10
Lesson 1
Welcome and Overview
-------
11
-------
12
EPCRA Section 313
Inspector Training Manual
Lesson 1: Welcome and Overview
TABLE OF CONTENTS
LESSON 1: WELCOME AND OVERVIEW
INTRODUCTION Ll-1
GOAL AND OBJECTIVES Ll-1
DESCRIPTION Ll-1
Modules Ll-2
Module Descriptions Ll-2
Manual Format Ll-3
Recommended Schedule for EPCRA Section 313 Inspector Training Course Ll-3
November 2000
Ll-i
Module I: Introduction
-------
13
-------
14
EPCRA Section 313
Inspector Training Manual
Lesson 1: Welcome and Overview
INTRODUCTION
The Emergency Planning and Community Right-to-Know Act (EPCRA) Section 313 Inspector
Training Manual was designed to be used both as basic training for new inspectors and as
refresher training for experienced inspectors. The manual provides general information to enable
EPCRA Section 313 inspectors to conduct effective inspections consistently. Although the
inspection process may vary by regions, this manual addresses the general inspection process.
Module 1, Introduction, includes administrative information about the manual and presents the
first lesson of the manual: Welcome and Overview.
GOAL AND OBJECTIVES
The goal of the EPCRA Section 313 Inspector Training Manual is to provide EPCRA
Section 313 inspectors with the necessary information and tools that will enable them to conduct
consistent and effective EPCRA Section 313 inspections. After reviewing this manual, students
will be trained to:
• Follow the guidelines of EPCRA Section 313 regulations.
* Target facilities that are in potential violation of EPCRA Section 313 requirements.
• Perform pre-inspection activities necessary to conduct EPCRA Section 313 inspections.
• Perform on-site activities necessary to conduct EPCRA Section 313 inspections.
• Perform post-inspection activities necessary to validate data collected during EPCRA
Section 313 inspections.
DESCRIPTION
This section of the manual describes each module, the layout of the modules, and the target
audience.
November 2000
Ll-1
Module I: Introduction
-------
15
EPCRA Section 313
Inspector Training Manual
Lesson 1: Welcome and Overview
Modules
The EPCRA Section 313 Inspector Training Manual consists of six modules, each containing
several individual lessons. Because each module represents part of the EPCRA Section 313
inspection process, it is recommended that the manual be presented or reviewed in the sequence
provided.
For experienced EPCRA Section 313 inspectors, refresher training may be conducted by using
only selected lessons. By using the manual in this manner, the training is directed toward certain
topics based on the student's experience as an EPCRA Section 313 inspector without having to
repeat topics unnecessarily.
Module Descriptions
The following is a general description of the modules:
• Module I: Introduction. An introduction to the EPCRA Section 313 Inspector Training
Manual. Module I contains the following lesson:
Lesson 1:
Welcome and Overview.
Module II: Background on the EPCRA Section 313 Regulations. An overview of
EPCRA Section 313, how it evolved, and future trends. In addition, the Compliance
Monitoring Strategy for EPCRA Section 313 inspections is discussed. Module II
contains the following lessons:
Lesson 2: Background and Future Trends of EPCRA Section 313
Regulations
Lesson 3: EPCRA Section 313
Lesson 4: Compliance Monitoring Strategy for EPCRA Section 313
Inspections
Module III: Targeting Inspections. A presentation of targeting resources and how to
target facilities with potential non/late reporting or data quality violations. Module III
contains the following lessons:
Lesson 5: Targeting Resources
Lesson 6: Non/Late Reporter Inspections
Lesson 7: Data Quality Inspections
Module IV: Pre-Inspection Activities. A presentation of procedures for planning and
scheduling inspections; gathering and identifying appropriate inspection documents and
November 2000
Ll-2
Module I: Introduction
-------
16
EPCRA Section 313
Inspector Training Manual Lesson 1: Welcome and Overview
analyzing specific chemical and facility data. Potential health and safely issues will also
be presented. Module IV contains the following lessons:
Lesson 8: Inspection Planning
Lesson 9: Health and Safety
• Module V: On-Site Activities. An explanation of how to obtain facility entry, conduct
the facility opening conference activities, and conduct closing conference activities. The
basic components of on-site activities for non/late reporter and data quality inspections
are also included. Module V contains the following lessons:
Lesson 10: Facility Entry and Opening Conference
Lesson 11: Non/Late Reporter Inspections
Lesson 12: Data Quality Inspections
Lesson 13: Closing Conference
• Module VI: Post-Inspection Activities. A discussion of how to identify appropriate
follow-up activities such as review of documentation, additional requests for information,
data analysis, and recalculations. Procedures for writing effective reports are also
presented. Module VI contains the following lessons.:
Lesson 14: Follow-up Activities
Lesson 15: Report Writing
Manual Format
The following is a breakdown format of the modules and a brief description of each component
and its function.
• Module Objectives and Contents. A description of what the student will be able to do
after completing the training. Lists the lessons that are included in the module.
• Training Aids. Materials needed for the lessons. These include case studies and their
answer keys, exercises and their answer keys, and reference materials. These aids are
located in each lesson or in attachments to each lesson.
Recommended Schedule for EPCRA Section 313 Inspector Training Course
The training materials in this manual may be used in a classroom setting. A recommended
schedule for presenting the various lessons is presented on the following page.
November 2000 LI-3 Module I: Introduction
-------
17
EPCRA Section 313
Inspector Training Manual
Lesson 1: Welcome and Overview
EPCRA Section 313 Inspector Training Course Schedule
Tim* j|| Day! || Day 2 || Day 3 :
8:30 am
8:45 am
'."ijs&ll-'S » •
9:30 am
10:00 am
1030am
11:00 am
11:30 am
12iOO pm
12:30 pm 1
1:00 pm
I:30pm
2:00 pm
230pm
3:00 pm
•
:;J:30jpnj 1
4:00 pm
4:30 pm
1 Registration
Introduction:
Welcome and Overview
(Lesson 1)
Background and Future Trends of
EPCRA Section 313
Regulation
(Lesson 2)
EPCRA Section 3 13
(Lesson 3)
Compliance Monitoring Strategy for
EPCRA Section 313 Inspections
(Lesson 4)
• : Liinch ' '". '
Targeting Resources
(Lesson 5)
Non/Late Reporter Inspections
(Lesson 6)
Data Quality Inspections
(Lesson 7)
inspection Planning
(Lesson 8)
Inspection Planning
(Lesson 8) (continued)
Health and Safety
(Lesson 9)
Facility Entry and
Opening Conference
(Lesson 10)
Non/Late Reporter Inspections
(Lesson 11)
Lunch
. !
.•••'I
Data Quality Inspections
(Lesson 12)
Closing Conference
(Lesson 13)
Follow-up Activities
(Lesson 14)
Report Writing
(Lesson 15)
Wrap-Up
November 2000
LI-4
Module I: Introduction
-------
18
EPCRA SECTION 313
INSPECTOR TRAINING MANUAL
Module II
Background on EPCRA
Section 313 Regulations
-------
19
-------
20
EPCRA Section 313
Inspector Training Manual
MODULE OBJECTIVES
At the end of this module, students will be trained to:
• Explain how the Emergency Planning and Community Right-to-Know Act (EPCRA)
Section 313 evolved and its future trends.
• Explain the components of EPCRA Section 313.
• Explain the Compliance Monitoring Strategy for EPCRA Section 313 inspections.
CONTENTS
Module II contains:
Lesson 2: Background and Future Trends of EPCRA Section 313 Regulations
Lesson 3: EPCRA Section 313
Lesson 4: Compliance Monitoring Strategy for EPCRA Section 313 Inspections
November 2000
Il-i
Module II: Background on
EPCRA Section 313 Regulations
-------
21
-------
23
Lesson 2
Background and Future
Trends of EPCRA Section 313
Regulations
-------
24
-------
25
EPCRA Section 313
Inspector Training Manual
Lesson 2: Background and Future
Trends of EPCRA Section 313 Regulations
TABLE OF CONTENTS
LESSON 2: BACKGROUND AND FUTURE TRENDS OF EPCRA SECTION 313
REGULATIONS
INTRODUCTION L2-1
Purpose L2-1
Objective L2-1
EPCRA SECTION 313 L2-1
History of EPCRA Section 313 L2-2
EPA Authority L2-3
Future Trends of EPCRA Program L2-3
HOW EPCRA SECTION 313 RELATES TO OTHER REGULATIONS ADMINISTERED
BY THE EPA L2-4
EXERCISE L2-6
SUMMARY L2-6
REVIEW QUESTIONS L2-6
ATTACHMENT
2-1 ANSWERS TO LESSON 2 REVIEW QUESTIONS L2-A1-1
November 2000
L2-i
Module II: Background on EPCRA
Section 313 Regulations
-------
26
-------
27
EPCRA Section 313 Lesson 2: Background and Future
Inspector Training Manual Trends of EPCRA Section 313 Regulations
INTRODUCTION
Purpose
Section 313 of the EPCRA requires certain facilities to report particular facility information, as
well as releases and other waste management activities for certain chemicals, to the U.S.
Environmental Protection Agency (EPA). These facilities are also required to report their
releases and other waste management quantities to the state in which the facility is located by
July 1 of every year for the prior calendar year. The purpose of this lesson is to address the
history and future of EPCRA Section 313 regulations, providing a greater understanding of the
importance of this legislation and the legislative authority used to enforce it.
Objective
• Identify past and potential future trends in the implementation of the EPCRA program
and recognize how EPCRA Section 313 relates to other regulations administered by EPA.
EPCRA SECTION 313
On October 17,1986, the Federal Superfund Amendments and Reauthorization Act (SARA) was
enacted into law. With the enactment of Title III of SARA, EPCRA was established. EPCRA is
designed to inform communities about toxic chemicals being released and otherwise managed as
waste by facilities in their communities. The goals of EPCRA provisions are to:
• Improve emergency planning for toxic and hazardous chemicals.
Require facilities to identify hazardous chemicals used both onsite and released into the
environment.
• Require facilities to report the releases and other waste management quantities associated
with the manufacturing, processing, or otherwise use of certain toxic chemicals.
• Make the reported information available to the public.
November-2000 Module II: Background on EPCRA
L2-1 Section 313 Regulations
-------
28
EPCRA Section 313
Inspector Training Manual
Lesson 2: Background and Future
Trends of EPCRA Section 313 Regulations
History of EPCRA Section 313
Section 313 of EPCRA established requirements for annual reporting on releases and other waste
management activities of certain toxic chemicals into the environment. Many attribute the
passage of EPCRA to the release of methyl isocyanide in Bhopal, India, in December 1984. This
release resulted in the deaths and injuries of thousands of people. This law was promulgated in
the hope of preventing future tragic incidents of this nature.
In EPCRA Section 313's first program year (1987), EPA estimated that one out of every three
facilities that should have reported did not. These absences equate to approximately 10,000
facilities. While more facilities have reported since the first program year, the concern remains
that many facilities, particularly smaller ones, have not yet fully complied with the EPCRA
Section 313 reporting requirements.
In the program's first years, EPA's enforcement program primarily focused on identifying and
taking action against those facilities that failed to report (that is non/Iate reporters). These
non/late reporter inspections remain high on EPA's priority list. However, EPA has taken steps
to make data quality more of a focus of the enforcement program. This trend will be discussed in
more detail later in this lesson.
Many of the requirements of EPCRA Section 313 that affect data quality have been phased in to
ease the impact on reporting facilities. For example, for releases during the calendar year of
1987, facilities that manufactured or processed more than 75,000 pounds (Ib) per year of a
Section 313-listed toxic chemical were required to submit reports by July 1,1988. Over the next
two years, the manufacturing and processing threshold criteria decreased to 50,000 Ibs per year
for the reports due July 1,1989. For the reporting deadline of July 1, 1990, the manufacturing
and processing thresholds decreased to the current level to 25,000 Ibs per year. Other significant
changes to EPCRA Section 313 reporting resulted from the expansion of the list of EPCRA
Section 313 chemicals in 1995, the addition of new industry sectors in 1998, and the Persistent
Bioaccumulative Toxicities (PBT) rule, which added chemicals and lowered some reporting
thresholds starting in reporting year 2000.
The information for each chemical is reported on a separate toxic chemical release inventory
reporting form, also called a Form R. This is the instrument generally used by facilities to meet
their annual reporting requirement dictated by EPCRA Section 313. There is also an alternate
reporting form, called a Form A, used for low annual reportable amounts (less than 500 Ibs) if
other criteria are met. Form R and A reports will be discussed in greater detail in Module III,
Targeting Inspections. Additionally, EPA is required to make publicly available the information
submitted on the forms. This has been facilitated through the establishment of a database known
as the Toxic Release Inventory (TRI). This database is a compilation of the toxic chemical data
that is submitted to the EPA on Form Rs from those facilities that are regulated by EPCRA
November :2000
L2-2
Module II: Background on EPCRA
Section 313 Regulations
-------
29
EPCRA Section 313
Inspector Training Manual
Lesson 2: Background and Future
Trends of EPCRA Section 313 Regulations
Section 313 regulations. The TRI database also contains source reduction and recycling data as a
result of the mandate in the Pollution Prevention Act of 1990 for EPA to collect this data through
TRI Form R reports. This database will be discussed in greater detail in Lesson 5. However,
making this chemical information available to the public is one of the main goals of EPCRA.
EPA Authority
Section 325 of EPCRA authorizes the EPA Administrator to enforce compliance with EPCRA,
including the Section 313 requirements. EPCRA establishes Federal authority for civil,
administrative, and, in the case of Section 304, criminal actions against owners and operators of
facilities that do not comply with EPCRA requirements. EPCRA Section 313 does not, however,
provide any authorization for states to take civil, administrative, or criminal actions against
violators of the reporting requirements of Section 313. (Procedures for dealing with denial of
entry situations will be discussed in greater detail in Lesson 10.) States cannot inspect facilities
and assess penalties for EPCRA Section 313 under the Federal law, although they may enact
state laws creating this authority.
Specifically, Section 326 of EPCRA authorizes states to bring civil suits against noncompliant
owners/operators failing to comply with Sections 302(c), 311(a), 31 l(b), and 312(a), but NOT
Section 313. Section 326(a)(l) of the Federal code does, however, authorize any "Person" to
commence a civil action against an owner/operator of a facility for failure to complete and
submit a toxic chemical release form — Form R. Section 329 provides a definition of a "Person"
that includes states, municipalities, commissions, political subdivisions of states, and interstate
bodies. Therefore, as a "Person," states may file civil suits under Section 326(a)(l) for
noncompliance with Section 313. However, as a "Person," states do not have the ability to
inspect potential violators to collect documentation that would support a case against the facility.
As a result, this implicit authority from Section 326(a)(l) is of limited use to most states.
Compliance authority varies between states. Some states only collect the Form Rs, which is the
minimum requirement, while others have passed enabling legislation and implemented extensive
compliance programs. Although states are not given explicit enforcement authority under the
federal law, states can still play a vital role in enforcement through the utilization of their unique
knowledge regarding the chemical releases in their state. This will be discussed in further detail
in Lesson 4.
Future Trends of EPCRA Program
Since the introduction of the EPCRA Section 313 program, the emphasis primarily has been on
identifying and inspecting non/late reporting facilities. In recent years, EPA has begun to move
towards standardized data quality inspections and explicitly addressing the nature of data quality
violations in the Enforcement Response Policy (which is discussed in more detail in Lesson 4).
November'2000
L2-3
Module II: Background on EPCRA
Section 313 Regulations
-------
30
EPCRA Section 313
Inspector Training Manual
Lesson 2: Background and Future
Trends of EPCRA Section 313 Regulations
There has also been an expansion in the number of industry sectors subject to EPCRA
Section 313 reporting requirements, an increase in the number of chemicals on the toxic
chemical list, and a decrease in reporting thresholds for certain highly toxic chemicals. These
changes have increased the importance of standardizing the inspection process and looking at
more process-based investigations in the future.
This does not mean that non/late reporter inspections will be eliminated or that they are less
important than data quality inspections. The following reasons illustrate why non/late reporter
inspections are still important:
• Not every eligible facility is reporting, and this will probably always be the case. There
will always be a facility that misinterprets the requirements for reporting, and therefore
considers itself exempt from EPCRA Section 313 regulations.
Non/Late reporter errors may be found during data quality inspections. The EPCRA
Section 313 inspector needs to become familiar with all reporting requirements of the
EPCRA Section 313 regulations. It is possible that while verifying the accuracy of a data
quality report, you may discover that an eligible chemical was not reported. This could
•occur because of incorrect threshold determinations, release estimates, or any number of
other reasons.
HOW EPCRA SECTION 313 RELATES TO OTHER
REGULATIONS ADMINISTERED BY THE EPA
Recognizing some of the interrelationships between the various EPA program areas is
increasingly important. Cultivating relationships with personnel from the other programs (such
as Resource and Conservation Recovery Act [RCRA], Air, Water, and so on) can provide you
with more information about potential target facilities for EPCRA Section 313. Additionally,
familiarity with the other program areas, even with the other sections of EPCRA that may
overlap or have similarities to the EPCRA reporting requirements, can provide you with
beneficial data for your EPCRA inspections. This kind of similarity can produce opportunities
for both you and inspectors from other program areas if utilized to their fullest advantage. For
example, during one of your inspections you may identify facility practices that would make that
site a good candidate for an National Pollutant Discharge Elimination System (NPDES) or
Stormwater inspection.
Another example of when program areas intersect is the increase in the number of multimedia
inspections. As the number of multimedia inspections increase, there is a greater potential that
you will eventually participate in one. These inspections take advantage of all the data collected
November 2000
L2-4
Module II: Background on EPCRA
Section 323 Regulations
-------
31
EPCRA Section 313 Lesson 2: Background and Future
Inspector Training Manual Trends of EPCRA Section 313 Regulations
by the different program area inspectors who are involved. Specifically, these inspections may
provide tips, leads, or referrals to potential EPCRA Section 313 non/late reporting facilities.
The following are additional examples of how other program areas may overlap or be similar to
the EPCRA Section 313 regulations.
• The releases that must be reported under EPCRA Section 304, which occur as a result of
normal business operations, and emergency releases, may also be subject to reporting
under EPCRA Section 313.
• Data submitted under the requirements are to be made available to the public, consistent
with the trade secret provisions of these amendments.
• EPCRA Section 313 inspectors compliment Toxic Substances Control Act (TSCA)
efforts in that:
EPA Regional and Headquarters offices are assisted through clerical support
positions in TSCA compliance programs and provide other TSCA administrative
and technical support, as needed.
- EPA is assisted with on-site compliance inspections, case development, and
outreach efforts for other programs under the rules and regulations pursuant to
TSCA.
EPCRA Section 313 inspectors assist in the preparation of background materials
that support enforcement actions against TSCA violators.
Outreach activities are conducted with the regulated community to improve
awareness and understanding of TSCA compliance requirements.
Outreach and technical assistance programs are conducted for covered industries;
state, regional, and local governments; and community groups to explain and
initiate new pollution prevention activities that minimize or eliminate waste.
November 2000 Module II: Background on EPCRA
L2-5 Section 313 Regulations
-------
32
EPCRA Section 313
Inspector Training Manual
Lesson 2: Background and Future
Trends of EPCRA Section 313 Regulations
EXERCISE
In small groups, analyze the list of potential overlap between EPA program areas that are
included above. Use any previous experience you may have had as an inspector, in another EPA
program office or within the regulated industry, as a basis to analyze the list for both the benefits
mentioned above and any potential problems that may occur as a result of these overlaps.
Discuss same as a group.
SUMMARY
The purpose of this lesson was to introduce you to EPCRA, in particular Section 313, and
provide you with some of the background of this legislation. Also, you were introduced to the
future trend toward standardizing the data quality inspection process and the expansion of the
toxic chemical list. One of the most important topics in this lesson that will impact you as an
EPCRA Section 313 inspector is the issue of authority. It is this authority that will enable you,
as an inspector, to support the enforcement strategy for the EPCRA legislation. Finally, this
lesson addressed other sections of EPCRA, other legislation, and the associated program areas
that may be related to EPCRA Section 313 efforts.
REVIEW QUESTIONS
The following questions are designed to assess your comprehension of the lesson. The answers
to these questions are provided in Attachment 2-1.
1.
How did EPCRA evolve ?
2. What are the goals of EPCRA's provisions? Which types of EPCRA Section 313
inspections are conducted?
November 2000
L2-6
Module II: Background on EPCRA
Section 313 Regulations
-------
33
EPCRA Section 313
Inspector Training Manual
Lesson 2: Background and Future
Trends of EPCRA Section 313 Regulations
3. Which section of the EPCRA legislation authorizes federal EPA enforcement?
What legislation enables State-level enforcement of EPCRA Section 313 and how?
Give some examples of how EPCRA may benefit, or may benefit from, the enforcement
of other EPA program areas.
November 2000
L2-7
Module II: Background on EPCRA
Section 313 Regulations
-------
34
-------
35
ATTACHMENT 2-1
ANSWERS TO LESSON 2
REVIEW QUESTIONS
(Two Pages)
-------
36
-------
37
ANSWERS TO LESSON 2
REVIEW QUESTIONS
1. How did EPCRA evolve?
On October 17,1986, SARA was enacted into law. With the creation of Title III of
SARA, EPCRA was established. EPCRA is designed to help communities become aware
of and deal safely and effectively with the numerous toxic and hazardous chemicals being
used or released in our communities and nation as a whole. Many attribute the passage of
Title III to the public's demand for legislation to prevent a recurrence of the situation that
occurred in Bhopal, India, in 1984.
2. What are the goals of EPCRA's provisions? Which types of EPCRA Section 313
inspections are conducted?
The goals are to:
Improve emergency planning for toxic and hazardous chemicals.
• Require facilities to identify toxic and hazardous chemicals used both on site and
released into the environment.
• Require facilities to report manufacturing, processing, or other use of certain toxic
chemicals, as well as the release of or other waste management activities for these
chemicals on site and off site.
Make the reported information available to the public.
There are two types of inspections: non/Iate reporter inspections and data quality
inspections. Approximately one out of every three facilities that should have reported
results in 1987 did not. This equals approximately 10,000 facilities. While more
facilities have reported during the intervening years, the concern remains that there are
facilities, particularly smaller ones, that have not yet fully complied with the EPCRA
Section 313 reporting requirements. However, as the program continues to mature, it is
expected that there will be a greater emphasis by EPA on inspecting to ascertain the
accuracy and completeness of the submitted data.
3. Which section of the EPCRA legislation authorizes federal EPA enforcement?
Section 325 of EPCRA authorizes the EPA Administrator to enforce compliance with
EPCRA, including Section 313 requirements. EPCRA establishes Federal authority for
civil, administrative, and criminal actions against owners and operators of facilities that
do not comply with EPCRA requirements.
L2-A1-1
-------
38
4. What legislation enables State-level enforcement of EPCRA Section 313 and how?
Section 326 (a)(l) authorizes any "Person" to commence a civil action against an
owner/operator of a facility for failure to complete and submit a toxic chemical release
form. Section 329 provides a definition of a "Person" that includes states, municipalities,
commissions, political subdivisions of states, and interstate bodies. However, as a
"Person", states do not have the ability to inspect potential violators to collect
documentation that would support a case against the facility.
5. Give some examples of how EPCRA may benefit, or may benefit from, the enforcement
of other EPA program areas.
• Identification of a release reported under EPCRA Section 313 that must be
reported under EPCRA Section 304, as a result of normal business operations or
emergency releases.
• Data submitted under the requirements are to be made available to the public,
consistent with the trade secret provisions of these amendments.
On-site compliance inspections, case development, and outreach efforts for other
programs can be assisted under the rules and regulations pursuant to TSCA.
• EPCRA Section 313 inspectors assist in the preparation of background materials
that support enforcement actions against TSCA violators.
L2-A1-2
-------
40
Lesson 3
EPCRA Section 313
-------
-------
42
EPCRA Section 313
Inspector Training Manual
Lesson 3: EPCRA Section 313
TABLE OF CONTENTS
LESSON 3: EPCRA SECTION 313
INTRODUCTION L3-1
Purpose L3-1
Objective L3-1
EPCRA SECTION 313 REGULATIONS L3-1
Facility Requirements L3-2
EPCRA Section 313 Toxic Chemical List L3-7
Types of EPCRA Section 313 Inspections L3-8
EPCRA SECTION 313 INSPECTORS L3-9
Federal EPA Inspectors L3-9
National Council for Senior Citizens Employees L3-9
Training Requirements for EPCRA Inspectors L3-9
Inspection Credentials for Inspectors L3-10
EPCRA TRADE SECRETS AND PROPRIETARY INFORMATION L3-11
Trade Secret Factors L3-11
Role of EPCRA Section 313 Inspector with Proprietary and
Trade Secret Information L3-12
EXERCISE L3-12
SUMMARY L3-12
REVIEW QUESTIONS L3-13
November:2000
L3-i
Module II: Background on EPCRA
Section 313 Regulations
-------
43
EPCRA Section 313
Inspector Training Manual
Lesson 3: EPCRA Section 313
TABLE OF CONTENTS (Continued)
TABLES
3-1 ACTIVITY CATEGORIES L3-3
3-2 SIC CODE GROUPS L3-4
3-3 REPORTING THRESHOLDS L3-6
ATTACHMENTS
3-1 TOXICS RELEASE INVENTORY CHEMICALS WEBPAGE L3-A1-1
3-2 REPORTING THRESHOLDS FOR EPCRA SECTION 313 LISTED PBT
CHEMICALS L3-A2-1
3-3 DRAFT RECORD OF TRAINING TO LEAD INSPECTIONS L3-A3-1
3-4 ANSWERS TO LESSON 3 REVIEW QUESTIONS L3-A4-1
November 2000
L3-ii
Module II: Background on EPCRA
Section 313 Regulations
-------
44
EPCRA Section 313
Inspector Training Manual Lesson 3: EPCRA Section 313
INTRODUCTION
Purpose
In order to conduct effective EPCRA Section 313 inspections, you must be able to accurately
interpret Section 313 regulations and you must be proficient in identifying potential violations of
the reporting requirements. This level of comprehension is imperative, as there may be
occasions when you will need to legally justify your actions or make appropriate inspection
decisions while on site at a facility. The purpose of this lesson is: (1) to familiarize you with the
requirements of the EPCRA Section 313 regulations in order to assist you during your EPCRA
Section 313 inspections and (2) to provide a general overview of the requirements for being an
EPCRA 313 inspector.
Objective
Given a written exercise:
• Review the EPCRA Section 313 Toxic Chemical List.
EPCRA SECTION 313 REGULATIONS
On October 17, 1986, SARA was enacted into law. Title III of SARA, also known as EPCRA, is
designed to help communities deal safely and effectively with the numerous toxic and hazardous
chemicals used daily within our society. EPCRA contains provisions to improve emergency
planning for toxic and hazardous chemicals, and it requires facilities to identify hazardous
chemicals that are present on site and, in some cases, released into the environment. Section 313
of EPCRA specifically addresses facility reporting requirements for the release or transfer of the
toxic chemicals described above and the criteria that a facility must meet to be considered subject
to the Section 313 requirements. (This criteria will be discussed in greater detail in the following
section.)
Overall, EPCRA Section 313 has three primary components:
• Facilities that meet the reporting criteria established in EPCRA Section 313 must submit
annual reports (Form Rs or Form As) to the States in which the facility is located and the
EPA. These reports identify the amounts of toxic chemicals released into the
environment and otherwise managed as waste. Toxic chemicals are defined as any
November 2000 Module II: Background on EPCRA
L3 -1 Section 313 Regulations
-------
45
EPCRA Section 313
Inspector Training Manual
Lesson 3: EPCRA Section 313
chemical on the Toxic Chemical List that is published by EPA and codified by the
Federal Register (FR) by 40 Code of Federal Regulations (CFR) Part 372, Subpart D. A
copy of the current EPCRA Section 313 Toxic Chemical List is available at EPA's TRI
Internet site www.epa.gov/tri and is referenced in Attachment 3-1.
• EPA must establish an inventory of data that is collected from the facility reports (that is,
Form Rs).
• States and EPA must make the collected release information available to the public
through both a nationwide database and other publicly available means.
Facility Requirements
Facilities subject to EPCRA Section 313 are those that fit into the following activity categories:
manufacture, process, or otherwise use of listed toxic chemicals in excess of an amount specified
by the EPA. It is important that you understand the meaning of these activity categories (see
Table 3-1).
These facilities must submit annual reports of the amounts of toxic chemicals released into the
air, water, and land, or otherwise managed as waste. Currently, the reporting requirements must
be complied with by the owners and/or operators of facilities that meet the following criteria:
• Have 10 or more full-time employees (or 20,000 employee and/or contractor hours) per
year.
• Have a primary Standard Industrial Classification (SIC) Code of 10 (except 1011,1081,
and 1094); 12 (except 1241); 20 through 39; 4911,4931, and 4939 (limited to facilities in
these codes that combust coal and/or oil for the purpose of generating power for
distribution in commerce); 4953 (limited to facilities regulated under RCRA, Subtitle C);
and 5169,5171, and 7389 (limited to facilities primarily engaged in solvent recovery
services on a contract or fee basis). In addition, Federal Facilities subject to Executive
Order 12856 must report. For a list of SIC groups subject to EPCRA Section 313
requirements, refer to Table 3-2. Also note the transition from SIC codes to the North
American Industrial Classification (NAIC) System codes, which became effective in
April 1997 (see 62 FR 172188 for a crosswalk between the codes).
• Manufacture, process, or otherwise use of a listed toxic chemical in excess of the
specified threshold quantities for each EPCRA Section 313 chemical (see Table 3-3).
November 2000
L3-2
Module II: Background on EPCRA
Section 313 Regulations
-------
EPCRA Section 313 46
Inspector Training Manual Lesson 3: EPCRA Section 313
Table 3-1 Activity Categories
ACTIVITY CATEGORY DEFINITIONS
Manufacture:
To produce, prepare, import, or compound one of the toxic chemicals on the list. For example, if you
make a dye for clothing by taking raw materials and reacting them and thereby produce a toxic
chemical, then you are manufacturing the chemical. You also would be covered if you were a textile
manufacturer who imported a toxic chemical in a dye on the list for purposes of applying it to fabric
produced at your plant.
Process:
To prepare a toxic chemical, after its manufacture, for distribution in commerce. This includes making
mixtures, repackaging, or using a chemical as a feed-stock, raw material, or starting material for
making another chemical. Examples of processing include:
• Adding a solvent as a diluent when making a paint, coating, or other mixture
• Using a chemical as a reactant in the manufacture of a pesticide (such as using
chemical A to make chemical B).
Otherwise Use:
To apply to any use of a toxic chemical at a covered facility that is not covered by the terms
"manufacture" or "process" and includes use of a toxic chemical contained in a mixture or trade name
product. A toxic chemical that is otherwise used by a facility is not intentionaliy incorporated into a
product distributed in commerce. Examples include:
• Chemical processing aids (such as solvents)
* Manufacturing aids (such as lubricants and refrigerants)
• Ancillary activities (such as chemicals used to remediate wastes)
Otherwise use of a Section 313 chemical also includes disposal, stabilization (without subsequent
distribution in commerce), or treatment for destruction on site if:
• Section 313 chemical was received from off site for the purposes of further waste management
or
• Section 313 chemical was manufactured as a result of waste management activities on materials
received from off site for the purpose of further waste management. Waste management
activities include recycling, combustion for energy recovery, treatment for destruction, waste
stabilization and release (including disposal).
November 2000 Module II: Background on EPCRA
L3-3 Section 313 Regulations
-------
47
EPCRA Section 313
Inspector Training Manual
Lesson 3: EPCRA Section 313
Table 3-2 SIC Code Groups
SIC Code
10 (except 101 1,1081,
and 1094)
12 (except 1241)
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
Jm3^iy^Grmtp: '••'•' f, •' -^- -^ '•'' ' •••:'/ • - .;-;•••?;• :;-
Metal mining
Coal mining
Food and kindred products
Tobacco products
Textile mill products
Apparel and other finished products made from fabrics and other
similar materials
Lumber and wood products, except furniture
Furniture and fixtures
Paper and allied products
Printing, publishing, and allied industries
Chemicals and allied products
Petroleum refining and related industries
Rubber and miscellaneous plastic products
Leather and leather products
Stone, clay, glass, and concrete products
Primary metal industries
Fabricated metal products, except machinery and transportation
equipment
Industrial and commercial machinery and computer equipment
Electronic and other electrical equipment and components, except
computer equipment
Transportation equipment
November 2000
L3-4
Module II: Background on EPCRA
Section 313 Regulations
-------
48
EPCRA Section 313
Inspector Training Manual
Lesson 3: EPCRA Section 313
Table 3-2 SIC Group Subjects (Continued)
SIC Code
38
39
491 1,4931, and 4939
4953
5169
5171
7389
Industry Group
Measuring, analyzing, and controlling instruments; photographic,
medical and optical goods; and watches and clocks
Miscellaneous manufacturing industries
Electrical utilities, limited to facilities that combust coal and/or oil
for the purpose of generating electricity for distribution in commerce
Treatment, Storage and Disposal Facilities, limited to RCRA
Subtitle C permitted or interim status facilities
Chemical distributors
Petroleum bulk terminals
Solvent Recovery Services, limited to facilities primarily engaged in
solvent recovery services on a contract or fee basis
The SIC Code is a mechanism for grouping business according to industry, as indicated hi
Table 3-2 (for example 23XX; the "XX" further specifies the type of facility within the "23"
category). EPCRA Section 313 requires that reports be filed by "facilities." "Facilities" are
defined in EPCRA Section 329(4) as "all buildings, equipment, structures, and other stationary
items which are located on a single site or contiguous or adjacent sites and which are owned and
operated by the same person (or by any person which controls, is controlled by, or under
common control with, such person)." The SIC code system, however, classifies businesses not as
"facilities" but as "establishments". Establishments are defined as "distinct and separate
economic activities [that] are performed at a single location."
A facility may include multiple establishments that have different SIC codes. If at one facility,
some establishments have primary SIC codes within the covered SIC codes and some have
primary SIC codes outside of that range, then the facility must determine if the facility needs to
report. This is done by comparing the economic value from the establishment(s) that are in the
covered SIC codes to the total value of the products shipped or produced or services provided
from the facility as a whole, or if one of those covered SIC code establishments has a value of
services or products shipped or produced that is greater than any other establishment in the
facility. The facility is considered to be primarily within the covered SIC codes and required to
report if:
November 2000
L3-5
Module II: Background on EPCRA
Section 313 Regulations
-------
49
EPCRA Section 313
Inspector Training Manual
Lesson 3: EPCRA Section 313
• Those establishments that are in the covered SIC codes have a combined value of more
than 50 percent of the total value of services provided or products shipped or produced by
the whole facility, or
Any one establishment in a covered SIC code has a value of services or products shipped
or produced that is greater than the value of services or products shipped or produced by
any other establishment within the facility.
You need to be aware of any changes that are made to the SIC list, as this will expand or reduce
the number of facilities with which you will be concerned.
Table 3-3 Reporting Thresholds
Activity Category t •• >:' • " - • •-•-'-' . ; "-. *
Manufacture (including import)
Process
Otherwise Use
Thresl old* ^!&&. ' ; -f > •;
25,000 pounds per
25,000 pounds per
10,000 pounds per
year
year
year
* These reporting thresholds are for non-PBT chemicals. A final rule for PBT chemicals
was promulgated on October 29,1999, and applies to the reporting year beginning January
1,2000. In this rule, EPA added seven chemicals and lowered the reporting thresholds for
18 chemicals and chemical categories that meet the EPCRA Section 313 criteria for
persistence and bioaccumulation. The PBT chemicals and their thresholds can be found in
the final PBT rule, which is available on the TRJ Internet site and as Attachment 3-2.
Threshold Determination J&le
If a facUity manufectures 22,000 Ibs of an EPCRA __— . _ ^^^.^
andalso uses 8,0(K) Ibs of me same chemic^ or chemical [category, ^ either
^1*^U ^ —•—' dVWni!CntA ~!"t*n^,t£^—*"'-^M«~_•£~'L .I-..^i. :A ^.t..'— *. ._r<^.—i^y ^ —1 -.'^LJL ''2.9 ? ^ ±^-» ' >• . r m i * in' ^<^A '
1313 chemical or chemical category
threshold, and anl
required. However, if the facUhy manufo^
chemical or chemical catego
category, it im«xrc«dea fe
ieal or chemical category is not
of ^sanie chemical or chemical
lease:
:) of that chemical or chemical
, , ,., w. ( « * >. , -. -w ~ •» fl • f ; ~ • •• x ,• , , '.{*• JH« '! "••; ,-r. U . . ,,,,"".,-'
ijotinl^ including mos4 jfrom tfej oth^rw^
Facilities that meet these criteria annually submit a Toxic Chemical Release Form (generally
EPA Form R unless the facility meets the criteria of the Alternate Threshold Rule, in which case
Form A may be used). Additionally, facilities are required to retain copies of all Form Rs or As
on site, along with the supporting documentation used to develop report information, for a period
November 2000
L3-6
Module II: Background on EPCRA
Section 313 Regulations
-------
50
EPCRA Section 313
Inspector Training Manual
Lesson 3: EPCRA Section 313
of three years from the date of submission. These materials must also be readily available for
inspection by EPA.
EPCRA Section 313 Toxic Chemical List
The original EPCRA Section 313 Toxic Chemical List was comprised of over 300 chemicals and
chemical categories, and was based on lists already being used by the states of Maryland and
New Jersey. This list is a continuously evolving document with chemicals being added and
deleted. The EPA adds or deletes chemicals from the Toxic Chemical List by using a petition
process. You constantly need to be aware of the chemicals for which you are inspecting.
Attachment 3-1 identifies the Internet site where you can obtain a current list of TRI chemicals,
prior year lists, and toxicity information. Note that even if a chemical is currently delisted, a
facility may still be cited in violation of EPCRA Section 313, if the violation occurred while the
chemical was still on the Toxic Chemical List.
A portion of this petition process relies on the Administrator of the EPA to decide, by using
his/her judgment, which chemicals have shown sufficient evidence that a potential threat to
health and safety exists. The considerations for this determination are detailed in Title III,
Section 313, subsection (d). In particular, those chemicals which are included in the EPCRA
Section 313 Toxic Chemical List have been judged to cause, or can be reasonably anticipated to
cause significantly adverse:
Acute Human Health Effects (such as severe chemical burns). The adverse effects
described above must have the potential to occur beyond the facility boundaries. In other
words, the surrounding community would be at risk, should an emergency occur during
facility use of a particular toxic chemical.
• Chronic Human Health Effects (such as cancer or teratogenic effects, reproductive
dysfunctions, and neurological disorders).
• Environmental Effects (such as gradual or sudden changes in the composition of plant
and/or animal life abnormally high number of deaths or organisms in the surrounding
environment).
There is one qualification to the criteria for toxic chemicals. The number of toxic chemicals that
can be listed solely because of its suspected environmental impact, may not exceed 25% of the
total number of listed chemicals. For instance, if the total number of listed chemicals is 300, no
more than 75 of those chemicals can be listed solely because of their impact on the surrounding
environment. If a chemical adversely impacts the environment and causes chronic human
effects, then it is not counted among the 25%.
November 2000
L3-7
Module II: Background on EPCRA
Section 313 Regulations
-------
51
EPCRA Section 313
Inspector Training Manual
Lesson 3: EPCRA Section 313
Types of EPCRA Section 313 Inspections
This section will describe the basic similarities and differences between non/late reporter and
data quality inspections; however, both will be examined in greater detail throughout the
remainder of the manual. Also, the concept of a "desktop" inspection and when it may be an
appropriate alternative to a facility visit will be discussed.
Non/Late Reporter
Non/Late reporter inspections are triggered by a facility's "failure to comply in a timely manner."
A facility that meets the criteria of EPCRA Section 313 and fails to submit a Form R reporting
the usage of the applicable chemicals, has potentially committed a non/late reporter violation.
Consequently, such facilities are not in compliance with the EPCRA Section 313 reporting
requirements and will be subject to penalties.
Data Oualitv
Data quality errors, as defined in the current EPCRA Section 313 Enforcement Response Policy
(ERP), are errors that cause erroneous data to be submitted to the EPA and the States. The
primary difference between a data quality inspection and a non/late reporter inspection is
facilities that have data quality errors have submitted Form Rs to the EPA by the due date,
whereas non/late reporters have not reported at all or have reported after the due date. The
purpose of a data quality inspection is to resolve suspected discrepancies between data reported
versus the actual usage of a chemical. These errors can take many forms, and a detailed listing of
potential data quality errors will be discussed in Lesson 7.
"Desktop" Versus Physical Plant Inspection
It is not always necessary to physically visit the facility in order to obtain the information you
need. Sometimes a phone call and letter will suffice. A desktop inspection is appropriate when:
• The facility's operations and processes are relatively easy to understand.
• The facility is a small business (fewer than 100 employees and less than $10 million in
annual sales).
• You are confident that the facility will willingly submit the information requested.
For a desktop inspection, document your contact with the facility. Before you send a certified
letter, call the facility representative responsible for environmental reporting or the plant
manager. Inform this person that EPA will be sending the facility a letter requesting that certain
records be submitted to EPA and that any questions should be directed to you.
November 2000
L3-8
Module II: Background on EPCRA
Section 313 Regulations
-------
52
EPCRA Section 313
Inspector Training Manual
Lesson 3: EPCRA Section 313
EPCRA SECTION 313 INSPECTORS
Federal EPA Inspectors
Federal EPA inspectors are employed by the Federal government and are therefore empowered
with all of the corresponding rights and responsibilities. For example, in an EPCRA Section 313
inspection, a Federal EPA inspector is allowed to view and handle proprietary information,
TSCA Confidential Business Information (CBI), and EPCRA trade secret information (which
will be covered more thoroughly in the following section).
National Council for Senior Citizens Employees
Since 1976, the EPA and the EPA Agency on Aging have jointly sponsored older worker
environmental programs. After a successful two-year, ten-state program, the EPA funded older
worker programs through the Senior Environmental Employment (SEE) Program for several
environmental programs, including EPCRA Section 313. The National Council for Senior
Citizens (NCSC) became a grantee of the SEE program in 1985, and subsequently, NCSC
employees began conducting EPCRA Section 313 inspections for the EPA. These programs
complement each other, because the backgrounds of many NCSC employees are suited for
conducting EPCRA Section 313 inspections. Many of the NCSC employees have reared from
extensive careers within the community that is regulated by EPCRA. Therefore, they are
sensitive to the concerns and possess insight into the processes at work within the facilities
inspected for potential EPCRA Section 313 violations. In addition, SEEs predominantly have an
engineering or related science background that adequately qualifies them as candidates for
EPCRA Section 313 inspections.
As a result of the initiative to use NCSC employees, most of the current EPCRA Section 313
inspections have been conducted by SEEs, and SEEs outnumber EPA inspectors. All NCSC
employees receive the exact same training as a Federal inspector, and are therefore equally
qualified and prepared to conduct EPCRA Section 313 inspections for the EPA.
Training Requirements for EPCRA Inspectors
EPA Order 3500.1 established standardized minimum training requirements for all EPA
inspectors (including SEE inspectors, contract inspectors, and part-time inspectors) and their
supervisors. Completion of these requirements is necessary in order to lead an EPCRA
inspection.
November 2000
L3-9
Module II: Background on EPCRA
Section 313 Regulations
-------
53
EPCRA Section 313
Inspector Training Manual
Lesson 3: EPCRA Section 313
For new inspectors, the requirements include:
1. Basic Inspector Training Course, including
• Multimedia environmental statute review (CD- ROM)
• Region-specific multimedia compliance inspection procedures
Health and Safety Training
• 40-hour course
2.
• 8-hour annual refresher training
• Medical monitoring (if you have the potential to be exposed routinely to
chemicals)
3. Program-Specific Training
• 24 hour minimum. The EPCRA Section 313 Inspector Training Course meets
this requirement. Regions can offer either as a classroom-style course or
inspectors complete the training manual through study.
• On-the-job training. The longer of: two 8-hour days, or participation in two
inspections.
Annual EPCRA refresher training on new or revised policies, regulations,
guidance, or procedures.
A draft sample record of training necessary to lead TSCA/EPCRA inspections that was
developed by Region IX is included as Attachment 3-3. It includes region-specific requirements
in addition to the minimum national requirements.
Inspection Credentials for Inspectors
EPA Regional offices generally issue an inspector's credential to EPA staff inspectors that will
lead field inspections/investigations; SEE employees need a letter of authorization (see Lesson 8
Attachment 8-5, "Language for SEE Inspection Letter")-
November 2000
L3-10
Module II: Background on EPCRA
Section 313 Regulations
-------
54
EPCRA Section 313
Inspector Training Manual Lesson 3: EPCRA Section 313
EPCRA TRADE SECRETS AND PROPRIETARY INFORMATION
As an EPCRA Section 313 inspector, you may encounter a facility eligible to claim some of their
chemicals or chemical processes as trade secrets or proprietary information. There are provisions
for trade secrets in the EPCRA Section 313 regulations, and for this reason, you must know the
procedures for handling this situation.
Trade Secret Factors
By claiming a TRI toxic chemical as a trade secret (hereafter referred to as a toxic chemical), the
facility may be able to claim the specific identity of the chemical as a trade secret. However, to
exercise this right, a claimant facility must first meet all of the following requirements:
• The information has not been disclosed to any person other than one or all of the
following:
- Member of a local emergency planning committee
- Officer or employee of the Federal, State, or local government
- Persons bound by a confidentiality agreement who have, and will continue to have,
taken reasonable measures to protect this information.
• Disclosure of the information to the public is not required under any other Federal or
State law.
• Disclosure of the information is likely to cause substantial harm to the facility's
competitive position.
• The chemical identity is not readily discoverable through reverse engineering.
Only upon approval from EPA and if the facility meets the above requirements, may it withhold
the specific chemical information. However, if it withholds this information, the generic class or
category of the toxic chemical must be entered instead.
Inspectors may gather process information during the course of the inspection that the facility
wants to claim as confidential. However, EPCRA confidential business information (CBI)
provisions do not apply to process information; they only apply to chemical identities.
November2000 Module II: Background on EPCRA
L3-11 Section 313 Regulations
-------
55
EPCRA Section 313
Inspector Training Manual
Lesson 3: EPCRA Section 313
Role of EPCRA Section 313 Inspector with Proprietary and Trade Secret Information
Proprietary Information and TSCA CBI. There are certain regulatory provisions that govern the
procedures for dealing with proprietary and confidential information (40 CFR Part 2, Section
2.310). As a Federal EPA inspector, you are permitted to view both proprietary information and
TSCA CBI. However, as an NCSC employee, you are not permitted to handle TSCA CBI,
because you are considered to be a grantee under the SEE Program, not a Federal employee.
There are special considerations when a facility claims information as CBI under TSCA. If this
should occur, contact your Region to find out the appropriate procedures to follow.
EPCRA Trade Secrets. As a Federal EPA inspector, you are permitted to view trade secret
information. NCSC employees also have access to trade secret information under EPCRA;
however, the trade secret clearance for NCSC employees covers only the name of the chemical.
EXERCISE
In small groups, discuss your backgrounds and experiences for 10 to 15 minutes. Identify any
experience or involvement you 've had with trade secrets, proprietary information, or CBI. If any
member of the group hasn 't had any experience with trade secrets or CBI, he or she should
identify any questions about how to deal with them. Each group should share with others an
experience of or question from a group member they found particularly interesting. Allow time
for discussion to resolve any issues that may arise.
SUMMARY
The main focus of this lesson has been to provide you with some of the specifics of the EPCRA
Section 313 regulations that impact your future inspection activities and to provide an overview
of EPCRA inspector requirements and restrictions. The lesson specifically addressed the
reporting requirements for facilities and the EPCRA Section 313 Toxic Chemical List and
provided a brief description of the types of EPCRA Section 313 inspections. Additionally, you
should now be aware of the different types of EPCRA Section 313 inspectors, their respective
roles in the handling of EPCRA trade secret and proprietary information, and the minimum
training needed to be the lead inspector on an EPCRA 313 inspection.
November 2000
L3-12
Module II: Background on EPCRA
Section 313 Regulations
-------
56
EPCRA Section 313
Inspector Training Manual Lesson 3: EPCRA Section 313
REVIEW QUESTIONS
The answers to the following review questions are provided in Attachment 3-4.
1. What are the criteria a facility must meet to be subject to the EPCRA Section 313
reporting requirements?
2. What are the adverse effects that a chemical from the EPCRA Section 313 Toxic
Chemical List may cause?
3. Name the two different programs an EPCRA Section 313 inspector may come from and
briefly describe the differences in their authority.
November 2000 Module II: Background on EPCRA
L3 -13 Section 313 Regulations
-------
57
-------
58
ATTACHMENT 3-1
TOXICS RELEASE INVENTORY CHEMICALS WEBPAGE
(Two Pages)
-------
59
-------
60
Chemicals : Toxics Release Inventory (TR1): US KPA
"»? _________ Toxics Release Inventory:
Community Right-to-Know
Toxics Release Inventory Chemicals
The TRI toxic chemical list includes over 640 individually listed chemicals
and chemical categories. EPA has made chemical list changes through the
chemical petitions process and EPA-initiated review. For more information about
the toxic effects of some of the TRI chemicals, EPA has developed chemical feet
sheets.
Toxics Chemical Lists
Current List of TRI Chemicals (PDF. 116KB)
The current TRI chemical list contains 579 individually listed chemicals
and 28 chemical categories (including 2 dHirnitfd categories containing 39
chemicals). Note: Three chemicals on die current list (methyl tnercaptan,
hydrogen sulfide, and 2^-dibromo-3-nitrilopropionamide) are under
administrative stays and are not currently reportable,
1997 Reporting Year List of TRI Chemicals (PDF. 113KB)
For reporting year 1997, the reportable TRI chemical list contains 576
individually listed chemicals and 28 chemical categories. The only differences
between the 1997 chemical list and the current chemical list discussed above are
that the three chemicals under administrative stays are not included in the 1997
list Reports for 1997 are due to EPA and the states by July 1,1998 and the
1997data will be available to the public in the spring of 1999.
TRI Chemical Guidance Documents
EPA has developed a common synonyms document and a number of
guidance documents to help reporting facilities identify TRI chemicals. The
guidance documents help facilities meet reporting requirements by identifying
reportable ehgmiealg and by providing examples of how to make calculations
involving the reporting thresholds releases, and other quantities.
TRI Chemical List Changes
EPA has modified the original list of TRI chemicals through a petition
process and by EPA-initiated actions. The status of each petition reviewed or
currently under review is available as weU as a summary of reporting years
affected by each change to the chemical list
Regulatory Program Information
TITLE m List of Lists (PDF.SMKg)
http://www.epa.gov/tri/chemicaUitm
L3-A1-1
-------
61
Chemicals: Toxics Release Inventory (TRI): US EPA
This is a consolidated list of chemicals subject to reporting requirements
under Title in of the Superfund Amendments and Reauthorization Act of 1986
(SARA) with references to their reporting status under Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA or
Superfund), The Resource Conservation and Recovery Act (RCRA), and Sections
302 and 313 of The Emergency Planning & Community Right-To-Know Act
(EPCRA).
Regulatory Matrix of TRI Chemicals in other Federal Programs flTJF. 183KB)
A matrix has been developed for each TRI chemical indicating whether it is
regulated under other selected environmental laws.
Toxicity Information
TRI CHEMICAL FACT SHEETS
Underl
:286cb
t on Toxic Chemicals Added to EPCRA Section 313
i Expansion. This page provides summary hazard information on
re added to the Toxics Release Inventory in 1994.
EPA has developed information summaries on 40 selected TRI chemicals to
describe how you might be exposed to these chemicals, how exposure to them
might affect you and the environment, what happens to diem in the environment,
who regulates them, and whom to contact for additional information.
Chemical fact sheets based largely upon the state of New Jersey's
Hazardous Substance Fact Sheets are available for over 200 TRI chemicals. They
can be accessed online using the TRIP ACTSdatabase, which is part of the
National Library of Medicine's TOXNETsystem. SUED
TRI Chemicals Classified as OSHA Carcinogens
This is a list of TRI chemicals mat are classified as carcinogens under the
requirements of the Occupation Safety and Health Administration (OSHA) and,
the basis of the classifications. OSHA carcinogens have a 0.1% de minimis
concentration limit instead of 1%. Amounts of TRI chemicals present below the
de minimis concentration limit in mixtures do not have to be included in threshold
determinations or release and other waste management calculations.
ATSDRTOXFAQS
These are a series of summaries developed by the Agency for Toxic
Substances and Disease Registry (ATSDR) that contain frequently asked
questions about the health effect for 60 hazardous substances. About 50 of these
chemicals are also TRI chemicals. ItaiiSJ
] PLEASE NOTE: Some of the documents mentioned in this Section are in Adobe's Portable
] Document Format (PDF). To view or print them you will need to have die Adobe Acrobat
1 Reader program installed on your computer. The Reader can be downloaded and used with
no charge; click here for more information.
http://www.epa.gov/tri/chemical.htm
L3-A1-2
-------
62
ATTACHMENT 3-2
REPORTING THRESHOLDS FOR EPCRA SECTION 313
LISTED PBT CHEMICALS
(One Page)
-------
63
-------
64
Reporting Thresholds for EPCRA Section 313 Listed PBT Chemicals
'.•}^'£-i-f~-,,'ff:~. .• ''\ '- ;'"' • •"' •
dfit^cal'Namc pr Chemical Category
Aldrin
Benzo(g>h>i)perylene
Chlordane
Dioxin and dioxin-likc compounds category
(manufacturing; and the processing or otherwise
use of dioxin and dioxin-like confounds if the
dioxin and dioxin-like compounds are present as
contaminants in a chemical and if they were
created during die manufacturing of that chemical)
Hcptachlor
Hexachlorobenzene
Isodrin
Methoxychlor
Octachlorostyrene
Pendinwthalin
Pentachlorobcnzene
Polycyclic aromatic compounds category
Polychtorinated biphenyl (PCBs)
Tetrabromobisphenol A
Toxaphene
Triiluralin
Mercury
Mercury compounds
•'CASRNv: .-«?
• «-st«»flSM*r*' •-
309-00-2
191-24-2
57-74-9
NA
7W4-8
118-74-1
465-73-6
72-43-5
29082-74-4
40487-42-1
608-93-5
NA
1336-36-3
79-94-7
8001-35-2
1582-09-8
7439-97-6
NA
Section 313 Reporting ThTcsHold (in
%HS& HUfelS&d flitheriwisc)
100
10
10
0.1 grams
10
10
10
100
10
100
10
100
10
100
10
100
10
10
U.S. EPA also added two chemicals to the polycyclic aromatic compounds
(PACs) category that is listed above:
BeozoQ ,k)fluorene (fluoranthene)
3-methylchloanthrene
These two chemicals are not to be reported individually, rather, they should be included within
the PACs compound category.
L3-A2-1
-------
65
-------
66
ATTACHMENT 3-3
DRAFT RECORD OF TRAINING TO LEAD INSPECTIONS
(One Page)
-------
67
-------
68
DRAFT - DO NOT QUOTE OR CITE
RECORD OF TRAINING TO LEAD INSPECTIONS
TOXICS SECTION
June 29,1999
Name:.
Date Requirements Completed:,
Mandatory Training (Indicate date completed, except for medical monitoring)
1. Basic Inspector Training
2. Health and Safety Training (24 hour)
3. Annual Refresher Training (8 hour)
4. Medical Monitoring (if you have the potential to be routinely exposed to chemicals)
Program Specific Training
Type of Activity
1. TSCA/EPCRA
Introduction/Orientation - guided self-
study with senior mentor to learn about
your assigned program(s)
2. OJT Office Preparation for Field
Work - inspection targeting, learning
about the industry, planning logistics for
field work, learning inspection
procedures from coworkers
3. a. Field Experience accompanying
an experienced inspector who is
conducting the inspection, participating
as appropriate in data gathering and
documentation
b. Held Experience conducting
inspections, accompanied by a more
senior inspector
4. Experience writing inspection
reports, including review and approval
by Section Chief or designee
Number of
Hours
80 hours
40 hours
3 to 5
inspections
or 40 hours
3 to 5
inspections
or 40 hours
5 reports or
20 hours
Accomplishments (Description,
Date, Number of Hours)
G:\USER\SHAREVCMD\Toxics Release InventoryNStandard Operating Procedores\2_ InspectionUnspector
Requirements, Toxics Section.wpd
L3-A3-1
-------
69
-------
70
ATTACHMENT 3-4
ANSWERS TO LESSON 3 REVIEW QUESTIONS
(Two Pages)
-------
71
-------
72
ANSWERS TO LESSON 3 REVIEW QUESTIONS
What are the criteria a facility must meet to be subject to the EPCRA Section 313
reporting requirements?
• Have 10 or more full-time employees (or 20,000 paid personnel and/or contractor
hours) per year.
Are in SIC codes 10 (except 1011,1081, and 1094); 12 (except 1241); 20 through
39,4911, and 4931 (limited to facilities that combust coal and/or oil for the
purpose of generating power for distribution in commerce); 4953 (limited to
facilities regulated under RCRA, Subtitle C); and 5169, 5171, and 7389 (limited
to facilities primarily engaged in solvent recovery services on a contract or fee
basis). In addition, Federal Facilities subject to Executive Order 12856 must
report.
• Manufacture, process, or otherwise use a listed toxic chemical in excess of the
specified threshold of quantities.
What are the adverse effects that a chemical from the EPCRA Section 313 Toxic
Chemical List may cause?
Acute human health effects (such as severe chemical burns)
• The adverse effects described above must have the potential to occur beyond the
facilities' boundaries. In other words, the surrounding community would be at
risk, should an emergency occur during facility use of a particular toxic chemical.
Chronic human health effects (such as cancer or teratogenic effects, reproductive
dysfunctions and neurological disorders)
Environmental effects (such as gradual or sudden changes in the composition of plant
and/or animal life or abnormally high number of deaths of organisms in the surrounding
environment)
Name the two different programs an EPCRA Section 313 inspector may come from
and briefly describe the differences in their authority.
NCSC Employee (SEEs) - Grantees under the SEE Program and employees of NCSC.
Possess the full inspection authority of Federal EPA inspectors, except for viewing TSCA
CBI. Permitted limited viewing of EPCRA trade secret information.
L3-A4-1
-------
73
-------
75
Lesson 4
Compliance Monitoring Strategy
for EPCRA Section 313
Inspections
-------
76
-------
77
EPCRA Section 313
Inspector Training Manual
Lesson 4: Compliance Monitoring
Strategy for EPCRA Section 313 Inspections
TABLE OF CONTENTS
LESSON 4: COMPLIANCE MONITORING STRATEGY
INTRODUCTION L4-1
Purpose L4-1
Objectives L4-1
COMPLIANCE MONITORING STRATEGY L4-1
Purpose of the Compliance Monitoring Strategy L4-1
Goal of EPCRA Section 313 Compliance Monitoring Strategy L4-1
Components of the Compliance Monitoring Strategy L4-2
EPCRA SECTION 313 ENFORCEMENT RESPONSE POLICY L4-4
Strategy for Effective Enforcement L4-4
Levels of Actions L4-4
ROLE OF THE EPCRA SECTION 313 INSPECTOR L4-6
EXERCISE L4-6
SUMMARY L4-7
REVIEW QUESTIONS L4-7
ATTACHMENT
4-1 ANSWERS TO LESSON 4 REVIEW QUESTIONS L4-A1-1
November 2000
L4-i
Module II: Background on EPCRA
Section 313 Regulations
-------
78
-------
79
EPCRA Section 313
Inspector Training Manual
Lesson 4: Compliance Monitoring
Strategy for EPCRA Section 313 Inspections
INTRODUCTION
Purpose
The purpose of this lesson is to inform you of EPA's Strategy for Monitoring Compliance with
EPCRA Section 313 regulations. Additionally, the EPA's Enforcement Response Policy (ERP),
Regional Memoranda of Agreements (MOA), and Audit Policy will be discussed as the three
major tools that support EPA's nationwide compliance and enforcement efforts.
Objectives
Given a small group exercise:
• Discuss the Compliance Monitoring Strategy for EPCRA Section 313 inspections.
• Discuss the ERP, Regional Agreements MOAs, and Audit Policy as support tools to
EPA's nationwide compliance and enforcement strategy.
* Explain how the Compliance Monitoring Strategy impacts current job responsibilities of
EPCRA Section 313 inspectors.
COMPLIANCE MONITORING STRATEGY
Purpose of the Compliance Monitoring Strategy
EPA's Compliance Monitoring Strategy serves to establish a foundation of reporting
requirements for States and Regions on which to base the development of their individual
compliance programs and MOAs. This foundation establishes guidelines and minimum
compliance standards, nationwide, that States and Regions are responsible for upholding.
Goal of EPCRA Section 313 Compliance Monitoring Strategy
One of EPA's goals is to reduce toxic chemical releases that are emitted into the environment.
EPCRA Section 313 and PPA Section 6607 were enacted to require reporting of releases, off-site
transfers, and other waste management activities to the Federal and State governments. The goal
of EPA's compliance strategy for EPCRA Section 313 is to:
November 2000
L4-1
Module II: Background on EPCRA
Section 313 Regulations
-------
80
EPCRA Section 313
Inspector Training Manual
Lesson 4: Compliance Monitoring
Strategy for EPCRA Section 313 Inspections
* Enforce Section 313 compliance through facility inspections.
Provide technical and educational support to industry and the community through
outreach programs and compliance assistance (such as workshops, seminars, and EPCRA
Section 313 literature).
• Encourage entities subject to EPCRA Section 313 requirements to voluntarily discover,
promptly disclose, and expeditiously correct violations of EPCRA Section 313.
Inspectors have primary responsibility for the first goal. You have a more limited role in
providing outreach and compliance assistance to industry on EPCRA Section 313. The majority
of outreach and educational support is provided by the Regional TRI Coordinators and
Headquarters staff in the TRI Program Division in the Office of Environmental Information.
Components of the Compliance Monitoring Strategy
Federal compliance activities focus on three main areas: conducting facility inspections,
providing outreach programs for facilities and communities, and encouraging voluntary audits
and disclosures by facilities of their compliance with EPCRA Section 313.
Facility Inspections. Facility inspections focus on two types of violators: non/Iate reporting
facilities and reporting facilities that submit incomplete or inaccurate Form R reports (data
quality). Therefore, the Federal compliance program consists of two types of inspections:
• Non/Late Reporter Inspection. This inspection process identifies suspected non/late
reporter facilities and investigates whether these facilities are subject to EPCRA Section
313 reporting requirements.
• Data Quality Inspection. This inspection process identifies and takes action against
reporting facilities that have submitted Form Rs with identifiable errors or incomplete
submissions.
These inspections have often been conducted as discrete activities but may be combined into one
process-based inspection/investigation.
None of EPCRA Section 313 has been delegated to the States; however, some states have
enacted similar legislation. In those cases where the State has its own inspection authority, you
should coordinate with the State in order to prevent duplication of effort.
Outreach Programs/Efforts. Another important component of the Compliance Monitoring
Strategy is outreach to facilities through national, state, and local outreach programs. Such
activities may include:
November 2000
L4-2
Module II: Background on EPCRA
Section 313 Regulations
-------
81
EPCRA Section 313 Lesson 4: Compliance Monitoring
Inspector Training Manual Strategy for EPCRA Section 313 Inspections
• Education of, and coordination with, other state environmental programs
• Training (seminars and workshops)
• Fostering cooperation with trade associations by providing technical assistance
• Publicizing the purpose of enforcement, including issuing "Enforcement Alerts" of
identified EPCRA Section 313 compliance problems
• Publicizing Voluntary Reduction Programs and the availability of compliance incentives,
(for example, EPA's "Incentives for Self-Policing: Discovery, Disclosure, Correction
Prevention of Violations" Policy, also known as "Audit Policy")
• Coordination with the state agencies conducting outreach activities
• Ongoing communications with reporting facilities
By conducting these activities, you will provide EPCRA-Section 313-specific information to
facilities and the community. This dissemination of information increases program visibility
throughout State governments, the regulated community, and the public. The more visible the
program is within State governments and the community, the more support you, as EPCRA
Section 313 inspectors are likely to receive in promoting specific outreach activities and
conducting inspections. An up-front investment in educating State and local governments,
citizens, and the regulated community about EPCRA Section 313 requirements is also expected
to improve compliance.
Encouraging and Evaluating Voluntary Audits and Disclosures of Violations. There are not
enough inspectors to routinely inspect all subject facilities for compliance with EPCRA Section
313 requirements. Therefore, EPA encourages facilities to take more responsibility for auditing
for compliance, disclosing any violations that are discovered, and promptly correcting them. In
return, EPA agrees to reduce or eliminate penalties. Since the policy took effect in 1996, a large
percentage of audit disclosures have been for EPCRA violations. Although the Audit Policy
does not apply to compliance issues identified during an inspection, inspectors should be familiar
with the Audit Policy and help disseminate information about its availability. Additional
information on the Audit Policy is available at: http://www.epa.gov/oeca/ore/auditupd.html.
November 2000 Module II: Background on EPCRA
L4-3 Section 313 Regulations
-------
82
EPCRA Section 313
Inspector Training Manual
Lesson 4: Compliance Monitoring
Strategy for EPCRA Section 313 Inspections
EPCRA SECTION 313 ENFORCEMENT RESPONSE POLICY
To support the National Compliance Monitoring Strategy, the EPA issued an ERP in December
1988 that addressed EPCRA Section 313 violations. Since that time, EPA has reviewed several
years of compliance and enforcement data and revised the policy on August 10,1992 to increase
effectiveness of enforcement actions against EPCRA Section 313 violators. As of October 2000,
EPA is developing another revised ERP. When the revised ERP is approved, EPA will make it
available on the Internet at http://es.epa.gov/oeca/ore/tped/index.html.
The ERP's purpose is to ensure that enforcement actions for EPCRA Section 313 violations are
determined in a fair and consistent manner and that the penalty is commensurate with the
violation committed. Through effective enforcement, the EPA hopes to deter facilities from
committing additional EPCRA Section 313 violations.
Strategy for Effective Enforcement
Effective administration of the EPCRA Section 313 enforcement program is dependent upon the
teamwork between the Office of Enforcement and Compliance Assurance (OECA) and the EPA
Regions. On an annual basis, the Regions individually prepare MOAs with Headquarters.
Management at both Regions and Headquarters agree upon the MOA program goals, flexibility,
and discretion. These agreements detail how each Region will implement its compliance and
enforcement programs to achieve EPA's National program objectives, while recognizing the
relevant circumstances and/or conditions of the Region and/or specific State(s) within that
Region. Although there is a recognized demand for more administrative resources to meet the
array of program priorities, the objective of Headquarters and Regions is to use all existing State,
Regional, and National resources to fully address both Regional and National priorities.
Levels of Actions
When a facility violation occurs, there are five levels of enforcement actions that can be taken.
Each level and a brief description are presented below.
No Action. Generally, enforcement actions are not taken when voluntary changes are submitted
to correct original Form R report data under the following circumstances:
• Revisions reflecting new or improved information that was not available when the facility
completed its original Form R submission
• New or improved procedures that were not available when the facility completed its
original submission of the Form R
November 2000
L4-4
Module II: Background on EPCRA
Section 313 Regulations
-------
83
EPCRA Section 313 Lesson 4: Compliance Monitoring
Inspector Training Manual Strategy for EPCRA Section 313 Inspections
A facility that submits a revision that does not meet either of these descriptions or a revision that
calls into question the basis for the initial data reported on the original Form R report will be
subject to an enforcement action. Additionally, a Form R submitted after the July 1 deadline,
which was not previously submitted, is not considered to be a revision and is subject to a civil
administrative penalty for failure to report in a timely manner.
Notices of Noncompliance fNON). A NON is the appropriate response for certain types of errors
detected on Form R reports. Generally, these reporting errors prevent Headquarters from
entering the Form Rs into the TRI database. EPA issues a NON to the facility, which requests
that the incorrect information be updated within thirty days. Failure to correct any error for
which a NON is issued may be the basis for issuance of a Civil Administrative Complaint. Civil
Administrative Complaints will be discussed in further detail as the next level of action.
Examples of errors that may warrant the issuance of a NON include:
• Form R reports that are assembled incorrectly
• Form R reports submitted with missing or invalid facility or chemical identification
information
• Submission of EPCRA Section 313 or PPA information on an invalid form
• Magnetic media submissions that cannot be processed
» Submission of a Form R report with trade secrets without a sanitized version or the
submission of the sanitized version of the Form R report without the trade secret
information
• Form R reports that are sent to a wrong address
You will be provided more information about these examples in Module III, Targeting
Inspections.
Civil Administrative Complaints. A Civil Administrative Complaint is the appropriate
enforcement action for the following errors and/or delinquencies:
• Failure to report in a timely manner
• Data quality errors (EPA may issue a Notice of Technical Error (NOTE) or a Notice of
Significant Error (NOSE) for certain data quality errors)
• Failure to respond to a NON
November 2000 Module H: Background on EPCRA
L4-5 Section 313 Regulations
-------
84
EPCRA Section 313
Inspector Training Manual
Lesson 4: Compliance Monitoring
Strategy for EPCRA Section 313 Inspections
• Repeat violation
• Failure to supply notification
• Failure to maintain records
Civil Judicial Referrals. The EPA, under EPCRA Section 325(c), may refer civil cases to the
U.S. Department of Justice for assessment and/or collection of a penalty in the appropriate
U.S. District Court. EPCRA Section 313 violations may also be included in civil complaints that
charge respondents with violations of other environmental statutes
Criminal Sanctions. EPCRA Section 313 does not provide for criminal sanctions for violations
of Section 313. However, 18 U.S. Code (U.S.C.) Section 1001 makes it a criminal offense to
falsify information submitted to the U.S. Government. This would specifically apply to, but not
be limited to, EPCRA Section 313 Form Rs where information was intentionally falsified, then
submitted. In addition, the knowing failure to file an EPCRA Section 313 Form R report may
warrant prosecution for concealment, as prohibited by 18 U.S.C. 1001.
ROLE OF THE EPCRA SECTION 313 INSPECTOR
The EPCRA Section 313 inspector is the heart of the Compliance Monitoring Strategy. Your
thorough efforts throughout the inspection process are what enables each Region and
Headquarters to enforce EPCRA Section 313 effectively, and increases industrial and community
awareness. Effective targeting and thorough on-site inspections are critical to regional and
national enforcement. Additionally, your participation in outreach efforts during the closing
conference on site or while conducting workshops within the community help to educate people
about toxic releases and other waste management practices, which in turn, increases public
awareness and industry compliance.
EXERCISE
Divide into groups according to the number of Regions that are represented. Given the
information just presented and reviewed, your Regional group should discuss and write down
how your Region meets the national objectives for compliance and enforcement. After a
15-minute small group discussion, each Region should share with the class their strategy for
achieving national goals and identify what goals or implementation activities have worked well
and any that have proven to be problematic.
November 2000
L4-6
Module II: Background on EPCRA
Section 313 Regulations
-------
EPCRA Section 313
Inspector Training Manual
Lesson 4: Compliance Monitoring
Strategy for EPCRA Section 313 Inspections
SUMMARY
The Compliance Monitoring Strategy focuses on two main areas for promoting awareness and
increasing compliance. The first area is conducting facility inspections. The second strategic
area focuses on outreach programs for industries and communities. These seminars and
workshops provide technical support, which improves compliance and educational support, and
in turn, promotes awareness.
The ERP was created to support compliance through enforcement of EPCRA Section 313. This
document details the levels of enforcement actions that can be taken when facilities do not report
toxic chemicals as required.
MO As are established on a bi-annual basis between each Region and OECA in EPA
Headquarters. MOAs address the individual agreements with each Region, and/or States within
that Region, for meeting the national goals.
REVIEW QUESTIONS
The answers to these review questions are presented in Attachment 4-1.
1. List and give a brief description of the two main elements of the Compliance Monitoring
Strategy.
2. What is the purpose of the Compliance Monitoring Strategy?
November'2000
L4-7
Module II: Background on EPCRA
Section 313 Regulations
-------
86
EPCRA Section 313
Inspector Training Manual
Lesson 4: Compliance Monitoring
Strategy for EPCRA Section 313 Inspections
3. What is the ERP, and why was it created?
4.
What is an MO A?
5. What is the EPCRA 313 inspector's role in the Compliance Monitoring Strategy?
6.
In the levels of enforcement actions, what constitutes a No Action decision?
7. Name at least three types of errors whereby the EPA can issue a NON.
November 2000
L4-8
Module II: Background on EPCRA
Section 313 Regulations
-------
87
EPCRA Section 313
Inspector Training Manual
Lesson 4: Compliance Monitoring
Strategy for EPCRA Section 313 Inspections
8. Name at least three errors and/or discrepancies that could result in a Civil Administrative
Complaint.
9.
Name some circumstances in which Civil Judicial Referrals are warranted.
10. Are criminal sanctions imposed on facilities that violate EPCRA Section 313
requirements?
November'-2000
L4-9
Module II: Background on EPCRA
Section 313 Regulations
-------
88
-------
89
ATTACHMENT 4-1
ANSWERS TO LESSON 4 REVIEW QUESTIONS
(Three Pages)
-------
90
-------
91
ANSWERS TO REVIEW QUESTIONS
List and give a brief description of the two main elements of the Compliance Monitoring
Strategy.
Inspections. Facility inspections focus on two types of violators: non/late reporters and
reporters who submit incomplete or inaccurate Form R reports. The non/late reporter
inspection process identifies suspected non-reporters and investigates whether these
facilities are subject to EPCRA Section 313 reporting requirements, as well as addressing
TRI reporters who are very or habitually late in reporting. The data quality inspection
process identifies and investigates reporters who have submitted forms with errors or
omissions.
Outreach. The program consists of seminars, workshops, a hotline, and literature. This
dissemination of information increases program visibility within State governments, the
regulated community, and the public.
What is the purpose of the Compliance Monitoring Strategy?
The purpose of EPA's Compliance Monitoring Strategy is to establish a foundation for
states and EPA Regions to follow their own individual compliance programs with support
from EPA Headquarters. This foundation establishes guidelines and minimum
compliance standards nationwide that Regions are responsible for upholding.
What is the ERP, and why was it created?
The EPCRA Section 313 Enforcement Response Policy is an important tool for
implementing the Compliance Monitoring Strategy. Its purpose is to ensure that
enforcement actions for EPCRA Section 313 violations are determined in a fair and
nationally consistent manner and that the penalty is commensurate with the violation
committed. Through effective enforcement, the EPA hopes to deter facilities from
committing additional EPCRA Section 313 violations.
What is an MOA?
Every two years, each Region prepares a Memorandum of Agreement in response to
MOA guidance developed by Headquarters. Both Regional and Headquarters
management agree upon the MOA program goals and commitments. These agreements
detail how the Region will implement its EPCRA enforcement and compliance program
to achieve EPA's national program objectives, while recognizing the relevant
circumstances and/or conditions of the Region.
L4-A1-1
-------
92
5. What is the EPCRA Section 313 inspector's role in the Compliance Monitoring Strategy?
The thorough efforts of EPCRA 313 inspectors are what enable each Region and
Headquarters to effectively enforce the law and increase industrial and community
awareness. Effective targeting and thorough inspections are critical to effective
enforcement. Additionally, inspectors' outreach efforts during the closing conference and
participation in workshops help to educate the community, subject facilities, and state and
local governments about toxic releases and EPCRA Section 313 requirements.
6. In the levels of enforcement actions, what constitutes a No Action decision?
• Revisions reflecting new or improved information that was not available when the
facility completed its original Form R submission
• New or improved procedures that were not available when the facility completed
its original submission of the Form R
7. Name at least three types of errors whereby the EPA can issue a NON.
• Form R reports that are assembled incorrectly
• Form R reports submitted with missing or invalid facility or chemical
identification information
• Submission of EPCRA Section 313 or PPA information on an invalid form
• Magnetic media submissions that cannot be processed
• Submission of a Form R report with trade secrets without a sanitized version or
the submission of the sanitized version without the trade secret information
• Form R reports that are sent to a wrong address
8. Name at least three errors and/or discrepancies that could result in a Civil Administrative
Complaint.
• Failure to report in a timely manner
• Data quality errors (A NOTE or NOSE may be issued for certain data quality
errors.)
• Failure to respond to a NON
• Repeat violation
• Failure to supply notification
L4-A1-2
-------
93
• Failure to maintain records
9. Name some circumstances in which Civil Judicial Referrals are warranted.
• Under EPCRA Section 325(c), EPA may refer civil cases to the Department of
Justice for assessment and/or collection of a penalty in the appropriate U.S.
District Court.
• EPCRA Section 313 violations may be included in civil complaints that charge
respondents with violations of other environmental statutes.
10. Are criminal sanctions imposed on facilities that violate EPCRA Section 313
requirements?
EPCRA Section 313 does not provide for criminal sanctions for violations. However, 18
U.S.C. Section 1001 makes it a criminal offense to falsify information submitted to the
U.S. Government. This would specifically apply to, but not be limited to, EPCRA
Section 313 Form Rs where information was intentionally falsified. In addition, the
knowing failure to file an EPCRA Section 313 Form R report may warrant prosecution
for concealment, which is prohibited by 18 U.S.C. 100.
L4-A1-3
-------
94
-------
95
EPCRA SECTION 313
INSPECTOR TRAINING MANUAL
Module III
Targeting
-------
96
-------
97
EPCRA Section 313
Inspector Training Manual
MODULE OBJECTIVES
At the end of this module, students will be able to:
• Identify targeting resources.
• Target facilities with potential non/late reporting or data quality violations.
CONTENTS
Module III contains:
• Lesson 5: Targeting Resources
• Lesson 6: Non/Late Reporter Inspections
Lesson 7: Data Quality Inspections
November 2000 III-i Module III: Targeting Inspection
-------
98
-------
100
Lesson 5
Targeting Resources
-------
101
-------
102
EPCRA Section 313
Inspector Training Manual Lesson 5: Targeting Resources
TABLE OF CONTENTS
LESSON 5: TARGETING RESOURCES
INTRODUCTION L5-1
Purpose L5-1
Objective L5-1
TARGETING RESOURCES L5-1
Purpose L5-1
Database/Internet Resources L5-1
Publication Resources L5-3
Report Resources L5-5
Other Resources L5-6
EXERCISE L5-6
SUMMARY L5-6
November 2000 L5-i Module III: Targeting Inspections
-------
103
-------
104
EPCRA Section 313
Inspector Training Manual
Lesson 5: Targeting Resources
INTRODUCTION
Purpose
The purpose of this lesson is to provide an extensive resource list, with brief descriptions, that
can be used when targeting facilities for possible data quality and non/Iate reporter EPCRA
Section 313 violations. Although many resources are presented here, the list provided is not
comprehensive. There may be other State and regional sources that are being used effectively,
and the opportunity to discuss such resources will be provided during this lesson.
Objective
• Discuss the applicable resources that are required to target facilities.
TARGETING RESOURCES
Purpose
Researching and analyzing targeting resources is the first step in the EPCRA Section 313
inspection process. The resources that follow are categorized into four separate headings:
Database/Internet Resources, Publication Resources, Report Resources, and Other Resources. It
is important to be aware of all available targeting resources, because each Region's access to
these resources varies.
Database/Internet Resources
The following databases are frequently used as cross-reference tools, as well as separate entities,
while targeting for EPCRA Section 313 inspection sites.
EPA's TRI Internet Site - http://www.epa.gov/tri
TRI Explorer - http://www.epa.gov/triexplorer
ENVIROFACTS Database Internet Site - http://www.epa.gov/enviro
Right-to-Know Network fRTK NET') - http://www.rtk.net
The Chemical Scorecard (EDF) Internet Site - http://www/scorecard.org
The Sector Facility Indexing Project (SFIP) - http://www.epa.gov/oeca/sfi
These sites provide information on facilities reporting to TRI. They generally contain
information on each facility, identify the toxic chemical(s) being reported, the amount of
chemical released or transferred, and the media to which it was released. In the case of the
November 2000
L5-1
Module III: Targeting Inspections
-------
105
EPCRA Section 313
Inspector Training Manual
Lesson 5: Targeting Resources
Chemical Scorecard (EOF), the information is organized by facilities in specified geographical
areas, and in SFIP, by industry sector.
Dun and Bradstreet (D&BV This database contains facility information on sales, employment,
SIC code(s), and product(s) manufactured. However, because access is by subscription, this
database may or may not be available in your Region.
Facility Index System (FINDS*) or Facility Registry System (TRSX This database is designed to
link facilities subject to various Federal environmental laws, including RCRA, NPDES, and the
Clean Air Act (CAA). It is available through on-line access to the EPA National Computer
Center.
Integrated Data for Enforcement Analysis System (IDEAX This database, developed by OECA,
integrates information from various databases maintained by different program offices. It is used
for enforcement targeting, case screening, and multimedia initiatives. Specifically, it tracks an
individual facility's compliance records for most of the EPA statutes. The database is accessible
to EPA and State staff who have completed required training and have been authorized to use it.
A public version is also available that provides more limited access.
The Online Targeting Information System (OTIS) - http://intranet.epa.gov/oeca/oc/eptdd/teb/otis.
OTIS is an Intranet site with a variety of targeting tools for EPA headquarters and regional users.
OTIS provides an easy-to-use interface with the IDEA system for current facility-level inspection
and enforcement history, compliance status, and permit information. There are also tools on
OTIS that allow for facility mapping and multimedia analysis by industry sector or geographic
area.
SFIP - http://www.epa.gov/oeca/sfi. Mentioned briefly at the start of this section, SFIP brings
together environmental and other information on facilities in five industry sectors - petroleum
refining, iron and steel production, primary nonferrous metal refining and smelting, pulp
manufacturing and auto assembly. Federal facilities will be added shortly. SFIP information
includes compliance and inspection history and TRI and spill information, as well as
demographics of the population surrounding each facility.
TRI Explorer - http://www.epa.gov/triexplorer. This program allows users to analyze, sort and
compile data from the TRI, providing results by facility, chemicals, geographic, area or industry
sector, through an easy-to-use, interactive platform. Release trends reports are also available.
ENVIRQFACTS - http://www.epa.gov/enviro. EPA's ENVIROFACTS Warehouse provides
environmental information from five of EPA's largest databases containing Superfund data, Safe
Drinking Water Act information, hazardous waste information, water discharge permits, air
releases, and TRI information. ENVIROFACTS allows the user to search the databases by
facility name, geographic location, SIC code, or chemical name and to produce reports on the
November 2000
L5-2
Module III: Targeting Inspections
-------
106
EPCRA Section 313
Inspector Training Manual
Lesson 5: Targeting Resources
facilities and map their locations. ENVIROFACTS also provides access to TRI data that is
continually updated with the latest revisions.
Air Information Retrieval System (AIRS). This system provides information on volatile organic
compounds (VOC) emissions by total tonnage of emission from a facility. It also provides some
information on air toxic releases for specific chemicals. Detailed AIRS data can be accessed
through IDEA. Some AIRS data is also available on OTIS.
Biennial Report System. This database provides off-site transfer information for hazardous
wastes by facility (such as the types of hazardous wastes generated by the facility, the quantities
of hazardous waste shipped off site, and the destinations, treatment methods, and disposal
methods used for the hazardous waste). This database can be accessed through ENVIROFACTS.
USA Business Directory on CD ROM. This database identifies all U.S. businesses, with the
ability to extract information by setting specific criteria. It is located on the CD ROM portion of
the local area network, which is accessible through the Regions.
Emergency Response Notification System TERNS'). This EPA database provides information on
releases to the environment that were reported as an unplanned release with emergency status.
An emergency status release is a release that is potentially harmful to the environment and the
surrounding communities. ERNS data can be accessed through IDEA, OTIS, or SFIP.
Publication Resources
The following publications are used as technical references, as well as targeting mechanisms.
Most frequently they are used as cross-reference tools and supporting documentation for
targeting inspections.
EPCRA Section 313 Release Reporting Guidance Documents. These reports contain brief
descriptions of the industry, identify potential release points, and model calculations for
estimating releases. Although these documents provide useful information, caution should be
exercised, because the information may be out of date. Therefore, any data extracted should be
cross-checked with current data.
• Industry-specific technical guidance documents include: Rubber and Plastics
Manufacturing; Printing; Food Processing; Metal and Coal Mining; treatment, storage,
and disposal (TSD) and Solvent Recovery; Petroleum and Chemical Distribution; and
Electricity Generating Facilities. This is only a partial list; check the TRI home page at
http://www.epa.gov/tri for a complete list of available guidance documents.
Chemical-specific guidance documents include: Sulfuric Acid Aerosols, Glycol Ethers,
Nitrate Compounds, Chlorophenols, Hydrochloric Acid Aerosols, and PBT chemicals.
November 2000
L5-3
Module III: Targeting Inspections
-------
107
EPCRA Section 313
Inspector Training Manual
Lesson 5: Targeting Resources
This is a partial list; check the TRI home page for a complete list of available guidance
documents.
EPCRA Section 313 Questions and Answers. This document is updated periodically and is
intended to help clarify TRI reporting requirements. It is formatted as a series of commonly
asked questions with the corresponding answers.
Consolidated List of Chemicals Subject to Reporting Under the Act (Title III List of Listsl. The
most recent version of the list can be found on the Internet at
http://www.epa.gov/swercepp/pubs.html. The current listing of TRI chemicals can also be found
on the TRI home page.
VOC Species Data Manual. The VOC Species Data Manual also provides information on many
air emission sources. This allows the user to estimate releases of specific toxic compounds based
on the total amount of VOCs emitted from a particular source.
County Business Patterns. This resource lists the number of establishments by employment size
class: 1 to 4, 5 to 9,10 to 19,20 to 49, 50 to 99,100 to 249,250 to 499, 500 to 999, and 1,000 or
more establishments.
Kirk-Othmer Encyclopedia of Chemical Technology. This source contains detailed, documented
information on almost every type of chemical process. The bibliography after each section is an
excellent source of additional information. The author of each section is an expert in the field
who is typically knowledgeable of current trends in the industry.
SRI Directory of Chemical Producers. This directory contains information on over 1,500
facilities and can be used to confirm that all EPCRA Section 313 chemicals reported in SRI as
manufactured at that site, are reported in TRI. SRI's lower limit for reporting in the Directory is
5,000 pounds or $5,000, which is below the 25,000-pound TRI reporting threshold.
State Manufacturing Directories. These directories can be used to resolve discrepancies of name,
address, or SIC code. It also identifies establishments that are obviously (by name or address)
not covered facilities.
Effluent Guideline Series. This source contains information on releases of many pollutants to
wastewater for industries that are major sources of wastewater releases.
Compilation of Air Pollutant Emission Factors TAP- 42). This source contains process
descriptions, emission factor estimates, and control information on more than 120 processes.
Additionally, there are sections on the storage and transfer of organic liquids that are particularly
useful in calculating releases. The source is available at the Technology Transfer Network
Internet site: http://www.epa.gov/ttn. along with Water 9 and ChemDat 8 program information.
November 2000
L5-4
Module III: Targeting Inspections
-------
108
EPCRA Section 313
Inspector Training Manual Lesson 5: Targeting Resources
Industrial Process Profiles for Environmental Uses. This source contains detailed process flow
diagrams, including input materials, process conditions, and release estimates for 29 broad
industries.
National InstituteL ofjDccupational Safety and Health (NIOSH) Health Hazard Evaluations and
Industry-wide Surveys. These sources contain well documented occupational exposure
measurements and general process descriptions.
New Source Performance Standards. This source contains air release limitations that apply to
new sources in 58 industries. Many standards involve particulates or VOCs that may be useful in
determining reasonable releases of EPCRA Section 313 chemicals.
Estimating Releases and Waste Treatment Efficiencies for the Toxic Chemical Release Inventory
Form - "The Green Book". This resource details many methods used for calculating release
estimations.
Report Resources
These documents are reports submitted by facilities to State, Regional, and National EPA offices
for compliance purposes. Depending upon where and how the EPA program is implemented,
these reports can be obtained from at least one of the offices mentioned above.
RCRA Generator Information. These manifest and hazardous waste generator reports are
particularly useful in estimating off-site transfers for EPCRA Section 313 chemicals, because the
facility that receives the waste must analyze it prior to recycling, treatment, or disposal. Some of
the analyses will be Toxic Characteristic Leachate Procedure (TCLP) measurements. TCLP
measurements report leachable contaminant concentrations, not total contaminant concentrations.
Wastewater Monitoring Reports. Wastewater monitoring data on pH, metals, or other
constituents may be used, along with Wastewater release quantities, to estimate releases of
EPCRA Section 313 chemicals to water or publicly-owned treatment works (POTW).
Stack Tests. These tests provide information on the magnitude of air releases for major point
sources at a facility. While these results may be applicable for particulates or VOCs, they can be
used in conjunction with published chemical specification data to estimate releases.
VOC Emissions Factors of National Acid Precipitation Assessment Program (NAPAP) Emission
Inventory. This resource provides emission factors for VOCs, which can be used with actual
process vent measurements of volatile organics or particulates to estimate emissions of a specific
compound.
Office of Air Quality Planning and Standards Report. This report provides information on
facilities that must report VOC releases to state agencies as a condition of their permit. These
November 2000 L5-5 Module III: Targeting Inspections
-------
109
EPCRA Section 313
Inspector Training Manual
Lesson 5: Targeting Resources
reported releases may be used in conjunction with specification data to estimate air releases of
EPCRA Section 313 chemicals.
Tier II Reports. Tier II reports for a facility provide detailed descriptions for each hazardous
chemical listed on the Material Safety Data Sheets (MSDS), the maximum and average amounts
of the chemical present, storage conditions, location of the chemical, and confidential status of
the location information.
Other Resources
Tips and Referrals. These targets come from other EPA inspectors who suspect EPCRA
Section 313 violations while conducting other EPA inspections and/or members of the
community who have filed a complaint against a facility.
Facilities that have received a NON. a NOTE or a NOSE. Checking a facility's prior history for
receipt of any of these notices can help determine whether there has been any pattern of reporting
problems. The notices function as a check-up system for facilities who submit Form Rs, but
their submittals have been identified as having technical errors, omissions, or other errors.
Newspapers/MagaTi'nes/Television Broadcasts. These resources are useful for researching
facility background, and in some instances, targeting an actual site.
Library. The library is used to conduct technical research and gather background information on
specific industries and companies.
EXERCISE
In small groups, discuss the types of resources that you use in your Region(s), how you use them,
and-which ones you have found most effective and why. After 15 minutes, come back together
and discuss any new or other resources that are not covered in this lesson.
SUMMARY
You have learned that researching and analyzing targeting resources is the first step in the
EPCRA Section 313 inspection process. The resources introduced in this lesson were
categorized into four separate headings: Database/Internet Resources, Publication Resources,
Report Resources, and Other Resources.
November 2000
L5-6
Module III: Targeting Inspections
-------
110
EPCRA Section 313
Inspector Training Manual Lesson 5: Targeting Resources
This lesson introduced a list of resources that will be used when targeting facilities for
inspection; however, they are not the only resources that can be utilized. It is important to
thoroughly investigate the resources your Region has available and to use them to their fullest
extent.
November 2000 L5-7 Module III: Targeting Inspections
-------
111
-------
113
Lesson 6
Non/Late Reporter
Inspections
-------
114
-------
115
EPCRA Section 313
Inspector Training Manual
Lesson 6: Non/Late Reporter Inspections
TABLE OF CONTENTS
LESSON 6: NON/LATE REPORTER INSPECTIONS
INTRODUCTION L6-1
Purpose L6-1
Objective L6-1
NON/LATE REPORTER TARGETING L6-1
Using the TRI Database L6-1
National EPCRA Targeting Efforts L6-3
Common Non/Late Reporter Targeting Procedure L6-4
Other Targeting Methods L6-6
EXERCISE L6-7
SUMMARY L6-7
REVIEW QUESTIONS L6-8
ATTACHMENT
6-1 ANSWERS TO LESSON 6 REVIEW QUESTIONS L6-A1-1
November 2000
L6-i
Module III: Targeting Inspections
-------
116
-------
117
EPCRA Section 313
Inspector Training Manual Lesson 6: Non/Late Reporter Inspections
INTRODUCTION
Purpose
The puipose of this lesson is to assist EPCRA Section 313 Inspectors in targeting possible
non/late reporting facilities that meet EPCRA Section 313 requirements. It provides some
methods that will help identify facilities that are subject to the EPCRA Section 313 reporting but
who have not submitted Form Rs for their releases and other waste management activities. There
are many different methods for targeting non/late reporters. Many of these methods are
effective, some are not. The methods explained in this lesson are ones that have proven to be
effective. Throughout this lesson, consider how you may modify or adapt these methods to fit
your needs and the resources available within your Region.
Objective
• Discuss the basic process of non/late reporter targeting.
NON/LATE REPORTER TARGETING
Targeting potential non/late reporters of EPCRA Section 313 could, to some degree, be
compared to the work of a detective. Your job is to collect and assimilate the information that
will lead you to facilities that have not complied with EPCRA Section 313 reporting
requirements. To obtain this information, you must be able to access and use the resources (see
Lesson 5) that will help you target these facilities. The remainder of this lesson will suggest
some methods to first identify industries and then facilities, who are likely candidates. If your
Region does not have access to some of the resources discussed, feel free to suggest
modifications that would make targeting methods more applicable to your own situation,
Using the TRI Database
The TRI database can be a valuable resource in targeting for EPCRA Section 313 non/late
reporter violations. Under Section 313 of EPCRA, facilities that meet certain criteria are
required to report their releases and other waste management activities for listed toxic chemicals,
The specific criteria established by the statute are:
• Facility has ten (10) or more full-time employees or the equivalent.
November 2000 L6-1 Module III: Targeting Inspections
-------
118
EPCRA Section 313
Inspector Training Manual
Lesson 6: Non/Late Reporter Inspections
• A "full-time employee," for the purposes of EPCRA Section 313 reporting, is defined as
an employee who completes 2,000 work hours per year.
• Facility is in a covered SIC code
• Facility meets or exceeds the threshold limits established for the specific reporting
year.
Facilities meeting all of the above criteria must submit Form Rs, estimating releases and other
waste management activities of those EPCRA Section 313 toxic chemicals. It is the data
collected from the Form Rs that are entered into the TRI database. The TRI database is a
valuable tool in identifying facilities that have already reported.
Identification of Possible Non/Late Reporting Facilities. You can compare establishments listed
in the County Business Patterns, D&B, and other targeting resource guides, having covered SIC
codes and 10 or more employees, to facilities listed in the TRI database for a specific geographic
area (city, county, or state). However, keep in mind that a TRI facility may consist of more than
one establishment, so for this reason alone, there will probably be a larger number of
establishments listed for a particular area than appears in TRI. The establishment's name,
address, and SIC code can be checked against the TRI data to determine if the establishment has
reported to the TRI. You can check for non/late reporters by seeing if the establishment reported
for TRI in past years versus the most current reporting year.
There may be valid reasons why the establishment is not subject to reporting. Its SIC code may
have changed; it may be part of a multi-establishment facility whose activities are primarily in
non-covered SIC codes; or it may no longer have ten or more full-time employees. Other
reasons may be that an establishment or facility may not manufacture, process, or otherwise use
any of the listed toxic chemicals in excess of the reporting thresholds or that their activities
involving toxic chemicals may qualify for one of the TRI reporting exemptions.
While legitimate reasons may exist to explain why a facility is no longer subject to the EPCRA
Section 313 filing requirements, at a minimum, the discovery of the facility's absence in the TRI
database for one or more years merits further investigation on your part.
Problems with Database Identification. Identification of non/late reporting facilities using public
databases presents several problem areas:
• Four-digit SIC codes in many industries are not clearly understood.
Problem: Some databases collect information by establishment; some collect data on the
facility.
November 2000
L6-2
Module III: Targeting Inspections
-------
119
EPCRA Section 313 .
Inspector Training Manual
Lesson 6: Non/Late Reporter Inspections
• Different company names and addresses (Post Office [P.O.] box versus street address) for
the same facility appear in different databases.
Problem: Facilities could be listed according to their corporate name and P.O. box in one
database and by their subsidiary or division name and street address in another.
• Companies have different branch offices.
Problem: A company could have an office where no EPCRA Section 313 chemicals are
used but which is included among the establishments on a database listing.
• Some facilities have more than one SIC code, but the database only reflects one entry.
Problem: These operations are difficult to identify by SIC code alone.
• Different completion dates between databases.
Problem: Company ownership changes are difficult to track and identify between
databases that are updated at different intervals.
National EPCRA Targeting Efforts
EPA Headquarters has developed a number of tools to assist the Regions with targeting EPCRA
inspections. The Enforcement Planning, Targeting and Data Division (EPTDD) in the Office of
Compliance (OC) is available to provide assistance in EPCRA reporting and data quality
targeting. The Targeting and Evaluation Branch of EPTDD has developed many tools and
analyses that are available on their Intranet site, OTIS. In addition, the staff have conducted
analyses that examine chemicals reported to the TRI to determine potential reporting violations
by comparing reported chemicals with expected chemicals based on facility type or other
reported data. Non-reporters may be identified by comparing facilities with permits in other
program data systems (for example, the Aerometric Information Retrieval System Facility
Subsystem [AFS]) with those reporting to TRI.
The EPCRA Targeting System (ETS) provides automated support to the seven-step targeting
methodology, discussed in the previous section, for identifying non/late reporting facilities. In
conjunction with Regional cooperation, this system was developed to provide Regional
inspectors with a tool to identify facilities that are potential non/late reporters. However, this
system required installation and programming support in each EPA Regional office. The ETS
may not be available and operational in every region.
ETS is a hybrid personal computer (PC)/Mainframe computer system that provides local access
to, and manipulation of, facility information for the creation of prioritized inspection targeting
November 2000
L6-3
Module III: Targeting Inspections
-------
120
EPCRA Section 313
Inspector Training Manual
Lesson 6: Non/Late Reporter Inspections
lists. It also supports tracking of facility contacts and tips and complaints and is able to support
outreach efforts. It merges information to create an actual target list.
The ETS derives its list of facilities from D&B and the TRI database for facilities with the
covered SIC codes and 10 or more full-time employees. This list is created at the national level,
but can then be partitioned into ten Regional segments. Each Region can then download its own
data to a PC for local use. Each Region's segment contains only facilities located in that Region.
The cross-matched information provides the Inspector with the following facility information:
• Parent Company
• Corporate Information
• Geographic Information
• TRI Reporting Status and Dates
The inspector also has fields in ETS in which information on facility history, previous facility
contact, comments, and tips and complaints can be manually entered into the system. Tips,
complaints, and facility contact information can be used as criteria in the development of new
inspection targeting lists.
Common Non/Late Reporter Targeting Procedure
The methodology proposed below for identifying non/late reporting facilities consists of seven
steps. These steps are based on some of the resources have proven to be useful in targeting
potential non/late reporter facilities. This process is as follows:
1. Select industries where non/late reporting appears to be a problem and identify one or
more 4-digit SIC codes that define this industry.
2. Identify facilities as a result of Step 1.
3. Compare an establishment reported in County Business Patterns, D&B, and the new
industry listings with over 10 full-time employees against the TRI database.
4. Check the log of facilities previously contacted and/or inspected, if one is maintained by
your Region.
5. If you did a search by SIC code, recheck the TRI database by name and location to ensure
that a facility has not reported under a different SIC code.
November 2000
L6-4
Module III: Targeting Inspections
-------
121
EPCRA Section 313
Inspector Training Manual
Lesson 6: Non/Late Reporter Inspections
6. Gather data on sales, employment, and other information.
7. Select candidate facilities.
The following is a more detailed explanation of each step of the methodology for targeting a
non/late reporting facility.
Selecting Industries. Perhaps the most important task in effectively identifying non/late reporters
is the selection of industries to be investigated. This selection should be based on the following
types of criteria:
• Likelihood of manufacturing, processing, or otherwise using chemicals in significant
quantities.
• Experience of the Regional office with this industry in areas such as:
Record of other environmental violations
Sophistication of the industry in understanding environmental requirements
• Certain processes are identified by specific SIC codes. For example, metal degreasers,
spray painting, or electroplating could be identified by individual SIC codes.
Identify Facilities. Within the industry you have targeted, choose facilities who meet the
EPCRA Section 313 reporting criteria. Narrowing your field to facilities at this point will help
focus your targeting and make it more efficient.
Compare Facilities and Establishments with Other Databases. Using the 4-digit SIC codes,
compare the facility in the TRI with an establishment in County Business Patterns. County
Business Patterns presents the number of establishments by employment size class: 1 to 4, 5 to 9,
10 to 19,20 to 49, 50 to 99, 100 to 249,250 to 499, 500 to 999, and 1,000 or more
establishments, The decisions you will make may follow these "if, then" patterns:
• If, in the industry selected, it is likely that all facilities with 10 or more full-time
employees would use at least one EPCRA Section 313 chemical in excess of the
threshold, then the number of establishments with over 10 full-time employees should be
selected for comparison with the TRI database.
• If only larger facilities would be expected to exceed the threshold on a consistent basis,
then a facility with over 20 or 50 full-time employees may be used for this TRI
comparison.
Also, obtain the number of establishments in the same 4-digit SIC code in D&B. A current list
of D&B is available in DIALOG D&B File 515, which was discussed in Lesson 5. The total
November 2000
L6-5
Module III: Targeting Inspections
-------
122
EPCRA Section 313
Inspector Training Manual Lesson 6: Non/Late Reporter Inspections
number of facilities in the SIC code over a specified employment size may be printed out without
listing the facilities. Compare the establishment in County Business Patterns and D&B with the
facility and/or establishment in the TRI database (by Region, State, or other desired area).
Compare D&B Listing With TRI Database. Remove the facility if you find that they have
reported in the TRI database by the facility comparing against the D&B list. For facilities in SIC
Codes 20 through 39, you can use State manufacturing directories to resolve discrepancies on
name, address, or SIC code, Remove other establishments that are obviously (by name or
address) not a covered facility, such as headquarter facilities.
Check Your Regional Records for Facilities Previously Contacted. If your Region maintains a
record on those facilities that have been contacted by other representatives from your Region,
you should consult this record now. This simple reference can eliminate much duplicative effort
and ensure that your efforts will not be wasted by contacting a facility that has recently been
either contacted and/or inspected by another EPCRA Section 313 inspector.
Recheck the TRI Database bv Name and Location. Because facilities may report to the TRI and
D&B using different SIC codes, recheck the TRI database to be sure that the facility has not
submitted information under a different SIC code. Remove those facilities found.
Gather jSales. Employment, and Other Information. For each facility, gather the number of
employees and the sales numbers for the facility. This information can be obtained from the
State Manufacturing Directories or from DIALOG D&B Files 515 and 516. (Note that the
DIALOG D&B Files 515 and 516 should not be your sole source for this information.) Any
other databases available to the Regional office that help prioritize the remaining facilities on the
list (such as information from states in the Region) should also be added.
Select Candidate Facilities. Select facilities with high sales, employees, or RCRA volumes as
the best candidate facilities. Also, pre-screen the facility by telephone to ensure that the location
is primarily a covered facility and not just an office or warehouse location.
Other Targeting Methods
Although the above is procedure effective to target non/late reporter facilities, do not forget to
use other resources available to you, particularly tips and referrals. These could come from any
number of sources. For example:
• State Referrals
• Community Groups
• Environmental Groups
November 2000 L6-6 Module III: Targeting Inspections
-------
123
EPCRA Section 313
Inspector Training Manual
Lesson 6: Non/Late Reporter Inspections
• Other EPA Inspectors
• Anonymous Tips
• Other Program Areas
All of these are viable sources that could provide you with valuable leads if you cultivate these
relationships. Additionally, you are a potential source of tips. As you travel from facility to
facility for EPCRA Section 313 inspections, keep your own eyes and ears open. For instance,
you may see facilities that look like potential Section 313 candidates. In discussions with facility
officials, other facilities with which they conduct business may also be mentioned.
EXERCISE
In groups of three to four, develop questions or scenarios involving the process ofnon/late
reporter targeting (do this for approximately JO minutes). These questions/scenarios may be
Region-specific. Write down the concerns and present them for discussion of possible solutions.
