xvEPA
Untied States
Environmental Protection
Agency
Off ice of
Solid Waste and
Emergency Response
9360.7-14
EPA/540/R-94/005
PB94-963403
January 1995
Superfund
Questions and Answers on
Release Notification
Requirements and Reportable
Quantity Adjustments
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NOTICE
The Questions and Answers presented here are provided as general guidance on
complying with the requirements for reporting releases of hazardous substances
under the Comprehensive Environmental Response, Compensation, and Liability Act
(section 103), and the Emergency Planning and Community Right-to-Know Act
(section 304). The information does not represent formal rulemaking by the
Environmental Protection Agency. It cannot be relied upon to determine compliance
with the law nor to create rights enforceable by any party in litigation with the
United States. Instead, the applicable statutes and regulations should be consulted
directly.
Additional copies of this document may be obtained from the National Technical
Information Service (NTIS) at:
NTIS
5285 Port Royal Road
Springfield, VA 22161
(703) 487-4650
Please refer to the following document numbers when requesting additional
copies of this document:
Publication 9360.7-14
PB 94-963403
EPA/540-R-94-005
N of ice
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Questions and Answers
TABLE OF CONTENTS
Page
ACRONYM LIST iv
REGULATORY INDEX v
LIST OF EXHIBITS vii
INTRODUCTION 1
NOTIFICATION 3
Who Is Required to Notify? 3
What Information Must Be Provided? 5
Who Must Be Notified? . 7
What Substances Are Covered? 9
Hazardous Substance Definitions 9
Hazardous Substance Lists 11
Petroleum Exclusion 14
Mixture Rule 16
What Are Reportable Quantity Levels? 20
What Constitutes a Release Under CERCLA? 21
What Releases Are Excluded From CERCLA Reporting? 26
Exemptions 26
Federally Permitted Releases 28
How Are Continuous Releases Reported? 30
What Is the Relationship Between Liability and Reporting? 33
REPORTABLE QUANTITY ADJUSTMENTS - 34
How Does the Reportable Quantity Adjustment Methodology Work? 34
What Is the Purpose of Reportable Quantity Adjustments? 36
SUBJECT INDEX 37
APPENDIX: QUESTION FORM 40
/// Table of Contents
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Questions and Answers
ACRONYM LIST
BHP Biodegradation, hydrolysis or photolysis
CAA Clean Air Act
CERCLA Comprehensive Environmental Response, Compensation, and Liability Act of 1980
CFR Code of Federal Regulations
Ci Curie
CWA Clean Water Act
DOT Department of Transportation
EHS Extremely hazardous substance
EPA Environmental Protection Agency
EPCRA Emergency Planning and Community Right-to-Know Act
ERD Emergency Response Division
FIFRA Federal Insecticide, Fungicide, and Rodenticide Act
FR Federal Register
ICR Ignitability, corrosivity, and reactivity
LEPC Local emergency planning committee
NESHAPS National emission standards for hazardous air pollutants
NRC National Response Center
NSPS New source performance standards
NPRM Notice of proposed rulemaking
OSC On-scene coordinator
POTW Publicly owned treatment work
RCRA Resource Conservation and Recovery Act
RQ Reportable quantity
SERC State emergency response commission
SSI Statistically significant increase
TCLP Toxicity characteristic leaching procedure
TPQ Threshold planning quantity
TSCA Toxic Substances Control Act
Acronym List
IV
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Questions and Answers
REGULATORY INDEX
Administrative reporting exemptions,
radionuclides
CAA hazardous air pollutants, RQ adjustment
CERCLA hazardous substances
Continuous releases, reporting requirements
Continuous releases, routine, anticipated,
and intermittent
CWA reporting requirements
EHS, list
EHS, screening criteria
Federally permitted release exemption
Hazardous Substances, List and Reportable Quantities
Mixture rule
Notification requirements
Owner or operator
Person in charge
Pesticides
Radionuclides, RQ adjustment
Radionuclides, administrative reporting
exemptions
57 FR 56726, November 30, 1992
58 FR 54836, October 22, 1993
54 FR 3388, January 23, 1989
55 FR 30166, July 24, 1990, 40 CFR
302.8
55 FR 30169, July 24,1990
50 FR 13473, April 4, 1985, 40 CFR
117.3
40 CFR Part 355
51 £R 41570, November 17, 1986
53 FIR 27268, July 19, 1988
54 FR 29306, July 11, 1989
40 CFR 302.4
40 CFR 302.6(b)
40 CFR Part 302.4 and 33 CFR Part
153
52 FR 13383, April 22, 1987
50 FR 13459, April 4, 1985
50 FR 13464, April 4, 1985
54 £R 22524, May 24, 1989
57 FR 56726, November 30, 1992
Regulatory Index
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Questions and Answers
REGULATORY INDEX
(continued)
Release, aggregated
Release, concurrent
Release, metal particles
Release, time period
RQ adjustment criteria
Toxicity characteristic leaching procedure
50 FR 13459, April 4, 1985
50 PR 13459, April 4, 1985
50 PR 13461, April 4, 1985
50 FR 13463, April 4, 1985
54 FR 35988, August 30, 1989
55 FR 11876, March 29, 1990
Regulatory Index
vi
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Questions and Answers
Exhibit 1
LIST OF EXHIBITS
Mixture Rule Scenarios , 17
Exhibit 2 Reportable Quantities for Four Common Radionuclide Mixtures 19
Exhibit 3 Scenarios on Aggregated Releases 24
Exhibit 4 Reporting Scenario for Encapsulated Releases 24
Exhibit 5 Scenarios Involving Federally Permitted Releases 29
Exhibit 6 Reporting Requirements for Continuous Releases 31
Exhibit 7 Additional Detail on Continuous Release Reporting 32
Flowchart on Reporting Requirements for Releases of CERCLA section 103
and EPCRA section 304 Substances 22
vtt
List of Exhibits
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Questions and Answers
Introduction
The Comprehensive Environmental Response, Compensation, and Liability Act of 1980
(CERCLA), as amended, gives the Federal government authority to compel parties responsible for
releases of hazardous substances to remove them, and to take action to remedy any danger they
pose to human health, welfare, and the environment. It also gives the government authority to
respond directly to these releases in appropriate circumstances, and it creates a framework within
which the government can exercise its role. Many of CERCLA's provisions deal with cleanup,
liability, and compensation associated with inactive or abandoned hazardous waste sites. Equally
important sections address responsibilities for reporting and responding to releases of hazardous
substances as they occur.
CERCLA establishes a list of "hazardous substances." There are now about 800 specific
substances and 1500 radionuclides. These substances were first identified under other statutes,
including the Clean Water Act (CWA), the Clean Air Act (CAA), and the Resource Conservation
and Recovery Act (RCRA). CERCLA authorizes the Administrator of the EPA to add to this list
"substances which, when released into the environment may present substantial danger to the
public health or welfare or the environment..."
For each CERCLA hazardous substance, EPA establishes a reportable quantity (RQ). For
hazardous substances that are not radionuclides, RQs are established at 1, 10, 100, 1,000, or 5,000
pounds. The RQs for radionuclides are expressed in curies, and range from 0.001 to 1,000 curies.
These RQs serve as reporting triggers. When an RQ or more of a hazardous substance is released
into the environment, the person in charge of the facility or vessel from which the release occurs
must immediately report it to the National Response Center (NRC) under CERCLA. Under the
Emergency Planning and Community Right-to-Know Act of 1986 {EPCRA), the owner or operator
of a facility also must notify the appropriate State and local authorities of such releases.
CERCLA establishes statutory one-pound RQs for all hazardous substances that did not
already have RQs established under the CWA. It charges EPA with adjusting the RQs by
regulation. These regulations are published in the U.S. Code of Federal Regulations (CFR).
EPA is providing this document to promote better understanding of CERCLA and EPCRA
release notification requirements and RQ adjustment issues. Questions are organized by broad
subject categories. The table of contents lists topics addressed in eacli subject section. An index
helps the reader locate questions according to key words or issues, and a regulatory index lists
topic areas with corresponding regulatory citations where topics are addressed in more detail.
To resolve a question, a reader should first consult the table of contents. As an example,
a reader looking for information about hazardous substance releases which may be exempted
from reporting under CERCLA will find under "Notification" a reference to releases excluded
from CERCLA reporting. The reader will find four questions in that section of the document
addressing reporting exemptions. Still more information can be found by turning to the
regulatory index, where several regulatory citations addressing reporting exemptions are listed.
Introduction
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Questions and Answers
Many common concerns are reflected in letters and telephone calls the Agency receives
from members of the regulated community, and these are addressed in the document. Readers
with additional questions on release notification requirements and RQ adjustments may submit
them to EPA using the form on page 40. The Agency welcomes such questions, and wili consider
them for subsequent editions of this document.
