United States
Environmental Protection
Agency
Office of Emergency and
Remedial Response
Washington, DC 20460
EPA 9360.7-06
November 1990
Superfund
Guidance for Federal
Facilities on Release
Notification Requirements
Under CERCLA and
SARA Title III
U.S. Environmental Protwti
Region VH
Information Resource On ,
901N. 5th Street
Kansas City, KS 6610,
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This report has been reproduced directly from the best available copy.
Available from the National Technical Information Service, U.S. Department of Commerce,
Springfield, Virginia 22161.
Price: Printed Copy
Microfiche A01
Codes are used for pricing all publications. The code is determined by the number of pages in
the publication. Information pertaining to the pricing codes can be found in the current issues
of the following publications, which are generally available in most libraries: Energy Research
Abstracts, (ERA); Government Reports Announcements and Index (GRA and I); Scientific and
Technical Abstract Reports (STAR); and publication, NTIS-PR-360 available from (NTIS) at
the above address.
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The information presented hi this document does not necessarily represent
formal Agency policy. Rather, it is provided as general guidance to Federal
faculties on complying with the requirements for reporting releases of hazardous
substances under CERCLA and SARA Title ffl.
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TABLE OF CONTENTS
INTRODUCTION 1
QUESTIONS AND ANSWERS 3
FACT SHEETS 21
Radionuclides , 21
Continuous Releases 22
Federally Permitted Releases 23
GLOSSARY 24
LIST OF EXHIBITS
Exhibit 1: Flowchart for Reporting Releases of Hazardous Substances 4
Exhibit 2: Interrelationship of Chemical Lists 5
Exhibit 3: Reporting Releases of Mixtures of Hazardous Substances 10
Exhibit 4: Reporting Releases of Mixtures of Radionuclides 11
Exhibit 5: Reporting Releases of Mixtures of Radionuclides 13
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INTRODUCTION
The Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (CERCLA
or "Superfund"), as amended, creates a framework for Federal involvement in response to and cleanup of
hazardous substance releases. Although many of its provisions deal with cleanup, liability, and
compensation associated with inactive or abandoned hazardous waste sites, equally important parts of
CERCLA address the reporting of and response to releases of hazardous substances as they occur. The
statute establishes a list of "hazardous substances,* of which there are currently 727.1 The CERCLA list
contains hazardous substances identified under other statutes, including the Clean Water Act (CWA), the
Clean Air Act (CAA), and the Resource Conservation and Recovery Act (RCRA). CERCLA also
contains a provision authorizing the Administrator of the U.S. Environmental Protection Agency (EPA) to
add substances to the list that "when released into the environment may present substantial danger to the
public health or welfare or the environment...."
For each CERCLA hazardous substance other than radionuclides, a reportable quantity (RQ) has
been established at 1, 10,100,1000, or 5000 pounds. The adjusted RQs for radionuclides are in units of
curies and range between 0.001 curie and 1000 curies. The RQ acts as a reporting trigger; when an RQ or
more is released into the environment, a report must be made immediately to the National Response
Center.
Section 304 of Title III of the Superfund Amendments and Reauthorization Act of 1986 (SARA),
also known as the Emergency Planning and Community Right-to-Know Act (EPCRA), requires owners
and operators of facilities that release CERCLA hazardous substances or extremely hazardous substances
(EHSs), listed in Appendices A and B of 40 CFR 355 to report such releases that equal or exceed an RQ
to state and local authorities. There currently are 360 EHSs; 134 of the 360 EHSs are also CERCLA
hazardous substances. Releases of EHSs that are CERCLA hazardous substances are required to be
reported to the National Response Center in addition to being reported to state and local officials, while
releases of non-CERCLA EHSs are required to be reported only to state and local officials. This
difference in notification requirements will be eliminated if EPA's proposed rule (54 FR 3388, January 23,
1989) designating the 226 non-CERCLA EHSs as CERCLA hazardous substances becomes final. The
Agency anticipates publication of the final rule in Spring 1991. At that time, releases of CERCLA
hazardous substances and EHSs that equal or exceed an RQ must be reported immediately to the National
Response Center, the state emergency response commission (SERC), and the local emergency planning
committee (LEPC).
The programs under CERCLA and SARA Title III are closely related with regard to emergency
release notification requirements. Therefore, many of the questions and answers presented in this
document apply to reporting under SARA Title III as well as CERCLA, even when SARA Title III is not
specifically referenced. In general, if a release is reportable under CERCLA, then it is reportable under
SARA Title III. There are, however, some differences between the exclusions and definitions in CERCLA
and SARA Title III that affect notification requirements. For example, releases from vessels are
reportable under CERCLA but not under SARA Title III.
1 Four additional hazardous substances were designated in a final rule published on May 2, 1990
(55 FR 18496). The effective date of the final rule is November 2, 1990.
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Because Federal facilities are not included in the SARA definition of "person," Federal facilities are
exempt from the SARA notification requirements. However, Federal facilities are encouraged to comply
with all Title III provisions and many agencies have voluntarily directed their facilities to comply. For
example, the Department of Energy (DOE) has issued several directives to its personnel indicating that it
is DOE's policy to comply with SARA Title IIL Government-owned, contractor-operated facilities are not
exempt from the Title III requirements. Federal facilities must, of course, comply with the notification
requirements under CERCLA.
EPA is providing this guidance document so that Federal facilities may better understand the
CERCLA and SARA Title in release notification requirements. The information is presented in a variety
of formats, including questions and answers, fact sheets, scenarios, and a flowchart A glossary of key
terms also has been included in this document
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QUESTIONS AND ANSWERS
Q. Who is responsible for reporting releases and when must the report be made?
A. Section 103 of the Comprehensive Environmental Response, Compensation, and Liability Act of
1980 (CERCLA), as amended, requires the person in charge of a facility or vessel, as soon as he or
she has knowledge of a release of a hazardous substance in a reportable quantity (RQ) or more, to
report the release immediately to the National Response Center at 1-800-424-8802, or
(202) 267-2675 in the Washington, D.C area. Additionally, under section 304 of Title III of the
Superfund Amendments and Reauthorization Act of 1986 (SARA),2 the owner or operator of a
facility is required to report immediately to appropriate state emergency response commissions
(SERCs) and local emergency planning committees (LEPCs) when there is a release of a CERCLA
hazardous substance requiring a report under CERCLA or when there is a release of one pound or
more of a SARA Title III extremely hazardous substance (EHS) that is not a CERCLA hazardous
substance (see Exhibit 1). EPA published a Notice of Proposed Rulemaking on January 23,1989
(54 FR 3388) to designate all non-CERCLA EHSs as CERCLA hazardous substances. EPA also
proposed a subsequent rule to adjust the RQs for all the newly designated EHSs. If these rules are
promulgated and become effective, persons in charge of facilities that release an EHS at levels that
equal or exceed an RQ must report those releases to the NRC as well as to the SERC and LEPC
EPA anticipates publication of the final rules in late Spring 1991. (Overlap of substances affected
by CERCLA and SARA Title III are graphically depicted in Exhibit 23.)
