United States
Environmental Protection
Agency
Office of Toxic
Substances
Washington, D.C. 20460
January 1990
EPA 560/4-90-001
Toxic Chemical Release Inventory
Reporting Package for 1989
•porting Form H mnt tn«tructkxi«
Toxic Chemical Release Inventory
Reporting Form R and Instructions
Toxic Chemical Release Inventory
Questions and Answers
40 CFR Part 372
Toxic Chemical Release Reporting;
Community Right-to-Know; Final
Rule
Toxic Chemical Release Inventory
Magnetic Media Submission
Instructions
Printed on Recycled Paper
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
0£0 5 (989
OFFICE OF
PESTICIDES AND TOXIC SUBSTANCES
Dear Facility Compliance Manager:
This Toxic Chemical Release Inventory Reporting Package is
being distributed by direct mailing to all facilities that
reported for the 1987 and 1988 reporting years. This reporting
package contains an updated Form R and Instructions, a revised
Q & A document and other information that I hope will help you in
completing your 1989 reports.
For the 1989 and subsequent reporting years I want to
strongly encourage you to use magnetic media to submit your Form
R data. Submitting by magnetic media has a distinct advantage
over paper submission. If you submit by tape or diskette you can
be sure that the information you submit is the information that
will be uploaded to the EPA mainframe computer. While I see this
as a major consideration for your facility, I must admit that EPA
has a selfish reason in promoting magnetic media submissions. It
costs significantly less to enter Form R submissions directly
from magnetic media than it does to key the data from a form.
This reporting package contains a set of instructions for
submitting via magnetic media. You might also consider obtaining
commercially available software packages for use with personal
computers. Many of these packages will assist you in completing
Form R, prompt you if you make any errors, and many will create
the magnetic media disk files for submission. Others will also
generate a paper version of your Form R submission to send to the
State (many States may not yet accept magnetic media
submissions). A list of Form R software suppliers is printed on
the reverse side of this letter.
I recognize that you put a lot of effort into developing
your Form R reports. The quality of the TRI database depends
both on your efforts to develop accurate estimates and on our
efforts to accurately enter the data you submit. Use of magnetic
media will, I believe, help both of us reach these data quality
goals.
Sincerely,
U.S. Environrr-*" ^»etfon Ageney
Region 5, Lib: • j) '
77 West Jacks'.-.-' ., yard, 12tf? fjqor
Chicago, IL 60c^4-3590 '" Charles L. Elkins, Director
Office of Toxic Substances
U.S. Environmental Protection Agency
GLNPO Library Collection (PL-12J) ^
77 West Jackson Boulevard. ~ -* ?«**<**«*<*«,PI*
Chicago, IL 60604-3590
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MAGNETIC MEDIA SUPPLIERS*
A. V. Systems, Inc.
924 Woodlawn
Ann Arbor, MI 48104
Contact: Marie H. Shih, 313-662-0355
E. I. du Pont de Nemours & Company
Fabricated Products Department
P. O. Box 80800
Wilmington, DE 19880-0800
Contact: Steve Robins, 302-992-6442
Enviro Base Systems
2 Inverness Drive East
Suite 101
Englewood, CO 80112
Contact: Richard L. Sayrs, 303-790-8396
ICF, Incorporated
9300 Lee Highway
Fairfax, VA 22031-1207
Contact: June Bolstridge, 703-934-3000
Monsanto
800 N. Lindbergh MS F1EG
St. Louis, MO 63167
Contact: Gale Crenshaw, 314-694-8766
Pro-Am Software
4432 Route 910
P. O. Box 750
Gibsonia, PA 15044
Contact: Joe Baranowski, 412-443-0310
Software Innovations, Incorporated
2323 Ashmead Place, N. W.
Washington, D. C. 20009
Contact: Bruce Giesert, 202-332-2858
* The programs prepared by these organizations have been found
to produce magnetic media submissions in a format which can be
loaded into the EPA computer system. These organizations
developed programs for the 1988 reporting year, and are expected
to revise their software to meet 1989 reporting year
requirements. EPA has not evaluated or passed judgement on any
features of these programs other than the ability for the
software to be read into the EPA system. Other firms may develop
such software. For an up to date listing contact the Emergency
Planning and Community Right - To - Know - Hotline (800) 625-0202
or, in Washington, DC or Alaska (202) 479-2449.
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SECTION 313 REPORTING PACKAGE
TABLE OF CONTENTS
Form R Instructions (January 1990), revised to reflect changes in the form and activity thresholds; includes guidance on
Section 313 requirements and preparation of your submission package, listings of codes used on the form, regional and state
contacts, and a reply form to send in for more information;
"Reporting Form R", (Appendix A) a blank Form R to be copied and used for filing submissions;
"Common Form R Errors", (Appendix D) identifies the most common mistakes made in previous submissions;
"Supplier Notification", (Appendix E) explains the requirements for some suppliers to notify their customers if a listed toxic
chemical is present in a mixture or trade name product.
"Section 313 Document Request Form", (Appendix I) for requesting additional documents on section 313;
Questions and Answers (January 1990), a compilation of answers to the most commonly asked questions on Section 313
requirements appendix provides directives explaining complex reporting issues;
Section 313 Final Rule, a reprint of 40 CFR Part 372, 53 FR 4500, including EPA's response to comments on the proposed
rule and the names and CAS numbers of chemicals covered under the law;
Magnetic Media Submission Instructions (January 1989), guidance on the proper formatting, packaging, and supporting
documentation for electronic media submissions.
For additional information, contact the Emergency Planning and Community Right-to-Know Information Hotline, U.S. Environ-
mental Protection Agency, WH-562-A, 401 M Street, S.W., Washington, D.C., 20460, 1-800-535-0202, or 202-479-2449 in
Washington, D.C. and Alaska.
-------
United States
Environmental Protection
Agency
Office of Toxic
Substances
Washington, D.C. 20460
January 1990
EPA 560/4-90-007
4>EPA Toxic Chemical Release Inventory
Reporting Form R and Instructions
Revised 1989 Version
Section 313
of the Emergency Planning and
Community Right-to-Know Act
(Title III of the Superfund Amendments
and Reauthorization Act of 1986)
-------
REPORTING FORMR SUBMISSION CHECKLIST
LJi 1. Complete a separate Form R for each chemical or chemical category you must report
Q 1 .a Enter CAS number and chemical name in Part III, Sections 1.2 and 1.3 (or the chemical
category name and NA in the CAS number section); and
Q 1 .b Enter information in Parts III, IV, and V that apply only to the chemical category being
reported.
LJ 2. Complete the report with information from the previous calendar year
Q 2.a Complete all sections, if applicable, or enter NA; and
Q 2.b Include all four sections (minimum of 5 pages)
Q 2.c Sign the report certification (Part I, Section 2).
Q 3. Submit by July 1 to:
Ql 3.a EPA Headquarters (original signature on Part I, Section 2 is required for each chemical
submission to EPA)
EPCRA Reporting Center
P.O. Box 23779
Washington, D.C. 20026-3779
Attn: Toxic Chemical Release Inventory
Q 3.b State-designated section 313 contact (see Appendix G); and
LJ 4. Keep a copy of each Form R and all supporting documentation for your files. (All such information
must be kept for three years.)
Additional requirements If claiming chemical Identity trade secret (see Section A.2: Trade Secret Claims):
LJ 1. Provide two complete identical Form R reports including Parts I, II, III, and IV (pages 1-5);
Q 1.a One that identifies the chemical ("unsanitized");
Q 1 .b One that provides a generic chemical identity ("sanitized"); and
Q 1 .c Certify both with an original signature and date.
LI 2. Provide two complete trade secret substantiation forms:
Q 2.a One that identifies the chemical ("unsanitized");
Q 2.b One that provides a generic chemical identity ("sanitized"); and
Q 2.c Certify both with an original signature and date.
LJ 3. Check that the sanitized and unsanitized versions are correctly identified in Part I, Section 1.2.
LJ 4. Originals of all four reports should be submitted to EPA Headquarters (see address above).
LJ 5. Only the sanitized versions of the report and trade secret substantiation form must be sent to the State.
Submit Form R by July 1 to EPA and the appropriate agency in your State.
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Important Changes
in the Section 313 Requirements for
Reporting Year 1989
Reporting requirements for calendar year 1989 (reports due July 1,1990) differ from prior year's
requirements:
(1) The 1989 threshold for manufacturing or processing a covered toxic chemical is
25,000 pounds (the threshold was 50,000 pounds for reporting year 1988). You
must use this threshold in determining whether you are subject to the reporting
requirements. (See "Threshold Determinations," page 7, for more information.)
(2) The following chemicals have been specifically delisted and are not covered for the 1989
reporting year:
Titanium dioxide
C.I. Acid Blue 9 diammonium salt
C.I. Acid Blue 9 disodium salt
Melamine
Sodium sulfate (solution)
Sodium hydroxide (solution)
CAS Number
13463-67-7
2650-18-2
3844-45-9
108-78-1
7757-82-6
1310-73-2
(3) A TRI facility identification number has been assigned to each facility that previously submitted
Form R reports. This identification number is designed to simplify locating facility reports.
All facilities which submitted a Form R previously will receive a section 313 compliance
package that includes a self adhesive mailing label with the TRI facility identification number.
If this material did not contain a mailing label or you have misplaced it, contact the Emergency
Planning and Community Right-to-Know Information Hotline for help in determining your TRI
facility identification number.
(4) The EPA Headquarters address for submitting completed Form R reports has been changed to:
EPCRA Reporting Center
P.O. Box 23779
Washington, D.C. 20026-3779
Attn: Toxic Chemical Release Inventory
Supplier Notification Began in 1989
With the first shipment of product in calendar year 1989, suppliers were
required to provide notice to their customers regarding all mixtures or trade
name products that contain listed toxic chemicals. The notice must be
attached to or included in the Material Safety Data Sheet (MSDS). The
data in the notice must be used for threshold and release calculations
beginning with reports submitted for calendar year 1989, due July 1,1990.
(See Appendix E: Supplier Notification Requirements for more information.)
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TOXIC RELEASE INVENTORY REPORTING FORM AND INSTRUCTIONS
TABLE OF CONTENTS
Page
A. GENERAL INFORMATION 1
A.1 How to Assemble a Complete Report 1
A.2 Trade Secret Claims 1
A.3 Recordkeeping 2
A.4 When the Report Must Be Submitted 2
A.5 Where to Send the Report 2
A.6 Howto Obtain Forms and Other Information 3
A.7 Who Must Submit This Form 3
B. HOW TO DETERMINE IF YOUR FACILITY MUST SUBMIT EPA FORM R 5
B.1 Full-Time Employee Determination 5
B.2 Primary SIC Code Determination 5
B.2.a Multi-Establishment Facilities 5
B.2.b Auxiliary Facilities 6
B.2.C Facility-Related Exemptions 6
B.3 Activity Determination 6
B.S.a Definitions of "Manufacture," "Process," and "Otherwise Use" 6
B.3.b Activity Exemptions 7
B.3.C Activity Qualifiers 8
B.4 Threshold Determination 9
B.4.a How to Determine If Thresholds Are Exceeded 9
B.4.b Mixtures and Trade Name Products , 11
C. INSTRUCTIONS FOR COMPLETING EPA FORM R 14
PART I. FACILITY IDENTIFICATION INFORMATION 14
1.1 Are You Claiming the Chemical Identity on Page 3 Trade Secret? 14
1.2 If "Yes" in 1.1, Is This Copy Sanitized or Unsanitized? 14
1.3 Reporting Year 14
2. Certification 14
3.1 Facility Name and Location 15
3.2 Full or Partial Facility Indication 15
3.3 Technical Contact 15
3.4 Public Contact 15
3.5 Standard Industrial Classification (SIC) Code 15
3.6 Latitude and Longitude 15
3.7 Facility Dun and Bradstreet Number 15
3.8 EPA Identification Number 16
3.9 NPDES Permit Number 16
3.10 Receiving Streams or Water Bodies 16
3.11 Underground Injection Well Code (UIC) Identification Number 16
4. Parent Company Information 16
4.1 Name of Parent Company 16
4.2 Parent Company's Dun and Bradstreet Number 16
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TOXIC RELEASE INVENTORY REPORTING FORM AND INSTRUCTIONS
TABLE OF CONTENTS
(continued)
Page
PART II. OFF-SITE LOCATIONS TO WHICH TOXIC CHEMICALS ARE
TRANSFERRED IN WASTES 17
1. Publicly Owned Treatment Works (POTWs) 17
2. Other Off-Site Locations 17
PART HI. CHEMICAL-SPECIFIC INFORMATION 17
1.1 [Reserved] 17
1.2 CAS Number 17
1.3 Chemical or Chemical Category Name 17
1.4 Generic Chemical Name 18
2. Mixture Component Identity 18
3. Activities and Uses of the Chemical at the Facility 18
3.1 Manufacture of the Chemical 18
3.2 Process the Chemical 19
3.3 Otherwise Use the Chemical 19
4. Maximum Amount of the Chemical On-Site at Any Time
During the Calendar Year 21
5. Releases of the Chemical to the Environment On-Site 21
5.1 Fugitive or Non-Point Air Emissions 21
5.2 Stack or Point Air Emissions 21
5.3 Discharges to Receiving Streams or Water Bodies 21
5.4 Underground Injection On-Site 22
5.5 Releases to Land On-Site 22
5.A Total Release 22
5.B Basis of Estimate 24
5.C Percent From Stormwater 26
6. Transfers of the Chemical in Waste to Off-Site Locations 27
6.A Total Transfers 27
6.B Basis of Estimate 27
6.C Type of Treatment/Disposal 27
7. Waste Treatment Methods and Efficiency 28
7.A General Wastestream 28
7.B Treatment Method 28
7.C Range of Influent Concentration 29
7.D Sequential Treatment? 30
7.E Treatment Efficiency Estimate 30
7.F Based on Operating Data? 30
8. Pollution Prevention: Optional Information on Waste Minimization 31
8.A Type of Modification 31
8.B Quantity of the Chemical in the Wastestream Prior to
Treatment/Disposal 31
8.C Waste Minimization Index 32
8.D Reason for Action 32
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TOXIC RELEASE INVENTORY REPORTING FORM AND INSTRUCTIONS
TABLE OF CONTENTS
(continued)
Page
TABLE I SIC Codes 20-39 34
TABLE II Section 313 Toxic Chemical List for Reporting Year 1989 40
TABLE III State Abbreviations 49
APPENDIX A Toxic Chemical Release Inventory Reporting Form R A-1
APPENDIX B Reporting Codes for EPA Form R B-1
APPENDIX C Example of a How a Hypothetical Facility Prepared
Reporting Form R C-1
APPENDIX D Most Common Errors Found on Form R Reports from 1988 D-1
APPENDIX E Supplier Notification Requirements E-1
APPENDIX F How to Determine Latitude and Longitude From Topographic Maps F-1
APPENDIX G State Designated Section 313 Contacts G-1
APPENDIX H Section 313 EPA Regional Contacts H-1
APPENDIX 1 Section 313 Document Request Form 1-1
INDEX
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Pagel
A. GENERAL INFORMATION
Submission of EPA Form R, the Toxic Chemical Release
Inventory Reporting Form, is required by section 313 of the
Emergency Planning and Community Right-to-Know Act (Title
III of the Superfund Amendments and Reauthorization Act of
1986), Public Law 99-499. The information contained in Form
R constitutes a "report," and the submission of a report to the
appropriate authorities constitutes "reporting."
Reporting is required to provide the public with information on
the releases of listed toxic chemicals from your facility to the
environment during the past calendar year. Facilities must
report the quantities of both routine and accidental releases of
listed chemicals, as well as the maximum amount of the listed
chemical on-site during the calendar year and the amount con-
tained in wastes transferred off-site.
A completed Form R must be submitted for each toxic chemi-
cal manufactured, processed, or otherwise used at each
covered facility as prescribed in the reporting rule in 40 CFR
Part 372 (published February 16,1988 in the Federal Regis-
ter). These instructions supplement and elaborate on the
requirements in the reporting rule. Together with the reporting
rule, they constitute the reporting requirements. All refer-
ences in these instructions are to sections in the reporting rule
unless otherwise indicated.
A.1 HOW TO ASSEMBLE A COMPLETE REPORT
The Toxic Chemical Release Reporting Form, EPA Form R,
consists of four parts:
Q Part I, Facility Identification Information (page 1);
Q Part II, Off-Site Locations to Which Toxic Chemicals are
Transferred in Wastes (page 2);
Q Part III, Chemical-Specific Information (pages 3 and 4);
and
Q Part IV, Supplemental Information (page 5).
Most of the Information required in Part I and all of the
information required in Part II of Form R can be filled in and
photocopied and attached to each chemical-specific report.
Part I must have an original signature on the certification state-
ment and the trade secret designation must be entered as
appropriate. You have the option to complete Part II for only
the off-site locations that apply to the individual chemical cited
in the report fit you can list all off-site locations that apply to all
chemicals being reported and include a photostatic copy of
this Part II with each individual report. Part III must be
completed separately for each chemical. Part IV provides
additional space, If needed, to complete the information re-
quired by the preceding sections of the form. Include Part IV
in your report, even if it is blank.
A complete report for any listed toxic chemical that is not
claimed trade secret consists of the following completed parts:
Q Part I with an original signature on the certification state-
ment (Section 2);
Q Part II;
Q Part III (Section 8 is optional); and
Q Part IV (even if blank).
Staple all five pages of each report together. Do not submit
supporting documentation or other materials with your Form R
submission.
A.2 TRADE SECRET CLAIMS
For any chemical whose identity is claimed as a trade secret,
you must submit to EPA two versions of the substantiation
form as prescribed in 40 CFR Part 350, published July 29,
1988 in the Federal Register (53 FR 28772). Use the order
form in this document to obtain a copy of the rule and
substantiation form. One version identifies the chemical; the
second version does not identify the chemical specifically, but
provides instead a generic identity. Only this latter version will
be available to the public. For further explanation of the trade-
secret provisions, see the instructions below for Part I, Sec-
tions 1.1 and 1.2 and Part III, Sections 1.1-1.4.
A complete report for a toxic chemical claimed trade secret
Includes all of the above items plus the following:
Q A completed Form R report including the chemical identity
(staple the pages together);
Q A "sanitized" version of a completed Form R report in
which the chemical identity items (Part III, Sections 1.2
and 1.3) have been left blank but in which a generic
chemical name has been supplied (Part III, Section 1.4)
(staple the pages together);
Q A completed trade secret substantiation form (staple the
pages together);
Q A "sanitized" version of the trade secret substantiation
form (staple the pages together).
Securely fasten all four reports together.
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General
Page 2
Copies of the report sent to the State or Indian tribe should be
the "sanitized," non-trade secret version of the report, unless
the State specifically requires otherwise. The report submitted
to EPA should include both trade-secret and non-trade-secret
versions.
A.5 WHERE TO SEND THE REPORT
A.3 RECORDKEEPING
You must keep a copy of each report. In addition, you must
keep the supporting materials used to develop the information
contained in the report. These records must be kept at the
facility for a period of three years from the date of the
submission and must be readily available for inspection by
EPA.
A.4 WHEN THE REPORT MUST BE SUBMITTED
The report for any calendar year must be submitted on or
before July 1 of the following year (e.g., the report for calendar
year 1989, January-December, must be submitted on or
before July 1,1990).
Voluntary Revision of a Previous Submission
If you are making a voluntary revision to a previous Form R
submission, enter "Voluntary Revision" in the space marked
"This space for your optional use" on a)lf ive pages of the form.
If you have obtained the Document Control Number (DCN) of
the original submission from EPA, enter that number also in
this space. Enter the revised data to the Form R and circle it
in red ink. Sign the certification and provide a current date.
You must provide the facility's name, TRI facility identification
number (if applicable), and the chemical name on the revised
Form R exactly as they were reported previously to enable
tracking of the original data. If one of these data items has
changed since the original submission, you must enter the
data which appeared in the original submission to the revised
Form R and indicate the new data in the optional use space on
page 1 of the revised Form R. Alternatively, you may submit
a copy of the original Form R submission, with corrections
made in red ink, writing the words "VOLUNTARY REVISION",
and the DCN, if available, in the space marked This space for
your optional use" on all five pages (or more) of the Form R,
and resigning and re-dating the certification statement on
page 1.
Send the entire completed revised Form R report to EPA and
the appropriate state agency. Submissions forthe next calen-
dar year are not considered revisions of a previous year's
data.
Form R submissions must be sent to both EPA and the State.
Send EPA reports by mail to:
EPCRA Reporting Center
P.O. Box 23779
Washington, D.C. 20026-3779
Attn: Toxic Chemical Release Inventory
Certified mail and hand-delivered submissions only should be
addressed to:
EPCRA Reporting Center
470 L'Enfant Plaza East
Suite 7103, SW
Washington, DC 20024
Attn: Toxic Chemical Release Inventory
In addition, you must send a copy of the report to the State in
which the facility is located ("State" refers to: State of the U.S.,
the District of Columbia, the Commonwealth of Puerto Rico,
Guam, American Samoa, the U.S. Virgin Islands, the Northern
Mariana Islands, and any other territory or possession over
which the U.S. has jurisdiction). Refer to Appendix G for the
appropriate State address for your submission. If your facility
is located on Indian land, send a copy to the Chief Executive
Officerof the applicable Indian tribe. Some tribes have entered
into a cooperative agreement with the State, in which this
case, Form R submissions should be sent to the entity
designated in the cooperative agreement.
The submissions of section 313 reports in magnetic media and
computer-generated facsimile formats has been approved by
EPA. Magnetic media submissions to EPA must follow basic
specifications set forth by EPA in the document, Magnetic
Media Submissions Instructions (EPA 560/4-90-008) which is
also included in EPA's Toxic Chemical Release Inventory
Reporting Package for 1989 (EPA 560/4-90-001). To order
these documents, see the document request form in Appendix
I.
Many firms are offering computer software to assist facilities in
producing magnetic media submissions or computer-gener-
ated facsimiles of Form R reports. To ensure accuracy, EPA
will only accept magnetic media submissions and computer-
generated facsimiles that meet basic specifications estab-
lished by EPA. To determine if software offered by a firm
meets these specifications, EPA reviews and approves all
software upon request. Call the Emergency Planning and
Community Right-to-Know Information Hotline to determine if
the software you are considering using has been approved by
EPA for the current reporting year.
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PageS
General
A.6 HOW TO OBTAIN FORMS AND OTHER
INFORMATION
A.7 WHO MUST SUBMIT THIS FORM
.Qar*tinn *51 Q nf Tit la III rani lirac that rartrtrtc ho f ilort hu nuunarc
A copy of Form R is included in this booklet. Remove this form
and photocopy as many copies of it as you need. Additional
copies of EPA Form R and related guidance documents may
be obtained from:
Section 313 Document Distribution Center
P.O. Box 12505
Cincinnati, OH 45212
See Appendix I for the document request form and more
information on available documents.
Questions about how to fill out the form may be submitted in
writing to:
Emergency Planning and Community Right-to-
Know Information Hotline
U.S. Environmental Protection Agency
401 M Street, S.W. (OS-120)
Washington, DC 20460
Alternatively, you may call (800) 535-0202 (in Washington,
D.C. and Alaska, (202) 479-2449) from 8:30 am - 7:30 pm
Eastern Time.
EPA Regional Staff may also be able to help you. Refer to
Appendix H for a list of EPA Regional Contacts.
and operators of facilities that meet all three of the following
criteria:
Q The facility has 10 or more full-time employees;
Q The facility is included in Standard Industrial Classification
(SIC) Codes 20 through 39; and
Q The facility manufactured (defined to include imported),
processed, or otherwise used any listed chemical in
quantities equal to orgreaterthan the established thresh-
old in the course of a calendar year.
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Page 4
Figure A
Determining Applicability of Section 313 Requirements
Does your facility have 10
or more full-time
employees?
(see definition on page 3)
No
Yes
I
Is your facility classified
under SIC codes
20 through 39?
(see Table I, pages 34-39)
yes
i
r— -~-- n
| Reporting is not required I
• -^», for any chemical at the .
I facility for this year. '
I I
Does your facility
manufacture, process or
otherwise use any listed
chemical or chemical
category?
(see Table II, pages 40-48)
yes
Manufacture or Process
No
I
Ves
Otherwise Use
Did your facility
otherwise use more than
10,000 pounds of
the chemical
in the calendar year?
yes
£
NO
~l
Report must be filed
for this chemical
for this year.
Did your facility
manufacture or process
more than 25,000 pounds
of the chemical
in the calendar year?
yes
I
Report must be filed
for this chemical
for this year.
| Reporting not required
. for this chemical
L.
for this year.
,J
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Pages
B.
HOW TO
DETERMINE
IF
YOUR
FACILITY
MUST SUBMIT
EPA
FORM
R
B.1 FULL-TIME EMPLOYEE DETERMINATION
(See Figure A for more information.)
B.2.a Multi-Establishment Facilities
A lull-time employee," for purposes of section 313 reporting,
is defined as 2,000 work hours per year. To determine the
number of full-time employees at your facility, add up the hours
worked by all employees during the calendar year, including
contract employees and sales and support staff working at the
facility and divide the total by 2,000 hours. In other words, if
the total number of hours worked by all employees is 20,000
hours or more, your facility meets the ten employee threshold.
B.2 PRIMARY SIC CODE DETERMINATION
Table I on page 34 includes a listing of SIC codes 20-39 and
the associated 4-digit SIC codes covered by the rule. The first
two digits of a 4-digit SIC code define a major business sector,
while the last two digits denote a facility's specialty within the
major sector. You may already know the SIC code of your
business as a result of your having had to develop insurance
or other reports. If you are not familiar with the SIC codes that
apply to yourfacility, contact yourtrade association, Chamber
of Commerce, or legal counsel. For a detailed description of
4-digit SIC codes, refer to the "Standard Industrial Classifica-
tion Manual 1987." Clothbound editions should be available in
most major libraries or may be ordered through the National
Technical Information Service, 5285 Port Royal Road, Spring-
field, VA, 22161, (703) 487-4650. The access number for the
Clothbound manual is PB87-100012, and the price is $30.00.
If you are unsure of your SIC code, review your operations to
determine if you produce products of the type described in SIC
codes 20-39. If the value of those products is greaterthan any
other types of goods and services that you produce at that
facility, then you meet the SIC code criterion.
Section 313 requires that reports be filed by "facilities," which
are defined as "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." The SIC code system, however,
classifies business "establishments," which are defined as
"distinct and separate economic activities [that] are performed
at a single physical location."
Establishments, in the SIC code system, are to be treated as
separate activities. In many cases, a section 313 "facility" is
the same as an "establishment" as defined by the SIC code
system.
Your facility may include multiple establishments that have
different primary SIC codes. If so, calculate the value of the
products produced or shipped from each establishment within
the facility and then use the following rule to determine if your
facility meets the SIC code criterion:
G If the total value of the products shipped from or produced
at establishments with primary SIC codes between 20
and 39 is greaterthan 50 percent of the value of the entire
facility's products and services, the entire facility meets
the SIC code criterion.
Q If any one establishment with a primary SIC code between
20 and 39 produces or ships products whose value
exceeds the value of products and services produced or
shipped by any other establishment within the facility, the
facility also meets the SIC code criterion.
The value of production attributable to a particular establish-
ment may be adjusted by subtracting the value of products
obtained from other establishments within the same facility
that are incorporated into its final products. This procedure
eliminates the potential for "double counting" production in
situations where establishments are engaged in sequential
production activities at a single facility.
Examples include:
Q One establishment in a facility mines ore; all of the ore is
smelted at a second establishment in the facility. The
facility could calculate the value of production for each
establishment separately. Alternatively, the facility could
determine the value of the smelter operation by subtract-
ing the value of the ore produced from the value of entire
facility's production.
Q A food processing establishment in a facility processes
crops grown at the facility in a separate establishment.
The facility could base the value of the products of each
establishment on the total production value of each estab-
lishment. Alternatively, the facility could determine the
value of the crops grown at the agricultural establishment.
Then, to calculate the contribution of the food processing
establishment, the facility would subtract the crop value
from the total value of the product shipped from the
processing establishment.
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General
Page 6
A covered multi-establishment facility must make chemical
threshold determinations and report all relevant information
about releases and waste treatment associated with a listed
chemical, even from establishments that are not in SIC codes
20-39. EPA realizes, however, that certain establishments in
a muiti-establishment facility can be, for all practical purposes,
separate business units. Therefore, individual establishments
may report separately, provided that the total release is
reported for the whole facility is represented by the sum of
releases reported by the separate establishments.
B.2.b Auxiliary Facilities
An auxiliary facility is one that supports another facility's
activities (e.g., research and development laboratories, ware-
houses, storage facilities, and waste-treatment facilities). An
auxiliary facility can take on the SIC code of another covered
facility if its primary function is to service that other covered
facility's operations. Thus, a separate warehouse facility (i.e.,
one not located within the physical boundries of a covered
facility) may become a covered facility because it services a
facility in SIC codes 20-39. Auxiliary facilities that are in SIC
codes 20-39 are required to report if they meet the employee
criterion and chemical thresholds formanufacture, process, or
use. Auxiliary establishments that are part of a multi-estab-
lishment facility must be factored into threshold determina-
tions for the facility as a whole.
B.2.c Facility-Related Exemptions
Laboratories: Listed toxic chemicals that are manufactured,
processed, or otherwise used in laboratory activities at a
covered facility under the direct supervision of a technically
qualified individual do not have to be factored into the thresh-
old and release calculations. However, pilot plant scale and
specialty chemical production do not qualify for this laboratory
activities exemption.
Property Owners: You are not required to report if you merely
own real estate on which a facility covered by this rule is
located; that is, you have no other business interest in the
operation of thatf acility (e.g., your company owns an industrial
park). The operator of that facility, however, is subject to
reporting requirements.
B.3 ACTIVITY DETERMINATION
B.3.a Definitions of "Manufacture,"
"Process," and "Otherwise Use"
Manufacture: The term "manufacture" means to produce,
prepare, compound, or import a listed toxic chemical. See
page 18 for further clarification.)
Import is defined as causing the chemical to be imported into
the customs territory of the United States. If you order a
covered toxic chemical (or a mixture containing the chemical)
from a foreign supplier, then you have imported the chemical
when that shipment arrives at your facility directly from a
source outside of the United States. By ordering the chemical,
you have "caused it to be imported," even though you may
have used an import brokerage firm as an agent to obtain the
chemical.
The term manufacture also includes coincidental production of
a toxic chemical (e.g., as a byproduct or impurity) as a result
of the manufacture, processing, use, or treatment of other
chemical substances. In the case of coincidental production
of an impurity (i.e., a chemical that remains in the product that
is distributed in commerce), the de mlnlmis limitation, dis-
cussed on page 11, applies. The de minimis limitation does
not apply to byproducts (e.g., a chemical that is separated
from a process stream and further processed or disposed).
Certain listed toxic chemicals may be manufactured as a result
of wastewater treatment or other treatment processes. For
example, neutralization of acid wastewater can result in the
coincidental manufacture of ammonium nitrate (solution).
EXAMPLE 1: Coincidental Manufacture
Your company, a nitric acid manufacturer, uses ammonia in a
waste treatment system to neutralize an acidic wastewater
stream containing nitric acid. The reaction of the ammonia
and nitric acid produces an ammonium nitrate solution.
Ammonium nitrate solution is a listed toxic substance, as are
nitric acid and ammonia. Your facility otherwise uses ammo-
nia as a reactant and manufactures ammonium nitrate solu-
tion as a byproduct. If the ammonium nitrate solution is
produced in a quantity that exceeds the threshold (e.g.,
25,000 pounds for 1989), the facility must report for ammo-
nium nitrate solution. If more than 10,000 pounds of ammonia
is added to the wastewater treatment system, then the facility
must report for ammonia.
Process: The term "process" means the preparation of a
listed toxic chemical, after its manufacture, for distribution in
commerce. Processing is usually the intentional incorporation
of a toxic chemical into a product (seepage 19forfurtherclari-
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Page/
General
fication). Processing includes preparation of the chemical in
the same physical state or chemical form as that received by
yourfacility, orpreparation that produces a change in physical
state or chemical form. The term also applies to the process-
ing of a mixture or othertrade name product (see page 11) that
contains a listed toxic chemical as one component.
EXAMPLE 2: Typical Process and Manufacture
Activities
Q Your company receives toluene, a listed toxic chemical,
from another facility, reacts the toluene with air to form
benzole acid, and further reacts the benzole acid with a
cadmium catalyst to form terephthalic acid. Cadmium
compounds and terephthalic acid are also listed toxic
chemicals. Your company processes toluene, and other-
wise uses (not processes) the cadmium catalyst (see the
definition of "otherwise use" below). Your company
manufactures benzole acid and terephthalic acid. Ben-
zoic acid, however, is not a listed chemical and thus does
not trigger reporting requirements.
Q Yourfacility combines toluene purchased from a supplier
with various materials to form paint. Your facility proc-
esses toluene.
Q Your company receives a nickel compound (nickel com-
pound is a listed toxic chemical category) as a bulk solid
and performs various size-reduction operations (e.g.,
grinding) before packaging the compound in 50 pound
bags. Your company processes the nickel compound.
Q Your company receives a prepared mixture of resin and
chopped fiberto be used in the injection molding of plastic
products. The resin contains a listed chemical that
becomes incorporated into the plastic. Yourfacilitvproc-
i the chemical.
Otherwise Use: The term "otherwise use" encompasses any
use of a listed chemical at a facility that does not fall under the
definitions of "manufacture" or "process." A chemical that is
otherwise used by a facility is not intentionally Incorporated
into a product distributed in commerce.
EXAMPLE 3: Otherwise Use
When your facility cleans equipment with toluene, you are
otherwise using toluene. Your facility also separates two
components of a mixture by dissolving one component in
toluene, and subsequently recovers the toluene from the
process for reuse or disposal, your facility otherwise uses
toluene.
B.S.b Activity Exemptions
Use Exemptions. Certain uses of listed chemicals are specifi-
cally exempted: use as a structural component of the facility;
use in routine janitorial or facility grounds maintenance; per-
sonal uses by employees or other persons; use of products
containing toxic chemicals for the purpose of maintaining
motor vehicles operated by the facility; or use of toxic chemi-
cals contained in intake water (used for processing or non-
contact cooling) or in intake air (used either as compressed air
or for combustion).
Article Exemptions. You do not have to factor into threshold
or release determinations quantities of a listed toxic chemical
contained in an article when that article is processed or used
at your facility. An article is defined as a manufactured item
that is formed to a specific shape or design during manufac-
ture, that has end-use functions dependent in whole or in part
upon its shape or design during end-use, and that does not
release a toxic chemical under normal conditions of the
processing or use of that item at the facility.
If the processing or otherwise use of similar articles results in
a total release of less than 0.5 pound of a toxic chemical in a
calendar year to any environmental media, EPA will allow this
release quantity to be rounded to zero and the manufactured
items remain exempt as articles. EPA requires facilties to
round off and report all estimates to the nearest whole num-
ber. The 0.5 pound limit does not apply to each individual
article, but applies to the sum of all releases from processing
or use of like articles.
The article exemption applies to the normal processing or use
of an article. It does not apply to the manufacture of an
article. Toxic chemicals processed into articles produced at
a facility must be factored into threshold and release determi-
nations.
A closed item containing toxic chemicals (e.g., a transformer
containing PCBs) that does not release the chemicals during
normal use is considered an article if the facility uses the item
as intended and the toxic chemicals are not released. If the
facility services the transformer by replacing the toxic chemi-
cals, the chemicals added during the reporting year must be
counted in threshold and release calculations.
When the processing or use of an item generates fumes, dust,
filings, or grindings, the article exemption is not applicable.
The chemical(s) in the item must be counted toward the
appropriate threshold determination, and the fumes, dust,
filings, and grindings reported as releases or wastes. How-
ever, if all wastes generated are recycled, whether on- or off-
site, the exemption is applicable. In addition, scrap pieces that
are recognizable as an article do not constitute a release.
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Page 8
General
Example 4: Article Exemption
Q Lead that is incorporated into a lead acid battery is
processed to manufacture the battery, and therefore
must be counted toward threshold and release determi-
nations. However, the use of the lead acid battery
elsewhere in the facility does not have to be counted.
Disposal of the battery after its use does not constitute a
"release"; thus, the battery remains an article.
Q Metal rods that are extruded into wire are not articles
because their form changes during processing.
G If an item used in the facility is fragmented, the item is still
an article if those fragments being discarded remain
identifiable as the article (e.g., recognizable pieces of a
cylinder, pieces of wire). For instance, an 8-foot piece of
wire is broken into two 4-foot pieces of wire, without
releasing any toxic chemicals. Each 4-foot piece is
identifiable as a piece of wire; therefore, the article status
for these pieces of wire remains intact.
Q Toxic chemicals received in the form of pellets are not ar-
ticles because the pellet form is simply a conven lent form
for further processing of the material.
B.3.C Activity Qualifiers
Table II (see pages 40-48) contains the list of individual
chemicals and categories of chemicals subject to 1988
calendar year reporting. Some of the chemicals listed in
Table II have parenthetic qualifiers listed next to them. A
chemical that is listed without a qualifier is subject to
reporting in all forms in which it is manufactured, processed,
and used.
Fume or dust. Three of the metals on the list (aluminum,
vanadium, and zinc) contain the qualifier "fume or dust." This
qualifier means that a facility is manufacturing, processing, or
using the metal in the form of fume ordust. Fume ordust does
not refer to "wet" forms, solutions or slurries, for example, but
only dry forms of these metals. As explained on page 6 of
these instructions, the term manufacture includes the genera-
tion of a chemical as a byproduct or impurity. In such cases,
a facility should determine if, for example, it generated more
than 25,000 pounds of aluminum fume ordust in 1989 as a
result of its activities. If so, the facility must report that it
manufactures "aluminum (fume or dust)." Similarly, there may
be certain technologies in which one of these metals is
processed in the form of a fume or dust to make other
chemicals or other products for distribution in commerce. In
reporting releases, the facility would only report releases of the
fume or dust.
Manufacturing qualifiers. Two of the entries to the section 313
chemical list contain a qualifier relating to manufacture. For
isopropyl alcohol, the qualifier is "manufacturing-strong acid
process." For saccharin, the qualifier simply is "manufac-
turing." For isopropyl alcohol, the qualifier means that only
facilities which manufacture isopropyl alcohol by the strong
acid process are required to report. In the case of saccharin,
only manufacturers of the chemical are subject to the reporting
requirements. A facility that processes or otherwise uses
either chemical would not be required to report for those
chemicals. In both cases, supplier notification does not apply
because only manufacturers, not users, of the toxic chemical
must report.
Solutions. Two substances on the list, ammonium nitrate and
ammonium sulfate, are qualified by the term "solution," which
refers to the physical state of these chemicals. Solid, molten,
and pelletized forms of these chemicals are exempt from
threshold and release determinations. Only facilities that
manufacture, process, or otherwise use these chemicals in
the form of a solution are required to report. Supplier notifica-
tion applies only if the chemical is distributed as a solution.
Phosphorus (vellow or white). The listing for phosphorus is
qualified by the term "yellow or white." This means that only
manufacturing, processing, or use of phosphorus in the yellow
or white chemical form triggers reporting. Conversely, manu-
facturing, processing, or use of "black" or "red" phosphorus do
not trigger reporting. Supplier notification also applies only to
distribution of yellow or white phosphorus.
Asbestos (friable). The listing for asbestos is qualified by the
term "friable," referring to the physical characteristic of being
able to crumbled, pulverized, or reducible to a powder with
hand pressure. Only manufacturing, processing, or use of as-
bestos in the friable form triggers reporting. Supplier notifica-
tion applies only to distribution of mixtures or trade products
containing friable asbestos.
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General
Page 9
B.4 THRESHOLD DETERMINATION
Section 313 reporting is required if threshold quantities are
exceeded. The thresholds vary depending upon the year for
which the report is submitted and separate thresholds apply to
the amount of the chemical that is manufactured, processed,
or otherwise used.
You must submit a report for any listed chemical that is manu-
factured or processed over the course of the year at your
facility in excess of the following threshold:
Q For calendar year 1987, 75,000 pounds;
Q For calendar year 1988, 50,000 pounds;
Q For calendar year 1989 and subsequent years,
25,000 pounds.
You must submit a report if the quantity of a listed chemical
that is otherwise used at your facility exceeds:
Q 10,000 pounds during the course of a calendar year.
B.4.a How to Determine If Thresholds Are
Exceeded
To determine whetheryourf acility has exceeded a section 313
reporting threshold, compare quantities of listed chemicals
that you manufacture, process, or otherwise use to the sepa-
rate respective thresholds for those activities. A suggested
worksheet is provided in Figure B (see page 10) to assist
facilities in determining whether their facility exceeds any of
the reporting thresholds. This worksheet also provides a
format for maintaining reporting facility records. Use of this
worksheet is not required and the completed worksheet(s)
should not accompany Form R reports submitted to EPA and
the State.
A separate worksheet would be completed for each section
313 chemical or chemical category. Chemicals which are
listed with specific qualifiers (e.g., solution; manufacture)
require that the threshold determinations only be based on the
amount of the chemical meeting the qualifier. Use of the
worksheet is divided into three steps:
Step 1 allows you to record the gross amount of the toxic
chemical or chemical category involved in activities through-
out the facility. Pure forms as well as the amounts of the
chemical or chemical category present in mixtures or trade
name products must be considered. The types of activity (i.e.,
manufacturing, processing, or otherwise using) for which the
chemical is used must be identified because separate thresh-
olds apply to each of these activities. A record of the
information source(s) used should be kept. Possible informa-
tion sources include purchase records, inventory data, and
calculations by your process engineer. The data collected in
Step 1 will be totalled for each activity to identify the overall
amount of the chemical or chemical category manufactured
(including imported), processed, or otherwise used.
Step 2 allows you to identify uses of the chemical or chemical
category that were included in Step 1 but that are exempt
under section 313. Do not include in Step 2 exempt forms of
the chemical not included in the calculations in Step 1. For
example, if you did not report the freon contained in the
building's air conditioners in Step 1, you would not include the
amount as exempt in Step 2. Step 2 is intended for use when
one form or use of the chemical is exempt while others forms
require reporting. Note the type of exemption for future
reference. Also identify, if applicable, the fraction or percent-
age of the chemical present that is exempt. Add the amounts
in each activity to obtain a subtotal for exempted amounts of
the chemical or chemical categories at the facility.
Step 3 involves subtracting the result of Step 2 from the results
of Step 1 for each activity. Compare this net sum to the
applicable activity threshold. If the threshold is met or ex-
ceeded for any of the th ree activities, your facility must submit
a Form R for that chemical or chemical category. This
worksheet should be retained in either case, to document your
determination for reporting or not reporting. Do not submit this
worksheet, or any other calculations, with your Form R report.
Retain the worksheet for your records.
Do not add together the quantities of the chemical that are
manufactured, processed, and used at your facility, because
each of these activities requires a separate threshold determi-
nation. For example, if in 1989 you processed 20,000 pounds
of a chemical and you otherwise used 6,000 pounds of that
same chemical, your facility has not met or exceeded any
applicable threshold and thus is not required to report for that
chemical.
You must submit a report If you exceed any threshold for
any listed chemical or chemical category. For example, if
vourfacility processes 22.000 pounds of a listed chemical and
also otherwise uses 16,000 pounds of that same chemical, al-
though you do not exceed the process threshold, you do
exceed the otherwise used threshold (10,000 pounds) and
you therefore must report. However, in preparing your re-
ports, you must consider all non-exempted activities and all
releases of that chemical from your facility, not just the
releases from the otherwise use activity.
Also note that threshold determinations are based upon the
actual amounts of a chemical manufactured, processed, or
used over the course of the calendar year. The threshold
determination may not relate to the amount of a toxic chemi-
cal brought on-site during the calendar year. For example, a
stockpile of 100,000 pounds of a toxic chemical is present on-
site but only 20,000 pounds is applied to a process. Therefore,
only the 20,000 pounds processed is counted toward a thresh-
old determination, not the entire 100,000 pounds of the stock-
pile.
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Page 10
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Page 11
General
Threshold Determinations for On-Site Reuse/Recycle Opera-
tions^
Threshold determinations of listed toxic chemicals that are
recycled or reused at the facility are based only on the amount
of the chemical that is added during the year, not the total
volume in the system. For example, a facility operates a
refrigeration unit that contains 15,000 pounds of ammonia at
the beginning of the year. The system is charged with 2,000
pounds of ammonia during the year. The facility has therefore
"otherwise used" only 2,000 pounds of the covered chemical
and is not required to report (unless there are other "otherwise
use" activities of ammonia which, when taken together, ex-
ceedthe reporting threshold). If, however, the whole refrigera-
tion unit had to be recharged with 15,000 pounds of ammonia
during the year, the facility would have exceeded the other-
wise use threshold.
This exemption does not apply to toxic chemicals "recycled"
off-site and returned to the facility. Such toxic chemicals
returned to the facility are treated as the equivalent of newly
purchased material for purposes of section 313 threshold
determinations.
Threshold Determinations for Chemical Categories.
A number of chemical compound categories are subject to
reporting. See Table II, page 48, for a listing of these chemical
categories. When reporting for one of these chemical catego-
ries, all individual members of a category that are manufac-
tured, processed, or otherwise use must be added. However,
threshold determinations must be made separately for each of
the three activities. Do not include in these threshold determi-
nations for a category, any chemicals that are also specifically
listed section 313 toxic chemicals (see Table II, pages 40-47).
Specifically listed toxic chemicals are subject to their own,
individual threshold determination.
Threshold determinations for metal-containing compounds
present a special case. If, for example, you process several
different lead compounds, you would base your threshold
determination on the total weight of all lead compounds
processed. However, if you process both the "parent" metal
(lead) as well as one or more lead compounds, you must make
threshold determinations for both because they are separately
listed toxic chemicals. If you exceed thresholds for both the
parent metal and compounds of that same metal, EPA allows
you to file one combined report (e.g., one report for lead
compounds, including lead) because the release information
you will report in connection with metal compounds will be the
total pounds of the parent metal released.
One other case involving metal compounds should be noted.
Some metal compounds may contain more than one listed
metal. For example, lead chromate is both a lead compound
and a chromium compound. In such cases, if applicable
thresholds are exceeded, you are required to file two separate
reports, one for lead compounds and one for chromium
compounds. You would apply the total weight of the lead
chromate to the threshold determinations for both lead and
chromium compounds. However, if the thresholds are ex-
ceeded for these categories, only the amount of each parent
metal released (not the amount of the compound) would be re-
ported on the appropriate Form R.
B.4.b Mixtures and Trade Name Products
Toxic chemicals in mixtures and in trade name products must
be factored into threshold and release determinations.
If you imported, processed, or otherwise used mixtures or
trade name products during calendar year 1989, you are
required to use the best information you have available at the
facility to determine whether the components of a mixture are
above the de minimis concentration and therefore must be
included in threshold and release determinations. If you know
that a mixture or trade name product contains a specific toxic
chemical, combine the amount of the toxic chemical in the
mixture or trade name product with the other amounts of the
•same chemical imported, processed or otherwise used at your
facility for threshold and release determinations. If the facility
knows that a mixture contains a toxic chemical but no concen-
tration 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
determinations. If a facility owner/operator only knows the
lower bound concentration of a toxic chemical present in a
mixture.the owner/operator should base theirthreshold deter-
mination on that lower bound concentration number. If only a
range of concentrations is available for a toxic chemical
present in a mixure, the owner/operator should use an aver-
age of the low and high concentrations numbers for threshold
determinations. (See Figure C on page 13 for more informa-
tion.)
De Minimis Limitation. A listed toxic chemical does not have
to be considered if it is present in a mixture at a concentration
below a specified de minimis level. The de minimis level is
1.0%, or 0.1% if the chemical meets the OSHA carcinogen
standard. See Table II for the de minimis value associated
with each listed toxic chemical. For mixtures that contain more
than one memberof a listed chemical category, the de minimis
level applies to the aggregate concentration of all such members
and not to each individually. EPA included the de minimis
exemption in the rule as a burden reducing step, primarily
because facilities are not likely to have information on the
presence of a chemical in a mixture or trade name product
beyond that available in the product's MSDS. The de minimis
levels are consistent with OSHA requirements for develop-
ment of MSDS information concerning composition.
-------
Page 12
Forthreshold determinations, the deminimis limitation applies
to:
Q A listed toxic chemical in a mixture or trade name product
received by the facility.
Q A listed toxic chemical manufactured during a process
where the chemical remains in a mixture or trade name
product distributed by the facility.
The de mlnlmis does not apply to:
Q A chemical manufactured at the facility that does not
remain in a product distributed by the facility. A threshold
determination must be made on the annual quantity of the
chemical manufactured regardless of the concentration.
For example, quantities of formaldehyde created as a
result of waste treatment must be applied toward the
threshold for "manufacture" of this chemical, regardless
of the concentration of this chemical in the wastestream.
Q Chemicals in ores, wastes, etc., that undergo beneficia-
tion for purposes of production of that chemical. For
example, a company recovers silver by processing waste
material containing silver at less than 1% total weight of
the material. Although silver is received at less than the
de minimis concentration, the de minimis would not apply
because the process concentrates and produces silver as
an end product.
In general, when the de minimis applies to threshold determi-
nations and the concentration of the chemical in the mixture is
below the de minimis, then you are not required to report
releases associated with the processing or use of the chemical
in that mixture. Note that it is possible to meet the threshold
for a chemical on a facility-wide basis, but not be required to
calculate releases from a particular process because that
process involves only mixtures containing the chemical below
the de minimis level.
Application of the de minimis limitation to process streams
must also be reviewed. Mixtures containing toxic chemicals
can be added to a process or generated within a process. In
both cases (assuming reporting thresholds are exceeded) a
facility is required to consider and report releases from the
process up to the point where the concentration of the chemi-
cal falls below the de minimis level. For example, a 10%
solution of a listed chemical is mixed into a formulated cleaning
solution, resulting in a final concentration of less than 1%.
Releases such as air emissions, from the mixing vessel must
be counted, but releases from the finished formulation are not
counted because the de minimis exemption applies.
Similarly, in processes where the listed toxic chemical occurs
at a concentration below the de minimis level and is processed
to a concentration above the de minimis level, the portion of
the process where the toxic chemical is present above the de
minimis level must be considered for threshold and release
determinations, for example, an impurity contained in a sol-
vent that is concentrated to above the de minimis level in a
process. Beneficiation activities involving listed toxic chemi-
cals present in ores, natural gas, and crude oil are an excep-
tion and require threshold and release determinations regard-
less of concentration of the listed toxic chemical(s) involved in
the beneficiation process.
Supplier Notification. In 1989 and subsequent years, suppli-
ers of facilities in SIC codes 20-39 are required to develop and
distribute a notice if the mixtures or trade name products that
they manufacture or process, and subsequently distribute,
contain listed toxic chemicals. These notices are distributed to
other companies in SIC codes 20-39 or to companies that sell
the product to facilities in SIC codes 20-39. If a Material Safety
Data Sheet (MSDS) is not required for the mixture or trade
name product, the notification must be in written form (i.e.,
letter or attachment to a MSDS). Otherwise, the notice must
be incorporated into or attached to the MSDS for that product.
The supplier notification requirement began with the first
shipment of a product in 1989 and must accompany the first
shipment each year thereafter. In addition, a new or revised
notice must be sent if a change occurs in the product which
affects the weight percent of a listed chemical or if it is discov-
ered that a previous notice did not properly identify the
chemicals orthe percentage by weight. For more information
on supplier notification, see Appendix E.
If listed toxic chemicals are present equal to or above the de
minimis cut-off level, your supplier must identify the specific
components as they appear in Table II and provide their
percentage composition by weight in the mixture or product. If
your supplier maintains that the identity of a toxic chemical is
atrade secret, a generic identity that is structurally descriptive
must be supplied on the notice. A maximum concentration
level must be provided if your supplier contends that chemical
composition information is a trade secret. In either case, you
do not need to make a trade secret claim on behalf of your
supplier (unless you consider your use of the proprietary
mixture atrade secret). On Form R, identify the toxic chemical
you are reporting according to its generic name provided in the
notification. (See the instructions for Part III, Section 2 on
page 18 for more information.) If the listed chemical is present
below the de minimis level, no notification is required.
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Page 13
Figure C
How Mixture and Trade Name Products (M/TNP)
Factor Into Your Reports
Any toxic chemicals in mixtures or trade name products (M/TNP) must be factored
into your threshold and release determinations.
Do you know that a listed
§313 chemical is present
in M/TNP?
No
No
'"I
Yes
Is specific chemical
identity known?
Ves
Is the M/TNP processed
or otherwise used in excess of the
applicable threshold?
No
Yes
Do you know the specific
or upper bound concentration
of the chemical in the M/TNP?
No
\' Yes
Multiply concentration by the total
pounds of M/TNP to obtain quantity
processed or otherwise used.
I
Does the quantity of
the chemical processed or
otherwise used exceed thresholds?
No
Report the generic name*
in Part III, Section 2 of the
form and complete the
Form R for the chemical
contained in the M/TNP.
Do you know specific or upper
bound concentration of the
chemical in the M/TNP?
Ves
Multiply concentration by the total
pounds of M/TNP to obtain quantity
processed or otherwise used.
I
Add the quantity of listed
chemical to other known
quantities of the same chemical.
I
Has either the process or
otherwise use threshold been
exceeded for that listed chemical?
No
L,
Yes
Report the listed chemical in
Part III, Section 1 and complete
Form R for this chemical.
For more information on determining generic
names, see page 18.
I You do not have to report I
| for this M/TNP. |
I I
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Page 14
Form R - Part I
C. INSTRUCTIONS
FOR
COMPLETING
EPA
FORM
R
The following are specific instructions for completing each part
of EPA Form R. The number designations of the parts and
sections of these instructions correspond to those in Form R
unless otherwise indicated.
A sample of a completed Form R for a hypothetical facility re-
porting under Title III, section 313, is included as Appendix C.
You may want to refer to this sample as you read through
these instructions.
Instructions for Completing All Parts of Form R:
1. Type or print information on the form in the units and
format requested.
2. All information on Form R is required except Part III,
Section 8.
3. Do not leave items on Form R blank unless specifically
directed to do so; if an item does not apply to you, enter
"NA," not applicable, in the space provided. If your
information does not fill all the spaces provided for a type
of information, enter NA, in the next blank space in the
sequence.
4. Report releases and off-site transfers to the nearest
pound. Do not report fractions of pounds.
5. Do not submit an incomplete form. The certification
statement (Part I) specifies that the report is complete as
submitted. See page 1 of these instructions for the defini-
tion of a complete submission.
6. When completing Part IV, supplemental information, or
additional pages for Part II of the form, number the
additional information sequentially from the prior sections
of the form.
7. The box labelled "This space for your optional use" on
each page may be used to differentiate one chemical-
specific submission from another. This box is used to
identify a voluntary revision of a previous submission (see
page 2).
PART I. FACILITY IDENTIFICATION INFORMATION
1.1 Are you claiming the chemical identity on page 3
trade secret?
Answer this question only after you have completed the rest of
the report. The specific identity of the toxic chemical being
reported in Part III, Sections 1.2 and 1.3, may be designated
as trade secret. If you are making a trade secret claim, mark
"yes" and proceed to Section 1.2. Only check "Yes" if it is your
manufacturing, processing, or use of the chemical that is a
trade secret. (See page 1 of these instructions for specific
information on trade secrecy claims.) If you checked "no,"
proceed to Section 1.3; do not answer Section 1.2.
1.2 If "yes" In 1.1, Is this copy sanitized or
unsanttlzed?
Answer this question only after you have completed the rest of
the report. Check "sanitized" if this copy of the report is the
public version and you have claimed the chemical identity
trade secret in Part I, Section 1.1. Otherwise, check "unsani-
tized."
1.3 Reporting Year
Enter the last two digits of the calendar year to which the
reported information applies, not the year in which you are
submitting the report. Information for the 1989 reporting year
must be submitted on or before July 1,1990.
2. Certification
The certification statement must be signed by the owner or
operator or a senior official with management responsibility for
the person (or persons) completing the form. The owner,
operator, or official must certify the accuracy and complete-
ness of the information reported on the form by signing and
dating the certification statement. Each report must contain
an original signature. Print or type in the space provided the
name and title of the person who signs the statement. This
certification statement applies to all the information supplied
on the form and should be signed only after the form has been
completed.
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Form R - Part I
Page 15
3.1 Facility Name and Location
Enter the name of your facility (plant site name or appropriate
facility designation), street address, city, county, state, zip
code, and TRI Facility Identification number (if appropriate), in
the space provided. Do not use a post office box number as
the address. The address provided should be the location
where the chemicals are manufactured, processed, or other-
wise used.
If you have submitted a Form R for previous reporting years,
a TRI Facility Identification Number has been assigned to your
facility. The TRI Facility Identification Number appears on the
peel-off mailing label on the cover the Toxic Chemical Release
Inventory Reporting Package for 1989 (EPA 560/4-90-001)
you should have received directly from EPA. Remove this
mailing label from the back cover of the reporting package and
apply it to Part I, Section 3.1 of the blank Form R in Appendix
A. Then photocopy that page for use as the master copy of
page 1 for all the reports you are submitting.
If you do not have a mailing label or cannot locate your TRI
Facility Identification Number, please contact the Emergency
Planning and Community Right-to-Know Information Hotline.
Enter your TRI Facility Identification number to each Form R
that your facility submits.
Enter NA to the space for the TRI Facility Identification
number, if this is your first submission of a Form R.
3.2 Full or Partial Facility Indication
A covered facility must report all releases of a listed chemical
if it meets a reporting threshold for that chemical. However, if
the facility is composed of several distinct establishments,
EPA allows these establishments to submit separate reports
for the chemical as long as all releases of the chemical from
the entire facility are accounted for. Indicate in Section 3.2
whether your report is for the entire covered facility as a whole
or for part of a covered facility. Check box a. if the chemical
information applies to the entire covered facility. Check box b.
if the chemical information applies only to part of a covered
facility.
Section 313 requires reports by "facilities," which are defined
as "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."
The SIC code system defines business "establishments" as
"distinct and separate economic activities [that] are performed
at a single physical location." Under section 372.30(c) of the
reporting rule, you may submit a separate Form R for each
establishment, or for groups of establishments, in your cov-
ered facility, provided that all releases of the toxic chemicals
from the entire covered facility are reported. This allows you
the option of reporting separately on the activities involving a
toxic chemical at each establishment, or group of establish-
ments (e.g., part of a covered facility), rather than submitting
a single Form R for that chemical for the entire facility.
However, if an establishment or group of establishments does
not manufacture, process, or otherwise use or release a toxic
chemical, you do not have to submit a report for that establish-
ment or group of establishments. (See also Section B.2.a on
page 5.)
3.3 Technical Contact
Enter the name and telephone number (including area code)
of a technical representative whom EPA or State officials may
contact for clarification of the information reported on Form R.
This contact person does not have to be the same person who
prepares the report or signs the certification statement and
does not necessarily need to be someone at the location of the
reporting facility; however, this person must be familiar with
the details of the report so that he or she can answer questions
about the information provided.
3.4 Public Contact
Enter the name and telephone number (including area code)
of a person who can respond to questions from the public
about the report. If you choose to designate the same person
as both the technical and the public contact, you may enter
"Same as Section 3.3" in this space. This contact person does
not have to be the same person who prepares the report or
signs the certification statement and does not necessarily
need to be someone at the location of the reporting facility.
3.5 Standard Industrial Classification (SIC) Code
Enter the appropriate 4-digit primary Standard Industrial Clas-
sification (SIC) codeforyourfacility (Table I, pages 34-39, lists
the SIC codes within the 20-39 range). If the report covers
more than one establishment, enter the primary 4-digit SIC
code for each establishment. You are required to enter SIC
codes only for those establishments within the facility that fall
within SIC codes 20 to 39. If you do not know your SIC code,
check with your financial office or contact your local Chamber
of Commerce or State Department of Labor.
3.6 Latitude and Longitude
Enter the latitudinal and longitudinal coordinates of your facil-
ity. Sources of these data include EPA permits (e.g., NPDES
permits), county property records, facility blueprints, and site
plans. Instructions on how to develop these coordinates can
be found in Appendix F. Enter only numerical data. Qo not
preface numbers with letters such as N or W to denote the
hemisphere.
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Page 16
Form R - Part I)
3.7 Facility Dun and Bradstreet Number
Enter the 9-digit number assigned by Dun and Bradstreet
(D&B) for your facility or each establishment within your
facility. These numbers code the facility for financial pur-
poses. This number may be available from your facility's
treasurer orfinancial officer. You can also obtain the numbers
from your local Dun and Bradstreet office (check the telephone
book White Pages). If none of your establishments has been
assigned a D & B number, enter not applicable, NA, in box a.
If only some of your establishments have been assigned Dun
and Bradstreet numbers, enter those numbers in Section 3.7.
3.8 EPA Identification Number
The EPA I.D. Number is a 12-digit number assigned to
facilities covered by hazardous waste regulations under the
Resource Conservation and Recovery Act (RCRA). Facilities
not covered by RCRA are not likely to have an assigned I.D.
Number. If yourfacility is not required to have an I.D. Number,
enter not applicable, NA, in box a. If your facility has been
assigned EPA Identification Numbers, you must enter those
numbers in the spaces provided in Section 3.8.
3.9 NPDES Permit Number
Enter the numbers of any permits your facility holds under the
National Pollutant Discharge Elimination System (NPDES)
even if the permit(s) do not pertain to the toxic chemical being
reported. This 9-digit permit number is assigned to yourfacility
by EPA orthe State under the authority of the Clean Water Act.
If yourfacility does not have a permit, enter not applicable, NA,
in box a.
3.10 Receiving Streams or Water Bodies
In Section 3.10 you are to enter the name(s) of the stream(s)
or water body(ies) to which your facility directly discharges the
chemicals you are reporting. A total of six spaces are
provided, lettered a through f. The information you provide
relates directly to the discharge quantity information required
in Part III, Section 5.3. You can complete Section 3.10 in one
of two ways. You can enter only those stream names that
relate to the specific chemical that is the subject of the report
or, you can enter all stream names that relate to all covered
chemicals being reported by the facility. Enter the name of
each receiving stream or surface water body to which the
chemical being reported is directly discharged. 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 covered
by a permit, enterthe name of the off-site stream or water body
by which it is publicly known. Also do not list a series of
streams through which the chemical flows. Be sure to include
the receiving stream(s) or water body(ies) that receive storm-
water runoff from yourfacility. Do not enter names of streams
to which off-site treatment plants discharge. Enter not appli-
cable, NA, in Section 3.10a. if you do not discharge any listed
toxic chemicals to surface water bodies.
3.11 Underground Injection Well Code (UIC)
Identification Number
If yourfacility has a permit to inject a waste containing the toxic
chemical into Class 1 deep wells, enter the 12-digit Under-
ground Injection Well Code (UIC) identification number as-
signed by EPA or by the State under the authority of the Safe
Drinking Water Act. If your facility does not hold such a
permit(s), enter not applicable, NA, in Section 3.11 a. You are
only required to provide the UIC number for wells that receive
the toxic chemical being reported.
4. Parent Company Information
You must provide information on your parent company. For
purposes of Form R, a parent company is defined as the
highest level company, located in the United States, that di-
rectly owns at least 50 percent of the voting stock of your
company. If yourfacility is owned by a foreign entity, enter not
applicable, NA, in this space. Corporate names should be
treated as parent company names forcompanies with multiple
facility sites. For example, the Bestchem Corporation is not
owned or controlled by any other corporation but has sites
throughout the country whose names begin with Bestchem. In
this case, Bestchem Corporation would be listed as the
"parent" company.
4.1 Name of Parent Company
Enterthe name of the corporation or other business entity that
is your ultimate US parent company. If your facility has no
parent company, enter not applicable, NA.
4.2 Parent Company's Dun & Bradstreet Number
Enter the Dun and Bradstreet Number for your ultimate US
parent company, if applicable. The number may be obtained
from the treasurer or financial officer of the company. If your
parent company does not have a Dun and Bradstreet number,
enter not applicable, NA.
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Form R - Part III
Page 17
PART II. OFF-SITE LOCATIONS TO WHICH TOXIC
CHEMICALS ARE TRANSFERRED IN WASTES
In this part of the form, you are required to list all off-site
locations to which you transfer wastes containing toxic chemicals.
Do not list locations to which products containing toxic chemi-
cals are shipped for sale or distribution in commerce or for
further use. Also, do not list locations to which wastes
containing chemicals are sold or sent for recovery, recycling,
or reuse of the toxic chemicals. The information that you enter
in this section relates to data you will report in Part III, Section
6.
You may complete Part II for only the off-site locations that
apply to the specific chemical cited in aparticular report si you
can list all off-site locations that apply to all chemicals being
reported and include a photostatic copy of Part II with each
Individual report. List only publicly owned treatment works
(POTWs) and off-site treatment or disposal facilities.
1. Publicly Owned Treatment Works (POTWs)
Enter the name and address of each POTW to which your
facility discharges wastewater containing toxic chemicals for
which you are reporting. If you do not discharge wastewater
containing the reported toxic chemicals to a POTW, enter not
applicable, NA, in the POTW name line in Part II, Section 1.1.
If you discharge such wastewater to more than two POTWs,
use additional copies of Part II. Cross through the printed
numbers and write in numbers forthese locations in ascending
order (e.g., 1.3,1.4). Check the box at the bottom of the page
and indicate the number of additional pages of Part II that are
attached.
2. Other Off-Site Locations
Enter in the spaces provided, the name and address of each
location (other than POTWs) to which you ship or transfer
wastes containing toxic chemicals. Do not include locations to
which you ship the toxic chemical for recycle or reuse. If you
do not ship ortransfer wastes containing toxic chemicalsto off-
site locations, enter not applicable, NA in the off-site location
name line of 2.1. Also enter the EPA Identification Number
(RCRA I.D. Number) for each such location if known to you.
This number may be found on the Uniform Hazardous Waste
Manifest, which is required by RCRA regulations. Also indi-
cate in the space provided whether the location is owned or
controlled by yourfacility oryour parent company. If the facility
does not have a RCRA I.D. number, enter not applicable, NA,
in this space.
If yourfacility transfers toxic chemicals to more than six off-site
locations, use additional copies of Part II. Cross through the
printed numbers and write in numbers for these locations in
ascending order (i.e., 2.7, 2.8). Check the box at the bottom
of the page and indicate the number of additional pages of Part
II that are attached.
EXAMPLE 5: Off-Site Locations
Yourfacility is involved in chrome plating of metal parts, which
produces an aqueous plating waste that is treated on-site to
recover chromium sludge. The effluent from the on-site
treatment plant, which contains chromium compounds (a
listed toxic chemical), is piped to a POTW. The chromium
sludge is transferred to an off-site, privately owned firm forthe
recovery of the chromium.
You must report the location of the POTW in Section 1 in Part
II of Form R. Do not report any information about the on-site
treatment plant in this section. You are not required to report
the location of the off-site, privately owned recovery firm or
provide any information concerning off-site recovery because
recycling or reuse of toxic chemicals is exempt from reporting.
PART III. CHEMICAL-SPECIFIC INFORMATION
In Part III, you are to identify the toxic chemical being reported.
You must indicate the general uses and activities involving the
chemical at your facility. In Part III, you will also enter
quantitative data relating to releases of the chemical from the
facility to air, water, and land. Quantities of the chemical
transferred to off-site locations, identified in Part II, are also
reported in this part. Any waste treatment information for on-
site treatment of wastestreams containing the toxic chemical
are also requiredto be reported on Part III. An optional section
is included in this part that allows you to report waste minimi-
zation information associated with the chemical.
1.1 [Reserved]
1.2 CAS Number
Enter the Chemical Abstracts Service (CAS) registry number
in Section 1.2 exactly as it appears in Table II, pages 40-48, for
the chemical being reported. CAS numbers are cross-refer-
enced with an alphabetical list of chemical names in Table II of
these instructions. If you are reporting one of the chemical
categories in Table II (e.g., copper compounds), enter not
applicable, NA, in the CAS number space.
If you are making a trade secret claim, you must report the
CAS number on your unsanitized Form R and unsanitized
substantiation form. Do not include the CAS number on your
sanitized Form R and sanitized substantiation form (see page
1 for more information).
1.3 Chemical or Chemical Category Name
Enter the name of the chemical or chemical category exactly
as it appears in Table II. If the chemical name is followed by
a synonym in parentheses, report the chemical by the name
that directly follows the CAS number (i.e., not the synonym).
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Page 18
Form R - Part III
If the listed chemical identity is actually a product trade name
(e.g., dicofol), the 9th Collective Index name is listed below it
in brackets. You may report either name in this case.
Do not list the name of a chemical that does not appear in
Table II, such as individual members of a report able category.
For example, if you use silver nitrate, do not report silver nitrate
with its CAS number. Report this chemical as "silver com-
pounds" which has no CAS number.
If you are making a trade secret claim, you must report the
specific chemical identity on your unsanitized Form R and
unsanitized substantiation form. Do not report the chemical
name on your sanitized Form R and sanitized substantiation
form. Include a generic name in Part III, Section 1.4 of your
sanitized Form R report.
1.4 Generic Chemical Name
Complete Section 1.4 only if you are claiming the specific
chemical identity of the toxic chemical as a trade secret and
have marked the trade secret block in Part I, Section 1.1 on
page 1 of Form R. Enter a generic chemical name that is
descriptive of the chemical structure. You must limit the
generic name to seventy characters (e.g., numbers, letters,
spaces, punctuation) or less. Do not enter mixture names in
Section 1.4; see Section 2 below.
In-house plant codes and other substitute names that are not
structurally descriptive of the chemical identity being withheld
as a trade secret are not acceptable as a generic name. The
generic name must appear on both sanitized and unsanitized
Form R's, and the name must be the same as that used on
your substantiation forms. The Emergency Planning and
Community Right-to-Know Information Hotline can provide
you with assistance in selecting an appropriate generic name.
2. Mixture Component Identity
Do not complete this section if you have completed Section 1
of Part III. Report the generic name provided to you by your
supplier in the section if your supplier is claiming the chemical
identity proprietary or trade secret. Do not answer "yes" in
Part I, Section 1.1 on page 1 of the form if you complete this
section. You do not need to supply trade secret substantiation
forms since it is your supplier who is claiming the material a
trade secret.
Enter the generic chemical name in this section only if the
following three conditions apply:
1. You determine that the mixture contains a listed toxic
chemical but the only identity you have for that chemical
is a generic name;
2. You know either the specific concentration of that toxic
chemical component or a maximum concentration level;
and
3. You multiply the concentration level by the total annual
amount of the whole mixture used (or processed) and
determine that you meet the use or process threshold for
that single, generically identified mixture component.
EXAMPLE 6: Mixture Containing Unidentified Toxic
Chemical
Your facility uses 20,000 pounds of asolvent that your supplier
has told you contains 80 percent "chlorinated aromatic," their
generic name for a chemical subject to reporting undersection
313. You therefore know that you have used 16,000 pounds
of some listed toxic chemical which exceeds the "otherwise
use" threshold. You would file a Form R and enter the name
"chlorinated aromatic" in the space provided in Part III, Section
2.
3. Activities and Uses of the Chemical at the Facility
Indicate whether the chemical is manufactured (including
imported), processed, or otherwise used at the facility and the
general nature of such activities and uses at the facility during
the calendar year. Report activities that take place on ly at your
facility, not activities that take place at otherf acilities involving
your products. You must check all the blocks in this section
that apply. If you are a manufacturer of the chemical, you must
check a and/or b, and at least one of c, d, e, or f. Refer to the
definitions of "manufacture," "process," and "otherwise use" in
the general information section of these instructions or section
372.3 of the rule for additional explanations.
3.1 Manufacture the Chemical
Persons who manufacture (including import) the toxic chemi-
cal must check at least one:
a. Produce - the chemical is produced at the facility.
b. Import - the chemical is imported by the facility into the
Customs Territory of the United States. (See page 6 of
these instructions for further clarification of import.)
And check at least one:
c. Foron-site use/processing • the chemical is produced or
imported and then further processed or otherwise used at
the same facility. If you check this block, you must also
check at least one item in Part III, Section 3.2 or 3.3.
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Form R - Part III
Page 19
d. For sale/distribution - the chemical is produced or im-
ported specifically for sale or distribution outside the
manufacturing facility.
e. As a byproduct- the chemical is produced coincidentally
during the production, processing, otherwise use, or dis-
posal of another chemical substance or mixture and,
following its production, is separated from that other
chemical substance or mixture. Chemicals produced and
released as a result of waste treatment or disposal are
also considered byproducts.
f. -4s an impurity- the chemical is produced coincidentally as
a result of the manufacture, processing, or otherwise use
of another chemical but is not separated and remains pri-
marily in the mixture or product with that other chemical.
3.2 Process the Chemical
(incorporatlve-type activities)
a. As a reactant - A natural or synthetic chemical used in
chemical reactions f orthe manufacture of another chemi-
cal substance or of a product. Includes, but is not limited
to, feedstocks, raw materials, intermediates, and initia-
tors.
b. As a formulation component - A chemical added to a
product (or product mixture) prior to further distribution of
the product that acts as a performance enhancer during
use of the product. Examples of chemicals used in this
capacity include, but are not limited to, additives, dyes,
reaction diluents, initiators, solvents, inhibitors, emulsifi-
ers, surfactants, lubricants, flame retardants, and rheol-
ogical modifiers.
c. As an article component - A chemical substance that
becomes an integral component of an article distributed
for industrial, trade, orconsumeruse. One example is the
pigment components of paint applied to a chair that is
sold.
d. Repackaging only- Processing or preparation of a chemi-
cal (or product mixture) for distribution in commerce in a
different form, state, or quantity. This includes, but is not
limited to, the transfer of material from a bulk container,
such as a tank truck to smaller cans or bottles.
3.3 Otherwise Use the Chemical
(non-incorporatlve-type activities)
a. Asa chemical processing aid- A chemical that is added to
a reaction mixture to aid in the manufacture or synthesis
of another chemical substance but is not intended to
remain in or become part of the product or product
mixture. Examples of such chemicals include, but are not
limited to, process solvents, catalysts, inhibitors, initia-
tors, reaction terminators, and solution buffers.
b. As a manufacturing aid - A chemical that aids the manu-
facturing process but does not become part of the result-
ing product and is not added to the reaction mixture during
the manufacture or synthesis of another chemical sub-
stance. Examples include, but are not limited to, process
lubricants, metalworking fluids, coolants, refrigerants,
and hydraulic fluids.
c. Ancillary or other use - A chemical in this category that is
used at a facility for purposes other than as a chemical
processing aid or manufacturing aid as described above.
Includes, but is not limited to, cleaners, degreasers, lubri-
cants, fuels, and chemicals used for treating wastes.
EXAMPLE 7: Activities and Uses of Toxic Chemicals
In the example below, it is assumed that the threshold quan-
tities for manufacture, process, or otherwise use (25,000
pounds, 25,000 pounds, and 10,000 pounds, respectively, for
1989) have been exceeded and the reporting of listed chemi-
cals is therefore required.
Yourfacility receives toluene and naphthalene (both listed
toxic chemicals) from an off-site location. You react the
toluene with air to form benzole acid and react the
naphthalene with sulfuric acid, which forms phthalic acid
and also produces sulfur dioxide fumes. Your facility
processes toluene and naphthalene. Both are used as
reactants to produce benzole acid and phthalic acid,
chemicals not on the section 313 list.
The phthalic acid and benzole acid are reacted to form a
reaction intermediate. The reaction intermediate is dis-
solved in sulfuric acid, which precipitates terephthalic acid
(TPA). Fifty percent of the TPA is sold as a product and
50 percent is further processed at your facility into polyes-
ter fiber. The TPA is treated with ethylene glycol to form
an intermediate product, which is condensed to polyester.
Your company manufactures terephthalic acid, a listed
chemical, both for sale/distribution as a commercial prod-
uct and for on-site use/processing as a feedstock in the
polyester process. Because it is a reactant. it is also
processed. See Figure D for how this information would
be reported in Part III, Section 3 of Form R.
Yourfacility also uses, as well as processes, sulfuric acid,
a listed substance, as it serves as a process solvent to
precipitate terephthalic acid.
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Page 20
Form R - Part III
Figure D
(For more information, see Example 7 on pagel 9)
D
(Important: Type or print; read instructions before completing form.)
n
Page 3 of 5
A CDA EPA FORM ^
** Cr*M pART in. CHEMICAL-SPECIFIC INFORMATION
(This space for your optional use.)
1. CHEMICAL IDENTITY (Do not complete this section if you complete Section 2.)
1.1
1.2
1.3
1.4
2.
[Reserved]
CAS Number (Enter only one number exactly as it
100-21-0
appears on the 313 list. Enter NA if reporting a chemical category.)
Chemical or Chemical Category Name (Enter only one name exactly as it appears on the 313 list. )
Terephthalic Acid
Generic Chemical Name (Complete only it Part
Section 1.1 is checked "Yes." Generic name must be structurally descriptive.)
MIXTURE COMPONENT IDENTITY (Do not complete this section If you complete Section 1 . )
Generic Chemical Name Provided by Supplier (Limit the name to a maximum of 70 characters (e.g. , numbers, letters, spaces, punctuation).)
«
3. ACTIVITIES AND USES OF THE CHEMICAL AT THE FACILITY (Check all that apply. )
3.1
3.2
3.3
Manufacture the
chemical: r yi
a. L *J Produce
b. 1 J Import
If produce or import:
F xl For on-site I
c.L AJ use/processing d-l
e.[ j As a byproduct f.