Introduction
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Questions and Answers
Notification
Who Is Required to Notify?
1, Under CERCLA, who is responsible for reporting releases and when must the
report be made?
Section 103 of CERCLA requires the person in charge of a facility or vessel, as scion as
he or she has knowledge of a release of a hazardous substance in an amount equal to or greater
than an RQ, to report the release immediately to the NEC. The NRC number is 1-800-424-8802,
or (202) 267-2675 in the Washington, DC area.
2. How does one determine who is the person in charge?
_" L
** I
* I Determining who is the person in charge depends on a number of variables, including
i^M^J 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 organizations should designate the specific individual(s) or position(s) responsible for
reporting releases (50 FR 13459, April 4,1985).
3. Under EPCRA, who is responsible for reporting releases and when must the
report be made?
Under section 304 of EPCRA, the owner or operator of a facility is required to report
immediately to the appropriate State emergency response commissions (SERCs) and local
emergency planning committees (LEPCs) when there is a release of a CERCLA hazardous
substance or of an extremely hazardous substance (EHS) at or above the RQ.
4. Who is the owner or operator?
L
** I
* I EPCRA section 304 allows either the owner or operator of a facility to give notice after
"••••••I a release. Owners and operators inay make their own arrangements concerning
which party is to provide release notification; however, under EPCRA section 304 both the owner
and operator are responsible if no notification is provided (52 FR 13383, April 22,1987).
Notification
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Questions and Answers
5, What facilities or vessels are covered under CERCLA release reporting
requirements?
CERCLA section 101(9) defines facility broadly to include any site or area where a
hazardous substance is located, but the definition specifically excludes consumer products in
consumer use. 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. See question
53 for further discussion of what facilities or vessels are not covered under release reporting
requirements.
6. What facilities are covered under EPCRA release reporting requirements?
L
** I
* I EPCRA section 329(4) defines facility to include stationary structures on a single site,
-MMHHB! or on contiguous or adjacent sites owned or operated by the same person. For
purposes of release reporting under EPCRA section 304, motor vehicles, rolling stock, and aircraft
are included in the definition of facility. However, the only covered facilities are those that
produce, use, or store a "hazardous chemical," See question 53 for further discussion of what
facilities are not covered under release reporting requirements.
Notification
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Questions and Answers
What Information Must Be Provided?
7. What information does the NRC request from individuals reporting a release?
When reporting a release, the person making the report should provide as much of
the following information as possible:
Name, address, and telephone number of the person reporting and the responsible
party;
Specific location of the incident-
Date and time the incident occurred or was discovered;
Name of the material released;
Source and cause of the release;
Total quantity discharged;
Medium into which the substance was discharged;
Amount spilled into water;
Weather conditions;
Name of the carrier or vessel, the raikar/truck number, or other identifying
information;
Number and type of injuries or fatalities;
Whether an evacuation has occurred;
Estimation of the dollar amount of property damage;
Description of current and future cleanup actions; and
Other agencies notified or about to be notified.
8, What information must be provided when repotting releases under EPCRA?
EPCRA section 304(b)(l) directs that notice include the following information, if
known, and if inclusion will not cause a delay in responding to the emergency:
• Chemical name or identity of the released substance(s);
• Whether the substance is an EHS;
* Estimate of the quantity of the substance released;
« Time and duration of the release;
• Media into which the release occurred;
» Associated health risks and medical attention necessary for exposed individuals;
» Precautions to take due to the release; and
• Name and telephone number of contact person for further information.
As soon as practicable after tliis initial notice, EPCRA section 304(c) requires the facility owner or
operator to submit written follow-up notices providing and updating the initial notice's
information and including additional information regarding response actions taken, any known or
anticipated acute or chronic health risks associated with the release, and, where appropriate,
advice on medical attention for exposed individuals.
Notification
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Questions and Answers
9. What information must be provided when reporting a continuous release?
A continuous release is a release that occurs without interruption or abatement or that
is routine, anticipated, and intermittent and incidental to normal operations or
treatment processes. There are four steps in the continuous release notification process: (1) initial
telephone notification (to the NRC, SERC, and LEPQ; (2) initial written notifications to the
appropriate EPA Regional Office (within 30 days of the initial telephone notification); (3) follow-
up written reports; and (4) change notifications. Details on the information required are found in
40 CFR 302.8. A general description of the information required follows. For more detailed
information concerning the continuous release reporting requirements, see U.S. EPA, Reporting
Requirements for Continuous Releases of Hazardous Substances: A Guide for Facilities and Vessels o«
Compliance," Office of Emergency and Remedial Response, OSWER Directive 9360.7-01, October
1990. Questions 57, 58, and 59 provide more information on continuous releases.
The person in charge is required to provide the following information in the initial telephone
notification:
« Statement that this is an initial telephone notification of a continuous release;
• Name and location of the facility or vessel responsible for the release; and
» Name and identity of each hazardous substance released.
The initial written notification must include the following types of information:
• General information on the facility or vessel, and the area surrounding the facility or vessel;
and
• Source information, including the identity of each release source, the names and quantities
of the hazardous substances released from each source, the basis for stating that the release
qualifies as continuous and stable in quantity and rate, the environmental medium affected
by the release, the normal range of the release from the source, and the frequency of the
release from each source.
The information required in the written follow-up report is identical to that required in the initial
written notification, but it is based on release data gathered over the year (I.e., during the period
since the submission of the initial written report). If there are any changes in a continuous
release, the EPA Regional Office must be notified. If there is a change in the source or
composition of a continuous release, the release is considered a "new" release.
Notification
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Questions and Answers
Who Must Be Notified?
10. Who must be notified of a release under CERCLA?
One call to the NRC fulfills the requirement to report releases of hazardous substances
under CERCLA and several other regulatory programs, including those under CWA
section 311, RCRA, and the U.S. Department of Transportation's Hazardous Materials
Transportation Act. If direct reporting to the NRC is not practicable, reports may be made to the
EPA predesignated Oil-Scene Coordinator (OSC) for the geographic area where the release
occurred. All such reports must be relayed promptly to the NRC. If it is not possible to notify
the NRC or the OSC immediately, reports may be made immediately to the nearest Coast Guard
unit, provided that the person in charge notifies the NRC as soon as possible (40 CFR Part 300
and 33 CFR Part 153).
11. Who must be notified of a release under EPCRA?
L
*>
* I The notice required by section 304 of EPCRA is to be given by the owner or operator
~^H^^J of a facility (by telephone, radio, or in person) immediately after the release of a
CERCLA hazardous substance or of an EHS at or above the RQ. Notice is to be given to both the
community emergency coordinator for each LEPC for any area likely to be affected by the release
and to the SERC 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 number,
calling the operator and providing the release information.
12. When is a release reportable to State and local response authorities?
EPCRA State and local emergency notification requirements apply to the release of a
CERCLA hazardous substance or an EHS in an amount equal to or greater than their
RQs. EPCRA exempts from State and local reporting releases that result in exposure to persons
solely within the site or sites on which a facility is located. See questions 52, 53, 54, 55, and 56 for
additional release exclusions, and the flowchart on page 22 for more information on release
reporting requirements.
13. Are reports made to State and local government agencies relayed to the NRC
and, if so, does the original call satisfy reporting requirements under CERCLA
section 103?
Although reports are sometimes passed on to the NRC by State and local government agencies, a
person responsible for reporting under CERCLA relies on such state or local "relay" of
information at his or her own risk. This relay of information does not automatically satisfy
CERCLA reporting requirements and state or local agencies cannot be responsible for an
individual's compliance with a Federal statute. CERCLA section 103(a) specifically requires the
person in charge of a vessel or facility to report immediately to the NRC a release of a hazardous
substance whose amount equals or exceeds the assigned RQ. If the appropriate information is
not received within an appropriate timeframe at the NRC, the person responsible for CERCLA
reporting still may be found not to have complied with the section 103 notification requirements.
7 Notification
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Questions and Answers
14. Would the NRC need to be notified of a release of a hazardous substance in
an amount equal to or exceeding an RQ at a Superfund site during cleanup
activities?
Yes, UnJess otherwise exempted from CERCLA section 103 notification requirements, a release of
a hazardous substance that equals or exceeds its RQ, including a release from a Superfund site
(including a Federal facility) that occurs during cleanup activities, must be reported to the NRC.
If, however, a release of a hazardous substance from a Superfund site is "continuous" (occurs
without interruption, or is routine, anticipated, and incidental to normal operations), the release
may be reportable under the reduced reporting provisions of the continuous release reporting
regulation (see 40 CPR 302.8). See question 15 for information on reporting requirements for
Federal facilities.
15. Would the NRC need to be notified of a release of a hazardous substance in
an amount equal to or exceeding an RQ at a Federal facility?
