported.
334. When a company has a mixture on-site which does not have its own
CAS number, what CAS number should be used?
The company should use the best available information (e^ MSDSs, supplier
notifications, and process and chemistry knowledge) at the facility to identify
the listed Section 313 toxic chemicals in the mixture, in accordance with 40
CFR Section 372.30. A separate report must be filed for each toxic chemical
for which the fraction of the toxic chemical in the mixture multiplied by the
total weight of the mixture "processed" or "otherwise used" exceeds the
applicable threshold. The toxic chemicals are treated as if they were present in
pure form and each is reported under its own CAS number.
335. When should the "mixture component identity" field on Form R be
used?
The mixture component identity field is to be used only when a facility knows
that a mixture it purchases and "processes" or "otherwise uses" contains a
listed Section 313 toxic chemical but it does not know which toxic chemical
(i.e.. the supplier keeps the toxic chemical identity a trade secret). The facility
must use the toxic chemical or the toxic chemical category name field in all
other circumstances (unless it is declaring the toxic chemical a trade secret
toxic chemical and is filling out a sanitized version of the form).
107
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SECTION 3
EPCRA Section 313 Questions and Answers
Mixture, TDI
(Mixed
homers),
Threshold
Determination
Metal Alloys,
Mixture
Mixture,
Threshold
Determination
336. A facility has three separate process streams, one containing 2,4-tolu-
ene diisocyanate (TDI), with CAS number 584-84-9, the second contain-
ing 2,6-TDI, with CAS number 91-08-7, and the third containing TDI
(mixed isomers) with CAS number 26471-62-5. How should a facility
calculate the thresholds and releases for each isomer and for mixtures of
TDI isomers? If the facility knows the composition of the mixture, should
they total the amount of the pure 2,4-TDI and 2,6-TDI with the amount in
the mixture to determine if the threshold for the individual isomers has
been met?
No. The Section 313 list of toxic chemicals includes listings for pure 2,4-TDI,
pure 2,6-TDI and TDI (mixed isomers). The facility should calculate the
thresholds separately for each process stream that contains the pure TDI
isomers and the mixed TDI isomers. The individual TDI isomers of the mixed
isomer process stream should not be applied to the thresholds of the pure
isomers. -If the individual thresholds for the pure TDI isomers are not met, no
reporting is necessary. If the individual thresholds for the pure TDI isomers
are exceeded, the facility may file a single report for TDI (mixed isomers) and
include the total quantity released or otherwise managed as waste of all three
process streams, or they may file three separate reports. If the threshold for
each TDI isomer in the mixed isomer process stream are not exceeded indepen-
dently, but are exceeded collectively the facility must report under the CAS
number for TDI (mixed isomers).
337. How is galvanized sheet metal considered for EPCRA Section 313
reporting? Are metals in alloys subject to Section 313 reporting?
Galvanized sheet metal is an alloy of several different metals. An alloy is
considered a mixture for Form R reporting because the individual metals in the
alloy retain their chemical identities. Like all other listed toxic chemicals in
mixtures, alloys are subject to Form R reporting. When determining whether a
facility meets an activity threshold, the owner/operator should only consider
the weight percent of the listed chemical in the alloy.
338. My company brings in natural and synthetic rubber in slab form.
We then add chemicals to the rubber to change it to what we're making
(Le., tennis balls). Do we need to consider the toxic chemicals in the rub-
ber we receive?
Yes. Rubber is a mixture for reporting purposes. Therefore, the toxic chemical
weights must be added to the threshold determination if their concentrations
are above the de minimis concentration limit (1 percent, or 0.1 percent for
OSHA carcinogens). The weight added would be the weight percent of the
toxic chemical multiplied by the weight of the rubber slab.
108
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EPCRA Section 313 Questions and Answers
SECTION 4
Release
Accidental
Releases,
EPCRA 304
Monitoring
Reasonable
Estimates
Section 4. COMPLETING THE FORM R: RELEASES AND WASTE
MANAGEMENT CALCULATIONS
A. Releases of the Toxic Chemical
339. What is the definition of a toxic chemical "release" under EPCRA
Section 313?
Under Section 329, EPCRA defines a release as any "spilling, leaking, pump-
ing, pouring, emitting, emptying, discharging, injecting, escaping, leaching,
dumping, or disposing into the environment" Under Section 313, facilities are
required to take into account in their reports all releases including "routine"
and "accidental" releases into any environmental medium.
340. What is the difference between a release under EPCRA Section 304
and a release under EPCRA Section 313? Would accidental releases
reported under Section 304 have to be included hi the Section 313 report?
Section 304 releases are accidental releases of extremely hazardous sub-
stances, requiring an emergency notification. Reporting under Section 313
includes the total amount of toxic chemicals entering each environmental
medium from both routine operational and accidental releases. Thus, Section
304 releases of listed Section 313 toxic chemicals must be factored into re-
leases reported under Section 313.
341. Is it true that the facilities need not make any special effort to mea-
sure or monitor releases for Section 313 reporting and may use informa-
tion that is on hand?
Yes, EPCRA Section 313 states that covered facilities need not conduct moni-
toring or other activities beyond that required by other statutory or regulatory
requirements. Congress included this language to limit the burden on the
affected industry for development of release and other required data. Without
measurement or monitoring data, the facility is required to make reasonable
estimates using best available data.
342. Section 313(g)(2) of EPCRA states that the owner/operator of a
facility may use readily available data. In some cases, the available data
may be known to be non-representative and reasonable estimates offer
more accurate release information. Would EPA, in this instance, favor use
of the estimates rather than data?
Yes, it is preferable to use reasonable estimates using best available informa-
tion if available data (including monitoring data) is known to be non-represen-
tative.
109
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SECTION 4
EPCRA Section 313 Questions and Answers
Reporting
Deadline, Best
Available
Information
Releases,
Disposal
Loading
Emissions
Fugitive Air
Emissions, Lab
Hoods
Emission
Factors, Best
Available
Information
Releases,
Landfills,
Migration
343. Form R requires estimates of the release to the environment of listed
toxic chemicals hi specific release categories. If a facility is unable to
complete its estimate of these releases by the deadline, should the company
leave that entry blank and promise a future estimate, or make the best
estimate possible and submit later revisions?
Any covered facility must report by July 1 for the previous reporting year, and
the data provided should be the best estimate using the best data available.
Records supporting the data must be kept for three years. If more accurate data
are developed, the facility may submit revised forms. EPA can take enforce-
ment action if they believe that the data do not represent reasonable estimates.
344. Is the disposal of toxic chemicals in wastes in the form of dusts,
shavings, or turnings that result from grinding or drilling of metal items
considered a "release of a toxic chemical!"
Yes, disposal of dusts, shavings, or turnings containing Section 313 toxic
chemicals is considered a release.
345. Tank trucks and rail cars physically enter A facility. While loading
for transport, toxic chemical emissions occur. Are these emissions subject
to reporting under Section 313?
Yes, because the loading and the releases occur within tine, facility boundary,
the releases must be reported if the facility meets the toxic chemical activity,
employee, and SIC code criteria.
346. Are releases from lab hoods considered fugitive air emissions?
The releases from lab hoods are point source air emissions. Therefore, the
releases are reportable and should be accounted for in Part II Section 5.2 of
Form R, if the facility exceeds an appropriate threshold.
347. A paint manufacturer needs to estimate emissions of Section 313
chemicals. How can the owner/operator estimate solvent emissions from
open or partially open mixing tanks, and speciate total solvent emissions
data into specific compound emissions?
Facilities should use the best available information. Emission factors are
available in "Compilation of Air Pollutant Emission Factors (AP-42)" for
estimating total VOC emissions from paint manufacturing.
348. Do we need to report leaking, abandoned landfills? What if we don't
know if it is leaking?
110
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EPCRA Section 313 Questions and Answers
SECTION 4
Releases,
Groundwater,
Migration
Releases,
Disposal,
Ultimate
Disposition,
Recycling
Release,
Definition of
Facility
Chemical
Conversion,
Chlorine
Leaks from landfills need not be reported. EPA requires reporting of the
amount of a toxic chemical placed in an on-site landfill during the year. It is
not necessary to estimate migration from the landfill.
349. Are groundwater releases required to be reported? If so, what if a
facility has a surface impoundment which it suspects is leaking? How is
the amount being released calculated?
Releases to underground injection wells, surface impoundments, or landfills
should be reported. Estimates of amounts leaking from such disposal and
possibly reaching groundwater should not be reported. EPA may model the
potential for such leaks or migration, but does not require facilities to estimate
such further migrations.
350. A. facility discharges waste containing listed Section 313 metals to an
on-site cooling pond. The metals accumulate and settle over tune, and the
water is then drained from the cooling pond, leaving the heavy metal
sludge. The sludge is then dredged and sent off-site to a recycler. How
should the toxic chemicals left in the pond after the sludge has been re-
moved for recycling be reported?
A facility must report the ultimate disposal of listed toxic chemicals from the
facility during the reporting year. Listed toxic chemicals remaining in the
sediments after the sludge is sent off-site to a recycler are "released to land."
Listed toxic chemicals sent to a receiving stream when the wastewater is
drained are "released to water."
351. A. facility is adjacent to a lagoon which the facility does not own but to
which it pays to discharge wastes. The facility, however, is in effect the
operator of the lagoon. In one year, the facility released a listed mineral
acid into the lagoon as an attempted pH control. Must the facility report
for the release of the listed mineral acid, even though the process was a
one-time treatment method that will not be repeated?
Yes, the facility must report the release of the listed acid if it meets the thresh-
old criteria for reporting. The facility was acting as operator of the waste
treatment site and must report listed chemicals "otherwise used" in excess of
the threshold. Because the facility operates the lagoon and it is adjacent to the
rest of the site, the lagoon is part of the facility.
352. How are chlorine releases reported? Must chlorine, CAS number
7782-50-5, be reported if it is transformed into another chemical com-
pound during the release process?
Ill
-------
SECTION 4
EPCRA Section 313 Questions and Answers
Acid, Release
Reporting,
Release to
Land
Fugitive
Emissions,
Point Source
Emissions
Pipes, Release
Reporting
Combustion
Unit Efficiency,
Release
Calculations
If chlorine is present in waste released by a. facility it must be reported even
though the chlorine may be transformed in the environment subsequent to the
release. If the chlorine is transformed hi the wastestream prior to any releases,
the facility must still report if an activity threshold is met, but the amount
reported may be zero.
353. A facility mines magnesium-rich brine from an on-site well. After
extracting the magnesium, it disposes of the brine in on-site disposal wells.
In order to keep the disposal well formation clean and usable, the facility
pumps 280,000 pounds of a reportable mineral acid into the wells. The
facility considers this an "otherwise use" of the acid. Since the acid would
be neutralized before it leaches off-site, is it also a release to land?
Yes. The facility must consider their use of a reportable acid as an on-site
release to land even though subsequent to the release the acid may be neutral-
ized in the process of cleaning the well. EPA does not allow facilities to
reduce the quantity reported as released to the environment based on
coversions of a chemical in the environment after the chemical has been re-
leasedby the facility.
354. Our facility paints metal cabinets and the paint solvents contain a
listed toxic chemical. The system consists of a closed, vacuum vented
painting room and a closed oven room vented by an oven stack. Is the
vent to the outside of the building over the painting room a "release from
building ventilation systems" fugitive emission?
No, fugitive releases are emissions that are not in a confined directional air
flow. Since your building vent system over the painting room is a confined air
stream, it can be combined with the oven stack as a stack or point emission in
Part n Section 5.2 of Form R.
355. Where does one report routine leaks from pipes? Would these be
reported as disposal to land?
Reporting leaks from pipes requires determining where the released toxic chemical
goes. For example, a toxic chemical that evaporates would be reported as a fugitive
air emission in Part H Section 5.1 of Form R. A nonvolatile material leaking into
land, or any material leaking from an underground pipe, would be reported as a
release to land and entered in Part H Section 5.5.4, Other Disposal. In either case,
the toxic chemical would also be reported in Section 8.1.
356. In calculating releases from incinerators, boilers or industrial fur-
naces and like units, is it sufficient to base the amount released on the
efficiency of the unit?
112
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EPCRA Section 313 Questions and Answers
SECTION 4
Combustion
Unit Efficiency,
Metals,
Treatment/or
Destruction
Asbestos,
Definition of
Friable
Release calculations based solely on the efficiency of the unit may not be
sufficient. The best available information must be used. For example, the
99.99% efficiency of an incinerator may not refer to the destruction and re-
moval of the chemical being reported in the Form R. If that is the case, the
efficiency has no relation to the release quantity of the chemical being reported.
Even if the surrogate waste is the chemical being reported, the 99.99% effi-
ciency may not only include the quantity of the chemical destroyed by combus-
tion, but may also include the quantity of the chemical that is physically re-
moved. The quantity of the chemical removed can include undestroyed chemi-
cal in the ash, and undestroyed chemical discharged from air pollution control
devices like scrubbers, precipitators, baghouses, etc. Furthermore, releases of
the chemical due to faulty equipment upstream from the feeding point of the
combustion device can also be counted as quantity removed and included in
the 99.99% efficiency calculation. As a result, release calculations based
solely on the efficiency of the unit can count the chemical removed as de-
stroyed. This will result in under reporting of the quantity of the chemical
released to the environment.
The facility should also examine its operating records to account for chemical
releases during upset conditions such as those released from an emergency
dump stack.
357. Why can I not use the efficiency of a combustion unit (e.g.. incinera-
tor, industrial furnace or boiler) to calculate releases of metals from the
unit?
Metals cannot be destroyed by combustion. Therefore, the efficiency of a
combustion unit has no relation to the releases of metals from the unit.
358. A manufacturing/acz'/zYy uses more than 10,000 pounds of friable
asbestos in a diaphragm cell process during the course of a reporting year.
During the process, material containing friable asbestos is washed in a
treatment unit where it coagulates and is removed by a pressure filter.
The filter cake containing asbestos is wetted with ethylene glycol, and the
resulting filter cake/ethylene glycol mixture is subsequently landfilled on-
site in a closed container. Should the facility report the placement of this
asbestos in a landfill as a "release to land" on the Form R?
EPA interprets "friable" under EPCRA Section 313 "...as being crumbled,
pulverized, or reducible to a powder with hand pressure" (53 FR 4519; Febru-
ary 16, 1988). Facilities are required to report on-site releases or off-site
transfers for disposal of only the friable form of asbestos. In the above sce-
nario, the facility must report if it meets employee and SIC code criteria.
However, the facility will report zero releases of friable asbestos to land
113
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SECTION 4
EPCRA Section 313 Questions and Answers
Byproduct,
Chemical
Identity,
Chemical
Conversion,
Release
Reporting
Monitoring,
Detection Limit
Emission
Factors, Basis
ofEstimate
Basis of
Estunate
because the ethylene glycol/asbestos mixture is not considered to contain
friable asbestos since the asbestos contained therein is wet (i.e.. with ethylene
glycol). The facility would report the amount of friable asbestos that is treated
in Part n Section 8.6. Note that because ethylene glycol is also a listed toxic
chemical, the facility would, also need to consider this chemical for threshold
determinations and release and other waste management estimates.
359. Do the Section 313 reporting requirements overlook the possibility
that a substance can lose its chemical identity as a byproduct in a reaction,
and that the difference between "input and output" volumes may not
always be due to a release?
EPA does recognize that a toxic chemical can lose its chemical identity in a
reaction by being converted into a new chemical. The facility must still ac-
count for the amount they either "manufacture" or "process" regardless of
whether the listed toxic chemical is converted to another toxic chemical in the
process. Releases and other waste management estimates must then be calcu-
lated for any part of the process involving the Section 313 listed toxic chemi-
cal. In addition, if the byproduct created is a listed toxic chemical, the facility
must consider it toward the "manufacturing" threshold.
360. If a facility monitors for a toxic chemical and the measurement is
below the limit of detection of the method, can they report zero releases'!
The facility must use reasonable judgment as to the presence and amount of the
listed toxic chemical; based on the best available information. Note that an
indication that a reportable chemical is below detection is not equivalent to
stating that the chemical is not present. If the reportable Section 313 chemical
is known to be present, a concentration equivalent to half the detection limit
should be used. The facility should not estimate releases based solely on
monitoring devices, but also on their knowledge of specific conditions at the
plant.
361. If a company measures its own leaks (valve, flange, pump, etc.) and
determines a new fugitive factor, is the code "E" or "M" or "O"7
The company should use the code M if it measured releases of the toxic chemi-
cal from its equipment at the facility to determine its release amount. "E" is
used only for published emission factors which are chemical specific. How-
ever, hi this case, the company would use "O" which is used if it measured
leaks generally or applied non-published factors developed at other facilities.
362. If total releases are obtained using a combination of estimating
techniques, how do we report "Basis ofEstimate" in Section 5, Column B?
114
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EPCRA Section 313 Questions and Answers
SECTION 4
i mission
Factors
Basis of
Estimate,
Emission
Factors
Fugitive Air
Emissions,
Emission
Factors
Rainwater
Run-off
Air Emissions,
Storage Tanks
Report the basis of estimate code associated with the technique used to calcu-
late the major portion of each release entry. See examples in the current Form
R instructions.
363. Are SOCMI (Synthetic Organic Chemicals Manufacturing Industry)
emission factors applicable to the petroleum refining industry as well as
organic chemical manufacturers?
Yes, SOCMI fugitive emission factors can be used for the petroleum refining
industry even though they are based upon synthetic organic chemicals manu-
facturing. The refinery user would have to correct for differences in concentra-
tions of the mixtures, because SOCMI factors are based upon pure substances
being released.
364. EPA's fugitive emission factors for equipment leaks for the Synthetic
Organic Chemical Manufacturing Industry (SOCMI) and some air emis-
sion factors listed in EPA's document AP-42, "Compilation of Air Pollut-
ant Emission Factors," are not chemical specific. Should the basis of
estimate code be entered as "E" or "O"?
Use "O" for non-chemical-specific emission factors.
365. The emission factors used to estimate releases to air from leaks in
pipes are time dependent. What amount of time should be used to deter-
mine fugitive emissions from emission factors?
In using emission factors to determine fugitive emissions to the air from leaks
in pipes, a facility must use the total amount of time which a pipe contains the
listed toxic chemical, since a release will occur whether a toxic chemical is
moving or stagnant in the pipe.
366. Should we report the composition of stormwater as it falls from the
sky or do we report its composition once the rainwater has run off soil?
The composition should be counted once the rainwater has run onto and off the
soil, equipment, concrete pads, etc. as a portion of the total facility release to
surface water.
367. How does one use the storage tank equations in Appendix C of EPA's
technical guidance entitled "Estimating Releases and Waste Treatment
Efficiencies" (EPA 560/4-88-002) to estimate air emissions for a specific
toxic chemical in a liquid mixture!
You must estimate emissions of the total mixture using average molecular
weight and vapor pressure for the mixture, then multiply by the mole fraction
115
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SECTION 4
EPCRA Section 313 Questions and Answers
Fugitive Air
Emissions,
Storage Driuns
Estimating
Emissions,
Unknown
Composition
Off-site
Transfer, Point
Source Air
Emissions
ppm
of the toxic chemical in the gaseous emission. The required formulas are
found in the referenced technical guidance document but are not listed in a
step-by-step procedure.
368. How does a facility owner/operator estimate fugitive or working
losses from drums contained in a warehouse or storage facility"!
Fugitive emissions from drums in storage at a covered facility may include
emissions from opening and emptying the drums. The facility may consider
each drum as a small tank and estimate the amount of toxic chemical contained
in the vapor space using methods such as partial pressure determinations found
in EPA's technical guidance document, "Estimating Releases and Waste Treat-
ment Efficiencies" (EPA 560/4-88-002) for the Form R.
369. Is there any recommended approach for estimating emissions from
facilities whose raw material is of a constantly varying and unknown
composition? For example, tar plants receive crude coal tar in batches.
No analysis is done on incoming raw materials or on products (or on
intermediates) at such facilities.
If available, data on the average composition for the specific material or pub-
lished data on similar substances should be used.
370. A covered manufacturing/aci'/iYy sends a toxic chemical in a waste to
an off-site RCRA regulated treatment, storage, and disposal/aciYzYy
(TSDF) for recycling. Are emissions discharged by the off-site TSDF
included as point source emissions on the manufacturing/aci/iVy's Form R
or are they not reported?
The owner/operator of the manufacturing facility should report the toxic chemi-
cal as sent off-site for recycling in Section 6.2, Transfers to Other Off-Site
Locations and in Section 8.5 Quantity Recycled Off-Site. The manufacturing
facility owner/operator is only responsible for reporting toxic chemical releases
and waste management activities from his/her own facility. If the TSDF that
recycles the manufacturer's waste is subject to EPCRA Section 313 reporting,
the TSDF owner/operator would report releases resulting from the recycling
activity.
371. If the calculated threshold of a listed toxic chemical is based on the
mass utilization of the solution, would the emission of a million pounds of
wastewater stream containing 1 ppm of the toxic chemical be the actual
mass of the chemical or mass of the wastewater?
Parts per million (ppm) of Section 313 chemical in wastewater indicate the
concentration of toxic chemical, not the actual total mass of the toxic chemical.
116
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EPCRA Section 313 Questions and Answers
SECTION 4
Air Emissions,
Toluene,
Partial Vapor
Pressure
Air Emissions,
Horizontal
Storage Tanks
Estimating
Releases,
Chlorine,
Water
Treatment
pH, Acid
Neutralization,
Mineral Acids
Only the actual mass of the toxic chemical being released should be reported.
A million pounds of wastewater stream containing 1 ppm of the toxic chemical
is equivalent to one pound of the toxic chemical.
372. We "manufacture" paint and one of the chemicals we use is toluene.
We used the "Estimating Releases and Waste Treatment Efficiencies"
guidance document but the answer given is for toluene and mineral spirits
and thus is much too high. Can we use the six percent present in the paint
mixture times the number and report that?
The partial vapor pressure of toluene in formulations, which is a function of its
vapor fraction and mole fraction (not weight percent), can be used. See Ap-
pendix C, Note (1), p.C-6 of "Estimating Releases and Waste Treatment Effi-
ciencies" (EPA 560/4-88-002).
373. How should a facility estimate emissions from horizontal storage
tanks ? The AP-42 equations were developed for vertical tanks.
For fixed roof tanks, the working loss equation for vertical tanks can be used.
For breathing losses, one can still use the vertical tank equation, except that an
effective tank diameter must be substituted for D in the equation. D is the
square root of {(4)(area of liquid surface) }/TC. H is the same as for vertical
tanks.
374. How can one estimate emissions of chlorine from use in cooling water
treatment? We have tried to estimate the emission for some cooling water
systems based on the amount of water evaporation, wind drift and the
amount of chlorine used, but the releases seem too high.
Estimating emissions based on the amount used overestimates releases since
chlorine is only slightly soluble in water, it reacts with chemicals in the water
and it dissipates in side reactions. Measured residual chlorine times recircula-
tion rate times lost water fraction may also overestimate releases (residual
includes other forms of chlorine), but may be the only way to make a reason-
able estimate. Please refer to EPA's "Guidance for Food Processors" (EPA
560/4-90-014; June 1990).
375. In Part II Section 6.1 of Form R (discharges to POTW), if the facility
monitors a reportable acid in waste and the pH is above 6 (considered to
be 100 percent neutralized), would the release reported be zero or NA?
Since there is a potential for release of the particular toxic chemical to the
POTW, the releases to the POTW on Part II Section 6.1 of Form R would be
reported as zero rather than NA.
117
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SECTION 4
EPCRA Section 313 Questions and Answers
Waste
Treatment,
Release to
Land,
Absorbent
Basis of
Estimate, Zero
Releases, NA
vs.O
Release to
Water
Release
Reporting,
Releases to
Land,
Disposal,
Containment
Area
376. If a reportable chemical were spilled outside a building at a facility
and an absorbent (e.g.. kitty litter) was used to absorb the toxic chemicals,
would the use of the absorbent be listed as a treatment and be reported in
Part II Section 8 of Form R?
No, the use of the absorbent would not be considered treatment for Section 8
of the Form R but it would be treatment of the wastestream in Section 7A of
the Form R. Only if the toxic chemical was destroyed such that it was no
longer the chemical subject to EPCRA Section 313, would that activity be
considered treatment in Section 8. If the absorbent were drummed and sent to
a landfill, that would be listed as a transfer to an off-site location for disposal.
Any amount of the toxic chemical left on the ground must be accounted for as
a release to land and reported in sections 8.1 and 5.5.
377. For releases or transfers off-site that are reported as zero, what
should be reported as a basis of estimate? If we put "NA" (kg., there's no
potential for release) is it necessary to put "NA" in "the basis of estimate"
column of the Form R?
Leave the basis of estimate box blank or enter NA. If you report zero releases
then you need to provide a basis of estimate.
378. A facility discharges wastewater containing a listed toxic chemical to
a stream on-site. This stream, however, is only present during certain
times of the year when there is heavy rainfall. Should this release be
reported as a release to water or a release to land?
If the stream is a named, recognizable waterway, then the facility should report
the discharge as a release to water in Part II Section 5.3 and report the name of
the receiving stream hi the same Section. If the release is not to a named,
recognizable waterway, the release should be reported as a release to land.
379. If a facility had a cement lining or other leak restricting device in the
area where they store toxic chemical containers and a release from the
storage area of the stored toxic chemicals occurs, how is this reported on
Form R?
If fa& facility does not have specific measures for land filling, land farming, or
land disposal, then for the purposes of Form R, the releases would be entered
on Part n Section 5.5 4, Other Disposal. This would apply to amounts released
that were not cleaned up and removed from the site or otherwise treated and
disposed on-site.
118
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EPCRA Section 313 Questions and Answers
SECTION 4
Release
Reporting,
Containment
Area
Release
Reporting,
Landfill,
Remediation
Estimating
Releases,
Reporting
Acids, pH
Release
Reporting,
Acid
Neutralization,
pH
380. If a listed toxic chemical is released into a containment area made
entirely of concrete fi.e.. there is no contact of the toxic chemical with the
ground, or the area is designed to catch such materials in the event of an
accidental spill), how should this be reported on the Form R?
