Unitea States
Environmental Protection
Agency
Office of Toxic
Substances, TS-779
Wasnington, D.C. 20460
January 1991
EPA 560/4-91-003
oEPA Toxic Chemical Release Inventory
Questions and Answers
Revised 1990 Version
Section 313
of the Emergency Planning and
Community Right-to-Know Act
(Title III of the Superfund Amendments
and Reauthorization Act of 1986)
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INTRODUCTION
This Questions and Answers document has been prepared to help clarify reporting requirements
under section 313 of the Emergency Planning and Community Right-to-Know Act (EPCRA, or Title III of
the Superfund Amendments and Reauthorization Act of 1986, Public Law 99-499). Under section 313,
facilities that meet all three of the following criteria are required to report releases to the air, water, and
land as well as transfers of the chemical in waste to off-site locations of any specifically listed toxic
chemicals:
• The facility has 10 or more full-time employees;
• The facility is included in Standard Industrial Classification (SIC) codes 20 through 39; and
• The facility manufactured (defined to include imported), processed, or otherwise used, in the
course of a calendar year, any specified chemical in quantities greater than a set threshold.
Reports under section 313 (EPA Form R) must be submitted annually to EPA and designated State
agencies. Reports are due by July 1 of each year and cover activities at the facility during the previous
calendar year.
This document has been developed to expedite facility reporting and to provide additional
explanation of the reporting requirements. It supplements the instructions for completing Form R.
Copies of EPA Form R, instructions for completing the form, and related guidance documents are
available from the Section 313 Document Distribution Center, P.O. Box 12505, Cincinnati, Ohio 45212.
The questions and answers in this document are organized in sections as listed in the table of
contents on the following page. Questions that are new to the document this year have an asterisk in
front of their number. An index at the end of the document lists question numbers by topic.
To remain responsive to section 313 issues that may arise in the future, this Questions and Answers
document will be updated periodically. If you have comments or possible additions to this document,
please send them to the Emergency Planning and Community Right-to-Know Information Hotline at the
U.S. Environmental Protection Agency, OS-120, 401 M Street, S.W., Washington, D.C. 20460, 1-800-535-
0202, or 1-703-920-9877.
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TABLE OF CONTENTS
Page
I. Determining Whether or Not to Report: Facility 1
A. Types of Facilities That Must Report 1
B. Employee Threshold 2
C. Persons Responsible for Reporting 4
D. Multi-Establishment Facilities 6
E. Form R Requirements 8
F. Chemical Activity Threshold Determinations 10
G. Auxiliary Facilities 12
II. Determining Whether or Not to Report: Listed Chemicals 12
A. General Questions 12
B. Chemicals in Solution 14
C. Chemical-Specific Questions 14
III. Mixtures 18
IV. Supplier Notification 19
V. Activities and Uses of the Chemical at the Facility 24
VI. Exemptions 30
A. General, Personal Use, and Intake Water and Air 30
B. Facility Maintenance and Structural Components 31
C. Vehicle Maintenance 32
D. Laboratory Activities 32
E. De Minimis 34
F. Articles 35
VII. Releases of the Chemical 38
VIII. Waste Treatment Methods and Efficiency 46
IX. Transfers to Off-Site Locations 49
X. Waste Minimization 51
XI. Trade Secrets 52
XII. Certification and Submission 53
XIII. EPA's Section 313 Program and General Information 56
XIV. Index to Questions and Answers 59
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TABLE OF CONTENTS
(continued)