Q. When may a facility be liable for damages caused by a release?
A. Proper reporting of a release in accordance with CERCLA section 103 does not preclude liability
for cleanup costs ahd natural resource damages. Even if a facility properly notifies the National
Response Center, therefore, it still may be liable for damages caused by the release. Furthermore,
the facility also may be liable for damages caused by the release of a hazardous substance in a
quantity below its RQ. In sum, a party responsible for a release of a CERCLA hazardous substance
that is not federally permitted could be held liable for the costs of cleaning up that release and for
any natural resource damages, even if the release is not subject to the notification requirements of
CERCLA.
2 Also known as the Emergency Planning and Community Right-to-Know Act (EPCRA).
3 The info
Amendments.
3 The information provided in Exhibit 2 does not reflect the changes resulting from the Clean Air Act
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(BIT i
Flowchart for Reporting ReldSSes of Hazardous Substances Under
CERCLA Section 103 and SARA Title III Section 304
Certain engine exhaust.
certain nudaar Inddema. or
normal eppttcaHoncf
tanlwi
(40CFR30&3)
Certain solid metals (e.g..
chromium, toad, zinc) In
parades larger tian
100 fntcrornetera
(40CFR302.6(c))
A regfetaradpaelidda
used HI accordance wtti
tepurpoM
(40CFR302.6(a))
Any ofter hazardous
substances or exkemery
hazardous substances
(EHSa)*
, Hfrtrt t* th* ntMtm from?
CertataradtonucMe
(•.0.. acme coal and coal aah pi**)
(40 CFR 302.6(0))
AOOfMHJIVMf pfOdUOt
(40 CFR 302.3)
J
A buldlng. eojulprnenl, alniclufa. olher
statonarv Ham. moto vaMoto. roHng
lock, or aircrafl ttal praduoaa. uaaa, or
hemical9
(40 CFR 358.20.40 CFR 3S5.4O(a))
stock, or akcrafl ttal producaa. uaaa.
aloraaanOSHAhazardi
Any other aHa or area where a
hazafdoua aubatanoa haa coma
k>b*located.4oravMMl
(40 CFR 302.3)
Proper disposal at a
rr^ •
at a permMed
RCBA tatty
(50 FR 13461)
Conukwd wfthin an •ndoaad
budding or atrudura
(50 FR 13482)
which «w tMWy la located*
(40CFR3SS.40(a))
Any otier land, water.
or ambient air
<>i "("-%
t* t*rr
y 4
Fadar
aft/permuted
refcais
(40 CFR 302.6(1))
Cononuoue
I^^MA*
NonoMcalon
:
140 CFR 302.6 40 CFR 356.40)
Pekotoum wMi an EHS oonaMuarN
twl equate or Moawfc tie
raportabtaquanMy(RQ)««hln
24 noun
(52 FR 13365)
Any olMr ratoaaa twl equals or
exceeds Bw RQ viNMn 24 hours
(40 CFR 302.6.40 CFR 356.40(a))
No«y tM Natonal ReaponM Center
(NHCIand eubmR MWwrtaan report to
EPA RMtonat Ottoa, S6RC, andU=PC
NoOytte SERC and
NoWy the NRC and,
untees ewniplMt,
t»8EflC and LEPC
1. C*er tian tteMexerr^sttom. a release Is broadtyds«ned to Irxiuoe any §pe^
2. Foralt«»olCERCUhaz«fA)u»»ub«lartOM,see40CfflPart302.TableMZ4;h^
or natural gM. Forallsto»EHSs.s«e40CFRP«rt3$«. AppendtoesAandB.
3. Hatff^"t <******>* «~ «»*«t«M»drtnml In •>• QSHA Mguto
4. Such a release la Irom a tedWy as defined by CERCLA only and. twretore. reporting Is not required to a Stale Emergency Response Commission (SERC) or
Local Emergency Planning Comminoe (LEPC) under SARA Tito III.
5. Such a release Is exempted Irom reporting to a SERC or LEPC. ;
6. Any statetta^«^hcanllr«oaM In aconUnoousreteasa must b* reported to the NRC. SERC. arid LEPC.
HnOM I
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EXHIBIT:
Interrelationship of Chemical Lists
Under CERCLA Section 102, SARA Title III
Section 302, and SARA Title III Section 313
CERCLA Section 102
Hazardous Substances • 727
SARA Title III Section 302
ExtrtiTMly Hazardous
Substances « 360
SARA Title III Section 313
Toxic CntflilcaJa • 318
4 EPA has proposed to designate the 226 non-CERCLA EHSs as CERCLA hazardous substances. If
that rule becomes final, there will be 953 CERCLA hazardous substances, of which 209 are also SARA
Title III section 313 toxic chemicals.
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Q. Who must be notified of a release?
A. Currently, one call to the National Response Center fulfills the requirement to report releases of
hazardous substances under CERCLA, as well as under several other regulatory programs, including
those implementing provisions of section 311 of the Clean Water Act, RCRA, and the Hazardous
Materials Transportation Act, which is administered by the Department of Transportation. If direct
reporting to the National Response Center is not practicable, reports may be made to the United
States Coast Guard or predesignated EPA On-Scene Coordinator (OSC) for the geographic area
where the release occurs. In any event, the person in charge of the vessel or facility must notify the
National Response Center as soon as possible (40 CFR Part 300 and 33 CFR Part 153).