The material does not have to be reported as released, if the concrete contain-
ment area is part of regular processing operations (or is designed to catch such
materials in the event of an accidental spill, etc.) However, any material that is
not further used (e.g.. fugitive air emissions, transfers off-site) must be reported
appropriately on the Form R as a release.
381. For release reporting under Section 313, would a facility need to
include a listed toxic chemical, such as lead, from remediation activities
where contaminated soil is dug up and removed to a Hazardous Waste
Landfill?
If the threshold for lead has been exceeded elsewhere at the facility, the amount
of lead in the contaminated soil would be included in the release reporting. If
the ultimate disposal is removing the soil to a hazardous waste landfill off-site,
then this would be reported in Part II Section 6.2 of Form R as a transfer to an
off-site location for disposal, rather than an on-site release to land. In addition,
beginning with reporting year 1991, releases associated with remedial actions
are also reportable in Part II Section 8 of Form R.
382. A wastestream containing a reportable acid is neutralized to a pH of
5.5 and then released to a river. How does one calculate the amount of
acid that is released to the river?
For purposes of reporting under EPCRA Section 313, EPA considers a report-
able acid wastestream that has been neutralized to a pH above 6 to be com-
pletely neutralized. However, if the pH is below this level (e.g.. 5.5), calculate
the amount of acid released based on the amount of base it would take to raise
the pH of the wastestream to 7 (not 6). For more information on pH measure-
ments, EPA has published "Estimating Releases and Waste Treatment Efficien-
cies for Mineral Acid Discharges Using pH Measurements" (EPA 745/F-97-
003).
383. How would a facility report under Section 313 on a wastestream
which is neutralized to a pH above 6 before discharged to a POTW?
Facilities that use Section 313 chemicals for pH adjustments and neutralization
must report if they meet the 10,000 pound "otherwise use" threshold, even if
these chemicals are consumed and no releases result. The listed toxic chemical
is reported as zero pounds released to the POTW in Section 6.1 Discharges to
Publicly Owned Treatment Works and the entire amount neutralized is reported
119
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SECTION 4
EPCRA Section 313 Questions and Answers
Pam, Part II
Section 6.1
Releases to
Land,
Ultimate
Disposition
Release
Reporting,
Stockpiles,
Storage
in Section 8.6 Treated On-Site. The neutralization process is reported under
Section 7A of Form R On-Site Waste Treatment Methods and Efficiency.
384. A facility uses a mixture containing a listed toxic chemical. During
daily use, the employees become contaminated with the mixture containing
the listed toxic chemical. When they finish working with the chemical,
they wash it off their hands and down the drain. Would this be a release
to a POTW even if the facility does not have a permit to discharge the
listed toxic chemical to the POTW?
This activity would need to be reported as a transfer to a POTW in Section 6.1
regardless of the existence of a discharge permit.
385. A manufacturing/aciftYy "otherwise used" benzene in excess of a
reporting threshold during each of reporting years 1995 and 1996. In
1995, the facility generated wastes containing benzene and placed these
wastes in an on-site lagoon. The benzene on this waste was reported as a
release to land on the Form R for benzene for reporting year 1995. In
1996, benzene from the sludge was released to air. For the purpose of
reporting under EPCRA Section 313, does the owner/operator need to
report releases to an on-site landfill and/or fugitive air emissions of ben-
zene on the Form R for benzene for the 1996 reporting year?
The facility should not have reported all of the benzene which was transferred
to the on-site lagoon as a release to land. The majority of the benzene will
evaporate. The purpose of sending a waste to a lagoon is so that the volatiles
(in this case benzene) will evaporate and the solids will settle. Th& facility
should have determined, to the best of its ability, what percentage of the ben-
zene evaporated. It should have reported this amount as a fugitive air emission.
The balance should have been reported as a release to land. When completing
the Form R for benzene for reporting year 1996, the facility would not report as
a release to land any benzene in sludge that was transferred from the on-site
lagoon to the on-site landfill as this material was already reported as a release
to land on the Form R for the previous year. However, the facility must report
on the Form R for benzene for reporting year 1996 any air emission of benzene
that occurred as a result of transferring the sludge from the on-site lagoon to
the on-site landfill.
386. A manufacturing/aciftYy that produces electricity by burning coal
stores the coal in an on-site stockpile that is exposed to the outside atmo-
sphere. The facility meets the threshold criteria (40 CFR Section 372.22)
for filing a Form R for the toxic chemical benzene. Since the stockpiled
coal contains benzene and is exposed to the outside atmosphere, would all
the benzene in the coal need to be reported on the Form R as a release to
land on-site?
120
-------
EPCRA Section 313 Questions and Answers
SECTION 4
Storage Tanks,
Point Source
Air Emissions,
Fugitive Air
Emissions
Release
Reporting,
Transportation
Exemption,
RQ, EPCRA
Section 304
No. A facility does not have to report toxic chemicals contained in an on-site
stockpile of material that is intended for "processing" or "otherwise use" as a
release to land on-site. However, any toxic chemical that escaped to air or
remains in the soil from the stockpile material (e.g.. evaporative losses to air,
material leached to the ground, etc,) must be reported as released to the envi-
ronment on-site. Once a. facility meets the criteria for filing a Form R under
EPCRA Section 313 for a toxic chemical (such as benzene), all releases of that
chemical at the facility are to be reported. Because storage is associated with
the "processing" or "otherwise use" of the coal, releases from the stock pile
will be eligible for the de minimis exemption.
387. Why are releases from storage tanks considered point source air
emissions for Section 313 reporting while releases from similar operations
(Le., tank trucks and railcars) are considered fugitive emissions?
Storage tanks and railcars or tank trucks are similar operations. However, it is
the nature of releases rather than their source that is most important in their
classification for reporting. Because emissions from railcars and tank trucks
are most often small, scattered, and the result of manual transfer operations,
they are considered fugitive. Emissions from storage tanks, meanwhile, are
most often considered point source because they are usually from vents, ducts,
or other confined air streams. If a facility has sufficient reason to believe that
the nature of releases from rail cars and tank trucks are similar to those of
storage tanks, they may report them as point source emissions, or vice versa.
The facility must, however, document all assumptions and estimates made to
support their reasoning.
388. A. facility receives a shipment of gasoline from a tank-truck. The
loading dock is located within the facility boundaries. The tank-truck
delivers gasoline through a hose into the tank operated by the facility.
While stationed at the dock, the valve of the tank-truck ruptures and the
gasoline leaks from the hose of the tank-truck. This release occurs before
the shipping papers are signed off by the facility operator. Gasoline con-
tains listed Section 313 toxic chemicals such as benzene. If an activity
threshold for benzene is met, would the facility be required to report this
quantity of benzene released oh the Form R?
No. In the above case, the chemicals in the tank-truck are considered in trans-
port until shipping papers are signed at the loading dock. Section 327 of
EPCRA states that "(e)xcept as provided in Section 304, this title does not
apply to the transportation, including the storage incident to such transporta-
tion, of any substance or toxic chemical subject to the requirements of this title,
including the transportation and distribution of natural gas." In the above
scenario, the material in the tank-truck is considered to fall under the transpor-
tation exemption, and releases from this truck would be exempt from reporting
121
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SECTION 4
EPCRA Section 313 Questions and Answers
Release
Reporting,
Vessels,
Facility, Barge
Terminal
Release
Reporting,
Release to
Land,
Disposal,
Storage
Release
Reporting,
Underground
Injection,
Waste Disposal
under Section 313. This release, however, would be reportable under EPCRA
Section 304 of EPCRA, if the quantity of any extremely hazardous substance
(EHS) or CERCLA hazardous substance released exceeds the reportable
quantity (RQ) within a period of 24 hours. EPA would encourage the facility
to include the amount in its Form R in order to provide the public with the full
picture of benzene releases that reporting year.
389. A. facility covered under EPCRA Section 313 has a barge terminal
where listed toxic chemicals may be loaded to a barge. If an activity
threshold is met for one of these chemicals, are releases from the barge
reportable?
Releases from the covered facility (i.e.. barge terminal) must be reported. This
would include releases from buildings, equipment, and storage at the terminal.
The barge terminal ends where the equipment physically meets the barge.
Releases from the barge itself (e.g.. air displacement of volatiles) are not
reportable since barges are not covered under the definition of a facility
(EPCRA Section 329(4)).
390. A. facility has an on-site concrete basin used as a collection pond for
80 percent of the facility's waste and storm-water. No NPDES permit was
assigned to this concrete basin. The wastewater is temporarily collected in
the basin and sent to an off-site biological treatment plant. How would the
facility report releases of listed toxic chemicals placed in the concrete basin
on the Form R?
The amount of listed toxic chemical collected in the basin would be considered
on-site storage. However, any leaching into the ground or volatile air emis-
sions would be reported as releases to land and air, respectively in Sections
5.5.4 Other Disposal and 5.1 Fugitive or Non-Point Air Emissions of the Form
R. Also, if the toxic chemical is sent off-site to the treatment facility during the
reporting year, it is reported as an off-site transfer in Section 6.2 of the Form R.
*391. A listed toxic chemical manufacturer (SIC code 28) receives other
facilities' wastes containing listed toxic chemicals and disposes of them in
their deep well. Does the receiving/aci% need to report these toxic
chemicals'!
Starting with reporting year (RY) 1998 this is a reportable activity; and the
quantity disposed of would be applied to the "otherwise use" threshold. How-
ever, prior to RY 1998 the receiving and disposing of toxic chemicals would
not be factored into a threshold determination because it does not fit any
definition of "process" or "otherwise use." However, if the manufacturing
facility "manufactures," "processes" or "otherwise uses" the same listed toxic
chemical above the threshold amount, the disposal of other facilities' wastes
122
-------
EPCRA Section 313 Questions and Answers
SECTION 4
Ultimate
Disposition,
Air Emissions
Ultimate
Disposition,
Asbestos,
Double
Counting,
Release
Reporting
Releases to
Land,
Disposal,
Remediation,
Part II Section
8.8
containing this listed toxic chemical would be reported as a release on Form R
even though the amount of the listed toxic chemical in these wastes was not
included in the threshold determination.
392. A. facility subject to EPCRA Section 313 "processes" items containing
listed Section 313 toxic chemicals. During "processing" dusts are released
tp air within the facility and some of this dust settles out within the facility
(on rafters, equipment, floors and in adjacent rooms). If a "processing"
threshold is met, how would the/aci'% report the releases of the toxic
chemicals present in the dust on the Form R in Section 5?
.The facility must account for the amount of the listed toxic chemical released
to various environment^ media. Reporting of releases is based on the entire
reporting year. If during the year an amount in dusts that settle out are col-
lected and disposed of, then this would be reported in an amount disposed of
on-site or off-site in the appropriate Section of Form R (e.g.. if the dusts are
sent off-site for disposal they would be reported in Part II Section 6.2). Any
amount of toxic chemical in dusts that remain airborne would be reported as a
fugitive release (Part II Section 5.1 of Form R). Ampunts releasedihat settle
outside of a building on facility structures or equipment that are not collected
and disposed of should be reported in Section 5.5.4 of Form R as a release to
land on-site.
393. A Section 313 substance (e.g.. friable asbestos) is emitted as an air
particulate which deposits on the facility grounds or roof, such that it will
be washed into a NPDES permitted pond or swept into a soh'd waste pit
for landfill. Will the release be reported as a release to land or water, but
not air? This would prevent a substance from being reported twice, once
as an air emission, and once as a water/land emission.
If the facility can develop a reasonable estimate of that part of a release to air
that is deposited within the facility (and subsequently collected or deposited in
an on-site landfill or surface impoundment), then these quantities can be
separated from the air release figure(s) and reported as released to land
(on-site). The remaining air releases not deposited on the facility would be
reported as releases to air.
394. A TRI coveredfaciUty that exceeds an activity threshold for lead brings
in lead-contaminated soil from a CERCLA remedial action off-site, mixes it
with on-site remediation waste (that also contains lead), and places the com-
bined waste in an on-site landfill. How is this reported on the Form R? It is
pretty clear that all of the lead will be reported in Section 5.5.1, and that the
lead in the on-site remediation waste gets reported in Section 8.8. But would
the lead in the remediation waste brought in from off-site also be reported in
Section 8.8? Or 8.1? Or perhaps not at all?
123
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SECTION 4
EPCRA Section 313 Questions and Answers
Releases fa
Land,
Disposal, Off-
site Transfer,
Release
Reporting
Off-site
Transfer,
Direct Reuse
Release
Reporting,
RCRA Empty,
Off-site
Transfer
The amount of lead-contaminated soil brought on-site, from off-site, mixed with
on-site remediation waste, and placed in an on-site landfill, would be reported in
Sections 5.5.1 and Section 8.1, NOT Section 8.8. This is not remediation material,
because it was not generated on-site, but merely brought on-site for treatment. The
on-site remediation waste would be reported in Section 8.8.
395* A. facility continually places material containing a listed toxic chemi-
cal on the land in a pile during a reporting year for disposal. The facility is
intending to have the pile hauled off-site during the next reporting year.
Must the facility report the listed toxic chemical in the pile as released to
land for the reporting year hi which it places the material hi the pile?
Material that is added to a pile during a reporting year does not have to be
reported, for that reporting year, as a reportable release to land on-site if the
pile was used only for temporary storage. EPA will consider the pile used for
temporary storage if the facility routinely made off-site transfers of material
from the pile during that reporting year. The facility must transfer the listed
toxic chemical off-site before that year's report is submitted or July 1, which-
ever comes first.
If a facility did not make such routine transfers during a reporting year in
which material was added to the pile, EPA will consider the pile used for
disposal and the quantity of listed toxic chemical placed on the pile during that
reporting year and present at the end of that year must be reported, during the
reporting year, as a release to land, regardless of the facility's intention to
transfer the material off-site in an ensuing year. If, in an ensuing year, such
material is transferred off-site, the movement would be reported as a transfer
off-site (assuming a threshold for the chemical transferred has been exceeded
during that reporting year).
396. An iron/steel mill has 5 to 8 percent of a listed toxic chemical in their
waste slag. The slag is shipped off-site where it is directly reused as ce-
ment material or landscape rock. One common use is for roadbed mate-
rial under railroad tracks. Is the reuse as landscape or roadbed rock
reportable on Form R as an off-site transfer?
The listed toxic chemical in the sludge that is sent off-site for further use as
road aggregate or landscape rock is not reported as an off-site transfer in Part II
Section 6.2 of the Form R.
397. An EPCRA Section 313 covered facility sends a 55-gallon drum
containing less than one inch of a listed toxic chemical off site for disposal.
For purposes of the RCRA hazardous waste regulations, the container is
considered an empty container as defined in 40 CFR Section 261.7 (Le.,
RCRA-empty). Must the facility report the listed toxic chemical contained
124
-------
EPCRA Section 313 Questions and Answers
SECTION 4
Otherwise Use,
Release to
Land, Land
Treatment,
Nitrate
Compounds
Off^site
Transfers
in the RCRA-empty container as an off-site transfer for purposes of
disposal on the Form R, even though it is not considered to contain haz-
ardous waste under RCRA?
Yes. The definition of an empty container pursuant to 40 CFR Section 261.7 does
not apply to EPCRA Section 313. Even though the residue remaining in a con-
tainer rendered RCRA-empty is no longer considered a hazardous waste under the
federal RCRA regulations, it is still considered a toxic chemical under EPCRA.
The status of a listed toxic chemical as a nonhazardous waste under RCRA has no
impact on the applicability of EPCRA regulations on that chemical.
Under EPCRA Section 329, the term "release" is defined as "any spilling,
leaking, pumping, pouring, emitting, emptying, discharging, injecting, escap-
ing, leaching, dumping, or disposing into the environment (including the
abandonment or discarding of barrels, containers, and other closed receptacles)
of any toxic chemical." In Section 8.1 of the Form R, EPA requires facilities to
report all releases of listed -toxic chemicals, except those quantities released to
the environment as a result of remedial actions, catastrophic events, or one-time
events not associated with production processes. Disposal of a RCRA-empty
container which contains any amount of a listed toxic chemical is generally
reportable in Section 8.1 when transferred from or disposed of at an EPCRA
Section 313 covered facility. If, however, the facility has total reportable
amounts of the chemical not exceeding 500 pounds, it may be eligible for the
higher alternate reporting threshold in 40 CFR Section 327.27.
398. Are listed toxic chemicals, such as nitrate compounds from waste
treatment systems, that are used for farming at a facility to be reported as
a release to land and is this an "otherwise use" activity?
The use of listed toxic chemicals such as nitrate compounds for farming is to
be reported as a release to land under EPCRA Section 313. Listed toxic
chemicals applied to land during use for farming constitute a release to an
environmental medium (land) and are to be reported as such. This is consistent
with the instructions for Section 5.5 of the Form R which state that land treat-
ment/application farming is a disposal method that is considered a "release to
land." Thus, whether or not this use is intended to be a disposal method, the
total quantity released to land during use for farming should be reported as a
release to land under Section 5.5.2 of the Form R. The amount of a listed toxic
chemicals used for farming at a covered facility is to be applied towards the
"otherwise use" reporting threshold.
399. A. facility sends many solvent wastes Off-site for recycling. However,
the receiving facility may incinerate some solvents instead. This depends
on the disposer, and the generator is always notified. Is it acceptable to
report this as a release to a waste broker (recycling) (M93)?
125
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SECTION 4
EPCRA Section 313 Questions and Answers
Point Source
Air Emissions,
De Minimis
Exemption
Article
Exemption,
Release
Reporting
Point Source
Air Emission,
Recycling,
Phosphoric
Acid
Release
Reporting,
Underground
Injection,
Permits
When reporting off-site transfers of waste in Section 6.2 of Form R, it is
acceptable to enter M93 in Section 6.2.C if you do not know the final disposi-
tion of the listed toxic chemical A reporting facility must also identify
whether the listed toxic chemical was sent off-site for treatment, energy recov-
ery or recycling hi Part n Section 8 of Form R.
400. If a facility processes steel and releases chromium up the stack, do
they have to report?
Yes, if the chromium content in the steel exceeds de minimis concentration
levels and all three reporting criteria are met, the facility is required to submit a
Form R for chromium.
401. A. facility builds and repairs ships. During its welding operations, the
facility uses a filler material to bind steel plates. This welding operation
releases minor quantities of a listed toxic chemical. How are estimates of
toxic chemical releases to be made?
If releases of the listed toxic chemical from the steel plate processing are
recycled or reused or if the total amount released is 0.5 pounds or less for the
reporting year, then the releases are exempt from reporting under the article
exemption. EPA has developed tables to be used in estimating releases of
metal in fumes for various types of welding and one for cutting mild steel.
These tables can be found in "Clarification and Guidance for the Metal Fabri-
cation Industry" (EPA 560/4-90-012).
402. During the manufacture of phosphoric acid, traces of the listed toxic
chemical are pumped along with solid material to gypsum stacks. The
phosphoric acid percolates through the stack slowly and is recirculated
back to the manufacturing process. Is the manufacturer required to
report the presence of the chemical in the gypsum stacks as a release"!
EPA considers this to be a recirculation of the process water. The facility is not
required to report the presence of the chemical in a process water recirculation
system as a release. If process water containing the listed toxic chemical
escapes the recirculation system and enters the environment, either as a release
or an off-site transfer, then it would be necessary to report such releases or
transfers of the chemical.
403. Should only underground injections that are covered by Under-
ground Injection Control Wells (UIC) permits be reported?
Report all underground injection regardless of permit status.
126
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EPGRA Section 313 Questions and Answers
SECTION 4
Release
Reporting,
Reuse
Air Emissions,
Storage,
Mixtures
Off-site
Transfer, Waste
Broker
404. A. facility "manufactures" a listed toxic chemical in a reactor. At-
tached to the reactor is a water cooled condenser, the function of which is
to condense escaping unreacted starting material and reaction solvent
(e.g.. toluene) and to return it directly to the reactor. The facility used a
threshold amount of toluene during the calender year and must file a
Form R for toluene. How would the facility report this activity on the
FormR?
In this situation, the listed toxic chemical does not undergo any recovery steps,
it merely changes physical state and is directly reused. Although the amount
"manufactured" would be considered towards the facility's chemical activity
threshold, processes that directly reuse a listed toxic chemical on-site are not
reported on the Form R.
405. For estimating air emissions of specific chemicals from floating roof
tanks that contain mixtures, how does one calculate the average vapor
molecular weight and true vapor pressure to use in AP-42 equations?
Does one calculate emissions for the mixture then adjust by weight per-
centage later or vice versa?
Calculate emissions of the mixture then adjust for concentration. Convert
chemical fractions from weight to mole, calculate the mixture's true vapor
pressure, calculate the chemical's gas mole fraction, calculate the average
.vapor molecular weight, and use storage tank equations to calculate mixture
emissions. Then calculate the gaseous weight fraction and multiply by total
mixture emissions to get each chemical's emissions. Facilities may choose to
refer to EPA's technical guidance entitled "Estimating Releases and Waste
Treatment Efficiencies" (EPA 560/4-88-002)
B. Transfers to Off-Site Locations
406. How should a facility report a transfer in which it sends wastes
containing a Section 313 toxic chemical off-site to a waste broker who in
turn sends the wastes to a recycling/aci/ify?
Facilities are required to report information on off-site transfers for purposes of
recycling in both Sections 6 and 8 of Form R. In Section 6, the facility should
report the final disposition of the listed toxic chemical in the waste of which it
has knowledge. When a facility knows that a listed toxic chemical in wastes
sent to a broker is ultimately being recycled, but does not know the location of
the recycler, the waste broker is considered the final destination, and the
transfer should be reported as M93 (transfer to waste broker-recycling) along
with the location of the waste broker. If the location of the recycler to whom
the broker sends wastes containing the listed toxic chemical is known, the
recycler is considered the final destination, and the transfer should be reported
127
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SECTION 4
EPCRA Section 313 Questions and Answers
Off-site
Transfer
Off-site
Transfer,
Ultimate
Disposition,
Residue,
Recycle
Off-site
Transfer,
Residue
Off-site
Transfer,
Recycle
as recycling with the appropriate code, and the location of the recycler, not the
waste broker, should be reported. The facility would also report the amount of
the listed toxic chemical sent off-site for recycling in Section 8.5 Quantity
Recycled Off-Site.
407. The Form R instructions require the listing of different types of on-
site waste treatment for a particular wastestream. Does this apply to
sequential treatment of a toxic chemical sent off-site? Should the same
estimate for amount sent off-site be entered for both waste treatment steps
or just the final treatment step?
The reporting/ad/iYy is not required to list sequential waste treatment steps for
waste sent off-site. The facility should report in Section 6.2 the one code that
best describes the primary type of waste management activity occurring within
the sequence and report the total quantity of the listed toxic chemical sent to
this off-site location.
408. A residue of a listed toxic chemical is present in empty drums that are
sent to an off-site Jacz% where the drums are recycled, but the listed toxic
chemical is not recycled. The facility has no information as to how the
listed toxic chemical in the drum is managed. How should the facility
report this activity?
Though the drums are recycled, the final disposition of the toxic chemical is
unknown. Because tinis facility does not know how the listed toxic chemical is
managed, the listed toxic chemical should be reported as an unknown disposal,
code M99 (Unknown Disposal) in Section 6.2.C and quantity released in Section 8.1.
409. A. facility receives listed toxic chemicals in a tank car. Once emptied,
the car remains at the facility for a period of time before being returned to
the supplier. Does the residue in the tank car that leaves the facility have
to be counted as an off-site transfer for Section 313?
If the facility knows the car will be refilled, the residue is not counted as an off-
site transfer. If the facility knows it will be cleaned but and the quantity dis-
posed, it must be counted as an off-site transfer for disposal.
410. If a waste is sent to an off-site facility to be recycled or reclaimed,
does the material meet the requirements for being recycled or reclaimed
for the purposes of Section 313 regardless of what the off-site recycling
facility actually does with the waste?
In order to report the listed toxic chemical as recycled off-site, the reporting
facility must have positive knowledge that the listed toxic chemical being
reported is actually being recycled by the off-site facility.
_
128
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EPCRA Section 313 Questions and Answers
SECTION 4
Off-site
Transfer,
POTW, Release
to Water
Off-site
Transfer,
Recycle,
Threshold
Determination
Off-site
Transfer
Off-site
Transfers, Part
II Section 6.2,
Waste Brokers,
RCRAIDNo.
411. A facility treated its wastewater on-site and discharged it to a pipe
which runs through a POTW and then on to a stream. The POTW does
not treat the waste but it monitors the wastewater and allows it to pass
into the stream if it meets treatment standards. If it does not meet stan-
dards, the POTW shuts a valve in the pipe and the wastewater is released
to a water body under the POTW's NPDES permit. How should the
wastewater be listed on Form R?
The facility should consider the wastewater as a transfer off-site to the POTW
since the POTW is ultimately responsible for the release. The POTW has the
authority to allow or prevent that release and it enters the stream under their
NPDES permit. Because the POTW does not treat (destroy) the listed toxic
chemical but allows it to pass through into the stream, the facility should also
report the quantity sent off-site in Section 8.1.
412. How do we treat a solvent sent off-site for distillation and returned to
us for reuse?
The amount of solvent sent to another facility for distillation is reported as a
transfer of the toxic chemical to an off-site location for recycling (i.e.. it should
be reported in Part II Sections 6.2 and 8.5 of Form R). The quantity of the
solvent returned to you must be treated as if it were a quantity of the toxic
chemical purchased from any ofher supplier and must be used for threshold
determination.
413. A printer uses solvent to clean presses and sends soiled rags to a
launderer. Is the listed toxic chemical in the material sent to the launderer
considered waste transferred to an off-site location? Which disposal code
should be used?
The material sent to the launderer is considered an off-site transfer. The
facility could use code M 90 Other Off-site-Management or M99 (Unknown
Disposal) in Part II Section 6.2.C of Form R.
414. A. facility sends waste off-site to another facility. During the reporting
year, the off-site transfer facility is bought by another company. The
off-site transfer facility name changes but the RCRA ID number and
facility address remains the same. What name should be reported as the
off-site transfer facility'!