Page
Appendix A: Section 313 Policy Directives
Directive #1 -- Article Exemption A-2
Directive #2 -- De Minimis Exemption A-3
Directive #3 -- Motor Vehicles Use Exemption A-5
Directive #4 -- Compounds and Mixtures A-6
Directive #5 -- Chemical Categories A-7
Directive #6 -- PCBs Threshold Determination and Release
Reporting A-8
Directive #7 -- Reuse and Recycling Exemptions A-9
Directive #8 -- Ammonia and Ammonia Salts A-l 1
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I. DETERMINING WHETHER OR NOT TO REPORT: FACILITY
A. Types of Facilities That Must Report
1. What facilities are subject to section 313 reporting?
Section 313 reporting applies to facilities that meet three criteria: have 10 or more full-time employees;
are in the manufacturing sector (in SIC major groups 20 through 39 inclusive); and exceed any one
threshold for manufacturing (including importing), processing, or otherwise using a toxic chemical listed in
40 CFR Part 372.65.
2. Is a facility meeting the criteria described in question one required to report if they had no releases of
the toxic chemicals during the calendar year?
Yes. The requirements for reporting under section 313 are based only upon the industrial classification of
the facility, number of employees, and what quantity of a toxic chemical was manufactured, processed, or
otherwise used during the calendar year. The amount of toxic chemical released does not affect reporting
requirements (except in the case of exemptions for articles). The facility described would report zeros or,
NA, not applicable, in the release estimate sections of the form.
3. Must an annual report be submitted by July I for facilities which were in operation during part of the
reporting year but which were closed on December 31?
Yes. A facility that operated during any part of a reporting year must report if it meets the reporting
criteria.
4. Is a facility with SIC code 5161 required to report?
If the primary SIC code of a facility falls outside of the range of 20-39, then the facility is not required to
report. A facility with SIC code 5161 is not required to report.
5. Suppose a facility comprises several establishments, some of which have primary SIC codes within the
20-39 range, and some of which have primary SIC codes outside that range. How would this facility
determine if it needs to report?
The facility must report if those establishments that are in SIC codes 20-39 have a combined value of more
than 50 percent of the total value of products shipped or produced by the whole facility, or if one of those
SIC code 20-39 establishments has a value of products shipped or produced that is greater than any other
establishment in the facility.
6. Do pilot plants within the SIC classification have to report?
A pilot plant within the appropriate SIC codes would be a covered facility, provided it meets the employee
and threshold criteria.
7. Must a Treatment, Storage or Disposal Facility (TSDF) report under section 313?
A TSDF may or may not be subject to section 313 reporting, depending on the activities at the site. The
TSDF must determine its primary SIC code based on the various types of activities that occur at the site.
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8. An ancillary wastewater treatment plant has taken on the SIC code of a covered facility because it
primarily services a covered facility. Does the facility where the treatment plant is located have to report
even if the rest of the establishments at that facility are not in SIC codes 20-39?
No, a facility must report only if it meets employee, SIC code and activity criteria. The SIC code criteria
are not met by the establishments that represent the major part of the goods and services produced at the
facility containing the wastewater treatment plant. Therefore, the facility as a whole need not report. The
covered facility producing the waste must report the off-site transfer to the facility containing the
wastewater treatment plant.
9. In Alaska, several fish processors have factories on ships. They use ammonia and chlorine in their
fish processing operations. Is each ship a "facility" covered under section 313 or is the whole group of
ships (assume one company) a covered facility?
A facility is defined as all buildings, equipment, structures, and other stationary items which are located on
a single site or adjacent or contiguous sites owned or operated by the same person. A ship is not a facility
as defined under section 313. It is not stationary and it is not located on a single site (if it moves to other
locations). Therefore the ships should not report even if they are in SIC codes 20-39.
10. A barge repair facility (SIC code 3731 - ship building and repairing) cleans barges at their facility by
vacuuming out residual chemicals and selling the waste to a chemical recovery company. Must the facility
report for the waste? Is it a processor under section 313? What if the waste is not sold?
Because the facility sells the waste, they are processing the chemical. The amount of chemical in the waste
sold does not need to be reported as an off-site transfer because off-site transfers for recycling/reuse are
exempt from reporting. Releases, from activities such as spills and equipment cleaning, must be reported
if the facility exceeds the processing threshold. If the waste is not sold, the facility is not manufacturing,
processing, or using the chemical and the waste is not subject to reporting.