Yes. Under CERCLA section 120, all requirements of CERCLA apply to the Federal
government in the same manner and to the same extent that they apply to any non-governmental
entity. Therefore, even if the Superfund site is a Federal facility, the section 103 notification
requirements apply.
Notification
8
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Questions and Answers
What Substances Are Covered?
Hazardous Substance Definitions
16. CERCLA section 103 release reporting requirements apply to "hazardous
substances," How are CERCLA hazardous substances defined?
CERCLA section 101(14), as amended, defines "hazardous substance" by referencing
other environmental statutes, including:
CWA sections 311 and 307(a);
» CAA section 112;
» RCRA section 3001; and
TSCA section 7.
CERCLA section 102(a) also gives EPA authority to designate additional hazardous substances
not listed under the statutory provisions cited above. There are currently about 800 CERCLA
hazardous substances. In addition, there are approximately 1,500 known radionuclides,
approximately 760 of which are listed individually in 40 CFR 302.4, Table 302.4, Appendix B. The
flowchart on page 22 provides more information on release reporting requirements.
17. EPCRA section 304 release reporting requirements apply to CERCLA
hazardous substances and EPCRA extremely hazardous substances (EHSs). What
are EHSs?
The EHS list was first compiled by EPA, and subsequently incorporated into EPCRA, to identify
chemicals that could cause serious irreversible health effects from accidental releases. EHSs are
Listed in 40 CFR Part 355. The flowchart on page 22 provides more information on release
reporting requirements for EHSs.
18. How are EHSs related to CERCLA hazardous substances?
There are currently about 360 EHSs defined under EPCRA section 302; over a third of
them are also CERCLA hazardous substances. Aside from this overlap of listed
substances, CERCLA and EPCRA also have closely related notification requirements when
releases of CERCLA hazardous substances occur.
Notification
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Questions and Answers
19. What are radionuclides and what reporting requirements apply to their
release?
A radionuclide is a type of atom with an unstable nucleus. The atom releases energy
by a process of decay called radioactivity. There are approximately 1,500 known radionuclides.
All radionuclides are hazardous substances because they are designated generically as hazardous
air pollutants by CAA section 112 and CERCLA section 101(14)(E) defines the term "hazardous
substance" to include CAA hazardous air pollutants. Even though the source of their listing is
the CAA, releases of radionuclides to all media — not just to air — are covered by CERCLA's
reporting requirements.
On May 24, 1989, EPA issued a final regulation adjusting the statutory RQ for radionuclides. The
adjusted RQs for radionuclides are in units of curies (Ci), which provide a measure of the amount
of radioactivity emitted by a radionuclide. EPA established the adjusted radionuclide RQs in
units of curies rather than pounds (like the RQs for other hazardous substances) because curies
better reflect the intrinsic hazard posed by radionuclides and because the unit is more commonly
used by people who handle radionuclides. The final radionuclide RQ adjustment rulemaking
establishes seven RQ categories: 0.001, 0.01, 0.1, 1,10, 100, and 1,000 Ci. A total of
approximately 760 radionuclides are listed individually and assigned to one of these RQ
categories. All other radionuclides not listed individually are assigned an RQ of 1 Ci.
20. What are the reporting requirements for discharges of oil?
L
Q I
* I If a discharge of oil reaches waters of the United States, it is reportable to the NRC
-v^HH^J under 40 CFR Part 110, which was established under the authority of the CWA.
Discharges of oil must be reported if they "(c)ause a film or sheen upon or discoloration of the
surface of the water or adjoining shorelines or cause a sludge or emulsion to be deposited
beneath the surface of the water or upon adjoining shorelines." (40 CFR 11Q.3(b))
21, Would disposal of a hazardous substance into a RCRA Subtitle C permitted
facility or interim status facility be reportable?
No. The disposal of hazardous substances into a disposal facility in accordance with
EPA regulations is not subject to CERCLA notification provisions. Where the disposal of wastes
into permitted or interim status facilities is properly documented through the RCRA manifest
system and RCRA regulations are followed, notification under CERCLA does not provide a
significant additional benefit, if the facility is in compliance with all applicable regulations and
permit conditions. For example, if a waste generator or building owner or operator properly
disposes of lamps containing one pound or more of mercury into a RCRA-permitted facility
during a 24-hour period, the generator or owner or operator would not be required to report the
release under CERCLA. Where the person in charge knows that the facility is not in substantial
compliance, that person must report the disposal of an RQ or more of a hazardous substance to
Notification 10
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Questions and Answers
the NRC. Of course, spills and accidents occurring during disposal that result in the release of an
RQ or more of a hazardous substance must also be reported to the NRC.
Hazardous Substances Lists
22. What is the relationship between the hazardous substance lists under the
CWA and under CERCLA?
All CWA hazardous substances are CERCLA hazardous substances (only some
CERCLA hazardous substances are CWA hazardous substances). Table 117.3 in 40 CFR 117.3,
which is entitled "Reportable Quantities of Hazardous Substances," lists substances that were
designated as hazardous under section 311(b){4) of the CWA. Table 117.3 provides the CWA RQs
for the substances.^ Substances designated under this section of the CWA are automatically
CERCLA hazardous substances because CERCLA section 101(14) defines "hazardous substance"
chiefly by reference to lists under other statutes, including CWA section 311(b)(4) (see CERCLA
section 101(14)(A)). Therefore, all of the hazardous substances in Table 117.3 are also in 40 CFR
302.4, Table 302.4, the list of CERCLA hazardous substances. Table 302.4 identifies by the digits
"1" and "2" in the statutory code column those substances listed under sections 311(b)(4) and
307(a) of the CWA, respectively.
~^~ U 23. What is the relationship between CERCLA hazardous substances and the U.S,
*p I Department of Transportation's (DOT) Hazardous Materials Regulations?
* I
-^•^^ CERCLA section 306(a), as amended, requires the DOT to list and regulate as
hazardous materials all CERCLA hazardous substances. Thus, all CERCLA hazardous substances
are covered by the DOT's Hazardous Materials Regulations. The DOT Hazardous Materials
Regulations (see 49 CFR Parts 171 and 172) require that when these materials are shipped in
quantities equal to or greater than their RQs, and are present in a single package, above certain
concentration thresholds (49 CR 171.8), they must be identified as such on shipping papers and
by package markings. See question 47 for more information on concentration cutoffs for RQs-
a
24. Can releases of wastes that are not individually listed as CEECLA hazardous
substances still be subject to CERCLA reporting requirements?
Yes. CERCLA reporting requirements apply not only to all of the substances
individually listed in 40 CFR 302.4, but also to wastes or waste streams exhibiting the
characteristics of ignitability, corrosivity, reactivity, or toxicity under RCRA, The release of a non-
designated substance exhibiting any of these four RCRA characteristics is a release of a hazardous
substance if the substance is a waste prior to release or becomes a waste after release. Under
RCRA regulations, a substance becomes a waste after release if it is not cleaned up or if it is
cleaned up only for eventual disposal.
Notification
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Questions and Answers
Wastes or waste streams exhibiting the characteristics of ignitability, reactivity, or corrosivity have
RQs of 100 pounds. The RQs of wastes or waste streams that exhibit the characteristic of toxicity
have the RQs of the contaminant on which the toxicity characteristics are based.
25. What tests can be used to determine whether a waste exhibits the RCRA
characteristic of toxicity?
In 1990, EPA replaced the extraction procedure test for determining whether wastes
exltibit the toxicity characteristic with the toxicity characteristic leaching procedure (TCLP) (55 FR
11876, March 29,1990). Currently, a waste is considered toxic if an extract obtained from a
sample of the waste using the TCLP contains any of 25 organic constituents listed in the
regulation in concentrations at or above specified levels. Wastes that exhibit the RCRA toxicity
cliaracteristic are automatically RCRA hazardous wastes and, therefore, CERCLA hazardous
substances.
26. The CERCLA list contains generic classes of compounds (e.g., chlorinated
benzenes, phthalate esters, etc.). If a compound is not individually listed but falls
under one of these generic listings, how do CERCLA reporting requirements apply
to it?
To date, the Agency has not established any RQs for the CWA broad generic classes of
compounds that are CERCLA hazardous substances. Therefore, releases of substances that are
not individually listed, but fall within these categories, currently do not have to be reported
under section 103. Releases of these substances that are excluded from reporting requirements,
however, would remain subject to other CERCLA provisions, including liability for cleanup costs,
and natural resource damages.
27. If a company has had its petition to delist a specific RCRA hazardous waste
granted by an EPA-approvcd State RCRA program, and that company releases this
waste in excess of its RQ, is it required to notify the NRC?