SUMMARY
This lesson has focused on the process ofnon/late reporter targeting. By identifying those
facilities that are not reporting their usage of EPCRA Section 313 toxic chemicals, you will
reduce the potential for continued damage to the environment. Effectively targeting these
facilities depends upon your ability to collect and interpret the data available to you in these
facilities. The methods explained in this lesson should assist you in this effort. By using the
targeting resources and procedures identified in this chapter, your non/late reported targeting
activities should become more efficient and effective. The seven-step method to targeting walks
you through the entire targeting process, from industry selection to facility selection. Regardless
of which method presented in this lesson is best for you, always be sure to use all the resources
available to your advantage.
November 2000
L6-7
Module III: Targeting Inspections
-------
124
EPCRA Section 313
Inspector Training Manual
Lesson 6: Non/Late Reporter Inspections
REVIEW QUESTIONS
The answers to these review question are presented in Attachment 6-1.
1. What are the criteria for facilities having to report in accordance with EPCRA
Section 313?
2. What are some of the problems an inspector may face when trying to conduct non/late
reporter targeting through databases?
3. What are the seven steps for non/late reporter targeting?
November 2000
L6-8
Module III: Targeting Inspections
-------
125
ATTACHMENT 6-1
ANSWERS TO LESSON 6 REVIEW QUESTIONS
(Two Pages)
-------
126
-------
127
ANSWERS TO LESSON 6 REVIEW QUESTIONS
What are the criteria for facilities having to report in accordance with EPCRA
Section 313?
• Ten or more full-time employees or the equivalent
• Meets or exceeds the threshold limits for the designated EPCRA Section 313
chemicals established for that specific reporting year
• Falls into one of the covered SIC codes
What are some of the problems an inspector may face when trying to conduct non/late
reporter targeting through databases?
Possible Answers:
• Inconsistency in the use of the 4-digit SIC codes. Some databases collect
information by establishment; some collect data on the facility.
• Different company names and addresses (P.O. box versus street address) for the
same facility appear in different databases. Facilities may be listed according to
their corporate name and P.O. box in one database and by their subsidiary or
division name and street address in another.
• Companies have different branch offices. A company could have an office where
no EPCRA Section 313 chemicals are used, but which is included among
manufacturing establishments or other covered industry listings in a database.
• Some facilities have more than one SIC code, but the database only inputs one.
• There are different update dates between databases. This can cause problems
tracking company ownership and other pertinent information if the databases are
updated at different intervals.
What are the seven steps for non/late reporter targeting?
1. Select industries where non/late reporting appears to be a problem and identify
one or more 4-digit SIC/NAIC codes that define this industry.
2. Identify facilities as a result of Step 1.
3. Compare an establishment reported (with over 10 full-time employees) in County
Business Patterns and D&B against the TRI database.
L6-A1-1
-------
128
4. Check the log of facilities previously contacted and/or inspected, if one is
maintained by your Region.
5. If you searched by SIC/NAIC code, recheck the TRI database by name and
location to ensure that a facility has not reported under a different SIC code.
6. Gather data on sales, employment, and other areas.
7. Select candidate facilities.
L6-A1-2
-------
1
130
Lesson 7
Data Quality Inspections
-------
131
-------
132
EPCRA Section 313
Inspector Training Manual Lesson 7: Data Quality Inspections
TABLE OF CONTENTS
LESSON 7: DATA QUALITY INSPECTIONS
INTRODUCTION L7-1
Purpose L7-1
Objective L7-1
FORM R REPORTS L7-1
Form R Organization L7-2
Common Errors in Completing Form R Reports L7-8
FORM A REPORTS L7-12
Common Errors in Completing Form A Reports L7-13
TARGETING FOR POTENTIAL DATA QUALITY VIOLATIONS L7-14
Databases L7-14
TRI Comparisons L7-16
Errors Associated With Calculation Methods L7-16
Other Targeting Methods L7-18
EXERCISE L7-20
SUMMARY L7-20
TABLE
7-1 COMMON FORM R REPORTING ERRORS L7-9
ATTACHMENTS
7-1 TOXIC RELEASE INVENTORY REPORTING FORMS AND
INSTRUCTIONS L7-A1-1
7-2 IDENTIFYING RELEASE ERRORS (QUESTIONS/FACTS TO CONSIDER) L7-A2-1
November 2000 L7-i Module III: Targeting Inspections
-------
133
-------
134
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
INTRODUCTION
Purpose
Targeting is a crucial step in the EPCRA Section 313 data quality inspection process. An
effective approach is needed to identify facilities subject to, or in violation of, EPCRA
Section 313. Without such an approach, valuable time and resources may be wasted on
unnecessary data quality inspections. There are as many different Regional targeting methods as
there are companies being targeted. Regardless of the approach, all targeting methods have the
same inherent goal: identify those facilities that are likely to be in violation of EPCRA Section
313 and could present a significant risk to the environment.
This lesson outlines a general process to use when targeting facilities with potential data quality
violations. Throughout this lesson, bear in mind that this approach may be modified by each
Region to better use the resources available to that Region. For example, each Region may
encounter companies with different SIC codes; in this case, a different targeting mechanism may
be more effective. This lesson provides you with an overview of a method that can be used to
target data quality inspections and suggests ways in which this process may be modified to better
suit your Regional needs.
Objective
• Discuss the basic process of data quality targeting.
FORM R REPORTS
Form R reports are an integral part of data quality targeting. These reports are the mechanism
through which most companies report their use of EPCRA Section 313 toxic chemicals to the
EPA. Therefore, these documents serve as the primary source of information for an inspector's
targeting review.
Each report contains eight types of information:
• Facility Identification Data
* Chemical-Specific Data
November 2000
L7-1
Module III: Targeting Inspections
-------
135
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
• Manufacturing, Processing, Otherwise Use Data
• On- and Off-Site Release Data (including off-site location)
• Other On- and Off-Site Waste Management Data (including off-site location)
• Waste Treatment Methods
• Pollution Prevention Data
Every facility that meets the EPCRA Section 313 reporting criteria (see Lesson 6) must submit a
Form R or Form A report. The information from these reports is reviewed by EPA Headquarters
and entered into the TRI database. The information is entered into the database for the use of
EPA personnel and the public. The TRI database will be covered in greater detail later in this
lesson, but it is important to note that this database is the starting point for most data quality
targeting activities.
There are also exemptions for reporting, including:
• De Minimis Exemption
• Laboratory Activities
• Other Use Exemptions
• Article Exemption
• Extraction Exemption for Coal Mining
• Metal Mining Overburden Exemption
These exemptions will be covered in greater detail in Lesson 12, Data Quality Inspections. For
now, however, be aware that there are exemptions to the EPCRA Section 313 reporting
requirements.
Form R Organization
The Form R is a five-page document, and it is divided into two parts:
• Parti. Facility Identification Information
• Part II. Chemical-Specific Information
November 2000
L7-2
Module III: Targeting Inspections
-------
136
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
These parts are further divided into sections and subsections. The following discussion will
provide a brief description of each section and a list of the associated subsections. For more
information, please refer to the Form R Packet (Attachment 7-1). It provides more detailed
instruction on the actual completion of each section and subsection.
Part I. Facility Identification Information. This part is divided into five sections and is located,
in its entirety, on the first page of the Form R. These sections solicit general information about
the reporting facility:
Section 1. Reporting Year
Identifies the calendar year to which the reported information applies.
• Section 2. Trade Secret Information
Contains two subsections that address the issue of trade secrets. These sections can only
be completed after the remainder of the form has been completed.
• Sections. Certification
Requires a signature from either the owner, operator, or senior official with management
responsibility for those employees completing the form. This signature must be original
and certifies the accuracy of the report.
• Section 4. Facility Identification
Provides the general information necessary for locating the facility and identifying the
appropriate contact person. This section will also contain some general information that
will begin to classify the facility in some of the targeting resources mentioned in
Lesson 5.
4.1 Facility Name and Location
4.2 Full or Partial Facility Indication
4.3 Technical Contact
4.4 Public Contact
4.5 SIC Codes (Primary and Secondary codes)
4.6 Latitude and Longitude
4.7 Dun and Bradstreet Number
4.8 EPA Identification Number
4.9 NPDES Permit Number
4.10 Underground Injection Well Code (UIC) Identification Number
November 2000
L7-3
Module III: Targeting Inspections
-------
137
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
• Section 5. Parent Company Information
Parent Company is defined as the highest level company, located in the United States,
that directly owns at least 50% of the facility's voting stock.
5.1 Name of the Parent Company
5.2 Parent Company's Dun & Bradstreet Number
Part II. Chemical-Specific Information. This part is located on pages two through five of the
Form R report. This requires reporting on:
• Toxic chemical being reported
• General uses and activities of toxic chemicals at the facility
• Releases of the toxic chemical from the facility into air, water, and land
• Quantities of toxic chemical transferred to off-site locations for further waste
management, including disposal
• Information for on-site and off-site waste treatment, energy recovery, disposal, and
recycling of the toxic chemical
• Source reduction activities
Additionally, this Part is broken into eight separate sections that will provide the technical data
of the report.
• Section 1. Toxic Chemical Identity
Provides the data necessary to specifically identify the chemical in question as an EPCRA
Section 313 toxic chemical. This section will categorize the type of chemical according
to a standardized, accepted naming format.
1.1 Chemical Abstracts Service (CAS) Number
1.2 Toxic Chemical or Chemical Category Name
1.3 Generic Chemical Name
* Section 2. Mixture Component Identity
Section 2 should only be completed if Part II, Section 1 was not completed. Reports the
generic names provided by the supplier, if that supplier is claiming the chemical identity
proprietary or trade secret. Trade secret substantiation forms are not required for this
November 2000
L7-4
Module III: Targeting Inspections
-------
138
EPCRA Section 313
Inspector Training Manual Lesson 7: Data Quality Inspections
toxic chemical, because it is the supplier who is claiming the chemical identity to be a
trade secret.
2.1 Generic Chemical Name Provided by Supplier
• Section 3. Activities and Uses of the Toxic Chemical at the Facility
Indicates whether the toxic chemical is manufactured (including imported), processed, or
otherwise used at the facility, and the general nature of such activities and uses at the
facility during the calendar year.
3.1 Manufacture the Toxic Chemical
3.2 Process the Toxic Chemical (incorporative activities)
3.3 Otherwise Use the Toxic Chemical (non-incorporative activities)
• Section 4. Maximum Amount of the Toxic Chemical On-Site at Any Time During the
Calendar Year
Indicates the maximum quantity of the toxic chemical (in storage tanks, process vessels,
on-site shipping containers, or any other on-site containers) at the facility at any time
during the calendar year. If the toxic chemical was present at several locations of a
facility, the maximum total amount present at any one time is used.
» Sections. Quantity of the Toxic Chemical Entering Each Environmental Medium
On-site
Accounts for the total aggregate on-site releases of the toxic chemical to the environment
from the facility for the entire calendar year. On-site releases to the environment include
emissions to the air, discharges to surface waters, and on-site releases to land and
underground injection wells. AH releases to the air must be classified as either a point or
non-point emission and be included in the total quantity reported for these releases in
Sections 5.1 and 5.2.
5.1 Fugitive or Non-Point Air Emissions
5.2 Stack or Point Air Emissions
5.3 Discharges to Receiving Streams or Water Bodies
5.4.1 Underground Injection On-Site to Class I Wells
5.4.2 Underground Injection On-Site to Class II-V Wells
5.5 Disposal to Land On-Site
5.5.1A RCRA Subtitle C Landfills
5.5.1B Other Landfills
5.5.2 Land treatment/application fanning
*-»
November 2000 L7-5 Module III: Targeting Inspections
-------
139
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
5.5.3 Surface impoundment
5.5.4 Other disposal
Column A Total Release
Column B Basis of Estimate
Column C Percent from Stormwater
Section 6. Transfers of the Toxic Chemical in Wastes to Off-site Locations
Reports the total annual quantity of the toxic chemical in wastes sent to any off-site
facility for the purposes of waste treatment, disposal for off-site release, recycling, or
energy recovery. As of 1991, off-site transfers for the purposes of recycling and energy
recovery are required to be reported. Additionally, all boxes for reporting the information
for each POTW or other off-site location in Sections 6.1 and 6.2 must be numbered.
If a transfer of a listed toxic chemical is reported to one or more POTW, the boxes in
6.1 .B must be numbered as 6.1 .B. 1, 6.1 .B.2, and so on. If the listed chemicals are
transferred to more than two POTWs, Page 5 of the Form R must be photocopied as
many times as necessary and the boxes numbered consecutively for each POTW. The
bottom of Page 5 has instructions for indicating the sequence and total number of pages
that you are submitting as part of Form R.
If a transfer of a listed toxic chemical is reported to one or more off-site locations, the
boxes in 6.2. must be numbered as 6.2.1,6.2.2, and so on. If the listed chemicals are
transferred to more than two off-site locations, Page 6 of the Form R must be
photocopied as many times as necessary and the boxes numbered consecutively for each
POTW. The bottom of Page 6 has instructions for indicating the sequence and total
number of pages that you are submitting as part of Form R.
6.1 Discharges to POTWs
6.1 .A. 1 Total Transfers
6.1. A.2 Basis of Estimate
6.2 Transfers to Other Off-Site Locations
Column A Total Transfers
Column B Basis of Estimate
Column C Type of Waste Treatment/Disposal/Recycling/ Energy Recovery
Section 7. On-Site Waste Treatment, Energy Recovery, and Recycling Methods
Reports the methods of waste treatment, energy recovery, and recycling applied to the
reported toxic chemicals in wastes on site.
November 2000
L7-6
Module III: Targeting Inspections
-------
140
EPCRA Section 313
Inspector Training Manual Lesson 7: Data Quality Inspections
7 A. On-Site Waste Treatment Methods and Efficiency
Provides the following information:
a. Types of general waste streams containing reported toxic chemicals
b. Waste stream methods or sequence used on all waste streams containing
the toxic chemicals
c. Toxic chemical range of concentration in the influent to the waste
treatment method
d. Efficiency or each waste treatment method or sequence in removing the
toxic chemical
e. Whether the waste treatment efficiency figure was based on actual
operating data
Column A General Waste Stream
Column B Waste Treatment Method(s) Sequence
Column C Range of Influent Concentration
Column D Waste Treatment Efficiency Estimate
Column E Based on Operating Data ? [Yes/No]
Section 7B. On-Site Recovery Processes
Indicates the on-site energy recovery methods used on the reported toxic chemical. Only
listed toxic chemicals that have a significant heating value and are combusted in an
energy recovery unit, such as an industrial furnace, kiln, or boiler, can be reported as
combusted for energy recovery in this section.
Section 1C. On-Site Recycling Processes
Reports the recycling methods used on the listed toxic chemical. Uses codes listed in this
section to report only those methods in place at the facility that are applied to the toxic
chemical.
• Section 8. Source Reduction and Recycling Activities
Includes data elements mandated by the PPA of 1990. Provides information about source
reduction and recycling activities related to the toxic chemical for which releases are
being reported. Reports only the quantity, in pounds, of the reported toxic chemical. All
amounts are reported in whole numbers, and up to two significant figures can be
provided. Sections 8.1 through 8.9 must be completed for each toxic chemical.
Section 8.10 is required only if a source reduction activity was newly implemented.
Specifically, wholly, or in part, for the reported toxic chemical during the reporting year.
November 2000 L7-7 Module III: Targeting Inspections
-------
141
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
Column A Prior Year
Column B Current Reporting Year
Column C Following Year
Column D Second Following Year
8.1 Reported Releases Pursuant to EPCRA Section 329(8)
8.2 and 8.3 Toxic Chemical or Energy Recovery On-site, or Is Sent Off-site for
Energy Recovery, Unless Commercially Available for Fuel
8.4 and 8.5 Toxic Chemical or Mixture Containing a Toxic Chemical Recycled
On-site or Sent Off-site
8.6 and 8.7 Toxic Chemical or Mixture Containing a Toxic Chemical Treated On-site
or Sent to a POTW or Other Off-site Location for Waste Treatment
8.8 Quantity Released to the Environment as a Result of Remedial Actions,
Catastrophic or One Time Events not Associated with Production
Processes
8.9 Production Ratio or Activity Index
8.10 Did Your Facility Engage in any Source Reduction Activities for this
Chemical During the Reporting Year?
Common Errors in Completing Form R Reports
Recognizing common Form R completion errors is important, because these documents can
serve as valuable targeting tools when identifying facilities with potential data quality violations.
There are three areas hi which these common errors occur:
• Form R Entry Errors
• Threshold Determination Errors
• Release Estimation Errors
These errors may effectively prevent the entry of any information from submitted Form Rs into
the TRI database. In these cases, the facility owner/operator could be issued a NON, a NOTE, or
NOSE from EPA. As you learned hi Lesson 5, these notices, in this capacity, may serve as
targeting resources used to identify those facilities with past compliance incidents. For most
severe data quality errors, generally in threshold determinations or release estimations, the
facility could face enforcement action taken by the EPA. Certain aspects of data quality errors
make them good or bad candidates for formal enforcement actions. In general, the criteria for a
good enforcement candidate are:
• The error should be easy to quantify and clearly document.
November 2000
L7-8
Module III: Targeting Inspections
-------
1
142
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
• The rules and guidance associated with the error are clear and specific regarding correct
reporting methodology.
• The error should not arise strictly from the use of a different estimation method.
• A facility's estimation method is invalid only if EPA can prove that the method (1) is
unreasonable or (2) does not use all readily available data.
Form R Completion Errors
The following table details the mistakes most commonly made in the Form R report. After
naming the type of error, the next column provides information on what page of the Form R you
will find this information. The third column has brief descriptions of the types of errors, and the
last column indicates the repercussion (a NON, NOTE, or NOSE issued) of committing that
error. Some of the errors may result in a more severe penalty, such as an enforcement action,
being taken by EPA. Those errors are denoted in the first column by asterisks. You should also
reference the Common Form R Error document produced in 1998.
Table 7-1 Common Form R Reporting Errors
K '^ypeofKrrtrf*-5'
Invalid Chemical
Identification
Missing
Certification
Signature
Incomplete Forms
Maximum Amount
On-Site
"Questionable"
Entries
Latitude/Longitude
Coordinates
Page #
3
1
n/a
3
n/a
n/a
yfev • Brief Description of Errors ' • •''>;>
The CAS number and chemical name reported on
Page 3 must exactly match the listed EPCRA
Section 3 1 3 CAS number and toxic chemical name. No
mixture names.
An original signature is required on Page 1 of every
Form R submitted.
A complete packet consists of minimally 5 unique pages
stapled together for any toxic chemical/category (that is
no multiple Pages 2, 3, and so on).
Part II, Section 4 on Page 3 is left blank.
Examples: missing/incorrect zip codes, missing county
names, non-numeric SIC codes, invalid D&B numbers,
and incomplete off-site information
Incorrect coordinates provided. Must be determined
using the correct map and measuring techniques reported
in degrees, minutes, and seconds.
Action
Taken
NON
NOTE
NON
NOTE
NOTE
NOTE
November 2000
L7-9
Module III: Targeting Inspections
-------
143
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
Table 7-1 Common Form R Reporting Errors
(continued)
ii:''a*l^M»iAM?^«iP ^
i™ /SI y |»c «H yUffvf~~f- •
Trade Secret
Information
Unidentified
Revisions
Unidentified
Duplicate
Submissions
Failure to Report
Waste Treatment
Incorrect Reporting:
Waste Treatment
Methods
Reporting Delisted
Chemicals
Reporting
Neutralized
Discharges of
Mineral Acids
Incomplete Form R
Duplicative Data (1)
Duplicative Data (2)
1>OBA '<&•'•
irttgc 'W •
n/a
1
1
n/a
n/a
n/a
n/a
n/a
n/a
n/a
i;;;;sgg; !,'.„. : ;., _ Li,j}^^SfSt'';'-f-d>li: ". , .-' ;"r'i I..V! ? !. i , -'" • o:?3l?
jfei-r" is", .:••:•?•-;,,,'<: ^SJSjMpSil^l^ j" jj^ —"irf'frSAiilii'"'' ' ' ">r"r:-=f:-:gg
„ KK:^; =a;: :::••;, , 0nC|tl/i3Cl IpUOD Ol HiITUl? :r: ':;-W
Must have consistent responses to the trade secret
questions in Parts I, Facility Identification Information &
Part II, Chemical-Specific Information.
Must clearly identify any revisions in red ink on a copy of
the original submission and comply with all revision
procedures. Failure to do this may result in entry of
unrevised data into the TRI database of unrevised data.
If duplicate copies are sent, must indicate "DUPLICATE"
in red ink at the top of Page 1.
Information must be entered for all waste streams, even if
the waste treatment does not affect the toxic chemical.
Must indicate the type of waste stream, influent
concentration, and waste treatment method for each waste
stream, using specific codes, along with the waste
treatment efficiency expressed as percent removal
Form R reports for delisted or non-listed chemicals are
neither required nor part of the TRI database.
If a waste stream containing a mineral acid is neutralized
to a pH of 6 or more, the mineral acid is considered to be
100% neutralized. Therefore, the release of neutralized
acid discharge should be reported a zero.
All sections of the Form R must contain either data or
"n/a".
Reporting identical values as a discharge to a receiving
stream in Part II, Section 5.3 and as a transfer to a POTW
in Part II, Section 6.1 is interpreted as duplicative data.
Facility duplicates reporting of transfer material and
on-site material, because they are on the same page of the
Form R.
Action
•S^MlMjt,^
NON
n/a
n/a
NOTE
NOTE
n/a
NOTE1
NOTE
NOTE
NOTE
November 2000
L7-10
Module III: Targeting Inspections
-------
144
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
Table 7-1 Common Form R Reporting Errors
(continued)
Type of Error
Documentation*
Overlooked
Chemical
Activity*
Misclassification *
Incorrect
Interpretation*
Misinterpretation of
Toxic Chemical List
Non-consideration
to Listed Toxic
Chemical Qualifiers
Misinterpreting
Threshold
Definition*
Zero VOC Air
Emissions Reported
'*> ••
Page*
n/a
n/a
n/a
n/a
n/a
n/a
n/a
n/a
.••... '.•••• - : : ' -y.ir-'"-;. • • - :• .-..:.• •
Brief Description of Errors
Information used by a facility to complete Form R must
be documented and maintained at the facility for 3 years
from submission of form.
Any activity involving the manufacture, process, or
otherwise use of a listed toxic chemical must be included
in the threshold determination. This error includes
overlooking chemicals in the compound categories.
Omission can lead to enforcement action of a Civil
Administrative Complaint.
Misclassifying a toxic chemical activity may result in an
incorrect threshold determination, leading to failure to
submit a required Form R for that activity.
Only toxic chemicals meeting every condition of the
exemption clause may be omitted from the reporting
requirements. Incorrect interpretation may lead to a
failure to submit a Form R because of an incorrect
threshold determination. This can result in a Civil
Administrative Complaint.
Must use the correct CAS number associated with each
toxic chemical name
Only forms of the toxic chemicals meeting the qualifiers
require reporting under EPCRA Section 313 and should
be reported on Form R with the appropriate qualifier.
Not reporting a toxic chemical because the threshold
determination was incorrectly computed could result in
enforcement action.
VOCs readily evaporate at room temperature and
therefore cause air emissions. Rarely are there zero
emissions of VOCs.
Action
Taken
n/a
n/a
n/a
n/a
NON
n/a
n/a
n/a
Notes:
* Error may result in a more severe penalty, such as an enforcement action.
1 NOTEs can be issued for reporting a large amount of neutralized acid as a release.
November 2000
L7-11
Module III: Targeting Inspections
-------
145
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
Note that one of the most common errors in the Overlooked Chemical Activity category is:
Coincidental Manafactare
The coincidental manufacture of an EPCRA Section 313 chemical or chemical category,
outside of the primary product process line but in direct support of the process, is frequently
overlooked. In many processes, nitric acid is typically discharged, collected, and sent to an on-
site treatment plant, where it is neutralized and discharged to a POTW. Nitrate compounds are
coincidentally manufactured during the neutralization of nitric acid and are subject to the
25,000 pounds per year reporting threshold. If the threshold is exceeded, corresponding
releases should be reported as a "Discharge to POTW" in Section 6.1 and included in Section
8.7, "Quantity Treated Offsite", of the Form R, and not reported under Section 6.2, "Transfers
to Other Offsite Locations." The quantity of nitrate compounds coincidentally manufactured
can be estimated, as discussed in detail in Toxics Release Inventory, List of Chemicals Within
the Water Dissociable Nitrate Compounds Category and Guidance on Reporting (May 1996).
Another coincidental manufacturing example would be the production of metal oxides (metal
compounds) during fuel combustion (that is, burning of coal and/or oil to generate power).
See Attachment 7-2 for information on questions and facts to consider for identifying release
errors.
FORM A REPORTS
There is an alternative to the TRI Reporting Form R called the Form A - Alternative Threshold
Reporting. EPA published a final rule on November 30,1994 (59 FR 61488), which created an
alternative threshold of one million pounds for certain facilities. The Form A provides certain
facilities the option of submitting a substantially shorter form with a reduced reporting burden.
Facilities that meet the SIC code, employee, and chemical activity thresholds but the facility's
amounts "manufactured," "processed," or "otherwise used" do not exceed one million pounds
and the facility's total annual reportable amount is less than 500 pounds for the toxic chemical,
may submit a Form A instead of a Form R. A facility that meets these criteria could begin using
the Form A in the 1995 reporting year, and the owner/operator of the facility must annually
certify, by Form A, that the facility met the requirements for use of the alternate thresholds for a
specific chemical. The facility must also maintain and make available upon request, records
substantiating the claim.
The Form A includes basic information regarding the facility's identification, the chemical in
question, and a statement of accuracy to be signed by a senior management official of the
facility.
November 2000
L7-12
Module III: Targeting Inspections
-------
146
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
Common Errors - Form A Reporting
Listed below are some key points to remember when deciding if a facility should have submitted
a Form A or Form R for an EPCRA Section 313 chemical or chemical category.
1. The 500 pound per year (Ib/yr) annual reportable amount criteria refers to a single
EPCRA Section 313 chemical (or chemical category) and is the sum of the on-site
amounts released (including disposal), treated, recycled, and combusted for energy
recovery, combined with amounts transferred off site for further waste management
activities. This total is the sum of the data elements 8.1 through 8.7 of the 1999 Form R
for a single chemical (or chemical category).
2. The 1,000,000-Ib/yr alternate threshold refers to the amount of a single EPCRA
Section 313 chemical (or chemical category) manufactured, OR the amount of a single
EPCRA Section 313 chemical (or chemical category) processed, OR the amount of a
single EPCRA Section 313 chemical (or chemical category) otherwise used. The
quantities are mutually exclusive and must be evaluated independently. If the quantity
for any one of these activities exceeds 1,000,000 pounds, a Form A cannot be used.
Example: Your site otherwise uses a total of 750,000 Ib/yr of chromium
compounds and processes an additional 300,000 Ib/yr of chromium compounds.
Chromium compound disposal (based on the pare metal chromium) totals 250
Ib/yr to an off-site landfill and 100 Ib/yr discharged to a POTW. No recycling or
treatment of chromium compounds occurs. Your site did not exceed the
1,000,000-pound alternate threshold for processing, nor did your site exceed the
alternate threshold for otherwise use. The total annual reportable amount of 350
Ib/yr falls below 500 Ib/yr. Therefore, you may complete a Form A for chromium
compounds, rather than a Form R.
When determining if you are eligible to complete a Form A, rather than a Form R, remember that
each EPCRA Section 313 chemical (or chemical category) should be reviewed individually. For
example, you may need to complete a Form R for Chemicals A, B, and C; however, a Form A
may be completed for Chemical D (assuming that the eligibility requirements are met).
Example: Your site otherwise uses 300,000 Ib/yr of methanol and 200,000 Ib/yr
copper compounds. The total annual reportable amount for methanol is 10,000
Ib/yr, and the total annual reportable amount for copper compounds is 200 Ib/yr.
You must complete a Form R for methanol; however you are eligible to complete
a Form A for copper compounds.
If your facility consists of multiple establishments, only a single Form A can be submitted for the
entire facility (separate establishments at a facility cannot submit separate Form As for the same
November 2000
L7-13
Module III: Targeting Inspections
-------
147
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
chemical or chemical category, one Form A can be submitted for multiple chemicals or chemical
categories).
Example: Your site has three establishments and all otherwise use methanol. The
first establishment otherwise uses 500,000 Ib/yr of methanol. The second and
third establishments each otherwise uses 300,000 Ib/yr of methanol. The total
amount of methanol otherwise used at the facility equals 1,100,00 Ib/yr (500,000
+ 300,000 + 300,000). You may not submit a Form A for methanol. You may
either submit one Form R for the entire facility, or you may submit three Form Rs
(one for each establishment) for methanol.
TARGETING FOR POTENTIAL DATA QUALITY VIOLATIONS
Data quality targeting varies greatly from Region to Region. In some cases, Headquarters
offices, such the OC's EPTDD within OECA may provide your Region with lists of facilities
that are considered to be potential targets based on analyses of national data. At other times, you
may be required to begin your initial analysis of data at the Regional level to identify a group of
facilities with potential data quality violations. Regardless of the targeting system used in your
Region, you should have an understanding of the steps necessary to target a facility, as it will
also help you in the research phase of your pre-inspection activities.
You must realize that targeting does not necessarily follow a regimented process. When you
begin targeting your own inspections, you may develop an approach that is best suited to meet
your needs, using the resources available to you.
Data quality errors may involve a number of different situations. They may include both
overestimates, underestimates, and misreporting of chemical releases and other waste
management activities. Errors also include not reporting chemicals because of calculation errors
or not understanding reporting requirements (such as exemptions or threshold determination).
The remainder of this lesson will discuss methods that may be used to identify potential errors.
For example, potential errors may be identified by comparing other data sources, identifying
common errors associated with different calculation methods, and other targeting methods.
Databases
As you recall from Lesson 5, there are many databases that can be used to target facilities for
data quality violations. You will find that your Region will have access to some databases, but
not to others. For that reason, we will go into detail for only one, the TRI database. Remember
that the purpose of all databases is to provide you with specific information necessary to detect
potential data quality violations. In other words, you may use one database to identify the type
of facility, manufacturing or not, and the number of employees, while another database may be
November 2000
L7-14
Module III: Targeting Inspections
-------
148
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
able to provide you with information on the average air emissions of a particular SIC code. In
targeting, it is your responsibility to put together all the pieces of the information collected from
the various databases and the other targeting resources discussed in Lesson 5. You will then
need to analyze this data to determine if there are sufficient grounds to conduct an EPCRA
Section 313 data quality inspection. You should be aware of, and utilize all of, the resources
available to make this determination.
TRI Database. The "launching pad" for data quality targeting is the TRI database, as it is
probably the best source of industry-wide data. As discussed earlier, all companies who
manufacture, process, or otherwise use EPCRA Section 313 toxic chemicals, must report, by
Form R or Form A, their usage to EPA. The Form R data is then entered into the TRI database
and can be referenced for identifying facilities with potential data quality errors. Because all
facilities that reported will be entered into this database system, the TRI database is often the best
source to use to begin your targeting process.
Be aware that every Region will differ to some degree in the way that they target facilities. Your
Region may participate heavily in multimedia inspections, in which case these targets would
have already been determined. Some Regions conduct a risk analysis to help determine which
targets to inspect. Therefore, become familiar with the targeting method which is used in your
Region.
The TRI database can be manipulated to create an industry profile. To produce meaningful
results, however, any TRI analysis must be performed at the 4-digit SIC level. The analysis may
be performed on a national, regional, or state level. The SFIP database is an example of such a
tool. It provides national TRI data, as well as a compliance and enforcement history of facilities
in five industry sectors, as well as federal facilities. The most useful information is data on the
number of facilities in an industry that report use of a particular EPCRA Section 313 chemical.
For example, if 90 percent of the facilities in an industry report for xylene and the plant hi
question does not, this difference should be investigated. In general, chemicals used by more
than a third or half of the target population may be useful for a quick comparative analysis.
Chemicals that are common substitutes for each other should be grouped into categories such as
chlorinated solvents, organic solvents, and metals/metal compounds. For example, the TRI data
may only indicate the type of chemical or chemical category. It may not necessarily indicate the
exact chemical name. Therefore, as an EPCRA Section 313 inspector, you need to recognize that
chemical by any commonly used name.
However, the best method, if available, is to identify facilities using similar chemical categories.
Information in the TRI database (such as maximum quantity on site) should not be used, because
it often is not reliable and does not correlate well with release and other waste management
activity quantities. Similar facilities may be identified through inspector knowledge of the
facilities or through comparison of sales or number of employees in state manufacturer
directories. Comparisons can be made by using only a few facilities. However, if any statistical
analysis is attempted, such as calculation of a mean release, minimally 10 or more facilities
November 2000
L7-15
Module III: Targeting Inspections
-------
149
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
should be selected in order to have some level of statistical significance. Although there may be
very good reasons for differences in releases and other waste management activity quantities
between identical facilities (such as better control or different production rates in a given year),
significant differences from the mean should be questioned.
TRI Comparisons
Year-to-year comparisons of reported releases and other waste management activities of EPCRA
Section 313 chemicals can detect calculation errors or errors in the methods used to calculate
releases and other waste management activities. While year-to-year fluctuations may be
explained by changes in usage (such as changes in paints used) or the addition of control
equipment, large changes can also indicate errors made in one or more of the reporting years.
This is especially true if no changes were made in the type or efficiency of the reported controls
for this chemical.
Discrepancies in year-to-year release and other waste management activity estimates are not
always an indication of a data quality error. This is especially true if release and other waste
management activity estimates are declining. Discrepancies may be an indication of the use of a
more sophisticated estimation methodology (these will be discussed in detail in the next section).
For example, use of monitoring data will typically result in a lower emission estimate than use of
an emission factor or mass balance method of calculation. Basing emission estimates on leak
detection systems or stratified factors can also result in lower reported releases. In general, more
sophisticated methodologies are more expensive and tend to be used by larger companies.
Releases reported in Section 5, plus transfer or disposal in Section 6.2, should equal the quantity
released in Section 8.1. Transfers for Waste Treatment/Recycling/Energy Recovery in Section 6
should agree with the equivalent reported quantities in Section 8 (adjusted for rounding).
Additionally instructions regarding the relationships between Sections 5,6, and 8 are included in
the Section 8 reporting instructions for the Form R packet (Attachment 7-1). In conclusion,
inconsistencies in reporting within a TRI submittal may indicate errors in the calculation of
releases and off-site transfers.
Errors Associated With Calculation Methods
There are specific types of errors that should be looked for with each calculation method. The
following four calculation method codes are reported on the Form R: M, monitoring data; C,
mass balance; E, published emission factor, and O, other approaches.
Monitoring Data (M). Monitoring data (M) is usually the best method for calculating releases
and other waste management activity quantities for an individual waste stream. These estimates
always boil down to a measured waste stream chemical concentration, multiplied by the mass or
volume of the waste stream. Several errors can occur in using this method. These errors tend to
be caused by primal calculations that are off by several orders of magnitude and would be
November 2000
L7-16
Module III: Targeting Inspections
-------
150
EPCRA Section 313
Inspector Training Manual Lesson 7: Data Quality Inspections
reflected in the estimated releases and other waste management activity. These errors would be
identifiable by year-to-year or industry-wide comparisons. Use of improper units causes
calculational errors in the result. An inappropriate measurement may be used. The use of the
TCLP measurement will underestimate releases, because these tests measure leachable
contaminant concentrations, not total contaminant concentrations, in the sample.
An additional error may be associated with estimates with the M calculation code. A sample
measurement that is used in estimate calculations may not represent the average concentration in
the waste stream for the entire year. For example, concentrations in wastewater will vary during
low or high wastewater flow periods, and annual average concentration must represent a
sufficient number of measurements to account for this. Often, the facility will have only one data
point for a chemical in a waste stream. Nonrepresentative monitoring data should not be used to
calculate releases and other waste management activity quantities; however, it is often the only
reasonable method that the facility can use to calculate an estimate.
Mass Balance (Q. Mass balance (C) provides a means of calculating the gross inputs and
outputs of process chemicals. A mass balance is useful for estimating releases and other waste
management activity quantities when measured data are not available or when other inlet and
output streams are quantified separately. The amounts entering or leaving a process are either
measured or estimated. A mass balance can be performed on the process as a whole or on a
subprocess. Individual operations or procedures within the process usually must be evaluated
using process diagrams.
Mass balance calculation is the best overall method to use to account for the total usage of the
chemical for otherwise used chemicals. Mass balance calculations are not appropriate when
releases and other waste management activity quantities represent only a small percentage of the
chemical throughput. If mass balance calculations are used to estimate very small releases or
other waste management activity quantities for manufactured or processed chemicals, the results
should be questioned.
Published Emission Factors (EV A third technique for estimating releases and other waste
management activity quantities from processes involves the use of published emission factors
(E). One type of emission factor relates a quantity of a pollutant to some process-related
parameter or measurement. The amount of pollutant per quantity of product is frequently used.
Many emission factors are expressed in terms of total VOCs or particulates rather than a single
chemical compound. Emission factors for VOCs are available in VOC Emission Factors for the
NAPAP Emission Inventory. The NAPAP data can be used with actual process vent
measurements of volatile organics or particulates to estimate emissions of a specific compound.
Another good source of information is Toxic Air Pollutant Emissions Factors - A Compilation
for Selected Air Toxic Compounds and Sources. Any non-chemical-specific emission factors
usage should be reported as engineering calculations (see "Other Approaches").
November 2000 L7-I7 Module III: Targeting Inspections
-------
151
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
Errors can result in the use of emission factors if inappropriate factors are used or if these factors
are "adjusted" by the facility using questionable rationale. If the facility reports the use of an
emission factor, the calculation should be reviewed using accepted EPA factors for comparison.
Other Approaches (0). Engineering calculations or "Other Approaches (O)M can be used when
parameters related to emissions cannot be directly measured. Emissions can be estimated or
inferred through engineering calculations or measurement of other secondary parameters (such as
physical/chemical properties of the materials involved, design information on the unit operation
for which the estimate is being made, or emission information from similar processes).
Engineering calculations are generally used to "fill in" information needed for other emission
estimation methods.
Physical and/or chemical information derived from the ideal gas law, vapor pressure, and
equilibrium relationships can frequently be applied when gaseous concentrations of a particular
compound are estimated. Some releases, such as VOC releases from storage tanks, can be
estimated by use of engineering calculations. For example, the EPA publication AP-42
"Compilation of Air Pollutant Emission Factors" provides equations for estimating air emissions
from organic liquid storage and handling operations. These equations contain factors that depend
on tank parameters and service conditions. More specific information on storage tank emissions,
including example calculations for horizontal tanks and chemical mixtures, can be found in the
AP-42 section "Estimating Air Toxics Emissions from Organic Liquid Storage Tanks." The only
way to identify errors in engineering calculations is to check the rationale and the actual
calculation, including units.
Finally, the methods and data presented in the Estimating Releases and Waste Treatment
Efficiencies for the Toxic Chemical Release Inventory Form are useful to check estimates of
release and other waste management activity quantities reported by the facility.
Using Other Targeting Resources. Remember that when you are targeting for data quality, you
can use any resources at your disposal that will benefit your targeting efforts. The resources
covered in Lesson 5 should all be exploited to the fullest extent in order to obtain the necessary
information. The process of targeting involves finding bits of information in many sources,
analyzing it to create a "whole" picture, then making the determination whether the gaps in the
information merit further investigation. The resources that have been explained to you in this
module will help you obtain information that is necessary to piece together the entire data quality
picture.
Other Targeting Methods
As mentioned throughout this lesson, there are targeting methods and resources other than those
discussed in this module. A few of these are listed below:
"November 2000
L7-18
Module III: Targeting Inspections
-------
152
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
• Targeting in conjunction with other cross-program multimedia inspections (such as,
RCRA, and Clean Water Act [CWAj)
- In fact, data quality inspections are occurring most frequently as part of
multimedia inspections.
• Targeting using tips or complaints from other media programs on questionable
submissions
Although Regions presently receive relatively few tips and complaints from other
media programs, this number could increase as a result of multimedia
enforcement programs.
• Targeting in conjunction with other OECA-controlled program inspections (such as
TSCA Sections 5 and 8 or polychlorinated biphenyls)
• Targeting facilities that may have overlooked chemicals, according to an examination of
their MSDSs
• Targeting a facility with a significant discrepancy between the facility's Form R report
and information included on a NPDES or other permit
• Targeting as a follow-up or add-on to a non/late reporter inspection
• Targeting a geographic area where there are a large number of facilities, thereby reducing
inspection costs
• Targeting by inspecting facilities that have violations of other regulations (IDEA)
• Targeting using newspaper or broadcast accounts of chemical usage or release
• Targeting facilities that have received NONs, NOSEs, NOTEs, and so on
• Targeting facilities that are large emitters or emitters of specific toxic chemicals.
In July 1998, Region VII developed an EPCRA Section 313 Data Quality Inspection Workshop,
Manual, and Compact Disc, which provide more detailed information on potential data quality
targeting strategies. In May 2000, these were revised to address other media and became the
Process-based Investigations Workshop, Manual, and videotape of the workshop. Copies are
available in every Regional office, or you can contact the Toxics and Pesticide Enforcement
Division of OECA by calling 202-564-4071.
November 2000
L7-19
Module III: Targeting Inspections
-------
153
EPCRA Section 313
Inspector Training Manual
Lesson 7: Data Quality Inspections
EXERCISE
Individually or in groups, take ten minutes to develop a potential data quality targeting scenario
that you could envision conducting in your Region. Outline the steps you would take to initiate
such a scenario or initiative and identify any questions or potential problems with
implementation. Share and solicit recommendations for solutions to identified questions or
problems.
SUMMARY
This lesson has addressed the subject of targeting facilities with potential data quality violations.
The discussion of Form Rs and Form As and the common errors facilities make when completing
them should assist you in future targeting efforts. Additionally, consider incorporating the
various data quality targeting methods into your own targeting approach, including using the TRI
database to your best advantage, as explained in this lesson.
You have been introduced to the four primary calculation methods, and these methods will be
expanded upon in future lessons. The process of targeting data quality violations may vary
greatly depending upon such factors as Regional preferences, whether there are National or
Regional initiatives to consider, and available resources.
November 2000
L7-20
Module III: Targeting Inspections
-------
154
ATTACHMENT 7-1
TOXIC RELEASE INVENTORY REPORTING
FORMS AND INSTRUCTIONS
(187 Pages)
-------
155
-------
156
&EPA
United States
Environmental Protection
Agency
Office of Information
Analysis and Access
Washington, DC 20460
February 2000
EPA 745-B-00-001
Toxic Chemical Release Inventory
Reporting Forms and Instructions
Revised 1999 Version
Section 313
of the Emergency Planning and
Community Right-to-Know Act
(Title III of the Superfund Amendments
and Reauthorization Act of 1986)
-------
157
-------
158
WHERE TO SEND REPORTS
REGULAR, CERTIFIED MAIL, OVERNIGHT
OR HAND DELIVERED
(SECTION A. 7 (PAGES 4-5))
FOR ATRS SOFTWARE SUPPORT CALL:
ATRS Technical Support Hotline
(703) 816-4434
OR
Email: atrs.tech.support@epcra.org
Hours of Operation:
8:00 AM to 4:30 PM E.T.
For questions regarding Form R or Form A call:
EMERGENCY PLANNING AND
COMMUNITY RIGHT-TO-KNOW HOTLINE
1-(800) 424-9346 OR (703) 412-9877
HOURS OF OPERATION:
9:OOAMTO6:OOPME.T.
(SECTIONAL (PAGE 5))
HOW TO OBTAIN FORMS
AND OTHER
INFORMATION
(SECTION A.8 (PAGE 5))
Please send either: (1) one copy of each
Form R or Form A, or (2) an ATRS99
diskette to EPA at the appropriate
address listed in Section A.7 (PAGE 4)
and an electronic or hard copy of each to
your state. Be aware that not all states
accept electronic versions of the Forms.
Do not send a copy to your EPA
Regional Office
STATE DESIGNATED
SECTION 313 CONTACTS
(APPENDIX F)
SECTION 313 EPA REGIONAL
CONTACTS
(APPENDIX G)
-------
159
-------
160
Important Information for Reporting Year 1999
The following information updates or corrects the Forms and Instructions for Reporting Year 1998. No other changes
or modifications have been made to the Forms and Instructions other than these here.
0 All references to reportingyear 1999 and all other date related references have been changed to reflect the current
reporting year. (i.e., reporting year 1998 has been changed to reporting year 1999; prior year 1997 was changed
to prior year 1998, etc.) This change was made for both the Form R and the instructions.
3 Starting with the reporting year 1998, voluntary revisions must be submitted by July 31st of the same year as the
reporting deadline for the revised data to be included in the next TRI data release. In previous years this
deadline was October 15th.
0 The back side of the pages of the Form R include a box stating, "This page intentionally left blank". Please do
not copy double-sided.
3 Appendix A contains reporting instructions specific to Federal facilities that are required to report under
Executive Order 12856. Further guidance for Federal facilities may be obtained from the EPCRA Hotline at 1
(800) 424-9346, or (703) 412-9877.
D Appendix C, "Common Errors in Completing Form R Reports and Making Data Available" has been updated.
3 The State and Regional contact lists have been updated (Appendices F and G).
D The Alternate Threshold provides eligible facilities with the option of submitting a simplified Form A instead
of the full Form R report.
0 The EPCRA Section 313 Chemical List (Table II) has not changed since last year.
3 A list of Section 313 industry-specific guidance documents and chemical-specific guidance documents and
information on ordering these documents free of charge is provided on page vii.
3 Included in this reporting package is a compact disk (CD) that contains several industry-specific regulatory
guidance documents, including documents specific to the newly added industry groups, the EPCRA Section 313
Questions and Answers book and all versions of ATRS99 (Windows 95,98 and NT; Windows 3.1) and the ATRS
Users Guide.
0 These documents are also available on the Internet at http://www.epa.gov/tri.
Toxics Release Inventory Reporting Forms and Instructions
-------
161
-------
Toxics Release Inventory Reporting Forms and Instructions
Table of Contents
EPA's Automated TRI Reporting Software for Reporting Year 1999 v
Chemical and Industry Guidance Documents vii-ix
Toxic Chemical Release Inventory Reporting Form R
Toxic Chemical Release Inventory Reporting Form A
A. General Information
A.I Who Must Report 1
A.2 How to Assemble a Complete Report 1
A.2.a. The Toxic Chemical Release Reporting Form, EPA Form R 1
A.2.b. The Alternate Toxic Chemical Release Inventory Form, EPA Form A 2
A.3 Trade Secret Claims 2
A.4 Recordkeeping 2
A.5 How to Prepare a Voluntary Revision of a Previous Submission 3
A.S.a. Where to Submit a Voluntary Revision of a Previous Submission 3
A.6 When the Report Must Be Submitted 3
A.7 Where to Send the Forms 3
A.7.a. How to Send Your Disks Containing Form R(s) and/or Form A(s) 4
A.7.a.l Labeling Your Submission Diskette 4
A.7.a.2 Submitting Electronically to States 5
A.8 How to Obtain Forms and Other Information 5
B. Facility Eligibility Determination for Submitting an EPCRA
Section 313 Report
B.I Full-Time Employee Determination 7
B.2 Primary SIC Code Determination 7
B.2.a. Multi-Establishment Facilities 8
B.2.b. Auxiliary Facilities 10
B.2.c. Property Owners 10
B.3 Activity Determination 10
B.S.a. Definitions of "Manufacture," "Process," and "Otherwise Use" 10
B.3.b. Activity Exemptions 13
B.4 Threshold Determinations 18
B.4.a. How to Determine if Your Facility Has Exceeded Thresholds 19
B.4.b. Threshold Determinations for On-Site Reuse Operations 20
B.4.C. Threshold Determinations for Ammonia 20
B.4.d. Threshold Determinations for Chemical Categories 20
B.4.e. Mixtures and Other Trade Name Products 21
B.5 Release and Other Waste Management Determinations for Metals, Metal Category
Compounds, and Nitrate Compounds 23
C. Instructions for Completing EPA Form R
Part I. Facility Identification Information
1. Reporting Year 25
2. Trade Secret Information 25
2.1 Are you claiming the EPCRA Section 313 chemical identified on page 2 trade secret? 25
2.2 If "yes" in 2.1, is this copy sanitized or unsanitized? 25
Toxics Release Inventory Reporting Forms and Instructions i
-------
Toxics Release Inventory Reporting Forms and Instructions
Table of Contents
3. Certification
4. Facility Identification
4,1 Facility Name, Location, and TRI Facility Identification Number 25
4.2 Full or Partial Facility Indication 26
4.3 Technical Contact 26
4.4 Public Contact 26
4.5 Standard Industrial Classification (SIC) Code 26
4.6 Latitude and Longitude 27
4.7 Dun & Bradstreet Number 27
4.8 EPA Identification Number 27
4.9 NPDES Permit Number 27
4.10 Underground Injection Well Code (UIC) Identification Number 27
5. Parent Company Information 27
5.1 Name of Parent Company 27
5.2 Parent Company's Dun & Bradstreet Number 27
Part II. Chemical-Specific Information
1. EPCRA Section 313 Chemical Identity 29
1.1 CAS Number 29
1.2 EPCRA Section 313 Chemical or Chemical Category Name 29
1.3 Generic Chemical Name 30
2. Mixture Component Identity 30
2.1 Generic Chemical Name Provided by Supplier 30
3. Activities and Uses of the EPCRA Section 313 Chemical at the Facility
3.1 Manufacture the EPCRA Section 313 Chemical
3.2 Process the EPCRA Section 313 Chemical (incorporative activities) 31
3.3 Otherwise Use the EPCRA Section 313 Chemical (non-incorporative activities) 31
4. Maximum Amount of the EPCRA Section 313 Chemical On-site at Any Time During the Calendar Year .. 32
5. Quantity of the EPCRA Section 313 Chemical Entering Each Environmental Medium On-site 33
5.1 Fugitive or Non-Point Air Emissions 33
5.2 Stack or Point Air Emissions 33
5.3 Discharges to Receiving Streams or Water Bodies 34
5.4.1 Underground Injection On-Site to Class I Wells 34
5.4.2 Underground Injection On-site to Class II-V Wells 34
5.5 Disposal to Land On-site 34
5.5.1A RCRA Subtitle C landfills 34
5.5.1B Other landfills 34
5.5.2 Land treatment/application farming 34
5.5.3 Surface impoundment 34
5.5.4 Other Disposal 35
5.5.4a Column A: Total Release 35
5.5.4b Column B: Basis of Estimate 36
5.5.4c Column C: Percent From Stormwater 37
6. Transfers of the EPCRA Section 313 Chemical in Wastes to Off-Site Locations 38
6.1 Discharges to Publicly Owned Treatment Works (POTWs) 38
6.1.A.1 Total Transfers 39
6.1.A.2 Basis of Estimate 39
6.2 Transfers to Other Off-Site Locations
6.2a Column A: Total Transfers
6.2b Column B: Basis of Estimate
6.2c.^ Column C: Type of Waste Management: Disposal/Treatment/Energy Recovery/Recycling 45
ii Toxics Release Inventory Reporting Forms and Instructions
-------
164
Toxics Release Inventory Reporting Forms and Instructions
Table of Contents
7. On-Site Waste Treatment, Energy Recovery, and Recycling Methods 47
7A On-Site Waste Treatment Methods and Efficiency 47
7A.a Column A: General Waste Stream 47
7A.b Column B: Waste Treatment Method(s) Sequence 47
7A.c Column C: Range of Influent Concentration 49
7A.d Column D: Waste Treatment Efficiency Estimate 49
7A.e Column E: Based on Operating Data? 50
78 On-Site Energy Recovery Processes 50
7C On-Site Recycling Processes 52
8. Source Reduction and Recycling Activities 53
D. Facility Eligibility Determination for Alternate Threshold
and for Reporting on EPA Form A
D.I Alternate Threshold 63
D.2 What is the Form A (Certification Statement)? 63
D.3 What is the Total Annual Reportable Amount? 63
D.4 Recordkeeping 63
D.5 Multi-establishment Facilities 63
D.6 Trade Secrets 64
D.7 Metals and Metal Category Compounds 64
E. Instructions for Completing EPA Form A
Part I. Facility Identification Information
1. Reporting Year 65
2. Trade Secret Information 65
2.1 Are you claiming the EPCRA Section 313 chemical identified on page 2 trade secret? 65
2.2 If "yes" in 2.1, is this copy sanitized or unsanitized? 65
3. Certification 65
4. Facility Identification 65
4.1 Facility Name, Location, and TRI Facility Identification Number 65
4.2 Federal Facility Designation 66
4.3 Technical Contact 66
4.4 Intentionally Left Blank 66
4.5 Standard Industrial Classification (SIC) Code 66
4.6 Latitude and Longitude 67
4.7 Dun & Bradstreet Number(s) 67
4.8 EPA Identification Number(s) 67
4.9 Facility NPDES Permit Number(s) 67
4.10 Underground Injection Well Code (UIC) Identification Number(s) 67
5. Parent Company Information 67
5.1 Name of Parent Company 67
5.2 Parent Company's Dun & Bradstreet Number 67
Part II. Chemical Identification
1. Toxic Chemical Identity 68
1.1 CAS Number 68
Toxics Release Inventory Reporting forms and Instructions iii
-------
Toxics Release Inventory Reporting Forms and Instructions
Table of Contents
1.2 EPCRA Section 313 Chemical or Chemical Category Nam e
1.3 Generic Chemical Name 68
2. Mixture Component Identity 69
2.1 Generic Chemical Name Provided by Supplier 69
Table I SIC codes 10-73 1-1
Table H EPCRA Section 313 Chemical List for Reporting Year 1999 n-1
Table HI State Abbreviations ffl-1
Appendix A Federal Facility Reporting Information A-l
Appendix B Reporting Codes for EPA Form R B-l
Appendix C Common Errors in Completing Form R Reports and Making Data Available C-l
Appendix D Supplier Notification Requirements D-l
Appendix E How to Determine Latitude and Longitude From Topographic Map s E-l
Appendix F State Designated Section 313 Contacts F-l
Appendix G Section 313 EPA Regional Contacts G-l
Appendix H Section 313 Related Materials and Information Access H-l
iv Toxics Release Inventory Reporting Forms and Instructions
-------
Automated TRI Reporting Software
166
Automated TRI
About ATRS
ATRS99 is EPA's Automated TRI Reporting Software for reporting TRI data for 1999 and any preceding year.
Listed below are some features which are new this year:
ATRS Features
• ATRS99 on CD
Distributing our software on compact disk (CD) allows us to provide you with several of our industry-specific
regulatory guidance documents and the EPCRA Section 313 Questions and Answers book in addition to all versions
of ATRS99: Windows 32-bit (Windows 95, 98, and NT compatible); Windows 16-bit (Windows 3.1 compatible).
• "Recycle" Your Old Data
The "reload data function" allows you to reload existing TRI data from any of the following sources which you may
have saved from previous TRI reporting: (1) any APR/ ATRS submission diskette (for reporting years 1991 to 1998),
(2) AFR97 and ATRS98 for DOS database, or (3) AFR97 and ATRS98 for Windows database. Once reloaded these data
can easily be edited to update it as needed for 1999 reporting.
* DOS Version Discontinued
We have discontinued the DOS version of the software due to low demand (approximately 100 filers last year used
the DOS version of ATRS).
• Create Diskette for State Submission
The create diskette screen now presents an option to create a diskette and cover letter for submission to a state agency.
• Diskette Creation Message
The state disk, copy all, and copy selected diskette creation routines now feature a message upon successful
completion of the diskette creation routine.
• Additional Validation Check for Waste Management Codes
For most metals and metal compound categories, only waste management codes for disposal and certain recycling
activities are accepted. This is because metals and metal category compounds are neither treated nor destroyed, and
therefore, these chemicals and chemical compounds can only be managed through some form of disposal or
recycling/ recovery process. The only exceptions to this are for those cases where the listed metal contains a qualifier
(e.g., aluminum — fume or dust) where the listed form of the metal may be transformed to a non-listed form. Use
of waste management codes other than these will produce an invalid code in section 6.2.X.C. The user will be notified
of this error upon validation under the error code #339.
Distinction Among Standard Industrial Classification (SIC) Codes
EPA has provided guidance in the "Forms and Instructions" package each year directing facilities to enter their
"Primary" SIC code in the first place holder in Part 1 , "Facility Information" section. This year, both Form R and Form
A have been slightly modified to include the title of "Primary SIC code" in the position of the first SIC code. Please
enter the "primacy" SIC code for the facility in this field.
Toxics Release Inventory Reporting Forms and Instructions v
-------
167
Automated TRI Reporting Software
• Disabling of the Warning Message for over 50,000 pounds
ATRS has been modified so that the current warning message that appears at the first entry value over 50,000 pounds
may be disabled by the submitter of the form.
vi Toxics Release Inventory Reporting Forms and Instructions
-------
168
Chemical and Industry Guidance Documents
To receive a copy of any of the section 313 documents D
listed below, check the box(es) next to the desired
document(s). There is no charge for any of these
documents. Be sure to type or clearly print your full
mailing address in the space provided on the third page
of this form (page viii). Send this request form or call
toll-free 1-800-190-9198.
U.S. EPA/NCEPI
P.O. Box 42419 Q
Cincinnati, OH 45242-2419
(800) 490-9198
Fax: (513) 489-8695
Internet:
http://www.epa.gov/ncepihom/index.html
3 40 CFR 372, Toxic Chemical Release Reporting;
Community Right-to-Know; Final Rule
A reprint of the final section 313 rule as it appeared Q
in the Federal Register (FR) February 16,1988 (53 FR
4500) (OTSFR 021688).
0 Toxics Chemical Release Inventory Reporting
Forms and Instructions for 1999
February 2000 (EPA 740-K-00-001)
D Consolidated List of Chemicals Subject to
Reporting Under the Act
(Title III List of Lists) (EPA 550-B-98-017)
A consolidated list of specific chemicals covered by 3
the Emergency Planning and Community Right-to-
Know Act. The list contains the chemical name,
CAS Registry Number, and reporting
requirements) to which the chemical is subject.
Q The Emergency Planning and Community Right-
to-Know Act: Section 313 Release Reporting
Requirements
June 1999 (EPA 745/K-99-002)
The brochure alerts businesses to their reporting
obligations under section 313 and assists in
determining whether their facility is required to
report. The brochure contains the EPA regional
contacts, the list of section 313 toxic chemicals and
a description of the Standard Industrial D
Classification (SIC) codes subject to section 313.
Supplier Notification Requirements,
(EPA 560^-91-006)
This pamphlet assists chemical suppliers who may
be subject to the supplier notification requirements,
gives examples of situations which require
notification, describes the trade secret provision,
and contains a sample notification.
Trade Secrets Rule and Form
(53 FR 28772)
A reprint of the final rule that appeared in the
Federal Register of July 29, 1988. This rule
implements the trade secrets provision of the
Emergency Planning and Community Right-to-
Know Act (section 322) and includes a copy of the
trade secret substantiation form.
Common Synonyms for Chemicals Listed Under
Section 313 of the Emergency Planning and
Community Right-to-Know Act
(EPA 745-R-95-008)
This glossary contains chemical names and their
synonyms for substances covered by the reporting
requirements of EPCRA section 313. The glossary
was developed to aid in determining whether a
facility manufactures, processes, or otherwise uses
a chemical subject to section 313 reporting.
Executive Order 12856 — Federal Compliance
with Right-to-Know Laws and Pollution
Prevention Requirements: Questions and
Answers
February 1999 (EPA 745-R-99-001)
This document assists federal facilities in complying
with Executive Order 12856. This information has
been compiled by EPA from questions received from
Federal facilities. This document is intended for the
exclusive use of Federal facilities in complying with
sections 302, 303, 304, 311, 312, and 313 of the
Emergency Planning and Community Right-to-Know
Act (EPCRA) of 1986 and the Pollution Prevention Act
of 1990, as directed by the Executive Order.
Section 313 of the Emergency Planning and
Community Right-to-Know Act; Questions and
Answers
December 1998 (EPA 745-B-98-004)
Toxics Release Inventory Reporting Forms and Instructions vii
-------
169
Chemical and Industry Guidance Documents
The revised 1998 EPCRA Section 313 Questions and Answers
document assists regulated facilities in complying with the
reportingrequirements of EPCRA section313. This updated
document presents interpretive guidance in the form of
answers to many commonly asked questions on compliance
with EPCRA section 313. In addition, this document
includes comprehensive written directives to assist covered
facilities in understanding some of the more complicated
regulatory issues. This updated guidance document is
intended to supplement the instructions for completing the
Form R and the Alternate Threshold Certification Statement
(Form A).
G Toxics Release Inventory: Reporting Modifications
Beginning with 1995 Reporting Year
February 1995 (EPA 74S-R-95-009)
Chemical-Specific Guidance
EPA has developed a group of guidance documents specific
to individual chemicals and chemical categories.
0 Toxics Release Inventory List of Toxic Chemicals
within the Polychlorinated Alkanes Category and
Guidance for Reporting
February 1995 (EPA745-R-95-001)
Q Toxics Release Inventory list of Toxic Chemicals
within the Water Dissociable Nitrate Compounds
Category and Guidance for Reporting
May 19% (EPA74S-R-96-003)
G Toxics Release Inventory List of Toxic Chemicals
within the Polydic Aromatic Compounds Category
February 1995 (EPA745-R-95-004)
3 Toxics Release Inventory List of Toxic Chemicals
within the Nicotine and Salt Category and Guidance
for Reporting
February 1995 (EPA745-R-954M4)
0 Toxics Release Inventory list of Toxic Chemicals
within the Strychnine and Salts Category and
Guidance for Repotting
February 1995 (EPA745-R-95-005)
G Toxics Release Inventory List of Toxic Chemicals
within the Glycol Ethers Category and Guidance for
Reporting
May 1995 (EPA745-R-95-006)
Q Emergency Planning and Community Right-to-
Know Section 313: List of Toxic Chemicals within
the Chlorophenols Category
November 1994 (EPA745-B-95-004)
G Emergency Planning and Community Right-to-
Know Section 313: Guidance for Reporting
Aqueous Ammonia
July 1995 (EPA745-R-95-012)
Q Emergency Planning and Community Right-to-
Know Section 313: Guidance for Reporting
Sulfuric Acid (acid aerosols including mists,
vapors, gas, fog and other airborne forms of any
particle size)
November 1997 (EPA745-B-97-007)
G Emergency Planning and Community Right-to-
Know Section 313: Guidance for Reporting
Hydrochloric Acid (acid aerosols including mists,
vapors, gas, fog and other airborne forms of any
particle size)
December 1999 (EPA 745-B-99-014)
Industry-Specific Guidance
EPA has developed a group of individual guidance
documents for certain industries.
G Section 313 of the Emergency Planning and
Community Right-to-Know Act; Toxic Chemical
Release Inventory; Data Quality Checks to Prevent
Common Reporting Errors on Form R/Form A
August 1998 (EPA 745-R-98-012)
Q Emergency Planning and Community Right-to-
Know Act Section 313 Reporting Guidance for Spray
Application and FJectrodeposition of Organic
Coatings
December 1998 (EPA 745-R-98-014)
Q Emergency Planning and Community Right-to-
Know Act Section 313 Reporting Guidance for Food
Processors
September 1998 (EPA 745-R-98-011)
G Emergency Planning and Community Right-to-
Know Act Section 313 Reporting Guidance for
Rubber and Plastics Manufacturing
December 1998 (EPA 745-R-99-017)
viii Toxics Release Inventory Reporting Forms and Instructions
-------
170
Chemical and Industry Guidance Documents
Q Emergency Planning and Community Right-to-Know 0
Act Section 313 Reporting Guidance for
Semiconductor Manufacturing
December 1998 (EPA 745-R-98-007)
D Emergency Planning and Community Right-to-Know
Act Section 313: Guidance for Metal Mining 0
Facilities
Januaryl999 (EPA 745-B-99-001)
3 Emergency Planning and Community Right-to-Know
Act Section 313: Guidance for Coal Mining Facilities 0
January 1999 (EPA 74S-B-99-002)
0 Emergency Planning and Community Right-to-
Know Act Section 313: Guidance for Electricity
Generating Facilities
January 1999 (EPA 745-B-99-003)
Emergency Planning and Community Right-to-
Know Act Section 313: Guidance for RCRA
Subtitle C TSD Facilities and Solvent Recovery
Facilities
January 1999 (EPA 745-B-99-004)
Emergency Planning and Community Right-to-
Know Act Section 313: Guidance for Chemical
Distribution Facilities
January 1999 (EPA 745-B-99-005)
Emergency Planning and Community Right-to-
Know Act Section 313: Guidance for Petroleum
Bulk Storage Facilities
January 1999 (EPA 745-B-99-006)
PLEASE TYPE MAILING ADDRESS HERE (DO NOT ATTACH BUSINESS CARDS)
Name/ Title
Company Name
Mail Stop
Street Address
P.O. Box
City/State/Zip Code
Toxics Release Inventory Reporting Forms and Instructions ix
-------
171
-------
172
Paperwork Reduction Act Notice: The annual public burden related to the Form R, which
is approved under OMB Control No. 2070-0093, is estimated to average 52.1 hours per
response. The annual public burden related to the Form A, which is approved under OMB
Control No. 2070-0143, is based on a combination of the estimated burdens for 1)
determining whether a listed toxic chemical is eligible for certification under the alternate
threshold, and 2) completing the Form A. The burden of determining eligibility for
certification is estimated to average 33.2 hours for each chemical that is certified. The
burden of completing the Form A is estimated to average 1.4 hours, regardless of the
number of chemicals being certified. The total burden per response is the combination of
these two, and will vary depending on the number of listed toxic chemicals being certified.
According to the Paperwork Reduction Act, "burden" means the total time, effort,
or financial resources expended by persons to generate, maintain, retain, or disclose or
provide information to or for a Federal agency. For this collection it includes the time
needed to review instructions; train personnel to be able to respond to the collection of
information; search data sources; complete and review the collection of information; and
transmit or otherwise disclose the information. An agency may not conduct or sponsor, and
a person is not required to respond to, a collection of information unless it displays a
currently valid OMB control number. The OMB control numbers for this information
collection appear above and on the forms. In addition, the OMB control numbers for EPA's
regulations, after initial display in the final rule, are listed in 40 CFR part 9.
Send comments on the accuracy of the provided burden estimates, and any
suggested methods for minimizing respondent burden, including through the use of
automated collection techniques to the Director, OP Regulatory Information Division, U.S.
Environmental Protection Agency (Mail Code 2137), 401 M Street, S.W., Washington, D.C.
20460. Include the OMB control number in any correspondence, but do not submit the
requested information to this address. The completed forms should be submitted in
accordance with the instructions accompanying the form, or as specified in the
corresponding regulation.
Toxics Rekase Inventory Reporting Forms and Instructions xi
-------
173
-------
(IMPORTANT: Type or print; read instructions before completing form) 174
Form Approved OMB Number: 2070-0093
Approval Expires: 01/01/2001 Pa9«1 of 5
1
EPA
FORM R
«;
i
TOXIC CHEMICAL RELEASE
INVENTORY REPORTING FORM
United States Section 313 of the Emergency Planning and Community Right-to-Know Act of 1986,
nvironmentai protection a]so known gs Tjtje m Qf the Superfund Amendments and Reauthorization Act
.gency
WHERE TO SEND COMPLETED FORMS: 1. EPCRA Reporting Center
P.O Box 3348
Merrifield, VA 22116-3348
ATTN: TOXIC CHEMICAL RELEASE INVENTORY
2. APPROPRIATE STATE OFFICE
(See instructions in Appendix F)
Enter "X" here if this
is a revision
For _EPA_use pnjy_
Important: See instructions to determine when "Not Applicable (NA)" boxes should be checked.
PART I. FACILITY IDENTIFICATION INFORMATION
SECTION 1. REPORTING YEAR
SECTION 2. TRADE SECRET INFORMATION
2.1
Are you claiming the toxic chemical identified on page 2 trade secret?
Yes (Answer question 2.2;
Attach substantiation forms)
No {Do not answer 2.2;
Go to Section 3)
2.2
Is this copy
Sanitized
Unsanitized
(Answer only if "YES" in 2.1)
SECTION 3. CERTIFICATION (Important: Read and sign after completing all form sections.)
1 hereby certify that I have reviewed the attached documents and that, to the best of my knowledge and belief, the submitted
information is true and complete and that the amounts and values in this report are accurate based on reasonable estimates
using data available to the preparers of this report.
Name and official title of owner/operator or senior management official:
Signature:
Date Signed:
SECTION 4. FACILITY IDENTIFICATION
lity or Establishment Name
TRI Facility ID Number
Facility or Establishment Name or Mailing Address(if different from street address)
Street
Mailing Address I
City/County/State/Zip Code
Crty/County/State/Zip Code
4.2
This report contains information for:
(Important: check a or b; check c if applicable)
An entire
facility
b.
Part of a
facility
A Federal
facility
4.3
Technical Contact Name
Telephone Number (include area eodej
4.4
Public Contact Name
Telephone Number (include area codej
4.5
SIC Code (s) (4 digits)
Primary
a.
b.
c.
d.
e.
4.6
Latitude
Degrees
Minutes
Seconds
Longitude
Degrees
Minutes
Seconds
4.7
Dun & Bradstreet
Numbers) (9 digits)
4.8
EPA Identification Number
(RCRAI.D. No.) (12 characters)
4.9
Facility NPDES Permit
Number(s) (9 characters)
4.10
Underground Injection Well Code
(UIC) I.D. Number(s) (12 digits)
a.
b.
b.
SECTION 5. PARENT COMPANY INFORMATION
Name of Parent Company
NA
Parent Company's Dun & Bradstreet Number
EPA Form 9350-1 (Rev. 04/97) - Previous editions are obsolete.
-------
175
This side intentionally
left blank;
Please do not copy
double-sided!
-------
Page 2 of 5
1/b
EPA FORM R
PART II. CHEMICAL-SPECIFIC INFORMATION
TRI Facility ID Number
Toxic Chemical, Category or Generic Name
SECTION 1. TOXIC CHEMICAL IDENTITY
(Important: DO NOT complete this section if you completed Section 2 below.)
1.1
CAS Number (Important: Enter only one number exactly as it appears on the Section 313 list. Enter category code if reporting a chemical category.)
1.2
Toxic Chemical or Chemical Category Name (Important: Enter only one name exactly as it appears on the Section 313 list.)
1.3
Generic Chemical Name (Important: Complete only if Part 1, Section 2.1 is checked "yes". Generic Name must be structurally descriptive.)
SECTION 2. MIXTURE COMPONENT IDENTITY (Important: DO NOT complete this section if you completed Section 1 above.)
2.1
Generic Chemical Name Provided by Supplier (Important: Maximum of 70 characters, including numbers, letters, spaces, and punctuation.)
SECTION 3. ACTIVITIES AND USES OF THE TOXIC CHEMICAL AT THE FACILITY
(Important: Check all that apply.)
3.1 Manufacture the toxic chemical:
3.2 Process the toxic chemical:
3.3 Otherwise use the toxic chemical:
a.
Produce
b.
Import
If produce or import:
For on-site use/processing
For sale/distribution
As a byproduct
As an impurity
a.
b.
c.
d.
As a reactant
As a formulation component
As an article component
Repackaging
As a chemical processing aid
As a manufacturing aid
Ancillary or other use
SECTION 4. MAXIMUM AMOUNT OF THE TOXIC CHEMICAL ONSITE AT ANY TIME DURING THE CALENDAR YEAR
4.1
(Enter two-digit code from instruction package.)
SECTION 5. QUANTITY OF THE TOXIC CHEMICAL ENTERING EACH ENVIRONMENTAL MEDIUM ONSITE
A. Total Release (pounds/year)
(Enter range code or estimate*)
B. Basis of Estimate
(enter code)
C. % From Stormwater
5.1
5.2
5.3
Fugitive or non-point
air emissions
Stack or point
air emissions
NA
NA
Discharges to receiving streams or
water bodies (enter one name per box)
Stream or Water Body Name
5.3.1
5.3.2
5.3.3
5.4.1
Underground Injection onsite
to Class I Wells
Underground Injection onsite
to Class II-V Wells
NA
NA
If additional pages of Part II, Section 5.3 are attached, indicate the total number of pages in this box
and indicate the Part II, Section 5.3 page number in this box. (example: 1,2,3, etc.)
EPA form 9350-1 (Rev. 04/97) - Previous editions are obsolete.
* Range Codes: A= 1 - 10 pounds; B= 11- 499 pounds; C= 500 - 999 pounds.
-------
177
This side intentionally
left blank.
Please do not copy
double-sided!
-------
Page 3 of 5
T78
EPA FORM R
PART II. CHEMICAL - SPECIFIC INFORMATION (CONTINUED)
TRI Facility ID Number
Toxic Chemical, Category or Generic Name
SECTION 5. QUANTITY OF THE TOXIC CHEMICAL ENTERING EACH ENVIRONMENTAL MEDIUM ONSITE (Continued)
NA
A. Total Release (pounds/year) (enter range
code* or estimate)
B. Basis of Estimate
(enter code)
5.5
Disposal to land onsrte
5.5.1A
RCRA Subtitle C landfills
5.5.1 B
Other landfills
5.5.2
Land treatment/application
farming
5.5.3
Surface Impoundment
5.5.4
Other disposal
SECTION 6. TRANSFERS OF THE TOXIC CHEMICAL IN WASTES TO OFF-SITE LOCATIONS
6.1 DISCHARGES TO PUBLICLY OWNED TREATMENT WORKS (POTWs)
6.1.A Total Quantity Transferred to POTWs and Basis of Estimate
6.1.A.1. Total Transfers (pounds/year)
(enter range code* or estimate)
6.1.A.2 Basis of Estimate
(enter code)
6.1.B.
POTW Name
POTW Address
City
State
County
Zip
6.1.B.
POTW Name
POTW Address
City
State
County
Zip
If additional pages of Part II, Section 6.1 are attached, indicate the total number of pages
in this box I land indicate the Part II, Section 6.1 page number in this box I (example: 1,2,3, etc.)
SECTION 6.2 TRANSFERS TO OTHER OFF-SITE LOCATIONS
6.2. Off-Site EPA Identification Number (RCRA ID No.)
Off-Site Location Name
Off-Site Address
City
State
County
Zip
Is location under control of reporting facility or parent company?
Yes
No
EPA Form 9350-1 (Rev.04/97) - Previous editions are obsolete.
* Range Codes: A = 1 -10 pounds; B = 11 - 499 pounds; C = 500 - 999 pounds.
-------
179
This side intentionally
left blank.
Please do not copy
double-sided!
-------
fh
WJEC
180
EPA FORM R
PART II. CHEMICAL-SPECIFIC INFORMATION (CONTINUED)
Page 4 of 5
TRI Facility ID Number
Toxic Chemical, Category or Generic Name
ECTION 6.2 TRANSFERS TO OTHER OFF-SITE LOCATIONS (Continued)
A. Total Transfers (pounds/year)
(enter range code* or estimate)
B. Basis of Estimate
(enter code)
C. Type of Waste Treatment/Disposal/
Recycling/Energy Recovery (enter code)
1.
1.
1. M
2.
2. M
3.
3.
3. M
4.
4- M
6.2. Off-Site EPA Identification Number (RCRA ID No.)
Off-Site location Name
Off-Site Address
City
State
County
Zip
Is location under control of reporting facility or parent company?
Yes
No
A. Total Transfers (pounds/year)
(enter range code* or estimate)
B. Basis of Estimate
(enter code)
C. Type of Waste Treatment/Disposal/
Recycling/Energy Recovery (enter code)
1.
1.
1. M
2.
2.
2. M
3.
3.
3. M
4.
4. M
CTION 7A. ON-SITE WASTE TREATMENT METHODS AND EFFICIENCY
Not Applicable (NA) -
Check here if no on-site waste treatment is applied to any
waste stream containing the toxic chemical or chemical category.
a. General
Waste Stream
(enter code)
b. Waste Treatment Method(s) Sequence
{enter 3-character code(s)]
c. Range of Influent
Concentration
d. Waste Treatment
Efficiency
Estimate
Based on
Operating Data ?
7A.1a
7A.1c
7A.1d
7A.1e
Yes No
7A.2a
7A.2c
7A.2d
7A.2e
Yes No
7A.3a
7A.3c
7A. 3d
7A.3C
Yes No
7A.4a
7A.4c
7A.4d
7A.4e
Yes No
7A.5a
k_
^^^^^BC! uitionsl
and indicate
7A.5c
7A.5d
7A,5e
Yes No
pages of Part II, Section 6.2/7A are attached, indicate the total number of pages in this box
and indicate the Part II, Section 6.2/7A page number in this box : | | (example: 1,2,3, etc)
EPA Form 9350-1 (Rev, 04/97) - Previous editions are obsolete.
* Range Codes: A = 1 -10 pounds; B = 11 - 499 pounds; C = 500 - 999 pounds.
-------
181
This side intentionally
left blank.
Please do not copy
double-sided!
-------
Page 5 of 5
EPA FORM R 182
PART II. CHEMICAL-SPECIFIC INFORMATION (CONTINUED)
k
TRI Facility ID Number
Toxic Chemical, Category or Generic Name
1 SECTION 7B. ON-SITE ENERGY RECOVERY PROCESSES
i —
Not Applicable (NA) - CheCk here * "° °n"Site 6"er9y recovery is aPP|ied to an* waste
stream containing the toxic chemical or chemical category.
Energy Recovery
1
Methods (enter 3-character code(s)]
2 34
SECTION 7C. ON-SITE RECYCLING PROCESSES
I —
Not Applicable (NA) - Check here if no on-site recycling is applied to any waste
stream containing the toxic chemical or chemical category.
Recycling Methods [enter 3-character code(s)]
1.
6.
2. 3. 4.
7. 8. 9.
5.
10.
SECTION 8. SOURCE REDUCTION AND RECYCLING ACTIVITIES
Column A Column B
Prior Year Current Reporting Year
(pounds/year) (pounds/year)
8.1
it
r
8.4
8.5
8.6
8.7
8.8
8.9
8.10
8.10.1
8.10.2
8.10.3
8.10.4
8.11
Quantity released **
Quantity used for energy recovery
onsite
Quantity used for energy recovery
offsite
Quantity recycled onsite
Quantity recycled offsite
Quantity treated onsite
Quantity treated offsite
Quantity released to the environment as a result of remedial actions,
catastrophic events, or one-time events not associated with production
processes (pounds/year)
Production ratio or activity index
Column C Column D
Following Year Second Following Year
(pounds/year) (pounds/year)
Did your facility engage in any source reduction activities for this chemical during the reporting year? If not,
enter "NA" in Section 8.10.1 and answer Section 8. 11 .
Source Reduction Activities Methods to Identify Activity (enter codes)
[enter code(s)]
a. b. c.
a. b. c.
a. b. c.
a. b. c.
Is additional information on source reduction, recycling, or pollution control activities
included with this report ? (Check one box)
YES NO
^fcpeport releases pursuant to EPCRA Section 329(6) including "any spilling, leaking, pumping, pouring, emitting, emptying, discharging.
Sheeting, escaping, leaching, dumping, or disposing into the environment." Do not include any quantity treated onsile or offslte.
EPA Form 9350-1 (Rev. 04/97) - Previous editions are obsolete.
-------
183
This side intentionally
left blank.
Please do not copy
double-sided!
-------
(IMPORTANT: Type or print; read instructions before completing form)
184
Form Approved OMB Number: 2070-0143
Approval Expires: 01/01/2001
Page 1 of
United States
Environmental Protection Agency
TOXIC CHEMICAL RELEASE INVENTORY
FORMA
WHERE TO SEND COMPLETED FORMS: 1. EPCRA Reporting Center
P.O Box 3348
Merrifield, VA 22116-3348
ATTN: TOXIC CHEMICAL RELEASE INVENTORY
2. APPROPRIATE STATE OFFICE
(See instructions in Appendix F)
Enter "X" here if this
is a revision
For EPA use only
Important: See instructions to determine when "Not Applicable (NA)" boxes should be checked.
PART I. FACILITY IDENTIFICATION INFORMATION
SECTION 1. REPORTING YEAR
SECTION 2. TRADE SECRET INFORMATION
2.1
Are you claiming the toxic chemical identified on page 2 trade secret?
Yes (Answer question 2.2;
Attach substantiation forms)
No (Do not answer 2.2;
Go to Section 3)
2.2
Is this copy
Sanitized
Unsanttized
(Answer only if "YES" in 2.1)
SECTIONS. CERTIFICATION (Important: Read and sign after completing all form sections.)
I hereby certify that to the best of my knowledge and belief, for each toxic chemical listed in the statement, the annual reportable
amount as defined in 40 CFR 372.27 (a), did not exceed 500 pounds for this reporting year and that the chemical was
manufactured, processed, or otherwise used in an amount not exceeding 1 million pounds during this reporting year.
Name and official title of owner/operator or senior management official:
Signature:
Date Signed:
SECTION 4. FACILITY IDENTIFICATION
TRI Facility ID Number
slity or Establishment Name
Facility or Establishment Name or Mailing Address(if different from street address)
Mailing Address |
Crty.'County/State/Zip Code
City/County/State/Zip Code
4.2
This report contains information for: flmportant: check c if applicable)
A Federal
facility
4.3
Technical Contact Name
Telephone Number (include area codej
4.4
Intentionally left blank
4.5
SIC Code (s) (4 digits)
Primary
a.
b.
d.
e.
4.6
Latitude
Degrees
Minutes
Seconds
Longitude
Degrees
Minutes
Seconds
4.7
Dun & Bradstreet
Number(s) (9 digits)
4.8
EPA Identification Number
(RCRA I.D. No.) (12 characters)
4.9
Facility NPDES Permit
Number(s) (9 characters)
4.10
Underground Injection Well Code
(UIC) I.D. Numbers) (12 digits)
a.
b.
b.
SECTION 5. PARENT COMPANY INFORMATION
5.1
Name of Parent Company
NA
Parent Company's Dun & Bradstreet Number
NA
EPA Form 9350-2
-------
185
This side intentionally
left blank.
Please do not copy
double-sided!
-------
IMPORTANT: Type or print; read instructions before completing form
Page of
EPA FORM A
PART II. CHEMICAL IDENTIFICATION
TRIFID:
ECTION 1. TOXIC CHEMICAL IDENTITY
Report of
CAS Number (Important: Enter only one number exactly as it appears on trie Section 313 list. Enter category code if reporting a chemical category.)
1.2
Toxic Chemical or Chemical Category Name (Important: Enter only one name exactly as It appears on the Section 313 list.)
1.3
Generic Chemical Name (Important: Complete only if Part I, Section 2.1 is checked "yes". Generic Name must be structurally descriptive.)
SECTION 2. MIXTURE COMPONENT IDENTITY (Important: DO NOT complete this section if you completed Section 1 above.)
2.1
Generic Chemical Name Provided by Supplier (Important: Maximum of 70 characters, including numbers, letters, spaces and punctuation.)
SECTION 1. TOXIC CHEMICAL IDENTITY
Report of ^_
1.1
CAS Number (Important: Enter only one number exactly as it appears on the Section 313 list. Enter category code if reporting a chemical category.)
1.2
Toxic Chemical or Chemical Category Name (Important: Enter only one name exactly as it appears on the Section 313 list.)
1.3
Generic Chemical Name (Important: Complete only if Part I, Section 2.1 is checked "yes". Generic Name must be structurally descriptive.)
SECTION 2. MIXTURE COMPONENT IDENTITY (Important: DO NOT complete this section if you completed Section 1 above.)
2.1
Generic Chemical Name Provided by Supplier (Important: Maximum of 70 characters, including numbers, letters, spaces and punctuation.)
ECTION1. TOXIC CHEMICAL IDENTITY
Report of
1.1
CAS Number (Important: Enter only one number exactly as it appears on the Section 313 list. Enter category code if reporting a chemical category.)
1.2
Toxic Chemical or Chemical Category Name (Important: Enter only one name exactly as it appears on the Section 313 list.)
1.3
Generic Chemical Name (Important: Complete only if Part I, Section 2.1 is checked "yes". Generic Name must be structurally descriptive.)
SECTION 2. MIXTURE COMPONENT IDENTITY (Important: DO NOT complete this section if you completed Section 1 above.)
2.1
Generic Chemical Name Provided by Supplier (Important: Maximum of 70 characters, including numbers, letters, spaces and punctuation.)
SECTION 1. TOXIC CHEMICAL IDENTITY
Report ___ of
1.1
CAS Number (Important: Enter only one number exactly as it appears on the Section 313 list. Enter category code if reporting a chemical category.)
1.2
Toxic Chemical or Chemical Category Name (Important: Enter only one name exactly as it appears on the Section 313 list.)
1.3
Generic Chemical Name (Important: Complete only if Part I, Section 2.1 is checked "yes". Generic Name must be structurally descriptive.)
SECTION 2. MIXTURE COMPONENT IDENTITY (Important: DO NOT complete this section if you completed Section 1 above.)
2.1
Generic Chemical Name Provided by Supplier (Important: Maximum of 70 characters, including numbers, letters, spaces and punctuation.)
EPA Form 9350-2
(Make additional copies of this page, if needed)
-------
187
This side intentionally
left blank.
Please do not copy
double-sided!
-------
188
A. General Information
Reporting to the Toxic Chemical Release Inventory (TRI) is
required by section 313 of the Emergency Planning and
Community Right-to-Know Act (EPCRA, or Title m of the
Superfund Amendments and Reauthorization Act of 1986),
Public Law 99-499. The information contained in the Form
R constitutes a " report," and the submission of a report to the
appropriate authorities constitutes "reporting."
The Pollution Prevention Act, passed into law in October,
1990 (Pub. L. 101-508), added reporting requirements to
Form R. These requirements affect all facilities required to
submit Form R under section 313 of EPCRA. The data were
required beginning with reports for calendar year 1991.
Reporting is required to provide the public with information
on the releases of EPCRA Section 313 chemicals in their
communities and to provide EPA with release information
to assist the Agency in determining the need for future
regulations. Facilities must report the quantities of both
routine and accidental releases of EPCRA Section 313
chemicals, as well as the maximum amount of the EPCRA
Section 313 chemical on-site during the calendar year and the
amount contained in wastes managed on-site or transferred
off-site.
A completed Form R or Form A must be submitted for each
EPCRA Section 313 chemical manufactured, processed, or
otherwise used at each covered facility as described in the
reporting rules in 40 CFR Part 372 (originally published
February 16,1988, in the Federal Register and November 30,
1994, in the Federal Register {for Form A)). These
instructions supplement and elaborate on the requirements
in the reporting rule. Together with the reporting rule, they
constitute the reporting requirements. All references in these
instructions are to sections in the reporting rule unless
otherwise indicated.
A.1 Who Must Report
Section 313 of EPCRA requires that reports be filed by
owners and operators of facilities that meet all of the
following criteria.
Q The facility has 10 or more full-time employees; and
Q The facility is included in Standard Industrial
Classification (SIC) Codes 10 (except 1011,1081, and
1094), 12 (except 1241), 20-39,4911 (limited to facilities
that combust coal and/or oil for the purpose of
generating electricity for distribution in commerce),
4931 (limited to facilities that combust coal and/or oil
for thepurpose of generatingelectricity for distribution
in commerce), 4939 (limited to facilities that combust
coal and/ or oil for the purpose of generating electricity
for distribution in commerce), 4953 (limited to facilities
regulated under the RCRA Subtitle C, 42 U.S.C section
6921 et so?.), 5169, 5171, and 7389 (limited to facilities
primarily engaged in solvents recovery services on a
contract or fee basis); and
3 The faculty manufactures (defined to include
importing), processes, or otherwise uses any EPCRA
Section 313 chemical in quantities greater than the
established threshold in the course of a calendar year.
A.2 How to Assemble a Complete Report
A.2.a. The Toxic Chemical Release Reporting
Form, EPA Form R
The five-page EPA Form R consist of two parts:
Q Part I, Facility Identification Information (page 1); and
Q Part n, Chemical-Specific Information (pages 2-5).
Most of the information required in Part I of Form R can be
completed, photocopied, and attached to each
chemical-specific report. However, Part I of each Form R
submitted must have an original signature on the
certification statement and the trade secret designation must
be entered as appropriate. Part n must be completed
separately for each EPCRA Section 313 chemical or chemical
category. Because a complete Form R consists of at least five
unique pages, any submission containing less than five
unique pages is not a valid submission.
A complete report for any EPCRA Section 313 chemical that
is not claimed as a trade secret consists of the following
completed parts:
Q Part I with an original signature on the certification
statement (section 3); and
3 Part n (Note: Section 8 is mandatory).
Staple all five pages of each report together. If you check yes
on Part II, Section 8.11, you may attach additional
information on pollution prevention activities atyour facility.
Toxics Release Inventory Reporting Forms and Instructions 1
-------
189
General Information
A.2.b. The Alternate Toxic Chemical Release
Inventory Form, EPA Form A
EPA Form A was established in 1994 as a substitute for
reporting Form R information. This is based on an alternate
threshold for facilities with low amounts of an EPCRA
Section 313 chemical in waste. The Form A serves as an
alternate to Form R, such that completion of the Form A is in
lieu of Form R. Like the Form R described above, the Form
A consists of two parts, but only consists of a total of two
pages.
Q Part I, Facility Identification Information, which also
includes the "certification" regarding the eligibility to
use the Form A (page 1 and the top of page 2); and
Q Part n, Chemical Identification (the bottom of page 2).
Since 1998, the Form A may be used to report multiple
chemicals. Four chemicals may be reported on page 2 of the
form. If more than four chemicals are to be reported,
additional copies of page 2 can be used to report qualifying
chemicals. The Form A must have an original certification
statement on page 1 and contain an appropriate trade secret
designation for the form. A complete report for Form A
consists of at least two pages for each submission.
A.3 Trade Secret Claims
For any EPCRA Section 313 chemical whose identity is
claimed as trade secret, you must submit to EPA two
versions of the substantiation form as prescribed in 40 CFR
Part 350, published July 29,1988, in the Federal Register (53
FR 28772) as well as two versions of the EPCRA Section 313
report. One set of reports, the "unsanitized" version, should
provide the actual identity of the EPCRA Section 313
chemical. The other set of reports the "sanitized" version,
should provide only a generic identity of the EPCRA Section
313 chemical. If EPA deems the trade secret substantiation
form valid, only the sanitized set of forms will be made
available to the public.
Use the order form in this document to obtain copies of the
rule and substantiation form. Further explanation of the
trade secret provisions is provided in Part I, Sections 2.1 and
2.2, and Part H, Section 1.3, of the instructions.
In summary, a complete report to EPA for an EPCRA
313 chemical claimed as a trade secret must include all of the
following;
Q A completed "unsanitized" version of Form R or Form
A report including the EPCRA Section 313 chemical
identity (staple the pages together);
Q A sanitized version of a completed Form R or Form A
report in which the EPCRA Section 313 chemical
identity items (Part n, Sections 1.1 and 1.2) have been
left blank but in which a generic chemical name has
been supplied (Part II, Section 1.3) (staple the pages
together);
Q A completed "unsanitized" version of a trade secret
substantiation form (staple the pages together); and
Q A sanitized version of a completed trade secret
substantiation form (staple the pages together).
Securely fasten all four reports together.
Some states also require submission of both sanitized and
unsanitized reports for EPCRA Section313 chemicals whose-
identity is claimed as a trade secret Others require only a*
sanitized version. Facilities may jeopardize the trade secret
status of an EPCRA Section 313 chemical by submitting an
unsanitized version of the EPCRA Section 313 report to a
state agency or Indian tribe that does not require unsanitized
forms. You may identify an individual State's submission
requirements by contactingtheappropriatestate-designated
Section 313 contact (see Appendix F).
A.4 Recordkeeping
Sound recordkeepingpractices are essential for accurate and
efficient TRI reporting. It is in the facility's interest, as well as
EPA's, to maintain records properly.
Facilities must keep a copy of each report filed for at least
three years from the date of submission. These reports will
be of use when completing future reports.
Facilities must also maintain those documents, calculations,
•worksheets, and other forms upon which they relied to
gather information for prior reports. In the event of a
problem with data elements on a facility's Form R or Form
A report, EPA may request documentation from the facility
that supports the information reported.
2 Toxics Release Inventory Reporting Forms and Instructions
-------
190
General Information
EPA may conduct data quality reviews of Form R or Form A
submissions. An essential component of this process
involves reviewing a facility's records for accuracy and
completeness. Facilities should keep a record for those
EPCRA Section 313 chemicals for which they did not file
EPCRA Section 313 reports.
A partial list of records, organized by year, that a facility
should maintain include:
Q Previous years' EPCRA Section 313 reports;
Q Section 313 Reporting Threshold Worksheets;
3 Engineering calculations and other notes;
3 Purchase records from suppliers;
J Inventory data;
Q EPA (NPDES) permits and monitoring reports;
a EPCRA Section 312, Tier H Reports;
3 Monitoring records;
Q Flowmeter data;
3 RCRA Hazardous Waste Generator's Report;
Q Pretreatment reports filed by the facility with the local
government;
3 Invoices from waste management companies;
3 Manufacturer's estimates of treatment efficiencies;
3 RCRA Manifests;
3 Process diagrams that indicate emissions and other
releases; and
3 Records for those EPCRA Section 313 chemicals for
which they did not file EPCRA Section 313 reports.
A.5 How to Prepare a Voluntary
Revision of a Previous
Submission
Starting with the 1998 reporting year, voluntary revisions
must be submitted by July 31st of the same year as the
reporting deadline for the revised data to be included in the
next TRI data release. You may submit hardcopy revisions
or electronic versions using ATRS or other approved
reporting software.
Hardcopy revisions may be submitted using the most recent
form available or the most recent version of the ATRS
software (for Reporting Years after 1990). Certify and date
the form on Page 1 or provide a cover letter with the
software created data revision. Alternatively, you may
submit a photocopy of your original submission (from your
file) with the corrections made in blue ink. Re-sign and re-
date the certification statement on Page 1. For revisions to
1990 and earlier reporting year submissions, use the paper
form and write "VOLUNTARY REVISION" onpagel of the
form. For revisions to 1991 and later reporting year
submissions, enter "X" in the space marked "Enter "x" here
if this is a revision", on page 1 of the form.
The EPA magnetic media software allows you to revise your
form data and submit your revisions for any reporting year
after 1990. The documentation provided with the magnetic
media submissionsoftware contains specific instructions, or
you may call the magnetic media technical supporthotline at
(703) 816-4434. The Technical Support Hotline number is to
be used for the ATRS and does not provide regulatory
support. If you submitted your Form R data using software
developed by an EPA approved Form Software developer,
youmustcontactmesoftwaredevelopertodeternuneiftheir
software is capable of creating revisions. If not, you can use
either the ATRS software or the current hardcopy paper
form. Please be careful when submitting magnetic media
revisions to resubmit only the revised submissions. Do not
resubmit a diskette containing all of your original
submissions if you are only revising one or several of them.
Whenever you submit a diskette to EPA, do not also submit
a printout of what is on the diskette because they will both be
processed through data entry causing duplicate records for
your facility.
A.5.a. Where to Submit a Voluntary Revision
of a Previous Submission
Revisions should be submitted to EPA and the appropriate
state agency (or the designated official of an Indian tribe) to
whom you submitted the original Form (see Section A.6.a).
Please note: Submissions for the next reporting year are
NOT considered revisions of the previous year's data.
A.6 When the Report Must Be
Submitted
The report for any calendar year must be submitted on or
before July 1 of the following year whether using Form R or
Form A. Any voluntary revision to a report can be
submitted anytime during the calendar year for the current
or any previous reporting year.
A.7 Where to Send the Forms
Submissions must be sent to both EPA and the State (or the
designated official of an Indian tribe). If a report is not
received by both EPA and the State (or the designated official
of an Indian tribe), the submitter is considered out of
compliance and subject to enforcement action.
Toxics Release Inventory Reporting Forms and Instructions 3
-------
191
General Information
Send reports to EPA by regular mail to:
EPCRA Reporting Center
P.O. Box 3348
MerrifieId,VA 22116-3348
Attn: Toxic Chemical Release Inventory
Certified mail, overnight mail, and hand-delivered
submissions only should be addressed to:
EPCRA Reporting Center
c/o Computer Based Systems Inc.
Suite 300
4600 North Fairfax Drive
Arlington, VA 22203
(703)816-1445
Also send a copy of the report to the State in which the
facility is located. ("State" also includes: the District of
Columbia, the Commonwealth of Puerto Rico, Guam,
American Samoa, Marshall Islands, the U.S. Virgin Islands,
the Northern Mariana Islands, and any other territory or
possession over which the U.S. has jurisdiction.) Refer to
Appendix F for me appropriate State submission addresses.
Facilities located on Indian land should send a copy to the
Chief Executive Officer of the applicable Indian tribe. Some
tribes haveentered into a cooperative agreement with States;
in this case, report submissions should be sent to the entity
designated in the cooperative agreement.
Submission of Section 313 reports in magnetic media and
computer-generated facsimile formats has beenapproved by
EPA. EPA has developed a package called the "Automated
Toxic Chemical Release Inventory Reporting Software
(ATRS)." The easy-to-use CD-ROM comes with complete
instructions for its use. It also provides prompts and
messages to help you report according to EPA instructions.
For copies of the CD-ROM you may call the National Service
Center for Environmental Publications at 1-80CM90-9198.
Many firms are offering computer software to assist facilities
in producing magnetic media submissions for computer-
generated facsimiles of EPCRA Section 313 reports. To
ensure accuracy, EPA will only accept magnetic media
submissions and computer-generated facsimiles that meet
basic specifications established by EPA. To determine if the
software offered by a firm meets these specifications, EPA
reviews and approves all software upon request Call the
EPCRA Hotline or visit EPA's website at
http:// www.epa.gov/trj to obtain a list of EPA-approved
vendors.
It should be noted, however, that some States may accept
only hard copies of EPCRA Section 313 report. If this is the
case, a magnetic media or computer-generated facsimile may
be unacceptable.
A.7.a. How to Send Your Disks Containing
Form R(s) and/or Form A(s)
Included in this reporting package (on the enclosed CD-
ROM) is the Automated TRI Reporting Software (ATRS). If
you use the ATRS, please follow the instructions below for
submitting your TRI forms on magnetic media.
A.7.3.1 Labeling Your Submission Diskette
A label must be attached to each diskette. The label may be
typed or legibly handwritten. A sample label with the
necessary information is shown below.
TRIS Report
Company Name
Date: 6/30/2000
Report Year. 1999
Density: HD
Number 1 of 1
Contact: Technical Contact Name
(505) 555-5369
The types of packaging and shipping used for magnetic
media are left to the discretion of the submitting facility.
Please send completed diskettes, along with a cover letter
and an original certification signature from each
submitting facility to:
EPCRA Reporting Center
P.O. Box 3348
Merrifield, VA 22116-3348
Attn: TRI Magnetic Media Submission
If you are submitting reports on magnetic diskette to
EPA, you must enclose a cover letter signed by the
official listed in section 3 of Part I of the Form R or Form
A (name and official title of owner/ operator or senior
management official) for each separate facility. Beginning
reporting year 1999, ATRS allows you to also print a
cover letter for submission to a state agency. These
letters can be printed from ATRS. The letter on page 6 is
a sample. Since you are filing electronically, do not
include paper copies of the reports that are on the
diskette.
4 Toxics Release Inventory Reporting Forms and Instructions
-------
192
General Information
A.7.a.2 Submitting Electronically to States
Submitters must submit a copy of each Form R or Form
A to the appropriate state agency. As of the publication
of this book, the following states confirmed that they
accept electronic submissions:
AK
AZ
CA
CO
DC
DE
FL
GA
HI
IA
ID
IL
IN
KS
LA
MD
MI
MN
MO
MX
NC
ND
NJ
NM
NY
NV
OH
OK
OR
PA
SC
SD
TX
UT
VA
VT
WA
WI
WV
WY
If your state is not listed here, please contact your state
office to confirm that paper submissions are required. A
list of state contacts can be found in Appendix F.
A.8 How to Obtain Forms and Other
Information
A copy of both forms is included in this booklet. Remove
the appropriate form and produce as many photocopies
as needed. Related guidance documents may be
obtained from:
EPA's TRI Website (http:// www.epa.gov/tri) and the
Emergency Planning and Community Right-to-Know
Information Hotline.
U.S. EPA/NSCEP
P.O. Box 42419
Cincinnati, OH 45242-2419
(800) 490-9198
Fax (513) 489-8695
Internet: http://www.epa.gov/ncepihom/
See Chemical and Industry Specific Documents section
for the document request form and more information on
available documents.
Questions about completing Form R or Form A may be
directed to the EPCRA Hotline at the following address
or telephone numbers.
Emergency Planning and Community Right-to-
Know Information Hotline
U.S. Environmental Protection Agency
1200 Pennsylvania Ave., SW (5101)
Washington, DC 20460
1 (800) 424-9346 or (703) 412-9877;
TDD# (800) 553-7672
from 9:00 a.m.- 6:00 p.m. Eastern Time
(Mon. - Fri., except Federal Holidays)
EPA Regional Staff may also be of assistance. Refer to
Appendix G for a list of EPA Regional Offices.
Toxics Release Inventory Reporting Forms and Instructions 5
-------
193
General Information
Sample Letter — one copy to EPCRA Reporting Center and one to appropriate state agency (see Appendix F).
June 20,2000
To Whom It May Concern:
You will find enclosed one (1) diskette containing toxic chemical release reporting information for:
YOUR FACILITY NAME
This information is submitted as required under Section 313 of the Emergency Planning and Community Right-
to-Know Act of 1986 and the Pollution Prevention Act of 1990.
A total of two (2) reports is included from our facility, concerning the following chemicals:
Chemical Name
Lead compounds
Zinc (fume or dust)
RY
1999
1999
CAS Number
NA420
7440-66-6
Our technical point of contact is:
TECHNICAL CONTACT NAME, Telephone Number: (505) 555-1212
[NAME] is available should any questions or problems arise as you process these diskettes.
I hereby certify that I have reviewed the attached documents and that, to the best of my knowledge and belief,
the submitted information is true and complete and that the amounts and values in this report are accurate,
based on reasonable estimates using data available to the preparers of this report.
Signature: Chris Submitter
6 Toxics Release Inventory Reporting Forms and Instructions
-------
194
B. Facility Eligibility Determination for Submitting an EPCRA
Section 313 Report
This section will help you determine whether you must
submit an EPCRA Section 313 report. This section
discusses EPCRA Section 313 reporting requirements
such as the number of full-time employees, primary SIC
code, and chemical activity threshold quantities. The
EPCRA Section 313 chemicals and chemical categories
subject to reporting are listed in Table II (also see 40 CFR
372.65). (See Figure 1 for more information)
B.I Full-Time Employee
Determination
The number of full-time "employees" is dependent only
upon the total number of hours worked by all employees
and other individuals (e.g., contractors) for the facility
during the calendar year and not the number of persons
working. Therefore, a "full-time employee," for
purposes of Section 313 reporting, is defined as 2,000
work hours per year and includes paid leave and
holidays. To determine the number of full-time
employees working for your facility, add up the hours
worked by all employees during the calendar year,
including contract employees and sales and support staff
working for the facility, and divide the total by 2,000
hours. In other words, if the total number of hours
worked by all employees is 20,000 hours or more, your
facility meets the ten employee threshold.
Examples include:
Q A facility consists of 11 employees who each worked
1,500 hours for the facility in a calendar year.
Consequently, the total number of hours worked by
all employees for the facility during the calendar
year is 16,500 hours. The number of full-time
employees for this facility is equal to 16,500 hours
divided by 2,000 hours per full-time employee, or
8.3 full-time employees. Therefore, even though 11
persons worked for this facility during the calendar
year, the number of hours worked is equivalent to
8.3 full-time employees. This facility does not meet
the employee criteria and is not subject to Section
313 reporting.
Q Another facility consists of six workers and three
sales staff. The six workers each worked 2,000
hours for the facility in the calendar year. The sales
staff also each worked 2,000 hours in the calendar
year although they may have been on the road half
of the year. In addition, five contract employees
were hired for a period during which each worked
400 hours for the facility. The total number of hours
is equal to the time worked by the workers at the
facility (12,000 hours), plus the time worked by the
sales staff for the facility (6,000 hours), plus the time
worked by the contract employees at the facility
(2,000 hours), or 20,000 hours. Dividing the 20,000
hours by 2,000 yields 10 full-time employees. This
facility has met the full time employee criteria and
may be subject to reporting if the other criteria are
met.