*11. A recently constructed manufacturing facility which has not begun production has used several
listed toxic chemicals in preparing a reactor bed and distillation columns for manufacturing. Is the
facility required to report these chemicals if they exceed the threshold levels?
Yes. Once a facility has been constructed, any toxic chemicals used to prepare production equipment for
manufacturing activities must be included in the threshold determinations that calendar year.
*12. Is a feed company regulated by the Food and Drug Administration (FDA) exempt from filing Form
R under section 313?
Section 313 applies to any facility that meets all the applicable criteria. There is no specific exemption for
facilities or chemicals regulated by the FDA.
B. Employee Threshold
13. Does the full-time employee determination include the hours worked by sales staff whose office is
included in the same building as the production staff? This sales staff is not connected with the
production facility in any way.
Yes. All employees at a facility, regardless of function or location in a building, count toward the
employee threshold determination.
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14. Would a facility with nine full-time employees and four part-time employees be required to report
under section 313?
The total hours worked by all employees should be reviewed. A "full-time employee" is defined on a
full-time equivalent basis of 2,000 labor hours per year. If the total hours worked by all employees at a
facility, including contractors, is 20,000 hours or more, the criterion for number of employees has been
met.
15. An establishment leases one acre of land adjacent to the reporting facility from a three-acre
strawberry farm. The facility imports and repackages methyl bromide for sale and distribution. Does the
facility have to include the strawberry pickers when determining whether the 10 full-time employee
equivalent criterion applies?
The reporting facility should not tabulate the hours worked by farm workers it does not pay. If, however,
the reporting facility actually employs or contracts with these farm workers, then the hours worked on-site
by these workers would count towards the 10 full-time employee equivalent.
*16. A manufacturing company that normally employs only four employees hires a construction company
to modify its facility. The construction workers are employees of the construction company and worked
on-site for only several months. Do the hours worked by the construction workers count toward the "10
or more full-time employee" threshold (20,000 hours of work)?
Yes. The hours any contract employee works on-site must be counted toward the 20,000 hour threshold.
In general, a contract employee is a person working on-site for a facility under a specific contractual
agreement, performing specific tasks or services for the facility.
*17. Under the section 313 regulations, a full-time employee is defined to "...mean 2,000 hours per year of
full-time equivalent employment." The definition of full-time employee goes on to stipulate that "(a)
facility would calculate the number of full-time employees by totaling the hours worked during the
calendar year by all employees, including contract employees, and dividing that total by 2,000 hours." [40
CFR 372.3] (It follows that 20,000 hours worked is equivalent to 10 full time employees.) When
calculating the total number of hours worked by all employees during the calendar year, should vacation
and sick leave used be included toward the 20,000 hour threshold?
Yes. When making the full-time employee determination, the facility should consider all paid vacation and
sick leave used as hours worked by each employee who claims such vacation or sick leave. If the facility
meets or exceeds the 20,000 hour threshold (including vacation and sick leave), the facility is considered to
have 10 or more full-time employees.
•18. When should an individual's time spent working at a facility be counted for purposes of determining
whether or not a facility exceeds the 20,000 hour employee threshold.
If an individual is employed by the facility or by the facility's parent company to work at the facility, then
all of the hours worked by the individual should be counted toward the 20,000 hour employee threshold.
If the individual is hired by the facility (or by the facility's parent company) as a contractor to work at the
facility, then all hours worked by the contractor should be counted. If the individual is not an owner ,
contractor, or an employee of the facility, then the individual's time spent working at the facility should
not be counted toward the 20,000 hour employee threshold. For example, the time spent by individuals
working at a facility who are performing intermittent service functions such as collecting trash or
repairing power lines for the electric utility company should not be counted.
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*19. If an individual both owns and works at a facility, how should the owner's time be accounted for
when determining whether or not the facility exceeds the 20,000 hour employee threshold?