Under RCRA regulations, a person may petition to exclude a waste at a particular generating
facility from the list of hazardous wastes. The petitioner must demonstrate that the waste
produced by that facility does not meet any of the criteria under which the waste type was listed
or characterized as hazardous. If granted, the exclusion applies only to the waste generated at
the individual facility covered by the petitioner's demonstration. If the waste "has been shown
not to contain constituents or exhibit characteristics that are considered hazardous under RCRA,"
and does not contain any other listed CERCLA hazardous substance, the exempted waste is not
subject to CERCLA notification requirements.
Notification 12
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Questions and Answers
'_ L 28. Phenylenediatnine (para-isomer) is listed under the CAS number 106503 in
*} I Appendix A to 40 CFR 302.4, Table 302.4. 2-Chloro-l,3-butadiene is listed in the
• I same appendix under CAS number 126998. Neither of these substances is
-mmmmmM represented in the alphabetical listing in Table 302.4. Are these hazardous
substances under CERCLA? If so, what are their respective RQs?
When phenylenediamine (para-isomer) and 2
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Questions and Answers
however, a substance has more than one chemical name listed under these other statutes or
regulations, then: (1) each chemical name will appear as a separate entry in Table 302.4 (as noted
in question 29); and (2) each entry will include the other chemical name(s) (appearing as separate
entries in Table 302.4) for that substance in the "Regulatory Synonym" column.
31. What is the RQ for a PCB aroclor specifically listed in Table 302.4?
Aroclors are listed in two different ways in 40 CFR 302.4, Table 302.4. First, seven
aroclors (Aroclor 1016, Aroclor 1221, Aroclor 1232, Aroclor 1242, Aroclor 1248, Aroclor
1254, and Aroclor 1260) are specifically listed alphabetically (under "A") in Table 302.4. The one-
pound RQs for each of these seven aroclors appear next to this alphabetical listing. Second, these
same seven aroclors are listed beneath the listing of the category "POLYCHLORINATED
BIPHENYLS (PCBs)" in Table 302.4. The one-pound RQs for the seven aroclors, however, have
not been repeated in this second listing. An RQ of one pound has been established, and is listed
in Table 302.4, for the category "POLYCHLORINATED BIPHENTYLS (PCBs)."
32. Are the CWA broad generic categories for which no RQ has been established
subject to other provisions of CERCLA?
Yes. Releases of compounds within these categories, although not reportable under
CERCLA section 103 (unless the compound is listed separately in 40 CFR 302.4, Table 302.4),
would remain subject to response (section 104), abatement (section 106), and liability (section 107)
provisions under CERCLA.
Petroleum Exclusion
33, What is the CERCLA petroleum exclusion?
The term "hazardous substance" is defined in CERCLA section 101(14) to include
substances listed under four other environmental statutes (as well as those designated
under CERCLA section 102(a)). The definition excludes "petroleum, including crude oil or any
fraction thereof," unless specifically listed or designated under CERCLA. See question 34.
34. What substances are specifically excluded front CERCLA regulation by the
petroleum exclusion?
a
LMHMM EPA interprets CERCLA section 101(14) to exclude crude oil and fractions of crude oil
— including the hazardous substances, such as benzene, that are indigenous in those petroleum
substances — from the definition of hazardous substance. Under this interpretation, petroleum
includes hazardous substances that are normally mixed with or added to crude oil or crude oil
fractions during the refining process. This includes indigenous hazardous substances, the levels
of wliich are increased as a normal part of the refining process. However, hazardous substances
that are added to petroleum or that increase in concentration as a result of contamination of the
Notification
14
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Questions and Answers
petroleum during use are not considered part of the petroleum, and are therefore regulated under
CERCLA, For example, releases of oils that have had hazardous substances added to them
subsequent to the petroleum refining process are not excluded from CERCLA regulation. In
addition, some oils are regulated under CERCLA because they are specifically listed. For
example, 40 CFR 302,4, Table 302.4 specifically lists a number of waste oils (e.g., F010, and K048
through K052) and their RQs. If these waste oils are released in quantities equal to or greater
than their RQs, the release must be reported. (See question 20 for CWA requirements for
reporting oil discharges.) The definition of hazardous substance also excludes natural gas, natural
gas liquids, liquified natural gas, and synthetic gas usable for fuel.
35. Does blended (oxygenated) gasoline fall within the scope of the CERCLA
petroleum exclusion?
Historically, the Agency has interpreted the CERCLA section 101(14) petroleum
exclusion to cover crude oil and the crude oil constituents that are indigenous to the petroleum
(e.g., xylene), or that are normally mixed with or added to crude oil or crude oil fractions during
the refining process (e.g., tetraethyl lead). On August 12, 19R3, EPA's Office of General Counsel
(OGC) issued a memorandum indicating that gasoline blended during the refining process is
within the scope of the petroleum exclusion. In particular, the 1983 OGC memo stated that
"[b]ecause virtually all of the gasoline which is sold as motor transportation fuel is blended
gasoline rather than raw gasoline, a reasonable interpretation of the petroleum exemption is that
it applies to the blended gasoline product as well as raw gasoline." Under this interpretation,
oxygenated gasoline, which may involve the blending of a CERCLA hazardous substance into
gasoline, whether the blending takes place at a refinery or a terminal, would fall within the
petroleum exclusion. Therefore, the blended gasoline would not be a hazardous substance and
would not be subject to CERCLA reporting, response, or liability requirements.
36. Are mineral spirits considered petroleum derivatives and therefore excluded
from the CERCLA definition of hazardous substance?
In most cases, yes. CERCLA section 101(14) specifically excludes petroleum from the
definition of hazardous substance, consequently petroleum releases are not subject to CERCLA
reporting and liability provisions. As mentioned in question 33, the petroleum exclusion includes
"crude oil or any fraction" of petroieum unless the fraction is specifically listed or designated
under the statute.
Mineral spirits, also known as Stoddard solvent, naphtha, or white spirits, are usually derived
from refined petroleum distillates from the light end of crude oil but could possibly be derived
from coal. Mineral spirits that are distilled from petroleum are considered petroleum for the
purpose of CERCLA section 101(14) and, therefore, are excluded from the definition of hazardous
substance.
Mineral spirits often contain substances, such as toluene, that are CERCLA hazardous substances.
If these substances are present naturally or are added to petroleum-derived mineral spirits in the
15 Notification
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Questions and Answers
normal refining process, then they would be excluded as petroleum. However, hazardous
substances added to mineral spirits outside the refining process, or that increase in concentration
solely as a result of contamination during use, are not part of the "petroleum" and, thus, are not
excluded from CERCLA regulation. In such cases, EPA may respond to releases of the added
substance, but not the mineral spirits.
There are circumstances in which mineral spirits could be regulated as a hazardous substance.
For instance, coal-derived mineral spirits would not qualify for the petroleum exclusion and
potentially could be regulated as a hazardous substance. In addition, the exclusion would not
apply if the mineral spirits were "specifically listed or designated" under one of the statutory
provisions cited in section 101(14) of CERCLA.
Mixture Rule
37. How are mixtures of hazardous substances (other than radionuclides) reported?
EPA issued the "mixture rule" (40 CFR 302.6(b)), developed in connection with CWA
section 311 regulations, as a method for determining when to report releases of
mixtures or solutions. Under the mixture rule, if the quantities (or concentrations) of all the
hazardous constituents of the waste stream are known, notification is required only where an RQ
or more of any hazardous constituent is released. However, if the quantity of one or more of the
hazardous constituents of the waste is not known, notification is required where the total amount
of the waste released equals or exceeds the RQ for the hazardous constituent with the lowest RQ
(i.e., the RQ for the waste stream). See questions 41 and 42 for information on how radionuclides
are reported. Exhibit 1 provides several scenarios that show how the mixture rule works.
38. Where there are several waste streams with the same identification number, is
it sufficient to know the average quantities, or the maximum observed quantity, of
hazardous constituents of the waste streams in order to apply the mixture rule to all
of them?
No. The mixture rule provision applies only to the particular waste stream for which the
quantities of all the hazardous constituents are known. Thus, knowledge that the average
quantities of hazardous constituents — or the maximum observed quantity in a waste stream
with the same identification number — are below their respective hazardous constituent RQs is
not a sufficient basis for applying the mixture rule to all waste streams with that identification
number. In such a case, the provision could be applied only to the individual waste streams for
which the quantities of hazardous constituents are known.
39. Are facilities required to determine the quantities or concentrations of
hazardous constituents released within a waste stream that is listed under
CERCLA?
No. The determination of the exact quantities of hazardous substances released in a mixture,
solution, or waste stream may be difficult; such a determination is not required by CERCLA.
Potential releasers may choose instead, as provided by 40 CFR 302.6(b), to report waste stream
releases when the total amount of the waste stream released equals or exceeds the RQ listed for
Notification 16
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Questions and Answers
EXHIBIT l
Mixture Rule Scenarios
1) Lead metal (10-pound RQ) is the hazardous constituent with the lowest RQ in
a waste stream. The quantity of lead in the waste stream is not known. When
would this release be reportable?