B.2 Primary SIC Code
Determination
Standard Industrial Classification (SIC) codes 10 (except
1011, 1081, and 1094), 12 (except 1241), 20-39, 4911
(limited to facilities that combust coal and/or oil for the
purpose of generating electricity for distribution in
commerce), 4931 (limited to facilities that combust coal
and/or oil for the purpose of generating electricity for
distribution in commerce), 4939 (limited to facilities that
combust coal and/or oil for the purpose of generating
electricity for distribution in commerce), 4953 (limited to
facilities regulated under the RCRA Subtitle C, 42 U.S.C.
section 6921 et secj.)f 5169, 5171, and 7389 (limited to
facilities primarily engaged in solvent recovery services
on a contract or fee basis) are covered by the rule and are
listed in Table I. The first two digits of a 4-digit SIC
code define a major business sector, while the last two
digits denote a facility's specialty within the major sector.
For a detailed description of 4-digit SIC codes, refer to
the "Standard Industrial Classification Manual 1987."
The facility should determine its own SIC code (s), based
on its activities on-site, using the SIC Manual. State
agencies and other organizations may assign SIC codes
on a different basis than the one used by the SIC Manual.
However, for purposes of TRI reporting, these state
assigned codes should not be used if they differ from
ones assigned using the SIC Manual.
The EPCRA Hotline can assist facilities with determining
which SIC codes are assigned for specific business
activities as referenced in the SIC Manual. Clothbound
editions of the SIC Manual are available in most major
libraries or may be ordered through the National
Technical Information Service, 5285 Port Royal Road,
Springfield, VA 22161, (703) 605-6000. The access
number for the clothbound manual is PB87-100012, and
the price is $30.00.
Toxics Release Inventory Reporting Forms and Instructions 7
-------
195
Facility Eligibility Determination for Submitting an EPCRA Section 313 Report
Does your facility have 10 or more full-
time employees or the equivalent?
« definition under B.1V
YES
IsyourfaciUr/s
included on the
SIC Code
Section 313 list?
(see B.2 and Table I)
YES
Does Your Facility Manufacture, Process,
or Otherwise Use Any EPCRA, Section 313
Chemicals and Chemical Categories?
face Table IL B.3 - R5. and D.I - Tt.7\
Does Your Facility Exceed Any of the
Thresholds for a Chemical or a Chemical
Category (after excluding quantities that are
exempt from threshold calculations)
NO
STOP
NO EPCRA
SECTION 313
REPORTS
REQUIRED FOR
ANY CHEMICALS
YES
AN EPCRA SECTION 313 REPORT IS
REQUIRED FOR THIS CHEMICAL OR
CHEMICAL CATEGORY
Is the a
factored, OR processed, OR otherwise used less than or equal to
1,000,000 pounds AND is the reportaMe amount less than or equal to 500 Ibs/yr
YES
FORMA
OR
FORM R15 REQUIRED FOR THIS
CHEMICAL OR CHEMICAL CATEGORY
NO
FORM R IB REQUIRED FOR THIS
CHEMICAL OR CHEMICAL
CATEGORY (FORM A CANNOT
BE StTBMlTl'Ktl>
Figure 1 EPCRA Section 313 Reporting Decision Diagram
The North American Industry Classification System
(NAICS), is a new economic classification system that
will replace the 1987 SIC code system. EPA will address
the SIC code change, as it relates to EPCRA in an
upcoming Federal Register notice. This upcoming
change does NOT affect the 1999 EPCRA Section 313
reporting.
B.2.a. Multi-Establishment Facilities
Your facility may include multiple establishments that
have different SIC codes. A multi-establishment facility
is a facility that consists of two or more distinct and
separate economic units. If your facility is a
multi-establishment facility, calculate the value of the
products produced, shipped, or services provided from
each establishment within the facility and then use the
following rule to determine if your facility meets the SIC
code criterion:
8 Toxics Release Inventory Reporting Forms and Instructions
-------
196
Facility Eligibility Determination for Submitting anEPCRA Section 313 Report
0 If the total value of the products produced, shipped,
or services provided at establishments with SIC
codes 10 (except 1011,1081, and 1094), 12 (except
1241), 20-39,4911 (limited to facilities that combust
coal and/or oil for the purpose of generating
electricity for distribution in commerce), 4931
(limited to facilities that combust coal and/ or oil for
the purpose of generating electricity for distribution
in commerce), 4939 (limited to facilities that
combust coal and/or oil for the purpose of
generating electricity for distribution in commerce),
4953 (limited to facilities regulated under the RCRA
Subtitle C, 42 U.S.C. section 6921 et secj.), 5169,5171,
and 7389 (limited to facilities primarily engaged in
solvents recovery services on a contract or fee basis)
is greater than 50 percent of the value of the entire
facility's products and services, the entire facility
meets the SIC code criterion.
Q If any one establishment with an SIC code 10 (except
1011,1081, and 1094), 12 (except 1241), 20-39, 4911
(limited to facilities that combust coal and/ or oil for
the purpose of generating electricity for distribution
in commerce), 4931 (limited to facilities that
combust coal and/or oil for the purpose of
generating electricity for distribution in commerce),
4939 (limited to facilities that combust coal and/or
oil for the purpose of generating electricity for
distribution in commerce), 4953 (limited to facilities
regulated under the RCRA Subtitle C, 42 U.S.C.
section 6921 et seq.), 5169, 5171, or 7389 (limited to
facilities primarily engaged in solvents recovery
services on a contract or fee basis) produces or ships
products or provides services whose value exceeds
the value of products and services produced or
shipped by any other establishment within the
facility, the facility also meets the SIC code criterion.
The value of production or service attributable to a
particular establishment may be isolated by subtracting
the product value obtained from other establishments
within the same facility from the total product or service
value of the facility. This procedure eliminates the
potential for "double counting" production and services
in situations where establishments are engaged in
sequential production or service activities at a single
facility.
Examples include:
Q A facility in coating, engraving and allied services
has two establishments. The first establishment, a
general automotive repair service, is in SIC code
7537, which is not a covered SIC code. However,
the second establishment, a metal paint shop is in
SIC code 3479, which is a covered SIC code. The
metal paint shop paints the parts received from
general automotive repair service. The facility
determines the product is worth $500/unit as
received from the general automotive repair service
(in non covered SIC code 7537) and the value of the
product is $1500/unit after processing by the metal
paint shop (in covered SIC code 3479). The value
added by the metal paint shop is obtained by
subtracting the value of the products from the
general automotive repair service from that of the
value of the products of the metal paint shop. (In
this example, the value added = $l,500/unit -
$500/unit = $l,000/unit.) The value added
($l,000/unit) by the establishment in SIC code 3479
is more than 50% of the product value. Therefore,
the facility's primary SIC code is 3479, which is a
covered SIC code.
Q A food processing establishment in a facility
processes crops grown at the facility in a separate
establishment. The facility could base the value of
the products of each establishment on the total
production value of each establishment.
Alternatively, the facility could first determine the value
of the crops grown at the agricultural establishment, and
then calculate the contribution of the food processing
establishment by subtracting the crop value from the
total value of the product shipped from the processing
establishment (value of product shipped from processing
- crop value = value of processing establishment)
A covered multi-establishment facility must make
EPCRA Section 313 chemical threshold determinations
and, if required, must report all relevant information
about releases and other waste management activities,
and source reduction activities associated with an
EPCRA Section 313 chemical for the entire facility, even
from establishments that are not in SIC codes 10 (except
Toxics Release Inventory Reporting Forms and Instructions 9
-------
197
Facility Eligibility Determination for Submitting an EPCRA Section 313 Report
1011, 1081, and 1094), 12 (except 1241), 20-39, 4911
(limited to facilities that combust coal and/or oil for the
purpose of generating electricity for distribution in
commerce), 4931 (limited to facilities that combust coal
and/or oil for the purpose of generating electricity for
distribution in commerce), 4939 (limited to facilities that
combust coal and/or oil for the purpose of generating
electricity for distribution in commerce), 4953 (limited to
facilities regulated under the RCRA Subtitle C, 42 U.S.C.
section 6921 et seq.), 5169, 5171, and 7389 (limited to
facilities primarily engaged in solvents recovery services
on a contract or fee basis). EPA realizes, however, that
certain establishments in a multi-establishment facility
can be, for all practical purposes, separate business units.
Therefore, individual establishments may report releases
and other waste management activities separately,
provided that the total releases and other waste
management quantities for the whole facility are
represented by the sum of the releases and other
quantities managed as waste reported by each of the
separate establishments and the compliance
determination is based on the entire facility.
B.2.b. Auxiliary Facilities
An auxiliary facility is one that supports another covered
establishment's activities (e.g., research and development
laboratories, warehouses, and storage facilities). An
auxiliary facility can assume the SIC code of another
covered establishment if its primary function is to service
that other covered establishment's operations. For the
purposes of EPCRA Section 313, auxiliary facility is
defined as one primarily engaged in performing support
services for another covered establishment or multiple
establishments of a covered facility and is in a different
physical location than the primary facility. In addition, an
auxiliary facility performs an integral role in the primary
facility's activities. In general, an auxiliary facility's basic
administrative services (paperwork, payroll,
employment) are performed by the primary facility.
Thus, a separate warehouse facility (i.e., one not located
within the physical boundaries of a covered facility) may
become a covered facility because it services a covered
establishment in SIC codes 10 (except 1011, 1081, and
1094), 12 (except 1241), 20-39, 4911 (limited to facilities
that combust coal and/or oil for the purpose of
generating electricity for distribution in commerce), 4931
(limited to facilities that combust coal and/or oil for the
purpose of generating electricity for distribution in
commerce), 4939 (limited to facilities that combust coal
and/or oil for the purpose of generating electricity for
distribution in commerce), 4953 (limited to facilities
regulated under the RCRA Subtitle C, 42 U.S.C.
6921 et seq.)r 5169, 5171, and 7389 (limited to faciliti
primarily engaged in solvents recovery services on a
contract or fee basis). Auxiliary facilities that are in these
aforementioned codes are required to report if they meet
the employee criterion and reporting thresholds for
manufacture, process, or otherwise use.
B.2.c. Property Owners
You are not required to report if you merely own real
estate on which a facility covered by this rule is located;
that is, you have no other business interest in the
operation of that facility (e.g., your company owns an
industrial park). The operator of that facility, however,
is subject to reporting requirements.
B.3 Activity Determination
B.3.a. Definitions of "Manufacture,"
"Process," and "Otherwise Use"
Manufacture: The term "manufacture" means to
produce, prepare, compound, or import an EPCRA
Section 313 chemical. (See Part II, Section 3.1 of these j
instructions for further clarification.)
Import is defined as causing the EPCRA Section 313
chemical to be imported into the customs territory of the
United States. If you order an EPCRA Section 313
chemical (or a mixture containing the chemical) from a
foreign supplier, then you have imported the chemical
when that shipment arrives at your facility directly from
a source outside of the United States. By ordering the
chemical, you have "caused it to be imported," even
though you may have used an import brokerage firm as
an agent to obtain the EPCRA Section 313 chemical.
Do Not Overlook Coincidental Manufacture
The term manufacture also includes coincidental
production of an EPCRA Section 313 chemical (e.g., as a
byproduct or impurity) as a result of the manufacture,
processing, otherwise use, or treatment of other chemical
substances. In the case of coincidental production of an
impurity (i.e., an EPCRA Section 313 chemical that
remains in the product that is distributed in commerce),
the de minimis exemption, discussed in Section B.3.b of
these instructions, applies. The de minimis exemption
does not apply to byproducts (e.g., an EPCRA Section
313 chemical that is separated from a process stream and
further processed or disposed). Certain EPCRA Section
10 Toxics Release Inventory Reporting forms and Instructions
-------
198
Facility Eligibility Determination Jbr^ Submitting an EPCRA Section 313 Report
313 chemicals may be manufactured as a result of
wastewater treatment or other treatment processes. For
example, neutralization of acid wastewater can result in
the coincidental manufacture of ammonium nitrate
(solution), reportable as a member of the nitrate
compound category.
Process: The term "process" means the preparation of a
listed Section 313 chemical, after its manufacture, for
distribution in commerce. Processing is usually the
intentional incorporation of a Section 313 chemical into a
product (see Part II, Section 3.2 of these instructions for
further clarification). Processing includes preparation of
the EPCRA Section 313 chemicals in the same physical
state or chemical form as that received by your facility, or
preparation that produces a change in physical state or
chemical form. The term also applies to the processing of
a mixture or other trade name product (see Section B.4.b
of these instructions) that contains a listed Section 313
chemical as one component.
Otherwise Use: The term "otherwise use" usually means
any use of an EPCRA Section 313 chemical, including an
EPCRA Section 313 chemical contained in a mixture or
other trade name product, or waste that is not covered by
the terms "manufacture" or "process." Otherwise use of
an EPCRA Section 313 chemical does not include
disposal, stabilization (without subsequent distribution
in commerce), or treatment for destruction unless:
(1) The EPCRA Section 313 chemical that was disposed,
stabilized, or treated for destruction was received from
off-site for the purposes of further waste management; or
(2) The EPCRA Section 313 chemical that was disposed,
stabilized, or treated for destruction was manufactured
as a result of waste management activities on materials
received from off-site for the purposes of waste
management activities. Relabeling or redistributing of the
EPCRA Section 313 chemical where no repackaging of
the EPCRA Section 313 chemical occurs does not
constitute an otherwise use or processing of the EPCRA
Section 313 chemical." (See 62 FR 23846 and Part II,
Section 3.3 of these Instructions for further clarification).
Example 1: Coincidental Manufacture
Your company, a nitric acid manufacturer, uses
aqueous ammonia in a waste treatment system to
neutralize an acidic wastewater stream containing
nitric acid. The reaction of ammonia and nitric acid
produces a solution of ammonium nitrate.
Ammonium nitrate is reportable under the nitrate
compounds category and is manufactured as a
byproduct. If the ammonium nitrate is produced in a
quantity that exceeds the 25,000-pound manufacturing
threshold, the facility must report under the nitrate
compounds category.
The aqueous ammonia is considered to be otherwise
used and 10% of the total aqueous ammonia would be
counted towards the 10,000-pound otherwise use
threshold. Reports for releases of ammonia must also
include 10% of the total aqueous ammonia from the
solution of ammonium nitrate (see the qualifier for the
ammonia listing).
As another example, combustion of coal or other fuel
in boilers/ furnaces can result in the coincidental
manufacture of metal category compounds and
sulfuric acid (acid aerosols), hydrochloric acid (acid
aerosols), and hydrogen fluoride.
Toxics Release Inventory Reporting Forms and Instructions 11
-------
199
Facility Eligibility Determination for Submitting an EPCRA Section 313 Report
Example 2: Typical Process and Manufacture Activities
Your company receives toluene, an EPCRA Section 313 chemical from another facility, and reacts the
toluene with air to form benzoic acid, which the company distributes in commerce. Your company
processes toluene and manufactures and processes benzoic acid. Benzoic acid, however, is not an EPCRA
Section 313 chemical and thus does not trigger reporting requirements.
Your facility combines toluene purchased from a supplier with various materials to form paint. Your
facility processes toluene.
Your company receives a nickel compound (nickel compounds is a listed Section 313 chemical category)
as a bulk solid and performs various size-reduction operations (e.g., grinding) before packaging the
compound in 50-pound bags, which the company sells. Your company processes the nickel compound.
Your company receives a prepared mixture of resin and chopped fiber to be used in the injection molding
of plastic products. The resin contains a listed Section 313 chemical that becomes incorporated into the
plastic, which the company distributes in commerce. Ypur facility processes the EPCRA Section 313
chemical. !
In the combustion of coal or oil, metal category compounds may be produced from either the parent metal
or a metal compound contained in the coa! or oil. If a metal undergoes a change of valence, a metal
compound is considered to be manufactured. For example, during the combustion process copper in
valence state zero changes to copper in valence state +2 in a compound such as copper (II) oxide (CuO).
Furthermore, a metallic compound could be transformed to another metallic compound without a change
in valency (e.g., copper (II) chloride (CuCl) is transformed to copper (II) oxide). The transformation to
a new compound by combustion without a change in valence state is also considered to be " manufactured"
for purposes of EPCRA Section 313.
Example 3: Typical Otherwise Use Activities
When your facility cleans equipment with toluene, you are otherwise using toluene. Your facility also
separates two components of a mixture by dissolving one component in toluene, and subsequently recovers
the toluene from the process for reuse or disposal. Your facility otherwise uses toluene.
A covered facility receives a waste containing 12,000 pounds of Chemical A, an EPCRA Section 313
chemical, from off-site. The facility treats the waste, destroying Chemical A and in the treatment process
manufactures 10,500 pounds of Chemical B, another EPCRA Section 313 chemical. Chemical B is disposed
on-site. Since the waste containing Chemical A was received from off-site for the purpose of waste
management, the amount of Chemical A must be included in the otherwise use threshold determination
for Chemical A. The otherwise use threshold is 10,000 pounds and since the amount of Chemical A exceeds
this threshold, all releases and other waste management activities for Chemical A must be reported.
Chemical B was manufactured in the treatment of a waste; received from off-site. The facility disposed of
Chemical B on-site. Since Chemical B was generated from waste received from off-site for treatment for
destruction, disposal, or stabilization, the disposal of Chemical B is considered to be otherwise used. Thus,
the amount of Chemical B must be considered in the otherwise used threshold determination. Thus, the
reporting threshold for Chemical B has also been exceeded and all releases and other waste management
activities for Chemical B must be reported.
12 Toxics Release Inventory Reporting Forms and Instructions
-------
200
Facility Eligibility Determination for Submitting an EPCRA Section 313 Report
B.S.b. Activity Exemptions
Otherwise Use Exemptions. Certain otherwise uses of
listed Section 313 chemicals are specifically exempted:
0 Otherwise use as a structural component of the
facility;
D Otherwise use in routine janitorial or facility
grounds maintenance;
Q Personal uses by employees or other persons;
Q Otherwise use of products containing EPCRA
Section 313 chemicals for the purpose of
maintaining motor vehicles operated by the
facility; or
Q Otherwise use of EPCRA Section 313 chemicals
contained in intake water (used for processing
or non-contact cooling) or in intake air (used
either as compressed air or for combustion).
The exemption of an EPCRA Section 313 chemical
otherwise used 1) as a structural component of the
facility; or 2) in routine janitorial or facility grounds
maintenance; or 3) for personal use by an employee
cannot be taken for activities involving process-related
equipment.
Articles Exemption. EPCRA Section 313 chemicals
contained in articles that are processed or otherwise used
at a covered facility are exempt from threshold
determinations and release and other waste management
calculations. The exemption applies when the facility
receives the article from another facility or when the
facility produces the article itself. The exemption applies
only to the quantity of EPCRA Section 313 chemical
present in the article. If the EPCRA Section 313 chemical
is manufactured (including imported), processed, or
otherwise used at the covered facility other than as part
of the article, in excess of an applicable threshold
quantity, the facility is required to report (40 CFR Section
372.38(b)). For an EPCRA Section 313 chemical in an
item to be exempt as part of the article, the item must
meet all the following criteria in the Section 313 article
definition; that is, it must be a manufactured item that is
formed to a specific shape or design during manufacture,
that has end use functions dependent in whole or in part
upon its shape or design during end use, and that does
not release an EPCRA Section 313 chemical under normal
circumstances of processing or otherwise use of the item
at the facility.
If the processing or otherwise use of all like items results
in a total release of 0.5 pound or less of an EPCRA
Section 313 chemical in a reporting year to any
environmental media, EPA will allow this release to be
rounded to zero, and the manufactured items remain
exempt as articles. The 0.5-pound limit does not apply to
each individual article, but applies to the sum of all
releases from processing or otherwise use of all like
articles. If all the releases of like articles over a reporting
year are completely captured and sent for
recycling/ reuse on-site or off-site, the items may remain
exempt as articles. Any amount that is released and is
not recycled/ reused will count toward the 0.5 pound per
year cut-off value.
The articles exemption applies to the normal processing
or otherwise use of articles. This exemption does not
apply to the manufacture of the article. EPCRA Section
313 chemicals incorporated into articles produced at a
facility must be factored into threshold determinations
and release and waste management calculations.
If, in the course of processing or otherwise use, an item
retains its initial thickness or diameter, in whole or in
part, it meets the first part of the article definition
described above. If the item's basic dimensional
characteristics are totally altered during processing or
otherwise use, the item does not meet the first part of the
definition. An example of items that do not meet the
definition would be items which are cold extruded, such
as lead ingots which are formed into wire or rods. On
the other hand, cutting a manufactured item into pieces
that are recognizable as the article would not change the
original dimensions as long as the diameter or the
thickness of the item remained the same; the articles
exemption would continue to apply. Metal wire may be
bent and sheet metal may be cut, punched, stamped, or
pressed without losing their article status as long as the
diameter of the wire or tubing or the thickness of the
sheet is not totally changed.
An important aspect of the articles exemption is what
constitutes a release of an EPCRA Section 313 chemical.
Any processing or otherwise use of like articles that
results in a release to the environment (of more than 0.5
pounds) negates the exemption. Cutting, grinding,
melting, or other processing of manufactured items could
result in a release of an EPCRA Section 313 chemical
during normal conditions of processing or otherwise use
and therefore negate the exemption as articles. Scrap
pieces that are recognizable as an article do not constitute
a release.
Toxics Release Inventory Reporting Forms and Instructions 13
-------
201
Facility Eligibility Determination for Submitting an EPCRA Section 313 Report
Example 4: Articles Exemption
Lead that is incorporated into a lead acid battery is processed to manufacture the battery, and therefore
must be counted toward threshold determinations and release and other waste management
determinations. However, the use of the lead acid battery elsewhere in the facility does not have to be
counted. Disposal of the battery after its use does not constitute a "release;" thus, the battery remains an
article. I
If an item used in the facility is fragmented, the item is still an article if those fragments being discarded
remain identifiable as the article (e.g., recognizable pieces!of a cylinder, pieces of wire). For instance, an
eight-foot piece of wire is broken into two four-foot pieces! of wire, without releasing any EPCRA Section
313 chemicals. Each four-foot piece is identifiable as a piece of wire; therefore, the article status for these
pieces of wire remains intact. j.
EPCRA Section 313 chemicals received in the form of pellets are not articles because the pellet form is
simply a convenient form for further processing of the material.
De Minimi's Exemption. The de minimis exemption
allows facilities to disregard certain minimal
concentrations of chemicals in mixtures or other trade
name products they process or otherwise use when
making threshold determinations and release and other
waste management calculations. The de minimis
exemption does not apply to the manufacture of an
EPCRA Section 313 chemical except if that EPCRA
Section 313 chemical is manufactured as an impurity and
remains in the product distributed in commerce, or if the
EPCRA Section 313 chemical is imported below the
appropriate de minimis level. The de minimis exemption
does not apply to a byproduct manufactured
coincidentally as a result of manufacturing, processing,
otherwise use, or any waste management activities.
When determining whether the de minimis exemption
applies to an EPCRA Section 313 chemical, the
owner/operator should consider only the concentration
of the EPCRA Section 313 chemical in mixtures and other
trade name products in process streams in which the
EPCRA Section 313 chemical is undergoing a reportable
activity. If the EPCRA Section 313 chemical in a process
stream is manufactured as an impurity, imported,
processed, or otherwise used and is below the
appropriate de minimis concentration level, then the
quantity of the EPCRA Section 313 chemical in that
process stream does not have to be applied to threshold
determinations nor included in release or other waste
management determinations. If an EPCRA Section 313
chemical in a process stream is below the appropriate de
minimis level, all releases and other waste management
activities associated with the EPCRA Section 313
chemical in that stream are exempt from EPCRA Section
313 reporting. It is possible to meet an activity (e.g.,
processing) threshold for an EPCRA Section 313 chemical
on a facility-wide basis, but not be required to calculate
releases or other waste management quantities associated
with a particular process because that process involves
only mixtures or other trade name products containing
the EPCRA Section 313 chemical below the de minimis
level.
Once an EPCRA Section 313 chemical concentration is at
or above the appropriate de minimis level in the process
stream, threshold determinations and release and other
waste management calculations must be made, even if
the chemical later falls below the de minimis level in the
same process stream. Thus, all releases and other
quantities managed as waste that occur after the de
minimis level has been met or exceeded are subject to
reporting. If an EPCRA Section 313 chemical in a mixture
or other trade name product at or above de minimis is
brought on-site, the de minimis exemption never applies.
De minimis levels for EPCRA Section 313 chemicals and
chemical categories are set at concentration levels of
either at 1% or 0.1%. The 0.1% de minimis levels are
dictated by determinations made by the National
Toxicology Program (NTP), Annual Report on
Carcinogens, the International Agency for Research and
Cancer (IARC) Monographs, or 29 CFR part 1910,
subpart Z. Therefore, once a chemical's status under
NTP, IARC, or 29 CFR part 1910, subpart Z indicates that
the chemical is a carcinogen or potential carcinogen, the
reporting facility may disregard levels of the chemical
below the 0.1% de minimis concentration provided that
the other criteria for the de minimis exemption are met.
14 Toxics Release Inventory Reporting Forms and Instructions
-------
202
Facility Eligibility Determination for Submitting an EPCRA Section 313 Report
De minimis levels for chemical categories apply to the
total concentration of all chemicals in the category within
a mixture, not the concentration of each individual
category member within the mixture.
De Minimis Application to the Processing or Otherwise
Use of a Mixture
The de minimis exemption applies only to the processing
or otherwise use of an EPCRA Section 313 chemical in a
mixture. Threshold determinations and release and other
waste management calculations begin at the point where
the chemical meets or exceeds de minimis. If an EPCRA
Section 313 chemical is present in a mixture at a
concentration below the de minimis level, this quantity of
the substance does not have to be included for threshold
determinations, release and other waste management
reporting, or supplier notification requirements. The
exemption will apply as long as the mixture containing de
minimis amounts of an EPCRA Section 313 chemical
never equals or goes above the de minimis limit. Provided
below are two examples in which a manufacturing
activity would qualify for the de minimis exemption.
De Minimis Application in the Manufacture of the Listed
Chemical in a Mixture
The de minimis exemption generally does not apply to the
manufacturing of an EPCRA Section 313 chemical. The de
minimis exemption may apply to mixtures and other
trade name products containing EPCRA Section 313
chemicals that are imported into the United States.
Another exception applies to EPCRA Section 313
chemicals that are coincidentally manufactured as
impurities that remain in the product distributed in
commerce below the de minimis levels. The amount
remaining in the product is exempt from threshold
determinations. If the chemical is separated from the final
product, thereby classifying the chemical as a byproduct
it cannot qualify for the exemption. Any amount that is
separated, or is separate, from the product, is considered
a byproduct and is subject to threshold determinations
and release and other waste management calculations.
Any amount of an EPCRA Section 313 chemical that is
manufactured in a wastestream must be considered
toward threshold determinations and release and other
waste management calculations and accounted for on
Form R.
The de minimis exemption also does not apply to
situations where Ae manufactured chemical is released
or transferred to wastestreams and thereby diluted to
below the de minimis level.
Laboratory Activities Exemption
Laboratory Activities: EPCRA Section 313 chemicals that
are manufactured, processed, or otherwise used in
laboratory activities at a covered facility under the direct
supervision of a technically qualified individual do not
have to be considered for threshold determinations and
release and other waste management calculations.
However, pilot plant scale and specialty chemical
production do not qualify for this laboratory activities
exemption, nor do the use of EPCRA Section 313
chemicals for laboratory support activities, such as the
use of chemicals for equipment maintenance.
Coal Extraction Activities Exemption
If an EPCRA Section 313 chemical is manufactured,
processed, or otherwise used in extraction by facilities in
SIC code 12, a person is not required to consider the
quantity of the EPCRA Section 313 chemical so
manufactured, processed, or otherwise used when
considering threshold determinations and release and
other waste management calculations. Reclamation
activities occurring simultaneously with coal extraction
activities (e.g., cast blasting) are included in the
exemption. However, otherwise use of ash, waste rock,
or fertilizer for reclamation purposes are not considered
part of extraction; non-exempt amounts of Section 313
chemicals contained in these materials must be
considered toward threshold determinations and release
and other waste management calculations.
Metal Mining Overburden Exemption
If an EPCRA Section 313 chemical that is a constituent of
overburden is processed or otherwise used by facilities in
SIC code 10, a person is not required to consider the
quantity of the EPCRA Section 313 chemical so processed
or otherwise used when considering threshold
determinations and release and other waste management
calculations.
For purposes of EPCRA section 313 reporting,
overburden is the unconsolidated material that overlies
a deposit of useful material or ore. It does not include
any portion of the ore or waste rock.
Toxics Release Inventory Reporting Forms and Instructions 15
-------
203
Facility Eligibility Determination for Submitting an EPCRA Section 313 Report
Example 5: De Minimis Applications to Process and Otherwise Use Scenarios
i
There are many cases in which the de minimis "limit" is crossed or recrossed within a process or otherwise use
scenario. The following examples are meant to illuminate these complex reporting scenarios.
Increasing Concentration To or Above De Minimis Levels During Processing
A manufacturing facility receives toluene that contains tess than the de minimis concentration of chlorobenzene.
Through distillation, the chlorobenzene content in process streams is increased over the & minimis concentration
of 1 percent From the point at which the chlorobenzene concentration equals 1 percent in process streams, the
amount present must be factored into threshold determinations and release and other waste management
estimates.The facility does not need to consider the amount of chlorobenzene in the raw material, Le., when below
de minimis levels, when making threshold determinations. The facility does not have to report emissions of
chlorobenzene from storage tanks or any other equipment where the chlorobenzene content is less than 1 percent
i
fluctuating Concentration During Processing •.
: ::.-•••.. . I .
A manufacturer produces an ink product that contains toluene, an EPCRA Section 313 chemical, below the de
minimis level. The process used causes the percentage of toluene in the mixture to fluctuate: it rises above the de
minimis level for a time but drops below the level as the procesp winds down. The facility must consider the
chemical toward threshold determinations from the point at which it first equals the de minimis limit Once the de
minimis limit has been met the exemption cannot be taken. ;
16 Toxics Release Inventory Reporting Forms and Instructions
-------
204
Facility Eligibility Determination for Submitting an EPCRA Section 313 Report
Example 6: Concentration Ranges Straddling the De Minimis Value
Q A facility processes 8,000,000 pounds of a mixture containing 0.25 to 1.25% manganese. Manganese is
eligible for the 1% de minimis concentration exemption. The amount of mixture subject to reporting is the quantity
containing manganese at or above the de minimis concentration:
(8,000,000) * {1.25% - 0.99%) + (125% - 0.25%)
The average concentration of manganese that is not exempt (above the de minimis) is:
(1.25%-i-1.00%)* (2)
(8,000,000) x (1.25%-0.99%)1 x ((1.25%. 1.00%)] ^
(1.25%-0.25%) |[ (2) j '
Therefore, the amount of manganese that is subject to threshold determination and release and other waste
management estimates is:
~ 23,400 pounds manganese (which is below the processing threshold)
In this scenario, because the facility's information pertaining to manganese was available to two decimal places,
0.99 was used to determine the amount below the de minimis concentrations. If the information was available to
one decimal place, 0.9 should be used, as in the scenario below.
Q As in the previous example, manganese is present in a mixture, of which 8,000,000 pounds is processed.
The MSDS states the mixture contains 0.2% to 1.2% manganese. The amount of mixture subject to reporting (at
or above de minimis) is:
(8,000,000) x (1.2% - 0.9%) * (1.2% - 0.2%)
The average concentration of manganese that is not exempt (at or above de minimis) is:
(1.2% +1.0%) + (2)
Therefore, the amount of manganese that is subject to threshold determinations and release and other waste
management estimates is:
1(8.000.000) x (1.2%- 0.9%)
X
(2)
! 26,400 pounds manganese (which is above the processing threshold)
26,400 pounds
Toxics Release Inventory Reporting Forms and Instructions 17
-------
205
Facility Eligibility Determination for Submitting an EPCRA Section 313 Report
Example 7: De Minimis Application in the Coincidental Manufacture in a Mixture
Coincidental Manufacture as a Product Impurity
Toluene-2,4~diisocyanate reacts with trace amounts of water to fohn trace quantities of 2,4-diaminotoluene;; The
resulting product contains 99 percent toluene-2,4-diisocyanate and 0.05 percent 2/1-diaminotoluene, The
2,4-diaminotoluene would not be subject to Section 313 reporting nor would supplier notification be required
because the concentration of 2,4-diaminotoluene is below its de minimis concentration of 0.1 percent in the product.
Coincidental manufacture/production refers only to production of a chemical via a chemical reaction. It would not
include separation of a byproduct from a purchased mixture during a processing operation.
Coincidental Manufacture as a Commercial Byproduct and Impurity
Chloroform is a reaction byproduct in the production of carbon tjetrachloride. It is removed by distillation to a
concentration of less than 150 ppm (0.0150%) remaining in the carbon tetrachloride. The separated chloroform at
90 percent concentration is sold as a byproduct Chloroform is subject to a 0.1% (1000 ppm) de minimis level Any
amount of chloroform manufactured and separated as byproduct [must be included in threshold determinations
because the de minimis exemption does not apply to manufacture ofja chemical. Releases of chloroform prior to and
during purification of die carbon tetrachloride should be reported: The de minimis level can, however, be applied
to the chloroform remaining in the carbon tetrachloride as an impurity. Because the concentration of chloroform
remaining in the carbon tetrachloride is below the de minimis level, this quantity of chloroform is exempt from
threshold determinations, release and other waste management reporting, and supplier notification.
I
Coincidental Manufacture as a Waste Byproduct
A small amount of formaldehyde is manufactured as a reaction (byproduct during the production of phthalic
anhydride. The formaldehyde is separated from the phthalic anhydride as a waste gas and burned, leaving no
formaldehyde in the phthalic anhydride. The amount of formaldehyde produced and removed must be included
in threshold determinations and release and other waste management estimates even if the formaldehyde were
present below the de minimis level in the process stream where it was manufactured or in the wastestream to which
it was separated.
Coal mining extraction activities. Included among
these are explosives for blasting operations/
solvents, lubricants, and fuels for extraction related
equipment maintenance and use, as well as
overburden and mineral deposits. The EPCRA
section 313 chemicals contained in these materials
are exempt from threshold determinations and
release and other waste management calculations,
when processed or otherwise used during extraction
activities at coal mines.
B.4 Threshold Determinations
Section 313 reporting is required if threshold quantities
are exceeded. Separate thresholds apply to the amount of
the EPCRA Section 313 chemical that is manufactured,
processed, or otherwise used.
You must submit a report for any EPCRA Section 313
chemical that is manufactured or processed at your
facility in excess of the following threshold:
Q 25,000 pounds during the course of a calendar
year.
You must submit a report if the quantity of an EPCRA
Section 313 chemical that is otherwise used at your
facility exceeds:
Q 10,000 pounds during the course of a calendar
year.
18 Toxics Release Inventory Reporting Forms and Instructions
-------
206
Facility Eligibility Determination for Submitting an EPCRA Section 313 Report
B.4.a. How to Determine if Your Facility
Has Exceeded Thresholds
To determine whether your facility has exceeded a
Section 313 reporting threshold, compare quantities of
EPCRA Section 313 chemicals that you manufacture,
process, or otherwise use to the respective thresholds for
those activities. A worksheet is provided in Figure 2 to
assist facilities in determining whether they exceed any
of the reporting thresholds. This worksheet also
provides a format for maintaining reporting facility
records. Use of this worksheet is not required and the
completed worksheet(s) should not accompany Form R
reports submitted to EPA and the State.
Complete a separate worksheet for each EPCRA Section
313 chemical or chemical category. Base your threshold
determination for EPCRA Section 313 chemicals with
qualifiers only on the quantity of the EPCRA Section 313
chemical satisfying the qualifier.
Use of the worksheet is divided into three steps:
Step I allows you to record the gross amount of the
EPCRA Section 313 chemical or chemical category
involved in activities throughout the facility. Pure forms
as well as the amounts of the EPCRA Section 313
chemical or chemical category present in mixtures or
other trade name products must be considered. The
types of activity (i.e., manufacturing, processing, or
otherwise using) for which the EPCRA Section 313
chemical is used must be identified because separate
thresholds apply to each of these activities. A record of
the information source(s) used should be kept. Possible
information sources include purchase records, inventory
data, and calculations by a process engineer. The data
collected in Step 1 will be totaled for each activity to
identify the overall amount of the EPCRA Section 313
chemical or chemical category manufactured (including
imported), processed, or otherwise used.
Step 2 allows you to identify uses of the EPCRA Section
313 chemical or chemical category that were included in
Step 1 but are exempt under Section 313. Do not include
in Step 2 exempt quantities of the EPCRA Section 313
chemical not included in the calculations in Step 1. For
example, if Freon contained in the building's air
conditioners was not reported in Step 1, you would not
include the amount as exempt in Step 2. Step 2 is
intended for use when a quantity or use of the EPCRA
Section 313 chemical is exempt while other quantities
require reporting. Note the type of exemption for future
reference. Also identify, if applicable, the fraction or
percentage of the EPCRA Section 313 chemical present
that is exempt. Add the amounts in each activity to
obtain a subtotal for exempted amounts of the EPCRA
Section 313 chemical or chemical categories at the facility.
Step 3 involves subtracting the result of Step 2 from the
results of Step 1 for each activity. Compare this net sum
to the applicable activity threshold. If the threshold is
met or exceeded for any of the three activities, a facility
must submit a Form R for that EPCRA Section 313
chemical or chemical category. Do not sum quantities of
the EPCRA Section 313 chemical that are manufactured,
processed, and otherwise used at your facility, because
each of these activities requires a separate threshold
determination. For example, if in a calendar year you
processed 20,000 pounds of an EPCRA section 313
chemical and you otherwise used 6,000 pounds of that
same chemical, your facility has not met or exceeded any
applicable threshold and thus is not required to report
for that chemical.
This worksheet should be retained to document your
determination for reporting or not reporting, but should
not be submitted with the report
You must submit a report if you exceed any threshold for
any EPCRA Section 313 chemical or chemical category.
For example, if your facility processes 22,000 pounds of
an EPCRA Section 313 chemical and also otherwise uses
16,000 pounds of that same EPCRA Section 313 chemical,
it has exceeded the otherwise use threshold (10,000
pounds) and your facility must report even though it did
not exceed the process threshold. However, in preparing
your reports, you must consider all non-exempted
activities and all releases and other waste management
quantities of the EPCRA Section 313 chemical from your
facility, not just releases and other waste management
quantities from the otherwise use activity.
Also note that threshold determinations are based upon
the actual amounts of an EPCRA Section 313 chemical
manufactured, processed, or otherwise used over the
course of the calendar year. The threshold determination
may not relate to the amount of an EPCRA Section 313
chemical brought on-site during the calendar year. For
example, if a stockpile of 100,000 pounds of an EPCRA
Section 313 chemical is present on-site but only 20,000
pounds is applied to a process, only the 20,000 pounds
processed is counted toward a threshold determination,
not the entire 100,000 pounds of the stockpile.
Toxics Release Inventory Reporting Forms and Instructions 19
-------
207
Facility Eligibility Determination for Submitting an EPCRA Section 313 Report
B.4.b. Threshold Determinations for On-Site
Reuse Operations
Threshold determinations of EPCRA Section 313
chemicals that are reused at the facility are based only on
the amount of the EPCRA Section 313 chemical that is
added during the year, not the total volume in the
system. For example, a facility operates a refrigeration
unit that contains 15,000 pounds of anhydrous ammonia
at the beginning of the year. The system is charged with
2,000 pounds of anhydrous ammonia during the year.
The facility has therefore "otherwise used" only 2,000
pounds of the EPCRA Section 313 chemical and is not
required to report (unless there are other "otherwise use"
activities of ammonia, that when taken together, exceed
the reporting threshold). If, however, the whole
refrigeration unit was recharged with 15,000 pounds of
anhydrous ammonia during the year, the facility would
exceed the otherwise use threshold, and be required to
report.
This does not apply to EPCRA Section 313 chemicals
"recycled" or "reused" off-site and returned to a facility.
Such EPCRA Section 313 chemicals returned to a facility
are treated as the equivalent of newly purchased material
for purposes of Section 313 threshold determinations.
B.4.c. Threshold Determinations for
Ammonia
The listing for ammonia includes the modifier "includes
anhydrous ammonia and aqueous ammonia from water
dissociable ammonium salts and other sources; 10
percent of total aqueous ammonia is reportable under
this listing". The qualifier for ammonia means that
anhydrous forms of ammonia are 100 percent reportable
and aqueous forms are limited to 10 percent of total
aqueous ammonia. Therefore, when determining
threshold quantities, 100 percent of anhydrous ammonia
is included but only 10 percent of total aqueous ammonia
is included. If any ammonia evaporates from aqueous
ammonia solutions, 100 percent of the evaporated
ammonia is included in threshold determinations.
For example, if a facility processes aqueous ammonia it
has processed 100 percent of the aqueous ammonia in
that solution. If the ammonia remains in solution, then
10 percent of the total aqueous ammonia is counted
towards threshold. If there are any evaporative losses of
anhydrous ammonia, then 100 percent of those losses
must be counted towards the processing threshold. If the
manufacturing, processing, or otherwise use threshold
for the ammonia listing are exceeded, the facility must
report 100 percent of these evaporative losses in Sections
5 and 8 of the Form R.
B.4.d. Threshold Determinations for
Chemical Categories
A number of chemical compound categories are subject
to reporting. See Table II for a listing of these EPCRA
Section 313 chemical categories. When reporting for one
of these EPCRA Section 313 chemical categories, all
individual members of a category that are manufactured,
processed, or otherwise used must be counted.
However, threshold determinations must be made
separately for each of the three activities. Do not include
in these threshold determinations for a category any
chemicals that are also individually listed EPCRA Section
313 chemicals (see Table II) or individually listed EPCRA
Section 313 chemicals that have been deleted from the
category (e.g., a class of copper phthalocyanine
compounds has been deleted from the copper
compounds category). Individually listed EPCRA
Section 313 chemicals are subject to their own, individual
threshold determination.
Organic Compounds
For the organic compound categories, you are required
to account for the entire weight of all compounds
within a specific compound category (e.g., glycol ethers)
at the facility for BOTH the theshold determination and
release and other waste management estimates.
Metal-Containing Compounds
Threshold determinations for metal-containing
compounds present a special case. If, for example, your
facility processes several different lead compounds, base
your threshold determination on the total weight of all
lead compounds processed. However, if your facility
processes both the "parent" metal (lead) as well as one or
more lead compounds, you must make threshold
determinations for both because they are separately listed
EPCRA Section 313 chemicals. If your facility exceeds
thresholds for both the parent metal and compounds of
that same metal, EPA allows you to file one combined
report (e.g., one report for lead compounds, including
lead) because the release information you will report in
connection with metal category compounds will be the
total pounds of the parent metal released. If you file one
combined report, you should put the name of the metal
20 Toxics Release Inventory Reporting Forms and Instructions
-------
208
Facility Eligibility Determination for Submitting an EPCRA Section 313 Report
compound category on the Form R. Do not put both
names on the Form R.
The case of metal compounds involving more than one
metal should be noted. Some metal compounds may
contain more than one listed metal. For example, lead
chromate is both a lead compound and a chromium
compound. In such cases, if applicable thresholds are
exceeded, you are required to file two separate reports,
one for lead compounds and one for chromium
compounds. Apply the total weight of the lead chromate
to the threshold determinations for both lead compounds
and chromium compounds. (Note: Only the amount of
each parent metal released or otherwise managed as
waste (not the amount of the compound), would be
reported on the appropriate sections of both Form Rs. See
B.5.)
Nitrate Compounds (water dissociable; reportable only
when in aqueous solution)
For the category nitrate compounds (water dissociable;
reportable only when in aqueous solution), the entire
weight of the nitrate compound is counted towards the
threshold. A nitrate compound is covered by this listing
only when in water and only if dissociated. If no
information is available on the identity of the type of
nitrate that is manufactured processed or otherwise used,
assume that the nitrate compound exists as sodium
nitrate.
B.4.e. Mixtures and Other Trade Name
Products
EPCRA Section 313 chemicals contained in mixtures and
other trade name products must be factored into
threshold determinations and release and other waste
management calculations.
If your facility processed or otherwise used mixtures or
other trade name products during the calendar year, you
are required to use the best information available to
determine whether the components of a mixture are
above the de minimis concentration and, therefore, must
be included in threshold determinations and release and
other waste management calculations. If you know that
a mixture or other trade name product contains a specific
EPCRA Section 313 chemical, combine the amount of the
EPCRA Section 313 chemical in the mixture or other
trade name product with other amounts of the same
EPCRA Section 313 chemical processed or otherwise
used at your facility for threshold determinations and
release and other waste management calculations. If you
know that a mixture contains an EPCRA Section 313
chemical but no concentration information is provided by
the supplier, you do not have to consider the amount of
the EPCRA Section 313 chemical present in that mixture
for purposes of threshold determinations and release and
other waste management calculations.
Observe the following guidelines in estimating
concentrations of EPCRA Section 313 chemicals in
mixtures when only limited information is available:
0 If you know the lower and upper bound
concentrations of an EPCRA Section 313 chemical in
a mixture, use the midpoint of these two
concentrations for threshold determinations.
D If you know only the lower bound concentration,
you should subtract out the percentages of any other
known components to determine a reasonable upper
bound concentration, and then determine a
midpoint.
Q If you have no information other than the lower
bound concentration, calculate a midpoint assuming
an upper bound concentration of 100 percent.
Toxics Release Inventory Reporting Forms and Instructions 21
-------
209
•a
v
•s
V
CO
I
$
K
18
^
|
5
•c
03
|
H
bo
C
••N
1
D-
ai
K
o
en
cs
u
C-
w
I
K
O
•
^>
-S
UJ
C1
I
u
11 ill
i*1f
>>
tt
U
c-
1
*o
(A
^^
3
O
E
s
•s
u
*«<• *•
1!
Mt «
«n •j"'
53 a
It
11
mt of the !
Chemical
0
3
§
»•*
S
Cfl
ei
fej
w
jrcent EPCRA
Section 313
0.
•w
c»
D
CJ
|
£
factured
3
£
•g
^f
— iT
5 *
w
S
Chemical
by Weight
ff
r
so
1
"S
0
H
AJ
Si
3
(/>
e
_o
*«
Ifl
g
t;
£
£
1
5
0 5
11
2 .g
^
15
S
,-:
H
rt
<*
£
o
£
§
£
<
"*3
5
JQ
3
•d
"O
JS
X
JB
2
3
§
V)
X
I
W
—
U
'E
1
o
_w
D
S
0
•c
e EPCRA Se
—
*G
+•
e
«
«r
1
X
"8
•s 3
3 3
! |
s 1
« .ii.
^3 fS M
Ql T2 ^*
w 1 s
03 g. e
v e
^ (2 "O
e £
1 1
| |
: 1
**«
S.
g
la -J1
11
I 4> ^^
CM| ff*
^ g •<
1
S
a
i
4?
i if
%i j>
S-'-Q
§ *
! tC i>
: 11
« a?
1 |l
^ ^5
; 1
4>
Listed Abov
S
£
*
g
$
.!£
x
]*^
"g
en
1
(A
.-
«**
">
s
^
^
•a
3
0"
£
(A
60
C
h^
O
&l
V
£
.iS
•o
"3
j=
tn
^:
1 i- 1
I 1
^M
-------
210
Fadlitif Eligibility Determination for Submitting an EPCRA Section 313 Report
0 If you only know the upper bound concentration
you must use it for threshold determinations.
0 In cases where you only have a concentration
range available, you should use the midpoint of the
range extremes.
B.5 Release and Other Waste
Management Determinations for
Metals, Metal Category
Compounds, and Nitrate
Compounds
Metal Compounds
Although the complete weight of the metal compound
must be used for threshold determinations for the metal
category compounds, for release and other waste
management determinations, only the parent metal
portion of the metal category compound must be
considered. Remember that for metal compounds that
consist of more than one metal, release and other waste
management reporting must be made for each metal,
provided that the appropriate thresholds have been
exceeded.
Metals and Metal Category Compounds
As stated above, for compounds within the metal
compound categories only the metal portion of the metal
category compound should be considered in determining
release and other waste management quantities for the
metal category compounds. Therefore, if thresholds are
separately exceeded for the "parent" metal and its
compounds, EPA allows you to file a combined Form R
for the "parent" metal and its category compounds. This
Form R would contain all of the release and other waste
management information for both the "parent" metal and
metal portion of the related metal category compounds.
For example, you exceed thresholds for chromium. You
also exceed thresholds for chromium compounds.
Instead of filing two Form Rs you can file one combined
Form R. This Form R would contain information on
quantities of chromium released or otherwise managed
as waste and the quantities of the chromium portion of
the chromium compounds released or otherwise
managed as waste. When filing one combined Form R
for an EPCRA Section 313 metal and metal compound
category, facilities should identify the chemical reported
as the metal compound category name and code in
Section 1 of the Form R. Note that this does not apply to
the Form A. See the section in these instructions on the
Form A.
Nitrate Compounds (water dissociable; reportable only
in aqueous solution)
Although the complete weight of the nitrate compound
must be used for threshold determinations for the nitrate
compounds category, for release and other waste
management determinations only the nitrate portion of
the compound must be considered.
Topics Release Inventory Reporting Forms and Instructions 23
-------
211
Facility Eligibility Determination for Submitting an EPCRA Section 313 Report
Example 9: Mixtures and Other Trade Name Products
Scenario #1: Your facility otherwise uses 12,000pounds of an industrial solvent (Solvent X) for equipment cleaning.
The Material Safety Data Sheet (MSDS) for the solvent indicates that it contains at least 50 percent methyl ethyl
ketone (MEK), an EPCRA Section 313 chemical; however, it also states that the solvent contains 20 percent non-
hazardous surfactants. This is die only MEK-containing mixture used at the facility.
Follow these steps to determine if the quantity of the EPCRA Section 313 chemical in solvent X exceeds the
threshold for otherwise use.
1) Determine a reasonable maximum concentration for the EPCRA Section 313 chemical by subtracting out
the non-hazardous surfactants (i.e., 100%-20% = 80%). :
2) Determine the midpoint between the known minimum (50%) and the reasonable maximum calculated
above (i.e., (80% + 50%)/2 - 65%). . j
3) Multiply total weight of Solvent X otherwise used by 65 percent (0.65).
12,000 pounds x 0.65 = 7,800 pounds
4) Because the total amount of MEK otherwise used at the facility was less man the 10,000-pound otherwise
use threshold, the facility is not required to file a Form R for MEK.
Scenario #2: Your facility otherwise used 15,000 pounds of Solvent Y to clean printed circuit boards. The MSDS
for the solvent lists only that Solvent Y contains at least 80 percent iof an EPCRA Section 313 chemical that is only
identified as chlorinated hydrocarbons.
Follow these steps to determine if the quantity of the EPCRA Section 313 chemical in the solvent exceeds the
threshold for otherwise use.
!
1) Because the specific chemical is unknown, the Form R will.be filed for "chlorinated hydrocarbons." This
name will be entered into Part II, Section 2.1, "MixtureComponent Identity." (Note: Because your supplier
is claiming the EPCRA Section 313 chemical identity a trade secret, you do not have to file substantiation
forms.)
2) The upper bound limit is assumed to be 100 percent and the lower bound limit is known to be 80 percent.
Using this information, the specific concentration is estimated to be 90 percent (i.e., the mid-point between
upper and lower limits). '
(100%+80%)/2 =
3) The total weight of Solvent Y is multiplied by 90 percent (d.90) when calculating for thresholds.
15,000 x 0.90 = 13,500
4) Because the total amount of chlorinated hydrocarbons exceeds the 10,000-pound otherwise use threshold,
you must file a Form R for this chemical. i
24 Toxics Release Inventory Reporting Forms and Instructions
-------
C. Instructions for Completing EPA1 Form R
Part I. Facility Identification
Information
Section 1. Reporting Year
This is the calendar year to which the reported
information applies, not the year in which you are
submitting the report. Information for the 1999 reporting
year must be submitted on or before July 1,2000.
Section 2. Trade Secret Information
2.1 Are you claiming the EPCRA Section 313
chemical identified on page 2 trade secret?
Answer this question only after you have completed the
rest of the report. The specific identity of the EPCRA
Section 313 chemical being reported in Part II, Section 1,
may be designated as a trade secret. If you are making a
trade secret claim, mark"yes" and proceed toSection2.2.
Only check "yes" if you manufacture, process, or
otherwise use the EPCRA Section 313 chemical whose
identity is a trade secret. {See page 2 of these instructions
for specific information on trade secrecy claims.) If you
checked "no," proceed to Section 3; do not answer
Section 2.2.
2.2 If "yes" in 2.1, is this copy sanitized or
unsanitized?
Answer this question only after you have completed the
rest of the report. Check "sanitized" if this copy of the
report is the public version that does not contain the
EPCRA Section 313 chemical identity but does contain a
generic name in its place, and you have claimed the
EPCRA Section 313 chemical identity trade secret in Part
I, Section 2.1. Otherwise, check "unsanitized."
Section 3. Certification
The certification statement must be signed by the owner
or operator or a senior official with management
responsibility for the person (or persons) completing the
form. The owner, operator, or official must certify the
accuracy and completeness of the information reported
on the form by signing and dating the certification
statement. Each report must contain an original
signature. Print or type in the space provided the name
and title of the person who signs the statement. This
certification statement applies to all the information
supplied on the form and should be signed only after the
form has been completed.
Section 4. Facility Identification
4.1 Facility Name, Location, and TRI Facility
Identification Number
Enter the name of your facility {plant site name or
appropriate facility designation), street address, mailing
address, city, county, state, and zip code in the space
provided. Do not use a post office box number as the
street address. The street address provided should be
the location where the EPCRA Section 313 chemicals are
manufactured, processed, or otherwise used. If your
mailing address and street address are the same, enter
NA in the space for the mailing address.
If your facility is not in a county, put the name of your
city, district (for example District of Columbia), or parish
(if you are in Louisiana) in the county block of the Form
R and Form A as well as in the County field of the ATRS
software. "NA" or "None" are not acceptable entries.
If you have submitted a Form R for previous reporting
years, a TRI Facility Identification Number has been
assigned to your facility. The TRI Facility Identification
Number appears (with other facility-specific information)
on a pre-printed page 1 of the Form R that is attached to
the cover of this Toxic Chemical Release Inventory
Instructions for 1999. Please do not destroy this page 1.
When completing your Form R reports for 1999, you may
use this pre-printed page 1 instead of filling out a new
page one.
If your pre-printed page 1 is missing information
required by Form R, insert that information in the
appropriate box in Part I, Section 4.1. For example, if
your pre-printed page 1 contains your street address and
not your mailing address, enter your mailing address in
the space provided. If you receive a pre-printed page 1
which contains incorrect information, you may edit the
page.
If you do not have a pre-printed page 1, but know your
TRI Facility Identification Number, complete Section 4.
If you do not know your TRI Facility Identification
Number, contact the EPCRA Hotline (see page 4). If your
facility has moved, do not enter your TRI facility
identification number, enter "New Facility."
Enter "New Facility" in the space for the TRI Facility
Identification number if this is your first submission of a
Form R.
Toxics Release Inventory Reporting Forms and Instructions 25
-------
Instructions for Completing Part I of EPA Form R 213
4.2 Full or Partial Facility Indication
A covered facility must report all releases and other
waste management activities and source reduction
activities of an EPCRA Section 313 chemical if the facility
meets a reporting threshold for that EPCRA Section 313
chemical. However, if the facility is composed of several
distinct establishments, EPA allows these establishments
to submit separate reports for the EPCRA Section 313
chemical as long as all releases and other waste
management activities of the EPCRA Section 313
chemical from the entire facility are accounted for.
Indicate in Section 4.2 whether your report is for the
entire covered facility as a whole or for part of a covered
facility.
Section 313 requires reports by "facilities," which are
defined as "all buildings, equipment, structures, and
other stationary items which are located on a single site
or on contiguous or adjacent sites and which are owned
or operated by the same person."
The SIC code system defines business "establishments"
as "distinct and separate economic activities [that] are
performed at a single physical location." Under section
372.30(c) of the reporting rule, you may submit a separate
Form R for each establishment, or for groups of
establishments in your facility, provided all releases and
other waste management activities and source reduction
activities involving the EPCRA Section 313 chemical from
the entire facility are reported. This allows you the
option of reporting separately on the activities involving
an EPCRA Section 313 chemical at each establishment, or
group of establishments (e.g., part of a covered facility),
rather than submitting a single Form R for that EPCRA
Section 313 chemical for the entire facility. However, if
an establishment or group of establishments does not
manufacture, process, or otherwise use or release or
otherwise manage as waste an EPCRA Section 313
chemical, you do not have to submit a report for that
establishment or group of establishments for that
particular chemical. (See also Section B.2a of these
instructions.)
4.3 Technical Contact
Enter the name and telephone number (including area
code) of a technical representative whom. EPA or State
officials may contact for clarification of the information
reported on Form R. This contact person does not have
to be the same person who prepares the report or signs
the certification statement and does not necessarily need
to be someone at the location of the reporting facility.
However, this person must be familiar with the details of
the report so that he or she can answer questions about
the information provided.
4.4 Public Contact
Enter the name and telephone number (including area
code) of a person who can respond to questions from the
public about the report. If you choose to designate the
same person as both the technical and the public contact,
you may enter "Same as Section 4.3" in this space. This
contact person does not have to be the same person who
prepares the report or signs the certification statement
and does not necessarily need to be someone at the
location of the reporting facility. If this space is left
blank, the technical contact will be listed as the public
contact in the TRI database.
4.5 Standard Industrial Classification (SIC) Code
Enter the appropriate 4-digit primary Standard Industrial
Classification (SIC) Code for your facility. Table I lists
the SIC codes within 10 (except 1011,1081, and 1094), 12
(except 1241), 20-39, 4911 (limited to facilities that
combust coal and/or oil for the purpose of generating
electricity for distribution in commerce), 4931 (limited to
facilities that combust coal and/or oil for the purpose of
generating electricity for distribution in commerce),
(limited to facilities that combust coal and/or oil for
purpose of generating electricity for distribution in
commerce), 4953 (limited to facilities regulated under the
RCRA Subtitle C, 42 U.S.C. section 6921 et secj.), 5169,
5171, and 7389 (limited to facilities primarily engaged in
solvents recovery services on a contract or fee basis). If
the report covers more than one establishment, enter the
primary 4-digit SIC code for each establishment starting
with the primary SIC code for the entire facility. You are
required to enter SIC codes only for those establishments
within the facility that fall within SIC codes 10 (except
1011, 1081, and 1094), 12 (except 1241), 20-39, 4911
(limited to facilities that combust coal and/or oil for the
purpose of generating electricity for distribution in
commerce), 4931 (limited to facilities that combust coal
and/or oil for the purpose of generating electricity for
distribution in commerce), 4939 (limited to facilities that
combust coal and/or oil for the purpose of generating
electricity for distribution in commerce), 4953 (limited to
facilities regulated under the RCRA Subtitle C, 42 U.S.C.
section 6921 et seq.), 5169, 5171, and 7389 (limited to
facilities primarily engaged in solvents recovery services
on a contract or fee basis). If you do not know your SIC
code, consult the 1987 SIC Manual.
The North American Industry Classification System
(N AICS) is a new economic classification system that will
replace the 1987 SIC code system. EPA will address the
26 Toxics Release Inventory Reporting Forms and Instructions
-------
Instructions for Completing Part I of EPA Form R
SIC code change, as it relates to EPCRA, in an upcoming
Federal Register notice. This upcoming change does
NOT affect the 1999 EPCRA Section 313 reporting.
4.6 Latitude and Longitude
Enter the latitudinal and longitudinal coordinates of your
facility. Sources of these data include EPA permits (e.g.,
NPDES permits), county property records, facility
blueprints, and site plans. Instructions on how to
determine these coordinates can be found in Appendix E.
Enter only numerical data. Do not preface numbers with
letters such as N or W to denote the hemisphere.
Latitude and longitude coordinates of your facility are
very important for pinpointing the location of reporting
facilities and are required elements on the Form R. EPA
encourages facilities to make the best possible
measurements when determining latitude and longitude.
As with any other data field, missing, suspect, or
incorrect data may generate a Notice of Technical Error
to be issued to the facility. (See Appendix C: Common
Errors in Completing Form R Reports and Making Data
Available).
4.7 Dun & Bradstreet Number
Enter the nine-digit number assigned by Dun &
Bradstreet (D & B) for your facility or each establishment
within your facility. These numbers code the facility for
financial purposes. This number may be available from
your facility's treasurer or financial officer. You can also
obtain the numbers from your local Dun & Bradstreet
office (check the telephone book White Pages). If a
facility does not subscribe to the D & B service, a
" support number" can be obtained from the D & B center
located in Allentown, Pennsylvania, at (610) 882-7748
(8:30 AM to 8:00 PM, Eastern Time). If none of your
establishments has been assigned a D & B number, enter
not applicable, NA, in box (a). If only some of your
establishments have been assigned D & B numbers, enter
those numbers in Part I, section 4.7.
4.8 EPA Identification Number
The EPA I.D. Number is a 12-character number assigned
to facilities covered by hazardous waste regulations
under the Resource Conservation and Recovery Act
(RCRA). Facilities not covered by RCRA are not likely to
have an assigned I.D. Number. If your facility is not
required to have an I.D. Number, enter not applicable,
NA, in box (a). If your facility has been assigned EPA
Identification Numbers, you must enter those numbers in
the spaces provided in Section 4.8.
4.9 NPDES Permit Number
Enter the numbers of any permits your facility holds
under the National Pollutant Discharge Elimination
System (NPDES) even if the permit(s) do not pertain to
the EPCRA Section 313 chemical being reported. This
nine-character permit number is assigned to your facility
by EPA or the State under the authority of the Clean
Water Act. If your facility does not have a permit, enter
not applicable, NA, in Section 4.9a.
4.10 Underground Injection Well Code (UIC)
Identification Number
If your facility has a permit to inject a waste containing
the EPCRA Section 313 chemical into Class 1 deep wells,
enter the 12-digit Underground Injection Well Code
(UIC) identification number assigned by EPA or by the
State under the authority of the Safe Drinking Water Act.
If your facility does not hold such a permit(s), enter not
applicable, NA, in Section 4.10a. You are only required
to provide the UIC number for wells that receive the
EPCRA Section 313 chemical being reported.
Section 5. Parent Company Information
You must provide information on your parent company.
For purposes of Form R, a parent company is defined as
the highest level company, located in the United States,
that directly owns at least 50 percent of the voting stock
of your company. If your facility is owned by a foreign
entity, enter not applicable, NA, in this space. Corporate
names should be treated as parent company names for
companies with multiple facility sites. For example, the
Bestchem Corporation is not owned or controlled by any
other corporation but has sites throughout the country
whose names begin with Bestchem. In this case,
Bestchem Corporation would be listed as the parent
company. Note that a facility that is a 50:50 joint venture
is its own parent company.
5.1 Name of Parent Company
Enter the name of the corporation or other business
entity that is your ultimate U.S. parent company. If your
facility has no parent company, check the NA box.
5.2 Parent Company's Dun & Bradstreet Number
Enter the D & B number for your ultimate U.S. parent
company, if applicable. The number may be obtained
from the treasurer or financial officer of the company. If
your parent company does not have a D & B number,
check the NA box.
Toxics Release Inventory Reporting Forms and Instructions 27
-------
215
-------
216
Instructions for Completing Part II of EPA Form R
Part II. Chemical Specific
Information
In Part II, you are to report on:
3 The EPCRA Section 313 chemical being reported;
Q The general uses and activities involving the EPCRA
Section 313 chemical at your facility;
It On-site releases of the EPCRA Section 313 chemical
from the facility to air, water, and land;
Q Quantities of the EPCRA Section 313 chemical
transferred to off-site locations;
Q Information for on-site and off-site disposal,
treatment, energy recovery, and recycling of the
EPCRA Section 313 chemical; and
0 Source reduction activities.
Section 1. EPCRA Section 313 Chemical
Identity
1.1 CAS Number
Enter the Chemical Abstracts Service (CAS) registry
number in Section 1.1 exactly as it appears in Table II of
these instructions for the chemical being reported. CAS
numbers are cross-referenced with an alphabetical list of
chemical names in Table II. If you are reporting one of
the EPCRA Section 313 chemical categories in Table II
(e.g., chromium compounds), enter the applicable
category code in the CAS number space. EPCRA Section
313 chemical category codes are listed below and can also
be found in Table II, c. Chemical Categories.
EFCRA Section 313 Chemical Category Codes
N010 Antimony compounds
N020 Arsenic compounds
N040 Barium compounds
N050 Beryllium compounds
N078 Cadmium compounds
N084 Chlorophenols
N090 Chromium compounds
N096 Cobalt compounds
N100 Copper compounds
N106 Cyanide compounds
N120 Diisocyanates
N171 Ethylenebisdithiocarbamic acid, salts and
esters (EBDCs)
N230 Certain glycol ethers
N420 Lead compounds
N450 Manganese compounds
N458 Mereury compounds
N495 Nickel compounds
N503 Nicotine and salts
N511 Nitrate compounds (water dissociable,
reportable only in aqueous solution)
N575 Polybrominated biphenyls (PBBs)
N583 Polychlorinated alkanes (CIO to CIS)
N590 Polycyclic aromatic compounds (PACs)
N725 Selenium compounds
N740 Silver compounds
N746 Strychnine and salts
N760 Thallium compounds
N874 Warfarin and Salts
N982 Zinc compounds
If you are making a trade secret claim, you must report
the CAS number or category code on your unsanitized
Form R and unsanitized substantiation form. Do not
include the CAS number or category code on your
sanitized Form R or sanitized substantiation form.
Example 10: Mixture Containing Unidentified
EPCRA Section 313 Chemical
Your facility uses 20,000 pounds of a solvent that your
supplier has told you contains 80 percent "chlorinated
aromatic," their generic name for an EPCRA Section
313 chemical subject to reporting under Section 313.
You, therefore, know that you have used 16,000
pounds of some EPCRA Section 313 chemical and that
exceeds the "otherwise use" threshold. You would
file a Form R and enter the name "chlorinated
aromatic" in the space provided in Part II, Section 2.
1.2 EPCRA Section 313 Chemical or Chemical
Category Name
Enter the name of the EPCRA Section 313 chemical or
chemical category exactly as it appears in Table II. If the
EPCRA Section 313 chemical name is followed by a
synonym in parentheses, report the chemical by the name
that directly follows the CAS number (i.e., not the
synonym). If the EPCRA Section 313 chemical identity is
actually a product trade name (e.g., dicofol), the 9th
Collective Index name is listed below it in brackets. You
may report either name in this case.
Do not list the name of a chemical that does not appear
in Table II, such as individual members of a reportable
EPCRA Section 313 chemical category. For example, if
you use silver nitrate, do not report silver nitrate with its
CAS number. Report this chemical as "silver
compounds" with its category code, N740.
Toxics Release Inventory Reporting Forms and Instructions 29
-------
217
Instructions far Completing Part II of EPA Form R
If you are making a trade secret claim, you must report
the specific EPCRA Section 313 chemical identity on your
unsanitized Form R and unsanitized substantiation form.
Do not report the name of the EPCRA Section 313
chemical on your sanitized Form R or sanitized
substantiation form. Include a generic name in Part n,
Section 1.3 of your sanitized Form R report,
EPA requests that the EPCRA Section 313 chemical,
chemical category, or generic name also be placed in the
box marked "Toxic Chemical, Category, or Generic
Name" in the upper right-hand corner on all pages of
Form R. While tills space is not a required data element,
providing this information will help you in preparing a
complete Form R report.
1.3 Generic Chemical Name
Complete Section 1.3 only if you are claiming the specific
EPCRA Section 313 chemical identity of the EPCRA
Section 313 chemical as a trade secret and have marked
the trade secret block in Part I, Section 2.1 on page 1 of
Form R. Enter a generic chemical name that is
descriptive of the chemical structure. You must limit the
generic name to seventy characters (e.g., numbers, letters,
spaces, punctuation) or less. Do not enter mixture names
in Section 1.3; see Section 2 below.
In-house plant codes and other substitute names that are
not structurally descriptive of the EPCRA Section 313
chemical identity being withheld as a trade secret are not
acceptable as a generic name. The generic name must
appear on both sanitized and unsanitized Form Rs, and
the name must be the same as that used on your
substantiation forms.
Section 2. Mixture Component Identity
Do not complete this section if you have completed
Section 1 of Part II. Report the generic name provided to
you by your supplier in this section if your supplier is
claiming the chemical identity proprietary or trade secret.
Do not answer "yes" in Part I, Section 2.1 on page 1 of the
form if you complete this section. You do not need to
supply trade secret substantiation forms for this EPCRA
Section 313 chemical because it is your supplier who is
claiming the chemical identity a trade secret.
2.1 Generic Chemical Name Provided by Supplier
Enter the generic chemical name in this section only if the
following three conditions apply:
1. You determine that the mixture contains an EPCRA
Section 313 chemical but the only identity you have
for that chemical is a generic name;
2. You know either the specific concentration of that
EPCRA Section 313 chemical component or a
maximum or average concentration level; and
3. You multiply the concentration level by the total
annual amount of the whole mixture processed or
otherwise used and determine that you meet the
process or otherwise use threshold for that single,
generically identified mixture component.
Section 3. Activities and Uses of the EPCRA
Section 313 Chemical at the
Facility
Indicate whether the EPCRA Section 313 chemical is
manufactured (including imported), processed, or
otherwise used at the facility and the general nature of
such activities and uses at the facility during the calendar
year (see figure 3). You are not required to report on
Form R the quantity manufactured, processed or
otherwise used. Report activities that take place only at
your facility, not activities that take place at other!
facilities involving your products. You must check all the
boxes in this section that apply. Refer to the definitions of
"manufacture," "process," and "otherwise use" in the
general information section of these instructions or Part
40, Section 372.3 of the Code of Federal Regulations for
additional explanations.
3.1 Manufacture the EPCRA Section 313 Chemical
Persons who manufacture (including import) the EPCRA
Section 313 chemical must check at least one of the
following:
a. Produce - The EPCRA Section 313 chemical is
produced at the facility.
b. Import - The EPCRA Section 313 chemical is
imported by the facility into the Customs Territory
of the United States. (See Section B.3.a of these
instructions for further clarification of import.)
And check at least one of the following:
c. For on-site use/processing — The EPCRA Section
313 chemical is produced or imported and then
further processed or otherwise used at the same
30 Toxics Release Inventory Reporting Forms and Instructions
-------
218
Instructions for Completing Part II of EPA Form R
facility. If you check this block, you must also check
at least one item in Part II, Section 3.2 or 3.3.
d. For sale/distribution - The EPCRA Section 313
chemical is produced or imported specifically for
sale or distribution outside the manufacturing
facility.
e. As a byproduct — The EPCRA Section 313 chemical
is produced coincidentally during the manufacture,
processing, or otherwise use of another chemical
substance or mixture and, following its production,
is separated from that other chemical substance or
mixture. EPCRA Section 313 chemicals produced as
a result of waste management are also considered
byproducts.
f. As an impurity — The EPCRA Section 313 chemical
is produced coincidentally as a result of the
manufacture, processing, or otherwise use of
another chemical but is not separated and remains
primarily in the mixture or other trade name
product with that other chemical.
In summary, if you are a manufacturer of the EPCRA
Section 313 chemical, you must check (a) and/ or (b), and
at least one of (c), (d), (e), and (f) in Section 3.1.
3.2 Process the EPCRA Section 313 Chemical
(incorporative activities)
a. As a reactant — A natural or synthetic EPCRA
Section 313 chemical is used in chemical reactions
for the manufacture of another chemical substance
or of a product. Includes but is not limited to,
feedstocks, raw materials, intermediates, and
initiators.
b. As a formulation component — An EPCRA Section
313 chemical is added to a product (or product
mixture) prior to further distribution of the product
that acts as a performance enhancer during use of
the product. Examples of EPCRA Section 313
chemicals used in this capacity include, but are not
limited to, additives, dyes, reaction diluents,
initiators, solvents, inhibitors, emulsifiers,
surfactants, lubricants, flame retardants, and
rheological modifiers.
c. As an article component — An EPCRA Section 313
chemical becomes an integral component of an
article distributed for industrial, trade, or consumer
use. One example is the pigment components of
paint applied to a chair that is sold.
d. Repackaging — This consists of processing or
preparation of an EPCRA Section 313 chemical (or
product mixture) for distribution in commerce in a
different form, state, or quantity. This includes, but
is not limited to, the transfer of material from a bulk
container, such as a tank truck to smaller containers
such as cans or bottles.
Example 11: Activities and Uses of
EPCRA Section 313 Chemicals
In the example below, it is assumed that the threshold
quantities for manufacture, process/ or otherwise use
(25,000 pounds, 25,000 pounds, and 10,000 pounds,
respectively) have been exceeded and the reporting of
EPCRA Section 313 chemicals is therefore required.
Your facility manufactures diazomethane. Fifty
percent is sold as a product. The remaining 50 percent
is reacted with alpha-naphthylamine, forming N-
methyl-alpha-naphthylamine and also producing
nitrogen gas.
Q Your company manufactures diazomethane, an
EPCRA Section 313 chemical, both for
sale/distribution as a commercial product and
for on-site use/processing as a feedstock in the
N-methyl-alpha-naphthyl-amine production
process. Because the diazomethane is a reactant,
it is also processed. See Figure 3 for how this
information would be reported in Part II, Section
3 of Form R.
D Your f acili ty also processes alpha-naphthylamine,
as a reactant to produce N-methyl-alpha-
naphthylamine, a chemical not on the Section 313
list.
3.3 Otherwise Use the EPCRA Section 313 Chemical
(non-incorporative activities)
a. As a chemical processing aid — An EPCRA Section
313 chemical that is added to a reaction mixture to
aid in the manufacture or synthesis of another
chemical substance but is not intended to remain in
or become part of the product or product mixture is
otherwise used as chemical processing aid.
Examples of such EPCRA Section 313 chemicals
include, but are not limited to, process solvents,
Toxics Release Inventory Reporting Forms and Instructions 31
-------
219
Instructions for Completing Part II of EPA Form R
Figure 3
SECTION 1. TOXIC CHEMICAL IDENTITY
(Important: DO NOT complete
this section if you complete Section 2 below.
CAS Number (Important Enter onfr ore nun^exaclty as it appears on 1te Section 313 fet^ a chemical category.
1.1
334-88-3
1.2
Tooac Chemical or Chemical Category Name (tryortant Enter only one name exactly as it appears on the Section 313 fel)
Diazomethane
1.3
Generic ChanJcaT Name (Important Complete only if Parti. Section 2.1 is decked "Yes'. Generic name must be structunjy descriptive.)
SECTION 2. MIXTURE COMPONENT IDENTITY
(Important: DO NOT complete this
section if you complete Section 1 above.)
Generic Chemical Name Provided fay Suppler (Important Maximum of 70 characters, including numbers, fetes, spaces, and punctuation.)
2.1
SECTION 3. ACTIVITIES AND USES OF THE TOXIC CHEMICAL AT THE FACUTY
(Important CHECK ALL THAT APPLY.)
3.1
Manufacture the toxic chemical:
3.2
Process the toxic chemical:
3.3
Otherwise us* the toxic chemical:
a. Produce
b.
If produce or import:
IZT c. for on-site use/processing
Ef d. Forsaje/dfetributton
O e. As a byproduct
n f. As an impurity
121 a. Asareactant
f~l b. As 3 tomulation component
Q c. As an article component
n d. Repadtagjig
a. D As a chemical processing aid
b. O As a manufacturing aid
c. C3 Anctay or other use
catalysts, inhibitors, initiators, reaction terminators, and
solution buffers.
b. Asa manufacturing aid — An EPCRA Section 313
chemical that aids the manufacturing process but
does not become part of the resulting product and
is not added to the reaction mixture during the
manufacture or synthesis of another chemical
substance is otherwise used as a manufacturing aid.
Examples include, but are not limited to, process
lubricants, metalworking fluids, coolants,
refrigerants, and hydraulic fluids.
c. Ancillary or other use - An EPCRA Section 313
chemical is used at a facility for purposes other than
aiding chemical processing or manufacturing as
described above is otherwise used as ancillary or
other use. Examples include, but are not limited to,
cleaners, degreasers, lubricants, fuels, EPCRA
Section 313 chemicals used for treating wastes, and
EPCRA Section 313 chemicals used to treat water at
the facility.
Section 4. Maximum Amount of the
EPCRA Section 313 Chemical
On-site at Any Time During the
Calendar Year
For data element 4.1 of Part II, insert the code (see codes
below) that indicates the maximum quantity of the
EPCRA Section 313 chemical (e.g., in storage tanks,
process vessels, on-site shipping containers, or in waste)
at your facility at any time during the calendar year. U
the EPCRA Section 313 chemical was present at several
32 Toxics Release Inventory Reporting Forms and Instructions
-------
220
Instructions for Completing Part II of EPA Form R
locations within your facility, use the maximum total
amount present at the entire facility at any one time.
Weight Range in Pounds
Range Code
01
02
03
04
05
06
07
08
09
10
11
From...
0
100
1,000
10,000
100,000
1,000,000
10,000,000
50,000,000
100,000,000
500,000,000
1 billion
To....
99
999
9,999
99,999
999,999
9,999,999
49,999,999
99,999,999
499,999,999
999,999,999
more than 1 billion
If the EPCRA Section 313 chemical present at your
facility was part of a mixture or other trade name
product, determine the maximum quantity of the EPCRA
Section 313 chemical present at the facility by calculating
the weight percent of the EPCRA Section 313 chemical
only.
Do not include the weight of the entire mixture or other
trade name product. This data may be found in the Tier
II form your facility may have prepared under Section
312 of EPCRA. See Part 40, Section 372.30(b) of the Code
of Federal Regulations for further information on how to
calculate the weight of the EPCRA Section 313 chemical
in the mixture or other trade name product. For EPCRA
Section 313 chemical categories (e.g., nickel compounds),
include all chemical compounds in the category when
calculating the maximum amount, using the entire
weight of each compound.
Section 5. Quantity of the EPCRA Section
313 Chemical Entering Each
Environmental Medium On-
site
In Section 5, you must account for the total aggregate on-
site releases of the EPCRA Section 313 chemical to the
environment from your facility for the calendar year.
Do not enter the values in Section 5 in gallons, tons,
liters, or any measure other than pounds. You must also
enter the values as whole numbers. Numbers following
a decimal point are not acceptable.
On-site releases to the environment include emissions to
the air, discharges to surface waters, and releases to land
and underground injection wells. If you have no releases
to a particular media (e.g., stack air), you must check the
"NA" box or enter zero; do not leave any part of Section
5 blank.
You are not required to count as a release, quantities of
an EPCRA Section 313 chemical that are lost due to
natural weathering or corrosion, normal/natural
degradation of a product, or normal migration of an
EPCRA Section 313 chemical from a product. For
example, amounts of an EPCRA Section 313 chemical
that migrate from plastic products in storage do not have
to be counted in estimates of releases of that EPCRA
Section 313 chemical from the facility.
All releases of the EPCRA Section 313 chemical to the air
must be classified as either point or non-point emissions,
and included in the total quantity reported for these
releases in Sections 5.1 and 5.2. Instructions for columns
A, B, and C follow the discussions of Sections 5.1 through
5.5.
5.1 Fugitive or Non-Point Air Emissions
Report the total of all releases of the EPCRA Section 313
chemical to the air that are not released through stacks,
vents, ducts, pipes, or any other confined air stream.
You must include (1) fugitive equipment leaks from
valves, pump seals, flanges, compressors, sampling
connections, open-ended lines, etc.; (2) evaporative losses
from surface impoundments and spills; (3) releases from
building ventilation systems; and (4) any other fugitive or
non-point air emissions. Engineering estimates and mass
balance calculations (using purchase records, inventories,
engineering knowledge or process specifications of the
quantity of the EPCRA Section 313 chemical entering
product, hazardous waste manifests, or monitoring
records) may be useful in estimating fugitive emissions.
5.2 Stack or Point Air Emissions
Report the total of all releases of the EPCRA Section 313
chemical to the air that occur through stacks, confined
vents, ducts, pipes, or other confined air streams. You
must include storage tank emissions. Air releases from
air pollution control equipment would generally fall in
this category. Monitoring data, engineering estimates,
and mass balance calculations may help you to complete
this section.
Toxics Release Inventory Reporting Forms and Instructions 33
-------
221
Instructions for Completing Part II of EPA Form R
5.3 Discharges to Receiving Streams or Water
Bodies
In Section 5.3 you are to enter all the names of the
streams or water bodies to which your facility directly
discharges the EPCRA Section 313 chemical on which
you are reporting. A total of three spaces is provided on
page 2 of Form R. Enter the name of each receiving
stream or surface water body to which the EPCRA
Section 313 chemical being reported is directly
discharged. Report the name of the receiving stream or
water body as it appears on the NPDES permit for the
facility. If the stream is not covered by a permit, enter
the name of the off-site stream or water body by which it
is publicly known. Do not list a series of streams through
which the EPCRA Section 313 chemical flows. Be sure to
include all the receiving streams or water bodies that
receive stormwater runoff from your facility. Do not
enter names of streams to which off-site treatment plants
discharge. Enter "NA" in Section 5.3.1. if you do not
discharge the EPCRA Section 313 chemical to surface
water bodies.
Enter the total annual amount of the EPCRA Section 313
chemical released from all discharge points at the facility
to each receiving stream or water body. Include process
outfalls such as pipes and open trenches, releases from
on-site wastewater treatment systems, and the
contribution from stormwater runoff, if applicable (see
instructions for column C below). Do not include
discharges to a POTW or other off-site wastewater
treatment facilities in this section. These off-site transfers
must be reported in Part n, Section 6 of Form R.
Wastewater analyses and flowmeter data may provide
the quantities you will need to complete this section.
Discharges of listed acids (e.g., hydrogen fluoride, nitric
acid, and phosphoric acid) may be reported as zero if the
discharges have been neutralized to pH 6 or above. If
wastewater containing a listed acid is discharged below
pH 6, then releases of the acid must be reported. In this
case, pH measurements may be used to estimate the
amount of mineral acid released.
5.4.1 Underground Injection On-Site to Class I
Wells
Enter the total amount of the EPCRA Section 313
chemical that was injected into Class I wells at the
facility. Chemical analyses, injection rate meters, and
RCRA Hazardous Waste Generator Reports are good
sources for obtaining data that will be useful in
completing this section. Check the Not Applicable "NA"
box in Section 5.4.1 if you do not inject the
EPCRA Section 313 chemical into Class I undergroun
wells.
5.4.2 Underground Injection On-site to Class II-V
Wells
Enter the total amount of the EPCRA Section 313
chemical that was injected into wells at the facility other
than Class I wells. Chemical analyses and injection rate
meters are good sources for obtaining data that will be
useful in completing this section. Check the Not
Applicable "NA" box in Section 5.4.2 if you do not inject
the reported EPCRA Section 313 chemical into Class II-V
underground wells.
5.5 Disposal to Land On-site
Five predefined subcategories for reporting quantities
released to land within the boundaries of the facility are
provided. Do not report land disposal at off-site
locations in this section. Accident histories and spill
records may be useful (e.g., release notification reports
required under Section 304 of EPCRA and accident
histories required under Section 112(r)(7)(B)(ii) of t
Clean Air Act).
5.5.1 A RCRA Subtitle C landfills -Enter the total
amount of the EPCRA Section 313 chemical that was
placed in RCRA Subtitle C landfills. Leaks from landfills
need not be reported as a release because the amount of
the EPCRA Section 313 chemical has already been
reported as a release.
5.5.1B Other landfills - Enter the total amount of the
EPCRA Section 313 chemical that was placed in landfills
other than RCRA Subtitle C landfills. Leaks from
landfills need not be reported as a release because the
amount of the EPCRA Section 313 chemical has already
been reported as a release.
5.5.2 Land treatment/application farming — Land
treatment is a disposal method in which a waste
containing an EPCRA Section 313 chemical is applied
onto or incorporated into soil. While this disposal
method is considered a release to land, any volatilization
of EPCRA Section 313 chemicals into the air occurring
during the disposal operation must be included in the
total fugitive air releases reported in Part II, Section 5.1 of
Form R.
5.5.3 Surface impoundment — A surface impoundment
is a natural topographic depression, man-made
34 Toxics Rekase Inventory Reporting Forms and Instructions
-------
222
Instructions for Completing Part II of EPA form
excavation, or diked area formed primarily of earthen
materials (although some may be lined with man-made
materials), that is designed to hold an accumulation of
liquid wastes or wastes containing free liquids.
Examples of surface impoundments are holding, settling,
storage, and elevation pits; ponds, and lagoons. If the
pit, pond, or lagoon is intended for storage or holding
without discharge, it would be considered to be a surface
impoundment used as a final disposal method. A facility
should determine, to the best of its ability, the percentage
of a volatile chemical, e.g., benzene, that is in waste sent
to a surface impoundment that evaporates in the
reporting year. The facility should report this as a
fugitive air emission in section 5.1. The balance should
be reported in section 5.5.3.
Quantities of the EPCRA Section 313 chemical released to
surface impoundments that are used merely as part of a
wastewater treatment process generally must not be
reported in this section. However, if the impoundment
accumulates sludges containing the EPCRA Section 313
chemical, you must include an estimate in this section
unless the sludges are removed and otherwise disposed
(in which case they should be reported under the
appropriate section of the form). For the purposes of this
reporting, storage tanks are not considered to be a type
of disposal and are not to be reported in this section of
Form R.
5.5.4 Other Disposal —Includes any amount of an
EPCRA Section 313 chemical released to land that does
not fit the categories of landfills, land treatment, or
surface impoundment. This other disposal would
include any spills or leaks of EPCRA Section 313
chemicals to land. For example, 2,000 pounds of benzene
leaks from an underground pipeline into the land at a
facility. Because the pipe was only a few feet from the
surface at the erupt point, 30 percent of the benzene
evaporates into the air. The 600 pounds released to the
air would be reported as a fugitive air release (Part II,
Section 5.1) and the remaining 1,400 pounds would be
reported as a release to land, other disposal (Part II,
Section 5.5.4).
Column A: Total Release
Only on-site releases of the EPCRA Section 313 chemical
to the environment for the calendar year are to be
reported in this section of Form R. The total on-site
releases from your facility do not include transfers or
shipments of the EPCRA Section 313 chemical from your
facility for sale or distribution in commerce, or of wastes
to other facilities for disposal, treatment, energy
recovery, or recycling (see Part II, Section 6 of these
Instructions). Both routine releases, such as fugitive air
emissions, and accidental or non-routine releases, such as
chemical spills, must be included in your estimate of the
quantity released.
Releases of Less Than 1,000 Pounds. For total annual
releases or off-site transfers of an EPCRA Section 313
chemical from the facility of less than 1,000 pounds, the
amount may be reported either as an estimate or by using
the range codes that have been developed. The reporting
range codes to be used are:
Code
A
B
C
Range (pounds)
1-10
11-499
500-999
Do not enter a range code and an estimate in the same
box in column A. Total annual on-site releases of an
EPCRA Section 313 chemical from the facility of less than
1 pound may be reported in one of several ways. You
should round the value to the nearest pound. If the
estimate is greater than 0.5 pound, you should either
enter the range code "A" for "1-10" or enter "I" in
column A. If the release is equal to or less than
0.5 pound, you may round to zero and enter "0" in
column A.
Note that total annual releases of 0.5 pound or less from
the processing or otherwise use of an article maintain the
article status of that item. Thus, if the only releases you
have are from processing an article, and such releases are
equal to or less than 0.5 pound per year, you are not
required to submit a report for that EPCRA Section 313
chemical. The 0.5-pound release determination does not
apply to just a single article. It applies to the cumulative
releases from the processing or otherwise use of the same
type of article (e.g., sheet metal or plastic film) that
occurs over the course of the calendar year.
Zero Releases. If you have no releases of an EPCRA
Section 313 chemical to a particular medium, report either
NA, not applicable, or zero, as appropriate. Report NA
only when there is no possibility a release could have
occurred to a specific media. If a release to a specific
media could have occurred, but'either did not occur or
the annual aggregate release was equal to or less than 0.5
pound, report zero. However, if you report zero releases,
a basis of estimate must be provided in column B.
For example, if nitric acid is involved in the facility's
processing activities but the facility neutralizes the
Toxics Release Inventory Reporting forms and Instructions 35
-------
223
Instructions for Completing Part II of EPA Form R
wastes to a pH of 6 or above, then the facility reports a
zero release for the EPCRA Section 313 chemical. If the
facility has no underground injection well, "NA" would
be written in Part I, Section 4.10 and checked in Part II,
Section 5.4 .1 and 5.4.2 of Form R. Also, if the facility
does not landfill the acidic waste, NA would be checked
in Part II, Section 5.5.1.B of Form R.
Releases of 1,000 Pounds or More. For releases to any
medium that amount to 1,000 pounds or more for the
year, you must provide an estimate in pounds per year in
column A. Any estimate provided in column A need not
be reported to more than two significant figures. This
estimate should be in whole numbers. Do not use
decimal points.
Calculating On-Site Releases. To provide the release
information required in column A in this section, you
must use die best readily available data (including
relevant monitoring data and emissions measurements)
collected at your facility to meet other regulatory
requirements or as part of routine plant operations, to the
extent you have such data for the EPCRA Section 313
chemical.
When relevant monitoring data or emission
measurements are not readily available, reasonable
estimates of the amounts released must be made using
published emission factors, material balance calculations,
or engineering calculations. You may not use emission
factors or calculations to estimate releases if more
accurate data are available.
No additional monitoring or measurement of the
quantities or concentrations of any EPCRA Section 313
chemical released into the environment, or of the
frequency of such releases, beyond that required under
other provisions of law or regulation or as part of routine
plant operations, is required for the purpose of
completing Form R.
You must estimate, as accurately as possible, the quantity
(in pounds) of the EPCRA Section 313 chemical or
chemical category that is released annually to each
environmental medium on-site. Include only the
quantity of the EPCRA Section 313 chemical in this
estimate. If the EPCRA Section 313 chemical present at
your facility was part of a mixture or other trade name
product, calculate only the releases of the EPCRA Section
313 chemical, not the other components of the mixture or
other trade name product. If you are only able to
estimate the releases of the mixture or other trade name
product as a whole, you must assume that the release of
the EPCRA Section 313 chemical is proportional to its
concentration in the mixture or other trade name
product. See Part 40, Section 372.30(b) of the Code of
Federal Regulations for further information on how to
calculate the concentration and weight of the EPCRA
Section 313 chemical in the mixture or other trade name
product.
If you are reporting an EPCRA Section 313 chemical
category listed in Table n of these instructions rather
than a specific EPCRA Section 313 chemical, you combine
the release data for all chemicals in the EPCRA Section
313 chemical category (e.g., all glycol ethers or all
chlorophenols) and report the aggregate amount for that
EPCRA Section 313 chemical in that category separately.
For example, if your facility releases 3,000 pounds per
year of 2-chlorophenol, 4,000 pounds per year of 3-
chlorophenol, and 4,000 pounds per year of 4-
chlorophenol to air as fugitive emissions, you should
report that your facility releases 11,000 pounds per year
of chlorophenols to air as fugitive emissions in Part II,
Section 5.1.
For aqueous ammonia solutions, releases should be
reported based on 10% of total aqueous ammonia.
Ammonia evaporating from aqueous ammonia solutions
is considered to be anhydrous ammonia; therefore, 100%
of the anhydrous ammonia should be reported if it is
released to the environment. For dissociable nitrate
compounds, release estimates should be based on the
weight of the nitrate only.
For metal category compounds (e.g., chromium
compounds), report release of only the parent metal. For
example, a user of various inorganic chromium salts
would report the total chromium released regardless of
the chemical form (e.g., as the original salts, chromium
oxide) and exclude any contribution to mass made by
other species in the molecule.
Column B: Basis of Estimate
For each release estimate, you are required to indicate the
principal method used to determine the amount of
release reported. You will enter a letter code that
identifies the method that applies to the largest portion
of the total estimated release quantity.
The codes are as follows:
M — Estimate is based on monitoring data or
measurements for the EPCRA Section 313 chemical.
36 Toxics Release Inventory Reporting Forms and Instructions
-------
224
Instructions for Compkting Part II of EPA Form R
C — Estimate is based on mass balance calculations, such
as calculation of the amount of the EPCRA Section 313
chemical in wastes entering and leaving process
equipment.
E— Estimate is based on published emission factors,
such as those relating release quantity to through-put or
equipment type (e.g., air emission factors).
O— Estimate is based on other approaches such as
engineering calculations (e.g., estimating volatilization
using published mathematical formulas) or best
engineering judgment. This would include applying an
estimated removal efficiency to a treatment, even if the
composition of the waste before treatment was fully
identified through monitoring data.
For example, if 40 percent of stack emissions of the
reported EPCRA Section 313 chemical were derived
using monitoring data, 30 percent by mass balance, and
30 percent by emission factors, you would enter the code
letter "M" for monitoring.
If the monitoring data, mass balance, or emission factor
used to estimate the release is not specific to the EPCRA
Section 313 chemical being reported, the form should
identify the estimate as based on engineering calculations
or best engineering judgment (O).
If a mass balance calculation yields the flow rate of a
waste, but the quantity of reported EPCRA Section 313
chemical in the waste is based on solubility data, report
"O" because "engineering calculations" were used as the
basis of estimate of the quantity of the EPCRA Section
313 chemical in the waste.
If the concentration of the EPCRA Section 313 chemical
in the waste was measured by monitoring equipment and
the flow rate of the waste was determined by mass
balance, then the primary basis of the estimate is
"monitoring" (M). Even though a mass balance
calculation also contributed to the estimate, "monitoring"
should be indicated because monitoring data were used
to estimate the concentration of the waste.
Mass balance (C) should only be indicated if it is directly
used to calculate the mass (weight) of EPCRA Section 313
chemical released. Monitoring data should be indicated
as the basis of estimate only if the EPCRA Section 313
chemical concentration is measured in the waste being
released into the environment. Monitoring data should
not be indicated, for example, if the monitoring data
relate to a concentration of the EPCRA Section 313
chemical in other process streams within the facility.
It is important to realize that the accuracy and
proficiency of release estimation will improve over time.
However, submitters are not required to use new
emission factors or estimation techniques to revise
previous Form R submissions.
Column C: Percent From Stormwater
This column relates only to Section 5.3 — discharges to
receiving streams or water bodies. If your facility has
monitoring data on the amount of the EPCRA Section 313
chemical in stormwater runoff (including unchanneled
runoff), you must include that quantity of the EPCRA
Section 313 chemical in your water release in column A
and indicate the percentage of the total quantity (by
weight) of the EPCRA Section 313 chemical contributed
by stormwater in column C (Section 5.3C).
If your facility has monitoring data on the EPCRA
Section 313 chemical and an estimate of flow rate, you
must use these data to determine the percent stormwater.
If you have monitored stormwater but did not detect the
EPCRA Section 313 chemical, enter zero in column C. If
your facility has no stormwater monitoring data for the
chemical, enter not applicable, "NA," in this space on the
form.
If your facility does not have periodic measurements of
stormwater releases of the EPCRA Section 313 chemical,
but has submitted chemical-specific monitoring data in
permit applications, then these data must be used to
calculate the percent contribution from stormwater.
Rates of flow can be estimated by multiplying the annual
amount of rainfall by the land area of the facility and
then multiplying that figure by the runoff coefficient.
The runoff coefficient represents the fraction of rainfall
that does not seep into the ground but runs off as
stormwater. The runoff coefficient is directly related to
how the land in the drainage area is used. (See table
below)
Description of Land Area
Business
Downtown areas
Neighborhood areas
Industrial
Light areas
Heavy areas
Runoff Coefficient
0.70-0.95
0.50-0.70
0.50-0.80
0.60-0.90
Toxics Release Inventory Reporting Forms and Instructions 37
-------
225
Instructions for Compkting Part II of EPA Form R
Industrial
Railroad yard areas 0.20-0.40
Unimproved areas 0.10-0.30
Streets
AsphaMc 0.70-0.95
Concrete 0.80-0.95
Brick 0.70-0.85
Drives and walks 0.70-0.85
Roofs 0.75-0.95
Lawns: Sandy Soil
Flat, 2% 0.05-0.10
Average, 2-7% 0.10-0.15
Steep, 7% 0.15-0.20
Lawns: Heavy Soil
Flat 2% 0.13-0.17
Average, 2-7% 0.18-0.22
Steep, 7% 0.25-0.35
Choose the most appropriate runoff coefficient for your
site or calculate a weighted-average coefficient, which
takes into account different types of land use at your
facility:
Weighted-average runoff coefficient =
(Area 1 % of total)(Cl) + (Area 2 % of totaI)(C2) +
(Area 3 % of totaI)(C3) + ... + (Area i % of total)(Ci)
where G = runoff coefficient for a specific land
use of Area i.
Section 6. Transfers of the EPCRA Section
313 Chemical in Wastes to Off-
Site Locations
You must report in this section the total annual quantity
of the EPCRA Section 313 chemical in wastes sent to any
off-site facility for the purposes of disposal, treatment,
energy recovery, or recycling. Report the total amount of
the EPCRA Section 313 chemical transferred off-site after
any on-site waste treatment, recycling, or removal is
completed. Report zero for transfers of listed mineral
acids if they have been neutralized to a pH of 6 or above
prior to discharge to a Publicly Owned Treatment Works
(POTW).
If you do not discharge wastewater containing the
reported EPCRA Section 313 chemical to a POTW, enter
not applicable, NA, in the box for the POTW's name in
Section 6.1.B._ If you do not ship or transfer wastes
containing the reported EPCRA Section 313 chemical to
other off-site locations, enter not applicable, NA, in the
box for the off-sitejocation's EPA Identification Number
in Section 6.2. .
Important: You must number the boxes for reporting the .
information for each POTW or other off-site location in
Sections 6.1 and 6.2. In the upper left hand corner of
each box, the section number is either 6.1.B._. or 6.2._.
If you report a transfer of the listed EPCRA Section 313
chemical to one or more POTWs, number the boxes in
Section 6.1.B as 6.1.B.I, 6.1 .B.2, etc. If you transfer the
EPCRA Section 313 chemical to more than two POTWs,
photocopy page 3 of Form R as many times as necessary
and then number the boxes consecutively for each
POTW. At the bottom of Section 6 you will find
instructions for indicating the total number of page 3s
that you are submitting as part of Form R, as well as
indicating the sequence of those pages. For example,
your facility transfers the reported EPCRA Section 313
chemical in wastewaters to three POTWs. You would
photocopy page 3 once, indicate at the bottom of each
page 3 that there are a total of two page 3s and then
indicate the first and second page 3. The boxes for the
two POTWs on the first page 3 would be numbered
6.1.B.1 and 6.1.B.2, while the box for third POTW on the
second page 3 would be numbered 6.I.B.3.
If you report a transfer of the EPCRA Section 313
chemical to one or more other off-site locations, number
the boxes in section 6.2 as 6.2.1, 6.2.2, etc. If you transfer
the EPCRA Section 313 chemical to more than two other
off-site locations, photocopy page 4 of Form R as many
times as necessary and then number the boxes
consecutively for each off-site location. At the bottom of
page 4 you will find instructions for indicating the total
number of page 4s that you are submitting as part of
Form R as well as indicating the sequence of those pages.
For example, your facility transfers the reported EPCRA
Section 313 chemical to three other off-site locations. You
would photocopy page 4 once, indicate at the bottom of
Section 6.2 on each page 4 that there are a total of two
page 4s and then indicate the first and second page 4.
The boxes for the two off-site locations on the first page
4 would be numbered 6.2.1 and 6.2.2, while the box for
the third off-site location on the second page 4 would be
numbered 6.2.3.
6.1 Discharges to Publicly Owned Treatment Works
(POTWs)
In Section 6.1.A , estimate the quantity of the reported
EPCRA Section 313 chemical transferred to all POTWs
and the basis upon which the estimate was made. In
Section 6.I.B., enter the name and address for each
POTW to which your facility discharges wastewater
containing the reported EPCRA Section 313 chemical.
38 Toxics Release Inventory Reporting Forms and Instructions
-------
226
Instructions for Completing Part II of EPA Form R
If you do not discharge wastewater containing the
reported EPCRA Section 313 chemical to a POTW, enter
not applicable, NA, in the box for the POTW's name in
Section 6.1.B._.
6.1.A.1 Total Transfers
Enter the total amount, in pounds, of the reported
EPCRA Section 313 chemical that is contained in the
wastewaters transferred to all POTWs. Do not enter the
total poundage of the wastewaters. If the total amount
transferred is less than 1,000 pounds, you may report a
range by entering the appropriate range code. The
following reporting range codes are to be used:
Code
A
B
C
Reporting Range (in pounds)
1-10
11-499
500-999
6.1.A.2 Basis of Estimate
You must identify the basis for your estimate of the total
quantity of the reported EPCRA Section 313 chemical in
the wastewater transferred to all POTWs. Enter one of
the following letter codes that applies to the method by
which the largest percentage of the estimate was derived.
M— Estimate is based on monitoring data or
measurements for the EPCRA Section 313 chemical as
transferred to an off-site facility.
C — Estimate is based on mass balance calculations, such
as calculation of the amount of the EPCRA Section 313
chemical in streams entering and leaving process
equipment.
E— Estimate is based on published emission factors,
such as those relating release quantity to through-put or
equipment type (e.g., air emission factors).
O— Estimate is based on other approaches such as
engineering calculations (e.g., estimating volatilization
using published mathematical formulas) or best
engineering judgment. This would include applying an
estimated removal efficiency to a waste stream, even if
the composition of the stream before treatment was fully
identified through monitoring data.
If you transfer an EPCRA Section 313 chemical to more
than one POTW, you should report the basis of estimate
that was used to itetermine the largest percentage of the
EPCRA Section 313 chemical that was transferred.
6.2 Transfers to Other Off-Site Locations
In Section 6.2 enter the EPA Identification Number,
name, and address for each off-site location to which
your facility ships or transfers wastes containing the
reported EPCRA Section 313 chemical for the purposes
of disposal, treatment, energy recovery, or recycling.
Also estimate the quantity of the reported EPCRA
Section 313 chemical transferred and the basis upon
which the estimate was made. This would include any
residual chemicals in "empty" containers transferred off-
site. EPA expects that all containers (bags, totes, drums,
tank trucks, etc.) will have a small amount of residual
solids and/or liquids. Please see following summary of
residue quantities left in drums and tanks when emptied.
If appropriate, you must report multiple activities for
each off-site location. For example, if your facility sends
a reported EPCRA Section 313 chemical in waste to an
off-site location where some of the EPCRA Section 313
chemical is to be recycled while the remainder of the
quantity transferred is to be treated, you must report
both the waste treatment and recycle activities, along
with the quantity associated with each activity.
If your facility transfers a reported EPCRA Section 313
chemical to an off-site location and that off-site location
performs more than four activities on that chemical,
provide the necessary information in Box 6.2.1 for the off-
site facility and the first four activities. Provide the
information on the remainder of the activities in Box 6.2.2
and provide again the off-site facility identification and
location information.