As provided in 40 CFR Part 355, the notice required by section 304 of SARA Title III is to be given
by the owner or operator of a facility (by such means as telephone, radio, or in person) immediately
after the release of an RQ or more of a CERCLA hazardous substance or one pound or more of a
non-CERCLA EHS. Notice is to be given to both the community emergency coordinator for each
local emergency planning committee for any area likely to be affected by the release and to the state
emergency response commission of any state likely to be affected by the release. Notice
requirements for transportation-related releases are satisfied by dialing 911 or, in the absence of a
911 emergency number, calling the operator and providing the release information.
Q. Under CERCLA, can reports be made to a state or other government agency and relayed to the
National Response Center?
A. CERCLA Section 103(a) specifically requires the person in charge of a vessel or facility to report
immediately to the National Response Center when there is a release of a hazardous substance
whose amount equals or exceeds the RQ. It is the purpose of the National Response Center, as the
central notification unit, to alert the appropriate Federal and state government agencies and
authorities once it has been notified of a release and not the other way around. Therefore, under
present law and regulations, the reporting requirements of CERCLA section 103 are not satisfied if
a report is made to states or any other government agency (such as the Department of Energy), and
passed on to the National Response Center.
Q. What information must be provided when reporting a release to the National Response Center?
A. When reporting a release, the person making the report should be prepared to provide as much of
the following information as possible: (1) the name (of the person reporting), address, and
telephone number, (2) the name, address, and telephone number of the responsible party, (3) the
specific location of the incident; (4) the date and time the incident occurred or was discovered;
(5) the name of the material released; (6) the source of the release; (7) the cause of the release;
(8) the total quantity discharged; (9) the medium into which the substance was discharged; (10) the
amount spilled into water, (11) the weather conditions; (12) the name of carrier or vessel, railcar/
truck number/or other identifying information; (13) the number and type of injuries or fatalities;
(14) whether an evacuation has occurred; (15) an estimation of the dollar amount of property
damage; (16) a description of current and future clean-up actions; and (17) the identity of other
agencies.,notified or about to be notified about the release.
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Q. What is a facility?
A. A facility is defined in section 101(9) of CERCLA to include any building, structure, installation,
equipment, pipe or pipeline, well, pit, pond, lagoon, impoundment, ditch, landfill, storage container,
motor vehicle, rolling stock, or aircraft There may be a number of facilities at a particular site.
For example, a site may be comprised of four facilities including one building, one lagoon, and two
storage containers. The definition of the term "facility" in SARA Title III differs from the CERCLA
definition. Under section 329(4) of SARA Title III, a facility is defined as all buildings, equipment,
structures, and other stationary items that are located on a single site or on contiguous or adjacent
sites that are owned and controlled by the same person. For purposes of section 304, the SARA
Title III definition of facility also includes motor vehicles, rolling stock, and aircraft
Q. If a number of releases of the same hazardous substance are occurring at several locations at the
same time at a facility (e.g., through leaks in pipes, valves, etc.), are multiple reports required?
A. All releases of the same hazardous substance from a single facility must be aggregated to determine
whether an RQ has been released from the facility into the environment Releases occurring at
different faculties do not need to be aggregated under CERCLA to determine if an RQ has been
released. If releases from more than one facility exceed an RQ, however, persons in charge of the
facilities have the option of consolidating the notification into a single report
Under SARA Title III, the term "facility includes all buildings and structures located on a single site
or on adjacent sites owned or operated by the same person. Thus, releases from different buildings
on the same site must be aggregated under SARA Title III to determine if an RQ has been released.
Q. How is "release" defined?
A. CERCLA section 101(22) and SARA section 329(8) define "release" to include any spilling, leaking,
discharging, or disposing into the environment, including the abandonment or discarding of barrels
or containers.
Q. When is a release considered to be "into the environment"?
A. Releases "into the environment" include spills from tanks or valves onto concrete pads or lined
ditches open to the outside air, releases from pipes into open lagoons or ponds, or any other
discharges that are not wholly contained within buildings or structures. Therefore, if an RQ or
more of a hazardous substance is released outside of an enclosed structure, it must be reported
because it is then considered to have entered the environment (SO FR 13462).
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Q. Does stockpiling or placement of radioactive waste or products that may release radionuclides to
the environment constitute a release under CERCIA?
A: The outdoor stockpiling of an RQ or more of a hazardous substance, including radionuclides, is a
release to the environment that must be reported to the National Response Center. In fact, any
activity that involves the placement of a hazardous substance into an unenclosed containment
structure wherein the hazardous substance is exposed to the environment is a release into the
environment For example, placement of a hazardous substance into an open container in amounts
that equal or exceed an RQ would be a reportable release under CERCLA.
To determine whether stockpiling results in releases that equal or exceed RQs, persons in charge
must consider both the quantity of a hazardous substance released to a stockpile and from a
stockpile. If an RQ or more of a hazardous substance is placed on a stockpile within a 24-hour
period, it must be reported. Persons in charge can estimate the quantity of a hazardous substance
material and the total quantity of material added to the stockpile within any 24-hour period.
Similarly, if an RQ or more of a hazardous substance is released from a stockpile within 24 hours,
this also must be reported. To determine the quantity of a hazardous substance released from a
stockpile, persons in charge could either monitor for releases or estimate releases to various
environmental media. CERCLA and SARA Title III, however, do not require monitoring. If
monitoring data are not available, the person in charge should use past release data, engineering
estimates, and any other relevant information to formulate release estimates; all release estimates
must have a sound technical basis. For example, one could estimate releases to air by considering
the potential for paniculate emission and volatilization, and estimate releases to soil or surface
water by considering runoff potential The total quantity of the hazardous substance released into
all media and over the entire area of the stockpile would have to be estimated and aggregated in
these cases to determine if an RQ or more of a hazardous substance was released into the
environment.
Q. How do CERCLA's reporting requirements relate to other reporting requirements?
A. The CERCLA notification requirements are not intended to supersede or supplant notification to
state and local authorities or any other government agency in the event of a release. These
notifications may occur as they have in the past; the requirement to report "immediately" to the
National Response Center may be interpreted on a case-by-case basis, depending on the exigencies
of the situation. EPA understands that some additional burden would be imposed upon facilities
that need to report to more than one government agency. However, one purpose of alerting the
National Response Center is to ensure a coordinated Federal, state, and local response to the
release.
Q. How do CERCLA's reporting requirements relate to the reporting requirements under the Federal
Radiological Emergency Response Plan (FRERP)?