Yes, the owner must be counted as the equivalent of a full-time employee of the facility and his/her hours
must be applied toward the 20,000 hour employee threshold.
*20. A manufacturing facility consists of 8 employees. Each employee worked 2,500 hours in calendar
year 1989. Consequently, the total number of hours worked by all employees at this facility is 20,000
hours. How should the facility determine whether it meets the 10 full-time employee threshold for
purposes of reporting under section 313?
One "full-time employee" is equal to 2,000 hours. The number of full-time employees is determined by
dividing the total number of hours worked, 20,000, by 2,000 hours, or 10 full time employees. Therefore,
even though only eight persons work at this facility, the number of hours worked is equivalent to 10 full
time employees and this facility has met the employee criteria.
C. Persons Responsible for Reporting
21. Who is obligated to report toxic chemical releases for a given reporting year if the facility has
changed ownership during the year? Would both owners be obligated to file separate Form R's for that
year?
The owner or operator of the facility on the reporting date, July 1, 1991, is primarily responsible for
reporting the data for the previous year's operations at that facility. Any other owner or operator of the
facility from January 1st of the data generation year to June 30th of the reporting year may also be held
liable. The report submitted will cover the full year. For example, for reports due July 1, 1991, the data
generating year is January 1-December 31, 1990.
22. Is the owner or the operator responsible for reporting?
Either the owner or the operator is subject to the section 313 reporting requirements. If no report is
received from a covered facility, both persons are liable for penalties. As a practical matter, EPA believes
that the operator is more likely to have the information necessary for reporting.
23. Would an owner of a facility who has no knowledge of any operations at the facility be responsible for
reporting?
An owner with business interest in the facility, beyond owning the real estate on which the covered facility
is located, must report. Neither owners who are part of the same business organization as the operators,
nor owners of businesses that contract out the operation of a particular site, are exempt from reporting.
*24. A company purchased a facility in September through bankruptcy proceedings. The previous owner
of the facility filed Form Rs under EPCRA section 313 for the preceding calendar year. The new owner of
the facility has no plans to continue any manufacturing activities at the site. All listed EPCRA section
313 toxic chemicals at the facility were removed or sold by the previous owner as terms of the bankruptcy
proceedings prior to final sale to the new owner. Who must submit Form Rs for the months during the
calendar year that the facility was in operation?
The owner or operator of the facility on the reporting date, July 1 of each year, is primarily responsible lor
reporting the data for the previous year's operations at the facility. Any other owner or operator of the
facility from January 1 of the data generation year to June 30 of the reporting year may also be held liable.
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The report submitted will cover the full year. For example, for reports due July 1, 1991, the data
generation year is January 1 through December 31, 1990. Thus, the new owner/operator of the facility is
still liable for filing Form Rs for calendar year 199U since she/he is the owner/operator of the facility on
July 1, 1991. The purchase of a facility through bankruptcy proceedings does not negate the liability for
reporting activities at the facility occurring prior to ownership/operatorship. The new owner/operator must
make every available attempt to acquire the necessary information to determine if Form Rs are to be
submitted for calendar year 1990. If reports must be filed, the new owner/operator must submit them in a
timely and accurate manner.
25. Who is the parent company for a 50/50 joint venture?
The 50/50 joint venture is its own parent company.
26. Company A owns a facility which manufactures crude oil. It sells the crude oil to Company B, but
the oil is kept in tanks on Company A's facility that are leased to Company B. Who is subject to
reporting under section 313?
Since tanks are part of Company A's facility and they are the owner and/or operator of the facility,
Company A would be subject to section 313 reporting for any releases from the tanks.
27. A facility had been operating its manufacturing processes in a leased warehouse. In June, they
bought their own warehouse and moved the manufacturing operations there. These two locations are
neither adjacent nor contiguous. The company did not shut down or close during this time. How should
the facility make threshold determinations and report for section 313?