Process the r -j r , As a formu,ation
chemical: a. 1 XJ As a reactant b.L J component c.
d. [ J Repackaging only
Otherwise use \ 1 As a chemical
the chemical: 3 l J Proces*'nfl aid
b.L J As a manufacturing aid c.
y 1 For sale/
AJ distribution
J As an impurity
1 As an article
J component
J Ancillary or other use
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Form R - Part III
Page 21
4. Maximum Amount of the Chemical On-Site at Any
Time During the Calendar Year
Insert the appropriate code (see below) that indicates the
maximum quantity of the chemical (e.g., in storage tanks,
process vessels, on-site shipping containers) at yourfacility at
any time during the calendar year. If the chemical was present
at several locations within your facility, use the maximum total
amount present at the entire facility at any one time.
Weight Range in Pounds
Range Code
01
02
03
04
05
06
07
08
09
10
11
From...
0
100
1,000
10,000
100,000
1,000,000
10,000,000
50,000,000
100,000,000
500,000,000
1 billion
99
999
9,999
99,999
999,999
9,999,999
49,999,999
99,999,999
499,999,999
999,999,999
more than 1 billion
If the toxic chemical present at your facility was part of a
mixture or trade name product, determine the maximum
quantity of the chemical present at the facility by calculating
the weight of the toxic chemical only. Do not include the weight
of the entire mixture or trade name product. See section
372.30(b) of the reporting rule for further information on how
to calculate the weight of the chemical in the mixture or trade
name product. For chemical categories (e.g., copper com-
pounds), include all chemicals in the category when calculat-
ing the weight of the toxic chemical.
5. Releases of the Chemical to the Environment
On-Site
In Section 5, you must account forthe total aggregate releases
of the toxic chemical to the environment from your facility for
the calendar year. Releases to the environment include
emissions to the air, discharges to surface waters, and on-site
releases to land and underground injection wells. If you have
no releases to a particular media (e.g., stack air), enter not
applicable, NA; do not leave any part of Section 5 blank.
Check the box on the last line of this section if you use Part IV,
the supplemental information sheet.
You are not requ ired to count, as a release, quantities of a toxic
chemical that are lost due to natural weathering or corrosion,
normal/natural degradation of a product, or normal migration
of a chemical from a product. For example, amounts of a
covered toxic chemical that migrate from plastic products in
storage do not have to be counted in estimates of releases of
that chemical from the facility. Also, amounts of listed metal
compounds (e.g., copper compounds) that are lost due to
normal corrosion of process equipment do not have to be
considered as releases of coppercompoundsfromthefacility.
All air releases of the chemical from the facility must be
accounted for. Do not enter information on individual emission
points or releases. Enter only the total release. If there is
doubt about whether an air release is a point or non-point
release, you must identify the release as one or the other
rather than leave items 5.1 and 5.2 blank. Instructions for
columns A, B, and C follow the discussions of Sections 5.1
through 5.5.
5.1 Fugitive or Non-Point Air Emissions
Report the total of all releases to the air that are not released
through stacks, vents, ducts, pipes, or any other confined air
stream. You must include (1) fugitive equipment leaks from
valves, pump seals, flanges, compressors, sampling connec-
tions, open-ended lines, etc.; (2) evaporative losses from
surface impoundments and spills; (3) releases from building
ventilation systems; and (4) any other fugitive or non-point air
emissions.
5.2 Stack or Point Air Emissions
Report the total of all releases to the air that occur through
stacks, vents, ducts, pipes, or otherconf ined air streams. You
must include storage tank emissions. Air releases from air
pollution control equipment would generally fall in this cate-
gory.
5.3 Discharges to Receiving Streams or Water Bodies
Enter the applicable letter code for the receiving stream or
waterbody from Section 3.10 of Part I of the form. Also, enter
the total annual amount of the chemical released from all
discharge points at the facility to each receiving stream or
water body. Include process outfalls such as pipes and open
trenches, releases from on-site wastewater treatment sys-
tems, and the contribution from stormwater runoff, if appli-
cable (see instructions for column C below). Do not include
discharges to a POTW or other off-site wastewater treatment
facilities in this section. These off-site transfers must be
reported in Part III, Section 6 of the form.
Discharges of listed acids (e.g., hydrogen flouride; hydrogen
chloride; nitric acid; phosphoric acid; and sulf uric acid) may be
reported as zero if the discharges have been neutralized to pH
6 or above. For discharges of listed bases, a zero release may
be reported if the discharge has been neutralized to pH 9 or
below.
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Page 22
Form R - Part I
5.4 Underground Injection On-Site
Enterthe total annual amount of the chemical that was injected
into all wells, including Class I wells, at the facility.
5.5 Releases to Land On-SIte
Four predefined subcategories for reporting quantities re-
leased to land within the boundaries of the facility are pro-
vided. Do not report land disposal at off-site locations in this
section.
5.5.1 Landfill - Typically, the ultimate disposal method for
solid wastes is landfilling. Leaks from landfills need not be
reported as a release because the amount of the toxic chemi-
cal in the landfill as already been reported as a release.
5.5.2 Land treatment/application farming - Another dis-
posal method is land treatment in which a waste containing a
listed chemical is applied onto or incorporated into soil. While
this disposal method is considered a release to land, any vola-
tilization of listed chemicals into the air occurring during the
disposal operation must be reported as a fugitive air release in
Section 5.1 of Form R.
5.5.3 Surface impoundment - A natural topographic depres-
sion, man-made excavation, or diked area formed primarily of
earthen materials (although some may be lined with man-
made materials), which is designed to hold an accumulation of
liquid wastes or wastes containing free liquids. Examples of
surface impoundments are holding, settling, storage, and
elevation pits; ponds; and lagoons. If the pit, pond, or lagoon
is intended for storage or holding without discharge, it would
be considered to be a surface impoundment used as a final
disposal method.
Quantities of the chemical released to surface impoundments
that are used merely as part of a wastewater treatment
process generally must not be reported in this section. How-
ever, if the impoundment accumulates sludges containing the
chemical, you must include an estimate in this section unless
the sludges are removed and otherwise disposed of (in which
case they should be reported underthe appropriate section of
the form). Forthe purposes of this reporting, storage tanks are
not considered to be a type of disposal and are not to be
reported in this section of the form.
5.5.4 Other disposal ~ Includes any amount of a listed toxic
chemical released to land that does not fit the categories of
landfills, land treatment, or surface impoundment. This other
disposal would include any spills or leaks of listed toxic
chemicals to land. For example, 2,000 pounds benzene leaks
from a underground pipeline into the land at af acility. Because
the pipe was only a few feet from the surface at the erupt point,
30 percent of the benzene evaporates into the air. The 600
pounds released to the air would be reported as a fugitive air
release (Section 5.1) and the remaining 1400 pounds would
be reported as a release to land, other disposal (Section
5.5.4).
5.A Total Release
Only on-site releases of the toxic chemical to the environment
for the calendar year are to be reported in this section of the
form. The total releases from your facility do not include
transfers or shipments of the chemical from your facility for
sale ordistribution in commerce, or of wastes to otherfacilities
for treatment ordisposal (see Part III, Section 6). Both routine
releases, such as fugitive airemissions, and accidental ornon-
routine releases, such as chemical spills, must be included in
your estimate of the quantity released. EPA requires no more
than two significant digits when reporting releases (e.g., 7521
pounds would be reported as 7500 pounds).
Releases of Less Than One Pound. Total annual releases or
off-site transfers of a toxic chemical from the facility of less
than 1 pound may be reported in one of several ways. You
should round the value to the nearest pound. If the estimate
is 0.5 pounds or greater, you should either check the range
bracket of "1 -499"in column A.1 orenter"1" in column A.2. Do
not use both columns A.1 and A.2. If the release is less than
0.5 pounds, you may round to zero and check the "0" bracket
in A.1.
Note that total annual releases of less than 0.5 pounds from
the processing or otherwise use of an article maintains the
article status of that item. Thus, if the only releases you have
are from processing an article, and such releases are less than
0.5 pounds per year, you are not requiredto submit a report for
that chemical. The 0.5 pound release determination does not
apply to just a single article. It applies to the cumulative
releases from the processing or use of that same type of article
(e.g., sheet metal or plastic film) that occurs over the course
of the calendar year.
Zero Releases. If you have no releases of a toxic chemical to
a particular medium, report either NA, not applicable, or 0, as
appropriate. Report NA only when there is no possibility a
release could occur to a specific media or off-site location. If
a release to a specific media or off-site location could occur,
but either no release occurred orthe annual aggregate release
was less than 0.5 pounds, report zero. However, if you report
zero releases, a basis of estimate must be provided in column
B. For example, if hydrochloric acid is involved in the facility
processing activities but the facility neutralizes the wastestreams
to a pH of 6-9, then the facility reports a 0 release for the
chemical. If the facility has no underground injection well, it
enters NA for that item on the form. If the facility does not
landfill the acidic waste, it enters NA for landfills.
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Form R - Part
Page 23
5.A.1 Reporting Ranges
For reports submitted for calendar years 1987, 1988, and
1989 only, you may take advantage of range reporting for
releases to an environmental medium that are less than 1,000
pounds for the year. If you choose this option, mark one of the
three boxes, 0, 1-499, or 500-999, that corresponds to re-
leases of the chemical to the appropriate environmental medium
(i.e., any line item). You are not required, however, to use
these range check boxes; you have the option of providing a
specific value in column A.2, as described below. However, djj
not mark a range and also enter a specific estimate in A.2.
5.A.2 Enter Estimate
For releases to any medium that amount to 1,000 pounds or
more for the year, you must provide an estimate in pounds per
year in column A.2. Any estimate provided in column A.2
should be reported to no more than two significant figures.
This estimate should be in whole numbers. Do not use decimal
points.
If you do not use the range reporting option, provide your
estimates of total annual releases (in pounds) in column A.2.
Calculating Releases - To provide the release information
required in columns A.1 and A.2 in this section, you must use
all readily available data (including relevant monitoring data
and emissions measurements) collected at your facility to
meet other regulatory requirements or as part of routine plant
operations, to the extent you have such data for the toxic
chemical.
When relevant monitoring data or emission measurements
are not readily available, reasonable estimates of the amounts
released must be made using published emission factors,
material balance calculations, or engineering calculations.
You may not use emission factors or calculations to estimate
releases if more accurate data are available.
No additional monitoring or measurement of the quanti-
ties or concentrations of any toxic chemical released Into
the environment, or of the frequency of such releases, is
required forthe purpose of completing this form, beyond
that which Is required under other provisions of law or
regulation or as part of routine plant operations.
You must estimate, as accurately as possible, the quantity (in
pounds) of the chemical or chemical category that is released
annually to each environmental medium. Include only the
quantity of the toxic chemical contained in the wastestream in
this estimate. If the toxic chemical present at your facility was
part of a mixture or trade name product, calculate only the
releases of the chemical, not the other components of the
mixture ortrade name product. If you are only able to estimate
the releases of the mixture ortrade name product as a whole,
you must assume that the release of the toxic chemical is
proportional to its concentration in the mixture ortrade name
product. See section 372.30(b) of the reporting ruleforfurther
information on how to calculate the concentration and weight
of the toxic chemical in the mixture or trade name product.
If you are reporting a chemical category listed in Table II of
these instructions, rather than a specific chemical, you must
combine the release data for all chemicals in the listed chemi-
cal category (e.g., all glycol ethers or all chlorophenols) and
report the aggregate amount for that chemical category. Do
not report releases of each individual chemical in that category
separately. Forexample, if yourfacilityreleases3,000pounds
per year of 2-chlorophenol, 4,000 pounds per year of 3-chlo-
rophenol, and 4,000 pounds per year of 4-chlorophenol, you
should report that your facility releases 11,000 pounds per
year of chlorophenols.
For listed chemicals with the qualifier "solution," such as
ammonium nitrate, at concentrations of 1 percent (or 0.1
percent in the case of a carcinogen) or greater, the chemical
concentrations must be factored into threshold and release
calculations because threshold and release amounts relate to
the amount of chemical in solution, not the amount of solution.
For metal compound categories (e.g., chromium compounds),
report releases of only the parent metal. For example, a user
of various inorganic chromium salts would report the total
chromium released in each waste type regardless of the
chemical form (e.g., as the original salts, chromium ion, oxide)
and exclude any contribution to mass made by other species
in the molecule.
EXAMPLE 8: Calculating Releases
Your facility disposes of 14,000 pounds of lead chromate
(PbCrO4PbO) in an on-site landfill and transfers 16,000 pounds
of lead selenate (PbSeO4) to an off-site land disposal facility.
You would therefore be submitting three separate reports on
the following: lead compounds, selenium compounds, and
chromium compounds. However, the quantities you would be
reporting would be the pounds of "parent" metal being re-
leased ortransferred off-site. All quantities are based on mass
balance calculations (See Section 5.B for information on Basis
of Estimate and Section 6.C for treatment/disposal codes and
information on transfers of chemical wastes). You would
calculate releases of lead, chromium, and selenium by first
determining the percentage by weight of these metals in the
materials you use as follows:
Lead Chromate (PbCrO4PbO) -
Molecular weight =
Lead 2Pb-
Molecular weight =
Chromate 1 Cr -
Molecular weight =
546.37
207.2x2 = 414.4
51.996
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Page 24
Form R - Part III
Lead chromate is therefore (% by weight)
(414.4/546.37) = 75.85% lead and (51.996/546.37) =
9.52% chromium
You can then calculate the total amount of the metals that you
must report, based on your knowledge that 14,000 pounds of
lead chromate contains:
14,000x0.7585 = 10,619 pounds of lead
14,000 x 0.0952 = 1,334 pounds of chromium
Similarly, lead selenate is (207.2/350.17) = 59.17% lead and
(78.96/350.17) = 22.55% selenium.
The total pounds of lead, chromium, and selenium released or
transferred from your facility are as follows:
Lead
Release:
0.7585 x 14,000 * 10,619 pounds from lead chromate
(round to 11,000 pounds)
Transfer:
0.5917 x 16,000 = 9,467 pounds from lead selenate
(round to 9,500 pounds)
(As an example, the releases and transfers of lead should be
reported as illustrated in Figure E on the pages 24-25.)
Chromium
Release:
0.0952 x 14,000 = 1,333 pounds from lead chromate
(round to 1,300 pounds)
Selenium
Transfer:
0.2255 x 16,000 = 3,608 pounds of selenium from lead
selenate (round to 3,600 pounds)
5.B Basis of Estimate
For each release estimate, you are required to indicate the
principal method used to determine the amount of release
reported. You will enter a letter code that identifies the method
that applies to the largest portion of the total estimated release
quantity.
For example, if 40 percent of stack emissions of the reported
substance were derived using monitoring data, 30 percent by
mass balance, and 30 percent by emission factors, you would
enter the code letter "M" for monitoring.
The codes are as follows:
M - Estimate is based on monitoring data or measurements
for the toxic chemical as released to the environment
and/or off-site facility.
C - Estimate is based on mass balance calculations, such
as calculation of the amount of the toxic chemical in
streams entering and leaving process equipment.
E - Estimate is based on published emission factors, such
as those relating release quantity to through-put or
equipment type (e.g., air emission factors).
O - Estimate is based on other approaches such as engi-
neering calculations (e.g., estimating volatilization using
published mathematical formulas) or best engineering
judgment. This would include applying an estimated
removal efficiency to a waste stream, even if the com-
position of the stream before treatment was fully identi-
fied through monitoring data.
If the monitoring data, mass balance, or emission factor used
to estimate the release is not specific to the toxic chemical
being reported, the form should identify the estimate as based
on engineering calculations or best engineering judgment.
If a mass balance calculation yields the flow rate of a waste-
stream, but the quantity of reported chemical in the waste-
Figure E
1. CHEMICAL ID ENTITY (Do not complete this section if you complete Section 2.)
1.1
[Reserved]
CAS Number (Enter only one number exactly as it appears on the 313 list. Enter NA if reporting a chemical category.)
NA
1 3
Chemical or Chemical Category Name (Entw only on* nam* *xactly as it appears on the 313 list.)
Lead Compounds
1.4
Generic Chemical Name (Complete only if Pan I, Section 1.1 is checked "Yes." Generic name must be structurally descriptive.)
MIXTURE COMPONENT IDENTITY (Do not complete this section If you complete Section 1.)
Generic Chemical Name Provided by Supplier (Limit the name to a maximum of 70 characters (e.g., numbers, letters, spaces, punctuation).)
2.
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Form R - Part
Page 25
Figure E
(Continued)
S. RELEASES OF THE CHEMICAL TO THE ENVIRONMENT ON-SITE
You may report releases of less than
1.000 pounds by checking ranges under A 1.
(Do not use both A.1 and A.2)
5.1 Fugitive or non-point air emissions
5.2 Stack or point air emissions
5.3 Discharges to receiving I I
streams or water bodies 5-3-' '—I
(Enter letter code for stream I I
from Part I Section 3.10 in 532
the box provided.) «••-.«. i 1
5.3.3D
5.4 Underground Injection on-slte
5.5 Releases to land on-slte
5.5.1 Landfill
5.5.2 Land treatment/application farming
5.5.3 Surface impoundment
5.5.4 Other disposal
5.1a
5.2a
5.3.1a
5.3.2a
5.3.3a
5.4a
5.5.1a
5.5.2a
5.5.3a
5.5.4a
A. Total Release
(pounds/year)
A.1
Reporting Ranges
1-499 500-999
A.2
Enter
Estimate
(Check if additional information is provided on Part IV-Supplemental Information.)
NA
NA
NA
NA
11,000
NA
NA
NA
B. Basis of
Estimate
5.3.1b
5.3.2b
5.3.3b
5.4b
5.5.1b
5.5.2b
5.5.3b
5.5.4b
6. TRANSFERS OF THE CHEMICAL IN WASTE TO OFF-SITE LOCATIONS
You may report transfers
of less than 1 .000 pounds by
checking ranges under A.1. (Do
not use both A.1 and A. 2)
Discharge to POTW ,—_ . - .
(enter location number i
1 ) | ' |.| _
6.1.1 from Part II, Section
Other off-site location
c. „ „ (enter location number
6.2.1 from Part II, Section 2.)
A. Total Transfers
(pounds/year)
A.1
Reporting Ranges
0 1-499 500-999
A. 2
Enter
Estimate
NA
9,500
B. Basis of Estimate
(enter code)
.1.1b I _ I
.2.1b CI
C.Type of Treatment/
Disposal
Other off-site location . . .
. . . (enter location number 9
6.2.2 from Part II, Section 2.1 I * II
NA
6.2.2b
Other off-site location
(enter location number
HO
6.2.3b
I I
[ ] (Check If additional Information Is provided on Part IV-Supplemental Information.)
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Page 26
Form R - Part
stream is based on solubility data, report "O" because "engi-
neering calculations" were used as the basis of estimate of the
quantity of the chemical in the wastestream.
If the concentration of the chemical in the wastestream was
measured by monitoring equipment and the flow rate of the
wastestream was determined by mass balance, then the
primary basis of estimate is "monitoring" (M). Even though a
mass balance calculation also contributed to the estimate,
"Monitoring" should be indicated because monitoring data
was used to estimate the concentration of the waste stream.
Mass balance (C) should only be indicated if it is directly used
to calculate the mass (weight) of chemical released. Monitor-
ing data should be indicated as the basis of estimate only if the
chemical concentration is measured in the wastestream being
released into the environment. Monitoring data should not be
indicated, for example, if the monitoring data relates to a
concentration of the toxic chemical in other process streams
within the facility.
5.C Percent From Stormwater
This column relates only to Section 5.3 - Discharges to
receiving streams or water bodies. If your facility has monitor-
ing data on the amount of the chemical in stormwater runoff
(including unchanneled runoff), you must include that quantity
of the chemical in your water release in column A and indicate
the percentage of the total quantity (by weight) of the chemical
contributed by stormwater in column C (Section 5.3c).
If your facility has monitoring data on the chemical and an
estimate of flow rate, you must use this data to determine the
percent stormwater.
If you have monitored stormwater but did not detect the
chemical, enter zero (0) in column C. If your facility has no
slormwater monitoring data for the chemical, enter not appli-
cable, NA, in this space on the form.
EXAMPLE 9: Releases from Stormwater
Bi-monthly stormwater monitoring data shows that the aver-
age concentration of zinc in the stormwater runoff from your
facility from a biocide containing a zinc compound is 1.4
milligrams per liter, and the total annual stormwater discharge
from the facility is 7.527 million gallons. The total amount of
zinc discharged to surface water through the plant wastewater
discharge (non-stormwater) is 250 pounds per year. The total
amount of zinc discharged with stormwater is:
(7,527,000 gallons stormwater) x (3.785 liters/gallon)
= 28,489,695 liters stormwater
(28,489,695 liters stormwater) x (1.4 mg. zinc/liter)
= 39,885.6 grams zinc
= 88 pounds zinc
The total amount of zinc discharged from all sources of your
facility is:
250 pounds zinc from wastewater discharge
+ 88 pounds zinc from stormwater runoff
338 pounds zinc total water discharge
Round to 340 pounds of zinc for report.
The percentage of zinc discharged through slormwater is:
88/338x100 = 26%
If your facility does not have periodic measurements of storm-
water releases of the chemical, but has submitted chemical-
specific monitoring data in permit applications, then these data
must be used to calculate the percent contribution from
stormwater. Rates of flow can be estimated by multiplying the
annual amount of rainfall by the land area of the facility and
then multiplying that figure by the runoff coefficient. The runoff
coefficient represents the fraction of rainfall that does not
infiltrate into the ground but runs off as stormwater. The runoff
coefficient is directly related to how the land in the drainage
area is used. (See table below.)
Description of Land Area
Business
Downtown areas
Neighborhood areas
Industrial
Light areas
Heavy areas
Railroad yard areas
Unimproved areas
Streets
Asphaltic
Concrete
Brick
Drives and walks
Roofs
Lawns: Sandy Soil
Flat, 2%
Average, 2-7%
Steep, 7%
Lawns: Heavy Soil
Flat, 2%
Average, 2-7%
Steep, 7%
Runoff Coefficient
0.70-0.95
0.50-0.70
0.50-0.80
0.60-0.90
0.20-0.40
0.10-0.30
0.70-0.95
0.80-0.95
0.70-0.85
0.70-0.85
0.75-0.95
0.05-0.10
0.10-0.15
0.15-0.20
0.13-0.17
0.18-0.22
0.25-0.35
Choose the most appropriate runoff coefficient for your site or
calculate a weighted-average coefficient, which takes into
account different types of land use at your facility:
Weighted-average
runoff coefficient
_ (Are^C, + Area2C2 + AC,)
Total Site Area
where C, = runoff coefficient for a specific land use of Area,.
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Form R - Part
Page 27
EXAMPLE 10: Stormwater Runoff
Your facility is located in a semi-arid region of the United
States which has an annual precipitation (including snowfall)
of 12 inches of rain. (Snowfall should be converted to the
equivalent inches of rain; assume one foot of snow is equiva-
lent to one inch of rain.) The area covered by your facility is 42
acres (about 170,000 square meters or 1,829,520 square
feet). The area of your facility is 50 percent unimproved area,
10 percent asphaltic streets, and 40 percent concrete pave-
ment.
The total stormwater runoff from your facility is therefore
calculated as follows:
Land Use
% Area
Unimproved area 50
Asphaltic streets 10
Concrete pavement 40
Runoff
Coefficient
0.20
0.85
0.90
Weighted-average runoff coefficient =
(50%) X (0.20) + (10%) X (0.85) + (40%) X (0.90)
100% Area
= 0.545
(Rainfall) x (land area) x (conversion factor) x (runoff coeffi-
cient) = stormwater runoff
(1 foot) x (1,829.520 ft2) x (7.48 gal/ft3) x (0.545)
= 7,458,221 gallons/year
Total stormwater runoff = 7.45 million gallons/year
6. Transfers of the Chemical In Waste to Off-Site
Locations
You must report in this section the total annual quantity of the
chemical sent to any of the off-site disposal, treatment, or
storage facilities for which you have provided an address in
Part II. You are not required to report quantities of the
chemical sent off-site for purposes of recycle or reuse. Report
the amount of the toxic chemical transferred off-site after any
on-site treatment or removal is completed. Report zero for
releases of listed acids and bases if they have been neutral-
ized to pH 6-9 prior to discharge to a POTW. See the
discussion under Section 5.3, Discharges to Receiving Streams
or Water Bodies (see page 21).
On line 6.1.1, report the amount of the listed chemical trans-
ferred to a POTW listed in Part II, Section 1. In the block
provided, enterthe numberfrom Part II, Section 1 correspond-
ing to the POTW to which the discharge is sent. For example,
if the discharge is sent to the location listed in Part II, Section
1.1. then enter "1" in the block provided (the first digit of this
section number has been preceded). If you transfer waste
containing the toxic chemical to more than one POTW, check
the box at the bottom of Section 6 and use the Part IV, the
Supplemental Information Sheet to report those transfers.
On lines 6.2.1 through 6.2.3, report the amount of the chemical
transferred to other off-site locations corresponding to those
listed in Part II, Sections 2.1 through 2.6, including privately
owned wastewater treatment facilities. In the block provided,
enterthe numberfrom Part II, Section 2 corresponding to the
off-site location to which the transfer is sent. For example, if
the transfer is sent to the location listed in Part II, Section 2.3,
enter "3" in the block provided. (The first digit of this section
number has been preceded.) If you need additional space,
check the box at the bottom of Section 6 and use the
Supplemental Information Sheet (Part IV, Section 6) to report
those transfers.
6.A Total Transfers
This column should be completed as described in the instruc-
tions for column A of Section 5 above. Enter the amount, in
pounds, of the toxic chemical that is being transferred, includ-
ing mixtures or trade name products containing the chemical.
Do not enter the total poundage of wastes. See Section 5 for
information on reporting off-site transfers of less than 1 pound.
As in Section 5, if the total amount transferred is less than
1,000 pounds, you may report a range, but only for reporting
years 1987, 1988, and 1989. Enter not applicable, NA, in
column A.2 if you have no off-site transfers of the listed chemi-
cal.
6.B Basis of Estimate
You must identify the basis for your estimate. Enter the letter
code that applies to the method by which the largest percent-
age of the estimate was derived. Use the same codes
identified in the instructions for column B of Section 5.
6.C Type of Treatment/Disposal
Enter one of the following codes to identify the type of
treatment or disposal method used by the off-site location for
the chemical being reported. You should use more than one
line for a single location when the toxic chemical is subject to
different disposal methods; the same location code may be
used more than once. You may have this information in your
copy of EPA Form SO, Item S of the Annual/Biennial Hazard-
ous Waste Treatment, Storage, and Disposal Report (RCRA).
Applicable codes for Part III, Section 6(c) are as follows:
M10 Storage Only
M40 Solidification/Stabilization
M50 Incineration/Thermal Treatment
M61 Wastewater Treatment (Excluding POTW)
M69 Other Treatment
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Form R - Part
Page 28
M71 Underground Injection
M72 Landfill/Disposal Surface Impoundment
M73 Land Treatment
M79 Other Land Disposal
M90 Other Off-Site Management
M91 Transfer to Waste Broker
M99 Unknown
7. Waste Treatment Methods and Efficiency
In Section 7, you must provide the following information
related to the chemical for which releases are being reported:
(A) the general wastestream types containing the chemical
being reported; (B) the waste treatment methods used on all
wastestreams containing the chemical; (C) the range of con-
centrations of the chemical in the influent to the treatment
method; (D) whether sequential treatment is used; (E) the
efficiency or effectiveness of each treatment method in re-
moving the chemical; and (F) whetherthe treatment efficiency
figure was based on actual operating data. Use a separate line
in Section 7 for each treatment method used on a waste-
stream.
In this section, report only information about treatment of
wastestreams at your facility, not about off-site treatment. If
you do not perform on-site treatment of wastes containing the
chemical being reported, check the Not Applicable (NA) space
at the top of Section 7.
7.A General Wastestream
For each waste treatment method, indicate the type of waste-
stream containing the chemical that is treated. Enter the letter
code that corresponds to the general wastestream type:
A = Gaseous (gases, vapors, airborne particulates)
W= Wastewater (aqueous waste)
L = Liquid waste (non-aqueous waste)
S = Solid waste (including sludges and slurries)
If a waste is a mixture of water and organic liquid, you must
report it as wastewater unless the organic content exceeds 50
percent. Slurries and sludges containing water must be
reported as solid waste if they contain appreciable amounts of
dissolved solids, or solids that may settle, such that the
viscosity or density of the waste is considerably different from
that of process wastewater.
7.B Treatment Method
Enter the appropriate code from one of the lists below foreach
on-site treatment method used on a wastestream containing
the toxic chemical, regardless of whether the treatment method
actually removes the specific chemical being reported. Treat-
ment methods must be reported for each type of waste being
treated (i.e., gaseous wastes, aqueous wastes, liquid non-
aqueous wastes, and solids). The treatment codes, except for
the air emission treatment codes, are not restricted to any
medium.
Wastestreams containing the chemical may have a single
source or may be aggregates of many sources. Forexample,
process waterf rom several pieces of equipment at yourf acility
may be combined prior to treatment. Report treatment meth-
ods that apply to the aggregate wastestream, as well as
treatment methods that apply to individual wastestreams. If
your facility treats various wastewater streams containing the
chemical in different ways, the different treatment methods
must each be listed separately.
If your facility has several pieces of equipment performing a
similar service, you may combine the reporting for such
equipment on a single line. It is not necessary to enter four
lines of datatocoverfourscrubberunits.forexample, if allfour
are treating wastes of similar character (e.g., sulfuric acid mist
emissions), have similar influent concentrations, and have
similar removal efficiencies. If, however, any of these parame-
ters differ from one unit to the next, each scrubber must be
listed separately.
Air Emissions Treatment
A01 Flare
A02 Condenser
A03 Scrubber
A04 Absorber
A05 Electrostatic Precipitator
A06 Mechanical Separation
A07 Other Air Emission Treatment
Biological Treatment
B11 Biological Treatment - Aerobic
B21 Biological Treatment - Anaerobic
B31 Biological Treatment ~ Facultative
B99 Biological Treatment -- Other
Chemical Treatment
C01 Chemical Precipitation -- Lime or Sodium
Hydroxide
C02 Chemical Precipitation - Sulfide
C09 Chemical Precipitation -- Other
C11 Neutralization
C21 Chromium Reduction
C31 Complexed Metals Treatment (other than pH
Adjustment)
C41 Cyanide Oxidation -- Alkaline Chlorination
C42 Cyanide Oxidation - Electrochemical
C43 Cyanide Oxidation -- Other
C44 General Oxidation (including Disinfection) -
Chlorination
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Form R - Part
C45 General Oxidation (including Disinfection) --
Ozonation
C46 General Oxidation (including Disinfection) - Other
C99 Other Chemical Treatment
Incineration/Thermal Treatment
F01 Liquid Injection
F11 Rotary Kiln with Liquid Injection Unit
F19 Other Rotary Kiln
F31 Two Stage
F41 Fixed Hearth
F42 Multiple Hearth
F51 Fluidized Bed
F61 Infra-Red
F71 Fume/Vapor
F81 Pyrolytic Destructor
F82 Wet Air Oxidation
F83 Thermal Drying/Dewatering
F99 Other Incineration/Thermal Treatment
Physical Treatment
P01 Equalization
P09 Other Blending
P11 Settling/Clarification
P12 Filtration
P13 Sludge Dewatering (non-thermal)
P14 Air Flotation
P15 Oil Skimming
P16 Emulsion Breaking -- Thermal
P17 Emulsion Breaking -- Chemical
P18 Emulsion Breaking -- Other
P19 Other Liquid Phase Separation
P21 Adsorption -- Carbon
P22 Adsorption -- Ion Exchange (other than for
recovery/reuse)
P23 Adsorption -- Resin
P29 Adsorption -- Other
P31 Reverse Osmosis (other than for recovery/reuse)
P41 Stripping -- Air
P42 Stripping -- Steam
P49 Stripping -- Other
P51 Acid Leaching (other than for recovery/reuse)
P61 Solvent Extraction (other than recovery/reuse)
P99 Other Physical Treatment
Recovery/Reuse
R01 Reuse as Fuel -- Industrial Kiln
R02 Reuse as Fuel -- Industrial Furnace
R03 Reuse as Fuel - Boiler
R04 Reuse as Fuel -- Fuel Blending
R09 Reuse as Fuel - Other
R11 Solvents/Organics Recovery -- Batch Still
Distillation
R12 Solvents/Organics Recovery -- Thin-Film
Evaporation
R13 Solvents/Organics Recovery -- Fractionation
R14 Solvents/Organics Recovery - Solvent Extraction
R19 Solvents/Organics Recovery -- Other
R21 Metals Recovery -- Electrolytic
R22 Metals Recovery - Ion Exchange
R23 Metals Recovery -- Acid Leaching
R24 Metals Recovery -- Reverse Osmosis
R26 Metals Recovery ~ Solvent Extraction
R29 Metals Recovery ~ Other
R99 Other Reuse or Recovery
Solidification/Stabilization
G01 Cement Processes (including Silicates)
G09 Other Pozzolonic Processes (including Silicates)
G11 Asphaltic Processes
G21 Thermoplastic Techniques
G99 Other Solidification Processes
7.C Range of Influent Concentration
The form requires an indication of the range of concentration
of the toxic chemical in the wastestream (i.e., the influent) as
it typically enters the treatment equipment. Enter in the space
provided one of the following code numbers corresponding to
the concentration of the chemical in the influent:
1 = Greater than 1 percent
2 = 100 parts per million (0.01 percent) to
1 percent (10,000 parts per million)
3 = 1 part per million to 100 parts per million
4=1 part per billion to 1 part per million
5 = Less than 1 part per billion
[Note: Parts per million (ppm) is:
Q milligrams/kilogram (mass/mass) for solids and liquids;
Q cubic centimeters/cubic meter (volume/volume) for gases;
Q milligrams/literfor solutions ordispersions of the chemical
in water; and
Q milligrams of chemical/kilogram of air for particulates in
air. If you have particulate concentrations (at standard
temperature and pressure) as grains/cubic foot of air,
multiply by 1766.6 to convert to parts per million; if in milli
grams/cubic meter, multiply by 0.773 to obtain parts per
million. Factors are for standard conditions of 0°C (32°F)
and 760 mmHg atmospheric pressure.]
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Form R - Part III
Page 30
7.D Sequential Treatment?
The blocks in this column may be used in the following case:
Q Individual treatment steps are used in a series to treat the
chemical, but
Q You have no data on the individual efficiencies of each
step, but you are able to estimate the overall efficiency of
the treatment sequence.
To report sequential treatment:
Q List the appropriate codes for the treatment steps in the
order that they occur (in column B) and then put an "X" in
the boxes in column D for all these sequential treatment
steps.
Q Enter the appropriate code for the influent concentration
(in column C) for the first treatment step in the sequence.
Leave this item blank for the rest of the treatment steps in
the sequence.
Q Provide the overall treatment efficiency (in column E) for
the entire sequence by entering that value in connection
with the last treatment step in the sequence only. Enter
NA in column E for the efficiency of all preceding steps in
the sequence.
Q Mark yes or no in column F only in connection with the final
step in the sequence. Do not mark in this column for
proceeding steps in the sequence.
An example of how to use the sequential treatment option is
provided in Appendix C.
7.E Treatment Efficiency Estimate
In the space provided, enter the number indicating the per-
centage of the toxic chemical removed from the wastestream
through destruction, biological degradation, chemical conver-
sion, or physical removal. The treatment efficiency (ex-
pressed as percent removal) represents the mass or weight
percentage of chemical destroyed or removed, not merely
changes in volume or concentration of the chemical in the
wastestream. The efficiency refers only to the percent de-
struction, degradation, conversion, or removal of the listed
toxic chemical from the wastestream, not the percent conver-
sion or removal of other wastestream constituents which may
occur together with the listed chemical. The efficiency also
does not refer to the general efficiency of the method for any
wastestream. For some treatments, the percent removal will
represent removal by several mechanisms, as in as aeration
basin, where a chemical may evaporate, be biodegraded, or
be physically removed in the sludge.
Percent removal must be calculated as follows:
(l-Ei x100
I
where I = mass of the chemical in the influent wastestream and
E = mass of the chemical in the effluent wastestream.
Calculate the mass or weight of chemical in the wastestream
being treated by multiplying the concentration (by weight) of
the chemical in the wastestream by the flow rate. In most
cases, the percent removal compares the treated effluent to
the influent for the particular type of wastestream. However,
for some treatment methods, such as incineration or solidifica-
tion of wastewater, the percent removal of the chemical from
the influent wastestream would be reported as 100 percent
because the wastestream does not exist in a comparable form
after treatment. Some of the treatments (e.g., fuel blending
and evaporation) do not destroy, chemically convert, or physi-
cally remove the chemical from its wastestream. For these
treatment methods, an efficiency of zero must be reported.
For metal compounds, the calculation of the reportable con-
centration and treatment efficiency is based on the weight of
the parent metal, not on the weight of the metal compounds.
Metals are not destroyed, only physically removed or chemi-
cally converted from one form into another. The treatment
efficiency reported represents only physical removal of the
parent metal from the wastestream, not the percent chemical
conversion of the metal compound. If a listed treatment
method converts but does not remove a metal (e.g., chromium
reduction), the method must be reported, but the treatment
efficiency must be reported as zero.
Listed toxic chemicals which are strong mineral acids or bases
which are neutralized to a pH between 6-9 are considered
treated at a 100 percent efficiency.
All data available at your facility must be utilized to calculate
treatment efficiency and influent chemical concentration. You
are not required to collect any new data for the purposes of this
reporting requirement. If data are lacking, estimates must be
made using best engineering judgment or other methods.
7.F Based on Operating Data?
This column requires you to indicate "Yes" or "No" to whether
the treatment efficiency estimate is based on actual operating
data. For example, you would check "Yes" if the estimate is
based on monitoring of influent and effluent wastes under
typical operating conditions. For sequential treatment, do not
indicate "Yes" or "No" in column F for a treatment step unless
you have provided a treatment estimate in column E.
If the efficiency estimate is based on published data for similar
processes or on equipment supplier's literature, or if you
otherwise estimated either the influent or effluent waste
comparison or the flow rate, check "No."
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Form R - Part III
EXAMPLE 11: Waste Treatment Methods
One wastestream generated by your facility is aqueous waste
containing lead chromate, and lead selenate as discussed in
a previous example in these instructions. In this example, the
waste is transferred to off-site facilities after on-site wastewa-
tertreatment. The on-site wastewatertreatment plant precipi-
tates metal sludges. The wastewater is first treated with
sulfuric acid and sodium disulfate to reduce the hexavalent
chromate to trivalent chromium and then treated with lime to
raise the pH. This precipitates chromium hydroxide, zinc
hydroxide, and lead hydroxide, but does not remove the
selenium. The selenium is removed from the wastewater by
an ionic exchange system. The chromium, zinc, and lead
hydroxide sludge (solid) waste is transferred to an off-site land
disposal facility and the selenium-containing ion exchange
resin is transferred to an off-site facility for metal recovery (off-
site recovery shouldnoj.be reported). The treated wastewater
is sent to a POTW after neutralization. You would indicate the
following treatment methods for the on-site treatment of each
of the lead, zinc, chromium, and selenium compounds:
C21 - Chromium Reduction
C01 - Chemical Precipitation - Lime or Sodium
Hydroxide
R22 - Metals Recovery - Ion Exchange
C11 - Neutralization
All sequential treatment steps must be indicated for aJl the
metal compound categories reported even if the treatment
method does not affect the particular metal. For example,
ionic exchange must be reported as a treatment method for
lead, zinc, chromium, and. selenium compounds, even though
the method affects only the selenium compound.
You would indicate a discharge to a POTW in Part III, Section
6.1.1 and the location of the POTW in Part II, Section 1.1. You
would also indicate the release of the metal sludge to an off-
site land disposal facility in Part III, Section 6.2.1.
8. POLLUTION PREVENTION: OPTIONAL
INFORMATION ON WASTE MINIMIZATION
Information provided in Part III. Section 8. of Form R is
optional. In this section, you may identify waste minimization
efforts relating to the reported toxic chemical. Waste minimi-
zation reduces the amount of the toxic chemical in wastes by
reducing waste generation or by recycling. This can be
accomplished by equipment changes, process modifications,
product reformulation, chemical substitutions, or other tech-
niques. Waste minimization refers exclusively to practices
which prevent the generation of wastes. Treatment or dis-
posal does not minimize waste and should not be reported in
this section. Recycling or reuse of a toxic chemical is consid-
ered waste minimization. Waste minimization applies to air
emissions and wastewater, as well as to liquid or solid mate-
rials that are released, disposed of, or treated. For example,
a program to recycle material from reactor cleaning could
reduce the amount of a listed chemical in wastewater prior to
treatment. This reduction might not show up in annual reports
of releases to receiving streams (due to effective treatment,
for example) but would be captured in this section.
8.A Type of Pollution Prevention Modification
Enter the one code from the following list that best describes
the type of waste minimization activity:
M1 Recycling/Reuse On-Site
(e.g., solvent recovery still; vapor recovery system;
reuse of materials in a process)
M2 Recycling/Reuse Off-Site
(e.g., commercial recycler; toll recycling; at an off-site
company-owned facility)
M3 Equipment/Technology Modifications
(e.g., change from solvent to mechanical stripping;
modify spray systems to reduce overspray losses;
install floating roofs to reduce tank emissions; install
float guards to prevent tank overflow)
M4 Process Procedure Modifications
(e.g., change production schedule to minimize equip-
ment and feedstock change-overs; improved control
of operating conditions; segregation of wastes to
permit recycling)
M5 Reformulation/Redesign of Product
(e.g., change in product specifications; modify design
or composition; reduce or modify packaging)
M6 Substitution of Raw Materials
(e.g., change or eliminate additives; substitute water-
based for solvent-based coating materials, cleaners,
and pigments; increase purity of raw materials)
M7 Improved Housekeeping, Training, Inventory Control
(e.g., alter maintenance frequency; institute leak de-
tection program; improved inventory control; institute
training program on waste minimization)
M8 Other Waste Minimization Technique
(e.g., elimination of process; discontinuation of
product)
8.B Quantity of the Chemical In the Wastestream Prior
to Treatment/Disposal
You may report the change in the amount of the chemical
generated in either of two ways. You may provide the amount
of the chemical in waste produced in the reporting year and the
previous year, or you may report only the percent change.
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Form R - Part III
Page 32
Enter the total pounds of the toxic chemical contained in all
wastes from the reporting facility (air emissions, water
discharges, solid wastes and off-site transfers) generated
during the reporting year. This quantity may be the sum of all
the release amounts reported on Form R if there is no on-site
treatment of the chemical. The quantity will often be greater
than the total reported release amounts because it includes
waste prior to treatment.
You should consider only the quantity of the chemical in the
waste. Do not report the total mass of the waste (i.e., do not
include the weight of water, soil, or waste constituents which
are not reportable on Form R).
Similarly, report total pounds of the toxic chemical contained
in all wastes generated forthe year prior to the reporting year.
Alternatively, to protect confidential information, you may wish
to enter only the percentage by which the weight of the
chemical in the wastes has changed. This figure may be
calculated using the following formula:
(We - Wp)
VV
X100
where:
W
W
weight of toxic chemical in total wastes for
reporting year
weight of toxic chemical in total wastes for the
prior year
Note that the resulting figure will very often be negative
(indicating that the total amount of waste generated has been
reduced in the current year). Be sure to check-off the
appropriate sign for the value where indicated on Form R.
8.C Waste Minimization Index
Enterthe ratio of reporting-year production to the prior report-
ing-year production. This index should be calculated to most
closely reflect activities involving the chemical. To determine
the index, divide the production amount, which was chosen as
a measure of the current reporting year's production level, by
the prior year's production amount.
The index provides a means for users of the data to distinguish
effects due to changes in business activity from the effects
specifically due to waste minimization efforts. It is not neces-
sary to indicate the units on which the index is based. The
index should not be based on the dollar value of sales. Ex-
amples of acceptable indices include:
O Amount of chemical produced in 1989/amount of chemi-
cal produced in 1988. For example, a company manufac-
tures 200,000 pounds of a chemical in 1988 and 250,000
pounds of the same chemical in 1989. The index figure to
report would be 1.3 (1.25 rounded to two significant
digits).
G Amount of paint produced in 1989/amount of paint pro-
duced in 1988.
Q Number of appliances coated in 1989/number of appli-
ances coated in 1988.
Q Square feet of solar collector fabricated in 1989/square
feet of solar collector fabricated in 1988.
8.D Reason for Action
Finally, enter the most appropriate code from the following list
that best describes the reason for initiating the waste minimi-
zation effort:
R1 Regulatory Requirement for the Waste
R2 Reduction of Treatment/Disposal Costs
R3 Other Process Cost Reduction
R4 Self-Initiated Review
R5 Other (e.g., discontinuation of product,
occupational safety).
EXAMPLE 12: WASTE MINIMIZATION (POLLUTION
PREVENTION)
A facility stores toluene in a large tank, and continuously uses
it as a raw material in a chemical process throughout the
reporting year. Prior to the current reporting year, annual air
emissions of toluene were 100,000 pounds from the tank, and
another 100,000 pounds from process emissions. In addition,
150,000 pounds of sludges are created from the process and
from storage tanks. The sludge contains a total of 25,000
pounds of toluene which was burned in an on-site incinerator.
The Form R filed by the facility for the prior year indicated
200,000 pounds of toluene air emissions. The toluene con-
tained in the sludge was identified as treated on-site, although
the pre-treated amount of the toluene was not indicated on the
Form R, since this information is not required under section
313.
At the beginning of the current reporting year, the facility
installed a floating roof in its storage tank. This change
reduced fugitive emissions from the tank 90 percent, from
100,000 pounds per year to 10,000 pounds. Process emis-
sions and sludge generation remained the same.
Based on this information, Part III, Section 8 of Form R would
be completed as follows:
A. Type of Modification
M3: Equipment/Technology Modification.
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Page 33
Form R - Part
B.
Quantity of the Chemical in the Wastestream Prior to
Treatment/Disposal
Tank Process
Emissions Emissions
of Toluene of Toluene
Toluene Total
in Toluene
Sludges Wastes
Total toluene
wastes for Wc= 10,000 + 100,000 + 25,000 =135,000
current reporting
year (pounds)
Total toluene
wastes for Wp= 100,000 + 100,000 + 25,000 =225,000
prior year
(pounds)
Note that only the weight of the toluene in the sludge (25,000
pounds) and not thef ull weight of the sludge (150,000 pounds)
is included in the calculation.
The facility would record 135,000 pounds as the current
reporting year waste generation (Wc), and 225,000 pounds as
the prior year's waste generation (Wp).
Alternatively, the facility may opt to report only the percent
change as follows:
(We - Wp)
: • 40%
135,000-225,000
X1QO= — X100
225,000
Even though the floating roof achieved a 90% reduction of
toluene emissions from the tank, the overall facility-wide
change in toluene waste generation is negative 40% - this is
the figure that should be reported in the "or percent change"
part of Section 8 of Form R.
Increases in waste generation, created by production in-
creases that were greater than the impact of waste minimiza-
tion, would be reported as a positive percentage change.
C. Index
Usage of toluene at this facility remained the same for both
years, resulting in an index of 1.0. If usage had been reduced
by half, the index would have been 0.5.
D. Reason for Action
The facility identified code R3, Other Process Cost Reduction,
as the major reason for the waste minimization action.
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Page 34
TABLE I
SIC CODES 20-39
20 Food and Kindred Products
2011 Meat packing plants
2013 Sausages and other prepared meat products
2015 Poultry slaughtering and processing
2021 Creamery butter
2022 Natural, processed, and imitation cheese
2023 Dry, condensed, and evaporated dairy products
2024 Ice cream and frozen desserts
2026 Fluid milk
2032 Canned specialties
2033 Canned fruits, vegetables, preserves, jams, and
jellies
2034 Dried and dehydrated fruits, vegetables, and soup
mixes
2035 Pickled fruits and vegetables, vegetable sauces
and seasonings, and salad dressings
2037 Frozen fruits, fruit juices, and vegetables
2038 Frozen specialties, n.e.c.*
2041 Flour and other grain mill products
2043 Cereal breakfast foods
2044 Rice milling
2045 Prepared flour mixes and doughs
2046 Wet corn milling
2047 Dog and cat food
2048 Prepared feeds and feed ingredients for animals
and fowls, except dogs and cats
2051 Bread and other bakery products, except cookies
and crackers
2052 Cookies and crackers
2053 Frozen bakery products, except bread
2061 Cane sugar, except refining
2062 Cane sugar refining
2063 Beet sugar
2064 Candy and other confectionary products
2066 Chocolate and cocoa products
2067 Chewing gum
2068 Salted and roasted nuts and seeds
2074 Cottonseed oil mills
2075 Soybean oil mills
2076 Vegetable oil mills, except corn, cottonseed, and
soybean
2077 Animal and marine fats and oils
2079 Shortening, table oils, margarine, and other edible
fats and oils, n.e.c.*
2082 Malt beverages
2083 Malt
2084 Wines, brandy, and brandy spirits
2085 Distilled and blended liquors
2086 Bottled and canned soft drinks and carbonated
waters
2087 Flavoring extracts and flavoring syrups, n.e.c.*
2091 Canned and cured fish and seafoods
2092 Prepared fresh or frozen fish and seafoods
2095 Roasted coffee
2096 Potato chips, com chips, and similar snacks
2097 Manufactured ice
2098 Macaroni, spaghetti, vermicelli, and noodles
2099 Food preparations, n.e.c.*
21 Tobacco Products
2111 Cigarettes
2121 Cigars
2131 Chewing and smoking tobacco and snuff
2141 Tobacco stemming and redrying
22 Textile Mill Products
2211 Broadwoven fabric mills, cotton
2221 Broadwoven fabric mills, man made fiber, and silk
2231 Broadwoven fabric mills, wool (including dyeing
and finishing)
2241 Narrow fabric and other smallwares mills: cotton,
wool, silk, and manmade fiber
2251 Women's full length and knee length hosiery, except
socks
2252 Hosiery, n.e.c.*
2253 Knit outerwear mills
2254 Knit underwear and nightwear mills
2257 Weft knit fabric mills
2258 Lace and warp knit fabric mills
2259 Knitting mills, n.e.c.*
2261 Finishers of broadwoven fabrics of cotton
2262 Finishers of broadwoven fabrics of manmade fiber
and silk
2269 Finishers of textiles, n.e.c.*
2273 Carpets and rugs
2281 Yarn spinning mills
2282 Yarn texturizing, throwing, twisting, and winding
mills
2284 Thread mills
2295 Coated fabrics, not rubberized
2296 Tire cord and fabrics
2297 Nonwoven fabrics
2298 Cordage and twine
2299 Textile goods, n.e.c.*
23 Apparel and Other Finished Products made from
Fabrics and Other Similar Materials
2311 Men's and boys' suits, coats, and overcoats
'"Not elsewhere classified* indicated by "n.e.c."
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Page 35
2321 Men's and boys' shirts, except work shirts
2322 Men's and boys' underwear and nightwear
2323 Men's and boys' neckwear
2325 Men's and boys' separate trousers and slacks
2326 Men's and boys' work clothing
2329 Men's and boys' clothing, n.e.c.*
2331 Women's, misses', and juniors' blouses and shirts
2335 Women's, misses', and juniors' dresses
2337 Women's, misses', and juniors' suits, skirts, and
coats
2339 Women's, misses', and juniors', outerwear, n.e.c.*
2341 Women's, misses', children's, and infants' under-
wear and nightwear
2342 Brassieres, girdles, and allied garments
2353 Hats, caps, and millinery
2361 Girls', children's and infants' dresses, blouses, and
shirts
2369 Girls', children's and infants' outerwear, n.e.c.*
2371 Fur goods
2381 Dress and work gloves, except knit and all leather
2384 Robes and dressing gowns
2385 Waterproof outerwear
2386 Leather and sheep lined clothing
2387 Apparel belts
2389 Apparel and accessories, n.e.c.*
2391 Curtains and draperies
2392 Housefurnishings, except curtains and draperies
2393 Textile bags
2394 Canvas and related products
2395 Pleating, decorative and novelty stitching, and
tucking for the trade
2396 Automotive trimmings, apparel findings, and
related products
2397 Schiff li machine embroideries
2399 Fabricated textile products, n.e.c.*
24 Lumber and Wood Products, Except Furniture
2411 Logging
2421 Sawmills and planing mills, general
2426 Hardwood dimension and flooring mills
2429 Special product sawmills, n.e.c.*
2431 Millwork
2434 Wood kitchen cabinets
2435 Hardwood veneer and plywood
2436 Softwood veneer and plywood
2439 Structural wood members, n.e.c.*
2441 Nailed and lock corner wood boxes and shook
2448 Wood pallets and skids
2449 Wood containers, n.e.c.*
2451 Mobile homes
2452 Prefabricated wood buildings and components
2491 Wood preserving
2493 Reconstituted wood products
2499 Wood products, n.e.c.*
25 Furniture and Fixtures
2511 Wood household furniture, except upholstered
2512 Wood household furniture, upholstered
2514 Metal household furniture
2515 Mattresses, foundations, and convertible beds
2517 Wood television, radio, phonograph, and sewing
machine cabinets
2519 Household furniture, n.e.c.*
2521 Wood office furniture
2522 Office furniture, except wood
2531 Public building and related furniture
2541 Wood office and store fixtures, partitions, shelving,
and lockers
2542 Office and store fixtures, partitions, shelving, and
lockers, except wood
2591 Drapery hardware and window blinds and shades
2599 Furniture and fixtures, n.e.c.*
26 Paper and Allied Products
2611 Pulp mills
2621 Paper mills
2631 Paperboard mills
2652 Setup paperboard boxes
2653 Corrugated and solid fiber boxes
2655 Fiber cans, tubes, drums, and similar products
2656 Sanitary food containers, except folding
2657 Folding paperboard boxes, including sanitary
2671 Packaging paper and plastics film, coated and
laminated
2672 Coated and laminated paper, n.e.c.*
2673 Plastics, foil, and coated paper bags
2674 Uncoated paper and multiwall bags
2675 Die-cut paper and paperboard and cardboard
2676 Sanitary paper products
2677 Envelopes
2678 Stationery tablets, and related products
2679 Converted paper and paperboard products, n.e.c.*
27 Printing, Publishing, and Allied Industries
2711 Newspapers: publishing, or publishing and
printing
2721 Periodicals: publishing, or publishing and printing
2731 Books: publishing, or publishing and printing
2732 Book printing
2741 Miscellaneous publishing
2752 Commercial printing, lithographic
2754 Commercial printing, gravure
2759 Commercial printing, n.e.c.*
2761 Manifold business forms
2771 Greeting cards
2782 Blankbooks, looseleaf binders and devices
'•Not elsewhere classified' indicated by •n.e.c."
-------
Page 36
2789 Bookbinding and related work
2791 Typesetting
2796 Platemaking and related services
28 Chemicals and Allied Products
2812 Alkalies and chlorine
2813 Industrial gases
2816 Inorganic pigments
2819 Industrial inorganic chemicals, n.e.c.*
2821 Plastics materials, synthetic resins, and non-
vulcanizable elastomers
2822 Synthetic rubber (vulcanizable elastomers)
2823 Cellulosic manmade fibers
2824 Manmade organic fibers, except cellulosic
2833 Medicinal chemicals and botanical products
2834 Pharmaceutical preparations
2835 In vitro and in vivo diagnostic substances
2836 Biological products, except diagnostic substances
2841 Soap and other detergents, except specialty
cleaners
2842 Specialty cleaning, polishing, and sanitation prepa-
rations
2843 Surface active agents, finishing agents, sulfonated
oils, and assistants
2844 Perfumes, cosmetics, and othertoiletpreparations
2851 Paints, varnishes, lacquers, enamels, and allied
products
2861 Gum and wood chemicals
2865 Cyclic organic crudes and intermediates, and
organic dyes and pigments
2869 Industrial organic chemicals, n.e.c.*
2873 Nitrogenous fertilizers
2874 Phosphatic fertilizers
2875 Fertilizers, mixing only
2879 Pesticides and agricultural chemicals, n.e.c.*
2891 Adhesives and sealants
2892 Explosives
2893 Printing ink
2895 Carbon black
2899 Chemicals and chemical preparations, n.e.c.*
29 Petroleum Refining and Related Industries
2911 Petroleum refining
2951 Asphalt paving mixtures and blocks
2952 Asphalt felts and coatings
2992 Lubricating oils and greases
2999 Products of petroleum and coal, n.e.c.*
30 Rubber and Miscellaneous Plastics Products
3011 Tires and inner tubes
3021 Rubber and plastics footwear
3052 Rubber and plastics hose and belting
Gaskets, packing, and sealing devices
Molded, extruded, and lathecut mechanical rubber
products
Fabricated rubber products, n.e.c.*
Unsupported plastics film and sheet
Unsupported plastics profile shapes
Laminated plastics plate, sheet, and profile shapes
Plastics pipe
Plastics bottles
Plastics foam products
Custom compounding of purchased plastics resins
3053
3061
3069
3081
3082
3083
3084
3085
3086
3087
3088 Plastics plumbing fixtures
3089 Plastics products, n.e.c.*
31 Leather and Leather Products
3111 Leather tanning and finishing
3131 Boot and shoe cut stock and findings
3142 House slippers
3143 Men's footwear, except athletic
3144 Women's footwear, except athletic
3149 Footwear, except rubber, n.e.c.*
3151 Leather gloves and mittens
3161 Luggage
3171 Women's handbags and purses
3172 Personal leather goods, except women's hand-
bags and purses
3199 Leather goods, n.e.c.*
32 Stone, Clay, Glass and Concrete Products
3211 Flat glass
3221 Glass containers
3229 Pressed and blown glass and glassware, n.e.c.*
3231 Glass products, made of purchased glass
3241 Cement, hydraulic
3251 Brick and structural clay tile
3253 Ceramic wall and floor tile
3255 Clay refractories
3259 Structural clay products, n.e.c.*
3261 Vitreous china plumbing fixtures and china and
earthenware fittings and bathroom accessories
3262 Vitreous china table and kitchen articles
3263 Fine earthenware (whiteware) table and kitchen
articles
3264 Porcelain electrical supplies
3269 Pottery products, n.e.c.*
3271 Concrete block and brick
3272 Concrete products, except block and brick
3273 Ready mixed concrete
3274 Lime
3275 Gypsum products
3281 Cut stone and stone products
3291 Abrasive products
3292 Asbestos products
'"Not elsewhere classified' indicated by "n.e.c."
-------
Page 37
3295 Minerals and earths, ground or otherwise treated
3296 Mineral wool
3297 Nonclay refractories
3299 Nonmetallic mineral products, n.e.c.*
33 Primary Metal Industries
3312 Steel works, blast furnaces (including coke ovens),
and rolling mills
3313 Electrometallurgical products, except steel
3315 Steel wiredrawing and steel nails and spikes
3316 Cold-rolled steel sheet, strip, and bars
3317 Steel pipe and tubes
3321 Gray and ductile iron foundries
3322 Malleable iron foundries
3324 Steel investment foundries
3325 Steel foundries, n.e.c.*
3331 Primary smelting and refining of copper
3334 Primary production of aluminum
3339 Primary smelting and refining of nonferrous
metals, except copper and aluminum
3341 Secondary smelting and refining of nonferrous
metals
3351 Rolling, drawing, and extruding of copper
3353 Aluminum sheet, plate, and foil
3354 Aluminum extruded products
3355 Aluminum rolling and drawing, n.e.c.*
3356 Rolling, drawing, and extruding of nonferrous
metals, except copper and aluminum
3357 Drawing and insulating of nonferrous wire
3363 Aluminum die-castings
3364 Nonferrous die-castings, except aluminum
3365 Aluminum foundries
3366 Copper foundries
3369 Nonferrous foundries, except aluminum and
copper
3398 Metal heat treating
3399 Primary metal products, n.e.c.*
34 Fabricated Metal Products, except Machinery and
Transportation Equipment
3411 Metal cans
3412 Metal shipping barrels, drums, kegs, and pails
3421 Cutlery
3423 Hand and edge tools, except machine tools and
handsaws
3425 Handsaws and saw blades
3429 Hardware, n.e.c.*
3431 Enameled iron and metal sanitary ware
3432 Plumbing fixture fittings and trim
3433 Heating equipment, except electric and warm air
furnaces
3441 Fabricated structural metal
3442 Metal doors, sash, frames, molding, and trim
3443 Fabricated plate work (boiler shops)
3444 Sheet metal work
3446 Architectural and ornamental metal work
3448 Prefabricated metal buildings and components
3449 Miscellaneous structural metal work
3451 Screw machine products
3452 Bolts, nuts, screws, rivets, and washers
3462 Iron and steel forgings
3463 Nonferrous forgings
3465 Automotive stampings
3468 Crowns and closures
3469 Metal stampings, n.e.c.*
3471 Electroplating, plating, polishing, anodizing, and
coloring
3479 Coating, engraving and allied services, n.e.c.*
3482 Small arms ammunition
3483 Ammunition, except for small arms
3484 Small arms
3489 Ordnance and accessories, n.e.c.*
3491 Industrial valves
3492 Fluid power valves and hose fittings
3493 Steel springs, except wire
3494 Valves and pipe fittings, n.e.c.*
3495 Wire springs
3496 Miscellaneous fabricated wire products
3497 Metal foil and leaf
3498 Fabricated pipe and pipe fittings
3499 Fabricated metal products, n.e.c.*
35 Industrial and Commercial Machinery and Computer
Equipment
3511 Steam, gas and hydraulic turbines, and turbine
generator set units
3519 Internal combustion engines, n.e.c.*
3523 Farm machinery and equipment
3524 Lawn and garden tractors and home lawn and
garden equipment
3531 Construction machinery and equipment
3532 Mining machinery and equipment, except oil and
gas field machinery and equipment
3533 Oil and gas field machinery and equipment
3534 Elevators and moving stairways
3535 Conveyors and conveying equipment
3536 Overhead traveling cranes, hoists, and monorail
systems
3537 Industrial trucks, tractors, trailers, and stackers
3541 Machine tools, metal cutting types
3542 Machine tools, metal forming types
3543 Industrial patterns
3544 Special dies and tools, die sets, jigs and fixtures,
and industrial molds
3545 Cutting tools, machine tool accessories, and
machinists' measuring devices
3546 Power driven handtools
*"Not elsewhere classified' indicated by *n.e.c.*
-------
Page 38
3547 Rolling mill machinery and equipment
3548 Electric and gas welding and soldering equipment
3549 Metalworking machinery, n.e.c.*
3552 Textile machinery
3553 Woodworking machinery
3554 Paper industries machinery
3555 Printing trades machinery and equipment
3556 Food products machinery
3559 Special industry machinery, n.e.c.*
3561 Pumps and pumping equipment
3562 Ball and roller bearings
3563 Air and gas compressors
3564 Industrial and commercial fans and blowers and air
purification equipment
3565 Packaging equipment
3566 Speed changers, industrial high speed drives, and
gears
3567 Industrial process furnaces and ovens
3568 Mechanical powertransmission equipment, n.e.c.*
3569 General industrial machinery and equipment, n.e.c.*
3571 Electronic computers
3572 Computer storage devices
3575 Computer terminals
3577 Computer peripheral equipment, n.e.c.*
3578 Calculating and accounting machines, except elec-
tronic computers
3579 Office machines, n.e.c.*
3581 Automatic vending machines
3582 Commercial laundry, dp/cleaning, and pressing
machines
3585 Air conditioning and warm air heating equipment
and commercial and industrial refrigeration equip-
ment
3586 Measuring and dispensing pumps
3589 Service industry machinery, n.e.c.*
3592 Carburetors, pistons, piston rings, and valves
3593 Fluid power cylinders and actuators
3594 Fluid power pumps and motors
3596 Scales and balances, except laboratory
3599 Industrial and commercial machinery and equip-
ment, n.e.c*
36 Electronic and Other Electrical Equipment and
Components, Except Computer Equipment
3612 Power, distribution, and specialty transformers
3613 Switchgear and switchboard apparatus
3621 Motors and generators
3624 Carbon and graphite products
3625 Relays and industrial controls
3629 Electrical Industrial appliances, n.e.c.*
3631 Household cooking equipment
3632 Household refrigerators and home and farm
freezers
3633 Household laundry equipment
3634 Electrical housewares and fans
3635 Household vacuum cleaners
3639 Household appliances, n.e.c.*
3641 Electric lampbulbs and tubes
3643 Current carrying wiring devices
3644 Noncurrent carrying wiring devices
3645 Residential electric lighting fixtures
3646 Commercial, industrial, and institutional electric
lighting fixtures
3647 Vehicular lighting equipment
3648 Lighting equipment, n.e.c.*
3651 Household audio and video equipment
3652 Phonograph records and pre-recorded audio tapes
and disks
3661 Telephone and telegraph apparatus
3663 Radio and television broadcasting and communi-
cations equipment
3669 Communications equipment, n.e.c.*
3671 Electron tubes
3672 Printed circuit boards
3674 Semiconductors and related devices
3675 Electronic capacitors
3676 Electronic resistors
3677 Electronic coils, transformers, and other inductors
3678 Electronic connectors
3679 Electronic components, n.e.c.*
3691 Storage batteries
3692 Primary batteries, dry and wet
3694 Electric equipment for internal combustion
engines
3695 Magnetic and optical recording media
3699 Electrical machinery, equipment, and supplies,
n.e.c.*
37 Transportation Equipment
3711 Motor vehicles and passenger car bodies
3713 Truck and bus bodies
3714 Motor vehicle parts and accessories
3715 Truck trailers
3716 Motor homes
3721 Aircraft
3724 Aircraft engines and engine parts
3728 Aircraft parts and auxiliary equipment, n.e.c.*
3731 Ship building and repairing
3732 Boat building and repairing
3743 Railroad equipment
3751 Motorcycles, bicycles and parts
3761 Guided missiles and space vehicles
3764 Guided missile and space vehicle propulsion units
and propulsion unit parts
3769 Guided missile and space vehicle parts and auxil-
iary equipment, n.e.c.*
3792 Travel trailers and campers
3795 Tanks and tank components
3799 Transportation equipment, n.e.c.*
'"Not elsewhere classified' indicated by "n.e.c."
-------
Page 39
38 Measuring, Analyzing, and Controlling Instruments;
Photographic, Medical and Optical Goods; Watches
and Clocks
3812 Search, detection, navigation, guidance, aeronau-
tical, and nautical systems and instalments
3821 Laboratory apparatus and furniture
3822 Automatic controls for regulating residential and
commercial environments and appliances
3823 Industrial instruments for measurement, display,
and control of process variables; and related
products
3824 Totalizing fluid meters and counting devices
3825 Instruments for measuring and testing of electricity
and electrical signals
3826 Laboratory analytical instruments
3827 Optical instruments and lenses
3829 Measuring and controlling devices, n.e.c.*
3841 Surgical and medical instruments and apparatus
3842 Orthopedic, prosthetic, and surgical appliances
and supplies
3843 Dental equipment and supplies
3844 X-ray apparatus and tubes and related irradiation
apparatus
3845 Electromedical and electrotherapeutic apparatus
3851 Ophthalmic goods
3861 Photographic equipment and supplies
3873 Watches, clocks, clockwork operated devices, and
parts
39 Miscellaneous Manufacturing Industries
3911 Jewelry, precious metal
3914 Silverware, plated ware, and stainless steel ware
3915 Jewelers'findings and materials, and lapidary work
3931 Musical instruments
3942 Dolls and stuffed toys
3944 Games, toys and children's vehicles; except dolls
and bicycles
3949 Sporting and athletic goods, n.e.c.*
3951 Pens, mechanical pencils, and parts
3952 Lead pencils, crayons, and artists' materials
3953 Marking devices
3955 Carbon paper and inked ribbons
3961 Costume jewelry and costume novelties, except
precious metal
3965 Fasteners, buttons, needles, and pins
3991 Brooms and brushes
3993 Signs and advertising specialties
3995 Burial caskets
3996 Linoleum, asphalted-felt-base, and other hard
surface floor coverings, n.e.c.*
3999 Manufacturing industries, n.e.c.*
""Not elsewhere classified" indicated by 'n.e.c.'
-------
Page 40
TABLE II
SECTION 313 TOXIC CHEMICAL LIST FOR REPORTING YEAR 1989
(including Chemical Categories)
Specific toxic chemicals with CAS Number are listed in alphabetical order on this page. A list of the same chemicals in CAS
Number order begins on page 44. Covered Chemical Categories are listed beginning on page 48.
[Note: Chemicals may be added to or deleted from the list.