Because the quantity of lead in Hie waste stream is not known, reporting would
be required where the amount of the waste stream released is 10 pounds or
more.
2) A D001 waste is composed of 50% acetone (listed with an RQ of 5,000 pounds)
and 50% tert-butylamine (listed with an RQ of 1,000 pounds). One 55-gallon
drum spills to the soil. Is this release reportable?
The concentration of both hazardous constituents (acetone and tert-butylamine)
in this particular waste is known. Thus, under the mixture rule, notification
would be required only where an RQ or more of the constituents of the waste,
acetone or tert-butylamine, is released. In this 55-gallon release scenario, based
on the volume and density of the constituents, roughly 200 pounds of each
hazardous constituent would be spilled; consequently, neither the 5,000-pound
RQ for acetone nor the 1,000-pound RQ for tert-butylamine would be met or
exceeded. Therefore, under the mixture rule, tliis spill would not be reportable
under CERCLA.
3) 4,000 pounds of a D001 waste is released to the soil. 400 pounds of the waste
is acetone (with a 5,000-pound RQ). The remaining 3,600 pounds is comprised
of tert-butylamine (with a 1,000- pound RQ) and kerosene (not specifically
listed), but in unknown proportions. Is the release reportable?
First, the waste is not reportable by virtue of its acetone content because the 400
pounds of acetone in the waste is less than its 5,000-pound RQ. The remaining
3,600 pounds of the waste is a mixture of tert-butylamine and kerosene.
Kerosene is a petroleum fraction and is "not otherwise specifically listed or
designated as a hazardous substance." Thus, under the CERCLA petroleum
exclusion (see questions 33, 34, and 35), the kerosene component of the waste
also is not reportable. Finally, because the exact quantity of tert-butylamine is
unknown, but the quantity of the mixture of tert-butylamine and kerosene (3,600
pounds) js known and exceeds the RQ for tert-butylamine (1,000 pounds),
according to the mixture rule, the facility must report a release of tert-butylamine
to the NRC and to State and local authorities.
the waste stream constituent with the lowest RQ.
77 Notification
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Questions and Answers
40. In determining whether an RQ has been released, are the quantities of
different hazardous constituents additive under the mixture rule?
No. RQs of different substances are not additive under the mixture rule; releasing a
mixture containing half an RQ of one hazardous substance (other than radionudides) and half an
RQ of another hazardous substance does not require a report.
L 41. How are mixtures of radionuclides reported if the composition of the mixture
^31 I is known?
« I
biMwii The requirements for reporting mixtures of radionuclides depend on whether the
composition of the mixture is known or unknown. If the identity and quantity (in curies) of each
radionudide involved in a release 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 NRC.
a
42. How are mixtures of radionudides reported if the composition of the mixture
is unknown?
If the composition of the radionudide mixture is unknown, there are two main
possibilities: (1) the identity of the radionuclides is known but the quantities of one or more of
the radionudides released are not; or (2) the identity of one or more 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
radionudides unknown), the release must be reported if the total 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. Exhibit 2 provides the RQs for four common
radionuclide mixtures.
Notification W
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Questions and Answers
Reportable
For convenience, EPA
radionudide mixtures
EXHIBIT 2
Quantities for Four Common Radionuclide Mixtures
has used the mixture rule to calculate the RQs for four common
Radionuclide
Radium-226 in secular equilibrium with its daughters
Natural uranium
Natural uranium in
secular equilibrium with its daughters
Thorium-232 in secular equilibrium with its daughters
RQ
0.053 Ci
0.1 Ci
0.052 Ci
0.011 Ci
19
Notification
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Questions and Answers
What Are RQ Levels?
43. How many RQ levels are there for CERCLA hazardous substances?
For purposes of establishing RQ adjustments under CERCLA, EPA has adopted the
five RQ levels of 1,10,100,1,000, and 5,000 pounds originally established pursuant to
CWA section 311 (40 CFR Part 117), The Agency adopted the CWA five-level system primarily
because; (1) it had been successfully used for the CWA; (2) the regulated community was already
familiar with these five levels; and (3) it provides a relatively high degree of discrimination
among the potential hazards posed by different CERCLA hazardous substances.
There are seven RQ levels for radionudides: 0.001, 0.01,0.1,1,10,100, and 1,000 Ci. See
question 19 for more information on radkmuelide reporting requirements.
Notification 20
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Questions and Answers
What Constitutes a Release Under CERCLA?
44. How is the term "release" defined?
CERCLA section 101(22) defines "release" as any "...spilling, leaking, pumping/,
pouring, emitting, emptying, discharging, injecting, escaping, leaching, dumping, ori _
disposing into the environment (including the abandonment or discarding of barrels, containers,
and other closed receptacles containing any hazardous substance or pollutant or contaminant)..-"
The flowchart on page 22 summarizes reporting requirements under CERCLA section 103 and
EPCRA section 304.
45, How is the term "environment" defined?
CERCLA section 101(8) defines "environment" as "(A) the navigable waters, the waters
of the contiguous zone, and the ocean waters of which the natural resources are under
the exclusive management authority of the United States under the Fishery Conservation and
Management Act of 1976, and (B) any other surface water, ground water, drinking water supply,
land surface or subsurface strata, or ambient air within the United States or under the jurisdiction
of the United States."
46. Over what time period must an RQ of a hazardous substance be released for
that release to be reportable?
EPA has stated that the period during which the person in charge must measure
whether an RQ or more has been released is 24 hours (50 £R 13463, April 4,1985). Reporting
must occur immediately upon knowledge of the release.
47, Is there a concentration cutoff below which it is not necessary to report a
release, even though an RQ might have been exceeded over a 24-hour period?
No. There are no concentration cutoffs for the RQs (i.e., a lower-bound concentration
below which reporting would not be required). Unless permitted or exempted, the release of an
RQ or more of a hazardous substance must be reported, regardless of the concentration of the
substance released. Notification of releases of hazardous substances that equal or exceed an RQ,
even those with relatively low concentrations, is mandated by CERCLA and EPA believes that
such reports are essential to allow government personnel to decide whether a response action is
necessary to protect public health or welfare or the environment.
21 Notification
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Questions and Answers
REPORTING REQUIREMENTS FOR RELEASES OF SUBSTANCES (CEHC1.A SEC. 113 AND EPCRA SEC. 3W)
(') CF-RCtiA
f 8itfiliinji
* CEXCLA hrurtom lubODion include time
- Reared to by CE«CLA 101(14)
- Luud to T»bie 302^» of 40 CFR302U
* Defmod M RCRA 'dur»aa-ijtic- hii**xil
(40CFR26U1-24)
• CERCLA luaavdout •utxuncoi esclode petroleum
(union qncitkally luted wder CERCLA 101(14)) md
AppauUm A iad B to 40 CTR pm 355
f» tm« «gciwiM. aruin ouclwtr uxidmu, or
BemuJ ippliaujoc of fortitur (40 CFR 302.3}
• CarUin lolid m«uli in p«TitlM 1«1« Ifuui 100
BlcrcBuurt (40 CFR 30C.6(d))
» A K»-friibl» farm of mlx*t* (40 CFK 3014)
• A refaumS peKicide wed ~n Kcortkac* widi iu
perpoM (40 CFR 302.6<.))
• A bvOdmg or uQflDcto«d omtainjcent isrucxUfB, if
* Certain rwf tccudide iouroet (e.|.» corae eo«} ia4 cod
*e (excc0 vesseli)
(40 CFK 302.3)
(4) Fjyff^pu
* A penning or Isloia ttxlui RCRA f«a»y, if property
dtapoud t/ «t ttic facility
(S) S« CERC1A 101(10), 40 CFB 302.6(iX
(7} tUporubls quaotitici (RQi) >rt U««l n T.bK 3024 of 4O
CFK 302,4. Under the mixture rule, if the qvmtity of ill the
tiazftfdau* conxticuariu of * mixture • known, aotificatkxi if
required Suut m«tncy or fue OJtr&tt't office)
• Local emertency planning oommltme (LEPC) (v«na by
balky; identify thmu^i local fine depemen or SKRC)
If AeraleHe i» in EPA-recofniiad oontinuou* reletie,
nduoed rerxirUBf requiramenti apply (40 CFK TO 8.
355.40).
Notification
22
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Questions and Answers
48. 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 or
valves), are multiple reports required?
All releases of the same substance from a single facility should be aggregated to determine
whether an RQ has been released from the facility into the environment. However, there may be
a case where releases occurring at different facilities at a single contiguous plant or installation on
contiguous grounds under common ownership cannot be aggregated to determine if an RQ has
been released. If the release from each facility was greater than or equal to an RQ, multiple
reports would be required. However, these reports may be made in a single call to the NRC.