The facility should give the name of the off-site transfer facility as it was
known on December 31 of the reporting year; that information being the most
accurate and up-to-date information known.
129
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SECTION 4
EPCRA Section 313 Questions and Answers
RCRAID
Number,
Landfill
Release
Reporting,
FormR: Part
II Section 6.2
Off-site
Transfer, Fuel
Blending, Heat
l&lue, Energy
Recovery,
Metals,
Ultimate
Disposition
Off-site
Transfer,
Facility
415. What RCRA ID number does a facility list if it sends a non-hazard-
ous waste containing a Section 313 toxic chemical to a solid waste landfill?
If an off-site location such as a solid waste landfill does not have a RCRA ID
number, the facility would enter "NA" in the space provided. If the facility
does have such a RCRA ID number, it must list the number if known, even
though the waste being transferred may not be a listed RCRA hazardous waste.
416. Our facility produces 200,000 pounds of a listed toxic chemical in
waste annually. Of that amount, we treat 100,000 pounds on-site and send
100,000 pounds to an off-site treatment plant that has a 99.9 percent
efficiency. Can we factor in the efficiency when we report the off-site
transfer amount in Part H Section 6.2 of Form R?
Section 6.2 of Form R requires you to report the actual amount of listed toxic
chemical you send off-site. The efficiency would be taken into account by the
off-site facility if they are reporting under Section 313.
417. A manufacturing/ac/fcYy sends a listed toxic chemical in a paint
thinner waste to a firm for fuel blending purposes. Should the amount of
toluene and xylene in the waste be reported on the Form R, Part n Section
6 as a transfer off-site?
A listed toxic chemical in a wastestream sent off-site for waste fuel blending is
considered combusted for energy recovery if the listed toxic chemical has a
significant heat value (at least 5,000 BTUs per pound) and is combusted in an
energy recovery device. EPA believes that waste blended into fuel will be
combusted in an integrated energy recovery device. Where both elements are
met, the quantity of the listed toxic chemical must be reported as an off-site
transfer for purposes of energy recovery on Form R. However, other reportable
toxic chemicals in the waste mixture (e.g.. metal pigments) that are incombus-
tible or that do not add significant heat value to energy recovery upon combus-
tion must be reported as off-site transfers for purposes of waste treatment or
disposal, as appropriate. Please note that metals cannot be treated or com-
busted for energy recovery purposes and, therefore, should be reported as
disposed in Section 8 of the Form R, unless the facility has knowledge the
metals are being recovered.
418. A petrochemical company generates a wastestream which contains a
listed toxic chemical. The wastestream is treated at a treatment plant that
is located within the boundaries of the petrochemical/ac/ftfy* The treat-
ment plant is neither owned nor operated by the petrochemical company,
and an agreement has been made between the petrochemical company
and the treatment plant that the petrochemical company is responsible for
disposal of the sludge generated by the treatment plant (e.g.. by transfer-
130
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EPCRA Section 313 Questions and Answers
SECTION 4
pH, Off-site
Transfer,
Neutralization,
Off-site
Landfill, Acids
ring the sludge to a landfill). The treatment plant has a NPDES permit
and the remaining waste is discharged to a receiving stream, (mother
words, some of the listed toxic chemical sent to the treatment plant returns
to the petrochemical plant in sludge and is subsequently sent to an off-site
landfill. The remainder of the listed toxic chemical which does not return
to the petrochemical plant in sludge is sent directly to a receiving stream).
How should the petrochemical plant report these off-site transfers of toxic
chemicals in wastes? Should the petrochemical plant report the treatment
occurring at the treatment plant in Part n Section 7, Waste Treatment
Methods and Efficiencies of Form R?
Even though the treatment plant is located within the boundaries of the petro-
chemical plant, it is neither owned nor operated by the same person as the
petrochemical plant. Therefore, the treatment plant and the petrochemical
plant are separate facilities. Since the petrochemical plant does not directly
treat the waste, it is not responsible for filling out Part n Section 7A, Waste
Treatment Methods and Efficiencies, on its Form R for the toxic chemical.
The petrochemical plant reports only two off-site transfers: 1) the total amount
of listed toxic chemical that is sent to the treatment plant (along with the name
and address of the treatment plant); and 2) the amount of listed toxic chemical
that is sent to a landfill in sludge (along with the name and address of the
landfill). This can be interpreted as reporting a portion of the toxic chemical
twice, but since the treatment plant is a separate facility, the total amount sent
to the treatment plant has to be reported as an off-site transfer. Thepetro- ,
chemical plant does not need to report the receiving stream since the waste is
not discharged directly from the petrochemical plant to the receiving stream.
419. A manufacturing/aci'%, with 10 or more full-time employees, gener-
ates a wastestream in the form of a filter press cake that contains nitric
acid, a listed mineral acid under EPCRA Section 313. Before the filter
cake is sent to an off-site landfill for disposal, the nitric acid in the filter
cake is neutralized to pH 7. How should the/a«% report the disposal of
this nitric acid on its Form R?
Because the nitric acid is neutralized to a pH 6 or above during on-site treat-
ment, no nitric acid is present in the filter cake sent off-site for disposal; there-
fore, the off-site transfer would not be reported in the Form R for nitric acid.
The on-site waste treatment fo the nitric acid must be reported in Section 7A,
On-Site Waste Treatment Methods and Efficiency and in Section 8.6, Quantity
Treated On-Site. In addition, the facility must determine if the neutralization
of the nitric acid in the filter cake results in the "manufacture" of a water
dissociable nitrate compound category in an aqueous solution, which is a listed
category under EPCRA Section 313, -.-.,
131
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SECTION 4
EPCRA Section 313 Questions and Answers
Waste
Treatment, Pan
H Section 7A
Waste
Treatment, Part
II Section 7A
Sequential
Process,
Influent
Concentration,
Part II Section
7A
Sequential
Process, Part II
Section 7A
Acids, pH,
Complete
Neutralization
C. Waste Treatment Methods and Efficiency
420. Does Section 7A, On-Site Waste Treatment Methods and Efficiency,
of the Form R apply only to the facility completing the report?
Yes, this Section of Form R applies only to the treatment of wastestreams
containing toxic chemicals that occur on-site at the reporting/
-------
EPCRA Section 313 Questions and Answers
SECTION 4
Treatmentfor
Destruction,
Incineration,
Treatment
Efficiency
Treatmentfor
Destruction,
Facility
Maintenance
Exemption,
Composting
Nitrate
Compounds,
Release to
Land, Waste
Treatment,
Recycling
ization, so this step does not need to be included in Part II Section 7 A of the
Form R for the mineral acid.
425. A facility has a liquid wastestream containing a Section 313 chemical
which is incinerated. The incineration destroys 99.9% of the chemical.
However, 0.1 percent is released to air. Does the facility need to report this
wastestream in the waste treatment Section of Form R?
If the threshold is met, the facility must report this liquid wastestream as
treated for destruction in Part H, Section 7 of Form R. The listed toxic chemi-
cal remaining after incineration in the gaseous wastestream must be reported as
stack or point source air emissions in Part II Section 5.2 of Form R. The
amount of the listed toxic chemical destroyed is also reported in Part II Section
8.6 of Form R, and the stack or point source air emissions are also reported in
Part II Section 8.1 of Form R.
426. On-site wastewater treatment plant sludges which may contain trace
amounts of Section 313 toxic chemicals are composted on-site on concrete
pads. The finished compost is then used as daily cover for the on-site
sanitary landfill and for landscaping around the site. Is this considered
land treatment, land impoundment, or not a release!
Some listed toxic chemicals in the composted material may degrade such that
the chemical is treated for destruction in the compost. In those cases, the listed
toxic chemical should be reported as treated on-site (in Sections 7A, On-site
Waste Treatment and Efficiencies and 8.6 Quantity Treated On-site). If the
listed toxic chemical is not destroyed, the amounts applied to the on-site
sanitary landfill as cover should be reported on Part II Section 5.5.IB, Other
Landfills and in Section 8.1, Quantity Released on the Form R. Although any
quantities used as landfill cover would not be exempt from reporting, the
amount used for landscaping on-site is exempt under the facility grounds
maintenance exemption (40 CFR Section 372.38(c)(2)).
427. Are listed toxic chemicals, such as nitrate compounds, that are used
as fertilizer for growing crops considered to be recycled or treated since
they are taken up by the crops and recycled back into the environment!
Can a facility reduce the amount of toxic chemicals reported as released to
land by the amount the crops take up?
Although during such use nitrate compounds or other listed toxic chemicals may be
taken up by plants and cycled back into the ecosystem, such use is not considered
treatment or recycling under EPCRA Section 313. The toxic chemicals are re-
ported as released to land on the Form R. EPA does not allow facilities to reduce
the quantity reported as released to the environment based on conversions of a
chemical in the environment after the chemical has been released by the/ac/%.
133
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SECTION 4
EPCRA Section 313 Questions and Answers
Acids,
Neutralization
Acids,
Neutralization
Release
Reporting,
Auxiliary
Scrubber
Release
Reporting,
Metal
Compounds,
Influent
Concentration,
Metals
428. We have two wastestreams, one containing "an unlisted caustic
material" and the other phosphoric acid, that are combined for neutral-
ization. The combined wastestream then stays in the settling pond until
the solid settles out. The water is sent to a POTW, the solid to a landfill.
How should we report on these listed toxic chemicals! When does a listed
toxic chemical cease to exist by neutralization?
Neutralization is the treatment method for phosphoric acid. If the pH is 6 or
above then the efficiency is 100 percent (i.e.. no phosphoric acid is released)
and no off-site transfer should be reported. If the waste is acidic, (i.e.. pH
below 6) report the transfer of phosphoric acid sent off-site and calculate
efficiency from the input and the remaining acid.
429. Nitric acid or phosphoric acid is spilled onto a concrete pad and
immediately neutralized with a base. How is this reported on the Form R?
How would the spill be reported if it was spilled directly on the land and
neutralized?
If the acid spilled on the concrete pad is 100 percent neutralized, the facility
would only report any non-neutralized air releases of the toxic chemical in
Sections 5 and 8 on the Form R. If the spill was released directly to land
before being neutralized, only the amount of the chemical that seeped into the
land (i.e.. not neutralized) and any air releases occurring as a result of the spill,
should be reported in Sections 5 and 8 on the form. Note that if the spill is
considered a one time, non-routine event, the entire amount spilled (that is not
neutralized) should be reported in Section 8.8 of the Form R.
430. How is an auxiliary scrubber that is designed and used only to miti-
gate emergency releases reported?
The influent concentration and treatment efficiency of the scrubber as it oper-
ates during an emergency event should be reported. The emergency scrubber is
not considered to be "sequential" treatment with a scrubber which treats
routine emissions from the same process, unless the two units function in
series on a single waste system.
431. In Section 7, should the influent concentration to a treatment system
for metal compounds hi a wastestream be reported for the parent metal
only? How do I consider treatment efficiencies for metal compounds?
For metal compounds, the calculation of the reportable concentration and
waste treatment efficiency must be based on the weight of the parent metal, not
on the weight of the metal compounds. Metals are not destroyed, only physi-
cally removed or chemically converted from one form to another. The waste
treatment efficiency reported must represent only the physical removal from
134
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EPCRA Section 313 Questions and Answers
SECTION 4
Waste
Treatment, Part
II Section 7A,
Treatment
Efficiency
Waste
Treatment,
Storage Tank,
Air Emissions,
Part II
Section 7A
Activity
Thresholds,
Waste
Management
Activities
the wastestream (except for incineration) not the percent conversion from one
form to another. If a listed waste treatment method converts but does not
remove a metal (e.g., chrome reduction), the method must be reported with a
waste treatment efficiency of zero.
432. A wastestream containing glycol ethers is sent through several treat-
ment steps, none of which are specifically intended to remove the glycol
ethers. During the settling process, some of the glycol ethers present in the
wastestream unintentionally evaporate into the ambient air. Should the
facility owner/operator report the glycol ether as being treated and, if so,
what waste treatment efficiency estimate is reported?
Any releases of a listed toxic chemical, even during treatment, must be esti-
mated and reported in Part II Section 5 of the Form R. Part II Section 7 of
Form R must be completed if a wastestream containing the glycol ethers is
treated, regardless of whether the treatment methods actually remove the
glycol ethers. If, for whatever reason, glycol ethers are removed during the
treatment of a wastestream, the owner/operator should use the best information
available to determine how much of the glycol ethers are removed during the
treatment process and use this information to estimate a "treatment efficiency"
for the toxic chemical.
433. A facility owner/Operator has a conservation vent on a bulk storage
tank. The conservation vent prevents emissions from the tank during
material loading, unloading, and storage. Should this conservation vent
be listed in Part H Section 7A of the Form R as a waste treatment method
since it is reducing the toxic chemical emissions from the tank?
No. Part II Section 7 of Form R is only for the description of waste treatments
that occur on-site. In the above scenario, the conservation vent functions as a
preventive device. The conservation vent does not function as a waste treat-
ment step. (Another example of a preventative device is a floating roof storage
tank, the function of which would not be considered waste treatment).
D. Waste Management
434. If I count the amount of a listed toxic chemical towards an activity
threshold, am I automatically exempted from reporting this amount as
undergoing a waste management activity on the Form R?
No. If, for example, a. facility combusts a toxic chemical in a waste for energy
recovery, the owner/operator would consider the amount combusted for energy
recovery towards the '''otherwise use" threshold. If the facility exceeds a
threshold for this chemical, the owner/operator would also report the amount
135
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SECTION 4
EPCRA Section 313 Questions and Answers
Recycling,
Reuse, Metals
Release
Reporting,
Waste
Treatment,
POTW, Metals,
Part II Sections
Waste
Treatment,
Source
Reduction, Part
II Section 8.10
Release
Reporting,
Remediation,
Part II
Section 8.8
for energy recovery in Sections 7 and 8 on the Form R. If the toxic chemical is
burned in an energy recovery device and has 5,000 BTUs/lb.
435. If I send metal scraps containing chromium off-site to be remelted
and subsequently reused, do I report the amount of toxic chemical in the
metal as recycled off-site?
Because the chromium in the metal scraps is not actually being recovered but
merely melted and reused, the amount of the toxic chemical in the metal
scraps would not be reportable anywhere on the Form R including in Section 8.
436. If I send ten pounds of chromium (or any metal) to a POTW or other
wastewater treatment/ac/ft'^y where should I report the ten pounds in
Section 8?
Because metals cannot be destroyed, they should not be reported as treated in
Section 8.6 or 8.7 of the Form R. If you do not know what the POTW does
with the metal constituents they receive, you should assume they are sent to a
landfill and report the ten pounds sent to a POTW in Section 8.1 on the Form
R.
437. Would RCRA permitted incineration of a listed toxic chemical count
as a source reduction activity under Part n Section 8.10 of Form R?
Section 8.10 of Form R is for reporting actions or techniques that prevent a
toxic chemical from becoming a waste to be disposed of, recycled, recovered,
or treated. Incineration is considered waste treatment (assuming there is no
energy recovery) and is reportable under Sections 6.2.C or 7A, depending on
whether it is performed on- or off-site.
438. Is dredging a lagoon (or surface impoundment) containing a Section
313 toxic chemical once every five years (routine procedure) considered a
remedial action under the Pollution Prevention Act? If so, how should
releases from the dredging be reported in Section 8.8 of the Form R?
Because the dredging of the lagoon (or surface impoundment) occurs routinely
every five years, it is not considered a remedial action under the Pollution
Prevention Act, and accordingly, releases from the dredging should not be
reported as releases from remedial actions. Instead, releases resulting from
dredging would be reported in Sections 5 or 6 and in Section 8 of the Form R,
depending on the ultimate disposition of the chemical.
136
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EPCRA Section 313 Questions and Answers
SECTION 4
Production
Ratio, Activity
Index, Batch
Processor, Part
II Section 8.9
Source
Reduction,
Economic
Reasons
NA vs. 0, Part
II Section 8.8
439. For the purposes of reporting in Section 8.9 of the Form R, a facility
must provide a ratio of the reporting year production to prior year pro-
duction, or provide an activity index based on a variable other than pro-
duction that is the primary influence on the quantity of the reported toxic
chemical recycled, used for energy recovery, treated, or released (including
disposal). How should one-time or batch processors determine an activity
index or production ratio for reporting in Section 8.9 of the Form R?
A one-time processor in its first year of using a listed toxic chemical should
report "NA" in Section 8.9 of the Form R. If a one-time processor uses a listed
toxic chemical on a yearly basis but in different products, applications, and
quantities, then a production ratio based on production or application involving
the toxic chemical should be calculated as follows: (production involving the
toxic chemical in the current year divided by production involving the toxic
chemical in the prior year).
Batch processors should calculate a ratio based on campaigns involving the
toxic chemical from year to year as follows: (campaign production in the
current year divided by the campaign production in the prior year).
440. If a facility modifies a process for economic reasons resulting in a
waste reduction, should this be reported as source reduction?
Yes. Any changes that result in less of the listed toxic chemical being gener-
ated in waste may be included. Codes are provided to identify changes such as
equipment and technology modifications, as well as process changes, proce-
dure modifications, and improved housekeeping.
441. On the Form R, a facility owner/operator must provide information
about routine and non-routine releases for each reported toxic chemical.
Specifically, in Section 8.8, an owner/operator must report the quantity of
any release of a listed toxic chemical into the environment or transferred
off-site as a result of a remedial action, catastrophic event, or one-time
event not associated with production processes. If the facility did not
experience any such release or transfer, must the owner/operator report
zero, or may the owner/operator report "not applicable" (NA) in Section 8.8?
While either notation, NA or zero, may be entered in Section 8.8 of the Form
R, they are not synonymous. If a remedial action, catastrophic event, or one-
time event not associated with production processes results in a release into the
environment or an off-site transfer of the listed toxic chemical and the annual
aggregate release was less than 0.5 pound, then a facility owner/operator
should enter zero in Section 8.8. An owner/operator should only report NA for
Section 8.8 on the Form R if no release or transfer occurred as a result of these
activities.
137
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SECTION 4
EPCRA Section 313 Questions and Answers
138
-------
EPCRA Section 313 Questions and Answers
SECTION 5
Form A
Criteria
Form A
Section 5. FORM A AND FORM R SUBMISSIONS
A. Form A (Alternate Threshold Reporting)
(
442. EPA published a final rule in the Federal Register on November 30,
1994 (59 FR 61488), which created an alternate threshold of one million
pounds for certain facilities. How can a facility that exceeds one of the
original thresholds qualify for the alternate threshold?
Facilities which have a total annual reportable amount of no greater than 500
pounds for a listed toxic chemical may qualify for the 1 million pound alternate
threshold for that chemical, beginning with the 1995 reporting year. For
purposes of the alternate threshold, the total annual reportable amount in-
cludes toxic chemicals listed at 40 CFR Section 372.65 which are released
(including disposal), treated, recycled, and burned for energy recovery at the
facility and amounts transferred from the facility to off-site locations for the
purposes of recycling, energy recovery, treatment, and/or disposal. These
amounts correspond to column B, Sections 8.1 through 8.7 of the reporting
Form R. If a facility's combined total annual reportable amount does not
exceed 500 pounds for a specific toxic chemical, the facility can qualify for
reduced reporting requirements unless the amount of that toxic chemical
"manufactured," "processed," or "otherwise used" within the reporting year
exceeds one million pounds.
Covered facilities that qualify for the alternate threshold are not exempt from
reporting, but must fulfill certain requirements. In lieu of submitting a Form R,
the owner/operator of a facility must submit an annual certification statement
(Form A) indicating that the facility met the requirements for use of the alter-
nate threshold for a specific chemical. The facility must also maintain, and
make available upon request, records substantiating the claim. The Form A
includes basic information regarding the facility's identification, the chemical
in question, and a statement of accuracy to be signed by a senior management
official of the facility.
443. What is the Form A and who may submit this form?
The Form A provides certain facilities the option of submitting a substantially
shorter form with a reduced reporting burden. Facilities which meet the SIC
code, employee, and chemical activity thresholds but the facility's amounts
"manufactured," "processed," or "otherwise used" do not exceed one million
pounds and the facility's total annual reportable amount is less than 500
pounds for the toxic chemical, may submit a Form A instead of a Form R.
139
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SECTION 5
EPCRA Section 313 Questions and Answers
Release
Reporting, RQ
Form A,
Documentation
Form A,
Effective Date
Form A
Criteria
444. What is the total annual reportable amount and is it the same as an
RQ?
The total annual reportable amount applies to EPCRA Section 313 listed
toxic chemicals and is facility specific. A facility's total annual reportable
amount is equal to the combined total quantities released at the facility (includ-
ing disposed), treated for destruction at the facility (as represented by amounts
destroyed or converted by treatment processes), recovered at the facility as a
result of recycle operations, combusted for the purpose of energy recovery at
the facility, and amounts transferred from the facility to off-site locations for
the purpose of recycle, energy recovery, treatment, and/or disposal. The total
annual reportable amount is not the same as a reportable quantity (RQ). An
RQ is chemical specific and applies to Extremely Hazardous Substances (EHS)
or CERCLA Hazardous Substances. In the case of an accidental release, a
facility owner/operator would refer to a chemical's RQ to determine if the
facility has released enough such that reporting to a Local Emergency Planning
Committee, SERC, and the National Reporting Center is required under
EPCRA Section 304 and CERCLA Section 103.
445. If I qualify and file a Form A, must I submit any other documenta-
tion to EPA and the state?
No. If a covered facility meets the criteria and files the Form A, the owner/
operator need not submit any other documentation to EPA and the state.
446. If my facility meets the Form A criteria on reporting years prior to
1995, may I withdraw my Form Rs and submit Form As instead?
No. Facilities may use the Form A beginning with the 1995 reporting year.
Facilities may not use this form for prior years.
447. If I meet the criteria for filing a Form A for one toxic chemical, may I
use it for all of the toxic chemicals covered at my facility?
No. Like the Form R, the Form A is toxic chemical specific. A facility must
not "manufacture," "process," or "otherwise use" more than one million
pounds of each specific toxic chemical and the total annual reportable amount
for the toxic chemical must be less than 500 pounds. In some instances, a
facility may submit the Form A for some chemicals and the Form R for other
chemicals.
140
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EPCRA Section 313 Questions and Answers
SECTION 5
Deadline
Extension
Electronic
FormR
Reporting
Deadline,
Weekends
Signature,
Certification
B. Form R Submissions
448. Are there any extensions that a facility can get for filing Form R?
EPCRA Section 313(a) mandates that covered facilities report to EPA by July
1 of each year. On occasion, however, EPA has extended the date for submit-
ting the Form R. If EPA chooses to extend the deadline, facilities should verify
with their state representative that the state will also extend their reporting
deadline. No extensions are ever made on an mdividual/acj/zYy basis. If EPA
extends the deadline a notice of this effect is published in the Federal Register.
449. Can commercially developed electronic versions of the Forms be
submitted for compliance with Section 313?
The Agency encourages submission of Forms using the EPA software provided
with the Form R package. The Agency has also approved the facsimile outputs
of certain privately developed software packages. A list of the providers of
software packages is made available by EPA. Contact the Emergency Planning
and Community Right-to-Know Information Hotline for more information (1-
800-535-0202).
450. Form R is to be submitted on or before July 1 of the year following
the reporting year. When is the official due date if July 1 falls on Saturday
or a Sunday?
If the reporting deadline falls on a Saturday or Sunday, the EPA will accept the
forms which are postmarked on the following Monday (i.e.. the next business
day).
451. The instructions state that photocopied versions of Part I may be
submitted. Does this mean that a senior official at a facility, certifying the
validity of the forms, only has to sign one submission? Are facilities re-
quired to include an original signature on forms going to the state or
Indian Country as well as EPA?
No. The final rule (February 16,1988; 53 FR 4500) states that each unique
toxic chemical submission must contain an original signature. The purpose of
the requirement is to ensure that the certifying official has reviewed each toxic
chemical submission. A photocopied signature or no signature does not fulfill
this purpose. An original signature on the certification statement is not re-
quired for the copy that is sent to the state. However, if the state requires an
original signature under their state Right-To-Know laws, then the facility must
comply.
141
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EPCRA Section 313 Questions and Answers
Certification
Statement,
Senior
Management
Official
FormR,
Certification,
Signature
Senior
Management
Official
Certification
Mailing
Address, Pan I
Section 4.1
452. May a representative from a consulting firm that prepares a Form R
or Form A for a covered facility sign the certification in lieu of the covered
facility's owner/operator?
No. A representative from a consulting firm preparing a Form R or a Form A
for a covered facility cannot sign the certification in Part I, Section 3 of either
the Form R or the Form A. The certification must be signed by the owner/
operator, or a senior management official employed by the facility subject to
EPCRA Section 313 toxic chemical release inventory reporting. Senior man-
agement official means an official with management responsibility for the
person or persons completing the report, or the manager of environmental
programs for the facility or establishments, or for the corporation owning or
operating the facility or establishments responsible for certifying similar
reports under the other environmental regulatory requirements (40 CFR Sec-
tion 372.3).
453. Can a plant manager of a facility or a designee sign the certification
statement on the Form R? That is, can a plant manager qualify as a
"senior management official?"
Section 313 requires that a senior official with management authority over the
person or persons filling out the form certify the accuracy and completeness of
the form. This person could be a plant or facility manager rather than a senior
corporate executive and should be the senior person in a position to attest to the
accuracy of the information provided.
454. If a facility has a manager who is the originator of the data in the
Form R report, would he/she sign the form or would it be the facility
manager to whom this manager reports?
Senior management official means "an official with management responsibility
for the person or persons completing the report, or the manager of environmen-
tal programs for the facility or establishments, or for the corporation owning or
operating ihe facility or establishments responsible for certifying similar
reports under other environmental regulatory requirements" (40 CFR Section
372.3). Your facility must make the determination regarding who meets this
definition.