A. Generally, radiological response activities are outlined in the FRERP. The FRERP is concerned
primarily with Federal support to state and local governments for activities beyond the immediate
release site in response to peacetime radiological emergencies. CERCLA's requirement to
immediately report the release of an RQ or more of a radionuclide to the National Response
Center and the subsequent coordination of any necessary Federal, state, and local response are
consistent with and have no bearing on the FRERP. The framework for coordinating Federal
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actions established by the FRERP remains completely in place; the reports required under
CERCLA simply will provide added information. In addition, it is important to clarify that the
CERCLA notification requirements only concern what hazardous substance releases (including
radionuclide releases) need to be reported to the National Response Center, not what, if any,
response may result from the notification as addressed in the FRERP.
Q. Are releases of wastes that are not specifically listed as CERCLA hazardous substances subject to
CERCLA reporting requirements?
A. CERCLA hazardous substances include all substances specifically listed in 40 CFR 302.4, as well as
wastes exhibiting characteristics of ignitability, corrosivity, and reactivity (ICR) under RCRA. The
release of a non-designated substance exhibiting an ICR characteristic is a release of a CERCLA
hazardous substance if the substance is a waste prior to release or becomes a waste after release. In
either case, the RQ is 100 pounds (September 29, 1986, 51 FR 34539). Under RCRA, a substance
become a waste after release if it is not cleaned up or if it is cleaned up for eventual disposal.
Q. How are mixtures of nonradioactive hazardous substances reported?
A. A mixture of nonradioactive hazardous substances must be reported to the National Response
Center if any component of the mixture is released in a quantity that equals or exceeds its RQ. If
the concentrations of the hazardous substance components in the mixture are known, then each
component should be evaluated separately to determine if an RQ or more was released. If the
concentrations of the hazardous substance components in the mixture are not known, then the
release must be reported if the quantity of the mixture released equals or exceeds the lowest RQ of
any of its constituents.
RQs of different nonradioactive substances are not additive under the mixture rule; releasing a
mixture containing half an RQ of one nonradioactive hazardous substance and half an RQ of
another hazardous substance does not require a report under CERCLA (also see the scenario
depicted in Exhibit 3).
Q. How are mixtures of radionuclides reported?
A. RQs of different radionuclides are additive under the mixture rule for radionuclides. If the identity
and quantity, in curies (Ci), of each radionuclide component is known, the decision whether to
report the release must be made in the following manner: for each radionuclide in the mixture,
determine the ratio between the quantity released and the RQ for the radionuclide. If the sum of
the ratios for all radionuclides is less than one, the release need not be reported. If the sum of the
ratios is equal to or greater than one, the release must be reported to the National Response Center
(also see the scenario depicted in Exhibit 4).
If the composition of the radionuclide mixture is unknown, there are two main possibilities: (1) the
identity of the radionuclides is known but the quantities released are not known; or (2) the identity
of the radionuclides released is not known. In the first situation (identity known, but quantity
unknown), the RQ for the mixture is the lowest RQ of any radionuclide in the mixture. In the
second situation (identity of radionuclides unknown), the release must be reported if the total
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HUT 3
REPORTING RELEASES OF MIXTURES OF
HAZARDOUS SUBSTANCES
A = 25%
B - 75%
Report
When 400 Ibs ol the
mixture Is released
(RQ ol A equalled)
Substance A = 100 Ibs
Substance B = 1000 Ibs
A = 5%
B = 95%
Report
When 1,053 Ibs ol
ol mixture Is re-
leased (RQ ol B
equalled)
A = ?%
B = ?%
Report
When 100 Ibs ol the
mixture Is released
(RQ ol A may be
equalled)
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KXIIIUIT 4
REPORTING RELEASES OF MIXTURES OF RADIONUCLIDES
RQs
Substance A = 10 Curies
Substance B = 100 Curies
Substance
A
B
Quantity
Released
5 Curies
10 Curies
Quantity
Released
3 Curies
90 Curies
No Report
Ratio Sum
Report
Ratio Sum
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release is equal to or greater than 1 Ci, or if the total release is equal to or greater than the lowest
RQ of any known radionuclide in the mixture, whichever is lower (also see the scenario depicted in
Exhibit 5).
For convenience, EPA has used the above mixture rule to calculate the RQs for four common
radionuclide mixtures: radium-226 in secular equilibrium with its daughters (an RQ of 0.053 Ci);
natural uranium (an RQ of 0.1 Ci); natural uranium in secular equilibrium with its daughters (an
RQ of 0.052 Ci); and thorium-232 in secular equilibrium with its daughters (an RQ of 0.011 Ci).
Q. What are the reporting requirements for compounds and mixtures of radionuclides and other
hazardous substances?
A. There may be situations in which two RQs apply to the release of a substance containing
radionuclides — one-RQ being based on chemical toxicity (in units of pounds) and one RQ being
based on radiation hazard (in units of curies). In such situations, the lowest applicable RQ for a
substance governs when-the release must be reported. In this way, the RQs reflect the relative
chemical toxicity and radiation hazard of a substance.
Uranyl acetate and uranyl nitrate are examples of substances with two applicable RQs, one based on
chemical toxicity and the other based on radiation hazard. Both substances are specifically listed as
CERCLA hazardous substances because they are priority pollutants listed under section 311 of the
Clean Water Act; however, they both consist of about 60 percent uranium-238, a radionuclide.
Based on their chemical toxicity, uranyl acetate and uranyl nitrate have a final adjusted RQ of 100
pounds (51 FR 34534, September 29,1986). The final RQ for uranium-238, based upon radiological
hazard, is 0.1 Ci, which is equivalent to roughly 660 pounds of uranium-238. Both the 0.1 Q RQ
for uranium-238 and the 100 pound RQ are applicable to releases of uranyl acetate and uranyl
nitrate, but the 100-pound RQ will always trigger reporting first because it is the lower, more
protective level. The RQ of 100 pounds will assure timely reponing of releases of uranyl acetate
and uranyl nitrate from both a radiological hazard and chemical toxicity standpoint.
Q. Are facilities and vessels required to conduct monitoring to obtain accurate release estimates?
A. CERCLA and SARA Title III do not require monitoring. When reporting releases under CERCLA
section 103 and SARA Title III section 304, the person in charge of the facility or vessel may
estimate releases based on past release data, engineering estimates, knowledge of the facility's or
vessel's operations and release history, or the best professional judgment of the person in charge.