The Emergency Planning and Community Right-to-Know In-
formation Hotline, (800) 535-0202 or (202) 479-2449 in Wash-
ington, D.C. or Alaska, will provide up-to-date information on
the status of these changes. See page 11 of the instructions
for more information on the de minimis values listed below.]
a. Alphabetical Chemical List
CAS Number
75-07-0
60-35-5
67-64-1
75-05-8
53-96-3
107-02-8
79-06-1
79-10-7
107-13-1
309-00-2
107-05-1
7429-90-5
1344-28-1
117-79-3
60-09-3
92-67-1
82-28-0
7664-41-7
6484-52-2
7783-20-2
62-53-3
90-04-0
104-94-9
134-29-2
120-12-7
7440-36-0
7440-38-2
1332-21-4
7440-39-3
98-87-3
55-21-0
71-43-2
De
Minimis
Chemical Name Concentration
Acetaldehyde
Acetamide
Acetone
Acetonitrile
2-Acetylaminofluorene
Acrolein
Acrylamide
Acrylic acid
Acrylonitrile
Aldrin
{1 ,4:5,8-Dimethanonaphthalene,
1 ,2,3,4,1 0,1 0-hexachloro-1 ,4,4a
5,8,8a-hexahydro-(1 .alpha.,
4.alpha.,4a.beta.,5.alpha.,
8.alpha.,8a.beta.)-}
Ally! chloride
Aluminum (fume or dust)
Aluminum oxide
2-Aminoanthraquinone
4-Aminoazobenzene
4-Aminobiphenyl
1 -Amino-2-methylanthraquinone
Ammonia
Ammonium nitrate (solution)
Ammonium sulfate (solution)
Aniline
o-Anisidine
p-Anisidine
o-Anisidine hydrochloride
Anthracene
Antimony
Arsenic
Asbestos (friable)
Barium
Benzal chloride
Benzamide
Benzene
0.1
0.1
1.0
1.0
0.1
1.0
0.1
1.0
0.1
1.0
1.0
1.0
1.0
0.1
0.1
0.1
0.1
1.0
1.0
1.0
1.0
0.1
1.0
0.1
1.0
1.0
0.1
0.1
1.0
1.0
1.0
0.1
CAS Number
92-87-5
98-07-7
98-88-4
94-36-0
100-44-7
7440-41-7
92-52-4
111-44-4
542-88-1
108-60-1
103-23-1
75-25-2
74-83-9
106-99-0
141-32-2
71-36-3
78-92-2
75-65-0
85-68-7
106-88-7
123-72-8
4680-78-8
569-64-2
989-38-8
1937-37-7
2602-46-2
16071-86-6
2832-40-8
3761-53-3
81-88-9
3118-97-6
97-56-3
842-07-9
492-80-8
128-66-5
7440-43-9
156-62-7
133-06-2
De
Minimis
Chemical Name Concentration
Benzidine
Benzoic trichloride
(Benzotrichloride)
Benzoyl chloride
Benzoyl peroxide
Benzyl chloride
Beryllium
Biphenyl
Bis(2-chloroethyl) ether
Bis(chloromethyl) ether
0.1
0.1
1.0
1.0
1.0
0.1
1.0
1.0
0.1
Bis(2-chloro-1-methylethyl) ether 1.0
Bis(2-ethylhexyl) adipate
Bromoform
{Tribromomethane}
Bromomethane
{Methyl bromide}
1,3-Butadiene
Butyl acrylate
n-Butyl alcohol
sec-Butyl alcohol
tert-Butyl alcohol
Butyl benzyl phthalate
1,2-Butylene oxide
Butyraldehyde
C. . Acid Green 3*
C. . Basic Green 4*
C. . Basic Red 1*
C. . Direct Black 38*
C. . Direct Blue 6*
C. . Direct Brown 95*
C. . Disperse Yellow 3*
C. . Food Red 5*
C. . Food Red 1 5*
C. . Solvent Orange 7*
C, . Solvent Yellow 3*
C. . Solvent Yellow 14*
C. . Solvent Yellow 34*
(Auramine)
C.I. Vat Yellow 4*
Cadmium
Calcium cyanamide
Captan
{1 H-lsoindole-1 ,3(2H)-dione,
3a,4,7,7a-tetrahydro-
2-[(trichloromethyl)thio]-}
0.1
1.0
1.0
0.1
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
0.1
0.1
0.1
0.1
1.0
0.1
0.1
1.0
0.1
0.1
0.1
1.0
0.1
1.0
1.0
* C.I. means "Color Index"
-------
Page 41
CAS Number
Chemical Name
De Minimis
Concentration
De Minimis
CAS Number
Chemical Name
Concentration
63-25-2 Carbaryl 1.0
{1-Naphthalenol, melhylcarbamate}
75-15-0 Carbon disulfide 1.0
56-23-5 Carbon tetrachloride 0.1
463-58-1 Carbonyl sulfide 1.0
120-80-9 Catechol 1.0
133-90-4 Chloramben 1.0
{Benzole acid, 3-amino-
2,5-dichloro-}
57-74-9 Chlordane 1.0
{4,7-Methanoindan, 1,2,4,5,6,7,
8,8-octachloro-2,3,3a,4,
7,7a-hexahydro-}
7782-50-5 Chlorine 1.0
10049-04-4 Chlorine dioxide 1.0
79-11 -8 Chloroacelic acid 1.0
532-27-4 2-Chloroacetophenone 1.0
108-90-7 Chlorobenzene 1.0
510-15-6 Chlorobenzilate 1.0
{Benzeneacetic acid,4-chloro-
.alpha.-(4-chlorophenyl)-
.alpha.-hydroxy-.ethyl ester}
75-00-3 Chloroethane 1.0
{Ethyl chloride}
67-66-3 Chloroform 0.1
74-87-3 Chloromethane 1.0
{Methyl chloride}
107-30-2 Chloromethyl methyl ether 0.1
126-99-8 Chloroprene 1.0
1897-45-6 Chlorothalonil 1.0
{1,3-Benzenedicarbonitrile,
2,4,5,6-tetrachioro-}
7440-47-3 Chromium 0.1
7440-48-4 Cobalt 1.0
7440-50-8 Copper 1.0
120-71-8 p-Cresidine 0.1
1319-77-3 Cresol (mixed isomers) 1.0
108-39-4 m-Cresol 1.0
95-48-7 o-Cresol 1.0
106-44-5 p-Cresol 1.0
98-82-8 Cumene 1.0
80-15-9 Cumene hydroperoxide 1.0
135-20-6 Cupferron 0.1
{Benzeneamine, N-hydroxy-
N-nitroso, ammonium salt}
110-82-7 Cyclohexane 1.0
94-75-7 2,4-D 1.0
{Acetic acid,
(2,4-dichlorophenoxy)-}
1163-19-5 Decabromodiphenyl oxide 1.0
2303-16-4 Diallate 1.0
{Carbamothioic acid,
bis(l-methylethyl)-, S-(2,3-
dichloro-2-propenyl) ester}
615-05-4 2,4-Diaminoanisole 0.1
39156-41-7 2,4-Diaminoanisole sulfate 0.1
101-80-4 4,4'-Diaminodiphenyl ether 0.1
25376-45-8 Diaminotoluene (mixed isomers) 0.1
95-80-7 2,4-Diaminotoluene 0.1
334-88-3 Diazomethane 1.0
132-64-9 Dibenzofuran 1.0
96-12-8 1,2-Dibromo-3-chloropropane 0.1
{DBCP}
106-93-4 1,2-Dibromoethane 0.1
{Ethylene dibromide}
84-74-2 Dibutyl phthalate 1.0
25321-22-6 Dichlorobenzene (mixed 0.1
isomers)
95-50-1 1,2-Dichlorobenzene 1.0
541-73-1 1,3-Dichlorobenzene 1.0
106-46-7 1,4-Dichlorobenzene 0.1
91-94-1 3,3'-Dichlorobenzidine 0.1
75-27-4 Dichlorobromomethane 1.0
107-06-2 1,2-Dichloroethane 0.1
{Ethylene dichloride}
540-59-0 1,2-Dichloroethylene 1.0
75-09-2 Dichloromethane 0.1
{Methylene chloride}
120-83-2 2,4-Dichlorophenol 1.0
78-87-5 1,2-Dichloropropane 1.0
542-75-6 1,3-Dichloropropylene 0.1
62-73-7 Dichlorvos 1.0
{Phosphoric acid, 2,2-
dichloroethenyl dimethyl ester}
115-32-2 Dicofol 1.0
{Benzenemethanol, 4-chloro-
.alpha.-(4-chlorophenyl)-
.alpha.- (trichloromethyl)-}
1464-53-5 Diepoxybutane 0.1
111-42-2 Diethanolamine 1.0
117-81-7 Di-(2-ethylhexyl) phthalate 0.1
{DEHP}
84-66-2 Diethyl phthalate 1.0
64-67-5 Diethyl sulfate 0.1
119-90-4 3,3'-Dimethoxybenzidine 0.1
60-11-7 4-Dimethylaminoazobenzene 0.1
119-93-7 3,3'-Dimethylbenzidine 0.1
{o-Tolidine}
79-44-7 Dimethylcarbamyl chloride 0.1
57-14-7 1,1-Dimethyl hydrazine 0.1
105-67-9 2,4-Dimethylphenol 1.0
131-11 -3 Dimethyl phthalate 1.0
77-78-1 Dimethyl sulfate 0.1
* C.I. means "Color Index"
-------
Page 42
CAS Number
Chemical Name
De Minimis
Concentration
CAS Number
Chemical Name
De Minimis
Concentration
534-52-1 4,6-Dinitro-o-cresol 1.0
51-28-5 2.4-Dinitrophenol 1.0
121-14-2 2,4-Dinitrotoluene 1.0
606-20-2 2,6-Dinitrotoluene 1.0
117-84-0 n-Dioctyl phthalate 1.0
123-91-1 1,4-Dioxane 0.1
122-66-7 1,2-Diphenylhydrazine 0.1
{Hydrazobenzene}
106-89-8 Epichlorohydrin 0.1
110-80-5 2-Ethoxyethanol 1.0
140-88-5 Ethyl acrylate 0.1
100-41-4 Ethylbenzene 1.0
541 -41 -3 Ethyl chlorof ormate 1.0
74-85-1 Ethylene 1.0
107-21-1 Ethylene glycol 1.0
151-56-4 Ethyleneimine 0.1
{Azirldine}
75-21-8 Ethylene oxide 0.1
96-45-7 Ethylene thiourea 0.1
2164-17-2 Fluometuron 1.0
{Urea, N,N-dimethyl-N'-
[3-(trJfluoromethyl)phenyl]-}
50-00-0 Formaldehyde 0.1
76-13-1 Freon113 1.0
{Ethane, 1,1,2-trichloro-1,2,2-
trifluoro-}
76-44-8 Heptachlor 1.0
{1,4,5,6,7,8,8-Heptachloro-
3a,4,7,7a-tetrahydro-
4,7-methano-1 H-indene}
118-74-1 Hexachlorobenzene 0.1
87-68-3 Hexachloro-1,3-butadiene 1.0
77-47-4 Hexachlorocyclopentadiene 1.0
67-72-1 Hexachloroethane 1.0
1335-87-1 Hexachloronaphthalene 1.0
680-31-9 Hexamethylphosphoramide 0.1
302-01-2 Hydrazine 0.1
10034-93-2 Hydrazine sulfate 0.1
7647-01-0 Hydrochloric acid 1.0
74-90-8 Hydrogen cyanide 1.0
7664-39-3 Hydrogen fluoride 1.0
123-31-9 Hydroquinone 1.0
78-84-2 Isobutyraldehyde 1.0
67-63-0 Isopropyl alcohol 0.1
(manufacturing-strong acid
process, no supplier notification)
80-05-7 4,4'-lsopropylidenediphenol 1.0
7439-92-1 Lead 0.1
58-89-9 Lindane 0.1
{Cyclohexane.1,2,3,4,5,6-
hexachloro-,(1 .alpha.,2.alpha.,
3.beta.,4.alpha.,5.alpha.,6.beta.)-}
108-31-6 Maleic anhydride 1.0
12427-38-2 Maneb 1.0
{Carbamodithioic acid, 1,2-
ethanediylbis-.manganese
complex}
7439-96-5 Manganese 1.0
7439-97-6 Mercury 1.0
67-56-1 Methanol 1.0
72-43-5 Methoxychlor 1.0
{Benzene, 1,1'-(2,2,2-
trichloroethylidene)bis
[4-methoxy-}
109-86-4 2-Methoxyethanol 1.0
96-33-3 Methyl acrylate 1.0
1634-04-4 Methyl tert-butyl ether 1.0
101-14-4 4,4'-Methylenebis (2- 0.1
chloroaniline)
{MBOCA}
101-61-1 4,4'-Methylenebis(N,N-dimethyl) 0.1
benzenamine
101-68-8 Methylenebis (phenylisocyanate)I.O
{MBI}
74-95-3 Methylene bromide 1.0
101-77-9 4,4'-Methylenedianiline 0.1
78-93-3 Methyl ethyl ketone 1.0
60-34-4 Methyl hydrazine 1.0
74-88-4 Methyl iodide 0.1
108-10-1 Methyl isobutyl ketone 1.0
624-83-9 Methyl isocyanate 1.0
80-62-6 Methyl methacrylate 1.0
90-94-8 Michler's ketone 0.1
1313-27-5 Molybdenum trioxide 1.0
505-60-2 Mustard gas 0.1
{Ethane, 1,1'-thiobis[2-chloro-}
91-20-3 Naphthalene 1.0
134-32-7 alpha-Naphthylamine 0.1
91-59-8 beta-Naphthylamine 0.1
7440-02-0 Nickel 0.1
7697-37-2 Nitric acid 1.0
139-13-9 Nitrilotriacetic acid 0.1
99-59-2 5-Nitro-o-anisidine 0.1
98-95-3 Nitrobenzene 1.0
92-93-3 4-Nitrobiphenyl 0.1
1836-75-5 Nitrofen 0.1
{Benzene, 2,4-dichloro-1-
(4-nitrophenoxy)-}
51-75-2 Nitrogen mustard 0.1
{2-Chloro-N-(2-chloroethyl)-N-
methylethanamine}
55-63-0 Nitroglycerin 1.0
88-75-5 2-Nitrophenol 1.0
100-02-7 4-Nitrophenol 1.0
79-46-9 2-Nitropropane 0.1
* C.I. means "Color Index"
-------
Page 43
CAS Number
156-10-5
121-69-7
924-16-3
55-18-5
62-75-9
86-30-6
621-64-7
4549-40-0
59-89-2
759-73-9
684-93-5
16543-55-8
100-75-4
2234-13-1
20816-12-0
56-38-2
87-86-5
79-21-0
108-95-2
106-50-3
90-43-7
75-44-5
7664-38-2
7723-14-0
85-44-9
88-89-1
1336-36-3
1120-71-4
57-57-8
123-38-6
114-26-1
115-07-1
75-55-8
75-56-9
110-86-1
91-22-5
106-51-4
82-68-8
81-07-2
94-59-7
7782-49-2
Chemical Name
De Minimis
Concentration
p-Nitrosodiphenylamine 0.1
N,N-Dimethylaniline 1.0
N-Nitrosodi-n-butylamine 0.1
N-Nitrosodiethylamine 0.1
N-Nitrosodimethylamine 0.1
N-Nitrosodiphenylamine 1.0
N-Nitrosodi-n-propylamine 0.1
N-Nitrosomethylvinylamine 0.1
N-Nitrosomorpholine 0.1
N-Nitroso-N-ethylurea 0.1
N-Nitroso-N-methylurea 0.1
N-Nitrosonornicotine 0.1
N-Nitrosopiperidine 0.1
Octachloronaphthalene 1.0
Osmium tetroxide 1.0
Parathion 1.0
{Phosphorothioic acid, o, o-
diethyl-o-(4-nitrophenyl) ester}
Pentachlorophenol 1.0
{POP}
Peracetic acid 1.0
Phenol 1.0
p-Phenylenediamine 1.0
2-Phenylphenol 1.0
Phosgene 1.0
Phosphoric acid 1.0
Phosphorus (yellow or white) 1.0
Phthalic anhydride 1.0
Picric acid 1.0
Polychlorinated biphenyls 0.1
{PCBs}
Propane sultone 0.1
beta-Propiolactone 0.1
Propionaldehyde 1.0
Propoxur 1.0
{Phenol, 2-(1-methylethoxy)-,
methylcarbamate}
Propylene 1.0
{Propene}
Propyleneimine 0.1
Propylene oxide 0.1
Pyridine 1.0
Quinoline 1.0
Quinone 1.0
Quintozene
{Pentachloronitrobenzene} 1.0
Saccharin (manufacturing, no 0.1
supplier notification)
{1,2-Benzisothiazol-3(2H)-one,
1,1-dioxide}
Safrole 0.1
Selenium 1.0
CAS Number
7440-22-4
100-42-5
96-09-3
7664-93-9
100-21-0
79-34-5
127-18-4
961-11-5
7440-28-0
62-55-5
139-65-1
62-56-6
1314-20-1
7550-45-0
108-88-3
584-84-9
91-08-7
95-53-4
636-21-5
8001-35-2
68-76-8
52-68-6
120-82-1
71-55-6
79-00-5
79-01-6
95-95-4
88-06-2
1582-09-8
95-63-6
126-72-7
51-79-6
7440-62-2
108-05-4
593-60-2
75-01-4
75-35-4
1330-20-7
Chemical Name
De Minimis
Concentration
Silver 1.0
Styrene 0.1
Sty re ne oxide 0.1
Sulfuric acid 1.0
Terephthalic acid 1.0
1,1,2,2-Tetrachloroethane 0.1
Tetrachloroethylene 0.1
{Perchloroethylene}
Tetrachlorvinphos 1.0
{Phosphoric acid, 2-chloro-1-
(2,3,5-lrichlorophenyl) ethenyl
dimethyl ester}
Thallium 1.0
Thioacetamide 0.1
4,4'-Thiodianiline 0.1
Thiourea 0.1
Thorium dioxide 1.0
Titanium tetrachloride 1.0
Toluene 1.0
Toluene-2,4-diisocyanate 0.1
Toluene-2,6-diisocyanate 0.1
o-Toluidine 0.1
o-Toluidine hydrochloride 0.1
Toxaphene 0.1
Triaziquone 0.1
{2,5-Cyclohexadiene-1,4-dione,
2,3,5-tris(1 -aziridinyl)-}
Trichlorfon 1.0
{Phosphonic acid,(2,2,2-trichloro-
1-hydroxyethyl)-,dimethyl ester}
1,2,4-Trichlorobenzene 1.0
1,1,1-Trichloroethane 1.0
{Methyl chloroform}
1,1,2-Trichloroethane 1.0
Trichloroethylene 1.0
2,4,5-Trichlorophenol 1.0
2,4,6-Trichlorophenol 0.1
Trifluralin 1.0
{Benzenamine, 2,6-dinitro-N,N-
dipropyl-4-(trifluoromethyl)-}
1,2,4-Trimethylbenzene 1.0
Tris (2,3-dibromopropyl) 0.1
phosphate
Urethane 0.1
{Ethyl carbamate}
Vanadium (fume or dust) 1.0
Vinyl acetate 1.0
Vinyl bromide 0.1
Vinyl chloride 0.1
Vinylidene chloride 1.0
Xylene (mixed isomers) 1.0
* C.I. means "Color Index"
-------
Page 44
CAS Number Chemical Name
De Minimis
Concentration
CAS Number
Chemical Name
De Minimis
Concentration
108-38-3 m-Xylene 1.0
95-47-6 o-Xylene 1.0
106-42-3 p-Xylene 1.0
87-62-7 2,6-Xylidine 1.0
7440-66-6 Zinc (fume or dust) 1.0
12122-67-7 Zineb 1.0
{Carbamodithioic acid, 1,2-
ethanediylbis-, zinc complex}
b. List By CAS Number
CAS Number Chemical Name
De Minimis
Concentration
50-00-0 Formaldehyde 0.1
51-28-5 2,4-Dinitrophenol 1.0
51-75-2 Nitrogen mustard 0.1
{2-Chloro-N-(2-chloroethyl)-N-
methylanamine}
51-79-6 Urethane 0.1
{Ethyl carbamate}
52-68-6 Trichlorfon 1.0
{Phosphonic acid,(2,2,2-trichloro-
1-hydroxyethyl)-, dimethyl ester}
53-96-3 2-Acetylaminofluorene 0.1
55-18-5 N-Nitrosodiethylamine 0.1
55-21-0 Benzamide 1.0
55-63-0 Nitroglycerin 1.0
56-23-5 Carbon tetrachloride 0.1
56-38-2 Parathion 1.0
{Phosphorothioic acid, 0,0-
diethyl-o-(4-nitrophenyl)ester}
57-14-7 1.1-Dimethyl hydrazine 0.1
57-57-8 beta-Propiolactone 0.1
57-74-9 Chlordane 1.0
{4,7-Methanoindan, 1,2,4,5.6,7,
8,8-octachloro-2,3,3a,4,7,7a-
hexahydro-}
58-89-9 Lindane 0.1
{Cyclohexane.1,2,3,4,5,6-
hexachloro-,(1 .alpha.,2.alpha.,
S.beta., 4.alpha.,5.alpha.,6.beta.)-}
59-89-2 N-Nitrosomorpholine 0.1
60-09-3 4-Aminoazobenzene 0.1
60-11-7 4-Dimethylaminoazobenzene 0.1
60-34-4 Methyl hydrazine 1.0
60-35-5 Acetamide 0.1
62-53-3 Aniline 1.0
62-55-5 Thioacetamide 0.1
62-56-6 Thiourea 0.1
62-73-7 Dichlorvos 1.0
{Phosphoric acid, 2,2-
dichloroethenyl dimethyl ester}
62-75-9 N-Nitrosodimethylamine 0.1
' C.I. means "Color Index"
63-25-2 Carbaryl 1.0
{1 -Naphthalene),
methylcarbamate}
64-67-5 Diethyl sulfate 0.1
67-56-1 Methanol 1.0
67-63-0 Isopropyl alcohol 0.1
(manufacturing-strong acid process,
no supplier notification)
67-64-1 Acetone 1.0
67-66-3 Chloroform 0.1
67-72-1 Hexachloroethane 1.0
68-76-8 Triaziquone 0.1
{2,5-Cyclohexadiene-1,4-dione,
2.3.5-tris(1-aziridinyl)-}
71 -36-3 n-Butyl alcohol 1.0
71-43-2 Benzene 0.1
71-55-6 1,1,1-Trtehloroethane 1.0
{Methyl chloroform}
72-43-5 Methoxychlor 1.0
{Benzene, 1,1'-(2,2.2-
trichloroethylidene)bis
[4-methoxy-}
74-83-9 Bromomethane 1.0
{Methyl bromide}
74-85-1 Ethylene 1.0
74-87-3 Chloromethane 1.0
{Methyl chloride}
74-88-4 Methyl iodide 0.1
74-90-8 Hydrogen cyanide 1.0
74-95-3 Methylene bromide 1.0
75-00-3 Chloroethane 1.0
{Ethyl chloride}
75-01-4 Vinyl chloride 0.1
75-05-8 Acetonitrile 0.1
75-07-0 Acetaldehyde 1.0
75-09-2 Dichloromethane 0.1
{Methylene chloride}
75-15-0 Carbon disulfide 1.0
75-21-8 Ethylene oxide 0.1
75-25-2 Bromoform 1.0
{Tribromomethane}
75-27-4 Dichlorobromomethane 1.0
75-35-4 Vinylidene chloride 1.0
75-44-5 Phosgene 1.0
75-55-8 Propyleneimine 0.1
75-56-9 Propylene oxide 0.1
75-65-0 tert-Butyl alcohol 1.0
76-13-1 Freon113 1.0
{Ethane, 1,1,2-trichloro-1,2,2-
trifluoro-}
76-44-8 Heptachlor 1.0
{1.4.5,6.7,8,8-Heptachloro-
3a,4,7,7a-tetrahydro-
4,7-methano-1 H-indene}
-------
Page 45
CAS Number
77-47-4
77-78-1
78-84-2
78-87-5
78-92-2
78-93-3
79-00-5
79-01-6
79-06-1
79-10-7
79-11-8
79-21-0
79-34-5
79-44-7
79-46-9
80-05-7
80-15-9
80-62-6
81-07-2
81-88-9
82-28-0
82-68-8
84-66-2
84-74-2
85-44-9
85-68-7
86-30-6
87-62-7
87-68-3
87-86-5
88-06-2
88-75-5
88-89-1
90-04-0
90-43-7
90-94-8
91-08-7
91-20-3
91-22-5
91-59-8
91-94-1
92-52-4
92-67-1
92-87-5
92-93-3
94-36-0
94-59-7
Chemical Name
De Minimis
Concentration
Hexachlorocyclopentadiene 1.0
Dimethyl sulfate 0.1
Isobutyraldehyde 1.0
1,2-Dichloropropane 1.0
sec-Butyl alcohol 1.0
Methyl ethyl ketorte 1.0
1.1,2-Trichloroethane 1.0
Trichloroethylene 1.0
Acrylamide 0.1
Acrylic acid 1.0
Chloroacetic acid 1.0
Peracetic acid 1.0
1,1,2,2-Tetrachloroethane 0.1
Dimethylcarbamyl chloride 0.1
2-Nitropropane 0.1
4,4'-lsopropylidenediphenol 1.0
Cumene hydroperoxide 1.0
Methyl methacrylate 1.0
Saccharin (manufacturing, no 0.1
supplier notification)
{1,2-Benzisothiazol-3(2H)-one,
1,1-dioxide}
C.I. Food Red 15* 0.1
1-Amino-2-methylanthraquinone 0.1
Quintozene 1.0
{Pentachloronitro-benzene}
Diethyl phthalate 1.0
Dibutyl phthalate 1.0
Phthalic anhydride 1.0
Butyl benzyl phthalate 1.0
N-Nitrosodiphenylamine 1.0
2,6-Xylidine 1.0
Hexachloro-1,3-butadiene 1.0
Pentachlorophenol 1.0
{PCP}
2,4,6-Trichlorophenol 0.1
2-Nitrophenol 1.0
Picric acid 1.0
o-Anisidine 0.1
2-Phenylphenol 1.0
Michler's ketone 0.1
Toluene-2,6-diisocyanate 0.1
Naphthalene 1.0
Quinoline 1.0
beta-Naphthylamine 0.1
3,3'-Dichlorobenzidine 0.1
Biphenyl 1.0
4-Aminobiphenyl 0.1
Benzidine 0.1
4-Nitrobiphenyl 0.1
Benzoyl peroxide 1.0
Safrole 0.1
CAS Number
94-75-7
95-47-6
95-48-7
95-50-1
95-53-4
95-63-6
95-80-7
95-95-4
96-09-3
96-12-8
96-33-3
96-45-7
97-56-3
98-07-7
98-82-8
98-87-3
98-88-4
98-95-3
99-59-2
100-02-7
100-21-0
100-41-4
100-42-5
100-44-7
100-75-4
101-14-4
101-61-1
101-68-8
101-77-9
101-80-4
103-23-1
104-94-9
105-67-9
106-42-3
106-44-5
106-46-7
106-50-3
106-51-4
106-88-7
106-89-8
106-93-4
106-99-0
Chemical Name
De Minimis
Concentration
2,4-D 1.0
{Acetic acid,
(2,4-dichlorophenoxy)-}
o-Xylene 1.0
o-Cresol 1.0
1,2-Dichlorobenzene 1.0
o-Toluidine 0.1
1,2,4-Trimethylbenzene 1.0
2,4-Diaminotoluene 0.1
2,4,5-Trichlorophenol 1.0
Styrene oxide 0.1
1,2-Dibromo-3-chloropropane 0.1
{DBCP}
Methyl acrylate 1.0
Ethylene thiourea 0.1
C.I. Solvent Yellow 3* 0.1
Benzole trichloride 0.1
{Benzotrichloride}
Cumene 1.0
Benzal chloride 1.0
Benzoyl chloride 1.0
Nitrobenzene 1.0
5-Nitro-o-anisidine 0.1
4-Nitrophenol 1.0
Terephthalic acid 1.0
Ethylbenzene 1.0
Styrene 0.1
Benzyl chloride 1.0
N-Nitrosopiperidine 0.1
4,4'-Methylenebis (2- 0.1
chloroaniline)
{MBOCA}
4,4'-Methylenebis(N,N-dimethyl)0.1
benzenamine
Methylenebis(phenylisocyanate) 1.0
{MBI}
4,4'-Methylenedianiline 0.1
4,4'-Diaminodiphenyl ether 0.1
Bis(2-ethylhexyl) adipate 0.1
p-Anisidine 1.0
2.4-Dimethylphenol 1.0
p-Xylene 1.0
p-Cresol 1.0
1,4-Dichlorobenzene 0.1
p-Phenylenediamine 1.0
Quinone 1.0
1,2-Butylene oxide 1.0
Epichlorohydrin 0.1
1,2-Dibromoethane 0.1
{Ethylene dibromide}
1,3-Butadiene 0.1
' C.I. means "Color Index"
-------
Page 46
CAS Number
Chemical Name
De Minimi's
Concentration
CAS Number
Chemical Name
De Minimis
Concentration
107-02-8
107-05-1
107-06-2
107-13-1
107-21-1
107-30-2
108-05-4
108-10-1
108-31-6
108-38-3
108-39-4
108-60-1
108-88-3
108-90-7
108-95-2
109-86-4
110-80-5
110-82-7
110-86-1
111-42-2
111-44-4
114-26-1
115-07-1
115-32-2
117-79-3
117-81-7
117-84-0
118-74-1
119-90-4
119-93-7
120-12-7
120-71-8
120-80-9
120-82-1
120-83-2
121-14-2
121-69-7
122-66-7
123-31-9
123-38-6
123-72-8
123-91-1
Acrolein
Allyl chloride
1,2-Dichloroethane
{Ethylene dichloride}
Acrylonitrile
Ethylene glycol
Chloromethyl methyl ether
Vinyl acetate
Methyl isobutyl ketone
Maleic anhydride
m-Xylene
m-Cresol
1.0
1.0
0.1
0.1
1.0
0.1
1.0
1.0
1.0
1.0
1.0
Bis(2-chloro-1-methylethyl) etherl .0
Toluene 1.0
Chlorobenzene 1.0
Phenol 1.0
2-Methoxyethanol 1.0
2-Ethoxyethanol 1.0
Cyclohexane 1.0
Pyridine 1.0
Diethanolamine 1.0
Bis(2-chloroethyl) ether 1.0
Propoxur 1.0
{Phenol, 2-(1 -methylethoxy)-,
methylcarbamate}
Propylene (Propene) 1.0
Dicofol 1.0
{Benzenemethanol, 4-chloro-
.alpha.-(4-chlorophenyl)-
.alpha.-(trichloromethyl)-}
2-Aminoanthraquinone 0.1
Di(2-ethylhexyl) phthalate 0.1
{DEHP}
n-Dioctyl phthalate 1.0
Hexachlorobenzene 0.1
3,3'-Dimethoxybenzidine 0.1
3,3'-Dimethylbenzidine 0.1
{o-Tolidine}
Anthracene 1.0
p-Cresidine 0.1
Catechol 1.0
1,2,4-Trichlorobenzene 1.0
2,4-Dichlorophenol 1.0
2,4-Dinitrotoluene 1.0
N,N-Dimethylaniline 1.0
1,2-Diphenylhydrazine 0.1
{Hydrazobenzene}
Hydroquinone 1.0
Propionaldehyde 1.0
Butyraldehyde 1.0
1,4-Dioxane 0.1
126-72-7 Tris(2,3-dibromopropyl) 0.1
phosphate
126-99-8 Chloroprene 1.0
127-18-4 Tetrachloroethylene 0.1
{Perchloroethylene}
128-66-5 C.I. Vat Yellow 4* 1.0
131-11-3 Dimethyl phthalate 1.0
132-64-9 Dibenzofuran 1.0
133-06-2 Captan 1.0
{1 H-lsoindole-1,3(2H)-dione,
3a,4,7,7a-tetrahydro-
2[(trichloromethy)thio]-}
133-90-4 Chloramben 1.0
{Benzole acid, 3-amino-
2,5-dichloro-}
134-29-2 o-Anisidine hydrochloride 0.1
134-32-7 alpha-Naphthylamine 0.1
135-20-6 Cupferron 0.1
{Benzeneamine, N-hydroxy-
N-nitroso,ammonium salt}
139-13-9 Nitrilotriacetic acid 0.1
139-65-1 4,4'-Thiodianiline 0.1
140-88-5 Ethyl acrylate 0.1
141 -32-2 Butyl acrylate 1.0
151-56-4 Ethyleneimine (Aziridine) 0.1
156-10-5 p-Nitrosodiphenylamine 0.1
156-62-7 Calcium cyanamide 1.0
302-01-2 Hydrazine 0.1
309-00-2 Aldrin 1.0
{1,4:5,8-Dimethanonaphthalene,
1,2,3,4,10,10-hexachloro-1,4,4a,
5,8,8a-hexahydro-(1 .alpha.,
4.alpha.,4a.beta.,5.alpha.,
8.alpha.,8a.beta.)-J
334-88-3 Diazomethane 1.0
463-58-1 Carbonyl sulfide 1.0
492-80-8 C.I. Solvent Yellow 34* 0.1
{Auramine}
505-60-2 Mustard gas 0.1
{Ethane,1,1'-thiobis[2-chloro-}
510-15-6 Chlorobenzilate 1.0
{Benzeneacetic acid,4-chloro-
.alpha.-(4-chlorophenyl)-
.alpha.-hydroxy-.ethyl ester}
532-27-4 2-Chloroacetophenone 1.0
534-52-1 4,6-Dinitro-o-cresol 1.0
540-59-0 1,2-Dichloroethylene 1.0
541-41-3 Ethyl chlorotormate 1.0
541-73-1 1,3-Dichlorobenzene 1.0
542-75-6 1,3-Dichloropropylene 0.1
542-88-1 Bis(chloromethyl) ether 0.1
569-64-2 C.I. Basic Green 4* 1.0
584-84-9 Toluene-2,4-diisocyanate 0.1
' C.I. means "Color Index"
-------
Page 47
CAS Number
593-60-2
606-20-2
615-05-4
621-64-7
624-83-9
636-21-5
680-31-9
684-93-5
759-73-9
842-07-9
924-16-3
961-11-5
989-38-8
1120-71-4
1163-19-5
1313-27-5
1314-20-1
1319-77-3
1330-20-7
1332-21-4
1335-87-1
1336-36-3
1344-28-1
1464-53-5
1582-09-8
1634-04-4
1836-75-5
1897-45-6
1937-37-7
2164-17-2
2234-13-1
2303-16-4
2602-46-2
2832-40-8
3118-97-6
3761-53-3
Chemical Name
De Minimis
Concentration
Vinyl bromide 0.1
2,6-Dinitrotoluene 1.0
2,4-Diaminoanisole 0.1
N-Nitrosodi-n-propylamine 0.1
Methyl isocyanate 1.0
o-Toluidine hydrochloride 0.1
Hexamethylphosphoramide 0.1
N-Nitroso-N-methylurea 0.1
N-Nitroso-N-ethylurea 0.1
C.I. Solvent Yellow 14* 0.1
N-Nitrosodi-n-butylamine 0.1
Tetrachlorvinphos 1.0
{Phosphoric acid, 2-chloro-1-
(2,3,5-trichlorophenyl)ethenyl
dimethyl ester}
C.I. Basic Red 1* 0.1
Propane sultone 0.1
Decabromodiphenyl oxide 1.0
Molybdenum trioxide 1.0
Thorium dioxide 1.0
Cresol (mixed isomers) 1.0
Xylene (mixed isomers) 1.0
Asbestos (friable) 0.1
Hexachloronaphthalene 1.0
Polychlorinated biphenyls 0.1
{PCBs}
Aluminum oxide 1.0
Diepoxybutane 0.1
Trifluralin 1.0
{Benzenamine, 2,6- dinitro-N,N-
dipropyl-4-(tritluoromethyl)-}
Methyl tert-butyl ether 1.0
Nitrofen 0.1
{Benzene, 2,4-dichloro-1-
(4-nitrophenoxy)-}
Chlorothalonil 1.0
{1,3-Benzenedicar bonitrile,
2,4,5,6-tetrachloro-}
C.I. Direct Black 38* 0.1
Fluometuron 1.0
{Urea, N,N-dimethyl-N'-
[3-(trifluoromethyl)phenyl]-}
Octachloronaphthalene 1.0
Diallate 1.0
{Carbamothioic acid,
bis(l-methylethyl)-, S-(2,3-
dichloro-2-propenyl) ester}
C.I. Direct Blue 6* 0.1
C.I. Disperse YellowS* 1.0
C.I. Solvent Orange 7* 1.0
C.I. Food Red 5* 0.1
CAS Number
4549-40-0
4680-78-8
6484-52-2
7429-90-5
7439-92-1
7439-96-5
7439-97-6
7440-02-0
7440-22-4
7440-28-0
7440-36-0
7440-38-2
7440-39-3
7440-41-7
7440-43-9
7440-47-3
7440-48-4
7440-50-8
7440-62-2
7440-66-6
7550-45-0
7647-01-0
7664-38-2
7664-39-3
7664-41-7
7664-93-9
7697-37-2
7723-14-0
7782-49-2
7782-50-5
7783-20-2
8001-35-2
10034-93-2
10049-04-4
12122-67-7
12427-38-2
16071-86-6
16543-55-8
20816-12-0
25321-22-6
25376-45-8
39156-41-7
Chemical Name
De Minimis
Concentration
N-Nitrosomethyivinylamine 0.1
C.I. Acid Green 3* 1.0
Ammonium nitrate (solution) 1.0
Aluminum (fume or dust) 1.0
Lead 0.1
Manganese 1.0
Mercury 1.0
Nickel 0.1
Silver 1.0
Thallium 1.0
Antimony 1.0
Arsenic 0.1
Barium 1.0
Beryllium 0.1
Cadmium 0.1
Chromium 0.1
Cobalt 1.0
Copper 1.0
Vanadium (fume or dust) 1.0
Zinc (fume or dust) 1.0
Titanium tetrachloride 1.0
Hydrochloric acid 1.0
Phosphoric acid 1.0
Hydrogen fluoride 1.0
Ammonia 1.0
Sulfuric acid 1.0
Nitric acid 1.0
Phosphorus (yellow or while) 1.0
Selenium 1.0
Chlorine 1.0
Ammonium sulfate (solution) 1.0
Toxaphene 0.1
Hydrazine sulfate 0.1
Chlorine dioxide 1.0
Zineb 1.0
{Carbamodithioic acid, 1,2-
ethanediylbis-.zinc complex}
Maneb 1.0
{Carbamodithioic acid, 1,2-
ethanediylbis-,manganese
complex}
C.I. Direct Brown 95* 0.1
N-Nitrosonornicotine 0.1
Osmium tetroxide 1.0
Dichlorobenzene (mixed 0.1
isomers)
Diaminotoluene (mixed isomers) 0.1
2,4-Diaminoanisole sulfate 0.1
* C.I. means "Color Index"
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Page 48
SECTION 313 CHEMICAL CATEGORIES
Section 313 requires emissions reporting on the chemical
categories listed below, in addition to the specific chemicals
listed above. The metal compounds listed below, unless
otherwise specified, are defined as including any unique
chemical substance that contains the named metal (i.e.,
antimony, copper, etc.) as part of that chemical's structure.
Chemical categories are subject to the 1 percent de minimis
concentration unless the substance involved meets the defini-
tion of an OSHA carcinogen.
Antimony Compounds - Includes any unique chemical sub-
stance that contains antimony as part of that chemical's
infrastructure.
Arsenic Compounds - Includes any unique chemical sub-
stance that contains arsenic as part of that chemical's infra-
structure.
Barium Compounds - Includes any unique chemical sub-
stance that contains barium as part of that chemical's infra-
structure.
Beryllium Compounds - Includes any unique chemical sub-
stance that contains beryllium as part of that chemical's
infrastructure.
Cadmium Compounds - Includes any unique chemical sub-
stance that contains cadmium as part of that chemical's
infrastructure.
Chlorophenols -
where x = 1 to 5
Chromium Compounds - Includes any unique chemical sub-
stance that contains chromium as part of that chemical's
infrastructure.
Cobalt Compounds - Includes any unique chemical substance
that contains cobalt as part of that chemical's infrastructure.
Copper Compounds - Includes any unique chemical sub-
stance that contains copper as part of that chemical's infra-
structure.
Cvanide Compounds - X* CM" where X = H* or any other group
where a formal dissociation may occur. For example KCN or
Ca(CN)r
Glyco| Ethers - Includes mono- and di- ethers of ethylene
glycol, diethylene glycol, and triethylene glycol.
R-(OCH2CH2)n-OR'
Where n = 1,2, or 3
R = alkyl or aryl groups
R'= R, H, or groups which, when
removed, yield glycol ethers with the
structure:
R-(OCH2CH2)n-OH
Polymers are excluded from this category.
Lead Compounds - Includes any unique chemical substance
that contains lead as part of that chemical's infrastructure.
Manganese Compounds - Includes any unique chemical
substance that contains manganese as part of that chemical's
infrastructure.
Mercury Compounds - Includes any unique chemical sub-
stance that contains mercury as part of that chemical's infra-
structure.
Nickel Compounds - Includes any unique chemical substance
that contains nickel as part of that chemical's infrastructure.
Polvbrominated Biohenvls (PBBs^
"tlO-x)
where x = 1 to 10
Selenium Compounds - Includes any unique chemical sub-
stance that contains selenium as part of that chemical's
infrastructure.
Silver Compounds - Includes any unique chemical substance
that contains silver as part of that chemical's infrastructure.
Thallium Compounds - Includes any unique chemical sub-
stance that contains thallium as part of that chemical's infra-
structure.
Zinc Compounds - Includes any unique chemical substance
that contains zinc as part of that chemical's infrastructure.
* C.I. means "Color Index"
-------
Page 49
TABLE III
STATE ABBREVIATIONS
Alabama
Alaska
American Samoa
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Guam
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Marshall Islands
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
AL Montana MT
AK Nebraska NE
AS Nevada NV
AZ New Hampshire NH
AR New Jersey NJ
CA New Mexico NM
CO New York NY
CT North Carolina NC
DE North Dakota ND
DC Commonwealth of the Northern Mariana Islands MP
FL Ohio OH
GA Oklahoma OK
GU Oregon OR
HI Pennsylvania PA
ID Puerto Rico PR
IL Rhode Island Rl
IN South Carolina SC
IA South Dakota SD
KS Tennessee TN
KY Texas TX
LA Utah UT
ME Vermont VT
MH Virginia VA
MD Virgin Islands VI
MA Washington WA
Ml West Virginia WV
MN Wisconsin Wl
MS Wyoming WY
MO
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Page A-1
APPENDIX A
BLANK TOXIC CHEMICAL RELEASE INVENTORY REPORTING FORM R
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n
(Important: Type or print; read instructions before completing form.)
Form Approved OMB No.:,
Approval Expires:.
2070-0093
01/91
D
Paae 1 of 5
U.S. Environmental Protection Agency
TOXIC CHEMICAL RELEASE INVENTORY REPORTING FORM
Section 313 of the Emergency Planning and Community Rlght-to-Know Act of 1986,
also known as Title III of the Superfund Amendments and Reauthorlzatlon Act
EPA FORM
R
PART I.
FACILITY
IDENTIFICATION
INFORMATION
(This space for your optional use.)
Public reporting burden for this
collection of information is estimated to
vary from 30 to 34 hours per response,
with an average of 32 hours per
response, including time for reviewing
instructions, searching existing data
sources, gathering and maintaining the
data needed, and completing and
reviewing the collection of information.
Send comments regarding this burden
estimate or any other aspect of this
collection of information, including
suggestions for reducing this burden, to
Chief, Information Policy Branch
(PM-223), US EPA, 401 M St., SW.
Washington, D.C. 20460 Attn: TRI
Burden and to the Office of Information
and Regulatory Affairs, Office of
Management and Budget Paperwork
Reduction Project (2070-0093),
Washington, D.C. 20603.
1.
1.1 Are you claiming the chemical Identity on page 3 trade secret?
[ J Yes (Answer question 1.2; [ J
Attach substantiation forms.)
No (Do not answer 1.2;
Go to question 1.3.)
1.2 M "Yes" in 1.1, Is this copy;
[ J Sanitized I J Unsamtized
1.3 Reporting Year
19 -
2. CERTIFICATION (Read and sign after completing all sections.)
I hereby certify that I have reviewed the attached documents and that, to the best of my knowledge and belief, the submitted information is true and
complete and that the amounts and values in this report are accurate based on reasonable estimates using data available to the preparers of this report.
Name and official title of owner /operator or senior management official
Signature
Date signed
3. FACILITY IDENTIFICATION
3.1
Facility or Establishment Name
Street Address
City
State
County
Zip Code
TRI Facility Identification Number
WHERE TO SEND COMPLETED FORMS:
1. EPCRA REPORTING CENTER
P.O. BOX 23779
WASHINGTON, DC 20026-3779
ATTN: TOXIC CHEMICAL RELEASE INVENTORY
2. APPROPRIATE STATE OFFICE (See instructions
in Appendix G)
3.2
This report contains information for (Check only one):
a. I J An entire facility b. [ J Part of a
facility.
3.3
Technical Contact
Telephone Number (include area code)
3.4
Public Contact
Telephone Number (include area code)
3.5
SIC Code (4 digit)
b.
d.
Latitude
Longitude
3.6
Degrees
Minutes
Seconds
Degrees
Minutes
Seconds
3.7
Dun & Bradstreet Number(s)
a.
3.8
EPA Identification Number(s) (RCRA I.D. No.)
a.
3.9
NPDES Permit Number(s)
Receiving Streams or Water Bodies (enter one name per box)
a.
3.10
3.11
Underground Injection Well Code (UIC) Identification Number(s)
a.
4. PARENT COMPANY INFORMATION
4.1
Name of Parent Company
4.2
Parent Company's Dun & Bradstreet Number
EPA Form 9350-1 (1-90) Revised - Do not use previous versions.
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D
(Important: Type or print; read instructions before completing form.}
Page 2 of 5
R(This space for your optional use.)
-- _u.,
** EPA PART II. OFF-SITE LOCATIONS TO WHICH TOXIC
CHEMICALS ARE TRANSFERRED IN WASTES
1. PUBLICLY OWNED TREATMENT WORKS (POTWs)
1.1 POTW name
Street Address
City
State
County
Zip
1.2 POTW name
Street Address
City County
State Zip
2. OTHER OFF-SITE LOCATIONS (DO NOT REPORT LOCATIONS TO WHICH WASTES ARE SENT ONLY FOR RECYCLING OR REUSE).
2.1 Off-site location name
EPA Identification Number (RCRA ID. No. )
Street Address
City
State
County
Zip
Is location under control of reporting facility or parent company?
[ ]YBS [ ]NO
2.2 Off-site location name
EPA Identification Number (RCRA ID. No. )
Street Address
City County
State Zip
Is location under control of reporting facility or parent company?
I JYes I JNo
2.3 Off-site location name
2.4 Off-site location name
EPA Identification Number (RCRA ID. No.)
EPA Identification Number (RCRA ID. No.)
Street Address
Street Address
City
County
City
County
State
Zip
State
Zip
Is location under control of reporting facility or parent company?
[ ]
No
Is location under control of reporting facility or parent company?
[ Kes [ ]
NO
2.5 Off-site location name
2.6 Off-site location name
EPA Identification Number (RCRA ID. No.)
EPA Identification Number (RCRA ID. No.)
Street Address
Street Address
City
County
City
County
State
Zip
State
Zip
Is location under control of reporting facility or parent company?
[ ]
ves
Is location under control of reporting facility or parent company?
[ ]Yes
[ I
Check if additional pages of Part II are attached. How many?
EPA Form 9350-1 (1-90) Revised - Do not use previous versions.
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a
(Important: Type or print; read instructions before completing form.)
a
Page 3 of 5
EPA
EPA FORM R
PART III. CHEMICAL-SPECIFIC INFORMATION
(This space for your optional use.)
1. CHEMICAL IDENTITY(Do not complete this section if you complete Section 2.)
1.1
[Reserved]
1.2
CAS Number (Enter only one number exactly as it appears on the 313 list. Enter NA if reporting a chemical category.)
1.3
Chemical or Chemical Category Name (Enter only one name exactly as it appears on the 313 list.)
1.4
Generic Chemical Name (Complete only if Part I, Section 1.1 is checked "Yes." Generic name must be structurally descriptive.)
MIXTURE COMPONENT IDENTITY (Do not complete this section if you complete Section 1.)
2.
Generic Chemical Name Provided by Supplier (Limit the name to a maximum of 70 characters (e.g., numbers, letters, spaces, punctuation).)
3. ACTIVITIES AND USES OF THE CHEMICAL AT THE FACILITY (Check all that apply.)
3.1
Manufacture the
chemical:
a. I J Produce
b. [ j Import
If produce or import:
f ] For on-sit0
c.l J use/processing
e.[ J As a byproduct
1 For sale/
J distribution
f.[ ]
As an impurity
3.2
Process the
chemical:
a. [ J As a reactant
d.[ J Repackaging only
[ 1 As a formulation
'•I J component
[1 As an article
J(
I component
3.3
Otherwise use
the chemical:
a. I
1 As a chemical
J processing aid
b.L J As a manufacturing aid
,[
I Ancillary or other use
4. MAXIMUM AMOUNT OF THE CHEMICAL ON-SITE AT ANY TIME DURING THE CALENDAR YEAR
5. RELEASES OF THE CHEMICAL TO THE ENVIRONMENT ON-SITE
You may report releases of less than
1,000 pounds by checking ranges under A.1.
(Do not use both A.1 and A.2)
5.1 Fugitive or non-point air emissions
5.2 Stack or point air emissions
5.3 Discharges to receiving
streams or water bodies
(Enter letter code for stream
from Part I Section 3.10 in
the box provided.)
5.3.2
S.3.3D
5.4 Underground Injection on-site
5.5 Releases to land on-slte
5.5.1 Landfill
5.5.2 Land treatment/application farming
5.5.3 Surface impoundment
5.5.4 Other disposal
5.1a
5.2a
5.3.1a
5.3.2a
5.3.3a
5.4a
5.5.1a
5.5.2a
5.5.3a
5.5.4a
A. Total Release
(pounds/year)
A.1
Reporting Ranges
0 1-499 500-999
A.2
Enter
Estimate
B. Basis of
Estimate
(enter code)
5.1b
5.2b
5.3.1b
5.3.2b
5.3.3b
5.4b
5.5.1b
5.5.2b
5.5.3b
5.5.4b
[ j (Check If additional Information is provided on Part IV-Supplemental Information.)
EPA Form 9350-1 (1-90) Revised - Do not use previous versions.
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(Important: Type or print; read instructions before completing form.)
Page 4 of 5
ft EPA
EPA FORM hi
PART III. CHEMICAL-SPECIFIC INFORMATION
(continued)
(This space for your optional use.
6. TRANSFERS OF THE CHEMICAL IN WASTE TO OFF-SITE LOCATIONS
You may report transfers
of less than 1,000 pounds by
checking ranges under A. 1. (Do
not use both A.1 and A.2)
Discharge to POTW
(enter location number ,
611 from Part II. Section 1.) ' .
Other off-site location
_ (enter location number
0.2.1 from Part II, Section2.)
A. Total Transfers
(pounds/year)
A.1
Reporting Ranges
0 1-499 500-999
A.2
Enter
Estimate
B. Basis of Estimate
(enter code)
C.Type of Treatment/
Disposal
6.2.1b
Other off-site location
(enter location number
from Part II, Section 2.)
6.2.2b
Other off-site location
(enter location number ,
623 from Part II, Section 2.) *
6.2.3b
[ ](Check if additional information Is provided on Part IV-Supplemental Information.)
7. WASTE TREATMENT METHODS AND EFFICIENCY
r I Not Applicable (NA) - Check if no on-site treatment is applied to any wastestream containing the chemical or chemical
L J category.
A. General
Wastestream
(enter code)
B. Treatment
Method
(enter code)
C. Range of
Influent
Concentration
(enter code)
D. Sequential
Treatment?
(check if
applicable)
E. Treatment
Efficiency
Estimate
F. Based on
Operating
Data?
Yes No
7.1a
7.1b
7.1c
7.1d
[ 1
7.1e
7.1f
7.2a
7.2b
7.2c
7.2d
7.2e
7.2f
7.3a
7.3b
7.3c
7.3d
7.3e
7.3f
7.4a
7.4b
7.4c
7.4d
7.4e
^•4f [ ] [ 3
7.5a
7.5b
7.5c
7.5d
7.5e
7.5f
7.6a
7.6b
7.6c
7.6d
7.6e
7.6f
7.7a
7.7b
7.7c
7.7d
7.7e
7.7f
7.8a
7.8b
7.8c
7.8d
7.8e
7.8f
7.9a
7.9b
7.9c
7.9d
[ J
7.9e
7.9f
7.10a
7.10b
7.10c
7.10d
7.10e
7.10f
[ ](Check if additional information is provided on Part IV-Supplemental Information.)
8. POLLUTION PREVENTION: OPTIONAL INFORMATION ON WASTE MINIMIZATION
(Indicate actions taken to reduce the amount of the chemical being released from the facility. See the instructions for coded
items and an explanation of what Information to Include.)
A. Type of
Modification
(enter code)
B. Quantity of the Chemical in Wastes
Prior to Treatment or Disposal
C, Index
D. Reason for Action
(enter code)
Current
reporting
year
(pounds/year)
Prior
year
(pounds/year)
Or percent change
(Check (+) or (-))
r-j +
D-
EPA Form 9350-1 11-90) Revised - Do not use previous versions.
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n
D
(Important: Type or print; read instructions before completing form.)
Page 5 of 5
SERA
PART IV.
EPA FORM R
SUPPLEMENTAL INFORMATION
Use this section if you need additional space for answers to questions in Part III.
Number the lines used sequentially from lines in prior sections (e.g., 5.3.4, 6.1.2, 7.11)
(This space for your optional use.
ADDITIONAL INFORMATION ON RELEASES OF THE CHEMICAL TO THE ENVIRONMENT ON-SITE
(Part III, Section 5.3)
You may report releases of less than
1,000 pounds by checking ranges under A.1.
(Do not use both A.1 and A.2)
A. Total Release
(pounds/year)
A.1
Reporting Ranges
0 1^*99 500-999
A.2
Enter
Estimate
B. Basis of
Estimate
(enter code
in box
provided)
C.% From
Stormwater
5.3 Discharges to
receiving streams or
water bodies 5.3.
(Enter letter code for stream
from Part I Section 3,10 In en
the box provided.) °-°-
5.3.
5.3..
5.3..
5.3
5.3 a
5.3.
5.3. c
5.3 a
5.3.
5.3.
c %
ADDITIONAL INFORMATION ON TRANSFERS OF THE CHEMICAL IN WASTE TO OFF-SITE LOCATIONS
(Part III, Section 6)
You may report transfers
of less than 1,000 pounds by checking
ranges under A.1. (Do not use
both A.1 and A.2
Discharge to POTW
c . (enter location number
*> • ' • from Part II, Section 1.)
6.2.
Other off-site location i
(enter location number •>
- from Part II, Section 2.) (___
A.Total Transfers
(pounds/year)
A.1
Reporting Ranges
0 1-499 500-999
A.2
Enter
Estimate
B. Basis of
Estimate
(enter code
in box
provided)
C. Type of Treatment/
Disposal
(enter code
in box
provided)
6.1.
6.2.
Other off-site location
6 2 (enter location number
from Part II, Section 2.)
6.2.
Other off-site location
(enter location number I ->
from Part II, Section 2.) '
6.2.
ADDITIONAL INFORMATION ON WASTE TREATMENT METHODS AND EFFICIENCY (Part III, Section 7)
A. General
Wastestream
(enter code
In box provided)
B. Treatment
Method
(enter code
In box provided)
C. Range of
Influent
Concentration
(enter code)
D. Sequential
Treatment?
(check if
applicable)
E. Treatment
Efficiency
Estimate
F. Based on
Operating
Data?
Yes
No
-'MM
][ ]
-'MM
-'MM
7.
7.
7.
7.
7.
EPA Form 9350-1 (1-90) Revised - Do not use previous versions.
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Page B-1
APPENDIX B
REPORTING CODES FOR EPA FORM R
Part III, Section 4 - Maximum Amount of the Chemical On-
Site at Any Time During the Calendar Year
Weight Range in Pounds
Range Code From...
01
02
03
04
05
06
07
08
09
10
11
0
100
1,000
10,000
100,000
1,000,000
10,000,000
50,000,000
100,000,000
500,000,000
1 billion
To....
99
999
9,999
99,999
999,999
9,999,999
49,999,999
99,999,999
499,999,999
999,999,999
more than 1 billion
Part III, Section 5 - Releases of the Chemical to the
Environment On-Site and Section 6 - Transfers of the
Chemical In Waste to Off-Site Locations
M - Estimate is based on monitoring data or measurements
for the toxic chemical as released to the environment
and/or off-site facility.
C - Estimate is based on mass balance calculations, such
as calculation of the amount of the toxic chemical in
streams entering and leaving process equipment.
E - Estimate is based on published emission factors, such
as those relating release quantity to through-put or
equipment type (e.g., air emission factors).
O - Estimate is based on other approaches such as engi-
neering calculations (e.g., estimating volatilization using
published mathematical formulas) or best engineering
judgment. This would include applying an estimated
removal efficiency to a wastestream, even if the compo-
sition of the stream before treatment was fully character-
ized by monitoring data.
Part III, Section 6 - Transfers of the Chemical in Waste to
Off-Site Locations
Type of Treatment/Disposal
M10 Storage Only
M40 Solidification/Stabilization
M50 Incineration/Thermal Treatment
M61 Wastewater Treatment (Excluding POTW)
M69 Other Treatment
M71 Underground Injection
M72 Landfill/Disposal Surface Impoundment
M73 Land Treatment
M79 Other Land Disposal
M90 Other Off-Site Management
M91 Transfer to Waste Broker
M99 Unknown
Part III, Section 7 - Waste Treatment Methods and Efficiency
General Wastestream
A = Gaseous (gases, vapors, airborne particulates)
W = Wastewater (aqueous waste)
L = Liquid waste (non-aqueous waste)
S = Solid waste (including sludges and slurries)
Part III, Section 7 - Waste Treatment Methods and
Efficiency
Air Emissions Treatment
A01 Flare
A02 Condenser
A03 Scrubber
A04 Absorber
A05 Electrostatic Precipitator
A06 Mechanical Separation
A07 Other Air Emission Treatment
Biological Treatment
B11 Biological Treatment -- Aerobic
B21 Biological Treatment - Anaerobic
B31 Biological Treatment -- Facultative
B99 Biological Treatment - Other
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Page B-2
Chemical Treatment
C01 Chemical Precipitation - Lime or Sodium
Hydroxide
C02 Chemical Precipitation -- Sutfide
C09 Chemical Precipitation -- Other
C11 Neutralization
C21 Chromium Reduction
C31 Complexed Metals Treatment (other than pH
Adjustment)
C41 Cyanide Oxidation -- Alkaline Chlorination
C42 Cyanide Oxidation -- Electrochemical
C43 Cyanide Oxidation -- Other
C44 General Oxidation (including Disinfection) --
Chlorination
C45 General Oxidation (including Disinfection) --
Ozonation
C46 General Oxidation (including Disinfection) -- Other
C99 Other Chemical Treatment
Iripineration/Thermal Treatment
F01 Liquid Injection
F11 Rotary Kiln with Liquid Injection Unit
F19 Other Rotary Kiln
F31 Two Stage
F41 Fixed Hearth
F42 Multiple Hearth
F51 Fluidized Bee*
F61 Infra-Red
F71 Fume/Vapor
F81 Pyrolytic Destructor
F82 Wet Air Oxidation
F83 Thermal Drying/Dewatering
F99 Other Incineration/Thermal Treatment
Physical Treatment
P01 Equalization
P09 Other Blending
P11 Settling/Clarification
P12 Filtration
P13 Sludge Dewatering (non-thermal)
P14 Air Flotation
P15 Oil Skimming
P16 Emulsion Breaking ~ Thermal
P17 Emulsion Breaking -- Chemical
P18 Emulsion Breaking - Other
P19 Other Liquid Phase Separation
P21 Adsorption -- Carbon
P22 Adsorption -- Ion Exchange (other than for
recovery/reuse)
P23 Adsorption -- Resin
P29 Adsorption - Other
P31 Reverse Osmosis (other than for recovery/reuse)
P41 Stripping -- Air
P42 Stripping -- Steam
P49 Stripping -- Other
P51 Acid Leaching (other than for recovery/reuse)
P61 Solvent Extraction (other than recovery/reuse)
P99 Other Physical Treatment
Recovery/Reuse
R01 Reuse as Fuel - Industrial Kiln
R02 Reuse as Fuel -- Industrial Furnace
R03 Reuse as Fuel -- Boiler
R04 Reuse as Fuel - Fuel Blending
R09 Reuse as Fuel -- Other
R11 Solvents/Organics Recovery -- Batch Still
Distillation
R12 Solvents/Organics Recovery -- Thin-Film
Evaporation
R13 Solvents/Organics Recovery -- Fractionation
R14 Solvents/Organics Recovery -- Solvent Extraction
R19 Solvents/Organics Recovery -- Other
R21 Metals Recovery -- Electrolytic
R22 Metals Recovery -- Ion Exchange
R23 Metals Recovery - Acid Leaching
R24 Metals Recovery ~ Reverse Osmosis
R26 Metals Recovery -- Solvent Extraction
R29 Metals Recovery - Other
R99 Other Reuse or Recovery
Solidification/Stabilization
G01 Cement Processes (including Silicates)
G09 Other Pozzolonic Processes (including Silicates)
G11 Asphaltic Processes
G21 Thermoplastic Techniques
G99 Other Solidification Processes
Part III, Section 7 - Waste Treatment Methods and
Efficiency
Range of Influent Concentration
1 = Greater than 1 percent
2 = 100 parts per million (0.01 percent) to 1 percent
(10,000 parts per million)
3 = 1 part per million to 100 parts per million
4=1 part per billion to 1 part per million
5 = Less than 1 part per billion
[Note: Parts per million (ppm) is milligrams/kilogram (mass/
mass) for solids and liquids; cubic centimeters/cubic meter
(volume/volume) for gases; milligrams/liter for solutions or
dispersions of the chemical in water; and milligrams of chemi-
cal/kilogram of airforparticulates in air. If you have paniculate
concentrations (at standard temperature and pressure) as
grains/cubic foot of air, multiply by 1766.6 to convert to parts
per million; if in milligrams/cubic meters, multiply by 0.773 to
obtain parts per million. Factors are for standard conditions of
0°C (32°F) and 760 mmHg atmospheric pressure.)
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Page B-3
Part III, Section 8 - Optional Information on Waste
Minimization
Type of Modification
M1 - Recycling/Reuse On-Site
M2 - Recycling/Reuse Off-Site
M3 - Equipment/Technology Modifications
M4 - Process Procedure Modifications
M5 - Reformulation/Redesign of Product
M6 - Substitution of Raw Materials
M7 - Improved Housekeeping, Training, Inventory Control
M8 - Other Waste Minimization Technique
Reason for Action
R1 - Regulatory Requirement for the Waste
R2 - Reduction of Treatment/Disposal Costs
R3 - Other Process Cost Reduction
R4 - Self-Initiated Review
R5 - Other (e.g., discontinuation of product, occupational
safety, etc.)
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APPENDIX C
EXAMPLE OF HOW A HYPOTHETICAL FACILITY PREPARED
SECTION 313 REPORTING FORM R
The following is a hypothetical example of how one manufac-
turer might complete the toxic chemical release inventory
reporting Form R. The facility information is purely fictitious
and does not represent any known manufacturing facility. The
example begins with descriptions of the facility (a lead-acid
storage battery manufacturer) and of the production process
at the facility. The completion of each section of Form R is
explained and a copy of Form R, as it would be completed by
this facility, follows.
pounds from the remotely located lead smelter must be
reported separately, if manufactured, processed, or used in
amounts that exceed the thresholds.
Facility Description
The company manufactures lead-acid batteries at a plant in
New Mexico. The company also operates a lead smelter that
produces lead ingots at another location in New Mexico and
ships them to the battery plant. Lead scrap from the battery
plant is returned to the smelter for recovery and reuse.
The SIC code of the battery plant is 3691 (storage batteries);
the SIC code for the smelter is 3341 (secondary smelting and
refining of non-ferrous metals). A lead oxide production plant
located adjacent to the battery plant, on the same property,
also falls under SIC code 3691.
The lead oxide plant and the battery plant are considered, for
the purposes of section 313 reporting requirements, to be a
single facility. The facility is required to submit a completed
Form R for each reported chemical or chemical category.
Because activities at the facility involve both metallic lead and
lead compounds (e.g., lead oxide), you may file a single
reporting form for metallic lead (CAS number 7439-92-1) and
a single form for lead compounds manufactured, processed,
or used at your facility. Alternatively, and preferably, you may
file one reporting form for all lead compounds (a single listed
category under section 313) present at your facility, including
metallic lead. In this example, metallic lead and all lead
compounds are reported on a single reporting form.
Lead-acid batteries are produced using lead, sulfuric acid,
additives such as antimony, and various other raw materials.
Your facility's battery production capacity is 5,000 batteries
per day, and the facility normally operates 24 hours per day,
300 days per year.
If sulfuric acid was manufactured, processed, or otherwise
used at the battery plant in amounts that exceed the applicable
thresholds, you would be required to report releases of sulfuric
acid separately. Similarly, releases of lead and lead corn-
Process Description
A lead-acid battery consists of electrolytic cells, each contain-
ing an anode of porous lead, a cathode of primarily lead
peroxide (PbO2), and electrodes of metallic lead. The anode
and cathode are separated by non-conducting material (e.g.,
plastic) and surrounded by an electrolytic (conductive) solu-
tion of sulfuric acid and water.
The first steps in the battery manufacturing process are grid
casting and lead oxide (PbO) production. Lead ingots are
melted and reformed into the grids which are trimmed. Lead
fumes from the lead melting and grid casting process are
exhausted to the atmosphere without emission controls. No
wastewater is produced.
The cast grids are made into battery anode and cathode plates
by the application of a lead oxide paste of 70 percent lead
oxide (PbO) and 30 percent metallic lead. Lead ingots are
tumbled in a ball mill with air producing lead oxide and fine lead
dust (referred to as "leady oxide"). Leady oxide particulates
are entrained in the mill exhaust air, which is treated sequen-
tially by a cyclone separator and fabric filter. The used fabric
filter bags are shipped to a RCRA-permitted commercially
operated hazardous waste landfill located in Colorado. The
leady oxide production process does not produce wastewater.
The leady oxide is mixed with metallic lead, water, sulfuric
acid, and additives in a paste mixer to form lead oxide paste.
Lead and lead oxide dust are emitted from the mixer during
charging of the dry materials and during wet mixing. The mixer
is vented to a fabric filter during charging and to a wet scrubber
during wet mixing. The fabric filter and wet scrubber both vent
to the same stack. Wastewater produced from the wet scrub-
ber blowdown is treated on-site. Solids collected in a scrubber
sump are returned to the off-site smelter for recovery and
reuse. Solids collected in an evaporation pond are not
recovered. Mixing equipment washdown water is treated in a
multi-stage settler and entirely reused in the paste mixing
process. Sludge collected in the settler is recycled.
Small amounts of particulates are released to the atmosphere
during paste application. These emissions are not ducted to
a stack or controlled.
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The plates are dried and cured under controlled temperature
and humidity conditions producing no wastewater or particu-
late emissions. Cured plates are sent to a three-process
operation that involves manual separation of the plates, stack-
ing them with non-conducting separators, and the welding on
of metallic lead battery leads (pronounced "leeds") and lead
terminals. The plates are then assembled into battery cases.
Particulate emissions of battery paste result from the manual
separation, stacking, and handling of the battery plates. Lead
fumes are emitted from the burning process. Exhaust gases
from the three-process operation are treated by a fabric filter,
and the collected particulates are returned to the smelter for
recovery and reuse. The three-process operation produces
no lead-containing wastewater, since only non-contact cooling
water is used in the burning process. [Note: Even though lead
is contained in the cooling water used by the facility (in the form
of dissolved and suspended solids), you are not required to
report releases of lead discharged with the cooling water
because the lead is naturally occurring in the intake water and
not added during the battery production process.]
Su If uric acid is added to the assembled batteries and the
plates are formed within the batteries by applying electric
voltage. The formation process oxidizes the lead oxide in the
positive plates to lead peroxide and reduces the lead oxide in
the negative plates to metallic lead. The charging process
produces an acid mist that contains small amounts of lead
participate, which is released without emission controls.
Acid used in the formation process is removed from the
batteries and reused. The batteries are washed, fresh acid is
added, and the batteries are tested, re-washed, and inspected
before being shipped to an on-site warehouse. The interme-
diate and final washes generate process wastewater, as do
the battery repair and housekeeping (floor washing) opera-
tions. This wastewater is pretreated on-site and then piped to
the local publicly owned treatment works (POTW).
Determining Reporting Requirements Under
Section 313
To determine whetheryou are requiredto report under section
313, you must ascertain whether the total quantity of any listed
chemical or chemical compound manufactured, processed, or
used at your facility over the course of the calendar year
exceeds any applicable threshold. For the facility described
above, determination of reporting requirement would proceed
as follows. [Note: In determining eligibility, you will generate
information you need to complete several portions of the
form.]
Both lead (CAS number 7439-92-1) and lead compounds (a
chemical category) are listed substances subject to reporting
under section 313. You have decided that if any of the
applicable thresholds are exceeded, you will report releases of
both lead and lead compounds on the same reporting form
under the listed chemical category "lead compounds." "Lead
compounds" should be entered in Part III, Section 1.3, of the
form. The CAS number for lead should not be entered,
because that would imply that you are reporting only for lead.
You should enter not applicable, NA, in the CAS number
space.
According to the process description, the following activities
take place at your facility involving lead and lead compounds:
Q Your facility manufactures (produces) lead oxide (PbO)
for on-site use/processing, which occurs in the production
of lead oxide from metallic lead.
Q Your facility processes metallic lead (Pb) as a reactant
during lead oxide production.
Q Your facility also processes metallic lead as an article
component. This activity occurs at several points in the
process, including during the addition of lead to the
battery paste and the welding of metallic lead terminals
and leads in the three-process operation.
Q Your facility processes lead oxide as a reactant in the
formation process, where the lead oxide in the positive
battery plates is oxidized to lead peroxide.
Q Yourfacility manufactures (produces^ lead peroxide. This
activity also occurs in the formation process, where lead
oxide is oxidized to lead peroxide.
You must indicate all of the activities involving lead and lead
compounds on Part III, Section 3, of the reporting form. (The
attached completed form shows how information for this
facility has been entered.)
Determining Reporting Eligibility. The manufacturing thresh-
old quantity for the 1989 reporting year is 25,000 pounds; the
threshold for processing is also 25,000 pounds. Yourfacility
engages in both manufacturing and process activities in its
production of 1,500,000 batteries per year. Each battery con-
tains 25 pounds of lead, half of which is in the form of metallic
lead (anode) and half in the form of lead peroxide (cathode).
The total amount of lead compounds manufactured during the
reporting year is the 18,750,000 pounds of lead peroxide,
which exceeds the threshold for manufacturing. Similarly, the
amounts of lead processed as an article component (18,750,000
pounds) and of lead compounds processed (18,750,000 pounds)
each exceed the threshold for processing. [Note: These
amounts are not combined before being compared to the
processing threshold, because both lead and lead compounds
are separately listed chemicals.] For sequential processes,
use the amount of the final process material to determine
whether the threshold is exceeded.
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Page C-3
Since your facility employs more than 10 people and falls
within SIC codes 20-39, yourfacility must report under section
313. [Note: Once any of the applicable thresholds for lead
compounds are exceeded, you are required to identify all
manufacturing, processing, and use activities. You must
report all releases of all lead compounds present at your
facility, regardless of the activity from which they originate
unless there is a specifically exempted use, such as the use of
an article or use of intake water naturally containing lead.]
Calculating the Maximum Quantity of Lead and Lead
Compounds. To calculate the maximum amount of lead and
lead compounds present at your facility at any one time, you
must consider aJl types of metallic lead and al types of lead
compounds present at your facility, including stockpiled raw
materials, lead and lead oxide present in process equipment,
the metallic lead and lead peroxide contained in finished
batteries stored on-site, and stockpiled lead scrap. Since the
reporting form is being prepared for lead compounds, the
maximum amount reported is the total of the inventories of
these materials. The maximum amount of metallic lead
(2,305,000 pounds), lead oxide (205,000 pounds), and lead
peroxide (625,000 pounds) present at yourfacility is 3,135,000
pounds, which is between 1,000,000 and 9,999,999 pounds.
You would therefore report range 06 on Part III, Section 4, of
the reporting form.
Calculation of Releases of Lead
Releases to Air. In April 1989, you conducted stack tests to
determine air releases from the battery facility. The release
data provided baseline data for a proposed 1990 air emission
reduction program. The tests were performed using EPA
Reference Method 12, which determines exhaust concentra-
tions as total elemental lead, and EPA Reference Methods 1 -
4, which determine total exhaust volumes. Releases from all
stacks and vents at the facility were measured, including those
from the following release points:
Q Grid casting furnace and casting machine;
Q Lead oxide mill fabric filter exhaust;
Q Paste mixer wet scrubber exhaust;
Q Paste mixer fabric filter exhaust; and
Q Three process fabric filter exhaust.
Non-point (fugitive) air releases of lead, such as from the
battery formation, grid paste application, and fabric filter dust
handling areas were not measured as part of the stack testing
program but have been estimated by the facility's engineering
department to be less than 100 pounds per year. Measure-
ments of the inlet lead concentrations to the wet scrubber or
fabric filters were not performed. The process conditions
(e.g., temperature, exhaust rate) of the grid casting furnace
were changed significantly in June 1989 in response to the
stack test results. Current lead releases are estimated by the
engineering department to be 75 percent of those measured
during the stack test.
The total releases to air from the facility must be entered in
Part III, Section 5 of Form R in pounds per year. The stack test
results provide the concentration of metallic lead in each
exhaust stream in grains per cubic foot and the exhaust rate in
cubic feet per minute. Using the appropriate conversion
factors, knowing the scrubber efficiency (from the manufac-
turer's data), and assuming yourfacility operates 24 hours per
day, 300 days per year, you can calculate the total lead
releases from the stack test data. Because point (stack)
releases of lead are 2,400 pounds per year, which is greater
than the 999 pounds per year ranges in column A.1, you must
enter the actual calculated amount in column A.2 of Section
5.2.
Non-point (fugitive) air releases are 100 pounds per year
(which is less than 999 pounds per year), so you may either
enter the actual calculated amount in column A.2, or enter the
appropriate range (1 -499 pounds per year) in column A. 1. The
basis for the estimate of fugitive emissions, entered in column
B of Section 5, is engineering calculations (code O). The basis
for the estimate of stack emissions, entered in column B of
Section 5, is monitoring data (code M). Although engineering
calculations were used to estimate releases from the grid
casting process, actual emissions test data were used to
calculate more than 50 percent of the total stack emissions, so
code M is appropriate.
Releases to Water. The only release of lead to a receiving
stream or water body comes from stormwater. Lead ingots
shipped from the off-site smelter are stored on a concrete pad
in an open area at your facility. Lead dust is entrained in the
stormwater runoff from the ingot storage area. You have
monitoring data concerning the concentration of lead in storm-
water releases from the facility property. Therefore, using
precipitation volumes and run-off coefficients appropriate to
the site, you are able to estimate that the releases of lead
compounds to the nearby stream total 6.2 pounds per year.
Since the total quantity of lead released is less than 999
pounds per year, you may enter the actual amount calculated
in column A.2 of Section 5.3.1 a, or mark the applicable range
(1-499 pounds per year) in column A.1, as is shown in the
sample. Your facility has no process discharges to surface
waters except stormwater. You must therefore report in Part
III, Section 5.3.1C, that 100 percent of the lead released from
yourfacility to surface water is from stormwater. The basis for
the estimate of stormwater emissions, entered in column B of
Section 5.3.1, is monitoring data (code M). The letter for the
receiving stream or water body you designated in Part I,
Section 3.10 must be entered to the box.
Wastewaterfrom the grid paste application process is entirely
recycled within the process after treatment in a multi-stage
settler. Wastewaterfrom the grid paste mixer wet scrubber is
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Page C-4
piped to an on-site surface impoundment and evaporated
after treatment by a single-stage separator (settling tank) and
pH adjustment for chemical precipitation. Wastewater from
other process areas is treated in the wastewater pretreatment
system and piped to the POTW. The following sections on
Releases to Land and Discharge to POTW illustrate report-
ing of these wastes.
Releases to Underground Injection. Your facility performs
no underground injection and therefore has no Underground
Injection Well Code identification number. Not applicable, NA,
should be entered in Part I, Section 3.11 and in column A.2 of
Part III. Section 5.4.
Releases to Land. Wastewater from the grid paste mixing
scrubber is discharged to a surface impoundment and evapo-
rated. Although your facility historically has removed lead
sludge from the surface impoundment each year, this has not
been done for the past two years, as process changes have
caused the sludge to accumulate more slowly than in previous
years. Therefore, the impoundment must be considered an
on-site land disposal unit, and releases to the impoundment
must be reported in Part III, Section 5.5.1, of the form, and not
in Part III, Section 5.3.
The facility wastewater monitoring program does not deter-
mine the concentration of lead and lead compounds in the
scrubber discharge water, and releases to the surface im-
poundment (releases to land) must be calculated using mate-
rial balance information. These releases to land are deter-
mined from the amount of lead removed by the scrubber
(using the efficiency data provided by the scrubber manufac-
turer). The volume of the scrubber blowdown is found to be
1,500 pounds per year. Enter the estimate of the amount of
lead and lead compounds released to surface impoundments
in the space provided in Part III, Section 5.5.3 of the form.
Because releases of lead to the surface impoundment are
greater than 999 pounds per year, you must enter the actual
calculated amount in column A.2 of Section 5.5.1. The basis
for the estimate of releases to the surface impoundment,
entered in column B of Section 5, is mass balance calculations
(code C).
Calculation of Lead Transfers to Off-Site Locations
Discharge to POTW. Wastewater from battery wash and
battery repair operations at the plant is discharged to the local
POTW. The discharge monitoring data collected by the plant
provide the concentration of metallic lead in each wastewater
stream discharged to the POTW in milligrams/liter and the flow
rate in liters per minute. Your facility also monitors the inlet
concentration to the on-site wastewater treatment system to
determine the treatment system efficiency. You are required
to report releases or release ranges in pounds per year.
Assuming your facility operates 24 hours a day, 300 days a
year, using appropriate conversion factors and the monitoring
data (i.e., lead concentrations and wastewater volumes), the
release is calculated to be 11 pounds per year. The total
releases to the POTW from the facility must be entered in Part
III, Section 6.1, of the form. Because the releases of lead are
less than 999 pounds per year, you may mark the appropriate
range in column A.1 or enter the actual calculated amount in
column A.2 of Section 6.1.1. You must report information
concerning the multi-stage settler, single-stage settler, and pH
adjustment (chemical precipitation) on Part III, Section 7, of
the form, as these systems constitute wastewater treatment
systems. You must also enter the name of the POTW in Part
II, Section 1.1.
Transfers to Other Off-Site Locations. Your facility returns
the lead particulate collected by the fabric filters to the off-site
smelterf or recovery and reuse. You are not required to report
releases of listed substances to off-site recovery facilities;
therefore, no information concerning the off-site smelter should
be entered in Part III, Section 6 of Form R.
Your facility discharges used fabric filter bags contaminated
with lead particulate to a commercial RCRA landfill located in
Colorado. The RCRA I.D. number for the off-site facility is
COD554698764. The plant engineering department esti-
mates that the annual shipment of fabric filter bags contain
less than 500 pounds of lead. You may, therefore, report the
release as a range in column A.1 of Section 6.2.1. The basis
forthe estimate of solid waste emissions, entered in column B
of Section 6.2.1, is engineering calculations (code O), and the
location and RCRA I.D. number of the commercial landfill is
entered in Part II, Section 2.1, of the reporting form.
Estimation of Treatment System Efficiencies and
Influent Concentrations
Information on the types of treatment systems and their
treatment efficiencies is required to be entered in Part III,
Section 7, of the reporting form. For air emission treatment
systems, use code A; for wastewater treatment systems use,
code W; and for solid waste treatment systems, use code S in
column 1 of Section 7. Appendix B of the instructions for Form
R provides treatment codes to be entered in column B of
Section 7.
Air Treatment Systems. Fabric filters and cyclone collectors
are considered to be mechanical separation systems; the
treatment code for these systems is A06. The treatment code
for wet scrubbers is A03. Information on each air treatment
system must be entered individually in Section 7. The cyclone
collector and fabric filter on the lead oxide mill exhaust are
sequential treatment systems, because they treat the same
wastestream in sequence. Therefore, sequential treatment
must be indicated for both systems in column D of Section 7.
You are required to indicate the influent concentration only to
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Page C-5
the first step of the sequential treatment system (the cyclone
collector) and must report the overall treatment efficiency of
the system on the line for the last treatment step (the fabric
filter). Note that the wet scrubber and fabric filter on the grid
paste mixer exhaust are not sequential treatment steps,
because each treats a different wastestream generated at
different times during the same process.
In Section 7, columns C and E you must indicate the range of
influent concentration and treatment efficiency, respectively,
for each treatment system listed. The facility must estimate
the efficiency and influent concentration of each air emission
treatment system, as the stack test program did not determine
influent concentrations. The facility has manufacturers' data
on the efficiency of each treatment system and should use this
information along with effluent concentration data to estimate
the influent concentrations. The efficiency estimates for air
treatment systems are not based on operating data; this must
be indicated in column F of Section 7.
Wastewater Treatment Systems. The POTW discharge
monitoring system provides actual operating data concerning
the removal efficiencies and influent and effluent concentra-
tions of all wastewater treatment systems at your facility,
except the single-stage settler. The pH adjustment (chemical
precipitation) and filtration steps used in the wastewater pre-
treatment system are considered to be sequential treatment
steps, as are the single-stage settler, pH adjustment, and
evaporation (the surface impoundment) used to treat the grid
paste application discharge. The treatment code for chemical
precipitation (lime or sodium hydroxide) is C01, and the code
for filtration is P12.
The code for treatment of grid paste application washwater in
the multi-stage settler is P11 (settling/clarification), and the
code for process reuse of the wastewater is R99 (other
recovery/reuse). The code for evaporation of wastewater in
the surface impoundment is P99 (other physical treatment).
The overall treatment efficiencies f orthe grid paste application
discharge and scrubber discharge are both 100 percent,
because the wastewater streams are completely eliminated
through evaporation and reuse respectively. Note that you do
not report the precipitation of lead in the surface impoundment
as "metals recovery," because you no longer remove the lead
sludge from the impoundment for reuse. This will be consid-
ered disposal to land for the 1,500 pounds of lead that were
sent to the surface impoundment.
Information on Waste Minimization. The facility formerly
shipped the lead-containing sludge from the multi-stage set-
tler used to treat the grid paste application wastewater to an
off-site disposal facility. In 1989, however, process modifica-
tions allowed the sludge to be returned to the off-site smelter
operated by the company for recovery and reuse, resulting in
significant cost-savings. The most significant saving is in the
cost of treating the sludge; the value of the recovered lead
represents a less significant saving. The amount of lead
formerly disposed of at the off-site facility is approximately 100
pounds per year; the same amount is now recovered by the
smelter. The code forthe type of modification is M2 (recovery
off-site) and that for the reason for action is R2 (reduction in
treatment/disposal cost). The index value of 1.0 is based on
the fact that production of batteries was approximately the
same in both years.
Completion of the Section 313 Reporting Form
As shown in the sample form that follows, the facility informa-
tion is entered in Part I of the reporting form. The reporting
year, Dun and Bradstreet Number, EPA Identification Number
and other required information have been entered. The
sample report contains no trade secret information and has
been completed for an entire covered facility, as previously
described. All non-applicable information on the form has
been marked NA. The vice president of the facility has been
briefed on the information contained in the report and has
signed the certification (Part I, Section 2). If separate reports
were being prepared for lead and lead compounds, the vice
president would have signed each reporting form. The com-
pleted form is now ready to be submitted to EPA and the
appropriate State agency. Copies are made for retention in
the facility's files along with all information concerning the
information sources and calculations used.
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n
(Important: Type or print; read instructions before completing form.)
Form Approved OMB No.:.
Approval Expires:.
2070-0093
01/91
Page 1 of 5
U.S. Environmental Protection Agency
TOXIC CHEMICAL RELEASE INVENTORY REPORTING FORM
Section 313 of the Emergency Planning and Community Right-to-Know Act of 1986,
also known as Title III of the Superfund Amendments and Reauthorlzation Act
EPA FORM
PART I.
FACILITY
IDENTIFICATION
INFORMATION
(This space for your optional use.)
Public reporting burden for this
collection of information is estimated to
vary from 30 to 34 hours per response,
with an average of 32 hours per
response, including time for reviewing
Instructions, searching existing data
sources, gathering and maintaining the
data needed, and completing and
reviewing the collection of information.
Send comments regarding this burden
estimate or any other aspect of this
collection of information, including
suggestions for reducing, this burden, to
Chief, Information Policy Branch
(PM-223), US EPA, 401 M St., SW.
Washington, D.C. 20460 Attn: TRI
Burden and to the Office of Information
and Regulatory Affairs, Office of
Management and Budget Paperwork
Reduction Project (2070-0093),
Washington, O.C. 20603.
1.
1.1 Are you claiming the chemical identity on page 3 trade secret?
I I Yes (Answer question 1.2: I
Attach substantiation forms.)
No (Do not answer 1.2;
Go to question 1.3.)
1.2 If "Yes" In 1.1, is this copy:
[ J Sanitized [ j Unsamtlzed
1.3 Reporting Year
19 89
2. CERTIFICATION (Read and sign after completing all sections.)
hereby certify that I have reviewed the attached documents and that, to the best of my knowledge and belief, the submitted information Is true and
complete and that the amounts and values in this report are accurate based on reasonable estimates using data available to the preparers of this report.