The definition of "facility" under CERCLA section 101(9) is key to an evaluation of CERCLA
reporting requirements. For example, as applied to the use of ethylene glycol during aircraft de-
icing, there may be releases occurring at different facilities but at a single contiguous plant or
installation on contiguous grounds under common ownership. The facility arguably may include
the truck applying the de-icer, the aircraft to which the de-icer is applied, the entire airport,
and/or other entities, depending on individual circumstances. Exhibit 3 provides scenarios on
aggregated releases.
49, Is the release of an RQ or more of a CERCLA hazardous substance in an
encapsulated form reportable?
The term "release" is defined in CERCLA section 101(22) as 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 containing any hazardous substance or pollutant or contaminant)..." (emphasis
added). Therefore, even if the CERCLA hazardous substance is in encapsulated form, or is
otherwise in a closed receptacle, reporting is required when the closed receptacles are abandoned
or discarded and the amount of a CERCLA hazardous substance contained within the released
material equals or exceeds an RQ. The legislative history makes it clear that the definition applies
even to receptacles that have not broken open and are not leaking hazardous substances. Exhibit
4 provides an example of a reporting scenario for encapsulated releases.
50. If a facility is in the process of removing old light ballasts containing PCBs,
would CERCLA reporting be required any time one pound of PCB has been moved
in a 24-hour period? Would the same interpretation hold if the objects being
moved were mercury-containing lamps?
As defined in CERCLA section 101(22), the term "release" encompasses (among other tilings)
"...the abandonment or discarding of barrels, containers, and other closed receptacles containing
any hazardous substance..." Because light bulbs and light ballasts may contain mercury, PCBs, or
other CERCLA hazardous substances, the abandonment or discarding of such closed containers
could constitute a release under CERCLA, depending upon what happened to the containers after
they were moved. The moving of one pound or more of PCBs (the RQ for PCBs is one pound)
contained in light ballasts could, if the ballasts were then abandoned or discarded, constitute a
23 Notification
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Questions and Answers
EXHIBIT 3
Scenarios on Aggregated Releases
1) A facility releases nine pounds of a hazardous substance with an RQ of 10
pounds. Later that day, the facility releases two more pounds of the same ,;
substance. Should the person in charge notify the NRC?
k'
Yes. Ail releases of the same hazardous substance from the same facility "''•"
occurring within the same 24-hour period must be aggregated to determine if an
RQ has been equalled or exceeded within that period (50 JFR 13459).
2) A facility releases one-half of an RQ of a hazardous substance in gaseous form
each day and releases three-fourths of an RQ of the same substance in liquid
form each day. Should the person in charge notify?
Yes. AIJ concurrent releases of the same hazardous substance from the same
facility into the environment must be aggregated to determine if an amount equal
to or greater than an RQ has been released (50 FR 13459). (See questions 57 and
58 for a discussion of reduced reporting requirements for continuous releases.)
EXHIBIT 4
Reporting Scenario for Encapsulated Releases
Polychlorinated biphenyls (PCBs), a component of certain fluorescent light ballasts,
are listed as a CERCLA hazardous substance in Table 302.4, and have a one-pound
RQ. Would the spilling of PCB-containing light ballasts constitute a release?
The spilling of the light ballasts would be considered a "release" under CERCLA
section 101(22) if an "abandonment or discarding of barrels, containers, and other
closed receptacles containing any hazardous substance or pollutant or contaminant,"
occurred. Therefore, under CERCLA section 103, persons in charge of facilities that
spill and ultimately abandon or discard fluorescent light ballasts would be required to
notify the NRC if the amount of PCBs contained in the released ballasts equals or
exceeds one pound. See Lighting Waste Disposal (EPA 420-R-94-004, March 1994).
release that must be reported to the NRC. If hazardous substance-containing ballasts, lamps, or
both are moved without being abandoned or discarded, no release has occurred. The
determination of whether "abandonment or discarding" has occurred should be made by the
facility or other persons handling the ballasts or bulbs on a case-by-case basis, considering the
circumstances of activity. A common sense approach should be used in making this
determination. For example, if PCB-containing ballasts are moved from one place to another
Notification
24
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Qu9$tion$ and Answen
place in the environment prior to being transported off-site for disposal, this generally would not
constitute a release because the ballasts were not abandoned or discarded. See also Exhibit 4,
51. Are releases of a pollutant into a POTW, when the pollutant is specified in
and In compliance with the pretreatment standards of the CWA, subject to CERCLA
section 103{a) reporting requirements?
No. The introduction of any pollutant into a POTW, when the pollutant is specified in and in
compliance with applicable pretreatment standards of CWA section 307(b) or (c) — and
enforceable requirements in a pretreatment program submitted by a State or municipality for
federal approval under CWA section 402 — is a "federally permitted release" under CERCLA
section 101(10)0). Such releases are exempt from CERCLA section 103(a) reporting requirements.
25 Notification
i
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Questions and Answers
What Releases Are Excluded From CERCLA Reporting?
Exemptions
52. If a metal is released in solid form at or above its RQ, Is it considered a
reportable release?
The Agency allows a reporting exception for massive forms of certain solid metals
(antimony, arsenic, beryllium, cadmium, chromium, copper, lead, nickel, selenium, silver,
thallium, and zinc) when the diameter of the released metal equals or exceeds 100 micrometers
(0.004 inches) (50 FR 13461, April 4,1985). The Agency deliberately set the cutoff size 10 times
larger than the maximum size considered by EPA to be respirable dust to ensure that the
government would be notified of releases containing small, inhalable particles of metals.
53. Are certain types of releases specifically excluded from reporting requirements
under CERCLA?
Exclusions from Definition of "Release"
CERCLA section 101(22) specifically excludes from the definition of release:
* Any release which results in exposure to persons solely within a workplace;
• Emissions from the engine exhaust of a motor vehicle, rolling stock, aircraft, vessel, or
pipeline pumping station engine;
» Certain releases of source, byproduct, or special nuclear material from a nuclear
incident; and
• Normal application of fertilizers.
Exclusion from Definition of "Facility"
The definition of facility under CERCLA section 101(9) specifically excludes consumer products in
consumer use. Releases from such products, therefore, are excluded from CERCLA reporting
requirements. See question 5.
Other Reporting Exemptions
Section 103 of CERCLA also exempts from CERCLA reporting requirements:
» 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;
• Release of a substance that is required to be reported (or exempted from reporting)
under RCRA Subtitle C and has already been reported to the NRC under the Subtitle
C regulations; and
Notification 26
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Questions and Answers
• Federally permitted releases (these are also exempted from liability). See question 56
for further discussion of federally pernutted releases.
Administrative Reporting Exemptions
Additionally, in a final rule to adjust the RQs for radionuclides (54 PR 22524), the Agency
established administrative reporting exemptions from CERCLA section 103 and EPCRA section
304 reporting requirements for four categories of radionuclide releases. Specifically, the Agency
exempted:
» Releases of naturally occurring radionuclides from large generally undisturbed land
holdings, such as golf courses and parks;
• Releases of radionuclides naturally occurring from the disturbance of large areas of
land for purposes other than mining, such as farming or building construction;
• Releases of radionuclides from the dumping of coal and coal ash at utility and
industrial facilities with coal-fired boilers; and
• Radionuclide releases to all media from coal and coal ash piles at utility and
industrial facilities with coal-fired boilers.
The exemptions apply to reporting only; CERCLA liability provisions continue to apply.
The U.S. Court of Appeals, in The Fertilizer Institute v. United States Environmental Protection
Agency, 935 F.2d 1303 (D.C. Cir. 1991), ruled that the administrative reporting exemptions
contained in the radionuclide RQ adjustment final rule were improperly established because EPA
failed to provide adequate notice of, and opportunity for public comment on, those exemptions.
However, the Court left the four exemptions in place while the Agency undertakes a new round
of notice and comment rulemaking. The Agency provided notice and an opportunity for
comment on the four exemptions in a November 30, 1992 proposed rule (57 PR 56726) and is
continuing to evaluate issues related to this topic.
54. Are any releases (in addition to the administratively exempted releases
identified in question 53) specifically excluded from reporting requirements under
EPCRA section 304?
EPCRA section 304 exempts from State and local reporting releases that result in exposure to
persons solely within the site or sites on wliich a facility is located. EPCRA defines "facility"
differently from CERCLA. EPCRA defines "facility" as "...all buildings, equipment, structures, and
other stationary items which are located on a single site or on contiguous or adjacent sites and
wliich are owned or operated by the same person (or by any person which controls, is controlled
by, or under common control with, such person). For purposes of section 304, the term includes
motor vehicles, rolling stock, and aircraft..."