The company should consider the locations as two separate facilities because the operations were carried
out at two distinctly separate physical sites. Threshold and release determinations should be made for the
time during the reporting year that each facility operated. The telephone numbers of the technical and
public contacts for the old facility should be the most current numbers, i.e., those at the new site.
28. How would a facility report chemicals in wastes that are treated in waste treatment units that it does
not own? For example, if a facility sold a unit that is within its contiguous property to another company,
which facility should report?
The facility creating the waste would report the chemicals as an off-site transfer. The treating facility
would not need to report unless they manufacture, process or otherwise use the same chemical in excess of
the thresholds. In that case, they would report any releases resulting from wastes as part of their total
annual releases of the chemical.
29. Must importers/exporters report for materials stored in public warehouses?
Owners or operators of covered facilities must report. If importers/exporters neither own nor operate the
warehouse, they would not need to report for that warehouse.
30. A fish processor rents space in a building. The refrigeration system in the building uses ammonia.
The building owner supplies the ammonia, runs the refrigeration system, and bills the fish processor
based on the amount of fish processed. Must the fish processor report for ammonia? Another business,
a frozen food packager, also uses the refrigeration system, but is a separate company from the fish
processor.
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The owner of the building should report on the ammonia, if the threshold for ammonia is exceeded, since
he is operating the system -- he has more than just a real estate interest in the property. Since the facility
(both businesses) is in SIC codes 20-39 and he is operating part of that facility, he should report.
31. Mom and Pop Plastics is a wholly owned subsidiary of a major chemical company which is a wholly
owned subsidiary of Big Oil Corp. Which is the parent company?
Big Oil Corporation is the parent company.
"32. When a facility changes ownership after a Form R has been submitted, who is required to respond
to a Notice of Technical Error (NOTE) related to the Form R? Is the current or prior owner/operator
required to respond to the NOTE?
The current owner/operator has the primary responsibility for responding to a NOTE. However, all prior
owners/operators back to January 1st of the reporting year may also be held responsible if the current
owner/operator does not respond to the NOTE in an accurate, complete, and timely manner.
D. Multi-Establishment Facilities
33. What is the definition of primary SIC code? How can there be more than one primary SIC code for a
facility?
A primary SIC code generally represents those goods produced or services performed by an establishment
that have the highest value of production or produce the most revenues for the establishment. The form
provides space for more than one primary SIC code because a facility may be made up of several
establishments, each of which may have a different primary SIC code.
34. Clarify the application of SIC codes for facility versus establishment?
The SIC code system classifies businesses on the basis of an "establishment", which is generally a single
business unit at one location. Many section 313 covered facilities will be equivalent to an establishment.
However, a reporting facility can encompass several establishments located within a property boundary,
owned/operated by the same "entity." Therefore, a facility can be a multi-establishment complex.
35. Each establishment of a multi-establishment facility files its own Form R for a toxic chemical. The
waste that this multi-establishment facility ships off-site is inventoried on an entire facility basis. To
report this waste, does each establishment estimate their percentage of the total waste or can one
establishment report the entire waste?
If individual establishments or groups of establishments report separately for one chemical, they must
report separately all releases of that chemical. Therefore, in the case cited above one establishment cannot
report the offsite transport quantity of a chemical in waste from the entire facility. Each establishment
would have to report their percentage of the transfer quantity.
36. A multi-establishment facility mines ore containing copper. At the mining facility, all the ore is
processed through a concentrator. After leaving the concentrator, 20 percent of the product stream is
sold, while the remaining 80 percent of the product stream is sent on for further processing, such as
smelting and refining. If the facility mines and sells more than it smelts, is it a mining facility? What is
the primary SIC code?
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In order to make the facility coverage determination, one must compare the relative value of products
shipped and/or produced at the two different establishments (i.e., mining versus the smelting/refining).