Name and official title of owner/operator or senior management official
Mr. Stanley L. Pirx. III. Vice President. Battery Products Division
Signature
Date signed
February 12, 1990
3. FACILITY IDENTIFICATION
3.1
Facility or Establishment Name
Pirx-Lewis, Inc., Battery Products Div.
Street Address
10545 Cerillos Road
City
Albuquerque
State
NM
County
Bernadillo
Zip Cod*
81103-0420
TRI Facility Identification Number
81103 PRXLW CERIL
WHERE TO SEND COMPLETED FORMS:
1. EPCRA REPORTING CENTER
P.O. BOX 23779
WASHINGTON, DC 20026-3779
ATTN: TOXIC CHEMICAL RELEASE INVENTORY
2. APPROPRIATE STATE OFFICE (See instructions
in Appendix G)
3.2
This report contains information for (Check only one):
.[x]
An entire facility
b.
| Part of a facility.
3.3
Technical Contact
Mr. Roberto Garcia
Telephone Number (Include area code)
(505) 752-5360
3.4
Public Contact
Ms. Sandy A. Range
Telephone Number (include area code)
(505) 752-5363
3.5
SIC Code (4 digit)
. 3691
b.
NA
d.
Latitude
Longitude
3.6
Degrees
35
Minutes
10
Seconds
00
Degrees
106
Minutes
30
Seconds
00
3.7
Dun & Bradstreet Number(s)
a. 91-976-2270
b.
NA
3.8
EPA Identification Number(t) (RCRA I.D. No.)
a. NMD919762270
NA
3.9
NPDES Permit Number(s)
a. NA
Receiving Streams or Water Bodies (enter one name per box)
a. Tileros Arroyo
b. NA
3.10
3.11
Underground Injection Well Code (UIC) Identification Number (s)
a. NA
4. PARENT COMPANY INFORMATION
4.1
Name of Parent Company
Cibola Motor Works
4.2
Parent Company' a Dun & Bradstreet Number
91-783-4567
EPA Form 9350-1 (1-90) Revised - Do not use previous versions.
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Q P.O.C-7
(Important: Type or print; read instructions before completing form.)
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Page 2 of 5
« EPA
R(This space for your optional use.)
PART II. OFF-SITE LOCATIONS TO WHICH TOXIC
CHEMICALS ARE TRANSFERRED IN WASTES
1. PUBLICLY OWNED TREATMENT WORKS (POTWs)
1 . 1 POTW name
City of Albuquerque Treatment Works
Street Address
50100 U.S. Route 66
City
Albuquerque
State
NM
2. OTHER OFF-SITE
County
Bernadillo
zip
87105-9987
1,2 POTW name
NA
Street Address
City County
State Zip
LOCATIONS (DO NOT REPORT LOCATIONS TO WHICH WASTES ARE SENT ONLY FOR RECYCLING OR REUSE).
2.1 Off-site location name
Colorado Waste Disposal, Inc.
EPA Identification Number (RCRA ID. No.)
COD554698764
Street Address
10500 County
City
Golden
State
CO
Route 76
County
Jefferson
Zip
80305-1311
1$ location under control of reporting facility or parent company?
[ ]*» [y]no
2.2 Off-site location name
EPA Identification Number (RCRA ID. No. )
NA
Street Address
City County
State Zip
Is location under control of reporting facility or parent company?
[ ]Yes [ ]NO
2.3 Off-site location name
2.4 Off-site location name
EPA Identification Number (RCRA ID. No.)
EPA Identification Number (RCRA ID. No.)
Street Address
Street Address
City
County
City
County
State
Zip
State
Zip
Is location under control of reporting facility or parent company?
[ ]
No
Is location under control of reporting facility or parent company?
[ Jves [ ]
No
2.S Off-site location name
2.6 Off-site location name
EPA Identification Number (RCRA ID. No.)
EPA Identification Number (RCRA ID. No.)
Street Address
Street Address
City
County
City
County
State
Zip
State
Zip
Is location under control of reporting facility or parent company?
Is location under control of reporting facility or parent company?
I Check if additional pages of Part II are attached. How many?
EPA Form 9350-1 (1-90) Revised - Do not use previous versions.
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(Important: Type or print; read instructions before completing form.)
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Page 3 of 5
R
PART in. CHEMICAL-SPECIFIC INFORMATION
(This space for your optional use.)
1. CHEMICAL IDENTITY(Do not complete this section if you complete Section 2.)
1.1
[Reserved]
1.2
CAS Number (Enter only one number exactly as it appears on the 313 list. Enter NA if reporting a chemical category. )
NA
1.3
Chemical or Chemical Category Name (Enter only one name exactly as it appears on the 313 list. )
Lead Compounds
1.4
Generic Chemical Name (Complete only if Part I, Section 1. 1 is checked "Yes." Generic name must be structurally descriptive.)
MIXTURE COMPONENT IDENTITY (Do not complete this section if you complete Section 1 .)
2.
Generic Chemical Name Provided by Supplier (Limit the name to a maximum of 70 characters (e.g., numbers, letters, spaces, punctuation).)
3. ACTIVITIES AND USES OF THE CHEMICAL AT THE FACILITY (Check all that apply.)
If produce or import:
f vl For on-slte
°'l J use/processing
e.[ J As a byproduct
3.1
Manufacture the
chemical:
r i
a. I Aj Produce
b.[ J Import
. 1 For sale/
d' J distribution
f. ] As an impur ty
3.2
Process the
chemical:
r •• „„...
a. L XJ As a reactant
d.l J Repackaging only
f 1 As a formulation
.[ J component
xl As an article
- AJ
component
3.3
Otherwise use
.....
tne cnemtcar.
f 1 As a chemical
a. 1 J processing aid
. f 1 . „ . 1
b.L J As a manufacturing aid c. J Ancillary or other
use
4. MAXIMUM AMOUNT OF THE CHEMICAL ON-SITE AT ANY TIME DURING THE CALENDAR YEAR
0 | 6| (enter code)
5. RELEASES OF THE CHEMICAL TO THE ENVIRONMENT ON-SITE
You may report releases of less than
1 ,000 pounds by checking ranges under A.1 .
(Do not use both A.1 and A. 2)
5.1 Fugitive or non-point air emissions
5.2 Stack or point air emissions
5.3 Discharges to receiving U I
streams or water bodies 5'3-' ' — >
(Enter letter code for stream I I
from Part I Section 3. 10 In 5.3.2 _
the box provided. )
5. 3. 3 LI
5.4 Underground Injection on-slte
5.5 Releases to land on-slte
5.5.1 Landfill
5.5.2 Land treatment/application farming
5.5.3 Surface Impoundment
5.5.4 Other disposal
S.1a
5.2a
5.3.1a
S.3.2a
5.3.3a
5.4a
5.5.1a
5.5.2a
5.5.3a
5.5.4a
A. Total Release
(pounds/year)
A.I
Reporting Ranges
1-499 500-999
[ 3 [x] [ ]
A. 2
Enter
Estimate
2400
NA
NA
NA
NA
1500
NA
B. Basis of
Estimate
(enter code)
5.1b
5.2b
5.3.1b
5.3.2b
5.3.3b
.5.1b I I
5.5.2b
5.5.3b
.5.4b | |
[ j
(Check If additional information is provided on Part IV-Supplememal Information. )
EPA Form 9350-1 (1-90) Revised - Do not use previous versions.
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Qj P«g«C-»
(Important: Type or print; read instructions before completing form.)
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Page 4 of 5
4>EPA EPA FORM R
PART III. CHEMICAL-SPECIFIC INFORMATION
(continued)
(This space for your optional use.)
6. TRANSFERS OF THE CHEMICAL IN WASTE TO OFF-SITE LOCATIONS
You may report transfers
of less than 1,000 pounds by
checking ranges under A. 1. (Do
not use both A.1 and A.2)
Discharge to POTW
(enter location number
6.1.1 'rom Part II, Section 1 )
6.2.1 In
Other off-site location
enter location number
•om Part II, Section 2.)
A. Total Transfers
(pounds/year)
A.1
Reporting Ranges
0 1 -499 500-999
[ ] [x] [ ]
[ ] [*] [ ]
A,2
Enter
Estimate
B. Basis of Estimate
(enter code)
C.Type of Treatment/
Disposal
enter code)
Other off-site location
_ „ _ (enter location number
6.2.2 from Part II, Section 2.)
NA
6.2.2b
Other off-site location
(enter location number
6.2.3 from Part II, Section 2.)
] [ ] [ 3
6.2.3b
[ ](Check If additional Information Is provided on Part IV-Supplemental Information.)
7. WASTE TREATMENT METHODS AND EFFICIENCY
r 1 Not Applicable (NA) - Check If no on-site treatment is applied to any wastestream containing the chemical or chemical
L J category.
A. General
Wastestream
(enter code)
B. Treatment
Method
(enter code)
7,lOa |w| 7.lOb |R | 9|9 |
C. Range of
Influent
Concentration
(enter code)
D. Sequential
Treatment?
(check if
applicable)
E. Treatment
Efficiency
Estimate
F. Based on
Operating
Data?
Yes No
7.1a
7.1c
7.1d [X ]
7.1. NA
7.1f
7.2a
7.2c
7.2d
7.2e 99
[X]
7.3a
7.3c
7.3d
7.3e 98
[X]
7.4a
7.4c
7.4d
[ I
7.4e 90
7-4f E ] [x]
7.5a
7.5c
7.5d
7.5e
98
7 5f [ ] [ X ]
7.6a
7.6c
7.6d
[X]
7.6e
NA
7.6f
7.7a
7.7c
7.7d
[x]
7.7e
7.7f
7.8a
7.8c
7.8d
[x]
7.8e 100
7 8f [ X ] [ ]
7.9c [7
7.9d
[x]
7.9e NA
7.9f
7.10C
7.10d
[x]
[ X ](Check if additional Information Is provided on Part IV-Supplemental Information.)
8. POLLUTION PREVENTION: OPTIONAL INFORMATION ON WASTE MINIMIZATION
(Indicate actions taken to reduce the amount of the chemical being released from the facility. See the Instructions for coded
items and an explanation of what Information to Include.)
A. Type of
Modification
(enter code)
B. Quantity of the Chemical in Wastes
Prior to Treatment or Disposal
C. Index
D. Reason for Action
(enter code)
Current Prior I
reporting year I
year (pounds/year) | rn
(pounds/year) i pi
121,700 121,800 u
Or percent change
(Check (+) or (-))
EPA Form 9350-1 (1-90) Revised - Do not use previous versions.
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(Important: Type or print; read instructions before completing form.)
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Page 5 of 5
A EPA
EPA FORM R
PART IV. SUPPLEMENTAL INFORMATION
Use this section if you need additional space for answers to questions in Part III.
Number the lines used sequentially from lines in prior sections (e.g., 5.3.4, 6.1.2. 7.11)
(This space for your optional use.)
ADDITIONAL INFORMATION ON RELEASES OF THE CHEMICAL TO THE ENVIRONMENT ON-SITE
(Part III, Section 5.3)
You may report releases of less than
1,000 pounds by checking ranges under A.1.
(Do not use both A.1 and A.2)
A. Total Release
(pounds/year)
A.1
Reporting Ranges
0 1-499 500-999
A.2
Enter
Estimate
B. Basis of
Estimate
(enter code
in box
provided)
C.% From
Stormwater
5.3 Discharges to
receiving streams or
water bodies 5.3.
(Enter letter code for stream
from Part I Section 3.10 In c o
ttia Hu-iv rtrrtuiHoH 1 *^.»J.
.D
the box provided.)
5.3
_D
5.3..
5.3..
5.3 c
5.3 a
5.3.
5.3 a
5.3.
5.3 c
5.3.
c
ADDITIONAL INFORMATION ON TRANSFERS OF THE CHEMICAL IN WASTE TO OFF-SITE LOCATIONS
(Part III, Section 6)
You may report transfers
of less than 1,000 pounds by checking
ranges under A.1. (Do not use
both A.1 and A.2)
Discharge to POTW
c , (enter location number
6.1. from Part II, Section 1.)
6.2.
Other off-site location
(enter location number
. from Part II, Section 2.)
A.Total Transfers
(pounds/year)
A.1
Reporting Ranges
0 1-499 500-999
A.2
Enter
Estimate
B. Basis of
Estimate
(enter code
in box
provided)
C. Type of Treatment/
Disposal
(enter code
in box
provided)
6.1.
6.2.
Other off-site location
6.2 (enter location number
from Part II, Section 2.)
6.2.
Other otf-site location
(enter location number ?
from Part II, Section 2.)
6.2.
ADDITIONAL INFORMATION ON WASTE TREATMENT METHODS AND EFFICIENCY (Part III, Section 7)
A. General
Wastestream
(enter code
in box provided)
B. Treatment
Method
(enter code
in box provided)
C. Range of
Influent
Concentration
(enter code)
D. Sequential
Treatment?
(check if
applicable)
E. Treatment
Efficiency
Estimate
F. Based on
Operating
Data?
Yes No
7.
7. 11
7. 12 885.0%
[*][ 1
7.
D
7. e
•[
'. «n
.<•[ 1
7.
7 '[ ][ 1
7.
D
7.
-'MM
7.
D
.-I I
-'[ It 1
7.
_° D
--[ 1
-•[ It 1
7.
[ 1
][ ]
7.
D
[ 3
-'MM
EPA Form 9350-1 (1-90) Revised - Do not use previous versions.
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Page D-1
APPENDIX D
MOST COMMON ERRORS FOUND ON FORM R REPORTS FROM 1988
1. Invalid chemical identification on page three. The
CAS number and the chemical name reported on page
three must exactly match the listed section 313 CAS
number and chemical name. Chemical categories should
not be reported with a CAS number. A generic chemical
name should only be provided if you are claiming the
section 313 chemical identity as trade secret. Chemical
names should be taken directly from the list in this
document (see pages 40-48). Mixture names are to be
entered in Part III, Section 1.4 if that is the sole identifica-
tion. Mixture names that include the name (or CAS
number) of one or more section 313 chemical(s) are not
valid.
2. Failure to consider listed chemical qualifier. Alumi-
num, vanadium and zinc are qualified as "fume or dust."
Isopropyl alcohol and saccharin have manufacturing
qualifiers. Ammonium nitrate and ammonium sulfate are
qualified as solutions. Phosphorus is qualified as yellow
or white. Asbestos is qualified as friable. Only chemicals
meeting the qualifiers require reporting under section 313
and should be reported on Form R with the appropriate
qualifier in parenthesis.
3. Missing certification signature. An original certification
signature must appear on page one of every Form R
submitted to EPA.
4. Incomplete forms. A complete Form R report for any
toxic chemical or chemical category consists of at least
five pages stapled together. Page one and two may be
photocopied to complete each report only if all the infor-
mation on pages one and two is the same, and an original
certification signature is provided on each page one.
Sending in a package which contains only one page one,
one page two, but several page three's, four's and five's
will result in a Notice of Noncompliance.
5. Maximum amount on-site left blank. In a surprising
number of Forms, Part III, Section 4 on page three of
Form R is left blank. Leaving this section blank will result
in a Notice of Technical Error.
6. Missing or incorrect reporting year. The reporting year
is the calendar year during which the reported data were
collected; it is not the year in which the Form R is sent to
EPA. Form Rs are due to EPA on July 1, 1990 for
chemicals manufactured, processed or otherwise used
during reporting year 1989. A Form R cannot contain data
for more than one year. "1988/89" is not correct. Part I,
Section 1.3 must not be left blank; this error will result in
a Notice of Noncompliance.
7. "Questionable" entries, such as:
-- Missing or incorrect zip codes;
-- Missing county names;
-- Non-numeric SIC codes;
-- Non-numeric or invalid Dun and Bradstreet numbers;
- Incomplete off-site and POTW information (missing
zip code, etc.);
-- Amounts reported in units other than pounds (e.g.,
metric) or use of exponential numbers.
8. Incorrect completion of trade secret information. The
responses to trade secret questions on Part I and Part III
of a Form R must be consistent. If trade secrecy is
indicated, a sanitized Form R and two trade secret sub-
stantiations must be submitted in the same package as
the trade secret Form R. Failure to provide complete
trade secret submissions will result in a Notice of Non-
compliance.
9. Revisions not identified. Revisions to previously sub-
mitteddata may be provided to EPA by making corrections
in red ink on a copy of the Form R originally submitted;
marking the copy with the words "VOLUNTARY REVI-
SION" marked "THIS SPACE FOR YOUR OPTIONAL
USE" on page one; and sending it to the Title III Reporting
Center. You must also send a copy of the revision to the
State organization. Failure to clearly identify a revision
may result in EPA entering it into the database as a new
submission resulting in the appearance of increased
emissions from the facility.
10. Duplicate submissions not identified. Facilities some-
times send multiple copies of the same Form R report to
insure that EPA received a copy. Duplicate submissions
must be identified by printing the word "DUPLICATE" in
red ink on page one in the box marked "THIS SPACE
FOR YOUR OPTIONAL USE". Failure to clearly identify
a duplicate report may result in the duplicate appearance
of the data in the database and the appearance of
increased emissions from the facility.
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Page E-1
APPENDIX E
SUPPLIER NOTIFICATION REQUIREMENTS
Because manufacturers reporting under section 313 must
know the toxic chemical composition of the products they use
to be able to accurately calculate releases, EPA requires some
suppliers of mixtures ortrade name products containing one or
more of the listed section 313 chemicals to notify their custom-
ers. This requirement has been in effect since January 1,
1989.
This appendix explains which suppliers must notify their cus-
tomers, who must be notified, what form the notice must take,
and when it must be sent.
WHO MUST SUPPLY NOTIFICATION
You are covered by the section 313 supplier notification
requirements if you own or operate a facility which meets all
of the following criteria:
(1) Your facility is in Standard Industrial Classification (SIC)
codes 20-391;
(2) You manufacture, import, or process a listed chemical;
and
(3) You sell or otherwise distribute a mixture or trade name
product containing the toxic chemical to either:
G A facility that must report under section 313; or
Q A firm that then sells the same mixture or trade name
product to a firm in SIC codes 20-39.
Note that you may be covered by the supplier notification
rules even If you are not covered by the section 313
release reporting requirements. For example, even if you
have less than 10 full-time employees or do not manufacture
or process any of the chemicals in sufficient quantities to
trigger the release reporting requirements, you may still be
required to notify certain customers.
WHO MUST BE NOTIFIED
An example would be if you sold a lacquer containing toluene
to distributors who then sell the product to other manufactur-
ers. The distributors are not in SIC codes 20-39, but because
they sell the product to companies in SIC codes 20-39, they
must be notified so that they may pass the notice along to their
customers, as required.
The language of the supplier notification requirements covers
mixtures or trade name products that are sold or otherwise
distributed. The "otherwise distributes" language applies to
intra-company transfers. However, if the company has devel-
oped an internal communications procedure that alerts their
other facilities to the presence and content of covered toxic
chemicals in their products, then EPA would accept this.
Supplier notification is also required if a waste mixture contain-
ing a toxic chemical is sold to a recycling or recovery facility.
However, if the material is sent off-site as a waste for treat-
ment or disposal, then no supplier notification is required.
SUPPLIER NOTIFICATION MUST INCLUDE THE
FOLLOWING INFORMATION:
(1) A statement that the mixture or trade name product con-
tains a toxic chemical or chemicals subject to the reporting
requirements of section 313 of EPCRA (40 CFR 372);
(2) 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 chemicals.)
(3) The percentage, by weight, of each toxic chemical (or all
toxic chemicals 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 chemical category
(i.e., zinc compounds), the notification must include 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 chemical
category present in the mixture.
For each mixture or trade name product that contains a listed
toxic chemical, you will have to notify all customers in SIC
codes 20-39 ordistributors who in turn sell that product to firms
in SIC codes 20-39. Unless you know otherwise, you should
assume that the chain of distribution includes facilities in SIC
codes 20-39. (The notification is limited to SIC 20-39 facilities
and their suppliers because only facilities in those SIC codes
are required to report releases under section 313.)
11f your company or facility distributes chemical products but does not fall into the covered SIC codes, you should be alert to the supplier notification
that may accompany MSDSs of the products you distribute. You should pass on such notices to your industrial customers unchanged.
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Page E-2
HOW THE NOTIFICATION MUST BE MADE
The required notification must be provided at least annually in
writing. Acceptable forms of notice are, for example, a letter,
product labeling, and product literature distributed to custom-
ers. If you are required to prepare and distribute a Material
Safety Data Sheet (MSDS) forthe mixture underthe Occupa-
tional Safety and Health Act (OSHA) Hazard Communication
Standard, your section 313 notification may be attached to the
MSDS or the MSDS may be modified to include the required
information. (A sample letter and recommended text for
inclusion in an MSDS appear on pages E-4 and E-5 of this
appendix.)
You must make it clear to your customers that any copies or
redistribution of the MSDS or other form of notification must
include the section313 notice. In otherwords, yourcustomers
should understand their requirement to include the section
313 notification if they give your MSDS to their customers.
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 calendar 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
customers 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 chemicals to the section 313 list, and your
products contain the newly listed toxic chemicals, notify your
customers with the first shipment of the 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 1990,
supplier notification for chemical ABC would begin with the first
shipment in 1991.
You must send a new or revised notice to your customers if
you:
(1) Change a mixture or trade name product by adding, re-
moving, or changing the percentage by weight of a listed
toxic chemical.
(2) Discover that your previous notification did not properly
identify the toxic chemicals in the mixture or correctly
indicate the percentage by weight.
In these cases, you must:
Q 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;
Q Identify in the notification the prior shipments of the
mixture or product to which the new notification applies;
and
Q Indicate how many shipments were affected during the
calendar year (e.g., if the revised notification is made in
August, indicate how many shipments were affected
during the period January 1 - August).
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.
You are not requiredto make a "negative declaration." That is,
you are not required to indicate that a product contains no
section 313 chemicals.
If your mixture ortrade name product contains one of the listed
toxic chemicals, you are not required to notify your customers
if:
(1) 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):
Q 0.1 percent of the toxic chemical present in the mix-
ture, if the toxic chemical is defined as an "OSHA car-
cinogen";
Q 1 percent for other toxic chemicals.
De minimis levels for each toxic chemical and chemical
category are listed on pages 40-48.
(2) Your mixture or trade name product is one of the
following:
Q An article that does not release a covered toxic chemi-
cal under normal conditions of processing or use.
Q Foods, drugs, cosmetics, pesticides, alcoholic bever-
ages, tobacco, or tobacco products packaged for
distribution to the general public.
Q Any consumer product, as the term is defined in the
Consumer Product Safety Act, packaged for distribu-
tion to the general public. For example, if you mix or
package one-gallon cans of paint designed for use by
the general public, notification is not required.
(3) Your mixture or trade name product is contained in a
waste being sent off-site for treatment or disposal.
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Page E-3
TRADE SECRETS
RECORDKEEPING REQUIREMENTS
Chemical suppliers may consider the chemical namexor the
specific concentration of a section 313 toxic chemical in a
mixture or trade name product to be a trade secret. If you
consider the:
(1) Specific identity of a toxic chemical to be a trade secret,
the notice to your customers) 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.
(2) Specific percentage by weight of a toxic chemical in the
mixture or trade name product to be a trade secret, your
notice to customers must contain a statement that the
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.
You are required to keep records for three years of the
following:
(1) Notifications sent to customers;
(2) Explanations of why a notification was considered neces-
sary and all supporting materials used to develop the
notice;
(3) Explanations of why a specific chemical identity is consid-
ered a trade secret and the appropriateness of the ge-
neric chemical name provided in the notification; and
(4) Explanations of why a specific concentration is consid-
ered a trade secret and the basis forthe upper bound con-
centration limit.
This information must be readily available for inspection by
EPA.
If you claim this information to be trade secret, you must have
documentation in your files that provides the basis for your
claim.
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Page E-4
SAMPLE NOTIFICATION LETTER
Mr. Edward Burke
Furniture Company of Ruritania
1000 Main Street
Sellers, Ruritania
Dear Mr. Burke:
The purpose of this letter is to inform you that a product that we sell to you. Furniture Lacquer KXZ-
1390, contains 20 percent toluene (Chemical Abstracts Service (CAS) number 108-88-3). We are
required to notify you of the presence of toluene in the product under section 313 of the Emergency
Planning and Community Right-to-Know Act of 1986. This law requires certain manufacturers to report
on annual emissions of specified toxic chemicals and chemical categories.
If you are unsure if you are subject to the reporting requirements of Section 313, or need more
information, call the EPA Emergency Planning and Community Right-To-Know Information Hotline:
(800) 535-0202 or (202) 479-2449 (in Washington D.C. or Alaska). Your other suppliers should also
be notifying you if section 313 chemicals are in the mixtures and trade name products they sell to you.
Please also note that if you repackage or otherwise redistribute this product to industrial customers,
a notice similar to this one should be sent to those customers.
Sincerely,
Axel Leaf
Sales Manager
Furniture Products
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Page E-5
SAMPLE NOTIFICATION ON AN MSDS
Section 313 Supplier Notification
This product contains the following toxic chemicals subject to the reporting requirements of section 313 of
the Emergency Planning and Community Right-To-Know Act of 1986 (40 CFR 372):
CAS*
Chemical Name
Percent by
Weight
108-88-3
NA
Toluene
Copper Compounds
20%
15%
This information should be included in all MSDSs that are copied and distributed for this material.
Material
Safety Data
Sheet
I I
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Page F-1
APPENDIX F
HOW TO DETERMINE LATITUDE AND LONGITUDE FROM
TOPOGRAPHIC MAPS
Latitude is the distance north or south of the equator. Longi-
tude is the distance east or west of the prime meridian
(Greenwich, England). Latitude and longitude are measured
in seconds, minutes, and degrees.
60" (seconds) = 1' (minute)
60' (minutes) = 1° (degree)
To determine the latitude and longitude of your facility you will
need a topographic map from United States Geological Sur-
vey (USGS).
How to Obtain USGS Maps
USGS maps used for determining latitude and longitude may
be obtained from the USGS distribution center. These maps
are available in both the 7.5 minute and 15 minute series. For
maps of the United States, including Alaska, Hawaii, American
Samoa, Guam, Puerto Rico, and the U.S. Virgin Islands, con-
tact:
Branch of Distribution
U.S. Geological Survey
Box 25286 Federal Center
Denver, CO 80225
If you are not sure on which map your site is located, consult
the index of topographic maps for your state, which USGS will
provide free of charge. USGS maps cost about $3.00 and are
often available in local libraries and at commercial dealers
such as surveyors or outdoor recreation equipment dealers.
The index for your state lists these alternative sources for
obtaining maps. If you need help in determining your facility's
latitude and longitude, the National Cartographic Information
Center located in Denver (303) 236-5829 can provide assis-
tance.
Determining Your Facility's Latitude and Longitude
(See diagram next page.)
Once you have obtained the correct map for your facility:
1. Mark the location of your facility on the map with a point.
If your facility is large, choose a point central to the pro-
duction activities of the facility. If certain structures in your
facility are represented on the map, mark one of the
structures with a point.
2. Construct a small rectangle around the point with fine
pencil lines connecting the nearest 2 1/2' or 5' graticules.
Graticules are intersections of latitude and longitude lines
that are marked on the map edge, and appear as black
crosses at four points in the interior of the map.
3. Read and record the latitude and longitude for the south-
east corner of the small quadrangle drawn in step two.
The latitude and longitude are printed at the edges of the
map.
4. To determine the increment of latitude above the latitude
line recorded in step 3,
- position the map so that you face its west edge;
- place the ruler in approximately a north-south align-
ment, with the "0" on the latitude line recorded in step
3 and the edge intersecting the point.
Without moving the ruler, read and record:
- the measurement from the latitude line to the desired
point (the point distance);
- the measurement from the latitude line to the north line
of the small quadrangle (the total distance).
Determine the number of seconds to be added to the
latitude recorded in step 3 by using the ratio:
Point distance
Total distance
between lines
x 150" - increment of latitude
fNote: 150" is the number of seconds of arc for the side of
the small quadrangle on a 7.5' map. If you are using a 15'
map, the multiplication factor is 300" instead of 150" since
each graticule is 5' of latitude or longitude.]
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Page F-2
For example:
Point distance = 99.5
Total distance = 192.0
99.5 X150' = 77.7" =
192.0
(60" -V; 77.7" -60"
Latitude in step 3 32°17'30"
Increment + 01'17.7"
Latitude of point
01'17.7"
01'
32°18'47.7"
to the nearest second = 32°18'48"
5. To determine the increment of longitude west of the lon-
gitude line recorded in step 3,
- position the map so that you face its south edge;
- place the ruler in approximately an east-west align-
ment with the "0" on the longitude line recorded in step
3 and the edge intersecting the point.
Without moving the ruler, read and record:
- the measurement from the longitude line to the de-
si fed point (the point distance);
- the measurement from the longitude line to the west
line of the small quadrangle (the total distance).
Determine the number of seconds to be added to the
longitude recorded in step 3 by using the ratio:
Point distance
Total distance
between lines
x150"= increment of longitude
For example:
Point distance
Total distance
65.0
149.9
65.0 x 150" = 66.4" = 01'06.4"
149.9
(60" = 1'; 66.4" - 60" = 01 '06.4")
Longitude in step 4: 78°05'00"
Increment : + 01'06.4*
Longitude of point : 78°06'06.4"
to the nearest second = 78°06'06"
Latitude/Longitude Diagram
N
QUADRANGLE
w
GRATICULE
• "
POINT
| i
— ' h 12 • 17' JO-
7« 'OS-DO-
GRATICULE
12 • I7'30- LATITUDE
7f07'JO" 7«'06100- 7«'02'JO" 7«*00'-
LONGITUDE
Point: Latitude 32° 18'48" North
Longitude 78° 06'06" West
Note: This diagram Is based on a USGS 7.5 Minute Series Topographic Map.
Not drawn to scale.
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Page G-1
APPENDIX G
STATE DESIGNATED SECTION 313 CONTACTS
[Note: Use the appropriate address for submission of Form R
reports to your State.]
Alabama
E. John Williford, Chief of Operations
Alabama Emergency Response Commission
Alabama Department of Environmental Management
1751 Congressman W.L. Dickinson Drive
Montgomery, AL 36109
(205)271-7700
Alaska
Dennis Kelso, Chair
Alaska State Emergency Response Commission
P.O. Box O
Juneau, AK 99811
(907) 465-2600
American Samoa
Pati Faiai, Director
American Samoa EPA
Office of the Governor
Pago Pago, AS 96799
International Number (684) 633-2304
Arizona
Mr. Carl F. Funk, Executive Director
Arizona Emergency Response Commission
Division of Emergency Services
5636 East McDowell Road
Phoenix, AZ 85008
(602)231-6326
Arkansas
Ms. Becky Bryant
Depository of Documents
Arkansas Department of Labor
10421 WestMarkham
Little Rock, AR 72205
(501)682-4534
California
Mr. Chuck Shulock
Office of Environmental Affairs
P.O. Box 2815
Sacramento, CA 95812
Attn: Section 313 Reports
(916)324-8124
(916) 322-7236 Completed Form R Information
Colorado
Colorado Emergency Planning Commission
Colorado Department of Health
4210 East 11th Avenue
Denver, CO 80220
Judy Waddill (303) 331 -4858
Commonwealth of Northern Mariana Islands
Mr. Russell Meecham, III
Division of Environmental Quality
P.O. Box 1304
Saipan, CNMI 96950
(670) 234-6984
Connecticut
Ms. Sue Vaughn, Title III Coordinator
State Emergency Response Commission
Department of Environmental Protection
State Office Building, Room 161
165 Capitol Avenue
Hartford, CT 06106
(203) 566-4856
Delaware
Mr. Robert French, Chief Program Administrator
Air Resource Section
Department of Natural Resources and Environmental
Control
P.O. Box 1401
Dover, DE 19903
(302) 736-4791
District of Columbia
Mr. Joseph P. Yeldell, Chairman
District of Columbia Emergency Response Commission
Office of Emergency Preparedness
2000 14th Street, NW
Frank Reeves Center for Municipal Affairs
Washington, DC 20009
(202)727-6161
Florida
Mr. Thomas G. Pelham, Chairman
Florida Emergency Response Commission
Secretary, Florida Department of Community Affairs
2740 Centerview Drive
Tallahassee, FL 32399-2149
(904)488-1472
In Florida: 800-635-7179
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Page G-2
Georgia
Mr. Jimmy Kirkland
Georgia Emergency Response Commission
205 Butler Street, SE
Floyd Tower East
11th Floor, Suite 1166
Atlanta, GA 30334
(404) 656-6905
Guam
Mr. Roland Solidio
Guam EPA
P.O. Box 2999
Aguana, GU 96910
(671)646-8863
Hawaii
Mr. John C. Lewin, M.D., Chairman
Hawaii State Emergency Response Commission
Hawaii State Department of Health
P.O. Box 3378
Honolulu, HI 96801-9904
(808) 548-6505
Idaho
Idaho Emergency Response Commission
State House
Boise, ID 83720
Attn: Ms. Jenny Records
(208) 334-5888
Illinois
Mr. Joe Goodner
Emergency Planning Unit
Illinois EPA
P.O. Box 19276
2200 Churchill Road
Springfield, IL 62794-9276
(217)782-3637
Indiana
Mr. Phillip Powers, Director
Indiana Emergency Response Commission
5500 West Bradbury Avenue
Indianapolis, IN 46241
(317)243-5176
Iowa
Department of Natural Resources
Records Department
900 East Grand Avenue
DesMoines, IA50319
(515)281-8852
Kansas
Right-to-Know Program
Kansas Department of Health and Environment
Mills Building, 5th Floor
109 S.W. 9th Street
Topeka, KS66612
(913)296-1690
Kentucky
Ms. Valerie Hudson
Kentucky Department of Environmental Protection
18ReillyRoad
Frankfort, KY 40601
(502)564-2150
Louisiana
Mr. R. Bruce Hammatt
Emergency Response Coordinator
Department of Environmental Quality
P.O. Box 44066
333 Laurel Street
Baton Rouge, LA 70804-4066
(504)342-8617
Maine
Mr. David D. Brown, Chairman
State Emergency Response Commission
Station Number 72
Augusta, ME 04333
(207) 289-4080
In Maine: 800-452-8735
Maryland
Ms. Marsha Ways
State Emergency Response Commission
Maryland Department of the Environment
Toxics Information Center
2500 Broening Highway
Baltimore, MD 21224
(301)631-3800
Massachusetts
Mr. Arnold Sapenter
c/o Title III Emergency Response Commission
Department of Environmental Quality Engineering
One Winter Street, 10th floor
Boston, MA 02108
(617)292-5993
Michigan
Title III Coordinator
Michigan Department of Natural Resources
Environmental Response Division
Title III Notification
P.O. Box 30028
Lansing, Ml 48909
(517)373-8481
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Page G-3
Minnesota
Mr. Lee Tischler, Director
Minnesota Emergency Response Commission
290 Bigelow Building
450 North Syndicate
StPaul, MN55155
(612)643-3000
Mississippi
Mr. J.E. Maher, Chairman
Mississippi Emergency Response Commission
Mississippi Emergency Management Agency
P.O. Box 4501
Fondren Station
Jackson, MS 39296-4501
(601)960-9973
Missouri
Mr. Dean Martin, Coordinator
Missouri Emergency Response Commission
Missouri Department of Natural Resources
P.O. Box 3133
Jefferson City, MO 65102
(314)751-7929
Montana
Mr. Tom Ellerhoff, Co-Chairman
Montana Emergency Response Commission
Environmental Sciences Division
Department of Health & Environmental Sciences
Cogswell Building A-107
Helena, MT 59620
(406) 444-6911
Nebraska
Mr. Clark Smith, Coordinator
Nebraska Emergency Response Commission
Nebraska Department of Environmental Control
P.O. Box 98922
State House Station
Lincoln. NE 68509-8922
(402)471-2186
Nevada
Mr. Bob King, Director
Division of Emergency Management
2525 South Carson Street
Carson City, NV 89710
(702) 885-4240
New Hampshire
Mr. George L. Iverson, Director
State Emergency Management Agency
Title III Program
State Office Park South
107 Pleasant Street
Concord, NH 03301
(603)271-2231
New Jersey
New Jersey Emergency Response Commission
SARA Title III Section 313
Department of Environmental Protection
Division of Environmental Quality
Bureau of Hazardous Substances Information
CN-405
Trenton, NJ 08625
(609)292-6714
New Mexico
Mr. Samuel Larcombe
New Mexico Emergency Response Commission
New Mexico Department of Public Safety
P.O. Box 1628
Santa Fe.NM 87504-1628
(505) 827-9222
New York
New York Emergency Response Commission
New York State Department Of Environmental
Conservation
Bureau of Spill Response
50 Wolf Road/Room 326
Albany, NY 12233-3510
(518)457-4107
North Carolina
North Carolina Emergency Response Commission
North Carolina Division of Emergency Management
116 West Jones Street
Raleigh, NC 27603-1335
(919)733-3867
North Dakota
SARA Title III Coordinator
North Dakota State Department of Health and
Consolidated Laboratories
1200 Missouri Avenue
P.O. Box 5520
Bismarck, ND 58502-5520
(701)224-2374
Ohio
Ms. Cindy Sferra-DeWulf
Division of Air Pollution Control
18QO Watermark Drive
Columbus, OH 43215
(614)644-2266
Oklahoma
Emergency Response Commission
Office of Civil Defense
P.O. Box 53365
Oklahoma City, OK 73152
(405)521-2481
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Page G-4
Oregon
Mr. Ralph M. Rodia
Oregon Emergency Response Commission
c/o State Fire Marshall
3000 Market Street Plaza
Suite 534
Salem, OR 97310
(503) 378-2885
Pennsylvania
Mr. James Tinney
Bureau of Right-to-Know
Room 1503
Labor and Industry Building
7th & Forrester Streets
Harrisburg, PA17120
(717)783-2071
Puerto Rico
SERC Commissioner
Title HI-SARA Section 313
Puerto Rico Environmental Quality Board
P.O. Box 11488
Santurce, PR 00910
(809) 722-0077
Rhode Island
Department of Environmental Management
Division of Air and Hazardous Materials
291 Promenade Street
Providence, Rl 02908
Attn: Toxic Release Inventory
(401)277-2808
South Carolina
Mr. Ron Kinney
Department of Health and Environmental Control
2600 Bull Street
Columbia, SC 29201
(803) 734-5200
South Dakota
Ms. Lee Ann Smith, Director
South Dakota Emergency Response Commission
Department of Water and Natural Resources
Joe Foss Building
523 East Capitol
Pierre, SD 57501-3181
(605)773-3153
Tennessee
Mr. Lacy Suiter, Chairman
Tennessee Emergency Response Commission
Director, Tennessee Emergency Management Agency
3041 Sidco Drive
Nashville, TN 37204
(615)252-3300
1-800-262-3300 (in Tennessee)
1-800-258-3300 (out of state)
Texas
Mr. David Barker, Supervisor
Emergency Response Unit
Texas Water Commission
P.O. Box 13087-Capitol Station
Austin, TX 78711-3087
(512) 463-8527
Utah
Mr. Neil Taylor
Utah Hazardous Chemical Emergency Response
Commission
Utah Division of Environmental Health
288 North 1460 West
P.O. Box 16690
Salt Lake City, UT 84116-0690
(801)538-6121
Vermont
Dr. Jan Carney, Commissioner
Department of Health
60 Main Street
P.O. Box 70
Burlington, VT 05402
(802) 863-7281
Virginia
Mr. Wayne Halbleib, Director
Virginia Emergency Response Council
Department of Waste Management
James Monroe Building
14th Floor
101 North 14th Street
Richmond, VA 23219
(804)225-2513
Virgin Islands
Mr. Allan D. Smith, Commissioner
Department of Planning and Natural Resources
U.S. Virgin Islands Emergency Response Commission
Title III
Nisky Center, Suite 231
Charlotte Amalie
St. Thomas, VI 00802
(809) 774-3320/Ext. 169 or 170
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Page G-5
Washington
Mr. John Ridgway, Chairman
Washington State Department Of Ecology
Hazardous Substance Information Office
Mail Stop PV/11
Olympia, WA 98504
(206) 438-7252
West Virginia
Mr. Carl L. Bradford, Director
West Virginia Emergency Response Commission
West Virginia Office of Emergency Services
State Capital Building 1, Room EB-80
Charleston, WV 25305
(304) 348-5380
Wisconsin
Department of Natural Resources
P.O. Box 7921
Madison. Wl 53707
Attn: Russ Dumst
(608) 266-9255
Wyoming
Mr. Ed Usui, Executive Secretary
Wyoming Emergency Response Commission
Wyoming Emergency Management Agency
Comprehensive Emergency Management
P.O. Box1709
Cheyenne, WY 82003
(307) 777-7566
[Notes: (1) If an Indian tribe has chosen to act independently
of a state for the purpose of section 313 reporting, facilities
located within that Indian community should report to the tribal
SERC, or until the SERC is established, the Chief Executive
Officer of the Indian tribe, as well as to EPA; (2) Facilities
located within the Territories of the Pacific should send a report
to the Chief Administrator of the appropriate territory, as well
as to EPA.]
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Page H-1
APPENDIX H
Region 1
SECTION 313 EPA REGIONAL CONTACTS
Region 6
Pesticides & Toxics Branch
USEPARegion! (APT2311)
JFK Federal Building
Boston, MA 02203
(617)565-3230
Connecticut, Massachusetts, Maine, New Hampshire, Rhode
Island, Vermont
Region 2
Pesticides & Toxics Branch
USEPA Region 2 (MS240)
Woodbridge Avenue, Building 209
Edison, NJ 08837
(201)906-6890
New Jersey, New York, Puerto Rico, Virgin Islands
Region 3
Toxics & Pesticides Branch
USEPA Region 3 (3HW42)
841 Chestnut Street
Philadelphia, PA 19107
(215)597-1260
Delaware, Maryland, Pennsylvania, Virginia, West Virginia,
District of Columbia
Region 4
Pesticides & Toxics Substances Branch
USEPA Region 4
345 Courtland Street
Atlanta, GA 30365
(404) 347-5053
Alabama, Florida, Georgia, Kentucky, Mississippi, North
Carolina, South Carolina, Tennessee
Region 5
Pesticides & Toxic Substances Branch
USEPA Region 5 (5SPT-7)
230 South Dearborn Street
Chicago. IL 60604
(312)353-5907
Pesticides & Toxic Substances Branch
USEPA Region 6 (6TPT)
1445 Ross Avenue
Dallas, TX 75202-2733
(214)655-7244
Arkansas, Louisiana, New Mexico, Oklahoma, Texas
Region 7
Office of Congressional and Intergovernmental Liaison
USEPA Region 7 (CIGL)
726 Minnesota Avenue
Kansas City, KS 66101
(913)236-2806
Iowa, Kansas, Missouri, Nebraska
Region 8
Toxic Substances Branch
• USEPA Region 8 (8AT-TS)
999 18th Street
Denver, CO 80202-2405
(303)293-1730
Colorado, Montana, North Dakota, South Dakota, Utah,
Wyoming
Region 9
Pesticides & Toxics Branch
USEPA Region 9 (A-4-3)
215 Fremont Street
San Francisco, CA 94105
(415)974-7280
Arizona, California, Hawaii, Nevada, American Samoa, Guam,
Commonwealth of the Northern Mariana Islands
Region 10
Pesticides & Toxic Substances Branch
USEPA Region 10 (AT083)
1200 Sixth Avenue
Seattle, WA 98101
(206)442-4016
Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin
Alaska, Idaho, Oregon, Washington
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Page 1-1
APPENDIX I
SECTION 313 DOCUMENT REQUEST FORM
To receive a copy of any of the section 313 documents listed
below, check the box(es) next to the desired document(s).
There is no charge for any of these documents. Be sure to
type your full mailing address in the space provided on this
form. Send this request form to:
Section 313 Document Distribution Center
P.O. Box12505
Cincinnati, OH 45212
Toxic Chemical Release Inventory Reporting Package
for 1989 (EPA 560/4-90-001)
Comprehensive guidance document for complying with
section 313 requirements. This document includes a
blank Form R, the reporting instructions, the section 313
final rule, questions and answers about Section 313 and
the instructions for making magnetic media submissions.
Toxic Chemical Release Inventory Reporting Form R
and Instructions (EPA 560/4-90-007)
Detailed instructions for complying with the section 313
reporting requirements. This document includes a blank
Form R, step-by-step instructions forcompleting Form R,
and lists of SIC codes 20-39, all toxic chemicals, and
Regional and State designated contacts.
Section 313 Rule (40 CFR 372)
A reprint of the final section 313 rule as it appeared in the
Federal Register (FR) February 16, 1988.
TRI Magnetic Media Submission Guidance Package
(EPA 560/4-90-008)
Reports under section 313 may be submitted by computer
tape or floppy disk. This guidance package gives the
format requirements and other details for such submis-
sions.
Toxic Chemical Release Inventory Questions and
Answers (EPA 560/4-90-003)
Answers to frequently asked questions about the section
313 rule, organized by subject area. Appendix provides
technical directives to clarify complex reporting issues.
Common Synonyms for Section 313 Chemicals
(EPA 560/4-90-005)
This document contains common synonyms for the spe-
cially listed section 313 chemicals (synonyms for chemi-
cals in covered categories are not included).
Comprehensive List of Chemicals Subject to Report-
Ing Under the Act
(Title III List of Lists) (EPA 560/4-90-011)
A consolidated list of specific chemicals covered by the
Emergency Planning and Community Right-to-Know Act.
The list contains the chemical name, CAS Registry Number,
and which reporting requirement(s) the chemical is sub-
ject to.
The Emergency Planning and Community Right-to-
Know Act: Section 313 Release Reporting Require-
ments December 1989
(EPA 560/4-90-002)
This brochure alerts businesses to their reporting obliga-
tions under section 313 and assists in determining whether
their facility is required to report. The brochure contains
the EPA Regional contacts, the list of section 313 toxic
chemicals and a description of the Standard Industrial
Classification (SIC) Codes subject to section 313.
Supplier Notification Requirements
(EPA 560/4-90-006)
This pamphlet assists chemical suppliers who may be
subject to the supplier notification requirements under
section 313 of Title III. The pamphlet explains the supplier
notification requirements, gives examples of situations
which require notification, describes the trade secret
provision, and contains a sample notification.
Trade Secrets Rule and Form (FR Reprint)
A reprint of the final rule that appeared in the Federal
Register of July 29,1988. This rule implements the trade
secrets provision of the Emergency Planning and Com-
munity Right-to-Know Act (section 322). Includes a copy
of the trade secret substantiation form.
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Page 1-2
Industry Specific Technical Guidance Documents
EPA has developed a group of smaller, individual guidance
documents that target activities in industries who primarily
process or otherwise use the listed toxic chemicals.
G Electrodeposition of Organic Coatings January 1988
(EPA 560/4-88-004C)
G Electroplating Operations January 1988
(EPA 560/4-88-004g)
G Formulating Aqueous Solutions March 1988
(EPA 560/4-88-0041)
Q Leather Tanning and Finishing Processes February
1988 (EPA 560/4-88-0041)
Q Monofilament Fiber Manufacture January 1988
(EPA 560/4-88-0043)
G Paper Paperboard Production February 1988
(EPA 560/4-88-004K)
Q Presswood & Laminated Wood Products Manufactur-
ing March 1988 (EPA 560/4-88-004J)
Q Printing Operations January 1988 (EPA 560/4-88-004b)
Q Roller, Knife and Gravure Coating Operations Feb-
ruary 1988 (EPA 560/4/88/004J)
G Rubber Production and Compounding March 1988
(EPA 560/4-88-004q)
Q Semiconductor Manufacture January 1988
(EPA 560/4-88-004e)
G Spray Application of Organic Coatings January 1988
(EPA 560/4-88-004d)
Q Textile Dyeing February 1988 (EPA 560/4-88-004h)
Q Wood Preserving February 1988 (EPA 560/4-88-004p)
Please type mailing address here (Do not attach business cards)
Name/Title
Company Name
Mail Stop
Street Address.
P.O. Box
City/State/Zip Code
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Page 1-3
OTHER RELEVANT SECTION 313 MATERIALS
The Toxic Release Inventory: A National Perspective
(EPA 560/4-89-005)
This document summarizes the first year of toxic release
inventory data, and analyzes where toxic chemicals are being
released, along with the amounts and types of releases.
Available from: Superintendent of Documents, Government
Printing Office, Washington, DC 20402-9325, (202) 783-
3238, Stock Number: 055-000-00290-8, $14.95.
Toxic Release Inventory -- On-line Database
A computerized on-line database of the toxic release inventory
data is available through the National Library of Medicine's
(NLM) TOXNET on-line system 24 hours a day. Other NLM
files on TOXNET can provide supporting information in such
areas as health hazards and emergency handling of toxic
chemicals. Information on accessing the TOXNET system is
available from: TRI Representative, Specialized Information
Services, National Library of Medicine, 8600 Rockville Pike,
Bethesda, MD 20894, (301) 496-6531, up to $25.00 per hour.
Toxic Release Inventory 1987 - Magnetic Tape
Contains the complete toxic release inventory for reporting
year 1987. Includes a brief overview of section 313 reporting
requirements, a sample Form R, lists of Regional and State
section 313 contacts. Available from: National Technical
Information Service, 5285 Port Royal Road, Springfield, VA
22161, (703) 487-4650, Document Number: PB89-186068-
HCR, 1600 (BPI) Density-- $1,025.00, 6250 (BPI) Density --
$525.00.
Toxic Release Inventory 1987: Reporting Facilities Names
and Addresses -- Magnetic Tape
Contains the name, address, public contact, phone number,
SIC code, Dun and Bradstreet number of each facility that
reported under section 313 in reporting year 1987. Also
includes, if applicable, parent company name and tne parent
company's Dun and Bradstreet number. Available from:
National Technical Information Service, 5285 Port Royal Road,
Springfield, VA 22161, (703) 487-4650, Document Number:
PB89-186118-HCR, $210.00.
Section 313 Roadmaps Database - Diskette
A database of sources of information on the toxic chemicals
listed in section 313. The database, created in 1988, is
intended to assist users of the toxic release inventory data in
performing exposure and risk assessments of these chemi-
cals. The roadmaps system displays information the section
313 toxic chemicals' health and environmental effects, the
applicability of Federal, State, and local regulations, and
monitoring data. Available from: National Technical Informa-
tion Service, 5285 Port Royal Road, Springfield, VA 22161,
(703) 487-4650, Document Number: PB89-133631-HCR,
$175.00.
Comprehensive List of Chemicals Subject to Reporting
Under the Act (Title III List of Lists)
Available as an IBM compatible disk from: The National
Technical Information Service, 5285 Port Royal Road, Spring-
field, VA 22161, (703) 487-4650, Document Number: PB 89-
158653-HCR, $50.00.
Estimating Releases and Waste Treatment Efficiencies
for the Toxic Chemical Release Inventory
(EPA 560/4-90-009)
Suggested methods on the development of release estimates
and waste treatment efficiency calculations required on Form
R. Available from: Superintendent of Documents, Govern-
ment Printing Office, Washington, DC 20402-9325, (202)
783-3238, Stock Number: 055-000-00270-3, $11.00.
The Toxic Release Inventory: Meeting the Challenge
(April 1988)
This 19 minute videotape explains the toxic release reporting
requirements for plant facility managers and others. State
governments, local Chambers of Commerce, labor organiza-
tions, public interest groups, universities, and others may also
find the video program useful and informative. 3/4 inch =
$30.75; Beta = $22.95; VMS = $22.00.
To purchase, write or call:
Color Film Corporation
Video Division
770 Connecticut Avenue
Norwalk, CT 06854
(800)882-1120
Chemicals In Your Community, A Citizen's Guide to the
Emergency Planning and Community Right-to-Know Act
September 1988 (OSWER-88-002)
This booklet is intended to provide a general overview of the
Title III requirements and benefits for all audiences. Part I of
the booklet describes the provisions of Title III and Part II
describes more fully the authorities and responsibilities of the
groups of people affected by the law. Available through written
request for no charge from:
Emergency Planning and Community Right-to-Know
Information Service
Mailcode: OS-120
401 M Street, SW
Washington, DC 20460
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INDEX
Activities, 6-8, 18-20
Ancillary or Other Use, 19
Article, 7,8, 19,22, E-2
Asbestos (friable), 8, D-1
Auxiliary Facility, 6
Basis of Estimate, 22, 24, 27, B-1
Beneficiation, 12
Byproduct, 6, 8, 12, 18
CAS Number, 17, 40-47, D-1
Certification, 14, D-1
Chemical Categories, 9, 11, 15, 17, 21, 23, 31, 48
Chemical Compounds, 11, 17, 21, 23, 30, 31, 48
Codes, 5, 6, 12, 15, 16, 21, 24, 26-32, 34-39, Appen. B
Coincidental Manufacture, 6
Contacts, EPA Regional, H-1
Contacts, Public, 15
Contacts, State, Appen. G
Contacts, Technical, 15
Corrections, Voluntary (Resubmission), 2, D-1
De Minimis Limitation, 6, 11-12, 40-47, E-2
Document Request Form, Appen. I
Dun and Bradstreet Number, 15, 16
Employees (number required), 3, 5
EPA Identification Number, 16
Errors (Common in Form R), D-1
Establishment, 5-6, 15-16
Examples, 6,7,8,17,18,19,20,23,24-25,26,27,31,32-33,
Appen.C
Exemption, 6, 7-8, 9, 22, E-2
Facility, 5-6, 9, 14-16
Form R, 1, 14, 20, 24-25, Appen. A, D-1
Formulation Component, 19
Fugitive Air Emissions, 21, 22-23
Full-Time Employees, 3, 5, E-1
Fume or Dust, 8, D-1
General Information, 1-3
Generic Chemical Name, 18
Import, 3, 6, 18
Impurity, 6, 8, 11-12, 19
Laboratory, 6
Latitude and Longitude, 15, Appen. F
List of Chemicals, 40-48
Magnetic Media Submissions, 2
Manufacture, 6, 7, 8, 9, 18, 19, C-2
Manufacturing Qualifiers, 8
Maximum Amount On-Site, 21
Metal Compound Categories, 11,21, 23, 30, 48, C-1, E-1
Mixtures, 11-13, 18, D-1
Multi-Establishment Facility, 5
NPDES Permit Number, 16
Off-Site Location, 16-17, 27, B-1, C-4
Otherwise Use, 7, 9, 19
Parent Company, 16
Phosphorous (yellow or white), 8
Pollution Prevention, 31-33
Process, 6, 7, 9, 19, C-2
Property Owner Exemption, 6
Publicly-Owned Treatment Works (POTWs), 16-17, 27, 31
Reactant, 19
Receiving Streams or Water Bodies, 16, 21
Recordkeeping, 2, 9, 10, E-3
Recycle/Reuse, 11, 27, 29, 31
Release Estimate, 21, 23-24, C-3
Releases to Land, 22
Repackaging, 7, 19
Reporting Ranges, 21, 22-23, 29, B-1
Reporting Year, 14, 21, 32, D-1
Reuse/Recycle, 11, 27, 29, 31
Runoff Coefficient, 26-27
Sale/Distribution, 18
Sanitized, 1, 14
SIC Codes, 5, 6, 15, 34-39, C-1, E-1
Significant Figures, 22
Solutions, 8, 23, D-1
Stack or Point Air Emissions, 21
Standard Industrial Classification (SIC) Codes, 5, 6, 15,
34-39, C-1, E-1
Stormwater, 26-27
Supplier Notification, 8, 12, Appen. E
Threshold Worksheet, 9, 10
Thresholds, 9-11, C-2
Trade Name Products, 11,13
Trade Secret Claims, 1, 14, 17, 18, D-1, E-3
Transfers, 16-17, 27
Treatment Efficiency, 28, 30, C-4
Treatment Method, 27-31
TRI Facility Identification Number, 2, 15
Underground Injection, 16, 22
Unsanitized, 1,14
Use Exemptions, 7, 8
Voluntary Revision, 2, D-1
Waste Minimization, 31-33, B-3
Waste Treatment, 28-31, B-1, B-2, C-5
Wastestream, 28, 30
Zero Releases, 7, 21, 22, 27
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United States
Environmental Protection
Agency
Office of Toxic
Substances
Washington, D.C. 20460
January 1990
EPA 560/4-90-003
4>EPA Toxic Chemical Release Inventory
Questions and Answers
Revised 1989 Version
Section 313
of the Emergency Planning and
Community Right-to-Know Act
(Title ill of the Superfund Amendments
and Reauthorlzatlon Act of 1986)
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INTRODUCTION
This Questions and Answers document has been prepared to help clarity reporting requirements
under section 313 of the Emergency Planning and Community Right-to-Know Act (EPCRA, or Title III
of the Superfund Amendments and Reauthorization Act of 1986, Public Law 99-499). Under section
313, facilities that meet all three of the following criteria are required to report releases to the air,
water, and land as well as transfers of the chemical in waste to off-site locations of any specifically listed
toxic chemicals:
• The facility has 10 or more full-time employees;
• The facility is included in Standard Industrial Classification (SIC) Codes 20 through 39;
and
• The facility manufactured (defined to include imported), processed, 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) must be submitted annually to EPA and designated State
agencies. Reports are due by July 1 of each year and cover activities at the facility during the previous
calendar year.
This document has been developed to expedite facility reporting and to provide additional
explanation of the reporting requirements. It supplements the instructions for completing Form R.
Copies of EPA Form R, instructions for completing the form, and related guidance documents are
available from the Section 313 Document Distribution Center, P.O. Box 12505, Cincinnati, Ohio 45212.
(A request form is provided at the end of this document for use in obtaining copies of these
documents.)
The questions and answers in this document are organized in sections as listed in the table of
contents on the following page. Questions that are new to the document this year have an asterisk in
front of their number. An index at the end of the document lists question numbers by topic.
To remain responsive to section 313 issues that may arise in the future, this Questions and
Answers document will be updated periodically. If you have comments or possible additions to this
document, please send them to the Emergency Planning and Community Right-to-Know Information
Hotline at the U.S. Environmental Protection Agency, OS-120, 401 M Street, S.W., Washington, D.C.
20460, (800) 535-0202 (or (202) 479-2449, in Washington, D.C. and Alaska).
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TABLE OF CONTENTS
I. Determining Whether or Not to Report: Facility
A. Types of Facilities That Must Report 1
B. Employee Threshold 2
C. Persons Responsible for Reporting 3
D. Multi-Establishment Facilities 4
E. Form R Requirements 6
F. Chemical Activity Threshold Determinations 7
G. Auxiliary Facilities 9
II. Determining Whether or Not to Report: Listed Chemicals 10
A. General Questions 10
B. Chemicals in Solution 11
C. Chemical-Specific Questions 12
III. Mixtures 16
IV. Supplier Notification 17
V. Activities and Uses of the Chemical at the Facility 22
VI. Exemptions 27
A. General, Personal Use, and Intake Water and Air 27
B. Facility Maintenance and Structural Components 27
C. Vehicle Maintenance 29
D. Laboratory Activities 29
E. De Minimis 30
F. Articles 31
VII. Releases of the Chemical 34
VIII. Waste Treatment Methods and Efficiency 41
IX. Transfers to Off-Site Locations 43
X. Waste Minimization 46
XI. Trade Secrets 47
XII. Certification and Submission 48
XIII. EPA's Section 313 Program and General Information 52
XIV. Section 313 Document Request Form 54
XV. Other Relevant Section 313 Materials 56
XVI. Index to Questions and Answers 57
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TABLE OF CONTENTS
(continued)
Appendix A: Section 313 Policy Directives
Directive #1 - Article Exemption A-2
Directive #2 -- De Minimis Exemption A-3
Directive #3 -- Motor Vehicles Use Exemption A-5
Directive #4 ~ Compounds and Mixtures A-6
Directive #5 -- Chemical Categories A-7
Directive #6 -- PCBs Threshold Determination and Release
Reporting A-8
Directive #7 - Reuse and Recycling Exemptions A-9
Directive #8 - Ammonia and Ammonia Salts A-ll
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I. DETERMINING WHETHER OR NOT TO REPORT: FACILITY
A. Types of Facilities That Must Report
1. What facilities are subject to section 313 reporting?
Section 313 reporting applies to facilities that meet three criteria: have 10 or more full-time employees;
are in the manufacturing sector (in SIC major groups 20 through 39 inclusive); and exceed any one
threshold for manufacturing (including importing), processing, or otherwise using a toxic chemical listed
in 40 CFR Part 372.65.
2. Is a facility meeting the criteria described in question one required to report if they had no releases
of the toxic chemicals during the calendar year?
Yes. The requirements for reporting under section 313 are based only upon the industrial classification
of the facility, number of employees, and what quantity of a toxic chemical was manufactured, processed,
or otherwise used during the calendar year. The amount of toxic chemical released does not affect
reporting requirements (except in the case of exemptions for articles). The facility described would
report zeros or, NA, not applicable, in the release estimate sections of the form.
3. Must an annual report be submitted by July 1, 1990 for facilities which were in operation part of
1989 but which were closed on December 31, 1989?
Yes. A facility that operated during any part of a reporting year must report if it meets the reporting
criteria.
4. Is a facility with SIC code 5161 required to report?
If the primary SIC code of a facility falls outside of the range of 20-39, then the facility is not required
to report. A facility with SIC code 5161 is not required to report.
5. Suppose a facility comprises several establishments, some of which have primary SIC codes within
the 20-39 range, and some of which have primary SIC codes outside that range. How would this facility
determine if it needs to report?
The facility must report if those establishments that are in SIC codes 20-39 have a combined value of
more than 50 percent of the total value of products shipped or produced by the whole facility, or if one
of those SIC code 20-39 establishments has a value of products shipped or produced that is greater than
any other establishment in the facility.
6. Do pilot plants within the SIC classification have to report?
A pilot plant within the appropriate SIC codes would be a covered facility, provided it meets the
employee and threshold criteria.
7. Must a Treatment, Storage or Disposal Facility (TSDF) report under section 313?
A TSDF may or may not be subject to section 313 reporting, depending on the activities at the site.
The TSDF must determine its primary SIC code based on the various types of activities that occur at
the site.
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8. An ancillary wastewater treatment plant 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 SIC codes 20-39?
No, a facility must report only if it meets employee, SIC code and activity criteria. The SIC code
criteria are not met by the establishments that represent the major part of the goods and services
produced at the facility containing the wastewater treatment plant. Therefore, the facility as a whole
need not report. The covered facility producing the waste must report the off-site transfer to the facility
containing the wastewater treatment plant.
9. In Alaska, several fish processors have factories on ships. They use ammonia and chlorine in their
fish processing operations. Is each ship a "facility" covered 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. A ship is not a
facility as defined under section 313. It is not stationary and it is not located on a single site (if it
moves to other locations). Therefore the ships should not report even if they are in SIC Codes 20-39.
10. A barge repair facility (SIC Code 3731 - ship building and repairing) cleans barges at their facility
by vacuuming out residual chemicals and selling the waste to a chemical recovery company. Must the
facility report for the waste? Is it a processor under section 313? What if the waste is not sold?
Because the facility sells the waste, they are processing the chemical. The amount of chemical in the
waste sold does not need to be reported as an off-site transfer because off-site transfers for
recycling/reuse are exempt from reporting. Releases, from activities such as spills and equipment
cleaning, must be reported if the facility exceeds the processing threshold. If the waste is not sold, the
facility is not manufacturing, processing, or using the chemical and the waste is not subject to reporting.
B. Employee Threshold
11. Does the full-time employee determination include the hours worked by sales staff whose office is
included in the same building as the production staff? This sales staff is not connected with the
production facility in any way.
Yes. All employees at a facility, regardless of function or location in a building, count toward the
employee threshold determination.
12. 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
full-time equivalent basis of 2,000 labor hours per year. 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.
13. An establishment leases one acre of land adjacent to the reporting facility from a three-acre
strawberry farm. The facility imports and repackages methyl bromide for sale and distribution. Does
the facility have to include the strawberry pickers when determining whether the 10 full-time employee
equivalent criterion applies?
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The reporting facility should not tabulate the hours worked by farm workers it does not pay. If,
however, the reporting facility actually employs or contracts with these farm workers, then the hours
worked on-site by these workers would count towards the 10 full-time employee equivalent.
C. Persons Responsible for Reporting
•14. Who is obligated to report toxic chemical releases for a given reporting year if the facility has
changed ownership during the year? Would both owners be obligated to file separate Form R's for that
year?
The owner or operator of the facility on the reporting date, July 1st of each year, is primarily
responsible for reporting the data for the previous year's operations at that facility. Any other owner or
operator of the facility from January 1st of the data generation year to June 30th of the reporting year
may also be held liable. The report submitted will cover the full year. For example, for reports due
July 1, 1990, the data generating year is January 1-December 31, 1989.
15. Is the owner or the operator responsible for reporting?
Either the owner or the operator is subject to the section 313 reporting requirements. If no report is
received from a covered facility, both persons are liable for penalties. As a practical matter, EPA
believes that the operator is more likely to have the information necessary for reporting.
16. Would an owner of a facility who has no knowledge of any operations at the facility be responsible
for reporting?
An owner with business interest in the facility, beyond owning the real estate on which the covered
facility is located, must report. Neither owners who are part of the same business organization as the
operators, nor owners of businesses that contract out the operation of a particular site, are exempt from
reporting.
17. Who is the parent company for a 50/50 joint venture?
The 50/50 joint venture is its own parent company.
18. 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 tanks are part of Company A's facility and they are the owner and/or operator of the facility,
Company A would be subject to section 313 reporting for any releases from the tanks.
*19. A facility had been operating its manufacturing processes in a leased warehouse. In June, they
bought then* own 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 facility make threshold determinations and report for section 313?
The company should consider the locations as two separate facilities because the operations were
carried out at two distinctly separate physical sites. Threshold and release determinations should be
made for the time during the reporting year that each facility operated. The telephone numbers of the
technical and public contacts for the old facility should be the most current numbers, i.e., those at the
new site.
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20. How would a facility report 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 facility should report?
The facility creating the waste would report the chemicals as an off-site transfer. The treating facility
would not need to report unless they manufacture, process or otherwise use the same chemical in excess
of the thresholds. In that case, they would report any releases resulting from wastes as part of their
total annual releases of the chemical.
21. Must importers/exporters report for materials stored in public warehouses?
Owners or operators of covered facilities must report. If importers/exporters neither own nor operate
the warehouse, they would not need to report for that warehouse.
22. 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 of fish 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 should report on the ammonia, if the threshold for ammonia is exceeded,
since he is operating the system -- he has more than just a real estate interest in the property. Since
the facility (both businesses) is in SIC 20-39 and he is operating part of that facility, he should report.
23. Mom and Pop Plastics is a wholly owned subsidiary of a major chemical company which is a wholly
owned subsidiary of Big Oil Corp. Which is the parent company?
Big Oil Corporation is the parent company.
D. Multi-Establishment Facilities
24. 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 of production or produce the most revenues for the
establishment. The form provides 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.
25. 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 covered facilities will be equivalent to an establishment.
However, a reporting facility can encompass several establishments located within a property boundary,
owned/operated by the same "entity." Therefore, a facility can be a multi-establishment complex.
26. Each establishment of a multi-establishment facility files its own Form R for a toxic chemical. The
waste that this multi-establishment facility ships off-site is inventoried on an entire facility basis. To
report this waste, does each establishment estimate their percentage of the total waste or can one
establishment report the entire waste?
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If individual establishments or groups of establishments report separately for one chemical, they must
report separately all releases of that chemical. Therefore, in the case cited above one establishment
cannot report the offsite transport quantity of a chemical in waste from the entire facility. Each
establishment would have to report their percentage of the transfer quantity.
*27. A multi-establishment facility mines ore containing copper. At the mining facility, all the ore is
processed through a concentrator. After leaving the concentrator, 20 percent of the product stream is
sold, while the remaining 80 percent of the product stream is sent on for further processing, such as
smelting and refining. If the facility mines and sells more than it smelts, is it a mining facility? What
is the primary SIC code?
In order to make the facility coverage determination, one must compare the relative value of
products shipped and/or produced at the two different establishments (i.e., mining versus the
smelting/refining). The value of the product produced at the mining establishment (not in SIC codes
20-39) is the market value of all the concentrated ore produced during the calendar year. The value of
products from the smelting/refining establishment (in 20-39) is the value of the products shipped and/or
produced minus the market value of the concentrated ore processed to produce the products. In other
words, you do not double count the value of the concentrated ore as part of the value of products from
the smelting/refining operation. If the "value-added" of refined products is greater than the value of
mined/concentrated ore, then the facility's primary SIC code would be within codes 20-39 and would be
subject to reporting.
28. 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 chemical volumes processed,
manufactured, or otherwise used at both establishments.
29. A facility is filing separate reports for section 313 for each establishment within a facility. How
would a transfer of a toxic chemical to another establishment within the facility be reported? (i.e.,
transfers waste to another establishment that then treats and disposes the toxic chemical).
Inter-facility transfer of wastes would not constitute off-site transport and would not be reported.
An establishment need only report releases to the environment and wastes that are transferred off-site
from the facility for final disposal.
*30. A food processing establishment in a facility processes crops grown at the facility in a separate
establishment The primary SIC codes should be determined by calculating the value of production
attributable to each establishment How would this facility go about making this determination?
The facility should subtract the value of the crops grown at the agricultural establishment from the total
value of the product shipped from the processing establishment. The value of the crops would be their
worth if sold on the open market without further processing. This "value added" approach avoids
double counting of products that undergo sequential or additional handling among establishments in the
same facility. If the food processing and any other manufacturing establishments have a greater value
than the crops production establishment, this is a covered facility that may be subject to section 313
reporting.
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31. Is my facility covered by section 313, if the value of laboratory research at my facility is greater
than 50 percent of the total value of goods and services produced at my facility?
If the research laboratory is a separate establishment from the manufacturing activities and its SIC code
is not between 20 and 39, then the 50 percent test is used to determine if the whole facility is in SIC
codes 20-39. In this case, the facility would not be subject to reporting because the primary SIC code is
not within codes 20-39. However, if the laboratory is within SIC codes 20-39, because they are
"auxiliary" facilities providing research to support manufacturing operations, the facility could be covered
by section 313.
32. Is an off-site landfill subject to reporting under section 313 if it a) is not part of a "covered facility"
in that it is not contiguous or adjacent to the property of the reporting facility, and/or b) does not fall
within SIC Codes 20-39?
A landfill, as a separate facility, is not subject to reporting because it is not in SIC Codes 20-39.
However, a manufacturing facility, within SIC Codes 20-39 which meets reporting criteria, must list an
off-site landfill (company-owned or not) on the reporting form (Part II of EPA Form R) if they transfer
wastes containing the toxic chemical to that landfill for disposal.
33. For reporting year 1988, if a company has a plant in one state which processes 27,000 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 in 1988 because the processing threshold of 50,000 pounds has not been met by
either facility. However, if either facility processes 27,000 pounds of methanol in 1989, it would have to
file a Form R for methanol by July 1, 1990.
E. Form R Requirements
34. After contacting Dun & Bradstreet several times to obtain DUNS numbers for several facilities, a
consulting firm was told by D&B that they will give out the DUNS number only to the individual
facilities. Does the consulting firm have any recourse for obtaining these numbers?
The facility or financial officers may know the number, or may need to call D&B themselves. Company
headquarters DUNS numbers are in Dun and Bradstreet reference publications, Reference Book of
Corporate Management and Million Dollar Directory, available at some public libraries. Some libraries
conduct computer searches of the DUNS Market Identifiers database for a fee to obtain individual
facility DUNS numbers. DUNS numbers are also available through online services (e.g., DIALOG). If
a facility does not subscribe to the D&B service, a "support number" can be obtained from the Dun &
Bradstreet center located in Allentown, Pennsylvania (telephone (215) 391-1886).
35. 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 3.7. The corporate Dun and Bradstreet Number should
be entered in Part I, Section 4.2 relating to parent company information.
36. If two plants are separate establishments under the same site management, must they have
separate Dun & Bradstreet numbers?
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They may have separate Dun & Bradstreet numbers, especially if they are distinctly separate business
units. However, different divisions of a company located in the same facility usually do not have
separate Dun & Bradstreet numbers.
*37. The instructions for completing Form R indicate that the report should only contain SIC codes for
manufacturing establishments in Part I, Section 3.5 on page 1. A facility has the option of reporting as
an entire facility or as separate establishments, all part of the covered facility. If an establishment filed
a separate Form R, what SIC code would be used in Part I, Section 3.5? Would an SIC code be entered
for an establishment not in SIC 20-39?
The establishment completing the Form R would list the SIC code of that establishment.
However, if the establishment's SIC code is not within codes 20-39, it can either list its SIC code or
enter NA. The instructions do not require the listing of SIC codes outside of the codes 20-39.
38. If you have an NPDES permit, but do not discharge toxic chemicals to surface water, do you have
to fill in Part I, Section 3.9?
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.
*39. If a facility enters an NPDES permit number on Form R, must it also enter the receiving stream
name?
The NPDES permit number must be supplied whether or not there are releases of that specific
reported chemical to surface water. The receiving stream/water body name(s) must be provided on the
first page of the form only if the facility indicates release(s) to surface water Part III, Section 5.3 on
page 3 of the Form R. The name of the stream should be the same as it appears in the facility's
permit.
40. A facility is composed of two separate establishments and is filing two separate Form R's for
section 313 reporting. For Part I, Section 3.5, what SIC codes are to be listed?
Enter in Part I, Section 3.5, only the SIC code of the establishment whose data is included in the
report. The SIC code for the other establishment of the facility would be included in its own Form R
submittal.
41. 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
(Appendix F) for a detailed description for determining longitude and latitude from USGS maps of your
facility location.
F. Chemical Activity Threshold Determinations
42. If a facility buys 10,000 pounds of a listed chemical in 1988 and creates a mixture, for example a
metal cleaning bath, and then uses the bath that year and the next calendar year, how do they
determine thresholds for both years?
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The threshold applies to the total amount of the chemical otherwise used during the calendar year. 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. The use of this bath during the second year constitutes
reuse/recycle of the mixture. Therefore, only the amount of the chemical added to the bath during the
second year (1989) would be counted toward the use threshold determination for the second year.
43. A facility knows only the minimum concentration of a chemical in a mixture used in their
operations. How should they report?
The facility should use the minimum concentration for threshold and release calculations because this is
the best information they have.
44. If you operate a treatment plant as part of remediating a Superfund site on your facility, do
contaminants (already there, not being added to) have to be included in calculating thresholds and
releases?
Such material is not included in threshold determinations since it is not being manufactured, processed,
or used. Release reporting is required if the SIC code, employee number and threshold criteria are met
for the chemical. In that event, a release does not include material already in a landfill, but does
include any material released to the environment by remedial activity or transferred off-site.
45. Must a facility include welding rods, solders, and the metals being joined during a welding or
soldering job in threshold determination?
Yes, however, if no releases occur from the joined metal parts themselves they may be considered
articles and only the welding rods or solder must be assessed for threshold purposes.
46. A chemical manufacturer (SIC Code 28) receives other facilities' wastes containing toxic chemicals
and disposes of them in their deep well. Does the receiving facility need to report these toxic
chemicals?
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 toxic chemical above the threshold amount, the
disposal of other facilities' wastes containing this toxic chemical would be reported as a release on Form
R even though the amount of the toxic chemical in these wastes was not included in the threshold
determination.
47. If a facility uses a recycle or reuse system, how does it determine the amount that it must consider
for threshold determinations?
For recycle or reuse, the amount considered used for a threshold determination is the amount added to
the system during the year. If the system is completely empty and is started up during the year, a
facility determines the amount used by adding the total amount needed to charge the system to any
amount which is added to the system during the year.
*48. A refining facility uses glycols and sends the spent glycols off-site via pipeline to a second refining
facility for recycle. This spent glycol stream contains dioxane. The second refining facility recycles the
glycols and sends the clean solvent back to the first facility. During the reprocessing, dioxane
evaporates to the atmosphere. Is the second facility manufacturing, processing or using dioxane? Is it
just treating the chemical and thus should not add it into any threshold determinations?
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The second refinery is neither manufacturing, processing, nor otherwise using the dioxane. It is
only disposing of the chemical (i.e., it evaporates as a result of the glycol purification). That dioxane
would then not be considered in threshold determinations. However, if for any other reason the second
facility met an activity threshold for dioxane, it would need to add in these dioxane releases from the
glycol refining process when reporting releases of dioxane.
49. If a facility manufactures 19,000 pounds, processes 18,000 pounds, and imports 7,000 pounds of
chemical X during 1989, is it required to report for chemical X?
For 1989, the facility would have to report 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 is the equivalent of manufacturing and therefore the amounts must be added together for
threshold determinations.
50. Our facility purchases a mixture containing toxic chemicals. We store it and then sell it to our
customers without even opening the boxes. Must we report on these chemicals?
Report on toxic chemicals that your facility manufactures, processes, or otherwise uses in excess of the
applicable activity thresholds, but do not report on standing inventory. Since you are not
manufacturing, processing, or using these toxic chemicals, you do not have to report them.
51. How are warehouses affected by section 313?
A warehouse located within the physical boundary of a "covered facility" is covered for estimating
releases. Warehouse contents are not used in threshold determinations, because thresholds are based on
manufacture, process, or use (i.e., throughput rather than storage volume). Repackaging at a warehouse
is considered processing and the quantities of the toxic chemicals repackaged would have to be factored
into facility process threshold determinations for the chemicals.