If you do not ship or transfer wastes containing the
reported EPCRA Section 313 chemical to other off-site
locations, enter not applicable, NA, in the box for the off-
site location's EPA Identification Number (defined in 40
CFR 260.10 and therefore commonly referred to as the
RCRA ID Number). This number may be found on the
Uniform Hazardous Waste Manifest, which is required
by RCRA regulations. If you ship or transfer wastes
containing an EPCRA Section 313 chemical and the off-
site location does not have an EPA Identification Number
(e.g., it does not accept RCRA hazardous wastes or the
wastes in question are not classified as hazardous), enter
NA in the box for the off-site location EPA Identification
Number. If you ship or transfer the reported EPCRA
Section 313 chemical in wastes to another country, enter
the Federal Information Processing Standards (FIPS) code
for that country in the county field of the address for the
Toxics Release Inventory Reporting Forms and Instructions 39
-------
227
Instructions for Completing Part II of EPA Form R
Example 12: Stormwater Runoff
Your facility is located in a semi-arid region of the United States that has an annual precipitation (including
snowfall) of 12 inches of rain. (Snowfall should be converted to the equivalent inches of rain; assume one foot of
snow is equivalent to one inch of rain.) The total area covered by your facility is 42 acres (about 170,000 square
meters or 1,829,520 square feet). The area of your facility is 50 percent unimproved area, 10 percent asphaltic
streets, and 40 percent concrete pavement i
The total Stormwater runoff from your facility is therefore calculated as follows:
Land Use
Unimproved area
Asphaltic streets
Concrete pavement
% Total Area
50
10
40
Runoff
Coefficient
0,20
0,85
0.90
Weighted-average runoff coefficient = (50%) x (0.20) + (10%) x (0.85) + (40%) x (0.90) - 0.545
•..;:/ ' . . i
(Rainfall) x (land area) x (conversion factor) x (runoff coefficient)^ Stormwater runoff
(1 ft/year) x (1^29^20 ft1) x (7.48 gal/ft») x (0.545) = 7,458,222 gallons/year
Total stonnwater runoff • 7,458,222 gallons/year
Your Stormwater monitoring data shows that the average concentration of zinc in the Stormwater runoff from your
faculty from a biocide containing a zinc compound is 1.4 milligrams per liter. The total amount of zinc discharged
to surface water through the plant wastewater discharge (non-sformwater) is 250 pounds per year. The total
amount of zinc discharged with Stormwater is:
(7,458,222 gallons stormwater)x(3.785 liters/gallon) = 28,229,370 liters Stormwater
i
(28,229,370 Uters stormwater)x(1.4 mg zinc/liter) x 1O3 g/mg x (1/454) Ib/g = 87 Ib zinc.
The total amount of zinc discharged from all sources of your facility is:
250 pounds zinc from wastewater discharged
+87 pounds zinc from Stormwater runoff
337 pounds zinc total water discharged
The percentage of zinc discharge through Stormwater reported in section 5.3 column C on Form is:
87/337x100 = 26%
40 Toxics Release Inventory Reporting Forms and Instructions
-------
228
Instructions for Completing Part II of EPA Form R
Example 13: Reporting Metals and Metal Category
Compounds that are Sent Off-site
A facility manufactures a product containing
elemental lead. Various metal fabrication operations
for the process produce a wastewater stream that
contains some residual lead and off-specification lead
material. The wastewater is collected and sent
directly to a POTW. Periodic monitoring data show
that 500 pounds of lead were transferred to the POTW
in the reporting year. The off-specification products
(containing lead) are collected and sent off-site to a
landfill. Sampling analyses of the product combined
with hazardous waste manifests were used to
determine that 1,200 pounds of lead in the off-spec
product were sent to the off-site landfill.
Therefore, the facility should report 500 pounds in
Section 6.1, 1200 pounds in Section 6.2 - M72 and
1,700 pounds in Section 8.1 - Quantity Released Off-
site.
Note that for EPCRA Section 313 chemicals that are
not metals or metal category compounds, the quantity
sent to POTWs and to other off-site treatment
locations should be reported in Section 8.7 —
Quantity Treated Off-site.
Country
Argentina
Belgium
Bolivia
Brazil
Canada
Chile
Columbia
Costa Rica
Cuba
Ecuador
El Salvador
France
Guatemala
Honduras
Ireland
Italy
Mexico
Nicaragua
Panama
Paraguay
Peru
Portugal
Spain
Switzerland
United Kingdom
Uruguay
Venezuela
Code
AR
BE
BL
BR
CA
CI
CO
CS
cu
EC
ES
FR
GT
HO
El
IT
MX
NU
PM
PA
PE
PO
SP
SZ
UK
UY
VE
Toxics Release Inventory Reporting Forms and Instructions 41
-------
229
Instructions for Completing Part II of EPA Form R
Summary of Residue Quantities From Pilot-Scale Experimental Study**
(weight percent of drum capacity)
Unloading
Method
Pumping
Pumping
Pouring
Pouring
Gravity
Drain
Gravity
Drain
Gravity
Drain
Vessel Type
Steel drum
Plastic drum
Bung-top
steel drum
Open-top
steel drum
Slope-bottom
steel tank
Dish-bottom
steel tank
Dish-bottom
glass-lined
tank
Value
Range
Mean
Range
Mean
Range
Mean
Range
Mean
Range
Mean
Range
Mean
Range
Mean
Material
Kerosene1
1.93 - 3.08
2.48
1.69 - 4.08
2.61
0.244 - 0.472
0.404
0.032 - 0.080
0.054
0.020 - 0.039
0.033
0.031 - 0.042
0.038
0.024 - 0.049
0.040
Water4
1.84 - 2.61
2.29
2.54 - 4.67
3.28
0.266 - 0.458
0.403
0.026 - 0.039
0.034
0.016 - 0.024
0.019
0.033 - 0.034
0.034
0.020 - 0.040
0.033
Motor Oil*
1.97-2.23
2.06
1.70-3.48
2.30
0.677-0.787
0.737
0.328 - 0.368
0.350
0.100 - 0.121
0.111
0.133 - 0.191
0.161
0.112 - 0.134
0.127
Surfactant
Solution'
3.06
3.06
Not
Available
0.485
0.485
0.089
0.089
0.048
0.048
0.058
0.058
0.040
0.040
"From "Releases During Cleaning of Equipment." Prepared by PEI Associates, Inc., for the U.S. Environmental Protection Agency,
Office of Pesticides and Toxic Substances, Washington DC, Contract No. 68-02-4248. June 30,1986.
The values listed in this table should only be applied to similar vessel types, unloading methods, and bulk fluid materials. At'
viscosities greater than 200 centipoise, the residue quantities can rise dramatically and the information on this table is not
applicable.
Tor kerosene, viscosity = 5 centipoise, surface tension = 29.3 dynes/cm2
""For water, viscosity = 4 centipoise, surface tension = 77.3 dynes/cm2
'For motor oil, viscosity = 94 centipoise, surface tension = 34.5 dynes/cm1
tor surfactanct solution, viscosity = 3 centipoise, surface tension = 31.4 dynes/cm 2
42 Toxics Release Inventory Reporting forms and Instructions
-------
230
Instructions for Completing Part II of EPA Form R
Example 14: Container Residue
You have determined that a Form R for an EPCRA Section 313 chemical must be submitted. The facility purchases
and uses one thousand 55-gallon steel drums that contain a 10% solution of the chemical. Further, it is assumed
that the physical properties of the solution are similar to water. The solution is pumped from the drums directly
into a mixing vessel and the "empty" drums are triple-rinsed with water. The rinse water is indirectly discharged
to a POTW and the cleaned drums are sent to a drum reclaimer.
In this example, it can be assumed that all of the residual solution in the drums was transferred to the rinse water.
Therefore, the quantity transferred to (he drum reclaimer should be reported as "zero." The annual quantity of
residual solution that is transferred to the rinse water can be estimated by multiplying the mean weight percent of
residual solution remaining in water from pumping a steel drum by the total annual weight of solution in the drum
(density of solution multiplied by drum volume). If the density is not known, it may be appropriate to use the
density of water (8.34 pounds per gallon):
(2.29%) x (8.34 pounds/gallon) * (55 gallons/drum) * (1,000 drums)
= 10,504 pounds solution
The concentration of the EPCRA Section 313 chemical in the solution is only 10 percent.
(10,504 pounds solution) * (10%) * 1,050 pounds
Therefore, 1,050 pounds of the chemical are transferred to the POTW.
off-site facility. Enter the complete address of the non-
U.S. facility in the off-site address fields, the city in the
city field, and enter the foreign country code in the
county field. The most commonly used FIPS codes are
listed below. To obtain a FIPS code for a country not
listed here, contact the EPCRA Hotline.
6.2 Column A: Total Transfers
For each off-site location, enter the total amount, in
pounds, of the EPCRA Section 313 chemical that is
contained in the waste transferred to that location. Do
not enter the total poundage of the waste. If the total
amount transferred is less than 1,000 pounds, you may
report a range by entering the appropriate range code.
The following reporting range codes are to be used:
Code
A
B
C
Reporting Range [in pounds')
1-10
11-499
500-999
If you transfer the EPCRA Section 313 chemical in wastes
to an off-site facility for distinct and multiple purposes,
you must report those activities for each off-site location,
along with the quantify of the reported EPCRA Section
313 chemical associated with each activity. For example,
your facility transfers a total of 15,000 pounds of toluene
to an off-site location that will use 5,000 pounds for the
purposes of energy recovery, enter 7,500 pounds into a
recovery process, and dispose of the remaining 2,500
pounds. These quantities and the associated activity
codes must be reported separately in Section 6.2. (See
Figure 4 for a hypothetical Section 6.2 completed for two
off-site location, one of which receives the transfer of
15,000 pounds of toluene as detailed.) If you need to
report more than four off-site transfers (involving
different waste management) to one location, continue
reporting of these transfers by listing the same location in
the next off-site location section.
Do not double or multiple count amounts transferred off-
site. For example, when a reported EPCRA Section 313
chemical is sent to an off-site facility for sequential
activities and the specific quantities associated with each
activity are unknown, report only a single quantity (the
total quantity transferred to that off-site location) along
with a single activity code. In such a case, report the
activity applied to the majority of the reported EPCRA
Section 313 chemical sent off-site, not the ultimate
disposition of the EPCRA Section 313 chemical. For
example, when an EPCRA Section 313 chemical is first
recovered and then treated with the majority of the
EPCRA Section 313 chemical being recovered and only a
Toxics Release Inventory Reporting Forms and Instructions 43
-------
231
Instructions for Compkting Part II of EPA Form R
Figure 4
SECTION 6.2 TRANSFERS TO OTHER OFF-SITE LOCATION
6.2.!
Off-Site EPA Identification Number (RCRA No.)
Off-Site Location Name 1 . „,
1 A fmf* W
CJULObblb
aste Services
2461
Street Address' , .
1 « **n*-l»><- Ct^-^^t
City
State
Releaseville
ZipCode |
^,\J
A. Total Transfers (poundsyyear)
(enter range code or estimate)
1.
2.
3.
4.
5,000
7,500
2.500
NA
80461 b location under ct
owwi taotty or parent co
B. Basis of Estimate
(enter code)
1.O
2.C
3.0
4.
County
. ... TTill
lilll
mtrol of reporting ^ VBS [TJ No
ni(«iiy
C. Type of Waste TreatmentrOispasaV
Recydng/Energy Recovery (enter code)
1. M56
2. M20
3. M72
4. M
Hypothetical Secton 6.2 Completed for Two Off-Site Locations
This off-site location receives a transfer of 15,000 pounds of toluene and will combust 5,000 pounds for the purposes
of energy recovery, enter 7,500 pounds into a recovery process, and dispose of the remaining 2,500 pounds.
SECTION 6^ TRANSFERS TO OTHER OFF-SITE LOCATION
£t ? Off-Site EPA identification Number (RCRA No.) |
~
Off^ite Location Name
StreetAddress
*"*y ^^ /*
rri
i^w
j Combus
COL>lt»//^
tion, Inc.
4JZ
S5 Facility Road
y
ZipCode
A. Total Transfers (poundsyyear)
(enter range code or estimate)
1. 12.500
2. NA
3.
4.
o A
-------
232
Instructions for Completing Part II of EPA Form R
fraction subsequently treated, report the appropriate
recycling activity along with the quantity.
6.2 Column B: Basis of Estimate
You must identify the basis for your estimates of the
quantities of the reported EPCRA Section 313 chemical in
waste transferred to each off-site location. Enter one of
the following letter codes that applies to the method by
which the largest percentage of the estimate was derived.
M— Estimate is based on monitoring data or
measurements for the EPCRA Section 313 chemical
as transferred to an off-site facility.
C — Estimate is based on mass balance calculations, such
as calculation of the amount of the EPCRA Section
313 chemical in streams entering and leaving
process equipment.
E— Estimate is based on published emission factors,
such as those relating release quantity to throughput
or equipment type (e.g., air emission factors).
O— Estimate is based on other approaches such as
engineering calculations {e.g., estimating
volatilization using published mathematical
formulas) or best engineering judgment. This
would include applying an estimated removal
efficiency to a waste stream, even if the composition
of the stream before treatment was fully identified
through monitoring data.
6.2 Column C: Type of Waste Management: Disposal/
Treatment/Energy Recovery/Recycling
Enter one of the following M codes to identify the type of
disposal, treatment, energy recovery, or recycling
methods used by the off-site location for the reported
EPCRA Section 313 chemical. You must use more than
one line and code for a single location when distinct
quantities of the reported EPCRA Section 313 chemical
are subject to different waste management activities,
including disposal, treatment, energy recovery, or
recycling. You should use the code that, to the best of
your knowledge, represents the ultimate disposition of
the chemical.
If the EPCRA Section 313 chemical is sent off-site for
further direct reuse (e.g., an EPCRA Section 313 chemical
in used solvent that will be used as lubricant at another
facility) and does, not undergo a waste management
activity (i.e., release [including disposal], treatment,
energy recovery, or recycling [recovery]) prior to that
reuse, it need not be reported in section 6.2 or section 8.
Incineration vs. Energy Recovery
You must distinguish between incineration, which is
waste treatment, and legitimate energy recovery. For
you to claim that a reported EPCRA Section 313 chemical
sent off-site is used for the purposes of energy recovery
and not for waste treatment, the EPCRA Section 313
chemical must have a significant heating value and must
be combusted in an energy recovery unit such as an
industrial boiler, furnace, or kiln. In a situation where
the reported EPCRA Section 313 chemical is in a waste
that is combusted in an energy recovery unit, but the
EPCRA Section 313 chemical does not have a significant
heating value, e.g., CFCs, use code M54, Incineration/
Insignificant Fuel Value, to indicate that the EPCRA
Section 313 chemical was incinerated in an energy
recovery unit but did not contribute to the heating value
of the waste.
Metals and Metal Category Compounds
Metals and metal category compounds will be managed
in waste either by being released (including disposed) or
by being recycled. Remember that the release and other
waste management information that you report for metal
category compounds will be the total amount of the
parent metal released or recycled and NOT the whole
metal category compound. The metal has no heat value
and thus cannot be combusted for energy recovery and
cannot be treated because it cannot be destroyed. Thus,
transfers of metals and metal category compounds for
further waste management should be reported as either
a transfer for recycling or a transfer for disposal. The
applicable waste management codes for transfers of
metals and metal category compounds for recycling are
M24, metals recovery, M93, waste broker — recycling, or
M26, other reuse/recovery. Applicable codes for
transfers for disposal include M10, M41, M62, M71, M72,
M73, M79, M90, M94, and M99. These codes are for off-
site transfers for further waste management in which the
wastestream may be treated but the metal contained in
the wastestream is not treated and is ultimately released.
For example, M41 would be used for a metal or metal
category compound that is stabilized in preparation for
disposal.
Toxics Rekase Inventory Reporting Forms and Instructions 45
-------
233
Instructions for Compkting Part II of EPA Form R
Example 15: Calculating Releases and Other Waste Management Quantities
Your facility disposes of 14,000 pounds of lead chromate (PbCrCuPbO) in an on-site landfill and transfers 16,000
pounds of lead selenite (PbSeCX) to an off-site land disposal factluy. You would therefore be submitting three
separate reports on the following; lead compounds, selenium compounds, and chromium compounds. However,
the quantities you would be reporting would be the pounds of "parent" metal being released on-site or transferred
off-site for further waste management. All quantities are based on mass balance calculations (See Section 5, Column
B for information on Basis of Estimate and Section 6.2, Column Cjfor waste management codes and information
on transfers of EPCRA Section 313 chemicals in wastes). You would calculate releases of lead, chromium, and
selenium by first determining the percentage by weight of these metals in the materials you use as follows:
Lead Chromate (PbCrCXPbO)
Lead (2 Pb atoms)
Chromium (1 Cr atom)
Lead chromate is therefore (% by weight)
Molecular weight
Atomic weight
Atomic weight
- 546.37
- 207.2x2-414.4
• 51.996
Lead Selenite (PbSeO4)
Lead (1 Pb atom)
Selenium (1 Se atom)
(414.4/54637) - 75.85* lead and
(51.996/54637) - 9.52% jchromium
i
Molecular weight
Atomic weight
Atomic weight
350.17
207.2
78.%
Lead selenite is therefore (% by weight)
(207.2/350.17) - 59.17%! lead and
(78.96/350.17) - 22.55% selenium.
The total pounds of lead, chromium, and selenium disposed on or off-site from your facility are as follows:
Lead
Disposal on-site:
Transfer off-site for disposal:
Chromium
Disposal on-site:
Selenium
Transfer off-site for disposal:
0.7585 x 14,000 = 10,619 pounds from lead chromate
0.5917 x 16,000 - 9,467 pounds from lead selenite
0.0952 x 14,000 -1333 pounds from lead chromate
0.2255 x 16,000 = 3,608 pounds from lead selenite
Applicable codes for Part II, Section 6.2, column C are: M62
Disposal M71
M10 Storage Only M72
M41 Solidification/Stabilization - Metals and Metal M73
Category Compounds only M79
Wastewater Treatment (Excluding POTW) -
Metals and Metal Category Compounds only
Underground Injection
Landfill/Disposal Surface Impoundment
Land Treatment
Other Land Disposal
46 Toxics Release Inventory Reporting Forms and Instructions
-------
234
Instructions for Compkting Part II of EPA Form R
M90 Other Off-Site Management
M94 Transfer to Waste Broker — Disposal
M99 Unknown
Treatment
M40 Solidification/Stabilization
M50 Incineration/Thermal Treatment
M54 Incineration/Insignificant Fuel Value
M61 Wastewater Treatment (Excluding POTW)
M69 Other Waste Treatment
M95 Transfer to Waste Broker - Waste Treatment
Energy Recovery
M56 Energy Recovery
M92 Transfer to Waste Broker — Energy Recovery
Recycling
M20 Solvents/Organics Recovery
M24 Metals Recovery
M26 Other Reuse or Recovery
M28 Acid Regeneration
M93 Transfer to Waste Broker - Recycling
Section 7. On-Site Waste Treatment, Energy
Recovery, and Recycling Methods
You must report in this section the methods of waste
treatment energy recovery, and recycling applied to the
reported EPCRA Section 313 chemical in wastes on-site.
There are three separate sections for reporting such
activities.
Section 7A On-Site Waste Treatment Methods and
Efficiency
Most of the chemical-specific information required fay
EPCRA Section 313 that is reported on Form R is specific
to the EPCRA Section 313 chemical rather than the waste
stream containing the EPCRA Section 313 chemical.
However, EPCRA Section 313 does require that waste
treatment methods applied on-site to waste streams that
contain the EPCRA Section 313 chemical be reported.
This information is collected in Section 7A of Form R.
In Section 7A, you must provide the following
information if you treat the reported EPCRA Section 313
chemical on-site:
(a) The general waste stream types containing the
EPCRA Section 313 chemical being reported;
(b) The waste treatment method(s) or sequence used on
all waste streams containing the EPCRA Section 313
chemical;
(c) The range of concentration of the EPCRA Section
313 chemicals in the influent to the waste treatment
method;
(d) The efficiency of each waste treatment method or
waste treatmentsequence in destroying or removing
the EPCRA Section 313 chemical; and
(e) Whether the waste treatment efficiency figure was
based on actual operating data.
Use a separate line in Section 7A for each general waste
stream type. Report only information about treatment of
waste streams at your facility, not information about off-
site waste treatment.
If you do not perform on-site treatment of waste streams
containing the reported EPCRA Section 313 chemical,
check the Not Applicable (NA) box at the top of Section
7A.
7A Column A: General Waste Stream
For each waste treatment method, indicate the type of
waste stream containing the EPCRA Section 313 chemical
that is treated. Enter the letter code that corresponds to
the general waste stream type:
A Gaseous (gases, vapors, airborne particulates)
W Wastewater (aqueous waste)
L Liquid waste streams (non-aqueous waste)
S Solid waste streams (including sludges and slurries)
If a waste is a mixture of water and organic liquid and
the organic content is less than 50 percent, report it as a
wastewater (W). Slurries and sludges containing water
must be reported as solid waste if they contain
appreciable amounts of dissolved solids, or solids that
may settle, such that the viscosity or density of the waste
is considerably differentfrom that of process wastewater.
7A Column B: Waste Treatment Method(s)
Sequence
Enter the appropriate waste treatment code from the list
below for each on-site waste treatment method used on
a waste stream containing the EPCRA Section 313
chemical, regardless of whether the waste treatment
method actually removes the specific EPCRA Section 313
chemical being reported. Waste treatment methods must
be reported for each type of waste stream being treated
Toxics Release Inventory Reporting Forms and Instructions 47
-------
235
Instructions for Completing Part II of EPA Form R
{i.e., gaseous waste streams, aqueous waste streams,
liquid non-aqueous waste streams, and solids). Except
for the air emission treatment codes, the waste treatment
codes are not restricted to any medium.
Waste streams containing the EPCRA Section 313
chemical may have a single source or may be aggregates
of many sources. For example, process water from
several pieces of equipment at your facility may be
combined prior to waste treatment. Report waste
treatment methods that apply to the aggregate waste
stream, as well as waste treatment methods that apply to
individual waste streams. If your facility treats various
wastewater streams containing the EPCRA Section 313
chemical in different ways, the different waste treatment
methods must be listed separately.
If your facility has several pieces of equipment
performing a similar service in a waste treatment
sequence, you may combine the reporting for such
equipment. It is not necessary to enter four codes to
cover four scrubber units, for example, if all four are
treating waste streams of similar character (e.g., sulfuric
acid mist emissions), have similar influent
concentrations, and have similar removal efficiencies. If,
however, any of these parameters differs from one unit
to the next, each scrubber must be listed separately.
If your facility performs more than eight sequential waste
treatment methods on a single general waste stream,
continue listing the methods in the next row and
renumber appropriately those waste treatment method
code boxes you used to continue the sequence. For
example, if the general waste stream in box 7A.la had
nine treatment methods applied to it, the ninth method
would be indicated in the first method box for row
7A.2a. The numeral "1" would be crossed out, and a "9"
would be inserted.
Treatment applied to any other general waste stream
types would then be listed in the next empty row. In the
scenario above, for instance, the second general waste
stream would be reported in row 7A.3a. See Figure 5 for
an example of a hypothetical Section 7A completed for a
nine-step waste treatment process and a single waste
treatment method.
If you need additional space to report under Section 7A,
photocopy page 4 of Form R as many times as necessary.
At the bottom of page 4 you will find instructions for
indicating the total number of page 4s that you are
submitting as part of Form R, as well as instructions fo:
indicating the sequence of those pages.
Waste Treatment Codes
Air Emissions Treatment (applicable to gaseous
waste streams only)
A01 Flare
A02 Condenser
A03 Scrubber
A04 Absorber
A05 Electrostatic Precipitator
A06 Mechanical Separation
A07 Other Air Emission Treatment
Biological Treatment
Bll Aerobic
B21 Anaerobic
B31 Facultative
B99 Other Biological Treatment
Chemical Treatment
C01 Chemical Precipitation — Lime or Sodium
Hydroxide
C02 Chemical Precipitation — Sulfide
C09 Chemical Precipitation — Other
Cll Neutralization
C21 Chromium Reduction
C31 Complexed Metals Treatment (other than pH
adjustment)
C41 Cyanide Oxidation — Alkaline Chlorination
C42 Cyanide Oxidation — Electrochemical
C43 Cyanide Oxidation - Other
C44 General Oxidation (including Disinfection) —
Chlorination
C45 General Oxidation (including Disinfection) —
Ozonation
C46 General Oxidation (including Disinfection) —
Other
C99 Other Chemical Treatment
Incineration/Thermal Treatment
F01 Liquid Injection
Fll Rotary Kiln with Liquid Injection Unit
F19 Other Rotary Kiln
F31 Two Stage
F41 Fixed Hearth
48 Toxics Release Inventory Reporting Forms and Instructions
-------
236
Instructions for Completing Part II of EPA form R
F42 Multiple Hearth
F51 Fluidized Bed
F61 Infra-Red
F71 Fume/ Vapor
F81 Pyrolytic Destructor
F82 Wet Air Oxidation
F83 Thermal Drying/Dewatering
F99 Other Incineration/Thermal Treatment
Physical Treatment
P01 Equalization
P09 Other Blending
Pll Settling/Clarification
P12 Filtration
P13 Sludge Dewatering (non-thermal)
P14 Air Flotation
P15 Oil Skimming
P16 Emulsion Breaking — Thermal
PI 7 Emulsion Breaking — Chemical
P18 Emulsion Breaking — Other
P19 Other Liquid Phase Separation
P21 Adsorption — Carbon
P22 Adsorption — Ion Exchange (other than for
recovery/ reuse)
P23 Adsorption — Resin
P29 Adsorption - Other
P31 Reverse Osmosis (other than for
recovery/ reuse)
P41 Stripping — Air
P42 Stripping - Steam
P49 Stripping - Other
P51 Acid Leaching (other than for recovery/reuse)
P61 Solvent Extraction (other than recovery/reuse)
P99 Other Physical Treatment
Solidification/Stabilization
G01 Cement Processes (including silicates)
G09 Other Pozzolonic Processes (including silicates)
Gil Asphaltic Processes
G21 Thermoplastic Techniques
G99 Other Solidification Processes
7A Column C: Range of Influent Concentration
The form requires an indication of the range of
concentration of the EPCRA Section 313 chemical in the
waste stream (i.e., the influent) as it typically enters the
waste treatment step or sequence. The concentration is
based on the amount or mass of the EPCRA Section 313
chemical in the waste stream as compared to the total
amount or mass of the waste stream. Enter in the space
provided one of the following code numbers
corresponding to the concentration of the EPCRA Section
313 chemical in the influent:
1 = Greater than 10,000 parts per million (1 percent)
2 = 100 parts per million (0.01 percent) to 10,000 parts
per million (1 percent)
3 = 1 part per million (0.0001 percent) to 100 parts per
million (0.01 percent)
4 = 1 part per billion to 1 part per million
5 = Less than 1 part per billion
Note: Parts per million (ppm) is:
• milligrams/kilogram (mass/mass) for solids and
liquids;
• cubic centimeters/cubic meter (volume/volume)
for gases;
• milligrams/liter for solutions or dispersions of the
chemical in water; and
• milligrams of chemical/ kilogram of air for
particulates in air.
If you have particulate concentrations (at standard
temperature and pressure) as grains/cubic foot of air,
multiply by 1766.6 to convert to parts per million; if in
milligrams/cubic meter, multiply by 0.773 to obtain parts
per million. These conversion factors are for standard
conditions of 0° C (32° F) and 760 mm Hg atmospheric
pressure.
7A Column D: Waste Treatment Efficiency Estimate
In the space provided, enter the number indicating the
percentage of the EPCRA Section 313 chemical removed
from the waste stream through destruction, biological
degradation, chemical conversion, or physical removal.
The waste treatment efficiency (expressed as percent
removal) represents the percentage of the EPCRA Section
313 chemical destroyed or removed (based on amount or
mass), not merely changes in volume or concentration of
the EPCRA Section 313 chemical in the waste stream.
The efficiency, which can reflect the overall removal from
sequential treatment methods applied to the general
waste stream, refers only to the percent destruction,
degradation, conversion, or removal of the EPCRA
Section 313 chemical from the waste stream, not the
percent conversion or removal of other constituents in
the waste stream. The efficiency also does not refer to the
general efficiency of the treatment method for any waste
stream. For some waste treatment methods, the percent
Toxics Release Inventory Reporting Forms and Instructions 49
-------
237
Instructions for Completing Part II of EPA Form R
removal will represent removal by several mechanisms,
as in an aeration basin, where an EPCRA Section 313
chemical may evaporate, biodegrade, or be physically
removed from the sludge.
Percent removal can be calculated as follows:
where:
I = amount of the EPCRA Section 313 chemical in
the influent waste stream {entering the waste treatment
step or sequence) and
E = amount of the EPCRA Section 313 chemical in
the effluent waste stream (exiting the waste treatment
step or sequence).
Calculate the amount of the EPCRA Section 313 chemical
in the influent waste stream by multiplying the
concentration (by weight) of the EPCRA Section 313
chemical in the waste stream by the total amount or
weight of the waste stream. In most cases, the percent
removal compares the treated effluent to the influent for
the particular type of waste stream. For solidification of
wastewater, the waste treatment efficiency can be
reported as 100 percent if no volatile EPCRA Section 313
chemicals were removed with the water or evaporated
into the air. Percent removal does not apply to
incineration because the waste stream, such as
wastewater or liquids, may not exist in a comparable
form after waste treatment and the purpose of
incineration as a waste treatment is to destroy the
EPCRA Section 313 chemical by converting it to carbon
dioxide and water or other byproducts. In cases where
the EPCRA Section 313 chemical is incinerated, the
percent efficiency must be based on the amount of the
EPCRA Section 313 chemical destroyed or combusted,
except for metals or metal category compounds. In the
cases in which a metal or metal category compound is
incinerated, the efficiency is always zero for the parent
metal.
Similarly, an efficiency of zero must be reported for any
waste treatment method(s) (e.g., evaporation) that does
not destroy, chemically convert or physically remove the
EPCRA Section 313 chemical from the waste stream.
For metal category compounds, the calculation of the
reportable concentration and waste treatment efficiency
must be based on the weight of the parent metal, not on
the weight of the metal compound. Metals are not
destroyed, only physically removed or chemically |
converted from one form into another. The waste
treatment efficiency reported must represent only
physical removal of the parent metal from the waste
stream (except for incineration), not the percent chemical
conversion of the metal compound. If a listed waste
treatment method converts but does not remove a metal
(e.g., chromium reduction), the method must be reported
with a waste treatment efficiency of zero.
EPCRA Section 313 chemicals that are strong mineral
acids neutralized to a pH of 6 or above are considered
treated at a 100 percent efficiency.
All data readily available at your facility must be used to
calculate waste treatment efficiency and influent EPCRA
Section 313 chemical concentration. If data are lacking,
estimates must be made using best engineering judgment
or other methods.
7A Column E: Based on Operating Data?
This column requires you to indicate "Yes" or "No" to
whether the waste treatment efficiency estimate is based
on actual operating data. For example, you would check
"Yes" if the estimate is based on monitoring of influent
and effluent wastes under typical operating conditions.
If the efficiency estimate is based on published data for
similar processes or on equipment supplier's literature,
or if you otherwise estimated either the influent or
effluent waste comparison or the flow rate, check "No."
Section 7B On-Site Energy Recovery Processes
In Section 7B, you must indicate the on-site energy
recovery methods used on the reported EPCRA Section
313 chemical. If you do not perform on-site energy
recovery for the reported EPCRA Section 313 chemical,
check the Not Applicable (NA) box at the top of Section
7B.
Only EPCRA Section 313 chemicals that have a
significant heating value and are combusted in an energy
recovery unit such as an industrial furnace, kiln, or
boiler, can be reported as combusted for energy recovery
in this section. If a reported EPCRA Section 313 chemical
is incinerated on-site but does not contribute energy to
the process (e.g., chlorofluorocarbons), it must be
considered waste treated on-site and reported in Section
7A. Metals and metal category compounds cannot be
50 Toxics Release Inventory Reporting Forms and Instructions
-------
238
Instructions for Completing Part II of EPA Form R
Example 16: On-Site Waste Treatment
A process at the facility generates a wastewater stream containing an EPCRA Section 313 chemical (chemical A).
A second process generates a wastewater stream containing two EPCRA Section 313 chemicals, a metal (chemical
B) and a mineral acid (chemical C). Thresholds for all three chemicals have been exceeded and you are in the
process of completing separate Form Rs for each chemical.
These two wastewater streams are combined and sent to an on-site wastewater treatment system before being
discharged to a POTW. This system consists of an oil/water separator that removes 99% of chemical A; a
neutralization tank in whkh the pH is adjusted to 7.5, thereby destroying 100% of the mineral acid (chemical C);
and a settling tank where 95% of the metal (chemical B) is removed from the water (and eventually landfilled off-
site).
Section 7A should be completed slightly differently when you file the Form R for each of the chemicals. The table
accompanying this example shows how Section 7A should be completed for each chemical. First on each Form R
you should identify the type of waste stream in Section 7A.la as wastewater (aqueous waste, code W). Next on
each Form R you should list the code for each of the treatment steps that is applied to the entire waste stream,
regardless of whether the operation affects the chemical for which you are completing the Form R (for instance,
the first four blocks of Section 7A.lb of all three Form Rs should show: PI9 (liquid phase separation), Cll
(neutralization), Pll (settling/clarification), and N/A (to signify the end of the treatment system). Note that
Section 7A.lb is the only section of the Form R that is not chemical specific. It applies to the entire waste stream
being treated. Section 7A.lc of each Form R should show the concentration of the specific chemical in the influent
to the first step of the process (oil/water separation). For this example, assume chemicals A, B, and C are all
present at concentrations greater than 1%. Therefore, code "1" should be entered. Section 7A.ld is also chemical
specific. It applies to the efficiency of the entire system in destroying and/or removing the chemical for which you
are preparing the Form R. You should enter 99% when filing for chemical A, 95% for chemical B, and 100% for
chemical C. Finally, you should report whether the influent concentration and efficiency estimates are based on
operating data for each chemical, as appropriate.
Chemical A
7A.lc
7A.ld
99 %
7A.le
Yes
X
No
Chemical B
7A.lc
7A.ld
95 %
7A.le
Yes No
X
Chemical C
7A.U
7A.lc
7A.ld
100 %
7A.le
Yes
X
No
Toxics Rekase Inventory Reporting Forms and Instructions 51
-------
239
Instructions for Completing Part II of EPA Form R
Note that the quantity removed and/or destroyed is not reported in Section 7 and that the efficiency reported in
Section 7A.ld refers to the amount of EPCRA Section 313 chemical destroyed and/or removed from the applicable
waste stream. The amount actually destroyed should be reported in Section 8.6 (quantity treated on-site). For
example, when completing the Form R for Chemical B you shouitl report "0" pounds in Section 8.6 because the
metal has been removed from the wastewater stream, but not actually destroyed. The quantity of Chemical B that
is ultimately landfilled off-site should be reported in Sections 6.2 and 8.1. However, when completing the Form
R for Chemical C you should report the entire quantity in Section 8.6 because raising the pH to 75 will completely
destroy the mineral acid.
Example 17: Reporting On-Site Energy Recovery
One waste stream generated by you r facility contains,
among other chemicals, toluene and Freon 113.
Threshold quantities are exceeded for both of these
EPCRA Section 313 chemicals, and you would,
therefore, submit two separate Form R reports. This
waste stream is sent to an on-site industrial furnace
that uses the heat generated ina thermalhydrocarbon
cracking process at your facility. Because toluene has
a significant heat value (17/440 BTU/pound) and the
energy is recovered in an industrial furnace, the code
"U02" would be reported in Section 7B for the Form
R submitted for toluene.
However, as Freon 113 does not contribute any value
for energy recovery purposes, the combustion of
Freon 113 in the industrial furnace is considered
waste treatment, not energy recovery. You would
report Freon 113 as entering a waste treatment step
(i.e., incineration), in Section 7A, column b.
combusted for energy recovery and should NOT be
reported in this section. Energy recovery may take place
only in an industrial kiln, furnace, or boiler.
Energy Recovery Codes
U01 Industrial Kiln
U02 Industrial Furnace
U03 Industrial Boiler
U09 Other Energy Recovery Methods
If your facility uses more than one on-site energy
recovery method for the reported EPCRA Section 313
chemical, list the methods used in descending order
(greatest to least) based on the amount of the EPCRA
Section 313 chemical entering such methods.
Section 7C On-Site Recycling Processes
In Section 7C, you must report the recycling methods
used on the EPCRA Section 313 chemical. If you do not
conduct any on-site recycling of the reported EPCRA
Section 313 chemical, check the Not Applicable (NA) box
at the top of Section 7C.
In this section, use the codes below to report only the
recycling methods in place at your facility that are
applied to the EPCRA Section 313 chemical. Do not list
any off-site recycling activities (Information about off-site
recycling must be reported in Part II, Section 6,
"Transfers of the Toxic Chemical in Wastes to Off-Site
Locations.")
On-Site Recycling Codes
Rll Solvents/Organics Recovery —BatchStill
Distillation
R12 Solvents/Organics Recovery — Thin-Film
Evaporation
R13 Solvents/Organics Recovery — Fractionation
R14 Solvents/Organics Recovery — Solvent
Extraction
R19 Solvents/Organics Recovery - Other
R21 Metals Recovery — Electrolytic
R22 Metals Recovery — Ion Exchange
R23 Metals Recovery — Acid Leaching
R24 Metals Recovery — Reverse Osmosis
R26 Metals Recovery — Solvent Extraction
R27 Metals Recovery — High Temperature
R28 Metals Recovery — Retorting
R29 Metals Recovery — Secondary Smelting
R30 Metals Recovery - Other
R40 Acid Regeneration
R99 Other Reuse or Recovery
If your facility uses more than one on-site recycling
method for an EPCRA Section 313 chemical, enter the
codes in the space provided in descending order
(greatest to least) of the volume of the reported EPCRA
Section 313 chemical recovered by each process. If your
52 Toxics Rekase Inventory Reporting Forms and Instructions
-------
240
Instructions far Completing Part II of EPA Form R
facEity uses more than ten separate methods for recycling
the reported EPCRA Section 313 chemical on-site, then
list the ten activities that recover the greatest amount of
the EPCRA Section 313 chemical (again, in descending
order).
Section 8. Source Reduction and Recycling
Activities
This section includes the data elements mandated by
section 6607 of the Pollution Prevention Act of 1990
(PPA). Section 8 is a required section of Form R and
must be completed.
In Section 8, you must provide information about source
reduction activities and quantities of the EPCRA Section
313 chemicals managed as waste. For all appropriate
questions, report only the quantity, in pounds, of the
reported EPCRA Section 313 chemical itself. Do not
include the weight of water, soil, or other waste
constituents. When reporting on the metal compound
categories, report only the amount of the parent metal as
you do when estimating release amounts.
Sections 8.1 through 8.9 must be completed for each
EPCRA Section 313 chemical. Section 8.10 must be
completed only if a source reduction activity was newly
implemented specifically {in whole or in part) for the
reported EPCRA Section 313 chemical during the
reporting year. Section 8.11 allows you to indicate if you
have attached additional optional information on source
reduction, recycling, or pollution control activities
implemented at any time at your facility.
Sections 8.1 through 8.7 require reporting of quantities
for the current reporting year, the prior year, and
quantities anticipated in both the first year immediately
following the reporting year and the second year
following the reporting year (future estimates).
Beginning with the 1995 reporting year, facilities can use
applicable, "MA," in Sections 8.1 through 8.7 to indicate
that there is no on-site or off-site recycling, energy
recovery, treatment, or release.
Column A: Prior Year
Quantities for Sections 8.1 through 8.7 must be reported
for the year immediately preceding the reporting year in
column A. For reports due July 1, 2000 (reporting year
1999), the prior year is 1998. Information available at the
facility that may be used to estimate the prior year's
quantities include the prior year's Form R submission,
supporting documentation, and recycling, energy
recovery, treatment, or disposal operating logs or
invoices.
Column B: Current Reporting Year
Quantities for Sections 8.1 through 8.7 must be reported
for the current reporting year (1999) in column B.
Columns C and D: Following Year and Second
Following Year
Quantities for Sections 8.1 through 8.7 must be estimated
for 2000 and 2001. EPA expects reasonable future
quantity estimates using a logical basis. Information
available at the facility to estimate quantities of the
chemical expected during these years include planned
source reduction activities, market projections, expected
contracts, anticipated new product lines, company
growth projections, and production capacity figures.
Respondents should take into account protections
available for trade secrets as provided in EPCRA Section
322 (42 USC11042) for the chemical identity.
Relationship to Other Laws
The reporting categories for quantities recycled, used for
energy recovery, treated, and disposed apply to
completing Section 8 of Form R as well as to the rest of
Form R. These categories are to be used only for TRI
reporting. They are not intended for use in determining,
under the Resource Conservation and Recovery Act
(RCRA) Subtitle C regulations, whether a secondary
material is a waste when recycled. These definitions also
do not apply to the information that may be submitted in
the Biennial Report required under RCRA. In addition,
these definitions do not imply any future redefinition of
RCRA terms and do not affect EPA's RCRA authority or
authority under any other statute administered by EPA.
Differences in terminology and reporting requirements
for EPCRA Section 313 chemicals reported on Form R
and for hazardous wastes regulated under RCRA occur
because EPCRA and the PPA focus on specific chemicals,
while the RCRA regulations and the Biennial Report
focus on waste streams that may include more than one
chemical. For example, a RCRA hazardous waste
containing an EPCRA Section 313 chemical is recycled to
recover certain constituents of that waste, but not the
toxic chemical reported under EPCRA section 313. The
Toxics Release Inventory Reporting Forms and Instructions 53
-------
241
Instructions for Completing Part II of EPA Form R
EPCRA Section 313 chemical simply passes through the
recycling process and remains in the residual from the
recycling process, which is disposed. While the waste
may be considered recycled under RCRA, the EPCRA
Section 313 chemical constituent would be considered to
be disposed for TRI purposes.
Example 18: Repotting Future Estimates
A pharmaceutical manufacturing facility uses an
EPCRA Section 313 chemical in the manufacture of a
prescription drug. During the reporting year (1999),
the company received approval from the Food and
Drug Administration to begin marketing their
product as an over-the-counter drug beginning in
2000. This approval is publicly known and does not
constitute confidential business information. As a
result of this expanded market, the company
estimates mat sales and subsequent production of this
drug will increase their use of the reported EPCRA
Section 313 chemical by 30 percent per year for the
two years following the reporting year. The facility
treats the EPCRA Section 313 chemical on-site and the
quantity treated is directly proportional to production
activity. The facility thus estimates the total quantity
of the reported EPCRA Section 313 chemical treated
for the following year (2000) by adding 30 percent to
the amount in column 6 (the amount for the current
reporting year). The second following year (2001)
figure can be calculated by adding an additional 30
percent to the amount reported in column C (the
amount for tine following year (2000) projection).
Quantities Reportable in Sections 8.1 - 8.7
Section 8 of Form R uses data collected to complete Part
II, Sections 5 through 7. For this reason. Section 8 should
be completed last. Sections 8.1, 8.3, 8.5, 8.7, and 8.8 use
data collected to complete sections 5 and 6 of Form R.
The relationship between sections 5,6, and 8.8 to sections
8.1, 8.3, 8.5, and 8.7 are provided below in equation
form.
Section 8.1. Report releases pursuant to EPCRA Section
329(8) including "any spilling, leaking, pumping,
pouring, emitting, emptying, discharging, injecting,
escaping, leaching, dumping, or disposing [on-site or off-
site] into the environment (including the abandonment of
barrels, containers, and other closed receptacles)." This
includes on-site releases in section 5 and off-site releases
(including disposal) in section 6, but excludes quantities
reported in sections 5 and 6 due to remedial
catastrophic events, or non-production related
(see the discussion on section 8.8.)
Metals and metal category compounds reported, 1) in
section 6.2 as sent off-site for stabilization/ solidification
(M41-metak) or wastewater treatment (excluding
POTWs) (M62-metaIs) and/or, 2) in section 6.1 —
discharges to POTWs should be reported in section 8.1.
These quantities should NOT be reported in section 8.7
because the metals are ultimately disposed.
§ 8.1 = § 5 + § 6.2 (disposal) + g 6.1 (metals and metal
category compounds only) - §8.8 (on-site release or
off-site disposal due to catastrophic events)1
Sections 8.2 and 8.3. These relate to a EPCRA Section
313 chemical or a mixture containing an EPCRA Section
313 chemical that is used for energy recovery on-site or
is sent off-site for energy recovery, unless it is a
commercially available fuel ( e.g., fuel oil no. 6). For the
purposes of reporting on Form R, reportable on-site and
off-site energy recovery is the combustion of a waste
containing an EPCRA Section 313 chemical when:
(a) The combustion unit is integrated into an energyVB
recovery system (i.e., industrial furnaces, industrial
kilns, and boilers); and
(b) The EPCRA Section 313 chemical is combustible and
has a significant heating value (e.g., 5000 BTU)
§ 8.2 is reported in section 8 only
§ 8.3 = § 6.2 (energy recovery) - §8.8 (off-site energy
recovery due to catastrophic events)1
Sections 8.4 and 8.5. These relate to an EPCRA Section
313 chemical in a waste that is recycled on-site or is sent
off-site for recycling.
g 8.4 is reported in section 8 only
§ 8.5 = § 6.2 (recycling) - § 8.8 (off-site recycling due to
catastrophic events)1
'§8.8 includes quantities of toxic chemical released on-site
or managed as waste off-site due to remedial actions, catastrophic
events, or one-time events not associated with the production
processes.
54 Toxics Release Inventory Reporting Forms and Instructions
-------
242
Instructions for Completing Part II of EPA Form R
Section 8.6 and 8.7. These relate to an EPCRA Section
313 chemical (except for metals and metal category
compounds) or a mixture containing an EPCRA Section
313 chemical that is treated on-site or is sent to a POTW
or other off-site location for waste treatment.
§ 8.6 is reported in section 8 only
§ 8.7 = § 6.1 (excluding metaVmetal category
compounds) + § 6.2 (treatment) -§8.8 (off-site treatment
due to catastrophic events)1
An EPCRA Section 313 chemical or an EPCRA Section
313 chemical in a mixture that is a waste under RCRA
must be reported in Sections 8.1 through 8.7.
8.8 Quantity Released to the Environment as a
Result of Remedial Actions, Catastrophic Events,
or One-Time Events Not Associated with
Production Processes
In Section 8.8, enter the total quantity of EPCRA Section
313 chemical released directly into the environment or
sent off-site for recycling, energy recovery, treatment, or
disposal during the reporting year due to any of the
following events:
(1) remedial actions;
(2) catastrophic events such as earthquakes, fires, or
floods; or
(3) one-time events not associated with normal or
routine production processes.
These quantities should not be included in Sections 8.1
through 8.7
The purpose of this section is to separate quantities
recycled, used for energy recovery, treated, or disposed
that are associated with normal or routine production
operations from those that are not While all quantities
released, recycled, treated, or disposed may ultimately be
preventable, this section separates the quantities that are
more likely to be reduced or eliminated by
process-oriented source reduction activities from those
releases that are largely unpredictable and are less
amenable to such source reduction activities. For
example, spills that occur as a routine part of production
operations and could be reduced or eliminated by
improved handling, loading, or unloading procedures are
included in the quantities reported in Section 8.1 through
8.7 as appropriate. A total loss of containment resulting
from a tank rupture caused by a tornado would be
• included in the quantity reported in Section 8.8.
Similarly, the amount of an EPCRA Section 313 chemical
cleaned up from spills resulting from normal operations
during the reporting year would be included in the
quantities reported in Sections 8.1 through 8.7. However,
the quantity of the reported EPCRA Section 313 chemical
generated from a remedial action (e.g., RCRA corrective
action) to clean up the environmental contamination
resulting from past practices should be reported in
Section 8.8 because they cannot currently be addressed
by source reduction methods. A remedial action for
purposes of Section 8.8 is a waste cleanup (including
RCRA and CERCA operations) within the facility
boundary. Most remedial activities involve coEecting
and treating contaminated material.
Also, releases caused by catastrophic events are to be
incorporated into the quantity reported in Section 8.8.
Such releases may be caused by natural disasters (e.g.,
hurricanes and earthquakes) or by large-scale accidents
(e.g., fires and explosions). In addition, releases due to
one-time events not associated with production (e.g.,
terrorist bombing) are to be included in Section 8.8.
These amounts are not included in the quantities
reported in Sections 8.1 through 8.7 because such releases
are generally unanticipated and cannot be addressed by
routine process-oriented accident prevention techniques
By checking your documentation for calculating
estimates made for Part II, Section 5, "Quantity of the
Toxic Chemical Entering Each Environmental Medium
On-site," you may be able to identify release amounts
from the above sources. Emergency notifications under
CERCA and EPCRA as well as accident histories
required under the Clean Air Act may provide useful
information. You should also check facility incident
reports and maintenance records to identify one-time or
catastrophic events.
Note: While the information reported in Section 8.8
represents only remedial, catastrophic, or one-time
events not associated with production processes, Section
5 of Form R (on-site releases to the environment) and
Section 6 (off-site transfers for further waste
management), must include all on-site releases and
transfers as appropriate, regardless of whether they arise
from catastrophic, remedial, or routine process
operations.
Toxics Release Inventory Reporting Forms and Instructions 55
-------
243
Instructions for Completing Part II of EPA Form R
Example 19: Quantity Released to the Environment as a Result of Remedial Actions, Catastrophic Events, or
One-Time Events Not Associated with Production Processes.
A chemical manufacturer produces an EPCRA Section 313 chemical in a reactor that operates at low pressure. The
reactants and the EPCRA Section 313 chemical product are piped in and out of the reactor at monitored and
controlled temperatures. During normal operations, small amounts of fugitive emissions occur from the valves
and flanges in the pipelines.
Due to a malfunction in the control panel (which is state-of-the-art and undergoes routine inspection and
maintenance), the temperature and pressure in the reactor-increase, the reactor ruptures, and the EPCRA Section
313 chemical is released. Because the malfunction could not be anticipated and, therefore, could not be reasonably
addressed by specific source reduction activities, the amount released is included in Section 8.8. In this case, much
of the EPCR A Section 313 chemical is released as a liquid and pools; on the ground. It is estimated that 1,000 pounds
of the EPCRA Section 313 chemical pooled on the ground and was subsequently collected and sent off-site for
treatment. In addition, it is estimated that another 200 pounds of the EPCRA Section 313 chemical vaporized
directly to the air from the rupture. The total amount reported in Section 8.8 is the 1,000 pounds that pooled on
the ground (and subsequently sent off-site), plus the 200 pounds that vaporized into the air, a total of 1,200 pounds.
The quantify sent off-site must also be reported in Section 6 (but not in Section 8.7) and the quantity that vaporized
must be reported as a fugitive emission in Section 5 (but not in Section 8.1).
Avoid Double-Counting in Sections 8.1 Through 8.8
Do not double- or multiple-count quantities in Sections
8.1 through 8.7. The quantities reported in each of those
sections must be mutually exclusive. Do not
multiple-count quantities entering sequential reportable
activities.
Do not include in Sections 8.1 through 8.7 any quantities
of the EPCRA Section 313 chemical released into the
environment due to remedial actions; catastrophic events
such as earthquakes, fires, or floods; or unanticipated
one-time events not associated with the production
process such as a drunk driver crashing his/her car into
a drum storage area. These quantities should be
reported in Section 8.8 only. For example, 10,000 pounds
of diaminoanisole sulfate is released due to a catastrophic
event and is subsequently treated off-site. The 10,000
pounds is reported in Section 8.8, but the amount
subsequently treated off-site is not reported in Section
8.7.
8.9 Production Ratio or Activity Index
For Section 8.9, you must provide a ratio of reporting
year production to prior year production, or provide an
"activity index" based on a variable other than
production that is the primary influence on the quantity
of the reported EPCRA Section 313 chemical recycled,
used for energy recovery, treated, or released. The ratio
or index must be reported to the nearest tenths or
hundredths place (i.e., one or two digits to the right of
the- decimal point). If the manufacture or use of the
reported EPCRA Section 313 chemical began during the(
current reporting year, enter not applicable, "NA," as the
production ratio or activity index. Note, this is not to be
reported as a percent (i.e., report 1.10 for a 10% increase,
not 110%).
It is important to realize that if your facility reports more
than one reported EPCRA Section 313 chemical, the
production ratio or activity index may vary for different
chemicals. For facilities that manufacture reported
EPCRA Section 313 chemicals, the quantities of the
EPCRA Section 313 chemical(s) produced in the current
and prior years provide a good basis for the ratio because
that is the primary business activity associated with the
reported EPCRA Section 313 chemical(s). In most cases,
the production ratio or activity index must be based on
some variable of production or activity rather than on
EPCRA Section 313 chemical or material usage. Indices
based on EPCRA Section 313 chemical or material usage
may reflect the effect of source reduction activities rather
than changes in business activity. EPCRA Section 313
chemical or material usage is therefore not a basis to be
used for the production ratio or activity index where the
EPCRA Section 313 chemical is "otherwise-used" (i.e.,
non-incorporative activities such as extraction solvents,
metal degreasers, etc.).
56 Toxics Release Inventory Reporting Forms and Instructions
-------
244
Instructions far Completing Part II of EPA Form R
Example 20: Avoiding Double-Counting
Quantities in Sections 8.1 through 8.7
For example, 5,000 pounds of an EPCRA Section 313
chemical enters a treatment operation. Three
thousand pounds of the EPCRA Section 313 chemical
exits the treatment operation and then enters a
recycling operation. Five hundred pounds of the
EPCRA Section 313 chemical are in residues from the
recycling operation that is subsequently sent off-site
for disposal. These quantities would be reported as
follows in Section 8:
Section 8.1:500 pounds disposed
Section 8.4:2,500 pounds recycled
Section 8.6:2,000 pounds treated (5,000 that initially
entered - 3,000 that subsequently
entered recycling)
To report tliat 5,000 pounds were treated, 3,000 pounds
were recycled, and that 500 pounds were sent off-site for
disposal would result in over-counting the quantities of
EPCRA Section 313 chemical recycled, treated, and
disposed by 3,500 pounds.
While several methods are available to the facility for
determining this data element, the production ratio or
activity index must be based on the variable that most
directly affects the quantities of the EPCRA Section 313
chemical recycled, used for energy recovery, treated, or
released. Examples of methods available include:
(1) Amount of EPCRA Section 313 chemical
manufactured in 1998 divided by the amount of
EPCRA Section 313 chemical manufactured in 1997;
or
(2) Amount of product produced in 1998 divided by the
amount of product produced in 1997.
8.10 Did Your Facility Engage in Any Source Reduction
Activities for This Chemical During the Reporting
Year?
If your facility engaged in any source reduction activity
for the reported EPCRA Section 313 chemical during the
reporting year, report the activity that was implemented
and the method used to identify the opportunity for the
activity implemented. If your facility did not engage in
any source reduction activity for the reported EPCRA
Section 313 chemical, enter not applicable, "NA," in
Section 8.10.1 and"answer Section 8.11.
Source reduction means any practice that:
Q Reduces the amount of any hazardous substance,
pollutant, or contaminant enter ing any waste stream
or otherwise released into the environment
(including fugitive emissions) prior to recycling,
energy recovery, treatment, or disposal; and
3 Reduces the hazards to public health and the
environment associated with the release of such
substances, pollutants, or contaminants.
The term includes equipment or technology
modifications, process or procedure modifications,
reformulation or redesign of products, substitution of
raw materials, and improvements in housekeeping,
maintenance, training, or inventory control.
The term source reduction does not include any practice
that alters the physical, chemical, or biological
characteristics or the volume of a hazardous substance,
pollutant, or contaminant through a process or activity
that itself is not integral to and necessary for the
production of a product or the providing of a service.
Source reduction activities do not include recycling,
using for energy recovery, treating, or disposing of an
EPCRA Section 313 chemical. Report in this section only
the source reduction activities implemented to reduce or
eliminate the quantities reported in Sections 8.1 through
8.7. The focus of the section is only those activities that
are applied to reduce routine or reasonably anticipated
releases and quantities of the reported EPCRA Section
313 chemical recycled, treated, used for energy recovery,
or disposed. Do not report in this section any activities
taken to reduce or eliminate the quantities reported in
Section 8.8.
Source Reduction Activities
You must enter in the first column of Section 8.10,
"Source Reduction Activities," the appropriate code(s)
indicating the type of actions taken to reduce the amount
of the reported EPCRA Section 313 chemical released (as
reported in Section 8.1), used for energy recovery (as
reported in Sections 8.2-8.3), recycled (as reported in
Sections 8.4-8.5), or treated (as reported in Sections
8.6-8.7). The list of codes below includes many, but not
all, of the codes provided in the RCRA biennial report.
Remember that source reduction activities include only
those actions or techniques that reduce or eliminate
Toxics Release Inventory Reporting Forms and Instructions 57
-------
245
Instructions for Completing Part II of EPA Form R
Example 21: Determining a Production Ratio
Your facility's only use of toluene is as a paint carrier for a painting operation. You painted 12,000 refrigerators
in the current reporting year and 10,000 refrigerators during the preceding year. The production ratio for toluene
in this case is 1.2 (12,000/10,000) because the number of refrigerators produced is the primary factor determining
the quantity of toluene to be reported in Sections 8.1 through 8.7.
A facility manufactures inorganic pigments, including titanium dioxide. Hydrochloric acid (acid aerosols) is
produced as a waste byproduct during the production process. An appropriate production ratio for hydrochloric
acid (acid aerosols) is the annual titanium dioxide production, not the amount of byproduct generated. If the
facility produced 20,000 pounds of titanium dioxide during the reporting year and 26,000pounds in the preceding
year, the production ratio would be 0.77 (20,000/26,000). !
Example 22: Determining an Activity Index
Your facility manufactures organic dyes in a batch process. Different colors of dyes are manufactured, and between
color changes, al! equipment must be thoroughly cleaned with solvent containing glycol ethers to reduce color
carryover. During the preceding year, the facility produced 2,000 pounds of yellow dye in January, 9,000 pounds
of green dye for February through September, 2,000 pounds of red dye in November, and another 2,000 pounds
of yellow dye in December. This adds up to a total of 15,000 pounds and four color changeovers. During die
reporting year, the facility produced 10,000 pounds of green dye during the first half of the year and 10,000 pounds
of red dye in die second half. If your facility uses glycol ethers in this cleaning process only, an activity index of
0.5 (based on two color changeovers for the reporting year divided by four changeovers for the preceding year)
is more appropriate than a production ratio of 1.33 (based on 20,000 pounds of dye produced in the current year
divided by 15,000 pounds in the preceding year). In this case, an activity index, rather than a production ratio,
better reflects the factors that influence the amount of solvent recycled, used for energy recovery, treated, or
released.
A facility that manufactures thermoplastic composite parts for aircraft uses toluene as a wipe solvent to clean
molds. The solvent is stored in 55-gaJlon drums and is transferred to 1-gallon dispensers. The molds are cleaned
on an as-needed basis that is not necessarily a function of the parts production rate. Operators cleaned 5,200 molds
during the reporting year, but only cleaned 2,000 molds in die previous year. An activity index of 2.6 (5,200/2,000)
represents the activities involving toluene usage in die facility. If die molds were cleaned after 1,000 parts were
manufactured, a production ratio would equal die activity index and either could be used as die basis for the index.
A facility manufactures surgical instruments and cleans die metal parts with 1,1,1-trichloromethane in a vapor
degreaser. The degreasing unit is operated in a batch mode and the metal parts are cleaned according to an
irregular schedule. The activity index can be based upon die total time die metal parts are in die degreasing
operation. If die degreasing unit operated 3,900 hours during the reporting year and 3,000 hours die prior year,
die activity index is 1.3 (3,900/3,000).
Example 23: "NA" is Entered as the Production Ratio or Activity Index
Your facility began production of semiconductor chips during mis reporting year. Perchloroethytene is used as
a cleaning solvent for this operation and tiris is the only use of the EPCRA Section 313 chemical in your facility.
You would enter not applicable, "NA," in Section 8.9 because you have no basis of comparison in the prior year
for the purposes^of developing the activity index.
58 Toxics Release Inventory Reporting Forms and Instructions
-------
246
Instructions for Completing Part II of EPA Form R
Example 24: Determining the Production Ratio Based on a Weighted Average
At many facilities, a reported EPCRA Section 313 chemical is used in more than one production process. In these
cases, a production ratio or activity index can be estimated by weighting the production ratio for each process based
on the respective contribution of each process to the quantity of the reported EPCRA Section 313 chemical recycled,
used for energy recovery, treated, or disposed.
Your facility paints bicycles with paint containing toluene. Sixteen thousand bicycles were produced in the
reporting year and 14,500 were produced in the prior year. There were no significant design modifications that
changed the total surface area to be painted for each bike. The bicycle production ratio is 1.1 (16,000/14,500). You
estimate 12,500 pounds of toluene recycled, used for energy recovery, treated, or released as a result of bicycle
production. Your facility also uses toluene as a solvent in a glue that is used to make components and add-on
equipment for the bicycles. Thirteen thousand components were manufactured in the reporting year as compared
to 15,000 during the prior year. The production ratio for the components using toluene is 0.87 (13,000/15,000). You
estimate 1,000 pounds of toluene treated, recycled, used for energy recovery, or released as a result of components
production. A production ratio can be calculated by weighting each of the production ratios based on the relative
contribution each has to the quantities of toluene treated, recycled, used for energy recovery, or released during
the reporting year (13,500 pounds). The production ratio is calculated as follows:
Production ratio = 1.1 x (12,500/13,500) + 0.87 x (1,000/13,500) - 1.08
Example 25: Source Reduction
A facility assembles and paints furniture. Both the
glue used to assemble the furniture and the paints
contain EPCRA Section 313 chemicals. By examining
the gluing process, the facility discovered that a new
drum of glue is opened at the beginning of each shift,
whether the old drum is empty or not. By adding a
mechanism that prevents the drum from being
changed before it is empty, the need for disposal of
the glue is eliminated at the source. As a result, this
activity is considered source reduction. The painting
process at this facility generates a solvent waste, that
contains an EPCRA Section 313 chemical that is
collected and recovered. The recovered solvent is
used to clean the painting equipment. The recycling
activity does not reduce the amount of EPCRA
Section 313 chemical recycled, and therefore is not
considered a source reduction activity.
the amounts of the EPCRA Section 313 chemical reported
in Sections 8.1 through 8.7. Actions taken to recycle,
combust for energy recovery, treat or dispose of the
EPCRA Section 313 chemical are not considered source
reduction activities.
Source Reduction Activity Codes:
Good Operating Practices
W13 Improved maintenance scheduling, record
keeping, or procedures
W14 Changed production schedule to minimize
equipment and feedstock changeovers
W19 Other changes made in operating practices
Inventory Control
W21 Instituted procedures to ensure that materials
do not stay in inventory beyond shelf-life
W22 Began to test outdated material — continue to
use if still effective
W23 Eliminated shelf-life requirements for stable
materials
W24 Instituted better labeling procedures
W25 Instituted clearinghouse to exchange materials
that would otherwise be discarded
W29 Other changes made in inventory control
Spill and Leak Prevention
W31 Improved storage or stacking procedures
W32 Improved procedures for loading, unloading,
and transfer operations
W33 Installed overflow alarms or automatic shut-off
valves
Toxics Release Inventory Reporting Forms and Instructions 59
-------
247
Instructions for Completing Part II of EPA Form R
W35 Installed vapor recovery systems
W36 Implemented inspection or monitoring
program of potential spill or leak sources
W39 Other changes made in spill and leak
prevention
Raw Material Modifications
W41 Increased purity of raw materials
W42 Substituted raw materials
W49 Other raw material modifications made
Process Modifications
W51 Instituted re-circulation within a process
W52 Modified equipment, layout, or piping
W53 Used a different process catalyst
W54 Instituted better controls on operating bulk
containers to minimize discarding of empty
containers
W55 Changed from small volume containers to bulk
containers to minimize discarding of
empty containers
W58 Other process modifications made
Cleaning and Decreasing
W59 Modified stripping/cleaning equipment
W60 Changed to mechanical stripping/cleaning
devices (from solvents or other materials)
W61 Changed to aqueous cleaners (from solvents or
other materials)
W63 Modified containment procedures for cleaning
units
W64 Improved draining procedures
W65 Redesigned parts racks to reduce drag out
W66 Modified or installed rinse systems
W67 Improved rinse equipment design
W68 Improved rinse equipment operation
W71 Other cleaning and decreasing modifications
made
Surface Preparation and Finishing
W72 Modified spray systems or equipment
W73 Substituted coating materials used
W74 Improved application techniques
W75 Changed from spray to other system
W78 Other surface preparation and finishing
modifications made
Product Modifications
60 Toxics Release Inventory Reporting Forms and Instructions
W81 Changed product specifications
W82 Modified design or composition of product
W83 Modified packaging
W89 Other product modifications made
In columns a through c of Section 8.10, the "Methods to
Identify Activity", you must enter one or more of the
following code(s) that correspond to those internal and
external method(s) or information sources you used to
identify the possibility for a source reduction activity
implementation at your facility. If more than three
methods were used to identify the source reduction
activity, enter only the three codes that contributed most
to the decision to implement the activity.
Methods to Identify Activity
T01
T02
T03
T04
T05
T06
T07
T08
T09
T10
Til
Internal pollution prevention opportunity
audit(s)
External pollution prevention opportunity
audit(s)
Materials balance audits
Participative team management
Employee recommendation (independent of a
formal company program)
Employee recommendation (under a formal
company program)
State government technical assistance program
Federal government technical assistance
program
Trade association/industry technical assistance
program
Vendor assistance
Other
-------
248
Instructions for Completing Part II of EPA Form R
8.11 Is Additional Optional Information on Source
Reduction, Recycling, or Pollution Control
Activities Included with this Report?
Check "Yes" for this data element if you have attached to
this report any additional optional information on source
reduction, recycling, or pollution control activities you
have implemented in the reporting year or in prior years
for the reported EPCRA Section 313 chemical. If you are
not including additional information, check "No."
If you submit additional optional information, try to limit
this information to one page that summarizes the source
reduction, recycling, or pollution control activities, If
there is a contact person at the facility, other than the
technical or public contact provided in Part I, Section 4,
the summary page should include that person's name
and telephone number for individuals who wish to
obtain further information about those activities. Also
submit a copy of this additional information to the
appropriate state agency as part of the Form R submittal
to that agency.
Toxics Release Inventory Reporting Forms and Instructions 61
-------
249
-------
D. Facility Eligibility Determination for Alternate Threshold and
for Reporting on EPA Form A -
This section will help to determine whether you can
submit the simplified Form A report. The criteria are
based on total annual reportable amount of listed
chemical or chemical category and the amount
manufactured, processed, or otherwise used.
D.I Alternate Threshold
On November 30,1994, EPA published a final rule {59 FR
61488) that provides qualifying facilities a reduced
reporting option. Eligible facilities wishing to take
advantage of this reduced reporting option may report
on a simplified two-page form referred to as Form A and
do not have to use Form R. The "TRI Alternate
Threshold for Facilities with Low Annual Reportable
Amounts," provides facilities otherwise meeting EPCRA
section 313 reporting thresholds the option of reporting
on Form A provided that they do not exceed 500 pounds
for the total annual reportable amount (defined below)
for that chemical, and that their amounts manufactured
or processed or otherwise used do not exceed
one-million pounds. As with determining section 313
reporting thresholds, amounts manufactured, processed,
or otherwise used are to be considered independently.
This modification does not apply to forms being
submitted on or before July 1,1995 (covering the 1994
reporting year). If you fill out a Form A for an EPCRA
Section 313 chemical do not fill out a Form R for that
same chemical.
D.2 What is the Form A (Certification
Statement)?
The Form A, which is described as the "certification
statement" in 59 FR 61488, is a simplified form of
reporting and is intended as a means to reduce the
compliance burden associated with EPCRA section 313.
The Form A must be submitted on an annual basis for
each eligible chemical. Facilities wishing to take
advantage of this burden reducing option should submit
a Form A for such chemicals meeting the conditions
described below, and should not submit a Form R to the
EPCRA Reporting Center for that chemical. The
information submitted on the Form A includes facility
identification information and the chemical or chemical
category identity. The information submitted on the
Form A will appear in the TRI data base in the same
manner that information submitted on Form R appears.
An approved Form A and a magnetic version of
reporting have been included in this 1999 Reporting
Forms and Instructions package.
D.3 What is the Total Annual
Reportable Amount?
For the purpose of this optional reporting modification,
the annual reportable amount is equal to the combined
total quantities released at the facility, disposed within
the facility, treated at the facility (as represented by
amounts destroyed or converted by treatmentprocesses),
recovered at the facility as a result of recycle operations,
combusted for the purpose of energy recovery at the
facility, and amounts transferred from the facility to
off-site locations for the purpose of recycle, energy
recovery, treatment, and/or disposal. These volumes
correspond to the sum of amounts reportable for data
elements on EPA Form R (EPA Form 9350-1; Rev. 04/97)
as Part II column B of section 8, data elements 8.1
(quantity released), 8.2 (quantity used for energy
recovery on-site), 8.3 (quantity used for energy recovery
off-site), 8.4 (quantity recycled on-site), 8.5 (quantity
recycled off-site), 8.6 (quantity treated on-site), and 8.7
(quantity treated off-site).
D.4 Recordkeeping
Each owner or operator who determines that they are
eligible, and wishes to apply the alternate threshold to a
particular chemical, must retain records substantiating
this determination for a period of three years from the
date of the submission of the Form A. These records
must include sufficient documentation to support
calculations as well as the calculations made by the
facility that confirm their eligibility for each chemical for
which the alternate threshold was applied.
A facility that fits within the category description, and
manufactures, processes or otherwise uses no more than
one-million pounds of an EPCRA Section 313 chemical
annually, and whose owner/operator elects to take
advantage of the alternate threshold is not considered an
EPCRA section 313 covered facility for that chemical for
the purpose of submitting a Form R. This determination
may provide further regulatory relief from other federal
or state regulations that apply to facilities on the basis of
their EPCRA section 313 reporting status. A facility will
need to reference other applicable regulations to
determine if their actual requirements may be affected by
this reporting modification.
D.5 Multi-establishment Facilities
For the purposes of using Form A, the facility must also
make its determination based upon the entire facility's
Toxics Rekase Inventory Reporting Forms and Instructions 63
-------
Facility Eligibility Determination far Alternate Thresnola and for Reporting on EPA Form A
operations including all of its establishments {see 59 FR
61488 for greater detail). If the facility as a whole is able
to take advantage of the alternate threshold, a single
Form A is required. The eligibility to submit a Form A
must be made on a whole facility determination. Thus,
all of the information necessary to make the
determination must be assembled to the facility level.
D.6 Trade Secrets
EPA is requiring that a facility submit a unique Form A
for each EPCRA Section 313 chemical meeting the
conditions of the alternate threshold. Facilities may
assert a trade secrecy claim for a chemical identity on the
Form A as on the Form R. Reports submitted on a per
chemical basis protect against the disclosure of trade
secrets. Form As with trade secrecy claims, like Form Rs
with similar claims, will be separately handled upon
receipt to protect against disclosure. Commingling trade
secret chemical identities with non-trade secret chemical
identities on the same submission increases the risk of
disclosure.
D.7 Metals and Metal Category
Compounds
For metal category compounds, the category level of 500
pounds applies to the amount of parent metal waste that
is reported on Form R, but the thresholds apply to the
amount of metal compounds manufactured, processed,
or otherwise used. For Form R reporting involving both
listed parent metals and associated metal compounds,
the one million pound alternate threshold must be
applied separately to the listed parent metal and the
associated metal compound(s). Threshold
determinations must be made independently for each
because they are separately listed EPCRA Section 313
chemicals.
3 If the threshold is exceeded for the listed parent
metal but not the associated metal compounds, then
the releases of metal reported on Form R for the
parent metal should not include the releases from
the metal compounds.
Q If both the parent metal and the associated metal
compounds exceed the alternate threshold, then the,
facility has the option of filing one Form R for bothj
using the metal category compound name a
reporting total releases based on parent metal
content.
Q If neither the parent metal nor the associated metal
compounds exceed the alternate threshold, then the
facility should file a Form A for each, since the
reporting thresholds must be applied to each listed
parent metal and all compounds in the associated
compound category. EPA believes it is appropriate
to make this distinction between filing the Form R
and Form A because the Form R accounts for
amounts of metal released or otherwise managed
and Form A verifies that the alternate threshold for
each listed chemical or chemical category has not
been exceeded.
Similarly, separate Form As should be submitted for all
other listed chemicals even if EPA allows one Form R to
be filed for two or more listed chemicals, e.g., o-xylene,
p-xylene and xylene (mixed isomers). For example, if a
facility processes in three separate process streams,
xylene (mixed isomers), o-xylene, and p-xylene, and
exceeds the conditions of the alternate threshold for eacru
of these listed substances, the facility may combine the*
appropriate information on the o-xylene, p-xylene, and
xylene (mixed isomers) into one Form R.
Facilities that process o-xylene, p-xylene, and xylene
(mixed isomers) in separate process streams and do not
exceed the conditions of the alternate threshold for one
or more of the compounds, may submit a separate Form
A for each of the forms of xylene meeting the alternate
threshold and report on Form R for those forms that do
not. Similar to reporting on the parent metals and their
associated category compounds described above,
facilities that separately process all types (i.e., isomers) of
xylene with individual activity levels within the
conditions of the alternate threshold should file a
separate Form A for each type of xylene.
64 Toxics Release Inventory Reporting Forms and Instructions
-------
E. Instructions for Completing EPA Form A
The following are specific instructions for completing
each part of EPA Form A. All of the facility identification
data elements that appear on Form A are a subset of and
are identical to those on Form R except for the content of
the statement to be signed by an authorized individual.
The number designations of the parts and sections of
these instructions correspond to those in Form R unless
otherwise indicated. Beginning with the 1998 reporting
year, facilities may enter as many chemicak as are
eligible on a single Form A.
For all parts of Form A:
Q Type or print information on the form in the format
requested. Use black ink. (Using blue ink for the
certification signature is suggested as a means of
indicating its originality.)
0 All information on the Form A is required.
Q Do not leave items in Parts I and II on the Form A
blank unless specifically directed to do so; if an item
does not apply to you, enter not applicable, NA, in
the space provided. If your information does not fill
all the spaces provided for a type of information,
enter NA, in the next blank space in the sequence.
Q Do not submit an incomplete form. The certification
statement (Part I, Section 3) specifies that the report
is complete as submitted. See page 1 of these
instructions for the definition of a complete
submission.
Part I. Facility Identification
Information
Section 1. Reporting Year
This is the calendar year to which the reported
information applies, not the year in which you are
submitting the report. Information for the 1999 reporting
year must be submitted on or before July 1, 2000.
Section 2. Trade Secret Information
2,1 Are you claiming the EPCRA Section 313
chemical identified on page 2 trade secret?
If facilities wish to report more than one eligible chemical
on the same Form A, then they are not able to make trade
secrecy claims. Any trade secrecy claims must be made
on a separate form, and then the process is the same as
using the Form R and as described in the following
instructions.
The specific identity of the EPCRA Section 313 chemical
being reported in Part II, Section 1, may be designated as
a trade secret. If you are making a trade secrecy claim,
mark "yes" and proceed to Section 2.2. Only check "yes"
if you manufacture, process, or otherwise use the EPCRA
Section 313 chemical whose identity is a trade secret.
(See page 2 of these instructions for specific information
on trade secrecy claims.) If you checked "no," proceed
to Section 3; do not answer Section 2.2.
2.2 If "yes" in 2.1, is this copy sanitized
unsanitized?
or
Check "sanitized" if this copy of the report is the public
version that does not contain the EPCRA Section 313
chemical identity but does contain a generic name in its
place, and you have claimed the EPCRA Section 313
chemical identity trade secret in Part I, Section 2.1.
Otherwise, check "unsanitized."
Section 3. Certification
The Form A must be signed by the owner or operator or
a senior official with management responsibility for the
person (or persons) completing the form. The owner,
operator, or official must certify the accuracy and
completeness of the information reported on the form by
signing and dating the Form A. Each report must
contain an original signature. Unlike the certification
statement contained on Form R, the certification
statement provided on the Alternate Threshold Form A
pertains to the facility's eligibility of having met the
conditions as described in Section D or in the Federal
Register 59 FR 61488 (November 30,1994). Print or type
in the space provided the name and title of the person
who signs the statement. This certification statement
applies to all the information supplied on the form and
should be signed only after the form has been completed.
Section 4. Facility Identification
4.1 Facility Name, Location, and TRI Facility
Identification Number
Enter the name of your facility (plant site name or
appropriate facility designation), street address, mailing
address, city, county, state, and zip code in the space
provided. Do not use a post office box number as the
street address. The street address provided should be
the location where the EPCRA Section 313 chemicals are
Toxics Release Inventory Reporting Forms and Instructions 65
-------
253
Instructions for Completing Part I of EPA Form A
manufactured, processed, or otherwise used. If your
mailing address and street address are the same, enter
NA in the space for the mailing address. Note that the
mailing address is provided first, followed by the street
address.
If you have submitted a Form R for previous reporting
years, a TRI Facility Identification Number has been
assigned to your facility. If you cannot locate your TRI
Facility Identification Number, please contact the
Emergency Planning and Community Right-to-Know
Information Hotline (see page 4).
Enter "NA" in the space for the TRI Facility Identification
Number if your facility has never filed a Form A
(certification statement) or a Form R. If you have
previously submitted a Form A or a Form R, use the TRI
Facility Identification Number that you have been
assigned. If you previously submitted a Form A or a
Form R, but do not know what it is, contact the EPCRA
Hotline. If your facility has moved, do not enter your
TRI facility identification number, enter NEW FACILITY.
4.2 Federal Facility Designation
On August 3,1993, Executive Order 12856 was signed
that directs federal facilities to comply with
Right-To-Know Laws and Pollution Prevention
Requirements. Please indicate in 4.2.C. if the reporting
facility is a federal facility. If the reporting facility is not
a federal facility, leave this space blank. Form R allows
a facility to report multiple submissions for the same
chemical if the facility is composed of several distinct
establishments. This data element provides the option of
reporting full or partial facility information on Form R,
however, this is not applicable for those facilities taking
advantage of the Alternate Threshold and Form A. An
explanation of this is provided in Section D.
4.3 Technical Contact
Enter the name and telephone number (including area
code) of a technical representative whom EPA or State
officials may contact for clarification of the information
reported on Form A. This contact person does not have
to be die same person who prepares the report or signs
the Form A and does not necessarily need to be someone
at the location of the reporting facility; however, this
person must be familiar with the details of the report so
that he or she can answer questions about the
information provided.
4.4 Intentionally Left Blank
4.5 Standard Industrial Classification (SIC) Code
Enter the appropriate four-digit primary Standard
Industrial Classification (SIC) code for your facility.
Table I lists the SIC codes 10 (except 1011, 1081, and
1094), 12 (except 1241), 20-39, 4911 (limited to facilities
that combust coal and/or oil for the purpose of
generating electricity for distribution in commerce), 4931
(limited to facilities that combust coal and/or oil for the
purpose of generating electricity for distribution in
commerce), 4939 (limited to facilities that combust coal
and/or oil for the purpose of generating electricity for
distribution in commerce), 4953 (limited to facilities
regulated under the RCRA Subtitle C, 42 U.S.C. section
6921 et seq.), 5169, 5171, and 7389 (limited to facilities
primarily engaged in solvents recovery services on a
contract or fee basis). If the report covers more than one
establishment, enter the primary four-digit SIC code for
each establishment starting with the primary SIC code for
the entire facility. You are required to enter SIC codes
only for those establishments within the facilities that fall
within SIC codes 10 (except 1011, 1081, and 1094), 12
(except 1241), 20-39, 4911 (limited to facilities t
combust coal and/or oil for the purpose of generating
electricity for distribution in commerce), 4931 (limited to
facilities that combust coal and/or oil for the purpose of
generating electricity for distribution in commerce), 4939
(limited to facilities that combust coal and/or oil for the
purpose of generating electricity for distribution in
commerce), 4953 (limited to facilities regulated under the
RCRA Subtitle C, 42 U.S.C. section 6921 et seq.), 5169,
5171, and 7389 (limited to facilities primarily engaged in
solvents recovery services on a contract or fee basis). If
you do not know your SIC code, consult the 1987 SIC
Manual (see page 5).
The North American Industry Classification System
(NAICS), is a new economic classification system that
will replace the 1987 SIC code system. EPA will address
the SIC code change, as it relates to EPCRA, in an
upcoming Federal Register notice. This upcoming
change does NOT affect the 1999 EPCRA section 313
reporting.
66 Toxics Release Inventory Reporting Forms and Instructions
-------
254
Instructions for Completing Part I of EPA Form A
4,6 Latitude and Longitude
Enter the latitudinal and longitudinal coordinates of your
facility. Sources of these data include EPA permits (e.g.,
NPDES permits), county property records, facility
blueprints, and site plans. Instructions on how to
determine these coordinates can be found in Appendix E.
Enter only numerical data. Do not preface numbers with
letters such as N, S, E, or W to denote the hemisphere.
Latitude and longitude coordinates of your facility are
very important for pinpointing the location of reporting
facilities and are required elements on the Form A. EPA
encourages facilities to make the best possible
measurements when determining latitude and longitude.
As with any other data field, missing, suspect or
incorrect data may generate a Notice of Technical Error
to be issued to the facility. (See Appendix C: Common
Errors in Completing Form R Reports and Making Data
Available).
4.7 Dun & Bradstreet Number(s)
Enter the nine-digit number assigned by Dun &
Bradstreet (D & B) for your facility or each establishment
within your facility. These numbers code the facility for
financial purposes. This number may be available from
your facility's treasurer or financial officer. You can also
obtain the numbers from your local D & B office (check
the telephone book White Pages). If a facility does not
subscribe to the D & B service, a "support number" can
be obtained from the center located in Allentown,
Pennsylvania, at (215) 882-7748 (8:30 am to 8:00 pm,
Eastern Time). If none of your establishments has been
assigned a D & B number, enter NA in box (a). If only
some of your establishments have been assigned Dun &
Bradstreet numbers, enter those numbers in Part I,
section 4.7.
4,8 EPA Identification Number(s)
The EPA I.D. Number is a 12-character number assigned
to facilities covered by hazardous waste regulations
under RCRA. Facilities not covered by RCRA are not
likely to have an assigned I.D. Number. If your facility
is not required to have an I.D. Number, enter not
applicable, NA, in box (a). If your facility has been
assigned EPA Identification Numbers, you must enter
those numbers in the spaces provided in Section 4.8.
4.9 Facility NPDES Permit Number(s)
Enter the numbers of any permits your facility holds
under the National Pollutant Discharge Elimination
System (NPDES) even if the permit(s) do not pertain to
the EPCRA Section 313 chemical being reported. This
nine-character permit number is assigned to your facility
by EPA or the State under the authority of the Clean
Water Act. If your facility does not have a permit, enter
NA, in Section 4.9a.
4.10 Underground Injection Well Code (UIC)
Identification Number(s)
If your facility has a permit to inject a waste containing
the EPCRA Section 313 chemical into Class 1 deep wells,
enter the 12-digit Underground Injection Well Code
(UIC) identification number assigned by EPA or by the
State under the authority of the Safe Drinking Water Act.
If your facility does not hold such a permit(s), enter NA
in Section 4.1 Oa. You are only required to provide the
UIC number for wells that receive the EPCRA Section 313
chemical being reported.
Section 5. Parent Company Information
You must provide information on your parent company.
For purposes of the Form A, a parent company is defined
as the highest level company, located in the United
States, that directly owns at least 50 percent of the voting
stock of your company. If your facility is owned by a
foreign entity, enter NA in this space. Corporate names
should be treated as parent company names for
companies with multiple facility sites. For example, the
Bestchem Corporation is not owned or controlled by any
other corporation but has sites throughout the country
whose names begin with Bestchem. In this case,
Bestchem Corporation would be listed as the parent
company. Note that a facility that is a 50:50 joint venture
is its own parent company.
5.1 Name of Parent Company
Enter the name of the corporation or other business
entity that is your ultimate US parent company. If your
facility has no parent company, check the NA box.
5.2 Parent Company's Dun & Bradstreet Number
Enter the Dun & Bradstreet (D & B) Number for your
ultimate US parent company, if applicable. The number
may be obtained from the treasurer or financial officer of
Toxics Release Inventory Reporting Forms and Instructions 67
-------
255
Instructions for Completing Part II of EPA Form A
the company. If your parent company does not have a
D&B number, check the NA box-
Part II. Chemical Identification
Reporting on the Alternate Threshold Form A for metals,
metal category compounds, and mixed isomers differs
somewhat from Form R reporting. Please refer to Section
D for these guidelines.
Section 1. Toxic Chemical Identity
(Important: DO NOT complete this section if you
completed Section 2 of Part n below.)
1.1 CAS Number
Enter the Chemical Abstracts Service (CAS) registry
number in Section 1.1 exactly as it appears in Table II for
the chemical being reported. CAS numbers are
cross-referenced with an alphabetical list of chemical
names in Table II of these instructions. If you are
reporting one of the EPCRA Section 313 chemical
categories in Table It, part c (e.g., chromium
compounds), enter the applicable category code in the
CAS number space. EPCRA Section 313 chemical
category codes are listed below and can also be found in
Table H, part c and Appendix B-l.
EPCRA Section 313 Chemical Category Codes
N010 Antimony compounds
NQ20 Arsenic compounds
N040 Barium compounds
N050 Beryllium compounds
N078 Cadmium compounds
N084 Chlorophenols
N090 Chromium compounds
N096 Cobalt compounds
N100 Copper compounds
N106 Cyanide compounds
N120 Diisocyanates
K171 Ethylenebisdithiocarbamic acid, salts and
esters (EBDCs)
N230 Certain glycol ethers
N420 Lead compounds
N450 Manganese compounds
N458 Mercury compounds
N495 Nickel compounds
N503 Nicotine and salts
N511 Nitrate compounds (water dissociable;
reportable only when in aqueous solution)
N575 Polybrominated biphenyls (PBBs)
N583 Poiychlorinated alkanes (CIO to CIS)
N590 Polycyclic aromatic compounds (PACs)
N725 Selenium compounds
N740 Silver compounds
N746 Strychnine and salts
N760 Thallium compounds
N874 Warfarin and salts
N982 Zinc compounds
If you are making a trade secret claim, you must report
the CAS number or category code on your unsanitized
Form A and unsanitized substantiation form. Do not
include the CAS number or category code on your
sanitized Form A or sanitized substantiation form.
1.2 EPCRA Section 313 Chemical or Chemical
Category Name
Enter the name of the EPCRA Section 313 chemical or
chemical category exactly as it appears in Table n. If the
EPCRA Section 313 chemical name is followed by a
synonym in (parentheses), report the chemical by the
name that directly follows the CAS number (i.e., not the •
synonym). If the EPCRA Section 313 chemical identity is
actually a product trade name (e.g., dicofol), the 9th
Collective Index name is listed below it in brackets. You
may report either name in this case.
Do not list the name of a chemical that does not appear
in Table II, such as individual members of a reportable
EPCRA Section 313 chemical category. For example, if
you use silver nitrate, do not report silver nitrate with its
CAS number. Report this chemical as "silver
compounds" with its category code N740.
If you are making a trade secret claim, you must report
the specific EPCRA Section 313 chemical identity on your
unsanitized Form A and unsanitized substantiation form.
Do not report the name of the EPCRA Section 313
chemical on your sanitized Form A or sanitized
substantiation form. Include a generic name in Part n,
Section 1.3 of your sanitized Form A.
1.3 Generic Chemical Name
Complete Section 1.3 only if you are claiming the specific
EPCRA Section 313 chemical identity of the EPCRA
Section 313 chemical as a trade secret and have marked
the trade secret block in Part I, Section 2.1 on page 1 of
68 Toxics Release Inventory Reporting Forms and Instructions
-------
256
Instructions for Completing Part II of EPA Form A
Form A. Enter a generic chemical name that is
descriptive of the chemical structure. You must limit the
generic name to seventy characters (e.g., numbers, letters,
spaces, punctuation) or less. Do not enter mixture names
in Section 1.3; see Section 2 on next page.
In-house plant codes and other substitute names that are
not structurally descriptive of the EPCRA Section 313
chemical identity being withheld as a trade secret are not
acceptable as a generic name. The generic name must
appear on both sanitized and unsanitized Form A, and
the name must be the same as that used on your
substantiation forms.
Section 2. Mixture Component Identity
Report the generic name provided to you by your
supplier in this section if your supplier is claiming the
chemical identity proprietary or trade secret. Do not
answer "yes" in Part I, Section 2.1 on page 1 of the form
if you complete this section. You do not need to supply
trade secret substantiation forms for this EPCRA Section
313 chemical because it is your supplier who is claiming
the chemical identity a trade secret.
2.1 Generic Chemical Name Provided by Supplier
Enter the generic chemical name in this section only if the
following three conditions apply:
1. You determine that the mixture contains an EPCRA
Section 313 chemical but the only identity you have
for that chemical is a generic name;
2. You know either the specific concentration of that
EPCRA Section 313 chemical component or a
maximum or average concentration level; and
3. You multiply the concentration level by the total
annual amount of the whole mixture processed or
otherwise used and determine that you meet the
process or otherwise use threshold for that single,
generically identified mixture component.
Toxics Release Inventory Reporting Forms and Instructions 69
-------
257
-------
258
Table I. SIC codes
10 Metal Mining (except 1011,1081
and 1094)
1021 Copper Ores
1031 Lead and Zinc Ores
1041 Gold Ores
1044 Silver Ores
1061 Ferroalloy Ores, Except Vanadium
1099 Miscellaneous Metal Ores, Not Elsewhere
Classified
12 Coal Mining (except i24i)
1221 Bituminous Coal and Lignite Surface Mining
1222 Bituminous Coal Underground Mining
1231 Anthracite Mining
20 Food and Kindred Products
2011 Meat packing plants
2013 Sausages and other prepared meat products
2015 Poultry slaughtering and processing
2021 Creamery butter
2022 Natural, processed, and imitation cheese
2023 Dry, condensed, and evaporated dairy
products
2024 Ice cream and frozen desserts
2026 Fluid milk
2032 Canned specialties
2033 Canned fruits, vegetables, preserves, jams, and
jellies
2034 Dried and dehydrated fruits, vegetables, and
soup mixes
2035 Pickled fruits and vegetables, vegetable sauces
and seasonings, and salad dressings
2037 Frozen fruits, fruit juices, and vegetables
2038 Frozen specialties, n.e.c.*
2041 Flour and other grain mill products
2043 Cereal breakfast foods
2044 Rice milling
2045 Prepared flour mixes and doughs
2046 Wet corn milling
2047 Dog and cat food
2048 Prepared feeds and feed ingredients for animals
and fowls, except dogs and cats
2051 Bread and other bakery products, except
cookies and crackers
2052 Cookies and crackers
2053 Frozen bakery products, except bread
2061 Cane sugar, except refining
2062 Cane sugar refining
2063 Beet sugar
2064 Candy and other confectionery products
2066 Chocolate and cocoa products
2067 Chewing gum
2068 Salted and roasted nuts and seeds
2074 Cottonseed oil mills
2075 Soybean oil mills
2076 Vegetable oil mills, n.e.c*
2077 Animal and marine fats and oils
2079 Shortening, table oils, margarine, and other
edible fats and oils, n.e.c.*
2082 Malt beverages
2083 Malt
2084 Wines, brandy, and brandy spirits
2085 Distilled and blended liquors
2086 Bottled and canned soft drinks and carbonated
waters
2087 Flavoring extracts and flavoring syrups, n.e.c*
2091 Canned and cured fish and seafoods
2092 Prepared fresh or frozen fish and seafoods
2095 Roasted coffee
2096 Potato chips, corn chips, and similar snacks
2097 Manufactured ice
2098 Macaroni, spaghetti, vermicelli, and noodles
2099 Food preparations, n.e.c.*
21 Tobacco Products
2111 Cigarettes
2121 Cigars
2131 Chewing and smoking tobacco and snuff
2141 Tobacco stemming and redrying
22 Textile Mill Products
2211 Broad woven fabric mills, cotton
2221 Broadwoven fabric mills, manmade fiber, and
silk
2231 Broadwoven fabric mills, wool (including
dyeing and finishing)
2241 Narrow fabric and other small wares mills:
cotton, wool, silk, and manmade fiber
2251 Women's full length and knee length hosiery,
except socks
2252 Hosiery, n.e.c.*
2253 Knit outerwear mills
2254 Knit underwear and nightwear mills
2257 Weft knit fabric mills
2258 Lace and warp knit fabric mills
2259 Knitting mills, n.e.c *
*"Not elsewhere classified" indicated by "n.e.c."
Toxics Release Inventory Reporting Forms and Instructions 1-1
-------
259
Tabkl
2261 Finishers of Broadwoven fabrics of cotton
2262 Finishers of Broadwoven fabrics of manmade
fiber and silk
2269 Finishers of textiles, n.e.c.*
2273 Carpets and rugs
2281 Yarn spinning mills
2282 Yarn texturizing, throwing, twisting, and
winding mills
2284 Thread mills
2295 Coated fabrics, not rubberized
2296 Tire cord and fabrics
2297 Nonwoven fabrics
2298 Cordage and twine
2299 Textile goods, n.e.c.*
23 Apparel and Other Finished
Products made from Fabrics and
Other Similar Materials
2311 Men's and boys' suits, coats, and overcoats
2321 Men's and boys' shirts, except work shirts
2322 Men's and boys' underwear and nightwear
2323 Men's and boys' neckwear
2325 Men's and boys' separate trousers and slacks
2326 Men's and boys' work clothing
2329 Men's and boys' clothing, n.e.c.*
2331 Women's, misses', and juniors' blouses and
shirts
2335 Women's, misses', and juniors' dresses
2337 Women's, misses', and juniors' suits, skirts, and
coats
2339 Women's, misses', and juniors', outerwear,
n.e.c.*
2341 Women's, misses', children's, and infants'
underwear and nightwear
2342 Brassieres, girdles, and allied garments
2353 Hats, caps, and millinery
2361 Girls', children's and infants' dresses, blouses,
and shirts
2369 Girls', children's and infants' outerwear, n.e.c.*
2371 Fur goods
2381 Dress and work gloves, except knit and all
leather
2384 Robes and dressing gowns
2385 Waterproof outerwear
2386 Leather and sheep lined clothing
2387 Apparel belts
2389 Apparel and accessories, n.e.c.*
2391 Curtains and draperies
2392 House furnishings, except curtains and
draperies
2393 Textile bags
2394 Canvas and related products
2395 Pleating, decorative and novelty stitching, and
tucking for the trade
2396 Automotive trimmings, apparel findings, and
related products
2397 Schiffli machine embroideries
2399 Fabricated textile products, n.e.c.*
24 Lumber and Wood Products,
Except Furniture
2411 Logging
2421 Sawmills and planing mills, general
2426 Hardwood dimension and flooring mills
2429 Special product sawmills, n.e.c.*
2431 Millwork
2434 Wood kitchen cabinets
2435 Hardwood veneer and plywood
2436 Softwood veneer and plywood
2439 Structural wood members, n.e.c.*
2441 Nailed and lock corner wood boxes and shook
2448 Wood pallets and skids
2449 Wood containers, n.e.c.*
2451 Mobile homes
2452 Prefabricated wood buildings and components
2491 Wood preserving
2493 Reconstituted wood products
2499 Wood products, n.e.c.*
25 Furniture and Fixtures
2511 Wood household furniture, except upholstered
2512 Wood household furniture, upholstered
2514 Metal household furniture
2515 Mattresses, foundations, and convertible beds
2517 Wood television, radio, phonograph, and
sewing machine cabinets
2519 Household furniture, n.e.c.*
2521 Wood office furniture
2522 Office furniture, except wood
2531 Public building and related furniture
2541 Wood office and store fixtures, partitions,
shelving, and lockers
2542 Office and store fixtures, partitions, shelving,
and lockers, except wood
2591 Drapery hardware and window blinds and
shades
2599 Furniture and fixtures, n.e.c.*
1-2 Toxics Release Inventory Reporting Forms and Instructions
""Not elsewhere classified" indicated by "n.e.c."
-------
260
26 Paper and Allied Products
2611 Pulp mills
2621 Paper mills
2631 Paperboard mills
2652 Setup paperboard boxes
2653 Corrugated and solid fiber boxes
2655 Fiber cans, tubes, drums, and similar products
2656 Sanitary food containers, except folding
2657 Folding paperboard boxes, including sanitary
2671 Packaging paper and plastics film, coated and
laminated
2672 Coated and laminated paper, n.e.c.*
2673 Plastics, foil, and coated paper bags
2674 Uncoated paper and multiwall bags
2675 Die-cut paper and paperboard and cardboard
2676 Sanitary paper products
2677 Envelopes
2678 Stationery tablets, and related products
2679 Converted paper and paperboard products,
n.e.c*
27 Printing, Publishing, and Allied
Industries
2711 Newspapers: publishing, or publishing and
printing
2721 Periodicals: publishing, or publishing and
printing
2731 Books: publishing, or publishing and printing
2732 Book printing
2741 Miscellaneous publishing
2752 Commercial printing, lithographic
2754 Commercial printing, gravure
2759 Commercial printing, n.e.c.*
2761 Manifold business forms
2771 Greeting cards
2782 Blank books, looseleaf binders and devices
2789 Bookbinding and related work
2791 Typesetting
2796 Plate making and related services
28 Chemicals and Allied Products
2812 Alkalies and chlorine
2813 Industrial gases
2816 Inorganic pigments
2819 Industrial inorganic chemicals, n.e.c*
2821 Plastics materials, synthetic resins, and
non-vukanizable elastomers
2822 Synthetic rubber (vulcanizable elastomers)
Tabkl
2823 Cellulosic manmade fibers
2824 Manmade organic fibers, except cellulosic
2833 Medicinal chemicals and botanical products
2834 Pharmaceutical preparations
2835 In vitro and in vivo diagnostic substances
2836 Biological products, except diagnostic
substances
2841 Soap and other detergents, except specialty
cleaners
2842 Specialty cleaning, polishing, and sanitation
preparations
2843 Surface active agents, finishing agents,
sulfonated oils, and assistants
2844 Perfumes, cosmetics, and other toilet
preparations
2851 Paints, varnishes, lacquers, enamels, and allied
products
2861 Gum and wood chemicals
2865 Cyclic organic crudes and intermediates, and
organic dyes and pigments
2869 Industrial organic chemicals, n.e.c.*
2873 Nitrogenous fertilizers
2874 Phosphatic fertilizers
2875 Fertilizers, mixing only
2879 Pesticides and agricultural chemicals, n.e.c.*
2891 Adhesives and sealants
2892 Explosives
2893 Printing ink
2895 Carbon black
2899 Chemicals and chemical preparations, n.e.c.*
29 Petroleum Refining and Related
Industries
2911 Petroleum refining
2951 Asphalt paving mixtures and blocks
2952 Asphalt felts and coatings
2992 Lubricating oils and greases
2999 Products of petroleum and coal, n.e.c.*
30 Rubber and Miscellaneous
Plastics Products
3011 Tires and inner tubes
3021 Rubber and plastics footwear
3052 Rubber and plastics hose and belting
3053 Gaskets, packing, and sealing devices
3061 Molded, extruded, and lathe cut mechanical
rubber products
3069 Fabricated rubber products, n.e.c.*
3081 Unsupported plastics film and sheet
3082 Unsupported plastics profile shapes
*"Not elsewhere classified" indicated by "n.e.c."
Toxics Release Inventory Reporting Forms and Instructions 1-3
-------
261
3083 Laminated plastics plate, sheet, and profile
shapes
3084 Plastics pipe
3085 Plastics bottles
3086 Plastics foam products
3087 Custom compounding of purchased plastics
resins
3088 Plastics plumbing fixtures
3089 Plastics products, n.e.c.*
31 Leather and Leather Products
3111 Leather tanning and finishing
3131 Boot and shoe cut stock and findings
3142 House slippers
3143 Men's footwear, except athletic
3144 Women's footwear, except athletic
3149 Footwear, except rubber, n.e.c.*
3151 Leather gloves and mittens
3161 Luggage
3171 Women's handbags and purses
3172 Personal leather goods, except
women'shandbags and purses
3199 Leather goods, n.e.c.*
32 Stone, Clay, Glass and Concrete
Products
3211 Flat glass
3221 Glass containers
3229 Pressed and blown glass and glassware, n.e.c.*
3231 Glass products, made of purchased glass
3241 Cement, hydraulic
3251 Brick and structural clay tile
3253 Ceramic wall and floor tile
3255 Clay refractories
3259 Structural clay products, n.e.c.*
3261 Vitreous china plumbing fixtures and china and
earthenware fittings and bathroom accessories
3262 Vitreous china table and kitchen articles
3263 Fine earthenware (whiteware) table and kitchen
articles
3264 Porcelain electrical supplies
3269 Pottery products, n.e.c.*
3271 Concrete block and brick
3272 Concrete products, except block and brick
3273 Ready mixed concrete
3274 Lime
3275 Gypsum products
3281 Cut stone and stone products
3291 Abrasive products
3292 Asbestos products
3295 Minerals and earths, ground or otherwise
treated
3296 Mineral wool
3297 Nonclay refractories
3299 Nonmetallic mineral products, n.e.c.*
33 Primary Metal Industries
3312 Steel works, blast furnaces (including coke
ovens), and rolling mills
3313 Electrometallurgical products, except steel
3315 Steel wiredrawing and steel nails and spikes
3316 Cold-rolled steel sheet, strip, and bars
3317 Steel pipe and tubes
3321 Gray and ductile iron foundries
3322 Malleable iron foundries
3324 Steel investment foundries
3325 Steel foundries, n.e.c.*
3331 Primary smelting and refining of copper
3334 Primary production of aluminum
3339 Primary smelting and refining of nonferrous
metals, except copper and aluminum
3341 Secondary smelting and refining of nonferrous
metals
3351 Rolling, drawing, and extruding of copper
3353 Aluminum sheet, plate, and foil
3354 Aluminum extruded products
3355 Aluminum rolling and drawing, n.e.c.*
3356 Rolling, drawing, and extruding of nonferrous
metals, except copper and aluminum
3357 Drawing and insulating of nonferrous wire
3363 Aluminum die-castings
3364 Nonferrous die-castings, except aluminum
3365 Aluminum foundries
3366 Copper foundries
3369 Nonferrous foundries, except aluminum and
copper
3398 Metal heat treating
3399 Primary metal products, n.e.c.*
34 Fabricated Metal Products, except
Machinery and Transportation
Equipment
3411 Metal cans
3412 Metal shipping barrels, drums, kegs, and pails
3421 Cutlery
3423 Hand and edge tools, except machine tools and
handsaws
3425 Handsaws and saw blades
1-4 Toxics Release Inventory Reporting Forms and Instructions
*"Not elsewhere classified" indicated by "n.e.c."
-------
262
3429 Hardware, n.e.c.*
3431 Enameled iron and metal sanitary ware
3432 Plumbing fixture fittings and trim
3433 Heating equipment, except electric and warm
air furnaces
3441 Fabricated structural metal
3442 Metal doors, sash, frames, molding, and trim
3443 Fabricated plate work (boiler shops)
3444 Sheet metal work
3446 Architectural and ornamental metal work
3448 Prefabricated metal buildings and components
3449 Miscellaneous structural metal work
3451 Screw machine products
3452 Bolts, nuts, screws, rivets, and washers
3462 Iron and steel forgings
3463 Nonferrous forgings
3465 Automotive stampings
3468 Crowns and closures
3469 Metal stampings, n.e.c*
3471 Electroplating, plating, polishing, anodizing,
and coloring
3479 Coating, engraving and allied services, n.e.c.*
3482 Small arms ammunition
3483 Ammunition, except for small arms
3484 Small arms
3489 Ordnance and accessories, n.e.c*
3491 Industrial valves
3492 Fluid power valves and hose fittings
3493 Steel springs, except wire
3494 Valves and pipe fittings, n.e.c.*
3495 Wire springs
3496 Miscellaneous fabricated wire products
3497 Metal foil and leaf
3498 Fabricated pipe and pipe fittings
3499 Fabricated metal products, n.e.c.*
35 Industrial and Commercial
Machinery and Computer
Equipment
3511 Steam, gas and hydraulic turbines, and turbine
generator set units
3519 Internal combustion engines, n.e.c.*
3523 Farm machinery and equipment
3524 Lawn and garden tractors and home lawn and
garden equipment
3531 Construction machinery and equipment
3532 Mining machinery and equipment, except oil
and gas field machinery and equipment
3533 Oil and gas field machinery and equipment
3534 Elevators and moving stairways
3535 Conveyors-and conveying equipment
Table!