27 Notification
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Questions and Answers
55. If a pesticide registered under FIFRA is accidentally spilled, must It be
reported?
Yes. Accidents, spills, improper application, and improper disposal are within the
scope of the release notification provisions of CERCLA and must be reported. EPA's
interpretation of the pesticide exemption in CERCLA section 103 covers only the normal
application of registered pesticides in ways that are consistent with the pesticides' purpose (50 FR
13464, April 4,1985).
Federally Permitted Releases
56. What is the scope of the federally permitted release exemption?
CERCLA section 101(10) defines federally permitted releases in terms of releases
permitted under a number of other environmental statutes. Releases that are federally
permitted are exempt not only from CERCLA section 103 and EPCRA section 304 notification
requirements, but from CERCLA liability as well,
EPA proposed regulations to clarify the scope of the federally permitted release exemption on
July 19,1988 (53 PR 27268). Subsequently, the Agency published a Supplemental Notice of
Proposed Rulemaking to the federally permitted releases proposed rule on July 11,1989 (54 FR
29306), providing additional information to clarify the section 101(10)(H) exemption for air
releases. Currently, a particular facility or vessel must determine, based on the language of
CERCLA section 101(10), whether its release is federally permitted. Exhibit 5 provides several
scenarios involving federally permitted releases.
In the proposed regulations, EPA interprets the CERCLA section 101(10)(H) "federally permitted
release" exemption for air releases to include only those releases that occur in compliance with
control regulations or existing federal permits for the facility where the release occurs.
Notification 28
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n
Questions and Answers
EXHIBITS
Scenarios Involving Federally Permitted Releases
1) A CERCLA hazardous substance is released to water at a facility that has a
NPDES permit, under what circumstances would the release be exempt from
reporting as a federally permitted release?
The federally permitted release exemption would apply in this scenario if: (1)
The source, nature, and amount of the potential release had been identified and
made part of the public record during the permitting process, and (2) The permit
contains a condition requiring that the treatment system be capable of
eliminating or abating the potential release,
2) A CERCLA hazardous substance is released to water at a facility that is an
indirect discharger, and the release is made through a municipal sewer system
and publicly owned treatment works (POTW), under what circumstances
would the release be exempt from reporting as a federally permitted release?
The federally permitted release exemption would apply in this scenario if the
release is: (1) In compliance with applicable categorical pretreatment standards
and local limits, and (2) Into a POTW with an approved local pretreatment
program or a State-administered local program.
3) A facility with a Clean Air Act (CAA) permit to release 30 pounds of a
hazardous substance releases 100 pounds of the substance. The hazardous
substance has an RQ of 100 pounds. Does the facility have to report to the
NRC?
No. A release of a hazardous substance beyond the permit limit is not a
"federally permitted release." Reporting to the NRC is required when the release
of the hazardous substance exceeds its permitted level by an RQ or more. But, in
this scenario, the air release exceeds the CAA-permitted level by 70 pounds.
Because the RQ is 100 pounds, no report to the NRC is required. However, if the
facility in this scenario releases an additonal 30 or more pounds of the same
substance into any environmental media within 24 hours of the first release, the
person in charge must notify the NRC because the permitted level has now been
exceeded by 100 pounds. (See Exhibit 3 for more information on aggregating
releases of an RQ and appropriate time periods.)
29
Notification
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Questions and Answers
How Are Continuous Releases Reported?
L 57. What is the purpose of the continuous release reporting option?
*? I
* I CERCLA section 103(f)(2) provides a reduced reporting requirement for continuous
-MMMMJ releases of hazardous substances that exceed the RQ. These releases must be
"continuous" and "stable in quantity and rate," Notification of continuous releases that equal or
exceed the RQ need only be given once, with one follow-up report on the first anniversary of the
initial report. Thereafter only "statistically significant increases" need be reported.
58, What is a continuous release?
L
->|
* I On July 24, 1990 (55 FR 30166), EPA issued a final rule interpreting the provisions of
•«••••• the continuous release reporting requirements of CERCLA section 103(f)(2). In this
regulation, EPA interpreted "continuous" to mean a release that occurs without interruption or
abatement or that is routine, anticipated, and intermittent during normal operations or treatment
processes (55 FR 30169). EPA interpreted the phrase "stable in quantity and rate" to mean
predictable and regular in amount and rate of emission. Exhibits 6 and 7 provide information on
reporting requirements for continuous releases.
The person in charge must make additional notifications if there is a change in the source or
composition of the release, a change in the normal range of the release, or a change in other
reported information. A change in the source or composition of the release is considered to be a
new release and must be reported as such.
Notification 30
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Questions and Answers
EXHIBIT 6
Reporting Requirements for Continuous Releases
The reporting requirements for continuous releases are as follows:
» Prior to notification, the person in charge of the facility or vessel must establish
that release data, engineering estimates, knowledge of operating procedures, or
professional judgment support the conclusion that a particular release is
continuous and stable in quantity and rate.
* The person in charge must then make an initial report by telephone to the NRC,
the SERC, and the LEPC.
» Within 30 days of the initial notification, the person in charge must make a
written notification of the release to the appropriate EPA Regional Office
specifying, among other things, the name/identity of the substance being
released, the quantity, frequency, and source of the release, and the
environmental media affected.
* Within 30 days of the first anniversary date of the initial written notification, the
person in charge must evaluate each continuous hazardous substance release
report to verify and update the information submitted in the initial written
notification.
59. What is a statistically significant increase?
EPA defines a statistically significant increase as any release of a hazardous substance
that exceeds the upper bound of the reported normal range of a continuous release.
The normal range is defined to include all the releases (in pounds, kilograms, or curies) of a
hazardous substance reported or occurring over any 24-hour period under normal operating
conditions (that is, normal conditions that prevail during the period establishing the continuity,
quantity, and regularity of the release) during the preceding year.
The definition, therefore, does not include releases within the reported normal range of the
release. The Agency considers any release that exceeds the reported normal range to be
statistically significant because the normal range is established based on a set of Itistorical data
representing all releases reported or occurring during normal operations over the previous year.
(See 55 FR 30177, July 24,1990.)
When the quantity released exceeds the upper-bound of the established normal range, this release
must be reported to the NRC as a statistically significant increase. If several releases exceed the
upper-bound of the range, the person in charge may modify the normal range by informing the
31
Notification
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Questions and Answers
EXHIBIT?
Additional Detail on Continuous Release Reporting
How does a facility qualify a release as continuous for reporting purposes?
CERCLA section 103(f)(2), on continuous release reporting, requires reporting to the
NRC "for a period sufficient to establish the continuity, quantity, and regularity of the
release." Under EPA policy, the person in charge of the facility may make the
determination of what the appropriate period is for the continuous release at issue.
Once the person in charge determines that the release qualifies as a continuous
release, he or she is no longer required to report to the NRC each day that an RQ is
equalled or exceeded. The person in charge must, however, keep a record of each
release at or above the RQ that occurs at the facility. Having established the release as
a continuous release, the facility then must follow the reporting requirements
delineated in Exhibit 6.
NRC of the change in the range at that time. The person in charge must then submit, within 30
days, a written notification to the EPA Regional Office describing the new normal range ahd^
reasons for the change. If there is a change in other reported information, the person in charge
must submit written notification to the EPA Regional Office within 30 days of determining that
the information submitted previously is no longer valid.
Notification
32
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Questions and Answers
What Is the Relationship Between Liability and Reporting?
60. Once a facility properly notifies the NRC, is it exempted from any liability for
damages that the release may cause?
No. Proper and timely reporting of a release in accordance with CERCLA section 103
does not preclude liability for cleanup costs, natural resource damages, and costs of any necessary
health studies conducted under CERCLA section 104(i). It does, however, eliminate potential
penalties for failure to notify the NRC.
61. If a facility releases a hazardous substance below its RQ level, could it be
liable for damages caused by the release?
Yes. A release of a CERCLA hazardous substance below its RQ does not preclude
liability from any damages that may result, including the costs of cleaning up that release or for
any natural resource damages, should such costs be determined to be appropriate under CERCLA
or any other applicable law.
62. What are the penalties for failure to report a release?
Failure to comply with the CERCLA section 103 notification requirements may result
in fines, per offense, of up to $500,000 and prison sentences of up to three years (or up
to five years for second and subsequent convictions) (see 18 U-S.C. 3571). A person in charge of a
vessel or facility with knowledge of a reportable release who fails to report the release
immediately, or who submits information that he or she knows is false and misleading, is subject
to these penalties. Section 325(b) of EPCRA establishes criminal penalties, per offense, of up to
$25,000 and prison sentences of up to two years (or up to $50,000 and five years for second and
subsequent convictions) for violations of EPCRA section 304 notification requirements.