G. Auxiliary Facilities
52. Are "auxiliary" facilities associated with manufacturing operations in SIC codes 20 through 39
exempt from reporting under section 313?
No. An "auxiliary facility" is one that directly supports another establishment's activities and therefore
takes the SIC code of the 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 determinations. For
example, a spill from the warehouse would be included in the covered facility's release quantities.
53. An airplane engine repair shop (generally SIC 7699) owns an "auxiliary" facility at a separate
location that does metal plating (generally SIC 3471 -- Plating of Metals and Formed Products). Would
the plating facility be exempt?
According to the SIC code manual, this plating facility would not be "auxiliary" but 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
between SIC codes 20-39.
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II. DETERMINING WHETHER OR NOT TO REPORT: LISTED CHEMICALS
(see also Appendix A: Section 313 Policy Directive #5 - Chemical Categories)
A. General Questions
54. What list of chemicals is subject to reporting under section 313?
The law defined the list of toxic chemicals. The initial list (with certain technical modifications and
revisions) appears in the final rule and in the instruction booklet for completing EPA Form R. EPA,
from time to time, has been revising the list. To obtain information on the latest additions or deletion
from the list of toxic chemicals, contact the Emergency Planning and Community Right-to-Know
Information Hotline.
55. What is the difference between the section 313 list and other EPCRA lists?
Some overlaps exist between lists of chemicals covered by different sections of the law. Section 313
focuses on chemicals that may cause chronic health and environmental effects. The section 313 list was
developed from lists of regulated chemicals in New Jersey and Maryland. The EPA "List of Lists"
document identifies chemicals that are specifically listed and must be reported under Sections 304 and
313 of EPCRA.
56. Can common or trade names other than those listed hi the rule be used for submissions?
No. EPA has provided a list of standard chemical names and CAS numbers for all chemicals which
must be reported. The rule requires the use of these standard names. Many Form Rs, submitted
previously, could not be processed because unlisted CAS numbers or names were used.
*57. We use a chemical with a CAS number not on the list of section 313 toxic chemicals. There are
similar chemicals on the list, but none with the same CAS number. How can I be sure I don't have to
report?
As a general rule, the facility should focus on the available CAS number of chemicals present at the
facility and compare them to the CAS number listing of reportable sections 313 chemicals. Be aware,
however, that a complex mixture, such as naphtha, has a specific CAS number itself, but may also be
composed of listed section 313 chemicals. Therefore, the facility should use all available information at
the facility, not just the CAS number, when attempting to identify reportable chemicals in materials.
Also, certain specific chemicals (e.g., copper chloride) may not appear in the CAS number list but are
reportable under a compound category listing (e.g., copper compounds).
58. How are chemical categories handled under section 313 threshold determinations and release
reporting?
All chemicals in the category that are manufactured, processed or otherwise used at a facility must be
totaled and compared to the appropriate thresholds. Threshold determination for chemical categories is
based on the total weight of the compound. Releases of metal compounds are reported as releases of
the parent metal portion of the compounds. If the metal and corresponding metal compounds exceed
thresholds, a joint report for metal compounds, including the parent metal, can cover both reporting
requirements.
•59. A facility processes aluminum, vanadium, and zinc. These three chemicals are listed under section
313 with the qualifier "fume or dust" Is this processing operation subject to reporting?
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If the processing of these substances generated (i.e., manufactured) any fume or dust during its
operation or if the three substances were processed or otherwise used, at any time, as a fume or dust in
the operation, the processing would constitute a reportable use of a listed section 313 toxic chemical.
The manufacturing, processing, or otherwise use of these substances in fume or dust form would be
subject to threshold determinations.
60. If an item on the section 313 list incorporates chemicals with multiple CAS numbers (e.g., nickel
compounds), how is the CAS number of the item described?
Do not enter a CAS number in such cases. Instead, enter NA in the space for the CAS number in Part
III, Section 1.2 of Form R. The individual chemical members of a listed category are not required to
be, and should not be, identified in the report.
61. Do the 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 categories. EPA interprets these
listings to mean all compounds of nickel for example, regardless of whether specific lexicological
problems have been identified for a specific compound in the category.
62. Must releases of listed chemicals used as fumigants be reported if other criteria and thresholds are
met?
Yes. Fumigant use would be subject to the 10,000 pound "otherwise use" threshold.
63. Some chemicals released into the environment react to form other chemicals or chemical
compounds, for example phosphorus (a listed chemical) oxidizes in air to form phosphorus pentoxide
(not a listed chemical). Which should be reported, the transformed chemical or the source chemical?
How would the report(s) be prepared if both the source and result chemical are listed?
Report releases of the listed chemical. The facility is not responsible for reporting a chemical resulting
from a conversion in the environment.
B. Chemicals in Solution
64. What is the strict interpretation of a sodium hydroxide solution? Does it have to be in solution
when it leaves your facility? Should I consider the quantity of the entire solution or just the weight
fraction of sodium hydroxide? Why did EPA add the qualifier (solution) to the listing of sodium
hydroxide. Should sodium hydroxide pellets be ignored?
Only the actual quantity of sodium hydroxide in the solution should be considered for threshold or
release determinations. Congress included the solution qualifier on the section 313 list because this
qualifier was used in one of the state lists which served as the basis for the 313 list. Solid forms of
chemicals which are listed as solutions should not be included in threshold and release calculations.
Solid pellets of sodium hydroxide should not be factored into threshold release calculations. However, if
the solid is made into a solution at any point in the process, then it becomes reportable.
65. In determining maximum amount on-site and thresholds, do we count the water in solutions (e.g.,
NaOH, NH^NOj)? Do we count the nonmetal portion of metal compounds?
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Exclude the water in solutions. The nonmetal portion of metal compounds is included.
66. Does the qualifier "solution" as used with sodium hydroxide, for example, apply only to aqueous
solutions? How would we interpret an aqueous-based slurry such as a drilling mud? What about
molten sodium hydroxide?
The qualifier "solution" is not limited to aqueous solutions. For example, petroleum based solutions
would also be included. Regarding slurries, NaOH would be dissolved in water in the slurry, and should
be considered as a solution. Molten sodium hydroxide is not a solution and is not covered.
C. Chemical-Specific Questions
*67. A facility processes methylenebis(phenylisocyanate) abbreviated MBI. MBI is listed under section
313 with the CAS number 101-68-8. The MBI purchased by the facility, however, has the CAS number
26447-40-5. How should the facility treat this material with regard to section 313 reporting
requirements?
The listed chemical and the purchased chemical are similar but not identical. The purchased
chemical is termed by the Chemical Abstract Service as an incompletely defined substance which may
contain the listed chemical. The facility must use all available information (e.g., supplier notification
information), to identify the amount of the listed toxic chemical present in the purchased material for
threshold and release determinations and report for 101-68-8, not the mixture.
*68. Is Xylene (mixed isomers) CAS number 1330-20-7 a specified weight percent combination of
m-xylene, o-xylene, and p-xylene? Does the mixture 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.
*69. Xylene mixed isomers are present in two of a facility's refined products. For 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.
The CAS number 1330-20-7 on the list of Section 313 toxic chemicals is for any combination of
the isomers. When the threshold and de minimis concentration for each isomer are exceeded
independently, the facility may report separately or as mixed isomers. When the threshold and/or de
minimis are not exceeded independently, but are exceeded collectively, they should be reported under the
CAS number for mixed isomers.
70. I have hydrochloric acid with a listed content of 100 percent HC1. I know that means 37 percent
HC1 and 63 percent water - there is no higher concentration made. Which concentration must I use
for threshold determination?
You should calculate the HC1 content based upon the 37 percent concentration.
*71. A facility neutralizes an acidic waste stream by placing dry sodium hydroxide into the waste
stream. Sodium hydroxide is listed on the section 313 list of toxic chemicals as having the qualifier "in
solution." In this scenario, if the facility meets the other applicabilities of section 313, would this be
considered as an otherwise use of a sodium hydroxide solution?
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The facility is not responsible for reporting sodium hydroxide solution unless the resultant pH of
the wastestream is above 9.
72. A facility receives a chemical mixture, 70 percent of which is toluene diisocyanate. Of this 70
percent, the supplier has told them that 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, which is not on the section 313 list. Should the facility report?
CAS number 26471-62-5 represents the mixture of the 2,4 and 2,6 TDI isomers. Each of these isomers
are reportable under section 313. Since the facility knows that the two listed isomers are in the
formulation and knows the concentration of each isomer, the facility should report if the individual
thresholds are exceeded.
73, Vanadium pentoxide is not explicitedly listed under section 313, although vanadium does appear on
the list. Are we correct in assuming that we don't need to report for vanadium pentoxide?
Yes. Vanadium is listed only as a fume or dust under section 313. A compound such as vanadium
pentoxide is not subject to reporting.
74. For releases of sodium hydroxide (solution) in NPDES effluent discharges within pH 6-9 range,
does EPA agree that no reportable amounts are in the pH 6-9 effluent?
Yes, EPA agrees that a neutralized discharge (i.e., with pH between 6-9) contains no reportable amount
of sodium hydroxide (solution).
75. • Although the category of glycol ethers requires reporting under section 313, I 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 or aryl groups, and R' = R,H, or groups which,
when removed, yield glycol ethers with the structure: R-(OCH2CH2)n-OH. 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.
76. Is dipropylene glycol having a HOC^HjjOC^HOH structure considered a glycol ether for section 313
toxic chemical reporting?
Dipropylene glycol is an ether but not a section 313 reportable glycol ether since it has
(OCH2CH2CH2)jv instead of (OCH2CH2)jv in its structure.
«
77. 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 section 313 reporting?
First, the wire would remain an article if no releases of copper (e.g., dusts) occur during manufacture of
the glass bulbs. 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. First determine the form of the copper in the
wire. 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 compounds, the entire weight of each
copper compound must be used for threshold determination.
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78. Are vinyl chloride, a listed toxic chemical, and polyvinyl chloride, not listed, the same thing?
Polyvinyl chloride is not a listed chemical or a listed synonym of vinyl chloride, and it does not need to
be reported. It is a polymer based on the reaction of vinyl chloride. Only "free" vinyl chloride within
the polymer should be evaluated for threshold determinations.
79. Are chemical monomers such as acrylonitrile, butadiene and styrene, which are contained in a
plastic co-polymer known as ABS, reportable under section 313? The ABS is in pellet form and melted
and molded; therefore, it doesn't meet the article exemption.
If the acrylonitrile, butadiene, and styrene are present in an unreacted form in excess of de minimis
concentration then they are reportable. Although those monomers comprise ABS, they are probably in
the form of another compound and, therefore, are not reportable under section 313.
80. The CAS number for Di-(2-ethylhexyl) phthalate (DEHP) is listed as 177-81-7 on page 4531 of the
February 16, 1988 Federal Register. The CAS number for DEHP is also listed on page 4536 of this
Federal Register, but is given as 117-81-7. Which CAS number is the correct one?
The correct CAS number for DEHP is 117-81-7.
81. For section 313 reporting, a catalyst contains 61 percent total nickel, which includes 26 percent free
nickel and 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 category, therefore the full weight of nickel compounds must be used in the threshold
determination for nickel compounds. A separate threshold determination is required for the free nickel
since nickel is a separately listed chemical under section 313.
82. Asbestos, with CAS number 1332-21-4, is a listed 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: Azbolen (CAS 17068-78-9), Actinolite (CAS 77536-66-4), Amosite
(CAS 12172-73-5), Anthropylite (CAS 77536-67-5), Tremolite (CAS 77536-68-6), and Serpentine.
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 in the "friable" form.
83. How is the process of removing asbestos from a site reported?
A facility that manufactures, processes, or otherwise uses friable asbestos yi excess of an applicable
threshold must report asbestos waste disposal (e.g., accumulated asbestos waste pile disposal requires
reporting). But a facility that only "uses" the asbestos for piping insulation is is not required to report
because structural components of the facility are exempt and removing the material does not constitute
manufacture, process or otherwise use.
84. Are releases of asbestos from demolition of an old plant reportable?
No. In this case, the asbestos is not being manufactured, processed, or otherwise used. Therefore, no
releases of asbestos must be reported unless there are other covered activities involving asbestos at the
facility.
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85. A product is immersed into a plating bath containing nickel chloride (NiCl). This is done to bond
nickel to the product prior to distribution in commerce. Nickel is incorporated into the final product
(processed) whereas the chloride remains in the plating bath (otherwise used). Since nickel chloride is
reportable under the nickel compound category of section 313, which threshold applies for this
situation?
The threshold determination is made based on the total amount of nickel chloride processed and the
report will be filed for nickel compounds.
86. 53 FR 4538 describes 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. Most of the cyanide compounds that
dissociate are' cyanide salts which are subject to section 313.
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III. MIXTURES (see also Appendix A: Section 313 Policy Directive #4 - Compounds and Mixtures)
87. 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.
88. 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 at the facility to identify the listed'section 313
chemicals in the mixture. A separate report must be filed for each chemical for which the fraction of
the chemical in the mixture multiplied by the total weight of the mixture processed or otherwise used
exceeds the applicable threshold. The chemicals are treated as if they were present in pure form and
each is reported with its CAS number.
*89. For a mixture containing a chemical compound that is part of a listed chemical category, should
the weight of the parent material be used in threshold determinations?
No, the total weight of the chemical compound is used in making threshold determinations.
*90. When should the mixture name field (Part III, Section 2) on Form R be used?
The mixture name field is to be used only when you know that a mixture you purchase and
process or use contains a listed 313 substance but you do not know which chemical (i.e., the supplier
keeps the chemical identity trade secret). Use the chemical or chemical category name field (Part III,
Section 1.3) in all other circumstances (unless you have a trade secret chemical and are filling out a
sanitized version of the form).
91. If a facility only knows the range of concentration of a section 313 chemical in a mixture, are they
required to use the upper bound concentration to determine threshold as stated in the February 16,
1988 Federal Register? 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 final rule does not discuss ranges, it only says that 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 value
is reasonable. For the combination of three chemicals, the facility should split the range among the
three chemicals based on the knowledge that they have, so the total equals 10 percent. They do not
have to assume 10 percent maximum for each chemical.
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IV. SUPPLIER NOTIFICATION
92. MSDSs for the solvents we use give trade name or generic names only. Do we have to contact the
manufacturer for more information to report under Part III of Form R?
If only a trade name or generic name is known and the presence of a section 313 chemical is known,
then that can be reported in Part III. Beginning in January 1989, suppliers will be required to provide
the identity of the listed chemical (CAS number and chemical name) and concentration in mixtures.
The manufacturer may claim the information trade secret, but must provide a name that is descriptive of
the chemical and at least an upper bound concentration in the mixture.
93. By what exact date must supplier notification be done?
A supplier must notify each customer of any toxic chemical present in a mixture or trade name product
with at least the first shipment of the mixture or trade name product in each calendar year beginning
January 1.
94. Is a facility subject to supplier notification requirements if it distributes products containing more
than the de minimis level of a listed metal compound?
Yes, if you distribute these products to other manufacturers or processors, and you are in SIC Codes 20-
39, you are subject to the supplier notification requirements. Articles and consumer products are
exempt from supplier notification.
*95. Do supplier notification requirements apply only to a situation where the customer is in SIC code
20 through 39 and has more than 10 employees?
A company is responsible for providing supplier notification to a covered facility within SIC codes
20 - 39 and with 10 or more employees, and to customers who in turn may sell or distribute to a
"covered facility." Such a customer may be a wholesale distributor who is not in SIC codes 20 - 39 but
sells to other manufacturing facilities.
*96. Are some mixtures of Section 313 listed chemicals exempted from the supplier notification
requirements? A mixture, as defined in section 313 regulations, does not include a combination of
chemicals produced as the result of a chemical reaction.
A mixture is defined under section 313 as a combination of two or more chemicals, if they were
not combined as a result of a chemical reaction. However, if this combination was formed by a
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.
*97. Are sales samples covered for purposes of supplier notification?
Sales samples are covered unless they meet one of the stated exemptions in 40 CFR 372.45(d) of
the regulation, such as articles or products distributed to the general public. Such samples are not sold
but are "otherwise distributed" by the covered facility. If, however, the sample is a pure covered
chemical and is labeled as such, then no supplier notification is required.
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98. Does a supplier have to tell a customer that a section 313 chemical is present below the de minimis
level (1.0 percent, or 0.1 percent for OSHA carcinogens)?
No. Such information is not required.
*99, Companies are required to notify their customers of the presence of listed toxic chemicals in the
products sold to them, regardless of the volume of those chemicals. Why are there no supplier
notification thresholds for section 313?
No lower limit was placed on the quantity of toxic chemicals because EPA cannot predict what
combination of products in what volumes will trigger a threshold for any given user/processor of
mixtures and trade name products.
*100. A company that makes conveyors for airlines also sells small cans of spray paint to them for use
in touch-ups of the paint on the conveyors. The paint is not distributed or used by the general public.
Is the company exempt from section 313 supplier notification under the consumer product exemption
because the paint is packaged and used like a consumer item?
No. The exemption does not apply because the paint is not packaged for distribution to the
general public.
101. Is supplier notification required for distributors in Standard Industrial Classification (SIC) major
group 51 which do not manufacture or process any listed toxic chemicals for mixtures containing toxic
chemicals?
Distributors in SIC major group 51 which do not manufacture or process a toxic chemical 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
SIC codes 20-39, who purchases a mixture or trade name product containing a toxic chemical.
*102. A manufacturer lists chemicals on Section II of the MSDS under hazardous ingredients; it is
possible that none of the 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 II?
A supplier should include the section 313 statement in their MSDS if one or more of the
chemicals in the mixture or trade name product are section 313 chemicals. The facility is not required
to make a "negative declaration" that none of the components in the mixture are subject to section 313.
A supplier may, however, provide this statement on its own initiative.
*103. A facility is covered under 40 CFR Part 372.45(a)(3) if it sells or otherwise distributes a
compound containing a toxic chemical to a person who may sell or otherwise distribute it to a facility
described in Part 372.22. To what extent is a facility required to determine if the facility receiving the
shipment distributes the toxic chemical to a manufacturer?
The facility should use the best available knowledge. The manufacturer of the mixture must send
the supplier notification to the "middle man" distributor if it has a reasonable basis to conclude that the
distributor provides the product to manufacturing facilities. Such a conclusion could be based on the
nature of the product and its intended market.
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*104. A facility, although in SIC codes 20-39, repackages and distributes some chemicals manufactured
by other companies. Is the facility responsible only for passing on the manufacturer's information to its
customers?
The repackaging facility must provide supplier notification to its customers. 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 accurate information to its customers. EPA
suggests, but does not require, that the repackager inform the supplier of the inaccuracy in their MSDS.
105. I own a small chemical company who supplies some section 313 toxic chemicals to customers.
My customers are requesting MSDS information and want the CAS number for every chemical in my
mixtures. I thought I only had to supply that information for the listed toxic chemicals.
If you wish, you may provide them with the CAS numbers for all of the chemicals in your mixtures, but
under section 313 you are only required to provide information on the listed toxic chemicals (i.e., those
chemicals subject to reporting under section 313).
*106. 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 rule does not require them to
contact the supplier. If, however, the company does voluntarily contact the supplier and the supplier
provides more detailed information then that becomes the "best" information and the facility must use it.
*107. 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 rule states that if the products are required to have an MSDS
then the supplier notification must 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.
*108. Would EPA accept an annual notification by letter to customers as satisfying the supplier
notification provisions of the section 313 regulation (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 supplier notification regulations require that
a new notification be provided when the presence or composition of a listed toxic chemical in the
product changes.
*109. 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 and not specifically for
manufacturing facilities in SIC Codes 20-39, supplier notification is not required.
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*110. If a mixture contains a chemical compound that is a member of a reportable section 313
chemical category, how should that be addressed on the supplier notification? Is it acceptable to
provide the percent of the parent metal?
If a mixture contains a chemical compound (i.e., 12% zinc oxide) that is a member of a
reportable chemical category (i.e., zinc compounds), the supplier is required to notify his customers that
the mixture contains a zinc compound at 12% by weight. Supplying only the weight percent of the
parent metal (zinc) does not fulfill the requirement, but may be done to aid receiving facilities in
estimating releases. The customer must be told the weight percent of the entire compound for
threshold determinations.
nil. 40 CFR Part 372.45(b)(l) states that to fulfill the section 313 supplier notification requirement,
the notification shall include: "(a) statement that the mixture or trade name product contains a toxic
chemical or 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 requirement of 40 CFR
Part 372.45(b)(l). However, the statement should clearly state that the chemical is subject to section
313.
*112. Do the supplier notification requirements under section 313 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 chemical (e.g., a
product labelled with the listed section 313 name or identified by CAS number). The identity of the
toxic chemical will be known based on label information and CAS numbers as long as a trade name is
not used. Supplier notification applies to mixtures and trade name products.
113. 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, we strongly
encourage importers to request content and composition data on imported mixtures. EPA will also be
exploring means of voluntary notification by foreign suppliers.
114. Is supplier notification required from a manufacturer of a toxic chemical in SIC codes 20 through
39 which sells a waste mixture containing a toxic chemical off-site to a recycling or recovery facility that
is covered by section 313?
Yes, supplier notification is required because the toxic chemical is sold to the recycler. The notice the
facility would be required must provide the percentage and identity of the toxic chemical in the- mixture
that is sent to the recycling or recovery facility. If the material is, however, sent off-site as a waste for
the treatment or disposal, then no supplier notification is required.
115. A facility sends empty drums containing toxic chemicals residue to a drum recycler (within SIC
Code 20-39.) Must the facility provide a supplier notification?
No, the supplier notification requirement only applies to products that are supplied or distributed. The
only chemicals being transferred are in the form of waste and the supplier notification does not apply to
waste.
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*116. Do transfers of products or materials from one of our company's facilities to another require
supplier notification?
Yes. The language of the rule covers material that it "sells or otherwise distributes." In this
sense, the "otherwise distributes" language 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 covered toxic chemicals in their products, then the Agency would accept this as
satisfying the supplier notification requirement.
*117. A multi-establishment facility is not covered (i.e., does not meet the SIC code criteria) but one of
the establishments within the facility is within SIC codes 20-39. Does the language "facility or
establishment" in the supplier notification part of the rule subject this one establishment to the supplier
notification provisions?
No. EPA has determined as a matter of policy that the phrase "or establishment" does not
extend coverage of the supplier notification provisions beyond that of a "facility" as defined by section
372.22 (b) of the rule. Therefore, in the case of a multi-establishment facility not subject to the rule, an
SIC 20-39 establishment within that facility would not be required to provide section 313 supplier
notification. However, the Agency encourages such an establishment to comply voluntarily so that its
customer 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
establishment may assume the supplier notification responsibility for that facility.
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V. ACTIVITIES AND USES OF THE CHEMICAL AT THE FACILITY
118. What is the difference between "process" and "otherwise use"?
"Process" implies incorporation; the chemical added is intended to become part of a product distributed
in commerce. "Otherwise use" implies non-incorporation; the chemical is not intended to become part
of a product.
119. Are the thresholds for manufacture and process considered separately? That is, if one
manufacturers 49,000 pounds of chemical A and processes 49,000 pounds of chemical A, does chemical
A need to be reported?
Thresholds are considered separately for manufacture, process, or otherwise use of the same chemical.
Reporting is required for 1989 and beyond because the threshold is 25,000 pounds for those years.
120. Are materials in inventory (i.e., amounts on hand at year end) factored into threshold
determinations?
No. Only quantities of a chemical actually manufactured (including imported), processed, or "otherwise
used" during the calendar year are to be counted toward a threshold.
121. Under manufacture/import, what constitutes import? Does the threshold apply if you have a
broker who imports the chemical for you, stores it for you, and then ships the chemical to you? What
criteria apply?
Use of a broker does not negate facility "importation" of a covered chemical. If your facility specified
that a listed chemical or mixture be obtained from a foreign source and you specified the amount, then
your facility "imported" the chemical. The criteria are that you caused the chemical to be brought into
the customs territory of the U.S. and you "control the identity of the chemical and the amount to be
imported."
122. Do chemicals produced coincidentally to manufacturing, processing, or otherwise using have to be
reported?
Chemicals produced coincidentally are subject to reporting. In the case of coincidental production of an
impurity, however, the de minimis limitation applies. An impurity is the residual amount of chemical
remaining in a final product for distribution in commerce.
123. How can wastewater treatment "products" be considered as manufactured from a treatment
process?
The rule's 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 chemicals may not be
produced for commercial purposes. They are, nevertheless, created as a result of the facilities activities
and their release to the environment must be accounted for.
124. A facility adds hydrochloric acid and sodium hydroxide to waste water to neutralize the waste
water prior to discharge. Are these activities manufacturing or processing, or are these chemicals
"otherwise used"?
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Because hydrochloric acid and sodium hydroxide are not incorporated in a final product distributed in
commerce, both chemicals are "otherwise used" with thresholds of 10,000 pounds each.
125. A process at a facility draws steel rods into a smaller diameter. Is this manufacture, process, or
otherwise use? How do I report?
This activity is considered processing because the toxic chemical remains incorporated in the final
product distributed in commerce. Only apply the amount of each chemical in the rods processed toward
the applicable activity threshold if the toxic chemical is present above the de minimis level.
126. 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 toxic chemical. For section 313 threshold determination, would this be an
"otherwise use" of benzene, or would this use be exempt as product testing?
This would be considered otherwise used for the section 313 threshold determination, since the benzene
is being used in a non-incorporative activity in order to train individuals to use a product. Training is
not considered product testing or research and development.
127. 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 manufacturing aid helps to run the equipment and is never incorporated into the
product Examples include lubricants, coolants, and refrigerants.
128. We have purchased in excess of 100,000 pounds of aluminum material in block form to make a
mold which stays on site. When making the mold, fumes and dust are a byproduct Do we report
aluminum as the chemical?
Aluminum appears on the list of chemicals as "aluminum (fume or dust)". You must determine if you
manufacture, process, or otherwise use aluminum fume or dust. In this case, you are not processing or
otherwise using, but do "manufacture" aluminum fume or dust coincidentally as a byproduct of making
molds. Therefore, you must report for aluminum (fume or dust) if you exceed the 25,000 pound
manufacturing threshold for the reporting year.
129. A facility melts aluminum ingots, reshapes them, and injects them into a die to form parts. Does
the 25,000 pounds processing threshold apply to the amount of molten aluminum processed?
For calendar year 1989, the 25,000 pounds 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 produce more than 25,000 pounds of aluminum fume or dust air emissions in
their processing operation.
130. A remanufacturer of auto engines cleans the engine parts and thereby produces a lead-containing
waste (from gasoline lead deposits). Are they a manufacturer, processor, or otherwise user of lead
compounds?
The facility neither manufactures, processes, nor otherwise uses lead. Lead is not incorporated into
products for distribution 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.
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*131. A multi-establishment facility, 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 in storage tanks onsite. The facility also loads other tanker trucks with gasoline
that distribute the gasoline to service stations. Are the 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 the toxic chemicals in the
gasoline.
132. If a solvent is used in a process and 85 percent evaporates but 15 percent stays with product, is
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 should be 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.
133. Is soldering light bulbs using lead solder considered processing of the solder?
Yes, it incorporates the solder into a product for distribution in commerce.
134. An electroplating facility uses metal cyanide compounds in their electroplating operations. Are
they processing or otherwise using those cyanide compounds, and how do they determine whether they
meet the threshold and which activity threshold applies?
The parent metal from the metal cyanide compound is plated onto a substrate electrochemically, leaving
the cyanide as waste product. The parent metal is "processed", while the cyanide is "otherwise used".
Metal cyanides are reportable under section 313 as both cyanide compounds and metal cyanides. Select
the threshold based on the action that involves the portion of the compound that identifies the category
(i.e., cyanide for cyanide compounds). The total weight of the compound counts for both the metal
cyanides threshold and the cyanide compounds threshold.
135. A facility uses sulfuric acid to etch chips, then the sulfuric acid is neutralized with ammonia,
forming ammonium sulfate. Which thresholds apply to each chemical? A facility uses sodium
hydroxide solution in a scrubber to control fluoride emissions. Which activity threshold applies to the
sodium hydroxide?
Chemicals not incorporated into a product for distribution in commerce are otherwise used. A 10,000
pound threshold applies to the sulfuric acid, ammonia, and sodium hydroxide if the byproducts are not
sold. The 25,000 pound manufacturing threshold applies to ammonium sulfate because it is
manufactured coincidentally as a result of the neutralization process.
*136. A facility uses methanol in its gas-carburizing heat treatment of steel. The main 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 methanol 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.
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*137. A chemical company processes formaldehyde in its manufacture of resin. The customers using
the resin must consider the formaldehyde toward a threshold determination under section 313. Some
formaldehyde will evaporate during use, although this evaporation process was not intended. Are the
users of the resin processing or otherwise using the formaldehyde?
Since the users do nothing to remove the formaldehyde, it is intentionally left in the final
product. Therefore, the formaldehyde would be processed.
*138. A facility uses a chrome anode in an electroplating bath of sulfuric acid to plate chrome onto
fabricated metal. Chromium compounds are generated in the bath and some chrome is deposited onto
the fabricated metal part. The unutilized compounds are sent to the facility's waste treatment process,
where hexavalent chromium is reduced to trivalent chromium. How are these reduced compounds
counted for section 313 threshold determination?
The threshold determination for chromium compounds is based upon the amount of chromium
compounds generated in the plating bath. Any subsequent transformations of hexavalent to trivalent
chromium compounds as a result of waste treatment does not affect the threshold determination. To do
so would involve double counting.
*139. 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
recycle. Can the company claim an exemption because the sheet metal remains an article, or must it do
a threshold determination because it has coincidentally manufactured zinc (fume or dust)?
Though the sheet metal remains an article during the processing of the sheet metal, zinc (fume or
dust), a listed chemical, is manufactured. This release negates the article exemption. The recycle/reuse
exemption does not apply to cases of manufacture. The company would have to make a threshold
determination based upon the quantity of zinc dust generated. The amount sent off-site for recycle is
not reportable, being the equivalent of a product sold in commerce. Any amount not recycled would
also be a reportable release.
140. Does the placing of a bulk liquid containing a small percentage of a section 313 chemical into
small bottles for consumer sale constitute a "use" of the mixture?
Yes, it is a type of "processing." If the bulk liquid contains a section 313 covered chemical in
excess of the de minimis level, the chemical in the liquid would have to be factored into calculations in
determining whether the processing threshold is exceeded for that chemical.
141. Paint containing listed chemicals is applied to a product and becomes part of an article. Does the
25,000 pound threshold apply? What about the volatile chemicals from the painting operation -- are
they "otherwise used," thus subject to the 10,000 pound threshold?
Yes to both questions. This is a case in which listed chemicals in the same mixture may have
different uses and, therefore, different thresholds. The listed chemicals that are incorporated as part of
the coating are "processed," whereas the volatile solvents in the paint are "otherwise used" because they
are not intended to be incorporated into the article.
142. A facility removes chemicals from groundwater in a cleanup action. The listed chemicals, after
treatment, are sent off-site for disposal. Is the facility required to report? Does the exemption for
intake water apply?
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Since the chemicals are not manufactured, processed, or otherwise used, no reporting threshold
applies to the cleanup action. If the chemicals are manufactured, processed, or otherwise used
elsewhere at the facility and exceed a threshold, releases from the cleanup must also be reported on the
Form R. Intake water exemption does not apply since the chemicals are not being used in process
water or noncontact cooling water.
143. A covered facility includes an agricultural establishment that use pesticides to spray crops. The
pesticides contain toxic chemicals subject to section 313 reporting. Is the pesticide considered
"otherwise used"?
Use of the chemicals in pesticides is considered "otherwise used" and the entire amount is reported as a
release.
*144. When completing Form R, how would a facility report the releases of a toxic chemical that is
used as a fertilizer? Would a facility which sends material to an off-site location need to count the
materials when they are used as fertilizers at that location? Would the application on-site constitute a
release to land on Part III, Section 5.5 of Form R?
If the toxic chemical is sent off-site to be recycled or reused as a fertilizer, then this activity
would not be considered a transfer of waste off-site. If it is used on-site, it would be otherwise used if
it contributes to the manufacturing process. The toxic chemical in the fertilizer would be reported as a
release to land: land treatment/application farming on Part III Section 5.5.2. If the fertilizer is used to
maintain the lawn, it would be part of facility grounds maintenance and exempt from threshold and
release determinations.
*145. 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.
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VI. EXEMPTIONS
A. General, Personal Use, and Intake Water or Air
146. Does a material retain its exemption even if other formulations, articles, or fuels with the same
chemical are not exempt?
Yes, the material retains its exemption.
147. Do office supply type products require coverage under section 313 reporting?
EPA does not intend to require covered facilities to account for listed chemicals in 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 activities and facility grounds
maintenance.
148. A facility meets the threshold for "otherwise use" of 1,1,1-Trichloroethane as a cleaner. Would
the release of that 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" would not be reported.
*149. A facility uses ammonia in gas cylinders in their blueprint machines. The facility uses a total of
12,000 pounds of ammonia per year in this operation, and does not use or process any other quantities
of ammonia. Is this use exempt from reporting under 313? There is an exemption for use of office
supplies for personal use under section 313.
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.
150. A facility uses river water as process water. The water taken from the river contains more lead (1.0
ppb) than the water returned to the river (0.5 ppb). Is it subject to the process water exemption? If
not, is the facility treating the water?
The process water can be considered exempt because the toxic chemical was present as drawn from the
environment (Section 372.38 (c)(5)).
151. Would a listed chemical present in compressed air be exempt? What if the chemical is present in
boiler emission air?
A listed chemical present in compressed air would not have to be counted toward a threshold
determination. If that same 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 chemical is
created as a result of combustion, you have coincidentally manufactured the chemical and must consider
it for reporting.
B. Facility Maintenance and Structural Components
152. How is routine maintenance defined in the exemption list? Is equipment maintenance included?
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Equipment maintenance such as the use of oil or grease is not exempt. The routine 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, in the same
form and concentration commonly distributed to consumers. Painting of equipment is exempt because
the paint becomes part of the structure of the facility.
153. Are solvents and other listed chemicals in paint used to maintain a facility exempt?
Yes. Painting to maintain the physical integrity of the facility is consistent with the "structural
component" exemptions, even though the solvents in the paint don't become part of the structure.
*154. The "structural component" exemption from section 313 reporting covers the small amounts of
abraded/corroded metals from pipes and other facility equipment. Would 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 structures and equipment such as
pipes. The abrasion/corrosion includes normal or natural degradation, such as occurs in pipes, but not
active degradation, such as occurs in a grinding wheel.
*155. A facility uses welding rods to maintain its equipment. The painting of equipment is exempt
because the paint is intended to become part of the structure. Are welding rods used to maintain
equipment exempt because the materials are intended to become part of the facility?
Welding rods used to repair and maintain equipment would be exempt from reporting under
section 313 because they are becoming a fixed part of the structure of the facility. In this way, they are
similar to paint, and unlike some replaceable maintenance materials like oil or grease. The term
"facility" includes all buildings, equipment, structures and other stationary items located on a single site,
or on contiguous or adjacent sites.
156. If a facility stores a toxic chemical on-site, and then uses it by installing it in the facility (i.e.,
copper pipes), is the facility required to consider the toxic chemical (a component) for section 313
submission?
If the chemical is in an article (i.e., copper pipe) it is not considered in threshold determinations.
When the substance is installed as a structural component, then the structural component exemption
applies to the toxic chemical in the pipes.
157. A facility has an ornamental pond on-site. Chemicals such as H^SO^, NaOCl, and other acids are
added to the pond to control algae. Does the addition of toxic chemicals to an ornamental pond on a
facility site qualify for the routine janitorial or facility grounds maintenance exemption [40 CFR
372.38(c)(2)]?
Yes. The chemicals used, however, must be similar in type or concentration to consumer products. The
facility owner/operator should also be aware that coincidental manufacture of other toxic chemicals that
may result from the addition of chemicals to the pond (e.g., C12 may be manufactured when NaOCl and
acids are mixed) is not covered by the routine janitorial or facility grounds maintenance exemption.
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158. 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.
159. Are degreasers used in plant maintenance shops exempt?
No, the degreasers would be considered "otherwise used."
C. Vehicle Maintenance (see also Appendix A: Section 313 Policy Directive #3 -- Motor Vehicles
Use Exemption)
160. Please verify that any motorized vehicle operated by the facility, whether licensed or not, is subject
to the exemption listed in section 372.38. This includes forklifts, tow motors, automobiles, etc., that
contain a motor. Also, please verify that gasoline, lubricants, oils, and anti-freeze are all considered to
be substances subject to this exemption.
The exemption includes benzene in gasoline and glycol ether in antifreeze used to maintain and operate
a facility motor vehicle. This exemption would not apply, however, in the case of an automobile
manufacturing plant. As part of the production of vehicles, such a facility would be incorporating the
chemicals into an article for distribution in commerce.
161. In the process of maintaining fork lift truck batteries, they are opened to add sulfuric acid as
needed. Is this sulfuric acid reportable under section 313?
No. Section 313 exempts the "use of products containing toxic chemicals for the purpose of maintaining
motor vehicles operated by the facility" (40 CFR Part 372.38). That amount would not be included in
the threshold determination.
D. Laboratory Activities
162. Does section 313 reporting include laboratory chemicals?
The quantity of a listed chemical manufactured, processed, or "otherwise used" in a laboratory under the
supervision of a technically qualified person is exempt from threshold and release calculations. This
exemption includes laboratories performing quality control activities and those located in manufacturing
facilities.
163. What is meant by "specialty chemical production" as an exception to the laboratory activities
exemption?
Specialty chemical production refers to chemicals produced in a laboratory setting that are distributed in
commerce.
164. Assume that a quality control laboratory, or area control laboratory, is part of a manufacturing
facility. Would it be exempt from calculating threshold quantities and release amounts for listed
chemicals?
Yes, assuming that such a laboratory is under the supervision of a technically qualified person and is not
engaged in pilot plant scale or specialty chemical production.
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165. A facility sends materials which are sampled from processing operations to a laboratory for quality
control purposes. Are these quantities exempted under the laboratory exemption, provided that they are
handled by a technically qualified individual?
No, any quantity of a covered 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 the facility to subtract that quantity from the total amount of the
chemical factored into the threshold determinations.
166. Is a bench scale or pilot scale reactor for a pilot plant excluded from the laboratory exemption?
A bench scale reactor would not be exempted as part of the pilot plant laboratory activities if it is used
to make products distributed in commerce.
*167. 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 exemption?
Equipment and component testing are interpreted as the equivalent of a laboratory activity and
thus are subject to the laboratory activity exemption.
168. Are the following marine engine testing operations that use listed section 313 chemicals exempt
under the laboratory activities exemption: (a) testing of production engines intended for sale in
specialized engine test cells; (b) testing engines for research and development purposes in specialized
engine test cells; (c) testing for research and development 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.
169. Section 372.38 lists uses of chemicals in laboratories which are exempt from threshold
determination and release 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 reporting requirements.
What is that reference?
Section 720.3(ee) is found in Toxic Substances Control Act (TSCA) regulations (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.
E. De Minimis (see also Appendix A: Section 313 Policy Directive #2 - De Minimis Exemption)
170. What is "de minimis" under Section 313?
De minimis refers to a concentration of a listed chemical in a mixture so low that threshold
determinations and release calculations are not required. It does not apply to wastestreams, but applies
to products purchased, sold, or commercially used by the facility.
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171. Please explain the de minimis limitation for mixtures and trade name products.
Listed toxic chemicals present in mixtures or trade name products at concentrations below the de
minimis level of 1.0 percent, or 0.1 percent for OSHA-defined carcinogens, do not have to be factored
into threshold or release determinations. This de minimis level is consistent with the OSHA Hazard
Communication Standard requirements for development of Material Safety Data Sheets (MSDSs).
172. Does the de minimis exemption apply regardless of whether a chemical is present as an ingredient,
an impurity, or in a waste?
The de minimis exemption applies to ingredients of mixtures or to impurities present in products
processed or used. It does not apply to wastes when chemicals in mixtures above the de minimis level
are manufactured, processed or used, and meet the applicable activity threshold. Wastes and releases
must be reported regardless of concentration. Further, when your operations create (manufacture) the
chemical in waste treatment, the de minimis exemption does not apply.
173. How do we determine whether the de minimis level for a section 313 listed chemical should be 1
percent or 0.1 percent?
The instructions for completing Form R for 1988 contains a list of covered toxic chemicals with the de
minimis level for each.
174. A facility uses a chemical mixture that contains a toxic chemical. If the maximum and minimum
concentrations listed on the MSDS range above and below the de minimis concentration levels, how can
the facility determine quantities for section 313 compliance?
The amount of the chemical in the mixture that is present above the de minimis level and therefore
counts toward the threshold, can be assumed to be proportional to the ratio of the above-de minimis
concentration range to the overall 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 concentration.
175. A raw material contains less than the de minimis level of a listed chemical. During processing,
the chemical is concentrated to above the de minimis level in a solid waste that is disposed in an on-site
landfill. Should the chemical handled in the process line be included in the facility threshold
determination? Do releases from the process line or wastestreams containing above the de minimis
level require reporting?
The de minimis exemption applies to the raw material. You do not have to consider it further even if a
toxic chemical is concentrated above the de minimis level in a waste.
F. Articles
176. Are metal "articles" exempt from threshold determinations in normal processing, use, or disposal?
Metal "articles" are exempt from threshold determinations if, during their normal processing or use no
toxic chemical is released and no substantial change in form occurs. Disposal of solid wastes that are
recognizable as the processed article is not a release that negates the article status.
*177. Please clarify the Agency's policy on releases of less than 0.5 pounds per year.
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The Agency has adopted a "round to the nearest pound policy". Therefore, releases or off-site
transfers of less than 0.5 pounds per year of a chemical to any environmental media could be rounded
down to zero. For purposes of the exemption for articles, if the processing or use of an article(s)
results in a release less than 0.5 pounds in a year, the release could be considered zero and the article
status would be maintained.
*178. 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, releases must be
less than 0.5 pound/year to any media. Does this cut-off value apply to aggregate releases of the same
type of item being processed or used in the same way or to releases from all manners of processing or
use of the same type of item?
The 0.5 pound/year release cut-off value applies to aggregate releases from the same type of item
being processed or used in all manners at the facility. This value applies to the total aggregate releases
of the toxic chemical from both steps of the process. The various shapes resulting from the cutting are
"the same type of item" as the initial sheet. Thus any releases from grinding should be added to those
from cutting.
179. Does the article exemption in the Section 313 rule apply to preparation of the article? What
about processing or using that article?
The article exemption does not apply to the processing of chemicals to make articles. Manufacturing of
articles such as tableware is not exempt. When a facility manufactures a metal part and coats it, neither
process is exempt.
180. We take copper wire, cut it, and wind it around smaller spools. Is the wire still an article?
If there is no release of a toxic chemical during normal processing of the copper wire, then the wire
remains an article.
181. I run a metal fabrication facility, SIC code 34. If I cut the metal sheets and send the shavings
off-site for reuse, can I consider the metal sheets articles?
If the shavings that are formed during the cutting are the sole releases, and if all the shavings are sent
off-site for reuse, and the thickness of the metal sheet does not change during processing, then the
metal sheets are still considered articles and are exempt.
*182. 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 in part retain the basic
dimensional characteristic of the bar stock. The production of the part itself is dependent upon the
specific shape and dimension of the bar stock.
Bar stock is an article if its basic dimensional characteristics are maintained in whole or in part
in the finished product and zero releases occurring during processing. If the end product is totally
different in diameter or thickness, then the bar stock would not be an article.
183. Can facilities which extrude copper bars or rods into wire treat the bar or rod as an article?
No, 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
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bar cannot be considered an article. If you are changing the shape or form of an item substantially, you
are processing the chemicals; the article exemption no longer applies.
184. A facility uses a product that is in pellet form in its manufacturing operations. Is this product
considered an article and therefore exempt from reporting under section 313?
A pelletized product is not an article. If it is a chemical or mixture that is in a pelletized form because
such form is convenient for further processing by the facility or its customers, then the pellet is not an
article and its processing or otherwise using is subject to threshold determinations.
185. 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 they do not release PCBs 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.)
186. 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 consequently 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 toxic chemical under section 313?
No. 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. Manufacture of
articles is not exempt.
187. A facility (ship builder) uses lead bricks in ships as ballast. They remain permanently with the
ship. The lead bricks could be considered articles and therefore be exempt from reporting. However,
they infrequently cut some of the bricks, generating lead dust, which they collect and send to an off-site
lead reprocessor. How should they report? What should be counted towards the threshold if they are
not considered articles?
If all of the lead solid waste is recycled (i.e., none released to air) then no "release" occurs. Shipment
off-site for recycle does not constitute a reportable release. Therefore, the cut bricks retain their article
status. If any emissions of lead occur that are not recycled 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. For release estimates, only the lead not
recycled is counted.
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VII. RELEASES OF THE CHEMICAL
188. Is it true that the facility need not make any special effort to measure or monitor releases for
section 313 reporting and may use information that is on hand? If this is true, how will section 313
reporting produce complete data for the public on environmental releases?
The law states that covered facilities need not conduct monitoring 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.
189. Section 313(g)(2) of the statute states that the owner or 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 if monitoring data is known to be non-representative.
190. What is the definition of a chemical "release" under section 313?
The law defines a release as any "spilling, leaking, pumping, pouring, emitting, emptying, discharging,
injecting, escaping, leaching, dumping, or disposing to the environment". Under section 313, facilities
are required to take into account in their reports both "routine" and "accidental" releases to any
environmental medium.
"'191. When reporting release estimates on Form R, release estimates are required to be rounded to no
more than two significant digits. Should release estimates always be reported in whole numbers, or
should decimal places be reported in certain instances?
When reporting release estimates on Form R, always report using whole numbers (i.e., round to
the nearest pound).
192. Is the disposal of wastes such as dusts, shavings, or turnings that result from grinding or drilling
of metal items considered "releases of toxic chemicals"?
Yes, such releases of "non-recognizable" solid wastes such as dusts, shavings, or turnings are considered
releases of toxic chemicals.
193. Tank trucks and rail cars physically enter a facility. While loading, toxic chemical emissions
occur. Are these emissions subject to reporting under section 313?
Yes, because the loading and the releases occur within the facility boundary, the releases must be
reported if the applicable activity threshold is exceeded for the toxic chemical.
194. Are barge loading/unloading releases exempt?
Such releases must be reported if the barge terminal is part of a covered facility.
*195. Are releases from lab hoods considered fugitive air emissions?
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The releases from lab hoods are point source air emissions. Therefore, the releases should be
accounted for in Part III, Section 5.2 of Form R.
196. Do we need to report leaking, abandoned landfills? What if we don't know if it is leaking?
Leaks from landfills need not be reported. EPA requires reporting of the amount of a chemical placed
in an on-site landfill during the year. It is not necessary to estimate migration from the landfill.
*197. A facility discharges waste containing listed section 313 metals to an on-site cooling pond. The
metals accumulate and settle over time, 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 this be
reported?
The ultimate disposal of listed chemicals from the facility during the reporting year must be
reported. Chemicals remaining in the sediments are "released to land." Chemicals sent to a receiving
stream when the waste water is drained are "released to water." Materials dredged and sent off-site for
recycle of the chemical are not reported as a release or transfer; others sent off-site not for recycle are
reported as a "transfer off-site."
*198. How are chlorine releases reported? Must chlorine, CAS number 7782-50-5, be reported if it is
transformed into another chemical compound during the release process?
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 in the
wastestream prior to release, the facility must still report if an activity threshold is met, but the amount
reported may be zero.
199. I process a plastic pipe which is 3 percent formaldehyde. I also know how much formaldehyde is
emitted when I process the pipe. Do I need to report these emissions?
Yes, if the processing threshold for formaldehyde is exceeded.
200. A facility buys and sells rigid polyurethane foam insulation containing a fluorocarbon. If the
fluorocarbon is Freon 113, would they have to report the Freon 113 released to the air when they cut
the insulation?
Freon 113 is a frothing agent used to produce rigid polyurethane foam and is intended to remain in the
foam cells to give it density and insulating value. If foam containing higher than the de minimis
concentration of Freon 113 is cut, releasing the chemical, that foam cannot be considered an article.
The Freon 113 in cut foam pieces counts toward the processing threshold and if the threshold is met,
the facility must report the chemical released when the insulation is cut. Normal/natural diffusion of
Freon 113 from the foam does not have to be considered a release.
201. 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 "releases 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 III, Section 5.2 of Form R.
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202. A facility has a liquid wastestream which is incinerated. The incineration is 99.9 percent effective
and eliminates the liquid wastestream. However, the 0.1 percent is released to air as a gaseous
wastestream. Does the facility need to report this wastestream in the waste treatment section of Form
R?
The facility does not need to report a gaseous wastestream in Part III, Section 7 of Form R. The liquid
wastestream is 100 percent treated through incineration. The air emissions created, if any, would be
reported as a release to air and the quantity would be included in Part III, Section 5.2, stack or point
air emissions. If the air emission is further treated then that air emission would be listed as a gaseous
wastestream and the treatment documented in Part III, Section 7.
203. 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 material goes. A material that
evaporates would be reported as a fugitive air emission. A nonvolatile material leaking onto land, or
any material leaking from an underground pipe, would be reported as a release to land, and entered in
Part III, Section 5.5.4, Other disposal.
"'204. 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 hydrochloric acid into the wells. It 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?
The facility must consider their use of hydrochloric acid as a release to land even though the acid
is neutralized in the process of cleaning the well. EPA does not allow facilities to take credit for
conversions of the chemical in the environment after that chemical has been released by the facility.
205. A section 313 substance 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 solid 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 supportable estimate that part of a release to air 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.
206. Do the section 313 reporting requirements overlook the possibility that a substance can lose its
identity as a side product in a reaction, and that the difference between "input and output" volumes may
not always be due to a release?
The section 313 rule does recognize that a chemical can lose its identity in a reaction. The facility has
to account for the amount they either manufacture or process regardless of whether the chemical is
converted to another chemical in the process. Releases must then be calculated for any part of the
process involving the chemical.
207. If a facility monitors for a chemical and the measurement is below the limit of detection of the
method, can they report zero releases?
Although monitoring results may be below detectable limits, this does not mean that the chemical is not
present. The facility must use reasonable judgment as to the presence and amount of the chemical; one
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approach is to use half the detection limit as the wastestream concentration. The facility should not
estimate releases based solely on monitoring devices, but also on their knowledge of specific conditions
at the plant.
208. If a company measures its own leaks (valve, flange, pump, etc.) and determines a new fugitive
factor, is this code "E" or "M" or "O"?
The company should use the code "M" if it measured releases of the chemical from its equipment at the
facility to determine its release amount. "E" is used only for published emission factors which are
chemical specific. However, in this case, the company would use "O" which is used if it measured leaks
generally or applied non-published factors developed at other facilities.
209. If total releases are obtained using combination of basis, how do we report "Basis of Estimate" in
Section 5, Column B?
Report the basis used to calculate the major portion of each release entry. See the examples in the
instructions to the form.
210. 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 manufacturing. The refinery user would have to correct for differences
in concentrations of the mixtures, because SOCMI factors are based upon pure substances being
released.
211. EPA's fugitive emission factors for equipment leaks for the Synthetic Organic Chemical
Manufacturing Industry (SOCMI) and some air emissions factors listed in EPA's document AP-42,
"Compilation of Air Pollutant 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.
212. 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.
213. How does one use the storage tank equations in Appendix C to estimate air emissions for a
specific 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 weight fraction of the chemical in the gaseous emission. The required
formulas are found in this technical guidance document but are not listed in a step-by-step procedure.
214. The emission factors used to estimate releases to air from leaks in pipes are time dependent.
What amount of time should be used to determine fugitive emissions from emission factors?
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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 toxic chemical, since a release will occur
whether a chemical is moving or stagnant in the pipe.
215. How does a facility owner or 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 Treatment Efficiencies for the
Toxic Chemical Release Inventory Form.
216. 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 published data on similar
substances should be used.
217. If off-site reclaimers are not to be included in the off-site locations which handle wastes, are
emissions discharged by these reclaimers included as point emissions or are they not reported?
A facility owner/operator should not report either transfers for off-site recycling of the chemical or the
chemical releases from such a reclaimer. The facility owner/operator is only responsible for reporting
toxic chemical releases from this own facility.
218. If the calculated threshold of sodium hydroxide, for example, is based on the mass utilization of
the solution, would the emission of a wastewater stream containing 1 ppm of NaOH be the actual mass
of NaOH or the mass of wastewater?
Only the actual mass of the toxic chemical being released should be reported, in this case the mass of
sodium hydroxide. Note, however, that in this specific case, if the wastestream has been neutralized so
that the pH is in the range 6-9, the release of sodium hydroxide would be zero for reporting purposes.
219. We manufacture paint and one of the chemicals we use is toluene. We used the "Estimating
Releases" guidance document but the answer given is for toluene and mineral spirits and thus is much
too high. Can we use the 6 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 Appendix C, Note (1), p. C-6 of Estimating Releases
and Waste Treatment Efficiencies for the Toxic Chemical Release Inventory Form. EPA document
560/4-88-002.
220. 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
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in the equation. D is the square root of {(4)(area of liquid surface)}/3.14. H is the same as for vertical
tanks.
221. How can one estimate emissions of chlorine from use in cooling water treatment? We have tried
to estimate the emissions 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 release since: chlorine is only slightly
soluble in water, reacts with chemicals in the water, and dissipates in side reactions. Measured residual
chlorine times recirculation rate times lost water fraction may also overestimate release (residual
includes other forms of chlorine), but may be the only way to make a reasonable estimate. There are
no readily available emission data on chlorine from cooling water systems.
*222. In Part III, Section 6 of Form R (discharge to POTW), if the facility monitors hydrogen chloride
in waste and the pH is between 6-9 (considered to be 100 percent neutralized), would the release
reported be zero or NA?
No toxic chemical is released to the POTW. However, since there is a potential for release of
the particular chemical to the POTW, the POTW should still be listed on Part II of Form R and the
releases to the POTW in Part III, Section 6 of Form R would be reported as zero rather than NA.
223. If H2SO/HC1 (sulfuric acid/ hydrochloric acid) were spilled outside a building on 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 under Part III, Section 7 of Form R?
No, the use of the absorbent would not be considered a treatment. Only if the acids were neutralized
would that activity be considered treatment. If the absorbent were drummed and sent to a landfill, that
would be listed as a transfer to an off-site location. Any acid left on the ground must be accounted for
as a release to land.
224. Form R requires estimates of the release to the environment of chemicals in 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 calendar 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
enforcement action if they believe that the data do not represent reasonable estimates.
225. For releases or transfers off-site that are reported as zero, what should be reported as a basis of
estimate? If we put "NA" (i.e., 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 ("O") releases then you need to
supply a basis of estimate.
226. Explain the naming of receiving streams.
You are required to report the name of each stream "to which chemicals being reported are directly
discharged". If you have no such discharge, enter "NA".
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227. A facility determines that it can estimate stormwater releases of a listed 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 chemical is ultimately released. What do
they report as the "receiving stream" on Part I, Section 3.10(a) of the form?
The facility would put "city-owned storm sewer" or the equivalent because this is all they know. To
leave the receiving stream item blank or put "NA" would be identified as an error when the Form R is
entered to the computerized database of section 313 data.
228. If a facility has a cement lining or other leak restricting device in the area where they store toxic
chemical containers and a release from the stored chemicals occurs, how is this reported on Form R?
If the 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 HI, 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.
229. If a POTW has no current estimate of treatment efficiency for each section 313 chemical, is "NA"
acceptable?
You need not report the treatment efficiency for any off-site facility to which transfers of toxic chemicals
occur. Facilities must account for the annual quantity of the listed toxic chemical(s) released to a
POTW, but are not required to estimate the treatment efficiency of the POTW.
230. What are the technical guidance manuals for specific industries?
These documents help specific industries or operations to determine reporting requirements and estimate
releases. They cover: electroplating; semiconductors; textile dyeing; wood products manufacture and
preservation; organic coatings application; rubber production; printing; paper and paperboard; leather
tanning; monofilament fiber manufacture; formulating aqueous solutions. To order copies of any of
these documents, see the section 313 document request form on page 66.
231. Why are the range codes grouped together in logarithmic scale?
For quantities on-site, the ranges were patterned after TSCA inventory reporting as suggested by
Congress.
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VIII. WASTE TREATMENT METHODS AND EFFICIENCY
232. Does the waste treatment section apply only to the facility completing the report?
Yes, this section of Form R applies only to the treatment of toxic chemcials that occur at the reporting
facility.
233. Where multiple sources are combined for treatment, should each source be listed in the Part III,
Section 7 of Form R with a common efficiency, or should only the combined stream be shown?
Report only the combined (or aggregate) wastestream and report the treatment and its efficiency.
However, a wastestream that is treated before combination with other wastes, which are then
subsequently treated, should be reported on a separate line.
234. A facility has a sequential treatment process in which the influent concentration and treatment
efficiency for each step is known. How should they report on the form?
The facility may report in either of two ways: (1) Report influent concentration for the first step and
report overall treatment efficiency for the entire process as per the instructions and check the sequential
treatment for each step; or (2) Report each influent concentration and efficiency for each step. In this
case, do not check sequential treatment boxes, as this will create confusion as to the meaning of the
efficiency listed in the last treatment step.
235. If a wastewater treatment system contains an oil skimmer or other phase separation treatment, is
this reported as a sequential treatment step for each of the separated phases, or for just for one phase?
The separation step is a sequential treatment step for one liquid phase (the one with the larger volume,
in this case, water). The other phase must be considered a new wastestream and must be listed
separately on the form if treated subsequent to its separation.
236. We send our sludge to a biological treatment device on-site. The microbes in the system exist in a
buffered solution. As a result, the toxic chemical (a mineral acid) in the sludge is neutralized (pH 7.3).
How do I account for biological and neutralization treatment in one process in Part III Section 7 of
Form R? After that, the waste goes to settling ponds where solids settle out. Is this also a sequential
treatment step?
List the biological treatment first with a zero efficiency because it does nothing to the toxic chemical.
Enter the neutralization treatment with a 100 percent efficiency since pH 7.3 is considered complete
neutralization for an acid. Check the sequential treatment box. As for the settling ponds, the toxic
chemical ceased to exist upon complete neutralization, so this step does not need to be included in Part
III, Section 7 of the Form R for the mineral acid.
237. On-site wastewater treatment plant sludges which may contain trace amounts of section 313
chemicals are composted on-site. 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?
The amounts supplied to the on-site sanitary landfill as cover should be reported on Part HI, Section
5.5.1 of the Form R. The amount used for landscaping on-site is exempt under the facility grounds
maintenance exemption (Section 372.38(c)(2)).
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*238. A facility uses one vat to store either acid or base depending on their orders. When the vat is
emptied, it is treated with base if it contained acid; acid if it contained base. The resulting wastestream
is outside the 6-9 pH range. Does a new wastestream have to be entered in Part III, Section 7 of Form
R each time the vat contents switch?
No. Enter one line of waste treatment data that describes treating the acid, if that is the
chemical being reported. Enter one line of data that describes treating the base, if that is the chemical
being reported.
239. We have two waste streams, one contains NaOH and the other HC1. These streams are combined
for neutralization; they then stay 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 chemicals? When does a toxic chemical
cease to exist by neutralization?
Neutralization is the treatment method for both chemicals. If the pH is between 6 and 9, then the
efficiency is 100 percent -- no toxic chemicals are released - no off-site transfer need be reported. If
the waste is acidic, report transfer of HC1 off-site and calculate efficiency from input and remaining acid;
no NaOH is released. For a basic waste, acid is 100 percent neutralized and the efficiency is 100
percent with no HC1 transfer off-site, but the NaOH must be reported as an off-site transfer.
240. If sodium hydroxide (solution) is spilled, but neutralized before leaving plant boundaries, should
the quantity spilled be included in the facility's release report?
If the sodium is 100 percent neutralized, no quantity should be reported.
241. How is an auxiliary scrubber that is designed and used only to mitigate emergency releases
reported?
The influent concentration and treatment efficiency of the scrubber as it operates 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 wastestream.
242. Should the influent concentration to treatment for metal compounds be reported for the parent
metal only?
Yes, because only releases of the present metal are reported on a Form R for a listed metal compound
category.
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IX. TRANSFERS TO OFF-SITE LOCATIONS
243. A facility sends waste containing a section 313 chemical off-site to a TSDF which, in turn, sends
the waste to another facility for recycling. Should the facility report this activity, since the waste is
ultimately recycled? Or should they report as M90: Other Off-site Management in Part III, Section
6C, since it is a location to whfch they transfer wastes?
Part VII of the preamble to the section 313 final rule states that "transfers to a reprocessor or recycler
of chemical waste are not reportable as off-site transfers." Since the reporting facility knows the toxic
chemical is ultimately being recycled or reprocessed, the facility would not report the off-site transfer. If
the facility could not document that the waste was being recycled, it must report the off-site transfer.
*244. The section 313 instructions require listing of different types of treatment for a particular waste
sent off-site to the same location. Does this apply to sequential treatment of waste at the same
location? Should the same estimate for amount sent off-site be entered for both treatment steps or just
the final treatment step?
For waste sent off-site to the same location, the reporting facility is not required to list sequential
treatment steps. For wastes that are sequentially treated off-site, the facility would provide one code
that best describes the type of treatment occurring as a sequence and report the total quantity of the
toxic chemical sent to this off-site location. If however, a waste sent offsite is treated in two different
ways (e.g., half incinerated, half landfilled) enter the amounts to each.
245. What about shipment for recycle? For example "empty" drums containing a residue of a toxic
chemical are sent to a drum remediation site which is not a treatment, storage, or disposal facility. Are
such facilities listed as off-site TSD facilities? (The chemical is not being recycled, but the carrier, that
is the container, is.)
Shipments for recycle of the chemical should not be reported. However, recycle of drums or recycle of
other constituents of a waste does not qualify as recycle of the chemical; such transfers should be
reported. The example cited should be reported as an off-site transfer with appropriate code such as
M99- unknown, or M61- wastewater treatment in Part III, Section 6C of Form R.
246. Why does the section 313 Form R require disclosure of off-site locations to which toxic chemicals
are transferred? The Act only requires the disposal method employed.
The conference committee report directed EPA to require reporting of releases to air, water, land, and
waste treatment and disposal facilities. Legislative history treats off-site facilities as an equivalent
environmental medium. EPA believes Congress intended to include reporting of quantities and locations
of off-site waste treatment and disposal facilities to identify how and where chemicals enter the
environment.
*247. Some waste brokers recycle or resell to other "disposers." By considering the treatment disposal
category waste broker (M91) as a release under section 313, could releases be double-counted?
A facility would not double count by using the waste broker code if that is the only or last
recipient of the waste that they have knowledge of. An off-site transfer is not considered a release, and
waste brokers may not report under section 313 because their facility may not be in SIC codes 20-39.
*248. 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?
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The recycling "exemption" must be based on the positive knowledge that the listed chemical being
reported is actually recycled, recovered, or reused by the off-site facility.
*249. Some toxic chemicals shipped off-site are manifested by a handling code that relates to "Transfer
Station." They must also list the location to which the waste was last shipped but not the ultimate
disposal or treatment site. In Part II, Section 2, "Other Off-Site Locations," should reporting facilities
list the transfer station "waste broker" as indicated by the manifest or list the facility which ultimately
disposes of or treats the toxic chemical?
The reporting facility should list the "ultimate" destination of which they have knowledge. If the
last known destination of the waste is the transfer station, then the facility would use the code for waste
brokers (M91) on Part III, Section 6C of Form R.
*250. A facility receives chemicals in a tank car. The car once emptied remains at the facility for a
period of time before being returned to the supplier (or wherever). 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 out and the quantity disposed, it must be counted as an off-site
transfer.
*251. Chromium dioxide is part of a waste stream sent to an incinerator. In the incinerator, the
chromium dioxide is reduced to elemental chromium that remains in the ash. The ash containing
elemental chromium is mixed with cement and sold. Is this toxic chemical recycled or reused and
therefore not reported as an off-site transfer?
The chromium compound can be considered reused because the off-site facility is incorporating it
into a product distributed in commerce. According to the information provided, the ash containing the
chromium is not being disposed of by the off-site facility. Thus, for purposes of the section 313
regulation, the chromium compound sent to this location does not have to be reported as an off-site
transfer.
*252. A facility treats their wastewater on-site and discharges it to a pipe which runs through a POTW
and then on to a stream. The POTW does not treat the waste but monitors the wastewater and allows
it to pass into the stream if it meets treatment standards. If it does not meet standards, the POTW
shuts a valve in the pipe. The wastewater is released under the POTWs 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.
253. How do we treat a solvent sent off-site for distillation and returned to us for use?
The amount of solvent sent to another facility for distillation is not reported as a transfer of the
chemical to an off-site location (e.g., it should not be reported in Part III, Section 6 of Form R). The
quantity of the solvent returned to you must be treated as if it were a quantity of the chemical
purchased from any other supplier and must be used for threshold determination.
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254. What RCRA ID number does a facility list if it sends a non-hazardous waste containing a section
313 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.
255. Our facility produces 200,000 pounds of 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 III, Section 6 of Form R?
That section of Form R requires you to report the actual amount of 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.
256. A printer uses a solvent to clean presses and sends soiled rags to a launderer. Is 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 M90 -
Other Off-site Management or M99 - Unknown in Part III, Section 6C of Form R.
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X. WASTE MINIMIZATION
257. What is waste minimization? Are solid wastes as well as hazardous wastes included?
Waste minimization means reduction of the generation of listed toxic chemicals in wastes. Waste
minimization reporting applies to air emissions, solid wastes, wastewater and liquid materials that are
released, disposed, or treated.
258. What do facilities that have not performed any waste minimization include in the report?
The waste minimization portion of the reporting form is optional.
259. Where can facilities obtain waste minimization figures from the previous year?
Companies can obtain waste minimization information about the year prior to reporting from various
sources, including (but not limited to) inventory data, recycle/reuse data, engineering reports on process
modification, and product development studies.
260. If a facility modifies a process for economic reasons which results in a waste reduction, should
this be reported as minimization?
Yes. Any changes that result in less of the listed toxic chemical being generated in waste may be
included. Codes are provided to identify changes. Examples include equipment and technology
modifications, process changes, procedure modifications, and improved housekeeping.
261. Would RCRA-permitted incineration of waste count as waste minimization under MS (Other
Treatment Methods)?
No. Treatment or disposal can not be reported as waste minimization on Form R. The emphasis is on
facility activities that reduce generation of wastes, not treatment of wastes.
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XL TRADE SECRETS
262. 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 chemical to be claimed as a trade secret. The rest of
Form R must be completed, including releases of the chemical. For trade secrecy claims, two versions
of Form R (one identifies the chemical, the other contains only a generic chemical identity) and two
versions of a trade secret substantiation form must be completed and sent to EPA.
263. On Form R, if I don't check the "Trade Secrets" box in Part HI, Section 1.1, what other blocks
can I leave blank? Do I still have to fill in the CAS number?
If the chemical you are reporting is not a trade secret, the CAS number must be filled in along with the
chemical name (Part III, Section 1.3). However, if you are reporting for a chemical category, no CAS
number applies. Trade secret claims require that the generic name (Section 1.4) be completed.
264. How can competitors find out what has been reported to EPA?
Any person, including a competitor, can gain access to the non-trade secret reports received under
section 313. Except for the specific identity of a reported chemical that is claimed trade secret, all
information received under section 313 is public information. All non-trade secret information reported
will be available in a computer database.
265. For claiming trade secrets under EPCRA, would disclosure, without a confidentiality agreement to
the State and/or city having jurisdiction, negate a chemical identity's trade secret status under Federal
provisions?
In general, any disclosure of a chemical identity would negate the chemical identity's trade secret status
under Federal provisions. Once the trade secret claim is made, State governors are permitted to request
the specific chemical identity. The decision to provide information to any state employee is left to the
governor's discretion.
266. How will trade secret data be protected when EPA publishes health effects notices for the public?
A generic statement of the health and environmental effects of the chemical will be made available
through the computer database.
*267. A company with both domestic and foreign operations wishes to file a EPCRA trade secrecy
claim. All non-government entities in the foreign country are bound by a confidentiality agreement
regarding a chemical's identity and usage. However, there is no such agreement with the foreign
government because of its statutory guarantee of confidentiality for foreign business interests. Does this
constitute public disclosure?
Since there is no tangible "confidentiality agreement" this disclosure is reportable. Question 3.2
on the trade secret substantiation form should be checked "Yes." However, since the foreign
government's law guarantees confidentiality, regardless of a tangible agreement, the identity and usage of
the chemical has not been disclosed and is being protected, and this should be included in question 3.1
asking about confidentiality measures.
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XII. CERTIFICATION AND SUBMISSION
268. Where and how do I get copies of the forms?
Copies of Form R and other support documents may be obtained by contacting: Emergency Planning
and Community Right-To-Know Document Distribution Center, P.O. Box 12505, Cincinnati, Ohio
45212 (see the section 313 document request form on page 66).
269. Are there any extensions that a facility could get for filing Form R?
No. All toxic chemical release inventory forms must be postmarked no later than July 1. No extensions
will be given.
270. Can computer-generated forms be submitted for compliance with section 313?
The Agency has approved the facsimile outputs of certain privately developed software packages. A list
of the providers of software packages has been made available by EPA. Contact the Emergency
Planning and Community Right-to-Know Information Hotline for more information.
271. What is the status of magnetic media submission (e.g., on tape or floppy disk) for section 313
reports?
The Agency has published instructions for magnetic media submission (see the section 313 document
request form on page 66).
272. 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?
No. The final rule states that each unique chemical submission must contain an original signature. The
purpose of this requirement is to ensure that the certifying official has reviewed each chemical
submission. A photocopied signature does not fulfill this purpose and would be considered an
incomplete submission.
*273. 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 a 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).
274. If a facility has a manager who is the originator of the data in the form report, would he/she sign
the form or would it be the facility manager to whom this manager reports?
Your facility must make the determination regarding who meets the definition in the rule of a "senior
management official."
275. Are facilities required to include an original signature on forms going to the State as well as EPA?
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Under EPA's rule, an original signature on the certification statement is not required 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.
276. If the public contact item (Part I, Section 3.4) is left blank, can the facility later use a public
contact to speak to the news media on behalf of the technical contact, who may not be publicly
conversant?
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 inquiries. You may, of course, use any person you
choose to respond to such inquiries.
*277. For section 313, a facility submitted a Form R for isopropyl alcohol, CAS number 67-63-0, but
does not manufacture the chemical by the strong acid process. How should the facility notify EPA
about the correction?
The facility should resubmit a copy of their Form R submission for verification accompanied by a
cover letter explaining that the facility does not manufacture isopropyl alcohol by the strong acid
process. The Form R's will be processed by the Title III Reporting Center and assigned a Document
Control Number (DCN) as a miscellaneous entry in the tracking system, but will not be entered in the
release database. The form should be marked "revision" in red on top of page 1.
*278. A facility mistakenly determined a section 313 chemical to be otherwise used, rather than
processed, at their facility. As a result, the facility reported the chemical on Form R with 15,000
pounds used during the previous calendar year. Since they will not be reporting this chemical for the
next reporting year, is there any need to retract the previous year's reporting forms to prevent an
enforcement contact by EPA?
The facility is not required to retract the report. A facility may request to retract a form
submitted unnecessarily (i.e., a legitimate case of over reporting). However, in order to provide for
long-term integrity in the data base, EPA will not accept requests for form retraction later than one
year from the due date of that form. Since the facility overreported as a result of a threshold
determination error, it should thoroughly document the mistake in its recordkeeping for that Form R.
No letters or other documentation need be sent to the state commission or EPA at this time.
279. Regarding the technical contact, can this person be a different person for (a) each chemical? (b)
each separate part of a facility?
Yes. It is allowable to have different technical contacts for different chemicals or different
establishments within the facility, provided that only one "technical contact" is listed on each form.
'"280. If a 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 chemical even if the pages should be
blank), should the forms be resubmitted or should the facility wait for the forms to be returned by the
agency for correction?
The facility should resubmit the form, clearly marking in red ink on the space, "This space for
your optional use" that it is a voluntary revision. The information elements that are different from the
initial report should be made and circled in red ink and the document control number (DCN) for each
form being corrected should be included if available.
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281. Does EPA plan to go after non-reporters first before "auditing" reports from complying facilities?
Enforcement efforts during 1989 will focus on identifying non-reporters. In addition, notices of
non-compliance will be issued for forms containing errors or omissions, allowing a period of time for
corrections before penalties are assessed. Also, submissions with questionable technical entries will be
investigated, not purely as enforcement, but to identify problems in calculating releases to improve
EPA's guidance and instruction documents.
282. Are specific audit provisions in the regulations? Will audit results be made public? Can released
information be changed? What about resolving differences of opinion, i.e., does the auditor have final
judgement?
Specific audit provisions are not in the 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.
283. What type of quality control check does EPA make on each form it receives?
EPA has incorporated edit checks into the database to identify missing, incomplete, incorrect, and
suspect data elements.
284. How will questionable data be identified by EPA?
EPA has developed checks for completeness and, for some types of data, reasonableness of an entry.
For example, zero air emissions of a volatile chemical would be flagged. EPA will contact the facility
for clarification of such "questionable" data.
*285. A facility received 20 pages of errors and the Notice of Noncompliance (NON) states that they
did not have an original signature on the Form R submitted to EPA. How should the facility respond
to this NON?
EPA needs an original signature on file. A complete Form R must be resubmitted and this form
should be attached to the NON before they send it in. They should also respond to any other issues on
the NON, if any, and return the notice to EPA and to their state contact.
286. The enforcement requirements of EPCRA (section 325), state that the civil and administration
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?
Section 325(c)(i) states: "any person who violates any requirement of section 313 shall be liable to the
United States for a civil penalty in an amount 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
intends to assess penalties on a per chemical/facility basis with the option to include per day penalties,
depending on the circumstances of the violation.
287. 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"?
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No. The rule requires "NA" to be entered to inform the Agency that the submitter has not just
overlooked a section of the form. Leaving blanks would be considered non-compliance with the rule.
288. Can a facility submit one original copy each of Parts I (Facility Identification Information) and II
(Off-Site Locations) with several copies of Part III (Chemical Specific Information) for different listed
chemicals?
No. Submission of multiple copies of Part III, with only one copy of Parts I and II, would be
considered non-compliance. The final rule clearly requires that each completed submission contains all
parts of Form R (including Part IV, even if it is left blank). A Part I can be filled out once and
photocopied for inclusion in each report, but each copy of Part I requires an original certification
signature.
289. How can a facility be assured that the Agency has received a submitted form?
To be acknowledged of receipt of submissions, facilities should send forms using the U.S. Post Office
"Return Receipt Requested" mail service. The Agency will not respond to cover letters requesting
acknowledgement.
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XIII. EPA'S SECTION 313 PROGRAM AND GENERAL INFORMATION
*290. 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 Title III Reporting Center. The names of
those individuals and companies who requested section 313 Form R's can be obtained through a
Freedom of Information Act (FOIA) request to EPA (mailing address: USEPA, Geralene Green,
Freedom of Information Officer, 401 M Street, SW, Washington, DC 20460).
291. Where is the court case citation that cites Title III of the Superfund Amendments and
Reauthorization Act (SARA) as a distinct law separate from the Comprehensive Environmental
Response, Compensation, and Liability Act (CERCLA)?
The court case was decided on August 25, 1987 in the U.S. Court of Appeals (D.C. Circuit), case
number 87-1334, A.L. Laboratories vs. EPA, 826 F. 2d 1123 (D.C. Circuit 1987).
292. Where will information on toxic chemical emissions and health effects be made available?
A computer database is available to the public through the National Library of Medicine's TOXNET
computer system. The toxic release inventory database provides information on the toxic chemicals
which are routinely released to the environment. Health and environmental effects information on the
section 313 chemicals are also be available through TOXNET. EPA intends to make the data available
on microfiche to all county public library systems and federal depository libraries. In addition, EPA has
published a national report summarizing the data submitted. A magnetic tape of the entire database
may also be purchased from NTIS.
293. Will EPA be calculating or monitoring concentrations of toxics in ambient air?
The Agency plans to use TRI data for the purpose of screening and identifying potential environmental
problems.
294. What does OSHA consider to be a carcinogen under the hazard communication standard? Does a
potential carcinogen need to be included under this definition?
According to OSHA's definition: "a chemical is a carcinogen or potential carcinogen for hazard
communication purposes" if it is found on any of three lists: (1) the National Toxicological Program,
Annual report on Carcinogens; (2) the International Agency for Research on Cancer (LARC)
Monographs; or (3) 29 CFR Part 1910, Subpart 2, OSHA Toxic and Hazardous Substances. Both actual
and potential carcinogens are included under OSHA's definition.
*295. De minimis levels of 0.1 percent are assigned to carcinogens under section 313. How are
carcinogens defined? Is the OSHA definition or the ACGIH definition used?
The OSHA definition is used to determine the de minimis limits for section 313 (see instructions
to Form R for the list of de minimis limits). Chemicals listed by ACGIH as suspect human carcinogens
meet the OSHA definition of a carcinogen only if they have been so classified by NTP or IARC. Under
IARC, a chemical with a ranking of 1, 2A, or 2B, or having "sufficient" animal evidence is deemed to
meet the OSHA definition.
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*296. A facility was assessed a penalty under the section 313 enforcement response policy. How can
that facility contest this penalty assessment?