3536 Overhead traveling cranes, hoists, and monorail
systems
3537 Industrial trucks, tractors, trailers, and stackers
3541 Machine tools, metal cutting types
3542 Machine tools, metal forming types
3543 Industrial patterns
3544 Special dies and tools, die sets, jigs and fixtures,
and industrial molds
3545 Cutting tools, machine tool accessories, and
machinists' measuring devices
3546 Power driven handtools
3547 Rolling mill machinery and equipment
3548 Electric and gas welding and soldering
equipment
3549 Metalworking machinery, n.e.c.*
3552 Textile machinery
3553 Woodworking machinery
3554 Paper industries machinery
3555 Printing trades machinery and equipment
3556 Food products machinery
3559 Special industry machinery, n.e.c.*
3561 Pumps and pumping equipment
3562 Ball and roller bearings
3563 Air and gas compressors
3564 Industrial and commercial fans and blowers and
air purification equipment
3565 Packaging equipment
3566 Speed changers, industrial high speed drives,
and gears
3567 Industrial process furnaces and ovens
3568 Mechanical power transmission equipment,
n.e.c*
3569 General industrial machinery and equipment,
n.e.c.*
3571 Electronic computers
3572 Computer storage devices
3575 Computer terminals
3577 Computer peripheral equipment, n.e.c.*
3578 Calculating and accounting machines, except
electronic computers
3579 Office machines, n.e.c.*
3581 Automatic vending machines
3582 Commercial laundry, dry-cleaning, and pressing
machines
3585 Air conditioning and warm air heating
equipment and commercial and industrial
refrigeration equipment
3586 Measuring and dispensing pumps
3589 Service industry machinery, n.e.c.*
3592 Carburetors, pistons, piston rings, and valves
3593 Fluid power cylinders and actuators
3594 Fluid power pumps and motors
3596 Scales and balances, except laboratory
*"Not elsewhere classified" indicated fay "n.e.c."
Toxics Release Inventory Reporting Forms and Instructions 1-5
-------
263
3599 Industrial and commercial machinery and
equipment, n.e.c*
36 Electronic and Other Electrical
Equipment and Components,
Except Computer Equipment
3612 Power, distribution, and specialty transformers
3613 Switchgear and switchboard apparatus
3621 Motors and generators
3624 Carbon and graphite products
3625 Relays and industrial controls
3629 Electrical industrial appliances, n.e.c.*
3631 Household cooking equipment
3632 Household refrigerators and home and farm
freezers
3633 Household laundry equipment
3634 Electrical housewares and fans
3635 Household vacuum cleaners
3639 Household appliances, n.e.c.*
3641 Electric lampbulbs and rubes
3643 Current carrying wiring devices
3644 Noncurrent carrying wiring devices
3645 Residential electric lighting fixtures
3646 Commercial, industrial, and institutional electric
lighting fixtures
3647 Vehicular lighting equipment
3648 Lighting equipment, n.e.c*
3651 Household audio and video equipment
3652 Phonograph records and pre-recorded audio
tapes and disks
3661 Telephone and telegraph apparatus
3663 Radio and television broadcasting and
communications equipment
3669 Communications equipment, n.e.c.*
3671 Electron tubes
3672 Printed circuit boards
3674 Semiconductors and related devices
3675 Electronic capacitors
3676 Electronic resistors
3677 Electronic coils, transformers, and other
inductors
3678 Electronic connectors
3679 Electronic components, n.e.c.*
3691 Storage batteries
3692 Primary batteries, dry and wet
3694 Electric equipment for internal combustion
engines
3695 Magnetic and optical recording media
3699 Electrical machinery, equipment, and supplies,
n.e.c.*
1-6 Toxics Release Inventory Reporting Forms and Instructions
37 Transportation Equipment
3711 Motor vehicles and passenger car bodies
3713 Truck and bus bodies
3714 Motor vehicle parts and accessories
3715 Truck trailers
3716 Motor homes
3721 Aircraft
3724 Aircraft engines and engine parts
3728 Aircraft parts and auxiliary equipment, n.e.c.*
3731 Ship building and repairing
3732 Boat building and repairing
3743 Railroad equipment
3751 Motorcycles, bicycles and parts
3761 Guided missiles and space vehicles
3764 Guided missile and space vehicle
propulsionunits and propulsion unit parts
3769 Guided missile and space vehicle parts and
auxiliary equipment, n.e.c.*
3792 Travel trailers and campers
3795 Tanks and tank components
3799 Transportation equipment, n.e.c.*
38 Measuring, Analyzing, and
Controlling Instruments;
Photographic, Medical and
Optical Goods; Watches and
Clocks
3812 Search, detection, navigation, guidance,
aeronautical, and nautical systems and
instruments
3821 Laboratory apparatus and furniture
3822 Automatic controls for regulating residential
and commercial environments and appliances
3823 Industrial instruments for measurement,
display, and control of process variables; and
related products
3824 Totalizing fluid meters and counting devices
3825 Instruments for measuring and testing of
electricity and electrical signals
3826 Laboratory analytical instruments
3827 Optical instruments and lenses
3829 Measuring and controlling devices, n.e.c.*
3841 Surgical and medical instruments and apparatus
3842 Orthopedic, prosthetic, and surgical appliances
and supplies
3843 Dental equipment and supplies
3844 X-ray apparatus and tubes and related
irradiation apparatus
*"N"ot elsewhere classified" indicated by "n.e.c."
I
-------
264
3845 Electromedical and electrotherapeutic apparatus
3851 Ophthalmic goods
3861 Photographic equipment and supplies
3873 Watches, clocks, clockwork operated devices,
and parts
39 Miscellaneous Manufacturing
Industries
3911 Jewelry, precious metal
3914 Silverware, plated ware, and stainless steel ware
3915 Jewelers' findings and materials, and lapidary
work
3931 Musical instruments
3942 Dolls and stuffed toys
3944 Games, toys and children's vehicles; except
dolls and bicycles
3949 Sporting and athletic goods, n.e.c.*
3951 Pens, mechanical pencils, and parts
3952 Lead pencils, crayons, and artists' materials
3953 Marking devices
3955 Carbon paper and inked ribbons
3961 Costume jewelry and costume novelties, except
precious metal
3965 Fasteners, buttons, needles, and pins
3991 Brooms and brushes
3993 Signs and advertising specialties
3995 Burial caskets
3996 Linoleum, asphalted-felt-base, and other hard
surface floor coverings, n.e.c.*
3999 Manufacturing industries, n.e.c.*
49 Electric, Gas, and Sanitary
Services (limited to 4911, 4931,4939 and
4953)
4911 Electric Services (limited to facilities that
combust coal and/or oil for the purpose of
generating electricity for distribution in
commerce)
4931 Electric and Other Services Combined (limited
to facilities that combust coal and/or oil for the
purpose of generating electricity for distribution
in commerce)
4939 Combination utilities, Not Elsewhere Classified
(limited to facilities that combust coal and/or oil
for the purpose of generating electricity for
distribution in commerce)
4953 Refuse Systems (limited to facilities regulated
under the RCRA Subtitle C, 42 U.S.C. section
6921 et secj.)
51 Wholesale Trade-Nondurable
Goods (limited to 5169 and 5171)
5169 Chemical and Allied Products, Not Elsewhere
Classified
5171 Petroleum Terminals and Bulk Stations
73 Busines s Services (limited to 7389)
7389 Business Services, Not Elsewhere Classified
(limited to facilities primarily engaged in
solvents recovery services on a contract or fee
basis)
*"Not elsewhere classified" indicated by "n.e.c."
Toxics Release Inventory Reporting Forms and Instructions 1-7
-------
265
-------
Table II. EPCRA Section 313 Chemical List For Reporting Year 1999
(including Toxic Chemical Categories)
Specific EPCRA Section 313 chemicals with CAS Numbers are listed in alphabetical starting on page II-3. A list of
the same chemicals in CAS Number order begins at the end of the alphabetical list of EPCRA Section 313 chemicals.
Covered chemical categories follow.
Certain EPCRA Section 313 chemicals listed in Table II have parenthetic "qualifiers." These qualifiers indicate that
these EPCRA Section 313 chemicals are subject to the section 313 reporting requirements if manufactured, processed,
or otherwise used in a specific form or when a certain activity is performed. The following chemicals are reportable
only if they are manufactured, processed, or otherwise used in the specific form(s) listed below:
Chemical
Aluminum (fume or dust)
Aluminum oxide (fibrous forms)
Ammonia (includes anhydrous ammonia and
aqueous ammonia from water dissociable
ammonium salts and other sources; 10
percent of total aqueous ammonia is
reportable under this listing)
Asbestos (friable)
Hydrochloric acid (acid aerosols including:
mists, vapors, gas, fog, and other airborne
forms of any particle size)
Phosphorus (yellow or white)
Sulfuric acid (acid aerosols including mists,
vapors, gas, fog, and_other airborne forms of
any particle size)
Vanadium (fume or dust)
Zinc (fume or dust)
CASJtegistry
Number
7429-90-5
1344-28-1
7664-41-7
1332-21-4
7647-01-0
7723-14-0
7664-93-9
7440-62-2
7440-66-6
Qualifier
Only if it is a fume or dust form.
Only if it is a fibrous form.
Only 10 percent of aqueous forms.
100 percent of anhydrous forms.
Only if it is a friable form.
Only if it is an aerosol form as
defined.
Only if it is a yellow or white form.
Only if it is an aerosol form as
defined.
Only if it is in a fume or dust form.
Only if it is in a fume or dust form.
The qualifier for the following two chemicals is based on the chemical activity rather than the form of the chemical.
These chemicals are subject to EPCRA section 313 reporting requirements only when the indicated activity is
performed.
Chemical CAS Number
Isopropyl alcohol (manufacturing — strong 67-63-0
acid process, no supplier notification)
Saccharin (manufacturing, no supplier 81-07-2
notification)
Qualifier
Only if it is being manufactured by
the strong acid process.
Only if it is being manufactured.
There are no supplier notification requirements for isopropyl alcohol and saccharin since the processors and users
of these chemicals are not required to report. Manufacturers of these chemicals do not need to notify their customers
that these are reportable EPCRA section 313 chemicals
*C./. means "Color Index"
Toxics Release Inventory Reporting Form and Instructions II-l
-------
267
Tabk II
[Note: Chemicals may be added to or deleted from the list. The Emergency Planning and Communi
Information Hotline, 1 (800) 424-9346, or (703) 412-9877, will provide up-to-date information on the status of
changes . See section B.4.b of the instructions for more information on the de minimis values listed below.]
Chemical Qualifiers
This table contains the list of individual EPCRA Section
313 chemicals and categories of chemicals subject to 1998
calendar year reporting. Some of the EPCRA Section 313
chemicals listed have parenthetic qualifiers listed next to
them. An EPCRA Section 313 chemical that is listed
without a qualifier is subject to reporting in all forms in
which it is manufactured, processed, and otherwise used.
Fume or dust. Three of the metals on the list (aluminum,
vanadium, and zinc) contain the qualifier "fume or dust."
Fume or dust refers to dry forms of these metals but does
not refer to "wet" forms such as solutions or slurries. As
explained in Section B.3.a of these instructions, the term
manufacture includes the generation of an EPCRA
Section 313 chemical as a byproduct or impurity. In such
cases, a facility should determine if, for example, it
generated more than 25,000 pounds of aluminum fume
or dust in the reporting year as a result of its activities.
If so, the facility must report that it manufactures
"aluminum (fume or dust)." Similarly, there may be
certain technologies in which one of these metals is
processed in the form of a fume or dust to make other
EPCRA Section 313 chemicals or other products for
distribution in commerce. In reporting releases, the
facility would only report releases of the fume or dust.
EPA considers dusts to consist of solid particles
generated by any mechanical processing of materials
including crushing, grinding, rapid impact, handling,
detonation, and decrepitation of organic and inorganic
materials such as rock, ore, and metal. Dusts do not tend
to flocculate, except under electrostatic forces. A fume is
an airborne dispersion consisting of small solid particles
created by condensation from a gaseous state, in
distinction to a gas or vapor. Fumes arise from the
heating of solids such as lead. The condensation is often
accompanied by a chemical reaction, such as oxidation.
Fumes flocculate and sometimes coalesce.
Manufacturing qualifiers. Two of the entries to the
section 313 EPCRA Section 313 chemical list contain a
qualifier relating to manufacture. For isopropyl alcohol,
the qualifier is "manufacturing — strong acid process."
For saccharin, the qualifier simply is "manufacturing."
For isopropyl alcohol, the qualifier means that only
facilities manufacturing isopropyl alcohol by the strong
acid process are required to report. In the case of
saccharin, only manufacturers of the EPCRA Section 313
chemical are subject to the reporting requirements. A
facility that processes or otherwise uses either EPCRA
Section 313 chemical would not be required to report for
those EPCRA Section 313 chemicals. In both cases,
supplier notification does not apply because only
manufacturers, not users, of the EPCRA Section 313
chemical must report.
Ammonia (includes anhydrous ammonia and aqueous
ammonia from water dissociable ammonium salts and
other sources; 10 percent of total aqueous ammonia is
reportable under this listing). The qualifier for
ammonia means that anhydrous forms of ammonia are
100 percent reportable and aqueous forms are limited to
10 percent of total aqueous ammonia. Therefore when
determining threshold and releases and other waste
management quantities all anhydrous ammonia
included but only 10 percent of total aqueous ammo
is included. Any evaporation of ammonia from aqueous
ammonia solutions is considered anhydrous ammonia
and should be included in threshold determinations and
release and other waste management calculations.
Sulfuric acid and Hydrochloric acid (acid aerosols
including mists, vapors, gas, fog, and other airborne
forms of any particle size). The qualifier for sulfuric
acid and hydrochloric acid means that the only forms of
this chemical that are reportable are aerosols. Aqueous
solutions are not covered by this listing but any aerosols
generated from aqueous solutions are covered.
Nitrate compounds (water dissociable; reportable only
when in aqueous solution). The qualifier for the nitrate
compounds category limits the reporting to nitrate
compounds that dissociate in water, generating nitrate
ion. For the purposes of threshold determinations the
entire weight of the nitrate compound must be included
in all calculations. For the purposes of reporting releases
and other waste management quantities only the weight
of the nitrate ion should be included in the calulations of
these quantities.
Phosphorus (yellow or white). The listing for
phosphorus is qualified by the term "yellow or white."
This means that only manufacturing, processing, or
II-2 Toxics Release Inventory Reporting Forms and Instructions
"Not elsewhere classified" indicated by "n.e.c."
-------
268
Tabkll
otherwise use of phosphorus in the yellow or white
chemical form triggers reporting. Conversely,
manufacturing, processing, or otherwise use of "black"
or "red" phosphorus does not trigger reporting. Supplier
notification also applies only to distribution of yellow or
white phosphorus.
Asbestos (friable). The listing for asbestos is qualified
by the term "friable," referring to the physical
characteristic of being able to be crumbled, pulverized, or
reducible to a powder with hand pressure. Only
manufacturing, processing, or otherwise use of asbestos
in the friable form triggers reporting. Supplier
notification applies only to distribution of mixtures or
other trade name products containing friable asbestos.
Aluminum Oxide (fibrous forms). The listing for
aluminum oxide is qualified by the term "fibrous forms."
Fibrous refers to a man-made form of aluminum oxide
that is processed to produce strands or filaments which
can be cut to various lengths depending on the
application. Only manufacturing, processing, or
otherwise use of aluminum oxide in the fibrous form
triggers reporting. Supplier notification applies only to
distribution of mixtures or other trade name products
containing fibrous forms of aluminum oxide.
a. Alphabetical List of TRI Chemicals
CAS Number Chemical Name
De Minimis
Concentration
71751-41-2 Abamectin [Avermectin Bl] 1.0
30560-19-1 Acephate 1.0
(Acetylphosphoramidothioic acid
O,S-dimethyl ester)
75-07-0 Acetaldehyde 0.1
60-35-5 Acetamide 0.1
75-05-8 Acetonitrile 1.0
98-86-2 Acetophenone 1.0
53-96-3 2-AcetyIaminofluorene 0.1
62476-59-9 Acifluorfen, sodium salt 1.0
[5-(2-Chloro-4-(trifluoromethyl)-
phenoxy)-2-nitrobenzoic acid,
sodium salt]
107-02-8 Acrolein 1.0
79-06-1 Acrylamide 0.1
79-10-7 Acrylic acid 1.0
107-13-1 Acrylonitrile 0.1
15972-60-8 Alachlor 1.0
116-06-3 Aldicarb 1.0
309-00-2 Aldrin 1.0
[l,4:5,8-Dimethanonaphthalene,
l,2,3,4,10,10-hexachloro-l,4,4a,
5,8,8a-hexahydro-(l .alpha.,
4.alpha.,4a.beta.,5.alpha.,8.alpha.,
Sa.beta.)-]
28057-48-9 d-trans-Allethrin 1.0
[d-trans-Chrysanthemic acid of
d-allethrone]
107-18-6 AUyl alcohol 1.0
107-11-9 Allylamine 1.0
107-05-1 AUyl chloride 1.0
7429-90-5 Aluminum (fume or dust) 1.0
20859-73-8 Aluminum phosphide 1.0
1344-28-1 Aluminum oxide (fibrous forms) 1.0
834-12-8 Ametryn 1.0
(N-Ethyi-N'-(l-methyIethyl)-6-
(methylthio)-l,3,5,-triazine-
2,4-diamine)
117-79-3 2-Aminoanthraquinone 0.1
60-09-3 4-Aminoazobenzene 0.1
92-67-1 4-Aminobiphenyl 0.1
82-28-0 l-Amino-2-methylanthraquinone 0.1
33089-61-1 Amitraz 1.0
61-82-5 Amitrole 0.1
"C.J. means "Color Index"
Toxics Release Inventory Reporting Form and Instructions II-3
-------
269
Table II
CAS Number Chemical Name
De Minimis
Concentration
7664-41-7 Ammonia 1.0
(includes anhydrous ammonia
and aqueous ammonia from water
dissociable ammonium salts and
other sources; 10 percent of total
aqueous ammonia is reportable
under this listing)
101-05-3 Anilazine 1.0
[4,6-Dichloro-N-(2-chIorophenyl)-
l,3,5-triazin-2-amine]
62-53-3 Aniline 1.0
90-04-0 o-Aiusidine 0.1
104-94-9 p-Anisidine 1.0
134-29-2 o-Arusidine hydrochloride 0.1
120-12-7 Anthracene 1.0
7440-36-0 Antimony 1.0
7440-38-2 Arsenic 0.1
1332-21-4 Asbestos (friable) 0.1
1912-24-9 Atrazine 0.1
(6-Chloro-N-ethyl-N'-(l-
methylethyl)-l,3,5-triazine-2,4-
diamine)
7440-39-3 Barium 1.0
22781-23-3 Bendiocarb 1.0
[2,2-Dimethyl-l,3-benzodioxoI-4-
ol methylcarbamate]
1861-10-1 Benfluralin 1.0
(N-Butyl-N-ethyI-2,6-dinitro-4-
(trifluoromethyl)-benzenamine)
17804-35-2 Benomyl 1.0
98-87-3 Benzal chloride 1.0
55-21-0 Benzamide 1.0
71-43-2 Benzene 0.1
92-87-5 Benzidine 0.1
98-07-7 Benzoic trichloride 0.1
(Benzotrichloride)
98-88-4 Benzoyl chloride 1.0
94-36-0 Benzoyl peroxide 1.0
100-44-7 Benzyl chloride 1.0
7440-41-7 Beryllium 0.1
82657-04-3 Bifenthrin 1.0
92-52-4 Biphenyl 1.0
111-91-1 Bis(2-chloroethoxy) methane 1.0
111-44-4 Bis(2-chloroethyl) ether 1.0
542-88-1 Bis(chloromethyl) ether 0.1
108-60-1 Bis(2-chloro-l-methylethyl)ether 1.0
56-35-9 Bis(tributylnn) oxide 1.0
10294-34-5 Boron trichloride 1.0
7637-07-2 Boron trifluoride 1.0
CAS Number Chemical Name
De Minimi:
Concentrati
314-40-9
53404-19-6
7726-95-6
35691-65-7
353-59-3
75-25-2
74-83-9
75-63-8
1689-84-5
1689-99-2
357-57-3
106-99-0
141-32-2
71-36-3
78-92-2
75-65-0
106-88-7
123-72-8
7440-43-9
156-62-7
133-06-2
63-25-2
1563-66-2
75-15-0
56-23-5
463-58-1
5234-68-4
120-80-9
Bromacil 1.0
(5-Bromo-6-methyl-3-(l-
methylpropyl)-2,4(lH,3H)-
pyrimidinedione)
Bromacil, lithium salt 1.0
[2,4(lH,3H)-Pyrimidinedione, 5-
bromo-6-methyI-3-(l-methyl-
propyl), lithium salt]
Bromine 1.0
l-Bromo-l-(bromomethyl)- 1.0
1,3-propanedicarbonitriIe
Bromochlorodifluoromethane 1.0
(Halon 1211)
Bromoform (Tribromomethane) 1.0
Bromomethane 1.0
(Methyl bromide)
Bromotrifluoromethane 1.0
(Halon 1301)
Bromoxynil 1.0
(3,5-Dibromo-4-hydroxybenzonitrile)
Bromoxynil octanoate 1.0
(Octanoic acid, 2,6-dibromo-4-
cyanophenylester)
Brucine
1,3-Butadiene
Butyl acrylate
n-Butyl alcohol
sec-Butyl alcohol
tert-Butyl alcohol
1,2-Butylene oxide
Butyraldehyde
Cadmium
Calcium cyanamide
Captan
[lH-Isoindole-l,3(2H)-dione,
3a,4,7,7a-tetrahydro-2-
[(trichloromethyl)thio]-]
Carbaryl [1-Naphthalenol,
methylcarbamate]
Carbofuran
Carbon disulfide
Carbon tetrachloride
Carbonyl sulfide
Carboxin
(5,6-Dihydro-2-methyl-N-
phenyl-l,4-oxathiin-3-carboxamide)
Catechol 1.0
1.0
0.1
1.0
1.0
1.0
1.0
1.0
1.0
0.1
1.0
1.0
1.0
1.0
1.0
0.1
1.0
1.0
II-4 Toxics Release Inventory Reporting Forms and Instructions
""Not elsewhere classified" indicated by "n.e.c."
-------
270
CAS Number Chemical Name
De Minimis
Concentration
2439-01-2 Chinomethionat 1.0
[6-Methyl-l,3-dithioIo[4,5-
b]quinoxalin-2-one]
133-90-4 Chloramben 1.0
[Benzole acid, 3-amino-2,5-dichloro-]
57-74-9 CWordane 0.1
[4,7-Methanoindan,
1,2,4,5,6,7,8,8-octachIoro-
2,3,3a,4,7,7a-hexahydro-]
115-28-6 Chlorendic acid 0.1
90982-32-4 Chlorimuron ethyl 1.0
[Ethyl-2-[[[[(4-chloro-6-
methoxyprimidin-2
-yl)amino]carbonyl]amino]
sulfonyl]benzoate]
7782-50-5 Chlorine 1.0
10049-04-4 Chlorine dioxide 1.0
79-11-8 Chloroacetic acid 1.0
532-27-4 2-Chloroacetophenone 1.0
4080-31-3 l-(3-Chloroa!iyl)-3,5,7-triaza- 1-0
1-azoniaadamantane chloride
106-17-8 p-Chloroaniline 0.1
108-90-7 Chlorobenzene 1.0
510-15-6 Chlorobenzilate 1.0
[Benzeneacetic acid, 4-chloro-
.alpha.- (4-chlorophenyl)-.aIpha.-
hydroxy-, ethyl ester]
75-68-3 l-Chloro-l,l-dtfluoroethane 1.0
(HCFC-142b)
75-15-6 Chlorodifluoromethane 1.0
(HCFC-22)
75-00-3 Chloroethane (Ethyl chloride) 1.0
67-66-3 Chloroform 0.1
74-87-3 Chloromethane (Methyl chloride) 1.0
107-30-2 Chloromethyl methyl ether 0.1
563-47-3 3-Chloro-2-methyl-l-propene 0.1
104-12-1 p-Chlorophenyl isocyanate 1.0
76-06-2 Chloropicrin 1.0
126-99-8 Chloroprene 1.0
542-76-7 3-ChIoropropionitrile 1.0
63938-10-3 Chlorotetrafluoroethane 1.0
354-25-6 l-Chloro-1,1,2,2- 1.0
tetrafluoroethane (HCFC-124a)
2837-89-0 2-Chloro-l,l,X2- 1.0
tetrafluoroethane (HCFC-124)
1897-45-6 Chlorothalonil 1.0
[1,3-Benzenedicarbonitrile,
2,4,5,6-tetrachloro-]
95-69-2 p-Chloro-o-toluidine 0.1
CAS Number Chemical Name
De Minimis
Concentration
75-88-7 2-Chloro-l,l,l- 1.0
trifluoroethane (HCFC-133a)
75-72-9 Chlorotrifluoromethane (CFC-13) 1.0
460-35-5 3-Chloro-l,l,l- 1-0
trifluoropropane (HCFC-253fb)
5598-13-0 Chlorpyrifos methyl 1.0
[OX>-Drniethyl-O-(3,5,6-trichloro-
2-pyridyl)phosphorothioate]
64902-72-3 Chlorsulfuron 1.0
[2-Chloro-N-[[(4-methoxy-6-
methyl-l,3,5-triazin-2-yl)
aminojcarbonyl]
benzenesulfonamide]
7440-47-3 Chromium 1.0
4680-78-8 C.I. Acid Green 3 1-0
6459-94-5 C.I. Acid Red 114 0.1
569-64-2 C.I. Basic Green 4 1.0
989-38-8 C.I. Basic Red 1 1.0
1937-37-7 C.I. Direct Black 38 0.1
2602-46-2 C.I. Direct Blue 6 0.1
28407-37-6 C.I. Direct Blue 218 1.0
16071-86-6 C.I. Direct Brown 95 0.1
2832-40-8 C.I. Disperse Yellow 3 1.0
3761-53-3 C.I. Food Red 5 0.1
81-88-9 C.I. Food Red 15 1.0
3118-97-6 C.I. Solvent Orange 7 1.0
97-56-3 C.I. Solvent Yellow 3 1.0
842-07-9 C.I. Solvent Yellow 14 1.0
492-80-8 C.I. Solvent Yellow 34 0.1
(Auramine)
128-66-5 C.I. Vat Yellow 4 1.0
7440^8^ Cobalt 0.1
7440-50-8 Copper 1.0
8001-58-9 Creosote 0.1
120-71-8 p-Cresidine 0.1
108-39-4 m-Cresol 1.0
95-48-7 o-Cresol 1.0
106-44-5 p-Cresol 1.0
1319-77-3 Cresol (mixed isomers) 1.0
4170-30-3 Crotonaldehyde 1.0
98-82-8 Cumene 1.0
80-15-9 Cumene hydroperoxide 1.0
135-20-6 Cupferron 0.1
[Benzeneamine, N-hydroxy-
N-nitroso, ammonium salt]
21725^16-2 Cyanazine 1.0
1134-23-2 Cycloate 1.0
110-82-7 Cyclohexane 1.0
108-93-0 Cyclohexanol 1.0
*C,l. means "ColorIndex"
Toxics Release Inventory Reporting Form and Instructions 11-5
-------
271
Table II
CAS Number Chemical Name
De Minimis
Concentration
68359-37-5 Cyfluthrin 1.0
[3-(2,2-DichIoroethenyl)-2,2-
dimethylcyclopropanecarbox-
ylic acid, cyano(4-fluoro-3-
phenoxyphenyl) methyl ester]
68085-85-8 Cyhalothrin 1.0
[3-(2-Chloro-3,3,3-trifluoro-l-
propenyl)-2,2-dimethylcyclo-
propanecarboxylic
acid cyano(3-phenoxyphenyl)
methyl ester]
94-75-7 2,4-D 0.1
[Acetic acid, (2,4-dichlorophenoxy)-]
533-74-1 Dazomet 1.0
(Tetrahydro-3,5-dimethyl-2H-
l,3,5-thiadiazine-2-thione)
53404-60-7 Dazomet, sodium salt 1.0
[Tetrahydro-3,5-dimethyl-2H-
l,3,5-thiadiazine-2-thione, ion(l-),
sodium]
94-82-6 2,4-DB 1.0
1929-73-3 2,4-D butoxyethyl ester 0.1
94-80-4 2,4-D butyl ester 0.1
2971-38-2 2,4-D chlorocrotyl ester 0.1
1163-19-5 Decabromodiphenyl oxide 1.0
13684-56-5 Desmedipham 1.0
1928-43-4 2,4-D 2-ethyIhexyI ester 0.1
53404-37-8 2,4-D 2-ethyl-4- 0.1
methylpentyl ester
2303-16-4 Diallate 1.0
[Carbamothioic acid, bis(l-
methyiethyl)-S-{2,3-dichloro-
2-propenyl) ester]
615-05-4 2,4-Diaminoanisole 0.1
39156-41-7 2,4-Diaminoanisole sulfate 0.1
101-80-4 4,4'-Diaminodiphenyl ether 0.1
95-80-7 2,4-Diaminotoluene 0.1
25376-45-8 Diaminotoluene (mixed isomers) 0.1
333-41-5 Diazinon 1.0
334-88-3 Diazomethane 1.0
132-64-9 Dibenzofuran 1.0
96-12-8 l,2-Dibromo-3- 0.1
chloropropane (DBCP)
106-93-4 1,2-Dibromoethane 0.1
(Ethylene dibromide)
124-73-2 Dibromotetrafluoroethane 1.0
(Halon 2402)
84-74-2 Dibutyl phthalate 1.0
CAS Number Chemical Name
DeMi
Concentrati
1918-00-9
99-30-9
95-50-1
541-73-1
106-46-7
25321-22-6
91-94-1
612-83-9
64969-34-2
75-27-4
764-41-0
110-57-6
1649-08-7
75-71-8
107-06-2
540-59-0
1717-00-6
75^3-4
75-09-2
127564-92-5
13474-88-9
111512-56-2
422-44-6
431-86-7
507-55-1
136013-79-1
128903-21-9
22-48-0
422-56-0
97-23-4
120-83-2
78-87-5
II-6 Toxics Release Inventory Reporting Forms and Instructions
Dicamba 1.0
(3,6-Dichloro-2-methoxybenzoic
acid)
Dichloran 1.0
[2,6-DichIoro-4-nitroaniline]
1,2-Dichlorobenzene 1.0
1,3-DichIorobenzene 1.0
1,4-Dichlorobenzene 0.1
Dichlorobenzene (mixed isomers) 0.1
3,3'-Dichlorobenzidine 0.1
3,3'-DichIorobenzidine 0.1
dihydrochloride
3,3'-Dichlorobenzidine sulfate 0.1
Dichlorobromomethane 1.0
l,4-Dich!oro-2-butene 1.0
trans-l,4-Dichloro-2-butene 1.0
l,2-Dichloro-l,l- 1.0
difluoroethane (HCFC-132b)
Dichlorodifluoromethane (CFC-12) 1.0
1,2-DichIoroethane (Ethylene 0.1
dichloride)
1,2-DichloroethyIene 1.0
1,1-Dichloro-l-fluoroethane 1.0
(HCFC-141b)
Dichlorofluoromethane (HCFC-21) 1.0
Dichloromethane {Methylene 0.1
chloride)
Dichloropentafluoropropane 1.0
l,l-Dichloro-l,2,2,3,3- 1.0
pentafluoropropane (HCFC-225cc)
l,l-Dichloro-l,2,3,3,3- 1.0
pentafluoropropane (HCFC-225eb)
l,2-Dichloro-l,l,2,3,3- 1.0
pentafluoropropane (HCFC-225bb)
l,2-Dichloro-l,l,3,3,3- 1.0
pentafluoropropane (HCFC-225da)
l,3-Dichloro-l,l,2,2,3- 1.0
pentafluoropropane (HCFC-225cb)
l,3-Dichloro-l,l,2,3,3- 1.0
pentafluoropropane (HCFC-225ea)
2,2-Dichloro-l,l,l,3,3- 1.0
pentafluoropropane (HCFC-225aa)
2,3-Dichloro-l,l,l,2,3- 1.0
pentafluoropropane (HCFC-225ba)
3,3-DichIoro-l,l,l,2,2- 1.0
pentafluoropropane (HCFC-225ca)
Dichlorophene 1.0
[2,2'-Methylenebis(4-chlorophenol)]
2,4-DichIorophenol 1.0
1,2-DichIoropropane 1.0
*"Not elsewhere classified" indicated by "n.e.c."
-------
272
CAS Number Chemical Name
De Minimis
Concentration
10061-02-6 trans-13-Dichloropropene 0.1
78-88-6 2,3-Dichloropropene 1.0
542-75-6 1,3-Dkhloropropylene 0.1
76-14-2 Dichlorotetrafluoroethane 1.0
(CFC-114)
34077-87-7 Dichlorotrifluoroethane 1.0
90454-18-5 Dichloro-l,l,2-trifluoroethane 1.0
812-0^4 l,l-Dichloro-l,2,2- 1.0
trifluoroetihane (HCFC-123b)
354-23-4 l,2-Dichloro-l,l,2- 1.0
trifluoroethane (HCFC-123a)
306-83-2 2,2-Dichloro-l,l,l- 1-0
trifluoroethane (HCFC-123)
62-73-7 Dichlorvos 0.1
[Phosphoric acid, 2,2-
dichloroethenyl dimethyl ester]
51338-27-3 Diclofop methyl 1.0
[2-[4-(2,4-Dichlorophenoxy)
phenoxyjpropanoic acid,
methyl ester]
115-32-2 Dicofol 1.0
[Benzenemethanol, 4-chloro-
.alpha.-4-(chIorophenyl)-.a!pha.-
(trichloromethyl)-]
77-73-6 Dicyclopentadiene 1.0
1464-53-5 Diepoxybutane 0.1
111-42-2 Diethanolamine 1.0
38727-55-8 Diethatyl ethyl 1.0
117-81-7 Di(2-ethylhexyl) phthalate (DEHP) 0.1
64-67-5 Diethyl sulfate 0.1
35367-38-5 Diflubenzuion 1.0
101-90-6 Diglycidyl resorcinol ether 0.1
94-58-6 Dihydrosafrole 0.1
55290-64-7 Dimethipin 1.0
[2,3-Dihydro-5,6-dimethyl-l,4-
dithiin-l,l,4,4-tetraoxide]
60-51-5 Dimethoate 1.0
119-90^ 3,3'-Dimetrioxybenzidine 0.1
dihydrochloride)
20325-40-0 3,3'-Dimethoxybenzidine 0.1
dihydrochIoride(o-Dianisidirte
111984-09-9 3,3-Dimethoxybenzidine 0.1
hydrochloride
(o-Dianisidine hydrochloride)
124-40-3 Dimethylamine
2300-66-5 Dimethylamine dicamba
60-11-7 4-Dimethylaminoazobenzene
121-69-7 N,N-Dimethylaniline
119-93-7
1.0
1.0
0.1
1.0
3,3'-Dimethylbenzidine (o-Tolidine) 0.1
CAS Number Chemical Name
Table II
De Minimis
Concentration
612-82-8 3,3'-Dimethylbenzidine 0.1
dihydrochloride (o-ToIidine
dihydrochloride)
41766-75-0 3,3'-Dimethylbenzidine 0.1
dihydrofluoride (o-Tolidine
dihydrofluoride)
79-44-7 Dimethylcarbamyl chloride 0.1
2524-03-0 Dimethyl 1.0
chlorothiophosphate
68-12-2 N,N-Dimethylformamide 0.1
57-14-7 1,1-Dimethylhydrazine 0.1
105-67-9 2,4-DimethyIphenol 1.0
131-11-3 Dimethyl phthalate 1.0
77-78-1 Dimethyl sulfate 0.1
99-65-0 m-Dinitrobenzene 1.0
528-29-0 o-Dinitrobenzene 1.0
100-25-4 p-Dinitrobenzene 1.0
88-85-7 Dinitrobutyl phenol (Dinoseb) 1.0
534-52-1 4,6-Dinitro-o-cresol 1.0
51-28-5 2,4-Dinitrophenol 1.0
121-14-2 2,4-DinitrotoIuene 0.1
606-20-2 2,6-Dinitrotoiuene 0.1
25321-14-6 Dinitrotoluene {mixed isomers) 1.0
39300-45-3 Dinocap 1.0
123-91-1 1,4-Dioxane 0.1
957-51-7 Diphenamid 1.0
122-39-4 Diphenylamine 1.0
122-66-7 1,2-Diphenylhydrazine 0.1
(Hydrazobenzene)
2164-07-0 Dipotassium endothall 1.0
[7-Oxabicyclo(2.2.1 )heptane-2,3-
dicarboxylic acid, dipotassium salt]
136-45-8 Dipropyl isocirtchomeronate 1.0
138-93-2 Disodium 1.0
cyanodithioimidocarbonate
94-11-1 2,4-D isopropyl ester 0.1
541-53-7 2,4-Dithiobiuret 1.0
330-54-1 Diuron 1.0
2439-10-3 Dodine [Dodecylguanidine 1.0
monoacetate]
120-36-5 2,4-DP 0.1
1320-18-9 2,4-D propylene glycol 0.1
butyl ether ester
2702-72-9 2,4-D sodium salt 0.1
106-89-8 Epichlorohydrin 0.1
13194-i8^ Ethoprop 1.0
[Phosphorodithioic acid O-ethyl
S,S-dipropyl ester]
110-80-5 2-EthoxyethanoI 1.0
140-88-5 Ethyl acrylate 0.1
*CJ. means "ColorIndex"
Toxics Release Inventory Reporting Form and Instructions 11-7
-------
273
Table II
CAS Number Chemical Name
De Minimis
Concentration
100-41-4 Ethylbenzene 1.0
541-41-3 Ethyl chloroformate 1.0
759-94-4 Ethyl dipropylthiocarbamate 1.0
(EPTC)
74-85-1 Ethylene 1.0
107-21-1 Ethylene glycol 1.0
151-56-4 Ethyleneimine (Aziridine) 0.1
75-21-8 Ethylene oxide . 0.1
96-45-7 Ethylene thiourea 0.1
75-34-3 Ethylidene dichloride 1.0
52-85-7 Famphur 1.0
60168-88-9 Fenarimol 1.0
[.aIpha.-(2-ChIorophenyl)-.alpha.-
(4-
pyrimidinone[3-[4-
(trifluoromethyI)phenyl]-l-[2-[4-
(trifluoromethyl)phenyI]ethenyl]-2-
propenylidenejhydrazone]
Hydrazine 0.1
Hydrazine sulfate 0.1
Hydrochloric acid 1.0
(acid aerosols including mists,
vapors, gas, fog, and other airborne
forms of any particle size)
Hydrogen cyanide 1.0
Hydrogen fluoride 1.0
Hydroquinone 1.0
Imazalil 1.0
[l-[2-(2,4-Dkhlorophenyl)-2-(2-
propenyloxy)ethyl]-lH-imidazole]
3-Iodo-2-propynyl 1.0
butylcarbamate
'"Not elsewhere classified" indicated by "n.e.c."
-------
274
CAS Number Chemical Name
De Minimi s
Concentration
13463-40-6 Iron pentacarbonyl 1.0
78-84-2 Isobutyraldehyde 1.0
465-73-6 Isodrin 1.0
25311-71-1 Isofenphos[2-[[Ethoxyl[(l- 1.0
methylethyl)amino]-
phosphinothioyljoxy]
benzole acid 1-methylethyl ester]
67-63-0 Isopropyl alcohol 1.0
(manufacturing-strong acid
process, no supplier notification)
80-05-7 4,4-IsopropyIidenediphenol 1.0
120-58-1 Isosafrole 1.0
77501-63-4 Lactofen 1.0
[Benzoic acid, 5-[2-Chloro-4-
(trifluoromethyl)phenoxy]-2-
nitro-,2-ethoxy-l-methyl-2-
oxoethyl ester]
7439-92-1 Lead 0.1
58-89-9 Lindane 0.1
[Cyclohexane, 1,2,3,4,5,6-
hexachloro-, (l.alpha.,2.alpha.,
S.beta., 4.alpha., S.alpha., 6.beta.)-]
330-55-2 Linuron 1.0
554-13-2 Lithium carbonate 1.0
121-75-5 Malathion 1.0
108-31-6 Maleic anhydride 1.0
109-77-3 Malononitrile 1.0
12427-38-2 Maneb 1.0
[Carbamodithioic acid, 1,2-
ethanediylbis-, manganese complex]
7439-96-5 Manganese 1.0
93-65-2 Mecoprop 0.1
149-30-4 2-Mercaptobenzothiazole (MBT) 1.0
7439-97-6 Mercury 1.0
150-50-5 Merphos 1.0
126-98-7 Methacrylonitrile 1.0
137-42-8 Metham sodium (Sodium 1.0
methyldithiocarbamate)
67-56-1 Methanol 1.0
20354-26-1 Methazole 1.0
[2-(3,4-DichIorophenyl)-4-methyl-
l,2,4-oxadiazolidine-3,5-dione]
2032-65-7 Methiocarb 1.0
94.74-6 Methoxone 0.1
((4-Chloro-2-methylphenoxy)
acetic acid) (MCPA)
3653-18-3 Methoxone sodium salt 0.1
((4-Chloro-2-methyIphenoxy)
acetate sodium salt)
CAS Number Chemical Name
De Minimis
Concentration
72-43-5 Methoxychlor 1.0
[Benzene, l,l'-(2,2,2-rrichIoro-
ethylidene)bis[4-methoxy-]]
109-86-4 2-MethoxyethanoI 1.0
96-33-3 Methyl acrylate 1.0
1634-04-4 Methyl tert-butyl ether 1.0
79-22-1 Methyl chlorocarbonate 1.0
101-144 4,4'-Methylenebis(2- 0.1
chloroaniline) (MBOCA)
101-61-1 4,4'-Merhylenebis(N,N- 0.1
dimethyl)benzenamine
74-95-3 Methylene bromide 1.0
101-77-9 4,4'-MethyIenedianiIine 0.1
78-93-3 Methyl ethyl ketone 1.0
60-34-4 Methyl hydrazine 1.0
74-88-4 Methyl iodide 1.0
108-10-1 Methyl isobutyl ketone 1.0
624-83-9 Methyl isocyanate 1.0
556-61-6 Methyl isothiocyanate 1.0
[Isothiocyanatomethane]
75-86-5 2-MethyllactonitriIe 1.0
80-62-6 Methyl methacrylate 1.0
924-42-5 N-Methylolacrylamide 1.0
298-00-0 Methyl parathion 1.0
109-06-8 2-Methylpyridine 1,0
872-50-4 N-Methyl-2-pyrrolidone 1.0
9006-12-2 Metiram 1.0
21087-64-9 Metribuzin 1.0
7786-34-7 Mevinphos 1.0
90-94-8 Michler's ketone 0.1
2212-67-1 Molinate 1.0
(IH-Azepine-l-carbothioic acid,
hexahydro-, S-ethyl ester)
1313-27-5 Molybdenum trioxide 1.0
76-15-3 Monochloropenta- 1.0
fluoroethane (CFC-115)
150-68-5 Monuron 1.0
505-60-2 Mustard gas 0.1
[Ethane, l,l'-thiobis[2-chloro-]]
88671-89-0 Myclobutanil 1.0
[.alpha.-Butyl-.alpha.-
(4-chlorophenyl)-lH-l,2,4-triazoIe-
1 -propanenitr ile]
142-59-6 Nabam 1.0
300-76-5 Naled 1.0
91-20-3 Naphthalene 1.0
134-32-7 alpha-Naphthylamine 0.1
91-59-8 beta-Naphthylamine 0.1
7440-02-0 Nickel 0.1
*C.f. means "Color Index"
Toxics Release Inventory Reporting Form and Instructions 11-9
-------
275
Table II
CAS Number Chemical Name
De Minimis
Concentration
1929-82-4 Nitrapyrin 1.0
(2-ChIoro-6-(trichIoromethyl)-
pyridine)
7697-37-2 Nitric acid 1.0
139-13-9 Nitrilotriacetic acid 0.1
100-01-6 p-Nitroaniline 1.0
99-59-2 5-Nitro-o-anisidine 1.0
98-95-3 Nitrobenzene 0.1
92-93-3 4-Nitrobiphenyl 0.1
1836-75-5 Nitrofen 0.1
[Benzene, 2,4-dichloro-l-(4-
nitrophenoxy)-]
51-75-2 Nitrogen mustard 0.1
[2-Chloro-N-(2-chloroethyI)-N-
methylethanamine]
55-63-0 Nitroglycerin 1.0
88-75-5 2-Nitrophenol 1.0
100-02-7 4-NitrophenoI 1.0
79-46-9 2-Nitropropane 0.1
924-16-3 N-Nitrosodi-n-butylamine 0.1
55-18-5 N-Nitrosodiethylamine 0.1
62-75-9 N-Nitrosodimethylamine 0.1
86-30-6 N-Nitrosodiphenylamine 1.0
156-10-5 p-Nitrosodiphenylamine 1.0
621-64-7 N-Nitrosodi-n-propylamine 0.1
759-73-9 N-Nitroso-N-ethylurea 0.1
684-93-5 N-Nitroso-N-methylurea 0.1
4549-40-0 N-Nitrosomefhylvinylamine 0.1
59-89-2 N-Nitrosomorpholine 0.1
16543-55-8 N-Nitrosonornicotine 0.1
100-75-4 N-Nitrosopiperidine 0.1
99-55-8 5-Nitro-o-toluidine 1.0
27314-13-2 Norflurazon 1.0
[4-Chloro-5-(methylamino)-2-[3-
(trifluoromethyl)phenyl]-3(2H)-
pyridazinone]
2234-13-1 Octachloronaphthalene 1.0
19044-88-3 Oryzalin 1.0
[4-(Dipropylamino)-3,5-dinitro-
benzene sulfonamide]
20816-12-0 Osmium tetroxide 1.0
301-12-2 Oxydemeton methyl 1.0
[S-(2-(Ethylsulfinyl)ethyl) O,O-
dimethyl ester phosphorothioic acid]
19666-30-9 Oxydiazon 1.0
[3-[2,4-Dkhloro-5-(l-methyl-
ethoxy)phenyl]- 5-{l,l -dimethyl
ethyl)-! ,3,4-oxadiazol-2(3H)-one]
42874-03-3 Oxyfluorfen 1.0
10028-15-6 Ozone 1.0
CAS Number Chemical Name
De Mini:
Concentratio:
123-63-7
1910-42-5
56-38-2
1114-71-2
40487-42-1
76-01-7
87-86-5
57-33-0
79-21-0
594-42-3
52645-53-1
85-01-8
108-95-2
26002-80-2
95-54-5
108-45-2
106-50-3
615-28-1
624-18-0
90-43-7
57-41-0
75-44-5
7803-51-2
7664-38-2
7723-14-0
85-44-9
1918-02-1
88-89-1
51-03-6
29232-93-7
1336-36-3
7758-01-2
II-10 Toxics Release Inventory Reporting Forms and Instructions
Paraldehyde 1.0
Paraquat dichloride 1.0
Parathion 1.0
[Phosphorothioic acid, O,O-
diethyl-O-(4-nitrophenyl)ester]
Pebulate 1.0
[Butylethylcarbamothioic acid S-
propyl ester]
Pendimethalin 1.0
[N-(l-EthyIpropyl)-3,4-dimethyl-
2,6-dinitrobenzenamine]
Pentachloroethane 1.0
Pentachlorophenol (PCP) 0.1
Pentobarbital sodium 1.0
Per acetic acid 1.0
Perchloromethyl mercaptan 1.0
Permethrin 1.0
[3-(2,2-Dichloroethenyl)-2,2-
dimethylcyclopropanecarbox-
ylic acid, (3-phenoxyphenyI)
methyl ester]
Phenanthrene 1.0
Phenol 1.
Phenothrin 1.0
[2,2-Dimethyl-3-(2-methyI-l-
propenyl)cyclopropanecarboxylic
acid (3-phenoxyphenyl)methyl ester]
1,2-PnenyIenediamine 1.0
1,3-PhenyIenediamine 1.0
p-Phenylenediamine 1.0
1,2-Phenylenediamine 1.0
dihydrochloride
1,4-Phenylenediamine 1.0
dihydrochloride
2-PhenylphenoI 1.0
Phenytoin 0.1
Phosgene 1.0
Phosphine 1.0
Phosphoric acid 1.0
Phosphorus {yellow or white) 1.0
Phthalic anhydride 1.0
Picloram 1.0
Picric acid 1.0
Piperonyl butoxide 1.0
Pirimiphos methyl 1.0
[O-(2-(Diethylamino)-6-methyl-4-
pyrimidinyl)-O,O-
dimethylphosphorothioate]
Polychlorinated biphenyls (PCBS) 0.1
Potassium bromate 0.1
"'Not elsewhere classified" indicated by "n.e.c."
-------
276
CAS Number Chemical Name
De Minimis
Concentration
128-03-0 Potassium 1.0
dimethyldithiocarbamate
137-41-7 Potassium N- 1.0
methyldithiocarbamate
41198-08-7 Profenofos 1.0
[O-(4-Bromo-2-chlorophenyl)-O-
ethyl-S-propyl phosphorothioate]
7287-19-6 Prometryn 1.0
[N,N'-Bis(l-methyIethy!)-6-
memylthio-l,3,5-triazine-2,4-diamine]
23950-58-5 Pronamide 1.0
1918-16-7 Propachlor 1.0
[2-ChIoro-N-(l-methylethyl)-N-
phenylacetamide]
1120-71-4 Propane sultone 0.1
709-98-8 Propanil 1.0
[N-(3,4-DichlorophenyI)-
propanamide]
2312-35-8 Propargite 1.0
107-19-7 Propargyl alcohol 1.0
31218-83-4 Propetamphos 1.0
[3-[(Ethylamino)
methoxyphosphinothioyl]oxy]-
2-butenoic acid, l-methylethyl ester]
60207-90-1 Propiconazole 1.0
[l-[2-(2,4-Dichlorophenyl)-4-
propyl-l,3-dioxoIan-2-yl]-methyl-
lH-l,2,4,-triazole]
57-57-8 beta-PropioIactone 0.1
123-38-6 Propionaldehyde 1.0
114-26-1 Propoxur 1.0
[Phenol, 2-(l-methylethoxy)-,
methylcarbamate]
115-07-1 Propylene (Propene) 1.0
75-55-8 Propyleneimine 0.1
75-56-9 Propylene oxide 0.1
110-86-1 Pyridine 1.0
91-22-5 Quinoline 1.0
106-51-4 Quinone 1.0
82-68-8 Quintozene 1.0
(Pentachloronitrobenzene)
76578-14-8 Quizalofop-ethyl 1.0
[2-[4-[(6-Chloro-2-
quinoxalinyl)oxy]phenoxy]
propanoic acid ethyl ester]
10453-86-8 Resmethrin 1.0
[[5-(Phenylmethyl)-3-furanyl]-
methyl-2,2-dimethyI-3-(2-methyl-
1-propenyl) cyclopropane
tarboxylate]
CAS Number Chemical Name
De Minimis
Concentration
81-07-2
94-59-7
7782-49-2
74051-80-2
7440-22-4
122-34-9
26628-22-8
1982-69-0
128-04-1
62-74-8
7632-00-0
131-52-2
132-27-4
100-42-5
96-09-3
[7664-93-9
2699-79-8
35400-43-2
34014-18-1
3383-96-8
5902-51-2
630-20-6
79-34-5
127-18-4
354-11-0
354-14-3
961-11-5
64-75-5
0.1
Saccharin (manufacturing, no
supplier notification)
Safrole
Selenium
Sethoxydim
[2-[l-(Ethoxyimino)butyl]-5-[2-
(ethyIthio)propyI]-3-hydroxyl-2-
cyclohexen-l-one]
Silver
Simazine
Sodium azide
Sodium dicamba
[3,6-Dichloro-2-methoxybenzoic
acid, sodium salt]
Sodium dimethyldithio-
carbamate
Sodium fluoroacetate
Sodium nitrite
Sodium pentachlorophenate
Sodium o-phenylphenoxide
Styrene
Sryrene oxide
Sulfuric acid
(acid aerosols including mists,
vapors, gas, fog, and other
airborne forms of any particle size)
Sulfuryl fluoride (Vikane)
Sulprofos
[O-Ethyl O-[4-(methylthio)phenyl]
phosphorodithioic acid S-propylester]
Tebuthiuron 1.0
[N-[5-(l,l-DimethyIethyl)-l,3,4-
thiadiazol-2-yl]-N,N'-dimethylurea]
Temephos 1.0
Terbacil 1.0
[5-Chloro-3-(l,l-dimethylethyl)-6-
methyl-2,4(!H3H)-pyrimidinedione]
1,1,1,2-TetrachIoroethane 1,0
1,1,2,2-TetrachIoroethane 1.0
Tetrachloroethylene 0.1
(Perchloroethylene)
l,l,l,2-Tetrachloro-2- 1.0
fluoroethane (HCFC-121a)
1,1,2,2-Tetrachloro-l- 1.0
fluoroethane (HCFC-121)
Tetrachlorvinphos 1.0
[Phosphoric acid, 2-chloro-l-
(2,4,5-trkhlorophenyl) ethenyl
dimethyl ester]
Tetracycline hydrochloride 1.0
0.1
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
0.1
0.1
0.1
1.0
1.0
1.0
*C/. means "Color Index"
Toxics Release Inventory Reporting Form and Instructions 11-11
-------
277
Table II
CAS Number Chemical Name
De Minimis
Concentration
7696-12-0 Tetramethrin 1.0
[2,2-DimethyI-3-(2-methyl-l-
propenyl) cyclopropanecarboxylic
acid (l,3,4,5,6,7-hexahydro-l,3-
dioxo-2H-isoindol-2-yl)methyl ester]
7440-28-0 Thallium 1.0
148-79-8 Thiabendazole 1.0
[2-(4-Thiazolyl)-lH-benzimidazole]
62-55-5 Thioacetamide 0.1
28249-77-6 Thiobencarb 1.0
[Carbamic acid, diethylthio-, S-
(p-chlorobenzyl)ester]
139-65-1 4,4'-Thiodianiline 0.1
59669-26-0 Thiodicarb 1.0
23564-06-9 Thiophanate ethyl 1.0
[[1,2-Phenylenebis-
(iminocarbonothioyl)]biscarbamic
acid diethylester]
23564-05-8 Thiophanate methyl 1.0
79-19-6 Thiosemicarbazide 1.0
62-56-6 Thiourea 0.1
137-26-8 Thiram 1.0
1314-20-1 Thorium dioxide 1.0
7550-45-0 Titanium tetrachloride 1.0
108-88-3 Toluene 1.0
584-84-9 Toluene-2,4-diisocyanate 0.1
91-08-7 ToIuene-2,6-diisocyanate 0.1
26471-62-5 Toluene diisocyanate (mixed 0.1
isomers)
95-53^1 o-ToIuidine 0.1
636-21-5 o-ToIuidine hydrochloride 0.1
8001-35-2 Toxaphene 0.1
43121-43-3 Triadimefon 1.0
[l-(4-Ch!orophenoxy)-3,3-di-
methyl-l-(lH-l,2,4-triazoI-l-yl)-2-
butanone]
2303-17-5 TriaUate 1.0
68-76-8 Triaziquone 1.0
[2,5-Cyclohexadiene-l,4-dione,
2,3,5-tris(l-aziridinyl)-]
101200-48-0 Tribenuron methyl 1.0
[2-n[[(4-Methoxy-6-methyl-l,3,5-
triazin-2-yl)-methylamino]-
carbonyl]amino]sulfonyl] benzoic
acid-methyl ester)
1983-10-4 Tributyltin fluoride 1.0
2155-70-6 Tributyltin methacrylate 1.0
78-48-8 S,S,S-Tributyltrithio- 1.0
phosphate (DBF)
11-12 Toxics Release Inventory Reporting Forms and Instructions
CAS Number Chemical Name
De Mini
Concentrate
52-68-6
76-02-8
120-82-1
71-55-6
79-00-5
79-01-6
75-69-4
95-95-4
88-06-2
96-18-4
57213-69-1
121-44-8
1582-09-5
26644-46-2
95-63-6
2655-15-4
639-58-7
76-87-9
126-72-7
72-57-1
51-79-6
7440-62-2
50471-44-8
108-OS4
593-60-2
75-01-4
75-35-4
108-38-3
95-47-6
106-42-3
1330-20-7
87-62-7
7440-66-6
1222-67-7
Trichlorfon
[Phosphoric acid,(2,2,2-trichloro-l-
hydroxy-ethyl)-,dimethyl ester]
Trichloroacetyl chloride
1,2,4-TrichIorobenzene
1,1,1-TrichIoroethane (Methyl
chloroform)
1,1,2-Trichloroethane
Trichloroethylene
Trichlorofluoromethane (CFC-11)
2,4,5-TrichlorophenoI
2,4,6-Trichlorophenol
1,2,3-TrichIoropropane
Triclopyr triethylammonium salt
Triethylamine
Trifluralin
[Benezeneamine, 2,6-dinitro-N,N-
dipropyl-4-(trifluoromethyl)-]
Triforine
[N,N'-[l,4-Piperazinediylbis-
(2,2,2-fa-ichloroethyIidene)]
bisformamide]
1,2,4-Trimethylbenzene
2,3,5-TrimethylphenyI
methylcarbamate
Triphenyltin chloride
Triphenyltin hydroxide
Tris(2,3-dibromopropyl)
phosphate
Trypan blue
Urethane (Ethyl carbamate)
Vanadium (fume or dust)
Vinclozolin
[3-(3,5-Dichlorophenyl)-5-ea\enyl-5-
methyl-2,4-oxazolidinedione]
Vinyl acetate
Vinyl bromide
Vinyl chloride
Vinylidene chloride
m-Xylene
o-Xylene
p-Xylene
Xylene (mixed isomers)
2,6-Xylidine
Zinc (fume or dust)
Zineb
[Carbamodithioic acid,
l,2-ethanediyibis-,zinc complex]
1.0
1.0
1.0
1.0
1.0
0.1
1.0
1.0
0.1
0.1
1.0
1.0
1.0
1.0
1.0
1.0
0.1
0.1
0.1
1.0
1.0
0.1
0.1
0.1
1.0
1.0
1.0
1.0
1.0
0.1
1.0
1.0
*"Not elsewhere classified" indicated by "n.e.c.'
-------
278
Table II
b. CAS Numbered List of TRI
Chemicals
CAS Number Chemical Name
De Minimis
Concentration
CAS Number Chemical Name
De Minimis
Concentration
50-00-0 Formaldehyde 0.1
51-03-6 Piperonyl butoxide 1.0
51-21-8 Fluorouracil (5-FIuorouracil) 1.0
51-28-5 2,4-Dinitrophenol 1.0
51-75-2 Nitrogen mustard 0.1
[2-Chloro-N-(2-chloroethyI)-N-
methylethanamine]
51-79-6 Urethane (Ethyl carbamate) 0.1
52-68-6 Trichlorfon 1.0
[Phosphonic acid, (2,2,2-trichloro-
1-hydroxyethyl) dimethyl ester]
52-85-7 Famphur 1.0
53-96-3 2-Acetylaminofluorene 0.1
55-18-5 N-Nitrosodiethylamine 0.1
55-21-0 Benzamide 1.0
55-38-9 Fenthion 1.0
[CXO-Dimethyl O-[3-methyl-4-
(methylthio)phenyl] ester,
phosphorothioic acid]
55-63-0 Nitroglycerin 1.0
56-23-5 Carbon tetrachloride 0.1
56-35-9 Bis(tributyltin) oxide 1.0
56-38-2 Parathion 1.0
[Phosphorothioic acid, O,O-diethyl-
O-{4-nitrophenyl) ester]
57-14-7 1,1-Dimethylhydrazine 0.1
57-33-0 Pentobarbital sodium 1.0
57-41-0 Phenytoin 0.1
57-57-8 beta-Propiolactone 0.1
57-74-9 Chlordane 0.1
[4,7-Methanoindan, 1,2,4,5,6,7,8,8-
octachloro-2,3,3a,4,7,7a-
hexahydro-]
58-89-9 Lindane 0.1
[Cyclohexane, 1,2,3,4,5,6-hexa-
chloro-,(l.alpha.,2.alpha.,3.beta.,
4.alpha, 5.alpha.,6.beta.)-]
59-89-2 N-Nitrosomorpholine 0.1
60-09-3 4-Aminoazobenzene 0.1
60-11-7 4-Dimethylaminoazobenzene 0.1
60-34-4 Methyl hydrazine 1.0
60-35-5 Acetamide 0.1
60-51-5 Dimethoate 1.0
61-82-5 Amitrole 0.1
62-53-3 Aniline 1.0
62-55-5 Thioacetamide 0.1
62-56-6 Thiourea 0.1
62-73-7 Dichlorvos 0.1
[Phosphoric acid, 2,2-
dichloroethenyl dimethyl ester]
62-74-8 Sodium fluoroacetate 1.0
62-75-9 N-Nitrosodimethylamine 0.1
63-25-2 Carbaryl 1.0
[1-Naphthalenol, methylcarbamate]
64-18-6 Formic acid 1.0
64-67-5 Diethyl sulfate 0.1
64-75-5 TetracycUne hydrochloride 1.0
67-56-1 Methanol 1.0
67-63-0 Isopropyl alcohol 1.0
(manufacturing-strong acid
process, no supplier notification)
67-66-3 Chloroform 0.1
67-72-1 Hexachloroethane 1.0
68-12-2 N,N-Dimethylformamide 0.1
68-76-8 Triaziquone 1.0
[2,5-Cyclohexadiene-l,4-dione,
2,3,5-rris(l-aziridinyl)-]
70-30-4 Hexachlorophene 1.0
71-36-3 n-Butyl alcohol 1.0
71-43-2 Benzene 0.1
71-55-6 1,1,1-Trkhloroethane (Methyl 1.0
chloroform)
72-43-5 Methoxychlor 1.0
[Benzene, l,l'-(2,2,2-trichloro-
ethylidene)bis [4-methoxy-]]
72-57-1 Trypan blue 0.1
74-83-9 Bromomethane (Methyl bromide) 1.0
74-85-1 Ethylene 1.0
74-87-3 Chloromethane (Methyl chloride) 1.0
74-88-4 Methyl iodide 1.0
74-90-8 Hydrogen cyanide 1.0
74-95-3 Methylene bromide 1.0
75-00-3 Chloroethane (Ethyl chloride) 1.0
75-01-4 Vinyl chloride 0.1
75-05-8 Acetonitrile 1.0
75-07-0 Acetaldehyde 0.1
75-09-2 Dichloromerhane (Methylene 0.1
chloride)
75-15-0 Carbon disulfide 1.0
75-21-8 Ethylene oxide 0.1
75-25-2 Bromoform (Tribromomethane) 1.0
75-27-4 Dichlorobromomethane 1.0
*C.l. means "Color Index"
Toxics Release Inventory Reporting Form and Instructions 11-13
-------
279
Table II
CAS Number Chemical Name
De Minimis
Concentration
CAS Number Chemical Name
De Mini:
Concentrate
75-34-3 Ethylidene dichloride 1.0
75-35-4 Vinylidene chloride 1.0
75-43-4 Dichlorofluoromethane 1.0
(HCFC-21)
75-44-5 Phosgene 1.0
75-45-6 Chlorodifluoromethane 1.0
(HCFC-22)
75-55-8 Propyleneimine 0.1
75-56-9 Propylene oxide 0.1
75-63-8 Bromotrifluoromethane 1.0
(Halon 1301)
75-65-0 tert-Bufyl alcohol 1.0
75-68-3 l-Chloro-l,l-difluoroethane 1.0
(HCFC-142b)
75-69-4 Trichlorofluoromethane (CFC-11) 1.0
75-71-8 Dichlorodifluoromethane 1.0
(CFC-12)
75-72-9 Chlorotrifluoromethane (CFC-13) 1.0
75-86-5 2-MethylIactonitriIe 1.0
75-88-7 2-Chloro-l,l,l-trifluoroethane 1.0
(HCFC-133a)
76-01-7 Pentachloroethane 1.0
76-02-8 Trichloroacetyl chloride 1.0
76-06-2 Chloropicrin 1.0
76-13-1 Freon 113 1.0
[Ethane, l,l,2-trichloro-l,2,2,-
trifiuoro-]
76-14-2 Dichlorotetrafluoroethane 1.0
(CFC-114)
76-15-3 Monochloropentafluoroethane 1.0
(CFC-115)
76-44-8 Heptachlor 0.1
[1,4,5,6,7,8,8-Heptachloro-
3a,4,7,7a-tetrahydro-4,7-
methano-lH-indene]
76-87-9 Triphenyltin hydroxide 1.0
77-47-4 Hexachlorocyclopentadiene 1.0
77-73-6 Dicyclopentadiene 1.0
77-78-1 Dimethyl sulfate 0.1
78-48-8 S,S,S-Tributyltrithiophosphate 1.0
(DEF)
78-84-2 Isobutyraldehyde 1.0
78-87-5 1,2-DichIoropropane 1.0
78-88-6 2,3-Dichloropropene 1.0
78-92-2 sec-Butyl alcohol 1.0
78-93-3 Methyl ethyl ketone 1.0
79-00-5 1,1,2-Trichloroethane 1.0
79-01-6 Trichloroethylene 0.1
79-06-1 Acrylamide 0.1
79-10-7 Acrylic acid 1.0
79-11-8
79-19-6
79-21-0
79-22-1
79-34-5
79-44-7
79-46-9
80-05-7
80-15-9
80-62-6
81-07-2
81-88-9
82-28-0
82-68-8
84-74-2
85-01-8
85-44-9
86-30-6
87-62-7
87-68-3
87-86-5
88-06-2
88-75-5
88-85-7
88-89-1
90-04-0
90-43-7
90-94-8
91-08-7
91-20-3
91-22-5
91-59-8
91-94-1
92-52-4
92-67-1
92-87-5
92-93-3
93-65-2
94-11-1
94-36-0
94-58-6
94-59-7
94-74-6
94-75-7
94-80-4
11-14 Toxics Release Inventory Reporting Forms and Instructions
Chloroacetic acid 1.0
Thiosemicarbazide 1.0
Peracetic acid 1.0
Methyl chlorocarbonate 1.0
1,1,2,2-Tetrachloroethane 1.0
Dimethylcarbamyl chloride 0.1
2-Nitropropane 0.1
4,4'-IsopropylidenediphenoI 1.0
Cumene hydroperoxide 1.0
Methyl methacrylate 1.0
Saccharin (manufacturing, no 0.1
supplier notification)
C.I. Food Red 15 0.1
l-Amino-2-methyIanthraquinone 0.1
Quintozene 1.0
[Pentachloronitrobenzene]
Dibutyl phthalate 1.0
Phertanthrene 1.0
Phthalic anhydride 1.0
N-Nitrosodiphenylamine 1.0
2,6-XyIidine 0.1
Hexachloro-l,3-butadiene 1.0
Pentachlorophenol (PCP) 0.11
2,4,6-Trichlorophenol 0.1
2-Nitrophenol 1.0
Dinitrobutyl phenol (Dinoseb) 1.0
Picric acid 1.0
o-Anisidine 0.1
2-Phenylphenol 1.0
Michler's ketone 0.1
Toluene-2,6-diisocyanate 0.1
Naphthalene 1.0
Quinoline 1.0
beta-Naphthylamine 0.1
3,3'-DichIorobenzidine 0.1
Biphenyl 1.0
4-Aminobiphenyl 0.1
Benzidine 0.1
4-Nitrobiphenyl 0.1
Mecoprop 0.1
2,4-D isopropyl ester 0.1
BenzoyI peroxide 1.0
Dihydrosafrole 0.1
Safrole 0.1
Methoxone 0.1
((4-ChIoro-2-methylphenoxy)
acetic acid) (MCPA)
2,4-D [Acetic acid, (2,4- 0.1
dichlorophenoxy)-]
2,4-D butyl ester 0.1
""Not elsewhere classified" indicated by "n.e.c."
-------
280
CAS Number Chemical Name
De Minimis
Concentration
94-82-6 2,4-DB 1.0
95-47-6 o-Xylene 1.0
95-48-7 o-Cresol 1.0
95-50-1 1,2-Dichlorobenzene 1.0
95-53-4 o-ToIuidine 0.1
95-54-5 1,2-Phenylenediamine 1.0
95-63-6 1,2,4-TrimethyIbenzene 1.0
95-69-2 p-Chloro-o-toIuidine 0.1
95-80-7 2,4-Diamirtotoluene 0.1
95-95-1 2,4,5-TrichlorophenoI 1.0
96-09-3 Styrene oxide 0.1
96-12-8 l,2-Dibromo-3-chloropropane 0.1
(DBCP)
96-18-4 1,2,3-Trichloropropane 0.1
96-33-3 Methyl acrylate 1.0
96-15-7 Ethylene thiourea 0.1
97-23-1 Dichlorophene 1.0
[2,2'-Methylenebis(4-chlor6phenol)]
97-56-3 C.I. Solvent Yellow 3 1.0
98-07-7 Benzoic trichloride 0.1
(Benzotrichloride)
98-82-8 Cumene 1.0
98-86-2 Acetophenone 1.0
98-87-3 Benzal chloride 1.0
98-88-4 BenzoyI chloride 1.0
98-95-3 Nitrobenzene 0.1
99-30-9 Dichloran [2,6-Dichloro-4- 1.0
nitroaniline]
99-55-8 5-Nitro-o-toluidine 1.0
99-59-2 5-Nitro-o-anisidJjae 1.0
99-65-0 m-Dinitrobenzene 1.0
100-01-6 p-Nitroaniline 1.0
100-02-7 4-NitrophenoI 1.0
100-25-4 p-Dinitrobenzene 1.0
100-41-4 Ethylbenzene 1.0
100-42-5 Styrene 0.1
100-44-7 Benzyl chloride 1.0
100-75-4 N-Nitrosopiperidine 0.1
101-05-3 Anilazine 1.0
(4,6-Dichloro-N-(2-chlorophenyl)-
1,3,5-tr iazin-2-amine]
101-14-4 4,4'-Methylenebis(2-chloro- 0.1
aniline)(MBOCA)
101-61-1 4,4'-Methylenebis(N,N- 0.1
dimethyl)benzenamine
101-77-9 4,4'-Methylenedianiline 0.1
101-80-4 4/4'-Diaminodiphenyl ether 0.1
101-90-6 Diglycidyl resorcinol ether 0.1
104-12-1 p-Chlorophenyl isocyanate 1.0
104-94-9 p-Anisidine 1.0
CAS Number Chemical Name
De Minimis
Concentration
105-67-9 2,4-Dimethylphenol 1.0
106-42-3 p-Xylene 1.0
106-44-5 p-Cresol 1.0
106-46-7 1,4-Dichlorobenzene 0.1
106-47-8 p-Chloroaniline 0.1
106-50-3 p-Phenylenediamine 1.0
106-51-4 Quinone 1.0
106-88-7 1,2-Butylene oxide 1.0
106-89-8 Epkhlorohydrin 0.1
106-93-4 1,2-Dibromoethane 0.1
(Ethylene dibromide)
106-99-0 1,3-Butadiene 0.1
107-02-8 Acrolein 1.0
107-05-1 Allyl chloride 1.0
107-06-2 1,2-Dichloroethane (Ethylene 0.1
dichloride)
107-11-9 Allylamine 1.0
107-13-1 Acrylonitrile 0.1
107-18-6 Allyl alcohol 1.0
107-19-7 Propargyl alcohol 1.0
107-21-1 Ethylene glycol 1.0
107-30-2 Chloromethyl methyl ether 0.1
108-05-4 Vinyl acetate 0.1
108-10-1 Methyl isobutyl ketone 1.0
108-31-6 Maleic anhydride 1.0
108-38-3 m-Xylene 1.0
108-39-4 m-Cresol 1.0
108-45-2 1,3-Phenylenediamine 1.0
108-60-1 Bis(2-chloro-l-methylethyl) ether 1.0
108-88-3 Toluene 1.0
108-90-7 Chlorobenzene 1.0
108-93-0 Cyclohexanol 1.0
108-95-2 Phenol 1.0
109-06-8 2-Methylpyridine 1.0
109-77-3 Malononitrile 1.0
109-86-4 2-Methoxyethanol 1.0
110-54-3 n-Hexane 1.0
110-57-6 trans-l,4-DichIoro-2-butene 1.0
110-80-5 2-EthoxyethanoI 1.0
110-82-7 Cyclohexane 1.0
110-86-1 Pyridine 1.0
111-42-2 Diethanolamine 1.0
111-44-4 Bis(2-chloroethyl) ether 1.0
111-91-1 Bis(2-chloroethoxy) methane 1.0
114-26-1 Propoxur 1.0
[Phenol, 2-(l-methyIethoxy)-,
methylcarbamate]
115-07-1 Propylene (Propene) 1.0
115-28-6 Chlorendic acid 0.1
*C.I. means "Color Index"
Toxics Rekase Inventory Reporting Form and Instructions 11-15
-------
281
Table II
CAS Number Chemical Name
De Minimis
Concentration
115-32-2 Dicofol " 1.0
[Benzenemethanol, 4-chloro-.aipha.
-4-(chlorophenyl)-.aIpha.-
{trichloromethyl)-]
116-06-3 Aldicarb 1.0
117-79-3 2-Aminoanthraquinone 0.1
117-81-7 Di(2-ethylhexyl) phthalate 0.1
118-74-1 Hexachlorobenzene 0.1
119-90-4 3,3'-Dimethoxybenzidine 0.1
119-93-7 3,3'-Dimethylbenzidine 0.1
(o-Tottdine)
120-12-7 Anthracene 1.0
120-36-5 2,4-DP 0.1
120-58-1 Isosafrole 1.0
120-71-8 p-Cresidine 0.1
120-80-9 Catechol 1.0
120-82-1 1,2,4-Trichlorobenzene 1.0
120-83-2 2,4-Dichlorophenol 1.0
121-14-2 2,4-Dinitrotoluene 0.1
121-44-8 Triethylamine 1.0
121-69-7 N,N-DimethyIaniline 1.0
121-75-5 Malathion 1.0
122-34-9 Simazine 1.0
122-39-4 Diphenylamine 1.0
122-66-7 1,2-Diphenylhydrazine 0.1
(Hydrazobenzene)
123-31-9 Hydroquinone 1.0
123-38-6 Propionaldehyde 1.0
123-63-7 Paraldehyde 1.0
123-72-8 Butyraldehyde 1.0
123-91-1 1,4-Dioxane 0.1
124-40-3 Dimethylamine 1.0
124-73-2 Dibromotetrafluoroethane 1.0
(Halon 2402)
126-72-7 Tris(2,3-dibromopropyl) 0.1
phosphate
126-98-7 Methacrylonitrile 1.0
126-99-8 Chloroprene 1.0
127-18-4 Tetrachloroethylene 0.1
(Perchloroethylene)
128-03-0 Potassium 1.0
dimethyldithiocarbamate
128-04-1 Sodium dimethyldithiocarbamate 1.0
128-66-5 CI.VatYeUow4 1.0
131-11-3 Dimethyl phthalate 1.0
131-52-2 Sodium pentachlorophenate 1.0
132-27-4 Sodium o-pheny5phenoxide 0.1
132-64-9 Dibenzofuran 1.0
11-16 Toxics Release Inventory Reporting Forms and Instructions
CAS Number Chemical Name
De Minimis,
Concentrati
133-06-2
133-07-3
133-90-4
134-29-2
134-32-7
135-20-6
136-45-8
137-26-8
137-41-7
137-42-8
138-93-2
139-13-9
139-65-1
140-88-5
141-32-2
142-59-6
148-79-8
149-30-4
150-50-5
150-68-5
151-56-4
156-10-5
156-62-7
298-00-0
300-76-5
301-12-2
302-01-2
306-83-2
309-00-2
Captan 1.0
[lH-Isoindole-l,3(2H)-dione, 3a,
4,7,7a-tetrahydro-2-
[(trichloromethyl)thio]-]
Folpet 1.0
Chloramben 1.0
[Benzoic acid, 3-amino-2,5-
dichloro-]
o-Anisidine hydrochloride 0.1
alpha-Naphthylamine 0.1
Cupferron 0.1
[Benzeneamine, N-hydroxy-N-
nitroso, ammonium salt]
Dipropyl isocinchomeronate 1.0
Thiram 1.0
Potassium N-methyldithio- 1.0
carbamate
Metham sodium (Sodium 1.0
methyldithiocarbamate)
Disodium cyanodithioimido- 1.0
carbonate
Nitrilotriacetic acid 0.1
4,4'-Thiodiaruline 0.11
Ethyl acrylate 0.1
Butyl acrylate 1.0
Nabam 1.0
Thiabendazole 1.0
[2-{4-Thiazolyl)-lH-benzimidazole]
2-Mercaptobenzothiazole 1.0
(MBT)
Merphos 1.0
Monuron 1.0
Ethyleneimine (Aziridine) 0.1
p-Nitrosodiphenylamine 1.0
Calcium cyanamide 1.0
Methyl parathion 1.0
Naled ' 1.0
Oxydemeton methyl 1.0
[S-(2-(EthyIsulfinyl)ethyl) O,O-
dimethyl ester phosphorothioic
acid]
Hydrazine 0.1
2,2-DichIoro-l,l,l-trifluoroethane 1.0
(HCFC-123)
Aldrin 1.0
[l,4:5,8-Dimethanonaphthalene,
1,2,3,4,10,10-hexachloro-
l,4,4a,5,8,8a-hexahydro- <
(l.alpha.,4.alpha.,4a.beta.,
5.alpha.,8.alpha.,8a.beta.)-]
*"Not elsewhere classified" indicated by "n.e.c."
-------
282
CAS Number Chemical Name
De Minimis
Concentration
314-40-9 Bromacil 1.0
(5-Bromo-6-methyl-3-(l-methyl-
propyl)-2,4(lH,3H)-pyrimidine-
dione)
319-84-6 alpha-Hexachlorocyclohexane 1.0
330-54-1 Diuron 1.0
330-55-2 Linuron 1.0
333-41-5 Diazinon 1.0
334-88-3 Diazomethane 1.0
353-59-3 Bromochlorodifluoromethane 1.0
(Halon 1211)
354-11-0 l,l,l,2-Tetrachloro-2-fluoro- 1.0
ethane (HCFC-121a)
354-14.3 1,1,2,2-Tetrachloro-l- 1.0
fluoroethane (HCFC-121)
354-23-4 l,2-Dichloro-l,l,2- 1.0
trifluoroethane (HCFC-123a)
354-25-6 l-Chloro-1,1,2,2- 1.0
tetrafluoroethane (HCFC-124a)
357-57-3 Brucine 1.0
422-44-6 l,2-Dichloro-l,l,2,3,3- 1.0
pentafluoropropane
(HCFC-225bb)
422-48-0 2,3-Dichloro-l,l,l,2,3- 1-0
pentafluoropropane
(HCFC-225ba)
422-56-0 3,3-Dichloro-l,l,l,2,2- 1.0
pentafluoropropane
(HCFC-225ca)
431-86-7 l,2-DichIoro-l,13,3,3- 1.0
pentafluoropropane
(HCFC-225da)
460-35-5 3-Chloro-l,l,l-trifluoropropane 1.0
(HCFC-253fb)
463-58-1 Carbonyl sulfide 1.0
465-73-6 Isodrin 1.0
492-80-8 C.I. Solvent Yellow 34 0.1
(Auramine)
505-60-2 Mustard gas 0.1
[Ethane, l,T-thiobis[2-chloro-]]
507-55-1 l,3-Dichloro-l,l,2,2,3- 1.0
pentafluoropropane
(HCFC-225cb)
510-15-6 Chlorobenzilate 1.0
[Benzeneacetic acid, 4-chIoro-.
alpha.-(4-chlorophenyl)-.alpha.-
hydroxy-, ethyl ester]
528-29-0 o-Dinitrobenzene 1.0
532-27-4 2-Chloroacetophenone 1.0
CAS Number Chemical Name
De Minimis
Concentration
533-74-4 Dazomet 1.0
(Tetrahydro-3,5-dimethyl-2H-
l,3,5-thiadiazine-2-thione)
534-52-1 4,6-Dinitro-o-cresoI 1.0
540-59-0 1,2-Dichloroethylene 1.0
541-41-3 Ethyl chloroformate 1.0
541-53-7 2,4-Dithiobiuret 1.0
541-73-1 1,3-Dichlorobenzene 1.0
542-75-6 1,3-Dichloropropylene 0.1
542-76-7 3-Chloropropionitrile 1.0
542-88-1 Bis(chloromethyl) ether 0.1
554-13-2 Lithium carbonate 1.0
556-61-6 Methyl isothiocyanate 1.0
[Isothiocyanatomethane]
563-47-3 3-Chloro-2-methyl-l-propene 0.1
569-64-2 C.I. Basic Green 4 1.0
584-84-9 Toluene-2,4-diisocyanate 0.1
593-60-2 Vinyl bromide 0.1
594-42-3 Perchloromethyl mercaptan 1.0
606-20-2 2,6-Dinitrotoluene 0.1
612-82-8 3,3'-DimethyIbenzidme 0.1
dihydrochloride
(o-ToIidine dihydrochloride)
612-83-9 3,3'-Dichlorobenzidine 0.1
dihydrochloride
615-05-4 2,4-Diamirtoanisole 0.1
615-28-1 1,2-PhenyIenediamine 1.0
dihydrochloride
621-64-7 N-Nitrosodi-n-propylamine 0.1
624-18-0 1,4-Phenylenediamine 1.0
dihydrochloride
624-83-9 Methyl isocyanate 1.0
630-20-6 1,1,1,2-Tetrachloroethane 1.0
636-21-5 o-Toluidine hydrochloride 0.1
639-58-7 Triphenyltin chloride 1.0
680-31-9 Hexamethylphosphoramide 0.1
684-93-5 N-Nitroso-N-methylurea 0.1
709-98-8 Propanil (N-(3,4-DichlorophenyI) 1.0
propanamide)
759-73-9 N-Nitroso-N-ethylurea 0.1
759-94-4 Ethyl dipropylthiocarbamate 1.0
(EPTC)
764-41-0 l,4-Dichloro-2-butene 1.0
812-04-4 l,l-Dichloro-l,2,2-trifluoroethane 1.0
(HCFC-123b)
834-12-8 Ametryn 1.0
(N-Ethyl-N'-(l-methylethyl)-6-
(methylthio)-l ,3,5,-triazine-2,4-
diamine)
842-07-9 C.I. Solvent Yellow 14 1.0
*CJ. means "Color Index"
Toxics Release Inventory Reporting Form and Instructions 11-17
-------
283
Table II
CAS Number Chemical Name
De Minimis
Concentration
872-50-4 N-Methyl-2-pyrrolidone 1.0
924-16-3 N-Nitrosodi-n-butylamJne 0.1
924-42-5 N-MethyloIacrylamide 1.0
957-51-7 Diphenamid 1.0
961-11-5 Tetrachlorvinphos 1.0
[Phosphoric acid, 2-chloro-l-
(2,4,5-trichIorophenyl)ethenyl
dimethyl ester]
989-38-8 C.I. Basic Red 1 1.0
1114-71-2 Pebulate 1.0
[Butylethykarbamothioic acid S-
propyl ester]
1120-71-4 Propane sultone 0.1
1134-23-2 Cycloate 1.0
1163-19-5 Decabromodiphenyl oxide 1.0
1313-27-5 Molybdenum trioxide 1.0
1314-20-1 Thorium dioxide 1.0
1319-77-3 Cresol (mixed isomers) 1.0
1320-18-9 2,4-D propylene glycol butyl 0.1
ether ester
1330-20-7 Xylene (mixed isomers) 1.0
1332-21-4 Asbestos (friable) 0.1
1335-87-1 Hexachloronaphthalene 1.0
1336-36-3 Polychlorinated biphenyls (PCBs) 0.1
1344-28-1 Aluminum oxide (fibrous forms) 1.0
1464-53-5 Diepoxybutane 0.1
1563-66-2 Carbofuran 1.0
1582-09-8 Trifluralin 1.0
[Benezeneamine, 2,6-dinitro-
N,N-dipropyI-4-
(trifluoromethyl)-]
1634-04-4 Methyl tert-butyl ether 1.0
1649-08-7 l,2-Dichloro-l,l-difluoroethane 1.0
(HCFC-132b)
1689-84-5 Bromoxynil 1.0
(3,5-Difaromo-4-
hydroxybenzonitrile)
1689-99-2 Bromoxynil octanoate 1.0
(Octanoic acid, 2,6-dibromo-4-
cyanophenyl ester)
1717-00-6 1,1-Dichloro-l-fluoroethane 1.0
(HCFC-141b)
1836-75-5 Nitrofen 0.1
[Benzene, 2,4-dichloro-l-(4-
nitrophenoxy)-]
1861-40-1 Benfluralin 1.0
(N-Butyl-N-ethyl-2,6-dinitro-4-
(trifluoromethyl)benzenamine)
CAS Number Chemical Name
De Minimi!
Concentration
1897-45-6
1910-42-5
1912-24-9
1918-00-9
1918-02-1
1918-16-7
1928-43-4
1929-73-3
1929-82-4
1937-37-7
1982-69-0
1983-10-4
2032-65-7
2155-70-6
2164-07-0
2164-17-2
2212-67-1
2234-13-1
2300-66-5
2303-16-4
2303-17-5
2312-35-8
2439-01-2
2439-10-3
2524-03-0
11-18 Toxics Release Inventory Reporting Forms and Instructions
Chlorothalonil 1.0
[1,3-Benzenedicarbonitrile,
2,4,5,6-tetrachloro-]
Paraquat dichloride 1.0
Atrazine 0.1
(6-Chloro-N-ethyl-N'-(l-methyl-
ethyI)-l,3/5-triazine-2,4-diamine)
Dicamba 1.0
(3,6-Dichloro-2-methoxybenzoic
acid)
Picloram 1.0
Propachlor 1.0
[2-Chloro-N-(l-methylemyl)-N-
phenylacetamide]
2,4-D 2-ethylhexyl ester 0.1
2,4-D butoxyethyl ester 0.1
Nitrapyrin 1.0
(2-Chloro-6-(trichloromethyl)-
pyridirte)
C.I. Direct Black 38 0.1
Sodium dicamba 1.0
[3,6-Dichloro-2-methoxybenzoic
acid, sodium salt]
Tributyltin fluoride 1.0
Methiocarb 1.0
Tributyltin methacrylate 1.0
Dipotassium endothall 1.0
[7-OxabicycIo(2.2.1)heptane-2,3-
dicarboxylic acid, dipotassium
salt]
Fluometuron 1.0
[Urea, N,N-dimethyl-N'-[3-
(trifluoromethyl)phenyl]-]
Molinate 1.0
(IH-Azepine-l-carbothioic acid,
hexahydro-S-ethyl ester)
Octachloronaphthalene 1.0
Dimethylamine dicamba 1.0
Diallate 1.0
[Carbamothioic acid, bis(l-
methyl- ethyI)-S-(2,3-dichloro-
2-propenyl) ester]
Triallate 1.0
Propargite 1.0
Chinomethionat 1.0
[6-Methyl-l,3-dithioIo[4,5-b]-
quinoxalin-2-one]
Dodine 1.0
[Dodecylguarudine monoacetate]
Dimethyl chlorothiophosphate 1.0
*"Not elsewhere classified" indicated bv "n.e.c."
-------
284
CAS Number Chemical Name
De Minimis
Concentration
2602-46-2 C.I. Direct Blue 6 0.1
2655-15-4 2,3,5-TrimethyiphenyI methyl 1.0
carbamate
2699-79-8 Sulfuryl fluoride (Vikane) 1.0
2702-72-9 2,4-D sodium salt 0.1
2832-40-8 C.I. Disperse Yellow 3 1.0
2837-89-0 2-Chloro-l,l,l,2- 1.0
tetrafluoroethane (HCFC-124)
2971-38-2 2,4-D Chlorocrotyl ester 0.1
3118-97-6 C.I. Solvent Orange 7 1.0
3383-96-8 Temephos 1.0
3653-48-3 Methoxone sodium salt 0.1
((4-Chioro-2-methylphenoxy)
acetate sodium salt)
3761-53-3 C.I. Food Red 5 0.1
4080-31-3 l-(3-ChloroalIyl)-3,5,7-triaza-l- i.o
azoniaadamantane chloride
4170-30-3 Crotonaldehyde 1.0
4549-40-0 N-Nirrosomethylvinylamine 0.1
4680-78-8 C.I. Acid Green 3 1.0
5234-68-4 Carboxin 1.0
(5,6-Dihydro-2-methyl-N-phenyl-
l,4-oxathiin-3-carboxamide)
5598-13-0 Chlorpyrifos methyl 1.0
[O,O-Dimethyl-O-(3,5,6-trichloro-
2-pyridyl)phosphorothioate]
5902-51-2 Terbacil 1.0
[5-Chloro-3-(l,l-dimethylethyl)-
6-methyI-2,4(lH,3H)-
pyrimidinedione]
6459-94-5 C.I. Acid Red 114 0.1
7287-19-6 Prometryn 1.0
[M,N'-Bis(l-methylethyl)-6-
methylthio-l,3,5-triazine-2,
4-diamine]
7429-90-5 Aluminum (fume or dust) 1.0
7439-92-1 Lead 0.1
7439-96-5 Manganese 1.0
7439-97-6 Mercury 1.0
7440-02-0 Nickel 0.1
7440-22-4 Silver 1.0
7440-28-0 Thallium 1.0
7440-36-0 Antimony 1.0
7440-38-2 Arsenic 0.1
7440-39-3 Barium 1.0
7440-41-7 Beryllium 0.1
7440-43-9 Cadmium 0.1
7440-47-3 Chromium 1.0
744CM8-4 Cobalt 0.1
7440-50-8 Copper 1.0
CAS Number Chemical Name
Table II
De Minimis
Concentration
7440-62-2 Vanadium (fume or dust) 1.0
7440-66-6 Zinc (fume or dust) 1.0
7550-45-0 Titanium tetrachloride 1.0
7632-00-0 Sodium nitrite 1.0
7637-07-2 Boron trifluoride 1.0
7647-01-0 Hydrochloric acid 1.0
(acid aerosols including mists,
vapors, gas, fog, and other
airborne forms of any particle size)
7664-38-2 Phosphoric acid 1.0
7664-39-3 Hydrogen fluoride 1.0
7664-41-7 Ammonia 1.0
(includes anhydrous ammonia
and aqueous ammonia from water
dissociable ammonium salts and
other sources; 10 percent of total
aqueous ammonia is reportable
under this listing)
7664-93-9 Sulfuric acid 1.0
(acid aerosols including mists,
vapors, gas, fog, and other
airborne forms of any particle
size)
7696-12-0 Tetramethrin 1.0
[2,2-DimethyI-3-(2-methyl-l-
propenyl)cyclopropanecarboxylic
acid (l,3,4,5,6,7-hexahydro-l,3-
dioxo-2H-isoindol-2-yl)methyl
ester]
7697-37-2 Nitric acid 1.0
7723-14-0 Phosphorus (yellow or white) 1.0
7726-95-6 Bromine 1.0
7758-01-2 Potassium bromate 0.1
7782-41-4 Fluorine 1.0
7782-49-2 Selenium 1.0
7782-50-5 Chlorine 1.0
7786-34-7 Mevinphos 1.0
7803-51-2 Phosphine 1.0
8001-35-2 Toxaphene 0.1
8001-58-9 Creosote 0.1
9006-42-2 Metiram 1.0
10028-15-6 Ozone 1.0
10034-93-2 Hydrazine sulfate 0.1
10049-04-4 Chlorine dioxide 1.0
10061-02-6 trans-l,3-Dich!oropropene 0.1
10294-34-5 Boron trichloride 1.0
'C.I. means ''Color Index"
Toxics Release Inventory Reporting Form and Instructions II-19
-------
285
Table II
CAS Number Chemical Name
De Minimis
Concentration
10453-86-8 Resmethrin 1.0
[[5-(PhenylmefliyI)~3-furanyl]
methyl- 2,2-dimethyl-3-(2-methyl-
1-propenyl) cyclopropane-
carboxylate]]
12122-67-7 Zineb 1.0
[Carbamodithioic acid, 1,2-
ethanediylbis-, zinc complex]
12427-38-2 Maneb 1.0
[Carbamodithioic acid, 1,2-
ethanediylbis-, manganese
complex]
13194-48-4 Ethoprop 1.0
[Phosphorodithioic acid O-ethyl
S,S-dipropyl ester]
13356-08-6 Fenbutatin oxide 1.0
(Hexakis(2-methyl-2-
phenylpropyl)distannoxane)
13463-40-6 Iron pentacarbonyl 1.0
13474-88-9 l,l-Dichloro-l,2,2,3,3- 1.0
pentafluoropropane
(HCFC-225cc)
13684-56-5 Desmedipham 1.0
14484-64-1 Ferbam 1.0
[Tris(dimethylcarbamodithioato-
S,S')iron]
15972-60-8 Alachlor 1.0
16071-86-6 C.I. Direct Brown 95 0.1
16543-55-8 N-Nitrosonornicotine 0.1
17804-35-2 Benomyl 1.0
19044-88-3 Oryzalin 1.0
[4-(Dipropylamino)-3,5-
dinitrobenzenesulfonamide]
19666-30-9 Oxydiazon 1.0
[3-[2,4-DichIoro-5-(l-methyI-
ethoxy)phenyl]-5-(l,l-dimethyl-
ethyl}-l,3,4-oxadia2ol-2(3H)-one]
20325-40-0 3,3'-Dimethoxybenzidine 0.1
dihydrochloride (o-Dianisidine
dihydrochloride)
20354-26-1 Methazole 1.0
[2-(3,4-Dichlorophenyl)-4-
methyl- 1,2,4-oxadiazolidine-
3,5-dione]
20816-12-0 Osmium tetroxide 1.0
20859-73-8 Aluminum phosphide 1.0
21087-64-9 Metribuzin 1.0
21725-46-2 Cyanazine 1.0
CAS Number Chemical Name
DeMini
Concentrari
22781-23-3
23564-05-8
23564-06-9
23950-58-5
25311-71-1
25321-14-6
25321-22-6
25376-45-8
26002-80-2
26471-62-5
26628-22-8
26644-46-2
27314-13-2
28057-48-9
28249-77-6
28407-37-6
29232-93-7
30560-19-1
31218-83-4
1.0
1.0
1.0
1.0
1.0
1.0
0.1
0.1
1.0
11-20 Toxics Release Inventory Reporting Forms and Instructions
Bendiocarb
[2,2-DimethyI-l,3-benzodioxol-
4-olmethylcarbamate]
Thiophanate methyl
Thiophanate ethyl
[[1,2-PhenyIenebis-
(iminocarbonothioyl)]biscarbamic
acid diethyl ester]
Pronamide
Isofenphos
[2-[IEthoxyl[(l-methyIethyI)-
amino]phosphinothioyl]oxyj
benzoic acid 1-methylethyl ester]
Dinitrotoluene (mixed isomers)
Dichlorobenzene (mixed isomers)
Diaminotoluene (mixed isomers)
Phenothrin
[2,2-DimethyI-3-(2-metnyl-l-
propenyl)cyclopropanecarboxylic
acid (3-phenoxyphenyl)methyl
ester]
Toluene diisocyanate
(mixed isomers)
Sodium azide
Triforine
[N,N'- [1,4-Piperazinediylbis
(2,2,2-trichloroethylidene)]
bisformamide]
Norflurazon
[4-Chloro-5-(methylamino)-2-
[3-(trifIuoromethyI)phenyl]-3(2H)-
pyridazinone]
d-trans-Allethrin
[d-trans-Chrysanthemic acid of
d-allethrone]
Thiobencarb
[Carbamic acid, diethylthio-, S-
(p-chlorobenzyl)ester]
C.I. Direct Blue 218
Pirimiphos methyl
[O-(2-(Diethylamino)-6-methyl-
4-pyrimidinyl)-O,O-dimethyl
phosphorothioate]
Acephate
(Acerylphosphoramidothioic
acid O,S-dimethyl ester)
Propetamphos
[3-[(Ethylamino)methoxy
phosphinothioyl]oxy]-2-butenoic
acid, 1-methylethyl ester]
'"Not elsewhere classified" indicated by "n.e.c."
1.0
1.0
1.0
1.0
1.0
1.0
1.0
-------
286
CAS Number Chemical Name
De Minimis
Concentration
33089-61-1
34014-18-1
34077-87-7
35367-38-5
35400-43-2
35554-44-0
35691-65-7
38727-55-8
39156-41-7
39300^15-3
39515-41-8
40487-42-1
41198-08-7
41766-75-0
42874-03-3
43121-43-3
50471-44-8
51235-04-2
51338-27-3
51630-58-1
Amitraz
Tebuthiuron
thiadiazol-2-yl]-N,N'-
dimethylureaj
Dichlorotrifluoroethane
Diflubenzuron
Sulprofos
[O-Ethyl O-[4-(methylthio)
phenyl]-phosphorodithioic acid
S-propyl Ester]
ImazaM
[l-[2-(2,4-Dich!orophenyl)-2-(2-
propenyloxy)ethyl]-lH-imidazole]
l-Bromo-l-(bromomethyI)-l,3-
propanedicarbonitrile
Diethatyl ethyl
2,4-Diarninoanisole sulf ate
Dinocap
Fenpropathrin
[2,2,3,3-Tetramethylcyclopropane
carboxylic acid cyano(3-
phenoxyphenyl)methyl ester]
Pendimethalin
[N-(l-Ethylpropyl)-3,4-dimethyl-
2,6-dinitrobenzenamine]
Profenofos
[O-(4-Bromo-2-chlorophenyl)-O-
ethyl-S-propyl-phosphorothioate]
3,3'-Dimethylbenzidine
dihydrofluoride (o-Tolidine
dihydrofluoride)
Oxyfluorfen
Triadimefon
[l-(4-Chlorophenoxy)-3,3-
dimethyl-l-(lH-l,2,4-triazol-l-yl)-
2-butanone]
Vinclozolin
[3-(3,5-DichIorophenyl)-5-
ethenyl-5-methyl-2,4-
oxazolidinedione]
Hexazinone
Diclofop methyl
[2- [4-(2,4-Dichlorophenoxy)-
phenoxyjpropanoic acid, methyl
ester]
Fenvalerate
[4-ChIoro-alpha-(l-methylethyI)-
benzeneacetic acid cyano(3-
phenoxyphenyl)methyl ester]
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
0.1
1.0
1.0
1.0
1.0
0.1
1.0
1.0
1.0
1.0
1.0
1.0
CAS Number Chemical Name
Tabkll
De Minimis
Concentration
52645-53-1
53404-19-6
53404-37-8
53404-60-7
55290-64-7
55406-53-6
57213-69-1
59669-26-0
60168-88-9
60207-90-1
62476-59-9
63938-10-3
64902-72-3
64969-34-2
66441-23-4
67485-29-4
Permethrin
[3-(2,2-Dichloroethenyl)-2,2-
dimethykyclopropane carboxylic
acid, (3-phenoxyphenyl)methyI
ester]
Bromacil, lithium salt
[2,4(lH,3H)-Pyrimidinedione, 5-
bromo-6-methyl-3-(l -methyl
propyl), lithium salt]
2,4-D 2-ethyI-4-memylpentyl
ester
Dazomet, sodium salt
[Tetrahydro-3,5-dimethyl-2H-
l,3,5-thiadiazine-2-thione, ion(l-),
sodium]
Dimethipin
1.0
dithiin 1,1,4,4-tetraoxide]
3-Iodo-2-propynyl butyl
carbamate
Triclopyr triethylammonium salt
Thiodicarb
Fenarimol
[.alpha.-(2-Chlorophenyl)-
.alpha.-4-ch!orophenyl)-5-
pyrimidine-methanol]
Propiconazole
[l-[2-(2,4-Dichlorophenyl)-4-
propyl- l,3-dioxolan-2-yl]-methyl-
!H-l,2,4,-triazoIe]
Acifiuorfen, sodium salt
[5-{2-Chloro-4-(trifluoromethyl)-
phenoxy)-2-nitrobenzoic acid,
sodium salt]
Chlorotetrafluoroethane
Chlorsulfuron
[2-Chloro-N-[[(4-methoxy-6-
methyl- l,3,5-triazin-2-yl)amino]
carbonyljbenzenesulfonarnide]
3,3-DichIorobenzidine sulfate
Fenoxaprop ethyl
[2-(4-((6-Chloro-2-benzoxa
zolylen)-oxy)phenoxy)propanoic
acid, ethyl ester]
Hydramethylnon
[Tetrahydro-5,5-dimethyl-2(lH)-
pyrimidinone[3-[4-
(trifluoromethyl)phenyl]-l-[2-[4-
(trifluoromethyl)phenyl]ethenyl]-
2-propenylidene]hydrazone]
1.0
0.1
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
0.1
1.0
1.0
*C.l. means "Color Index"
Toxics Release Inventory Reporting Form and Instructions 11-21
-------
287
Table II
CAS Number Chemical Name
De Mitumis
Concentration
68085-85-8 Cyhalothrin 1.0
[3-(2-Chloro-3/3,3-trifluoro-l-
propenyl)-2,2-Dimethylcyclo-
propanecarboxylic acid cyano(3-
phenoxyphenyl) methyl ester]
68359-37-5 Cyfluthrin 1.0
[3-(2,2-DkhloroethenyI)-2,2-
dimethylcyclopropanecarboxylic
acid, cyano(4-fluoro-3-
phenoxyphenyl)methyl ester]
69409-94-5 Fluvalinate 1.0
[N-[2-Chloro-4-(trifluoromethyl)-
phenyl]-DL-valine(+)-cyano(3-
phenoxyphenyl)methyl ester]
69806-50-4 Fluazifop butyl 1.0
[2-[4-[[5-(Trifluoromethyl)-2-
pyridinyl]oxy]phenoxy]propanoic
acid, butyl ester]
71751-41-2 Abamectin [Avermectin Bl] 1.0
72178-02-0 Fomesafen 1.0
[5-(2-Crdoro-4-(trifluoromethyl)-
phenoxy)-N-methylsulfonyl)-2-
nitrobenzamide]
72490-01-8 Fenoxycarb 1.0
[[2-(4-Phenoxyphenoxy)ethyl-]
carbamic acid ethyl ester]
74051-80-2 Sethoxydim 1.0
[2-[l-(Ethoxyimino)butyl]-5-[2-
(ethylthio)propyl]-3-hydroxyI-2-
cyclohexen-l-one]
76578-14-8 Quizalofop-ethyl 1.0
[2-[4-[(6-Chloro-2-
quinoxalinyl)oxy]phenoxy]
propanoic acid ethyl ester]
CAS Number Chemical Name
De Minimis
Concentration!
77501-63-4
82657-04-3
88671-89-0
90454-18-5
90982-32-4
10120CM8-0
111512-56-2
111984-09-9
127564-92-5
128903-21-9
136013-79-1
Lactofen 1.0
[Benzoic acid, 5-[2-Chloro-4-
(trifluoromethyI)phenoxy]-2-
nitro-, 2-ethoxy-l-methyI-2-oxo
ethyl ester]
Bifenthrin 1.0
Myclobutanil 1.0
[.alpha.-ButyI-.alpha.-(4-
chlorophenyI)-lH-l,2,4-triazoIe-l-
propanenitrile]
Dichloro-l^^-trifluoroethane 1.0
Chlorimuron ethyl 1.0
[Ethyl-2-[[[[(4-chIoro-6-
methoxyprimidin-2-yl)amino]-
carbonyl]-amino]sulfonyl]benzoate]
Tribenuron methyl 1.0
[2-[[[[(4-Methoxy-6-methyl-l,3,5-
triazin-2-yl)methylamino]
carbonyl] amino]sulfonyl]benzoic
acid-, methyl ester]
l,l-Dichloro-l,2,3,3,3- 1.0
pentafluoropropane (HCFC-
225eb)
3,3'-Dimethoxybenzidine 0.1
hydrochloride (o-Dianisidine
hydrochloride)
Dichlorop»entafluoropropane 1.0
2,2-Dichloro-l,l,l,3,3- 1.0
pentafluoropropane (HCFC-
225aa)
l,3-Dichloro-l,l,2,3,3- 1.0
pentafluoropropane (HCFG-
225ea)
11-22 Toxics Release Inventory Reporting Forms and Instructions
*"Not elsewhere classified" indicated by "n.e.c."
-------
288
Table II
c. Chemical Categories
Section 313 requires reporting on the EPCRA Section 313
chemical categories listed below, in addition to the
specific EPCRA Section 313 chemicak listed above.
The metal compound categories listed below, unless
otherwise specified, are defined as including any unique
chemical substance that contains the named metal (i.e.,
antimony, nickel, etc.) as part of that chemical's
structure.
EPCRA Section 313 chemical categories are subject to the
1 percent de minimis concentration unless the substance
involved meets the definition of an OSHA carcinogen in
which case the 0.1 percent de minimis concentration
applies. The de minimis concentration for each category
is provided in parentheses.