The value of the product produced at the mining establishment (not in SIC codes 20-39) is the market
value of all the concentrated ore produced during the calendar year. The value of products from the
smelting/refining establishment (in SIC codes 20-39) is the value of the products shipped and/or produced
minus the market value of the concentrated ore processed to produce the products. In other words, you
do not double count the value of the concentrated ore as part of the value of products from the
smelting/refining operation. If the "value-added" of refined products is greater than the value of
mined/concentrated ore, then the facility's primary SIC code would be within SIC codes 20-39 and would
be subject to reporting.
37. Two manufacturing establishments, owned by the same corporation, are divided by a public railroad.
One establishment has rented parking lot space from the other establishment, and a walkway was
constructed so the employees can go over the railroad tracks to the parking lot. Is this a multi-
establishment facility or two separate facilities?
Two establishments owned by the same corporation separated by a railroad constitute one facility for
section 313, since they are still physically adjacent to one another except for a public right-of-way.
Therefore, reporting thresholds would be determined by the combined chemical volumes processed,
manufactured, or otherwise used at both establishments.
38. A facility is filing separate reports for section 313 for each establishment within a facility. How would
a transfer of a toxic chemical to another establishment within the facility be reported? (i.e., transfers
waste to another establishment that then treats and disposes the toxic chemical).
Inter-facility transfer of wastes would not constitute off-site transport and would not be reported. An
establishment need only report releases to the environment and wastes that are transferred off-site from
the facility for final disposal.
39. A food processing establishment in a facility processes crops grown at the facility in a separate
establishment. The primary SIC codes should be determined by calculating the value of production
attributable to each establishment. How would this facility go about making this determination?
The facility should subtract the value of the crops grown at the agricultural establishment from the total
value of the product shipped from the processing establishment. The value of the crops would be their
worth if sold on the open market without further processing. This "value added" approach avoids double
counting of products that undergo sequential or additional handling among establishments in the same
facility. If the food processing and any other manufacturing establishments have a greater value than the
crops production establishment, this is a covered facility that may be subject to section 313 reporting.
40. Is my facility covered by section 313, if the value of laboratory research at my facility is greater than
50 percent of the total value of goods and services produced at my facility?
If the research laboratory is a separate establishment from the manufacturing activities and its SIC code is
not between 20 and 39, then the 50 percent test is used to determine if the whole facility is in SIC codes
20-39. In this case, the facility would not be subject to reporting because the primary SIC code is not
within codes 20-39. However, if the laboratory is within SIC codes 20-39, because they are "auxiliary"
facilities providing research to support manufacturing operations, the facility could be covered by section
313.
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41. Is an off-site landfill subject to reporting under section 313 if it a) is not part of a "covered facility" in
that it is not contiguous or adjacent to the property of the reporting facility, and/or b) does not fall within
SIC codes 20-39?
A landfill, as a separate facility, is not subject to reporting because it is not in SIC codes 20-39. However,
a manufacturing facility, within SIC codes 20-39 which meets reporting criteria, must list an off-site landfill
(company-owned or not) on the reporting form (Part II of EPA Form R) if they transfer wastes containing
the toxic chemical to that landfill for disposal.
42. For reporting year 1988, if a company has a plant in one state which processes 27,000 pounds of
methanol and a plant in another state which processes the same amount of methanol, do both plants have
to report as "establishments" of a "facility"?
No. The two processing plants are separate facilities because they are not located within the same, or
adjacent, or contiguous physical boundary. Thus, their activities are not additive, and neither would report
for methanol in 1988 because the processing threshold of 50,000 pounds has not been met by either
facility. However, if either facility processes 27,000 pounds of methanol in 1989, it would have to file a
Form R for methanol by July 1, 1990.
E. Form R Requirements
43. After contacting Oun & Bradstreet several times to obtain DUNS numbers for several facilities, a
consulting firm was told by D&B that they will give out the DUNS number only to the individual facilities.
Does the consulting firm have any recourse for obtaining these numbers?