Section 313 penalties are administrative penalties (as opposed to criminal fines) and can be
contested as follows: an EPA Administrative Law Judge will hear the case at the regional level or at
EPA Headquarters. If the facility disagrees with that decision, they can appeal to an EPA Judicial
Officer. If they disagree there, they can appeal to the US Court of Appeals, and lastly, to the US
Supreme Court.
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SECTION 313 DOCUMENT REQUEST FORM
To receive a copy of any of the section 313 documents listed
below, check the box(es) next to the desired document(s).
There is no charge for any of these documents. Be sure to
type your full mailing address in the space provided on this
form. Send this request form to:
Section 313 Document Distribution Center
P.O. Box 12505
Cincinnati, OH 45212
Toxic Chemical Release Inventory Reporting Package
for 1989 (EPA 560/4-90-001 )
Comprehensive guidance document for complying with
section 313 requirements. This document includes a
blank Form R, the reporting instructions, the section 313
final rule, questions and answers about Section 313 and
the instructions for making magnetic media submissions.
Toxic Chemical Release Inventory Reporting Form R
and Instructions (EPA 560/4-90-007)
Detailed instructions for complying with the section 313
reporting requirements. This document includes a blank
Form R, step-by-step instructions for completing Form R,
and lists of SIC codes 20-39, all toxic chemicals, and
Regional and State designated contacts.
Section 31 3 Rule (40 CFR 372)
A reprint of the final section 313 rule as it appeared in the
Federal Register (FR) February 16, 1988.
TRI Magnetic Media Submission Guidance Package
(EPA 560/4-90-008)
Reports under section 31 3 may be submitted by computer
tape or floppy disk. This guidance package gives the
format requirements and other details for such submis-
sions.
Toxic Chemical Release Inventory Questions and
Answers (EPA 560/4-90-003)
Answers to frequently asked questions about the section
313 rule, organized by subject area. Appendix provides
technical directives to clarify complex reporting issues.
Q Common Synonyms for Section 313 Chemicals
(EPA 560/4-90-005)
This document contains common synonyms for the spe-
cially listed section 313 chemicals (synonyms for chemi-
cals in covered categories are not included).
G Comprehensive List of Chemicals Subject to Report-
ing Under the Act
(Title III List of Lists) (EPA 560/4-90-011)
A consolidated list of specific chemicals covered by the
Emergency Planning and Community Right-to-Know Act.
The list contains the chemical name, CAS Registry Number,
and which reporting requirement(s) the chemical is sub-
ject to.
Q The Emergency Planning and Community Right-to-
Know Act: Section 313 Release Reporting Require-
ments English Version: December 1989
(EPA 560/4-90-002)
This brochure alerts businesses to their reporting obliga-
tions under section 313 and assists in determining whether
their facility is required to report. The brochure contains
the EPA Regional contacts, the list of section 313 toxic
chemicals and a description of the Standard Industrial
Classification (SIC) Codes subject to section 313.
Q Supplier Notification Requirements
(EPA 560/4-90-006)
This pamphlet assists chemical suppliers who may be
subject to the supplier notification requirements under
section 313 of Title III. The pamphlet explains the supplier
notification requirements, gives examples of situations
which require notification, describes the trade secret
provision, and contains a sample notification.
Q Trade Secrets Rule and Form (FR Reprint)
A reprint of the final rule that appeared in the Federal
Register of July 29,1988. This rule implements the trade
secrets provision of the Emergency Planning and Com-
munity Right-to-Know Act (section 322). Includes a copy
of the trade secret substantiation form.
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Industry Specific Technical Guidance Documents
EPA has developed a group of smaller, individual guidance
documents that target activities in industries who primarily
process or otherwise use the listed toxic chemicals.
Electrodeposltlon of Organic Coatings January 1 988
(EPA 560/4-88-004C)
Electroplating Operations January 1 988
(EPA 560/4-88-004g)
Formulating Aqueous Solutions March 1988
(EPA 560/4-88-004f)
Leather Tanning and Finishing Processes February
1988 (EPA 560/4-88-004I)
Monofilament Fiber Manufacture January 1 988
(EPA 560/4-88-004a)
Paper Paperfaoard Production February 1 988
(EPA 560/4-88-004k)
Presswood & Laminated Wood Products Manufactur-
ing March 1988 (EPA 560/4-88-004J)
Printing Operations January 1988 (EPA 560/4-88-004b)
Roller, Knife and Gravure Coating Operations Feb-
ruary 1988 (EPA 560/4/88/004J)
Rubber Production and Compounding March 1988
(EPA 560/4-88-004q)
Semiconductor Manufacture January 1988
(EPA 560/4-88-0046)
Spray Application of Organic Coatings January 1988
(EPA 560/4-88-004d)
Textile Dyeing February 1988 (EPA 560/4-88-004h)
Wood Preserving February 1988 (EPA 560/4-88-004p)
Please type mailing address here (Do not attach business cards)
Name/Title
Company Name
Mail Stop
Street Address.
P.O. Box
City/State/Zip Code
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OTHER RELEVANT SECTION 313 MATERIALS
The Toxic Release Inventory: A National Perspective
(EPA 560/4-89-005)
This document summarizes the first year of toxic release
inventory data, and analyzes where toxic chemicals are being
released, along with the amounts and types of releases.
Available from: Superintendent of Documents, Government
Printing Office, Washington, DC 20402-9325, (202) 783-
3238, Stock Number: 055-000-00290-8, $14.95.
Toxic Release Inventory - On-line Database
A computerized on-line database of the toxic release inventory
data is available through the National Library of Medicine's
(NLM) TOXNET on-line system 24 hours a day. Other NLM
files on TOXNET can provide supporting information in such
areas as health hazards and emergency handling of toxic
chemicals. Information on accessing the TOXNET system is
available from: TRI Representative, Specialized Information
Services, National Library of Medicine, 8600 Rockville Pike,
Bethesda, MD 20894. (301) 496-6531, up to $25.00 per hour.
Toxic Release Inventory 1987 - Magnetic Tape
Contains the complete toxic release inventory for reporting
year 1987. Includes a brief overview of section 313 reporting
requirements, a sample Form R, lists of Regional and State
section 313 contacts. Available from: National Technical
Information Service, 5285 Port Royal Road, Springfield, VA
22161, (703) 487-4650, Document Number: PB89-186068-
HCR. 1600 (BPI) Density - $1,025.00, 6250 (BPI) Density -
$525.00.
Toxic Release Inventory 1987: Reporting Facilities Names
and Addresses - Magnetic Tape
Contains the name, address, public contact, phone number,
SIC code, Dun and Bradstreet number of each facility that
reported under section 313 in reporting year 1987. Also
includes, if applicable, parent company name and the parent
company's Dun and Bradstreet number. Available from:
National Technical Information Service, 5285 Port Royal Road,
Springfield, VA 22161, (703) 487-4650, Document Number
PB89-186118-HCR. $210.00.
Section 313 Roadmaps Database- Diskette
A database of sources of information on the toxic chemicals
listed in section 313. The database, created in 1988, is
intended to assist users of the toxic release inventory data in
performing exposure and risk assessments of these chemi-
cals. The roadmaps system displays information the section
313 toxic chemicals' health and environmental effects, the
applicability of Federal, State, and local regulations, and
monitoring data. Available from: National Technical Informa-
tion Service, 5285 Port Royal Road, Springfield, VA 22161,
(703) 487-4650, Document Number. PB89-133631-HCR,
$175.00.
Comprehensive List of Chemicals Subject to Reporting
Under the Act (Title III List of Lists)
Available as an IBM compatible disk from: The National
Technical Information Service, 5285 Port Royal Road, Spring-
field, VA 22161, (703) 487-4650, Document Number PB89-
158653-HCR, $50.00.
Estimating Releases and Waste Treatment Efficiencies
for the Toxic Chemical Release Inventory
(EPA 560/4-90-009)
Suggested methods on the development of release estimates
and waste treatment efficiency calculations required on Form
R. Available from: Superintendent of Documents, Govern-
ment Printing Office, Washington, DC 20402-9325, (202)
783-3238, Stock Number: 055-000-00270-3. $11.00.
The Toxic Release Inventory: Meeting the Challenge
(April 1988)
This 19 minute videotape explains the toxic release reporting
requirements for plant facility managers and others. State
governments, local Chambers of Commerce, labor organiza-
tions, public interest groups, universities, and others may also
find the video program useful and informative. 3/4 inch =
$30.75; Beta = $22.95; VMS = $22.00.
To purchase, write or call:
Color Film Corporation
Video Division
770 Connecticut Avenue
Norwalk. CT 06854
(800)882-1120
Chemicals In Your Community, A Citizen's Guide to the
Emergency Planning and Community Rlght-to-Know Act
September 1988 (OSWER-88-002)
This booklet is intended to provide a general overview of the
Title III requirements and benefits for all audiences. Part I of
the booklet describes the provisions of Title III and Part II
describes more fully the authorities and responsibilities of the
groups of people affected by the law. Available through written
request for no charge from:
Emergency Planning and Community Right-to-Know
Information Service
Mailcode: OS-120
401 M Street, SW
Washington, DC 20460
-56-
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XVI. INDEX TO QUESTIONS AND ANSWERS
CAS Number
Certification
Original Signature
Senior Management Official
Form R Correction/Revision
Chemical
Solution
Fume or Dust
Asbestos (Friable)
PCBs
Multi-CAS numbers
Generic Chemical Name
Trade Name Product
Chemical Categories
Threshold determination
De Minimis
Chemical Compounds
Glycol Ethers
Dun & Bradstreet Numbers
Employee Threshold
Contract Employees
Part-Time Employees
Sales Staff
Enforcement
Exemption
Article
Personal Use
De Minimis
Intake Water/Air
Motor Vehicle
Laboratory
Facility Maintenance
Structural Component
Facility
SIC Codes 20-39
Multi-Establishment
Auxiliary
Owner/Operator
Longitude/Latitude
#56, #57, #60, #67, #68, #72, #80, #82, #88, #92, #105, #112,
#263, #277
#272, #275, #285, #288
#274
#277, #278, #279, #280, #283, #284
#54, #55, #56, #78
#64, #65, #66, #71, #74, #218, #230
#59, #73, #128, #129, #139
#82, #83, #84
#185
#60
#92, #262, #263
#56, #92, #93, #99, #101, #102, #111, #112, #171
#58, #77, #81, #85, #89, #110, #120, #138, #139
#94, #96, #98, #122, #140, #170 - #175, #295
#61, #63, #86, #87, #89, #110, #134, #198
#75, #76
#34, #35, #36
#12, #13
#12
#11
#224, #278, #281, #282, #286, #296
#146
#45, #77, #79, #94, #97, #139, #145, #156, #176 - #187, #200
#147, #148, #149
#96, #170 - #175
#142, #150, #151
#160, #161
#31, #162 - #169
#144, #152, #153, #155, #157, #158, #159
#83, #153, #154, #155, #156
#7, #9, #19, #28, #51
#1, #4, #5, #6, #8, #24, #25, #27, #31, #32, #37, #40, #52,
#53, #95, #104, #109, #114, #115, #117
#5, #8, #24 - #31, #33, #40, #117, #131
#31, #52, #53
#14 - #16, #18, #21, #22, #23
#41
-57-
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Manufacture
Coincidential
Import
Byproduct
Impurity
Maximum Amount On-Site
Mixtures
Form R, Part III, Section 2
Concentration
NPDES Permit
Off-Site Location
POTW
Landfill
Waste Broker
Other Disposal
OSHA Carcinogen
Otherwise Use
Chemical Processing Aid
Manufacturing Aid
Parent Company
Process
Repackaging
Article Component
RCRA ID Number
Recycle/Reuse
Releases
Basis of Estimates
Estimating Releases
Fugitive Air Releases
Stack/Point Air Releases
Receiving Stream
Releases to Land
Stormwater
Transfer Off-Site
Underground Injection
Reporting Year
Submission of Form R
Computer Generated Forms
Copies
Extensions
Magnetic Media
#122, #123, #128, #135, #139, #151, #157
#21, #49, #113, #120, #121
#128, #135
#122, #172
#65
#68, #87, #88, #89, #171
#90
#43, #69, #70, #72, #79, #91, #92, #96, #104, #152, #157,
#174, #207, #210, #234, #241, #242
#38, #39, #74, #205, #252
#246
#222, #229, #239, #252
#32, #44, #175, #186, #223, #237, #239, #244, #254
#247, #249
#203, #228
$294, #295
#126, #141
#127, #130
#127, #130
#17, #23, #35
$125, #141
#13, #51, #104, #131, #145
#145
#254
#10, #42, #47, #48, #139, #144, #181, #187, #197, #217, #243,
#245, #247, #248, #251
#62, #63, #177, #187 - #194, #198, #199, #203, #206, #207,
#218, #228, #231
#209, #225
#213 - #216, #219, #220, #221, #230
#195, #201, #203, #208, #210, #211, #214, #215
#195, #201, #202, #217
#39, #197, #226, #227
#144, #197, #203, #204, #205, #223, #237, #246
#212, #227
#8, #10, #20, #243 - #256
#190
#3, #14, #19, #33, #128, #197, #273, #278
#270
#268
#269
#271
-58-
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NA
Technical Contact
Return Receipt
Supplier Notification
MSDSs
Exemptions
SIC Codes
Notification
Threshold
Manufacture
Process
Otherwise Use
TOXNET
Trade Secret
TRI Data Access
TRI Data Use
Waste Minimization
Waste Treatment
Influent Concentration
Neutralization
Treatment Method
Treatment Efficiency
#287
#276, #279
#289
#92 - #117
#92, #102, #104, #107, #108
#94, #96, #97 - #100, #106, #109
#95, #101, #103, #104, #109, #114, #115, #117
#102, #105, #107, #108, #111, #116
#2, #10, #20, #28, #44 - #46, #48 - #51, #58, #59, #83, #84,
#101, #118 - #145, #162, #165, #169, #172, #177, #178
#119, #121, #123, #128, #129, #135, #139, #151, #157
#10, #33, #85, #118, #119, #125, #129, #131, #132, #133, #134,
#136, #137, #140, #141, #145, #182, #183, #184, #187, #199,
#200
#42, #62, #71, #85, #118, #126, #130, #132, #134, #135, #136,
#137, #141, #143, #144, #149, #158, #159, #184, #204
#292
#90, #92, #262 - #267
#290
#293
#257 - #261
#20, #232, #233
#234, #242
#71, #74, #124, #135, #204, #218, #222, #223, #236, #239, #240
#234 - #242, #244
#234, #236, #239, #255
-59-
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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 de minimis and article exemptions, however, multiple factors become involved in
determining threshold and release information. These issues have generated many inquiries and requests
for clarification from regulated facilities. The directives contained in this appendix provide
comprehensive written interpretations 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 in Washington, D.C. 202-479-2449.
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A-2
DIRECTIVE #1: ARTICLE EXEMPTION
Listed toxic chemicals contained in articles that are processed or used are exempt from threshold
determinations. For a material to be exempt as an article, an item must meet all of the following three
criteria in the section 313 article, definition; that is, the item must be one:
i)which is formed to a specific shape or design during manufacture;
ii)which has end use functions dependent in whole or in part upon its shape or design during end
use; and
iii)which does not release a toxic chemical under the normal circumstances of processing or use of
the item at the facility.
If, as a result of processing or use, an item retains its initial thickness or diameter, in whole or in
part, then it meets the first part of the definition. If the item's basic dimensional characteristics are
totally altered during processing or use, the items would 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. However, cutting a manufactured item into pieces which are
recognizable as the article would not change the original exemption as long as the diameter and the
thickness of the item remained the same. For instance, metal wire may be bent and sheet metal may be
cut, punched, stamped, or pressed without losing their article status as long as there is no change in the
diameter of the wire or tubing or the thickness of the sheet.
An important aspect of the article exemption is what constitutes a release of a toxic chemical.
Any processing or use of an article that results in generation of a waste containing the chemical can be
considered a release which negates the exemption. Cutting, grinding, melting or other processing of a
manufactured item could result in a release of a toxic chemical during normal conditions of use and,
therefore, negate the exemption as an article.
However, there are two circumstances for which releases may not negate the exemption of the item
as an article:
• If the resulting waste containing a listed toxic chemical is 100 percent recycled or reused,
on-site or off-site, then the article status is maintained. For section 313 purposes, wastes
containing toxic chemicals are not reportable on Form R if the waste is reused or
recycled, on-site or off-site.
• If the processing or use of similar manufactured items results in a total release of less
than 0.5 pound of a toxic chemical to any environmental media in a calendar year, EPA
will allow this release quantity to be rounded 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 use of like articles.
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A-3
DIRECTIVE #2: DE MINIMIS EXEMPTION
The de minimis exemption allows facilities to discount certain minimum concentrations of listed
toxic chemicals in mixtures they process or otherwise use in threshold and release determinations for
section 313 reporting. This de minimis level is 0.1 percent by weight for OSHA defined carcinogens and
1 percent by weight for all other section 313 chemicals. De minimis levels for chemical categories apply
to the total concentration of all chemicals in the category within a mixture, not the concentration of
each individual category member within the mixture.
1. Processing or Use of 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 does not have to be included for threshold determination, release reporting, or
supplier notification requirements.
For processes where the chemical concentration fluctuates above and below the de minimis level
due to dilution or concentration activities, the de minimis exemption applies to the process stages where
the de minimis level is not exceeded. This application is further described in the general section of the
Toxic Chemical Release Inventory Reporting Form R and Instructions document (EPA 560/4-90-007).
Example of Decreasing Process Concentration to Below the De Minimis Level:
A facility buys 29 percent 1,1,1-trichloroethane solution and processes it as a constituent
of a cleaning solution produced. The 1,1,1-trichloroethane is present in the final product at
0.5 percent. The facility must consider all amounts of the 1,1,1-trichloroethane in
concentrations greater than 1 percent in mixtures for threshold and release determinations.
Releases might include fugitive emissions from transferring, mixing, and storing the 29
percent 1,1,1-trichloroethane solution. However, releases of the 1,1,1-trichloroethane from
the 0.5 percent solution, such as spills, loading, and storage tank emissions, do not have to
be reported since the concentration is below the de minimis concentration of 1 percent for
1,1,1-trichloroethane. Supplier notification for the 1,1,1-trichloroethane in the cleaning
product is not required because the toxic chemical is present below the de minimis level.
Example of Increasing Process Concentration to Above De Minimis Level:
A manufacturing facility receives toluene which contains less than the de minimis
concentration of chlorobenzene. Through distillation, the chlorobenzene 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 threshold determinations and release estimates. The facility does not need to
consider the amount of chlorobenzene in the raw material when making threshold
determinations. They do not have to report emissions of chlorobenzene from storage tanks or
any other equipment where the chlorobenzene content is less than 1 percent.
Example of Increasing Concentration Through Beneficiation:
An oil refinery receives crude oil containing less than the de minimis concentration of
toluene. Through distillation, extraction, and catalytic reforming, the toluene content of the
process stream is increased to above the de minimis level. De minimis exemption does not apply
to this operation since the raw materials are obtained and processed at the facility to produce
the toxic chemical through beneficiation. Note that beneficiation applies specifically to ores,
crude petroleum, and natural gas.
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A-4
2. Manufacture of the Listed Chemical in a Mixture
The de minimis exemption does not apply to manufacture of a toxic chemical. One exception
applies to the toxic chemical which is made (manufactured) as an impurity and remains in the product
distributed in commerce at below the de minimis levels, the amount remaining in the product is exempt
from threshold determinations. However, any amount that is separated from the product (e.g., ends up
in a wastestream) is subject to threshold and release determinations regardless of the concentration of
the toxic chemical in the wastestream.
Example of Coincidental Manufacture as a Product Impurity:
Phosgene reacts with water to form trace quantities of hydrogen chloride (HC1). The
resulting product contains 99 percent phosgene and 0.2 percent hydrochloric acid. The HC1
would not be subject to section 313 reporting nor would supplier notification be required
because the concentration of HC1 is below its de minimis concentration of 1 percent.
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 a
byproduct. Chloroform is subject to a 0.1% (1000 ppm) de minimis level. Any amount of
chloroform produced and separated as byproduct must be included in threshold
determinations and is subject to supplier notification requirements because the de minimis
exemption does not apply to manufacture of a chemical. Releases of chloroform prior to and
during purification of the carbon tetrachloride should be reported. The de minimis
exemption can, however, be applied to the chloroform remaining in the carbon tetrachloride
as an impurity. Because the concentration of chloroform is below the de minimis level, this
quantity of chloroform is exempt from threshold determination, release reporting, and
supplier notification.
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 formaldehyde in the phthalic anhydride. The amount
of formaldehyde produced and removed as waste must be included in threshold and release
determinations even if the formaldehyde were present below the de minimis level in the
process stream where it was manufactured 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 waste streams and thereby diluted to below the de minimis level.
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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A-5
DIRECTIVE #3: MOTOR VEHICLES USE EXEMPTION
The use of "products containing toxic chemicals for the purpose of maintaining motor vehicles
operated by the facility" is exempt from threshold determinations and release 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, tow motors, locomotive engines, and aircraft.
1. Motor Vehicles Use Exemption Applies Only to "Otherwise Use" of Chemical
The exemption applies only for the "otherwise use" of these chemicals, not their manufacture or
processing for distribution in commerce. For example, 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 article that the facility distributes in commerce.
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 example, 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 in facility-wide release determination 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
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 produce section 313 toxic
chemicals, such as formaldehyde, hydrogen fluoride, and hydrogen chloride. Such coincidental
manufacture is not subject to 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 Factors -- A Compilation of Selected Air Toxic Compounds and Sources (EPA
450/2-88-006a) contains emission factors for many specific compounds emitted during fuel combustion.
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A-6
DIRECTIVE #4: COMPOUNDS AND MIXTURES
1. Definition of Compounds
A "compound" is any combination of two or more chemicals where the result is (in whole or in
part) a product of a chemical reaction. In the formation of a compound, the reactant chemicals loose
their individual chemical identities. Polymers formed as non-reversible reaction products are an example
of compounds.
2. Definition of Mixtures
A "mixture" is any combination of two or more chemicals, if the combination is not, in whole or in
part, the result of a chemical reaction. In a mixture, the individual components retain their 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.
3. Mixtures Must be Considered for Section 313 Reporting
Thresholds and release determinations 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 and release
determinations.
4. Solutions Listed Under Section 313 are a Special Case
Section 313 toxic chemicals listed with the special qualifier "solution" refers to the form of the
chemical and indicates that it is to be reported only if manufactured, processed, or used in solution
form. However, only the weight of the actual chemical, not the full mass of the solution is used in
threshold and release calculations.
5. Supplier Notification and Concentration Ranges Provide Information for Reporting
The section 313 supplier notification requirements are designed to provide chemical users with
information on the identities 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
mixture. 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 chemical present in that
mixture for purposes of threshold and release determinations. If a facility owner/operator only knows
the lower bound concentration of a toxic chemical present in a mixture, the owner/operator should base
their threshold determination on that lower bound concentration number. If only a range of
concentrations is available for a toxic chemical present in a mixture, the owner/operator should use an
average of the low and high concentrations numbers for threshold determinations.
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A-7
DIRECTIVE #5: 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 and release determinations. 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 facility 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 and release calculations under section 313. Again, all individual members of a compound
category must be totalled 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 determination for all other glycol ethers meeting the criteria
for that chemical category which are not specifically listed under section 313.
3. Calculate Releases Based on Parent Metal For Metai Compound Categories
Once a reporting threshold is met for a metal compound category, releases of compounds 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 of calculating releases of potentially
numerous compounds within a metal compound category, and recognizing that methods and data for
monitoring of the parent metal often exist while those for the compound (s) rarely will.
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 section 313 reporting Form R, covering all releases 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 of the parent metal, lead. This option, preferred by EPA, is
available to facilities, although separate reports may be filed if desired.
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A-8
DIRECTIVE #6: PCBs THRESHOLD DETERMINATION AND RELEASE 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. Only the article
status of those transformers which have fluids removed or escaping is affected. However, the PCBs are
still not reportable if no new PCB-containing fluid is added, since the threshold determination is based
on fluid added, not lost. (See Directive #7 on reuse and recycling exceptions.)
EPA has stated that disposal or removal of articles does not constitute release. Therefore,
disposal on-site or off-site transfer of the whole transformer, with fluid content undisturbed, does not
negate the article status. The transformer 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.
PCBs will rarely meet "otherwise use" thresholds. Calculating the threshold for "otherwise use"
considers the amount of PCBs added to transformers during the reporting year and does not consider
the amount of working fluid contained in the transformer. Legally and practically, facilities will not add
PCB containing fluid to a transformer ~ so thresholds should not be exceeded in this way.
2. Coincidental Manufacture of PCBs is Subject to Section 313
Facilities involved in coincidental manufacture of PCBs and further processing of mixtures
containing PCBs (in excess of the 0.1 percent de minimis level) must perform manufacturing and
processing threshold determinations.
3. Treatment or Disposal of PCBs Are Unlikely to Require Section 313 Reporting
Facilities outside the SIC codes 20-39 which treat and/or dispose of PCBs are not be subject to
section 313 reporting. Those that are in the covered SIC codes may not be subject to reporting because
treatment and/or disposal activities will not represent manufacturing, processing, or using PCBs as
defined under section 313.
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 material or
intermediate for the production of other chemical substances that are distributed in commerce or used
on site.
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A-9
DIRECTIVE #7: REUSE AND RECYCLE EXCEPTIONS
Reuse or recycling of a listed toxic chemical can impact threshold determinations, article exemption
status, reporting of off-site transfers and supplier notification.
1, Process or Otherwise Use of Toxic Chemicals in an On-Site Recycle/Reuse Operation May Be
Exempt From Threshold Determinations
Quantities of a toxic chemical that are present in an on-site recycle/reuse operation at the
beginning of the reporting year are not counted toward a threshold determination for that reporting
year. This exemption prevents the facility from counting the same amount of a toxic chemical everytime
it cycles through the on-site operation. However, only the amount of a toxic chemical newly added to
an on-site recycle/reuse operation during the reporting year is counted in the threshold determinations.
Such additional amounts would include any quantities of a toxic chemical added to "top off the
recycle/reuse operation or amounts added as result of start-up or total replacement of the contents of
the recycle/reuse operation during the reporting year.
For example, if 2,000 pounds of ammonia is added in the calendar year to a closed loop
refrigeration system that is run at its 12,000 pound capacity all year, then only 2,000 pounds would be
applied to the "otherwise use" threshold for ammonia. In this case, the threshold (10,000 pounds for
"otherwise use") would not be met if this is the facility's only use of ammonia. However, if the entire
supply of ammonia in the refrigeration system was flushed and replaced in addition to the 2,000 pounds
being added throughout the calendar year, then 14,000 pounds would be counted towards the "otherwise
use" threshold for ammonia. In this case, the 10,000 pound threshold for "otherwise use" would be
exceeded and a Form R report would be required for ammonia.
This exemption does not apply to toxic chemicals "recycled" off-site and returned to the facility.
Such toxic chemicals returned to the facility are treated as the equivalent of newly purchased material
for purposes of section 313 threshold determinations.
2. Article Status Is Maintained If All Releases Are Reused or Recycled
An important aspect of the article exemption is what constitutes a release of a toxic chemical.
Any processing or use of an article that results in generation of a waste containing the chemical can be
considered a release which negates the exemption. Cutting, grinding, melting or other processing of a
manufactured item could result in a release of a toxic chemical during normal conditions of use and,
therefore, negate the exemption as an article. However, if the resulting waste containing a listed toxic
chemical is 100% recycled or reused, on-site or off-site, then the article status is maintained. Wastes
containing toxic chemicals are not reportable under section 313 if the waste is reused or recycled, on-site
or off-site.
3. Do Not Report Amounts Sent Off-Site for Reuse or Recycling As Off-Site Transfers
If a toxic chemical is sent off-site for purposes of reuse or recycling, the location does not have to
be reported on Form R as an off-site transfer. EPA requires the identification of all other toxic
chemicals in wastes which are transferred off-site for final disposal. Off-site reuse or recycling activities,
however, are more closely related to facility products distributed in commerce.
4. Supplier Notification Applies to Chemicals Sent Off-Site for Reuse or Recycling
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A-10
While the amount of the listed toxic chemical which is sent off-site for reuse or recycling does not
have to be reported on Form R, supplier notification is still required to be provided to the off-site
location if the location is a manufacturing facility in SIC codes 20-39, or is a facility outside of SIC
codes 20-39 that distributes to manufacturing facilities.
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A-ll
DIRECTIVE #8: AMMONIA AND AMMONIA SALTS
1. Determine Total Ammonia By Adding the Ionized and Non-ionized Forms
Aqueous solutions of ammonia contain both non-ionized ammonia, NHj, and ionized ammonia,
NH4+. As the chemical equation below indicates, an equilibrium exists between the non-ionized and
ionized forms of ammonia.
NHy + 2H2O < > NH/ + OH' + H2O
The term "total ammonia" refers to the sum of these species, i.e., NHj + NH4+. The relative amounts
of NH5 and NH4+ are dependent upon a number of factors (e.g., temperature, pH, ionic strength).
Estimates, of releases for section 313, should be made for total ammonia to account for all forms that
are present.
Aqueous solutions of ammonium salts that dissociate in water are environmentally equivalent to
aqueous solutions of ammonia. There are differences in the equilibrium concentrations of un-ionized
ammonia (NH?) and ionized ammonia (NH^+) between equimolar aqueous solutions of ammonium salts
that dissociate in water and aqueous ammonia due to buffering effects from the counter ion in the
ammonium salt solution. These differences are reflected by differences in pH. However, this difference
disappears when both solutions are released to the environment. The relative amount of un-ionized
ammonia present after release is dependent upon the conditions (i.e., pH and temperature of the
receiving waters). Releases of ammonia to water and releases of ammonium salts to water are
environmentally equivalent. Therefore, facilities which manufacture, process, or otherwise use an
aqueous solution of an ammonium salt that dissociates in water are required to report these releases as
ammonia if an activity threshold is met or exceeded.
For example, a facility that buys ammonium sulfate in dry form and then makes a solution by
adding water is required to add all non-ionized ammonia, NHj, and ionized ammonia, NH/+ in the
solution when making threshold determinations and release estimates.
2. Consider Ammonium Hydroxide Solutions as Ammonia Solutions
Ammonium hydroxide solutions should be considered to be ammonia because ammonium
hydroxide is aqueous ammonia. The commercial products "aqua ammonia" or "ammonium hydroxide"
are approximately equivalent to 30 percent solutions of ammonia in water. These products are
considered mixtures of ammonia and water and therefore, should be reported as ammonia.
3. Consider Aqueous Solutions of Most Ammonium Salts as Ammonia
Ammonium salts that dissociate in water such as ammonium chloride, ammonium carbonate, and
ammonium bicarbonate will dissociate in water to form solutions of ammonia. Consequently, facilities
which manufacture, process, or otherwise use an aqueous solution of most ammonium salts are required
to make threshold determinations and if necessary release estimates for ammonia under section 313.
Facilities that manufacture, process, or otherwise use more than one ammonium salt, or ammonia
source must aggregate their data when making threshold determinations and release estimations. Also,
the ammonia from each ammonium salt should be based on the percentage by weight of ammonia in the
salt, and not the entire weight of the ammonium salt. For example, an aqueous ammonia solution is
generated by dissolving 20,000 pounds of ammonia, 100,000 pounds of ammonium sulfate, and 100,000
pounds of ammonium chloride in water. Ammonium sulfate consists of 27% NHj by weight.
Ammonium chloride consists of 32% NH3 by weight. Thus, 79,000 pounds of ammonia [20,000 pounds
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A-12
from ammonia + 27,000 pounds from ammonium sulfate + 32,000 pounds from ammonium chloride]
should be compared to the 25,000 pound manufacturing threshold.
4. Determining Threshold Levels and Activities for Ammonia and Ammonium Salts
By adding an ammonium salt to water, the facility is manufacturing aqueous ammonia and
consequently, is subject to the manufacturing threshold of 25,000 pounds. This manufacturing threshold
applies to the ammonia portion of the ammonium salt. The counter ion is not considered for threshold
determinations. If the resulting ammonium salt solution is "otherwise used" at a facility, both activities,
manufacturing and otherwise used, should be indicated on the Form R.
If an ammonia byproduct is not incorporated into a product for commercial distribution, the
"otherwise use" threshold of 10,000 pounds applies. For example, a facility uses sulfuric acid to etch
chips, and then neutralizes the acid with ammonia forming ammonium sulfate. Since the ammonium
sulfate is a byproduct and forms an aqueous solution of ammonia, the facility is otherwise using
ammonia.
5. Special Considerations for Ammonium Nitrate and Listed Ammonium Salts
Aqueous releases of other ammonium salts which are individually listed on the section 313 list of
toxic chemicals should be reported as releases of the specific ammonium salt rather than ammonia,
because there may be concerns for the toxicity of the salt in addition to the concerns for ammonia
toxicity.
Specifically, ammonium nitrate (CAS number 6484-52-2) is a listed chemical under section 313.
Facilities which manufacture, process, or otherwise use aqueous solutions of ammonium nitrate should
report their releases as ammonium nitrate (solution), and not as aqueous ammonia.
-------
Tuesday
February 16, 1988
Part II
Environmental
Protection Agency
40 CFR Part 372
Toxic Chemical Release Reporting;
Community Right-to-know; Final Rule
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4500 Federal Register / Vol. 53. No. 30 / Tuesday. February 16, 1988 / Rules and Regulations
ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Part 372
(OPTS-400002A; FRL 3296-21
Toxic Chemical Release Reporting;
Community Right-to-know
AGENCY: Environmental Protection
Agency (EPA).
ACTION: Final rule.
SUMMARY: This rule contains the
uniform toxic chemical release reporting
form as required by section 313 of Title
III of the Superfund Amendments and
Reauthorization Act of 1986. Section 313
requires that owners and operators of
certain facilities that manufacture,
import, process, or otherwise use certain
toxic chemicals report annually their
releases of those chemicals to each
environmental medium. This rule also
requires certain suppliers of toxic
chemicals to notify recipients of such
chemicals in mixtures and trade name
products.
DATE: This rule is effective March 17,
1988.
POM FURTHER INFORMATION CONTACT:
Sam K. Sdsnett, Deputy Project
Coordinator (TS-779), Emergency
Planning and Community Right-to-Know
Hotline, Environmental Protection
Agency, Room. WH 562A. 401 M Street.
SW. (Washington, DC 20460. (800-535-
0202). In Washington, DC and Alaska,
202-479-2449).
SUPPLEMENTARY INFORMATION:
I. Authority
The Agency is promulgating this rule
pursuant to sections 313 and 328 of Title
III of the Superfund Amendments and
Reauthorizat;cn Act of 1986, Pub. L. 99-
499 (42 Lf.S.C. 11013 and 11028). Title III
is cdso ti'led "The Emergency Planning
and Community Right-To-Know Act of
1986." Section 313 of Title III requires
owners and operators of cohered
facilities to report annually their
releases of listed toxic chemicals.
Section 313 also specifies that EPA must
publish a uniform toxic chemical release
form. In addition, section 328 provides
EPA with the authority to promulgate
such regulations as may be necessary to
carry out the purposes of Title III.
II. Background
A. Regulatory History and Summary of
Public Participation
On October 17.1986, the President
signed into law the Superfund
Amendments and Reauthorization Act
of 1986 (SARA). Pub. L. 99-499. The
major function of this legislation is to
amend and reauthorize provisions of the
Comprehensive Environmental
Response. Compensation, and Liability
Act of 1980 (CERCLA). However, Title
III of SARA is a free-standing statute
(not part of CERCLA) that is titled "The
Emergency Planning and Community
Right-To-Know Act of 1986." In general.
Title HI contains authorities relating to
emergency planning, emergency
notification, community right-to-know
on chemicals, and a toxic chemical
release inventory.
The focus of this rule is the toxic
chemical release inventory provision
contained in section 313 of Title III of
SARA. Section 313 requires owners and
operators of certain facilities that
manufacture, process, or otherwise use a
listed chemical to report annually their
releases of such chemicals to any
environmental medium. The reports are
to be sent to both EPA and the State in
which the facility is located. The basic
purpose of this provision is to make
available to the public information
about releases of certain toxic chemicals
that result from operations of certain
facilities in their community.
EPA issued a proposed rule, published
in the Federal Register of June 4,1987 (52
FR 21152). The proposed rule contained
the toxic chemical release inventory
reporting form and interpretive
requirements for reporting. The
preamble of the proposed rule outlined
the public participation activities that
led up to the development of the
proposal. After publication. EPA
received over 100 written comments on
the proposed rule. In addition, EPA held
public meetings ui Washington, DC.
Chicago, [1, and San Francisco. CA.
Attendees at these meetings presented
oral comments representative of wide
range of interests including the affected
industry, environmental and other
public interest groups. State and local
governments, and individual citizens.
In addition, EPA has held other
meetings with, and received other
communications from, interested parties.
B. Overview of Final Rule Requirements
The reporting requirements of this rule
apply to owners and operators of
covered facilities that manufacture,
process, or otherwise use listed toxic
chemicals. A covered facility is one that:
Has 10 or more full-time employee*.
Is in SIC codes 20 through 39.
Exceeds an applicable manufacture,
process, or use threshold.
EPA interprets "in SIC codes 20
through 39" to relate to the primary SIC
code of the facility. If the facility it
comprised of multiple establishments,
facility coverage is based on a relative
comparison of the value of products
shipped and/or produced at 20 through
39 establishments versus non-20 through
39 establishments in that facility.
EPA has included a definition of "full-
time employee" and guidance on
determining SIC coverage.
EPA has not included a small business
exemption in this rule different from that
provided by section 313. However, the
Agency is allowing reporting in ranges
for releases to an environmental
medium and for off-site transfers of
wastes that are below 1.000 pounds per
year. EPA expects that small businesses
will benefit most from this provision.
The range reporting is for calendar years
1987.1988. and 1989 only.
The thresholds are those provided by
the statute:
For manufacturing or processing as
defined—75.000 pounds for 1987, 50,000
pounds for 1988. 25,000 pounds per year
for 1989 and thereafter.
For toxic chemicals otherwise used
the threshold is 10.000 pounds per year
for all years.
Reports must be submitted annually
on or before July l for the preceding
year's data.
The chemicals subject to reporting
initially are those chemicals as provided
by section 313(c), with certain technical
modifications.
Additions or deletions of chemicals
from the list may result from petitions or
EPA's own review of the list. Any such
changes will be by notice and comment
rulemaking, and EPA will identify the
reporting years which they apply.
Mixtures and trade name products
imported, processed, or used at a facility
must be evaluated for the presence of
listed toxic chemicals. However, EPA
has applied a de minimi's concentration
limitation of 1 percent (or 0.1 percent if
the chemical is a carcinogen) consistent
with the Occupational Safety and
Health Administration (OSHA) Hazard
Communications Standard (HCS) in 29
CFR 1910.1200. Toxic chemicals present
in concentrations below the de minimi's
limit do-not have to be factored into
threshold and release reporting
calculations.
In relation to reporting on mixtures.
EPA has developed a supplier
requirement. Owners or operators of
facilities in SIC codes 20 through 39 who
supply mixtures or trade name products
containing listed toxic chemicals must
notify their customers about the
presence and concentration of those
chemicals in their products. However.
the de minimis limit as described above
eJso applies to this requirement. The
supplier notification requirement takes
effect with the first product shipment 'n
1989.
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Federal Register / Vol. 53. No. 30 / Tuesday, February 16. 1988 / Rules and Regulations 4501
Certain definitions have been
modifed. The definition of "article" has
been revised to more closely parallel the
OSHA HCS article definition. In
addition, article processing or use is
exempt from threshold and release
determinations under this rule.
However, respondents must pay careful
attention to the non-release criteria in
this definition.
The definition of "manufacture"
retains the interpretation that
coincidentally produced impurities and
other byproducts must be accounted for.
However, the consideration of an
impurity is subject to the above-
referenced de minimi's limitation. This
de minimi's limitation does not apply to
the byproducts produced coincidentally
as a result of manufacturing, processing,
use. waste treatment, or disposal.
EPA has attempted to clarify the
differences between processing and use.
Processing activities are basically those
that incorporate a chemical into a
product for distribution in commerce.
Use activities are primarily non-
incorporative activities.
A new part of the rule is an
exemptions section. The major function
of this section is to outline activities that
are not subject to certain requirements.
In particular, this section exempts
activities in laboratories from threshold
and release determinations.
There are a number of specific
changes from the proposed rule in Form
R, the Toxic Chemical Release Inventory
Reporting Form. The form is more
modular in design in order to reduce the
frequency of the same information
having to be filled in for each chemical-
specific submission. Other specific
changes are as follows:
1. The certification statement (Part I,
Section 2) has been modified.
2. The facility identification section of
the form (Part 1, Section 3) contains the
name and telephone number of a public
contact person for the facility. In the
first reporting year, if this information is
available, the facility must provide its
latitude and longitude. In subsequent
years, if this information is not readily
availdble. the facility must develop it
and provide it.
3. In the chemical identity section of
the form (Part III, Section 1) one change
in the reporting requirements affects the
generic chemical identity to be provided
in cases where the specific chemical
identity is claimed trade secret. The
respondent is to develop its own generic
chemical name rather than using a
predefined generic name as EPA had
proposed. The generic name is to be
structurally descriptive of the chemical.
Reporting may also be based on a
generically identified mixture or trade
name product component. [See Part III,
Section 2 of the form.) This reporting
would occur in cases where a user has
information that a genericaUy identified
component of a mixture or trade name
product is a section 313 chemical that,
by itself, exceeds a threshold but the
user does not know the specific identity.
4. The release reporting section of the
form (Part ILL Section 5) contains
several modifications. As mentioned
above, for calendar years 1987,1986,
and 1989. facilities may take advantage
of range reporting check boxes for
releases of a toxic chemical to an
environmental medium of less than 1.000
pounds per year. The releases to water
portion of the form has been
disaggregated by stream and
respondents must indicate what
percentage of the release was
contributed by stormwater runoff if they
have monitoring data. In addition,
underground injection of wastes at a
facility must be entered on a specific
line in the release section.
The proposed columns indicating
section 304 releases or that a permit
applies to releases have been deleted
from the final form.
5. EPA has included the reporting of
transfers of section 313 toxic chemicals
in waste to off-site locations. However,
these transfers are to be reported in a
separate section of the form (Part III.
Section 6).
& The waste treatment section of the
form remains unchanged from the
proposal except that EPA has provided
for reporting sequential waste treatment.
7. The optional section on waste
minimization has been retained but the
narrative part of this section has been
removed. A 3-year sunset provision will
apply to this form section.
8. The form also contains a
Preformatted supplemental information
sheet (Part IV).
ILL Issues Relating to Facility coverage
A. Interpretation of SIC Code Coverage
Standard Industrial Classification
(SIC) code coverage is one of three
criteria specified in section 313(b) for
determining whether a facility is subject
to reporting. The preamble of the
proposed rule stated that "in SIC codes
20-39" meant that the primary SIC code
for the facility is within the 20 through
39 designations. The proposed rule also
included facilities that engage in one or
more activities in SIC codes 20 through
39 even if the primary SIC code for the
facility itself is not SIC 20 through 39.
Many commenters argued against
including "secondary" SIC activities.
First, commenters stated that the
definition of a facility is the whole
collection of buildings, not parts thereof.
Second, they argued that SIC codes are
used to define the primary purpose of an
establishment, not all activities.
Therefore, including facilities that
engage in activities in SIC code 20
through 39 but for which the primary SIC
code for the facility is outside SIC code
20 through 39 is in direct contradiction
to the established assignment and usage
of SIC codes. Third, commenters stated
that it exceeded the intent of the
legislation and stretched the capabilities
of the industrial classification system.
Finally, the commenters stated that any
increase in SIC code coverage should be
through discrete and more focused
rulemakings. as prescribed m section
313(b)(l)(B) and (b)(2), with substantial
sector-by-sector justification to warrant
increased reporting on non-
manufacturing sectors.
The SIC code system was developed
to calssify establishments by type of
economic activity. A SIC code applies to
an establishment, which was defined as
an economic unit, generally at a single
physical location, where business is
conducted or where services or
industrial operations are performed. SIC
codes are not directly applicable to
facilities as defined in section 329(4) of
Title III and this rule. A "facility" is
defined as all buildings, equipment,
structures, and other stationary items
which are located on a single site or
adjacant contiguous sites owned or
operated by the same person. Therefore.
a facility can be a much larger, more
complex operation than an
establishment. The definition of primary
SIC code is generally considered to be
the code related to the types of products
distributed from an establishment that
have the highest dollar value added.
Based on the public comments
received on the proposed rule, the
Agency has revised its interpretation of
"in SIC Codes 20 through 39." The
revision is designed to remove the
confusion and ambiguity in the proposed
rule caused by linking the concepts of
facility and primary SIC code. The final
rule provides that a facility is in SIC
codes 20 through 39 based on the SIC
codes for the one or more
establishments that comprise the
facility.
EPA has identified the following three
possible scenarios relating
establishments. SIC codes, and facilities:
1. The establishment is the same as
the facility. Where an establishment is
the same as a facility, given that the
other eligibility criteria are met and the
establishment's primary SIC code is in
20 through 39, the facility is covered for
purposes of reporting. Because there is
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4502 Federal Register / Vol. 53. No. 30 / Tuesday. February 16. 1988 / Rules and Regulations
no distinction between the
establishment and the facility, reporting
of releases from the facility is
straightforward.
2. The facility is comprised of two or
more establishments, all of which have
a primary SIC code of 20 through 39. For
multi-establishment facilities, when all
of the establishments' primary SIC
codes are in 20 through 39, given that the
other eligibility criteria are met for the
facility, the facility is covered for
purposes of reporting.
3. The facility is comprised of two or
more establishments, one or more of
which have a primary SIC code of 20
through 39. For multi-establishment
facilities when one or more of the
establishments' primary SIC codes are
in 20 through 39, the facility is covered
for purposes of reporting if either of the
following criteria apply for the reporting
year:
a. The sum of the value of products
shipped from and/or produced at all
establishments with primary SIC codes
in 20 through 39 is greater than 50
percent of the total value of products
shipped from and/or produced at all
establishments that comprise the
facility.
b. One establishment whose primary
SIC code is in 20 through 39 has a value
of products shipped and/or produced
that is larger than that of any other
establishment in the facility.
Facilities may refer to data they
submitted to the U.S. Department of
Commerce, Bureau of the Census, for the
Annual Census of Manufacturers (Form
MA-1000) to calculate the relative
values of products shipped and/or
produced.
Once a facility is covered in either of
the above cases, all releases of listed
toxic chemicals must be accounted for,
even from individual establishments in
the facility that fall outside of the 20
through 39 SIC codes.
B. Reporting by Multi-Establishment
Facilities
Several commenters raised the
concern that it will be difficult for
facilities consisting of more than one
establishment to submit a single report
covering the entire facility. Commenters
noted that individual establishments,
owned by the same parent company,
often have different management lines
of authority within the company. In
these cases, commenters noted, it would
be difficult to combine information into
one reporting form.
As explained in A. of this unit, the
facility is the unit that is responsible for
reporting. While EPA could continue to
require a single submission for multi-
establishment facilities, EPA has
decided to require a compliance
determination by the whole facility
covering all its establishments, but to
allow individual establishments or
groups of establishments to report
separately, provided all releases and
waste treatment methods are accounted
for. However, if individual
establishments or groups of
establishments report separately for one
chemical they must continue to report
separately for all other chemicals at the
facility.
Under this approach the entire facility
must determine compliance as a single
unit. Thus the Agency ensures no
reporting will be missed because certain
individual establishments do not meet
thresholds for employees or chemical
activities. For example, a facility is
comprised of two establishments, with
combined employment totaling 60 full-
time workers. Establishment A uses
5,000 pounds of benzene and
establishment B uses 8,000 pounds of
benzene. The facility as a whole
exceeds 10 full-time employees and
combined use by both establishments
exceeds the 10,000 pound threshold for
the use of benzene at the facility.
Therefore this facility must report for
benzene. It has two options. It can file a
report that represents the combined
data associated with all activities with
benzene at both establishments.
Alternatively, both establishments can
file separate reports accounting for their
individual releases and other related
data. If both establishments file separate
reports, then they must submit separate
reports for all chemicals subject to
reporting. However, if, for example, a
toxic chemical is used at one
establishment but is not present at all at
the other establishment, only the
establishment that uses the chemical
must report for that chemical.
The form provides a way for users of
the data to know whether all or only
part of a facility is included in a specific
report. Check boxes correspond to (1)
the entire covered facility or (2) one or
more establishments within a covered.
multi-establishment facility.
A second issue regarding multi-
establishment facilities relates to the
requirement that the owner or operator
of a facility must report. EPA proposed
that if no report was filed, both the
owner and operator (if different) would
be liable. Commenters requested
clarification on the liabilities and
obligations of an owner of leased
property, where the owner's interest is
solely one of real estate. These
commenters believe that such an owner
should not have obligations to report
because it is not in a position which
would allow it to determine compliance
or report the required information. The
owner would not be able to submit a
report without the cooperation of the
operator.
EPA recognizes these difficulties. The
final rule exempts certain owners of
leased property from reporting
requirements. These exemptions apply
only to those owners of property who
have no business interest in the property
other than real estate. Owners who are
part of the same business organization
as the operators would not be exempt.
nor would owners of businesses that
contract out the operations of a
particular site. In these cases, the owner
has a business interest beyond that of
the real estate and has the ability to
exert some control over the operator.
A commenter identified an additional
problem that occurs when the
establishments in a multi-establishment
facility are operated by different
persons which have no common
corporate relationship, such as in an
industrial park. EPA identified two
possible scenarios. In the first scenario.
the owner of the facility operates an
establishment in the facility but leases a
portion of the facility to another person
who operates another establishment.
The owner and this other operator do
not have any business relationship other
than landlord and tenant. Also, the
owner does not know what chemicals
are manufactured, processed, or used in
that operator's establishment. In the
second scenario, the owner of the
facility, having only a real estate
interest in the facility, does not operate
any establishment in the facility and
leases all of the facility to two or more
persons who operate establishments in
the facility. Under the exemption
discussion above, the owner would not
be subject to reporting. However, in
both scenarios, the operators would be
subject to reporting, but they have no
common corporate or business interest
and do not know what chemicals are
manufactured, processed, or used in
each other's establishments.
In neither of these situations is one
person in a position to know all of the
information necessary to make a
determination whether the facility as a
whole is a covered facility and whether
a toxic chemical is manufactured,
processed, or used at the facility in
excess of an applicable threshold.
Accordingly, EPA has decided that, in
such a situation, each operator should
treat the establishments it operates as a
facility for purposes of reporting. These
operators must make the determinations
under the rule for SIC code coverage.
number of full-time employees, and
whether a toxic chemical is
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Federal Register / Vol. 53. No. 30 / Tuesday. February 16. 1988 / Rules and Regulations 4503
manufactured, processed, or otherwise
used in excess of an applicable
threshold, but only for those
establishments they operate.
Appropriate provisions have been
added to the rule. form, and instructions
to provide for this approach. To ensure
that related companies do not avoid
reporting for multi-establishment
facilities, EPA has limited use of this
approach to operators of separate
establishments in the same facility who
do not have any common corporate or
business interest, i.e. they are not
engaged in partnerships, joint ventures,
ownership of a controlling interest in
one by the other, or ownership of a
controlling interest in both by a third
person.
Another situation may arise where a
person owns a parcel of land on which it
operates one or more establishments
and also leases land immediately
adjacent to it on which that same person
operators one or more additional
establishments. Section 329(4) of Title III
defines "facility" to include "a single
site or * * * contiguous or adjacent sites
* * * which are owned or operated by
the same person * * *." Thus in this
situation the "facility" would be the
total site including the land owned by
the person and the adjacent land leased
by the person. To make the SIC code
determinations and reporting threshold
determinations, the person is required to
consider the activities at all the
establishments he or she operates on the
total site. Having made the
determinations that the total facility is a
covered facility and that an applicable
reporting threshold has been met. the
person may submit separate reports for
the establishments as described above.
C. Auxiliary Facilities—Laboratory
Activity Exemption
Commenters requested that EPA
clarify whether auxiliary operations
which have primary SIC codes within 20
through 39 (manufacturing] are covered
for purposes of section 313 reporting.
Auxiliary establishments are defined
under the SIC code system as operations
which primarily support other
establishments. Common types of
auxiliary operations are research and
development laboratories, warehouses.
storage facilities, and waste treatment
facilities. The SIC code system assigns
these facilities SIC codes according to
the establishment they service; thus,
auxiliary establishments tied to
manufacturing establishments are given
a manufacturing SIC code.
Commenters argued that the statute
did not contemplate Including
establishments that do not engage in
manufacturing. They stated further that
EPA has the discretion to modify the
facility coverage criteria to correct such
anomalies.
1. Auxiliary facilities must make a
compliance determination. EPA has
determined that the most consistent way
to treat a stand-alone auxiliary
establishment (i.e. one that is not a part
of a larger facility) is to require that it
make a compliance determination. If
such an establishment is classified in
SIC codes 20 through 39 because it
supports a manufacturing activity, it
must review its chemical activities and
the level of such activities to determine
if it must report. It is possible that an
establishment such as a warehouse
standing alone will not be subject to
reporting. If no manufacture (including
importation), processing (including
repackaging), or use of covered toxic
chemicals occurs, the facility is not
subject.
Similarly, persons who own or
operate auxiliary establishments that
are within the defined boundaries of a
larger multi-establishment facility must
review the manufacture, processing, or
use activities involving listed toxic
chemicals at all the establishments in
the facility. Such auxiliary
establishments must be factored into the
"value of shipments and/or production"
calculation to the extent it is applicable,
and must be counted toward the
employee threshold. The activity of
manufacturing, processing, or using a
toxic chemical in the auxiliary
establishment counts toward the
chemical thresholds for the facility.
2. Exemption of laboratory activities.
Commenters stated that it would be
burdensome to require laboratories to
determine whether they must comply
because of the potentially large number
of mixtures and chemicals on-site in
small volumes and the relatively rapid
turnover of such chemicals and mixtures
in the laboratory setting.
EPA agrees with comments that
manufacturing, processing, or use of
chemicals in a laboratory under the
supervision of a technically qualified
individual should be exempt from the
provisions of this rule. This exemption is
consistent with the exemption provided
in rules implementing sections 311 and
312 of Title III. and the OSHA HCS. The
exemption does not apply to specialty
chemical production or pilot plant scale
operations.
The Agency believes that this
exemption provides a consistent and
necessary reduction in the reporting
burden. For example a stand-alone
laboratory is classified in SIC codes 20
through 39 because it is an auxiliary
facility supporting a manufacturing
operation of a company. This laboratory
is. in essence, exempt from the threshold
determination and reporting
requirements of this rule. Also a covered
facility will not have to review chemical
manufacture, processing, or use in a
laboratory within that facility, provided
such operation is not conducting
specialty chemical production or pilot
plant scale activities.
If a toxic chemical is removed from
such a laboratory for further processing
or use in the facility, the facility must
factor such amounts into threshold
determinations and release reporting.
The Agency does retain certain
concerns about releases of toxic
chemicals from laboratories. Therefore,
EPA will review laboratories as part of
its overall review of the types of
facilities that should be covered by
amendments to this rule.
D. The Rule Contains no Modification of
Facility Coverage
EPA has discretionary authority to
modify the coverage of facilities under
section 313(b)(l)(B). The report of the
congressional conference committee for
Title III states that any such
modifications are limited "* * * to
adding SIC codes for facilities which,
like facilities within the manufacturing
sectors SIC codes 20 through 39,
manufacture, process or use toxic
chemicals in a manner such that
reporting by these facilities is relevant
to the purposes of this section." (H.R.
Rep. No. 962. 99th Cong.. 2nd sess. 292—
hereafter referred to as the conference
report.) The conferertce report further
states that section 313(b)(l)(B) is given
to provide EPA with the authority to
adjust coverage but that "it does not
provide tPA the authority to change the
overall scope of the reporting program
for Toxic Chemical Release Forms." Id.
at 293.
The Agency proposed that facilities
within SIC codes 20 through 39 be
required to report. Comments from trade
associations, private companies. State
agencies, public interest groups and
academia requested that EPA use its
authority under section 313(b)(l)(B) to
include other facilities. These
commenters noted that other kinds of
facilities beyond those in the
manufacturing sector can have
significant releases of toxic chemicals.
They contend that if the current scope of
reporting is not expanded, the public
will not realize that manufacturing
releases constitute only a part of the
total releases of these chemicals into the
environment.
Most commenters provided specific
examples of facilities that they would
like to see added. They include:
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4504 Federal Register / Vol. 53, No. 30 / Tuesday. February 16. 1988 / Rules and Regulations
Commercial waste treatment facilities,
transportation sites, federal facilities.
municipal waste treatment facilities and
publicly owned treatment works,
disposal sites, petroleum and chemical
bulk stations and terminals, tank farms.
electrical services, petroleum
wholesalers, farm suppliers, paint and
varnish suppliers, and industrial
launderers. Commenters suggested that
SIC codes should not be a primary
determinant of coverage and that EPA
should consider the intent of the law to
provide citizens information about
releases from all important sources of
emissions.
Modification of facility coverage
could also involve deletions of certain
industries from the currently covered
SIC codes. In deleting SIC codes the
Agency will consider to what extent
certain manufacturing operations
produce or use toxic chemicals in a
manner more similar to operations
outside the manufacturing sector. The
conference report includes an example
of such an operation for facilities within
SIC code 2875 that mix or blend
fertilizer products for sale at the retail
level. It is also possible that certain
manufacturing operations, for example
those that conduct simple article
assembly, may not produce, import,
process, use. or release significant
amounts of covered toxic chemicals. If
by the inherent nature of their activities
such facilities are unlikely to otherwise
be subject to reporting, then it would
serve no purpose to continue to include
them in the SIC code designations.
The Agency is choosing not to modify
the facility coverage of the rule at this
time. The issues raised in the comments
are important ones for EPA to consider
in exercising its authority to modify
coverage. Such issues should be dealt
with through full notice and comment
rulemaking. The Agency must carefully
evaluate additional types of facilities
that may be manufacturing, processing.
or using listed toxic chemicals as well as
facilities in SIC codes 20 through 39 that
do not handle such chemicals. EPA is
planning to initiate an evaluation of
facility coverage in 1988. Aa part of this
analysis. EPA will examine the
predominant activities in SIC codes 20
through 39. The results of this evaluation
and any recommended additions or
deletions to the scope of covered
facilities will be published as a
proposed amendment to this rule.
As part of this analysis EPA will also
look at the concept of value of products
shipped and/or produced from
designated SIC code establishments.
Another potentially more equitable
approach of determining multi-
establishment facility coverage is by
using "value added" instead of the value
of products shipped and/or produced
The value-added approach may create
less distortion and duplication when
comparing the contribution by
individual establishments for purposes
of the overall facility coverage
determination. However, value-added
information may be less available and
more burdensome to determine than
value of shipments and/or production.
EPA will review the first few years of
reported data and will attempt to
evaluate how the value of shipments
and/or products approach affects
overall facility coverage.
IV. Definitional Issues
A. Definition of Manufacture
1. Coincidental production of toxic
chemicals. EPA proposed to interpret
"manufacture" to include coincidental
production of a listed toxic chemical as
a byproduct or impurity during the
manufacture, processing, use, or
disposal of any other chemical
substance or mixture. Congress adopted
the definition of "manufacture" used in
regulations under the Toxic Substances
Control Act (TSCA) where such an
approach is used. The proposed rule's
approach was intended to cover those
situations in which a listed toxic
chemical is created (intentionally or
unintentionally) and then passed on in
commerce or disposed of, but never
otherwise accounted for.
Commenters objected to this
interpretation of the manufacture
definition on grounds that it exceeded
the statutory authority of Title III. They
also stated that having to make such
determinations would require
expensive, detailed monitoring that most
facilities do not do and would not be
required to do under section 313. Other
commenters stated that, if such a
determination were required, a de
minimi's cut-off should apply, consistent
with OSHA HCS requirements, to
reduce the burden on the facility.
EPA believes that the definition of
manufacture in section 313 includes the
coincidental production of toxic
chemicals. Section 313(b)(l)(C) states
that "(t)he term 'manufacture' means to
produce, prepare, import, or compound a
toxic chemical." There is no limitation in
this definition that would exclude
manufacture of a toxic chemical
coincidental to the production.
processing.'use. or disposal of another
chemical, nor is there any indication in
the legislative history of Title III that
Congress intended to exclude toxic
chemicals produced coincidentally.
Accordingly, EPA believes that such
production is included in the definition
of manufacture under section 313. For
purposes of the rule however. EPA has
distinguished between toxic chemicals
which are impurities that remain with
another chemical that is processed.
distributed, or used, from toxic
chemicals that are byproducts either
sent to disposal or processed.
distributed, or used in their own right.
EPA also considers that it would be
reasonable to apply a de minimis
concentration limitation to toxic
chemicals that are impurities in another
chemical or mixture. In essence, the de
minimis cut-off adopted for mixtures
(see Unit VI.) would apply to the
presence of impurities created as a
result of making that mixture, or a
component of the mixture. Because the
covered toxic chemical as an impurity
ends up in a product, most producers of
the product will frequently know
whether the chemical is present in
concentrations that exceed the de
minimis level, and, thus may be listed
on the Material Safety Data Sheet
(MSDS) for that product under the
OSHA HCS.
This final rule does not adopt a de
minimis concentration limitation in
connection with the production of a
byproduct. EPA believes that the facility
should be able to quantify the annual
aggregate pounds of production of a
byproduct which is not an impurity
because the substance is separated from
the production stream and used, sold, or
disposed of, unlike an impurity which
remains in the product.
The major problem with applying a de
minimis exemption to a toxic chemical
produced as a result of use or disposal
of another chemical is the difficulty of
determining where and how to make a
precentage determination. For example,
there may be various points in a
treatment process at which a percentage
determination could be taken. Also.
those doing a better job of treatment
could be unfairly penalized because
such treatment may concentrate the
chemical in waste prior to disposal.
Therefore, the conscientious facility may
exceed the de minimis concentration of
the toxic chemical in a waste whereas
another facility having much more dilute
waste would not be subject to reporting.
Therefore. EPA believes that the
estimation of a total annual mass
quantity for such coincidental
production during use or disposal is a
fair approach.
In any case, EPA wishes to emphasize
that the determination of such
coincidental production should be based
on the facility's existing production
records, monitoring, or analytical data.
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and reasonable judgment on the part of
the facility's management. No further
monitoring or analysis of production,
process, use. or disposal streams is
required, consistent with section 313.
2. Import of toxic chemicals. Section
313(b)(l)(c) defines "manufacture" to
include import. Thus the owner or
operator of a facility that manufactures
or imports a toxic chemical is
potentially subject to the reporting and
supplier notification provisions of the
final rule. If a toxic chemical is both
manufactured and imported at a facility,
the total amount manufactured and
imported is aggregated for purposes of
determining whether the reporting
threshold for manufacturing has been
met. Thus it is important for a facility to
determine whether it is importing a toxic
chemical, either in relatively pure form
or as part of a mixture.
The U.S. Customs Service defines an
importer as a person who imports a
chemical into the customs territory of
the United States and includes the
person primarily liable for the payment
of any duties on the merchandise or an
authorized agent acting on that person's
behalf, the consignee, the importer of
record, the actual owner if an actuul
owner's declaration and superseding
bond IMS been filed in accordance with
19 CFR 141.20, and the transferee, if the
right to draw merchandise in a bonded
warehouse has been transferred in
accordance with Subpart C of 19 CFR
Part 144.
Section 313 refers to a facility which
manufactured (including imported) a
toxic chemical. Section 313 does not
define "import" or explain when a
facility is considered to have imported a
chemical. Given the broad Customs
definition of who is an importer, several
persons may be "importers" for any
given shipment of a toxic chemical
brought into the customs territory of the
U.S. For example, a facility may conduct
the entire import transaction using its
own personnel in which case it would
be the only importer. In other cases,
facilities may act through import brokers
or others who do the paperwork and pay
the duties but provide for direct
shipment of the chemical to the facility.
EPA determined that for a given
imported shipment of a toxic chemical.
only one facility should be considered to
have imported the shipment. Otherwise,
there could be double counting of each
shipment. Thus for purposes of the final
rule, EPA has defined "import" to mean
to cause a chemical to be imported into
the customs territory of the U.S. For
purposes of the definition of "import"
EPA has defined "to cause" in a way
which designates the person who in
effect controls the importing of the
chemical, Le. the person who intends
that it be imported and controls the
identity of the chemical and the amount
to be imported, not those who are
merely involved in the transaction.
Accordingly, through this definition, a
facility which completes the entire
import transaction for toxic chemical
using its own personnel would be
considered to have imported the
chemical. Further, a facility that ordered
the import of a toxic chemical through
an import broker, specifying the identity,
amount, and that it is to be imported,
also would be considered to have
imported the chemical. However, if a
facility ordered a toxic chemical from a
chemical supplier in the U.S., who in
turn decided to import the chemical to
fill the order or filled the order from a
previously imported stock of the
chemical, the chemical supplier's facility
would be considered to have imported
the toxic chemical. The facility which
ordered the chemical would not be
considered to have imported the
chemical because it did not control the
amount to be imported or specify that it
was to be imported.
In most cases, determining whether a
facility caused the import of a toxic
chemical will not be critical because a
facility in SIC codes 20 through 39 which
receives such a toxic chemical from an
import shipment is also likely to process
or otherwise use the chemical. Since the
thresholds for manufacturing and
processing are the same and the use
threshold is lower than the
manufacturing threshold, EPA does not
believe that defining "import" in this
way will result in any facility escaping
the reporting requirements of the final
rule. In addition, EPA does not believe
that facilities will evade supplier
notification requirements under this
approach.
3. Toll Manufacturers of Toxic
Chemicals. EPA recognizes that it is a
practice in the chemical industry for one
company to contract with another
company to produce a chemical
exclusively for it. This may be done to
use available production facilites, to
take advantage of cheaper production
techniques, or to avoid building
additional plant capacity. The company
initiating the activity typically retains
control over the identity of the chemical.
the amount to be produced, and the
production technology. The company
actually producing the chemical in these
situations is often referred to as a "toll
manufacturer."
Under TSCA. which authorizes EPA to
apply certain requirements to persons
who manufacture chemical substances
and mixtures, EPA has sometimes
treated both companies in a toll
manufacturer relationship as
"manufacturers" subject to the
requirements. However, for purposes of
section 313 reporting, EPA interprets the
definition of manufacture to apply only
to a facility that actually produces a
toxic chemical. Thus, in a toll
manufacturer situation, the facility
actually producing a toxic chemical
would be subject to reporting, if it
produced more than the threshold for
manufacturing. The other company's
facility would be subject to the reporting
for that chemical only if it also actually
manufactured the chemical in excess of
the manufacturing threshold, or if it
processed or otherwise used the
chemical in excess of an applicable
threshold. EPA believes this
interpretation is consistent with
congressional intent to capture releases
associated with manufacturing
activities.
B. Clarifications Regarding Process and
Otherwise Use; Exemption of Certain
Uses
EPA included the statutory definition
of "process" in the proposed rule and
proposed a definition of "otherwise
use." The statute does not specifically
define "use" or "otherwise use" yet
there are different reporting thresholds
associated with manufacturing and
processing activities versus the
"o'herwise using" of a listed toxic
chemical. Therefore, the basic purpose
of including a definition of "otherwise
use" was to distinguish for the potential
respondent what activities would be
subject to the different thresholds. The
proposed "otherwise use" definition was
broad in scope, basically encompassing
all uses of a chemical at a facility not
covered by the definitions of the terms
"manufacture" or "process." The
preamble of the proposed rule contained
one example of processing versus use of
a chemical, and the proposed
instructions for the form gave examples
of manufacturing, processing, and use
activities.
Commenters from industry took issue
with the proposed definition of
otherwise use and requested further
clarification of the differences between
processing and use activities. Still other
commenters recommended that certain
uses be exempted from the final rule
reporting requirements.
1. Clarification of the terms "process"
and "otherwise use". In the public
meetings, workshops, and in a
preliminary question and answer
document on section 313 issues, EPA
has made the following basic distinction
between processing and use activities.
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4506 Federal Register / Vol. 53. No. 30 / Tuesday. Februaiv 16. 1988 / Rules and Regulations
a. Processing is on incorporative
activity. The process definition focuses
on the incorporation of a chemical into a
product that is distributed in commerce.
This incorporation can involve reactions
that convert the chemical, actions that
change the form or physical state of the
chemical, the blending or mixing of the
chemical with other chemicals, the
inclusion of the chemical in an article, or
the repackaging of the chemical.
Whatever the activity, a listed toxic
chemical is processed if (after its
manufacture) it is ultimately made part
of some material or product distributed
in commerce. Examples of the
processing of chemicals include
chemicals used as raw materials or
intermediates in the manufacture of
other chemicals, the formulation of
mixtures or other products where the
incorporation of the chemical imparts
some desired property to the product
(e.g.. a pigment, surfactant, or solvent),
the preparation of a chemical for
distribution in commerce in a desirable
form, state, and/or quantity (i.e.
repackaging), and incorporating the
chemical into an article for industrial.
trade, or consumer use.
b. Otherwise use is a nan-
incorporative activity. EPA is
interpreting otherwise using a covered
toxic chemical to be activities that
support, promote, or contribute to the
facility's activities, where the chemical
does not intentionally become part of a
product distributed in commerce.
Examples would be a chemical
processing aid such as a catalyst,
solvent, or reaction terminator. These
chemicals may be integral parts of a
reaction but do not become part of a
product. Other examples would be
manufacturing aids such as lubricants,
refrigerants, or metalworking fluids, or
chemicals used for other purposes at the
facility such as cleaners, degreasers, or
fuels.
2. Comments relating to EPA's
interpretive distinction betwten process
and use. One commenter disagreed with
EPA's interpretation that a non-
incorporative use of a solvent in
chemical processing should be classified
as otherwise using it. This commenter
stated that the solvent can be integral to
a reaction and that the solvent can be in
the same equipment as other processed
chemicals, with the same low
probability of release. Another
commenter stated that a catalyst should
not be classified as a processing aid (i.e.
otherwise used) because it participates
in a reaction. EPA disagrees with these
comments on the grounds that it is
necessary and appropriate to distinguish
processing from otherwise using based
on the thrust of the process definition
(i.e., whether the toxic chemical tn
question becomes part of some product
distributed in commerce).
Another commenter raised the
example of a paint that is applipd during
the manufacture of automobiles. Certain
toxic chemical components of the paint
mixture would become part of the
automobile and other toxic chemicals
such as the solvents would evaporate as
intended. Is the mixture processed, used.
or both? EPA's interpretation is that the
activity of each relevant component of
the mixture would have to be evaluated.
The solvents would be "used."
Therefore, they would be subject to the
10,000 pound threshold. The other
components of the mixture such as the
pigments, would be "processed"
because they are incorporated into the
article. Therefore, those mixture
components would be subject to
reporting based on the process
threshold.
3. Exemptions of certain uses. Several
commenters stated that the proposed
definition of otherwise use was too
broad. They stated that without some
limitations or exemptions the presence
at the facility of a listed chemical in any
form would have to be factored into
threshold calculations. One example
given was copper in copper pipes that
are part of the facility. This can be
interpreted as an ancillary use of
copper. They claimed that such a
situation would be unreasonable, would
place an unnecessary reporting burden
on many facilities, and would result in
many meaningless reports. One
commenter suggested that the otherwise
use definition be modified to include the
concept of "active" uses at the facility.
Based on a review of the comments
and questions received, EPA has
determined that it is appropriate to
place some limitations on the definition
of "otherwise use." EPA has developed
(S 372.38 of the rule) a listing of certain
exempt uses of toxic chemicals as
follows:
(1) Use as a structural component of
the facility.
(2) Use of products for routine
janitorial or facility grounds
maintenance. Examples include use of
janitorial cleaning supplies, fertilizers.
and pesticides similar in type or
concentration to consumer products.
(3) Personal uses by employees or
other persons at the facility of 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.
(4) Use of products containing toxic
chemicals for the purpose of maintaining
motor vehicles operated by the facility.
(5) Use of toxic chemicals present in
process water and non-contact cooling
water as drawn from the environment or
from municipal sources, or toxic
chemicals present in air used eithrr as
compressed air or as part of combustion
(6) Use of articles.
C. Full-Time Employee
One commenter requested that EPA
define what it means to have 10 or more
full-time employees for compliance with
section 313 reporting.
The Bureau of the Census defines a
full-time employee as a person working
35 hours or more per week, persons who
worked 1 to 34 hours for non-economic
reasons and usually work full-time, and
persons with a job but not at work who
usually work fullHime. The Bureau of
Labor Statistics has a very similar
definition. Their definition does not
include contract employees. The above
two definitions are used in surveys
conducted as of a particular week, not
for an entire year.
EPA considered two factors in the
development of the employee threshold
determination. First, the definition
should reasonably apply to the annual
basis of the reporting. Many facilities
may have large seasonal variations m
employment, and the standard must
apply to those situations in an equitable
manner. Second, facilities with large
numbers of contract employees should
not escape reporting because of
different employment arrangements.
EPA considered options for
determining whether a facility meets the
employee threshold as follows. First.
full-time employee determinations could
be made based on the highest number of
full-time employees during any week of
the calendar year. This method would
ensure that facilities with highly
variable employment patterns would be
covered for reporting if they met the
other requirements (SIC codes and
chemical thresholds). Second, full-time
employee counts could be determined
by the number of employees as of a
particular date during the year. Such an
option would limit the burden of
checking through employment records.
but is arbitrary with respect to the
choice of a date. Third, the
determination could be based on the
concept of full time equivalents. A
generally accepted level of annual full
time hours worked is 2.000 hours. The
number of payroll hours for the year
would be divided by 2.000 to determine
the equivalent number of full-time
employees. Fourth, full-time employee
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counts could be determined by an
average of the quarterly maximum
rurnber of full-time employees for the
calendar year. This option would he the
most burdensome to calculate.
EPA decided to define full-time
employee on the basis of a full-time
equivalent calculation. Total annual
hours worked by all employees,
including contract employees, at tho
l.'cility is divided by 2,000. In this way, a
facility is able to make an easy
determination of whether it equals or
exceeds a 10 employee equivalent level
by determining if the total hours worked
at the facility equals or exceeds 20,000
hours. EPA believes that this approach
provides a fair and consistent measure
of employment.
D. Definition of Article and Article
Exemption
These issues deal with the definition
of article and whether articles should be
explicitly exempt for the purposes of
threshold determinations and release
calculations.
1. Modification of the article
definition. The definition of article that
appeared in the proposed rule is the
same definition used in regulations
under TSCA. One commenter asserted
thai the definition of article that appears
in the OSHA HCS should be substituted
for the proposed article definition. The
commenter contended that the OSHA
arv'cie definition is more appropriate for
section 313 because the language in the
l.itier part of the OSHA definition
relates to the potential for release and
exposure during normal end use. Also, it
would be consistent with provisions of
the Title III sections 311 and 312 rule (52
FR 38344). The instructions for the
sections 311 and 312 reporting forms
incorporate exemption language from
the OSHA HCS, part of which is the
exemption of articles.
The a-ticle definition in the proposed
rule read as follows:
"Article" means a manufactured item
which is formed to a specific shape or design
during manufacture, which has end use
f jprtionls) dependent in whole or in part
upon its shape or design during end use, and
has either no change in chemical composition
during its end use or only those changes of
corr position which have no commercial
purpose separate from that of the article, or
result mixtures or articles, except that fluid*
und pa'ticles are not considered article*
regardless of shape or design. The article
definition in the OSHA HCS reads as follows:
"Article" means a manufactured item: (i)
Which is formed lo a specific shape or design
during manufacture: (ii) which has end use
funrtion(s) dependent in whole or in part
upon its ahdp« or design during end use: and
(ni) which does not release, or otherwise
result in exposure to a hazardous chemical
under normal conditions of use.
The first part of each definition are
identical. The latter parts of the
definitions differ significantly. The
commenter pointed out that the OSHA
HCS definition will function more
appropriately because it will keep
certain exposure-causing items from
being considered articles whereas the
proposed definition would not. The
commenter also asserts that the
exception at the end of the proposed
definition for fluids and particles is
unnecessary.
In its review of this issue EPA
considered several options, including
retaining the article definition as
proposed, retaining the proposed
definition but clarifying the wording of
the latter part, and adapting the OSHA
HCS article definition for use in this
rule. EPA has determined that it agrees
with the commenter and has adopted
the OSHA HCS article definition with
some modifications because it is more
appropriate for section 313 purposes
than the TSCA definition. The TSCA
article definition is worded primarily to
distinguish "chemical substances" and
"mixtures" from those manufactured
items that contain chemical substances
and mixtures. The OSHA HCS definition
was adapted from the TSCA regulatory
definition, for the purpose of exempting
certain items from the MSDS
preparation requirements; the
supposition being that the item's normal
end use would not release or cause
exposure to a "hazardous chemical" in
the article.
The revised article definition in the
final rule reads as follows:
"Article" means a manufactured item: (i)
Which is formed to a specific shape or design
during manufacture; (ii) which has end use
functions dependent in whole or in part upon
its shape or design during end use; and (lii)
which does not release a toxic chemical
under normal conditions of processing or use
of that item at the facility.