N010 Antimony Compounds (1.0)
Includes any unique chemical substance that
contains antimony as part of that chemical's
infrastructure.
N020 Arsenic Compounds (inorganic compounds:
0.1; organic compounds: 1.0)
Includes any unique chemical substance that
contains arsenic as part of that chemical's
infrastructure.
N040 Barium Compounds (1.0)
Includes any unique chemical substance that
contains barium as part of that chemical's
infrastructure. This category does not include:
Barium sulfate CAS Number 7727-43-7
N050 Beryllium Compounds (0.1)
Includes any unique chemical substance
that contains beryllium as part of that
chemical's infrastructure.
N078 Cadmium Compounds (0.1)
Includes any unique chemical substance
that contains cadmium as part of that
chemical's infrastructure.
N084 Chlorophenols (0.1)
N090
N096
N100
N106
N120
•H(5-x)
Where x = lto5
Chromium Compounds (chromium VI
compounds: 0.1; chromium III compounds:
1.0) Includes any unique chemical substance that
contains chromium as part of that chemical's
infrastructure.
Cobalt Compounds (0.1)
Includes any unique chemical substance that
contains cobalt as part of that chemical's
infrastructure.
Copper Compounds (1.0)
Includes any unique chemical substance that
contains copper as part of that chemical's
infrastructure. This category does not include
copper phthalocyanine compounds that are
substituted with only hydrogen, and/or chlorine,
and/or bromine.
Cyanide Compounds (1.0)
X*CN" where X = H* or any other group where a
formal dissociation may occur. For example KCN
or Ca(CN),.
Diisocyanates (1.0)
This category includes only those chemicals
listed below.
38661-72-2 l,3-Bis(methyIisocyanate) -
cyclohexane
10347-54-3 l,4-Bis(methylisocyanate)-
cyclohexane
2556-36-7 1,4-Cyclohexane
diisocyanate
134190-37-7 Diethyldiisocyanatobenzene
4128-73-8 4,4-Diisocyanatodiphenyl
ether
75790-87-3 2,4'-Diisocyanatodiphenyl
sulfide
'C.I. means "Color index"
Toxics Release Inventory Reporting Form and Instructions 11-23
-------
289
Table II
N171
N420
N450
91-93-0
91-97-4
139-25-3
822-06-0
4098-71-9
75790-84-0
5124-30-1
101-68-8
3173-72-6
123-61-5
104-49^1
9016-87-9
16938-22-0
15646-96-5
3,3'-Dimethoxybenzidine-
4,4'-diisocyanate
3,3'-Dimethyl-4,4'-
diphenylene diisocyanate
3,3'-Dimethyldiphenyl
methane-4,4'-diisocyanate
Hexamethylene-1,6-
diisocyanate
Isophorone diisocyanate
4-Methyldiphenylmetnane-3,4-
diisocyanate
1,1-MethyIene bis(4-
isocyanatocyclohexane)
Methylene
bis(phenylisocyanate) (MDI)
1,5-Naphthalene
diisocyanate
1,3-Phenylene diisocyanate
1,4-Phenylene diisocyanate
Polymeric diphenylmethane
diisocyanate
2,2,4-TrimethyIhexamethyl-ene
diisocyanate
2,4,4-TrimethyIhexa-
methylene diisocyanate
N458 Mercury Compounds (1.0)
Includes any unique chemical substance that
contains mercury as part of that chemical's
infrastructure.
N495 Nickel Compounds (0.1)
Includes any unique chemical substance that
contains nickel as part of that chemical's
infrastructure.
N503 Nicotine and salts (1.0)
Includes any unique chemical substance that
contains nicotine or a nicotine salt as part of that
chemical's infrastructure.
N511 Nitrate compounds (water dissociable;
reportable only when in aqueous solution)
(1-0)
N575 Polybrominated Biphenyls (PBBs) (0.1)
Ethylenebisdithiocarbamic acid, salts and
esters (EBDCs) (1.0)
Includes any unique chemical substance that
contains an EBDC or an EBDC salt as part of that
chemical's infrastructure.
N230 Certain Glycol Ethers (1.0)
N583
Where n = 1, 2, or 3
R = alkyl C7 or less; or
R = phenyl or alkyl substituted phenyl;
R' = H, or alkyl C7 or less; or
OR' consisting of carboxylic acid ester, sulfate,
phosphate, nitrate, or sulfonate.
Lead Compounds (inorganic compounds: 0.1;
organic compounds 1.0)
Includes any unique chemical substance that
contains lead as part of that chemical's
infrastructure.
Manganese Compounds (1.0)
Includes any unique chemical substance that
contains manganese as part of that chemical's
infrastructure.
N590
H(iO-x)
Where x = l to 10
Polychlorinated alkanes (C10 to C13) (1.0, except
for those members of the category that have an
average chain length of 12 carbons and contain
an average chlorine content of 60 percent by
weight which are subject to the 0.1 percent de
minimis)
where x = 10 to 13;
y = 3 to 12; and
the average chlorine content ranges from 40 -
70% with the limiting molecular formulas
Polycyclic aromatic compounds (PACs) (0.1
except for benzo(a)phenanthrene and
dibenzo(a,e)fluoranthene that are subject to the
1.0 percent de minimis)
This category includes only those chemicals
listed below.
11-24 Toxics Release Inventory Reporting Forms and Instructions
*"Not elsewhere classified" indicated by "n.e.c."
-------
290
56-55-3 Benz(a)anthracene
205-99-2 Benzo(b)fluoranthene
205-82-3 Benzo(j)fluoranthene
207-08-9 Benzo(k)fluoranthene
189-55-9 Benzo(rst)pentaphene
218-01-9 Benzo(a)phenanthrene
50-32-8 Benzo(a)pyrene
226-36-8 Dibenz(a,h)acridine
224-42-0 Dibenz(a,j)acridine
53-70-3 Dibenzo(a,h)anthracene
194-59-2 7H-Dibenzo(c,g)carbazole
5385-75-1 Dibenzo(a,e)fluoranthene
192-65^4 Dibenzo(a,e)pyrene
189-64-0 Dibenzo(a,h)pyrene
191-30-0 Dibenzo(a,l)pyrene
57-97-6 7,12-Dimethylbenz(a)-
anthracene
193-39-5 Indeno[l,2,3-cd]pyrene
3697-24-3 5-Methylchrysene
5522-43-0 1-Nitropyrene
N725 Selenium Compouds (1.0)
Includes any unique chemical substance that contains
selenium as part of that chemical's infrastructure.
Table II
N740 Silver Compounds (1.0)
Includes any unique chemical substance that contains
silver as part of that chemical's infrastructure.
N746 Strychnine and salts (1.0)
Includes any unique chemical substance that contains
strychnine or a strychnine salt as part of that
chemical's infrastructure.
N760 Thallium Compounds (1.0)
Includes any unique chemical substance that contains
thallium as part of that chemical's infrastructure.
N874 Warfarin and salts (1.0)
Includes any unique chemical substance that contains
warfarin or a warfarin salt as part of that chemical's
infrastructure.
N982 Zinc Compounds (1.0)
Includes any unique chemical substance that contains
zinc as part of that chemical's infrastructure.
*CJ. means "Color Index"
Toxics Release Inventory Reporting form and Instructions 11-25
-------
291
-------
Table III. State Abbreviations
292
Alabama AL
Alaska AK
American Samoa AS
Arizona AZ
Arkansas AR
California CA
Colorado CO
Connecticut CT
Delaware DE
District of Columbia DC
Florida FL
Georgia GA
Guam GU
Hawaii HI
Idaho ID
Illinois IL
Indiana IN
Iowa LA
Kansas KS
Kentucky KY
Louisiana LA
Maine ME
Marshall Islands MH
Maryland MD
Massachusetts MA
Michigan MI
Minnesota MN
Mississippi MS
Missouri MO
Montana MT
Nebraska NE
Nevada NV
New Hampshire NH
New Jersey NJ
New Mexico NM
New York NY
North Carolina NC
North Dakota ND
Commonwealth of Northern MP
Marianas Islands
Ohio OH
Oklahoma OK
Oregon OR
Pennsylvania PA
Puerto Rico PR
Rhode Island RI
South Carolina SC
South Dakota SD
Tennessee TN
Texas TX
Utah UT
Vermont VT
Virginia VA
Virgin Islands VI
Washington WA
West Virginia WV
Wisconsin WI
Wyoming WY
Toxics Release Inventory Reporting Forms and Instructions III-l
-------
293
-------
294
Appendix A. Federal Facility Reporting Information
Special Instructions for TRI Federal
Facility Reporting
Why Do Federal Facilities
Need to Report?
Executive Order 12856, Pollution Prevention and Right-
to-Know Reporting, requires federal agencies to comply
with the Emergency Planning and Community Right-to-
Know Act of 1986 (EPCRA) and the Pollution Prevention
Act of 1990 (PPA). By Executive Order, federal facilities
must report Toxics Release Inventory (TRI) data,
pursuant to EPCRA Section 313 and PPA Section 6607 to
EPA beginning with calendar year 1994 data. TRI
submissions are due to EPA on July 1 of the year
following each reporting (calendar) year. Reporting by
the federal facility however does not alter the reporting
obligation of on-site contractors. The "Government
Owned Contractor Operated" (GOCO) facilities must
continue to report TRI data if they are subject to EPCRA
section 313.
Identifying Federal Facility Reports
Federal facility reports are identified as federal by several
indicators on the form. The facility name and parent
company name are critical indicators and must be
reported as described below. Another critical indicator
is the federal facility report box. Federal facilities only
should check this box (Form R page 2, block 4.2c) to
indicate that the report is from a federal agency for a
federal facility. Federal facilities should also complete
the partial or complete facility blocks (Form R page 2,
block 4.2a and 4.2b) as appropriate. If you are a federal
facility reporting for the first time, write "new" in the TRI
Facility ID (TRIFID) box, even if a contractor has
reported for your facility in the past. The contractor will
retain the original TRIFID. You will be assigned a new
TRIFID the first tune you report.
The "Double Counting" Problem
As structured, the law and the executive order require
both regulated industries and the federal government to
report TRI data, sometimes for the same site. In order to
prevent duplicate data in the TRI database, which could
result in "double counting" data for some chemicals and
locations, EPA must be able to identify and distinguish
the "Government Owned Contractor Operated" (GOCO)
reports submitted by the federal contractor from the
federal reports which contain data for the same site. To
accomplish this, federal facility reports must be
accompanied by either 1) exact copies (paper or
electronic) of all contractor TRI reports included in the
totals reported by the federal facility, or 2) a cover letter
which includes a list of the facility contractors which
submit TRI reports to EPA, identifying each contractor
by name, TRI technical contact, and TRI facility name and
address.
Magnetic Media Reporting
EPA encourages all federal facilities and GOCO facilities
to report using either EPA's Magnetic Media reporting
software, or one of the commercially available packages.
If the GOCO also submits its reports on magnetic media
to EPA and to the federal facility, the federal facility may
submit magnetic media copies of their GOCO TRI
reports to EPA. Magnetic media reports must be
accompanied by a cover letter which includes:
D Required Form R certification statement;
3 List of the chemicals reported on the federal
facility's disk; and
D List, identifying the contractor(s) by name and and
by TRIFID number if they have an assigned
TRIFID number, and the chemicals they reported
(which are on the contractors' attachment disk(s))
How to Report Your Facility Name
Facility name is a critical data element. It is used by EPA
to create the TRI facility ID number, which is a unique
number designed to identify a facility site. The facility
name and TRIFID number are used by all TRI data users
to link data from a single site across multiple reporting
years. Each federal facility will be assigned a new
TRIFID number when the federal report is entered into
the Toxics Release Inventory system for the first time.
This TRIFID number, generated when the first report is
entered into the Toxics Release Inventory System, will be
included in future reporting packages sent to federal
facilities, and should be used by federal facilities in all
future reports.
Federal facilities should report their facility name on
page 1 of the Form Rs (Section 4.1), as shown in the
following example:
U.S. DOE Savannah River Site
Toxics Release Inventory Reporting Forms and Instructions A-l
-------
295
Appendix A
It is very important that the agency name appear first,
followed by the specific plant or site name.
Federal contractors at GOCO facilities should report their
names as shown in the following example:
U.S. DOE Savannah River Site - Westinghouse
Operations.
How to Report Your Standard
Industrial Classification (SIC) Code
Federal facilities should report the SIC code which most
closely represents the activities taking place at the site.
Additional guidance on determining your SIC code is
provided in the Forms and Instructions booklet. The
table on the next page contains Public Administration
SIC codes 91-97 covering executive, legislative, judicial,
administrative and regulatory activities of the Federal
government Government-owned and operated business
establishments are classified in major SIC groups 01-89
according to the activity in which they are engaged. For
example, a Veterans Hospital would be classified in
Group 806 — Hospitals.
How to Report Your "Parent Company"
Name
Federal facilities should report their parent company
name on page 2 of the Form Rs (Section 5.1) by reporting
their complete Department or Agency name, as shown in
the following example:
U.S. Department of Energy
Block 5.2, Parent Company's Dun & Bradstreet Number,
should be marked NA.
Federal contractors at GOCO should not report a federal
department or agency name as their parent company. A
federal name in the parent company name field will
classify the report as federal, and the GOCO may be
identified as a non-reporter.
How to Revise Your Data After It
Been Submitted
Any TRI Form R submitter may voluntarily revise their
submission if they find errors after their reports have
been sent to EPA. If a federal facility receives a copy of a
revision from a GOCO, the facility should revise the
federal report, and submit the revised report to EPA and
the appropriate state along with an exact copy of the
GOCO's revision. If the revision is to a hardcopy report
the facility should photocopy the original form, use a
blue or black pen to mark out the incorrect value and
write in the corrected value. The revised report should
be submitted to EPA, with an "X" in the revision block
on page 1 of the Form R. If the revision is to a diskette,
a new diskette should be submitted, containing the data
only for the revised submission, not all the chemicals
originally reported. The cover letter must indicate that
the submission is a revision.
National Security Data
DO NOT SUBMIT NATIONAL SECURITY DATA TO
THE EPCRA REPORTING CENTER. National security
data are handled through a separate process. Facilities
should consult the Guidance for Implementing Executive
Order 12856 documents or call the EPCRA Hotline if
their Form R submission involves a national security data
claim.
Who Should Sign Federal Form R
Reports?
Federal Form R reports must be signed by the senior
federal employee on-site. If no federal employee is on-
site, federal Form R reports must be signed by the senior
federal employee with management responsibility for the
site. Federal Form R reports must be signed by a federal
employee. Contractor employee signatures are not
considered valid on federal reports.
More Help is Available!
Federal facilities may call EPA's EPCRA Hotline at 1
(800) 424-9346, or (703) 412-9877 to ask specific questions
concerning how to submit their Form R reports.
A-2 Toxics Release Inventory Reporting Forms and Instructions
-------
296
Appendix A
Standard Industrial Classification
Codes 91-97
Division J — Public Administration
91 Executive, Legislative, and
General Government, Except
Finance
9111 Executive Offices
9121 Legislative Bodies
9131 Executive and Legislative Offices Combined
9199 General Government, Not Elsewhere Classified
92 Justice, Public Order, and Safety
9211 Courts
9221 Police Protection
9222 Legal Counsel and Prosecution
9223 Correctional Institutions
9224 Fire Protection
9229 Public Order and Safety, Not Elsewhere
Classified
93 Public Finance, Taxation, and
Monetary Policy
9311 Public Finance, Taxation, and Monetary Policy
94 Administration of Human
Resource Programs
9411 Administration of Educational Programs
9431 Administration of Public Health Programs
9441 Administration of Social, Human
Resource and Income Maintenance
Programs
9451 Administration of Veterans' Affairs,
Except Health and Insurance
95 Administration of
Environmental Quality and
Housing Programs
9511 Air and Water Resource and Solid
Waste Management
9512 Land, Mineral, Wildlife, and Forest
Conservation
9531 Administration of Housing Programs
9532 Administration of Urban Planning and
Community and Rural Development
96 Administration of Economic
Programs
9611 Administration of General Economic
Programs
9621 Regulation and Administration of
Transportation Programs
9631 Regulation and Administration of
Communications, Electric, Gas, and
Other Utilities
9641 Regulation of Agricultural Marketing
and Commodities
9651 Regulation, Licensing, and Inspection
of Miscellaneous Commercial Sectors
9661 Space Research and Technology
97 National Security and
International Affairs
9711 National Security
9721 International Affairs
Toxics Release Inventory Reporting Forms and Instructions A-3
-------
297
-------
298
Appendix B, Reporting Codes For EPA Form R
W Form R Part II
Weight Range in Pounds
Section 1.1. CAS Number
EPCRA Section 313 Chemical Category Codes
N010 Antimony compounds
N020 Arsenic compounds
N040 Barium compounds
N050 Beryllium compounds
N078 Cadmium compounds
N084 Chlorophenols
N090 Chromium compounds
N096 Cobalt compounds
N100 Copper compounds
N106 Cyanide compounds
N120 Diisocyanates
N171 Ethylenebisdithiocarbamic
acid, salts and esters (EBDCs)
N230 Certain glycol ethers
N420 Lead compounds
N450 Manganese compounds
N458 Mercury compounds
N495 Nickel compounds
N503 Nicotine and salts
N511 Nitrate compounds
N575 Polybrominated biphenyls (PBBs)
N583 Polychlorinated alkanes
N590 Polycyclic aromatic compounds
N725 Selenium compounds
N740 Silver compounds
N746 Strychnine and salts
N760 Thallium compounds
N874 Warfarin and salts
N982 Zinc compounds
Range Code
07
08
09
10
11
Section 5.
Section 6.
From...
10,000,000
50,000,000
100,000,000
500,000,000
1 billion
rr*
49,999,999
99,999,999
499,999,999
999,999,999
more than 1 billion
Quantity of the Toxic
Chemical Entering Each
Environmental Medium On-
site and
Transfers of the Toxic
Chemical in Wastes to Off-
Site Locations
Total Release or Transfer
Code
A
B
C
Basis of Estimate
Range fibs)
1-10
11-499
500-999
Section 4.
Maximum Amount of the
Toxic Chemical On-Site at
Any Time During the
Calendar Year
Weight Range in Pounds
Range Code
01
02
03
04
05
06
From...
0
100
1,000
10,000
100,000
1,000,000
To....
99
999
9,999
99,999
999,999
9,999,999
M: Estimate is based on monitoring data or
measurements for the EPCRA Section 313
chemical as transferred to an off-site facility.
C: Estimate is based on mass balance calculations,
such as calculation of the amount of the EPCRA
Section 313 chemical in waste streams entering
and leaving process equipment.
E: Estimate is based on published emission factors,
such as those relating release quantity to
through-put or equipment type (e.g., air emission
factors).
O: Estimate is based on other approaches such as
engineering calculations (e.g., estimating
volatilization using published mathematical
formulas) or best engineering judgment. This
would include applying an estimated removal
efficiency to a treatment, even if the composition
of the waste before treatment was fully identified
through monitoring data.
Toxics Release Inventory Reporting Forms and Instructions B-l
-------
299
Appendix B
Section 6. Transfers of the Toxic Chemical
in Wastes to Off-Site Locations
Tvpe of Waste DisposaJ/Treatment/Energv
Recovery/Recycling
M10 Storage Only
M20 Solvents/ Organics Recovery
M24 Metals Recovery
J
M26 Other Reuse or Recovery
M28 Acid Regeneration
M40 Solidification/Stabilization
M41 Solidification/Stabilization-Metals and
Metal Category Compounds only
M50 Incineration/ Thermal Treatment
M54 Incineration/ Insignificant Fuel Value
M56 Energy Recovery
M61 Wastewater Treatment (Excluding POTW)
M62 Wastewater Treatment (Excluding POTW)
— Metals and Metal Category Compounds
only
M69 Other Waste Treatment
M71 Underground Injection
M72 Landfill/ Disposal Surface Impoundment
M73 Land Treatment
M79 Other Land Disposal
M90 Other Off-Site Management
M92 Transfer to Waste Broker — Energy
Recovery
M93 Transfer to Waste Broker - Recycling
M94 Transfer to Waste Broker — Disposal
M95 Transfer to Waste Broker - Waste
Treatment
M99 Unknown
Canada CA
Chile CI
Columbia CO
Costa Rica CS
Cuba CU
Ecuador EC
El Salvador ES
Guatemala GT
Honduras HO
TrplanH FT
HClollU J-il
tl~7vr TT
Italy 1 1
Mexico MX
Nicaragua NU
1 anama 1 M.
Ty « T3 A
Paraguay PA
Peni PF
1 Clll A Kt
Portugal PO
Spain SP
Switzerland SZ
United Kingdom UK
Uruguay UY
Venezuela VE
Section 7A. On-Site Waste Treatment
Methods and Efficiency
General Waste Stream
A Gaseous (gases, vapors, airborne particulates)
W Wastewater (aqueous waste)
L Liquid waste streams (non-aqueous waste)
S Solid waste streams (including sludges and
slurries)
Federal Information Processing Standards
(FIPS) Codes for Transfers of the EPCRA
Section 313 Chemical to Other Countries
This is an abridged list of countries to which a U.S.
facility might ship an EPCRA Section 313 chemical. For
a complete listing of FIPS codes, consult your local
library. To obtain a FIPS code for a country not listed,
contact the EPCRA Hotline.
Country
Argentina
Belgium
Bolivia
Brazil
Code
AR
BE
BL
BR
Waste Treatment Methods
Air Emissions Treatment
A01 Flare
A02 Condenser
A03 Scrubber
A04 Absorber
A05 Electrostatic Precipitator
A06 Mechanical Separation
A07 Other Air Emission Treatment
Biological Treatment
Bll Biological Treatment — Aerobic
B21 Biological Treatment — Anaerobic
B31 Biological Treatment — Facultative
B-2 Toxics Release Inventory Reporting Forms and Instructions
-------
300
AppendixB
B99 Biological Treatment - Other
Chemical Treatment
C01 Chemical Precipitation — Lime or Sodium
Hydroxide
C02 Chemical Precipitation - Sulf ide
C09 Chemical Precipitation — Other
Cll Neutralization
C21 Chromium Reduction
C31 Complexed Metals Treatment (other
than pH Adjustment)
C41 Cyanide Oxidation — Alkaline Chlorination
C42 Cyanide Oxidation — Electrochemical
C43 Cyanide Oxidation — Other
C44 General Oxidation (Including Disinfection)—
Chlorination
C45 General Oxidation (Including Disinfection) —
Ozonation
C46 General Oxidation (Including Disinfection) —
Other
C99 Other Chemical Treatment
Incineration/Thermal Treatment
F01 Liquid Injection
Fll Rotary Kiln with Liquid Injection Unit
F19 Other Rotary Kiln
F31 Two Stage
F41 Fixed Hearth
F42 Multiple Hearth
F51 Fluidized Bed
F61 Infra-Red
F71 Fume/Vapor
F81 Pyrolytic Destructor
F82 Wet Air Oxidation
F83 Thermal Drying/Dewatering
F99 Other Incineration/Thermal Treatment
Physical Treatment
P01 Equalization
P09 Other Blending
Pll Settling/Clarification
PI 2 Filtration
P13 Sludge Dewatering (Non-thermal)
P14 Air Flotation
PI 5 Oil Skimming
P16 Emulsion Breaking — Thermal
PI 7 Emulsion Breaking — Chemical
P18 Emulsion Breaking — Other
PI 9 Other Liquid Phase Separation
P21 Adsorption — Carbon
P22 Adsorption — Ion Exchange (Other than for
recovery/ reuse)
P23 Adsorption — Resin
P29 Adsorption - Other
P31 Reverse Osmosis (Other than for
recovery/ reuse)
P41 Stripping — Air
P42 Stripping — Steam
P49 Stripping - Other
P51 Acid Leaching (Other than for recovery/reuse)
P61 Solvent Extraction (Other than for
recovery / reuse)
P99 Other Physical Treatment
Solidification/Stabilization
G01 Cement Processes (Including Silicates)
G09 Other Pozzolonic Processes (Including
Silicates)
Gil Asphaltic Processes
G21 Thermoplastic Techniques
G99 Other Solidification Processes
Range of Influent Concentration
1 - Greater than 10,000 parts per million (1
percent)
2 = 100 parts per million (0.01 percent) to 10,000
parts per million (1 percent)
3 = 1 part per million (0.0001 percent) to 100 parts
per million (0.01 percent)
4 = 1 part per billion to 1 part per million
5 = Less than 1 part per billion
[Note: Parts per million (ppm) is milligrams/ kilogram
(mass/mass) for solids and liquids; cubic centimeters/
cubic meter (volume/volume) for gases; milligrams/liter
for solutions or dispersions of the chemical in water; and
milligrams of chemical/kilogram of air for participates in
air. If you have particulate concentrations (at standard
temperature and pressure) as grains/cubic foot of air,
multiply by 1766.6 to convert to parts per million; if in
milligrams/cubic meters, multiply by 0.773 to obtain
parts per million. Factors are for standard conditions of
0°C (32°F) and 760 mmHg atmospheric pressure.]
Section 7B. On-Site Energy Recovery
Processes
UOl Industrial Kiln
U02 Industrial Furnace
U03 Industrial Boiler
Toxics Release Inven ton/ Reporting Forms and Instructions B-3
-------
301
Appendix B
U09 Other Energy Recovery Methods
Section 7C. On-Site Recycling Processes
Rll Solvents/Organics Recovery - Batch Still
Distillation
R12 Solvents/Organics Recovery — Thin-Film
Evaporation
R13 Solvents/Organics Recovery — Fractionation
R14 Solvents/Organics Recovery — Solvent
Extraction
R19 Solvents/Organics Recovery — Other
R21 Metals Recovery - Electrolytic
R22 Metals Recovery — Ion Exchange
R23 Metals Recovery — Acid Leaching
R24 Metals Recovery — Reverse Osmosis
R26 Metals Recovery — Solvent Extraction
R27 Metais Recovery — High Temperature
R28 Metals Recovery - Retorting
R29 Metals Recovery — Secondary Smelting
R30 Metals Recovery - Other
R40 Acid Regeneration
R99 Other Revise or Recovery
Section 8.10. Source Reduction Activity
Codes
Good Operating Practices
W13 Improved maintenance scheduling, record
keeping, or procedures
W14 Changed production schedule to minimize
equipment and feedstock changeovers
W19 Other changes in operating practices
Inventory Control
W21 Instituted procedures to ensure that materials
do not stay in inventory beyond shelf-life
W22 Began to test outdated material — continue to
use if still effective
W23 Eliminated shelf-life requirements for stable
materials
W24 Instituted better labeling procedures
W25 Instituted clearinghouse to exchange materials
that would otherwise be discarded
W29 Other changes in inventory control
Spill and Leak Prevention
W33 Installed overflow alarms or automatic shut-o
valves
W35 Installed vapor recovery systems
W36 Implemented inspection or monitoring
program of potential spill or leak sources
W39 Other changes made in spill and leak
prevention
Raw Material Modifications
W41 Increased purity of raw materials
W42 Substituted raw materials
W49 Other raw material modifications made
Process Modifications
W51 Instituted recirculation within a process
W52 Modified equipment, layout, or piping
W53 Use of a different process catalyst
W54 Instituted better controls on operating bulk
containers to minimize discarding of empty
containers
W55 Changed from small volume containers to bulk
containers to minimize discarding of empty
containers
W58 Other process modifications
Cleaning and Decreasing
W59 Modified stripping/cleaning equipment
W60 Changed to mechanical stripping/cleaning
devices (from solvents or other materials)
W61 Changed to aqueous cleaners (from solvents or
other materials)
W63 Modified containment procedures for cleaning
units
W64 Improved draining procedures
W65 Redesigned parts racks to reduce drag out
W66 Modified or installed rinse systems
W67 Improved rinse equipment design
W68 Improved rinse equipment operation
W71 Other cleaning and degreasing modifications
Surface Preparation and Finishing
W72
W73
W74
VV75
W78
W31 Improved storage or stacking procedures
W32 Improved procedures for loading, unloading,
and transfer operations
B-4 Toxics Release Inventory Reporting Forms and Instructions
Modified spray systems or equipment
Substituted coating materials used
Improved application techniques
Changed from spray to other system
Other surface preparation and finishing
modifications
-------
302
Appendix B
Product Modifications
W81 Changed product specifications
W82 Modified design or composition of products
W83 Modified packaging
W89 Other product modifications
Section 8.10. Methods Used to Identify
Source Reduction Activities
For each source reduction activity, enter up to three of
the following codes that correspond to the method(s)
which contributed most to the decision to implement
that activity.
T01 Internal Pollution Prevention Opportunity
Audit(s)
T02 External Pollution Prevention Opportunity
Audit(s)
T03 Materials Balance Audits
T04 Participative Team Management
T05 Employee Recommendation (independent of a
formal company program)
T06 Employee Recommendation (under a formal
company program)
T07 State Government Technical Assistance
Program
T08 Federal Government Technical Assistance
Program
T09 Trade Association/Industry Technical
Assistance Program
T10 Vendor Assistance
Til Other
Toxics Release Inventory Reporting Forms and Instructions B-5
-------
303
-------
Appendix C. Common Errors in JEtompleting Form R Reports and
Making Data Available
The common errors in complying with section 313 and completing Form R occur in the following: threshold
determination, completing the Form R, estimating release and other waste management amounts, and transcription
of data submitted as they are entered into the database.
To correct errors made in the transcription of data received, EPA designed the data entry process to include a number
of automated data quality checks. These types of checks are useful to correct such things as facility name, or county
spelling, but these checks are less effective in detecting whether values were entered correctly. Previously, EPA sent
back to each reporting facility a release value report (RVR) that included amounts entered in sections 5 and 6 of the
Form R. This allowed facilities an opportunity to see a large portion of their report and make corrections before the
database was updated and released to the public. The RVR was replaced with a Facility Data Profile beginning with
the 1998 reporting year. A facility data profile is a printout of the data EPA has entered into its database for each
facility. It is mailed to each reporting facility to check for errors before EPA begins its analysis of the data and make
it available to the public. It also flags possible errors in reporting.
Some errors encountered in reports submitted do not allow the report to be processed, while others may not prevent
processing but may affect the data and any analysis using the data if not corrected. Errors most frequently received
pertain to facility identification/location, chemical identification, missing pages, invalid Form Rs, magnetic disk
processing, or more than one chemical being reported per Form R. In order to notify reporting facilities of these errors
and provide them instructions for making corrections, EPA has in the past issued a number of notice types. These
included NOTEs (Notice of Technical Error), NOSEs (Notice of Significant Error), NDC (Notice of Data Change), and
where there was a compliance issue, a notice of non-compliance (NON). Prior to RY1998 these were generally issued
separately. Beginning with the 1998 reporting year, these reporting notices were consolidated and issued to the
reporting facility in their Facility Data Profile, except for the NONs which are issued by EPA's Office of Enforcement
and Compliance Assurance.
A listing of the types of errors that generate invalid entries in the facility data profile are listed in this section
beginning on page C-8. (Please note: two new validation checks for use of proper waste management code were
added during the review of the 1998 data. These codes appear under "Notices of Technical Errors (NOTEs)" as 339
and 340 on page C-ll.)
Reporting errors may also be identified through inspections. EPA may initiate an inspection to review the activities
at a facility involving reportable EPCRA Section 313 chemicals at any point. If, as a result of an inspection, EPA
determines that the facility should have submitted a Form R, then EPA may take enforcement action against the
facility which may involve the subsequent assessment of fines. Errors that result in non-reporting violations include
incorrect threshold determination, misapplying exemptions, and overlooking activities involving a reportable
chemical.
Facilities should keep copies of submitted Form R reports and all documentation used to complete their reports. This
documentation should include calculations for threshold determinations, the basis of exemptions applied, and the
estimation techniques and data used for all quantities reported on the Form R.
General Considerations
Threshold Determinations
Q Incomplete Forms. A complete Form R report for
a single EPCRA Section 313 chemical or single
EPCRA Section 313 chemical category consists of
five pages stapled together. EPA cannot enter into
the database data from a package that contains only
one page 1, but several page 2s, 3s, 4s, and/or 5s.
Such forms are considered incomplete submissions.
Calculating threshold determinations. Annual
quantities manufactured, processed, or otherwise
used for Section 313 chemicals must be calculated,
not surmised. The assumption that thresholds are
exceeded commonly leads to error.
Misclassification of EPCRA Section 313 chemical
activity. Failure to correctly classify an EPCRA
Section 313 chemical activity may result in an
Toxics Release Inventory Reporting Forms and Instructions C-l
-------
305
Appendix C
incorrect threshold determination. As a result, a
Form R may not be submitted when one is required.
Q EPCRA Section 313 chemical activity overlooked.
Many facilities believe that because the section 313
reporting requirement pertains to manufacturers,
only the use of EPCRA Section 313 chemicals in
manufacturing processes must be examined. Any
activity involving the manufacture, process, or
otherwise use of an EPCRA Section 313 chemical or
chemical category must be included in threshold
determinations. Commonly overlooked activities
include importation of chemicals, generation of
waste byproducts, processing of naturally occurring
metals and metal category compounds in ore,
manufacturing and processing of reaction
intermediates, the use of chemicals for cleaning of
equipment, and the generation of byproducts
during combustion of coal and/or oil. Facilities
should take a systematic approach to identify all
chemicals and mixtures used in production and
non-production capacities, including catalysts, well
treatment chemicals, and wastewater treatment
chemicals.
Q Reporting EPCRA Section 313 chemicals in
mixtures and other trade name products. EPCRA
Section 313 chemicals contained in mixtures
(including ores and stainless steel alloys) and other
trade name products must be factored into
threshold determinations and release and other
waste management determinations, provided that
the de minimis exemption cannot be taken. When the
EPCRA Section 313 chemical being reported is a
component in a mixture or other trade name
product, report only the weight of the EPCRA
Section 313 chemical in the mixture. Refer to Section
B.4b of this document to calculate the weight of an
EPCRA Section 313 chemical in a mixture or other
trade name product.
Q Reporting coincidental manufacturing.
Coincidental manufacturing must not be
overlooked. If coal and/or fuel oil and other raw
materials that contain EPCRA Section 313 chemicals
are used in boilers/burners, there is a potential for
the coincidental manufacture of EPCRA Section 313
chemicals such as sulfuric acid (acid aerosols),
hydrochloric acid (acid aerosols), hydrogen
fluoride, and metal category compounds.
Additionally, manufacturing of EPCRA Section 313
chemicals during waste treatment is commonly
overlooked. For example, the treatment of nitric I
acid may result in the coincidental manufacturing of
a reportable chemical (nitrate compounds).
Container Residue
G Overlooking container residue. Container residue
must not be disregarded in release and other waste
management calculations. Even a "RCRA empty"
drum is expected to contain a residue and it must be
considered for TRI reporting. Additionally, on-site
drum rinsing and disposal of the rinsate will result
in a release and other waste management activity.
Refer to "Estimating Releases and Waste Treatment
Efficiencies for Toxic Chemical Reporting Forms."
Fart I. Facility Identification
Information
Section 1. Reporting Year
Q Invalid Forms. The correct version of the form for
the reporting year in question must be used. Forms
provided for reporting years 1987-1990 must not be
used to report data for reporting years 1991-1995.
Form Rs provided for reporting years 1987-1995
must not be used to report data for years 1996 and
later.
Section 2. Trade Secret Information
Q Incorrect completion of trade secret information.
The responses to trade secret questions in Part I
Section 2 and Part II Section 1.3 of Form R/Form A
must be consistent. If trade secrecy is indicated, a
sanitized Form R/Form A and two trade secret
substantiations (one sanitized) must be submitted in
the same package as the trade secret Form R/Form
A. Part II Section 1.3 should be blank if no trade
secret claim is being made.
Section 3. Certification
D Missing certification signature. An original
certification signature must appear on page 1 of
every Form R/Form A submitted to EPA.
C-2 Toxics Release Inventory Reporting Forms and Instructions
-------
306
Appendix C
Section 4. Facility Identification
Q Incorrect latitude and longitude coordinates.
Latitude and longitude coordinates are important
data on the Form R/Form A. These coordinates
must be determined using the correct map and
correct measurement techniques and reported in
degrees, minutes, and seconds.- For additional
guidance, see Appendix E of this document.
Q "Questionable" entries. Incorrect entries may
require corrections to be made by the facility.
Questionable entries may include:
• Missing or incorrect street address;
• Missing or incorrect ZIP codes;
• Missing County names;
• Invalid SIC codes;
• Missing or invalid Dun & Bradstreet numbers;
• Missing or invalid RCRA, NPDES, or UIC
numbers; and
• Incomplete off-site and POTW information
(e.g., missing city name)
If amounts are reported in units other than pounds (e.g.,
metric units) or with exponential numbers, EPA may
require a revision of the Form R/Form A submitted.
Part II. Chemical-Specific
Information
Section 1. Toxic Chemical Identity
0 Reporting chemical abstract service (CAS)
numbers in Section 1.1. Beginning with the 1991
reporting year, EPA has assigned alphanumeric
category codes to the twenty chemical categories for
the purposes of reporting the CAS number field in
Section 1.1. When completing a Form R for a
chemical category, the appropriate code for that
category must be provided in Section 1.1. The CAS
numbers are listed in Table II: "Section 313 Toxic
Chemical List," and if needed, the category codes
are listed in Appendix B: "Reporting Codes for EPA
Form R." Category guidance documents are listed in
the Chemical and Industry Guidance Documents
section in this document.
Q Failure to check for synonyms. Some reportable
chemicals (especially glycol ethers and toluene
diisocyanates) have many synonyms that do not
readily imply they are in the category. For example,
"benzene,l,3-diisocyanatomethyr/ may not be
readily recognized as "toluene diisocyanate (mixed
isomers)."
Q Invalid chemical identification in Section 1.2. The
CAS number and the chemical name reported here
must exactly match the listed official Section 313
CAS number and EPCRA Section 313 chemical
name.
Q Failure to consider an EPCRA Section 313
chemical qualifier. Only EPCRA Section 313
chemicals in the form specified in the qualifier
require reporting under Section 313 and should be
reported on Form R with the appropriate qualifier in
parentheses. For example, isopropyl alcohoi is
listed on the EPCRA Section 313 chemical list with
the qualifier "manufacturing- strong acid process,
no supplier notification." Thus, the ONLY facilities
that should report this EPCRA Section 313 chemical
are those that manufacture isopropyl alcohol by the
strong acid process.
Q Generic chemical name in Section 1.3. A generic
chemical name should only be provided if the
Section 313 chemical identity is claimed as a trade
secret.
Section 2. Mixture Component Identity
Q Identifying chemicals used in mixtures. Facilities
must carefully review the most recent MSDS or
supplier notification for every mixture brought on-
site to identify all Section 313 chemicals used during
a reporting year. Although some mixtures may not
have MSDSs, the best readily available information
should be used to determine the presence of EPCRA
Section 313 chemicals in ores and alloys.
Q Mixture names in Section 2.1. Mixture names are
to be entered here only if the supplier is claiming the
identity of the EPCRA Section 313 chemical a trade
secret and that is the sole identification. Mixture
names that include the name or CAS number of one
or more EPCRA Section 313 chemicals are not valid
uses of the mixture name field.
Toxics Release Inventory Reporting Forms and Instructions C-3
-------
307
Appendix C
Section 3. Activities and Uses of the Toxic
Chemical at the Facility
Q Reporting EPCRA Section 313 chemical activity.
EPCRA Section 313 chemical activity is commonly
overlooked or misclassified. Any activity involving
the manufacture, process, or otherwise use of an
EPCRA Section 313 chemical must be examined.
For example, waste treatment operations otherwise
use EPCRA Section 313 chemicak to treat waste
streams and may coincidentally manufacture an
additional EPCRA Section 313 chemical as a result
of the treatment reaction. Such activity must be
considered. Further, EPCRA Section 313 chemical
activity must be correctly classified as either
"manufactured," "processed," or "otherwise used."
Section 3.1 "Manufacture"means to produce,
prepare, compound, or import an
EPCRA Section 313 chemical.
Section 3.2 "Process" means the preparation of an
EPCRA Section 313 chemical after its
manufacture, which incorporates the
EPCRA Section 313 chemical into the
final product, for distribution in
commerce.
Section 3.3 "Otherwise use" encompasses any use
of an EPCRA Section 313 chemical that
does not fall under the terms
"manufacture" or "process," and
includes treatment for destruction,
stabilization (without subsequent
distribution in commerce), disposal, and
other use of an EPCRA Section 313
chemical, including an EPCRA Section
313 chemical contained in a mixture or
other trade name product. Otherwise
use of an EPCRA Section 313 chemical
does not include disposal, stabilization
(without subsequent distribution in
commerce), or treatment for destruction
unless:
1. The EPCRA Section 313 chemical that was
disposed, stabilized, or treated for destruction
was received from off-site for the purposes of
further waste management; or
2. The EPCRA Section 313 chemical that was
was manufactured as a result of waste
management activities on materials received|
from off-site for the purposes of further waste
management activities.
For example, solvents in paint applied to a manufactured
product are often misclassified as processed, instead of
otherwise used. Because the solvents are not
incorporated into the final product, the solvent is being
otherwise used, not processed. Such situations must be
interpreted accurately.
Section 4. Maximum Amount of the Toxic
Chemical On-site at Any Time
During the Calendar Year
Q Maximum amount on-site left blank. The
appropriate code is required in this field.
Section 5. Quantity of the Toxic Chemical
Entering Each Environmental
Medium On-site
Q Incorrectly reporting stack emissions. Fugitive
emissions from general indoor air must not be
reported as stack emissions when released from a
single building vent. Additionally, stack emissions
from storage tanks, including loading, working, and
breathing losses from tanks, must not be overlooked
or reported as fugitive emissions.
Q Overlooking some releases to land. Section 313
chemicals placed in stockpiles or in surface
impoundments should be reported as a "release to
land" even if no Section 313 chemicals leak from
these sources. Quantities of Section 313 chemicals
land-treated should be reported as a "release to
land."
Section 6. Transfers of the Toxic Chemical
in Wastes to Off-site Locations
Q Reporting discharges to POTWs in Section 6.1.
When quantities of a listed mineral acid are
neutralized to a pH of 6 or greater, the quantity
reported as discharged to a POTW should be
reported as zero. It is incorrect to enter "NA" (Not
Applicable), in such a situation.
disposed^stabilized, or treated for destruction
C-4 Toxics Release Inventory Reporting Forms and Instructions
-------
308
Appendix C
Q Reporting other off-site transfers in Section 6.2.
Any quantities reported in Sections 8.1,8.3,8.5, and
8.7 as sent off-site for disposal, treatment, energy
recovery, or recycling, respectively, must also be
reported in Section 6.2 along with the receiving
location and appropriate off-site activity code.
Section 7 A. On-Site Waste Treatment
Methods and Efficiency
Q Failure to report waste treatment methods in
Section 7A. Waste treatment methods used to treat
waste streams containing EPCRA Section 313
chemicals, and the efficiencies of these methods,
must be reported on Form R. Information must be
entered for ail waste streams, even if the waste
treatment method does not affect the EPCRA
Section 313 chemical. If no waste treatment is
performed on waste streams containing the EPCRA
Section 313 chemical, the box marked "Not
Applicable" in Section 7A must be checked on Form
R.
Section 7B. On-Site Energy Recovery
Processes
Q Incorrect reporting of waste treatment methods in
Section 7A. The type of waste stream, influent
concentration, and waste treatment method for each
waste stream are required to be reported on Form R
using specific codes, along with the waste treatment
efficiency expressed as percent removal. The waste
treatment codes are listed in Appendix B:
"Reporting Codes for EPA Form R," of the Toxic
Chemical Rekase Inventory Reporting Forms and
Instructions.
Q Reporting on-site energy recovery methods in
Section 7B. When a quantity is reported in Section
8.2 as combusted for energy recovery on-site, the
type of energy recovery system used must be
reported in Section 7B, and vice versa.
Section 7C. On-Site Recycling Processes
Q Reporting on-site recycling methods in Section 7C.
When a quantity is reported in Section 8.4 as
recycled on-site, the type of recovery method must
be reported in Section 7C, and vice versa.
Section 8. Source Reduction and Recycling
Activities
This section is mandatory. Under no circumstances
should a reporting facility leave Section 8 entirely blank,
even if the facility does not engage in source reduction or
recycling activities.
Q Columns C and D, the future year projections for
questions 8.1 through 8.7, must be completed. EPA
expects a reasonable estimate for the future year
projections. Zero can be used in columns C and D to
indicate that the manufacture, process, or otherwise
use of the chemical will be discontinued. In such
cases, columns C and D for Section 8.1 through 8.7
must all contain zeroes.
Q It is incorrect to use range codes to report quantities
in Section 8. Range codes can be used only in
Section 5 and Section 6 of Form R.
Q It is incorrect to use the same codes from Section 4
for reporting the maximum amount of the reported
EPCRA Section 313 chemical on-site to report
quantities in Section 8.
Q Quantities reported in Section 8.1 through Section
8.7 are mutually exclusive and additive. This means
that quantities of the reported EPCRA Section 313
chemical must not be double-counted in Section 8.1
through Section 8.7.
Q Some double-counting errors have been due to
confusion over the differences in how on-site
treatment of an EPCRA Section 313 chemical is
reported in Section 7A as compared to Section 8. In
Section 7A, information on the treatment of waste
streams containing the EPCRA Section 313 chemical
is reported, along with the percent efficiency in
terms of destruction or removal of the EPCRA
Section 313 chemical from each waste stream. In
Section 8, only the quantity of the EPCRA Section
313 chemical actually destroyed through the
treatment processes reported in Section 7A is
reported in Section 8.6 to avoid double-counting
within Sections 8.1 through 8.7.
Q Quantities reported in Sections 8.1 through 8.7 must
not be reported in Section 8.8 and vice versa.
Toxics Release Inventory Reporting Forms and Instructions C-5
-------
309
Appendix C
Q Any time a reported EPCRA Section 313 chemical is
contained in a waste, and die waste is associated
with routine production-related activities and is
recycled, combusted for energy recovery, treated,
disposed, or otherwise released either on- or off-site,
that quantity of the EPCRA Section 313 chemical
must be included in the quantities reported in
Sections 8.1 through 8.7.
Q Reporting quantities in Section 8.1 "Quantity
released." Quantities of EPCRA Section 313
chemicals that are released (including disposed) on-
site and reported in Section 5 of Form R must be
reported in Section 8.1. Quantities of EPCRA Section
313 chemicals transferred off-site for the purposes of
disposal reported in Section 6.2 must appear in
Section 8.1 using the following codes:
0 M10 Storage Only;
Q M41 Solidification/Stabilization — Metals and
Metal Category Compounds Only;
Q M62 Wastewater Treatment (excluding POTW)
— Metals and Metal Category Compounds Only;
Q M71 Underground Injection;
Q M72 Landfill/Disposal Surface Impoundment; '-'
3 M73 Land Treatment;
Q M79 Other Land Disposal;
Q M90 Other Off-Site Management; and
Q M94 Transfer to Waste Broker—Disposal
Q M99 Unknown.
Metals and metal category compounds transferred
off-site to POTWs in Section 6.1 must appear in
Section 8.1. To report correctly in Section 8.1, a
facility must include quantities that are released to
the environment, either on-site or off-site, excluding
releases due to catastrophic events or
non-production related activities.
§8.1 = §5 + §6.1 (metals and metal category
compounds only) + §6.2 (disposal only)
- §8.8 (on-site or off-site release due to
catastrophic events)2
0 Reporting quantities in Section 8.2 "Quantity used
for energy recovery on-site." A quantity must be
reported in Section 8.2 for the current (reporting)
year when a method of on-site energy recovery is
reported in Section 7B, and vice versa. An
facilities make when completing Form R is to repoi
the methods of energy recovery used on-site in
Section 7B but not report the total quantity
associated with those methods. Another error is to
report a quantity in this section if the combustion of
the EPCRA Section 313 chemical took place in a
system that did not recover energy (e.g., an
incinerator). A quantity of the EPCRA Section 313
chemical combusted for energy recovery must not
be reported if the EPCRA Section 313 chemical does
not have a significant heating value. Examples of
EPCRA Section 313 chemicals that do not have
significant heating values include metals, metal
category compounds, and halons. Metals and metal
portions of metal compounds will never be treated
or combusted for energy recovery. Section 8.2 must
not include any quantities of the EPCRA Section
313 chemical associated with non-production
related activities, such as catastrophic releases and
remedial actions, as well as other one-time events
not associated with routine production practices,
that were combusted for energy recovery on-site.
Reporting quantities in Section 8.3 "Quantity
used for energy recovery off-site." As in
8.2, a quantity must not be reported in
if the off-site combustion of the EPCRA Section 313
chemical took place in a system that did not recover
energy (e.g., incinerator). A quantity of an EPCRA
Section 313 chemical must not be reported as sent
off-site for the purposes of energy recovery if the
EPCRA Section 313 chemical does not have a
significant heating value. Examples of EPCRA
Section 313 chemicals that do not have significant
heating values include metals, metal compounds,
and halons. Metals and metal portions of metal
compounds will never be treated or combusted for
energy recovery. Quantities must be reported in
Section 8.3 that are reported in Section 6.2 as
transferred off-site for the purposes of combustion
for energy recovery using the following codes:
Q M56 Energy Recovery
Q M92 Transfer to Waste Broker - Energy
Recovery
2 §8.8 includes quantities of toxic chemical released on-site
or managed as waste off-site due to remedial actions, catastrophic
events, or one-tune events not associated with the production
processes. -~
C-6 Toxics Release Inventory Reporting Forms and Instructions
§8.3 = §6.2 (energy recovery) - §8.8 (off-site
energy recovery due to catastrophic
events)2
-------
310
Appendix C
Q Reporting quantities in Section 8.4 "Quantity
recycled on-site." A quantity must be reported in
Section 8.4 for the current reporting year when a
method of on-site recycling is reported in Section
7C, and vice versa. An error facilities make when
completing Form R is to report the methods of
recycling used on-site in Section 7C but not report
the total quantity recovered using those methods.
In addition, only the amount of the chemical that
was actually recovered is to be reported in Section
8.4. Any quantities of the EPCRA Section 313
chemical associated with non-production related
activities such as catastrophic releases and remedial
actions, as well as other one-tune events not
associated with routine production practices that
were recycled on-site must not be included in
Section 8.8.
Q Reporting quantities in Section 8.5. "Quantity
recycled off-site." Quantities reported in Section 6.2
as transferred off-site for the purposes of recycling
must be included in Section 8.5 using the following
codes:
3 M20 Solvents/Organic Recovery;
0 M24 Metals Recovery;
3 M26 Other Reuse or Recovery;
3 M28 Acid Regeneration;
0 M93 Transfer to Waste Broker — Recycling.
Quantities that are actually recycled at an off-site
facility must not be reported in Section 8.5 -
facilities should report the quantity that was sent
off-site for the purposes of recycling.
§8.5 = §6.2 (recycling) - §8.8 (off-site recycling due
to catastrophic events)2
Q Reporting quantities in Section 8.6 "Quantity
treated on-site." Quantities may not always have to
be reported in Section 8.6 when Section 7A is
completed. This is because the information reported
in Section 7A and Section 8 is different.
Information on how waste streams containing the
reported EPCRA Section 313 chemical are treated is
reported in Section 7A, while the quantity of the
EPCRA Section 313 chemical actually destroyed as
a result of on-site treatment is reported in Section
8.6. If a quantity is reported in Section 8.6, Section
7A must be completed but the reverse may not be
true. This may result in apparent discrepancies
Q
between Section 7A and Section 8. For example, a
facility may treat wastewater containing an EPCRA
Section 313 chemical by removing the EPCRA
Section 313 chemical and then disposing of it on-
site. The treatment of the wastewater would be
reported in Section 7A, with an efficiency estimate
based on the amount of the EPCRA Section 313
chemical removed from the wastewater. Although
the waste stream has been treated because the
EPCRA Section 313 chemical has been removed, the
EPCRA Section 313 chemical has not been treated
because it has not been destroyed. The facility
would report only the amount of the EPCRA
Section 313 chemical actually destroyed during
treatment in Section 8.6 and the amount ultimately
disposed in Section 8.1 to avoid double-counting
the same quantity in Section 8. In cases where the
EPCRA Section 313 chemical is not destroyed
during a treatment process and subsequently enters
another activity, such as disposal (e.g., metals
removed from wastewater and subsequently
disposed on-site), the quantity of the EPCRA
Section 313 chemical would be reported as
disposed in Section 8.1, not as treated in Section 8.6.
Quantities of the EPCRA Section 313 chemical
associated with non-production related activities
such as catastrophic releases and remedial actions,
as well as one-time events not associated with
routine production practices, that were treated on-
site, mustnot be included in Section 8.6. Metals will
never be treated or combusted for energy recovery.
Reporting quantities in Section 8.7 "Quantity
treated off-site," Quantities reported in Section 6.2
as transferred off-site for the purposes of treatment
must be included in Section 8.7 using the following
codes:
;] M50 Incineration/Thermal Treatment;
0 M54 Incineration/Insignificant Fuel Value;
0 M61 Wastewater Treatment (excluding
POTW);
D M69 Other Waste Treatment; and
Q M95 Transfer to Waste Broker — Waste
Treatment.
Quantities of an EPCRA Section 313 chemical,
except metals and metal category compounds, sent
off-site to a POTW should also be reported in
Section 8.7.
Toxics Release Inventory Reporting Forms and Instructions C-7
-------
311
Appendix C
To report correctly EPCRA Section 313 chemicals in
Section 8.7, use the following equation.
§8.7 = §6.1 (excluding metal/metal category
compounds) + §6.2 (treatment) - §8.8
(off-site treatment due to catastrophic
events)3
Q Reporting quantities in Section 8.8 "Quantity
released to the environment as a result of
remedialactions catastrophic events or one-time
events not associated with production processes."
The quantities that are reported in Section 8.8 are
associated with non-production related activities
such as catastrophic releases and remedial actions,
as well as one-time events not associated with
routine production practices, that were released
directly to the environment or transferred off-site
for the purposes of recycling, energy recovery,
treatment or disposal. Quantities reported in Section
8.8 must not be reported in Section 8.1 through
Section 8.7.
Q Reporting the production ratio in Section 8.9. A
production ratio or activity index must be provided
in Section 8.9. A zero is not acceptable and "NA"
(Not Applicable) can be used only when the
reported EPCRA Section 313 chemical was not
manufactured, processed, or otherwise used in the
year prior to the reporting year.
Q Calculating production ratio in Section 8.9. In
calculating a production ratio for "otherwise used"
chemicals, an activity index must be used rather
than quantities purchased or released from year to
year.
G Reporting Source reduction activities in Section
8.10. It is an error to report a source reduction
activity in Section 8.10 and not report at least one
method used to identify that activity and vice versa.
Toxics Release Inventory Error Notices
Notices of Data Change (NDCs). NDCs correct data
quality errors that are not technical or scientific. For
example, if a facility transposes CAS numbers (e.g,.
submitter lists 7623-00-0 for sodium nitrite instead
7632-00-0), the EPCRA Reporting Center (RC) will
the facility indicating that the number has been corrected
through the facility data profile. If a facility lists a specific
glycol ethers subcategory, the EPCRA RC will replace
this subcategory with the reportable name "certain glycol
ethers." If a facility submits a non-reportable chemical,
the EPCRA RC will file the form as a miscellaneous
submission and inform the facility.
Notices of Significant Error (NOSEs). NOSEs are errors
that prevent data from being entered into the system.
These types of errors include the following and must be
corrected by the facility.
1. You have submitted your Toxic Chemical Release
Inventory report on an invalid form by using either
the form not applicable for the reporting year, or a
facsimile form that has not been approved by EPA.
2. You have submitted an incomplete Toxic Chemical
Release Inventory Form. AD pages of the form
must be completed and resubmitted to EPA.
3. You have provided incomplete facility^
identification information.
4. You have either left the chemical identification
blank, or the CAS number you reported is not listed
on the Section 313 list of toxic chemicals.
5. You have provided a valid CAS number and a
valid chemical name, but they do not match.
6. You have provided a valid CAS number, but the
chemical name you provided is not a Section 313
chemical name or recognized synonym.
7. You have reported for multiple chemicals in one
Form R report.
Notices of Noncompliance (NONs). NONs are issued
for the same exact errors as NOSEs (see NOSE errors,
above). If a facility does not respond to a NOSE within
21 days, EPA will issue a NON. If there is no response to
the NON, then the Office of Enforcement and
Compliance Assistance (OECA) is notified and follow up
action is taken.
'§8.8 includes quantities of toxic chemical released on-site
or managed as waste off-site due to remedial actions, catastrophic
events, or one-time events not associated with the production
processes.
C-8 Toxics Release Inventory Reporting Forms and Instructions
Notices of Technical Error (NOTEs). NOTEs a
identified in the Facility Data Profile for errors that allow
>w^^
-------
312
Appendix C
data to be entered into the system, but for errors that can
skew any analyses if not corrected. These types of errors
include the following.
101. You must sign the form and date the signature, part
I, section 3.
102. You must enter the name and telephone number of
the technical contact for the facility in part I, section
4.3.
ratio. If the manufacture, process, or use of the
reported chemical began during the current
reporting year, enter "NA".
117. You did not correctly complete part II, section 6.2,
column C, "type of treatment/disposal/etc." For
each off-site transfer, you must enter the treatment,
recycling, energy recovery, or disposal code for the
method used. See the Form R instructions for valid
codes.
103. For each receiving stream in part II, section 5.3, you 201. You either did not provide a standard industrial
must enter an estimate of the release or "NA" in
column A.
104. You must list the name of the receiving stream for
each release in part II, section 5.3, column A.
105. You must list the name and location of the POTW
for the discharge reported in part II, section 6.I.A.I.
"NA" is not acceptable.
106. For total discharges of this chemical to POTWs
listed in part II, section 6.1.B, you must enter an
estimate of the total discharge or "NA" in part II,
section 6.I.A.I.
107. You must list the name and location of the other
off-site(s) for the transfers) of waste indicated in
part II, section 6.2.A. "NA" is not acceptable.
108. For each other off-site listed in part II, section 6.2,
you must enter at least one estimated transfer or
"NA" in column A.
109. You did not enter any information in part II, section
8.1 - 8.7. you must enter an estimate,"0", or "NA" in
each box for section 8.1 - 8.7, columns A,B,C,& D.
110. You must enter a non-negative estimate for any
quantity reported in columns A through D of part II,
section 8.1 through 8.7.
111. You must enter either a non-negative value or zero
for part II, section 8.8, "quantity released as a result
of remedial actions, catastrophic events, or one
time-events not associated with production
processes."
112. You did not correctly complete part II section 8.9.
You must enter a non-negative, non-zero
"production ratio or activity index" for this
chemical. See the instructions for calculation of this
classification (SIC) code to identify the activities
occurring at your facility or you provided an
invalid code(s) (part I, section 4.5). Non-federal
facilities must provide at least one valid primary
four-digit SIC code between 20(00) and 39(99).
202. You did not correctly complete part I, section 4.6,
latitude and longitude for your facility. "NA" is not
an acceptable entry. Latitude and longitude should
be seven digits with leading and/or trailing zeroes.
The 48 contiguous U.S. states have latitudes
ranging (south to north) from 24 degrees 33
minutes 00 seconds to 48 degrees 23 minutes 00
seconds and longitudes (east to west) from 66
degrees 57 minutes 00 seconds to 124 degrees 44
minutes 00 seconds respectively. Please consult
Form R, appendix E and instructions.
212. You did not indicate in part II, section 3 which
activity(ies) and use(s) of the EPCRA Section 313
chemical occur at your facility. Check at least one.
213. You did not complete part II, section 4. You must
enter the "maximum amount of chemical on-site at
any time during the calendar year". Report the
maximum amount as a two digit code. See the
instructions for valid codes.
214. You did not complete part II, section 5, "Quantity
of the Toxic Chemical Entering each Environmental
Medium On-site." If you did not release the
chemical to the environment, enter "0" or "NA" as
appropriate for each release type.
215. You did not complete part II, section 6.1,
"discharges to POTW." If you did not discharge
the chemical in wastewater to a POTW(s), enter
"NA" in section 6.1.A.1 or section 6.1.B1.
216. You did not complete part II, section 6.2, "Transfers
to Other Off- site Locations." If you did not
Toxics Release Inventory Reporting Forms and Instructions C-9
-------
313
Appendix C
transfer the chemical in waste to other off-site
locations, enter "NA" in section 6.2, the first off-site
EPA identification number (RCRA ID No.) and/or
off-site location name.
217. You incorrectly completed part II, section 6.2
column C "Type of Waste Treatment / Disposal /
Recycling / Energy Recovery." For each off-site
transfer, you must enter the treatment, recycling,
energy recovery, or disposal code for the method
used. See the instructions for valid codes.
218. You did not enter any information in part II, section
7A, "On-site Waste Treatment Methods and
Efficiency." If you do not treat wastes containing
the EPCRA Section 313 chemical at your facility,
check "NA."
220. You must enter either a zero or a non-negative value
for an estimate in part n, section 5 or for an off-site
transfer in part II, section 6.
221. You did not enter any information in part n, section
7B, "On-site Energy Recovery Processes" or in part
II, section 7C "On-site Recycling Processes." You
must enter at least one method code or check "NA"
in each section.
???. You did not complete column B in part II, section
8.1. You must enter an estimate, "NA", or "0" in
this column.
223. You did not complete column B in part II, section
8.2. You must enter an estimate, "NA", or "0" in
this column.
224. You did not complete column B in part II, section
8.3. You must enter an estimate, "NA", or "0" in
this column.
225. You did not complete column B in part II, section
8.4. You must enter an estimate, "NA", or "0" in
this column.
226. You did not complete column B in part II, section
8.5. You must enter an estimate, "NA", or "0" in
this column.
227. You did not complete column B in part II, section
8.6. You must enter an estimate, "NA", or "0" in
this column.
228. You did not complete column B in part II, section
8.7. You must enter an estimate, "NA", or "0" i
this column.
239. You did not complete part 1, section 4.2.C. If your
facility is a federal facility, please check the' federal
facility' box.
244. If you report releases in part II, section 5 and/or
off-site transfer in section 6.2 and/or quantities
transferred off-site to POTWs in section 6.1, you
must report an estimate in part II, section 8.1
through 8.7 column B and/or section 8.8.
245. If you enter an estimate in part n, section 8.1
through 8.7, column B and/or section 8.8, you must
also report releases in part II, section 5 and/or off-
site transfers in section 6.2 and/or quantities
transferred off-site to POTWs in section 6.1 and/or
more waste treatment, energy recovery, or
recycling codes in section 7.
318. You entered an invalid energy recovery method
code in part II, section 7B, "On-site Energy
Recovery Processes." The code consists of a "U"
followed by two digits. See appendix B of the
Form R and instructions for valid codes.
319. You entered an invalid recycling code in part n,
section 7C, "On-site Recycling Processes." The
code consists of an "R" followed by two digits. See
appendix B of the Form R and instructions for valid
codes.
321. If you enter an estimate in part II, section 8.2,
column B, "Quantity Used for Energy Recovery On-
site," you must enter one or more energy recovery
codes in part II, section 7B.
322. If you enter an "On-site Energy Recovery Process"
code in part II, section 7B, you must enter an
estimate of the quantity used for energy recovery in
part n, section 8.2, column B.
325. If you enter an estimate in part II, section 8.4,
column B "Quantity Recycled On-site", you must
enter one or more recycling codes in part n, section
7C
C-10 Toxics Release Inventory Reporting Forms and Instructions
-------
314
Appendix C
343.
344.
326. If you enter one or more on-site recycling process
codes in part II, section 7C. You must enter an
estimate in part II, section 8.4, column B, "Quantity
Recycled On-site."
329. If you enter an estimate in part II, section 8.6,
column B "Quantity Treated On-site", you must
complete part II, section 7A "On-site Waste
Treatment Methods and Efficiency." "NA" is not an
acceptable entry.
332. You have entered an invalid code in part II, section
8.10.1-4. "Source Reduction Activity" codes consist
of the letter "W" followed by two digits. See
appendix B of the appropriately dated Form R and
instructions for valid codes.
339. You reported an invalid Type of Waste Treatment
code. For metals/metal category compounds use
only disposal and certain recycling activities codes.
Consult the guidance for metal and metal category 346.
compounds and correct with a valid waste
management (i.e., "M") code.
340. For non-metals, codes M41 and M62 are 347.
unacceptable. Provide the appropriate Disposal or
Other Waste Management code for this non-metal
substance.
348.
341. You have not correctly completed part II, section
8.10.1. If you enter one or more "Methods to
Identify Activity" code in part II, section 8.10.1 (A -
C), you must also enter the associated "Source 349.
Reduction Activity " code, which consist of the
letter "W" followed by two digits. See Appendix B
of the instructions for valid codes. If your facility
did not undertake any source reduction activities, 350.
enter "NA" in the first column of section 8.10.1.
342. You have not correctly completed part II, section
8.10.2. If you enter one or more "Methods to 351.
Identify Activity" code in part II, section 8.10.2 (A -
C), you must also enter the associated "Source
Reduction Activity " code, which consist of the
letter "W" followed by two digits. See appendix B 352.
of the instructions for valid codes. If your facility
did not undertake any source reduction activities,
enter "NA" in the first column of section 8.10.2.
You have not correctly completed part II, section
8.10.3. If you enter one or more "Methods to
Identify Activity" code in part II, section 8.10.3
(A-C), you must also enter the associated "Source
Reduction Activity " code, which consist of the
letter "W" followed by two digits. See appendix B
of the instructions for valid codes. If your facility
did not undertake any source reduction activities,
enter "NA" in the first column of section 8.10.3.
You have not correctly completed part II, section
8.10.4. If you enter one or more "Methods to
Identify Activity" code in part II, section 8.10.4 (A
- C), you must also enter the associated "Source
Reduction Activity " code, which consist of the
letter "W" followed by two digits. See appendix B
of the instructions for valid codes. If your facility
did not undertake any source reduction activities,
enter "NA" in the first column of section 8.10.4.
You did not complete columns A, C, or D in part II,
section 8.1. You must enter an estimate, "NA", or
"0" in each column.
You did not complete columns A, C, or D in part II,
section 8.2. You must enter an estimate, "NA", or
"0" in each column.
You did not complete columns A, C, or D in part II,
section 8.3. You must enter an estimate, "NA", or
"0" in each column.
You did not complete columns A, C, or D in part II,
section 8.4. You must enter an estimate, "NA", or
"0" in each column.
You did not complete columns A, C, or D in part II,
section 8.5. You must enter an estimate, "NA", or
"0" in each column.
You did not complete columns A, C, or D in part II,
section 8.6. You must enter an estimate, "NA", or
"0" in each column.
You did not complete columns A, C, or D in part II,
section 8.7. You must enter an estimate, "NA", or
"0" in each column.
Toxics Release Inventory Reporting Forms and Instructions C-ll
-------
315
-------
316
Appendix D. Supplier Notification Requirements
Because manufacturers reporting under section 313 must
know the EPCRA Section 313 chemical composition of
the products they use to be able to accurately calculate
releases, EPA requires some suppliers of mixtures or
other trade name products containing one or more of the
EPCRA section 313 chemicals to notify their customers.
This requirement has been in effect since January 1,1989.
This appendix explains which suppliers must notify their
customers, who must be notified, what form the notice
must take, and when it must be sent.
Who Must Supply Notification
You are covered by the section 313 supplier notification
requirements if you own or operate a facility which
meets all of the following criteria:
(1) Your facility is in Standard Industrial Classification
[SIC] codes 20-39;
(2) You manufacture, import, or process an EPCRA
Section 313 chemical; and
(3) You sell or otherwise distribute a mixture or other
trade name product containing the EPCRA Section
313 chemical to either:
Q A facility in a covered SIC code
(see Table I).
G A facility that then may sell the same mixture or
other trade name product to a firm in a covered
SIC code (see Table I).
Note that you may be covered by the supplier
notification rules even if you are not covered by the
section 313 release reporting requirements. For
example, even if you have fewer than 10 full-time
employees or do not manufacture or process any of the
EPCRA Section 313 chemicals in sufficient quantities to
trigger the release and other waste management
reporting requirements, you may still be required to
notify certain customers.
Who Must Be Notified
Also, note that beginning with the 1998 reporting year,
seven new industries are now covered by most of the
EPCRA section 313 reporting requirements. These new
industries are not required to comply with most of the
supplier notification requirements. Industries whose
primary SIC code is not within 20 through 39 are not
required to initiate the distribution of notifications for
EPCRA Section 313 chemicals in mixtures or other trade
name products that they send to their customers.
However, if these facilities receive notifications from
their suppliers about EPCRA Section 313 chemicals in
mixtures or other trade name products, they should
forward the notifications with the EPCRA Section 313
chemicals they send to other covered users.
An example would be if you sold a lacquer containing
toluene to distributors who then may sell the product to
other manufacturers. The distributors are not in a
covered SIC code, but because they sell the product to
companies in covered SIC codes, they must be notified so
that they may pass the notice along to their customers, as
required.
The language of the supplier notification requirements
covers mixtures or other trade name products that are
sold or otherwise distributed. The "otherwise
distributes" language applies to intra-company transfers.
However, if the company has developed an internal
communications procedure that alerts their other
facilities to the presence and content of covered EPCRA
Section 313 chemicals in their products, then EPA would
accept this.
Note that beginning with the first shipments in 1998,
facilities in SIC codes 20-39 will be required to also notify
facilities in the newly added industry groups.
Supplier Notification Must Include the
Following Information:
(1) A statement that the mixture or other trade name
product contains an EPCRA Section 313 chemical
or chemicals subject to the reporting requirements
of EPCRA section 313 (40 CFR 372);
(2) The name of each EPCRA Section 313 chemical
and the associated Chemical Abstracts Service
(CAS) registry number of each chemical if
applicable. (CAS numbers are not used for
chemical categories, since they can represent
several individual EPCRA Section 313 chemicals.);
and
Toxics Release Inventory Reporting Forms and Instructions D-l
-------
317
Appendix D
(3) The percentage, by weight of each EPCRA Section
313 chemical (or all EPCRA Section 313 chemicals
within a listed category) contained in the mixture or
other trade name product.
For example, if a mixture contains a chemical (i.e., 12
percent zinc oxide) that is a member of a reportable
EPCRA Section 313 chemical category (i.e., zinc
compounds), the notification must indicate that the
mixture contains a zinc compound at 12 percent by
weight. Supplying only the weight percent of the parent
metal (zinc) does not fulfill the requirement. The
customer must be told the weight percent of the entire
compound within an EPCRA Section 313 chemical
category present in the mixture.
How the Notification Must Be Made
The required notification must be provided at least
annually in writing. Acceptable forms of notice include
letters, product labeling, and product literature
distributed to customers. If you are required to prepare
and distribute a Material Safety Data Sheet (MSDS) for
the mixture under the Occupational Safety and Health
Act (OSHA) Hazard Communication Standard, your
section 313 notification must be attached to the MSDS or
the MSDS must be modified to include the required
information. (A sample letter and recommended text for
inclusion in an MSDS appear at the end of this appendix.)
You must make it clear to your customers that any copies
or redistribution of the MSDS or other form of
notification must include the section 313 notice. In other
words, your customers should understand their
requirement to include the section 313 notification if they
give your MSDS to their customers.
When Notification Must Be Provided
In general, you must notify each customer receiving a
mixture or other trade name product containing an
EPCRA Section 313 chemical with the first shipment of
each calendar year. You may send the notice with
subsequent shipments as well, but it is required that you
send it with the first shipment each year. Once
customers have been provided with an MSDS containing
the section 313 information, you may refer to the MSDS
by a written letter in subsequent years (as long as the
MSDS is current).
If EPA adds EPCRA Section 313 chemicals to the section
313 list, and your products contain the newly added
EPCRA Section 313 chemicals, notify your
with the first shipment made during the next
year following EPA's final decision to add the
to the list. For example, if EPA adds chemical ABC to the
list in September 1998, supplier notification for chemical
ABC would have begun with the first shipment in 1999.
You must send a new or revised notice to your customers
if you:
(1) Change a mixture or other trade name product by
adding, removing, or changing the percentage by
weight of an EPCRA Section 313 chemical; or
(2) Discover that your previous notification did not
properly identify the EPCRA Section 313
chemicals in the mixture or correctly indicate the
percentage by weight.
In these cases, you must:
(1) Supply a new or revised notification within 30
days of a change in the product or the discovery of
misidentified EPCRA Section 313 chemical(s) in
the mixture or incorrect percentages by weight;
and
(2) Identify in the notification the prior shipments of
the mixture or product in that calendar year to
which the new notification applies (e.g., if the
revised notification is made on August 12, indicate
which shipments were affected during the period
January 1 - August 12).
When Notifications Are Not Required
Supplier notification is not required for a "pure" EPCRA
Section 313 chemical unless a trade name is used. The
identity of the EPCRA Section 313 chemical will be
known based on label information.
You are not required to make a "negative declaration."
That is, you are not required to indicate that a product
contains no EPCRA Section 313 chemicals.
If your mixture or other trade name product contains one
of the EPCRA Section 313 chemicals, you are not
required to notify your customers if:
(1) Your mixture or other trade name product
contains the EPCRA Section 313 chemical in
percentages by weight of less than the following^
levels (These are known as de minimi's levels):
D-2 Toxics Release Inventory Reporting Forms and Instructions
-------
318
0 0.1 percent if the EPCRA Section 313 chemical
is defined as an "OSHA carcinogen";
3 1 percent for other EPCRA Section 313
chemicals.
De minimis levels for each EPCRA Section 313
chemical and chemical category are listed in Table
II.
(2) Your mixture or other trade name product is one of
the following:
3 An article that does not release an EPCRA
Section 313 chemical under normal conditions
of processing or otherwise use.
3 Foods, drugs, cosmetics, alcoholic beverages,
tobacco, or tobacco products packaged for
distribution to the general public.
Q Any consumer product, as the term is defined
in the Consumer Product Safety Act, packaged
for distribution to the general public. For
example, if you mix or package one-gallon cans
of paint designed for use by the general public,
notification is not required.
(3) You are initiating distribution of a mixture or other
trade name product containing one or more EPCRA
Section 313 chemicals and your facility is in any of
the newly covered SIC codes including facilities
whose SIC code is within SIC major group codes 10
(except 1011, 1081, and 1094), 12 (except 1241);
industry codes 4911 (limited to facilities that
combust coal and/or oil for the purpose of
generating power for distribution in commerce),
4931 (limited to facilities that combust coal and/or
oil for the purpose of generating power for
distribution in commerce), or 4939 (limited to
facilities that combust coal and/or oil for the
purpose of generating power for distribution in
commerce); or 4953 (limited to facilities regulated
under the Resource Conservation and Recovery Act,
subtitle C, 42 U.S.C. Section 6921 et seq.) or 5169, or
5171, or 7389 (limited to facilities primarily engaged
in solvents recovery services on a contract or fee
basis).
Trade Secrets
Chemical suppliers may consider the chemical name or
the specific concentration of an EPCRA Section 313
Appendix D
chemical in a mixture or other trade name product to be
a trade secret. If you consider the:
(1) SpecificidentityofanEPCRASection313chemical
to be a trade secret, the notice must contain a
generic chemical name that is descriptive of the
structure of that EPCRA Section 313 chemical. For
example, decabromodiphenyl oxide could be
described as a halogenated aromatic.
(2) Specific percentage by weight of an EPCRA
Section 313 chemical in the mixture or other trade
name product to be a trade secret, your notice
must contain a statement that the EPCRA Section
313 chemical is present at a concentration that
does not exceed a specified upper bound. For
example, if a mixture contains 12 percent toluene
and you consider the percentage a trade secret the
notification may state that the mixture contains
toluene at no more than 15 percent by weight. The
upper bound value chosen must be no larger than
necessary to adequately protect the trade secret.
If you claim this information to be trade secret, you must
have documentation that provides the basis for your
claim.
Recordkeeping Requirements
You are required to keep records for three yeare of the
following:
(1) Notifications sent to recipients of your mixture or
other trade name product;
(2) All supporting materials used to develop the
notice;
(3) If claiming a specific EPCRA Section 313 chemical
identity a trade secret, why the EPCRA Section 313
chemical identity is considered a trade secret and
the appropriateness of the generic chemical name
provided in the notification; and
(4) If claiming a specific concentration a trade secret,
explanations of why a specific concentration is
considered a trade secret and the basis for the
upper bound concentration limit.
This information must be readily available for inspection
by EPA.
Toxics Release Inventory Reporting Forms and Instructions D-3
-------
319
Appendix D
Sample Notification Letter
January 2,2000
Mr. Edward Burke
Furniture Company of North Carolina
1000 Main Street
Anytown, North Carolina 99999
Dear Mr. Burke:
This letter is to inform you that a product that we sell to you. Furniture Lacquer KXZ-1390, contains one or more
chemicals subject to Section 313 of Emergency Planning and Community Right-to-Know Act (EPCRA). We are
required to notify you of the presence of these chemicals in the product under EPCRA section 313. This law
requires certain industrial facilities to report on annual emissions and other waste management of specified
EPCRA Section 313 chemicals and chemical categories. Our product contains:
3 Toluene, Chemical Abstract Service (CAS) number 108-88-3,20 percent, and
0 Zinc compounds, 15 percent.
If you are unsure whether you are subject to the reporting requirements of EPCRA Section 313, or need more
information, call EPA's EPCRA Hotline at 1 (800) 424-9346, or (703) 412-9877. Your other suppliers should also be
notifying you about EPCRA Section 313 chemicals in the mixtures and other trade name products they sell to you.
Finally, please note that if you repackage or otherwise redistribute this product to industrial customers, a notice
similar to this one must be sent to those customers.
Sincerely,
Emma Sinclair
Sales Manager
Furniture Products
D-4 Toxics Release Inventory Reporting Forms and Instructions
-------
320
Appendix D
Sample Notification on an MSDS
Section 313 Supplier Notification
Furniture Products
This product contains the following EPCRA Section 313 chemicals subject to the reporting requirements of
Section 313 of the Emergency Planning and Community Right-To-Know Act of 1986 (40 CFR 372):
CAS#
108-88-3
NA
Chemical Name
Toluene
Zinc Compounds
Percent by Weight
20%
15%
This information should be included in all MSDSs that are copied and distributed for this material.
Material Safety Data Sheet
Toxics Release Inventory Reporting Forms and Instructions D-5
-------
321
-------
Appendix E. How To DetermineTatitude and Longitude From
Topographic Maps
Latitude and longitude coordinates of reporting facilities
are very important for pinpointing facility location and
are a required data element on Form R. As such, EPA is
encouraging facilities to make the best possible
measurements when determining latitude and longitude.
As with any other data element, missing, suspect, or
incorrect data may result in EPA issuing a Notice of
Technical Error to the facility.
Latitude is the distance north or south of the equator.
Longitude is the distance east or west of the prime
meridian (Greenwich, England). Latitude and longitude
are measured in degrees, minutes, and seconds.
60" (seconds) = 1' (minute)
60' (minutes) ~ 1° (degree)
The most important tool available for determining
latitude and longitude for your facility is the U.S.
Geological Survey (USGS) topographic quadrangle map.
These maps are published in varying degrees of detail.
The most detailed version of the topographic quadrangle
map is in 7.5 x 7.5 minute increments with a scale of
1:24000 (i.e., one inch on the map represents 2,000 feet).
Detailed topographic quadrangle maps are also available
in 7.5 x 15 minute increments with a scale of 1:250,000
(i.e., one inch on the map represents approximately four
miles). It is very important that latitude and longitude
measurements be made from one of the detailed maps
described above. Otherwise, measurements will not
accurately reflect the location of your facility and could
be identified as an error on your Form R submission.
In order to identify the detailed topographic quadrangle
map in which your facility is located, the USGS has
published an index and a catalog of topographic maps
available for each state. Both the index and the catalog
are available in many libraries or free of charge from the
Distribution Branch of the USGS (address on following
page). The Index to Topographic and Other Map Coverage
helps you to identify the most detailed map in which
your facility is located. To identify the most detailed
map, follow these simple steps on how to use the index:
(1) The beginning of each index contains a map of the
state, broken into numbered quadrangular sections.
The numbered quadrangular sections are called
general areas of interest. Identify the numbered
section in which your facility is located.
(2) The subsequent pages of the index contain detailed
maps of each general area of interest, in numerical
order. Identify the detailed map corresponding to the
numbered general area of interest identified in Step 1.
(3) Within this detailed map, identify the smaller
quadrangular area in which your facility is located.
This smaller quadrangular section is the specific
area of interest. Record first the letter then the
number coordinate for your specific area of interest
(e.g, E4).
(4) Using the chart found on the same page as the
detailed map of the general area of interest, record
the name of the specific area of interest in which
your facility is located, identified by the letter and
number coordinates (e.g., Richmond).
The name of the specific area of interest and its
corresponding letter and number coordinates identify the
most detailed topographic quadrangle map in which
your facility is located. To identify the map reference
code and file number necessary to order this map, follow
these simple steps for using the Catalog ofTopographic and
Other Published Maps for the state in which your facility
is located:
(5) The beginning of the catalog explains the meaning of
the reference code. On the pages following this
explanation, there are charts listed alphabetically by
the name of the specific area of interest with
corresponding file numbers and map reference
codes. Using the name of the specific area of
interest recorded in Step 4, identify the file number
and map reference code from the chart for the map
in which your facility is located (e.g., file number
00692, map reference code 37977-E4-TF-024-00).
(6) Use the file number and map reference code to
obtain the specific topographic quadrangle map in
which your facility is located.
These detailed topographic quadrangle maps are
available in many libraries or for purchase from the
Distribution Branch of the USGS and from private map
dealers. The Catalog of Topographic and Other Published
Maps contains a list of map depository libraries and
topographic map dealers for each state covered in the
catalog.
To purchase a topographic quadrangle map from the
USGS, you must send a written request to the
Distribution Branch of the USGS, containing the file
number, map reference code, the name of the city, state
and zip code in which your facility is located, payment of
Tones Rekase Inventory Reporting Forms and Instructions E-l
-------
323
Appendix E
$4.00 per map sheet and a handling charge of $3.50 for
each order mailed.
The Distribution Branch of the USGS can be reached at
Distribution Branch of the USGS
P.O. Box 25286
Denver Federal Center
Denver, CO 80225
(303) 202-4700
ALLOW 5 WEEKS FOR DELIVERY
In addition, you may purchase a topographic quadrangle
map from the USGS through a USGS Public Inquiry
Office. The Public Inquiry Offices are listed for each state
on the inside back cover of the Catalog of Topographic and
Other Published Maps.
If you need help in determining your latitude and
longitude, once you have the necessary map, the
National Cartographic Information Center can provide
assistance:
Western states: (303) 202-4200
Eastern states: (314) 341-0851
Please call in advance of the section 313 reporting
deadline to avoid unnecessary delays.
Determining Your Facility's
Latitude and Longitude
(See diagram next page.)
Once you have obtained the correct map for your facility:
The latitude and longitude are printed at the edj
of the map.
(4) To determine the increment of latitude above the
latitude line recorded in step 3,
— position the map so that you face west;
— place the ruler in approximately a north-south
alignment, with the "0" on the latitude line
recorded in step 3 with the ruler edge
intersecting the point.
Without moving the ruler, read and record:
— the measurement from the latitude line to the
desired point (the point distance);
— the measurement from the latitude line to the
north line of the small quadrangle (the total
distance).
Determine the number of seconds to be added to the
latitude recorded in step 3 by using the ratio:
Point distance x 150"
Total distance
between lines
1 increment of latitude
[Note: 150" is the number of seconds of arc for the side
of tihe small quadrangle on a 7.5' map. If you are using a
15' map, the multiplication factor is 300" instead of 150"
since each graticule is 5' of latitude or longitude.]
(1) Mark the location of your f acility on the map with a
point. If your facility is large, choose a point central
to the production activities of the facility. If certain
structures in your facility are represented on the
map, mark one of the structures with a point.
(2) Construct a small rectangle around the point with
fine pencil lines connecting the nearest 2.5' or 5'
graticules. Graticules are intersections of latitude
and longitude lines that are marked on the map
edge, and appear as black crosses at four points in
the interior of the map.
(3) Read and record the latitude and longitude (in
degrees, minutes, and seconds) for the southeast
corner of the~small quadrangle drawn in step two.
E-2 Toxics Release Inventory Reporting Forms and Instructions
For example:
Point distance
Total distance
99.5
192.0
99.5 x 150"
192.0
77.7"
0117.7"
(60" = I1; 77.7"= 60" + 17.7" = 01'17.7")
Latitude in step 3
Increment
Latitude of point
to the nearest second
32°17'30"
+ 01'17.7"
32°18'47.7"
32°18'48"
-------
324
Appendix E
(5) To determine the increment of longitude west of
the longitude line recorded in step 3,
— position the map so that you face south;
— place the ruler in approximately an east-west
alignment with the "0" on the longitude line
recorded in step 3 with the ruler edge
intersecting the point.
Without moving the ruler, read and record:
— the measurement from the longitude line to the
desired point (the point distance);
— the measurement from the longitude
line to the west line of the small quadrangle
(the total distance).
Determine the number of seconds to be added to the
longitude recorded in step 3 by using the ratio:
Point distance x 150" = increment of longitude
total distance
between lines
For example:
Point distance = 65.0
Total distance = 149.9
65.0 x 150" = 65" = Ol'OS"
149.9
(60" = T; 65" = 60" + 05" = Ol'OS")
Longitude in step 3
Increment
Longitude of point
to the nearest second
78°05'00"
+ Ql'05"
78°06'05"
= 78°06'05"
Note: Use the appropriate address for submission of
Form R reports to your State. In addition, many States
have additional state reporting requirements. Check
with your State contact on any State requirements.
Latitude/Longitude Diagram
WEST
POINT
•
QUADRANGLE
NORTH
\
+
GRATICULE
SOUTH
32^2-30-
srxroar
EAST
32-IT30"
Point Latitude 32°18'48' North, Lontitude 78°06'05' West
Note: This diagram is based on a USGS 7.5 Minute Series Topographic Map. It is not drawn to scale.
Tcm'cs Release Inventory Reporting Forms and Instructions E-3
-------
325
-------
326
ATTACHMENT 7-2
IDENTIFYING RELEASE ERRORS
(QUESTIONS/FACTS TO CONSIDER)
(Two Pages)
-------
327
-------
328
Identifying Release Errors
(Questions/Facts to Consider)
INSTRUCTIONS: The following questions can be helpful to determine if reporting errors
were made for the following types of releases.
Organic Solvents
• For otherwise used solvents (i.e., coatings, cleanups), did a mass balance for solvents
account for total usage at the facility?
• Was the otherwise used threshold of 10,000 pounds applied for all solvents used
coatings?
• How were releases of organic solvents other than to air estimated?
• If a paint booth and drying oven were vented to different control devices, how was the
booth/oven split determined?
• For solvents sent off site for fuel burning, recycling, or disposal, was a waste analysis
used to determine the quantity of the 313 chemical? Most wastes should be RCRA
wastes, which are analyzed by the waste receiver.
• How were releases of process solvents determined? What percentage of throughput was
released to air?
• For manufactured or processed chemicals, were analyses of the products used to
determine the quantity of the Section 313 chemical that remained in the product?
Chlorinated Solvents (degreasing)
• Was a mass balance accounting for all chlorinated solvent usage used to estimate
releases and off-site transfers?
• Was the percentage of chlorinated solvent in the waste accounted for?
• For vapor degreasing with water separation, were releases to water or POTW estimated?
Metals/Metal Compounds
• Was TCLP used as a measure of metal concentration in any calculation? TCLP does not
measure metal content, but rather leachable metal content, and should not be used in
calculations.
L7-A2-1
-------
329
• Were wastewater monitoring data used to estimate releases to surface water or POTW?
What was the frequency of the monitoring?
• Were thresholds for metal compounds determined using the weight of the compound and
not just the metal portion of the compound?
• Were thresholds determined for all metals/metal compounds processed at the facility?
• Did the facility determine if it met the reporting thresholds from the amount released or
transferred off site instead of the amount manufactured, processed or otherwise used?
• For metals/metal compounds in paints, how was a coating transfer efficiency determined?
Acids
• Was the pH of acid releases continuously measured to support any assumption of
neutralization? If not, what was the frequency of the monitoring?
• Was the percentage of acid in the original acid or acid solution taken into account in the
calculation of threshold?
Other Chemicals
• If chlorine releases to water or POTW were reported, the water pH should be checked. If ••
pH is higher than 4, there is only a very small release to water.
• Check 10% aqueous ammonia. Were total ammonia (NH3, NH/) levels used to report
ammonia releases to water?
Nitrate compounds
For the category nitrate compounds, the entire weight of the nitrate compound is counted towards
the threshold. A nitrate compound is covered by this listing only when in water and only if
dissociated.
L7-A2-2
-------
330
EPCRA SECTION 313
INSPECTOR TRAINING MANUAL
Module IV
Pre-Inspection
Activities
-------
331
-------
332
EPCRA Section 313
Inspector Training Manual
MODULE OBJECTIVES
At the end of this module, students will be trained to:
• Plan an inspection.
Schedule an inspection.
Gather the appropriate inspection documents.
List potential health and safety issues.
CONTENTS
Module IV contains:
Lesson 8: Inspection Planning
Lesson 9: Health and Safety
November 2000
IV-i
Module IV: Pre-Inspection Activities
-------
333
-------
335
Lesson 8
Inspection Planning
-------
336
-------
337
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
TABLE OF CONTENTS
LESSON 8: INSPECTION PLANNING
INTRODUCTION L8-1
Purpose L8-1
Objectives L8-1
PRE-SCREENING ACTIVITIES L8-1
Identify Primary Contact at Facility L8-1
Confirm Facility Data L8-2
EXERCISE 1 L8-3
RECORDS REVIEW L8-3
Introduction L8-3
Facility-Specific Documents and Sources L8-4
Chemical/Industry-Specific Information L8-8
Supplemental Information L8-9
INSPECTION PREPARATION L8-9
Inspection Questions L8-9
Document, Process, and/or Interview Request List(s) L8-9
REVIEW L8-10
EXERCISE 2 L8-11
ADVANCE NOTIFICATION L8-11
Regional Differences L8-11
Facility Contact Identification L8-12
Inspection Discussion L8-12
November 2000
L8-i
Module IV: Pre-inspection Activities
-------
338
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
TABLE OF CONTENTS (Continued)
INSPECTION MATERIALS COLLECTION L8-16
Inspection Materials L8-16
WRITTEN INSPECTION PLAN L8-17
REVIEW L8-19
SUMMARY L8-20
REVIEW QUESTIONS L8-20
ATTACHMENTS
8-1 LESSON 8 EXERCISE 1: INSPECTION PREPARATION
ROLE 1 - INSPECTOR L8-A1-1
8-2 LESSON 8 EXERCISE 1: INSPECTION PREPARATION
ROLE 2 - FACILITY CONTACT L8-A2-1
8-3 LESSON 8 EXERCISE 2: RECORDS REVIEW SCENARIO L8-A3-1
8-4 LESSON 8 EXERCISE 2: RECORDS REVIEW SCENARIO
ANSWER KEY L8-A4-1
8-5 LANGUAGE FOR SEE INSPECTION LETTER L8-A5-1
8-6 SENIOR ENVIRONMENTAL EMPLOYMENT PROGRAM
DESCRIPTION SHEET L8-A6-1
8-7 EXAMPLE TELEPHONE INTERVIEW FORMAT L8-A7-1
8-8 EXAMPLE FOLLOW-UP LETTER L8-A8-1
8-9 SAMPLE NOTICE OF INSPECTION FORM L8-A9-1
8-10 RECEIPT FOR SAMPLE AND DOCUMENTS FORM L8-A10-1
November 2000
L8-ii
Module IV: Pre-inspection Activities
-------
339
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
TABLE OF CONTENTS (Continued)
ATTACHMENTS fContinuecD
8-11 WORKSHEET FOR DEVELOPING A WRITTEN INSPECTION PLAN .... L8-A11-1
8-12 ANSWERS TO LESSON 8 REVIEW QUESTIONS L8-A12-1
November 2000
Module IV: Pre-inspection Activities
-------
340
-------
341
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
INTRODUCTION
Purpose
This lesson presents the recommended planning process to be conducted prior to any routine
EPCRA Section 313 inspection. The basic elements of inspection planning are reviewing EPA
and other records and data concerning the target facility; preparing inspection questions and a
listing of documents to be collected on-site; providing advance notification of the inspection to
the facility; gathering inspection documents; and preparing a written inspection plan to be
followed during the actual inspection.
Objectives
Given a role play exercise, discussion questions, and an inspection scenario:
• Perform basic pre-screening activities.
Describe the inspection planning process.
• List the basic facility records for a non/late reporter inspection.
• List the basic documents for a data quality inspection.
• Identify the inspection documents necessary to conduct EPCRA Section 313 inspections.
PRE-SCREENING ACTIVITIES
This section covers two basic pre-screening activities:
Identification of primary contact at the facility
• Confirmation of facility data
Identify Primary Contact at Facility
Once a list of potential target facilities has been developed, you should contact each facility to
confirm general industry information and verify that it is subject to EPCRA Section 313
reporting requirements. When contacting a facility, you want to speak with the facility manager,
environmental coordinator, or someone else with authority in order to verify information and
November 2000
L8-1
Module IV: Pre-inspection Activities
-------
342
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
establish a point of contact. You may find a D&B report useful for determining who is in charge.
It usually provides the name and telephone number of the senior person at the facility. If this
method is ineffective, call the general number for the facility or directory assistance for the
company and ask to speak to the person in charge of the facility. This may be a production
manager, plant manager, or someone else in management.
Confirm Facility Data
The primary goal of the pre-screening call is to confirm that the targeted facility meets the
criteria for an inspection (for example, number of employees and chemical produced). When
calling the facility, you may reach a receptionist. You can obtain the information you need from
this person, but it is not recommended. Ask to speak to the person you previously identified as
the primary contact. If the receptionist refuses to answer your questions or wants to know why
you are asking questions, then introduce yourself as an EPA inspector (or another person with the
authority to conduct EPCRA Section 313 inspections) and ask to speak to the person in charge of
the facility. If necessary, explain that you are confirming data you have collected regarding the
facility in relation to EPCRA Section 313 reporting requirements.
Once you have reached the primary contact or person in charge (or the receptionist if no one else
is available), you should ask EPCRA-Section 313-specific questions. The types of questions to
ask include:
• Are you a manufacturing facility or in the group of industries added in 1995 to the
universe of facilities subject to reporting under EPCRA Section 313? (Note: This
ensures that you are planning a visit to a facility in the EPCRA Section 313 universe).
Are you aware of EPCRA Section 313? If "no," send a copy of the Form R Packet for the
facility to review. If "yes," ask what EPCRA Section 313 chemicals they use, how they
use them, what quantities they use, and have they submitted a Form A or R.
• Do you manufacture or process 25,000 Ibs or otherwise use 10,000 Ibs of an EPCRA
Section 313 chemical subject to reporting?
• How many full-time or equivalent employees, including sales staff and contractor hours,
do you have for the facility?
• What are your gross annual sales?
• What product do you primarily manufacture?
• Are you self-contained (own chemical/manufacture/electroplating/forging and so on)?
November 2000
L8-2
Module IV: Pre-inspection Activities
-------
343
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
Describe plant operations. Are there any wastewater treatment, power generation, or
steam refrigeration operations?
Jfljfiliif^
Full-time employee means 2,000 hours per year of foil-time of equivalent employment. A
facility would calculate the number of foil-time employees by totaling the hours worked (plus
paid vacation and sick leave claimed) during the reporting year by all employees, including
part-time and contractor personnel, and dividing that total by 2,000 hours. If the facility had
fewer than 10 foil-time employees or the equivalent, it was not required to report.
Remember, the primary goal of the pre-screening call is to determine if the facility you have
targeted meets the criteria for an inspection. If the facility does not meet the criteria, the process
ends here. However, if the facility meets the criteria, you may either proceed with the records
review or proceed with advance notification. This will be determined by Regional procedure and
the amount of information gathered prior to the pre-screening call.
EXERCISE 1
You will be paired with another student and assigned a role. One of you will play the role of the
EPCRA inspector, and the other will be the contact person at the targeted facility. You have 5
minutes to read the instructions for your role and prepare. Do not share the information on your
role sheet with your classmate before the role play exercise begins. The general scenario is that
the inspector is calling topre-screen the facility while targeting for an inspection. You will have
approximately 5 minutes as a pair to portray the roles. (Note: Role instruction sheets are
Attachments 8-1 and 8-2.)
RECORDS REVIEW
Introduction
Proper review of EPA records, prior to the on-site inspection of a targeted facility, is essential to
the overall success of the inspection and compliance efforts. The information obtained from
your research and review of specific regulatory requirements, site-specific background,
compliance history, and facility operations will enable you to develop an inspection plan that is
focused. More importantly, you will identify documents and personnel interviews that need to
be obtained or conducted during the inspection and identify any issues, concerns, or
discrepancies that need to be addressed. In-depth analysis of records combined with a review of
November 2000
L8-3
Module IV: Pre-inspection Activities
-------
344
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
the processes used at the facility being inspected, also sends the message that the inspector is
knowledgeable and well prepared. Note that all of the sources of facility information identified
in this lesson may not be available; and although they are helpful, they are not vital.
In general, the objectives of records review are to:
• Become familiar with facility size and operations.
• Learn about facility compliance history.
• Identify any inadequacies and/or inconsistencies in the facility documentation that you
want to clarify during the inspection (such as, changes in names, SIC codes, number of
full time employees, or changes in corporate structure)
• Minimize inconvenience to facility personnel by not having to ask for basic facility
information that may already be in EPA records.
• Clarify technical and legal issues before you conduct the inspection.
• Make more efficient use of EPA personnel and funding by saving time once at the
inspection site (for example, plan to conduct two non/late reporter inspection in one day,
because these types of inspections only take about three hours per facility).
There are two types of data in which you will find most of your information:
• Facility-Specific Data
• Chemical/Industry-Specific Data
In both data quality and non/late reporter inspections, you will find facility-specific and
chemical/industry-specific data documents. Of course, there will be more facility-specific data
for a data quality inspection, and when those documents are presented in this lesson, they will be
noted as being data quality-specific. Additionally, obtaining all of the documentation/information
listed may not be possible; however, try to gather as much of it as possible. It will make your
inspection planning easier and your on-site inspection more efficient.
Facility-Specific Documents and Sources
The first type of facility information you want to gather is general facility information. The
following list highlights examples of what types of information you should research and review
during the records review process. Don't forget to check for a company/facility's own Internet
web site as a source of information.
November 2000
L8-4
Module IV: Pre-inspection Activities
-------
345
EPCRA Section 313
Inspector Training Manual Lesson 8: Inspection Planning
General Facility Information.
• Names, titles, and telephone numbers of facility officials and/or representatives
• Street address and road map
• Organizational structure
• Special facility entry requirements
• Past and present (and possibly future) operations and production levels
• Safety equipment and health and safety training requirements
• Descriptions of the facility's (and/or the company's or parent company's) recordkeeping
and filing system
• Size of facility
All of this data is especially useful for inspection planning purposes. Knowing this information
will enable you to better allocate time and resources, as well as prepare necessary inspection
documents and equipment. For example, data on facility-specific entry requirements may help
you determine whether it is necessary to obtain a warrant.
Previous Enforcement Information. The second facility-specific topic area to research is
previous EPA enforcement against the facility. You should review inspection records,
compliance histories, and enforcement actions under other programs, including the water, air,
and hazardous waste programs. This information can also be critical in planning an inspection
and understanding the facility.
Reports Prepared bv the Facility. Third, you should review any reports prepared by the facility
(for example, self-monitoring reports) that may be found in EPA files. You would review these
reports to determine whether there are any discrepancies between the self-monitoring records and
the EPA records. For example, a facility may submit a discharge monitoring report, indicating
the presence of an EPCRA Section 313 chemical in the discharge. However, in the Form R
report submitted to EPA, the facility did not indicate any releases to receiving water. This type
of data discrepancy should be resolved during the on-site inspection.
You may not want to wait until the on-site inspection to clarify this type of discrepancy. That is
a judgment you will have to determine. It is fully appropriate to either investigate these types of
discrepancies by requesting clarification from the facility during the advance notification or
during the inspection.
November 2000 L8-5 Module IV: Pre-inspection Activities
-------
346
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
Permits and Permit Applications. Fourth, you should review any facility operating permits or
permit applications. Such documents may provide information on limitations and requirements
applicable to discharges, emissions, and operations; compliance schedules; and monitoring,
analytical, and reporting requirements. While your concern is only with documenting potential
EPCRA Section 313 violations, EPA encourages comprehensive environmental compliance
inspections. To the extent possible, you are encouraged to review permits and other
documentation pertinent to other EPA-administered legislation (that is, other sections of EPCRA,
the CAA, and the CWA).
Correspondence. Correspondence between the facility and EPA (or the State) may provide
important information on compliance issues. In addition, EPA's response to correspondence
from the facility can affect the requirements that are applicable to the facility. You should also
review EPCRA-Section 313-related correspondence and EPA correspondence related to other
program areas such as air, water, and RCRA.
Form R Report (Data Quality, rarely Non/Late Reporter). Your primary source of information in
a data quality inspection is the review of Form R chemical reports submitted by the facility to
EPA. Each Form R report contains eight types of information: facility identification data,
off-site location data, chemical-specific data, manufacturing process data, release data, off-site
transfer data, waste treatment methods, and pollution prevention data. Review Form R(s) for
data discrepancies.
Tier I and II Reports. Under Section 312, facilities must report information about the amounts,
location, and potential effects of hazardous chemicals to Local Emergency Planning Committees
(LEPC) and State Emergency Response Commission (SERC). These reports consist of annual
inventories of EPCRA Section 313 chemicals kept onsite. A two-tier approach exists for annual
inventory reporting: Tier I and Tier II reports. Each year since 1988, these inventory forms are
due on March 1. You can contact the state or local emergency planning board to locate Tier I
and Tier II reports.
Tier I Reports
Specifically, Tier I forms require facilities to develop estimates for the amount of chemicals in
each hazard category, based upon the maximum combined amount of hazardous chemicals,
average daily amount present, and general location of the chemicals in the facility.
Tier II Reports
Tier II forms provide more detail and describe for each hazardous chemical the common name
listed on the MSDS, the maximum and average amounts of the chemical present, storage
conditions, location of the chemical, and confidential status of the location information.
November 2000
L8-6
Module IV: Pre-inspection Activities
-------
347
EPCRA Section 313
Inspector Training Manual Lesson 8: Inspection Planning
Companies have the flexibility to choose whether to file Tier I or Tier II forms, unless SERC,
LEPC, and/or the local fire department request Tier II, but many companies voluntarily provide
Tier II reports. Most cases will involve Tier II, not Tier I reports.
Databases. Databases are another excellent source of facility information. Listed below are four
of the most commonly used databases and the information they contain.
TRI Database
If you have not already run a TRI database report during targeting, doing so now would provide
you with the following EPCRA Section 313 details on the facility:
• Identification of the toxic chemicals reported
The amount of chemical released
• The media to which it was released
• Whether the facility did not report
IDEA System
IDEA tracks an individual facility's compliance records for most EPA statutes. This information
may assist you, because a facility that has failed to report under EPCRA Section 313 may show
up with a compliance record under a different statute. Additionally, IDEA'S information can also
be a tool to help an you determine whether EPCRA Section 313 data appears to be consistent
across all EPA program lines.
Facility and Company Tracking System (FACTS)
FACTS provides detailed information on names, addresses, employment, sales, and SIC codes.
This information can be extracted in two ways: facilities by SIC codes or facilities that are
within a particular geographic area.
FINDS
FINDS is designed to track facilities subject to various Federal environmental laws, including
RCRA, NPDES, and the CAA.
Access to these databases is as follows:
• TRI data accessibility can be obtained from your Regional EPCRA Section 313 contact
or through one of the Internet sites listed in Lesson 5.
November 2000 L8-7Module IV: Pre-inspection Activities
-------
348
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
• OTIS, IDEA, FACTS, and FINDS are also available through on-line access.
Laws and Regulations. Prior to the inspection, you must review and identify all EPCRA
regulations that apply to the type of facility being inspected.