455. A. facility regulated under EPCRA Section 313 uses a Post Office box
number or a mailing address different from its physical address to receive
its mail. When the physical location is listed as the mailing address, the
mail is returned to the sender by the Post Office. For reporting on the
Form R Part I Section 4.1, what should the facility list as its mailing ad-
dress?
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EPCRA Section 313 Questions and Answers
SECTION 5
Facility
Reporting,
Location
Change,
Reporting
Requirements
Facility Name
Change, Parent
Company
Name
TRI Facility
Identification
Number,
Change of
Ownership
Since reporting year 1991, Form R contains a separate field for mailing ad-
dresses. The facility should enter its mailing address in this field if it is differ-
ent from the facility's physical address. The facility must always enter its
physical address in the appropriate Section of the Form R. EPA encourages
facilities to notify their address changes in advance. t
456. Company Y sold its timber preserving chemical manufacturing
business to Firm X in September, transferring only the operating rights of
the business. After the sale, all manufacturing operations were moved to
Firm X's production/aciftYy in another city. In February of the following
year, Company Y was converted to a warehousing/aciftYy (SIC code 4225).
What is Company Y's reporting obligation under Section 313?
Though manufacturing operations ceased in September of the reportable year,
Company Y must submit, no later than July 1 of the subsequent year, a Form R
for any listed toxic chemical "manufactured," "processed," or "otherwise
used" in excess of threshold levels within the reportable year. No reporting is
required for the following reporting year and subsequent reporting years as
long as the facility operations are not classified within a covered SIC codes.
457. The owner/operator of a facility is preparing Form Rs for a facility.
The facility and its parent company both changed their names after the
reporting year. What names should be reported by the owner/operator
(for both the facility and the parent company) on the Form Rs covering the
reporting year?
The facility should report the names used by the facility and parent company
during that reporting year. When the owner/operator submits Form Rs for the
next reporting year, these reports should reflect the names used by the facility
and parent company during the new reporting year. (Note: the TRI Facility
Identification number will not change.)
458. The owner/operator of Poultry Products submits a Form R in 1996
and receives a TRI identification number. The following year Poultry
Products is bought by Allen Family Foods and reports the new name on its
1997 Form R. Is the TRI identification number changed to reflect the
change in facility name?
No, the TRI identification number is established by the first Form R submitted
by the facility. This identification number is retained by the facility even if the
facility changes ownership and name. This identification number will stay
with this facility as long as the facility location does not change. The TRI
identification number remains the same even-if the facility changes names,
production processes, SIC codes, etc.
143
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SECTION 5
EPCRA Section 313 Questions and Answers
TRI Facility
Identification
Number,
Change of
Ownership
Public Contact,
Parti Section
4.4
Public Contact,
Technical
Contact, Parti
Section 4.4
Technical
Contact
SIC Code,
Multi-
Establishment,
Part I Section
4.5
459. A portion of a facility covered under EPCRA Section 313 is sold in
July 1997 to a new owner. For reporting on the Form R for the year 1997,
what TRI facility identification numbers should be used by the reporting
facilities (40 CFR 372)?
For purposes of reporting on the Form R, the portion of the facility that was not
sold during the year would maintain the TRI identification number originally
assigned to the facility. The facility under new ownership would, however,
indicate in Part I Section 4.1 that the report is a first time submission by the
facility. Once the reports have been submitted by the new facility, a new
identification number will be assigned to the facility for use in subsequent
years.
460. Can the "public contact" listed on Part I Section 4.4 be located
elsewhere in the parent organization and not at the facility1!
Yes. The public contact listed on Part I does not have to be located at the
covered facility.
461. If the public contact item (Part I Section 4.4) is left blank, can the
facility later use a public contact to speak to the news media on behalf of
the technical contact?
If a public contact is not identified, EPA will enter the technical contact into
the database as a public contact. Thus, this person would receive public in-
quires. You may, of course, use any person you choose to respond to such
inquires.
462. Regarding the technical contact, can this person be a different per-
son for (a) each toxic chemical? (b) each separate part of a facility1!
Yes. A facility can identify different technical contacts for different toxic
chemicals or different establishments within the facility, preferably with one
"technical contact" listed on each form. Up to two names can be entered into
the technical contact field on the database, but only one technical contact
phone number can be listed.
463. The instructions for completing Form R indicate that the report
should contain only covered SIC codes in Part I Section 4.5 on page 1. A
facility has the option of reporting as an entire facility or as separate
establishments. If an establishment filled out a separate Form R, what SIC
code would be used in Part 1, Section 4.5? Would a SIC code be entered
for an establishment not in covered SIC codes'!
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EPCRA Section 313 Questions and Answers
SECTION 5
Dun&
Bradstreet
Number, Parti
Section 4.7
Multi-
Establishment,
Dun&
Bradstreet
Number
Latitude/
Longitude
NPDES
Permit, Parti
Section 4.9
NPDES
Permit,
Releases to
Receiving
Stream
When a facility opts to file separate Form Rs for each establishment it should
list in Part 1 Section 4.5 of each Form R submitted the SIC code only of the
establishment being reported on that Form R. If the establishment's SIC code
is not within a covered SIC code, that establishment can either list the SIC code
or enter NA. The listing of SIC codes outside the covered SIC codes is not
required in the Form R instructions.
464. If a facility does not have a Dun & Bradstreet number but the parent
corporation does, should this number be reported?
Report the Dun and Bradstreet Number for the facility. If a facility does not
have a Dun and Bradstreet Number, enter NA in Part I Section 4.7. The corpo-
rate Dun and Bradstreet Number should be entered in Part I Section 5.2 relat-
ing to parent company information.
465. If two plants are separate establishments under the same site man-
agement, must they have separate Dun & Bradstreet numbers?
They may have separate Dun & Bradstreet numbers, especially if they are
distinctly separate business units. However, different divisions of a company
located in the samefacility usually do not have separate Dun & Bradstreet
numbers.
466. Our facility operations cover a large area. What longitude should be
reported for our facility and how can we locate this information?
Report the latitude and longitude for a location central to the operations for
which you are reporting. You may find this information on your NPDES
permit. See the instructions for completing Form R for a detailed description
on how to determine latitude and longitude from United States Geological
Survey (USGS) maps of your facility location.
467. If a facility has a NPDES permit, but does not discharge toxic chemi-
cals to surface water, does the facility have to fill in Part I Section 4.9?
Yes. This information is part of the facility identification section of Form R
and is intended for use in obtaining other information about The facility.
468. If a facility enters an NPDES permit number on Form R but does not
discharge the toxic chemical to a receiving stream, must it also enter a
receiving stream name?
No. If there are no releases of the toxic chemical to the receiving stream noted
in the NPDES permit, the facility would not need to list the stream name.
145
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SECTION 5
EPCRA Section 313 Questions and Answers
Maximum
Amount On-
site, Threshold
Determination
Maximum
Amount On-
site, Part II
Section 4
Maximum
Amount On-
site, Part II
Section 4
Maximum*f
Amount On-
site, Part II
Section 4,
Multi-
Establishment
However, the NPDES permit number must be supplied whether or not there are
releases of the specific reported chemical to a receiving stream or water body.
469. In determining maximum amount on-site and thresholds, do we
count water in a solution (e.g.. an aqueous solution of ammonium nitrate)?
No. Exclude the water in solutions when calculating the maximum amount of
the toxic chemical on-site.
470. For Part II, Section 4 of the Form R, a facility must calculate the
maximum amount of atoxic chemical on-site at any one time during the
reporting year. The facility must add up the amounts of the toxic chemical
present at all locations within the entire facility (e.g.. storage tanks, process
vessels, on-site shipping containers). Must the facility include the amount
of the toxic chemical in a wastestream or in scrap metal prior to being
smelted when determining the maximum amount on-site?
Yes. When determining the maximum amount on-site for Part II Section 4 of
the Form R, the facility must aggregate all nonexempt quantities of the toxic
chemical. Toxic chemicals present in waste as well as in scrap metal are not
exempt from reporting on the Form R and thus must be included when calcu-
lating the maximum amount on-site for Part II Section 4.
471. Part n Section 4 of the Form R records the maximum amount of a
toxic chemical on site at any time during the reporting year. When deter-
mining this amount, the covered facilities must aggregate all nonexempt
quantities of the toxic chemical. Does this amount include concentrations
of the toxic chemical present hi products?
Yes. Facilities must indicate the maximum amount of the toxic chemical on-
site at any one time during the reporting year. The maximum amount on-site
includes raw materials, in-process materials, product inventory, and quantities
present in wastes. Owners or operators must total all quantities of the nonex-
empt amounts of the toxic chemical present at the facility when completing
Section 4.1 (Part II) of the Form R.
472. In Part n Section 4.1 of the Form R, facilities must enter a range
code indicating the maximum quantity of a toxic chemical on-site at any
tune during the reporting year. If a facility is reporting by establishment,
should the quantity reported in Section 4.1 represent the maximum quan-
tity at the establishment or the maximum quantity for the entire facility'!
If a Form R is being submitted for "part of a facility" (i.e.. an establishment or
group of establishments), the range code selected for the maximum amount of
146
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EPCRA Section 313 Questions and Answers
SECTION 5
Mwcimum
Amount On-
site, Fume or
Dust, Part II
Section 4
Receiving
Streams, Part II
Section 5.3
Receiving
Streams, Part II
Section 5.3
Receiving
Stream, Part II
Section 5.3.1
a toxic chemical on-site should be reflective of the establishment or group of
establishments, not of the entire facility.
473. The list of toxic chemicals under EPCRA Section 313 contains three
substances with a "fume or dust" qualifier (aluminum, zinc, and vana-
dium). For purposes of reporting the maximum amount on-site (Part II
Section 4 of the Form R), should facilities only report the maximum
amount of fume or dust on-site or the maximum amount of all forms of
the chemical on-site at any one time?
When determining the maximum amount on-site for Part II Section 4 of the
Form R, only the reportable form of a chemical (e.g.. fume or dust) is to be
considered.
474. Explain the naming of receiving streams.
Facility owner/operators must report the name of each stream to which toxic
chemicals being reported are directly discharged. You should report the name
of the receiving stream or water body as it appears on the NPDES permit for
the facility. If the stream is not named in a permit, enter the name of the off-
site stream or water body by which it is publicly known or enter the first
publicly named water body to which the receiving waters are a tributary, if they
are unnamed. You should not list a series of streams through which the toxic
chemical flows, but only the first water body it enters from your facility. Do ,
not enter names of streams to which off-site treatment plants discharge. Enter
"NA" in Section 5.3.1, if you do not discharge the listed toxic chemical to
surface water bodies.
475. A. facility determines that it can estimate stormwater releases of a
listed toxic chemical from the facility. However, such releases go to a city-
owned storm sewer system and the facility has no direct knowledge of the
receiving stream or surface water body to which the toxic chemicals is
ultimately released. What do they report as the "stream or water body
name" on Part H Section 5.3 of the Form R?
The facility would put "city-owned storm sewer" or the equivalent because this
is all they know. To, leave the stream or water body name item blank or put
"NA" would be identified as an error when the Form R is entered to the com-
puterized database of Section 313 data. -
476. A. facility owner/operator's NPDES permit lists not only the first
stream into which they discharge their waste, but also the subsequent
streams it will flow through. The first three streams are listed on the
permit as "unnamed creek." The fourth listed stream is the first with a
name, Grove Creek. Since the facility does not discharge directly into
147
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SECTION 5
EPCRA Section 313 Questions and Answers
Blank Data
Elements, NA
Significant
Figures
Release
Estimate,
Significant
Figures
Audit
Provisions
Enforcement
Grove Creek, what should they list in Section 5.3.1 for receiving stream or
water body name on Form R?
Since Grove Creek is the first named receiving stream, it should be listed in
Section 5.3.1 even though the waste is not directly discharged into it.
477. In some sections of Form R, facilities are asked to report "NA" if that
section does not apply to a submission. Are blank spaces left on the form
the equivalent of "NA?"
No. A facility must enter "NA" to inform the Agency that the submitter has not
just overlooked a section of the Form R.
478. Please explain the "two significant figures" reporting guideline.
Estimates should be rounded to no greater than two significant figures (i.e..
4224 should be entered as 4200). The number of "significant figures" is the
number of non-zero digits. One significant digit should be reported if the
estimation techniques used do not support the two digit accuracy.
479. When reporting release estimates on Form R, EPA recommends
release estimates be rounded to no more than two significant figures.
Should release estimates always be reported in whole numbers, or should
decimal places be reported in certain instances?
When reporting release and other waste management estimates on Form R,
always report using whole numbers (i.e.. round to the nearest pound).
480. Are specific audit provisions in the regulations? Will audit results be
made public? Can released information be changed? What about resolv-
ing differences of opinion, i.e.. does the auditor have final judgement?
Specific audit provisions are not in the EPCRA Section 313 regulations. The
Agency, however, has the responsibility to assure that the data submitted is
based on reasonable estimates. Audit results will be used to identify problems
with calculating releases. In resolving differences of opinion, we expect that a
final judgement will be made by the Agency. Also note that EPA has finalized
a self-audit policy (December 12,1995; 60 FR 66706) for facilities who
choose to conduct their own audits.
481. The enforcement requirements of EPCRA (Section 325), state that
the civil and administrative penalties for Section 313 non-compliance shall
not exceed $25,000 for each violation. Is a non-compliance violation
determined on a per facility or per toxic chemical basis? Also, is that
penalty assessed on a per day basis?
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EPCRA Section 313 Questions and Answers
SECTION 5
Signature,
NOTE
FormR
Submission
FormR
Submission
Source
Reduction,
Data Sources
Section 325(c)(i) states: "any person who violates any requirements of Section
313 shall be liable to the United States for a civil penalty in an account not to
exceed $25,000 for each such violation," for each day a violation continues.
Therefore, the facility can be assessed a penalty for each Form R not submitted
or willfully submitted wrong, and the penalty can be assessed on a per day
basis. EPA accesses penalties on a per toxic chemical/facility basis which may
include per day penalties, depending on the circumstances of the violation. An
Enforcement Response Policy (ERP) is available for EPCRA 313 which
describes the types of violations and associated penalties (8/10/92). Also note
that the Department of Treasury recently increased the fines from $25,000 to
$27,500 for violations occurring after January 30, 1997; (December 31,1996;
61 PR 69360).
482. A facility received a Notice of Technical Error (NOTE) stating that
they did not have an original signature on the Form R submitted to EPA.
How should the facility respond to this NOTE?
EPA must have an original signature on file. A facility must resubmit a com-
plete Form R with an original signature, and this new form should be attached
to the NOTE and returned to EPA and to their state contact.
483. Can a facility submit one original copy each of Part I (Facility Identi-
fication Information) with several copies of Part II (Chemical Specifica-
tion Information) for different listed toxic chemicals!
No. Submission of multiple copies of Part II, with only one copy of Part I,
would be considered non-compliance. The final rule clearly requires that each
completed submission contains all parts of Form R (including Part n, even if it
is left blank).
484. How can & facility be assured that the Agency has received a submit-
ted form?
To be notified of receipt of submissions, facilities should send forms using the
U.S. Post Office "Return Receipt Request" mail service. The Agency will not
respond to cover letters requesting acknowledgment.
485. Where can facilities obtain source reduction figures from previous
years?
Facilities should use the best information they have available to them. For
example, they may use inventory data, recycle/reuse data, engineering reports
on process modification, and product development studies.
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SECTION 5
EPCRA Section 313 Questions and Answers
Information
Access
Withdrawal
Wiflidrawal
Withdrawal,
EPA review
Withdrawal,
EPA Contact
Withdrawal,
Validity
486. A. facility would like to receive information on who requested their
Section 313 Form R's. Can they request this information from the
EPCRA Reporting Center?
No, the request for the names cannot be made to the EPCRA Reporting Center.
EPA purposely does not keep a record of individuals or organizations which
make requests to the EPCRA Reporting Center. This protects the anonymity of
the requestor.
C. Form R Withdrawals
487. Has EPA allowedfacilities to withdraw Form Rs submitted under
EPCRA Section 313?
Yes. EPA has permitted facilities that have filed a Form R under EPCRA
Section 313 to request that EPA withdraw the Form R data from EPA's data-
base (i.e.. the Toxics Release Inventory System (TRIS)) and from the public
version of the database.
488. What is the effect of a withdrawal?
If EPA approves the request, the data contained hi the Form R that is the
subject of the request is deleted from EPA's database and from the public
database that is updated the next time. However, the Form R submission itself,
the withdrawal request, and EPA's approval are retained in a miscellaneous
document file. . ,
489. What information does EPA consider when reviewing requests to
withdraw a Form R?
When EPA reviews a request to withdraw a Form R submitted under EPCRA
Section 313, the only information that EPA considers in its review of the
request is the information contained in the withdrawal request and/or the Form
R that was submitted.
490. To approve a withdrawal request, has EPA ever contacted the sub-
mitter of the withdrawal request?
In a few cases, EPA has contacted the submitter of the withdrawal request to
clarify certain aspects of the information submitted on the Form R or with the
request for withdrawal of the Form R.
491. In approving the withdrawal request does EPA verify the validity of
a request to withdraw a Form R through inspections or audits?
_
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EPCRA Section 313 Questions and Answers
SECTION 5
Withdrawal,
EPA Approval
Withdrawal
Requirements
Revision
No. For purposes of approving a withdrawal request, EPA has never attempted
to verify the validity of a request for withdrawal by inspecting the facility or
auditing the information filed with the Form R or withdrawal request. There-
fore, when EPA approves a withdrawal request EPA is merely granting the
request on the basis of the representations and information provided by the
submitter in its request and, in some cases, on its Form R.
492. Is EPA's approval of a request to withdraw Form R a determination
by the Agency that the submitter was not required to report under
EPCRA Section 313?
No. EPA's approval of a withdrawal request does not communicate an Agency
determination that the submitter was hot required to file the Form R that is the
subject of the withdrawal request. EPA's approval merely granted the request.
An inspector would need to visit the facility and review the facility's records
for EPA to determine that a Form R in fact did not need to be filed. However,
as noted above, for purposes of approving a withdrawal request, EPA has never
attempted to verify the validity of a withdrawal request through inspections or
audits.
493. A. facility mistakenly determined a Section 313 toxic chemical to be
"otherwise used" rather than "processed" at their facility. As a result, the
facility reported the h'sted toxic chemical on Form R with 15,000 pounds
used during the previous reporting year. Since they will not be reporting
this toxic chemical for the next reporting year, is there any need to with-
draw the previous year's reporting forms to prevent an enforcement
contact by EPA?
The facility is not required to withdraw the report. A facility may request to
withdraw a form submitted unnecessarily (i.e.. a legitimate case of over report-
ing). Since the facility over reported as a result of a threshold determination
error, it should thoroughly document the mistake in its recordkeeping for that
Form R. No documentation, in addition to the withdrawal request, need be
sent to the state or EPA at this time.
494. If SL facility finds that it has submitted the forms with minor errors
(e.g.. boxes incorrectly checked, NA in the wrong place, all pages were not
sent for each toxic chemical even if the pages should be blank), should the
forms be resubmitted or should the facility wait for EPA to send error
notices requesting revisions?
The facility should resubmit the form as soon as the errors are discovered to
the same address (i.e.. the EPCRA Reporting Center). The box that says
"Enter 'X' here if this is a revision" (in the Upper right hand corner of Page 1)
151
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SECTION 5
EPCRA Section 313 Questions and Answers
Withdrawal,
Chemical ,
Deletion
Withdrawal,
Inappropriate
Submission
should be checked. The information elements that are different from the initial
report should be made and circled in dark ink. The original, incorrect elements
should be crossed out.
495. EPCRA Section 313(d) provides for the addition and deletion of
chemicals from the list of toxic chemicals found at 40 CFR Section 372.65.
When a toxic chemical is deleted, the final action is effective upon publica-
tion in the Federal Register, thereby relieving covered facilities of EPCRA
Section 313 reporting requirements for the newly deleted chemical from
the date of publication forward. If a facility submits a Form R for a newly
deleted chemical, must the facility submit a formal written withdrawal
request to the Agency?
Facilities need not submit a formal written withdrawal request because the
Agency does not enter a Form R received for a newly delisted toxic chemical
into the TRI database. Facilities that submit Form Rs for that chemical will
receive a Notice of Data Change informing the facility that the data on the
Form R was not entered into the database due to the chemical's deletion from
the toxic chemical list. The Agency does not, however, remove from the
database information from Form Rs submitted for years during which the toxic
chemical was listed as an EPCRA Section 313 toxic chemical.
In the case where only certain forms of a toxic chemical are delisted, the
Agency will not automatically exclude the Form Rs because the Agency cannot
determine for which form of the chemical the threshold determinations and
reported data were based. For example, non-aerosol forms of sulfuric acid
were delisted on June 30,1995 (60 FR 34182), making aerosol forms the only
EPCRA Section 313 reportable forms of sulfuric acid. In this case, without
written clarification from the facility and review of the data submitted, the
Agency cannot assume Form Rs submitted for sulfuric acid for reporting year
1994 represent reporting for only non-aerosol forms of sulfuric acid. There-
fore, the Agency will enter the data as received, unless the facility submits a
written revision or withdrawal request, as appropriate.
496. A facility submitted a Form R for isopropyl alcohol, CAS number 67-
63-0, but does not manufacture the toxic chemical by the strong acid pro-
cess. How should the facility notify EPA about the correction?
The facility should submit a withdrawal request to the EPA's EPCRA Report-
ing Center clearly stating why the original isopropyl alcohol submission should
be removed. In this request, the facility should give the reporting year and the
name of the chemical in question as well as a contact name and phone number.
EPA will take action on the request based on the information provided by the
facility. If EPA approves the withdrawal request, the data will be removed
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EPCRA Section 313 Questions and Answers
SECTION 5
from the EPA Database, TRIS. The, facility will be notified whether the request
is approved or not. The request should also be copied and sent to the state/
Indian Country for their information.
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SECTION 5
EPCRA Section 313 Questions and Answers
154
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EPCRA Section 313 Questions and Answers
SECTION 6
Supplier
Notification,
Notification
Date
Supplier
Notification,
Thresholds
Supplier
Notification,
De minimis
Exemption
Supplier
Notification,
De minimis
Exemption
Supplier
Notification,
SIC Code
Section 6. SUPPLIER NOTIFICATION (See Appendix A: Section 313
Policy Directive #9 Supplier Notification)
497. By what exact date must supplier notification be done?
A supplier must notify each customer of any toxic chemical present in a mix-
ture or trade name product with at least the first shipment of the mixture or
trade name product in each reporting year (40 CFR Section 372.45(c)(l)).
498. Companies are required to notify their customers of the presence of
h'sted toxic chemicals hi the products sold to them, regardless of the. vol-
ume of those toxic chemicals. Why are there no supplier notification
thresholds for Section 313?
No lower limit was placed on the volume of toxic chemicals distributed to
customers of suppliers because EPA cannot predict what combination of
volumes will trigger a threshold for any given user/processor of mixtures and
trade name products.
499. Is a facility subject to supph'er notification requirements if it distrib-
utes products containing more than the de minimis level of a listed metal
compound?
Yes, if you are in SIC codes 20-39 and you distribute these products to other
facilities in covered SIC codes, you are subject to the supplier notification
requirements. Articles and consumer products are exempt from supplier
notification; however, if the supplier has knowledge that articles are distributed
to customers whose use will negate the article exemption, he/she should
provide notification of toxic chemicals present in the articles.
500. Does a supplier have to tell a customer that a Section 313 toxic chemi-
cal is present below the de minimis level (1.0 percent; or 0.1 percent tor
OSHA carcinogens)?
No. Such information is not required.
501. Do supplier notification requirements apply only to a situation where
the customer is in SIC code 20 through 39 and has more than 10 employ-
ees?
A company in SIC codes 20-39 is responsible for providing supplier notifica-
tion to all facilities in covered SIC codes with 10 or more employees, and to
customers who in turn may sell or distribute to facilities in a covered SIC code.
Such a customer may be a wholesale distributor who is not in a covered SIC
code bat sells to other facilities in a covered SIC code. Facilities in a covered
155
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SECTION 6
EPCRA Section 313 Questions and Answers
Supplier
Notification,
Mixtures,
Chemical
Conversion
Mixtures,
Supplier
Notification
Supplier
Notification
Supplier
Notification,
Sales Satnples
SIC code but not in SIC codes 20-39, however, are not required to initiate
supplier notification.
502. Are some mixtures of Section 313 listed toxic chemicals exempted
from the supplier notification requirements? A mixture as defined in
EPCRA Section 313 does not include a combination of toxic chemicals
produced as the result of a chemical reaction (40 CFR Section 372.3).
Mixtures are not exempt from supplier notification unless the amount of the
toxic chemical in the mixture is below de minimis levels. A mixture is defined
as a combination of two or more chemicals if the chemicals are not part of a
wastestream and they were not combined as a result of a chemical reaction.
However, if this combination was formed by a toxic chemical reaction but
could have been formed without one, it is also considered a mixture. Any other
combination formed by a chemical reaction is not considered a mixture. If a
listed toxic chemical is present in a mixture at a concentration below the de
minimis level, this quantity of the substance is exempt from Section 313
supplier notification requirements.
503. Is supplier notification required for mixtures of water and a listed
acid if the facility distributes the mixture under the name of the acid?
Note that EPA interprets mixture to exclude for example, a water and
phosphoric acid mixture distributed as phosphoric acid.
Supplier notification would be required for mixtures of water and an acid as
with any other mixture, regardless of the name it is distributed under if the
concentration of the Section 313 chemical in the mixture is greater than the de
minimis level.
504. 40 CFR Section 372.45(b)0) states that to fulfill the supplier notifica-
tion requirement the notification shall include "a statement that the mix-
ture or trade name product contains a toxic chemical or toxic chemicals
subject to the reporting requirements of Section 313..." Does a facility
have to include the word "toxic" in its notifications?
The word "toxic" does not have to appear in the statement to fulfill the require-
ment of 40 CFR Section 372.45(b)(l). However, the statement should clearly
state that the toxic chemical is subject to EPCRA Section 313.