EPA wishes to emphasize that under
this definition an item will not qualify as
an article if there are releases of toxic
chemicals from the normal use or
processing of that item. When
attempting to apply this definition to an
item used or processed at a facility, the
facility should keep this release factor in
mind. For example, under normal
conditions the milling of metals (e.g.
copper) can generate fume or dust
containing ^listed toxic chemicals. Thus,
the metat or plastic item being
processed would not qualify as an
article in that manufacturing setting.
I lowever. if the only "release" from
processing an item is the disposal of
solid scrap (e.g., pieces of cloth or
sections of pipe that are recognizable as
having the same form as the item) then
EPA considers that the processed item
still qualifies as an article.
Toxic chemicals in an item that
qualifies as an article are not subject to
reporting even if the facility disposes of
the article after use. For example, the
facility uses a battery that contains lead.
Lead is not released from the battery
during normal use at the facility. When
the facility disposes of the battery, it
does not have to factor the amount of
lead in that article into a threshold or
release calculation.
2. Articles exemption. The proposed
rule covered the processing and use of
toxic chemicals and mixtures containing
such toxic chemicals. EPA included a
proposed definition of article but, as
certain commenters pointed out, did not
specifically exclude the use or
processing of articles. Commenters
encouraged EPA to specifically exempt
the use and processing of articles from
the threshold determination and release
reporting requirements of the rule.
According to these comments, the
normal end uses of such articles by
definition do not result in the release of
toxic chemcials contained within such
articles. Therefore, such an exemption
will reduce Vhe burden on industry
significantly because fewer materials
will have to be evaluated for threshold
and release determinations.
The purpose of including an article
definition in the rule was for the
expressed purpose of exempting such
articles. The final rule contains a new
exemption section (5 372.38). This
section exempts articles containing
covered toxic chemicals as defined
under section D above from threshold
and release determinations. EPA
cautions facilities to evaluate carefully
normal processing and use of an item to
determine if release of a toxic chemical
occurs (i.e., if indeed the item qualifies
under the definition as an article).
V. Threshold Issues
A. Comments Requesting Modification
of Thresholds
The thresholds for reporting that were
presented in the proposed rule are the
thresholds mandated by section 313. The
threshold for manufacturing or
processing a toxic chemical is 75,000
pounds for 1987, 50,000 pounds for 1988,
and 25,000 pounds for 1989 and
thereafter. The threshold for otherwise
using a toxic chemical is 10,000 pounds
for any year. EPA has the authority to
modify these thresholds provided that
such modification obtains reporting of a
substantial majority of total releases of
each toxic chemical for all facilities
subject to reporting.
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4508 Federal Register / Vol. 53. No. 30 / Tuesday. February 16. 1988 / Rules and Regulations
A wide range of comments was
received regarding potential
modifications to the thresholds.
Commenters from environmental and
public interest groups asserted that
thresholds shoud be lowered to increase
release reporting. One commenter stated
that a 10.000 pound threshold, over 3
years should be used rather than a
graduated threshold. Commenters
representing the industry asserted that
thresholds could be raised without
affecting data quality or reporting
requirements. Other related comments
stated that thresholds should be
modified to include only larger facilities
and that the "user" threshold should be
raised to the same level as thresholds
for the manufacturing or processing of a
toxic substance. Additionally, one
company commented that the
determination of a need to modify
thresholds should be based on the first
few years' reporting levels.
Comments from a professional society
and a State government indicated that
the proposed thresholds are valid and
should not be raised.
Additional comments presented
alternatives to the type of thresholds
presented in the proposal. Two
commenters indicated that toxic effects
could be used to determine threshold
adjustments. One commenter
recommended a different series of
thresholds based on standard container
sizes to make threshold determinations
easier. Another commenter proposed
that the statutory employee size
limitation of 10 or fewer employees be
removed rather than reducing threshold.
amounts for reporting purposes. One
commenter proposed an emissions-
based approach to exclude small
releases of toxic chemicals, regardless
of the quantity manufactured, processed.
or used.
The final rule contains the statutory
thresholds present in the proposed rule.
EPA does not believe that it has
received in the comments sufficient data
to support any overall modification of
the statutory thresholds. In addition.
EPA did not propose any tuch change.
EPA agrees with comments to the effect
(hat the first few years' data should be
evaluated to determine whether
modifications of the threshold would
meet the statutory test of obtaining
reporting on a substantial majority of
the releases (i.e., pounds released per
year) of each chemical from subject
facilities. EPA may consider changing
the reporting thresholds based on
several years of data collection.
Revising the threshold -amount can be
based on specific chemicals, classes of
chemicals, or categories of facilities.
EPA may consider a number of factors
for threshold modification including
exposure factors such as population
density, the distance of population from
covered facib'ties, and the types of
releases. Threshold modifications could
also take into account the relative
potency of the chemical or class of
chemicals and the effects of concern.
Another type of threshold modification
the Agency will investigate relates to
the type of facility, either generally by
size or by type of industry.
B. Threshold Determination Issues
Several issues arose as a result of
comment on EPA's proposed approaches
to determining whether a facility has
exceeded a threshold.
1, Recycle and reuse. EPA proposed
that a threshold determination in
connection with on-site recycle and
reuse activities be calculated by
determining the amount of the toxic
chemical in the recycle/reuse operation
at the beginning of the year and add to
that any quantity of the chemical
brought on site. Commenters reacted to
this proposal with the following:
a. The threshold should be based on
the amount of the chemical "acted
upon." This would include the operating
capacity of the recycle activity plus only
the amount added during the year, not
the total quantity brought on site.
b. The amount calculated for the
purpose of threshold determinations
should only be the quantity added to or
actually consumed by the recycle
operations.
c. EPA should clarify that the
threshold amount recycled should not
count a pound of chemical more than
once as it cydes through the activity.
After a review of the comments. EPA
has determined that the threshold
determinations should be based on the
amount of the material added to a
recycle/reuse system during the
reporting year. This would fairly depict
the amount of a chemical "consumed"
during a year in connection with this
particular use. During start-up of such a
recycle/reuse operation or in the event
that the contents of the whole recycle
system had to be replaced, this total
system quantity would have to be
factored into the facility's threshold
determination for that chemical. EPA
believes that this approach is consistent
with the objectives of encouraging
recycle/reuse activities.
2. Amount brought on site versus
amount processed or used. The previous
issue points toward a more general
problem of distinguishing whether the
threshold must be calculated based on
the amount of a chemical brought on site
during the year or the amount actually
processed or used. One commenter cited
a situation in which a facility may have
a running inventory of over 10,000
pounds of toluene but actually uses only
9.000 pounds during the year. Provided
that this is the only use of toluene, the
commenters contended that the
threshold for use has not been met.
EPA agrees with this comment. The
final rule provides that the threshold for
processing and use is based upon the
total amount actually used or processed
at the facility, not the total amount
brought to the facility during the year.
This would not apply, however, in cases
where importation contributes to a
calculation of whether the facility
exceeds a "manufacture" threshold. The
act of importing the chemical to the
facility is within the definition of
manufacture. Therefore, any quantity
brought on site due to importation has to
be counted along with any amount of
the same chemical produced at that
facility. However when a facility does
exceed a threshold, any emissions from
amounts of the chemical in the running
inventory (i.e. storage) would have to be
factored into the emissions calculations.
3. Exceeding any threshold captures
the facility for all releases of that
chemical. A commenter objected to the
interpretation that if a facility exceeds
any threshold for a listed chemical, it
must report all emissions of that
chemical from the facility. The
commenter claims that reporting should
be limited to the activity that triggers the
threshold to be consistent with
Congressional intent because Congress
set such thresholds to limit the burden
on industry and provide the public with
useful and manageable information.
EPA disagrees with this comment.
Congress indicated that section 313
should cover releases from the facility to
all environmental media. The thresholds
are provided as the means for
determining facility coverage, not as a
factor in determining which emissions
from the facility must be reported.
VI. Mixtures and Trade Name Products
The proposed rule indicated that
mixtures and trade name products that a
facility imports, processes, or uses
would be evaluated and any covered
toxic chemicals in those products would
be factored into threshold
determinations and release reporting.
However, EPA recognizes that facilities
may not always have full information
regarding mixture components. EPA
provided detailed guidance in the
preamble of the proposed rule for
making a reasonable determination of
what is "known to be present at the
facility" with respect to determining the
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presence and composition of covered
toxic chemicals in nixuaes at the
facility. The proposed instructions for
the form also outlined a method for
factoring mixtures into the threshold
determinations. la addition.
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4510 Federal Register / Vol. 53. No. 30 / Tuesday. February 16, 1988 / Rules and Regulations
notification requirement as follows: The
OSHA HCS allows mixture component
identities to be claimed trade secret. In
addition, the firm is not required to
supply percentage composition data on
the MSDS. Some Firms do provide
composition data voluntarily in the form
of a specific percentage, a range, or
some upper bound. A supplier
requirement may conflict with the MSDS
requirements because some composition
information will have to be disclosed. In
addition, the criteria for claiming and
substantiating the protection of specific
chemical identity is more stringent
under Title HI than it is under the OSHA
HCS requirements.
1. Supplier notification requirement.
EPA has carefully considered the
implications of a detailed user
determination requirement versus a
supplier notification requirement. EPA
has determined that the most effective
and least burdensome approach is a
supplier notification requirement. EPA
agrees with comments that a supplier
notification system provides the most
efficient means of moving the
information about the presence and
composition of listed toxic chemicals
into the hands of the facilities that must
report. Providing more complete
information about mixture composition
in particular will give the facility the
information it needs to make threshold
and release determinations.
Under the final rule persons who must
develop and distribute the notice are
those who own or operate facilities in
SIC codes 20 through 39 that
manufacture or process listed toxic
chemicals, and who distribute products
containing such toxic chemicals to
facilities in SIC codes 20 through 39, or
to others who in turn distribute them to
such facilities. Therefore the types of
products covered by these notices are
products that will be further processed
or used by facilities potentially required
to report. Notices are not required for
products sold for individual consumer
use. Exemptions similar to those found
in the OSHA HCS and rule
implementing sections 311 and 312 of
Title III are incorporated into this
supplier notification provision.
The supplier notification requirement
in i 372.45 is structured to give
processors and users of mixtures and
trade name products positive
information about the presence of listed
toxic chemicals as follows:
a. If listed toxic chemicals are present
in the mixture or trade name product
above the de minimi's cut-off level, the
notice must identify those specific
components as they appear in the list of
toxic chemicals in § 372.65 of the rule
and provide their percent composition in
the product.
b. If the supplier maintains that the
identity of a toxic chemical is a trade
secret under provisions of the OSHA
HCS. the notice must identify the
chemcial as subject to section 313 and
provide a generic identity that is
structurally descriptive of the chemical.
c. If the supplier contends that specific
composition information for a toxic
chemical in a mixture or trade name
product represents a trade secret, the
supplier must provide a maximum
concentration level of that chemical in
the mixture or product. For example, the
notice would indicate that toluene
constitutes not more than 15 percent of
the product. The supplier must choose a
level that is only large enough to
effectively mask the relevant trade
secret associated with the chemical
component. A basis for the level chosen
must be placed in the supplier's records
pertaining to this notice. This maximum
concentration level is critical to users of
the mixture because they will be using it
as part of their threshold and release
determinations. Gross over-
representations of such maximum
concentrations in a mixture may result
in unnecessary reporting by that
customer or overestimation of releases
of the chemical from the customer's
facility.
The notice must be in writing and
must clearly indicate that it pertains to
the presence of chemicals covered by
section 313 of SARA Title III. If a MSDS
must be distributed with the product,
EPA requires that the notification be
attached to the MSDS and that it clearly
indicate that the notice is not to be
detached from the MSDS.
This requirement is included because
the Agency is concerned about the
notification process breaking down
when distributors not covered by this
rule are handling and redistributing the
products. The OSHA HCS requires such
distributors to pass along an MSDS for a
product. Therefore. EPA determined that
the most efficient and least burdensome
approach of assuring that the notice
would reach the intended recipient is to
require that it be attached to or
incorporated into the MSDS.
The notice must be provided with at
least the first shipment of the product to
each recipient during the calendar year.
When the supplier changes the
formulation of the product to affect the
composition of the toxic chemical in the
product, a revised notice must be sent
with the first shipment of the changed
product to each recipient. If the supplier
determines that the product contains a
section 313 chemical in excess of the de
minimi's concentration limit which was
present previously but unknown, the
supplier must modify the notification
within 30 days and provide the revised
notice with the first shipment after that
30 day period to each recipient: this
notice must identify prior shipments in
that calendar year to which it also
applies.
2. Phase-in of the supplier notification
requirement. One commenter suggested
that if mixtures are to be factored into
the reporting of listed chemicals that
such requirement be phased-in over a 1-
or 2-year period. According to the
commenters, such a phase-in approach
would allow time for both suppliers and
users to gear-up for mixture
determinations.
EPA does not agree that mixtures in
total should be excluded for the 1987
reporting year. Mixtures make up a large
part of potential use of listed toxic
chemicals. Therefore, importers,
processors, and users of mixtures must
use the best available information at
hand to determine whether the
components of a mixture have to be
factored into threshold and release
determinations under this rule.
However, the concept of a phase-in
for the related supplier notification
requirement does have merit. In EPA's
opinion, it would be both unreasonable
and impractical for suppliers to develop
modifications to their MSDS or develop
additional notices and distribute such
notices in 1988. Therefore, the supplier
notification requirement does not take
effect until the first shipment of a
product in 1989. However, as a practical
matter, suppliers should begin as soon
as possible to develop the notice
relevant to those products that contain
covered toxic chemicals. Until the
supplier notification goes into effect,
users and processors of mixtures are
only required to use readily available
data regarding such mixtures.
3. Making threshold determinations
and reporting for toxic chemical
components of a mixture or trade name
product. Until the supplier notification
under this rule begins, EPA assumes that
some suppliers have provided or will
provide information to customers about
the presence of toxic chemicals in their
mixtures or trade name products. The
information provided is likely to vary
from specifically identifying a toxic
chemical and its concentration to
advising only that there is a section 313
toxic chemical present, but providing no
chemical identity or concentration
information.
Once supplier notification begins
under the rule, most customers will at
least be told that a toxic chemical is
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present, its generic chemical identity.
and its upper bound concentration in the
mixture or trade name product
Hcmever. even after supplier
notification begins, customers may
receive such mixtures or trade name
product's from persons not in SJC codes
20 through 39 or from foreign suppliers.
Neither of these suppliers would be
subject to the supplier notification
requirements. Therefore, customers
might receive less information about
toxic chemicals in such mixtures and
products. Accordingly. EPA has
included in the Goal rule and
instructions detailed provisions for
reporting by owners and operators of
covered facilities who import, process.
or otherwise use toxic chemicals as part
of mixtures or trade name products.
All reporting by persons who import.
process, or use mixtures or trade name
products containing toxic chemicals Is
predicated on those persons knowing
that loxic chemicals are present in the
mixture or trade name product If such a
person receives a mixture or trade name
product, the person must determine
whether it meets an applicable reporting
threshold in either of the following
situations: (i)The person was told, or
had determined through chemical
analysis or otherwise, the specific
identity or CAS Registry Number of a
chemical in the mixture or trade name
product and that chemical appears in
§ 372.65 of the rule; or (ii) the person
was told that the mixture orlrade name
product contains a toxic chemical
subject to section 313. If either of these
situations applies, the person is not
required to inquire further about the
mixture or trade name product. Section
313 and the final rule do not impose any
obligation to test a mixture or trade
name product to determine whether it
contains a toxic chemical. However, if a
person has tested such a mixture or
trade name product for its own reasons.
it must consider the results in
determining whether to report.
The final rule identifies six scenario*
for persons making reporting
determinations for toxic chemicals in
mixtures or trade name products:
1. The person knows the specific
chemical identity of the loxic chemical
in the mixture or trade name product,
and
a. The person know its specific
concentration in the mixture or product;
b. The person knows only its upper
bound concentration in the mixture or
product or
c. The person ha* no information
about its concentration in the mixture or
product.
2, The persoa does not know die
specific chemical identity of the toxic
chemical in the mixture or trade name
product, and
a. The person knows its specific
concentration in the mixture or product;
b. The person knows only its upper
bound concentration in the mixture or
product or
c. The person has no information
about its concentration in the mrxrure or
product.
When the person knows the specific
chemical identity of the toxic chemical
in the mixture or trade name product
making the threshold determination will
involve combining the amount of the
chemical in that mixture or product with,
amounts of the same chemical also
manufactured, processed, or otherwise
used at the facility. However, the person
is only required to consider the weight
of the toxic chemical in the mixture or
trade name product, not the total weight
of the mixture or trade name product.
Determining the weight oT the toxic
chemical in the mixture or trade name
product depends on the information the
person has about the percentage
composition of the chemical in the
mixture or product. If the person knows
the specific concentration, determining
the weight of the chemical is
straightforward. However, if the person
knows oaly the upper bound
concentration, the person is required to
assume that the toxic chemical is
present at that concentration and
calculate the weight accordingly, In the
event that the person does not know the
specific concentration or the upper
bound concentration then the person is
not required to further estimate or
otherwise factor that chemical in that
mixture or product into threshold or
release calculations.
Where the person does not know the
specific chemical identity of the toxic
chemical in the mixture or trade name
product, the person is required oaly to
consider the quantity of that chemical
component in that mixture or product in
making a threshold determination. Since
the person does not know the specific
identity of the chemical, the person
cannot combine the weight of the
chemical in the mixture with any other
toxic chemicals manufactured,
processed, or otherwise used at the
facility because the person cannot
determine that they are the same
chemical. Accordingly, the threshold
determinations and the reporting, if any,
will be specific to the toxic chemical in
the mixture or product
Determining the weight of the toxic
chemical in the mixture or product in
this case is the same as for determining
the weight when the specific chemical
identity is known.
Determining the weight of die toxic
chemical in the mixture or product in
this case is the same as for determining
the weight when the specific chemical
identity is known.
Once the applicable thresh.Id is met.
reporting the chemical identity varies
with the degree of knowledge- IT the
specific identity is known, the person
must report the identity and CAS
Registry Number, if any, in Part III,
Section 1 of Form R. If only a generic
chemical name is known, that name
must be reported in Part HI, Section 2 of
Form R. If no generic name is known.
the trade name or other name applied to
the chemical, or to the mixture or
product of which it ts a component, must
be reported in Part IIL Section 2 of Form
R.
With respect to estimating releases.
such estimates must be based on the
concentration of the toxic chemical in
the mixture or trade name product.
VII. Form Specific Issms
A. Certification Statement
Section 313 requires that a senior
management official sign a certification
statement for submitted forms. The
proposed statement would have
required that the person certify that the
submitted information is true, accurate.
and complete based upon his or her
persona! examination of the completed
forms.
The Agency received several
comments on certification relating to
three issuer (1) The definition of a
senior management official, t2) the
requirement that the certifier has
"personally examined and is familiar
with" the submitted information, and 13)
the requirement that the company must
certify that the submitted information is
true, accurate, and complete.
1. Senior management official. Section
3l3(g)(l}(B) defines a senior
management official as "a senior official
with management responsibility for the
person or persons completing the
report."
In the preamble to the proposed rule.
EPA stated that a senior management
official could be an officer of a
company, a facility manager (rather than
a corporate officer), or the manager of
environmental programs (for the facility
or for the corporation) responsible for
certifying similar reports under other
environmental regulatory requirements.
Coramenters were concerned that
neither definition appeared in EPA's
regulations or in the instructions to the
proposed form. Also, commeaters
wanted to maintain flexibility of having
either a facility management officer or
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Federal Register / Vol. 53. No. 30 / Tuesday. February 16. 1988 / Rules and Regulations
corporate manager sign the certification
statement by allowing signature by a
manager of the persons preparing the
report or by the manager of
environmental programs for either the
facility or the corporation.
The Agency has added a definition of
senior management official to § 372.3 of
the rule. The definition gives facilities
appropriate flexibility in determining
who may sign the form while retaining
the emphasis that the person have
management responsibility over the
persons preparing the form.
2. Review of prepared form. The
proposed rule required that the person
certify that "I have personally examined
and am familiar with the information
* * *." Commenters stated that this
statement was too stringent because it
would require that the senior
management official duplicate all the
calculations performed in the
preparation of the form. A few
commenters suggested that EPA adopt
the certification statement used in the
National Pollutant Discharge
Elimination System (NPDES)
regulations. Those regulations require a
certification that the information was
prepared under a system designed to
assure that qualified personnel property
gathered and evaluated the information
submitted, and that the certifying official
has queried those persons responsible
for the system. Commenters noted that
the NPOES certification has already
received full notice and comment and
has been tested in court.
However, the conference report states
that "(t|he purpose of the certification
requirement is to assure that a senior
management official reviews the report
for accuracy and completeness." The
Agency believes that the NPDES
certification, because it does not require
the certifying official to review the form,
does not meet the intent of Congress.
However, the proposed certification
statement could be interpreted to
require more than a view of the
submitted information. Therefore, the
certification statement was modified
and now requires a review by the
official, which EPA believe* fulfills the
intent of Congress.
3. Submissions that an "true,
accurate, and complete." The proposed
certification statement would have
required the certifying official to state
that the submitted information is true,
accurate, and complete. Commenters
objected to this statement, stating that it
is unreasonable because much of the
information, particularly release
estimates, can be subject to
considerable uncertainty. They point to
section 313(g)(2), which allows facilities
to use available data collected under
other provisions of law or to provide
"reasonable estimates of the amounts
involved." Because estimates are
allowed, these commenters stated that
"accuracy" must be set in context of the
estimating procedures used.
Commenters further noted that a facility
may choose to use emissions factors
developed by EPA for the purposes of
reporting, even though the facility does
not believe the estimates are accurate.
Commenters suggested a variety of
changes to the certification statement to
correct the problem. Several
commenters suggested that the burden
of the accuracy of reports be placed on
the Agency's instructions to the form.
Another proposed approach would
provide a certification that the
information is "substantially accurate
and complete."
The Agency has decided to modify the
certification statement to tie the concept
of accuracy with reasonable estimates
of amounts and values reported. Such
estimates must be based on the
information available to the preparer of
the report. This revision addresses the
commenters' concerns and sets accuracy
of reporting within the context set forth
by Congress. The revised certification
statement reads as follows:
"I hereby certify that I have reviewed
the attached documents and. to the best
of my knowledge and belief, that the
submitted information is true and
complete and that the amounts and
values in this report report are accurate
based on reasonable estimates using
data available to the preparers of this
report."
B. Facility Identification
1. Technical contact, addition of a
public contact. In the proposed rule EPA
asked for a technical contact to be
listed. The primary purpose for including
a technical contact on the proposed
form was to allow EPA to follow up
reporting with questions pertaining to
the completeness and technical integrity
of the data. Commenters stated that
only EPA or State officials should be
designated to contact the "technical
contact" of a facility. In addition.
commenters recommended that they be
allowed to provide a public contact
different from the technical contact.
EPA has done two things regarding
the technical contact. First, for
clarification, it should be noted that the
technical contact does not have to work
at the geographic location for which the
report is submitted. The technical
contact can be: (a) Someone at the
facility; (b) someone at the same
company, but at a different location; or,
(c) a consultant. The name and
telephone number of the technical
contact must be provided on the form.
The technical contact information will
not be included in the public data base.
Second, in addition to the technical
contact, EPA is requiring facilities to
provide the name and telephone number
of a public contact for the facility. The
public contact may be the same as the
technical contact, or someone different.
EPA added a public contact to provide
firms within the flexibility of designating
types of personnel most appropriate to
the task of handling technical inquiries
about the submission versus general
information inquiries from the public.
The public contact information will be
included in the public data base.
2. Latitude/longitude. EPA did not
propose to require companies to submit
the latitude and longitude of their
facilities in the proposed form. Several
commenters expressed great interest in
having this data included as a facility
identifier. The primary reason for asking
for this information is its importance for
geographic information systems. These
computer-based systems enable EPA
and other ogranizations to model
exposures resulting from chemical
releases and produce graphic
representations of such exposures.
In addition, these coordinates help to
verify the location of facilities and will
help EPA and other users of the section
313 data base interface with other data
bases containing such geographic
coordinates.
Therefore, EPA has added latitude
and longitude as a reporting element for
identifying the facility. However. EPA is
adopting a phase-in approach for
providing this data. For reports due by
July 1,1988 (covering 1987), EPA is
requiring firms that have the information
readily available to report it. For
example, certain environmental permits
held by a facility may already contain
this information. Also, county property
records or facility plans or blueprints
may show the latitude and longitude
coordinates. Latitude and longitude
information for all facilities is required
on the forms due by July 1.1989
(covering the 1988 calendar year). EPA
believes that the approach adopted
serves two basic purposes: (1) Latitude
and longitude information is provided,
which is important to geographic
information systems; and (2) there is a
low burden of developing the data.
3. EPA I.D. Number, NPDES permit.
and receiving streams. In the proposed
rule, EPA provided a single line each for
listing the EPA Identification Number
(the identification number assigned to a
facility in connection with hazardous
waste generation and disposal activities
under the Resource Conservation and
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Recovery Act (RCRA)), the NPDFS
permit numbers, and the receiving
stream or body of water for the facility.
Commenters pointed out that tome
multi-establibhment facilities can have
more than one of these identifiers or
permits, or may discharge a reported
toxic chemical into two or more streams
or bodies or water. Therefore, the
Agency has provide additional lines on
the form for these reporting elements.
C. Releases to the Environment
1. Total re/ecse. EPA proposed that
reporting under section 313 account for
the total amount of toxic chemicals
entering each environmental medium
from the facility. EPA based this
interpretation on the statutory
provisions.
The definition of "releases" contained
in section 329 of Title III covers all types
of releases, both intentional as well as
unintentional. Section 313 requires
reporting of "the annual quantity of the
toxic chemical entering each
environmental medium" This led EPA to
ask for information on total releases
from the facility. Commenters cited the
conference report to support their claim
that Congress did not intend for
facilities to include accidental or
unintentional type of releases in the
quantities reported under section 313. In
discussing section 313 the conference
report begins by saying that:
This section establishes requirements for
annu.il reporting on releases of certain toxic
chemicals to the environment. This reporting
cover* r.'le,i»e» that occur as a result of
normal business operations, as distinct from
abnormal, emergency release* which must be
reported under section 304.
Thus, commenters would argue, the
statutory definition of release is
modified by the conference report.
EPA believes that the above-quoted
conference report language was
provided for the purpose of clarifying
differences betw een the basic type* of
reporting that occur under section 319
versus section 304 of Title III. A section
313 report is an annual report involving
annual aggregate estimates of releases
to all environmental media. A report
under section 304 it an emergency
notification. EPA does not find language
in section 313 or any other conference
report language that precludes the
quantity of a toxic chemical released
during an "abnormal, emergency
release" from being included in the total
annual amount reportable under section
313.
One of the purposes of section 313 is
assessment of cumulative exposure to
toxic chemicals. EPA believes that the
best way to accomplish this assessment
is to include all releases of toxic
chemicals over the reporting year
regardless of the mode of release. EPA
also believes that most facilities will
calculate their releas.es based on a total
release concept. Therefore, it could be
more burdensome to require a facility to
"back-out" the section 304 releases and
other "accidental" type releases than to
just leave them as part of the total. Also,
if the quantities of section 304 releases
were excluded from the annual
aggregate total, most data users would
not have ready access to this additional
data. This is because section 304
releases quantities will not be entered
into a nationally accessible computer
data base as will section 313 datd. Thus
the public can do no automated cross-
matching of facilities in order to obtain
this additional release data for exposure
analysis purposes. Therefore. EPA is
retaining its interpretation of total
releases for the purpose of section 313
reporting.
2. Removing the section 304 release
indicator. EPA proposed that companies
indu.ate by checking a box whether or
not any part of the reported release was
an accidental release reported under
section 304 of Title III. Section 304
releases are certain occidental releases
of specific chemicals listed under
section 302 of Title III as well as section
103 of CERCLA (RQ chemicals). The
purpose of asking about section 304
releases on the section 313 form was to
provide the public wi(h an additional
means of obtaining information about
total releases (both routine and
accidental) of chemicals subject to
reporting under section 313. Several
commenters protested that asking for
information about section 304 was not in
keeping with congressional ir.tent and
created trade secret problems.
Concerning trade secrets, commenters
were concerned about linkages that
i ould be made between the section 313
report and the section 304 report. Under
section 304, companies are not allowed
to claim chemical identity as trade
secret: under section 313, chemical
identity is the only information element
that can be claimed as a trade secret.
The situation could arise where the
release of a particular chemical reported
under section 304 was the only release
of that chemical during the calendar
year. By checking the section 304 box on
the section 313 form, commenters
asserted that competitors could find the
chemical identity by referring to the
section 304 report.
EPA believes that the section 304
check-box would create unnecessary
reporting complications. Therefore, EPA
has decided to delete the check-box.
3. Deletion of the permit indication.
EPA proposed that for each aggregate
release, facilities would indicate
whether the toxic chemical is
specifically cited in a permit by
checking a "yes" or "no" box. The intent
of the permit indication was to provide a
starting point for the public to obtain
relevant permit information on the
specific chemical released. It was also a
way of providing some kind of
information on air permits without
requiring facilities to list numerous air
permit numbers. Most of the comments
on this issue were negative. There was
strong concern that this check-box
would be misleading and confusing to
the public. Commenters asserted that a
"no" answer r.iay lead the public to
believe the release is unpermitted or
"unallowed" and thereby imply that a
facility is in violation of the law. The
permit indication also does not reveal
how much of the release is covered by
permits. Some commenters noted that
confusion is bound to result on the part
of the reporting facilities as to when the
permit indication should apply since
most permits do not cite or limit releases
by specific chemical. For example, most
air permits apply to categories of
chemicals, such as volatile organic
compounds (VOCs) and participates. In
addition, many permits may limit the
release of a chemical by specifying that
a control device or particular type of
treatment be employed. Therefore, many
permitted releases would not be allowed
to be chocked under the proposed rule's
approach. Certain commenters believed
that EPA should broaden the permit
indication to include most other types of
permitted releases or drop it altogether.
Because the permit indication has a
high potential to provide misinformation
to the public, EPA has decided not to
include the permit check box in the final
form. EPA believes that it would
inevitably lead to misunderstanding and
confusion, not only on the part of the
public, but also by the reporting
community. EPA chose not to broaden
the interpretation of which releases
would be covered by a permit because
this would no longer serve the original
purpose of providing a link to chemical-
specific permit data. Additionally, it
would be difficult in some situations to
give a clear indication of when a permit
actually controls the release of a
specific chemical versus other
components in the wastestream. EPA
requires the listing of specific permit
numbers in the facility identification
part of the form. EPA believes that these
permit numbers provide a useful link
between the release information and
any relevant permit data.
4. Accuracy of reporting. EPA
proposed that the annual release dat»
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4514 Federal Register / Vol. 53, No. 30 / Tuesday. February 16. 1988 / Rules and Regulations
be estimated as accurately as possible
and that figures be rounded off to the
nearest pound. Recognizing, however,
the aggregate nature of the data and
potential error in the estimates. EPA
asked for comment on other reporting
alternatives. EPA received comment on
three proposed alternative reporting
options.
(1) Report in ranges.
(2) Report to T to 2 significant figures.
(3) Report to a specified degree of
precision.
Many commenters on this issue were
in favor of either option 1 or 2, because
they believed that the data will not be
exact due to the error involved in
measurements and estimates, and that
these options would not misrepresent
the accuracy of the data. Several
commenters expressed concerns about
the liabilities involved for verifying the
accuracy of the data and the potential
for public misperception of the data
accuracy.
Certain disadvantages of reporting in
ranges were noted by some commenters.
Use of ranges could misrepresent data
accuracy because the low or high end
range numbers may not really be that
close to the estimated val^e, even taking
into account its inherent error. For
example, n release of 11.000 pounds/
year with a SO percent error could be
misinterpreted as 100.000 pounds/year if
reported as a range of 10.000 to 100.000
pounds/year. Reporting in ranges may
not only misconstrue the data accuracy,
it would also make analysis and use of
the data more difficult according to
these commenters.
Because facilities are not required to
do additional monitoring and are
allowed to provide "reasonable
estimates." it would be Lnfeasible to
dictate that they report to a specified
degree of precision that cannot be
attained given the range of error
inherent in the estimates.
Therefore, EPA is requiring that
estimates of releases and transfers of
toxic chemicals to off-site locations be
expressed as a figure rounded to a
degree of accuracy no greater than two
significant digits.
As noted in the discussion in Unit
XV.B. EPA has adopted an optional
range reporting concept for releases to
an environmental medium of less than
1.000 pounds. Where the facility
believes that it has no release in relation
to a particular line item it could check a
box for "0". If the release is estimated to
be between 1 and 499 pounds, or 500 to
999 pounds, the facility has the option of
checking a range box or entering a
specific figure. For releases of 1.000
pounds or more the facility is required to
provide a figure rounded to no more
than two significant digits. This range
reporting is for calendar years 1987,
1988. and 1989 only.
5. Peak release. Several commenters
raised the issue of having the release
data reported in terms of its frequency.
duration, or peak value in addition to
the annual release amounts. EPA did not
discuss this issue in the proposed rule.
Commenters from environmental and
public interest groups stated that the
annual release data may not gi\e
enough information to assess some risks
accurately. Knowing how often and/or
how long the releases occur, and the
maximum (peak) amount of chemical
released per day would allow a better
evaluation of exposure and risk to the
public according to these commenters.
One commenter stated that the annual
estimates may be appropriate for
evaluating potential cancer risks but
that hourly or daily emission estimates
are useful for assessing risks for
chemicals with acute effects, other
short-term exposure effects, and
environmental effects.
Some industry commenters
maintained that more detailed
information about the frequency,
duration, and peaks of releases will be
difficult or impossible to provide. They
stated that many facilities have
numerous operations or processes
involving a chemical. They claim thai
peak data would be misused and
misinterpreted. They fear that users of
the data would assume that such peaks
occur every day. They also state that the
annual data should be used as a
screening tool and that further studies
should then be undertaken to gather the
information needed to fully characterize
exposure.
EPA considers the need for more
detailed release information to be valid
and considered the following options for
possible inclusion in the final rule:
(1) Days of release.
(2) Indication of intermittent versus
continuous release.
(3) Peak data (maximum daily
amount).
(4] Days of operation.
In reviewing the options, EPA
considered how the data would be used
in a screening for levels of risk with the
currently used exposure models. Days of
release is not currently used for
modeling exposure in ambient air to
carcinogens or chemicals with chronic
(long-term) health effects. Current air
dispersion models for these types of
effects use the total annual release for
estimating exposure. The number of
days of release is used for estimating
drinking water exposure for chemicals
with non-carcinogenic health effects and
environmental effects. EPA considered
that facilities may have difficulty in
providing the number of days per year
over which the chemical is released into
tiie environment. Facilities may not have
this information available, especially for
the first year's reporting and may find it
difficult to provide in some cases. Also
this data may not be meaningful in
cases of multiple releases of different
magnitude and durations.
Reporting whether the release is
largely continuous or intermittent may
be less burdensome for facilities to do.
but it may not be as useful as other
potential indicators. This is because it
does not provide quantitative
information needed for a risk
assessment and may be meaningless for
an aggregate release amount that is
compiled for all releases from many
types of processes or sources at one
facility.
Peak release data in the form of
maximum daily amounts is useful for
analysis of risks from chemicals
released to air or water with acute or
chronic non-carcinogenic effects, and
also for chemicals with environmental
effects. Peak release data can be used to
model the highest one-day acute
exposure to human and environmental
receptors on a worst-case basis to
determine if a more detailed
investigation is warranted. EPA is
uncertain about possible difficulties that
facilities may have in providing this
datum, given that several release
sources and several activities at the
facility may contribute to a single daily-
release amount. It may not be possible
to estimate the maximum daily release
using some estimation techniques, such
as overall mass balance or emission
factors, which are available for
estimating the annual release data.
The number of days of operations
invoking the chemical may be easier for
facilities to provide than other types of
indicators. It could be used to estimate
an average daily release using the
annual data, but there are weaknesses
for using this data in modeling because
the releases may not actually occur
during all the days of operation.
EPA has not included an additional
peak release type reporting element in
the final rule. Such an additional
reporting element would require a
significant change to the form. The
Agency believes that it will be
necessary to further analyze the above
options and to investigate additional
options. In its analysis the Agency will
determine what type of data is needed
to better characterize exposure and risk.
and determine how this data can best be
reported by facilities. Because of the
need for further analysis and input from
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Federal Register / Vol. 53. No. 30 / Tuesday, February 16, 1988 / Rules and Regulations 4515
the public and regulated community,
EPA plans to propose an amendment to
this rule dealing with this issue within
the second quarter of 1988. At that time,
CPA will seek comment on this issue in
order to develop the most appropriate
way of obtaining this data.
6. Disuggregatioii of air emissions.
EPA proposed that fugitive or non-point
air emissions be reported separately
from stack or point source air emissions.
Facilities would include all emissions to
air of a listed chemical and separate
such emissions quantities into fugitive or
stack type emissions. The instructions
gave clarification as to how to
differentiate between the two types of
sources. EPA proposed to distinguish
between these two source categories for
two reasons. First, estimates of stack
emissions are likely to be more accurate
than estimates of fugitive emissions
because stack emissions can be directly
measured. Better overall information on
air releases can be obtained if fugitive
emissions aw reported separately and
the accuracy of the data on stack
emissions is preserved. Second,
separate reporting of fugitive and stack
emissions will enable regulatory
agencies and other users of the data to
judge the relative significance of the two
sources of releases.
Many commenters thought EPA
should not require this disaggregation.
Two commfnters agreed with the
proposal while one commenter stated
that the form should collect five
categories of release on air emissions:
Process, fugitive, storage, transfer
operations, and waste treatment
emissions. Some commenters thought
EPA should require only reporting of
point source releases because fugitive
emissions are too difficult to estimate
accurately.
EPA has retained the reporting of air
emissions as proposed. This issue
received much discussion and review
before the rule was proposed and the
reasons for not further disaggregating air
emissions still remain the same. First,
farther d; segregation would not be
consistent with EPA'i approach of not
requiring specific information on the
sources of releases to minimize trade
secret claims. Second, the burden on
facilities would increase tremendously if
f.irlher disag^regation were required.
For example, a facility will be able to
estimate an aggregate non-point ae Release To Land section by
entering a disposal code for
underground injection next to the annual
amount. To further clarify releases by
nnd-'rground injection of listed toxic
chemicals, EPA has included a separate
sub-section in the final reporting form
entiled Underground Injection (Part III,
Sec'ion 5.4).
9 Basis of estimate. For each
aggtegHte release, EPA proposed to
require an indication of the basis used
to account for the estimation of the
largest portion of the release quantity.
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4516 Federal Register / Vol 53. No. 30 / Tuesday. February 16. 1988 / Rules and Regulations
The basis of estimates provided in the
instructions were:
(1) Based on monitored or measured
data.
(2) Based on mass balance
calculations.
(3) Based on published emission
factors.
(4) Based on other approaches
(engineering judgment, etc.) Each
method would be indicated on the form
by the use of a code.
The basis of estimate provides some
indication of data quality and will
identify situations in which monitoring
data might be obtained in follow-up
activities by EPA or the States. This
indication would also allow EPA to
identify facilities and industries that
may be having difficulty estimating
releases so that further guidance may be
developed for them.
Several commenters thought that EPA
should require more detailed
information on how the releases were
estimated, such as the percentage of the
release for each method, the emission
factors used, or a brief explanation for
how other approaches were applied.
Most of the commenters representing
industry supported the use of the
proposed basis of estimate. One
commenter wanted clarification on
whether indicating the use of emission
factors applied only to the use of EPA
emission factors.
Requiring reporting of the emission
factors could result in revealing
production volume or throughput
amount of the chemical: information that
many companies consider trade secret.
Also, requiring reporting of the specifics
of the calculations used to develop the
estimates would be similar to collecting
information on each source of release,
as opposed to the aggregate release.
Such data could involve information on
quantities of process streams, also often
considered proprietary. EPA wishes to
minimize trade secret claims so that
most of the data on the specific
chemicals will be available and useful
to the public. Collecting this sort of
detailed information would be more of a
"mass balance" reporting approach, and
EPA does not have the authority to
collect mass balance information from
fdcihlies under section 313. Such an
approach will undergo study by the
National Academy of Sciences as
required by section 313(1) to determine
the feasibility of its use for future toxic
chemical release inventory reporting.
The final rule requires the basis of
estimation as proposed. Any reasonable
emission factor may be used to estimate
releases. It is not EPA's intent that
facilities be constrained or limited to the
use of any one estimation method. The
burden is on the facilities to provide the
most accurate and "reasonable"
estimate of releases, and they should
use all available data and means to
provide these estimates. The data or
methods used must be documented in
the facility's records and made available
for review upon request by EPA
inspectors. EPA will use the basis of
estimate provided on the form as a tool
to ascertain data quality, availability of
information, and reporting problems for
facilities.
D. Off-Site Transport
EPA proposed that facilities report the
amount of the toxic chemical in waste
transferred to the off-site treatment and
disposal facilities (including POTWs).
the name and address of the off-site
location, whether the off-site location is
under the control of the reporting
facility, and the treatment/disposal
methods used off-site, if known. The
rationale for inclusion of the off-site
waste transfers was to complete the
picture of chemical waste generated
from a facility and enhance the public's
understanding of the locations of toxic
chemicals in their community. Off-site
locations would also include waste
brokers, storage facilities, privately or
publicly owned wastewater treatment
works, and off-site underground
injection wells.
Most industry commenters objected to
the reporting of off-site waste transfers
for several reasons. First, commenters
stated that such information is not
required by the statute, was not
intended by Congress, and is duplicative
because of RCRA reporting
requirements for hazardous waste. The
strongest objection, however, was that
the off-site chemical, transfers do not
constitute "a release into the
environment" by the reporting facility
and should not be reported as such on
the form.
Other comments focused on whether
reporting of off-site treatment/disposal
methods is required or not and how to
report recycling and reuse of the
chemical waste off-site. A few
commenters suggested that EPA should
require the EPA Identification Number
of the off-site facility because these
numbers would help provide a better
identification of the off-site facility and
would aid in access to related
information in other data bases.
EPA has interpreted the statute to
require reporting on wastes sent off-site
because the conference report states
that reportable releases shall also
include releases "to waste treatment
and storage facilities." Also, EPA
believes that reporting wastes sent off-
site is important because the absence of
this information regarding the
generation of chemical wastes by a
facility could be misleading to the
public. Many facilities transfer a
significant portion of their chemical
wastes to off-site locations.
The information to be collected on off-
site waste transfers is different from
that required under RCRA because this
information is chemical-specific and
makes no distinction between
wastestreams which are hazardous and
non-hazardous. This type of chemical-
specific information is not currently
available to the public or EPA for many
chemical wastes. Facilities are to report
the amount of the listed toxic chemical
in waste transferred off-site. Facilities
are not to report the total amount of the
waste containing the chemical.
EPA has retained the requirement to
report transfers of a chemical in waste
to off-site locations. However, EPA has
revised the form so that off-site transfers
are distinguished from direct facility
releases to the environment, because the
disposal fate is not always known and
the off-site treatment may reduce the
amount of chemical ultimately released
into the environment. The off-site
transfers of chemicals are to be reported
in a separate section (Part III. Section 6)
of the form. Reporting of treatment/
disposal methods is required only if this
information is readily available to the
reporting facility.
Transfers to a reprocessor or recycler
of chemical waste are not reportable as
off-site transfers under the final rule.
First, the material being sent is not
bound for ultimate disposal. Second.
these types of facilities may themselves
be covered as manufacturers or
processors of the chemical and, thus,
would be accounting for any releases to
the environment.
EPA agrees with the comment that an
EPA Identification Number should be
included in connection with the name
and address of off-site locations (to be
reported in Part II. Section 2 of the
form). If the chemical is part of a
hazardous waste, this information
element should be readily available
from information that the facility must
supply on the Uniform National
Hazardous Waste Manifest Form. If the
facility does not know the EPA
Identification Number of this off-site
location, it would enter N/A in this
space on the form.
E. Waste Treatment Information
1. Wastestream and treatment
methods. Section 313(g)(i)(c)(iii) states
that facilities must report "for each
wastestream, the waste treatment or
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Federal Register / Vol. S3. No. 30 / Tuesday. February 16. 1988 / Rules and Regulations 4517
disposal methods employed, and an
estimate of the treatment efficiency
typically achieved * * *." EPA
proposed that a wastestream be
considered as the aggregate wastes
treated in a particular manner or the
influent stream to a single treatment
method. For example aggregate waste
going to secondary wastewater
treatment on site would be considered
as a wastestream and reporting would
not be required for each of the numerous
waters from various process points that
are combined for treatment EPA
proposed that the wastestream be
characterized as gaseous emissions.
wastewater. non-aqueous liquid waste,
and solid waste (includes sludge and
slurries).
In the proposed rule EPA also
requested comment on a more detailed
wastestream characterization approach.
The example used would have required
each individual wastestream containing
the reported toxic chemical to be
identified by an appropriate RCRA
waste code. Where a wastestream did
not have a RCRA waste code, other
source codes would have to be
developed
Commenters representing industry
trade groups and individual companies
supported EPA's proposed aggregate
wastestream approach. Commenters
representing environmental or public
interest groups disagreed with the
proposal and urged EPA to adopt a
source-specific wastestream
characterization system, such as
requiring individual wastestreams to be
identified by the RCRA codes. These
commenters claimed that an aggregate
wastestream approach would severely
reduce the utility of the data and that
EPA will lose the ability to identify
particularly efficient means of
treatment.
EPA has determined that it will retain
the aggregate wastestream
characterization approach a« proposed.
EPA was not convinced by comments
received that a source-specific
wastestream characterization would
add materially to the data received or to
understanding more about relative
efficiencies of particular treatment
methods applied to those wastestreams.
EPA remains concerned that a very
specific wastestream approach would
add a significant degree of complexity to
the form. It would also increase the
burden associated with completing the
form without a commensurate increase
in benefits. For example, in larger
facilities several different individually
coded wastestreams, containing the
same chemical may be sent to one type
of treatment The form would have to
provide for multiple entries for each of
these wastestreams. Yet. the type of
treatment and the relative efficiency of
removal of the chemical would be the
same. There also remains the concern
about disclosure of trade secret
information if facilities were required to
identify source-specific wastestreams.
For example, many of the RCRA waste
codes are themselves specific toxic
chemicals as listed in section 313. If a
facility can substantiate that the
manufacture, processing, or use of a
toxic chemical at their facility is a trade
secret and they must then identify a
treated wastestream as that same
chemical, then trade secret protection is
effectively negated. Furthermore, to the
degree that process specific
wastestream information could reveal
sensitive process related trade secret
information, companies that might
otherwise not claim the chemical
identity as a trade secret may have more
reason to do so in order to protect the
linkage to process detail This result
would adversely affect the public's
access to information.
Finally, in many cases where more
detailed wastestream information may
be of use. such information would be of
use only in conjunction with other
detailed information, such as the
characterization of the wastestream. It
is EPA's belief that such detailed
information is more appropriately
gathered in followup activities after the
reports under this rule have been
screened to identify particular facilities
or classes of facilities of greatest
interest. EPA believes that the level of
detail in the final form will satisfy the
needs for such screening.
EPA proposed a list of treatment
codes in the instructions from which
facilities could specify the treatment
methods used for each wastestream.
This list has been revised slightly to be
more consistent with treatment methods
and codes that will be used for future
RCRA annual/biennial reporting. Such
consistency will result in less confusion
and burden for many facilities who will
be reporting waste treatment
information under two different EPA
rules. Treatment methods are to be
reported for all wastestreams containing
reportable chemicals whether this
treatment actually removes the specific
chemical or not
2. Treatment efficiency. EPA proposed
that treatment efficiency, expressed as
percent removal would represent any
destruction, biological degradation.
chemical reaction or conversion, or
physical removal of the listed chemical
in the wastestream being treated. A few
commenters noted that some of the
treatment methods, such as
encapsulation and fuel blending, could
be reported as 100 percent efficient from
the standpoint of protection of health
and the environment EPA proposed that
these treatment methods be reported
with a 0 percent efficiency because they
do not remove the chemical by any of
the previously mentioned mechanisms.
For the final rule, EPA does not believe
that "removal efficiency" should be
stretched Jo include wastes rendered
"safe," "harmless," or "non-toxic" to
health and the environment without
being removed from the wastestream
because such determinations are
abstract and subjective, and would
result in inconsistent and confused
reporting, and would be misleading to
the public. Knowledge of the treatment
method used should be sufficient to
indicate to data users the mechanism of
the "treatment" employed and how it
works.
Several commenters were confused
about how to report the efficiency of
neutralization processes because this
type of treatment involves a change in
pH and they believed that the concept of
percent removal would not apply.
Neutralization does involve a chemical
reaction or conversion, such as an acid
reacting with a base to form a salt or
vice versa. Therefore, percent removal
would apply to the percent of acid (or
base) in the wastestream that was
reacted during treatment. Neutralization
also involves pH adjustment because pH
is just a measure of the acid or base
concentration in the wastestream. A pH
of 7 or above after neutralization would
indicate 100 percent treatment efficiency
of an acidic influent wastestream while
conversely, a post-treatment pH of 7 or
below would indicate 100 percent
efficiency for a basic influent
wastestream.
3. Sequential treatment. In the
proposed rule, the reporting form did not
allow tracking of sequential treatment
processes, and an efficiency was to be
reported for each treatment method.
Several commenters pointed out that for
sequential treatments, an overall
efficiency for the process would be more
useful data than a separate efficiency
for each treatment without an indication
that they are part of a sequence. EPA
also realizes that, in many cases,
facilities may not know the individual
treatment step efficiencies for a
sequential process, but would have a
good estimate of the efficiency of the
overall treatment process.
EPA has revised the waste treatment
section of the form to allow the option of
reporting sequential treatment methods
and an overall treatment efficiency if the
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4518 Federal Register / Vol. 53. No. 30 / Tuesday. February 16. 1988 / Rules and Regulations
individual treatment step efficiencies
are not known. The sequential treatment
steps would be linked together by
checking a box next to each step to
indicate that it is part of a sequence. See
Part III, Section 7, column D of the form.
This revision will allow facilities to
report more accurate and relevant (in
the case of sequential treatment) data.
will reduce their reporting burden, and
will increase the usefulness and
understanding of the treatment data
reported. For sequential treatments,
facilities are to list the individual
treatment codes for the various steps in
the process, report the influent
concentration for the entire process by
entering the code next to the first
treatment step, and report the overall
sequential treatment efficiency next to
the last treatment step in the sequence.
4. Influent concentration. EPA
proposed that facilities report the pre-
treatment concentration of the chemical
in the wastestream for each treatment
method. Submitters would enter a code
corresponding to one of five ranges of
concentration. Each range covers 2 to 3
orders of magnitude, relieving facilities
of the burden of having to report the
exact concentration which may not be
measured and may fluctuate. Influent
concentration data will enhance the
evaluation and comparison of waste
treatment methods by helping users of
the data determine the effectiveness of
treatment methods for wastestreams
containing different amounts of a given
chtmical.
Most commenters on this issue stated
that this information should not be
required because it was not specified in
the statute, but little comment was
received on the burden or technical
difficulties of supplying this data. EPA
has retained the reporting of the influent
concentration for each treatment
method in the final rule. The influent
concentration will aid in the evaluation
of treatment methods used throughout
industry by putting the treatment
efficiency data into better perspective.
This requirement should not
significantly increase a facility's
reporting burden because it can report
the data in fairly broad ranges. For
sequential treatments, the influent
concentration will be required only for
the firs' treatment step in the overall
treatment sequence.
F. Optional Reporting on Waste
Minimization
The proposed form included an
optional section to allow the respondent
to indicate any action taken in the past
year (other than the waste treatment
methods specified in Part III. Section 8
of the form) to minimize the generation
of waste related to the chemical being
reported. This section was made
optional because the reporting of this
type of information is not required in
section 313. However, the information
that would be provided about waste
reduction is considered by EPA to be an
important indicator of how industry is
responding to the Agency's emphasis on
better waste management through waste
reduction.
In comments on the proposed rule, the
regulated community stated that this
request went beyond the scope of the
statute and that the Agency was not
authorized to collect such information
under Title III. Reporting on waste
minimization puts an additional burden
and cost on the regulated community.
One commenter noted that if a facility
chooses not to report on waste
minimization, readers of the report may
conclude that no emission reduction is
in place at that facility. On the other
hand, public interest groups stated that
information on waste minimization
would be very useful to the public and
requested that this reporting element be
made mandatory.
The Agency has decided to retain the
optional section on waste minimization.
EPA has no coercive intent in requesting
this optional information. On the
contrary. EPA believes that this section
will provide respondents with a positive
way to demonstrate to the public the
beneficial waste reduction activities
they have undertaken. EPA believes that
the information provided by industry
can indicate longer-term trends in waste
reduction activities. However, the
Agency has attached a 3 year sunset to
this optional section. EPA intends to
study the benefits of this section and
will review the potential overlap
between this reporting question and
reporting on waste minimization under
RCRA regulations.
The proposed optional reporting
section also included space for
providing a narrative description of
waste minimization activities. The
Agency has decided to drop the
narrative space because it will be
difficult for the computerized data base
to accommodate such textual data.
VIII. Chemical List Issues
A. Modifications to the List
EPA received many comments
suggesting modifications to the list of
chemicals subject to section 313
reporting. Among these comments were
suggested additions to the list
corresponding to other regulated
chemicals such as the 47 toxic pollutants
regulated under the Clean Water Act.
Another comment reflected that all
known carcinogens should be on the list.
Many other comments were made
suggesting specific chemical deletions
from the list of section 313 chemicals.
EPA realizes that some of these
recommendations may be valid.
However, the Agency chose not to use
this initial rulemaking as means to
modify the list of covered toxic
chemicals. EPA plans to begin an in-
depth review of the list of chemicals
currently subject to reporting and an
evaluation of chemicals that should be
added to the initial list beginning in the
first quarter of 1988. The comments
which the Agency has received will be
useful in helping the Agency develop its
methodology for this list review. Any
changes to the section 313 list of
chemicals that appear appropriate
based upon this review will be proposed
for public comment.
B. Nomenclature
1. CAS preferred name versus
common trade name. The list of
chemicals mandated by section 313
contained certain entries identified by
trade names, not chemical names. For
example. Parathion is a trade name. The
chemical name with the corresponding
CAS registry number is Phosphoric acid.
O,O-dimethyl-O-(4-nitrophenyl)ester.
EPA stated in the proposed rule that
reporting facilities should not have to
use a competitor's trade name for
reporting purposes and so, in the case of
a listed trade name, an alternative CAS
preferred name was offered in solid
brackets. The Agency intends to use the
CAS registry number as the unique
identifier for all chemicals except for the
20 chemical categories. Therefore,
reporting facilities can use either the
trade name or the CAS preferred name
that appears in i 372.65 (a) and (b) of the
rule as long as the corresponding CAS
registry number appears on the form.
2. Cyanide compounds. Although
cyanide compounds are described with
a CAS registry number, cyanide
compounds are considered a chemical
category as defined in $ 372.65(c) of the
rule. The CAS registry number refers to
the cyanide anion (CN—), which is not a
discrete reportable chemical without a
counterion. Therefore the CAS registry
number listing for cyanide compounds in
§ 372.65 (a) and (b) of the rule has been
removed.
3. Metal and metal compounds. The
original committee print of the list of
chemicals subject to reporting under
section 313 listed metals and their
compounds with the CAS registry
number which corresponded to the
metal only. In its proposal. EPA sought
to separate the metal from metal
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Federal Register / Vol. 53, No. 30 / Tuesday, February 16, 1988 / Rules and Regulations 4519
compounds. The distinct metal appears
with its CAS registry number in $ 372.65
(a) and (b), and the corresponding metal
compounds category appears in
§ 372.65(c) because it is a chemical
category.
4. Dyes and Color Index names. EPA
received comment that some dye
chemicals are listed by a common name
whereas others are listed by a Color
Index (C.I.) name. For example.
Auramine (CAS No. 492-80-8) has the
Color Index name of C.I. Solvent Yellow
34. It was suggested that the list would
be much clearer if all of the dye
chemicals were listed by their Color
Index names. Furthermore, the
chemicals Direct Black 38. Direct Blue 6.
and Direct Brown 95 should also be
listed with the "C.I." prefix. The Agency
agrees with these suggestions. Listing
these chemicals using the Color Index
name makes the list consistent. In
§ 372.65(a) of the rule all of these dye
chemicals are listed together. EPA has
included the common name in brackets
in the case of Auramine.
5. Clycol ethers. Commenters
suggested that the Agency should
include specific glycol ethers in the
chemical specific listings of S 372.65 (a)
and (b) of the rule and remove it as a
category from S 372.65{c). EPA considers
this an amendment or modification to
the list of chemicals and is not changing
the list in this rulemaking.
C. Reporting Substances of a Certain
Form
Certain of the chemicals listed in the
Committee Print have parenthetic
qualifiers listed next to them. EPA
attempted to clarify these qualifiers in
its proposal. A chemical that is listed
without a qualifier is subject to reporting
in all forms in which it is manufactured,
processed, and used.
1. Fume or dust. Three of the metals
on the list (aluminum, vanadium, and
zinc) contain the qualifier "fume or
dust." EPA interprets this qualifier to
mean that a facility is manufacturing,
processing, or using the metal in the
form of fume or dint. Fume or dust does
not refer to "wet" forms, solutions, or
slurries, for example, but only dry or
anhydrous forms of these metals. As
explained in Unit IVA. of this preamble,
the term manufacture includes the
generation of a chemical as a byproduct
or impurity. In such cases, a facility
should determine if, for example, it
generated more than the 1987 threshold
of 75,000 pounds per year of aluminum
fume or dust as a byproduct of its
activities. If so then the facility must
report that it manufactures aluminum
(fume or dust). Similarly, there may be
certain technologies in which one of
these metaU is processed in the form of
a fume or dust to make other chemicals
or other products for distribution in
commerce. In reporting releases, the
facility would only report releases of the
fume or dust.
2. Manufacturing qualifiers. Two of
the entries contain a qualifier relating to
manufacture. For isopropyl alcohol the
qualifier read "mfg.—strong acid
process." For saccharin, the qualifier
sirr.ply reads "manufacturing." In the
case of isopropyl alcohol EPA interprets
the qualifier to mean that only persons
who manufacture isopropyl alcohol by
the strong acid process are required to
report. In the case of saccharin, only
manufacturers of saccharin are required
to be reported. A facility that processes
or otherwise uses either chemical would
not be required to report for those
chemicals. In both of these cases.
supplier notification does not apply.
3. Solutions. Four substances on the
list are qualified by the term "solution."
These substances are ammonium
nitrate, ammonium sulfate. sodium
hydroxide, and sodium sulfate. EPA
interprets the term "solution" to refer to
the physical state of these chemicals.
Only facilities that manufacture,
process, or use these chemicals in die
form of a solution would be required to
report these chemicals. See D. of this
Unit for a further discussion of
solutions. In these cases supplier
notification applies only if the chemical
is distributed as a solution.
4. Phosphorus (yellow or white). The
listing for phosphorus is qualified by the
term "yellow or white." This refers to a
chemical state of phosphorus meaning
that only manufacturing, processing, or
nse of phosphorus in the yellow or white
states triggers reporting. Conversely,
manufacturing, processing, or use of
"black" or "red" phosphorus would not
trigger reporting. Supplier notification
applies to distribution of yellow or white
phosphorus.
5. Asbestos (friable). The listing for
asbestos is qualified by die term
"friable." This term refers to a physical
characteristic of asbestos. EPA
interprets "friable" as being crumbled.
pulverized, or reducible to a powder
with hand pressure. Again, only
manufacturing, processing, or use of
asbestos in the friable form triggers
reporting. Similarly, supplier notification
applies only to distribution of friable
asbestos. EPA received comment to
include other forms of asbestos. As
noted above, the Agency has chosen not
to use this rulemaking as a vehicle for
modifying the initial list of chemicals.
D. Reporting Chemical Solutions
1. De minimis cut-off for chemical
solutions. The list of chemicals in
§5 372.65 (a) and (b) contain the
qualifier "solution" for some entries
such as sodium sulfate (solution). This
qualifier is defined in C.3. of this Unit.
Technically, a solution is a mixture or
formulation. Certain commenters
suggested that a de minimis cut-off be
applied to the reporting of chemical
solutions consistent with the concept of
a de minimis limitation for mixtures.
EPA agrees with this suggestion because
reporting on these four substances is
consistent with mixture reporting.
Chemicals with the qualifier "solution."
such as sodium sulfate that are
manufactured, processed, or otherwise
used in excess of the de minimis levels
must be factored into threshold and
release reporting requirements of this
rule-
2. Neutralizations andpH
adjustments. EPA received comment
regarding neutralization of solutions
such as dye baths and pH adjustments
of wastewater.
Neutralization is interpreted by EPA
as a chemical reaction. For example,
sodium hydroxide solution is used to
neutralize a dye bath and a solution of
sodium sulfate is formed. Assuming that
other reporting requirements are met
this facility is viewed by EPA as a user
of sodium hydroxide (solution), and a
manufacturer of sodium suifate
(solution), even if the sodium sulfate is
destined for disposal. Releases of
sodium hydroxide (solution) and of
sodium sulfate (solution) would be
reported.
Adjustments of the pH of a solution
present a more complex circumstance in
establishing reporting with respect to
threshold requirements. The input of a
chemical such as sodium hydroxide
(solution) into wastewater for pH
adjustment constitutes a use of that
chemical and is reportable. Therefore
EPA is requiring facilities that use
section 313 chemicals for pH
adjustments and neutralizations to
report if they meet an applicable
threshold, even if these chemicals are
consumed and no releases result.
However, EPA realizes that there may
be many situations where pH
adjustments are made to complex
mixtures such as wastewater, where it
may be very difficult to determine
whether a section 313 chemical is being
"manufactured" during this
neutralization. Furthermore, quantifying
these chemicals for the purposes of
meeting reporting thresholds may be just
as difficult. The facility must report if it
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4520 Federal Register / Vol. 53. N'o. 30 / Tuesday. February 18. 1988 / Rules and Regulations
knows that a listed toxic chemical is
generated as a result of such
neutralization and has data that allows
for a reasonable estimate of the quantity
generated.
IX. Trade Secret Provision*
A. General Trade Secret Issues
The Agency received a number of
comments relating to the trade secrecy
implications of certain proposed form
elements. Many of these comments have
been addressed in the applicable units
of this preamble. EPA also received a
number of other general comments on
trade secrecy as they relate to claims
under section 313.
EPA proposed a rule in the Federal
Register of October 15,1987 (52 FR
38312). Part of this proposed rule
contains procedures for claims of trade
secrecy under Title III, including a
proposed trade secret claim
substantiation form. General comments
on trade secrecy under the proposed
section 313 rule will be reviewed and
considered as part of the above-
referenced proposed rule.
Until such time as the trade secret rule
is finalized, persons subject to this final
rule are required to comply with section
322. Accordingly, to do so persons who
claim the chemical identity of a toxic
chemical as a trade secret should follow
the provisions of the proposed trade
secret rule. (One exception is noted in B.
of this unit regarding the generic
chemical name which is required to be
pro\ ided in the section 313 submission.)
Persons should also use the proposed
trade secret claim substantiation form
until a final form is published.
D. Identifying Adverse Health and
Environmental Effects Information in
the Data Base
Section 322(h)(2) of Title 01 requires
F,PA to identify the adverse health and
environmental effects associated with a
toxic chemical that is claimed trade
si-cret and assure that such information
is included in the computer data base.
The conference report further explains
that "(t]he adverse effects identified
should be described in general terms so
as not to provide a unique identifier of a
particular trade secret chemical."
EPA identified several options in its
proposed rule for meeting this
requirement of providing adverse effects
information relating to trade secret
claims. One option would be to develop
a cumulative, worst-case effects
characterization for the predefined
generic class of the chemical.
A second option discussed was a
modified generic identification approach
v.hcre companies would be required to
develop and submit a generic identity
for the chemical, and the EPA would
develop the associated adverse health
effects description that relates to the
general class or category of the
chemical.
A third approach mentioned in the
proposed rule would be to attempt to
develop individual adverse effect
profiles that would be substance-
specific but would mask any particular
effect that is unique and that could
divulge its chemical identity.
EPA received comments on the above
options. Comments generally pointed
towards the obvious difficulty of
maintaining chemical identity as trade
secret while providing adverse health
and environmental effects information.
It is the EPA's intention to provide the
public with as much detailed
information as possible on adverse
effects. However, the Agency is also
obligated to protect the chemical
identity from disclosure through the data
base when a legitimate trade secret
claim is made.
EPA approached this issue by
developing a matrix of the 309 listed
chemicals against the 10 health and
environmental effects specifically
mentioned in section 313(d). Toxicity
data were accumulated from standard
literature sources and, where applicable,
interpreted using Agency guidelines. The
results showed that there were
approximately 70 chemicals that
exhibited unique toxicity patterns
within the 10 effects. EPA proceeded
with this analysis by collapsing the 10
adverse effects categories to attempt to
arrive at a point where there were no
chemicals that exhibited a unique
toxicity pattern. To reach the "no
unique" result it was necessary to
collapse the categories to the following 4
general categories: Carcinogenicity,
acute toxicity, other human health
effects, and environmental toxicity.
EPA was surprised by the results of
this analysis. EPA believes that
Congress did not anticipate that its
mandate to balance trade secret
protection With the ready availability of
effects information would lead to such a
low degree of specificity for the effects
information. EPA will continue to
explore alternatives for providing the
public with more specific effects
information in connection with
chemicals claimed trade secret. The
Agency plans to publish the analysis
mentioned above for comment sometime
in the second quarter of 1988 before
making any final decisions on the
adverse effects identified in the data
base.
The only impact of this analysis on
the final rule is that EPA will not use the
predefined generic classes as originally
proposed. The analysis indicated that
even the four-effects matrix, when put in
the context of these generic
classifications, created unique patterns
for certain chemicals. As a result the
Agency has decided to require the
reporting facility to provide a suitable
generic chemical name that is
structurally descriptive of the chemical
that is claimed trade secret.
X. Recordkceping
EPA proposed a 5-year recordkeeping
period. Several commenters objected to
this proposed provision. They asserted
that 5 years was an excessively long
period of time to require facilities to
maintain records relative to the reports
under section 313. They asserted that a
3-year recordkeeping period would be
sufficient and would be consistent with
the 3-year recordkeeping period in other
EPA regulations relative to air, solid
waste, and water.
One reason EPA proposed a 5-year
recordkeeping period for section 313
submissions is the expected high
number of facilities potentially subject
to reporting. A 5-year period would
allow EPA to inspect a larger number of
facilities. However, after a review of the
issue EPA believes that a 3-year
recordkeeping period will be sufficient
given that EPA Will be receiving
submissions annually from covered
facilities. Therefore, the recordkeeping
period is 3 years from the date of
submission of a report for all
information relative to the preparation
of that report.
In addition to persons who must
submit reports under the final rule, a
supplier of a mixture or trade name
product must keep records of the fact
that they provided the required
notification relative to the presence and
composition of covered toxic chemicals
in products they distribute in commerce.
Such records must, where applicable,
include an explanation of why the
specific chemical identity was
determined to be a trade secret and the
appropriateness of the generic chemical
name provided in the notification
relative to that chemical. If the supplier
provides an upper bound concentration
value instead of a specific
concentration, the supplier must provide
in its records an explanation of why the
specific concentration is deemed a trade
secret and the basis for the upper bound
concentration limit.
XI. Economic Impact
EPA has prepared a Regulatory
Impact Analysis (RIA) in connection
with this final rule. The RIA assesses
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Federal Register / Vol. 53. No. 30 / Tuesday. February 16. 1988 / Rules and Regulations 4521
the economic impact of the final
regulation on the affected industry
(manufacturing. SIC codes 20 through
39) and State and Federal governments.
The following cost results are presented
in the analysis document titled.
"Regulatory Impact Analysis in Support
of Final Rulemaking Under Section 313
of the Super-fund Amendments and
Reauthorization Act of 1966."
Three alternatives are considered in
the RIA for implementing section 313:
Alternative I—Facilities report by letter.
Alternative II—Facilities report on the
proposed version of Form R. Users
must contact supplier concerning
mixtures and trade name products.
Alternative III—Facilities report on the
final version of Form R. Supplier
notification.
The population of facilities that would
be required to submit reports under
section 313 is based on three sources:
census data for national totals of
facilities engaged in manufacturing,
surveys of toxic substances use
conducted by 6 States and localities
involving a Subset of the substances
contained in the list of 329 chemicals
convered by section 313. and production
of toxic chemicals reported for the Toxic
Substances Control Act Inventory.
Section 313 requires annual reports on
releases of toxic chemicals from an
estimated 31.800 facilities. Overall, the
Agency may receive an estimated
318,000 reports annually. This equals an
average of 10 reports per facility.
The total costs per average facility, as
well as per chemical report costs, are
shown in Table I below.
TABLE I.—TOTAL COSTS PER AVERAGE REPORTING FACILITY AND PER CHEMICAL REPORT ($/YR.)
Compliance determination . ...
Formattino . ... ~
Report completion (^ chemicals) .
Identification of mixtures . _ » _
Report completion (3 mixtures)
Mailing . .. ...
Total cost* per facility _„ „
Total costs pef chemical report
Regulatory alternative 1
First year
1.195.20
101 78
1.223 12
9,036.69
2,222.93
232.66
6.94
14,019.30
1,401.93
Subse-
quent
years
298.80
41.92
6.14498
200.72
156.34
6.94
6,851.70
685.17
Regulatory alternative
II
First year
1,195.20
101.76
11.295.80
2.222.93
291.22
6.94
15,113.85
1,51139
Subse-
quent
years
298.80
41.92
7,680.60
200.72
197.78
694
8,426.76
842.68
Regulatory alternative III
First year
1,19520
101.76
11.59500
0.00
0.00
6.04
12.898.00
1,289.80
Subse-
quent
years
29880
41 92
7.88406
96.34-
887.76
0.00
6.04
8,327 16-
9.11858
83272-
911.86
Source—RIA 1987.
The costs represented in Table I are
for reporting facilities. The final rule will
cause costs to be incurred by more
facilities than will actually be subject to
reporting. All facilities with 10 or more
full time employees in SIC codes 20
through 39 will incur some costs
associated with compliance
determinations (i.e., becoming familiar
with the rule and the form, and
determining if they meet the threshold
requirements for any of the section 313
chemicals). An estimated 146,450
facilities will incur the compliance
determination costs. These costs, which
do not vary across the alternatives, are
included in the aggregate industry costs
shown in Table II below.
TABLE II.—AGGREGATE COSTS FOR INDUSTRY: FIRST AND SUBSEQUENT REPORTING YEARS
(Million dollars per yew]
Compliance detenvweiion .... • •
Filing
Report completion for chemcrie
Usen screening of mhtiaea , ............... .
Users-contacting suppliers .,---- , , , , „ , - -
Report completion for minima
"junpliefs identification of mbchjree -,„,,,,,, ,--„- „_„_...•...._« _..»..
Supplier* nformng ueers „ —
Regulatory
aflemativel
First
year
137.3
3.2
389
2876
87.2
43.5
7.4
0.8
10.3
556.2
Subee-
quent
yam
343
1.3
195.6
2.0
4.4
5.1
0.1
1.0
243.8
Regulatory
alternative II
First
year
137.3
31
359.4
27.2
43.5
9.3
OJ
10.3
591.0
Subse-
quent
years
34.3
1.3
244.4
2.0
4.4
6.3
0.1
1.0
293.9
Regulatory alternative
III
Rrst
year
137.3
3.2
359.4
212
527.1
Subsequent
years
343
1 3
250.9-253 9
2.0
01-08
0.7-«,9
289.3-299.2
Source—RIA.
Range of costs in subsequent yean of Alternative III
represents subsequent years.
reflect* elements that are phased-*! That is, the high end of the range* represents year 2, and the tow end
The other major costs that will be
incurred by non-reporting facilities
involve mixtures and trade name
products. The proposed rule would have
required that processors and users of
mixtures and trade name products
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contact suppliers and document the
information provided by suppliers. If
information were not provided by
suppliers, processors and users were
required to submit partial reports for
mixtures and trade name products. The
final rule places the burden on the
supplier to provide the information to
users. Suppliers and users would incur
. costs under all alternatives, as shown in
Table II. Supplier costs are lower for the
final rule, because suppliers would be
initialing the information, rather than
responding to requests from users.
The costs of users will also be lower
for the final rule, as the information on
mixtures will be made available to them
and consequently there will be no costs
for contacting suppliers and
documenting the contacts.
To compare costs of the proposed rule
to the final rule it is necessary first to
understand that the costs for the
proposed rule have been revised. The
four major reasons for revisions to the
cost estimates are summarized as
follows:
1. The number of chemcial reports per
facility increased from 4 to 10. Basis for
change: Public comments, section 313
pretest, and data from five additional
State and local data bases on chemical
use.
2. Costs for compliance
determinations increased by 33.0
percent Basis for change: Revisions to
costs developed in the RIA for the
proposed Comprehensive Assessment
Information Rule (CAIR).
3. Estimates for calculating releases in
the proposal were based on pretest of
CAIR form and contractor estimates.
These estimates have been reduced by
30 percent. Basis for change: Revisions
to proposed CAIR costs and section 313
pretest.
4. Costs for suppliers (screening
mixtures and informing users) and users
(screening mixtures) were not originally
included,
These costs are compared in Table III
below.
TABLE 111.—SUMMARY OF COST COMPARISON BETWEEN PROPOSED AND FINAL RULE
(Rrst-year cost)
Costs per facility _ -
Total number of chemical reports
Total number of partial mixture —«. . . .
Total yidustry costs -.
Reports per *ac*My _ _
Proposed
$12500 , -,
132,340
32 760 - .. -
$4727 million, $527.1 million ._
4 chemical. 1 mixture _ j
Re-vised proposed final
$i«; 100 $1?900
319000 318000
<«inn
$591.0 million
3 chemical, 7 fuH reporta-maiurea. 3
partial raporu-molur*.
3 chemical. 7 ful reports-nurtures.
The number of chemical reports per
facility increased 2.5 times but initial
doubling of CAIR estimates was found
to be unnecessary and inclusion of
supplemental time to estimate releases
was also found to be double counting.
First year costs per reporting facility
increased from about $12,500 in the June
RIA to $15,100 for this same (proposed)
version of the form, reflecting the above
factors and an increase from the more
thorough accounting for the
responsibilities attributed to mixtures.
Phase-in of mixtures and placement of
the burden upon suppliers rather than
users account for the final rule's
(Alternative III) lower cost of $12,900 per
facility.
EPA has chosen to develop the form
and rule in order to provide for uniform
reporting, so that a computerized data
base of high quality and utility can be
created and maintained EPA will incur
costs to process, check, store, and make
available the data reported under
section 313. EPA's costs will vary
depending upon its choice of data
management systems and policies, but
are estimated to range from between
$7.7 and $26.4 million per year. States
will also have some expenses for
processing, storing, and distributing
reports sent to them. State costs are
estimated to be from $1.7 to $2.2 million
per year.
XII. Duplication of Reporting
Under both section 313 of SARA and
section 103 of CERCLA, EPA requires
companies to submit information on
chemical releases into the environment.
While the two statutory provisions are
similar in their reporting requirements,
they differ in both scope and purpose.
Section 313 requires reporting only by
facilities in SIC codes 20 through 39.
Section 103(f)(2) places no such
restrictions on its applicability. Also,
some chemicals covered under CERCLA
section 103 are not subject to SARA
section 313 reporting requirements, and
certain additional chemicals not subject
to CERCLA notification are included in
section 313 notification requirements.
The two statutory provisions also
differ in purpose. While the purpose of
section 313 of SARA is to create a
Federal inventory of the listed
chemicals, the purpose of the CERCLA
section 103 reporting requirements is to
gather information for emergency
response.
A review of the issue found that
significant amounts of duplication do
not exist between these two
requirements.
Xm. Public Data Base
Section 313(jj states that the
Administrator shall establish and
maintain in a computer data base a
national toxic chemical inventory basf 4
on data submitted to the Administrator
under section 313. EPA shall make this
data accessible by computer
telecommunications and other means to
any person on a cost reimbursable
basis.
EPA is reviewing potential options
through which the toxic chemical
inventory can be made available to the
public. There are numerous vehicles and
mechanisms under consideration by
EPA for the wide dissemination and
accessibility of the inventory to the
public on a cost reimbursement basis
with the potential for fee reductions or
waivers.
EPA developed early draft options as
examples of potential vehicles and
mechanisms for the public availability
of a toxic chemical inventory data base.
This preliminary draft options paper
was the subject of a public meeting held
on April 20,1987. Comments from this
public meeting and subsequent
discussions with other Federal agencies.
industry, States, and environmental
groups are serving as the basis for
further analysis by EPA.
After further review of public
availability options, EPA will determine
which set of products and services will
provide the most feasible and widest
dissemination of the toxic chemical
inventory to the public. EPA expects to
be able to make the data base available
in the first quarter of 1989.
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Federal Register / Vol. 53. No. 30 / Tuesday. February 16. 1988 / Rules and Regulations 4523
XIV. Rulemaking Record
The following documents constitute
the rulemaking record for this rule
(docket control number OPTS-400002A).
All documents, including the index of
this record, are available to the public in
the OTS Reading Room from 8 a.m. to 4
p.m., Monday through Friday, excluding
legal holidays. The OTS Reading Room
is located at EPA Headquarters, Rm.