The facility or financial officers may know the number, or may need to call D&B themselves. Company
headquarters DUNS numbers are in Dun and Bradstreet reference publications, Reference Book of
Corporate Management and Million Dollar Directory, available at some public libraries. Some libraries
conduct computer searches of the DUNS Market Identifiers database for a fee to obtain individual facility
DUNS numbers. DUNS numbers are also available through online services (e.g., DIALOG). If a facility
does not subscribe to the D&B service, a "support number" can be obtained from the Dun & Bradstreet
center located in Allentown, Pennsylvania (telephone (215) 391-1886).
44. If a facility does not have a Dun & Bradstreet number but the parent corporation does, should this
number be reported?
Report the Dun and Bradstreet Number for the facility. If a facility does not have a Dun and Bradstreet
Number, enter NA in Part I, Section 3.7. The corporate Dun and Bradstreet Number should be entered in
Part I, Section 4.2 relating to parent company information.
45. If two plants are separate establishments under the same site management, must they have separate
Dun & Bradstreet numbers?
They may have separate Dun & Bradstreet numbers, especially if they are distinctly separate business units.
However, different divisions of a company located in the same facility usually do not have separate Dun &
Bradstreet numbers.
46. The instructions for completing Form R indicate that the report should only contain SIC codes for
manufacturing establishments in Part I, Section 3.5 on page 1. A facility has the option of reporting as
an entire facility or as separate establishments, all part of the covered facility. If an establishment filed a
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separate Form R, what SIC code would be used in Part I, Section 3.5? Would an SIC code be entered for
an establishment not in SIC codes 20-39?
The establishment completing the Form R would list the SIC code of that establishment. Howe%fer, if the
establishment's SIC code is not within SIC codes 20-39, it can either list its SIC code or enter NA. The
instructions do not require the listing of SIC codes outside of the SIC codes 20-39.
47. If you have an NPDES permit, but do not discharge toxic chemicals to surface water, do you have to
fill in Part I, Section 3.9?
Yes. This information is part of the facility identification section of Form R and is intended for use in
obtaining other information about the facility.
48. If a facility enters an NPDES permit number on Form R, must it also enter the receiving stream
name?
The NPDES permit number must be supplied whether or not there are releases of that specific reported
chemical to surface water. The receiving stream/water body name(s) must be provided on the first page of
the form only if the facility indicates release(s) to surface water Part III, Section 5.3 on page 3 of the Form
R. The name of the stream should be the same as it appears in the facility's permit.
49. A facility is composed of two separate establishments and is Piling two separate Form R's for section
313 reporting. For Part I, Section 3.5, what SIC codes are to be listed?
Enter in Part I, Section 3.5, only the SIC code of the establishment whose data is included in the report.
The SIC code for the other establishment of the facility would be included in its own Form R submittal.
50. Our facility operations cover a large area. What longitude should be reported for our facility and
how can we locate this information?
Report the latitude and longitude for a location central to the operations for which you are reporting.
You may find this information on your NPDES permit. See the instructions for completing Form R
(Appendix F) for a detailed description for determining longitude and latitude from USGS maps of your
facility location.
*51. The owner/operator of a facility is preparing Form Rs for the facility. The reports are for the
calendar year 1989 and are due by July 1, 1990. The facility and its parent company both changed their
names on January 1, 1990. What names should be reported by the owner/operator (for both the facility
and the parent company) on the Form Rs covering calendar year 1989?
Form Rs submitted by July 1, 1990, for calendar year 1989 should reflect the names used by the facility
and parent company during calendar year 1989. However, when the owner/operator submits Form Rs for
calendar year 1990 (reports due by July 1, 1991), these reports will reflect the names used by the facility
and parent company during calendar year 1990. [Note: the TRI Facility Identification number will,
however, not change.]
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F. Chemical Activity Threshold Determinations
52. If a facility buys 10,000 pounds of a listed chemical in 1988 and creates a mixture, for example a
metal cleaning bath, and then uses the bath that year and the next calendar year, how do they determine
thresholds for both years?