505. Are sales samples covered for purposes of supplier notification?
Sales samples are covered unless they meet one of the stated exemptions in 40
CFR Section 372.45(d) of the regulation, such as articles or products distrib-
uted to the general public.
156
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EPCRA Section 313 Questions and Answers
SECTION 6
Supplier
Notification,
Consumer
Product
Exemption
Supplier
Notification,
Distributors
Supplier
Notification,
Distributors
Supplier
Notification,
Negative
Declaration
Supplier
Notification,
Distributors
506. A company that makes conveyors for \tott\mgfacilities also sells small
cans of spray paint to them for use in touch-ups of the paint on the convey-
ors. The paint is not distributed to or used by the general public. Is the
company exempt from supplier notification under the consumer, product
exemption because the paint is packaged and used like a consumer item?
(40 CFR Section 372.45(d)(2)(ffi))
No. The exemption does not apply because the paint is not packaged for
distribution to the general public.
507. Is supplier notification required for distributors in SIC codes other
than 20-39 which do not "manufacture" or "process" listed toxic chemicals
or mixtures containing toxic chemicals!
Distributors in SIC codes outside of 20-39 who do not "manufacture" or
"process" toxic chemicals are not required to prepare notice that the mixture or
trade name products which they distribute contain a toxic chemical. They
should, however, pass along such notices prepared by their supplier to any
facility in a covered SIC code who purchases a mixture or trade name product
containing a toxic chemical.
508. If a distributor does not receive supplier notification from his/her
supplier, will he/she be in violation for not sending the supplier notifica-
tion with his/her first shipments to other covered facilities or facilities who
will in turn send it to covered facilities'!
No, if the secondary supplier does not receive the information, he/she cannot
develop a notice.
509. A manufacturer lists toxic chemicals on Section n of the MSDS under
hazardous ingredients: it is possible that none of the toxic chemicals listed
are subject to Section 313 reporting. Is the supplier required to state that
none of the chemicals are subject to 313 reporting, removing the need for
customers to audit Section n?
A manufacturer is required, and a supplier should include, the Section 313
statement in their MSDS if one or more of the toxic chemicals in the mixture or
trade name product are listed Section 313 toxic chemicals. Thefacility is not
required to make a "negative declaration" that none of the components in the
mixture are subject to Section 313. A manufacturer or supplier may, -however,
provide this statement on its own initiative.
510. To what extent is a facility covered under 40 CFR Section 372.45
required to determine if the facility receiving a shipment distributes the
toxic chemical to a manufacturer?
157
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SECTION 6
EPCRA Section 313 Questions and Answers
Supplier
Notification,
Distributors
Supplier
Notification,
Auxiliary
Facilities
Supplier
Notification,
Repackaging
The facility should use the best available knowledge. The manufacturer of the
mixture must send the supplier notification to the "middle man" distributor if
he/she has a reasonable basis to conclude that the distributor provides the
product to covered facilities. Such a conclusion could be based on the nature
of the product and its intended market.
511. Is supplier notification required for products produced by a facility
and then distributed directly to a manufacturing/ac/% or through a
distributor to another manufacturer?
Yes, supplier notification is required in both instances. The intent is to provide
a notification that will be passed on by the non-covered distributor. That
distributor may be transhipping, relabeling or even repackaging, but because
they are not in the covered SIC codes, they are not required to develop and
distribute such notice. They are encouraged to pass the notice through to their
customers.
512. A company distributes toxic chemicals through satellite/actfitfes.
MSDSs are distributed from a central/aci%. The MSDSs arrive either
prior to or after the shipment of the toxic chemical. Is it acceptable for the
supplier notification to be attached to the MSDS and for current distribu-
tion operations to remain the same? If not, must the supplier notification
be sent in the same package as the chemical?
No, the requirement states that the notice must accompany at least the first
shipment during the year to a customer. If the MSDS does not accompany that
shipment then the supplier notification must still be sent in the package. The
MSDS, however, also must incorporate or have attached to it the supplier
notification information.
513. A covered facility repackages and distributes some toxic chemicals
manufactured by other companies. Is the facility responsible only for
passing on the manufacturer's information to its customers or is it re-
quired to provide supplier notification?
The repackaging/flcz/zYy must provide supplier notification to its customers
only if it is in SIC codes 20-39. If the only information the facility knows is
from the MSDS, all it can do is provide this same information to its customers.
If the facility knows the product contents or concentrations are different from
what appear on the supplier's notice, the facility must provide the more accu-
rate information to its customers. EPA suggests, but does not require, that the
repackager inform the supplier of the inaccuracy in their MSDS.
If the facility is not in SIC codes 20-39 but is a newly covered facility begin-
ning in 1998, it would not be required to initiate supplier notification. It
158
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EPCRA Section 313 Questions and Answers
SECTION 6
Trade Name,
Generic Name,
Part U Section 1
Supplier
Notification,
CAS Number
MSDS
Supplier
Notification,
MSDS
should, however, pass along such notices prepared by their supplier to any
facility in a covered SIC code who purchases a mixture or trade name product
containing a toxic chemical.
514. MSDSs for the solvents we use give trade names or generic names
only. Do we have to contact the manufacturer for more information to
report under Part n of Form R?
If a trade name or generic name is provided and if the presence of a Section
313 toxic chemical is known, then that can be reported in Part n Section 2 of
the Form R. Suppliers are required to provide the identity of the listed toxic
chemical (CAS number and toxic chemical name) and concentration in mix-
tures. The manufacturer may claim the information trade secret, but must
provide a name that is descriptive of the toxic chemical, provide at least an
upper bound concentration in the mixture, and indicate that the mixture con-
tains a toxic chemical (40 CFR Section 372.45(e)).
515. I own a small chemical company that supplies some Section 313 toxic
chemicals to customers. My customers are requesting MSDS information
and want the CAS number for every toxic chemical in my mixtures. I
thought I only had to supply that information for the listed toxic chemi-
cals.
If you wish, you may provide them with the CAS numbers for all of the toxic
chemicals in your mixtures, but under Section 313 you are only required to
provide information on the listed toxic chemicals (i.e.. those toxic chemicals
and chemical categories subject to reporting under Section 313).
516. Is a company required to contact suppliers if an MSDS sheet does not
contain complete or consistent language and/or information?
No. The company must use the best information at hand, but the EPCRA
regulations do not require them to contact the supplier. If, however, the com-
pany does voluntarily contact the supplier and the supplier provides more .
detailed information then that becomes the "best" information and the facility
must use it.
517. A facility produces industrial non consumer products and includes
supplier notification information on the product label. Is this sufficient?
Must the MSDS be distributed as the primary vehicle of notification?
Inclusion of Section 313 supplier notification information on the product label
will satisfy the notification requirements. However, the regulations state that if
the products are required to have an MSDS then the supplier notification must
159
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SECTION 6
EPCRA Section 313 Questions and Answers
Supplier
Notification,
MSDS
Supplier
Notification,
MSDS
Supplier
Notification,
Notification
Letter
Supplier
Notification,
Pesticide
Supplier
Notification,
Mixtures,
Chemical
Categories
be included with the MSDS for those non-consumer products. But the MSDS
does not have to be distributed as the primary vehicle of notification.
518. The supplier notification provision requires that the notice be at-
tached to the MSDS for the first shipment, if an MSDS is required. What
options would a facility have to give this notice if no MSDS were required
under OSHA for the shipment?
The facility may use a number of other mechanisms such as a letter, a label, or
a written notice within whatever shipping papers accompany the shipment.
519. EPA states in the preamble to the rulemaking on the supplier notifi-
cation requirements that the notification must be attached to the MSDS
and must not be detached. However, MSDSs must be submitted only one
time unless changes are made, while the supplier notification must be
submitted annually. How should this inconsistency be handled?
The supplier notification is to be part of the MSDS if the product is required to
have an MSDS. If an MSDS is not required for the product, .the notice must be
in writing. Thus, in subsequent years, the supplier should submit the notifica-
tion in writing.
520. Would EPA accept an annual notification by letter to customers as
satisfying the supplier notification provisions under 40 CFR Part 372,
Subpart C?
Once customers have been supplied with the MSDS containing the Section 313
information, then it would be acceptable for a facility to refer to the MSDS by
letter in subsequent years, provided the customer has the most current version
of the MSDS. The letter must accompany the first shipment of the mixture or
trade name product for the year. Also, the supplier notification regulations
require that a new notification be provided when the presence or composition
of a listed toxic chemical in the product changes.
521. Is supplier notification required for pesticide products packaged for
distribution to the general public?
If the pesticides products are distributed for use by the general public, supplier
notification is not required (40 CFR Section 372.45(d)(2)(iii)).
522. If a mixture contains a listed toxic chemical compound that is a
member of a reportable Section 313 toxic chemical category, how should
that be addressed on the supplier notification? Is it acceptable to provide
the percent of the parent metal?
160
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EPCRA Section 313 Questions and Answers
SECTION 6
Supplier
Notification,
Pure Chemical,
Trade Name
Supplier
Notification,
Import
Supplier
Notification,
Waste
Supplier
Notification,
Infra-company
Transfers
If a mixture contains a toxic chemical compound (e-g^, 12 percent zinc oxide)
that is a member of a reportable chemical category (e.g.. zinc compounds), the
supplier is required to notify his/her customers that the mixture contains a zinc
compound at 12 percent by weight. Supplying only the weight percent of the
parent metal (zinc) does not fulfill the requirement, but may be provided to aid
receiving facilities in estimating releases. The customer must be told the
weight percent of the entire compound for threshold determinations.
523. Do the supplier notification requirements under 40 CFR 372.45
require notification for a shipment of a pure (i.e.. 100%) toxic chemical
that has not been assigned a trade name?
A manufacturer is not required to provide supplier notification for a pure toxic
chemical (i.e.. a product labeled with the listed Section 313 chemical or identi-
fied by CAS number). The identity of the toxic chemical will be known based
on label information and CAS numbers as long as a trade nariie is not used.
Supplier notification applies to mixtures and trade name products.
524. How will the supplier notification work for imported products - do
exporters from Japan have to comply?
No. Foreign suppliers are not required to comply with supplier notification.
However, under the Toxic Substance Control Act (TSCA), an importer must
certify that the chemicals in the imported mixture, as well as pure substances,
meet the TSCA requirements. Therefore, the importer should have requested
content and composition data on imported mixtures.
525. A. facility sends empty drums containing toxic chemicals residue to a
drum recycler (within a covered SIC code.) Must the facility provide
supplier notification?
jp
No, the supplier notification requirement only applies to mixtures and trade
name products that are supplied or distributed. The only toxic chemicals being
transferred are in the form of waste, and notification does not apply to wastes.
526. Do transfers of products or materials from one of our company's
facilities to another require supplier notification?
Yes. The language of the regulations cover material that it "sells or otherwise
distributes." In this sense, the "otherwise distributes"4anguage would apply to
intra-company transfers. However, if the company has developed an internal
communications procedure that alerts their other facilities to the presence and
content of toxic chemicals in their products, then the Agency would accept this
as satisfying the supplier notification requirement.
161
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SECTION 6
EPCRA Section 313 Questions and Answers
Supplier
Notification,
Multi-
Establishment,
SIC Code
Supplier
Notification,
Manufacture
Supplier
Notification,
Activity
Thresholds
527. A multi-establishment facility is not covered (i.e.. does not meet the
SIC code criterion) but one of the establishments within the facility is
within a covered SIC code. Does the language "facility or establishment" in
the supplier notification part of the EPCRA Section 313 regulations sub-
ject this one establishment to the supplier notification provisions?
No. EPA has determined as a matter of policy that the phrase "or establish-
ment" does not extend coverage of the supplier notification provisions beyond
that of a "facility" as defined by 40 CFR Section 372.22 (b) of the regulations.
Therefore, in the case of a multi-establishment facility not subject to the regu-
lations, an establishment in a covered SIC code within that facility would not
be requked to provide Section 313 supplier notification. However, the Agency
encourages such an establishment to comply voluntarily so that its customers
will have the information necessary to make proper compliance determinations
under the Section 313 rules. The "or establishment" language provides an
option similar to that available to establishments that submit reports as a part of
a covered facility. For example, if only one establishment in a covered facility
is actually distributing a product containing a toxic chemical then that estab-
lishment may assume the supplier notification responsibility for that facility.
528. Is a facility owner/operator responsible for preparing EPCRA Sec-
tion 313 supplier notification information for a mixture or trade name
product which contains a listed toxic chemical that they did not "manufac-
ture?"
Yes, the owner/operator may be responsible. The requirement for developing
supplier notification for a mixture or trade name product containing a listed
toxic chemical is the responsibility of the facility in SIC codes 20-39 that
"manufactures" or "processes" a Section 313 toxic chemical and sells or
otherwise distributes a mixture or trade name product containing that toxic
chemical.
529. A manufacturing/aciVzYy "otherwise uses" nitric acid to clean reaction
vessels. The same facility also buys nitric acid solution (bought as "Trade
Name X") and resells it to other customers (no repackaging or relabeling
of the solution takes place). Is the owner operator of the manufacturing
facility in SIC codes 20-39 required to develop supplier notification for the
nitric acid it sells under 40 CFR Section 372.45?
No. A manufacturing facility in SIC codes 20-39 is required to prepare and
distribute supplier notification if it"... 'manufactures' (including imports) or
'processes' a toxic chemical..." and... "sells or otherwise distributes a mixture
or trade name product containing the toxic chemical..." to a facility that is
requked to file Form Rs or to a person who may sell or otherwise distribute
such mixture or trade name product to a covered facility (40 CFR Section
_
162
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EPCRA Section 313 Questions and Answers
SECTION 6
Supplier
Notification,
Pure Chemical,
Concentration
Supplier
Notification,
Article
Exemption
Supplier ,
Notification,
Applicability,
Article
Exemption,
372.45(a)(2) and (3)). In the above example, the manufacturing facility does
not "manufacture," import, or "process" nitric acid (it only "otherwise uses"
nitric acid) and so is not required to develop supplier notification for the nitric
acid it sells. However, if a supplier notification is provided with Trade Name
X nitric acid solution, the manufacturing facility is encouraged to pass this
information along to its customers. (Note: if a supplier notification is incorpo-
rated in or attached to the MSDS received by the manufacturing facility with
the Trade Name X nitric acid solution it buys, "...any copying and redistribu-
tion of the MSDS shall include copying and redistribution of the notice at-
tached to copies of the MSDS subsequently redistributed" (40 CFR Section
372.45(c)(5)).
530. Under 40 CFR Section 372.45, supplier notification is required for
mixtures and trade name products containing listed toxic chemicals. The
notification is not required for toxic chemicals labeled as pure. If a facility
covered by the supplier notification requirements receives a substance
which is labeled as a toxic chemical but no concentration is given, are they
required to notify the recipient when selling or otherwise distributing the
substance?
No, supplier notification is not required for pure substances labeled as the toxic
chemical. If a substance is labeled as a toxic chemical and no concentration is
given, then the processor (supplier) and the recipient of the toxic chemical
should consider it to have a concentration of 100 percent.
531. A manufacturer distributes an item to its customers. Some of the
customers use the item in such a way that allows them to claim the "article
exemption." (40 CFR Section 372.38(b)). However, some of the customers
utilize the supplied item in such a way that negates the article exemption.
When should the manufacturer provide a supplier notification for the
items it distributes since it is not required to provide such a notification for
articles (40 CFR Section 372.45(d)(l)(i)), and may not know the end result
of the distributed items?
If the manufacturer knows that normal "processing" or "otherwise use" of the
item by recipients would not negate its article status, no notification is neces-
sary. If, however, the manufacturer believes the recipient may use an item in
such a way that negates its article status, the manufacturer must provide a
notification to that recipient.
532. A company manufactures metal parts which it sends to an electro-
plating job shop to be plated, and which are then returned. Is this manu-
facturing company considered to be a "supplier" and thus subject to
supplier notification?
163
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SECTION 6
EPCRA Section 313 Questions and Answers
Electroplating
Supplier
Notification,
Article
Exemption
Supplier
Notification,
Paint,
Janitorial
Products
Supplier
Notification,
Consumer
Product
Exemption
Supplier
Notification,
Concentration
Supplier
Notification,
Corporate
Headquarters
No, if the metal parts can be considered articles. In that case, the manufactur-
ing company is not considered to be a supplier to the owner and does not need
to meet the requirements for supplier notification.
533. A facility manufactures paper products. Is the facility subject to the
supplier notification provision of Section 313?
A paper product can generally be considered an article. Supplier notification
would be required only if the release of a toxic chemical occurred upon further
"processing" or "otherwise use" by a covered manufacturing facility of those
products. This .release would negate the article status of the product.
534. Are manufacturers shipping "maintenance products" such as paint
or janitorial products exempt from supplier notification since they are
exempt from threshold determinations by the receiving/aci/iYy?
No. These manufacturers are still required to provide the supplier notification.
535. Company A packages a listed chemical as a root destroyer and sells it
to Company B, who then sells it directly to the public. (Company B does
not use the product commercially and is not in a covered SIC code.) Is this
considered a consumer product and thus considered to be exempt from
supplier notification provisions (40 CFR Section 372.45(d)(2)(iii))?
Yes, the product is exempt from supplier notification because it is being pack-
aged for sale to the public. Even if the product were being used commercially
by Company B, no supplier notification would be required because Company
B is not hi the covered SIC codes.
536. When a manufacturer considers the actual weight percent concentra-
tion of atoxic chemical in a mixture to be a trade secret, the Section 313
final rule states that an upper bound concentration can be used, but can
be no larger than necessary to adequately protect the trade secret. Does
that mean that a lower bound (i.e.. not less than 5 percent) or a range
(5-10 percent) is not acceptable in a supplier notification?
A lower bound is not acceptable. A range that includes the upper bound
concentration is acceptable. An upper bound was chosen so the user would not
underestimate the quantity for purposes of threshold and release determina-
tions and other waste management estimates.
537. A manufacturing/aaftYy 's required to provide a Section 313 supplier
notification for a mixture. One of the facilities receiving the supplier
notification has requested that its notification go to that facility's corporate
headquarters, and the headquarters has guaranteed that they will deliver
164
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EPCRA Section 313 Questions and Answers
SECTION 6
Supplier
Notification,
De minimis
Exemption,
Chemical
Compounds
Supplier
Notification,
Concentration
Supplier
Notification,
Concentration
the notification to the facility. By sending the notification to the corporate
headquarters, is the manufacturing/a«7#y fulfilling its supplier notifica-
tion requirement even though the manufacturing/aciftYy is not directly
giving the notification to the facility to which it supplies the chemical?
As long as the corporate headquarters can guarantee that the receiving/aa'/ify
will obtain the notification by the first shipment in the reporting year, the
manufacturing facility is fulfilling its supplier notification requirement by
sending the notification to the corporate headquarters as requested.
538. A manufacturing/ac/% distributes a mixture containing three
different manganese compounds. Each manganese compound, taken
separately, would be below the de minimis level for Section 313 reporting.
However, if the three manganese compounds are added together, the de
minimis level is exceeded. Is this facility required to fulfill the supplier
notification requirement (40 CFR Section 372.45) for this mixture"!
The compounds are included in the manganese compound category. Therefore,
the facility must add together the weight percent of all manganese compounds
when making de minimis and threshold determinations. Since the percent of
manganese compounds exceeds the de minimis level, the facility would have to
fulfill the supplier notification requirements for this mixture.
539. A facility in SIG code 28 distributes a product containing nitric acid,
a listed toxic chemical to other covered facilities and therefore is required
to provide these other covered facilities with supplier notification. The
concentration of nitric acid in the product varies from batch to batch. The
facility knows the concentration of nitric acid in each batch. Can this
facility give a range of concentration for the nitric acid in this product in
order to fulfill its supplier notification requirement?
No. Every time a concentration of a toxic chemical in a mixture changes, the
supplier must provide an updated notification with the new concentration.
Therefore, this facility cannot provide a concentration range value in order to
fulfill the notification requirement. Instead, the facility must provide a new
notification with each product that has a different concentration of the listed
toxic chemical.
540. Is there any margin of error allowed in the weight percent listed in a
supplier notification (i.e.. +/- 0.5 percent)?
The Agency does not specify any margin of error or degree of precision in the
percentage figures for the notice.
165
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SECTION 6
EPCRA Section 313 Questions and Answers
Supplier
Notification,
Trade Secret
Supplier
Notification,
Trade Secret
Supplier
Notification,
Consumer
Product
Exemption
541. A facility is required to provide the supplier notification (40 CFR
Section 372.45) for some of its products that contain listed toxic
chemical(s). The products contain antimony compounds, a listed toxic
chemical category. However, the facility considers the chemical names of
the antimony compounds in then* products a trade secret. Does this
facility have to give the exact chemical names of these antimony com-
pounds hi order to fulfill the supplier notification requirement?
No, tbis facility's antimony compounds are not specifically listed in the Section
313 toxic chemicals list; however, they do fall into the antimony compounds
category. Since the name of the toxic chemical is not listed, the facility does
not need to provide the chemical name to fulfill the supplier notification
requirement. Tins facility needs to identify that the products contain an anti-
mony compound subject to Section 313, the concentration of the compound in
the mixture, and the stoichiometric amount of antimony in the compound.
542. Regarding supplier notification, when a facility decides that it will
consider a toxic chemical component of a product as a trade secret, is it
required to fill out and submit a substantiation form under provisions of
Section 322?
No. The trade secret conditions in the supplier notification provisions of the
regulations apply to applicable state law, not to EPCRA Section 322. Facilities
are, however, required to keep a record of the reasons for considering specific
chemical identity or composition a trade secret.
543. The preamble to the Section 313 final rule (53 FR 4510; February 16,
1988) states that consumer product exemptions similar to those found in
the OSHA Hazard Communication Standard (HCS) and the regulations
implementing Sections 311 and 312 of EPCRA are incorporated into the
Section 313 supplier notification provision (53 FR 4510). The consumer
product exemptions under OSHA HCS and EPCRA Sections 311 and 312
are broader than the exemption that is listed hi the Section 313 final rule.
The Code of Federal Regulations (CFR) implementing Section 313 ex-
empts from supplier notification, "(a)ny consumer product as the term is
defined in the Consumer Product Safety Act packaged for distribution to
the general public" (40 CFR Section 372.45(d) (in)).
OSHA HCS has a broader exemption that includes consumer products or
hazardous substances that will be used in the workplace in the same
manner as normal consumer use, and which results in a duration and
frequency of exposure that is not greater than exposures experienced by
consumers (52 FR 31878; August 17,1987).
166
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EPCRA Section 313 Questions and Answers
SECTION 6
Supplier
Notification
Section 311(e) expands the consumer product exemption to include sub-
stances to the extent they are present in the same form and concentrations
as a product packaged for distribution and use by the general public (40
CFR Section 370.2 "Hazardous Chemicals").
A. facility "manufactures" 16-ounce boxes of a detergent that contains a
Section 313 toxic chemical. The facility primarily distributes its detergent
to consumers, however, it distributes to some covered facilities also used by
industry. The Consumer Product Safety Act defines the detergent as a
consumer product.
The manufacturer distributes the 16-ounce boxes of detergent to three
facilities within a covered SIC code. Each facility uses the detergent in a
different way. The first facility exclusively uses the detergent to supply the
company lunchroom for the employees to wash their dishes. The second
facility uses the detergent hi industrial size washers to clean metal articles.
The third/aci'/zty uses the detergent to clean and degrease their distillation
towers.
To which of these facilities would the manufacturer be required to provide
supplier notification?
The manufacturer would not be required to include supplier notification with
the shipment of the 16-ounce boxes of detergent sent to any of these facilities.
For the product to be exempt from supplier notification under 40 CFR Section
372.45(d)(2)(iii), it must be packaged for distribution to the general public.
This detergent is being distributed to covered facilities in the same form that it
is packaged for distribution to the general public (i.e.. the 16-ounce box).
Therefore, no supplier notification is required. If the same detergent was sold
to manufacturing facilities in drums or other "industrial quantity" packages,
then supplier notification would be required, regardless of the end use at the
facility.
544. The requirements for supplier notification for mixtures or trade name
products containing listed toxic chemicals, are found in 40 CFR Section
372.45. The requirements specify in Section 372.45(a) that supplier notifi-
cation is required for persons who meet the following criteria:
1. Is in SIC codes 20-39;
2. "Manufactures" (including imports) or "processes* a toxic chemical;
and
3. Sells or otherwise distributes a mixture or trade name product contain-
ing the toxic chemical.
167
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SECTION 6
EPCRA Section 313 Questions and Answers
Supplier
Notification,
Deleted
Chemicals
Supplier
Notification,
Effective Date,
New Chemicals
When the second criterion says a "toxic chemical" does this refer to the
toxic chemical being distributed or to any toxic chemical which is "manu-
factured" or "processed" at the facility'! For example, a person "processes"
benzene at their facility and also distributes a mixture containing xylene
which they buy from another facility. The xylene is simply redistributed,
not "processed," by the facility. Is a supplier notification required for the
mixture which contains xylene because the facility "processed" benzene?
When the second criterion says a -'toxic chemical," it is referring to the toxic
chemical in the mixture which is being distributed from the facility. Therefore,
a. facility owner/operator would not be responsible for preparing a supplier
notification for a mixture that contains a toxic chemical that he/she did not
"manufacture" or "process." The requirement for developing a supplier
notification for a mixture is ultimately the responsibility of the facility which
"processed" or "manufactured" the toxic chemical in the mixture. The facility
that is redistributing the toxic chemical is not repackaging it and thus is not
"processing" it.
545. The regulations at 40 CFR Section 372.45(c)(l) state that "the person
shall provide the written notice described hi paragraph (b) of this Section
to each recipient of the mixture or trade name product with at least the first
shipment of each mixture or trade name product to each recipient in each
reporting year beginning January 1,1989." Is the supplier required to
notify customers if a Section 313 toxic chemical that is present in the
mixture is later delisted by EPA, since the chemical is no longer a Section
313 toxic chemical?
As stated in 40 CFR Section 372.45(c)(l), the supplier is only required to
notify recipients if the mixture or trade name product contains a listed toxic
chemical. The supplier is not responsible for providing modified notice as an
immediate result of the Agency's delisting activity. If the mixture contains
other Section 313 toxic chemicals, then the supplier would simply delete the
delisted chemical from the next year's notification.