NE-G004. 401 M St., SW.. Washington,
DC 20460. The record includes the
following information considered by the
Agency in developing this rule:
1. Documents in docket no. 400002 at
the date of publication of the proposed
rule.
2. The proposed rule.
3, Transcripts of public meetings held
July 24 and 27, and August 4.1987.
4. Written comments received on the
proposed rule.
5. Summaries of meetings held with
representatives of industry, public
interest groups, and State government
officials.
6. The document titled "Regulatory
Impact Analysis in Support of the Final
Rulemaking Under section 313 of the
Superfund Amendments and
Reauthorization Act of 1986" (1987).
XV. Regulatory Assessment
Requirements
A. Executive Order 12291
Under Executive Order 12291, EPA
must judge whether a rule is "major"
and therefore requires a R1A. EPA has
developed a RIA as described in Unit
XI. This RIA shows that the combination
of impacts of the statutory provisions of
section 313 and the interpretive
provisions of this rule may create a first
year impact of $527 million and a second
year impact of S299 million. EPA has
determined that this rule is "major"
because it may have an effect of $100
million or more on the economy. EPA
does not, however, anticipate that this
rule will have a significant effect on
competition, costs, or prices.
This rule was submitted to the Office
of Management and Budget (OMB) for
review as required by Executive Order
12291.
B. Regulatory Flexibility Act
Section 313 and the final rule exempt
certain small businesses from reporting.
i.e.. those facilities in SIC codes 20
through 39 with fewer than 10 full-time
employees. The statutory exclusion of
facilities with fewer than 10 full-time
employees exempts 48 percent of all
manufacturing facilities in SIC codes 20
through 39. After also considering the
volume thresholds, EPA estimates that
section 313 will require reporting from
approximately 3.0 percent (9,400 of
277,100) of all small manufacturing
facilities with less than 50 employees.
Analysis to support the proposed rule
indicated that for some segments of the
manufacturing sector the compliance
costs of reporting will have a significant
impact. Specifically, reporting costs are
estimated to be between 1.0 and 2.0
percent of median sales for facilities
with fewer than 50 employees; and
between 2.0 and 4.0 percent of median
sales for facilities with 10 to 19
employees. Subsequent to proposal, the
Agency developed and included a
Regulatory Flexibility Analysis in the
RIA to examine options that might
reduce the burden to small businesses.
The Agency received extensive
comments on the impacts of the
proposed rule on small businesses from
the small Business Administration
(SBA). SBA presented several
alternatives designed to reduce the
burden to small businesses, based on
the premise that small facilities (those
with fewer than 100 employees) have
nothing significant to report. These
alternatives are discussed below.
SBA proposed the development of
thresholds based on risks posed by
various emission sources. SBA
maintains that data exists from the
Agency's regional studies that would
allow the Agency to calculate risks from
air and water emissions, from which the
Agency could develop thresholds for
reporting based on specific risks. From
its review of the data, SBA concludes
that "small firms collectively contribute
only a small fraction, generally less than
10 to 15 percent, of the toxic chemical
emissions included in the local area
studies." SBA acknowledges that "there
may be a lack of information on toxicity
which would make [a risk] analysis
infeasible for certain chemicals."
SBA's second proposed alternative is
to combine section 313 with CERCLA
section continuous release reporting.
using 10 pounds a day Reportable
Quantity (RQ) for any section 313
chemical* not covered under CERCLA.
SBA states that this would ensure that
"facilities of primary concern (those
with significant emissions) are
included." SBA believes this approach
would also alleviate the significant
economic burden on small businesses.
SBA recommends as a third
alternative a de minimi's reporting range
of 0 to 1 pound of emissions per day or 0
to 250 pounds per year. SBA's fourth
alternative was a total exemption of
small facilities (defined by SBA as those
with fewer than 100 employees) from
reporting; and/or an abbreviated or
shortened reporting form.
The Agency received comments both
in support of an in opposition to SBA's
position. The Agency identified 8
regulatory alternatives as part of the
Regulatory flexibility Analysis for this
rule. The alternatives, evaluated on the
basis of cost and economic criteria,
represent options for reducing the
reporting burden for small businesses.
Each alternative is described and
discussed below.
Alternative 1: Rule as proposed;
statutory exclusion of facilities having
fewer than 10 employees. This
alternative allows complete coverage of
reporting on emissions, but provides no
reduction in burden to small facilities.
Alternative 2: Exempt all small
businesses (defined as facilities with
fewer than 50 employees). [The RIA
analyzes alternative definitions of small
businesses.] This alternative not only
reduces the reporting burden for small
businesses, but eliminates any burden of
compliance determination from small
facilities. However, this alternative
would result in no reporting of emissions
from small facilities, which could lead to
substantial gaps in the Emissions
Inventory, especially at the community
level.
The costs are summarized in Table IV
below.
TABLE IV.—REGULATORY FLEXIBILITY
STUDY OPTIONS: COSTS PER FACILITY
[Present Value tor 10 Years ol Reporting]
Cost(')
Option
1 $54.320
2 0
3 '$54,320
4 $5.100 to $54,320
5 $5,100
6 $24,680
7 $47.130 to'$52.630
8 $34.410 10 '$50.990
' In present value 1987 dollars at a 10 percent
discount rate for years 1988-1997
1 Given the absence of any SIC codes that would
meet exemption criteria
1 Average cost, but this option would offer the
benefit of limiting the extent to which individual
facilities would exceed the average
• Assumes all 10 chemicals per facility enjoy 10 lo
50 percent cost savings for esbmates of air and
water releases in ranges
Alternatives: Exempt facilities in
specific SIC codes if they account for
low aggregate emissions. This
alternative would exempt small
businesses in particular industries that
might trigger the need to report based on
the volume threshold for use, but have
little actual emissions. However, after
examining the available data (six State
and local data bases that contain
emissions data for some of the section
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4524 Federal Register / Vol. 53. No. 30 / Tuesday, February 16. 1988 / Rules and Regulations
313 chemicals), no SIC codes were
identified that met the criterion.
Alternative 4: Require annual
reporting by small businesses only of
Parts I through VI of proposed Form R;
Parts VII through X of the proposed form
would be due only upon request by EPA.
This alternative would eliminate the
most onerous part of the reporting
burden (i.e., estimating releases).
However, while small facilities would
be identified in the data base, the most
important information (i.e., emissions)
would not be captured. Therefore the
utility to the public of the date base
would be reduced. There also would be
likely increased administrative costs
with such an approach when the
emissions data are requested. These
costs would be incurred by the public
(for requesting information), industry
(for having to essentially fill out a form
for some chemicals twice), and the
Agency (for establishing procedures of
how and to whom the request should be
made, response tunes, etc.).
Alternative 5: Require annual
reporting by small businesses only of
Parts I through VI of proposed Form R
plus data on quantity used or produced;
EPA estimates releases from small
business facilities. This alternative
would eliminate the most onerous part
of the reporting burden as described in
Alternative 4. EPA would provide
emissions estimates in the data base
lh
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Federal Register / Vol. 53, No. 30 / Tuesday. February 16. 1988 / Rules and Regulations 4525
C. Papenvork Reduction Act
OMB has reviewed the information
collection requirements contained in this
rule under the provisions of the
Paperwork Reduction Act of 1980,44
U.S.C. 3501 et seq. and has assigned
OMB control number 20/0-0093.
List of Subjects in 40 CFR Part 372
Environmental protection.
Recordkeeping, reporting, and
notification requirements. Toxic
chemicals.
Dated: February 2.1908.
A. lames Barnes,
Acting Administrator.
Therefore, Chapter I of 40 CFR is
amended by adding a new Part 372 to
read as follows:
PART 372-TOXIC CHEMICAL
RELEASE REPORTING; COMMUNITY
RIGHT-TO-KNOW
Subpart A—General Provisions
Sec.
372.1 Scope and purpose.
3713 Definitions.
372J Persons subject to this Part.
372.10 Recordkeeping.
372.18 Compliance and enforcement
Subpart B—Reporting Requirements
372.22 Covered facilities for toxic chemical
release reporting.
372.25 Thresholds tor reporting.
3*2.30 Reporting requirements and schedule
for reporting.
372.38 Exemptions.
Subpart C—Suppfter Notification
Requirements
372.45 Notification about toxic chemicals.
Subpart D—Specific Toxic Chemical
Listings
372.65 Chemicals and chemical categories to
vthich this Part applies.
Subpart E—forms and Instructions
372.85 Toxic chemical release reporting
form and instructions.
Authority: 42 U.S.C. 11013.11028.
Subpart A—General Provisions)
$ 372. i Scope and purpose.
This Part sets forth requirements for
the submission of information relating to
the release of toxic chemicals under
section 313 of Title III of the Superfund
Amendments and Reauthorization Act
of 1986. The information collected under
this Part is intended to inform the
general public and the communities
surrounding covered facilities about
releases of toxic chemicals, to assist
research, to aid in the development of
regulations, guidelines, and standards.
and for other purposes. This Part also
sets forth requirements for suppliers to
notify persons to whom they distribute
mixtures or trade name products
containing toxic chemicals that they
contain such chemicals.
§372.3 Definitions.
Terms defined in sections 3l3(b)(l)(c)
and 329 of Title III and not explicitly
defined herein are used with the
meaning given In Title III. For the
purpose of this Part:
"Acts" means Title III
"Article" means 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 establishments.
"Customs territory of the United
States" means the 50 States, the District
of Columbia, and Puerto Rico.
"EPA" means the United States
Environmental Protection Agency.
"Establishment" means an economic
unit, generally at a single physical
location, where business is conducted or
where services or Industrial operations
are performed.
"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
"Full-time employee" means 2,000
hours per year of full-time equivalent
employment. A facility would calculate
the number of full-time employees by
totaling the hours worked during the
calendar year by all employees,
including contract employees, and
dividing that total by 2,000 hours.
"Import" means to cause a chemical
to be imported into the customs territory
of the United States. For purposes of this
definition, "to cause" means to intend
that the chemical be imported and to
control the identity of the imported
chemical and the amount to be
imported.
"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 chemical 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.
"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.
"Otherwise use" or "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 of the
toxic chemical occurs does not
constitute use or processing of the toxic
chemical.
"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 processing of a toxic chemical
contained in a mixture or trade name
product
"Release" means any spilling, leaking.
pumping, pouring, emitting, emptying,
discharging, injecting, escaping.
leaching, dumping, or disposing into the
environment (including the
abandonment or discarding of barrels.
containers, and other closed
receptacles) of any toxic chemical.
"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 establishments, or for the corporation
owning or operating the facility or
establishments responsible for certifying
similar reports under other
environmental regulatory requirements.
"Title UI" means Title HI of the
Superfund Amendments and
Reauthorization Act of 1986, also titled
the Emergency Planning and Community
Right-To-Know Act of 1986.
"Toxic chemical" means a chemical or
chemical category listed in $ 372.65.
'Trade name product" means a
chemical or mixture of chemicals that is
distributed to other persons and that
incorporates a toxic chemical
component that is not identified by the
applicable chemical name or Chemical
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4526 Federal Register / Vol. 53. No. 30 / Tuesday. February 16. 1988 / Rules and Regulations
Abstracts Service Registry number
listed in § 372.65.
§ 372.5 Persons subject to this Part
Owners and operators of facilities
described in § § 372.22 and 372.45 are
subject to the requirements of this Part.
If the owner and operator of a facility
are different persons, only one need
report under § 372.17 or provide a notice
under § 372.45 for each toxic chemical in
a mixture or trade name product
distributed from the facility. However, if
no report is submitted or notice
provided, EPA will hold both the owner
and the operator liable under section
325(c) of Title HI. except as provided in
§ § 372.38(e) and 372.45(g).
§372.10 Recordkeeping.
(a) Each person subject to the
reporting requirements of this Part must
retain the following records for a period
of 3 years from the date of the
submission of a report under § 372.30:
(1) A copy of each report submitted by
the person under § 372.30.
(2) All supporting materials and
documentation used by the person to
make the compliance determination that
the facility or establishments is a
covered facility under 5 372.22 or
§ 372.45.
(3) Documentation supporting the
report submitted under J 372.30
including:
(i) Documentation supporting any
determination that a claimed allowable
exemption under $ 372.38 applies.
(ii) Data supporting the determination
of whether a threshold under $ 372.25
applies for each toxic chemical.
(iii) Documentation supporting the
calculations of the quantity of each toxic
chemical released to the environment or
transferred to an off-site location.
(iv) Documentation supporting the use
indications and quantity on site
reporting for each toxic chemical,
including dates of manufacturing,
processing, or use.
(\) Documentation supporting the
basis of estimate used in developing any
release or off-site transfer estimates for
each toxic chemical.
(vi) Receipts or manifests associated
with the transfer of each toxic chemical
in waste to off-site locations.
(vii) Documentation supporting
reported waste treatment methods,
estimates of treatment efficiencies.
ranges of influent concentration to such
treatment, the sequential nature of
treatment steps, if applicable, and the
actual operating data, if applicable, to
support the waste treatment efficiency
estimate for each toxic chemical.
(b) Each person subject to the
notification requirements of this part
must retain the following records for a
period of 3 years from the date of the
submission of a notification under
5 372.45.
(1) All supporting materials and
documentation used by the person to
determine whether a notice is required
under § 372.45.
(2) All supporting materials and
documentation used in developing each
required notice under § 372.45 and a
copy of each notice.
(c) Records retained under this section
must be maintained at the facility to
which the report applies or from which a
notification was provided. Such records
must be readily available for purposes
of inspection by EPA.
§ 372.18 Compliance and enforcement
Violators of the requirements of this
Part shall be liable for a civil penalty in
an amount not to exceed $25.000 each
day for each violation as provided in
section 325(c) of Title ill.
Subpart B—Reporting Requirements
§ 372.22 Covered facilities tor toxic
chemical release reporting.
A facility that meets all of the
following criteria for a calendar year is
a covered facility for that calendar year
and must report under § 372.30.
(a) The facility has 10 or more full-
time employees.
(b) The facility is in Standard
Industrial Classification Codes 20
through 39 (as in effect on January 1,
1987) by virtue of the fact that it meets
one of the following criteria:
(1) The facility is an establishment
with a primary SIC code of 20 through
39.
(2) The facility is a multi-
establishment complex where all
establishments have a primary SIC code
of 20 through 39.
(3) The facility is a multi-
establishment complex in which one of
the following is true:
(i) The sum of the value of products
shipped and/or produced from those
establishments that have a primary SIC
code of 20 through 39 is greater than 50
percent of the total value of all products
shipped and/or produced from ail
establishments at the facility.
(ii] One establishment having a
primary SIC code of 20 through 39
contributes more in terms of value of
products shipped and/or produced than
any other establishment within the
facility.
(c) The facility manufactured
(including imported), processed, or
otherwise used a toxic chemical in
excess of an applicable threshold
quantity of that chemical set forth in
J 372.25.
§ 372.25 Thresholds for reporting.
The threshold amounts for purposes of
reporting under | 372.30 for toxic
chemicals are as follows:
(a) With respect to a toxic chemical
manufactured (including imported) or
processed at a facility during the
following calendar years:
1987—75,000 pounds of the chemical
manufactured or processed for the year.
1988—50.000 pounds of the chemical
manufactured or processed for the year.
1989 and thereafter—25,000 pounds of
the chemical manufactured or processed
for the year.
(b) With respect to a chemical
otherwise used at a facility, 10,000
pounds of the chemical used for the
applicable calendar year.
(c) With respect to activities involving
a toxic chemical at a facility, when more
than one threshold applies to the
activities, the owner or operator of the
facility must report if it exceeds any
applicable threshold and must report on
all activities at the facility involving the
chemical, except as provided in { 372.38.
(d) When a facility manufactures,
processes, or otherwise uses more than
one member of a chemical category
listed in § 372.65(c), the owner or
operator of the facility must report if it
exceeds any applicable threshold for the
total volume of all the members of the
category involved in the applicable
activity. Any such report must cover all
activities at the facility involving
members of the category.
(e) A facility may process or
otherwise use a toxic chemical in a
recycle/reuse operation. To determine
whether the facility has processed or
used more than an applicable threshold
of the chemical, the owner or operator of
the facility shall count the amount of the
chemical added to the recycle/reuse
operation during the calendar year. In
particular, if the facility starts up such
an operation during a calendar year, or
in the event that the contents of the
whole recycle/reuse operation are
replaced in a calendar year, the owner
or operator of the facility shall also
count the amount of the chemical placed
into the system at these times.
(f) A toxic chemical may be listed in
S 372.65 with the notation that only
persons who manufacture the chemical.
or manufacture it by a certain method.
are required to report. In that case, only
owners or operators of facilities that
manufacture that chemical as described
in § 372.65 in excess of the threshold
applicable to such manufacture in
S 372.25 are required to report. In
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Federal Register / Vol. 53, No. 30 / Tuesday. February 16, 1908 / Rules and Regulations
4527
completing the reporting form, the owner
or operator is only required to account
for the quantity of the chemical so
manufactured and releases associated
with such manufacturing, but not
releases associated with subsequent
processing or use of the chemical at that
facility. Owners and operators of
facilities that solely process or use such
a chemical are not required to report for
that chemical.
(g) A toxic chemical may be listed in
I 372.65 with the notation that it is in a
specific form (e.g., fume or dust.
solution, or friable) or of a specific color
(e.g.. yellow or white). In that case, only
owners or operators of facilities that
manufacture, process, or use that
chemical in the form or of the color,
specified in { 372.65 in excess of the
threshold applicable to such activity in
§ 372.25 are required to report. In
completing the reporting form, the owner
or operator is only required to account
for the quantity of the chemical
manufactured, processed, or used in the
form or color specified in § 372.65 and
for releases associated with the
chemical in that form or color. Owners
or operators of facilities that solely
manufacture, process, or use such a
chemical in a form or color other than
those specified by | 372.65 are not
required to report for that chemical.
(h) Metal compound categories are
listed in ( 372.65(c). For purposes of
determining whether any of the
thresholds specified in | 372.25 are met
for metal compound category, the owner
or operator of a facility must make the
threshold determination based on the
total amount of all members of the metal
compound category manufactured.
processed or used at the facility. In
completing the release portion of the
reporting form for releases of the metal
compounds, the owner or operator is
only required to account for the weight
of the parent metal released. Any
contribution to the mass of the release
attributable to other portions of each
compound in the category is excluded.
§372.30 Reporting requirement* and
schedule for repotting.
(a) For each toxic chemical known by
the owner or operator to be
manufactured (including imported),
processed, or otherwise used in excess
of an applicable threshold quantity in
§ 372.25 at its covered facility described
in § 372.22 for a calendar year, the
owner or operator must submit to EPA
and to the State in which the facility is
located a completed EPA Form R (EPA
Form 9350-1) in accordance with the
instructions in Subpart E.
(b)(l) The owner or operator of a
covered facility is required to report as
described in paragraph (a) of this
section on a toxic chemical that the
owner or operator knows is present as a
component of a mixture or trade name
product which the owner or operator
receives from another person, if that
chemical is imported, processed, or
otherwise used by the owner or operator
in excess of an applicable threshold
quantity in § 372.25 at the facility as part
of that mixture or trade name product.
(2) The owner or operator knows that
a toxic chemical is present as a
component of a mixture or trade name
product (i) if the owner or operator
knows or has been told the chemical
identity or Chemical Abstracts Service
Registry Number of the chemical and the
identity or Number corresponds to an
identity or Number in { 372.65, or (ii) if
the owner or operator has been told by
the supplier of the mixture or trade
name product that the mixture or trade
name product contains a toxic chemical
subject to section 313 of the Act or this
Part.
(3) To determine whether a toxic
chemical which is a component of a
mixture or trade name product has been
imported, processed, or otherwise used
in excess of an applicable threshold in
S 372.25 at the facility, the owner or
operator shall consider only the portion
of the mixture or trade name product
that consists of the toxic chemical and
that is imported, processed, or otherwise
used at the facility, together with any
other amounts of the same toxic
chemical that the owner or operator
manufactures, imports, processes, or
otherwise uses at the facility as follows:
(i) If the owner or operator knows the
specific chemical identity of the toxic
chemical and the specific concentration
at which it is present in the mixture or
trade name product, the owner or
operator shall determine the weight of
the chemical imported, processed, or
otherwise used as part of the mixture or
trade name product at the facility and
shall combine that with the weight of
the toxic chemical manufactured
(including imported) processed, or
otherwise used at the facility other than
as part of the mixture or trade name
product. After combining these amounts.
if the owner or operator determines that
the toxic chemical was manufactured,
processed, or otherwise used in excess
of an applicable threshold in $ 372.25.
the owner or operator shall report the
specific chemical identity and all
releases of the toxic chemical on EPA
Form R in accordance with the
instructions in Subpart E.
(ii) If the owner or operator knows the
specific chemical identity of the toxic
chemical and does not know the specific
concentration at which the chemical is
present in the mixture or trade name
product, but has been told the upper
bound concentration of the chemical in
the mixture or trade name product, the
owner or operator shall assume that the
toxic chemical is present in the mixture
or trade name product at the upper
bound concentration, shall determine
whether the chemical has been
manufactured, processed, or otherwise
used at the facility in excess of an
applicable threshold as provided in
paragraph (b)(3)(i) of this section, and
shall report as provided in paragraph
(b)(3)(i) of this section.
(iii) If the owner or operator knows
the specific chemical identity of the
toxic chemical, does not know the
specific concentration at which the
chemical is present in the mixture or
trade name product, has not been told
the upper bound concentration of the
chemical in the mixture or trade name
product, and has nol otherwise
developed information on the
composition of the chemical in the
mixture or trade name product, then the
owner or operator is not required to
factor that chemical in that mixture or
trade name product into threshold and
release calculations for that chemical.
(iv) If the owner or operator has been
told that a mixture or trade name
product contains a toxic chemical, does
not know the specific chemical identity
of the chemical and knows the specific
concentration at which it is present in
the mixture or trade name product, the
owner or operator shall determine the
weight of the chemical imported,
processed, or otherwise used as part of
the mixture or trade name product at the
facility. Since the owner or operator
does not know the specific identity of
the toxic chemical, the owner or
operator shall make the threshold
determination only for the weight of the
toxic chemical in the mixture or trade
name product. If the owner or operator
determines that the toxic chemical was
imported, processed, or otherwise used
as part of the mixture or trade name
product in excess of an applicable
threshold in § 372.25, the owner or
operator shall report the generic
chemical name of the toxic chemical, or
a trade name if the generic chemical
name is not known, and all releases of
the toxic chemical on EPA Form R in
accordance with the instructions in
Subpart E.
(v) If the owner or operator has been
told that a mixture or trade name
product contains a toxic chemical, does
not know the specific chemical identity
of the chemical, and does not know the
specific concentration at which the
chemical is present in the mixture or
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4528 Federal Register / Vol. 53. No. 30 / Tuesday. February 16. 1988 / Rules and Regulations
trade name product but has been told
the upper bound concentration of the
chemical in the mixture or trade name
product, the owner or operator shall
assume that the toxic chemical is
present in the mixture or trade name
product at the upper bound
concentratioa shall determine whether
the chemical has been imported,
processed, or otherwise used at the
facility in excess of an applicable
threshold as provided in paragraph
(b)(3}(iv) of this section, and shall report
as provided in paragraph (b)(3)(iv) of
this section.
(vi) If the owner or operator has been
told that a mixture or trade name
product contains a toxic chemical, docs
not know the specific chemical identity
of the chemical, does not know the
specific concentration at which the
chemical is present in the mixture or
trade name product including
information they have themselves
developed, and has not been told the
upper bound concentration of the
chemical in the mixture or trade name
product, the owner or operator is not
required to report with respect to that
toxic chemical.
(c) A covered facility may consist of
more than one establishment. The
owner or operator of such a facility at
which a toxic chemical was
manufactured (including imported),
processed, or otherwise used in excess
of an applicable threshold may submit a
separate Form R for each establishment
or for each group of establishments
within the facility to report the activities
involving the toxic chemical at each
establishment or group of
establishments, provided that activities
involving that toxic chemical at all the
establishments within the covered
facility are reported. If each
establishment or group of
establishments Hies separate reports
then for all other chemicals subject to
reporting at that facility they must else
submit separate reports. However, an
establishment or group of
establishments does not have to submit
a report for a chemical that is not
manufactured (including imported).
processed, otherwise used, or released
at that establishment or group of
establishments.
(d) Each report under this section for
activities involving a toxic chemical that
occured during a calendar year at a
covered facility must be submitted on or
before July 1 of the next year. The first
such report for calendar year 1987
activities must be submitted on of before
July 1.1988.
(e) For reports applicable to activities
for calendar years 1987,1988, and 1989
only, the owner or operator of a covered
facility may report releases of a specific
toxic chemical to an environmental
medium, or transfers of wastes
containing a specific toxic chemical to
an off-site location, of less than 1.000
pounds using the ranges provided in the
form and instructions in Subpart E. For
reports applicable to activities in
calendar year 1990 and beyond, theje
ranges may not be used.
{372.38 Extmptton*.
(a) De minimi's concentrations of a
toxic chemical in a mixture. It a toxic
chemical is present in a mixture of
chemicals at a covered facility and the
toxic chemical is in a concentration in
the mixture which is below 1 percent of
the mixture, or 0.1 percent of the mixture
in the case of a toxic chemical which is
a carcinogen as defined in 29 CFR
1910.1200(d)(4), a person is not required
to consider the quantity of the toxic
chemical present in such mixture when
determining whether an applicable
threshold has been met under { 372.25 or
determining the amount of release to be
reported under { 372.30. This exemption
applies whether the person received the
mixture from another person or the
person produced the mixture, either by
mixing the chemicals involved or by
causing a chemical reaction which
resulted in the creation of the toxic
chemical in the mixture. However, this
exemption applies only to the quantity
of the toxic chemical present in the
mixture. If the toxic chemical is also
manufactured (including imported),
processed, or otherwise used at the
covered facility other than as part of the
mixture or in a mixture at higher
concentrations, in excess of an
applicable threshold quantity set forth in
{ 372.25, the person is required to report
under } 372.30.
(b) Articles. If a toxic chemical 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
determining whether an applicable
threshold has been met under $ 372.25 or
determining the amount of release to be
reported under § 372.30. This exemption
applies whether the person received the
article from another person or the
person produced the article. However,
this exemption applies only 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 set forth in { 372.25,
the person is required to report under
§ 372.30. Persons potentially subject to
this exemption should carefully review
the definitions of "article" and "release"
in { 372.3. If a release of a toxic
chemical occurs as a result of the
processing or use of an item at the
facility, that item does not meet the
definition of "article."
(c) Uses. If a toxic chemical is used at
a covered facility for a purpose
described in this paragraph (c). a person
is not required to consider the quantity
of the toxic chemical used for such
purpose when determining whether an
applicable threshold has been met under
§ 372.25 or determining the amount of
releases to be reported under $ 372.30.
However, this exemption only applies to
the quantity of the toxic chemical used
for the purpose described in this
paragraph (c). If the toxic chemical is
also manufactured (including imported),
processed, or otherwise used at the
covered facility other than as described
in this paragraph (c), in excess of an
applicable threshold quantity set forth in
J 372.25, the person is required to report
under $ 372.30.
(1) Use as a structural component of
the facility.
(2) Use of products for routine
janitorial or facility grounds
maintenance. Examples include use of
janitorial cleaning supplies, fertilizers,
and pesticides similar in type or
concentration to consumer products.
(3) Personal use by employees or
other persons at the facility of 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.
(4) Use of products containing toxic
chemicals for the purpose of maintaining
motor vehicles operated by the facility.
(5) Use of toxic chemicals present in
process water and non-contact cooling
water as drawn from the environment or
from municipal sources, or toxic
chemicals present in air used either as
compressed air or as part of combustion.
(d) Activities in laboratories. If a toxic
chemical is manufactured, processed, or
used in a laboratory at a covered facility
under the supervision of a technically
qualified individual as defined in
§ 720.3(ee) of this title, a person is not
required to consider the quantity so
manufactured, processed, or used when
determining whether an applicable
threshold has been met under § 372.25 or
determining the amount of release to be
reported under § 372.30. This exemption
does not apply in the following cases:
(1) Specialty chemical production.
(2) Manufacture, processing, or use of
toxic chemicals in pilot plant scale
operations.
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Federal Register / Vol. 53. No. 30 / Tuesday, February 16. 1988 / Rules and Regulations 4529
(3) Activities conducted outside the
laboratory.
(e) Certain owners of leased property.
The owner of a covered facility it not
subject to reporting under | 372JO if
such owner's only interest in the facility
is ownership of the real estate upon
which the facility i* operated. This
exemption applies to owners of facilities
such as industrial parks, all or part of
which are leased to persons who
operate establishments within SIC code
20 through 39 where the owner has no
other business interest in the operation
of the covered facility.
(f) Reporting by certain operators of
establishments on leased property such
as industrial parks. If two or more
persons, who do not have any common
corporate or business interest (including
common ownership or control), operate
separate establishments within a single
facility, each such person shall treat the
establishments it operates as a facility
for purposes of this Part. The
determinations in | 372.22 and i 372.25
shall be made for those establishments.
If any such operator determines that its
establishment is a covered facility under
i 372.22 and that a toxic chemical has
been manufactured (including imported),
processed, or otherwise used at the
establishment in excess of an applicable
threshold in | 372.25 for a calendar year.
the operator shall submit a report in
accordance with f 372.30 for the
establishment. For purposes of this
paragraph (f). a common corporate or
business interest includes ownership,
partnership, joint ventures, ownership of
a controlling interest in one person by
the other, or ownership of a controlling
interest in both persons by a third
person.
Subpart C—Supplier Notification
Requirement
I372.4S Notification about toxic
(a) Except as provided in paragraphs
(c). (d). and (e) of this section and
f 372.65. a person who owns or operate*
a facility or establishment which:
(1) Is in Standard Industrial
Classification codes 20 through 39 as set
forth in paragraph (b) of I 372L22.
(2) Manufactures (Including imports)
or processes a toxic chemical, and
(3) Sells or otherwise distributes a
mixture or trade name product
containing the toxic chemical to (i) a
facility described in I 372.22. or (ii) to a
person who in turn may sell or
otherwise distributes such mixture or
trade name product to a facility
described in I 372.22(b). must notify
each person to whom the mixture or
trade name product is sold or otherwise
distributed from the facility or
establishment in accordance with
paragraph (b) of this section.
(b) The notification required in
paragraph (a) of this section shall be in
writing and shall include:
(1) A statement that the mixture or
trade name product contains a toxic
chemical or chemicals subject to the
reporting requirements of section 313 of
Title III of the Superfund Amendments
and Reauthorization Act of 1986 and 40
CFR Part 372.
(2) The name of each toxic chemical.
and the associated Chemical Abstracts
Service registry number of each
chemical if applicable, as set forth in
i 372.65.
(3) The percent by weight of each
toxic chemical in the mixture or trade
name product
(c) Notification under this section
shall be provided as follows:
(1) For a mixture or trade name
product containing a toxic chemical
listed in f 373.65 with an effective date
of January 1.1987, the person shall
provide the written notice described in
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 calendar year
beginning January 1,1989.
(2) For a mixture or trade name
product containing a toxic chemical
listed in f 372.65 with an effective date
of January 1.1989 or later, the person
shall provide the written notice
described in paragraph (b) of this
section to each recipient of the mixture
or trade name product with at least the
first shipment of the mixture or trade
name product to each recipient in each
calendar year beginning with the
applicable effective date.
(3) If a person changes a mixture or
trade name product for which
notification was previously provided
under paragraph (b) of this section by
adding a toxic chemical removing a
toxic chemical or changing the percent
by weight of a toxic chemical in the
mixture or trade name product, the
person shall provide each recipient of
the changed mixture or trade name
product a revised notification reflecting
the change with the first shipment of the
changed mixture or trade name product
to the recipient
(4) If a person discovers (i) that a
mixture or trade name product
previosuly sold or otherwise distributed
to another person during the calendar
year of the discovery contains one or
more toxic chemicals and (ii), that any
notification providied to such other
persons in that calendar year for the
mixture or trade name product either did
not properly identify any of the toxic
chemicals or did not accurately present
the percent by weight of any of the toxic
chemicals in the mixture or trade name
product the person shall provide a new
notification to the recipient within 30
days of the discovery which contains
the information described in paragraph
(b) of this section and identifies the prior
shipments of the mixture or product in
that calendar year to which the new
notification applies.
(5) If a Material Safety Data Sheet
(MSDS) is required to be prepared and
distributed for the mixture or trade
name product in accordance with 29
CFR 1910.1200. the notification must be
attached to or otherwise incorporated
into such MSDS. When the notification
is attached to the MSDS. the notice must
contain clear instructions that the
notifications must not be detached from
the MSDS and that any copying and
redistribution of the MSDS shall include
copying and redistribution of the notice
attached to copies of the MSDS
subsequently redistributed.
(d) Notifications are not required in
the following instances:
(1) If a mixture or trade name product
contains no toxic chemical in excess of
the applicable de minimis concentration
as specified in | 372.38(a).
(2) If a mixture or trade name product
It one of the following:
(i) An "article" as defined in I 372.3
(ii) Foods, drugs, cosmetics, alcoholic
beverages, tobacco, or tobacco products
packaged for distribution to the general
public.
(iii) Any consumer product as the term
is defined in the Consumer Product
Safety Act (15 U.S.C 1251 et teq.)
packaged for distribution to the general
public.
(e) If the person considers the specific
identity of a toxic chemical in a mixture
or trade name product to be a trade
secret under provisions of 29 CFR
1910.1200. the notice shall contain a
generic chemical name that is
descriptive of that toxic chemical.
(f) If the person considers the specific .
percent by weight composition of a toxic
chemical in the mixture or trade name
product to be a trade secret under
applicable State law or under the
Restatement of Torts section 757,
comment b, the notice must contain a
statement that the chemical is present at
a concentration that does not exceed a
specified upper bound concentration
value. For example, a mixture contains
12 percent of a toxic chemical. However.
the supplier considers the specific
concentration of the toxic chemical in
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4536 Federal Renter / Vol. 53. No. 30 / Tuesday. February 16. 1988 / Ruie» and Regulations
the product to be • trade MOV*. The
notice would indicate that the toxic
cneraical is present in tilt mixture in a
concentration of no mort than IS
percent by weight Tha upper bound
v tiue cnosen must oa no larger than
necessary to adequately protect the
trade secret
(g) A person « not subject to the
requirements of this section to the
extent the person aoes not know that
;ne faciiity or establishments) is selling
or otnerwise distributing a toxic
cnemical to another person in a mixture
or trade name product. However, for
puroosei of this section, a person has
sucn knowledge LI the person receives a
notice under this section from a supplier
of a mixture or trade name product and
the person in turn aelia or otherwise
distributes that mixture or trade name
product to another person.
(h) If two or more persons, who do not
nave any common corporate or ousmeis
interest (including common ownership
or control), as described in | 372.38(f).
operate separate establishments within
a single facility, each such persons shall
treat the estabhshment(s) it operates as
a facility for purposes of this section.
The determination under paragraph (a)
of this section shall be made for those
establishments.
[Note: Suboarts D and E of the
regulatory text are not reproduced
nere Decause tney appear in
substance eisewnere in this
Document.]
-------
United States
Environmental Protection
Agency
Office of Toxic
Substances
Washington, D.C. 20460
Revised January 1990
EPA 560/4-90-008
wEPA Toxic Chemical Release Inventory
Magnetic Media Submission
Instructions
Revised 1989 Version
Section 313
of the Emergency Planning and
Community Right-to-Know Act
(Title 111 of the Superfund Amendments
and Reauthorization Act of 1986)
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MAGNETIC MEDIA REPORT SPECIFICATIONS FOR THE
TOXIC RELEASE INVENTORY SYSTEM (TRIS)
This document provides basic specifications for the use of magnetic media
to submit EPA Form R reports required by section 313 of the Emergency Planning
and Community Right-to-Know Act (Title III of the Superfund Amendments and
Reauthorization Act of 1986), Public Law 99-499. The specifications and
requirements presented in this document supplement the reporting requirements
presented in the section 313 final rule (40 CFR Part 372). Submission of
magnetic media reports does not relieve the submitter from any of the
regulatory requirements of the section 313 final rule.
Special Note -- Availability of Commercial Software Packages.
Several independent software firms are marketing computer systems
to assist facilities in meeting their reporting requirements under
section 313. Their software products may be designed to produce
reports on magnetic media in the format specified in this document.
EPA's Office of Toxic Substances, Information Management Division will
validate magnetic media formats produced by software packages upon the
request of the vendors. Facilities should be cautious and select a
software package that will produce a valid format. To obtain up to
date information concerning the software packages which EPA recognizes
as preparing valid magnetic media formats, contact the Emergency
Planning and Community Right-to-Know Information Hotline, U.S. EPA, at
(800) 535-0202 or, in Washington D.C. and Alaska, (202) 479-2449.
A complete Form R report contains information on the release of one toxic
chemical or chemical category listed in the section 313 final rule. There is
no maximum or minimum number of reports that may be submitted on magnetic
media for each reporting facility.
While the rule allows the specific identity of chemicals to be claimed
trade secret, you may not use magnetic media for submissions in which chemical
identity is claimed trade secret. In addition, reporting of corrections to
previously submitted section 313 data may not be made through magnetic media.
For detailed instructions concerning reporting requirements, calculation
of thresholds and releases, and assembly of required data, see the Toxic
Chemical Release Inventory Reporting Form R and Instructions, document number
EPA 560/4-90-007, revised January 1990. The instruction document is also
contained in the Toxic Chemical Release Inventory Reporting Package, document
number EPA 560/4-90-001. For more information on section 313, contact the
Emergency Planning and Community Right-to-Know Information Hotline, U.S. EPA,
at (800) 535-0202 or, in Washington D.C. and Alaska, (202) 479-2449.
States are not required to accept reports submitted on magnetic media.
Reporting of section 313 information to state agencies on magnetic media must
be discussed with, and authorized by, the state involved. For more
information consult the appropriate state contact listed in an appendix of the
Toxic Chemical Release Inventory Reporting Form R and Instructions.
.Note that these instructions do not apply to the Title III reporting
requirements under sections 311 and 312.
-------
-2-
Changes in the magnetic media format since the January 1989 version of
this document are:
• Record type 02 has been modified to include the TRI Facility
Identification Number, a new data item added to the Form R report.
The TRI Facility Identification Number refers to the reporting
facility, and has been assigned by EPA to facilities reporting in
for prior calendar years. A facility's TRI Facility
Identification Number will appear on the mailing label of the
Toxic Chemical Rease Reporting Package for 1989 that was sent by
EPA. Alternatively, a facility which has reported in previous
years, may call the EPCRA hotline to obtain their TRI
Identification Number.
• Record type 07 has been modified to increase the space for the
Receiving Stream Name from 30 to 70 byte postions.
• Record types 09 and 13 have been modified to allow up to 99 off-
site locations by increasing the Off-Site Code by one byte
position. Record types 08 and 12 have been similarly modified to
increase the POTW Code by one byte.
• Codes identified for the Waste Treatment Efficiency Estimate
(record type 14) have been modified to reflect the codes specified
in the instructions to Form R.
• The address for submission of Form R reports, including magnetic
media, has changed. (See the checklist in Exhibit 1 of this
document, or the instructions to Form R.)
Note: This document reflects only the changes In the reporting
requirements that affect the submission of reports on magnetic media. Review
the instructions to Form R to identify additional changes in the reporting
requirements that do not directly affect the format of magnetic media
submissions (e.g., chemicals being delisted).
-------
-3-
1. CONTENT OF MAGNETIC MEDIA REPORTS - GENERAL SPECIFICATIONS
Reports may be made to EPA using either 9 track magnetic tape or
microcomputer diskettes formatted in DOS 2.1 or higher from an IBM PC/XT/AT or
compatible microcomputer. File format specifications are substantially
different for these two types of media. Data structures and magnetic media
must conform to the formats specified in Part 3 of this document.
EPA will make every effort to process the magnetic media received. If the
media cannot be read, the tapes or diskettes will be returned to the
submitter, who will be held responsible for providing readable media within 30
days. A facility that has not provided readable media before the July 1
deadline will be considered in non-compliance status until EPA receives either
readable media or complete Form R reports. EPA strongly encourages facilities
to read the information that is contained on the tapes or diskettes before
they are submitted to assure data accessibility and avoid non-compliance.
Non-readable media will be returned via the required return packaging and pre-
paid postage provided by the submitter. All readable media received will
become the property of EPA.
Any number of multiple reports from a single facility or reports from
multiple facilities may be included on a single tape or diskette. However,
individual reports for a facility should be completely contained on a single
tape. Diskette files should be completely contained on a single diskette.
Reporting on magnetic media does not affect the requirement to maintain a
record of all information used to complete the reports. This information must
be maintained in a form available for review by EPA or state officials for a
period of three years from the date of submission.
Exhibit 1, on the following page, is a checklist for submission of
magnetic media reports.
-------
-4-
— Exhibit 1. MAGNETIC MEDIA PACKAGE CHECKLIST FOR SUBMITTING MEDIA TO EPA —
A magnetic media package is complete only after you perform the following
steps. Use this checklist as an aid to preparing your magnetic media package.
'—' 1. Prepare a cover letter which includes all the required information as
well as an original signature for each facility reporting on the
magnetic media. (See Part 2.1 of this document.)
'—' 2. Prepare an additional cover page listing all facilities in the order in
which they appear on the magnetic media, if your package includes
reports from multiple facilities. (See Part 2.2 of this document.)
'—' 3. Verify that the data have been formatted and transferred to
magnetic media as specified in this document. (See Parts 3 and 4
of this document.)
'—' 4. Confirm there are no reports for a chemical whose identity is claimed
as a trade secret. No trade secret information may be submitted on
magnetic media.
'—' 5. Confirm that your reports contain all required information. (See the
Toxic Chemical Release Inventory Reporting Form R and Instructions,
available from EPA.)
D
6. Verify that all the reported information is correct to the best of your
knowledge.
'—' 7. Perform a data dump or otherwise access the data contained on the
magnetic media to confirm that the data is readable from the copy which
is to be sent to EPA.
'—' 8. Label the media properly. (See Part 5.1 of this document.)
'—' 9. Package the media safely and include return packaging and postage,
the cover letter(s), and cover page (if applicable) in the package
with the magnetic media. (See Part 5.2 of this document.) Return
packaging and postage allow EPA to return unreadable media.
D
10. Address the package to: EPCRA Reporting Center
P.O. Box 23779
Washington, D.C. 20026-3779
Attn: Toxic Chemical Release Inventory
Magnetic Media Submission
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-5-
2. COVER LETTER AND CERTIFICATION
2.1 Single Facility Packages
Each facility that provides reports on magnetic media must enclose a cover
letter containing the following information:
1. Full name and address of the submitting facility;
2. Number of tapes or diskettes enclosed;
3. List of chemical (or chemical category) names and CAS numbers
covered by the report;
4. Name and phone number of a data processing contact person who is
available to provide clarification;
5. A statement that the information that you are submitting does not
contain any trade secret data.
6. Certification statement identical to the certification statement
from EPA Form R. (See example in Exhibit 1 of this document.) As
required by the regulation, this certification statement must be
signed by the owner or operator or a senior management official,
not the data processing contact. The signed name must also be
typed, followed by the official title of the signee. The date on
which the statement was signed must also be on the letter.
7. Specification of the page number of the cover letter in the
following format: "Page 1 of N Pages."
The certification provided in the cover letter is the same certification
statement contained on reporting Form R. The certification will apply to all
reports provided by the facility which are identified by chemical name in the
cover letter. The name of the owner/operator or senior management official
contained on the cover letter must match the name provided in the data field
for Section 2 of Part I of the form (Certification Name and Official Title) in
each of the facility's reports contained on the magnetic media.
Exhibit 2 is a sample cover letter that includes each of the required
elements.
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-6-
Exhibit 2. SAMPLE COVER LETTER ACCOMPANYING A MAGNETIC MEDIA PACKAGE
EFCRA Reporting Center
P.O. Box 23779
Washington, D.C. 20026-3779
Attn: Toxic Chemical. Release Inventory
Magnetic Media Submission
Page 1 of 1 Pages.
Pirx-Lewis, Incorporated
Battery Products Division
10545 CeriUas Road
Albuquerque, H.M. 81103-0420
May 2, 1990
To Whom It May Concern:
Enclosed please find two (2) microcomputer diskettes (numbers 1 and 2) containing
toxic chemical release reporting information for Pirx-Lewis, Inc., Battery Products
Division, as required under section 313, Title III of the Superfund Amendments and
Reauthorization Act of 1986.
A total of two (2) reports are included from our facility, concerning the following
chemicals:
Report
Chemical Hame Number CAS Number
Lead compounds 00001 HA
Zinc 00002 7440-66-6
Our data processing contact is Jeffrey Mills, who can be reached at (SOS) 7S2-S369.
Mr. Mills is available should any questions or problems arise in your processing of
these diskettes.
I hereby certify that I have reviewed the attached documents and that, to the best of
my knowledge and belief, the submitted information is true and complete and that the
amounts and values in this report are accurate based on reasonable estimates using data
available to the preparers of this report.
Sincerely yours,
Stanley L.
Vice
Battery Products Division
Pirx-Lewis, Incorporated
Enclosures
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-7-
2.2 Multiple Facility Packages
When multiple facilities provide reports on a single magnetic media, each
facility must prepare a separate cover letter containing each of the required
elements noted in Section 2.1 of this document. An additional cover page must
also be enclosed which lists the names of the facilities in the order in which
they appear on the media. Pages should be numbered sequentially starting with
the cover page and continuing through all of the cover letters.
A sample of a multiple facility cover page is included as Exhibit 3.
Exhibit 3. SAMPLE COVER PAGE FOR MULTIPLE FACILITIES
REPORTING IN A SINGLE MAGNETIC MEDIA PACKAGE
Page 1 of 3 Pages.
American Manufacturing, Inc.
Corporate Headquarters
2625 McDowell Road
Phoenix, AZ 85008
May 8, 1990
EPCRA Reporting Center
P.O. Box 23779
Washington, D.C. 20026-3779
Attn: Toxic Chemical Release Inventory
Magnetic Media Submission
To Whom It May Concern:
Enclosed please find a total of two (2) 3.5 inch microcomputer diskettes containing
toxic chemical release reporting information required under section 313, Title III of
the Superfund Amendments and Reauthorization Act of 1986.
Please also find attached a total of two (2) cover letters, one for each of our
subsidiaries that is reporting. The letters include certification statements front each
of these facilities and the signatures of senior management officials responsible for
reporting. The report data is arranged on the two diskettes in the following order:
1. Firx-Lewis Incorporated, Battery Products Division (2 reports)
2. Larson Plastics (1 report)
Our data processing contact is John Berg, who can be reached at (602) 258-123*.
Mr. Berg is available should any questions or problems arise in your processing of these
diskettes.
Sincerely,
American Manufacturing,
Enclosures
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-8-
3. FORMAT OF MAGNETIC TAPE REPORTS
3.1 Technical Specifications and Structural Records
The following technical requirements apply for magnetic tape reports:
• Density and recording technique: 9-Track, 1600 BPI, odd parity.
• Logical record length (for all record types): 500 Bytes.
• Blocksize: 2000 Bytes.
• Record format: Fixed Blocked (FB).
• Character Type: 7 Bit ASCII.
• Label Type: No Label (NL) with no leading tape mark.
. File Name: TRIDATA.DAT.
As previously described in this document, a Form R report contains
information on releases of one chemical or chemical category. All reports for
all the facilities reporting on any one tape must be in a single data file
that is entirely contained on that tape. The data file must not span multiple
tapes. If several facilities are reporting on separate tapes which are
included in a single package, each facility's reports should be numbered
sequentially on their respective tapes, beginning with report number one.
The file itself is made up of records, some of which contain Form R
information (described in Part 3.2 of this document) and others which contain
information on the data (structural records). Each record has a fixed length
of 500 bytes, some of which are used by the current data fields and some
reserved for future use. All data are to exist as unquoted, fixed field ASCII
format, and should not include commas, control characters, or other
delimiters.
Structural records contain specific data on the number of records, reports,
and facilities contained on the tape. There are four types of structural
records required in tape reporting, as follows:
1. Header (type hh) is the first record of the data file TRIDATA.DAT.
2. Report start (type ss). which is located at beginning of each report.
3. Report end (type se). which is located at the end of each report.
4. Trailer (type tr) is the last record of the data file TRIDATA.DAT.
The field layout for these four record types is shown in Table 1. All four
record types are required for magnetic tapes, regardless of the number of
facilities reporting on the tape. All -information on the tape should be in a
single file named TRIDATA.DAT.
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-9-
Table 1
STRUCTURAL RECORD SPECIFICATIONS FOR FORM R DATA REPORTS OH TAPE
Sequence
Number Field Name
Record Type HH (Header Record)
1 Record Type
2 BLANK
Byte
Position
Total
Start End Length Type Format Notes
122 Char Enter hh
375 Char Leave blank
Record Type SS (Report Start)
Record Type
Report Number
122 Char Enter se
375 Hum Sequential report number, right justified
Record Type SE (Report End)
1 Record Type
2 Report Number
3 Number of Records
122 Char Enter ss
375 Nuffl Sequential report number, right justified
8 12 5 Hum Total number of type 01-14 records in report
Record Type TR (Trailer)
1 Record Type
2 Number of Submissions
122 Char Enter tr
375 Hum Total number of submissions on tape
-------
-10-
3.2 Structure of Data Records for Tapes
Table 3 specifies the data structure of each of the data record types and
relates to the information requested in the individual sections and blanks of
EPA Form R. Each data element is contained in a data record of a predefined
record type (numbered 01 through 14). The record type is identified by the
first two byte positions of the record. The report number is a sequential
number assigned by the submitting facility to each report contained on the
magnetic media and is used to cross reference the records of a report. [Note:
Reports from multiple facilities on a single media must be numbered
sequentially and uniquely throughout the media. Therefore, no two reports on
the same tape will have the same report number, whether the reports originate
from the same or different facilities.]
The start byte, end byte, and total length of each data field has been
defined as shown in Table 3. Blank data fields will be represented by blank
bytes on the report media and should not be considered to be the same as data
fields filled by NA, which is used to designate data not applicable to the
submitting facility. (See the Form R instructions for further clarification.)
Table 3 also provides information on data formats including the right or
left justification and the pre-defined placement of decimal points (e.g., a
left justified 3 will be read as 300,000,000 in a 9 byte field). Percent data
should be reported to the nearest whole number. For example, 05300 will be
read as 53 percent, and although 00053 would be read as 0.53 percent, 1
percent (i.e., 00100) should be reported).
Exhibit 4 presents a sample data structure for a magnetic tape record
prepared by a facility which conforms to the data structure specified in Table
3. Exhibit 5 illustrates how the four structural records described in Part
3.1 of this document and the records which contain Form R data should be
ordered on the tape package.
=Exhibit 4. EXAMPLE DATA STRUCTURE FOR MAGNETIC TAPE REPORTS-
Bell Products is completing Record Type 10 for its first report. Bell has
two receiving streams for this report, and so will have two Type 10 records.
The following format is used for Bell's data:
Data Stream Explanation
lOOOOOlab nam 10000 Type 10 record for a release to water; 10 is
the record type; 00001 is the report number;
"a" is the alphabetical index assigned to the
receiving stream; "b" is the range code; "na"
is the estimate; "m" is the basis of estimate
code for monitoring data; 10000 corresponds to
a stormwater percentage of 100%
1000001bna00000000150o 05100 A second type 10 record, for a second receiving
stream (assigned index "b") which is estimated
to receive 150 pounds of the chemical with
stormwater percentage 51%.
-------
-11-
-Exhibit 5. EXAMPLE OF RECORD ORDER FOR TAPE REPORTS'
Gates Photographic Supply is reporting for two of its facilities on one
tape. Gates has two reports for its first facility and one report for its
second facility. All of this information should be contained in a single file
named "TRIDATA.DAT". Gates should structure its data stream as shown below:
Record Type Explanation
hh Header record for tape.
ss Report start record for report 1 in facility 1; this report
is assigned report number 00001.
01 to 14 Record types 01 through 14 for report 1 go here. They
contain Form R data for the first report as defined in Table
3
se Report end record for report 1. This record contains a field
which indicates the number of Form R type records in the
first report. (The number can vary, depending on the number
of multiple records in the report; see above example)
ss Report start record for report 2 in facility 1; this report
is assigned report number 00002.
01 to 14 Record types 01 through 14 for report 2.
se Report end record for report 2. This record contains a field
which indicates the number of Form R type records in the
second report.
ss Report start record for the first report from facility 2.
Because this is the third report on the tape, it is assigned
report number 00003, to avoid its confusion with the first
report from facility 1.
01 to 14 Record types 01 through 14 for this report.
se Report end record for this report.
tr Trailer record for this tape. This record has a field which
indicates the total number of submissions from all facilities
on the tape.
-------
-12-
4. MICROCOMPUTER DISKETTE REPORTS
4.1 Technical Specifications and Special Files
Diskettes may be either 5.25 inch or 3.5 inch in size and either double
density or high density in data capacity. They must be formatted using DOS
2.1 or higher, on an IBM PC/XT/AT or compatible, as follows:
Size Double density High density
5.25" 360 Kbytes 1.2 Mbytes
3.5" 720 Kbytes 1.4 Mbytes
All diskettes contained in a single package must be of a single type and
format, and must be properly labeled with the format used.
For diskette submissions, records of different types must be contained in
separate files. These files are named with a combination of the letters "TRI"
and the record type (e.g., type 08 records will be in the file "TRIOS.").
Multiple records of the same type which are part of a single report, as well
as all records of the same type provided for all other reports in the package,
must be contained in a single file. Files containing records of a type should
be completely contained on a single floppy diskette which has been properly
labeled to identify the files it holds.
Two additional files must be created to contain information on the numbers
of records and reports provided in the diskette package. They are:
1. Report end records (type se) . created to identify the number of
records in each report that is included in the diskette package.
These are placed in a data file named "TRISE.".
2. Trailer records (type tr). created to identify the total number of
submissions being provided by all facilities which are reporting on
the diskettes. These are placed in a data file named "TRITR.".
The structure for these record types is shown in Table 2 on the following
page.
It is very important that each report have a unique report number used
throughout the records pertaining to that report. Report numbers may be
assigned in any order, so long as no two reports share the same number.
-------
-13-
Table 2
STRUCTURAL RECORD SPECIFICATIONS FOR FORM R DATA REPORTS OH DISKETTE
Sequence
Number Field Name
Byte
Position
Total
Start End Length Type Format Notes
Record Type SE (Report End), contained in Diskette File TRISE.
1 Record Type
2 Report Number
3 Number of Records
122 Char Enter se
375 Hum Sequential report number, right justified
8 12 5 Hum Total number of type 01-14 records in report
Record Type TR (Trailer), contained in Diskette File TRITR.
1 Record Type
2 Number of Facilities
122 Char Enter tr
3 7 5 Num Total number of submissions on diskette
package
-------
-14-
4.2 Structure of Form R Data Records for Diskettes
Each record has a fixed length of 500 bytes, some of which are used by the
current data fields, some reserved for future use, and some reserved for a
carriage return and line feed (positions 499 and 500 respectively). All data
are to exist as unquoted, fixed field ASCII format, and should not include
commas, control characters, or other delimiters.
Table 3 specifies the data structure of each of these records and relates
the data to the individual sections and blanks of EPA Form R. Each data
element is contained in a record of a predefined record type (numbered 01
through 14). The record type is identified by the first two byte positions of
the record. The report number is a sequential number assigned by the
submitting facility to each report contained on the magnetic media and is used
to cross reference the records of a report. Multiple entries of facility data
(e.g., SIC code, NPDES permit numbers) should be contained in multiple records
of the type that is appropriate for that data. For example, a facility with
two SIC codes would have two records of type 03. [Note: Reports from all
facilities on a single media must be numbered sequentially and uniquely
throughout the media. Therefore, no two reports on the same diskette will
have the same report number, whether the reports originate from the same or
different facilities.]
The start byte, end byte, and total length of each data field has been
defined as shown in Table 3. Blank data fields will be represented by blank
bytes on the report media and should not be considered to be the same as data
fields filled by NA, which is used to designate data not applicable to the
submitting facility. (See the instructions for completing Form R for further
clarification.)
Table 3 also provides information on data formats including the right or
left justification and the pre-defined placement of decimal points (e.g., a
left justified 3 will be read as 300,000,000 in a 9 byte field). Percent data
should be reported to the nearest whole number. For example, 05300 will be
read as 53 percent, and although 00053 would be read as 0.53 percent, 1
percent (i.e., 00100) should be reported).
An example of how a company might prepare diskette files for Form R
reporting is contained in Exhibit 6.
-------
-15-
—— Exhibit 6. EXAMPLE FILE AND DATA STRUCTURE FOR DISKETTE REPORTING —
American Manufacturing is preparing reports for two of its facilities and
submitting reports on diskettes. The facilities are assigned facility numbers
00001 and 00002. There are a total of three reports from the two facilities
combined. American assigns report numbers 00001 and 00002 to the two reports
from the first facility, and report number 00003 to the second facility's
report, so that each report will have a unique report number.
After consulting the Toxic Chemical Release Inventory Reporting Form R and
Instructions to assemble the information it needs, American can proceed to
Table 3 to determine how this information should be entered on the diskettes.
The first diskette contains files TRI03 and TRI07, both containing Form R
data, and files TRISE and TRITR. Facility 1 has an SIC code of 3691, and
facility 2 has an SIC code of 4567. Table 3 of this document describes the
data structure of record type 03. The record's first two byte positions
contain the record type, the next 5 byte positions contain the report number,
and the last four contain the facility SIC code. American must prepare three
records for this file, one record for each report it is completing, and store
all three in file TRI03. File TRI03 contains the following formatted data:
03000013691
03000023691
03000034567
To prepare file TRI07 American must determine how many receiving streams
each report names. The first report names two receiving streams, and the
other two reports name one receiving stream each; American must report a total
of four receiving streams. After determining the structure of record type 07
from Table 3 of this report, American stores the following information in file
TRI07 [Note: For report number 00001, with two receiving streams named, the
first, "tijeros arroyo", is assigned alphabetical stream code "a", and the
second, "rio grande", is assigned stream code "b". The other reports (00002
and 00003), assign stream code "a" to the only stream that they contain.]:
0700001atijeros arroyo
0700001brio grande
0700002ario grande
0700003asanta cruz river
After completing the other records for the reports, American finds a total
of 18 records for report 00001, 21 records for report 00002, and 14 records
for report 00003. [Note: The count of records includes record types 01 to 14
only. It does not include the number of records of types se or tr.] File
TRISE contains the following end of report records:
se0000100018
se0000200021
se0000300014
Record type tr contains the number of submissions in the diskette package,
therefore file TRITR contains the following formatted data:
trOOOOS
-------
-16-
Table 3
DATA RECORD STRUCTURAL SPECIFICATIONS FOR FORM R DATA
Reference to
Sequence ReportinK Form R
Number Page Sect. Title/Topic
Byte
Position
Total
Start End Length Type Format Notes
Record
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
Type 01 (Diskette file TRI01)
Record type 1
Report number 3
Trade secret 8
Sanitized copy 9
Reporting year 11
Certification name IS
Certification title 60
Certification date 105
Facility name (1st part) 111
Facility name (2nd part) 141
Facility st. (1st part) 171
Facility st. (2nd part) 201
Facility city 231
Facility county 256
Facility state 281
Facility zip 283
Entire/part facility 292
Technical contact name 293
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1.1
1.2
1.3
2
2
2
3.1
3.1
3.1
3.1
3.1
3.1
3.1
3.1
3.2
3.3
3.3
3.4
3.4
3.6
3.6
3.11
3.11
4.1
4.2
Technical contact phone 338
Public contact name 348
Public contact phone 393
Facility latitude 403
Facility longitude 410
1st UIC ident. number 417
2nd UIC ident. number 429
Parent company name 441
Parent company D&B num. 486
2 2 Char Enter 01
7 5 Num Sequential number
8 1 Char Enter Na
10 2 Char Enter NAa
14 4 Char Enter reporting year (e.g., 1988)
59 45 Char Left justified
104 45 Char Left justified
110 6 Char Date format MMDDYYb
140 30 Char Left justified0
170 30 Char Left justified0
200 30 Char Left justified0
230 30 Char Left justified0
255 25 Char Left justified
280 25 Char Left justified
282 2 Char Left justified
291 9 Char Left justified, no dashes
292 1 Char Enter A (entire) or B (part)
337 45 Char Left justified
347 10 Char Includes area coded
392 45 Char Left justified
402 10 Char Includes area coded
409 7 Char Format DDDWISS8
416 7 Char Format DDDb*lSSe
428 12 Char Right justified with leading zeros
440 12 Char Right justified with leading zeros
485 45 Char Left justified
494 9 Char Right just., no dashes, leading zeros
a This is the only acceptable value for the field, because no trade secret data may be submitted on
magnetic media.
b e.g., March 17, 1989, would be entered as "031789".
c Two fields are provided to allow ample room to report this information.
d Do not include parentheses or dashes, e.g., (202) 555-1212 would be entered as "2025551212".
e e.g., 91 degrees, 15 minutes, 5 seconds would be entered as "0911505". North latitude and west
longitude are assumed.
-------
-17-
Table 3: DATA RECORD STRUCTURAL SPECIFICATIONS FOR FOBM S DATA (Cont'd)
Sequence
Number
Becord T
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
Reference to
Reporting Form R
Page
ype 02
3
3
3
3'
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
4
4
4
4
4
4
4
4
1
Sect.
Title/Topic
(Diskette file TRI02)
Record type
1
1
1
1
2
3
3
3
3
3
3
3
3
3
3
3
3
3
4
5
5
5
5
5
5
5
5
5
8
8
8
8
8
8
8
8
3
.1
.2
.3
.4
,1
.1
.1
.1
.1
.1
.2
.2
.2
.2
.3
.3
.3
.1
.1
,1
.2
.2
.2
.4
.4
.4
.A
.B
.B
.B
.B
.C
.C
.D
.1
Report number
RESERVED
CAS number
Chemical/category name
Generic name
Mixture component name
M: (a) Produce
M:(b) Import
M: (c) On-site use
M:(d) Sale/distrib.
M: (e) Byproduct
M:(f) Impurity
P:(a) Reactant
P: (b) Formula tn. corap.
P:(c) Article comp.
P:(d) Repackaging only
OU: (a) Chem. process
OU: (b) Manufact. aid
OU: (c) Ancillary /Other
Maximum amount on site
F/Air: Range code
F/Air: Release est.
F/Air: Basis of est.
S/Air: Range code
S/Air: Release est.
S/Air: Basis of est.
01: Range code
UI: Release estimate
UI: Basis of estimate
Haste rain, code
Current yr. chem. qty.
Prior year chem. qty.
Percentage change
Percent change sign
Index
Index sign
Reason for action code
TRI Facility I.D. num.
Byte
Position
Start End
1 2
3
8
9
18
88
158
228
230
232
234
236
238
240
242
244
246
248
250
252
254
256
258
269
271
273
284
286
288
299
301
303
316
329
334
335
337
338
340
7
8
17
87
157
227
229
231
233
235
237
239
241
243
245
247
249
251
253
255
257
268
270
272
283
285
287
298
300
302
315
328
333
334
336
337
339
355
Total
Length Type
2 Char
5
1
9
70
70
70
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
11
2
2
11
2
2
11
2
2
13
13
5
1
2
1
2
15
Hum
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Format Notes
Enter
02
Sequential number
Leave
Right
Left
Blank
justified with leading zeros8, or NA
justify or NA
Not applicable for non-trade secret reports
Left
Enter
Enter
Enter
Enter
Enter
Enter
Enter
Enter
Enter
Enter
Enter
Enter
Enter
Enter
Enter
Right
Basis
Range
Right
Basis
Range
Right
Basis
justify or NA
Y, N, or NA
Y, N, or NA
Y, N, or NA
Y, N, or NA
Y, N, or NA
Y, N, or NA
Y,. N, or NA
Y, N, or NA
Y, N, or NA
Y, N, or NA
Y, N, or NA
Y, N, or NA
Y, N, or NA
amount range code (01 through 11)
range code (A through C)b or NA
justify num. (no decimal places) or NA
code (M, C, E, or 0) or NA
code (A through C)b or NA
justify num. (no decimal places) or NA
code (M, C, E, or 0) or NA
code (A through C)b or NA
justify num. (no decimal places) or NA
code (M, C, E, or 0) or NA
Type of modification code (Ml through M8) or NA
Right
Right
Right
Enter
Right
Enter
justify num. or NA
justify num. or NA
justify percent (no decimal point) or NA°
P (positive) or N (negative)
justify, no decimal point (99-9.9), or NA
P (positive) or N (negative)
Action code (Rl through R5)
Left justified, no dashesd
8 e.g., CAS number 1336-36-3 would be entered as "001336363".
" "A" should be entered for 0 pounds, "B" for 1-499 pounds, or "C" for 500-999 pounds.
c Enter percent without a decimal point, but with two trailing zeros (e.g., 23 percent would be
entered as "02300"). Do not include fractions of a percent (i.e., report 23 rather than 23.15).
d TRI Facility Identification Number is a new data item for 1989 reports and is assigned by EPA.
-------
-IB-
Table 3: DATA RECORD STRUCTURAL SPECIFICATIONS FOR FORM R DATA (Cont'd)
Reference to
Sequence Reporting Form R
Number
Record
1
2
3
Record
1
2
3
Record
1
2
3
Record
1
2
3
Record
1
2
3
4
Record
1
2
3
4
5
6
7
8
9
10
11
Page
Type 03
1
Type 04
1
Type 05
1
Type 06
1
Type 07
1
1
Type 08
2
2
2
2
2
2
2
2
2
Sect.
Title/Topic
Byte
Position
Start
End
Total
Length
Type
(Diskette file TRI03)
3.5
Record type
Report number
SIC code
1
3
8
2
7
11
2
5
4
Char
Hum
Char
(Diskette file TRIO*)
3.7
Record type
Report number
D&B Number
1
3
8
2
7
16
2
5
9
Char
Hum
Char
(Diskette file TR1Q5)
3.8
Record type
Report number
EPA ID Number
1
3
8
2
7
19
2
5
12
Char
Hum
Char
(Diskette file TRIOS)
3.9
Record type
Report number
NPDES Permit Number
1
3
8
2
7
16
2
5
9
Char
Hum
Char
(Diskette file TRI07)
3.10
3.10
Record type
Report number
Receiving Stream Code
Receiving Stream Name
1
3
8
9
2
7
8
78
2
5
1
70
Char
Hum
Char
Char
(Diskette file TRI08)
1
1
1
1
1
1
1
1
1
Record type
Report number
POTW Code
POTW Name (1st part)
POTW Name (2nd part)
POIW Street (1st part)
POTH Street (2nd part)
POTW City
POTW County
POTW State
POTW Zip
1
3
8
10
40
70
100
130
155
180
181
2
7
9
39
69
99
129
154
179
181
190
2
5
2
30
30
30
30
25
25
2
9
Char
Num
Char
Char
Char
Char
Char
Char
Char
Char
Char
Sequential number
Enter 04
Sequential number
Char Right justify, use leading zeros, no dashes
Enter 05
Sequential number
Char Right Justify, use leading zeros, no dashes
Enter 06
Sequential number
Char Right justify with leading zeros
Enter 07
Sequential number
Char Sequential alphabetic character8
Left justify
Enter 08
Sequential number
Sequential numeric character
Left justify0
Left justify0
Left justify0
Left justify0
Left justify
Left justify
Left justify
Left justify, no dashes
a Each distinct receiving stream must be assigned a distinct alphabetic code (a, b, c, etc.).
The code must also be entered in the corresponding location in record type 10 to allow release estimate data
to be matched to the receiving location's descriptive information.
b POTWs should be assigned distinct sequential numeric codes (1, 2, 3, etc.). The code must also be
entered in the corresponding location in record type 12 to allow release estimate data to be matched to the
POTW's descriptive information.
Two fields are provided to allow ample room to report this information.
-------
-19-
Table 3: DATA RECORD STRUCTURAL SPECIFICATIONS FOR FORM R DATA (Cont'd)
Reference to
Sequence Reporting Form R
Number Page Sect. Title/Topic
Byte
Position
Total
Start End Length Type Format Notes
Record Type 09 (Diskette file TRI09)
1
2
3
4
5
6
7
6
9
10
11
12
13
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
Record type
Report number
Off Site Code
RCRA ID Number
Off Site Name (1st part)
Off Site Name (2nd part)
Off Site St. (1st part)
Off Site St. (2nd part)
Off Site City
Off Site County
Off Site State
Off Site Zip
Off Site Control Ind.
1
3
8
10
22
52
32
.12
.42
.67
.92
.94
:03
2
7
9
21
51
81
111
141
166
191
193
202
204
2
5
2
12
30
30
30
30
25
25
2
9
2
Char
Num
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Enter 09
Sequential number
Sequential numeric character8
Right justify with leading zeros
Left justify13
Left justify1'
Left justi£yb
Left justify13
Left justify
Left justify
Left justify
Left justify
Enter Y, N, or NA
Record Type 10 (Diskette file TRI10)
1
2
3
4
5
6
7
3/5 5.3
3/5 5.3
3/5 5.3
3/55.3
3/5 5.3
Record type
Report number
Hater: Stream code
Hater: Range code
Water: Release estimate
Water: Basis of estimate
Water: Stormwater percent 24
1
3
8
9
11
22
24
2
7
8
10
21
23
28
2
5
1
2
11
2
5
Char Enter 10
Num Sequential number
Char Matches Record Type 07, alphabetic character0
Char Range code (A through C)d or NA
Char Right justify num. (no decimal places) or NA
Char Basis code (M, C, E, or 0) or NA
Char Right justify percent (no decimal point) or NAe
a Off-site transfer points must be assigned distinct numeric codes. The code must also be entered in
the corresponding location in record type 13.
" Two fields are provided to allow ample room to report this information.
c The code entered must be an alphabetical character code that matches the code used in record type 07
for the receiving stream. Each receiving stream should have a distinct record type 10.
"A" should be entered for 0 pounds, "B" for 1-499 pounds, or "C" for 500-999 pounds.
e Enter percent without a decimal point, but with two trailing zeros (e.g., 23 percent would be
entered as "02300"). Do not include fractions of a percent (i.e., report 23 rather than 23.15).
-------
-20-
Table 3: DAtA RECORD STRUCTURAL SPECIFICATIONS FOR FOSM R DATA (Cont'd)
Reference to
Sequence Reportins Form R
Number
Record
1
2
3
A
5
6
7
8
9
10
11
12
13
1A
Record
1
2
3
4
5
6
Record
1
Z
3
4
5
6
7
Page Sect.
Title/Topic
Byte
Position
Start
End
Total
Length
Type
Format Notes
Type 11 (Diskette file TRI11)
3/5 5.5
3/5 5.5
3/5 5.5
3/5 5.5
3/5 5.5
3/5 5.5
3/5 5.5
3/5 5.5
3/5 5.5
3/5 5.5
3/5 5.5
3/5 5.5
Record type
Report number
On-site landfill: Range
On- site landfill-.Release
On-site landfill: Basis
Land treat: Range code
Land treat: Release est.
Land treat: Basis of est
Surf. Imp: Range code
Surf. Imp: Release est.
Surf. Imp: Basis of est.
Other land: Range code
Other land: Release est.
Other land: Basis of est
1
3
8
10
21
23
25
36
38
40
51
53
55
66
2
7
9
20
22
24
35
37
39
50
52
5A
65
67
2
5
2
11
2
2
11
2
2
11
2
2
11
2
Char
Num
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Char
Enter 11
Sequential number
Range code (A through C)a or NA
Right justify num. (no decimal places)
Basis code (M, C, E, or 0) or NA
Range code (A through C)a or NA
Right justify num. (no decimal places)
Basis code (M, C, E, or 0) or NA
Range code (A through C)a or NA
Right justify num. (no decimal places)
Basis code (M, C, E, or 0) ox NA
Range code (A through C)a or NA
Right justify num. (no decimal places)
Basis code (M, C, E, or 0) or NA
or NA
or NA
or NA
or NA
Type 12 (Diskette file TBI12)
4/5 6.1
A/56.1
A/56.1
A/5 6.1
Record type
Report number
POTW Code
POTW Range code
POTW Release estimate
POTW Basis of estimate
1
3
8
10
12
23
2
7
9
11
22
2A
2
5
2
2
11
2
Char
Num
Char
Char
Char
Char
Enter 12
Sequential number
Matches Record Type 08, numeric character*1
Range code (A through C)a or MA
Right justify num. (no decimal places)
Basis code (M, C, E, or 0) or MA
or NA
Type 13 (Diskette file TRI13)
A/5 6._
A/5 6._
A/5 6._
4/5 6._
4/5 6._
Record type
Report number
Off site: Code
Off site: Range code
Off site: Release est.
Off site: Basis of est.
Off site: Treatment type
1
3
8
10
12
23
25
2
7
9
11
22
24
27
2
5
2
2
11
2
3
Char
Num
Char
Char
Char
Char
Char
Enter 13
Sequential number
Matches Record Type 09, numeric character
Range code (A through C)a or NA
Right justify num. (no decimal places)
Basis code (M, C, E, or 0) or NA
Offsite Treatment code
or NA
"A" should be entered for 0 pounds, "B" for 1-A99 pounds, or "C" for 500-999 pounds.
b The code entered must match the numeric code in record type 08 for the corresponding POTW or record
type 09 for the corresponding off-site transfer point. Record types 12 and 13 contain data for the amounts
of toxic chemical transferred to each POTW or off-site location; this code cross-references with other
records containing descriptive information.
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-21-
Table 3: DATA RECORD STRUCTURAL SPECIFICATIONS FOR FORM R DATA (Conf d)
Reference to
Sequence Reporting Form R
Number Page Sect. Title/Topic
Record Type 14 (Diskette file TRI14)
1
2
3
4
5
6
7
8
4/5 7._a
4/5 7._b
4/5 7._c
4/5 7._d
4/5 7._e
4/5 7._f
Reco;
Repo;
WTME
WTME
WTME
WTME
WTME
WTME
Byte
Position
Total
Start End Length Type Format Notes
Wastestream
Treatment
Influent cone. rng.
Seq. treatment
Efficiency est.
WTME: Based on data
1
3
8
9
12
14
16
21
2
7
8
11
13
15
20
22
2
5
1
3
2
2
5
2
Char Enter 14
Hum Sequential number
Char Wastestream code
Char Treatment code
Char Range code (1 through 5)a or NA
Char Y, N, or NA
Num Right justify percent (no decimal point) or NAb
Char Y, N, or NA
"1" should be entered for > 1 percent, "2" for 0.01 percent to 1 percent, "3" for 1 ppm to 100 ppm,
"4" for 1 ppb to 1 ppm, or "5" for < 1 ppb.
" Enter percent without a decimal point but with two trailing zeros (e.g., 23 percent would be entered
as "02300"). Do not include fractions of a percent (i.e., report 23 rather than 23.15).
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-22-
5. LABELING AND PACKAGING REQUIREMENTS
5.1 Labeling Requirements
A label must be attached to each tape reel (not tape band) and diskette
(not jacket) which conforms to the following format:
A. Name of the submitting facility (or for
multiple facility packages the name of
the company which prepared the reports).
B. Date the tape or diskette was created.
G. Floppy diskette format density. Use HD
for high density or DD for double
density. (Applicable only to
diskettes.)
D. Year for which the data are reported.
E. Number of this diskette or tape.
F. Total number of diskettes or tapes in
the package.
G. Name and phone number of a facility
computer contact person.
H. File name or names on the tape or
diskette.
Labels may be typed or legibly handwritten. Any media submitted without a
proper label attached will not be processed and will be returned to the
submitter. Exhibit 7 contains a sample diskette label.
THIS Report
Date
Report
Contact
Files
(A)
(B)
Yr.
Density
Num.
(G)
(C)
Of (p)
(H)
EXHIBIT 7
TRIS Report
Date
5715/70
Report Yr.
Contact
Files
ff
Density
Num.
of
TP1Q3 ,
At left is a sample diskette label for
American Manufacturing, which has two double
density diskettes in its package. The
package contains information on two of
American's facilities, but the labels should
only list the parent company, American
Manufacturing, and the data processing
contact at American. Diskette 1 contains the
files TRI03, TRI07, TRISE, and TRITR.
-------
-23-
5.2 Packaging and Shipping Requirements
The type of packaging and shipping used for magnetic media are left to the
discretion of the submitting facility. EPA accepts no responsibility for
packages lost or damaged during transit. It is recommended that the package
be marked with the words "Magnetic Media - - Do Not X-Ray".
All magnetic media packages must include self-addressed, postage paid
return packaging sufficient to allow EPA to return unreadable media to the
facility.
Send complete magnetic media (properly labeled) along with a cover letter
(containing an original certification signature from each submitting
facility), and cover page (if necessary) to:
EPCRA Reporting Center
P.O. Box 23779
Washington, D.C. 20026-3779
Attn: Toxic Chemical Release Inventory
Magnetic Media Submission
Reports to the appropriate State agency must be made in accordance with
the instructions for completing Form R (see page 1 of this document). A State
contact list is provided in the instructions document. However, a State may
not have the capability to accept magnetic media as specified in this
document. In these cases, you must send copies of Form R to the State.
Alternatively, the State may have established a computer database but have
different specifications for submission of section 313 data on magnetic media,
in which case you should contact the State representative listed in the
instructions document for details.
*U.S. GOVERNMENT PRINTING OFFICE: 1989-718-562
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