Technical Reports. You should review (and, if necessary, take to the inspection site) copies of
EPA or other publications that provide information on industrial process operations. Your
knowledge of the processes and associated control equipment at a facility can be instrumental in
ensuring the success of an inspection.
Chemical/Industry-Specific Information
You should gather and review specific chemical information to take with you to the inspection.
This specific data may be needed for calculations or to determine where releases may occur. The
type of information you should include are the following chemical properties:
• Volatility
• Solubility
Specific gravity/density
• Molecular weight
There are many methods of estimating releases that require the use of the parameters mentioned
above. For example, such calculation methods are detailed in Estimating Releases and Waste
Treatment Efficiencies for the Toxic Chemical Release Inventory Form (EPA 560/4-99-002), also
known as the "Green Book". Also, reference EPA's EPCRA Section 313 Release Reporting
Guidance Documents. These chemical- and industry-specific guides are available at the TRI
Home Page, http://www.epa.gov/tri/guidance.
Additionally, some chemical properties may dictate where you should look for releases. For
example, if a particular chemical is highly volatile, the inspector should look closely at air
release estimates.
Industrial Uses and Storage Practices. Understanding typical industrial uses and typical storage
practices of a particular chemical is also helpful. This information is contained in standard
chemical dictionaries, such as Encyclopedia of Chemical Technology. You should learn the
treatment technologies used in the industry, and if time and resources allow, also investigate the
efficiencies of different treatment units.
November 2000
L8-8
Module IV: Pre-inspection Activities
-------
349
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
Supplemental Information
If time permits, you should also supplement records review with interviewing appropriate EPA
personnel who have additional information or knowledge of the targeted facility. The
appropriate persons to interview will be based on your need for clarifying issues or data
discovered during the records review process, or if there is a need for additional information.
This would be necessary if you feel the facility could be on the threshold.
INSPECTION PREPARATION
Inspection Questions
Developing inspection questions is an extremely important activity when preparing for the
on-site portion of the inspection. After you have reviewed all of the relevant inspection data,
facility- and chemical/industriai-specific, it is time to formulate questions that will be asked of
facility personnel during the on-site activities. The basis for these questions will stem from the
deficiencies and discrepancies found while reviewing records.
An example may be:
• In reporting years 1989-1991, you submitted a Form R report for Chemical X. As a
component of XYZ compound processed at your plant, the threshold of X achieved in the
compound is reportable under EPCRA Section 313 reporting requirements. For reporting
year 1992, our research identified that XYZ compound is still being produced at your
facility; however, EPA records do not indicate that a Form R was submitted for Chemical
X. Have you changed the chemical structure of XYZ compound? Did you actually
submit a Form R report that has not been entered into EPA records, and if so, can we
obtain a copy of that report?
Document, Process, and/or Interview Request List(s)
Another important list to prepare is the list detailing all of the documents, industrial processes,
and personnel interview requests to be obtained during the on-site inspection. This list will
consist of documents and processes that could not be accessed through your research. Personnel
interviews are a request of the facility and should be used only to clarify and obtain new
information where documents are not present. These items may include:
Data Quality Inspection
• Form R report
November 2000
L8-9
Module IV: Pre-inspection Activities
-------
350
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
• Process flow diagrams
Facility layout detailing waste removal system
• List of chemicals processed, manufactured, or otherwise used
Non/Late Reporter Inspection
Usage information on chemicals
• Inventory records
MSDS/Tier II reports
REVIEW
Pre-Screening Activities
• Identification of primary contact at facility
• Confirmation of facility data
Records Review
• Facility-specific documents and sources
• Chemical/Industry-specific documents and sources
• Supplemental information
• Inspection preparation
• Inspection questions
Document, process, and interview list
November 2000
L8-10
Module IV: Pre-inspection Activities
-------
351
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
EXERCISE 2
Read the Records Review Scenario provided in your manual (Attachment 8-3), then determine
what documents you will need in order to prepare a detailed, written inspection plan. You have
15 minutes to read and list the documents/records needed. Be prepared to discuss your answers.
The answers to Exercise 2 are included in Attachment 8-4.
ADVANCE NOTIFICATION
Regional Differences
EPA is not required by law to provide advance notification of an inspection. In some cases,
providing advance notification may provide an inappropriate warning to a facility that will allow
them to address any issues before an inspector arrives. Each Region decides whether or not to
provide advance notification and under what circumstances. Given the nature of the EPCRA
requirements, advance notification of an EPCRA inspection is usually provided.
Potential Advantages
• The facility will have the necessary documents, records, and/or personnel accessible for
you, saving valuable time on site and during the follow-up stages of the inspection.
• A facility generally appreciates being provided advance notification so that regular
operations are not interrupted. This fosters a cooperative relationship between EPA and
the regulated industry,
Potential Disadvantages
You may not have the opportunity to view the subject facility under normal operating
conditions, because the facility could alter its operations to fit preconceived notions of
what an inspector may want to see.
• If a tip or complaint is involved, advance notification could put an employee's,
customer's, or associate's relationship with the company in jeopardy. For example, the
company may become suspicious of the timing of an inspection in relation to an incident.
If advance notification is provided, make note of it in the inspection report (covered in more
detail in a later lesson). In addition, if a SEE inspector is providing advance notification to the
November 2000
L8-11
Module IV: Pre-inspection Activities
-------
352
EPCM Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
facility of a planned inspection, he or she should use the model language developed by EPA's
Office of General Counsel. The model language to include in an advance notification letter for a
SEE inspection is presented in Attachment 8-5.
Facility Contact Identification
The process for identifying the facility contact is the same as under pre-screening activities. In
fact, both activities can be combined into one telephone call, if appropriate.
Inspection Discussion
The objectives of the advance notification discussion are to:
• Schedule the inspection.
Determine the appropriate site for the inspection, including identification of the location
of necessary records; records you will need to review should be described as specifically
as possible to ensure that the necessary personnel and records are available to accompany
you during the inspection.
If the facility contact is not cooperative, notify your supervisor and Regional Counsel for
instructions on how to proceed.
During the telephone conversation, you should discuss:
• Introduction
• Nature of the inspection
• Administrative details of the inspection
• Technical information review
• Supplier notification information
• Logistical arrangements
A checklist could be helpful to you when completing this task. EPA has a checklist available for
this purpose, which can be found in the Interim Final EPCRA Section 313 Data Quality
Inspection Manual. Your region may also have a checklist available, or you may want to
develop your own checklist to facilitate gathering this information.
November 2000
L8-12
Module IV: Pre-inspection Activities
-------
353
EPCRA Section 313
Inspector Training Manual Lesson 8: Inspection Planning
Introduction. Begin the conversation by introducing yourself as an EPA inspector (or other
person with the authority to conduct EPCRA Section 313 inspections). Inform the facility
contact if you are a SEE. If the contact has any questions, offer to send them a copy of the SEE
program description sheet. A copy of this sheet is provided in Attachment 8-6.
Nature of the Inspection. Discuss the nature and purpose of the inspection. If it is routine, as
opposed to "for cause," this fact should be conveyed. If the inspection is "for cause," obtain
guidance from your supervisor and/or Regional Counsel as to the nature and amount of
information that should be conveyed during this initial contact.
Administrative Details of the Inspection. Establish the following details:
• The location of and directions to the site
• The date and time of the intended inspection
• The name and title of the facility employee or official who will serve as the designated
contact person for the inspection (if such person will be different from the one contacted
during the advance notification)
• The availability of certain records and other data for review during the inspection. All
supporting material used to develop information for the Form R reports must be available
for review. In addition, you should request that copies of process flow diagrams be
available at the time of the visit.
• The availability of facility personnel for interviews during the inspection for interviews
• The need to tour the manufacturing and other operational areas of the facility
• The types of safety equipment that may be needed to tour the facility
A follow-up letter will be sent. This will include the purpose and scope of the inspection,
the records the facility should make available for review, and the name of an EPA contact
Attachment 8-5 contains the language to used if a SEE employee will be conducting the
inspection. Attachments 8-7 and 8-8 contain examples of a telephone interview format
and follow-up letter used by EPA Region 10.
Technical Information Review (Data Quality Inspection QnlvX During the pre-inspection
telephone interview, you should ask the facility contact how many Form R chemical reports were
submitted for the reporting year. This will enable you to verify the number of Form R reports
received by EPA from the facility.
November 2000 L8-13 Module IV: Pre-inspection Activities
-------
354
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
You should ask the facility contact how many EPCRA Section 313 chemicals were identified as
being at the facility during the reporting year. This will help you estimate the level of effort
needed to complete the inspection for this facility.
You should establish whether the facility submitted revised Form R reports and should list all
chemicals for which chemical reports were revised. If the facility submitted revised reports for
the reporting year, you should confirm whether EPA has the most updated version. If EPA does
not, you should either request the new information over the telephone or ask the facility to have
the new data available at the time of the visit. You should also review the revised Form R
report(s) and determine the reason for the amendment.
You should next ascertain the number of full-time or equivalent employees at the facility during
the reporting year (if this was not done during previous contact).
Next, you should inquire about the type of industrial processes performed at the facility, as well
as any significant changes in processes and treatment technologies that have occurred since the
reporting year. You should describe the operations and any changes thoroughly in the
appropriate questions within the checklist. This information will (1) verify the data that the EPA
currently has on the facility and operations and (2) focus your attention on the specific changes
that have occurred at the facility since they last reported.
Finally, you should be sure to emphasize to the facility contact that all supporting materials used
to develop information contained within the Form R chemical reports must be available for
review. In addition, you should request that copies of process flow diagrams be available at the
time of the visit.
Supplier Notification Information. Suppliers and distributors of mixtures that include EPCRA
Section 313 chemicals must notify their customers of the following:
• A statement that the mixture or trade name product or chemicals is subject to the
reporting requirements of EPCRA Section 313.
• The name of each toxic chemical and associated CAS registry number of each chemical
if, applicable.
• The percentage, by weight, of each toxic chemical (or all toxic chemicals within a listed
category) contained in the mixture or trade name product. Notifications must be sent to
facilities who may sell or otherwise distribute such mixtures or products to a facility.
A Supplier Notification form is a tool that facilities use to improve the accuracy and
completeness of their Form R data. The general information on supplier notification is important,
because the accuracy and completeness of the data in the Supplier Notification form will affect a
facility's ability to make threshold determinations and improve the accuracy of their data. The
November 2000
L8-14
Module IV: Pre-inspection Activities
-------
355
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
Supplier Notification form contains information on all of the purchased mixtures and trade name
products containing EPCRA Section 313 chemicals.
The following section provides information for completing the Supplier Notification section of
the checklist.
• Document whether the facility received the appropriate notification from its supplier(s)
regarding mixtures containing EPCRA Section 313 chemicals.
• List the names and addresses of any suppliers that did not provide notification to the
facility.
* Ascertain whether the facility distributed mixtures containing EPCRA Section 313
chemicals during the reporting year.
Record whether the facility developed and distributed the appropriate information to its
customers, if the facility distributed mixtures containing EPCRA Section 313 chemicals.
• During the inspection, request a copy of the information distributed.
Logistical Arrangements. You should inquire about the following items:
• The size of the facility, including the production or processing areas, storage facilities,
and treatment areas
• The procedures used by the facility to collect and document information for EPCRA
Section 313 reporting and the number of personnel involved. This will assist you in
planning the resources (both time and personnel) needed to complete the inspection.
• The availability of appropriate personnel for interviews during the inspection
• Whether the facility will be operating under normal conditions
The likelihood of problems in arranging a tour of the facility
Any personal protective equipment (PPE) needed for a tour of the facility
November 2000
L8-15
Module IV: Pre-inspection Activities
-------
356
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
INSPECTION MATERIALS COLLECTION
Inspection Materials
In addition to reviewing EPA records and preparing the written inspection plan prior to
conducting the inspection, you should also gather and prepare the necessary documents and
equipment to be used during the inspection. No single list of documents and/or equipment can
be appropriate for all inspections. However, the following list provides a good guide.
Inspection documents may include (* denotes a mandatory document):
• *Notice of Inspection (see Attachment 8-9). This form is presented immediately after
you present your credentials. Portions of this form can be filled out in advance, but the
time of inspection and the names of facility officials must be entered at the time of
inspection.
• *Receipt for Samples and Documents fsee Attachment 8-10). All samples and
documents taken during an inspection are listed on this form. Any documents and
samples taken during an inspection that have been claimed as trade secret information, or
CBI, should also be noted on this form.
• Copies of EPCRA and Specific Section 313 Regulations. Some facility officials may not
have copies of EPCRA applicable rules and regulations. You should always have these
available for distribution.
• EPA Outreach Materials. You should provide current, relevant educational information
to facility officials relating to all EPA voluntary compliance efforts, in particular,
information about other sections of EPCRA. Additionally, EPA has established an
EPCRA Hotline for facility questions and concerns. The phone number is
1-800-424-9346 (703-412-9810 for calls from the Washington, D.C. metropolitan area
and all government locations), and the fax number is 703-412-3333.
• Inspection Plan and Facility Questions. For reference, take the inspection plan and
questions you formulated during inspection preparation.
Documents and Database Printouts from Targeting and Records Review. Sometimes it is
helpful to take these with you as a reference during the inspection. They may contain
details that you wish to verify with the facility.
• *Credentials. Having your credentials with you should go without saying. It is important
that you always have them available for inspection.
November 2000
L8-16
Module IV: Pre-inspection Activities
-------
357
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
• Form R Instruction Packets. These are especially helpful when investigating a non/late
reporter facility, because they inform facility officials of EPCRA Section 313 reporting
procedures.
• EPCRA Section 313 Question and Answer Document and Industry-specific Guidance
Documents. The Question and Answer document is very useful for identifying questions
that have been raised by industry and others about how to comply with EPCRA
requirements. This document is periodically revised, so look for a recent version. Also,
if a guide has been done for the industry sector of the facility you plan to inspect, it may
be a useful reference.
Equipment includes:
Calculator. You will need this to calculate threshold determinations and release
estimations. Most facilities would provide you with one; however, it is easier to make it
a part of your routine list.
• List of Conversion Tables. These tables are helpful as a quick reference for performing
unit conversion calculations.
• Health and Safety Equipment. You should determine what health and safety equipment
is called for at the specific facility to be inspected. Equipment may include steel-toed
boots, safety glasses, ear protection, and hard hats, as well as any facility-specific
equipment, that may have been identified in advance. The facility may provide some or
all needed equipment but you should identify in advance what is needed.
Miscellaneous items. For example telephone credit card and EPA regional telephone list,
camera, business cards, and flashlight. These are some items that you may find useful to
have readily available during the inspection.
Your experience in the field and the information you obtain during pre-inspection planning
should enable you to prepare materials lists tailored to specific inspection sites and requirements.
Specific needs will be determined by the requirements of the inspection, the availability of
equipment, conditions at the facility, EPA policies, and whether advance notification of the
inspection will be given. All documents that can be prepared in advance of the inspection should
be, whenever possible.
WRITTEN INSPECTION PLAN
After completing records review, inspection preparation, pre-screening, advance notification, and
inspection materials collection, it is time to develop your written inspection plan. An inspection
November 2000
L8-17
Module IV: Pre-inspection Activities
-------
358
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
plan is designed to help you focus on the important elements of an upcoming inspection, as well
as provide a planned methodology for conducting it. This plan is an internal document for your
planning and organizational purposes and should not be forwarded to the target facility.
• Objective of Inspection and Background Data. This introductory section should provide
a brief history of factors relevant to the particular facility (such as, previous TRI reports,
previous inspection dates and types of inspections, whether any potential compliance
issues were identified, and what they were). This section should also identify the
objective or reason for the inspection. This will vary from inspection to inspection (that
is, "for cause," random, case development, or follow-up). More specific objectives may
also be identified in addition to the overall objective.
Scope and Assessment Topics. The inspection plan should clearly establish the scope of
the inspection and the assessment topics. The scope of the inspection is a function of the
overall objective of the inspection. For example, if the inspection is "for cause," then the
scope of the inspection should include all records, operations, and areas of the facility that
will need to be inspected to determine compliance with the provisions of EPCRA
Section 313 suspected of being violated. Some discussion of the boundaries of the
inspection should be included (for example, if the inspection will include a tour of the
facility, as well as records review and interviews with personnel, or will only focus on a
records review).
Once the scope has been identified, the inspection plan should designate the assessment
topics. Assessment topics can be roughly defined as the major regulatory areas to be
covered during the inspection. The assessment topics should be further broken down into
specific questions to be asked of facility officials concerning the particular assessment
topic and specific associated tasks.
Inspection Activities. Once the assessment topics have been established, the inspector
must determine the most appropriate inspection activity or method of assessing
compliance and gathering evidence of potential violations (for example, observation,
records review, interviews, and collection of samples) for each task. Compliance and
assessment and evidence collecting techniques can be organized in an inspection plan as
follows:
Facility Tour. List the activities, operations, and/or equipment to be observed
(such as, manufacturing processes and equipment).
Records Review. List facility records that will be reviewed to determine statutory
and regulatory compliance, along with the regulatory citation(s) applicable to each
record that must be maintained, as well as a description of the required content of
each record.
November 2000
L8-18
Module IV: Pre-inspection Activities
-------
359
EPCRA Section 313
Inspector Training Manual Lesson 8: Inspection Planning
Conduct of Interviews. List the titles, and names (if known) of key personnel
with whom meetings should be held to determine compliance with specific
regulatory provisions.
A worksheet for developing a written inspection plan is provided in Attachment 8-11.
REVIEW
Advance Notification
• Regional differences
• Facility contact identification
• Inspection discussion
Introduction
Nature of the inspection
Administrative details of the inspection
Technical information review
Supplier notification information
Logistical arrangements
Inspection Materials Collection
• Inspection materials
Written Inspection Plan
Objective of inspection and background data
Scope and assessment topics
• Inspection activities
Facility tour
Records review
Interviews
November 2000 L8-19 Module IV: Pre-inspection Activities
-------
360
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
SUMMARY
Inspection planning includes facility pre-screening, review of EPA and facility documentation,
inspection preparation, advance notification, and collection of inspection-related documents.
Thorough preparation and planning saves time in the long run, because familiarity with the
operations, history, and compliance status of the facility decreases the need for covering these
areas during the limited time typically spent onsite. In addition, planning promotes a better
relationship with the regulated community, because the EPA inspector should be able to answer
questions concerning the application of EPCRA Section 313 reporting requirements to a
particular facility. It also enhances the facility's confidence in the EPA inspector and aids in
establishing good relationships with facility representatives.
REVIEW QUESTIONS
See Attachment 8-12 for the answers to the following review question.
1. What are the goals of a pre-screening call?
What information do you need to determine if a facility is subject to EPCRA Section 313
reporting?
What facility records do you need to research and review for a non/late reporter
inspection? A data quality inspection?
November 2000
L8-20
Module IV: Pre-inspection Activities
-------
361
EPCRA Section 313
Inspector Training Manual Lesson 8: Inspection Planning
4. Why is it important to have a prepared list of questions for facility officials?
5. Why is it important to have chemical-specific data while on site?
6. What are the advantages of having reviewed facility documentation and industrial
processes?
7. What are some of the advantages of providing advanced notification?
8. What are some disadvantages of providing advance notification?
9. What information should you exchange with a facility contact if advance notification is
given?
10. What are the mandatory inspection documents that you must take to the on-site
inspection?
November 2000 L8-21 Module IV: Pre-inspection Activities
-------
362
EPCRA Section 313
Inspector Training Manual
Lesson 8: Inspection Planning
11. What information should be covered in a written inspection plan?
November 2000
L8-22
Module IV: Pre-inspection Activities
-------
363
ATTACHMENT 8-1
LESSON 8 EXERCISE 1:
INSPECTION PREPARATION
ROLE 1 - INSPECTOR
(One Page)
-------
364
-------
365
Lesson 8 Exercise 1:
Inspection Preparation
Role 1 - Inspector
INSTRUCTIONS:
Read the following role description. Do not share it with your partner.
Play the person in the description below, and try to obtain the information
you need.
You are an EPCRA inspector conducting targeting and have decided to inspect XYZ Company
because of some inconsistencies in their data reporting. You call to pre-screen the facility and to
provide advance notification of the inspection. Obtain the necessary information from your
partner to complete the pre-screening and advance notification phase of the EPCRA Section 313
inspection process.
L8-A1-1
-------
366
-------
ATTACHMENT 8-2
LESSON 8 EXERCISE 1:
INSPECTION PREPARATION
ROLE 2 - FACILITY CONTACT
(One Page)
-------
-------
Lesson 8 Exercise 1:
Inspection Preparation
Role 2 - Facility Contact
INSTRUCTIONS:
Read the following role description. Do not share it with your partner.
Play the role of the person in the description below, and try to obtain the
information you, as the senior staff member, need in order to keep your
job and help comply with the EPA.
You are the senior staff member at XYZ facility with 25 full-time employees. You were told by
your employer not to give out any information about the facility over the phone. The executive
staff is worried about a caller being an EPA inspector who can get the facility in trouble. You
are afraid you would lose your job if the facility got in trouble. You receive a phone call from
someone asking you questions about the facility. You try to find out who the person is that you
are speaking with and what information the person is looking for without releasing any important
information.
L8-A2-1
-------
-------
ATTACHMENT 8-3
LESSON 8 EXERCISE 2:
RECORDS REVIEW SCENARIO
(One Page)
-------
-------
Lesson 8 Exercise 2:
Records Review Scenario
INSTRUCTIONS: Read the following Inspection scenario. Once you have read it carefully,
identify and list the documents you need to review.
ABC Corporation, manufacturer of paint, has been targeted for an EPCRA Section 313
inspection because the regional EPA office received a tip/compliant from area residents. Their
complaint was that there has been an unusual smell in the area surrounding the plant. The local
school is only a mile away, and parents are concerned that something illegal is going on. ABC
has reported their Form Rs for the past 10 years and has no prior complaints made against them.
What documents would you research and review to better prepare yourself for this inspection?
L8-A3-1
-------
-------
ATTACHMENT 8-4
LESSON 8 EXERCISE 2:
RECORDS REVIEW SCENARIO
ANSWER KEY
(One Page)
-------
-------
Lesson 8 Exercise 2:
Records Review Scenario
Answer Key
Following are possible documents the inspector may need to review.
Maps and/or aerial photographs showing the location of the facility and its relationship to
the surrounding area
Past and present operations and production levels
Water, air, and waste treatment pollution and control equipment
Physical layout of facility
Reports prepared by the facility
Permits and permit application
Tier I and Tier II reports
Correspondence with or regarding the facility
Prior TRI submissions
Some of databases mentioned in lesson, e.g., IDEA, FINDS, etc.
Industrial uses and storage practices
Technical reports
Chemical-specific information
Applicable laws and regulations
L8-A4-1
-------
-------
ATTACHMENT 8-5
LANGUAGE FOR SEE INSPECTION LETTER
(One Page)
-------
-------
LANGUAGE FOR SEE INSPECTION LETTER
The Office of General Counsel drafted the following language that should be used when you are
sending a letter out advising that a Senior Environmental Employee (SEE) will be visiting a
facility. The language should be modified to adapt to the particular inspection to be performed
and the name of the enrollee's grant organization.
This letter will confirm that M_. (name ofenrollee) will be contacting you in order to
schedule a visit to your facility. M_. is assisting the Environmental Protection
Agency (EPA) under a Cooperative Agreement with the National Senior Citizens Education and
Research Center (grantee) as part of the Senior Environmental Employment (SEE) Program. As
part of the technical assistance provided to EPA, M_. provides inspection services
under [my] [the] direction and monitoring [of EPA personnel]pursuant to the Emergency
Planning and Community Right-to-Know Act (SARA Title HI). As a SEE enrollee,
M_. is authorized by EPA to have access to Confidential Business Information,
and has signed a Non-Disclosure Agreement regarding any such information.
L8-A5-1
-------
-------
ATTACHMENT 8-6
SENIOR ENVIRONMENTAL EMPLOYMENT PROGRAM
AND EPCRA
(Two Pages)
-------
-------
Senior Environmental Employment Program and EPCRA
Background
In 1976, the EPA and the Agency on Aging (AOA) began sponsoring older worker
environmental programs as a demonstration project jointly funded by AOA and EPA. Following
a successful two-year, ten-state program, the EPA funded older worker programs through the
Senior Environmental Employment (SEE) Program in several environmental areas.
On June 12, 1984, The Environmental Programs Assistance Act was signed into law. Public law
98-313 provided the authorization to convert the SEE program into a permanent program based
on years of successful research, demonstration, and training projects utilizing older workers in
environmental jobs. The National Council of Senior Citizens (NCSC) and EPA sponsor older
workers for the SEE program. These programs complement each other because the backgrounds
of many NCSC employees are suited for conducting EPCRA Section 313 inspections. Many of
the NCSC employees have retired from extensive careers within the community which is
regulated by EPCRA. Therefore, they are sensitive to the concerns, and possess insight into the
processes at work within the facilities inspected for potential EPCRA violations. In addition,
NCSC employees, also known as SEE employees, predominantly have an engineering or related
science background which adequately qualifies them as candidates for EPCRA inspections. The
EPA Regional offices to which they are assigned provide immediate direction, technical, and
logistical support. In addition, the EPA SEE program coordinators outline job tasks for the SEE
program enrollees based on their experience and expertise. It is important to note that all SEE
employees are receive the same training as Federal inspectors.
Senior Environmental Employees and EPCRA
Senior Environmental Employees are authorized by The Environmental Programs Assistance Act
to perform the following functions for the enforcement of EPCRA:
1. Conduct on-site compliance inspections consisting primarily of record reviews of
facilities subject to EPCRA Section 313, and assist the EPA Regions in compliance case
development activities.
2. Support on-site inspections of chemical manufacturing and processing facilities,
chemical distribution points, and chemical sales facilities by offering technical assistance
to determine compliance with various requirements of EPCRA Section 313.
3. Provide technical assistance to facilities in estimating releases and treatment efficiency,
and in responding to other elements of the Form R; perform quality control reviews of
selected completed Form Rs.
4. Assist senior EPA Regional staff in identifying facilities or categories of facilities that
may be subject to EPCRA Section 313 reporting and especially those that might be in
particular need of technical assistance.
L8-A6-1
-------
5. Present speeches and briefings and conduct seminars and workshops for the
regulated community on the requirements of EPCRA Section 313 and on using
available technical guidance materials. Work with EPA Regional staff to develop
appropriate content and materials for these activities.
6. Respond to questions from the regulated community and the general public on the
requirements of EPCRA Section 313. Refer new issues to appropriate senior EPA
officials for resolution.
7. Assist in preparation of background materials supporting enforcement actions against
violators of EPCRA Section 313.
8. Conduct outreach with the regulated community to improve understanding of and
compliance with EPCRA Section 313, and to improve understanding of new innovative
regulatory and non-regulatory approaches.
9. Conduct outreach and provide technical assistance to the chemical industry, state,
regional, and local governments, and community groups to explain and initiate new
pollution prevention activities.
10. Analyze and prepare reports on the progress of program outreach efforts,
identifying areas of concern and highlighting the need for new or revised guidance
materials, instructions, or other implementation efforts. Present reports to senior EPA
Regional and Headquarters staff responsible for program implementation.
11. Provide aid to the Regions in administering federal grants to states, non-profit
organizations, and the regulated community to facilitate new pollution prevention, toxic
use reduction, and other waste minimization initiatives.
12. Assist EPA Regional and Headquarters offices through clerical support positions in
EPCRA compliance programs, and provide other EPCRA administrative and technical
support as needed.
L8-A6-2
-------
ATTACHMENT 8-7
EXAMPLE TELEPHONE INTERVIEW FORMAT
(One Page)
-------
-------
TELEPHONE INTERVIEW
My name is Dave Somers. I am a Compliance Inspector with the U.S.
Environmental Protection Agency, Region 10 headquartered in
Seattle.
May I please speak to the Plan Manager, environmental manager, or
the person assigned to environmental responsibilities for reporting at
your facility.
We are contacting companies that use chemicals in their
manufacturing activities specifically covered by the EMERGENCY
PLANNING AND COMMUNITY RIGHT TO KNOW
ARE YOU FAMILIAR WITH THIS LAW?
Let me give you a brief summary of the law to help you
determine if your company should be reporting.
1. Company fits into the SIC Code
2. Number of employees is 10 or over 20,000 hrs of work
3. Use any chemical on the TRI list.
I normally make this introduction call preceding an inspection of
your manufacturing operation.
We need MSDS for each chemical listed and consumption of the
chemical for the last five years.
In what type(s) of manufacturing is your firm engaged?
What procedures and processes are required?
L8-A7-1
-------
-------
ATTACHMENT 8-8
EXAMPLE FOLLOW-UP LETTER
(One Page)
-------
-------
Reply to
AttnOf: WCM-128
Notice of Inspection
Mr. Andy Nichols October 20, 1999
ORMET - Wah Chang
530 34th Ave SW
Albany, Oregon 97321
Dear Mr. Nichols:
This is to confirm that Mr. David Somers will be conducting an inspection of your facility for the
Environmental Protection Agency beginning on Wednesday, October 27, 1999 at 9:00 a.m.. This
inspection is pursuant to Section 313 of the Emergency Planning and Community Right-to-Know Act.
The purpose of the inspection will be to determine whether the facility is in compliance with the Toxics
Release Inventory regulations contained in 40 CFR Part 372.
The inspection will require the examination of company records for both plant locations and a
facility tour and site evaluation. In order to expedite the inspection, please have the following
information ready and available for review:
1. Purchase and inventory records for the years 1994 through 1998 for each Section 313
chemical at the facility.
2. Current Material Safety Data Sheets for each Section 313 chemical.
3. Copies of your threshold and release calculations.
Attached is a copy of the reporting summary for the 34th Ave. location. Although nitric acid is
reported annually, the nitrates generated by the neutralization process are listed just once. This is just one
observation that we would like to clarify. If you have any questions or comments prior to Mr. Somers
arrival please contact him at 206-553-2571.
Thank you for your cooperation.
Sincerely,
Christina Colt
Program Manager
Toxics Release Inventory
L8-A8-1
-------
-------
ATTACHMENT 8-9
SAMPLE NOTICE OF INSPECTION FORM
(One Page)
-------
-------
NOTICE OF INSPECTION
EZ »f\ U.S. Environmental Protection Agency
Emergency Planning and Community Rlght-to-Know Act of 1986
(EPCRA)
2 TIME
1. INVESTIGATION IDENTIFICATION
DATE INSPECTOR NO. DAILY SEQ. NO.
4. INSPECTOR ADDRESS
3. FIRM NAME
5. FIRM ADDRESS
REASON FOR INSPECTION: This inspection is for the purpose of determining compliance with the
Emergency Planning and Community Right-to-Know Act of 1986, Section 313 toxic chemical release
reporting requirements. The scape of this inspection may Include, but is not limited to: reviewing and
obtaining copies of documents and records; interviews and taking statements; reviewing of chemical
manufacturing, importing, processing, and/or use fa dirties. Including wast* handling and treatment
operations; taking samples and photographs; and any other inspection activities necessity to determine
compliance with the Act
SAMPLE
INSPECTOR SIGNATURE
NAME
TITLE DATE SIGNED
RECIPIENT SIGNATURE
NAME
TITLE DATE SIGNED
L8-A9-1
-------
-------
ATTACHMENT 8-10
RECEIPT FOR SAMPLE AND DOCUMENTS FORM
(One Page)
-------
-------
1
pi »^ A RECEffT FOR SAMPLES AND DOCUMENTS
U> 1JP f\ U.S. ENVIRONMEKTAL IHOTECTION AGENCY
EPCRA P^. «(_
1. INVESTIGATION nCNTWCATION
' DATE
INSPECTOR NO. 'DAILY SEQ. NO.
4. INSPECTOR ADDRESS
1FIRUNAME
5. FWI ADDRESS
Th. Mi»n tnt
tetoxmntft at t» Enx>a»c» Pltming •« Ccrnimnty W^MWOwr Aa cf 1M&
RCCErT OF THE DOCUMEKTtS) ANUOR $AMPIE{S) DE3CMED B HEREBY ACKNOWUDGeD:
MO.
oescnmoN
SAMPLE
INSPECTOR SIGNATURE
NAME
TITLE DATE SIGNED
R£CIPIE^fr SIGNATURE
NAME
TTTLE DATE SIGNED
L8-A10-1
-------
-------
ATTACHMENT 8-11
WORKSHEET FOR DEVELOPING
A WRITTEN INSPECTION PLAN
(One Page)
-------
-------
Worksheet for Developing a Written Inspection Plan
Components of the Written Inspection Plan
Does the written inspection plan include:
• Objective of the background data search/review and the inspection?
Scope and assessment topics of interest/concern?
• Anticipated inspection activities and field techniques ?
Yes
No
Objective of the Background Data Search/Review and the Inspection
Does this component of the written inspection plan include:
• Brief history of factors relevant to the facility?
• Objective or reason for the inspection?
Yes
No
Scope and Assessment Topics of Interest/Concern
Does this component of the written inspection plan:
• Clearly establish the scope of the inspection and the assessment
• Discuss the boundaries of the inspection?
• Designate the assessment topics?
Yes
No
Anticipated Inspection Activities and Field Techniques
Does the written inspection plan consider the following activities:
• Facility tour ?
Records review?
* Conduct of interviews?
* Sample collection?
Yes
No
L8-A11-1
-------
-------
ATTACHMENT 8-12
ANSWERS TO LESSON 8
REVIEW QUESTIONS
(Two Pages)
-------
-------
ANSWERS TO LESSON 8
REVIEW QUESTIONS
1. What are the goals of a pre-screening call?
* To establish a point of contact
• To determine if the information you have collected is correct and complete
• To verify that the facility is subject to EPCRA Section 313 reporting requirements
2. What information do you need to determine if a facility is subject to EPCRA Section 313
reporting?
• Is it a manufacturing facility?
• What is the number of full-time equivalent employees on site?
• Does it manufacture, process, or otherwise use specific amounts of EPCRA
Section 313 chemicals required for reporting?
MSDSs
3. What facility records do you need to research and review for a non/Iate reporter
inspection? A data quality inspection?
The same resources can be reviewed for each inspection with the exception of the
Form R. For a non/late reporter inspection, the inspector will have no Form R to review.
4. Why is it important to have a prepared list of questions for facility officials?
Developing inspection questions is an important activity when preparing for the on-site
portion of the inspection. After you have reviewed all of the relevant inspection data,
facility- and chemical/industrial-specific, it is time to formulate questions that will be
asked of facility personnel during the on-site activities. The basis for these questions will
stem from the deficiencies and discrepancies found while reviewing records.
5. Why is it important to have chemical-specific data while on site?
You should gather and review specific chemical information to take with you to the
inspection. This specific data may be needed for on-site calculations or to determine
where releases may occur. It is needed also for health and safety precautions.
6. What are the advantages of having reviewed facility documentation and industrial
processes?
You will be familiar with the specific operating procedures of the facility which you can
then compare and contrast with general industry procedures.
L8-A12-1
-------
7. What are some of the advantages of providing advanced notification?
• The facility will have the necessary documents, records, and/or personnel
accessible to you, saving valuable time on site and during the follow-up stages of
the inspection.
• A facility generally appreciates being provided advanced notification so that
regular operations are not interrupted. This fosters a cooperative relationship
between EPA and the regulated industry.
8. What are some disadvantages of providing advance notification?
• You may not have the opportunity to view the subject facility under normal
operating conditions because the facility could alter its operations to fit
preconceived notions of what an inspector may want to see.
• If a tip or complaint is involved, advanced notification could put an employee's,
customer's, or associate's relationship with the company in jeopardy. For
example, the company may become suspicious of the timing of an inspection in
relation to an incident.
9. What information should you exchange with a facility contact if advance notification is
given?
• Introduction
• Nature of the inspection
• Administrative details of the inspection
• Technical information review
Supplier notification information
Logistical arrangements
10. What are the mandatory inspection documents that you must take to the on-site
inspection?
• Notice of Inspection
Receipt for Samples and Documents
• Credentials
11. What information should be covered in a written inspection plan?
• Objective of inspection and background data
• Scope and assessment topics
• Inspection activities
L8-A12-2
-------
413
Lesson 9
Health and Safety
-------
414
-------
415
EPCRA Section 313
Inspector Training Manual
Lesson 9: Health and Safety
TABLE OF CONTENTS
LESSON 9: HEALTH AND SAFETY
INTRODUCTION L9-1
Purpose L9-1
Objectives L9-1
HEALTH AND SAFETY ISSUES L9-1
Risk Factors L9-1
Safety Precautions and Protective Equipment L9-3
Health and Safety Training L9-3
SUMMARY L9-3
REVIEW QUESTIONS L9-4
ATTACHMENT
9-1 ANSWERS TO LESSON 9 REVIEW QUESTIONS L9-A1-1
November 2000
L9-i
Module IV: Pre-inspection Activities
-------
416
-------
417
EPCRA Section 313
Inspector Training Manual
Lesson 9: Health and Safety
INTRODUCTION
Purpose
Your health and safety during an inspection is extremely important. This lesson presents the
different risk factors involved in an inspection; personal protective equipment (PPE) that can be
worn; and precautions that should be taken to ensure your safety.
Objectives
• Discuss the risks related to the health and safety of EPCRA inspectors while conducting
on-site activities.
Recall the basic PPE necessary to ensure the health and safety of EPCRA inspectors
while conducting on-site activities.
HEALTH AND SAFETY ISSUES
Risk Factors
Prior to conducting the on-site inspection, it is important that you also determine the health and
safety hazards of the chemicals being used or produced at the target facility. There are two
primary concerns you should have:
• Chemicals' volatility
• Chemicals' route(s) of exposure to humans
Chemical Volatility. Once you identify the chemicals that you will be dealing with on site, take
time to determine how dangerous they are. An opportune time to do this is while you are
conducting chemical/industry-specific research. You should determine if the chemical(s) are
flammable, acidic, combustible, carcinogens, and so on. A good source for this information are
MSDSs. Basically, the more information you know about the chemicals you will encounter, the
better you will be able to prepare for any unexpected accidents. Additionally, you should discuss
the safety procedures for emergencies with facility officials prior to conducting any facility tour.
November 2000
L9-1
Module IV: Pre-inspection Activities
-------
418
EPCRA Section 313
Inspector Training Manual
Lesson 9: Health and Safety
Chemical RouteCs) of Exposure. There are two common routes of exposure to chemicals that are
most likely to affect you while on an EPCRA Section 313 inspection:
• Dermal Exposure
* Inhalation
Dermal Exposure
Dermal exposure is the exposure of chemicals to the skin. During the facility tour, you may have
contact with chemicals while inspecting waste storage facilities, product release points, and so
on. It is important to be careful when touching anything while in the manufacturing area of the
facility. The most common symptoms of dermal exposure are:
Skin irritation or rash
Blisters
Muscle pain or burning sensation
Inhalation
Inhalation of toxic chemicals is the intake of a chemical's fumes through the nose or mouth.
Inhalation of fumes is the most common health risk on an EPCRA Section 313 inspection
because during normal manufacturing processes, chemical fumes naturally escape into the air.
Additionally, problems or violations in how chemicals are processed and disposed of can cause
fames to escape as well. The most common symptoms of toxic inhalation are:
• Headache
Itchy or swollen eyes
• Coughing
• Nausea
• Vomiting
• Dizziness
L9-2 Module IV: Pre-inspection Activities
November 2000
-------
419
EPCRA Section 313
Inspector Training Manual Lesson 9: Health and Safety
Safety Precautions and Protective Equipment
To ensure your health and safety while on an inspection, make sure to inquire about the type(s)
of PPE they require while taking a facility tour. If they do not require any special equipment,
you must make your own decision, based on your research, of whether to take precaution against
exposure. The following items are recommended for on-site inspections:
Hard hat
• Steel-toed safety boots
• Safety glasses or goggles
• Respirator
• Chemical resistant gloves
Health and Safety Training
EPA is committed to ensuring your health and safety in your job as an inspector. Therefore, as
previously stated in Lesson 3, you will need to complete an initial health and safety course and
annual health and safety refresher courses in order to conduct EPCRA inspections. Ongoing
medical monitoring may also be required, depending on the nature of the facilities being
inspected.
SUMMARY
Your health and safety is extremely important while on an EPCRA Section 313 inspection. You
should be aware of all the chemicals you will encounter while on a facility tour and be prepared
to protect yourself against their harmful effects to your health and safety.
November 2000 L9-3 Module IV: Pre-inspection Activities
-------
420
EPCRA Section 313
Inspector Training Manual
Lesson 9: Health and Safety
REVIEW QUESTIONS
Note: See Attachment 9-1 for the answers to the following review questions.
1. What are the two primary routes of exposure an EPCRA Section 313 inspector should be
aware of?
2. What are some common symptoms of dermal exposure?
3. What are some common symptoms of inhalation exposure?
4. What are the common types of protective equipment used by inspectors?
November 2000
L9-4
Module IV: Pre-inspection Activities
-------
421
ATTACHMENT 9-1
ANSWERS TO LESSON 9 REVIEW QUESTIONS
(One Page)
-------
422
-------
423
ANSWERS TO LESSON 9 REVIEW QUESTIONS
What are the two primary routes of exposure an EPCRA Section 313 inspector should be
aware of?
• Dermal exposure
• Inhalation
What are some common symptoms of dermal exposure?
• Skin irritation or rash
• Blisters
Muscle pain or burning sensation
What are some common symptoms of inhalation exposure?
• Headache
• Itchy or swollen eyes
• Coughing
• Nausea
• Vomiting
• Dizziness
What are the common types of protective equipment used by inspectors?
• Hard hat
• Steel-toed safety boots
• Safety glasses or goggles
• Ear protection
• Respirator
L9-A1-1
-------
424
-------
425
EPCRA SECTION 313
INSPECTOR TRAINING MANUAL
Module V
On-Site Activities
-------
426
-------
427
EPCRA Section 313
Inspector Training Manual
MODULE OBJECTIVES
At the end of this module, students will be trained to:
• Conduct and explain the facility opening conference activities.
Explain the basic components of on-site activities for non/late reporter and data
quality inspections.
• Explain the closing conference activities.
CONTENTS
Module V contains:
• Lesson 10: Facility Entry and Opening Conference
• Lesson 11: Non/Late Reporter Inspections
• Lesson 12: Data Quality Inspections
• Lesson 13: Closing Conference
November 2000
V-i
Module V: On-Site Activities
-------
428
-------
430
Lesson 10
Facility Entry and Opening
Conference
-------
431
-------
432
EPCRA Section 313
Inspector Training Manual
Lesson 10: Facility Entry
and Opening Conference
TABLE OF CONTENTS
LESSON 10: FACILITY ENTRY AND OPENING CONFERENCE
INTRODUCTION L10-1
Purpose L10-1
Objective L10-1
FACILITY ENTRY L10-1
Arrival L10-2
Consent to Enter and Inspect L10-4
REVIEW L10-9
OPENING CONFERENCE L10-10
Purpose of Opening Conference L10-10
Explaining Inspection Activities L10-11
Understanding Facility Operations and Practices LIO-12
Logistical Arrangements for an EPCRA Section 313 Inspection L10-13
EXERCISE 1 L10-14
SUMMARY L10-14
EXERCISE 2 L10-14
REVIEW QUESTIONS L10-15
FIGURES
10-1 EXAMPLE NOTICE OF INSPECTION L10-3
10-2 TYPES OF INSPECTION RESTRICTIONS L10-6
November 2000
LlO-i
Module V: On-Site Activities
-------
433
EPCRA Section 313
Inspector Training Manual
Lesson 10: Facility Entry
and Opening Conference
TABLE OF CONTENTS (Continued)
ATTACHMENTS
10-1 EPCRA SECTION 313 INSPECTION CHECKLIST L10-A1-1
10-2 LESSON 10 EXERCISE 2: ROLE 1 - EPCRA SECTION 313
INSPECTOR
L10-A2-1
10-3 LESSON 10 EXERCISE 2: ROLE 2 - FACILITY OFFICIAL L10-A3-1
10-4 LESSON 10 EXERCISE 2: ROLE 3 - OBSERVER COPY L10-A4-1
10-5 ANSWERS TO LESSON 10 REVIEW QUESTIONS L10-A5-1
November 2000
LlO-ii
Module V: On-Site Activities
-------
434
EPCRA Section 313
Inspector Training Manual
Lesson 10: Facility Entry
and Opening Conference
INTRODUCTION
Purpose
This lesson discusses the required procedures for entering a facility to conduct an EPCRA
Section 313 inspection. The purpose of this lesson is to provide guidance on the preliminary
aspects of an EPCRA Section 313 inspection. These aspects range from a discussion of the
importance of receiving consent from the owner/operator of a facility, to procedures for
conducting an opening conference with facility personnel.
Objective
• Given an inspection assignment, obtain facility entry and conduct opening conference
activities.
FACILITY ENTRY
EPCRA implicitly authorizes the EPA to enter and inspect any establishment or facility in which
chemical substances are manufactured, processed, stored, held, or otherwise used before or after
their distribution in commerce. The authority to enter facilities targeted for an EPCRA
Section 313 inspection is derived from the U.S. Supreme Court's decision in Marshall, Secretary
of Labor v. Barlow's, Inc. (1978). This established that inspectors may enter a facility without
obtaining express consent from the facility. This does not mean, however, that inspectors can
simply force their way into a facility if consent to enter is not provided. If there is no consent,
the inspector should contact a Regional attorney who can pursue obtaining either a warrant
executed by federal marshals or a subpoena. However, in nearly all cases, facilities have
voluntarily given access to EPCRA Section 313 inspectors conducting inspections.
An inspection under EPCRA Section 313 may be conducted only after you have presented the
following items to the owner, operator, or agent in charge:
• Appropriate credentials
Written Notice of Inspection
The scope of an EPCRA Section 313 inspection includes the inspection of all records, files,
papers, processes, controls, and facilities that will support the inspector's inspection.
Additionally, EPCRA Section 313 does not prohibit inspection of certain types of data. You
November 2000
L10-1
Module V: On-Site Activities
-------
435
EPCRA Section 313
Inspector Training Manual
Lesson 10: Facility Entry
and Opening Conference
have the latitude to inspect any and all of the above resources while on site, so do not allow a
facility to limit the scope of your EPCRA Section 313 inspection.
Arrival
If your State or Region provides advanced notification to facilities, you will have already
scheduled your arrival time (see Lesson 8). Regardless of when this scheduling takes place, it is
your responsibility to ensure that you arrive promptly and conduct the EPCRA Section 313
inspection at a reasonable time (that is, normal working hours).
Step One: Introductions and Presentations. After arriving at the facility, your first step is to
locate a facility official immediately. This official needs to have the authority to grant express
consent to the impending EPCRA Section 313 inspection. After locating the appropriate facility
official(s), there are three procedures you need to follow immediately:
• Present EPA credentials identifying yourself as an EPA inspector/NCSC employee for an
EPCRA Section 313 inspection.
• Introduce the inspection team (if a team is present).
• Present a Notice of Inspection (NOI).
At this time you may also wish to exchange business cards with the facility official as a courtesy.
Credentials
Upon arrival at the facility, you will present the EPCRA 313 inspector credentials provided by
your Regional EPA office. These credentials indicate that you are a lawful representative of the
EPA Administrator, and you are therefore duly designated as an EPA representative to perform
inspections under EPCRA Section 313. SEE inspectors also have credentials (generally in the
form of a letter). The SEE Program is explained in greater detail in Lessons 3 and 8.
All credentials should be presented whether or not identification is requested by the facility. Not
presenting your credentials may jeopardize any future enforcement action taken against the
facility. You may use your business cards for introductory purposes, but they do not replace the
presentation of your official credentials. Additionally, credentials should never leave your sight
while at the facility. For example, do not permit photocopying of your credentials.
Notice of Inspection (NOI)
After you have presented your credentials, present the written NOI to corporate officials. The
NOI form (see Figure 10-1) should have been completely filled out by this point during the
November 2000
LI 0-2
Module V: On-Site Activities
-------
436
EPCRA Section 313
Inspector Training Manual
Lesson 10: Facility Entry
and Opening Conference
Figure 10-1 Example Notice of Inspection (NOI)
NOTICE OF INSPECTION
EZL tr\ U.S. Environmental Protection Agency
Emergency Planning and Community Right-to-Know Act of 1986
(EPCRA)
2 TIME
1. INVESTIGATION IDENTIFICATION
DATE INSPECTOR NO.
4. INSPECTOR ADDRESS
DAILY SEQ. NO.
•
3. FIRM NAME
5. FIRM ADDRESS
REASON FOR INSPECTION: This inspection is for the purpose of determining compliance with the
Emergency Planning and Community Right-to-Know Act of 1986, Section 313 toxic chemical release
reporting requirements. The scape of this inspection may include, but h not Smiled to: reviewing and
obtaining copies of documents and records: interviews and taking statements; reviewing of chemical
manufacturing, importing, processing, and/or use facilities, Including waste handing and treatment
operations; taking samples and photographs; and any other Inspection activities necessary to determine
compliance with the Act
SAMPLE
INSPECTOR SIGNATURE
NAME
TITLE
DATE SIGNED
RECIPIENT SIGNATURE
NAME
TFTLE DATE SIGNED
November 2000
LI 0-3
Module V: On-Site Activities
-------
437
EPCRA Section 313 Lesson 10: Facility Entry
Inspector Training Manual and Opening Conference
pre-inspection activities (see Lesson 8). The NOI you will present formally informs the owner,
operator, or agent in charge of the facility of the reason for an EPCRA Section 313 inspection,
and provides the facility with your address and signature. Once you have arrived at the facility,
fill in the accurate date and actual time of the inspection as proof that entry was requested at a
reasonable hour. Make a note in the inspection notebook that you did indeed present the NOI
and keep a copy of the NOI for the records. You will need this information when you begin
writing the inspection report.
Consent to Enter and Inspect
Expressed consent (that is, an actual written statement from the facility official expressly
permitting you on the premises to conduct an EPCRA Section 313 inspection) is not necessary
for a credentialed federal inspector or NCSC employee. Furthermore, consent is considered to
have been given if there is not an expressed denial of consent. However written consent is
necessary for any uncredentialed persons accompanying an inspector. For example, this may
include personnel from EPA Headquarters who are not inspectors, but are involved in the
EPCRA program area and need exposure to the actual activities of an EPCRA Section 313
inspection.
If it is your Region's policy to do a walkthrough of the nonpublic portions of facilities, then
consent from the facility is generally required, and although the law does not require you to
obtain consent for the inspection, EPA policy does. Receiving this consent minimizes conflict
with the facilities and tends to result in a more effective inspection. Once consent is granted,
entry is considered to be voluntary and consensual, unless the inspector is expressly told to leave
the premises.
Step Two: Receiving Consent to Enter and Inspect. Facility officials sometimes withhold
consent or attempt to impose restrictions or conditions upon entry. Therefore, you must either:
* Obtain consent prior to conducting the inspection.
• If unable to obtain consent, follow proper procedures for when entry to a facility is denied
or when conditions or restrictions are imposed by facility officials.
The exact procedures for denied or restricted entry may vary from State to State and Region to
Region. Find out what the specific guidelines are for this situation in your Region or State. The
general EPA procedures for this situation are discussed later in this lesson. Regardless of the
specific situation, consent to enter always must be given knowingly and freely. For example, as
an EPCRA Section 313 inspector, you must not coerce or lie to facility officials in order to
obtain consent.
Consent must be given by the person with authority to give consent at the time of the inspection.
Remember that an owner does not always have the authority to give consent. If someone with
November 2000 LI 0-4 Module V: On-Site Activities
-------
438
EPCRA Section 313
Inspector Training Manual
Lesson JO: Facility Entry
and Opening Conference
the necessary authority cannot be located, it is your responsibility to make a good faith effort to
determine who may otherwise consent to the entry (such as the agent in charge). Present your
credentials to that individual and record the name and title of that person in the inspection
notebook. As stated previously, you do not need to receive written consent in order to enter and
inspect. You do not need a written statement from the facility official of "Yes, you have my
permission to enter and inspect this facility." The absence of express denial constitutes consent.
Furthermore, once consent is received, entry is assumed to remain voluntary and consensual,
unless there is a withdrawal of consent from the facility official.
In most instances, if you follow proper procedures upon arrival at the facility (that is,
presentation of credentials and NOI), it will be simple to obtain consent to enter. However,
special situations may arise. The facility official may:
• Be reluctant to give consent
* Withdraw consent
• Refuse to sign the NOI
These situations and your responsibilities in each situation are discussed in the subsequent
sections.
Reluctance to Give Consent
Acceptance toward inspectors will vary from facility to facility. However, in most instances, you
will be able to proceed without difficulty, and you should therefore assume you are entering a
cooperative atmosphere until proven otherwise. In some cases, officials may be reluctant to give
entry consent because of misunderstandings of responsibilities, inconvenient scheduling, or other
reasons that may be overcome by diplomacy and discussion. Whenever you encounter
resistance, tactfully probe the reasons for the resistance and work with officials to overcome the
obstacles. This kind of discourse with the facility officials is an important step in building
rapport with the facility. Your inspection and all future interaction with that facility are likely to
proceed smoothly if you carefully build a base of open and amiable communication.
Some of the ways in which you can overcome resistance is by first explaining, in detail, the
purpose of the inspection. Answer any and all of the facility officials' concerns and questions
and carefully avoid threats of any kind, inflammatory discussions, or any other actions that may
result in increased misunderstanding. However, it is crucial during any negotiations or
discussions that you not agree to any restrictions on the scope of an inspection authorized under
EPCRA. Types of restrictions that facility officials may attempt to impose on inspectors are
described in Figure 10-2.
November 2000
LI 0-5
Module V: On-Site Activities
-------
439
EPCRA Section 313
Inspector Training Manual
Lesson 10: Facility Entry
and Opening Conference
Figure 10-2 Types of Inspection Restrictions
Waivers and Other Restrictive Agreements. EPA inspectors have the right and the
responsibility to refuse to sign any agreement or waiver that promises that records or
other data obtained from the facility will not be released to any third party. Any attempt
by a facility to restrict inspection activities by requiring inspectors to sign such
restrictive agreements should be viewed as a denial of consent to inspect the facility and
treated accordingly.
Health and Safety Restrictions. The inspector should be aware that she/he is subject to
the applicable safety requirements that the facility requires of all visitors. For example,
if safety boots and glasses are required of any visitor who needs to walk through the
manufacturing area, then the inspector must wear these items. However, EPA
inspectors cannot be required to participate in the facility's safety training program as a
condition of conducting an EPCRA Section 313 inspection, with the exception of
site-specific mine safety training required under EPA Order 1440.4. If facility officials
make such a demand, the inspector can refuse and may treat the situation as a denial of
consent. However, there are situations where an inspector may want to use discretion
and participate in short videos or exercises that may seem appropriate.
Refusal to Allow Access to Certain Areas of the Facility. If during the course of the
inspections, access is denied or restricted to certain areas of the facility, the inspector
should make a notation describing such denial or restriction in her/his notebook and
identify which portion of the inspection could not be completed because of the denied or
restricted access. However, despite the access restriction, the inspector should proceed
with the remainder of the inspection. After leaving the facility, the inspector should
contact his/her supervisor to determine whether a warrant should be obtained to
complete the inspection.
November 2000
LI 0-6
Module V: On-Site Activities
-------
440
EPCRA Section 313 Lesson JO: Facility Entry
Inspector Training Manual and Opening Conference
If, after you have exhausted all your options, consent to enter still is denied, follow the denial of
entry procedures that will be described in the following section. However, under no
circumstances should you attempt to gain entry or consent to enter by coercive actions or by
making statements that suggest that the facility representatives could be fined or otherwise
"punished" unless entry is allowed.
Withdrawal of Consent
Occasionally, facility officials may initially consent to an inspection and later withdraw the
consent during the inspection. Consent to the inspection may be withdrawn at any time after
entry has been made. EPA policy concerning withdrawal of consent is to view it as an outright
denial of consent. In such cases, the appropriate procedures for denial of consent, which are
described in the next section, should be followed. However, all activities and evidence obtained
prior to the withdrawal of consent are valid. Therefore, evidence obtained before consent was
withdrawn should be retained, as it would be usable in any subsequent enforcement actions. Do
not return any of the evidence collected before the withdrawal of consent, even if requested to do
so by the facility official.
Refusal to Sign NO!
You may encounter a situation in which the facility official refuses to sign the NOI when you
present it, but still allows you to conduct the inspection. This could be for a variety of reasons;
some as simple as the official does not want his/her name on any document linking
himself/herself to the inspection. In this situation, you can still proceed with the inspection, and
this refusal will not affect the integrity of the inspection. In Section 313 inspections, the NOI is
NOT equivalent to expressed consent or denial. It serves more as a formal announcement of the
upcoming inspection rather than a legally binding document indicating consent.
Procedures for Denial of Entry. As noted previously, make certain that you have properly
presented all credentials and notices to the facility owner/operator or agent in charge. If you are
denied entry, withdraw from the premises and leave a signed copy of the written NOI, with the
accurate date, stating that entry has been denied with facility officials to show that proper
procedures were followed.
In your field notebook, carefully note all observations pertaining to the denial, including the
following items:
Facility name and exact address
Name and title of person(s) approached
Time of denial and reason for denial
November 2000 LI0-7 Module V: On-Site Activities
-------
441
EPCM Section 313
Inspector Training Manual
Lesson 10: Facility Entry
and Opening Conference
• Authority of person who refused entry
• Facility appearance/condition
• Any reasonable suspicions that refusal was based on a desire to cover up regulatory
violations
If you are denied access to some parts of the facility, note the circumstances surrounding the
denial, as well as the portion of the inspection that could not be completed, and then proceed
with the rest of the inspection. After leaving the facility, immediately contact your supervisor to
determine whether a warrant should be obtained to complete the inspection. Once contacted, the
supervisor will confer with attorneys to discuss the desirability of obtaining an administrative
warrant.
DEFINITION
A warrant is judicial authorization for an appropriate official (EPA inspector,
U.S. Marshal, or other Federal officer) to enter a specifically described location
and perform specifically described inspection functions.
Generally, a designated EPA official should contact the U.S. Attorney of the district in which the
facility is located if a warrant is the appropriate next step. However, you may also obtain a
warrant before you conduct an inspection. A pre-inspection warrant may be obtained at the
discretion of the EPA Regional Office. This action may be a result, for example, of a tip or
complaint. Typical situations in which you may want to obtain a pre-inspection warrant include
the following:
• A suspected violation could be covered up during the time needed to secure a warrant.
• Prior correspondence or other contact with the facility provides reason to believe that
entry will be denied when you arrive.
• The facility is unusually remote from the EPA Regional Office or a U.S. District Court,
and obtaining a warrant after the inspection has begun would be inconvenient to the
Government.
November 2000
LI 0-8
Module V: On-Site Activities
-------
442
EPCRA Section 313
Inspector Training Manual
Lesson 10: Facility Entry
and Opening Conference
After entering a facility, an inspection under EPCRA Section 313 may be conducted only after
the inspector has presented the following items to the owner, operator, or agent in charge:
• Appropriate credentials
Written NOI
After locating the appropriate facility official(s), there are three procedures you need to follow
immediately:
• Present EPA credentials identifying yourself as an EPA inspector/NCSC employee for an
EPCRA Section 313 inspection.
• Introduce the inspection team (if a team is present) in a courteous manner.
• Present an NOI.
Facility officials sometimes withhold consent or attempt to impose restrictions or conditions
upon entry. Therefore, you must either:
• Obtain consent prior to conducting the inspection.
• If unable to obtain consent, follow proper procedures for when entry to a facility is denied
or when conditions or restrictions are imposed by facility officials.
There are special situations that may arise when obtaining consent for the EPCRA Section 313
inspection. The facility official may:
• Be reluctant to give consent
Withdraw consent
• Refuse to sign the NOI
As an EPCRA Section 313 inspector, you must be familiar with the appropriate procedures for
the above situations.
November 2000
LI 0-9
Module V: On-Site Activities
-------
443
EPCRA Section 313
Inspector Training Manual
Lesson 10: Facility Entry
and Opening Conference
Typical situations in which you may want to obtain a pre-inspection warrant include the
following:
• A suspected violation could be covered up during the time needed to secure a warrant.
• Prior correspondence or other contact with the facility provides reason to believe that
entry will be denied when the inspector arrives.
The facility is unusually remote from the EPA Regional Office or a U.S. District Court,
and obtaining a warrant after the inspection has begun would be inconvenient to the
Government.
OPENING CONFERENCE
Once credentials and required notices have been presented, you can hold the opening conference
with facility officials. Part of the purpose of this meeting is to present an overview of the
inspection plan. However, this is also an opportunity for you to gain a full understanding of the
facility's organization and obtain current information regarding facility operations and processes.
Also, take this time to clarify any key issues or ambiguities identified during the pre-inspection
preparation phase (see Lesson 8).
Purpose of Opening Conference
The purpose of the opening conference is to establish a forum for the exchange of information
between EPA inspection personnel and facility officials. To facilitate the inspection, you should
develop some objectives to be accomplished during the opening conference:
• Start the inspection on a positive and professional note.
• Present and discuss any supporting information for the inspection (such as, a copy of
EPCRA Section 313, Form R Packet, or other resources).
Explain the nature of the inspection activities and approximately how long the inspection
will take.
• Listen carefully and be willing to answer questions from the facility officials.
• Avoid compromising EPA policies or procedures or overstepping your authority to
accommodate facility representatives.
November 2000
L10-10
Module V: On-Site Activities
-------
444
EPCRA Section 313
Inspector Training Manual
Lesson JO: Facility Entry
and Opening Conference
Additionally, present to facility officials a copy of a Receipt for Samples and Documents (see
Attachment 8-10). Explain that you will be completing this form throughout the inspection and
that the facility will receive a copy when the inspection is finished.
Rapport
A cooperative working relationship developed during the opening conference can set the tone for
the remainder of the inspection. If approached properly, the opening conference provides an
ideal opportunity for you to function as a public relations liaison for the EPCRA Section 313
program. From the perspective of both EPA and the regulated community, you are
well-positioned to serve as a conduit of information on the EPCRA program. As such, you can
share information about the EPCRA Section 313 regulations, pollution prevention resources, and
the availability of EPA compliance or technical assistance tools.
During the conference, focus on the topics listed below. By discussing these topics immediately,
you may be able to dispel any of the officials' immediate questions or concerns and facilitate the
development of a rapport.
• Brief explanation of EPCRA
Overview of EPCRA Section 313
• Explanation of the inspection activities
• Specific regulation requirements
While explaining the inspection activities to facility officials, try to gain an understanding of
facility operations and practices by asking facility officials questions. Also, use this opportunity
to describe your inspection plan.
Explaining Inspection Activities
An outline of inspection objectives will inform facility officials of the purpose and scope of the
inspection and may help avoid misunderstandings. Explain the anticipated inspection activities
in general terms and avoid providing the facility representatives with the precise focus of the
inspection for the following reasons:
To avoid creating a situation in which facility officials use specific knowledge as advance
notification and attempt to hide violations in areas they know will be subject to scrutiny
To minimize the likelihood that facility officials, once having consented to the inspection,
will withdraw consent based on their perception that the inspection includes more than
November 2000
L10-11
Module V: On-Site Activities
-------
445
EPCRA Section 313 Lesson 10: Facility Entry
Inspector Training Manual and Opening Conference
they understood and agreed to. Such perceptions could contribute to misunderstandings
later during the inspection.
• To allow facility representatives to prepare the documents needed for a data quality
inspection and minimize the possibility that facility officials will limit the number of
documents for review.
Understanding Facility Operations and Practices
The opening conference is your opportunity to get a thorough understanding of the facility's
operations and practices. Ask facility representatives about current operations and practices, as
well as organizational accountability, sales numbers, SIC code, EPA identification number,
D&B number, and number of personnel, that may not have been included (or requires
clarification) in EPA records. The key areas are listed below:
• Nature of the Operations. Determine the facility activities from an operational
standpoint, the materials used, and the management and/or disposal of wastes that are
generated. Obtain copies of inventory records and MSDSs. Obtain copies of
manufacturing or process diagrams to use during the inspection. Obtain copies of plant
diagrams showing emission or release points, such as air exhausts and sewer discharge
lines.
* Major Facility Environmental Programs. Ask which environmental programs are part of
the facility's operations, such as effluent sampling, analysis, and reporting; inspection and
maintenance of pollution control equipment; and emergency response.
* Applicability of Environmental Regulations. Verify that facility operations and programs
have not changed in such a way as to alter the regulations or requirements that apply to
the site. Such information will provide the appropriate data for you to review and revise
the inspection plan, if necessary. You may need to shift the emphasis of planned
activities, deleting inappropriate activities and/or adding new activities not initially
considered to be relevant.
• Key Responsibilities. Authorities, and Accountability. Establish which facility officials
are responsible for specific environmental activities, communicating the
chain-of-command in case of emergencies, and developing environmental performance
measures. In addition, it is important to clarify what authorities have been specifically
delegated and how responsibilities are established and maintained. A telephone directory
or an organizational chart can be requested. This information will assist you in
determining which individuals are knowledgeable about specific areas and who should be
interviewed.
November 2000 LI0-12 Module V: On-Site Activities
-------
446
EPCRA Section 313
Inspector Training Manual
Lesson 10: Facility Entry
and Opening Conference
Logistical Arrangements for an EPCRA Section 313 Inspection
Determine logistical requirements and make arrangements in the opening conference to minimize
delays and avoid misunderstandings. The following items should be addressed:
Facility Support. It may be beneficial to identify the facility official(s) who should
accompany you during the inspection (or selected parts of it). This individual should be
able to describe the facility and its principal operating characteristics.
• Safety Requirements. Determine what OSHA and facility safety regulations will be
involved in the inspection and be prepared to comply with them. EPA typically has its
representatives use the same safety equipment that is actually used by employees. EPA
has the right and declines to undergo the safety training that facilities require of their
employees, with the exception of site-specific mine safety training required under EPA
Order 1440.4. While on site, be aware of compliance with OSHA requirements and be
prepared to make a referral to OSHA if violations are suspected.
• Order of Inspection. A discussion of the order in which operations will be inspected will
help eliminate wasted time by giving facility officials time to gather the records needed
for review.
• List of Records. A list of records to be inspected will permit facility officials time to
gather and make them available. If, however, you have any reason to believe that such
advance notice will tempt facility representatives to sanitize, withhold portions of, or
destroy records, such a list should be prepared for "Inspector-use" only, not for
submission to facility officials.
• Meeting Schedule. Based on the planned inspection activities and your understanding of
facility personnel responsible for key assessment topic areas, a schedule of meeting times
can be developed for the duration of the inspection. This will allow key personnel to plan
and schedule the time needed to meet with the inspector.
An inspection checklist developed by Region 10 to aid EPCRA Section 313 inspectors in
conducting the opening conference and the other phases of the inspection is included as
Attachment 10-1. Your Region may have developed a similar tool. Now that you have gained
entry to the facility and conducted the opening conference, you are ready to initiate the on-site
phase of a data quality or non/late reporter inspection. These inspections will be discussed in the
following two lessons.
November 2000
L10-13
Module V: On-Site Activities
-------
447
EPCRA Section 313
Inspector Training Manual
Lesson 10: Facility Entry
and Opening Conference
EXERCISE 1
Generate, either individually or in groups, a list of three to five questions you would ask during
the opening conference. After 5 to 7 minutes, discuss as a class the questions that have been
generated.
SUMMARY
This lesson has introduced you to the first of the on-site activities you will conduct as an EPCRA
Section 313 inspector. It is important to recognize the importance of all your actions once you
are at a facility. For example, everything you do or say to the facility officials will contribute to,
or detract from, the establishment of a comfortable rapport with the facility. This lesson has
discussed the procedures for facility arrival and entry, how to deal with the issues of consent, and
what is involved in conducting a successful opening conference at a facility.
EXERCISE 2
This exercise is a role play. You will be working in groups of three and assigned one of the
following roles: facility official, EPCRA 313 inspector, or observer. The exercise will last
approximately 10 to 15 minutes, followed by small group discussion and a class discussion for 5
to 10 minutes.
The scenario is that the EPCRA Section 313 inspector has entered a facility to conduct an
inspection. The inspector informs the facility official that this inspection was scheduled with the
previous facility official two weeks ago. It is 8a.m., and both the facility official and the EPCRA
inspector have just arrived at the facility.
You have been given a description of the person you are to portray and a brief background of the
other person with whom you are dealing. Observers will be taking notes on their observations of
the situation and critiquing the players' decisions. When the players have completed their
scenario, the observer will provide them with feedback, followed by group discussion.
Attachments 10-2 through 10-4 contain the three descriptions.
November 2000
L10-14
Module V: On-Site Activities
-------
448
EPCRA Section 313
Inspector Training Manual
Lesson 10: Facility Entry
and Opening Conference
REVIEW QUESTIONS
See Attachment 10-5 for the answers to the following review questions.
1. What are the three procedures an EPCRA Section 313 inspector must follow after
locating the appropriate facility officials?
2. Explain the purpose of the Notice of Inspection.
3. When is written consent necessary, and who is required to have written consent?
What must the inspector do if facility officials withhold consent or attempt to impose
restrictions or conditions upon entry?
5. What must the inspector do if entry is denied?
Identify situations when you might want to obtain a warrant before you conduct an
inspection.
November 2000
L10-15
Module V: On-Site Activities
-------
449
-------
450
ATTACHMENT 10-1
EPCRA SECTION 313 INSPECTION CHECKLIST
(Seven Pages)
-------
451
-------
EPA REGION 10
TRI INSPECTION CHECKLIST
FACILITY:
INSPECTOR:
DATE.
REF.
1
2
3
/
.;-',-'. ..*•
.&>$
• ">- - ••;
>{ .
INSPECTION ACTIVITY
GENERAL INFORMATION
FACILITY: DATE:
Address: TIME:
Contact:
Phone:
FAX:
Inspector:
INTRODUCTION / ENTRY
A. Present Credentials
B. Denial of Entry?
Reason for denial, explain:
(Review Denial of Entry Procedure)
OPENING CONFERENCE
A. Opening Conference
Attendees (exchange business cards):
B. Fill out and present Notice of Inspection (get signature)
C. Present copy of Act / Provide brief overview
D. State reason(s) for inspection
L10-A1-1
-------
453
Facility:
Date:
Inspector:
REF.
INSPECTION ACTIVITY
STATEMENT OF OBJECTIVES / SCOPE OF INSPECTION
Objectives:
1. To inform regulated community on requirements of EPCRA and to ensure
compliance.
2. Provide assistance in preparing Form R
3. Improve data quality of reporting program
Scope:
1. SIC Code verification and other documentation
2. Number of employees verification
3. Material Safety Data Sheets (MSDS) for all Sec. 313 chemicals used or
products containing such chemicals
4. Purchasing and inventory records for all Sec. 313 chemicals used
5. Emergency and Hazardous Chemical Inventory Forms (as applicable)
6. Permits (State, local, and Federal, as applicable)
7. Disposal records (invoices, manifests, etc.)
8. Form Rs (as applicable)
9. Monitoring data, emission measurements, other information for release
reporting
10. Facility tour
FACILITY INFORMATION
Primary SIC Code(s) 1.
2.
3.
4.
Continuation Sheet: Document products of company. If multi-establishment facility, document value of products
and sen/ices in each SIC code.
Employment level: 10 or more full time employees, incl. owners, contractors
(Year/Number)
2001
2000
1999
1998
1997
Obtain documentation of number of employees, payroll hours, Dept. of Labor submissions, etc., if number of
employees is an issue.
L10-A1-2
-------
454
Facility:
Date:
Inspector:
REF.
5
/
, / .
INSPECTION ACTIVITY
FACILITY INFORMATION
D&B Number:
Public / Private Co.?
Years in business? At this location?
Does company operate other facilities?
How long under present management?
Changes in ownership?
Customer base?
Sales Territory?
Approximate annual sales: $
Obtain:
-*• Annual Report
•*• Sales brochures
Brief History of Company:
Who has environmental compliance responsibility? For how long?
Internet access and use?
Software for TRI recordkeepina and reporting?
L10-A1-3
-------
455
Facility:
Date:
Inspector:
REF.
6
/
it
INSPECTION ACTIVITY ^|
FACILITY PROCESSES, OPERATIONS, AND PRODUCTS ™
Obtain any available process flow diagrams, written descriptions, facility maps
Description of processes using Sec. 313 chemicals, including raw materials,
operations, and products produced. Use continuation sheets as needed.
Review / obtain copies of MSDS sheets for Sec. 313 chemicals.
Review / obtain purchasing (incl. import) and inventory records for Sec. 313
chemicals for applicable years. Document threshold and release calculations.
Obtain COMPLETE data for evaluation / validation of compliance status.
Does facility require or initiate import of any chemicals into the U.S.?
(ff YES, obtain import invoices and certifications) ^^
Does facility export chemicals from the U.S.? ^H
(If YES, obtain documentation)
Document Sec. 313 chemical or chemical category use, amounts, and activity
(Use worksheet as applicable)
Document other applicable Federal / State / Local permits / licenses
NPDES
AIR
WATER
Obtain copies of data
RCRA Subtitle C relevant to TRI inspection.
Minimal documentation
OTH ER should include cover page
and/or transmrttal letters.
Include all permit ID
Facility subject to EPCRA Sec. 302, Emergency numbers.
Notification?
Any CERCLA 103 or EPCRA 304 Emergency Releases?
(If YES, obtain copy of report)
m
L10-A1-4
-------
456
Facility:
Date:
Inspector.
REF.
6
7
8
/
.y .'ii,|
•&-$
INSPECTION ACTIVITY
FACILITY PROCESSES, OPERATIONS, AND PRODUCTS
Does facility submit MSDS or list of MSDS chemicals (Sec. 31 1) to SERC, LEPC,
or local Fire Dept.? (if YES. obtain CODV)
Does facility submit an Emergency and Hazardous Chemical Inventory (Sec. 312)
to SERC. LEPC. or local Fire Deot.? (if YES, obtain CODY)
Provide information to facility as appropriate.
RECYCLING / WASTE REDUCTION
Status as waste generator?
Obtain any written recycling/waste reduction plans or documentation.
Document waste products, by-products, or impurities generated in any activity
or process involving Sec. 313 chemicals.
FACILITY TOUR / SITE REVIEW
Tour participants:
Square footage estimates for all buildings and real estate:
Identify major process equipment in use:
L10-A1-5
-------
457
Facility:
Date:
Inspector:
REF.
INSPECTION ACTIVITY
8
FACILITY TOUR / SITE REVIEW
Chemical storage: Inside / outside / both?_
Underground tanks?
Bulk storage tanks?
Quantify chemical storage:
area and tank capacity
Drum storage areas?
identify release points:
Fugitive or non-point air
Building ventilation systems
Evaporative losses
Tanks
Tank vents
POTW or water discharges
Land / wastepiles / impoundments
Recycling and waste minimization?
?°!!u.^?.n..?i®y®!?J.i9.n.?..-r-, n = ,
Observations on housekeeping, odors, unusual operation conditions and procedure
CLOSING CONFERENCE
Discuss inspection findings; emphasize that inspection file will be reviewed by others.
If additional information is required, list each item on receipt form with date expected;
get signatures. Provide facility with copy of receipt.
Provide copy of SEBREFA fact sheet
Provide outreach information (publications) as appropriate.
Offer assistance in preparing FORM R or help for improvement of reporting program.
10
GENERAL COMMENTS AND NOTES
Provide additional comments as required on continuation sheet(s).
L10-A1-6
-------
458
Facility:
Date:
Inspector:
EPA REGION 10
TRI INSPECTION CHECKLIST
CONTINUATION PAGE
REF
ACTIVITY / DESCRIPTION
L10-A1-7
-------
459
-------
460
ATTACHMENT 10-2
LESSON 10 EXERCISE 2:
ROLE 1 - EPCRA SECTION 313 INSPECTOR
(One Page)
-------
461
-------
462
Lesson 10 Exercise 2:
Role 1 - EPCRA Section 313 Inspector
INSTRUCTIONS: Read the following role description. Portray your character as accurately
as possible given the background of the situation below. Except for this
constraint, you may act or react in any way you feel is appropriate.
You are an NCSC employee. This facility was targeted as a result of a complaint from the irate
leader of the community's environmental concern group. This leader reported that an inordinate
number of dead fish had been washing up on the banks of the city's largest river. The waste
stream of this facility feeds into that river.
You have 25 years of industry experience from the private sector prior to entering the NCSC
program. You have been an EPCRA Section 313 inspector for two years. You have an "Section
313 inspector-in-training" accompanying you today, who has not yet received his credentials.
You have arrived at the scheduled time of 8:00 a.m., and have been intercepted by a facility
official.
Conduct the appropriate facility entry activities.
L10-A2-1
-------
463
-------
464
ATTACHMENT 10-3
LESSON 10 EXERCISE 2:
ROLE 2 - FACILITY OFFICIAL
(One Page)
-------
465
-------
466
Lesson 10 Exercise 2:
Role 2 - Facility Official
INSTRUCTIONS:
Read the following role description. Portray your character as accurately
as possible given the background of the situation below. Except for this
constraint, you may act or react in any way you feel is appropriate.
You have had this position at this facility for three days. While you have previous industry
experience, you are still not entirely certain of all the "INs" and "OUTs" of this particular
facility. You are aware that this facility manufactures chemicals that are subject to the EPCRA
Section 313 reporting regulations. However, you have not been there long enough to review the
actual records.
As you are walking through the facility at 8:00 a.m., you intercept two individuals; one of whom
has the appropriate EPCRA Section 313 credentials, and the other displays nothing. You notice
those credentials are not Federal, but rather from a program called NCSC. This program is
unfamiliar to you. You have had bad experiences in the past with inexperienced EPA officials,
and believe inspections to be intrusive and a bother.
These "inspectors" say they scheduled an inspection two weeks ago, and you realize that your
new secretary has been sick for the past three days and has not informed you about this
inspection.
L10-A3-1
-------
-------
467
ATTACHMENT 10-4
LESSON 10 EXERCISE 2:
ROLE 3 - OBSERVER COPY
(One Page)
-------
468
-------
469
Lesson 10 Exercise 2:
Role 3 - Observer Copy
INSTRUCTIONS: Read the following role descriptions. These are provided to give you the
maximum insight into the situation. The role players have been asked to
portray their characters as accurately as possible given the background of
the situations below. Except for this constraint, they may act or react in
any way they feel is appropriate.
The EPCRA Section 313 Inspector:
You are an NCSC employee. This facility was targeted as a result of a complaint from
the irate leader of the community's environmental concern group. This leader reported
that an inordinate number of dead fish had been washing up on the banks of the city's
largest river. The waste stream of this facility feeds into that river.
You have 25 years of industry experience from the private sector prior to entering the
NCSC program. You have been an EPCRA Section 313 inspector for two years. You
have an "Section 313 Inspector-in-training" accompanying you today, who has not yet
received his credentials. You have arrived at the scheduled time of 8:00 a.m., and have
been intercepted by a facility official.
Conduct the appropriate facility entry activities.
The Facility Official
You have had this position at this facility for three days. While you have previous
industry experience, you are still not entirely certain of all the "INs" and "OUTs" of this
particular facility. You are aware that this facility manufactures chemicals that are
subject to the EPCRA Section 313 reporting regulations. However, you have not been
there long enough to review the actual records.
As you are walking through the facility at 8:00 a.m., you intercept two individuals; one of
whom has the appropriate EPCRA Section 313 credentials, and the other displays
nothing. You notice those credentials are not Federal, but rather from a program called
NCSC. This program in unfamiliar to you. You have had bad experiences in the past
with inexperienced EPA officials, and believe inspections to be intrusive and a bother.
These "inspectors" say they scheduled an inspection two weeks ago, and you realize that
your new secretary has been sick for the past three days and has not informed you about
this inspection.
LIO-A4-1
-------
470
-------
471
ATTACHMENT 10-5
ANSWERS TO LESSON 10 REVIEW QUESTIONS
(Two Pages)
-------
472
-------
473
ANSWERS TO LESSON 10 REVIEW QUESTIONS
What are the three procedures an EPCRA Section 313 inspector must follow after
locating the appropriate facility officials?
• Present EPA credentials identifying yourself as an EPA inspector/SEE employee
for an EPCRA Section 313 inspection.
• Introduce the members of the inspection team (if a team is present).
Present an NOI.
Explain the purpose of the NOI.
The NOI formally informs the owner, operator, or agent in charge of the facility of the
reason for an EPCRA Section 313 inspection and provides the facility with your address
and signature.
When is written consent necessary, and who is required to have written consent?
Written consent is not necessary for a credentialed Federal inspector or SEE employee.
Written consent is necessary for any uncredentialed persons accompanying an inspector.
For example, this may include personnel from EPA Headquarters who are not inspectors
but are involved in the EPCRA program area and need exposure to the actual activities of
an EPCRA Section 313 inspection.
What must the inspector do if the facility officials withhold consent or attempt to impose
restrictions or conditions upon entry?
Obtain consent prior to conducting the inspection.
Follow proper procedures when entry to a facility is denied or when conditions or
restrictions are imposed by facility officials.
What must the inspector do if entry is denied?
• Withdraw from the premises and leave a signed copy of the written NOI
indicating a denial of entry with facility officials to show that proper procedures
were followed.
L10-A5-1
-------
474
6. Identify situations when you might want to obtain a warrant before you conduct an
inspection.
• You have serious reason to believe that there are violations that could be covered
up or records that might be destroyed or tampered with during the time to needed
to secure a warrant, if done after the inspection.
• Prior correspondence or other contact with the facility provides reason to believe
that entry will be denied when you arrive.
• The facility is unusually remote from the EPA Regional Office or a U.S. District
Court, and obtaining a warrant after the inspection has begun would be
inconvenient to the Government.
L10-A5-2
-------
476
Lesson 11
Non/Late Reporter
Inspections
-------
477
-------
478
EPCRA Section 313
Inspector Training Manual
Lesson 11: Non/Late Reporter Inspections
TABLE OF CONTENTS
LESSON 11: NON/LATE REPORTER INSPECTIONS
INTRODUCTION Lll-1
Purpose Lll-1
Objectives Lll-1
ON-SITE ACTIVITIES OF NON/LATE REPORTER INSPECTIONS LI 1-1
Step 1: Discussion with Facility Officials Lll-1
Step 2: Identification of Chemicals LI 1-2
Step 3: Facility Tour LI 1-8
EXERCISE Lll-9
SUMMARY Lll-9
ATTACHMENTS
11-1 LESSON 11 EXERCISE: MATERIAL SAFETY DATA SHEET FOR
ICEBREAKER II RUNWAY DEICER PRODUCT LI 1-A1-1
11 -2 LESSON 11 EXERCISE: MATERIAL SAFETY DATA SHEET FOR
METHOXYCHLOR PRODUCT LI 1-A2-1
11-3 LESSON 11 EXERCISE: SMOKEY RIVER RANGER SYSTEM
INVENTORY REPORT LI 1-A3-1
11-4 LESSON 11 EXERCISE: CHEMSERV ENGINEERING MONTHLY
CHEMICAL PURCHASES FOR 1994 LI 1-A4-1
November 2000
Lll-i
Module V: On-Site Activities
-------
479
-------
480
EPCRA Section 313
Inspector Training Manual Lesson 11: Non/Late Reporter Inspections
INTRODUCTION
Purpose
An inspector conducting a non/late reporter inspection generally is allowed relatively little time
to collect all the necessary information. You may only be permitted a half-day onsite. This
lesson will provide you with the basic guidelines for conducting an efficient non/late reporter
inspection that will result in the most information possible.
Objectives
Discuss the basic components of on-site activities for a EPCRA Section 313 non/late
reporter inspection.
Utilize the EPCRA Section 313 Toxic Chemical List.
ON-SITE ACTIVITIES OF NON/LATE
REPORTER INSPECTIONS
The EPCRA Section 313 non/late reporter inspection process is broken into the following three-
step process.
Step 1: Discussion with Facility Officials
Before beginning the facility tour, you will review the facility processes and chemical activities.
You may discuss any changes or concerns that you have regarding the facility's compliance
status. Also, take this opportunity to ask questions regarding specific chemical process or
reporting issues. These are the questions you identified during the pre-inspection activities.
Detailed information on pre-inspection review is found in Lesson 8 of this manual.
This discussion may begin as part of the opening conference (Lesson 10) or later. It is the
inspector's responsibility to determine the appropriate timing of this discussion.
November 2000 L11 -1 Module V: On-Site Activities
-------
481
EPCRA Section 313
Inspector Training Manual
Lesson 11: Non/Late Reporter Inspections
Step 2: Identification of Chemicals
The identification of EPCRA Section 313 chemicals that are used in significant quantities (that
is, 1,000 to 2,000 Ibs and over) on site is one of the most important components of an on-site
inspection. You must try to identify and list all of the EPCRA Section 313 chemicals present at
the facility that are used in significant quantities, as well as PBTs in small quantities. The
primary difference between this inspection and a data quality inspection is that you will identify
the chemicals on site, without the assistance of a Form R report. This will be done through:
• Reviewing the following materials:
Additional information available onsite
Facility records
Type of chemicals and chemical processes used at the facility
• Conducting discussions with facility officials
• Conducting a facility tour
For every chemical identified at the facility that is used in significant quantities, you will need to
document certain information. At a minimum, you should record the following information:
• Chemical name
* CAS Number (if available)
EPCRA Section 313 chemical (yes or no)
Chemicals Identified bv the Inspector. Record all significantly used EPCRA Section 313
chemicals, plus PBT chemicals in small amounts that were identified during the inspection. This
information is obtained through facility records, discussions with facility officials, and the
facility tour. You will be called upon to use any industry experience and knowledge you
acquired prior to becoming an EPCRA Section 313 inspector. This insight will enable you to
synthesize your observations of the facility, in conjunction with the data you have gathered, to
identify the chemicals that are being manufactured, processed, or otherwise used at the facility.
You must be sure to consider the possibility of a EPCRA Section 313 chemical being used in
chemical mixtures. Mixtures will be defined and discussed in greater detail in the following
lesson (Lesson 12), but note that this may be a source of EPCRA Section 313 chemical usage.
November 2000
LI 1-2
Module V: On-Site Activities
-------
482
EPCRA Section 313
Inspector Training Manual
Lesson 11: Non/Late Reporter Inspections
chemical. Additionally, you need to be aware of the possible exemptions that may be applicable
to the process. These exemptions will be discussed in greater detail later in this lesson.
On-Site Documentation. A crucial step in conducting a non/Iate reporter inspection is the
examination of on-site documentation. Review of these documents, combined with the records
and facility information you reviewed during the pre-inspection phase, will help you to be able to
detect and, more importantly, prove that a facility is or is not in violation of EPCRA Section 313
reporting requirements. There are several common documents that you may request and/or
examine while on site. These are:
MSDSs
Refer to Lesson 5 to review the information on MSDSs.
Accounting Records
This source will identify all chemicals that were purchased throughout the
previous year, and therefore will determine whether any EPCRA Section 313
chemicals were purchased.
Invoices
For chemicals that appear to exceed threshold limits, this source will further
verify the quantity and frequency in which a chemical was purchased.
Inventory Levels
By comparing the inventory level at the beginning of the year (BI) and at year-end
(El), in conjunction with the invoices and accounting records (P = purchases), you
will be able to determine the rate at which a chemical was manufactured,
processed, or otherwise used. In other words:
(BI + P) - El = Usage of Chemical per Year
Tier II Reports
This document will indicate whether large quantities of chemicals are stored on
site at the facility.
By utilizing the data collected from all these sources, you can make an initial determination
about the compliance status of the facility. However, do not limit yourself to the resources listed
above. Augment this with any other documentation you believe is available and appropriate to
November 2000
Lll-3
Module V: On-Site Activities
-------
483
EPCRA Section 313
Inspector Training Manual Lesson11: Non/Late Reporter Inspections
the inspection. You will also use the information from your discussions with the facility officials
and observations from the next step, Facility Tour, to verify or eliminate any compliance
suspicions you may have developed.
Questions for Reviewing the Threshold Determination of Chemicals Found On Site. These
questions will obtain the information that has been described in this lesson. During your non/late
reporter inspection, you should ensure that the name of the chemical being reviewed is recorded
in your notes in association with the answers to the following questions, if you can obtain these
answers while on site:
1. How is the chemical employed at the facility?
In answering this question, you will document all of the ways the chemical is being employed,
based on:
• The facility's documentation
• Your own review of process diagrams
• Discussions with the facility personnel
• The plant tour
When deciding the answer to this question, bear in mind the three activity categories
(manufacture, process, and otherwise use), as well as the possibility of exempt uses. Indicate if
the chemical is employed in one of the exempt uses. These uses include the following:
De minimis exemption. The de minimis exemption allows facilities to disregard certain minimal
concentrations of chemicals in mixtures or other trade name products they process or otherwise
use when making threshold determinations and release and other waste management calculations.
The de minimis exemption does not apply to the manufacture of a EPCRA Section 313 chemical,
except if that chemical is manufactured as an impurity and remains in the product distributed in
commerce, or if the chemical is imported below the appropriate de minimis level (0.1 percent for
carcinogens or potential carcinogens, 1.0 percent for all others). The de minimis exemption does
not apply to a byproduct manufactured coincidentally as a result of manufacturing, processing,
otherwise use, or any waste management activities.
If a EPCRA Section 313 chemical in a process stream is manufactured as an impurity, imported,
processed, or otherwise used, document the percent concentration of the EPCRA Section 313
chemical in mixtures and other trade name products in process streams in which the EPCRA
Section 313 chemical is undergoing a reportable activity. Documentation is necessary because
the chemical is exempt from reporting if it is only present below the de minimis concentration,
November 2000 L11 -4 Module V: On-Site Activities
-------
484
EPCRA Section 313
Inspector Training Manual
Lesson 11: Non/Late Reporter Inspections
provided that the other criteria for the de minimis exemption are met. If an EPCRA Section 313
chemical in a process stream is below the appropriate de minimis level, all releases and other
waste management activities associated with the EPCRA Section 313 chemical in that stream are
exempt from Section 313 reporting. De minimis levels for chemical categories apply to the total
concentration of all chemicals in the category within a mixture, not the concentration of each
individual category member within the mixture.
Laboratory Activities exemption [40 CFR 372.38(dVI. EPCRA Section 313 chemicals that are
manufactured, processed, or otherwise used in laboratory activities at a covered facility under the
direct supervision of a technically qualified individual meet this exemption. However, pilot plant
scale and specialty chemical production do not qualify for this laboratory activities exemption,
nor do the use of EPCRA Section 313 chemicals for laboratory support activities, such as the use
of chemicals for equipment maintenance.
Otherwise Use Exemptions (40 CFR 372.38CcV). The following "otherwise uses" of listed
EPCRA Section 313 chemicals are specifically exempted:
• Otherwise use as a structural component of the facility
• Otherwise use in routine janitorial or facility grounds maintenance
• Personal use by employees or other persons
• Otherwise use of products containing EPCRA Section 313 chemicals for the purpose of
maintaining motor vehicles operated by the facility
Otherwise use of EPCRA 313 chemicals contained in intake water (used for processing or
non-contact cooling water) or in the intake air (used either as compressed air or for
combustion)
The exemption of an EPCRA Section 313 chemical used (1) as a structural component of the
facility, (2) in routine janitorial or facility grounds maintenance, or (3) for personal use by an
employee cannot be taken for activities involving process-related equipment.
Article exemption (40 CFR 372.380^). EPCRA Section 313 chemicals contained in "articles"
that are processed or otherwise used at a covered facility are exempt from threshold
determinations and release and other waste management calculations. The exemption applies
when the facility receives the "article" from another facility or when the facility produces the
"article" itself. The exemption applies only to the quantity of EPCRA Section 313 chemical
present in the "article".
November 2000
LI 1-5
Module V: On-Site Activities
-------
485
EPCRA Section 313
Inspector Training: Manual
Lesson 11: Non/Late Reporter Inspections
Coal Extraction Activities Exemption. Many materials containing EPCRA Section 313
chemicals may be used or otherwise managed during coal mining extraction activities. Included
among these are explosives for blasting operations, solvents, lubricants, and fuels for extraction-
related equipment maintenance and use, as well as overburden and mineral deposits. The
EPCRA Section 313 chemicals contained in these materials are exempt from threshold
determinations and release and other waste management calculations, when manufactured,
processed, or otherwise used during extraction activities at coal mines (facilities hi SIC Code 12).
Metal Mining Overburden Exemption. If an EPCRA Section 313 chemical that is a constituent
of overburden is manufactured, processed, or otherwise used by facilities in SIC Code 10, the
quantity of the EPCRA Section 313 chemical so manufactured, processed, or otherwise used is
not required to be considered when making threshold determinations and release and other waste
management calculations.
2. Was the chemical reported by the facility?
For this question, you are simply indicating whether the chemical was reported by the facility. If
it was not, record why the facility felt that this chemical was not reportable. You can obtain this
information from the facility's documentation. However, if the documentation is not available,
you should ask the facility official why it was not reported and document the answer.
3. Is the chemical exempt from reporting?
Record whether the chemical is exempt from reporting. The chemical is exempt if it is employed
in one of the uses or is manufactured, processed, or otherwise used at an exempt facility, as
described under Question 1 in this section.
4. Is documentation supporting the threshold determination available for review?
Determine if the facility has supporting documentation on the threshold calculation for the
chemical in question and obtain copies, if available. If not available, record the most appropriate
reason listed explaining why the facility does not have the documentation. For example, the
facility may have been unaware that they were required to retain such documentation, or they
may simply be unable to locate it at that time. In the latter situation, try to have the
documentation mailed to you when it is located. Nevertheless, an explanation should be
obtained through discussion with the facility officials.
5. How much chemical did the facility manufacture, process, or otherwise use during the
reporting year?
Review the facility's documentation supporting the threshold determination for the chemical in
question and record the amount for each activity category. Document whether the facility failed
November 2000
LI 1-6
Module V: On-Site Activities
-------
486
EPCRA Section 313
Inspector Training Manual
Lesson 11: Non/Late Reporter Inspections
to estimate the quantities or whether there is enough information available to estimate these
quantities. In addition, you may find that you need to do your own calculation of the amount of
chemical manufactured, processed, or otherwise used during the reporting year.
To do a thorough review of the threshold determinations, you need to address the issue of
mixtures, which will be discussed in Lesson 12. The concentration of toxic chemicals in the
mixture can be retrieved from the MSDS. The amount of mixture used can be obtained from
inventory or purchasing records. Calculate the amount of EPCRA Section 313 chemical used in
the mixture by multiplying the concentration of chemical in the mixture by the amount of
mixture used.
6. What was the basis of the estimate for the amount of chemical manufactured, processed,
or otherwise used during the reporting year?
Determine the answer to this question by reviewing the facility documentation and/or discussions
with facility officials. Discuss what method the facility used to estimate the amount of chemical
manufactured, processed, or otherwise used. Record the method(s) used by the facility, keeping
in mind that more than one method or approach may have been used.
7. Was a threshold exceeded for this chemical in the reporting year?
Document whether the threshold value has been exceeded for this chemical. This is done by
comparing the amounts of chemicals in Question 6 to the threshold values for the activity
categories. If either the "manufactured" or "processed" value is greater than 25,000 pounds, or if
the "otherwise used" value is greater than 10,000 pounds, a threshold has been exceeded.
8. Was the chemical correctly not reported?
Record whether the chemical was correctly reported or not reported as follows:
Correctly Omitted. The chemical was not reported by the facility and is either exempt or did not
exceed the applicable threshold limit. If this is the answer to your question, you may omit this
chemical from the rest of your considerations.
Incorrectly Omitted. The chemical was not reported, but was not exempt and exceeds the
applicable threshold limit.
9. Why was the chemical not reported?
Record the reason, as obtained through the facility's documentation, the facility tour (which will
be discussed in the next section), and/or discussions with facility officials, that most closely
describes why this chemical was not reported. The reasons may include:
November 2000
LI 1-7
Module V: On-Site Activities
-------
487
EPCRA Section 313
Inspector Training Manual Lesson 11: Non/Late Reporter Inspections
• The facility overlooked the activity of a chemical as being "manufactured," "processed,"
or "otherwise used. " Examples include:
Manufacturing byproducts
Coincidentally manufactured chemicals
Wastewater treatment byproducts
Wastewater treatment chemicals
Cleaning chemicals
• The facility misclassified the chemical activity as "processed" or "manufactured," when
it was really "otherwise used".
The facility made a calculation error while determining the threshold quantity, which did
not exceed a threshold limit.
The facility did not consider or incorrectly addressed ammonia or chemical categories,
including organic compounds, metal-containing compounds, and water-dissociable nitrate
compounds, when making threshold determinations.
• Any other reason not previously described.
You should be thorough, but brief, in your descriptions.
Step 3: Facility Tour
During the tour of the facility, focus on areas in which EPCRA Section 313 chemicals are used in
process lines and treatment areas. If possible, try to either sketch the process diagram(s) of what
you observe during the tour or obtain them from the facility, if they are available. In particular,
you should identify areas where releases could occur in the facility (such as, drains, exhaust fans,
vents, and ducts), keeping in mind the following items:
Housekeeping practices
• Method(s) of receiving and unloading chemicals
* Chemical storage practices
Disposal method(s)
Use(s) of each EPCRA Section 313 chemical
• Waste treatment and pollution control devices
November 2000 L11 -8 Module V: On-Site Activities
-------
488
EPCRA Section 313
Inspector Training Manual Lesson 11: Non/Late Reporter Inspections
The above items will be discussed in greater detail in Lesson 12. Record descriptions and
document how each EPCRA Section 313 chemical is used to determine its activity classification
(i.e., manufactured, processed, and otherwise used). Finally, document the types of control
methods that are used at the facility and make a qualitative assessment of their efficiency by
observing their operation and then recording these observations. For example, a degreasing unit
that is open to the atmosphere would release a greater amount of solvent to the air than a unit
with a solvent recovery system.
EXERCISE
Refer to Attachments 11-1 through 11-4. These are two sample MSDSs, a facility year-end
inventory sheet, and a summary of the chemical purchases for the year. Use the EPCRA
Section 313 Toxic Chemical List to assist you in identifying all of the EPCRA Section 313
chemicals in these materials and determine whether the quantities indicate a potential violation.
SUMMARY
This lesson addressed the basic steps that should be taken when conducting an EPCRA
Section 313 non/late reporter inspection. The basic steps were as follows: discussion with
facility officials, chemical identification, and the facility tour. These three steps will also be used
to conduct a data quality inspection, which will be discussed in the next lesson. This lesson also
provided a short list of some common documents that may be referenced when inspecting the
facility and some common questions to ask regarding the threshold determination of chemicals
found on site.
November 2000 L11 -9 Module V: On-Site Activities
-------
489
-------
490
ATTACHMENT 11-1
LESSON 11 EXERCISE:
MATERIAL SAFETY DATA SHEET FOR
ICEBREAKER II RUNWAY DEICER PRODUCT
(One Page)
-------
491
493
-------
494
ATTACHMENT 11-2
LESSON 11 EXERCISE:
MATERIAL SAFETY DATA SHEET FOR
METHOXYCHLOR PRODUCT
(One Page)
-------
495
-------
496
MATERIAL SAFETY DATA SHEET
MAY SE USES TO COMPLY WITH
OSHA'S HAZARD COMMUNICATION STANDARD.
a CPU 1910.1100 STAND ABO MUST BE
CONSULTED KJR SPECIFIC REQUIREMENTS.
PRODUCT NAME;
'CAS NUMBER
SECTION I: PRODUCT IDENTIFICATION
"METHOXYCHLOH
72-43-5
SECTION 11: MANUFACTURER INFORMATION
MANUFACTURER'S NAME:
MANUFACTURER ADDRESS:
AGRICON
P.O. BOX 549
MOfiGANTOWN. WV 25143
EMERGENCY TELEPHONE NUMBER:
INFORMATION TELEPHONE NUMBER:
(30*) S==-SriL
(304) S55-4545
SECTION III: COMPONENTS
OSHA • ACGiH OTHER % 3Y
COMMON NAME (CAS NUMBER) PEL TLV UMTS WEIGHT
METHOXYCHLOR (72-43-5)
REUTcD ISOMEHS
400 PPM
88
\Z
VAPOR PRESSURE;
SECTION IV: PHYSICAL/CHEMICAL CHARACTERISTICS
NO DATA S.C. (WATEB-1): 1.41
NO DATA MELTING POINT: 69 QEQ C
VAKJa DENSITY (AW-I): HEAVIER THAN AIR .
SOLUBILITY:
APPEARANCE AND
OOOFt
EVAPORATION
RATE:
SLOWER THAN ETHEa
Q.1 MG/L WATER 9 22 DEG C
GREY FLOWAaLE POWDER
SECTION V: RRE AND EXPLOSION HAZARD DATA
FVASH POWT: NOT FIAM. FLAM*UBL£ LIMITS:
EXTWCUiSHING MEDIA; NOT FLAMMABLE
SPECUL PROCEDURES: STORE IN COOL DRY PLACc
' UNUSUAL HAZARDS: NONE
LEU
N/A
UEL:
N/A
L11-A2-1
-------
497
-------
498
ATTACHMENT 11-3
LESSON 11 EXERCISE:
SMOKEY RIVER RANGER SYSTEM
INVENTORY REPORT
(One Page)
-------
499
-------
500
p
oi
CO
U
liss
"">
OS
O
^
o
., C
>. o
8 c
o g
y 2 o
is -^i c
oi
0
H
z
oo
H
Z
P
UJ
o
en
.O
C
CO
1 1,1,1-Trichloroetl
o
o
o,
wT
en
-O
1 Butyl cellusolve
o
o
o,
CN
en
t_l
a
U
to
Q
o
Z
en
JD
1 Ethylene Glycol
q.
fi
.O
C
O
o
o
o"
S
(N
=lt
O
1
u.
o
o"
crt
J3
Icebreaker II
1
o"
o
(N
£
u.
^3
S
o.
Iultrex
Replenisher & De
o
£
Lindane
§
o
o"
M
| Methoxychlor
o
o
^^
.2
00
ffl
e
2
o
o
o
>/"!
en
.0
Paint - Aircraft
o
o
o
o"
en
.C
,_
O
§
o"
en
O.
O
co
1
u.
L11-A3-1
-------
501
-------
502
ATTACHMENT 11-4
LESSON 11 EXERCISE:
CHEMSERV ENGINEERING
MONTHLY CHEMICAL PURCHASES FOR 1994
(One Page)
-------
503
-------
W
s5
I
6
YEAR 1
TOTAL
U
Q
>
Z
H
jx
rl
C/3
0
3
Z
taJ
•
^
^
CO
"S
u
3
m
o
o
o
o
8
QS
o
o
o
o
o.
o
o
o
8
OS
0
o
o
0
o
o
CO
.0
"b
m
•§
u
VI
.£
C C
S o
o
8
otT
o
o
o
o
o
o
o
o
o
C^l
o
o
o
V"l
o
o
o
o
CA
.0
o
£
8
o1
o
0
o
r--
o
8
m
r-
o
0
o
1/1
r-
o
0
o
{Q
o
o
o
I—
o
§
•n
r-
8
o
Vl
r-
0
o
W1
^
O
o
o
ft
o
o
o
r-
0
8
V)
r-
o
8
V)
r*-
£
(N
0
o
8
o"
o
(N
O
o
o
o
o
8
0
K"l
0
0
o
8
o
f/l
Icebreaker I
o
8
o"
o
i
o
o
o
o
o
o
o
o
o
o
8
o
o
a
Q
1 Methoxychl
8
o
r~*
o
o
o
8
r-j
§
0
rr>
O
O
0
CM
O
o
o
o
o
o
o
£
c
CS
c
&
s"
o
o
o
o
0
^}-
o
0
8
o_
8
o
Mf
o
o
o
o
*
o
o
o
o
«^
8
o
-^
£
'£-!
co
c
2
o
8
cT
00
o
o
o
o
o
o
0
o
8
o,
cT
m
8
o
o
o
o
o
o
o
o
o
0
o
o
o
o
£
a
c
o
o
8
o
o
o
o
o
o
o
0
8
8
o_
cT
S
8
o
o
o
VO
0
o
o
o
o
o
o
o
o
£
CM
oi
E
I
a.
I
"3
u
>.
J2
C
1
"I
S
42
«
T3
O
f\
O.