546. When must I begin providing a supplier notification (40 CFR Section
372.45) for a newly added chemical?
For a chemical added on or after January 1 and before December 1 of any
reporting year, supplier notifications are to be provided with the first shipment
of the chemical in the following reporting year and every year thereafter. For
example, a chemical added on April 1,1998, requires a notification beginning
with the first shipment of the chemical in the 1999 reporting year.
For a chemical added on or after December 1 of any reporting year and before
January 1 of the next reporting year, supplier notifications are to be provided
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SECTION 6
Supplier
Notification,
Mass Mailing
with the first shipment of the chemical in the year following the next reporting
year and every year thereafter. For example, a chemical added on December
10,1998, requires a notification beginning with the first shipment of the
chemical in the 2000 reporting year.
547. Could a manufacturer do a mass mailing of notifications to all cus-
tomers at one time in the beginning of the year instead of sending an
individual supplier notification with each shipment?
Yes. Note that the regulations require that supplier notification be made to
each customer by "at least the first shipment," so the timing of the mass mail-
ing is important. Also, the notification must be included with the MSDS if one
is required for the product. The supplier also must be cautious of formulation
changes that would occur between the mass mailing and the actual first ship-
ment.
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SECTION 7
Trade Secret,
Chemical
Identity
Trade Secret,
Pan I Section
2.1
Trade Secret,
Confidentiality
Agreement,
Public
Disclosure
Trade Secret,
Public
Disclosure,
Confidentiality
Agreement,
Foreign
"overrun
Section 7. TRADE SECRETS
548. How can the identity of a listed toxic chemical be protected from
disclosure for trade secrecy purposes?
Section 313 allows only the specific identity of a toxic chemical to be claimed
as a trade secret. The rest of Form R must be completed. This information is
accessible to the public, including information on releases and other waste
management of the toxic chemical. For trade secrecy claims, two versions of
the Form R (one identifying the toxic chemical, the other containing only a
generic chemical identity) and two versions of a trade secret substantiation
form (July 28, 1988; 53 FR 28772) must be completed and sent to EPA.
549. On the Form R, if I do not check the "Trade Secrets" box in Part I
Section 2.1, what other blocks can I leave blank? Do I still have to fill in
the CAS number?
If the toxic chemical for which you are reporting is not a trade secret, you may
leave the boxes in Section 2.2 blank. The CAS number, however, must be
filled in along with the toxic chemical name (Part II Section 1.1 and 1.2). If
you are reporting for a toxic chemical category, no CAS number applies. If
you are claiming that the toxic chemical is a trade secret you must enter the
generic name in Part II Section 1.3.
550. For claiming trade secrets under EPCRA Section 313, would disclo-
sure, without a confidentially agreement to the state and/or city having
jurisdiction, negate a toxic chemical identity's trade secret status under
Federal provisions?
In general, disclosure of information claimed as trade secret to Federal, state or
local government officer or employee, or the reporter's own employee, would
not negate the claim of trade secrecy. However, disclosure of a toxic chemical
identity to any other person without a confidentiality agreement would negate
the toxic chemical identity's trade secret status under Federal Provisions.
Where a trade secret claim is made, state Governors are permitted to request
that EPA provide access to all materials relating to this claim. The decision to
provide information to any state employee is left to the Governor's discretion.
551. A company with both domestic and foreign operations wishes to
claim on a Form R that the identity of a TRI-listed chemical that it pro-
cesses is a trade secret. The company has entered into confidentiality
agreements with all nongovernment entities that have knowledge of the
identity and/or usage of the TRI chemical. These confidentiality agree-
ments prevent the nongovernment entities from disclosing information
about the chemical's identity or usage. The company, however, has not
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EPCRA Section 313 Questions and Answers
entered into a confidentiality agreement with one of the foreign govern-
ments where it operates because the government is required by its laws to
keep information regarding foreign business interests confidential. If the
company discloses the identity of the chemical to this foreign government,
is it required to report this disclosure on Trade Secret Substantiation
Form?
Yes. Because the company has not entered into a tangible confidentiality
agreement with the foreign government, it must report the disclosure on the
Trade Secret Substantiation Form. In other words, it should check "yes" when
answering question 3.2 on the Form. However, because the foreign
government's laws guarantee confidentiality of the TRI chemical's identity and
usage, regardless of the existence of a confidentiality agreement, the identity of
the chemical is protected; the company should explain this when answering
question 3.1 on the Form.
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APPENDIX A
APPENDIX A. SECTION 313 POLICY DIRECTIVES
This appendix contains in-depth descriptions of some of the more complex
issues involved in Section 313 reporting.
The questions and answers contained in the body of this document address
specific situations. For some issues, such as the de minimis and article exemp-
tions, however, multiple factors become involved in determining threshold and
release and other waste management calculations. These issues have generated
many inquiries and requests for clarification from regulated facilities. The
directives contained in this appendix provide comprehensive written interpreta-
tions of such issues. While the information contained in these directives is the
most up-to-date guidance available from EPA, no new policy information is
contained in this appendix that is not represented in other EPA documents.
If you feel you have specific circumstances or situations for which you need
additional EPA guidance, contact your Regional Section 313 coordinator or
call the Emergency Planning and Community Right-to-Know Information
Hotline at 1-800-535-0202, or 1-703-920-9877.
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EPCRA Section 313 Questions and Answers
DIRECTIVE #1 - ARTICLE EXEMPTION
Listed toxic chemicals contained in articles that are "processed" or "otherwise
used' at a covered facility are exempt from threshold determinations and
release and other waste management determinations. The exemption applies
when ^ae facility receives the article from another facility. The exemption only
applies to the quantity of the toxic chemical present in the article. If the toxic
chemical is "manufactured" (including imported), "processed," or "otherwise
used" at the covered facility other than as part of the article, in excess of an
applicable threshold quantity, the facility is required to report (40 CFR Section
372.38(b)). For a toxic chemical in an item to be exempt as part of an article,
the item must meet all of the following three criteria in the Section 313 article
definition; that is, the item must be one:
i) that is formed to a specific shape or design during "manufacture-"
ii) that has end use functions dependent in whole or in part upon its
shape or design during end use; and
iii) that does not release a toxic chemical under the normal circum-
stances of "processing" or "otherwise use" of the item at the
facility.
If, as a result of "processing" or "otherwise use," an item retains its initial
thickness or diameter, in whole or in part, it meets the first part of the defini-
tion. If the item's basic dimensional characteristics are totally altered during
"processing" or "otherwise use," the item does not meet the first part of the
definition. An example of items that do not meet the definition would be items
which are cold extruded, such as lead ingots which are formed into wire or
rods. On the other hand, cutting a "manufactured" item into pieces which are
recognizable as the article would not change the original dimensions as long as
the diameter and the thickness of the item remained the same; the article
exemption would continue to apply. Metal wire may be bent and sheet metal
may be cut, punched, stamped, or pressed without losing their article status as
long as the diameter of the wire or tubing or the thickness of the sheet are not
totally changed.
An important aspect of the article exemption is what constitutes a release of a
toxic chemical. Any "processing" or "otherwise use" of an article that results
in a release negates the exemption. Cutting, grinding, melting, or other "pro-
cessing" of a "manufactured" item could result in a release of a toxic chemical
during normal conditions of "processing" or "otherwise use" and, therefore,
negate the exemption as an article.
However, if the "processing" or "otherwise use" of all like "manufactured"
items at a facility results in a total release of 0.5 pounds or less of a toxic
chemical in a reporting year, EPA will allow this release quantity to be rounded
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APPENDIX A
to zero and the "manufactured" items remain exempt as articles. Facilities
should round off and report all estimates to the nearest whole number. The 0.5
pound limit does not apply to each individual article, but applies to the sum of
all releases from "processing" or "otherwise use" of all like articles. If all the
releases of like articles over a reporting year are completely captured and sent
for recycling/reuse oh-site or off-site, the items may remain exempt as articles.
Any amount that is released and is not recycled/reused will count toward the
0.5 pound per year cut-off value.
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DIRECTIVE #2 - DEMINIMIS EXEMPTION
The de minimis exemption allows facilities to disregard certain minimal con-
centrations of chemicals in mixtures or trade name products they "process" or
"otherwise use" when making threshold determinations and release and other
waste management determinations. The de minimis exemption does not apply
to the "manufacture " of a toxic chemical except if that toxic chemical is
"manufactured" as an impurity and remains in the product distributed in
commerce, or if the toxic chemical is imported below the appropriate de mini-
mis level. The de minimis exemption does not apply to a byproduct "manufac-
tured" coincidentally as a result of "manufacturing," "processing," "otherwise
use," or any waste management activities.
When determining whether the de minimis exemption applies to a listed toxic
chemical, the owner/operator should consider only the concentration of the
toxic chemical in mixtures and trade name products in process streams in
which the toxic chemical is undergoing a reportable activity. If the toxic
chemical in a process stream is "manufactured" as an impurity, imported,
"processed," or "otherwise used" and is below the appropriate de minimis
concentration level, then the quantity of the toxic chemical in that process
stream does not have to be applied to threshold determinations nor included in
release or other waste management determinations. If a toxic chemical in a
process stream is below the appropriate de minimis level, all releases and other
waste management activities associated with the toxic chemical in that stream
are exempt from EPCRA Section 313 reporting. It is possible to meet an
activity (e.g.. "processing") threshold for a toxic chemical on a facility-wide
basis, but not be required to calculate releases or other waste management
quantities associated with a particular process because that process involves
only mixtures or trade name products containing the toxic chemical below the
de minimis level.
Once a toxic chemical concentration is above the appropriate de minimis level
in the process stream, threshold determinations and release and other waste
management determinations must be made, even if the chemical later falls
below the de minimis level in the same process stream. Thus, all releases and
other quantities managed as waste that occur after the de minimis level has
been exceeded are subject to reporting. If a toxic chemical in a mixture or
trade name product above de minimis is brought on-site, the de minimis
exemption never applies.
The 0.1% de minimis levels are dictated by determinations made by the Na-
tional Toxicology Program (NTP), Annual Report on Carcinogens, the Interna-
tional Agency for Research and Cancer (IARC) Monographs, or 29 CFR part
1910, subpart Z. Therefore, once a chemical's status under NTP, IARC, or 29
CFR part 1910, subpart Z indicates that the chemical is a carcinogen or poten-
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APPENDIX A
tial carcinogen, the reporting facility may disregard levels of the chemical
below the 0.1% de minimis concentration provided that the other criteria for
the de minimis exemption is met. De minimis levels for chemical categories
apply to the total concentration of all chemicals in the category within a mix-
ture, not the concentration of each individual category member within the
mixture.
1. De Minimis Application to the "Processing" or "Otherwise Use" of a
Mixture
The de minimis exemption applies only to the "processing" or "otherwise
using," of a listed toxic chemical in a mixture. Threshold and release calcula-
tions begin at the point where the chemical exceeds de minimis. If a listed toxic
chemical is present in a mixture at a concentration below the de minimis, level,
this quantity of the substance does not have to be included for threshold deter-
mination, release and other waste management reporting, or supplier notifica-
tion requirements. The exemption will apply as long as the mixture containing
de minimis amounts of a toxic chemical never goes above the de minimis limit.
Also, see below the two examples in which a "manufacturing" activity would
qualify for the de minimis exemption.
Examples of "Process" and "Otherwise Use" Scenarios
There are many cases in which the de minimis "limit" is crossed or recrossed
within a "process" or "otherwise use" scenario. The following examples are
meant to illuminate these complex reporting scenarios. These applications are
further described in the general Section of the Toxic Chemical Release Inven-
tory Reporting Form R and Instructions.
A. Example of Increasing Process Concentration to Above De minimis Levels
A manufacturing facility receives toluene which contains less than the de
minimis concentration of chlorobenzene. Through distillation, the chloroben-
zene content in process streams is increased over the de minimis concentration
of 1 percent. From the point at which the chlorobenzene concentration exceeds
1 percent in process streams, the amount present must be factored into thresh-
old determinations and release and other waste management estimates. The
facility does not need to consider the amount of chlorobenzene in the raw
material, i.e.. when below de minimis levels, when making threshold determi-
nations. The facility does not have to report emissions of chlorobenzene from
storage tanks or any other equipment where the chlorobenzene content is less
than 1 percent.
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EPCRA Section 313 Questions and Answers
B. Example of Fluctuating Process Concentration
A manufacturer produces an ink product which contains toluene, a listed toxic
chemical below the de minimis level. The process used causes the percentage
of toluene in the mixture to fluctuate: it rises above the de minimis level for a
time but drops below the level as the process winds down. The facility must
consider the chemical toward threshold determinations from the point at which
it first exceeds the de minimis limit. Once the de minimis limit has been
crossed the exemption cannot be taken.
C. Example of Concentration Levels that Straddle the De minimis Level
A facility "processes" 9,500,000 Ibs. of mixtures containing 0.25-1.25% man-
ganese. Manganese is subject to 1% de minimis concentration exemption. The
amount of mixture subject to reporting is:
9,500,000 x (1.2-0.99)7(1.2-0.25) = 2,000,000 Ibs. non-exempt mixture
The average concentration above de minimis is 1.1%.
2,900,000 x 0.011 manganese = 22,000 Ibs manganese (below threshold)
In this example, because the facility's information pertaining to the toxic
chemical is available to two significant figures, the facility used 0.99 to deter-
mine the amount of the toxic chemical below the de minimis level. If the
facility has information pertaining to the chemical that is available only to one
significant figure, the facility should use 0.9.
2. De Minimis Application in the "Manufacture" of the Listed Chemical
in a Mixture
The de minimis exemption generally does not apply to the "manufacturing" of
a toxic chemical. The de minimis exemption may apply to mixtures and trade
name products containing toxic chemicals that are imported into the United
States. Another exception applies to toxic chemicals that are coincidentally
"manufactured" as impurities that remain in the product distributed in com-
merce at below the de minimis levels. The amount remaining in the product is
exempt from threshold determinations. If the chemical is separated from the
final product, thereby classifying the chemical as a byproduct, it cannot qualify
for the exemption. Any amount that is separated, or is separate, from the
product, is considered a byproduct and is subject to threshold determinations
and release and other waste management estimates. Any amount of a toxic
chemical that is "manufactured" in a wastestream must be accounted for on
Form R.
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APPENDIX A
A. Example of Coincidental "Manufacture" as a Product Impurity
Toluene 2,4-diisocyanate reacts with water to form trace quantities of
2,4-diaminotoluene. The resulting product contains 99 percent toluene
2,4-diisocyanate and CK05 percent 2,4-diaminotoluene. The
2,4-diaminotoluene would not be subject to Section 313 reporting nor would
supplier notification be required because the concentration of
2,4-diaminotoluene is below its de minimis concentration of 0.1 percent in the
product. Coincidental "manufacture "/production refers only to production of
a chemical via a chemical reaction.' It would not include separation of a
byproduct from a purchased mixture during a processing operation.
B. Example of Coincidental "Manufacture" as a Commercial Byproduct and
Impurity
Chloroform is a reaction byproduct in the production of carbon tetrachloride.
It is removed by distillation to a concentration of less than 150 ppm (0.0150%)
remaining in the carbon tetrachloride. The separated chloroform at 90 percent
concentration is sold as abyproduct. Chloroformis subject to a 0.1% (1000
ppm) de minimis level. Any amount of chloroform "manufactured" and
separated as byproduct must be included in threshold determinations because
the de minimis exemption does not apply to "manufacture" of a chemical.
Releases of chloroform prior to and during purification of the carbon tetrachlo-
ride should be reported. The de minimis level can, however, be applied to the
chloroform remaining in the carbon tetrachloride as an impurity. Because the
concentration of chloroform remaining in the cairbon tetrachloride is below the
de minimis level, this quantity of chloroform is exempt from threshold deter-
minations, release and other waste management reporting, and supplier notifi-
cation. .
C. Example of Coincidental "Manufacture" as a Waste Byproduct
A small amount of formaldehyde is "manufactured" as a reaction byproduct
during the production of phthalic anhydride. The formaldehyde is separated
from the phthalic anhydride as a waste gas and burned, leaving no
fomaldehyde in the phthalic anhydride. The amount of formaldehyde produced
and removed as waste must be included in threshold determinations and re-
lease and other waste management estimates even if the formaldehyde were
present below the de minimis level in the process stream where it was "manu-
factured" or in the wastestream to which it was separated.
The de minimis exemption also does not apply to situations where the
"manufactured" chemical is released or transferred to wastestreams and
thereby diluted to below the de minimis level.
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3.
De Minimis Levels Impact Supplier Notification Requirements
If the toxic chemical in a product (mixture or trade name product) is present
below the de minimis level for that toxic chemical, supplier notification is not
required for that chemical.
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APPENDIX A
DIRECTIVE #3 - MOTOR VEHICLE EXEMPTION
The use of "products containing toxic chemicals for the purpose of maintaining
motor vehicles operated by the facility" is exempt from threshold determina-
tions and release and other waste management reporting under Section 313.
This exemption includes toxic chemicals found in gasoline, diesel fuel, brake
and transmission fluids, oils and lubricants, antifreeze, batteries, cleaning
solutions, and solvents in paint used for touch up as long as the products are
used to maintain the vehicle operated by the facility. Motor vehicles include
cars, trucks, some cranes, forklifts, locomotive engines, and aircraft.
1.
Motor Vehicles Use Exemption Applies Only to "Otherwise Use" of Chemical
The exemption applies only to the "otherwise use" of these chemicals, not
their "manufacture" or "processing" for distribution in commerce. For ex-
ample, "manufacturing" gasoline is not exempt from reporting. Similarly, an
automobile manufacturer who places transmission fluids in automobiles before
shipping them would be "processing" the listed toxic chemical because the
fluid is being incorporated into an item that the facility distributes in com-
merce.
Releases from the storage of fuel or motor vehicle maintenance products are
exempt from reporting by virtue of the fact that their use is exempt. For ex-
ample, releases of listed toxic chemicals in gasoline stored on-site for use by
company owned vehicles, including vehicles from other facilities, are exempt
from inclusion w facility-wide release and other waste management determina-
tions, for those chemicals.
2. Motor Vehicle Use Exemption Does Not Apply to Stationary Equipment
The motor vehicle exemption does not apply to use of lubricants for stationary
process equipment such as pumps or compressors. Likewise, fuels used for
furnaces, boilers, heaters, or any stationary source of energy are not exempt.
3. Uses of Fuels in Stationary Equipment May Not Trigger Reporting
In many cases, refined petroleum or fossil fuels may not trigger reporting
because any Section 313 chemicals (e.g.. metals in fuel oil and coal) are
usually present at very low concentrations and are likely to be below the de
minimis concentration of 1% (0.1% for carcinogens). "Manufacturers"
"processors" and "otherwise users" of gasoline will have to take into account
that gasoline contains several aromatic compounds that are on the Section 313
list, including benzene, toluene, xylene, naphthalene, and anthracene. Be
aware, however, that combustion of fuels may coincidentally "manufacture"
Section 313 toxic chemicals, such as formaldehyde, hydrogen fluorides and
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EPCRA Section 313 Questions and Answers
hydrogen chloride acid aerosols. Such coincidental "manufacture" is not
subject to de minimis limitations (see directive 2 on the de minimis exemption)
and amounts produced must be compared against the manufacturing threshold.
The EPA publication, "Toxic Air Pollutant Emission Factor - A Compilation of
Selected Air Toxic Compounds and Sources" (EPA 45/2-88-006a) contains
emission factors for many specific compounds emitted during fuel combustion.
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APPENDIX A
DIRECTIVE #4 - COMPOUNDS AND MIXTURES
1. Definition of Compounds
A "compound" is a distinct chemical that results from the reaction of two or
more other chemicals. In the formation of a compound, the reactant chemicals
lose their individual chemical identities. Polymers formed as nonreversible
reaction products are an example of compounds.
2.
Definition of Mixtures
A "mixture" is any combination of two or more distinct chemicals if the com-
bination is not the result of a chemical reaction. In a mixture, the individual
components retain then: identities. Mixtures include any combination of a
chemical and associated impurities. Alloys are mixtures because the individual
metals in the alloy retain their chemical identities. Wastes are not mixtures.
3. Mixtures Must be Considered for Section 313 Reporting
Threshold determinations and release and other waste management reporting
for Section 313 reporting must include the amount of the listed toxic chemical
present above the de minimis level in all mixtures "processed''or "otherwise
used" by the facility. If a listed toxic chemical is present in a mixture at or
above the de minimis level, only the amount of the toxic chemical and not the
mixture itself is used for threshold determinations and release and other waste
management estimates.
4. Supplier Notification and Concentration Ranges Provide Information
for Reporting
The supplier notification requirements under 40 CFR 372.45 are designed to
provide chemical users with information on the identity and concentrations of
listed toxic chemicals present in the mixtures that they use. There can still be
situations, however, when a. facility may not have this information for a mix-
ture. If the facility knows that a mixture contains a toxic chemical but no
concentration information is provided by the supplier, then the facility does not
have to consider the amount of the toxic chemical present in that mixture for
purposes of threshold and release and other waste management determinations.
If only a range of concentrations is available for a toxic chemical present in a
mixture, the owner/operator should use the midpoint of the "minimum" and
"maximum" percentages in order to determine the amount to apply toward
thresholds. If a facility owner/operator only knows the lower bound concentra-
tion of a toxic chemical present in a mixture, the owner/operator should assume
the upper bound concentration is 100 percent and compute an average based on
these lower and upper bound concentration estimates to determine whether
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EPCRA Section 313 Questions and Answers
thresholds have been exceeded. If there are other known components present
in the mixture, tine facility owner/operator should subtract out the percentage of
these components to determine what a reasonable "maximum" percentage of
the toxic chemical could be.
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APPENDIX A
DIRECTIVE #5 - TOXIC CHEMICAL CATEGORIES
1.
All Compounds in a Listed Chemical Category are Aggregated for
Threshold Determinations
Toxic chemical categories listed under Section 313 require a different approach
when making threshold determinations and release and other waste manage-
ment estimates. For a chemical that is included in a listed metal compound
category, the total weight of that chemical compound, not just the parent metal,
is used in making threshold determinations. A. facility will need to calculate
the total weight of all compounds that are in the category, sum the amounts
involved throughout the/ad% in each threshold activity, and compare the
totals to the applicable thresholds. A compound in a listed chemical category
that is present in a mixture below the de minimis concentration based on the
total weight of the compound is exempt from threshold calculations under
Section 1. Again, all individual members of a compound category must be
totaled to determine if that compound category has exceeded the de minimis
concentration in a mixture.
2.
Make Threshold Determinations for Listed Toxic Chemicals Separately
from the Listed Chemical Category
The Section 313 list contains some listed substances that also are members of a
listed chemical category. Threshold determinations for a specifically listed
toxic chemical are calculated separately from the threshold determinations for
the chemical category. For example, 2-Methoxyethanol, which is specifically
listed on the Section 313 list, is also a member of the glycol ether compound
category. Because the chemical is specifically listed, a facility must make a
threshold determination for 2-Methoxyethanol and a separate threshold deter-
mination for all other glycol ethers meeting the criteria for that chemical
category that are not specifically listed under Section 313.
3.
Calculate Releases and Other Waste Management Based on Parent
Metal for Metal Compound Categories
Once a reporting threshold is met for a metal compound, releases of com-
pounds are calculated based on the pounds of the parent metal released rather
than the total weight of the compound. EPA adopted this approach because of
the difficulty in calculating releases of potentially numerous compounds within
a metal compound category, recognizing that methods and data for monitoring
the parent metal often exist while those for the compound(s) rarely will.
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EPCRA Section 313 Questions and Answers
4. Optional Form R Submission for Parent Metal and Associated Metal
Compound Category
If both the parent metal and associated metal compound category exceed their
respective thresholds, one Form R, covering all releases and other waste
management of the parent metal from activities involving both the chemical ^
and the chemical category may be filed. For example, if a facility processes
30 000 pounds of lead and "otherwise uses" 13,000 pounds of lead oxide, the
facility could submit one Form R for lead and lead compounds. On this Form
R the facility would report all activities involving lead and lead compounds
and all releases and other waste management of the parent metal lead. This
option, preferred by EPA, is available to facilities, although separate reports
may be filed if desired.
.< and Other Waste Manwement Bas^d on Nitrate Ion
5.
Calculate Rele
for Nitrate Compounds
Once a reporting threshold is met for the water dissociable nitrate compound
category, releases and other waste management estimates are calculated based
on the pounds of the nitrate ion in aqueous solution rather than the total weight
of the compound. EPA adopted this approach because most monitoring data
available measure only the dissociated nitrate ion released and not the amount
of the total nitrate compounds from which the nitrate ion dissociated. Report-
ing of the amount of the total water dissociable nitrate compound in wastes
would be complicated when more than one substance contributes to the nitrate
ion content of the waste and when the nitrate compound is converted to a
different substance due to waste treatment or other processes.
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APPENDIX A
DIRECTIVE #6 - PCBs THRESHOLD DETERMINATION AND
RELEASE AND OTHER WASTE MANAGEMENT REPORTING
Polychlorinated biphenyls (PCBs) are a listed chemical under Section 313.
1.
PCBs in Articles are Exempt
EPA has stated that transformers are articles (and thus exempt from threshold
determinations), but that the release or removal of fluid from the transformer
negates the article status. The article status of only those transformers that
have fluids removed (e.g.. servicing or retrofilling) or escape is affected.
However, the PCBs are still not considered if no new PCB-containing fluid is
added, since the threshold determination is based on fluid added, not lost.
EPA has stated that disposal or removal of articles does not constitute a re-
lease. Therefore, disposal on-site or off-site transfer of the whole transformer
with fluid content undisturbed, does not negate the article status. The trans-
former is not included in threshold determinations and does not have to be
reported as a release or an off-site transfer of PCBs for purposes of Section
313 reporting.
When calculating the threshold for "otherwise use," a facility must consider
only the amount of PCBs added to transformers during the reporting year (e.g..