CERCLA section 109 and EPCRA section 325 also authorize administrative penalties enforced
through civil proceedings. There are two classes of administrative penalties: Class I penalties of
up to $25,000 per violation and Class II penalties, which are assessed according to section 554 of
the Administrative Procedure Act (which requires a formal hearing), of up to $25,000 per day of a
continuing violation, or $75,000 per day for subsequent violations. The Agency may also impose
Class II penalties by bringing action in the appropriate U.S. district court.
33 Notification
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Questions and Answers
Reportoble Quantity Adjustments
How Does the RQ Adjustment Methodology Work?
63. What properties of CERCLA hazardous substances are evaluated for purposes
of adjusting the RQs for these substances?
The Agency evaluates the properties of hazardous substances (other than
radionuclides) in a two-step process:
Step _1: Primary Criteria
RQ adjustment begins with an evaluation of the intrinsic physical, chemical, and toxicological
properties of each substance. These intrinsic properties — called "primary criteria" — are aquatic
toxicity, acute mammalian toxicity (oral, dermal, and inhalation), ignitability, reactivity, chronic
toxicity, and potential carcinogenicity. EPA ranks hazardous substances for each intrinsic
property (except potential carcinogenicity) on a five-tier scale, associating a specific range of
values on each scale with a particular RQ value, from one to 5,000 pounds. For hazardous
substances evaluated for potential carcinogenicity, each substance is assigned a hazard ranking of
"high," "medium," or "low," corresponding to RQ levels of 1,10, and 100 pounds, respectively.
Bach substance receives several tentative RQ values based on its particular intrinsic properties —
the lowest of all the tentative RQs becomes the "primary criteria RQ" for that substance. (See
question 64 for radionucUdes.)
Step 2: Secondary Criteria
After the primary criteria RQs are assigned, substances are further evaluated for their
susceptibility to certain degradative processes, which are used as secondary adjustment criteria.
These natural degradative processes are biodegradation, hydrolysis, and photolysis (BHP). In
general, if a hazardous substance degrades relatively rapidly in the environment to a less
hazardous form by one or more of the BHP processes, its primary criteria RQ is raised one level.
Conversely, if a hazardous substance degrades to a more hazardous product after its release, the
original substance is assigned an RQ equal to the RQ for the more hazardous substance.
EPA has proposed (54 FR 35988, August 30,1989) that substances be further evaluated after
hazardous substances are evaluated for the primary and secondary criteria by applying the
EPCRA section 302 methodology for developing threshold planning quantities (TPQs). First, the
screening criteria used to identify EHSs (51 FR 41570, November 17,1986) would be applied to
the hazardous substances being evaluated. Second, a level of concern would be established for
each hazardous substance that meets the screening criteria. Third, the dispersion potential of
each of these hazardous substances would be assessed by considering its physical state and
volatility. The level of concern and dispersion potential would be combined to produce an index
value, and the screened substances would be ranked according to this index value. Tentative RQs
would be assigned to substances using a table of index value ranges. If the tentative RQ assigned
Repoftable Quantity Adjustments 34
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Questions and Answers
in this way is Iowa- than the primary and (if applicable) secondary criteria RQ, this tentative RQ
resulting from application of the TPQ criteria would become the adjusted RQ. Until the addition
of the TPQ methodology to the existing RQ methodology is finalized, however, RQs will continue
to be adjusted according to the original RQ adjustment methodology.
64. How were the RQs for radionuclides determined?
*
* I RQs for radionuclides were determined by estimating the quantity of a radionuclide
•^•••Jl that, if released into the environment under an assumed set of conditions, could result
in an individual receiving a specified dose of radioactivity. To estimate this quantity for each
radionuclide, a series of hypothetical (but conservative) exposure scenarios were analyzed to link
a quantity released with an accepted dose level.
Specifically, hypothetical releases and exposures were analyzed for four different routes of
exposure: inhalation, ingestion of water, ingestion of food, and direct exposure. For each
exposure pathway, a "release value" was calculated for 757 radionuclides for which human health
data and intake limits have been published. The Agency selected the lowest of the four values
for each specific radionuclide. This lowest release value was then rounded down to the nearest
decade to determine the RQ for that radionuclide. AH radionuclides that do not have published
intake limits have been assigned an RQ of 1 Ci. Available information on these radionuclides is
insufficient to develop a specific RQ for individual radionuclides in this group. An RQ of 1 Ci
was selected because it is the middle RQ category for radionuclides, and the majority of
radionuclides (91 percent) examined individually have RQs at least at this level.
35 Reportable Quantity Adjustment*
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Questions and Answers
What Is the Purpose of RQ Adjustments?
65. Why adjust the CERCLA statutory RQs?
1 L
** I
* I Statutory RQs are often those set provisionally by Congress (usually at one pound),
-MMM*! pending detailed scientific analysis by EPA and adjustment through notice and
comment rulemaking. They often do not reflect the relative hazard posed to public health and
the environment. By adjusting the RQs, the Agency is able to focus its resources on those releases
tiiat are more likely to pose potential threats to public health or welfare or the environment while
relieving the regulated community and government emergency response personnel from the
burden of making and responding to reports of releases that are less likely to pose such threats,
66. Why adjust the RQs of substances assigned RQs under CWA section 311?
EPA decided to adjust the statutory RQs of CERCLA hazardous substances that are
also CWA hazardous substances to make notification requirements for these
substances consistent and less confusing for the regulated community. By making the CWA and
CERCLA RQs the same, the Agency sought to avoid confusion regarding reporting requirements
(50 FR 13473, April 4, 1985).
Reportable Quantity Adjustments 36
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Questions and Answers
SUBJECT INDEX
Subject Question Number(s)
Aggregate releases 48
Aroclor 31, 49, 50
Ballasts, light , , 49, 50
Carcinogenic! ty , 63
Clean Water Act (CWA) 10, 16, 20, 22, 32,
34, 37, 43, 66
Coast Guard, United States (USCG) 10
Consumer products . 5, 53
Continuous release 9, 57, 5H
Economic effects ....... 67
Encapsulated materials 49
Environment , 45
Extremely hazardous substances (EHSs)
definition 17, IB
reporting , 3, H, 11, 12
Facility
definition 5, 6, 53
liability 60, 61, 62
reporting . 1, 3, 4, 7, H, 11,12,
13,20,21,48,53
Federal facility 15
Federally permitted release
definition 5ft
Gasoline 35
Generic classes of compounds 26
Hazardous air pollutants 19
Hazardous substances
definition 16, 17, 1H
exclusions . 33, 34, 35, 36
lists •. . 22 - 32
reporting 1, 3, 4, 5, 10, 11,
12, 13, 21
Ignitability, corrosivity, and reactivity (1CR) 24, 63
37 Subject Index
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Page 38 Questions and Answers
SUBJECT INDEX
(continued)
Subject Question Numberfe)
Lamps, lights , . , 49, 50
Local authorities (local emergency planning
committee (LEPC)) 3,12,13
i
Mercury 49,50
Metals 52
t Mineral spirits 36
Mixtures 37, 38, 39, 40, 41,
42
» National Response Center (NRC)
11 notification 7, 9, 10, 13, 20, 27,
, 41,48
" telephone number 1
I Oil
oil sheen , 20
4 petroleum exclusion 33, 34, 35, 36
1 On-scene coordinator (OSC) 10
Owner or operator
definition .4
reporting 3, 8, 11
PCBs . , 31, 49, 50
Penalties 62
Person in charge
definition 2
penalties 62
reporting 1, 10, 13
Pesticides (Federal Insecticide, Fungicide, and
Rodenticide Act (FIFRA)) 55
Petroleum exclusion 33, 34, 35, 36
Radionudides , . 19, 41, 42, 43, 64
Release
definition 44
reporting 1, 2, 3, 4, 5, 6, 7, 8,
9,10,11,12,13
substances covered 16,17,18, 19,
20,21
Subject Index 38
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Questions and Answers Page 39
SUBJECT INDEX
(continued)
Subject Question Humberts)
Reportable quantity (RQ)
BMP . 63
concentration cutoff 47
primary criteria 63
RQ scale . 63
statutory RQs 19
time period 46
Resource Conservation and Recovery Act (RCRA)
delisted waste 27
RCRA facility 21
RCRA waste 24, 25
reporting 16
State authorities (State emergency response
commission (SERQ) 3, 12,13
Statistically significant increase (SSI) 9, 59
Superfund site 14
Toxicity characteristic 24
Toxkity cliaracteristic leaching procedure (TCLP) 25
Transportation
transportation-related releases 10
Department of Transportation (DOT) - 23
Vessel
definition 5, 6
reporting . - 1, 6, 7,10, 13
Waste 24, 25
Waste stream , 3H, 39
Written follow-up notice K
39 Subfect Index
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