3
r,
-------
505
-------
507
Lesson 12
Data Quality
Inspections
-------
508
-------
509
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
TABLE OF CONTENTS
LESSON 12: DATA QUALITY INSPECTIONS
INTRODUCTION
L12-1
Purpose L12-1
Objective L12-1
ON-SITE ACTIVITIES FOR DATA QUALITY INSPECTIONS L12-1
Step 1: Discussion with Facility Officials L12-1
Step 2: Identification of Chemicals L12-2
Step 3: Facility Tour L12-4
REVIEW L12-5
REVIEW EPCRA SECTION 313 CHEMICALS L12-6
Review of Threshold Determination L12-6
Review of Release Estimation L12-9
Sources of Chemical Releases and Transfers L12-12
Summary of Release Estimates/Transfers L12-14
Calculations Summary L12-16
Reasons for Reporting Errors/Data Discrepancies L12-16
REVIEW L12-18
EXERCISE L12-19
SUMMARY L12-19
REVIEW QUESTIONS L12-20
ATTACHMENTS
12-1 LESSON 12 EXERCISE: CASE STUDY L12-A1-1
12-2 LESSON 12 EXERCISE: SECTION 3.0 REVIEW THRESHOLD
DETERMINATION WORKSHEETS
L12-A2-1
November 2000
L12-1
Module V: On-Site Activities
-------
510
EPCRA Section 313
Inspector Training Manual Lesson 12: Data Quality Inspections
TABLE OF CONTENTS (Continued)
ATTACHMENTS (Continued'!
12-3 ANSWER TO LESSON 12 EXERCISE: COMPLETED SECTION 3.0
REVIEW THRESHOLD DETERMINATION WORKSHEETS L12-A3-1
12-4 ANSWERS TO LESSON 12 REVIEW QUESTIONS L12-A4-1
November 2000 L12-ii Module V: On-Site Activities
-------
511
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
INTRODUCTION
Purpose
You may be on she at a facility for up to three days when trying to complete an inspection. The
length of the visit depends on the size and complexity of the facility and the inspection process
you choose to use. While on site, you will be expected to review all submitted data and
supporting materials that the facility has available. A large percentage of your time will be spent
documenting all reported and documented calculations and assumptions (such as, on the Form R
report). The purpose of this lesson is to discuss both the procedures for conducting a data quality
inspection and the reasons for data discrepancies and reporting errors.
Objective
• Discuss the components of on-site activities specific to an EPCRA Section 313 data
quality inspection.
ON-SITE ACTIVITIES FOR
DATA QUALITY INSPECTIONS
Step 1: Discussion with Facility Officials
In addition to the topics you would discuss during a non/late reporter inspection (see Lesson 11),
you may also address any changes that have occurred in the reporting year. This is your
opportunity to ask questions regarding specific data quality reporting issues. Most of these will
be the questions you identified during the pre-inspection review of the facility's Form R reports.
However, this is also an opportunity to collect the Supplier Notification and MSDSs you
requested during your inspection planning phase (see Lesson 8).
The Supplier Notification and MSDSs contains the "percent by weight of the EPCRA Section
313 chemical." This is critical information for threshold determinations and amounts of
chemicals used. This can later be used to determine release estimates. While you are on site,
you should take the opportunity to examine the Supplier Notification form applicable to, and
received for, each chemical used in significant quantities. After you have reviewed this
information, you should:
• Question the company on its use of Supplier Notification information to determine the
amount of chemical used and if that amount is used in release estimates.
November 2000
L12-1
Module V: On-Site Activities
-------
512
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
• Address these issues during your discussion with facility officials.
Step 2: Identification of Chemicals
The identification of EPCRA Section 313 chemicals used in significant quantities on site (that is,
1,000 to 2,000 Ibs or more) is one of the most important components of an on-site inspection.
You must identify and list all significantly used EPCRA Section 313 chemicals present at the
facility. Include chemicals both reported (on Form R report) and not reported. This will be done
through:
• Reviewing the following materials:
Facility's Form A submissions
Facility's Form R reports
Documentation supporting Form Rs
Additional information available on site
Facility records
• Conducting discussions with facility officials
• Conducting a facility tour
For every significantly used chemical identified at the facility, you will need to document certain
information. The inspection checklist is provided in Attachment 10-4 of this manual to record
the following information:
• Chemical name
• CAS Number (if available)
• EPCRA Section 313 chemical (yes or no)
The following sections address all of the chemicals present at a facility. This includes not only
chemicals that have been reported or documented, but also chemicals that have not been reported
or documented, but are present in some form at the facility. (As you proceed through this lesson,
the additional information that needs to be documented will be indicated.)
At this point, you will also ask the list of questions you generated during your pre-inspection
activities.
Chemicals Reported on Form R. The following categories of chemicals encompass those that
were reported. Throughout the inspection, you will verify how they are used and in what
November 2000
LI 2-2
Module V: On-Site Activities
-------
513
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
quantity. You will also identify whether they are EPCRA Section 313 chemicals that have been
used in significant quantities at the facility.
Reported EPCRA Section 313 Chemicals
You will be collecting usage information while on site to help in release estimation and threshold
calculations.
Other Documents/Chemicals
Record all chemicals documented by the facility for EPCRA Section 313 reporting that were
used in significant quantities that did not have Form R reports submitted. This information can
be obtained from the supporting materials provided by the facility.
If the chemical is included as an EPCRA Section 313 Toxic Chemical, indicate this in your
notes. However, if you are unable to determine whether the chemical is an EPCRA Section 313
toxic chemical, collect the necessary information in your inspection notebook for your post-
inspection activities.
Other Chemicals Identified by the Inspector. Record all other EPCRA Section 313 chemicals
identified during the inspection. This information is obtained through facility records,
discussions with facility officials, and the facility tour. You will be called upon to use any
industry experience and knowledge you acquired prior to becoming an EPCRA Section 313
inspector. This insight will enable you to synthesize your observations of the facility, in
conjunction with the data you have gathered, to deduce what chemicals must be involved in the
processes that are being used.
Mixtures.
Any combination of two or more chemicals,
• IF the combination is not, in whole or in part, the result of a chemical reaction.
• BUT, if the combination was produced by a chemical reaction tjutcould have been
produced without a chemical reaction, it is also treated as a mixture.
A mixture also includes any combination that consists of a chemical and associated
impurities.
November 2000
LI 2-3
Module V: On-Site Activities
-------
514
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
Under EPCRA Section 313, toxic chemicals in mixtures, as well as trade name products, must be
factored into threshold determinations and release and other waste management calculations.
Record all mixtures identified during the inspection that may contain EPCRA Section 313
chemicals and then investigate whether the mixtures that are identified during the facility tour
contain a EPCRA Section 313 chemical. This is done by reviewing the MSDS to verify the
constituents of the mixture and to record concentrations of any EPCRA Section 313 chemical in
the mixture. The following information should be documented in your inspection notebook:
• Mixture name
• EPCRA Section 313 chemical present
• Concentration of chemical
• Amount of mixture used
• Amount of EPCRA Section 313 chemical used
Please note that the facility is not required to consider the quantity of toxic chemical present in a
mixture if the mixture contains de minimis concentrations of toxic chemicals. De minimis
concentrations means the toxic chemical is present at less than 1 percent of a mixture, or, if the
toxic chemical is a carcinogen, as defined in 29 CFR Part 1910. 1200 (d)(4), less than 0.1 percent
of the mixture.
Step 3: Facility Tour
During the tour of the facility, focus on areas in which EPCRA Section 313 chemicals are used in
process lines and treatment areas. If possible, try to either sketch the process diagram(s) of what
you observe during the tour or obtain them from the facility, if they are available. In particular,
you should identify areas where releases could occur in the facility (such as, drains, exhaust fans,
vents, and ducts), keeping in mind the following hems:
• Housekeeping practices
• Method(s) of receiving and unloading chemicals
• Chemical storage practices
• Disposal method(s)
Use(s) of each EPCRA Section 313 chemical
• Waste treatment and pollution control devices
November 2000
L12-4
Module V: Qn-Site Activities
-------
515
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
• Emissions
• Container residues
The above items will be discussed in greater detail later in the lesson. Record descriptions and
document how each EPCRA Section 313 chemical is used to determine its activity classification
(manufactured, processed, and otherwise used). Finally, document the types of control methods
that are used at the facility and make a qualitative assessment of their efficiency by observing
their operation and then recording these observations. For example, a degreasing unit that is
open to the atmosphere would release a greater amount of solvent to the air than a unit with a
solvent recovery system.
REVIEW
Data quality inspections follow three basic steps:
• Discussion with the facility official
• Identification of chemicals
Facility tour
The step of chemical identification is more involved than simply identifying the EPCRA Section
313 chemicals. As an EPCRA Section 313 inspector, you will try to identify every chemical
used in significant quantities at the site. These will include:
• Reported EPCRA Section 313 chemicals
• Other documented EPCRA Section 313 chemicals
• Other chemicals identified by the inspector while onsite
• Chemicals found in mixtures
November 2000
LI 2-5
Module V: On-Site Activities
-------
516
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
REVIEW EPCRA SECTION 313 CHEMICALS
The following section, Review of Threshold Determination, discusses questions that should be
answered for every EPCRA Section 313 chemical present at the facility that is used in significant
quantities, such as 1,000 to 2,000 pounds or more. Several of these questions you will recognize
from Lesson 11. However, there will be additional questions to be answered (found in
subsequent sections of this lesson) for those EPCRA Section 313 chemicals that are
manufactured, processed, or otherwise used at the facility that meet the requirements for
reporting. Document all calculations and assumptions. Bear in mind, calculations should be
reproducible by a reviewer unfamiliar with the facility. In addition, you should constantly look
for and collect supporting documents for your assertions about the facility's chemicals and their
usage for future evidence in any potential enforcement actions.
Review of Threshold Determination
During this part of the inspection, you will review the facility's decision to report a chemical, the
use of the chemical, and the quantity used. It is your responsibility to ensure that the name of the
chemical being reviewed is recorded in your notes in association with the answers to the
following questions:
1. How is the chemical employed at the facility?
Remember the possible exemptions:
• De minimis
• Laboratory activities
• Otherwise use exemptions
• Article exemption
• Coal extraction activities
• Metal mining overburden exemption
2. Was the chemical reported by the facility?
3. Is the chemical exempt from reporting?
November 2000
L12-6
Module V: On-Site Activities
-------
517
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
4. Is documentation supporting the threshold determination available for review?
5. How much chemical did the facility manufacture, process, or otherwise use during the
reporting year?
6. What was the basis of the estimate for the amount of chemical manufactured, processed,
or otherwise used during the reporting year?
7. Was the reviewer's estimate of the amount of chemical manufactured, processed, or
otherwise used (throughput) recalculated using available documentation or recreated
using other facility data?
Depending on your Region, you may answer this question on site or during the post-
inspection activities. Regardless of when you answer this question, you may need to do
one of the following things:
(i) Recalculate the amount of chemical throughput using the available facility
documentation.
(ii) Recreate the amount of chemical throughput if the facility has no documentation
or if the inspector is aware of additional, more accurate information to use.
If you recalculate or recreate the threshold value, appropriately record any differences
between your calculations and the facility's calculation.
Additionally, you should document if the facility overlooked this chemical and therefore
did not estimate the threshold value. Finally, if you are unable to perform these
calculations, you should document the reason for this.
8. Was a threshold exceeded for this chemical in the reporting year?
9. What was the maximum amount of chemical on site at any time?
Review and document the maximum amount of the chemical on site at any time during
the reporting year, as indicated in the Form R report and/or in facility documentation.
Additionally, you may need to calculate the maximum amount on site. In calculating this
value, consider the amount of chemical in all storage areas, in use at any time, and in each
waste stream. You may need to review inventory records and tour the plant storage areas
to complete these calculations. Also keep in mind that if you are trying to document a
Tier II violation, you may want to use the Tier II data as a general guide to identify high-
use chemicals.
November 2000
LI 2-7
Module V: On-Site Activities
-------
518
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
For an example of calculating the maximum amount of the chemical on-site, please refer
to Page C-3 of the Form R Packet in Attachment 7-1 of this manual.
10. Was the chemical correctly reported or not reported?
In this section, record whether the chemical was correctly reported, or not reported as
follows:
• Correctly Included. The chemical was reported by the facility, is not exempt, and
exceeded the applicable threshold limit.
• Correctly Omitted. The chemical was not reported by the facility and is either
exempt or did not exceed the applicable threshold limit. If this is the answer to
your question, you may omit this chemical from the rest of your considerations.
• Incorrectly Included. The chemical was reported by the facility, but is either
exempt or did not exceed the applicable threshold limit.
• Incorrectly Omitted. The chemical was not reported, but was not exempt and
exceeds the applicable threshold limit.
11. Why was the chemical incorrectly reported?
For this question, record the reason obtained from the review of the facility's
documentation and/or through discussions with the facility officials that most closely
describes why this chemical was reported.
Although the facility was aware that this chemical did not exceed the threshold limit, it
was still reported "to be safe." For example:
• The facility incorrectly assumed a threshold limit was exceeded (did not complete
a calculation).
• The facility misclassified the chemical activity as "otherwise used," when it was
really "processed" or "manufactured."
• The facility made a calculation error while determining the threshold quantity,
which resulted in the chemical exceeding a threshold limit.
• The facility reported the chemical, because a threshold limit was exceeded.
However, all uses of the chemical are exempt, and therefore, nonreportable.
November 2000
LI 2-8
Module V: On-Site Activities
-------
519
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
• Any other reason not previously described.
12. Why was the chemical incorrectly omitted?
Be thorough, but brief, in your descriptions. For any of the above answers, you can begin your
review of the next chemical.
Review of Release Estimation
For this stage of data analysis, you will review the facility's methodology and support
documentation for calculating the release and other waste management activities estimates. This
includes the review of the sources of releases and other waste management activities to ensure
that all sources have been accounted for. The following are questions that will guide you
through this analysis. You may use this information on site or during the post-inspection
activities.
1. Is documentation on release and other waste management activities estimates available
for review?
You must obtain and review the facility's supporting documentation on each release and
other waste management activities estimates available for the chemical in question. If
this is not available, record the reason (as determined through discussions with facility
officials) that describes why the documentation is not available. Reasons may include:
• Documentation cannot be located.
• The facility did not retain documentation.
• The facility overlooked the chemical.
2. If monitoring data were used, are data available for review?
Obtain copies of any monitoring data used to develop the release and other waste
management activities estimates. Note that the facility must use all readily available data
collected to meet other regulatory requirements or as part of routine plant operations for
the toxic chemical. However, the facility is not required to conduct additional monitoring
or measurements of the toxic chemical for the purposes of completing the Form R report.
Also, document the reason if such monitoring data was used but is not available for
review. If monitoring data was available at the facility, but was not used, document what
data was used and why.
November 2000
LI 2-9
Module V: On-Site Activities
-------
520
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
3. If a percent from storm water estimate was reported, are the monitoring data on which the
estimate was based available for review?
Obtain copies of any monitoring data used by the facility to calculate the percent from
storm water estimate (found at Question 5.C of the Form R report). Note that if the
facility has monitoring data on the toxic chemical and the flow rate, such data must be
used to calculate the percent from storm water estimate. In addition, if the facility does
not have periodic measurements of storm water releases of the toxic chemical, but has
submitted chemical-specific monitoring data in permit applications, these data must be
used to calculate the percent from storm water estimate. In this case, obtain copies of the
data used in the permit application. Also document the reason if such monitoring data
was used but is not available for review.
4. If emission factors were used, what is the source of the factors?
Record and document the source of any emission factors used by the facility to calculate
the release estimate. Such factors could be:
• Facility-derived factors
• EPA-published emission factors
• Trade association factors, and so on
Indicate if emission factors were not used.
5. Was each air or waste stream counted only once in the release estimate?
Review the facility's documentation and record whether each air stream or waste stream
that contributed to the release estimates was counted only once. Document any streams
that were double counted. An example of double counting would be reporting releases
that are vented from a spray paint booth as an air stack release as well as building fugitive
emissions.
6. Were all waste streams of the chemical included in the release and other waste
management calculations?
Review the facility's documentation and indicate whether all waste streams containing a
toxic chemical were included in the release and other waste management calculations.
The de minimis exemption applies to ingredients of mixtures or to impurities present hi
products processed or used. However, it does not apply to wastes. Releases and other
waste management quantities must be reported, regardless of the concentration. In
November 2000
L12-10
Module V: On-Site Activities
-------
521
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
addition, when the facility's operations produce (manufacture) the chemical in waste
treatment, the de minimis exemption does not apply.
Also, record if the facility has misinterpreted the de minimis rule and did not include
waste streams with less than 1 percent of the chemical. If this is not the reason, explain
the reason that most describes why such waste streams were not included.
7. Was on-site treatment of this chemical included in release and other waste management
estimates?
Review the facility's documentation and record whether on-site treatment of the chemical
is included in the facility's release and other waste management activity calculations. All
on-site treatment processes must be included in these calculations. These processes
would include:
• Air emissions treatment
• Biological treatment
• Chemical treatment
• Incineration/thermal treatment
• Physical treatment
• Solidification/stabilization
• Other (specify)
If the facility did not include on-site treatment in its estimate, determine (through
discussions with facility officials) and document why such treatment was not included.
8. If sequential treatment was reported, was the efficiency based on overall treatment?
Document whether the facility used overall treatment efficiency for any sequential
treatment that was reported. Sequential treatment refers to several individual treatment
steps used in a series to treat the toxic chemical. When the facility has sequential
treatment, it should use the overall treatment efficiency in its release and other waste
management calculations.
November 2000
L12-11
Module V: On-Site Activities
-------
522
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
The treatment efficiency (expressed as percent removal):
• Represents the mass or weight percentage of chemical destroyed or removed, not
merely changes in volume or concentration of the chemical in the waste stream.
• Only refers to the percent destruction, degradation, conversion, or removal of the listed
toxic chemical from the waste stream, not the percent conversion or removal of other
wastewater constituents that may occur together with the listed chemical.
9. Were treatment efficiencies used consistent with vendor specification or EPA-published
efficiencies?
Review and document whether treatment efficiencies used by the facility were consistent
with vendor specifications or with EPA-published values. The efficiencies reported on
the facility's Form R report should be compared to literature values before the inspection,
if possible. Discuss any identified inconsistencies with facility officials during the
inspection, document the reason for such discrepancies, and record whether the facility
used treatment efficiencies in the release determination in Section 6.0 of the checklist.
Sources of Chemical Releases and Transfers
Under EPCRA Section 313, the facility is required to account for the aggregate releases and
other waste management quantities of the toxic chemical to the environment for the reporting
year. The facility is not required to count as releases and other waste management quantities of a
toxic chemical lost as a result of natural weathering or corrosion, normal/natural degradation of a
product, or normal migration of a chemical from a product. This applies only off site. If a
product is allowed to cure on site, these losses need to be accounted for. An example of this
would be Styrofoam production.)
Releases and other waste management activities to media that must be included in release
calculations are as follows:
• Fugitive or Nonpoint Air Emissions. This includes all releases to air that are not released
through stacks, vents, ducts, pipes, or any other confined air stream.
• Stack or Point Air Emissions. This includes all releases to air that are released through
stacks, vents, ducts, pipes, or any other confined air stream.
November 2000
L12-12
Module V: On-Site Activities
-------
523
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
• Discharges to Receiving Streams or Water Bodies. This includes releases from the
facility to each receiving stream or water body. It does not include discharges to POTWs
or other off-site wastewater treatment systems.
• Underground Injection. This includes the injection of the toxic chemical into all wells.
• Releases to Land On Site. There are four subcategories for reporting quantities of the
chemical released to land within the boundaries of the facility. These categories include:
Landfill
Land treatment/application farming
Surface impoundment
Other disposal (such as spills or leaks of the chemical to land).
Discharges to POTWs. This includes discharges to sewer lines that ultimately go to
wastewater treatment plants.
Off-Site Transfers. The off-site transfer consists of the total quantity of chemical sent
offsite for waste management activities.
For each release and other waste management medium, indicate whether the source of release
and other waste management was:
• Yes - Considered in the estimate
No - Not considered in the estimate
N/A - Not present at the facility for the chemical and medium.
November 2000
L12-13
Module V: On-Site Activities
-------
524
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
Errors commonly made by facilities in the preparation of the release and other waste
management activity estimate include:
Error: Not reporting materials being transferred off site for recycling, reuse, or
resource recovery
Reason: Materials being sent off site for recycling or reuse are not considered waste
management activities.
Error: Reporting zero air emissions for VOCs
Reason: VOCs are chemicals that readily evaporate at room temperature and therefore
will evaporate when present in an open tank or painting or degreasing
operation.
Error: Reporting discharges of mineral acids after neutralization
Reason: A mineral acid stream neutralized to a pH of 6 or above is considered to be
100 percent neutralized. Such a discharge may be reported as zero acid
released.
Error: Incorrectly identifying/reporting fugitive and stack emissions
Reason: Fugitive and stack emissions must be reported separately as releases to air.
Error: Reporting total metallic compound as a release
Reason: Facilities should only report the metallic portion of the metal compounds as
release and other waste management quantities. For example, if the
compound is lead sulfate, only the quantity of lead released or involved in
other waste management activities should be reported.
Summary of Release Estimates/Transfers
This section will provide a method for summarizing both the reviewer's and the facility's release
and other waste management activity estimates for each medium and the methods used to
estimate each. When entering the release and other waste management estimate for a particular
medium, sum each occurrence of the release and other waste management activity type. For
example, the facility may release a chemical to two or more receiving streams. The amount in
each stream should be added, and the total should be recorded. The following is an explanation
of the proposed process:
November 2000
L12-14
Module V: On-Site Activities
-------
525
EPCRA Section 313
Inspector Training Manual Lesson 12: Data Quality Inspections
Step 1: Estimate Facility's Release and Other Waste Management Quantities. Document the
facility's release and other waste management quantities estimates reported on Form R for each
medium. If the facility did not report a release or other waste management quantities, consider it
to be zero.
Step 2: Identify the Method(s') Used by the Facility to Estimate its Releases and Other Waste
Management Quantities. Document the methods that were actually used by the facility to
estimate each release and other waste management quantities. The methods may not necessarily
be what the facility reported on the Form R chemical report. The types of methods that can be
used include:
• Monitoring Data. The estimate is based on monitoring data or on measurements for the
toxic chemical as released to the environment and/or off-site facility.
• Mass Balance. The estimate is based on mass balance calculations, such as a calculation
of the amount of the toxic chemical in streams entering and leaving process equipment.
• Emission Factors. The estimate is based on published chemical-specific emission factors,
such as those relating release quantity to throughput.
• Engineering Judgment. The estimate is based on engineering calculations (such as,
estimating volatilization using published mathematical formulas) or best engineering
judgment. This includes applying an estimated removal efficiency to a wastestream, even
if the composition of the stream before treatment was fully characterized by monitoring
data.
Step 3: Indicate Whether the Facility Chose the Best Method. Based on Data Available to the
Facility. After reviewing the facility's documentation for this release and other waste
management activity estimates, record whether the facility used the best method for determining
the release, keeping in mind the four primary methods listed above. Decide whether one method
is better than another, and if it is necessary to evaluate the type and quality of data available to
the facility at the time of reporting. For example, if a facility used engineering judgment but had
very good monitoring data for the toxic chemical, the facility should have used the monitoring
data. If the facility used the best method based on available data, the inspector should proceed to
Step 6.
Step 4: Identify the Method Producing a More Accurate Release and Other Waste Management
Activity. Record the method that would produce the most accurate release and other waste
management activity based on the data available to the facility. Be sure to thoroughly document
your selection.
November 2000 LI2-15 Module V: On-Site Activities
-------
526
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
Step 5: Identify the Reviewer's Release and Other Waste Management Activity Estimate Using
the Preferred MethodfsX Using the preferred method stated in Question 3, calculate a new
release and other waste management activity estimate for the facility. Be sure to document all of
your calculations.
Step 6: Enter the Reviewer's Release jmd Other Waste Management Activity Estimate Using the
Same Method(s) as the Facility. Using the same method as the facility, recalculate the release
and other waste management activity estimates and record your answer. Be sure to calculate the
estimates appropriately, avoiding the common problems previously noted. If the facility had no
documentation and you are unable to recreate the estimate, consider this aspect to be
"Unknown."
Calculations Summary
In summary, the three primary types of calculations that you will review are:
• Threshold determination
• Maximum amount on site
• Release and other waste management activity estimation
In general, for all the above calculations, document all your assumptions and record and
document the basis for any conclusions that the facility's reported release and other waste
management activity is accurate or inaccurate. This is necessary so that a second reviewer, not
necessarily familiar with the facility, should be able to recreate the calculations.
Reasons for Reporting Errors/Data Discrepancies
A number of items contribute to differences in the amount of reported releases and other waste
management activity from one year to another. These changes can be attributed to:
• Reporting errors caused by a lack of understanding in:
Reporting requirements
Calculation errors
Personnel changes
• Data discrepancies caused by:
Process modifications
Production changes
November 2000
L12-16
Module V: On-Site Activities
-------
527
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
Product substitution
Product elimination
In some cases, significant reductions in releases and other waste management activity quantities
result from the implementation of pollution prevention activities.
Some reasons for potential data quality errors, which should be kept in mind as you move
through the on-site phase of the data quality inspection, are described as follows:
• Technical Contact. Changes in technical contact personnel have led to errors or
inconsistent reporting. Often, the new technical contact may not be familiar with the
reporting requirements and therefore must go through a learning process.
• Administrative Errors. The most common errors involve entry of information on the
Form R (such as, calculation of releases and other waste management activity quantities
and threshold determination errors). Although data may have been correctly collected by
a facility, the data were incorrectly transferred onto the form or were entered in the wrong
section of the form.
• Data/Calculation Errors. Common calculation errors occur when a facility records the
entire weight of a chemical in a mixture instead of just the weight of the chemical itself,
or a facility includes the amount of a chemical purchased in a calendar year rather than
the amount used. Threshold determination errors include incorrectly interpreting
threshold definitions for manufactured, processed, or otherwise used activity categories.
Some reasons for significant changes in amounts of chemicals used or amounts of chemicals
released and otherwise managed as wastes are described as follows:
• Process Change. Several process changes may be observed during the site visits. With
the emphasis shifting from pollution control to pollution prevention, facilities are
attempting to decrease the amount of EPCRA Section 313 chemicals used in their
processes.
• Housekeeping. Some facilities may be able to decrease the amount of EPCRA
Section 313 chemicals used by incorporating simple housekeeping practices (such as,
adding cooling coils on a vapor degreaser and keeping the cover closed when it is not in
use).
November 2000
L12-17
Module V: On-Site Activities
-------
528
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
Product Substitution/Elimination. The substitution of less toxic or hazardous chemicals
for EPCRA Section 313 chemicals, or the total elimination of EPCRA Section 313
chemicals, may have many economic and environmental benefits, including:
Economic benefits
Reduction of raw material costs
Decrease in transport, treatment, and disposal costs
Reduction of insurance liability through a safer work environment
Environmental benefits
Reduction in potentially harmful effects to the environment and public health
Protection of worker health: An example of such benefits would be a large
manufacturing facility that installed a powder paint system, thus reducing its
overall usage of common paint-carrying solvents, such as xylene, toluene,
methyl ethyl ketone, and n-butyl alcohol.
Production Changes. In some years, facilities have been affected by a weakened
economy, which has led to decreased production and a reduction in raw material usage.
Because of production slowdowns, some facilities may not meet the reporting thresholds.
REVIEW
There are three activity categories for EPCRA Section 313 chemicals:
• Manufacture
Process
• Otherwise use
There are a number of different calculations you will be reviewing during the EPCRA
Section 313 data quality inspection. While doing so, you will be specifically looking for:
• Threshold determination
• Release and other waste management calculations
• Sources of chemical releases and other waste management activities
• Reasons for data discrepancies/reporting errors
November 2000
L12-18
Module V: On-Site Activities
-------
529
EPCRA Section 313
Inspector Training Manual Lesson 12: Data Quality Inspections
When reviewing the threshold determination, you must bear in mind the exempt uses of
chemicals. The exemptions are as follows:
• De minimis
* Laboratory activities
• Otherwise use exemption
• Article exemption
•
Coal extraction activities
• Metal mining overburden exemption
EXERCISE
Turn to Attachments 12-1 and 12-2. Read the instructions and complete the checklist in
Attachment 12-2 to the best of your ability. You have approximately 20 minutes to complete this
exercise. Be prepared to discuss your results with the class. The answer to this exercise is
provided in Attachment 12-3.
SUMMARY
The first half of this lesson has provided you with the information you will need to look for while
walking through the three step on-site data quality inspection process. The remainder of this
lesson focused upon the different ways in which a chemical may be used at a facility and the
different manipulations of the chemical data that are necessary to determine if a facility is in
compliance. As you have realized, to perform a thorough and accurate data quality inspection,
you will need to feel confident in drawing upon your knowledge and/or past experience in the
field or industry in question.
November 2000 L12-19 Module V: On-Site Activities
-------
530
EPCRA Section 313
Inspector Training Manual
Lesson 12: Data Quality Inspections
REVIEW QUESTIONS
See Attachment 12-4 for the answers to the following review questions.
1. Name and describe briefly the three steps involved in an on-site data quality inspection.
What are the three activity categories you need to be concerned with in an EPCRA
Section 313 inspection?
During the data quality inspection, what are the primary concerns you should focus on
during your inspection?
4. What are the releases to media that must be included in release calculations?
November 2000
LI 2-20
Module V: On-Site Activities
-------
531
ATTACHMENT 12-1
LESSON 12 EXERCISE:
CASE STUDY
(One Page)
-------
532
-------
533
Lesson 12 Exercise:
Case Study
INSTRUCTIONS:
Using the Section 3.0 Review Threshold Determination worksheets in
Attachment 12-2, read the information in the passage below, and complete
the checklist to the best of your ability. You may want to open the Interim
Final EPCRA Section 313 Data Quality Inspection Manual, and refer to
the appropriate facility profile at the end of the manual.
You are inspecting the Krude Oil Petroleum Company for possible data quality violations. In
preparing for the visit, you receive the Form Rs filed by the facility. Based on your experience,
you are puzzled because the Form R does not indicate two chemicals common to most refineries.
One is diethanolamine used in natural gas sweetening and the other is sulfuric acid.
During the facility tour, you notice bulk storage of sulfuric acid but no indications of
diethanolamine. In subsequent conversations, it was determined that the feed stock for the
refinery contained no natural gas. However, the Environmental Manager stated that a small
amount of acid was used for neutralization of column bottoms. You ask to review the facility's
purchase and inventory records. After reviewing the records, you determine that the "small"
amount of 60 Baume used for neutralization of column bottoms was actually over
186,000 pounds for the calendar year. You also realize the facility did not report its usage of
60 Baume on the Form R. When questioned about this, the Environmental Manager replied, "I
didn't realize we used that quantity of 60 Baume at the facility."
L12-A1-1
-------
534
-------
535
ATTACHMENT 12-2
LESSON 12 EXERCISE:
SECTION 3.0 REVIEW THRESHOLD DETERMINATION
WORKSHEETS
(Six Pages)
-------
536
-------
537
Lesson 12 Exercise;
Section 3.0 Review Threshold Determination Worksheets
Chemical Name: _
1 . How is this chemical employed at the facility? (Check all that apply.)
Manufacture
a. Import/produce for on-site use/processing
b. Import/produce for sale/distribution ............... CD
c. Byproduct of process ....................... HD
d. Byproduct of waste treatment .................. d
e. Impurity3 (% = _ ) ........................ D
f. Purchased in tank truck ...................... CH
Process
g. Chemical reactant (raw materials, intermediates, etc.) ...... D
h. Formulation component ..................... D
i. Article component ........................ tH
j. Repackage ............................ d
Otherwise Use
k. Chemical processing aid (added to reaction mixture) ...... D
1. Manufacturing aid (process lubricants, coolants, etc.) ...... D
m. Ancillary use (cleaners, degreasers, lubricants) ......... D
If impurity is present below de minimis concentrations (0.1 percent for carcinogens, 1.0 percent
for .all others), it is exempt from reporting.
L12-A2-1
-------
538
Exempt Uses
n. Laboratory chemical D
o. Structural component D
p. Routine janitorial/facility grounds maintenance D
q. Personal employee use D
r. Motor vehicle maintenance D
s. Intake water component D
t. Contained in an article D
2. Was the chemical reported by the facility?
YES.... D NO.... D (Ifyes, skip to Q. 3.)
2.1 If no, why did the facility decide this chemical was not reportable?
a. Below threshold D
b. Exempt use D
c. Overlooked chemical altogether CD
d. Other (specify) D
3. Is chemical exempt from reporting?
YES....
NO.
(If yes, skip to Q.IO.)
L12-A2-2
-------
539
4. Is documentation supporting the threshold determination available for review?
YES.... D NO.... D (Ifyes, stop to Q.5.)
4.1 If no, why not?
a. Documentation cannot be located D
b. Documentation was not retained by facility ED
c. Facility unaware that documentation is required d
d. Facility did not monitor the consumption of the chemical . . . . d
5. What was the basis of estimate used by the facility for the amount manufactured,
processed, or otherwise used during the reporting year? (Check all that apply.)
a. Purchase/inventory records d
b. Emission factors LJ
c. Mass balance CH
d. Assumed threshold exceeded (no calculations completed). . . . D
e. Process recipes D
f. Monitoring data D
g. Production data D
h. Other (specify) D
L12-A2-3
-------
540
6. How much chemical did the facility manufacture, process, or otherwise use during the
reporting year?4
a.
Manufactured Q
Ibs
b. Processed LJ
c. Otherwise used CI
d. Facility did not estimate these quantities D
e. Reviewer unable to estimate quantities D
7. Was the reviewer's estimate of the amount of chemical manufactured, processed, or
otherwise used recalculated using available documentation or recreated using other
facility data?
a. Recalculated, within a factor of 2 D
b. Recalculated, within a factor of 10 D
c. Recalculated, greater than a factor of 10 d
d. Recreated, within a factor of 2 d
e. Recreated, within a factor of 10 D
Ibs
Ibs
f. Recreated, greater than a factor of 10 HH
g. Facility did not estimate these quantities HI
h. Reviewer unable to estimate quantities5 HI
Record calculations and assumptions for the threshold determination on the worksheet in Section
6.0.
Document why you are unable to estimate chemical quantities for the reporting year on the
threshold determination worksheet in Section 6.0.
L12-A2-4
-------
541
8. Was a threshold exceeded for this chemical in the reporting year?
YES
NO
Cannot be determined
(This chemical should have been reported Continue)
(This chemical should not have been reported Skip to
Q.10.)
(Skip to next chemical.)
9. What is the maximum amount of this chemical on-site at any time?6
a. Maximum on-site . . . Ibs
10. This chemical was:
a. Correctly included
b. Correctly omitted
c. Incorrectly included
d. Incorrectly omitted
(If checked skip Section.)
D (If checked skip to next chemical.)
D (If checked skip to Q.I I.)
(If checked, skip to Q.I2.)
Record calculations and assumptions for the maximum on-site quantity on the worksheet in
Section 6.0.
L12-A2-5
-------
542
11. Why was this chemical incorrectly included?
a. Facility reported, although amount used was below threshold .... D
b. Facility incorrectly assumed threshold was exceeded D
c. Chemical activity was misclassified D
d. Threshold quantity was miscalculated d
e. Chemical was exempt CD
f. Other (specify) d
(Skip to next chemical)
12. Why was this chemical incorrectly omitted?
a. Chemical activity was overlooked d
b. Chemical activity was misclassified D
c.. Threshold quantity was miscalculated D
d.
Other (specify) D
L12-A2-6
-------
543
ATTACHMENT 12-3
ANSWER TO LESSON 12 EXERCISE:
COMPLETED SECTION 3.0 REVIEW THRESHOLD
DETERMINATION WORKSHEETS
(Six Pages)
-------
544
-------
545
Answer to Lesson 12 Exercise:
Completed Section 3.0 Review Threshold Determination Worksheets
INSTRUCTOR NOTE: Instruct the students to use the information given in the case study
to complete their checklist. Below is the answer key to the
checklist. After the class has completed their own copy, compare
and discuss their answers to those marked here.
Chemical Name: 60 Baume
1. How is this chemical employed at the facility? (Check all that apply.)
Manufacture
a. Import/produce for on-site use/processing D
b. Import/produce for sale/distribution Q
c. Byproduct of process D
d. Byproduct of waste treatment D
e. Impurity3(% = ) D
f. Purchased in tank truck X
Process
g. Chemical reactant (raw materials, intermediates, etc.) D
h. Formulation component ED
i. Article component D
j. Repackage D
Otherwise Use
k. Chemical processing aid (added to reaction mixture) CH
1. Manufacturing aid (process lubricants, coolants, etc.) D
m. Ancillary use (cleaners, degreasers, lubricants) X
If impurity is present below de minimis concentrations (0.1 percent for carcinogens, 1.0 percent
for all others), it is exempt from reporting.
L12-A3-1
-------
546
Exempt Uses
n. Laboratory chemical D
o. Structural component EH
p. Routine janitorial/facility grounds maintenance D
q. Personal employee use D
r. Motor vehicle maintenance D
s. Intake water component ED
t. Contained in an article CD
2. Was the chemical reported by the facility?
YES.... D NO.... X (Ifyes, skip to Q. 3.)
2.1 If no, why did the facility decide this chemical was not reportable?
a. Below threshold D
b. Exempt use D
c. Overlooked chemical altogether X
d. Other (specify) HH
3. Is chemical exempt from reporting?
YES....
NO....
(If yes, skip toO. 10.)
L12-A3-2
-------
547
4. Is documentation supporting the threshold determination available for review?
YES.... C
4.1 If no, why not?
NO.... X (If yes, skip to Q.5.)
a. Documentation cannot be located
5.
b. Documentation was not retained by facility ........... D
c. Facility unaware that documentation is required ........ CD
d. Facility did not monitor the consumption of the chemical .... X
What was the basis of estimate used by the facility for the amount manufactured,
processed, or otherwise used during the reporting year? (Check all that apply.)
a.
Purchase/inventory records ................... X
b. Emission factors
c.
Mass balance ........................... CH
d. Assumed threshold exceeded (no calculations completed) . . . . D
e.
Process recipes CH
f. Monitoring data
g. Production data
h. Other (specify) D
L12-A3-3
-------
548
6. How much chemical did the facility manufacture, process, or otherwise use during the
reporting year?4
a.
Manufactured D
Ibs
b. Processed D
c. Otherwise used X 186.000 Ibs
d. Facility did not estimate these quantities D
e. Reviewer unable to estimate quantities d
7. Was the reviewer's estimate of the amount of chemical manufactured, processed, or
otherwise used recalculated using available documentation or recreated using other
facility data?
a. Recalculated, within a factor of 2 D
b. Recalculated, within a factor of 10 D
c. Recalculated, greater than a factor of 10 D
d. Recreated, within a factor of 2 D
e. Recreated, within a factor of 10 D
f. Recreated, greater than a factor of 10 D
g. Facility did not estimate these quantities X
h. Reviewer unable to estimate quantities5 D
Ibs
4 Record calculations and assumptions for the threshold determination on the worksheet in Section
6.0.
5 Document why you are unable to estimate chemical quantities for the reporting year on the
threshold determination worksheet in Section 6.0.
L12-A3-4
-------
549
8. Was a threshold exceeded for this chemical in the reporting year?
YES .... X (This chemical should have been reported Continue)
NO D (This chemical should not have been reported Skip to
Q.10.)
Cannot be determined D (Skip to next chemical.)
9. What is the maximum amount of this chemical on-site at any time?6
a. Maximum on-site . . . 50,000 Ibs
10. This chemical was:
a. Correctly included
b. Correctly omitted
c. Incorrectly included
d. Incorrectly omitted
D (If checked, skip Section.)
D (If checked, skip to next chemical.)
D (If checked, skip to Q.ll.)
X (If checked, skip to Q.I2.)
Record calculations and assumptions for the maximum on-site quantity on the worksheet in
Section 6.0.
L12-A3-5
-------
550
11. Why was this chemical incorrectly included?
a. Facility reported, although amount used was below threshold .... D
b. Facility incorrectly assumed threshold was exceeded D
c. Chemical activity was misclassified
d. Threshold quantity was miscalculated ................ CD
e. Chemical was exempt
f.
Other (specify) ............................ CD
(Skip to next chemical)
12. Why was this chemical incorrectly omitted?
a. Chemical activity was overlooked X
b. Chemical activity was misclassified D
c. Threshold quantity was miscalculated D
d.
Other (specify) D
L12-A3-6
-------
551
ATTACHMENT 12-4
ANSWERS TO LESSON 12
REVIEW QUESTIONS
(Two Pages)
-------
552
-------
553
ANSWERS TO LESSON 12
REVIEW QUESTIONS
Name and describe briefly the three steps involved in an on-site data quality inspection.
Step 1: Discussion with Facility Officials
Before beginning the facility tour, you will review all processes with the facility
representative, and discuss any changes that have occurred in the reporting year. This
will be your opportunity to ask questions regarding specific data quality issues in the
facility's reporting. Ask the questions you have developed during the pre-inspection
review of the facility's Form R reports.
Step 2: Chemical Identification
Initially, you will look for every chemical present on the facility, whether it is on the
EPCRA Section 313 chemical list or not. You will need to document them as follows:
Form R Chemical
Listed Section 313 Chemical
Reported but not listed as a Section 313 Chemical
• Undocumented Chemical Identified by the Inspector
• Other Documented Chemicals
Mixture
Step 3: Facility Tour
During the tour of the facility, focus on areas in which EPCRA Section 313 chemicals are
used in process lines and treatment areas. If possible, try to either sketch process
diagram(s) of what you observed during the tour or obtain them from the facility if they
are available.
What are the three activity categories you need to be concerned with in an EPCRA
Section 313 inspection?
Manufacture, Process, or Otherwise Used
During the data quality inspection, what are the primary concerns you should focus on
during your inspection?
• Threshold Determination
• Release Estimation
Sources for Releases and Transfers
• Reasons for Data Discrepancies and General Reporting Errors
L12-A4-1
-------
554
4. What are the releases to media that must be included in release calculations?
• Fugitive or Nonpoint Air Emissions
• Stack or Point Air Emissions
• Discharges to Receiving Streams or Water Bodies
• Underground Injection
• Releases to Land On Site
Discharges to POTWs
• Off-site Transfers
L12-A4-2
-------
556
Lesson 13
Closing Conference
-------
557
-------
558
EPCRA Section 313
Inspector Training Manual
Lesson 13: Closing Conference
TABLE OF CONTENTS
LESSON 13: CLOSING CONFERENCE
INTRODUCTION L13-1
Purpose L13-1
Objective L13-1
INSPECTION CLOSING CONFERENCE L13-1
Inspection Wrap-up L13-1
Inspection Findings L13-2
PROPRIETARY INFORMATION L13-3
OUTREACH ACTIVITIES L13-3
EXERCISE L13-4
SUMMARY LI 3-4
REVIEW QUESTIONS L13-4
ATTACHMENTS
13-1 EPA SMALL BUSINESS RESOURCES INFORMATION SHEET L13-A1-1
13-2 LESSON 13 EXERCISE: CLOSING CONFERENCE CASE STUDY L13-A2-1
13-3 ANSWERS TO LESSON 13 EXERCISE: CLOSING CONFERENCE
CASE STUDY
L13-A3-1
13-4 ANSWERS TO LESSON 13 REVIEW QUESTIONS L13-A4-1
November 2000
L13-i
Module V: On-Site Activities
-------
559
-------
560
EPCRA Section 313
Inspector Training Manual
Lesson 13: Closing Conference
INTRODUCTION
Purpose
The closing conference with facility officials allows you the opportunity to "wrap up" an
inspection. At this time, you should prepare and present to the facility officials any remaining
receipts for documents. Also, resolve information gaps by obtaining either the necessary
information or a written agreement with the facility that the information will be forthcoming.
Ask any final questions and provide the facility officials with the opportunity to ask any final
questions of you. This lesson provides guidance for issues that may arise during the closing
conference (such as, the facility's compliance status, facility questions, confidentiality claims,
and compliance outreach).
Objective
• Given an inspection assignment, conduct closing conference activities.
INSPECTION CLOSING CONFERENCE
Inspection Wrap-up
The closing conference allows you to wrap up any loose ends that were generated by the pre-
inspection activities and/or the actual EPCRA Section 313 inspection. For example, one of the
objectives of the closing conference is to resolve remaining information gaps. During your pre-
inspection activities, you developed a list of questions for the on-site facility inspection. This is
your opportunity to ensure that all your initial concerns have been either clarified or verified
through your inspection activities. If these concerns have not been eliminated, or if you have
found new sources of potential violations during your inspection, you may need additional
information from the facility to complete your analysis during the post-inspection activities.
Take this time to identify the remaining information (facility records and/or other
documentation) you need to complete the inspection. Then you can arrange to either:
Obtain the information while on site.
• Arrange with the facility to have the information sent to your office.
November 2000
L13-1
Module V: On-Site Activities
-------
561
EPCRA Section 313
Inspector Training Manual
Lesson 13: Closing Conference
This is also the last opportunity, while on site, for a "question/answer" period. The facility
officials will often have questions for you about the inspection you just completed. For example,
one of the first questions is likely to be, "Did you find any violations?" or "Are we in trouble?"
Guidance on how to handle these kinds of questions are in a later section of this lesson.
Inspection Findings
Summarizing the inspection findings in an objective and factual manner is one of the most
important steps in concluding the inspection. This will provide you with an adequate response if
facility officials ask if any violations were found. You may choose to point out various items
that facility officials might want to address in the future. However, EPA inspectors are never
authorized to say that EPCRA Section 313 violations were or were not present during the
inspection. At most, you may communicate that there were areas of possible concern or that no
major problems were "readily apparent." However, always emphasize that you do not make the
decision on whether a violation exists.
There are several reasons why the inspector should not offer conclusions regarding the facility's
compliance status, even if it appears to be complete and final. These are:
• You have not had time to conduct a complete analysis. For example, you have not had
time to reflect upon and correlate all the data you have collected or observed.
A case development officer has not yet analyzed the inspection report. Any conclusion
you draw may prove to be unfounded and could compromise later compliance decisions.
• EPA-administered statutes and regulations usually do not lend themselves to simple or
quick assessments.
• The inspection findings may represent only a portion of a larger enforcement case that is
on-going, of which you may not be fully aware.
• Final judgments on statutory violations are the province of EPA's enforcement attorneys.
Additionally, if the facility is informed later that the inspection substantiated a violation, and you
had stated previously that there were no violations when you left the premises, the facility may
question the final assessment.
During the closing conference, facility officials may assert that they have the right to see or to
copy notes that you made during your inspection. EPA does not permit the EPCRA Section 313
inspector to show inspection notes to facility representatives or to copy the inspection notes
collected during the inspection. Although the facility may submit a Freedom of Information Act
request, there is no guarantee that they will receive the notes.
November 2000
LI 3-2
Module V: On-Site Activities
-------
562
EPCRA Section 313
Inspector Training Manual
Lesson 13: Closing Conference
PROPRIETARY INFORMATION
During the inspection, the facility may have declared some of the information to be proprietary
or confidential. These claims should be confirmed with facility officials and documented by a
facility representative. NCSC employees should be aware that, pending congressional
legislation, they are not allowed to see TSCA CBI.
When facility officials review the completed Receipt for Samples (if prepared, as discussed in
Lesson 8), they may decide to make further claims. Check Regional policies for information on
what to do when encountering proprietary information at a facility.
OUTREACH ACTIVITIES
You are often the only contact between EPA and the regulated industries, so be aware when
opportunities arise to promote compliance with EPA regulations. Before conducting an
inspection, check with your Regional management on whether there is any Regional policy or
guidance on providing technical, compliance, or pollution prevention assistance during the
inspection. If allowed, the closing conference provides a potential opportunity to educate facility
officials. This could involve advising facilities of assistance that is available from EPA, State
and local programs, and/or trade organizations in the form of compliance assistance centers on
the Internet, guidance and technical documents, and pollution prevention resources. For a list of
recommended EPCRA Section 313 background sources, refer to EPA's Internet site for TRI
information, http://www.epa.gov/tri. The information sheet in Attachment 13-1 identifies EPA
compliance assistance tools and resources that are available specifically for small businesses.
On the other hand, be careful to answer only those questions that are within your ability or
authority. Never recommend that a particular step be taken to address a problem. If your advice
proves to be wrong, and if the facility is later found to be in noncompliance, EPA's ability to
pursue an enforcement action may be jeopardized. It is generally advisable to limit your role to
providing or suggesting resources that are available for facility officials to use to answer
questions or help solve problems (such as, technical publications and special services). You may
also be able to refer questions and problems to other EPA personnel, as needed. Follow up with
those personnel, when practical, to see that facility officials receive a response. The bottom line
is that you will need to assess, on a case-by-case basis, whether on-site compliance assistance is
appropriate and if so, to what degree.
November 2000
L13-3
Module V: On-Site Activities
-------
EPCRA Section 313
Inspector Training Manual
563
Lesson 13: Closing Conference
EXERCISE
Read the Closing Conference case study (see Attachment 13-2). You have 10 minutes to read the
case study and follow the instructions provided. The remainder of the lesson will be spent
discussing the results from the study. The answer to the case study is provided in
Attachment 13-3.
SUMMARY
This lesson addressed the issues involved in conducting the closing conference. As an inspector,
you must be prepared to handle situations involving questions and/or demands from facility
officials regarding the results of your inspection, confidentiality claims, and understanding the
importance of your role in outreach activities. You may find yourself in any number of difficult
situations. However, with the guidelines presented here, along with experience, you will be able
to handle any events that may arise while on site.
REVIEW QUESTIONS
The following questions are designed to assess your comprehension of the lesson. The answers
to these questions are found in Attachment 13-4.
1. What are some of the reasons you should not offer conclusions regarding the facility's
compliance status while on site?
2. What is the difference in authority between NCSC employees and Federal EPA
inspectors regarding confidentiality claims?
November 2000
L13-4
Module V: On-Site Activities
-------
EPCRA Section 313
Inspector Training Manual
564
Lesson 13: Closing Conference
3. What are some of the reasons that compliance assistance or outreach activities are an
important part of an EPCRA Section 313 inspector's duties?
November 2000
L13-5
Module V: On-Site Activities
-------
565
-------
566
ATTACHMENT 13-1
EPA SMALL BUSINESS RESOURCES
INFORMATION SHEET
(Two Pages)
-------
567
-------
568
vyEPA
United States
Environmental Protection
Agency
'Office of Enforcement and Compliance Assurance (2201 A)
EPA 300-F-99-004 September 1999
Office of Enforcement and Compliance Assurance
INFORMATION SHEET
U.S. EPA Small Business Resources
If you own a small business, the United States Environmental Protection Agency (EPA) offers
a variety of compliance assistance and tools to assist you in complying with federal and State
environmental laws. These resources can help you understand your environmental obligations,
improve compliance and find cost-effective ways to comply through the use of pollution prevention
and other innovative technologies.
EPA Websites
EPA has several Internet sites that provide useful
compliance assistance information and materials for
small businesses. Many public libraries provide ac-
cess to the Internet at minimal or no cost.
EPA's Small Business Home Page (http://
www.epa.gov/sbo) is a good place to start because it
links with many other related websites. Other useful
websites include:
EPA's Home Page
http://www.epa.gov
Small Business Assistance Programs
http://www.epa.gov/ttn/sbap
Compliance Assistance Home Page
http://www.epa.gov/oeca/oc
Office of Site Remediation Enforcement
http://www.epa.gov/oeca/osre
Hotlines, Helplines and
Clearinghouses
EPA sponsors approximately 89 free hotlines and
clearinghouses that provide convenient assistance
on environmental requirements.
EPA's Small Business Ombudsman Hotline can pro-
vide a list of all the hot lines and assist in determining
the hotline best meeting your needs. Key hotlines
include:
EPA's Small Business Ombudsman
(800) 368-5888
Hazardous Waste/Underground Tanks/
Superfund
(800) 424-9346
National Response Center
(to report oil and hazardous substance spills)
(800) 424-8802
Toxics Substances and Asbestos information
(202) 554-1404
Safe Drinking Water
(800) 426-4791
Stratospheric Ozone and Refrigerants
Information
(800) 296-1996
Clean Air Technical Center
(919) 541-0800
Wetlands Hotline
(800) 832-7828
Continued on back
Office of Regulatory Enforcement Website: http://www.epa.gov/oeca/ore.html
L13-A1-1
-------
569
U.S. EPA SMALL BUSINESS RESOURCES
Compliance Assistance Centers
In partnership with industry, universities, and other
federal and state agencies, EPA has established na-
tional Compliance Assistance Centers that provide
Internet and laxback" assistance services for sev-
eral industries with many small businesses. The fol-
lowing Compliance Assistance Centers can be ac-
cessed by calling the phone numbers below and at
their respective websites:
Metal Finishing
(1-800-AT-NMFRC orwww.nmfrc.org)
Printing
(1-888-USPNEAC or www.pneac.org)
Automotive Service and Repair
(1-888-GRN-LINK or www.ccar-greenlink.org)
Agriculture
(1-888-663-2155 or www.epa.gov/oeca/ag)
Printed Wiring Board Manufacturing
(1-734-995-4911 orwww.pwbrc.org)
The Chemical Industry
(1-800-672-6048 or www.chemalliance.org)
The Transportation Industry
(1-888-459-0656 or www.transource.org)
The Paints and Coatings Center
(1-800-286-6372 or www.paintcenter.org)
State Agencies
Many state agencies have established compliance as-
sistance programs that provide on-srte and other types
of assistance. Contact your local state environmental
agency for more information. For assistance in reach-
ing state agencies, call EPA's Small Business Ombuds-
man at (800)-368-5888 or visit the Small Business En-
vironmental Homepage at http://www.smallbiz-
enviroweb.org/state.htmL
Compliance Incentives
EPA provides incentives for environmental compli-
ance. By participating in compliance assistance pro-
grams or voluntarily disclosing and promptly correct-
ing violations, businesses may be eligible for penalty
waivers or reductions. EPA has two policies that po-
tentially apply to small businesses: The Audit Policy
(http://www.epa.gov/oeca/auditpoLhtmi) and the Small
Business Policy (http://www.epa.gov/oeca/
smbusi.html). These do not apply if an enforcement
action has already been initiated.
Commenting on Federal Enforcement
Actions and Compliance Activities
The Small Business Regulatory Enforcement Fairness
Act (SBREFA) established an ombudsman ("SBREFA
Ombudsman") and 10 Regional Fairness Boards to re-
ceive comments from small businesses about federal
agency enforcement actions. The SBREFA Ombuds-
man will annually rate each agency's responsiveness
to small businesses. If you believe that you fall within
the Small Business Administration's definition of a small
business (based on your Standard Industrial Code (SIC)
designation, number of employees or annual receipts,
defined at 13 C.F.R. 121.201; in most cases, this means
a business with 500 or fewer employees), and wish to
comment on federal enforcement and compliance ac-
tivities, call the SBREFA Ombudsman's toil-free num-
ber at 1-888-REG-FAIR (1-688-734-3247).
Your Duty to Comply
If you receive compliance assistance or submit com-
ments to the SBREFA Ombudsman or Regional Fair-
ness Boards, you still have the duty to comply with
the law, including providing timely responses to EPA
information requests, administrative or civil complaints,
other enforcement actions or communications. The
assistance information and comment processes do
not give you any new rights or defenses in any en-
forcement action. These processes also do not af-
fect EPA's obligation to protect public health or the
environment under any of the environmental statutes
it enforces, including the right to take emergency re-
medial or emergency response actions when appro-
priate. Those decisions will be based on the facts in
each situation. The SBREFA Ombudsman and Fair-
ness Boards do not participate in resolving EPA's en-
forcement actions. Also, remember that to preserve
your rights, you need to comply with all rules govern-
ing the enforcement process.
EPA is disseminating this information to you
without making a determination that your
business or organization is a small business
as defined by Section 222 of the Small
Business Regulatory Enforcement Fairness
Act (SBREFA) or related provisions.
L13-A1-2
-------
570
ATTACHMENT 13-2
LESSON 13 EXERCISE:
CLOSING CONFERENCE CASE STUDY
(Two Pages)
-------
571
-------
572
Lesson 13 Exercise:
Closing Conference Case Study
INSTRUCTIONS:
The following passage describes a scenario of a closing conference for an
EPCRA Section 313 inspection. Read the case study, then identify
examples of required closing conference procedures, and list which were,
or were not, conducted correctly. Write all possible answers in the space
provided on the next page.
The following is a dialog between Mr. Finks, the EPCRA Section 313 inspector (an NCSC
employee), and Ms. Bates, Bates & Sons, Inc., the facility official who sanctioned the data
quality EPCRA Section 313 inspection of the facility. Mr. Finks has just completed his
inspection and is preparing to leave the facility. The conversation is as follows:
Mr. Finks: Well, Ms. Bates, I believe I'm finished with everything I need to do here today. I
appreciate your cooperation throughout this inspection.
Ms. Bates: Well, I appreciate your efforts to make this a relatively painless procedure. We've
never been inspected before under Section 313. Is there anything that I should be
aware of that you discovered during your investigation?
Mr. Finks: Here. This is a list of potential background sources about the legislation, if you
have any additional questions. I suggest you read these and follow their
directions if you want to be sure to stay out of trouble. I need to receive some
additional information which I've identified here on the Receipt for Samples.
Could you have this sent to me?
Ms. Bates: Uh, sure, I'll gather and mail it to you tomorrow, but some of this documentation
is sort of, well, sensitive or confidential.
Mr. Finks: Oh, that's not a problem. I'll make sure it is handled properly. You just sign the
bottom of the receipt, and I'll take care of the rest.
Ms. Bates: Is there anything else I should be aware of ?
Mr. Finks: Although I don't have the final say in these compliance decisions, I wouldn't
worry about it. Everything looks pretty good. Again, thanks for your time.
Ms. Bates: Okay, when can we expect to hear from you again?
Mr. Finks: Oh, some time soon. Goodbye.
L13-A2-1
-------
573
In the space below, write down examples of closing procedures that were used incorrectly in the
case study. Then write down examples of closing procedures that were used correctly.
L13-A2-2
-------
574
ATTACHMENT 13-3
ANSWERS TO LESSON 13 EXERCISE:
CLOSING CONFERENCE CASE STUDY
(One Page)
-------
575
-------
576
Answer to Lesson 13 Exercise:
Closing Conference Case Study
INSTRUCTIONS:
After the class has read the case study and listed their correct and incorrect
procedures, have the class discuss their answers aloud. Provide them with
any answers they may have missed. Emphasize to the class that these are
possible answers based on this particular scenario and may not reflect
actual events.
Incorrect Procedures
1. Mr. Finks was relatively cavalier about conducting his outreach activities. This was
obviously a new experience for Bates & Sons, Inc. Minimally, he should have indicated
that the outreach information he provided may need to be tailored to meet the specific
needs of the company. Simply doing what the information says will not guarantee
compliance with EPCRA Section 313.
2. Mr. Finks made a judgement about the status of the compliance of the facility when he
said, "Everything looks pretty good." It was outside his authority to make this
determination.
3. Mr. Finks did not allow Ms. Bates an opportunity to ask any questions she may have had
about the rest of his procedures, although she was obviously interested.
4. Mr. Finks did not provide satisfactory responses to the questions she did manage to ask.
For example, in response to her inquiry into when she would receive further information,
Mr. Fink nonchalantly responded, "Sometime soon."
Correct Procedures
I. Mr. Fink did conduct a closing conference.
2. Mr. Finks conducted outreach activities by recommending a list of background sources
about EPCRA Section 313.
3. Mr. Finks arranged to receive additional information from the facility.
L13-A3-1
-------
577
-------
578
ATTACHMENT 13-4
ANSWERS TO LESSON 13 REVIEW QUESTIONS
(One Page)
-------
579
-------
580
ANSWERS TO LESSON 13
REVIEW QUESTIONS
What are some of the reasons you should not offer conclusions regarding the facility's
compliance status while on site ?
You have not had time to conduct a complete and comprehensive analysis.
• A case development officer has not yet analyzed the inspection report. Any
conclusion you draw may prove to be unfounded and could compromise later
compliance decisions.
* EPA-administered statutes and regulations do not usually lend themselves to
simple or quick assessments.
• The inspection findings may represent only a portion of a larger enforcement case,
about which you may not have complete information.
• If the facility is informed later that the inspection substantiated a violation, and
you had stated previously that there were no violations when you left the
premises, the facility may question the final assessment.
Final judgments on statutory violations are the province of the EPA's enforcement
attorneys.
What is the difference in authority between NCSC employees and Federal EPA
inspectors regarding confidentiality claims?
NCSC employees are not allowed to view TSCA CBI.
What are some of the reasons that compliance assistance or outreach activities are an
important part of an EPCRA Section 313 inspector's duties?
An EPCRA inspector may be well positioned to convey information about the
regulations and how they impact a particular facility.
• An inspector can raise the facility's awareness of EPCRA Section 313.
Having just completed an inspection of the facility, an inspector can provide
firsthand insight into specific areas of compliance concerns.
L13-A4-1
-------
581
-------
582
EPCRA SECTION 313
INSPECTOR TRAINING MANUAL
Module VI
Post-Inspection
Activities
-------
583
-------
584
EPCRA Section 313
Inspector Training Manual
MODULE OBJECTIVES
At the end of this module, students will be trained to:
• Identify appropriate follow-up activities.
• Distinguish between acceptable and unacceptable reports, according to the criteria
listed in the Interim Final EPCRA Section 313 Data Quality Inspection Manual.
CONTENTS
Module VI contains:
Lesson 14: Follow-up Activities
Lesson 15: Report Writing
November 2000
Vl-i
Module VI: Post-Inspection Activities
-------
585
-------
587
Lesson 14
Follow-up Activities
-------
588
-------
589
EPCRA Section 313
Inspector Training Manual
Lesson 14: Follow-up Activities
TABLE OF CONTENTS
LESSON 14: FOLLOW-UP ACTIVITIES
INTRODUCTION L14-1
Purpose L14-1
Objectives L14-1
CONDUCTING FOLLOW-UP ACTIVITIES L14-1
Documentation Review L14-2
Additional Information Requests L14-3
Data Analysis L14-4
Recalculations L14-4
EXERCISE L14-5
SUMMARY L14-5
REVIEW QUESTIONS L14-5
ATTACHMENTS
14-1 LESSON 14 EXERCISE: FOLLOW-UP ACTIVITIES L14-A1-1
14-2 ANSWER TO LESSON 14 EXERCISE: FOLLOW-UP ACTIVITIES L14-A2-1
14-3 MODEL LETTER FOR DETERMINATION THAT FACILITY IS
NOT SUBJECT TO EPCRA SECTION 313
L14-A3-1
14-4 ANSWERS TO LESSON 14 REVIEW QUESTIONS L14-A4-1
November 2000
L14-i
Module VI: Post-Inspection Activities
-------
590
-------
591
EPCRA Section 313
Inspector Training Manual
Lesson 14: Follow-up Activities
INTRODUCTION
Purpose
There are three components to the post-inspection phase. As an EPCRA Section 313 inspector,
you will be responsible for two of those components: inspection follow-up and writing the
inspection report. The third component is case development, which is usually handled by a Case
Development Officer (CDO). Effective case development is dependent on many aspects of the
inspection process. However, it is your thorough analysis of the documentation collected and
writing an effective inspection report that enables and supports effective case development of
suspected EPCRA Section 313 violators. This lesson specifically focuses on the review of
inspection documentation, analysis of that documentation, and how to fill in any remaining
information gaps before you begin writing your inspection report.
Objectives
• Discuss appropriate follow-up activities.
• Given a scenario, conduct follow-up activities.
CONDUCTING FOLLOW-UP ACTIVITIES
The effectiveness of a EPCRA Section 313 non/late reporter and data quality inspection is
dependent on many factors, including:
• Thoroughness of inspection
• Evidence collected during targeting, pre-inspection, and on-site inspection
Cooperation from the inspected facility
However, critical to the success of the entire inspection process, are the two components that
directly follow the inspection itself:
• Conducting follow-up activities helps to ensure that any outstanding questions or data
discrepancies are answered and resolved and contribute to a more detailed and thorough
inspection report.
November 2000
L14-1
Module VI: Post-Inspection Activities
-------
592
EPCRA Section 313
Inspector Training Manual
Lesson 14: Follow-up Activities
• Preparing an inspection report that clearly states the inspection findings. This report will
aid CDOs in making informed enforcement decisions.
The four major steps in follow-up activities are:
» Documentation Review
• Additional Information Requests
• Data Analysis
• Recalculations
Although a clear and concise inspection report is a necessary document for EPA to support
enforcement action against facility violations, the follow-up activities that precede the inspection
report are critical for establishing the facts for that document. Your thorough review and
analysis of documentation collected during the targeting, pre-inspection preparation, and on-site
phases of the inspection process are the precursor to preparing an effective and enforceable
inspection report. Your review and analysis will determine discrepancies in the facility's reports
or establish the facility's need to report.
Additionally, analysis will identify any information gaps or processes you will need to verify by
either contacting the facility, or conducting additional research to fill in the absent or unclear
data. The following sections will present you with the recommended activities involved in
conducting effective follow-up activities.
Documentation Review
Before analyzing the inspection data, you should thoroughly review the information collected
during all previous phases of the EPCRA Section 313 inspection process. Take note of any
obvious data discrepancies or gaps in knowledge, inspection processes, or timelines. To find
these gaps and discrepancies, examine the following materials:
« Field notebooks
Checklists
• Facility documents
• Completed inspection forms
• NOIs and Receipts for Samples and Documents
November 2000
LI 4-2
Module VI: Post-Inspection Activities
-------
593
EPCRA Section 313
Inspector Training Manual Lesson 14: Follow-up Activities
• Sketches of flow diagrams and process lines
Statements by facility officials
When you discover gaps in your data that will affect your analysis, contact the facility and
request the additional information or documentation you need.
Additional Information Requests
If you discover gaps or discrepancies that could affect the quality of the inspection report, the
information needed to fill those gaps may be requested from the facility by:
• Telephone call
• Written request with an attached return timeframe (usually 30 days)
• Follow-up visit
Telephone Call. The easiest way to request additional information and documentation is to call
the designated contact official at the facility and request it. Provide the official with a list of the
documents you need and request that they be sent to you within a thirty-day timeframe. It is a
good idea to keep a log of your telephone communications that includes the person you spoke
with, the date, and a brief description of the conversation. This information will become part of
the inspection report. In some cases, the information you need can be obtained verbally.
Whether you need written documentation of this information is left up to your judgment. That
determination should be based on the importance of the information and its relationship to the
enforcement of a violation. Telephoning the facility directly is generally the quickest way to
obtain additional information.
Written Request. A written request serves the same purpose as a telephone call. However, it is a
more formal way of requesting information and may be the most appropriate method of contact if
the inspection process had been tense or uncooperative. A defined timeframe should also be
included when requesting additional information and documentation by mail. Consider that
writing to the facility usually takes longer than a request by telephone.
Follow-Up Visits. Additional visits to a facility are rare. However, if the information you need
can only be obtained through observation, scheduling another visit is appropriate. This method
should be avoided when at all possible, because it is time-consuming and again interrupts the
facility's daily operation.
Subsequent contact with a facility can be used not only as a means to obtain remaining relevant
inspection documents, but also as an opportunity to answer any outstanding questions that the
November2000 LI 4-3 Module VI: Post-Inspection Activities
-------
594
EPCRA Section 313
Inspector Training Manual
Lesson 14: Follow-up Activities
facility might have regarding your inspection. This will help build rapport with facility officials.
However, do not forget that your main focus is obtaining the necessary information that will fill
in the existing information gaps that you identified from the material already obtained from EPA
records and/or the facility.
In actuality, the closing conference is the best time to request additional information from the
facility; however, most discrepancies and information gaps are identified once you begin
reviewing and analyzing the inspection data.
Data Analysis
Once you have gathered all of the necessary documentation, it is time to start analyzing the data.
There are a couple of different methods of analysis that are used. The first is to compare the
documentation gathered during the pre-inspection phase to the information collected during the
on-site inspection. This will isolate any reporting discrepancies, as well as identify chemicals
that should have been reported to the EPA, but were not. There should be a Form R for every
EPCRA Section 313 chemical that exceeds the threshold criteria. Additionally, you should have
information on the facility processes. The second method is to recalculate all threshold
determinations and release and other waste management activity quantities estimations, compare
them to the data collected during the facility tour, and then compare them to the releases reported
on the Form R.
Recalculations
There are two areas in which you may need to perform recalculations:
• Threshold determination
Release and other waste management activity quantity estimation
There are several different ways that a facility can miscalculate their threshold determinations
and four different ways they can calculate their release estimations (see Lesson 12). These
calculations can take time that is not always available during the on-site inspection. Sometimes
you will need to recalculate an estimate using all four methods for release estimations to
determine if the facility used the correct method.
Because time on site is limited, it is easier to perform your recalculations during the follow-up
activities. This ensures that they are analyzed carefully and that you will not be rushed. Also,
you then have the opportunity to compare your calculations with what was reported on the
Form Rs submitted by the facility to the EPA.
November 2000
LI 4-4
Module VI: Post-Inspection Activities
-------
EPCRA Section 313
Inspector Training Manual
595
Lesson 14: Follow-up Activities
EXERCISE
Refer to Attachment 14-1 in your manual. The objective of the exercise is to determine if
additional information or documentation is needed to prepare an effective inspection report.
Also, if additional information is needed, determine what in particular is required and determine
how you will go about getting it. You have 15 minutes individually or as a group to review and
analyze the data. Then write down your determinations and method for obtaining the needed
information. Finally, determine what you will do if the facility does not respond to your request.
Refer to Attachment 14-2 for possible answers to this exercise.
SUMMARY
This lesson presented the activities that are necessary for you to conduct after an on-site
inspection has been completed. These follow-up activities are extremely important, because this
is your opportunity to analyze the documentation collected. This is what becomes the basis for
the inspection report, which supports possible enforcement against a facility. Keep in mind that
there may be rare situations where, after conducting an inspection and follow-up activities, EPA
concludes that a facility is not subject to the EPCRA Section 313 reporting requirements (see
Attachment 14-3 for a model letter developed by Region 10 for this situation).
REVIEW QUESTIONS
The answers to these review questions may be found in Attachment 14-4.
1. What are two of the most critical components of the inspection process?
November 2000
LI 4-5
Module VI: Post-Inspection Activities
-------
EPCRA Section 313
Inspector Training Manual
596
Lesson 14: Follow-up Activities
2. What are the main purposes of documentation review?
3. What are the three ways in which to contact the facility?
4. Of the three methods of contact, which is used the most and why? Which is used the
least and why?
What is the objective of data analysis?
Why is it more efficient to perform recalculations of threshold determinations and release
estimations during follow-up activities?
November 2000
LI 4-6
Module VI: Post-Inspection Activities
-------
597
ATTACHMENT 14-1
LESSON 14 EXERCISE:
FOLLOW-UP ACTIVITIES
(Two Pages)
-------
598
-------
599
Lesson 14 Exercise:
Follow-up Activities
INSTRUCTIONS: Read the following scenario carefully. Inspect the list of documents and
information collected by the inspector up to this point. You are to
identify gaps in the information and determine whether or not you require
additional information and/or documentation. If further contact with the
facility is required, based on your needs, determine the most appropriate
way to obtain the additional materials, and be prepared to explain why
you made that choice.
You are an EPCRA Section 313 inspector who has recently finished an on-site inspection at
Zeus, Inc. This is a medium-sized furniture manufacturing facility located on the Chester River
on the eastern shore of Maryland. The facility was reported to you by local fishermen who work
the river and have observed a slight increase in the number of dead fish in the area, but more
importantly, in their catches, they have noticed that some of the fish have an unusual color. The
fishermen are not sure, but they suspect that Zeus could be illegally dumping materials into the
Chester River.
Once you received this tip/complaint, you proceeded by conducting the facility research involved
in targeting and pre-inspection activities. EPA records show that Zeus, Inc., because of its SIC
classification, has been subject to EPCRA Section 313 reporting for the past five years.
Additionally, EPA records indicate that Zeus, Inc. has submitted Form Rs on all of the EPCRA
Section 313 chemicals used during each of those years. The EPA has never suspected the
company of a violation based on those reports.
Two weeks prior to your inspection, you called to inform Zeus of your intentions to inspect their
facility and to try and set up a convenient time to do so. The facility official was very pleasant
and helpful in making the arrangements.
At the time the inspection arrangements were made, you, a Federal inspector, were the only
inspector scheduled to arrive at the facility. However, on the day of the inspection, your
supervisor requested that Harry, a new, uncredentialed NCSC employee, accompany you. Your
supervisor thought that since the inspection was generated from a tip/complaint, that it would be
a good experience for the NCSC employee to observe.
When you arrive at the facility, the friendly official is not quite as happy to see you and your
companion. He is reluctant to let you or Harry in because of Harry's not yet official status. After
a twenty minute explanation of Harry's role in the inspection, the facility official consents to the
inspection, but is still a little miffed.
You proceed with your opening conference and facility tour activities as with other inspections.
L14-A1-1
-------
600
Listed below are the documents that you collected during the targeting, pre-inspection, and on-
site phases.
Targeting
Pre-inspection
On-Site
TRIS printout
County Business
Patterns
Form Rs from the
most current year and
previous reporting
years
Facility's compliance
history
Other EPA Program
reports (e.g., TSCA,
Emergency Response
Notification System
[ERNS])
Operating Permits
Form Rs dating back
three years
Process flow
diagram(s)
Waste treatment and
pollution control
devices
Storage practices
Housekeeping
practices
L14-A1-2
-------
601
ATTACHMENT 14-2
ANSWER TO LESSON 14 EXERCISE:
FOLLOW-UP ACTIVITIES
(One Page)
-------
602
-------
603
Answer to Lesson 14 Exercise:
Follow-up Activities
INSTRUCTOR NOTE:
Below are possible, but not all potential answers for this exercise.
Point out additional correct answers that may be discovered.
Possible Answers
Pre-Inspection:
Past and present operations and production levels
General facility information
Physical layout of facility
Tier I & II Reports
On-site:
• Disposal methods
Uses of each EPCRA Section 313 chemical
The inspector should contact the facility by phone and request the information. Because the
facility official remained cooperative throughout the inspection, he will most likely be helpful
when contacted again. There is no need to visit the facility again.
L14-A2-1
-------
604
-------
605
ATTACHMENT 14-3
MODEL LETTER FOR DETERMINATION
THAT FACILITY IS
NOT SUBJECT TO EPCRA SECTION 313
(One Page)
-------
606
-------
607
Reply to
Attn Of:
WCM-128
date
Dear
Environmental Protection
" at
, State
This concerns the DATE
Agency (EPA) inspection performed by Mr.
Inc., City
This inspection was carried out to determine compliance with the Toxic
Chemical Release Inventory Reporting regulations adopted by EPA pursuant to
Section 313 of the Emergency Planning and Community Right-to-Know Act of
1986.
Based on a review of the documentation and information that your firm
provided during/after this inspection, your facility appears not to be
subject to the Section 313 annual release reporting requirements under 40
C.F.R. Part 372 for calendar years 199 through 19 .
However, your facility may be subject to the reporting requirements
for future years, depending on activity and level of production and
employment. Therefore, you should ensure that you are familiar with these
requirements and consult with us if you have any questions.
Please note that all records which you provided during the inspection
will be kept on file in this office. Thank you for your cooperation.
Sincerely,
Christina Colt
Program Manager
Toxics Release Inventory
L14-A3-1
-------
608
-------
609
ATTACHMENT 14-4
ANSWERS TO LESSON 14
REVIEW QUESTIONS
(Two Pages)
-------
610
-------
611
ANSWERS TO LESSON 14 REVIEW QUESTIONS
What are two of the most critical components of the inspection process?
• Follow-up activities
• Writing of the inspection report
What are the main purposes of documentation review?
• To identify any obvious information gaps in data collected throughout the
inspection process
To note any potential errors that may result in data quality or non/Iate reporter
violations
What are the three ways in which to contact the facility?
• Telephone call
• In writing, specifying a return timeframe for the information
• Additional on-site visit
Of the three methods of contact, which is used the most and why? Which is used the
least and why?
• The telephone call is the quickest method of obtaining additional documentation,
because often, information only needs to be clarified. The telephone call is the
most productive means of getting the information if additional documents must be
collected and a good rapport has been established with facility officials.
• The least frequently used method is the additional on-site visit. In general, the
first on-site visit is sufficient for observing the facility's processes; however, there
are occasions where an additional visit may be the only solution to filling your
information gaps. This method is also the most time-consuming and expensive of
the three.
What is the objective of data analysis?
To compare and contrast all of the inspection data and outline that data so it can be
presented objectively in the written inspection report.
L14-A4-1
-------
612
6. Why is it more efficient to perform recalculations of threshold determinations and release
estimations during follow-up activities?
Recalculations can be time-consuming, and you only have a limited amount of time while
onsite.
L14-A4-2
-------
616
EPCRA Section 313
Inspector Training Manual Lesson 15: Report Writing
TABLE OF CONTENTS
LESSON 15: REPORT WRITING
INTRODUCTION L15-1
Purpose L15-1
Objective L15-1
ELEMENTS OF AN EPCRA SECTION 313 INSPECTION REPORT LI5-1
Title Page L15-1
Index L15-2
Facility Information L15-2
Inspection Information L15-2
Evidence and Exhibits L15-3
Summary LI5-3
ESSENTIAL CHARACTERISTICS OF AN INSPECTION REPORT LI5-4
Fairness L15-4
Accuracy L15-4
Completeness L15-4
Conciseness L15-5
Clarity L15-6
Organization L15-6
REVIEW L15-7
EXERCISE 1 L15-7
WRITING AN EPCRA SECTION 313 INSPECTION REPORT L15-8
Organizing the Writing Process L15-8
Developing a Narrative Report Outline L15-9
PROCESS FOR SUBMISSION OF REPORT L15-11
November 2000 L15 -i Module VI: Post-Inspection Activities
-------
617
EPCRA Section 313
Inspector Training Manual
Lesson 15: Report Writing
TABLE OF CONTENTS (Continued)
REVIEW L15-12
EXERCISE 2 L15-13
SUMMARY L15-13
ATTACHMENT
15-1 LESSON 15 EXERCISES 1 AND 2: SAMPLE INSPECTION REPORTS ... L15-A1-1
November 2000
Module VI: Post-Inspection Activities
-------
618
EPCRA Section 313
Inspector Training Manual
Lesson 15: Report Writing
INTRODUCTION
Purpose
This lesson will enable you to write an inspection report that is accurate, objective, and relevant.
It will also enable you to identify acceptable and unacceptable characteristics of an inspection
report. The purpose of an inspection report is to present a complete and factual account of the
inspection process. An effectively prepared report will ultimately save time for you and the
CDO. If the report is not complete and factual, time may be wasted gathering supplemental
information. The report also provides a permanent record of the results of the inspection.
Your inspection is not finished until the report is complete. Additionally, unless the report is
prepared timely, objectively, and accurately, it may not be adequate to either refresh your
memory or save as admissible evidence in court.
Objective
• Given examples of inspection reports, distinguish between acceptable and unacceptable
reports according to the criteria listed in the Interim Final EPCRA Section 313 Data
Quality Inspection Manual.
ELEMENTS OF AN EPCRA
SECTION 313 INSPECTION
It is suggested that the following information should be included in every inspection report to
ensure that the CDO will have all of the information necessary to make the correct enforcement
decision.
Title Page
The title page should include:
The name and address of the facility inspected
• The date the report was written
• The name of the inspector(s) writing the report
November 2000
L15-1
Module VI: Post-Inspection Activities
-------
EPCRA Section 313
Inspector Training Manual
619
Lesson 15: Report Writing
Index
The index should list all of the major portions of the report and the page on which they appear.
Facility Information
The section containing information about the facility should include:
• Company name, address, and telephone number
• Parent company name and address (if applicable)
• Primary SIC code and D&B number
• Type of facility
• Number of employees
• Threshold quantities of listed EPCRA Section 313 chemicals
• History of violations/receipts of NONs, NOSE, and/or NOTEs
Inspection Information
This is the narrative portion of the report. The narrative report should be a concise, factual
summary of observations and activities. It should be organized in a logical, legible manner and
supported by specific references to accompanying evidence. Specific steps for writing the
narrative portion of the inspection report will be discussed later in the section of this lesson
entitled, "Writing an EPCRA Section 313 Inspection Report."
The information to be included in the narrative section includes:
• Inspector name
• Date of notification
• Date, time, and type of EPCRA Section 313 inspection
• Accountable facility official's name, title, and phone number
• Other contributing facility representatives
November 2000
LI 5-2
Module VI: Post-Inspection Activities
-------
EPCRA Section 313 62°
Inspector Training Manual Lesson 15: Report Writing
^r • Reason for inspection
• Physical and operational description of facility
Compliance with entry and inspection procedures
• Chronology of actions during the inspection
• Factual observations
• Deviations from the inspection plan, if any
Evidence and Exhibits
All evidence and exhibits are to be referenced and explained in the narrative portion of the report.
Evidence would include:
• Notification letter, if used
NOI
• Receipt for Samples and Documents
• Inspection plan and inspection checklist
• Facility documentation supporting an estimate of releases and other waste management
quantities
• Process flow diagrams
Summary
The summary of the report should include:
• Type of inspection conducted
• Priorities of the inspection
• Preliminary identification of potential violations
Although the lists above are ideal, the information may not always be available. However,
the following list is what information the CDO must have minimally:
November 2000 L15-3 Module VI: Post-Inspection Activities
-------
EPCRA Section 313
Inspector Training Manual
621
Lesson 15: Report Writing
Number of employees
SIC code
Sales information for the reporting year in question
Pounds/year of each Section 313 chemical
How the chemical is manufactured, processed, or otherwise used
Filed/reported or not reported
ESSENTIAL CHARACTERISTICS
OF AN INSPECTION REPORT
The characteristics of an inspection report are:
Fairness
An inspection report must be entirely objective, impartial, unbiased, and unemotional. Avoid
distortion by being aware of the emotional tone of words. For example, compare "planning" and
"scheming." Do not include rumors or gossip unless it is relevant to the inspection and is clearly
identified as hearsay. Do not mention a person's race, religion, or political persuasion unless it is
material and relevant.
An effective way of conveying facts without distortion is to put them in the words of the witness
(for example, John Jones said, "I saw. . . "). Be sure to quote exactly.
Accuracy
Be exact and avoid exaggerations. Omit opinions, conclusions, and inferences. For example, do
not state that something was obvious; just state the facts. Report facts clearly so that no
interpretation is necessary and do not allow inferences to replace facts. Avoid superlatives, such
as "most," "best," "worst," and "very. " Accuracy means truthfulness. An exaggeration, opinion,
or any other inaccuracy found in the report will cast doubt on the accuracy and objectivity of the
entire report.
November 2000
L15-4
Module VI: Post-Inspection Activities
-------
EPCRA Section 313 622
Inspector Training Manual Lesson 15: Report Writing
Completeness
Include all information that is relevant and material. All known facts and details should be
reported, either in the narrative report or in an exhibit, so that no further explanation is needed.
Include in the narrative report only those parts of exhibits that are material to the inspection and
give the reader a complete understanding of the compliance matter involved. For example, if
you have a statement that is five pages long, and the relevant information is on page two, just
reference page two as the exhibit.
Always report the source of evidence. Explain how an interviewee acquired the knowledge you
are reporting and how you obtained the information.
Submit original or duplicate copies of statements, affidavits, correspondence, and other
documents as exhibits to the narrative report. Consecutively number exhibits in the order they
are mentioned in the narrative report. If duplicates, make sure that they are legible to the CDO.
Test the report for completeness by ensuring that it answers the questions who, what, when,
where, and why.
• Who - Identify all individuals, the first time they are mentioned in the report, by their
first, middle, and last names, as well as by a brief descriptive phrase.
• What - Clearly present what happened, not what could have happened, or what someone
thought might have happened.
• How - Clearly indicate how it happened.
• When - Clearly state the order of occurrences, accompanied by the date and time of the
occurrence. It is better to put the time and date first or last in a sentence, not in the
middle, to attract more attention.
• Where - Identify the location of the occurrence clearly so that no confusion or
misinterpretation is possible.
• Why - Present the facts that impact the issue of intent with clarity so that there is no need
for conclusions or opinions within the report.
Conciseness
Avoid all words and phrases that are elaborate or not essential, but do not omit facts, details, and
necessary explanations. Use short sentences and brief paragraphs. Utilize tables for describing a
group of items having similar characteristics. Write plainly and use active verbs whenever
possible. Avoid repeating the same material in several sections of the report.
November 2000 L15-5 Module VI: Post-Inspection Activities
-------
EPCRA Section 313
Inspector Training Manual
623
Lesson 15: Report Writing
Clarity
Write the report clearly to avoid misinterpretation. Whenever possible, use quantitative rather
than qualitative descriptions. Each sentence, paragraph, and division must represent a unit of
thought.
Avoid the use of the pronoun "it" and the word "there" as substitutes for a precise word selection.
For example, state that "changes have been made" instead of "there have been changes. " Use
specific and concrete statements instead of general or abstract expressions. An example of this
would be: "I saw three men dumping a yellow liquid into the sewer in the northeast comer of the
property," instead of, "I saw some guys dumping stuff."
Repeat a word or phrase if doing so is necessary for clarity. Remember that the purpose of a
report is to communicate clearly, not to entertain. For example, use "The facility official signed
the Notice of Inspection and the Receipt for Samples. The Notice of Inspection was completed
appropriately, but not without discussion," instead of, "The facility official signed the Notice of
Inspection and the Receipt for Samples. It was completed appropriately, but not without
discussion."
Punctuate to make the meaning easy to understand. For example, note the difference between the
following sentences:
• The supervisor said the employee is a blockhead.
• The supervisor said, "The employee is a blockhead."
* "The supervisor," said the employee, "is a blockhead."
Finally, include diagrams and maps in notes and the final report when they help to clarify your
observations.
Organization
Structure the report to allow logical order and coherence in the presentation of facts. Relate each
event to the main idea and to the events immediately preceding it in the report.
Emphasize important facts and events through careful selection and placement of words, phrases,
and paragraphs. Do not insert comments to give emphasis. For example, emphasize a sentence
by indentation or by making it a separate paragraph. Emphasize a paragraph by leaving margins
wider than those of other paragraphs. Emphasize important names, words, or phrases by
capitalizing or underlining them. Use these techniques sparingly; otherwise the emphasis is lost.
November 2000
L15-6
Module VI: Post-Inspection Activities
-------
EPCRA Section 313 624
Inspector Training Manual Lesson 15: Report Writing
REVIEW
The basic elements of an inspection report are:
Title page
• Index
• Facility information
• Inspection information
• Evidence and exhibits
• Summary
The essential characteristics of an inspection report are:
• Fairness
• Accuracy
• Completeness
• Conciseness
Clarity
• Organization
EXERCISE 1
Review sample EPCRA inspection reports included as Attachment 15-1. Compare actual reports
to the criteria for reports identified in this lesson. Identify which reports are acceptable and/or
unacceptable according to the report criteria. Also identify if there are any particular strengths
and weaknesses in the writeups. Discuss your findings with the group.
November 2000 L15-7 Module VI: Post-Inspection Activities
-------
EPCRA Section 313
Inspector Training Manual
625
Lesson 15: Report Writing
WRITING AN EPCRA SECTION 313
INSPECTION REPORT
Organizing the Writing Process
The following are steps for developing a report. Think of the word POWER when writing a
report: Plan, Organize, Write, Evaluate, Rewrite.
Pjan. The first step in writing your report is to determine your objective. In other words, what is
the purpose of the report?
Prepare a detailed topic outline, including a brief reference to each supporting exhibit. Such an
outline reduces the chance of omitting necessary facts, assists in recognizing irrelevant details,
and assists in achieving a logical arrangement.
Organize. Arrange the supporting materials (field notes, checklists, statements, and so on) in the
order of the topic outline. From this material, refine the topic outline and build the body of the
report.
Write. Refer to your office's directives and official sample reports to determine the format for
the report. Be willing to revise the topic outline to improve structure and clarity.
Use a simple writing style. Use an active, rather than passive approach (for example, "He said
that. . . " rather than "It was said. . . "). Keep paragraphs brief and to the point Avoid
repetition of ideas.
Evaluate. Analyze the report from the perspective of the CDO and answer the following
questions:
• What is the report trying to communicate?
• Has it fulfilled the purpose of the inspection?
Can reviewers make correct decisions based on this report?
• Does it answer the questions who, what, when, where, why, and how?
• Are any further inquiries necessary?
• Is it readable?
November 2000
LI 5-8
Module VI: Post-Inspection Activities
-------
EPCRA Section 313 626
Inspector Training Manual Lesson 15: Report Writing
• Is it fair, concise, complete, accurate, and logical?
• Is any part ambiguous?
• Does it provide a sound basis for legal action?
Also, proofread the report for inconsistency, repetition, inappropriate tone, omission of important
information, and typographical errors.
You may want to put the report aside and review it yourself after a day or two, or you may
choose to have a colleague review the report.
Rewrite. Rewrite or revise the portions of the report that do not answer the questions used in the
evaluation.
Developing a Narrative Report Outline
The narrative report outline consists of the following components:
Introduction
• Inspection activities
Attachments
While the specific information will vary, the following outline can be adapted to most report
writing situations.
Introduction. Briefly present all relevant background information about the inspection and
summarize the findings of the inspection in the introduction.
• General Information
State the purpose of the inspection and why the facility is being inspected (that is,
data quality or non/late reporter) and state the facts of the inspection, including the
date, time, location, and so on.
Introduce the EPCRA Section 313 and facility participants in the inspection.
Include the complete name and a brief descriptive phrase about each person's role.
November 2000 L15-9 Module VI: Post-Inspection Activities
-------
EPCRA Section 313
Inspector Training Manual
627
Lesson 15: Report Writing
• History of Facility
Give the size of the organization based on your observation or EPA records. List
any related firms, subsidiaries, branches, and so on. List the type of operations
performed at the facility. List the names and titles of facility officials interviewed
and the name(s) of the official(s) responsible for day-to-day operations at the
facility.
• Summary of Findings
Give a brief, factual summary of the inspection findings.
Inspection Activities. Present the chronology of the inspection in the same order the inspection
was conducted. Include all observations and cover the following topics. (Note: If standard
operating procedures had been followed precisely, note in the report that standard operating
procedures were followed. You do not have to explain the details of each activity, unless an
unusual circumstance or deviation from procedure occurred.)
Inspection activities include the following:
Entry/Opening Conference
Describe the procedures used, and any special problems or observations.
Summarize the topics discussed.
Records
List the types of records reviewed, noting the reasons for their review and
referencing documents that were borrowed or copied. Describe any inadequacies
in recordkeeping procedures, or if any information was unavailable or incomplete.
Evidence Collection
Note and reference statements taken during the inspection. Describe and
reference photographs taken during the inspection if they were relevant to
possible discrepancies. Reference any drawings, maps, charts, process flow
diagrams, or other documents made or taken during an inspection.
November 2000
L15-10
Module VI: Post-Inspection Activities
-------
EPCRA Section 313 628
Inspector Training Manual Lesson 15: Report Writing
• Physical Samples
Describe the purpose for which any samples were obtained. Include the exact
location from which they were obtained, the sampling techniques used, and the
exact amount of the material collected.
• Closing Conference
Note and reference receipts for samples and documents given to facility officials.
Note any recommendations, referrals, and so on made to facility officials.
• Follow-up Activities
Give a description of any follow-up activities performed and document them as
you would in the original inspection.
Attachments. Attach supporting information to the report to ensure that the CDO has all of the
necessary data to completely evaluate the compliance situation. Reference all attachments in the
body of the report.
• Index of Attachments
Prepare an index of all documents, photographs, and other supporting information
to be attached to the report.
• Documents
Attach copies of all documents and other evidence collected during the inspection.
This would include the checklists, statements, photographs, and so on, collected
during the inspection and referenced in the narrative portion of the report. Clearly
identify all documents. Substitute descriptive information in cases where
documentary support items cannot be easily included.
PROCESS FOR SUBMISSION OF REPORT
Once the report has been developed, it should be reviewed by the EPCRA Section 313
coordinator (or equivalent) from your State or Regional office and then forwarded to the CDO.
The CDO will:
• Review the report carefully.
November 2000 L15-11 Module VI: Post-Inspection Activities
-------
EPCRA Section 313
Inspector Training Manual
629
Lesson 15: Report Writing
• Determine if a possible violation exists.
• Draft a complaint.
• Begin to develop a case.
Even though your role in the investigation is technically complete once the report has been filed,
you should remain available to the CDO to provide clarification on technical and logistical
issues, and you should be ready to testify if the case goes to court.
Organize the writing process.
Plan
* Organize
Write
• Evaluate
• Rewrite
Develop a narrative report outline.
• Introduction
General information
Summary of findings
History of facility
• Inspection Activities
Entry/opening conference
Records
Evidence collection
Physical samples
Closing conference
Follow-up activities
REVIEW
November 2000
L15-12
Module VI: Post-Inspection Activities
-------
EPCRA Section 313
Inspector Training Manual
630
Lesson 15: Report Writing
• Attachments
Index of attachments
Documents
Process for submitting the report
EXERCISE 2
Choose one of the sample inspection reports in Attachment 15-1. You have approximately 20
minutes to revise the report to incorporate changes that you think will improve the clarity and
usefulness of the report. Share your rewritten report with the rest of your group.
SUMMARY
The inspection report is the final activity and one of the most critical components of the
inspection process. The report enables the CDO to make informed enforcement decisions.
Therefore, it is imperative that the report is complete and factual and accomplishes the following
goals:
• Contains all of the components of the report, including copies of relevant forms and
documents as appendices, as well as the narrative component of the report referencing
forms and documents
Substantiates each potential violation cited in the report with as much evidence as
possible, while ensuring that any documentation is appended and referenced in the
narrative portion of the report
• Is written in clear and precise language
• Presents factual and accurate information pertaining to all steps of the inspection process
• Makes only those observations that are based on firsthand knowledge of the facility,
because enforcement personnel must be able to depend on the accuracy of all
information.
• Includes only information that is relevant to the facility and its compliance with EPCRA
Section 313.
November 2000
L15-I3
Module VI: Post-Inspection Activities
-------
631
-------
632
ATTACHMENT 15-1
LESSON 15 EXERCISES 1 AND 2:
SAMPLE INSPECTION REPORTS
(7 Pages)
-------
633
-------
634
INSPECTION REPORT
Emergency Planning and Community Right-to-Know Act of 1986
EPCRA Section 313
1. Inspection Identification
Date Inspector^ Time
5/21/99 1500 10:30a.m.
2. Facility Name:
Aunt Bea's Dairy Farms
3. SIC Code: 2026
Number of Employees: 100
Annual Sales: 10 million dollars
Inspection Notification Date: 5/10/99
4. Facility Address: Main Street
Anywhere USA
5. Date Prepared: 6/10/99, 7/14/99
Inspection Targeting
In the late summer/early fall of 1998, EPA Inspector Joe Smith conducted a survey of dairy
farms to evaluate compliance with EPCRA Section 313. As part of this evaluation, he contacted
Aunt Bea's Dairy Farms located in Anywhere, USA, in September 1998. There are no Form Rs
for Aunt Bea's Dairy Farms in the Toxics Release Inventory System. Joe Smith spoke with Bill
Jones, plant manager, who confirmed that the plant:
* has 100 full-time employees
* falls within the SIC code range for TRI
* uses toxic chemicals
According to Dun and Bradstreet, Aunt Bea's Dairy also operates a milk processing facility (SIC
code 2026) on Poplar Ave. in Someplace, USA.
On-site Inspection
On 5/21/99, the EPA inspection team comprised of Joe Smith and Bob Evans drove to Anywhere
to conduct the inspection. The facility is located in a rural area and the team did not see any
residences within the immediate area.
The EPA inspection team met with Bill Jones, the Chief Engineer. Mr. Jones said that Aunt
Bea's Dairy currently operates only one processing plant. The facility used to own a milk
processing facility in Someplace, USA, which shut down two years before. Mr. Jones said that
L15-A1-1
-------
635
there are 6 dairy farms that provide milk to the plant and numerous distribution centers. There
are no slaughterhouses associated with the dairy farms.
The facility is broken into two plants: A & B. Plant A produces fluid milk, orange juice, and
fruit punch, and operates Sunday, Monday, Wednesday and Thursday for 24 hours/day. Plant B
produces powdered milk and butter, and operated 24 hours/day, seven days/week. In each plant,
there is a 16,000 pound capacity refrigeration unity using anhydrous ammonia (see below for
more information).
Site Tour
There are three broilers, 2 operating at 500 Hewlett Packard (HP) and one at 600 HP. The
boilers use evaporated water from the condensed milk process, known as "cow water". There are
700 ton capacity cooling towers, but not in quantities that would trigger TRI thresholds. The
plant generates 12 million gallons of wastewater per month, and 7 million gallons of the total are
cow water.
The plant is cleaned through a Cleaning in Place (CIP) system. Cleaning occurs throughout the
facility nearly 24 hours/day. In Plant B, there is a central CIP room, and cleaning solutions are
transferred in pipes through Plant B and to a CIP in Plant A. From the CIP room in Plant A, the
cleaning solutions are again transported in pipes. Cleaning solutions can be transported at a rate
of 120 gallons/minute. Four types of cleaning agents are run through the pipes in sequential
order: (1) Nitric acid solution, a caustic wash (which Mr. Jones said did not use TRI listed
chemicals), (2) Acid 555, which is comprised of phosphoric and nitric acid, (3) Acid 400, which
is primarily phosphoric acid, and (4) a pasteurized water rinse. Before 1994 or 1995, the facility
used chlorinated water to rinse out the cleaning solutions; however, chlorine is hard on the pipes
and the facility switched to pasteurized water instead. The pasteurized water and residual
cleaning solution are sent to the city sewer. The trucks are cleaned using a similar four-part
system.
There is a 16,000 pound refrigeration unit in Plant A and another in Plant B. Plant A's unit is not
"tight" and requires periodic recharging. Plant B's refrigeration unit is a "tight" system and does
not require frequent recharging. There are also refrigeration units in the trucks that use Freon.
Records Request
At the conclusion of the plant inspection, we asked Mr. Jones to provide purchase records, use
records, and MSDS for any TRI-listed chemicals exceeding use thresholds for 1993-1997. We
also asked for copies of purchase or use records and MSDS for chlorine for 1993.
Data Review
Aunt Bea's provided purchase or use records and MDSDs for TRI chemicals exceeding use
thresholds. The facility also provided Form R worksheet for all TRI chemicals, whether or not
thresholds were exceeded. All of the chemicals were otherwise used. Below is a summary of the
L15-A1-2
-------
636
findings for chemical use exceeding the 10,000 pound otherwise use thresholds for the years
1995 through 1997.
Aunt Bea's Dairy
Phosphoric Acid Nitric Acid Ammonia
1995
1996
1997
65791
129450
96230
27522
42571
78823
10189
15289
20057
Inspector Signature
Date Signed
Page of_
L15-A1-3
-------
637
EPA SECTION 313 INSPECTION REPORT
FACILITY NAME:
FACILITY ADDRESS:
MAILING ADDRESS:
TELEPHONE NUMBER:
DATE OF INSPECTION:
INSPECTOR:
REPORT PREPARED BY:
Port General, Inc.
Ill West Pier Street
Walla Walla, WA 97215
P.O. Box 9999, Walla Walla,
WA 97215
(492) 582-9999
July 28, 1993
John Mathews
John Mathews
FACILITY BACKGROUND:
Port General is a private company engaged in the repair and
renovation of large ocean going vessels (tankers, cargo vessels, fish
factories). The firm occupies property leased from The Port of Walla
Walla to perform work and relies on the Port for large dry dock
facilities. These resources are time-shared with competitors in an
immense and very impressive environment. Many of the vessels brought
to Port General approach or exceed 1000 feet length.
INTRODUCTION:
This firm was inspected on July 27, 1993 to determine facility
compliance with EPA regulations concerning Toxic Chemical Release
Reporting under 40 CFR Part 372. The operation was inspected using a
Neutral Administrative Inspection Scheme which prioritizes non
reporters. Port General, Inc. was represented by Jim Smith, Manager
of Planning and Davey Jones, safety and environmental specialist. EPA
was represented by John Mathews.
The company had been first contacted by telephone on July 9, 1993
to determine compliance with the rule. An inspection was scheduled
for August 27, 1993.
L15-A1-4
-------
638
Page 2 of 4
SUMMARY OF FINDINGS:
It was determined that Port General has never reported under the
EPA act in question. The facility meets the prerequisites of required
reporters and exceeds threshold reporting as outlined below.
Furthermore a administrative procedure to identify in use Section 313
sensitive chemicals was not in place. Efforts to relate reportable
chemicals and the MSDS that explain them were started after my
original contact and announced inspection. (See breakdown under
Record Review)*
OPENING CONFERENCE:
The inspection began at 10:00 am. Mr. Smith advised that
Davey Jones had just been assigned the EPA and safety responsibilities
for Port General. An overview of SARA and Section 313 was covered and
a variety of information was supplied to assist in constructing a
reporting foundation.
Records were available for review at the initial meeting but not
organized to accommodate reasonable inspection. The company
acknowledged a reporting responsibility but had done nothing to date.
In fact it was this inspection by the EPA that started a concerted
effort by Port General to unite purchasing, EPA, and MSDS files to
generate a cohesive reporting center. Henceforth Section 313
purchases will be automatically flagged and accrued.
Administration of the requirements is complicated by the very
high percentage of TRI materials (70%) supplied to the company by ship
owners. Port General had interpreted all outside supply sources as
exempt from reporting requirements. It was emphasized that EPA does
not distinguish this supply arrangement from any other Section 313
purchase and threshold testing must include customer supplied
materials.
RECORD REVIEW
The SIC Code assigned to Port General is 3731 (Ship building and
repairing) and represents the sole activity of the company. As
explained in several previous sections of this report no system was in
place at time of inspection to support this company in meeting Section
313 reporting requirements. Cooperation by the company has placed the
following chemicals above threshold levels and reporting documents
have been submitted.
L15-A1-5
-------
639
RECORD REVIEW (Cont'd)
Page 3 of 4
Otherwise Use (Lbs.) Threshold (Ibs.)
1988*
1989
1990
1991
1992
Methyl ethyl
ketone
(CAS 78-93-3)
Methyl ethyl
ketone
{CAS 78-93-3)
Methyl ethyl
ketone
(CAS 78-93-3)
Methyl ethyl
ketone
(CAS 78-93-3)
Methyl ethyl
ketone
(CAS 78-93-3)
30,465
21,548
30,121
19,320
15,451
Cooper Compounds 44,434
(Section 313
Category
Code N100)
n-Butyl Alcohol 14,238
(CAS 71-36-3)
Xylene 31.875
(CAS 1330-20-7)
10,000
10,000
10,000
10,000
10,000
25,000
10,000
10,000
FACILITY TOUR/SITE EVALUATION:
This is a vast shipyard (refer to attachment H). Employees use
bicycles to save time. The tour was conducted from a golf cart and
took over two hours to accomplish. Section 313 chemicals can be found
in all parts of the yard used for cleaning, degreasing, and painting.
L15-A1-6
-------
640
Page 4 of 4
Dry docks approach 1000 ft. lengths, repair departments of
300,000 sq. ft., and all the support structures make this facility
difficult and time consuming to inspect. Grounds are well
maintained and TRI chemicals are stored orderly with good ventilation
and fire protection in place. There is bulk storage in use. A
solvent recovery system is inactive at this time. Residual paint and
solvent is removed by a recycling contractor.
CLOSING CONFERENCE:
I met with Mr. Smith after the tour. This size of operation is
difficult to put into perspective in a five hour concentrated
inspection, I agreed to give the company time to isolate from the
hundreds of MSDS and purchase order records, the Section 313 chemicals
and exercise threshold determinations. They must include
substantiated estimates, if necessary, of owner supplied materials.
In a subsequent meeting held August 31, 1993 I received the first
draft of work accomplished. The company had progressed to preliminary
threshold determinations but owner supplied material was not included.
A further extension to October 1, 1993 was granted considering the
possible complications involved in this effort.
LIST OF ATTACHMENTS:
A Inspection Report
B Notice of Inspection
C Receipt for Documents
D Material Safety Data Sheets
E Purchase/Receipt Records
F Chemicals summary/Threshold test
G Flow Chart
H Company Literature
Date
Signature
L15-A1-7
-------
------- |