"topping off' a transformer), not the amount of working fluid contained in the
transformer.
2. Coincidental "Manufacture" of PCBs is Subject to Section 313
Facilities involved in coincidental "manufacture" of PCBs and further "pro-
cessing" of mixtures containing PCBs (in excess of the 0.1 percent de minimis
level) must count the amount "manufactured" or "processed" toward these
thresholds.
3. Treatment or Disposal of PCBs May Require Section 313 Reporting
Facilities in the SIC codes 20-39, as well as the newly covered SIC codes, may
be subject to Section 313 reporting if they treat or dispose of PCBs. Effective
January 1st, 1998, the interpretation of activities considered "otherwise used"
will include treatment for destruction, disposal, and waste stabilization when
the covered facility engaged in these activities receives materials containing
any chemical (not limited to EPCRA Section 313 listed toxic chemicals) from
off-site (regardless of whether the generating and receiving facilities have
common ownership) for purposes of further waste management.
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"Processing" represents a potentially covered activity. However, facilities are
not likely to be incorporating PCBs into items distributed in commerce or to be
using PCBs as starting or intermediate material for the production of other
chemical substances that are distributed in commerce or used on site.
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DIRECTIVE #7 - DEFINITION OF "OTHERWISE USE" (Effective
Reporting Year 1998)
On May 1, 1997, EPA published a final rule to expand the universe of industry
groups subject to EPCRA Section 313 and PPA Section 6607 (62 PR 23834)
In this rule, which becomes effective January 1, 1998 (for the 1998 reporting
year, Form R reports due by July 1, 1999), EPA finalized a revised definition of
the term "otherwise use."
1-
Current Interpretation of "Otherwise
Until January 1, 1998, the definition of "otherwise use" means "any use of a
toxic chemical that is not covered by the terms "manufacture" or "process"
and includes use of a toxic chemical contained in a mixture or trade name
product. Relabeling or redistributing a container of a toxic chemical where no
repackaging occurs does not constitute "otherwise use" or "processing" of the
toxic chemical." EPA has generally interpreted this term to include toxic
chemicals that are not intentionally incorporated into a product distributed in
commerce. This would include any activity involving a listed toxic chemical at
a facility that does not fall under the definitions of "manufacture" or "pro-
cess." Some examples of toxic chemicals "otherwise used" include solvents
catalysts, coolants, lubricants and fuels. Historically, EPA has instructed
facilities that the disposal of a toxic chemical, in and of itself, does not
constitute "manufacture," "process," or "otherwise use."
2- Revised Interpretation of "Otherwise. IJS*»
In the May 1, 1997 final rule, EPA modified its definition of activities consid-
ered "otherwise used" as it applies to EPCRA Section 313 activity thresholds
to include on-site treatment for destruction, disposal, and stabilization when
the covered facility engaged in these activities receives materials containing
any chemical (not limited to EPCRA Section 313 listed toxic chemicals) from
off-site (regardless of whether the generating and receiving facilities have
common ownership) for the purposes of further waste management activities
Specifically, EPA has defined the term "otherwise use" to include "any use of
a toxic chemical" contained in a mixture or other trade name product or waste
that is not covered by the terms "manufacture" or "process." "Otherwise use"
of a toxic chemical does not include disposal, stabilization (without subsequent
distribution in commerce), or treatment for destruction unless:
(1) The toxic chemical that was disposed, stabilized, or treated for
destruction was received from off-site for the purposes of further waste
management; or
(2) The toxic chemical that was disposed, stabilized, or treated for
destruction was "manufactured" as a result of waste management
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EPCRA Section 313 Questions and Answers
3.
activities on materials received from off-site for the purposes of further
waste management activities. Relabeling of redistributing of the toxic
chemical where no repackaging occurs does not constitute "otherwise
use" or "processing" of the toxic chemical.
Examples nf the Revised Interpret^on of "Otherwise Use"
The following are examples of the revised interpretation of "otherwise use" as
finalized in the May 1,1997, final rule. These examples assume that toe facility
meets the EPCRA Section 313 employee and SIC code criteria.
Example 1: A facility receives a material containing 22,000 pounds of chemi-
cal A Chemical A is an EPCRA Section 313 listed toxic chemical. The facility
treats for destruction chemical A. Included among the various activities cov-
ered by EPA's revised interpretation of "otherwise use" is the "treatment for
destruction" of a toxic chemical received by the facility from off-site. Because
the facility received and treated for destruction chemical A, the amount of
chemical A treated for destruction would be included in the calculation of the
amount of chemical A "otherwise used" at toe facility. In this case, 22,000
pounds of chemical A would be considered "otherwise used." Thus, because
toe facility "otherwise used" chemical A above the 10,000 pound statutory
threshold for "otherwise use," toe facility would be required to report all
releases of, and other waste management activities involving, chemical A.
Example 1A: As in example 1, a facility receives a material containing 22,000
pounds of chemical A, and chemical A is an EPCRA Section 313 listed toxic
chemical. The facility stabilizes chemical A. Included among the various
activities covered by EPA's revised interpretation of "otherwise use" is stabi-
lization" of a toxic chemical received by toe facility from off-site. Because the
facility received and stabilized chemical A, the amount of chemical A stabi-
lized would be included in the calculation of the amount of chemical "other-
wise used" at toe facility. In this case, 22,000 pounds of chemical A would be
considered "otherwise used." Thus, because the facility "otherwise used" ^
chemical A above the 10,000 pound statutory threshold for "otherwise use,"
toe facility would be required to report all releases of, and other waste manage-
ment activities involving, chemical A.
Example IB: As in the above two examples, a facility receives a material
containing 18,000 pounds of chemical A, and chemical A is an EPCRA Sec-
tion 313 listed toxic chemical. The facility stabilizes 9,000 pounds of chemical
A and disposes of the other 9,000 pounds of chemical A. Included among the
various activities covered by EPA's revised interpretation of "otherwise use
are "stabilization" and "disposal" of a toxic chemical received by a facility
from off-site. Because toe facility received the 18,000 pounds of chemical A
from off-site, the amount of chemical A that is subsequently "stabilized" or
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APPENDIX A
"disposed" is considered "otherwise used," and would be included in the
calculation of the amount of chemical A "otherwise used" at tint facility for the
purpose of threshold determination. The facility would need to add the amount
of chemical A that is involved in all "otherwise use" activities to determine
whether the "otherwise use" threshold of 10,000 has been exceeded. In this
case, 18,000 pounds of chemical A would be considered "otherwise used"
Thus, because the facility "otherwise used" chemical A above the 10,000
pound statutory threshold for "otherwise use," the facility would be required to
report all releases of, and other waste management activities involving, chemi-
cal A.
Example 2: Assume now that the same facility, in treating for destruction
chemical A, "manufactures" 11,000 pounds of chemical B. Chemical B is also
an EPCRA Section 313 listed toxic chemical. This "manufacture" of chemical
B is below the "manufacturing" reporting threshold. However, the facility
disposes of chemical B on-site. Included among the various activities covered
by EPA's revised interpretation of "otherwise use" is the disposal of a toxic
chemical that is produced from the management of a waste that is received by
the facility from off-site. In this example, because the facility received from
off-site a material containing a chemical that is treated for destruction (i.e..
chemical A) and during that treatment produced and subsequently disposed of
chemical B, the disposal of chemical B under EPA's revised interpretation
would be considered "otherwise used." Because the facility disposed of, or
"otherwise used," 11,000 pounds of chemical B, the 10,000 pound statutory
threshold for "otherwise use" is met. Thus, the facility would need to report all
releases of, and other waste management activities involving, chemical B.
Example 2A: Now assume that the situation in Example 2 is the same (and the
facility is still below the "manufacturing" threshold for chemical B,) except
the facility does not dispose of chemical B on-site, but incorporates the entire
11,000 pounds of chemical B into a product that is sold to another facility. The
facility neither treats for destruction, stabilizes, nor disposes of chemical B
and, therefore, does not "otherwise use" chemical B. However, in this ex-
ample, chemical B is also considered "processed" Therefore, the 11,000
pounds of chemical B are counted towards the 25,000 "process" threshold for
that chemical at the facility.
Example 2B: As in the above two examples, 11,000 pounds of chemical B is
"manufactured" from the treatment of chemical A (and chemical A was re-
ceived from an off-site facility. The facility is still below the "manufacturing"
threshold for chemical B. However, the facility disposes of 6,000 pounds of
chemical B and uses 5,000 pounds of chemical B in a nonincorporative
"manufacturing" activity at the facility. Both of these activities are considered
to be "otherwise use" activities. The disposal of chemical B is included among
the various activities covered by EPA's revised interpretation of "otherwise
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EPCRA Section 313 Questions and Answers
use" described in the proposal to expand the types of facilities covered under
EPCRA Section 313, and any non-incorporative use of a toxic chemical at a
covered facility that is not otherwise exempt is an "otherwise use" activity
under the current interpretation. The facility would add the amounts of chemi-
cal B involved in both "otherwise use" activities at the facility to determine
whether it exceeds the 10,000 "otherwise use" threshold. Since the total
amount of chemical B that is "otherwise used" is 11,000 pounds, the facility
would need to report all releases of, and waste management activity involving,
chemical "B."
Example 3: As another example, a facility produces on-site a material contain-
ing 22,000 pounds of chemical C. Chemical C is not an EPCRA Section 313
listed toxic chemical. Also, chemical C was not "manufactured" as a result of
managing a waste received from off-site. The facility treats for destruction
chemical C and during treatment "manufactures" 11,000 pounds of chemical
D. Chemical D is an EPCRA Section 313 listed toxic chemical. The facility
subsequently disposes of chemical D. In this example, although the facility
disposes of chemical D, the 11,000 pounds of chemical D is not considered
"otherwise used" under EPA's revised definition because the material from
which chemical D is produced (i.e.. the material containing the.22,000 pounds
of chemical C) was not received by the facility from off-site. Thus, in dispos-
ing of chemical D, the facility does not exceed the 10,000 pound statutory
threshold for "otherwise use." The facility, however, must count the amount of
chemical D "manufactured" toward the "manufacturing" threshold.
Example 3 A: Assume instead that chemical C (which is not an EPCRA Sec-
tion 313 listed toxic chemical) was received from off-site or was created in
waste management activities conducted on materials received from off-site, the
disposal of chemical D would be considered an "otherwise use" activity
involving chemical D. Therefore, the disposal of the 11,000 pounds of chemi-
cal D would exceed the 10,000 pound statutory threshold for "otherwise use,"
and ihe facility would need to report all releases and waste management
activities involving chemical D.
Example 3B: As in Example 3, chemical D is an EPCRA Section 313 chemi-
cal that is "manufactured" from chemical C during a waste management
activity at the facility. (Chemical C is produced on-site and is not an EPCRA
Section 313 listed toxic chemical.) In this example, however, the facility uses
the entire 11,000 pounds of chemical D to neutralize a wastestream at the
facility. Under the current definition of "otherwise use," chemical D is consid-
ered "otherwise used." Therefore, the facility exceeds the "otherwise use"
threshold and must report, and the facility would need to report all releases of,
and waste management activity involving, chemical D.
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APPENDIX A
Example 4: A facility receives 24,000 pounds of chemical E, which is not an
EPCRA Section 313 toxic chemical. Chemical E undergoes a processing
activity at the facility. This activity is not a waste management activity. During
the processing of chemical E, 11,000 pounds of chemical F is "manufactured"
as a byproduct. Chemical F is an EPCRA Section 313 listed toxic chemical.
The 11,000 pounds of chemical F is then disposed. According to the current
and the revised interpretation of the "otherwise use" definition, the facility has
not "otherwise used" chemical F. Since chemical E was not received by the
facility for the purpose of waste management, the subsequent disposal of
chemical F is not an "otherwise use" activity under the revised interpretation
of the "otherwise use." Also, under the current interpretation of "otherwise
use," the activity of disposal under these circumstances does not constitute a
reportable activity for the purposes of threshold determinations. The facility,
however, would have to count the amount of chemical F "manufactured" s
toward the "manufacturing" threshold.
Example 5: A facility "processes" 24,000 pounds of chemical E, an EPCRA
Section 313 toxic chemical. Thisfactivity is not a waste management activity.
During the "processing" of chemical E, 11,000 pounds of chemical E exits the
"process" in the facility's waste. Because chemical E has a high BTU/lb
value, the facility combusts the wastestream containing chemical E in an
energy recovery unit on-site. Under EPA's current and revised guidance on
"otherwise use," an EPCRA Section 313 toxic chemical that is a constituent of
waste-derived fuel combusted in an energy recovery device is "otherwise
used" by the facility, regardless of the origin of the waste-derived fuel. There-
fore, when combusted for energy recovery on-site, chemical E, a constituent of
the waste derived fuel, is considered "otherwise used" under the current
definition of "otherwise use." Because the facility combusts 11,000 pounds of
the toxic chemical, the facility has exceeded the "otherwise use" activity
threshold.
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EPCRA Section 313 Questions and Answers
DIRECTIVE #8 - AMMONIA AND AMMONIUM SALTS
Background
On June 30,1995, EPA finalized four actions in response to a petition to
delete ammonium sulfate (solution) from the list of toxic chemicals subject to
reporting under EPCRA Section 313,42 U.S.C. 11001: (1) deleting ammo-
nium sulfate (solution) from the EPCRA Section 313 list of toxic chemicals;
(2) requiring that threshold determinations and release and other waste man-
agement estimates for aqueous ammonia be based on 10 percent of the total
aqueous ammonia present in aqueous solutions of ammonia; (3) modifing the
ammonia listing by adding the following qualifier: ammonia (includes anhy-
drous ammonia and aqueous ammonia from water dissociable ammonium salts
and other sources; 10 percent of total aqueous ammonia is reportable under this
listing); and (4) deleting ammonium nitrate (solution) as a separately listed
chemical on the EPCRA Section 313 list of toxic chemicals. All actions were
effective for the 1994 reporting year for reports due July 1,1995 and for
subsequent years, with the exception of the deletion of ammonium nitrate
(solution) as a separately listed chemical, which was effective for the 1995
reporting year for reports due July 1,1996 and for subsequent years. The
ammonia listing is subject to the one percent de minimis concentration. Thus,
mixtures and trade name products containing aqueous ammonia at a concentra-
tion in excess of one percent should be factored into threshold determinations
and release and other waste management estimates. EPA has developed a
guidance document for reporting aqueous ammonia under the ammonia listing
which provides detailed information and examples including a list of some
water dissociable ammonium salts.
P
Guidance for Reporting Aqueous Ammonia
"Anhydrous ammonia" is ammonia,' that is not dissolved in water and "aqueous
ammonia"°is ammonia that is dissolved in water. Aqueous solutions of ammo-
nia contain both un-ionized ammonia (NH3) and ionized ammonia (NH4+), total
aqueous ammonia is the sum of these two forms of ammonia. For the purposes
of reporting under the ammonia listing for aqueous ammonia, water dissociable
ammonium salts means that the ammonium ion dissociates from its counterion
when in solution.
1. Determining Threshold and Release Quantities for Ammonia
If a facility "manufactures," "processes," or "otherwise uses" anhydrous
ammonia, the quantity applied towards threshold determinations for the ammo-
nia listing is the total quantity of the anhydrous ammonia "manufactured,"
"processed," or "otherwise used." The quantity reported when calculating the
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APPENDIX A
amount of ammonia that is released, transferred, or otherwise managed as
waste is the total quantity of anhydrous ammonia released, managed as waste
or transferred.
If a. facility "manufactures" "processes," or "otherwise uses" aqueous ammo-
nia, the quantity applied toward threshold determinations for the ammonia
listing is 10 percent of the total quantity of the aqueous ammonia "manufac-
tured" "processed," or "otherwise used." The quantity reported when calculat-
ing the amount of ammonia that is released, transferred, or otherwise managed
as waste is 10 percent of the total quantity of aqueous ammonia released,
managed as waste or transferred.
»
If the facility "manufactures" "processes" or "otherwise uses" anhydrous
ammonia in quantities that exceed the appropriate threshold and subsequently
dissolves some or all of the anhydrous ammonia in water (i.e.. generating
aqueous ammonia), then the following applies: 1) threshold determinations are
based on 100 percent of the anhydrous; 2) release, transfer, and other waste
management quantities for the aqueous ammonia are calculated as 10 percent
of total aqueous ammonia; 3) release, transfer, and other waste management
quantities for the anhydrous ammonia are calculated as 1.00 percent of the
anhydrous ammonia.
If a. facility dissolves a water dissociable ammonium salt in water that facility
has "manufactured" aqueous ammonia and 10 percent of the total aqueous
ammonia "manufactured" from these salts is to be included in "manufactur-
ing" threshold determinations under the ammonia listing.
If aqueous ammonia from water dissociable ammonium salts is "processed" or
"otherwise used," then 10 percent of the total aqueous ammonia is to be
included in all "processing" and "otherwise use" threshold determinations
under the ammonia listing.
If anhydrous ammonia evaporates from an aqueous ammonia solution that has
been "manufactured," "processed," or "otherwise used," then 100 percent of
the anhydrous ammonia that evaporates from such solutions must be included
in threshold determinations and release and other waste management esti-
mates. '
Since total aqueous ammonia is the sum of the two forms of ammonia (NH3
and NH4+) present in aqueous solutions, a precise calculation of the weight of
total aqueous ammonia would require determining the ratio of the two forms of
ammonia present using the pH and temperature of the solution. The weight of
total aqueous ammonia can be more easily calculated by assuming that aque-
ous ammonia is comprised entirely of the NH4+ form or the NH3 form. For the
purpose of determining threshold and release quantities under EPCRA Section
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APPENDIX A
EPCRA Section 313 Questions and Answers
313, EPA recommends that total aqueous ammonia be calculated in terms of
NH3 equivalents (i.e.. for determining weights, assume total ammonia is com-
prised entirely of the NH3 form). This method is simpler than using pH and
temperature data to determine the ratio of the two forms present and is consis-
tent with the presentation of total ammonia toxicity in a separate EPA docu-
ment, "Ambient Water Quality Criteria for Ammonia" (EPA document #440/5-
85-001, January 1985).
2. Chemical Sources of Aqueous Ammonia
Aqueous ammonia may be generated in solution from a variety of sources that
include the release of anhydrous ammonia to water and the dissociation of
ammonium salts in water. Water dissociable ammonium salts are not report-
able in theur entirety under the ammonia listing; these salts are reportable to the
extent that they dissociate in water, and only 10 percent of the total aqueous
ammonia that results when these salts dissociate is reportable. If these salts are
not placed in water, they are not reportable.
If ammonium salts are purchased neat (dry) or as solids by a. facility, then
placed in water by that facility, the facility is "manufacturing" aqueous ammo-
nia. If the source of aqueous ammonia is anhydrous ammonia that has been
dissolved in water, total aqueous ammonia (calculated in terms of NH3 equiva-
lents) is equal to the quantity of anhydrous ammonia "manufactured," "pro-
cessed," or "otherwise used."
3. Reporting Aqueous Ammonia Generated from the Dissociation of
Ammonium Salts (Other Than Ammonium Nitrate)
If the source of aqueous ammonia is the dissociation of ammonium salts in
water, total aqueous ammonia (calculated in terms of NH3 equivalents) is
calculated from the weight percent (wt%) of the NH3 equivalents of the ammo-
nium salt. The NH3 equivalent wt% of an ammonium salt is calculated using
the following equation:
NHg equivalent wt% = (NH3 equivalent weight)/(MW ammonium salt) x 100.
If the source of aqueous ammonia is a monovalent compound (such as ammo-
nium chloride, NH4C1, ammonium nitrate, NH4NO3, or ammonium bicarbon-
ate, NH4HCO3), the NE^ equivalent weight is equal to the MW of NH3 (17.03
kg/kmol). If divalent compounds are involved (such as ammonium carbonate,
(NH4)2CO3), then the NH3 equivalent weight is equal to the MW of NH3 multi-
plied by two. Similarly, if trivalent compounds are involved, then the NH3
equivalent weight is equal to the MW of NH3 multiplied by three.
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APPENDIX A
4. Reporting Aqueous Ammonia Generated from the Dissociation of
Ammonium Nitrate
Some sources of aqueous ammonia may be reportable under other EPCRA
Section 313 category listings. Ammonium nitrate (solution) is relevant to
reporting under the ammonia listing to the extent that 10 percent of the total
aqueous ammonia that results when ammonium nitrate dissociates is reported
when determining thresholds and calculating releases and other waste manage-
ment activities. However, under the nitrate compounds category listing, ammo-
nium nitrate (and other mixed salts containing ammonium and nitrate) must be
reported in its entirety. When reporting ammonium nitrate under this category
listing, the total nitrate compound, including both the nitrate ion portion and
the ammonium counterion, is included when determining threshold quantities.
However, only the nitrate ion portion is included when determining the amount
of ammonium nitrate that is released, transferred, or otherwise managed in
wastes. The calculations involved in determining threshold and release and
other waste management quantities for reporting under the nitrate compounds
category listing are described in a separate directive, "List of Toxic Chemicals
within the Water Dissociable Nitrate Compounds Category and Guidance for
Reporting" (EPA document #745-R-96-004, Revised May 1996).
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EPCRA Section 313 Questions and. Answers
DIRECTIVE #9 - SUPPLIER NOTIFICATION REQUIREMENTS
Because manufacturers reporting under Section 313 must know the toxic
chemical composition of the products they use to be able to calculate releases
accurately, EPA requires some suppliers of mixtures or trade name products
containing one or more of the listed Section 313 toxic chemicals to notify their
customers. This requirement has been in effect since January 1,1989.
1.
10 Must Provide Notification
You are covered by supplier notification requirements if you own or operate a
facility which meets all of the following criteria:
Your facility is in Standard Industrial Classification (SIC) codes 20-39;
You "manufacture" (import) or "process" a listed toxic chemical; and
You sell or otherwise distribute a mixture or trade name product con-
taining the toxic chemical to either:
- A. facility in a covered SIC code; or
- A facility that then sells the same mixture or trade name product to a
facility in a covered SIC code.
You may be covered by the supplier notification rules even if you are not
covered by the Section 313 release reporting requirements. The EPCRA
Section 313 release reporting requirements are triggered if a facility is in a
covered SIC code, has ten or more full-time employees, and exceeds a chemical
activity threshold. However, if you have fewer than 10 full-time employees or
do not "manufacture" or "process" any of the toxic chemicals in sufficient
quantities to trigger the release reporting requirements, you may still be re-
quired to notify certain customers.
Note that beginning with the 1998 reporting year, seven new industries will be
covered by most of the TRI reporting requirements. These new industries will
not be required to comply with most of the supplier notification requirements.
Industries whose primary SIC code is not within 20-39 are not required to
initiate the distribution of notifications for toxic chemicals in mixture or prod-
ucts that they send to their customers. However, if these facilities receive
notifications from their suppliers about toxic chemicals in mixtures or trade
name products, they should forward the notifications with the toxic chemicals
they send to other covered users.
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APPENDIX A
2. Who Must Be Notified
For each mixture or trade name product that contains a listed toxic chemical,
you will have to notify all customers in a covered SIC code or distributors who
in turn sell that product to facilities in a covered SIC code. Unless you know
otherwise, you should assume that the chain of distribution includes facilities
in a covered SIC code.
An example would be if you sold a lacquer.containing toluene to distributors
who then sell the product to other manufacturers. The distributors are not in a
covered SIC code, but because they sell the product to companies in covered
SIC codes, they must be notified so that they may pass the notice along to their
customers.
The language of the supplier notification requirements covers mixtures or trade
name products that are sold or otherwise distributed. The "otherwise distrib-
utes" language applies to intra-company transfers. However, if the company
has developed an internal communications procedure that alerts their other
facilities to the presence and content of covered toxic chemicals in their prod-
ucts, then EPA would accept this.
3. Supplier Notification Must Include the Following Information:
A statement that the mixture or trade name product contains a toxic
chemical or chemicals subject to the reporting requirements of EPCRA
Section 313 (40 CFR 372);
The name of each toxic chemical and the associated Chemical Abstracts
Service (CAS) registry number of each chemical if applicable. (CAS
numbers are not used for chemical categories, since they can represent
several individual toxic chemicals.)
The percentage, by weight, of each toxic chemical (or all toxic chemi-
cals within a listed category) contained in the mixture or trade name
product.
For example, if a mixture contains a chemical (i.e.. 12 percent zinc oxide) that
is a member of a reportable toxic chemical category (i.e.. zinc compounds), the
notification must indicate that the mixture contains a zinc compound at 12
percent by weight. Supplying only the weight percent of the parent metal
(zinc) does not fulfill the requirement; The customer must be told the weight
percent of the entire compound within a listed toxic chemical category present
in the mixture.
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EPCRA Section 313 Questions and Answers
4.
How the Notification Must Be Made
The required notification must be provided at least annually in writing. Ac-
ceptable forms of notice include letters, product labeling, and product literature
distributed to customers. If you are required to prepare and distribute a Mate-
rial Safety Data Sheet (MSDS) for the mixture under the Occupational Safety
and Health Act (OSHA) Hazard Communication Standard, your supplier
notification must be attached to the MSDS or the MSDS must be modified to
include the requked information.
You must make it clear to your customers that any copies or redistribution of
the MSDS or other form of notification must include the supplier notification
notice. In other words, your customers should understand that they are to
include the supplier notification if they give your MSDS to their customers.
5.
When Notification Must Be Provided
In general, you must notify each customer receiving a mixture or trade name
product containing a listed toxic chemical with the first shipment of each
reporting year. You may send the notice with subsequent shipments as well, but
it is required that you send it with the first shipment each year. Once custom-
ers have been provided with an MSDS containing the Section 313 information,
you may refer to the MSDS by a written letter in subsequent years (as long as
the MSDS is current).
If EPA adds toxic chemicals to the Section 313 list, and your products contain
the newly listed toxic chemicals, notify your customers with the first shipment
made during the next reporting year following EPA's final decision to add the
chemical to the list. For example, if EPA adds chemical ABC to the list in
September 1997, supplier notification for chemical ABC would have begun
with the first shipment in 1998.