Regardless of the method used to estimate releases, however, all estimates reported for a particular
release must have a sound technical basis.
Q. Before the owner or operator of a facility reports the release of an RQ or more to SERCs and
LEPCs, must a determination be made as to whether there are populations "likely to be affected"
because of potential off-site exposure?
A. Although SARA Title III section 304 requires reporting to SERCs and LEPCs for any area "likely
to be affected,1* the quoted phrase simply identifies which SERC and LEPC must be notified. It is
meant to clarify reporting obligations in situations where a release crosses state boundaries or where
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ECII
IIIBIT 5
REPORTING RELEASES OF MIXTURES OF RADIONUCLIDES
RQs
Substance A = 0.1 Curies
Substance B = 100 Curies
Report
When 0.1 Curies
are released
(RQ ol A equalled)
1 Substance
*
Quantity
Released
]
Report
When 0.1 Curies
are released
(RQ of A equalled)
Report
When 1 Curie
Is released
(default RQ)
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facilities are located near the boundary of two emergency planning districts. The phrase indicates to
whom the report must be made, not whether a report is required. A release need not result in
actual exposure to persons off-site in order to be subject to release reporting requirements; potential
exposure is sufficient Any release into the environment at or above the RQ has the potential to
extend beyond the site boundaries. Although technically required only to report releases that
actually extend beyond the site boundaries, facility owners or operators are strongly encouraged to
report all releases that equal or exceed an RQ to the appropriate SERC or LEPC, when that release
is 'into the environment" The owner or operator should not waste precious time making a
determination as to whether the release may migrate beyond the site boundary. The operative rule
should be: when in doubt, report
Q. Over what time period must an RQ of a hazardous substance be released for that release to be
reportable?
A An RQ is based on a 24-hour period (50 FR 13463). This timeframe does not refer to the time
available for a person to report a release, but rather the time period over which a release is to be
measured; reporting must occur immediately.
Q. A facility releases an RQ or more of a hazardous substance within 24 hours. The concentration of
the substance, however, is so low that the release appears to pose little or no hazard, making it
unlikely that there ever would be a government response. Should the person in charge report the
release to the National Response Center?
A Yes. There are no concentration cutoff for CERCLA reporting (Le., there is no lower bound
concentration below which the RQs would not apply). The release of an RQ or more of a
hazardous substance must be reported regardless of the concentration of the hazardous substance in
the material released. The question of any necessary response action will be addressed by the
responsible government official who receives the release notification.
Q. Are any releases specifically excluded from the CERCLA and SARA Title HI reporting
requirements?
A CERCLA section 101(22) specifically excludes from the definition of "release*: emissions from the
engine exhaust of a motor vehicle, rolling stock, aircraft, vessel, or pipeline pumping station;
releases of source, byproduct or special nuclear material from a nuclear incident5 subject to the
requirements of the Nuclear Regulatory Commission for financial protection under section 170 of
the Atomic Energy Act (AEA); and normal application of fertilizers. Nuclear reactors are the
primary type of facility subject to AEA section 170.
In addition to these exemptions, CERCLA section 103(a) excludes "federally permitted" releases
from the notification provisions of CERCLA Federally permitted releases are defined in CERCLA
5 A "nuclear incident" means any occurrence of bodily injury, sickness, disease, death, loss of or
damage to property resulting from the radioactive, toxic, explosive, or other hazardous properties of
source, special nuclear, or byproduct material
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section 101(10). (Each of the exemptions provided under section 101(10) are explained in the
answer to the following question.) One of the provisions of CERCLA section 101(10), specifically
section 101(10)(K), defines federally permitted releases to include certain releases of source,
byproduct, or special nuclear material.
Under CERCLA section 101(10)(K), only those releases of source, byproduct, or special nuclear
material in compliance with a legally enforceable license, permit, regulation, or order issued
pursuant to the AEA are federally permitted. For purposes of CERCLA section 101(10), if a
release of source, byproduct, or special nuclear material occurs in an amount that exceeds the limits
established in the DOE order, NRC license, permit, or regulation, the release is not in compliance
with the permit, order, license, or regulation, and therefore is not federally permitted. For releases
that are not in compliance with the established limit, the following requirements must be met:
• If the release exceeds the established limit by less than an RQ, the release is not federally
permitted but does not need to be repotted to the National Response Center. The person in
charge of the facility, however, may be held liable for response costs and natural resource
damages caused by the release.
• If the release exceeds the established limit by an amount that equals or exceeds the RQ, the
release is not federally permitted and is subject to both the CERCLA notification and liability
provisions. This release must be reported to the National Response Center.
Therefore, any release of source, byproduct, or special nuclear material that is not federally
permitted and is not a "nuclear incident" as defined in the AEA is subject to both the CERCLA
notification and liability provisions. If the release occurs in an amount that exceeds the limits
established in the DOE order, NRC license, permit, or regulation by an RQ or more, it must be
reported to the National Response Center.
Section 103 of CERCLA also exempts from CERCLA reporting requirements: the application of a
pesticide product registered under the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA)
or the handling or storage of such product by an agricultural producer; and the release of a
substance that is required to be reported (or exempted from reporting) under RCRA Subtitle C and
that has been reported to the National Response Center. In addition, the definition of "facility"
under CERCLA section 101(9) excludes, specifically, consumer products in consumer use. Releases
from such facilities, therefore, are excluded from reporting requirements. SARA Title III further
exempts from state and local reporting releases from vessels and releases that result in exposure to
persons solely within the site on which a facility is located.
In addition to the above exemptions, EPA has administratively exempted three categories of
radionuclide releases from CERCLA's reporting requirements. Specifically, the Agency has
exempted releases of naturally occurring radionudides from: (1) large, generally undisturbed land
holdings, such as golf courses and parks; (2) activities that involve the disturbance of large land
areas for purposes other than mining, such as farming or building construction; and (3) the dumping
of coal and coal ash, as well as radionuclide releases to all media from coal and coal ash piles, at
utility and industrial facilities with coal-fired boilers.