You must send a new or revised notice to your customers if you:
Change a mixture or trade name product by adding, removing, or
changing the percentage by weight of a listed toxic chemical.
Discover that your previous notification did not properly identify the
toxic chemicals in the mixture or correctly indicate the percentage by
weight.
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APPENDIX A
If you discover that the prior notification was inaccurate, you must:
Supply a new or revised notification within 30 days of a change in the
product or the discovery of misidentified toxic chemical(s) in the
mixture or incorrect percentages by weight; and
* Identify in the notification the prior shipments of the mixture or product
in that reporting year to which the new notification applies (e.g.. if the
revised notification is made on August 12, indicate which shipments
were affected during the period January 1 - August 12).
6. When Notifications Are Not Required
Supplier notification is not required for a "pure" toxic chemical unless a trade
name is used. The identity of the toxic chemical will be known based on label
information. Also, you are not required to make a "negative declaration." That
is, you are not required to indicate that a product contains no Section 313 toxic
chemicals.
Supplier notification is also not required if:
Your mixture or trade name product contains the toxic chemical in
percentages by weight of less than the following levels (these are
known as de minimis levels):
- 0.1 percent if the toxic chemical is defined as an "OSHA carcinogen;"
-1 percent for all other toxic chemicals.
De minimis levels for each toxic chemical and chemical category are listed in
the Form R and Instructions.
* Your mixture or trade name product is one of the following:
- An article that does not release a listed toxic chemical under
normal conditions of "processing" or "otherwise use."
- Foods, drugs, cosmetics, pesticides, alcoholic beverages,
tobacco, or tobacco products packaged for distribution to the
general public.
- Any consumer product, as the term is defined in the Consumer
Product Safety Act, packaged for distribution to the general
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EPCRA Section 313 Questions and Answers
7.
public. For example, if you mix or package one-gallon cans of
paint designed for use by the general public, notification is not
required.
You are sending a waste off-site for treatment or disposal. The supplier
notification requirements only apply to mixture and trade name prod-
ucts; they do not apply to wastes.
You are initiating distribution of a mixture or trade name product
containing one or more toxic chemicals and your facility is in any of the
newly covered SIC codes including facilities whose SIC code is within
SIC major group codes 10 (except 1011, 1081, and 1094), 12 (except
1241); industry codes 4911,4931, or 4939 (limited to facilities that
combust coal and/or oil for the purpose of generating power for distri-
bution in commerce); or 4953 (limited to facilities regulated under the
Resource Conservation and Recovery Act, subtitle C, 42 U.S.C. Section
6921 et seq.) or 5169, or 5171, or 7389 (limited to facilities primarily
engaged in solvent recovery services on a contract or fee basis).
Trade Secrets
Chemical suppliers may consider the chemical name or the specific concentra-
tion of a Section 313 toxic chemical in a mixture or trade name product to be a
trade secret. If you consider the:
Specific identity of a toxic chemical to be a trade secret, the notice must
contain a generic chemical name that is descriptive of the structure of
that toxic chemical. For example, decabromodiphenyl oxide could be
described as a halogenated aromatic.
Specific percentage by weight of a toxic chemical in the mixture or
trade name product to be a trade secret, your notice must contain a
statement that the toxic chemical is present at a concentration that does
not exceed a specified upper bound. For example, if a mixture contains
12 percent toluene and you consider the percentage a trade secret, the
notification may state that the mixture contains toluene at no more than
15 percent by weight. The upper bound value chosen must be no larger
than necessary to adequately protect the trade secret.
If you claim this information to be trade secret, you must have documentation
that provides the basis for your claim.
202
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E.PCRA Section 313 Questions and Answers
APPENDIX A
8: Recordkeeping Requirements
You are required to keep records for three years of the following:
Notifications sent to recipients of your mixture or trade name product;
All supporting materials used to develop the notice;
If claiming a specific toxic chemical identity a trade secret, why the
toxic chemical identity is considered a trade secret and the appropriate
ness of the generic chemical name provided in the notification; and
If claiming a specific concentration a trade secret, explanations of why
a specific concentration is considered a trade secret and the basis for
the upper bound concentration limit.
This information must be readily available for inspection by EPA.
203
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APPENDIX A
EPCRA Section 313 Questions and Answers
Sample Notification Letter
Mr. Edward Burke
Furniture Company of North Carolina
1000 Main Street
Anytown, North Carolina 99999
Dear Mr. Burke:
January 2,1997
The purpose of this letter is to inform you that
Furniture Lacquer KXZ-1390, contains 20 pe:
Service (CAS) number 108-88-3) and
required to notify you of the presenc
product under EPCRA Section
Toduclthaifwe sell to you,
toluene^hem|^al Abstracts
compels!! We are
[Compounds in the
uirW certain manufacturers to
chemicals and chemical catego-
report on annual emissions of s
ries.
If you are unsure whethertp^^^i arelllbject to the reporting requirements
of Section SlS^ppgeed mor^rm^^ation, call EPA's Emergency Planning and
Community Right-To-IQaowWormation Hotline at (800) 535-0202. Your other
...J ° Si ^«SSi?i*-, . . _ _ . _ ., _ i t i.\-
suppliers should alsojpenolrfyrng you if Section 313 toxic chemicals are in the
^ ISiiEr^*^' ^^^^^
mixtures and tradename products they sell to you.
«!W"«w, ^.^KMjur**^ ^* - " "
Please also note^that if you repackage or otherwise redistribute this product to
industrial cus|omers, a notice similar to this one should be sent to those cus-
tomers.
Emma Sinclair
Sales Manager
Furniture Products
204
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EPCRA Section 313 Questions and Answers
APPENDIX B
APPENDIX B. GLOSSARY
AP-42 - AP-42 refers to the EPA document, "Compilation of Air Pollutant
Emission Factors," which contains information on over 200 stationary source
categories. This information includes brief descriptions of processes used,
potential sources of air emissions from the processes and in many cases com-
mon methods used to control these air emissions. Methodology for estimating
the quantity of air pollutant emissions are presented in the form of Emission
Factors. This document can be obtained by calling the Government Printing
Office (GPO) at 202-512-1800 or by visiting the EPA's Technology Transfer
web site, http://www.epa.gov/ttn/chief.
Article - the term at 40 CFR Section 372.3 is defined as a "manufactured"
item: (1) which is formed to a specific shape or design during "manufacture;"
(2) which has end use functions dependent in whole or in part upon its shape or
design during end use and (3) which does not release a toxic chemical under
normal conditions of "processing" or use of that item at the facility or estab-
lishments.
Covered Facility - means a facility, as defined in 40 CFR Section 372.3, that
has 10 or more full-time employees, is in a covered SIC code (see below), and
meets the activity threshold for "manufacturing," "processing," or "otherwise
using" a listed toxic chemical (see below).
Covered SIC code - prior to January 1,1998, means SIC codes 20-39 (manu-
facturing facilities). Beginning January 1, 1998, a covered SIC code means
SIC codes in major group codes 10 (except 1011, 1081, and 1094), 12 (except
1241), or 20-39; industry codes 4911,4931, or 4939 (limited to facilities that
combust coal and/or oil for the purpose of generating power for distribution in
commerce); or 4953 (limited to facilities regulated under the Resource Conser-
vation and Recovery Act, subtitle C, 42 U.S.C. section 6921 et seq.) or 5169,
or 5171, or 7389 (limited to facilities primarily engaged in solvent recovery
services on a contract or fee basis).
Customs Territory - the term customs territory of the United States means the
50 states, the District of Columbia, and Puerto Rico (40 CFR Section 372.3).
Environment - the term environment includes water, air, and land and the
interrelationship which exists among and between water, air and land and all
living things (EPCRA Section 329(2)).
Establishment- means an economic unit, generally at a single physical loca-
tion, where business is conducted or where services or industrial operations are
performed (40 CFR Section 372.3).
205
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APPENDIX B
EPCRA Section 313 Questions and Answers
Facility - the term facility means all buildings, equipment, structures and other
stationary items which are located on a single site or on contiguous or adjacent
sites and which are owned or operated by the same person (or by any person
which controls, is controlled by or under common control with such person).
A facility may contain more than one establishment (40 GFR Section 372.3).
Full-Time Employee - the term full-time employee means 2,000 hours per year
of full-time equivalent employment. A facility would calculate the number of
fall-time employees by totaling the hours worked during the calendar year by
all employees, including contract employees, and dividing the total by 2,000
hours (40 CFR Section 372.3).
Import - the term import means to cause a chemical to be imported into the
customs territory of the United States. For purposes of the definition, to cause
means to intend that the chemical be imported and to control the identity of the
imported chemical and the amount of the imported chemical (40 CFR Section
372.3).
Manufacture - the term "manufacture" means to produce prepare, import, or
compound a toxic chemical. "Manufacture" also applies to a toxic chemical
that is produced coincidentally during the "manufacture," "processing," use or
disposal of another chemical or mixture of chemicals, including a toxic chemi-
cal that is separated from that other chemical or mixture of chemicals as a
byproduct, and a toxic chemical that remains in that other chemical or mixture
of chemicals as an impurity (40 CFR Section 372.3).
Material Safety Data Sheet (MSDS) - the term material safety data sheet
means the sheet required to be developed under section 1910.1200(g) of title
29 of the CFR as that section may be amended from time to time (EPCRA
Section 329(6)).
Mixture - the term mixture means any combination of two or more chemicals,
if the combination is not, in whole or in part, the result of a chemical reaction.
However, if the combination was produced by a chemical reaction but could
have been produced without a chemical reaction, it is also treated as a mixture.
A mixture also includes any combination which consists of a chemical and
associated impurities (40 CFR Section 372.3). A waste is not considered a
mixture for EPCRA Section 313 reporting purposes.
Otherwise Use - the term "otherwise use" means any use of a toxic chemical
that is not covered by the terms "manufacture" or "process" and includes use
of a toxic chemical contained hi a mixtures or trade name product. Relabeling or
redistributing a container of a toxic chemical where no repackaging of the toxic
chemical occurs does not constitute use or "processing" of the toxic chemical.
206
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EPCRA Section 313 Questions and Answers
APPENDIX B
Beginning in the 1998 reporting year (as of January 1, 1998), the definition of
"otherwise use"will be modified to read:
"Otherwise use" means any use of a toxic chemical, including a toxic chemical
contained in a mixture or other trade name product or waste, that is not covered
by the terms "manufacture" or "process" "Otherwise use" of a toxic chemi-
cal does not include disposal, stabilization (without subsequent distribution in
commerce), or treatment for destruction unless:
(1) the toxic chemical that was disposed, stabilized or treated for destruction
was received from off-site for the purposes of further waste management', or
(2) the toxic chemical that was disposed, stabilized, or treated for destruction
was manufactured as a result of waste management activities on materials
received from off-site for the purposes of further waste management activities.
Relabeling or redistributing of the toxic chemical where no repackaging of the
toxic chemical occurs does not constitute "otherwise use" or "processing" of
the toxic chemical (40 CFR Section 372.3).
Process - the term "process" means the preparation of a toxic chemical, 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 (2) as part of an
article containing the toxic chemical. "Process" also applies to the "process-
ing" of a toxic chemical contained in a mixture or trade name product (40 CFR
Section 372.3).
Release - the term release means any spilling, leaking, pumping, pouring,
emitting, emptying, discharging, injecting, escaping, leaching, dumping or
disposing into the environmental (including the abandonment or discarding of
barrels, containers, and other closed receptacles) of any toxic chemicals (40
CFR Section 372.3).
Senior Management Official - the term senior management official means an
official with management responsibility for the person or persons completing
the report, or the manager of environmental programs for the facility or estab-
lishment, or for the corporation owning or operating the facility or establish-
ments responsible for certifying similar reports under other environmental
regulatory requirements (40 CFR Section 372.3).
State - the term state means any State of the United States the District of
Columbia, the Commonwealth of Puerto Rico, Guam, American Samoa, the
United States Virgin Islands, the Northern Mariana Islands, and any other
territory or possession over which the United States has jurisdiction (40 CFR
Section 372.3).
207 ,
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APPENDIX B
EPCRA Section 313 Questions and Answers
Total Annual Reportable Amount - a facility's total annual reportable amount
is equal to the combined total quantities released at the facility (including
disposal), treated at the facility (as represented by amounts destroyed or con-
verted by treatment processes), recovered at the facility as a result of recycle
operations, combusted for the purpose of energy recovery at the facility, and
amounts transferred from the facility to off-site locations for the purpose of
recycle, energy recovery, treatment, and/or disposal (See 40 CFR Section
372.27(a)).
Toxic chemical - the term toxic chemical means a chemical or chemical cat-
egory listed in 40 CFR Section 372.65 (40 CFR Section 372.3).
Trade name product - the term trade name product means a chemical or mix-
ture of chemicals that is distributed to other persons and that incorporates a
toxic chemical compound that is not identified by the applicable chemical
name or Chemical Abstract Service Registry number list in 40 CFR Section
372.65 (40 CFR Section 372.3).
Tribal Emergency Response Commission or TERC - the commission respon-
sible for carrying out the provisions of EPCRA in the same manner as a State
Emergency Response Commissions (SERC) on federally recognized tribal
lands.
Waste management - EPA interprets waste management to include the follow-
ing activities: recycling, combustion for energy recovery, treatment for de-
struction, waste stabilization, and release, including disposal. Waste manage-
ment does not include the storage, container transfer, or tank transfer of no
recycling, combustion for energy, treatment for destruction, waste stabilization
or release of the chemical that occurs at the facility (See 62 FR 23834; 23850;
May 1,1997).
208
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Key Words by Question Number
INDEX
ABS 314
Absorbent 376
Accidental Releases 340
Acids 277-286,353,419,424,428,429
Acid Aerosol 279,280,285
Acid Reuse System 280
Chemical Qualifier 285
Complete Neutralization 424
Concentration 286
Concentration Range 289
Mineral Acids 375
Neutralization 85,98,277,375,383,419,
428,429
pH 277,284,289,375,382,383,419,424
Release Reporting 277,353
Reporting Acids 382
Waste Treatment 289
Active Degradation 186
Active/Passive Degradation 183
Activity Index 439
Activity Threshold 42,52,80,81, 83-88,92-99,102-
104,106-109,111-114,117-119,
121-123,125-129,133,134,139-
141,206,209,271,323,434,529
Adhesive 93,98
Air Emissions 367,372,373,392,405,433
Horizontal Storage Tanks 373
Mixtures 405
Partial Vapor Pressure 372
Storage 405
Storage Tanks 367,433
Toluene 372
Aluminum 130,302,303
Aluminum Oxide 181,317-319,320
Fibrous Forms 317-319
Alternate Threshold 2,442-447
Ammonia 88,120,121,128,129,161,323,324,325
Anhydrous 323,324
Aqueous 323,324
Personal Use Exemption 161
Ammonium Hydroxide 325
Article Component 116
Article Exemption 72,184,229-266,401
Article Releases 232,235,242,243,251,
256,265,266
Bar Stock 252,253
Batteries 239,257
Catalyst 258
Disposal 261
End Use Function 260
Fume or Dust Qualifier 236,238
Glass 241
Half Pound Policy 232
Lead Bricks 255
Light Bulbs 262
Manufacturing Article 233,234,254
PCB Transformers 263,264
Polyurethane Foam 82
Recognizable as an Article 261
Recycle 231,237
Reportable Release 240
Sheet Metal 244,248-250
Supplier Notification 243,531,532
Threshold Determination 229-231,244
Welding Rods 235
Wire 245-247
Asbestos 63,187,316,358,393
Definition of Friable 358
Structural Component Exemption 187
Auxiliary Facility 148-151,512
Supplier Notification 512
Auxiliary Scrubber 430
B
Barge Terminal 389
Barium Chloride 329
Barium SuMate 329
Bar Stock 252,253
Basis of Estimate 361,362,364,377
Emission Factors 361,362,354
Releases 377
Batch Processor 439
Batteries 239,257
Broker 147
Byproduct 124,359
De Minimis Exemption 211,221
CAS Number 270,272,316,327,328,331,334,515
Catalyst 258
Category Code 272
Certification 451-454
Senior Management Official 452,454
Chemical Categories 271-273,326,329,522
Health Effects 273
Supplier Notification 522
Chemical Conversion 91,129,274,352,359,501
Supplier Notification 501
Chemical Deletion: Effective Date 276
Chemical Identity 359
Chemical Name 269,270
209
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INDEX
KeyWords by Question Number
Chemical Qualifier 101,130,285,288,299,302,
303,317,318,323-325
Chlorine 117,352,374
Chromium 106
Chromium Compounds 294,293
Closed-loop 55
Coincidental Manufacture 83,96-98,101,120,124,
170,278,282,283,285,
289,300,303
Combustion Byproducts 278,282
Composting 426
Compound Category 289,292,297
Compounds 139,287-304,332,333
Compounding 139
Concentration 124,286,305,325,530,536,539,
540
Supplier Notification 530,536,539,540
Concentration Range 64-68,218,219,284,289
Lower Bound 67
Upper Bound 64,68
Consumer Product Exemption 506,535,543
Contiguous/Adjacent 7,38
Contractors: Employee Threshold 13,23,24
Cooling Towers 173
Co-polymer 314
Copper 91
Copper Compounds 291
Cyanide Compounds 288,290
D
DEHP 315
Delimited Category 228,326
Deminimis Exemption 72,210-228,306,400,499,
500,538
Air Releases 226
Byproduct 211,221
Carcinogen 216
Concentration Range 218,219
Compound Category 228
Delimited Category 228
Deminimis Level 215,216
Impurity 211
Metal Compounds 212
Mixed Isomer 213
Mixture 210,211
Petroleum Refining 225
Release Reporting 217
Storage Tanks 226
Supplier Notification 499,500,538
Threshold Determination 222
Trade Name Product 210
Waste 211,224
Wastestreams 220
Wastewater Treatment 222,227
Xylene 213
DiethyleneGlycol 308
Dipropylene Glycol 309
Disposal 79,261,344,350,379,390,395
OOP 315
Double Counting 137,393
Dun and Bradstreet Number 464,465
E
Electroplating 74,91,92,151,186,289,290,532
Emission Factors 347,361,363-365,369
Basis of Estimate 361,362,364
Best Available Information 347
Estimating Emissions 369
Employee Threshold 13-26
Contractors 13,23,24
Facility Closure 26
Facility Owner 21,25
Permanent Disability 22
Sales Staff 18
Sick Leave 14
Truck Drivers 19
Vacation 14
Energy Recovery 417
EPCRA304 340,388
EPCRA Reporting 152
Establishment 40
Ethylene Glycol 310
Exemption Retention 153
Facility 6,36,37,43,47,48,389,418,456,457
Business Interest 37
Definition of 4,5,7,30,34,38,40,351
Facility Closure 3,26
Facility Closure 26
Facility Owner: Employee Threshold 21,25
Facility Construction 5,69
Facility Name Change 457
Facility Reporting 456
New Facility 76
Profit Share 21
Facility Maintenance Exemption 166-174,426
Composting 426
Cooling Towers 173
Recreational Use 168
Pesticides 174
Process Equipment Maintenance 166,167
Similar in Type or Concentration 170
210
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Key Words by Question Number
INDEX
Swimming Pool 168
FDA 154
Fertilizer 115
Fibrous Forms 317,318
Foreign Trade Zone 144
Form A 2,442-447
Documentation 445
Effective Date 446
Form A Criteria 442,447
Release Reporting 444
Formaldehyde 136,141,321
FormR 2,448-486
Audit Provisions 480
Blank Date Elements: NA 477
Certification 451-454
Senior Management Official 452,
454
Change of Ownership 458,459
Dun and Bradstreet Number 464,465
Enforcement 481
Facility Name Change 457
Facility Reporting 456
Form R Revisions 11
Form R Submissions 45,296,296,448-486
Electronic Form R 449
Deadline Extension 448
Mailing Address 455
Reporting Deadline: Weekends 450
Information Access 486
Latitude/Longitude 466
Location Change 456
Maximum Amount On-site 469-473
Parent Company Name 457
Part I Section 2.1 549
Part I Section 4.4 460,461
Part I Section 4.5 463
Part 1 Section 4.7 464
Part I Section 4.9 467
Part H Section 1 335,514
Part n Section 3 46
Part n Section 4 470-474
Part H Section 5.3 474-476
Part H Section 6.1 384
Part H Section 6.2 414,416
Part H Section 7A 420-423,432,433
Part H Section 8 436
Part H Section 8.8 438,441
Part H Section 8.9 439
Part H Section 8.10 437
Public Contact 460,461
Rainwater Run-off 366
Release Estimate 479
Reporting Requirements 456
Signature 451,453,482
Significant Figures 478
Stormwater 366
Technical Contact 461,462
TRI Facility Identification Number 458,459
Fuel 77,131,170
Structural Component Exemption 170
Fuel Blending 417
Fugitive Air Emissions 346,354,365,368,387
Storage Drums 368
Full-time Employee 15-17
Fume or Dust 102, 103, 105, 130, 299-304, 473
Fume or Dust Qualifier 236, 238 ,
Fumigants 87, 101
Glass 241
Glycol Ethers Category 308-310
Groundwater 349
H
Half Pound Policy 232
Health Effects 273
Heat Value 417
Hydrochloric Acid 279,282,285
Import 60,142-147,524
Supplier Notification 524
Impurity 95,211
DeMinimis Exemption 211 '
Incineration 425
Incorporation 80
Indian Lands: EPCRA Reporting 152
Influent Concentration 422,431
Ingots 103
Intake Air Exemption: Compressed Air 163
Intake Water Exemption 58,162,164,165
Intra-Company Transfer 136,526
Supplier Notification 526
Joint Venture 33,34
Laboratory 150
Laboratory Activity Exemption 191-209
Laboratory Support Activities 204,207
211
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INDEX
Key Words by Question Number
Reuse System 54-56
Acid Reuse System 280
Closed Loop 55
Right-of-Way 47
RQ 388,444
s
Samples 205,505
Laboratory Activities Exemption 205
Supplier Notification 505
Senior Management Official 452,454
Sequential Process 422,423
Sheet Metal 244,248-250
SIC Code 4,8-12,40,41,148,150,194,
463,501,527
Solvents 94,108,134,176
Source Reduction 437,440,485
Data Sources 485
Economic Reasons 440
Stockpiles 386
Storage 51-53,122,386,390,405
Storage Drums: Fugitive Air Emissions 368
Storage Tanks 226,367,387,433
De Minimis Exemption 226
Horizontal Storage Tanks 373
Stormwater 366
Structural Component Exemption 175-187
Active Degradation 186
Active/Passive Degradation 183
Asbestos 187
Degreasers 185
Electroplating 186
Fuels 170
Mobile Equipment 175
Paint 175-178
Pipes 178,180
Solvents 176
Stationary Equipment 175
Welding Rods 175
SulfuricAcid 279,281,282
Fuming Sulfuric Acid 281
Supplier Notification 243,497-547
Activity Thresholds 529
Applicability 532
Article Exemption 531,532
Auxiliary Facilities 512
CAS Number 515
Chemical Categories 522
Chemical Compounds 538
Chemical Conversion 501
Concentration 530,536,539,540
Consumer Product Exemption 506,535,543
Corporate Headquarters 157
Deleted Chemicals 157
DeMinimis Exemption 499,500,538
Distributors 507,508,510,511
Effective Date 546
Electroplating 532
Generic Name 514
Import 524
Intra-Company Transfers 526
Janitorial Products 534
Manufacture 528
Mass Mailing 547
Mixtures 502,503,522
MSDS 517-519
Multi-establishment 527
Negative Declaration 509
New Chemicals 546
Notification Date 497
Notification Letter 520
Paint 534
Pesticides 521
Pure Chemical 523,530
Repackaging 513
Sales Samples 505
SIC Code 501,527
Thresholds 498
Trade Name 514,523
Trade Secret 541,542
Waste 535
Technically Qualified Individual 55,192
TDI (Mixed Isomers) 336
Threshold Determination 49-79,87,89,91,105,115,
124,132,145,181,207,
222,229-231,244,274,
275,282,287,290-293,
297,298,304,306,322,
324-327,336,338,412,
469-473
Toll Processor 119,146
Toluene 372
Toluene Diisocynate 322
Toxic Chemical List 267,268
Trade Name 269,514,523
Trade Name Product: De Minimis 210
Trade Secret 541,542,549-551
Chemical Identity 549
Confidentiality Agreement 550,551
Foreign Government 551
Part I, Section 2.1 549
Public Disclosure 550,551
214
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Key Words by Question Number
INDEX
Supplier Notification 541,542
Transformer: PCBs 79,263,264
Transportation Exemption 388
Treatment Efficiency 425,432
Treatment for Destruction 279,357,425,426
TRI Facility Identification Number 459,458
TSCA 78,192 . '
u ' ;
Ultimate Disposition 350,385,392,393* 408,417
Underground Injection 391,403
UIC (See Underground Injection) 403
Unknown Composition: Estimating Emissions 369
Zeolite 320
Zero Releases 377
Zinc: Particles 304
Zinc Compounds 140
Vanadium Pentoxide 301
Vessels 4,389 V '
Vinyl Chloride 313
w .'.';"
Warehouse 62,146
Waste 88,123,211,220,224,535
DeMinimis 211,220,224
Supplier Notification 535
Waste Brokers 406,414
Waste Disposal 391
Waste Management Activities 434441
Waste Treatment 289,329,374,376,420-433,427,
436,437 ?
Wastewater Treatment 97,222,227
DeMinimis 222,227
Water Treatment 374,376
Welding Rods. 175,235 .
Wire 245-247,
Wholly Owned Subsidiary 35
Withdrawal 487-496
Chemical Deletion 495
EPA Approval 492
EPA Contact 490
EPA Review 489
Inappropriate Submission 496
Revision494 , . .
, Withdrawal Requirements 493 ;
Validity 491
X
Xylene 127,213,305-307
DeMinimis 213
Xylene (Mixed Isomers) 305-307
215
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INDEX
Key Words by Question Number
216 *O.S. GOVERNMENT PRINTING OFFICE: 1997-616-067/90437
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