Q. What Is the scope of the "federally permitted release" exemption?
A. Federally permitted releases are exempt from the CERCLA section 103 reporting requirements, the
liability provisions of CERCLA section 107(j), and the state and local emergency release notification
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requirements under section 304 of SARA Title IIL Under CERCLA section 101(10), a "federally
permitted release" includes:
• Discharges in compliance with a permit under section 402 of CWA;
• Discharges resulting from circumstances identified and reviewed and made part of
the public record with respect to a permit issued or modified under section 402
of CWA and subject to a condition of such permit;
• Continuous or anticipated intermittent discharges from a point source, identified
in a permit or permit application under section 402 of CWA, which are caused by
events occurring within the scope of relevant operating or treatment systems;
• Discharges in compliance with a legally enforceable permit under section 404 of
the CWA;
• Releases in compliance with a legally enforceable final permit issued pursuant to
section 3005(a) through (d) of RCRA from a hazardous waste treatment, storage,
or disposal facility when such permit specifically identifies the hazardous
substances and makes such substances subject to a standard of practice, control
procedure or bioassay limitation or condition, or other control on the hazardous
substances in such releases;
• Any release in compliance with a legally enforceable permit issued under section
102 or section 103 of the Marine Protection, Research, and Sanctuaries Act of
1972;
• Any injection of fluids authorized under Federal underground injection control
programs or state programs submitted for Federal approval (and not disapproved
by the Administrator of EPA) pursuant to part C of the Safe Drinking Water
Act;
• Any emission into the air subject to a permit or control regulation under section
111, section 112, title I part C, title I part D, or state implementation plans
submitted in accordance with section 110 of the CAA (and not disapproved by
the Administrator of EPA), including any schedule or waiver granted,
promulgated, or approved under these sections;
• Any injection of fluids or other materials authorized under applicable state law
(1) for the purpose of stimulating or treating wells for the production of crude
oil, natural gas, or water, (2) for the purpose of secondary, tertiary, or other
enhanced recovery of crude oil or natural gas, or (3) which are brought to the
surface in conjunction with the production of crude oil or natural gas and which
are reinjected;
• The introduction of any pollutant into a publicly owned treatment works
(POTW) when such pollutant is specified in and in compliance with applicable
pretreatment standards of section 307(b) or (c) of CWA and enforceable
requirements in a pretreatment program submitted by a state or municipality for
Federal approval under section 402 of such Act; and
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• Any release of source, special nuclear, or byproduct material, as those terms are
defined in the Atomic Energy Act of 1954, in compliance with a legally
enforceable license, permit, regulation, or order issued pursuant to the Atomic
Energy Act of 1954.
EPA proposed regulations to clarify the federally permitted release exemption on July 19,1988
(53 FR 27268). The final regulation is scheduled for promulgation in Summer 1991.
Q. What releases of radionuclides are considered 'federally permitted" under CERCLA?
A. CERCLA section 101(10)(K) defines federally permitted releases to include any release of source,
special nuclear, or byproduct material in compliance with a legally enforceable license, permit,
regulation, or order issued pursuant to the Atomic Energy ACL Accordingly, the following releases
of source, byproduct, and special nuclear material are considered federally permitted:
• Releases in compliance with licenses issued by the Nuclear Regulatory
Commission or its Agreement states;
• Releases in compliance with Department of Energy (DOE) orders issued under
DOE's AEA authority,
• Releases in compliance with Department of Defense (DOD) limits issued under
the AEA governing weapons and reactors within DOD's jurisdiction; and
• Releases in compliance with EPA regulations issued under the AEA for certain
operations involving radioactive material (e.g., 40 CFR Part 190).
CERCLA section 101(10)(H) defines federally permitted releases to include any emission into the
air subject to a permit or control regulation under section 112 of the Qean Air Act. Pursuant to
section 112 of the Qean Air Act, EPA has issued final standards in 40 CFR Pan 61 for radionuclide
emissions to the air as pan of the National Emission Standards for Hazardous Air Pollutants
(NESHAPs). Any release of a radionuclide to the air in compliance with the NESHAPs is
considered federally permitted, although releases not covered by or exempted from regulation under
the radionuclide NESHAPs are not federally permitted. EPA recently published final radionuclide
NESHAPs (54 FR 51654; December 15,1989) that should be used in determining whether airborne
radionuclide emissions are federally permitted under CERCLA section 101(10)(H).
The NESHAPs limits for radionuclides are generally health-based annual limits, whereas the
radionuclide RQs are reporting triggers based on 24-hour release quantities. A radionuclide release
that exceeds any annual NESHAPs limit is not federally permitted. Once the NESHAPs limitation
has been exceeded and the release, therefore, is no longer federally permitted, any radionuclide
release that equals or exceeds an RQ in a 24-hour period must be reported to the National
Response Center under CERCLA. For example, the NESHAPs limits under CERCLA for DOE
facilities and Nuclear Regulatory Commission licensees are annual dose-equivalent limits (e.g., 10
millirem/year to the whole body). In these cases, after it is known that an individual near the facility
has received more than 10 millirem within a one-year period, any additional radionuclide release
that equals or exceeds an RQ within 24 hours must be reported to the National Response Center.
It is important to clarify that the only releases of naturally occurring and accelerator produced
radioactive material (NARM) that are considered federally permitted are airborne releases of
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NARM that are in compliance with the NESHAPs. Because CERCLA section 101(10)(K) refers
only to releases of source, byproduct, and special nuclear material, the only basis for exempting
NARM releases from CERCLA's reporting and liability provisions is section 101(10)(H), which is
limited only to airborne emissions in compliance with the Clean Air ACL
Q. What is a continuous release?
A. Releases that are "continuous" and "stable in quantity and rate" may qualify for reduced reporting
under CERCLA section 103(f)(2). A "continuous" release is a release of a hazardous substance that
occurs without interruption or abatement, or that is routine, anticipated, intermittent, and incidental
to normal operations. In addition, a release that is "stable in quantity and rate" is a release that is
predictable and regular in the amount and rate of emission.
A continuous release may be a release that occurs 24 hours a day, such as a radon release from a
stockpile, or a release that occurs during a certain process, such as benzene released during the
production of polymers, or a release that occurs intermittently, such as the release of a hazardous
substance from a tank vent each time the tank is filled.
Q. What are the reduced reporting requirements for releases that are "continuous" and "stable in
quantity and rate"?
A. Although CERCLA section 103(f)(2) provides for reduced reporting of continuous releases, it does
not eliminate the need to report such releases. Under the final rule (55 FR 30166; July 24,1990 -
40 CFR § 302.8.), four kinds of notification are required to ensure that response officials are
adequately informed of continuous releases. The specific reporting requirements are outlined below.
The effective date of the continuous release reporting regulation was September 24,1990.
Under the final rule, the person in charge must comply with the following reporting requirements
for continuous releases of CERCLA hazardous substances. Specifically, the person in charge must:
(1) Make an initial notification by telephone to the National Response Center,
SERC, and LEPQ and within 30 days of the initial telephone call, submit an
initial written notification to the EPA Regional Office, SERC, and/LEPQ
(2) Submit a one-time written follow-up report to the EPA Regional Office;
(3) Immediately notify the National Response Center, SERC, and LEPC of a
statistically significant increase (SSI) in the release; and
(4) Submit a written notification to the EPA Regional Office of any other changes in
the release.
In addition to these notifications, the final rule requires that once the one-time follow-up report has
been submitted, the person in charge must perform annual evaluations of each hazardous substance
release from the facility. Each annual evaluation must be documented but no additional annual
reports or notifications are required.
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Under the final rule, an SSI is an increase in the quantity of hazardous substance released above the
upper bound of the reported normal range of the release. The normal range is defined to include
all estimated quantities of the hazardous substance released during any 24-hour period under normal
operating conditions during the previous year.
An information packet that provides guidance on how to successfully comply with the final rule on
reporting continuous releases of hazardous substances is available. To order an information packet,
call the RCRA/Superfund Hotline toll-free at (800) 424-9346 or the National Technical Information
Service at (703) 487-4600. This packet includes the following three items:
• A Guide for facilities and vessels on how to comply with the reporting
requirements in the final rule;
• An IBM-compatible diskette that contains the Continuous Release-Emergency
Response Notification System (CR-ERNS); and
• A User's Manual that explains how to use CR-ERNS to report continuous
releases.
Q. Can the Toxic Release Inventory form be used to satisfy continuous release reporting
requirements?
A. The information required in the continuous release final rule is the minimum information necessary
to properly evaluate the risks associated with a continuous release. Under the continuous release
reporting regulation, persons in charge of facilities may submit the section 313 Toxic Release
Inventory (TRI) Form R as a substitute for the written initial notification or follow-up report,
provided that certain additional continuous release information is included with the submittal. The
additional required information is summarized hi the box on the following page. This information
will provide EPA with information about the continuous release that is not available from the
SARA Title III section 313 report, but is required to properly evaluate the risks associated with the
release.
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ADDENDUM FOR TRI REPORTS
If the Toxic Release Inventory report is submitted in lieu of the initial written notification or follow-up report, the
following information must also be included in the written report
(1) The upper and lower bounds of the normal range of the release;
(2) The frequency of the release and the fraction of the release from each release source and the specific period
over which it occurs (Le., the number of releases per year and the months during which the release occurs);
(3) A brief statement describing the basis for asserting that the release is continuous and stable in quantity and
rate;
(4) The population density within a one-mile radius of the facility or vessel;
(5) The identity and location of any sensitive populations and ecosystems within a one-mile radius of the facility
or vessel;
(6) The CR-ERNS number; and
(7) A signed statement that the hazardous substance rcleasc(s) is(are) continuous and stable in quantity and rate
and that all reported information is accurate and current to the best knowledge of the person in charge.
In addition to the information required above, the person in charge of the facility should also include certain
information on the source of the release and the environmental medium affected by the release. This information
is not required in the final continuous release reporting regulation; however, such information will assist EPA in
evaluating the risks associated with a continuous release. If such information is not provided, EPA may request
clarifying information about the releases from the facility. The following information, therefore, should be included
in the written reports:
(1) If the source of the release is a stack, the stack height in feet or meters;
(2) If the source is a waste pile, landfill, valve, tank vent, or other area source, the surface area or area of the
release source in square feet or meters;
(3) If the release affects a stream, the stream order or average flow rate in cubic feet per second;
(4) If the release affects a lake, the surface area of the lake in acres and the average depth of the lake in feet
or meters; and
(5) If the release is on or under ground, the location of any public water supply wells within a two-mile radius
of the site.
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FACT SHEETS
RADIONUCLIDES
• All radionuclides are hazardous substances under the Comprehensive Environmental Response,
Compensation, and Liability Act of 1980 (CERCLA), as amended, because they are designated
genetically as hazardous air pollutants pursuant to section 112 of the Clean Air Act (CAA). Any
material that contains radionuclides (i.e., radioactive materials) also
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CONTINUOUS RELEASES
The continuous release reporting regulation interprets section 103(f)(2) of the Comprehensive
Environmental Response, Compensation, and Liability Act of 1980 (CERCLA), as amended, and
specifies the reduced reporting provisions available for releases of hazardous substances that are
continuous and stable in quantity and rate.
The final rule defines "continuous" broadly to include routine, anticipated, intermittent releases, as
well as releases that are continuous without interruption, provided that the release is incidental to
normal operations or treatment processes.
"Stable in quantity and rate" is defined to be predictable and regular in quantity and rate of emission
during normal operations.
The reporting requirements consist of:
~ Initial telephone call to the National Response Center (NRC), state emergency response
commission (SERC), and local emergency planning committee (LEPC);
Initial written report, within 30 days, to the appropriate EPA Region, SERC, and LEPQ
Written follow-up report to the appropriate EPA Region, one year after submittal of the
initial written report;
~ Notification of changes in the releases to the appropriate EPA Region; and
Immediate reporting of statistically significant increases (SSIs) to the NRC, SERC, and LEPC
An SSI is defined to be any release that exceeds the upper bound of the normal range of the release.
The normal range is defined to include all releases of a hazardous substance reported or occurring
during any 24-hour period under normal operating conditions during the previous year.
Although facilities are required to reassess their release situation on an annual basis, no further
reporting is required unless a change occurs in the release such that release information previously
submitted is no longer valid.
Information submitted to the NRC and EPA Region is subject to EPA review. The Agency may
require modification, clarification, or additions to continuous release reports.
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FEDERALLY PERMITTED RELEASES
Section 103(a) of the Comprehensive Environmental Response, Compensation, and Liability Act of
1980 (CERCLA), as amended, requires that the person in charge of a facility or vessel immediately
notify the National Response Center of a release of a hazardous substance that equals or exceeds a
reportable quantity (RQ).
Under CERCLA section 107(j), responsible parties may be liable for costs incurred in responding to
releases of hazardous substances.
Federally permitted releases are exempt from the reporting and liability provisions of CERCLA and
the state and local emergency release notification requirements under section 304(a) of Title III of
the Superfund Amendments and Reauthorization Act of 1986 (SARA).
Section 101(10) of the CERCLA defines the term "federally permitted release" by specifically
enumerating certain releases subject to permits or authorizations under other Federal or state
environmental laws, including the following:
~ Discharges covered by a National Pollutant Discharge Elimination System permit, permit
application, or permit administrative record;
Releases in compliance with a legally enforceable hazardous waste management facility final
permit issued under the Resource Conservation and Recovery Act;
- Any injections of fluids authorized under Federally-approved underground injection control
programs (including Federally-authorized state programs) pursuant to Part C of the Safe
Drinking Water Act;
Any air emissions subject to permit or control regulations under certain provisions of the
Clean Air Act (CAA);
Releases of pollutants to publicly owned treatment works if in compliance with certain
pretreatment requirements; and
- Certain releases of nuclear material in compliance with the Atomic Energy Act
On July 19, 1988, the U.S. Environmental Protection Agency (EPA) published a Notice of Proposed
Rulemaking (NPRM) defining the scope of the CERCLA section 101(10) federally permitted release
exemptions (S3 FR 27268). The elements of the proposed rule may be used as guidance until a final
rule is promulgated.
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GLOSSARY
Extremely hazardous substance (EHSX EHSs were established by Title III of the Superfund
Amendments and Reauthorization Act of 1986 (SARA), also known as the Emergency Planning and
Community Right-to-Know Act of 1986. Section 302 of Title III initially defined EHSs as the 402
substances appearing on the list in Appendix A of the "Chemical Emergency Preparedness Program
Interim Guidance," published by EPA in November 1985. On April 22,1987, EPA published a final
rule listing EHSs (52 FR 13378), including the addition of four new EHSs. EPA subsequently
delisted 46 EHSs that did not meet the acute toxicity criteria. There are currently 360 EHSs listed
in 40 CFR Part 355; 134 of these EHSs are CERCLA hazardous substances. EHSs are listed in
Appendices A and B of 40 CFR 355. EPA has proposed to designate the remaining 226 non-
CERCLA EHSs as CERCLA hazardous substances.
Facility. CERCLA section 101(9) defines "facility" broadly to include any site or area where a
hazardous substance is located, but the definition excludes, specifically, consumer products in
consumer use. SARA section 329(4) defines facility" to include stationary items on a single site or
on contiguous or adjacent sites owned or operated by the same person. For purposes of release
reporting under SARA section 304, motor vehicles, rolling stock, and aircraft are included in the
definition of "facility," but only facilities that produce, use, or store a "hazardous chemical" (defined
in section 311(e)) are covered.
Hazardous substance. CERCLA section 101(4) defines "hazardous substance" to include substances
listed under four other environmental statutes (as well as those designated pursuant to CERCLA
section 102(a)), but the definition excludes crude oil and fractions of crude oil, including the
hazardous substances, such as benzene, that are indigenous in those petroleum substances.
However, hazardous substances that are added to petroleum or that increase in concentration solely
as a result of contamination of the petroleum during use are not considered part of the petroleum,
and are therefore not considered part of this exclusion. Thus, for example, releases of waste oils
that are specifically listed under other statutes such as RCRA or releases of oils that have had
hazardous substances added to them subsequent to the petroleum refining process, are not excluded.
Table 302.4 in 40 CFR specifically lists a number of waste oils (e.g., F010, and K048 through K052)
and their RQs. If these wastes oils are released in quantities equal to or greater than their RQs, the
release must be reported. The definition of "hazardous substance" also excludes natural gas liquids,
liquified natural gas, and synthetic gas usable for fuel.
Local emergency planning committees (LEPCsV LEPCs are responsible for preparing and
implementing emergency plans for their areas, including identifying facilities with EHSs and
transportation routes for EHSs, establishing methods to determine the occurrence of and response
to EHS releases, developing evacuation plans, and other duties.
Owner or operator. Section 304 of SARA allows either the owner or the operator of a facility to
give notice after a release. Owners and operators may make their own arrangements concerning
which parry is to provide release notification; however, under section 304 both the owner and
operator are responsible if no notification is provided (52 FR 13383, April 22, 1987).
Person in charge. Determining who is the "person in charge" depends on a number of variables,
including the specific operation involved, the management structure, and other case-specific
considerations. EPA believes that it is unnecessary and impractical for the government to determine
the person in charge at all entities affected by CERCLA. The management of the affected
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organizations should designate the specific individuals or positions responsible for reporting releases
(50 FR 13459, April 4, 1985).
• Release. CERCLA section 101(22) and SARA section 329(8) define "release" to include any
spilling, leaking, discharging, or disposing into the environment, including the abandonment or
discarding of barrels or containers.
» 'Releases into the environment*. Releases "into the environment* include spills from tanks or valves
onto concrete pads or lined ditches open to the outside air, releases from pipes into open lagoons or
ponds, or any other discharges that are not wholly contained within buildings or structures.
Therefore, if an RQ or more of a hazardous substance is released outside of an enclosed structure, it
must be reported because it is then considered to have entered the environment (50 FR 13462). In
addition, stockpiling of material outside a building (that is, adding material to an existing stockpile
or creating a new stockpile) or filling an open tank with hazardous material would be releases into
the environment
• Reportable quantity (RO\ For each CERCLA hazardous substance other than radionuclides, an
RQ has been established at 1,10,100,1000, or 5000 pounds. The adjusted RQs for radionuclides
are in units or curies and range between 0.001 curie and 1000 curies. The RQ acts as a trigger,
when an RQ or more is released into the environment, a report must be made immediately to the
National Response Center. As an interim measure, CERCLA established statutory one-pound RQs
for all hazardous substances on the CERCLA list, except those that had RQs established under
section 311 of the dean Water Act EPA has adjusted the RQs by regulation for 705 of the 727
CERCLA hazardous substances.
• Vessel. 'Vessel* is defined in CERCLA section 101(28) as any watercraft or other artificial
contrivance used, or capable of being used, as a means of transportation on water.
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