The threshold applies to the total amount of the chemical otherwise used during the calendar year. The
facility would count the entire 10,000 pounds and any amount added to the bath during that year toward
the otherwise use threshold the first year. The use of this bath during the second year constitutes
reuse/recycle of the mixture. Therefore, only the amount of the chemical added to the bath during the
second year (1989) would be counted toward the use threshold determination for the second year.
53. A facility knows only the minimum concentration of a chemical in a mixture used in their operations.
How should they report?
The facility should use the minimum concentration for threshold and release calculations because this is
the best information they have.
54. If you operate a treatment plant as part of remediating a Superfund site on your facility, do
contaminants (already there, not being added to) have to be included in calculating thresholds and
releases?
Such material is not included in threshold determinations since it is not being manufactured, processed, or
used. Release reporting is required if the SIC code, employee number and threshold criteria are met for
the chemical. In that event, a release does not include material already in a landfill, but does include any
material released to the environment by remedial activity or transferred off-site.
55. Must a facility include welding rods, solders, and the metals being joined during a welding or
soldering job in threshold determination?
Yes, however, if no releases occur from the joined metal parts themselves they may be considered articles
and only the welding rods or solder must be assessed for threshold purposes.
56. A chemical manufacturer (SIC code 28) receives other facilities' wastes containing toxic chemicals
and disposes of them in their deep well. Does the receiving facility need to report these toxic chemicals?
The receiving and disposing of toxic chemicals would not be factored into a threshold determination
because it does not fit any definition of process or otherwise use. However, if the manufacturing facility
manufactures, processes or "otherwise uses" the same toxic chemical above the threshold amount, the
disposal of other facilities' wastes containing this toxic chemical would be reported as a release on Form R
even though the amount of the toxic chemical in these wastes was not included in the threshpld
determination.
57. If a facility uses a recycle or reuse system, how does it determine the amount that it must consider
for threshold determinations?
For recycle or reuse, the amount considered used for a threshold determination is the amount added to
the system during the year. If the system is completely empty and is started up during the year, a facility
determines the amount used by adding the total amount needed to charge the system to any amount which
is added to the system during the year.
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58. A refining facility uses glycols and sends the spent glycols off-site via pipeline to a second refining
facility for recycle. This spent glycol stream contains dioxane. The second refining facility recycles the
glycols and sends the clean solvent back to the fiist facility. During the reprocessing, dioxane evaporates
to the atmosphere. Is the second facility manufacturing, processing or using dioxane? Is it just treating
the chemical and thus should not add it into any threshold determinations?
The second refinery is neither manufacturing, processing, nor otherwise using the dioxane. It is only
disposing of the chemical (i.e., it evaporates as a result of the glycol purification). That dioxane would
then not be considered in threshold determinations. However, if for any other reason the second facility
met an activity threshold for dioxane, it would need to add in these dioxane releases from the glycol
refining process when reporting releases of dioxane.
59. If a facility manufactures 19,000 pounds, processes 18,000 pounds, and imports 7,000 pounds of
chemical X during 1989, is it required to report for chemical X?
For 1989, the facility would have to report chemical X because it would have exceeded the manufacture
threshold of 25,000 pounds (19,000 (manufacturing) + 7,000 (importing) = 26,000). Note that importing
is the equivalent of manufacturing and therefore the amounts must be added together for threshold
determinations.
60. Our facility purchases a mixture containing toxic chemicals. We store it and then sell it to our
customers without even opening the boxes. Must we report on these chemicals?
Report on toxic chemicals that your facility manufactures, processes, or otherwise uses in excess of the
applicable activity thresholds, but do not report on standing inventory. Since you are not manufacturing,
processing, or using these toxic chemicals, you do not have to report them.
61. How are warehouses affected by section 313?
A warehouse located within the physical boundary of a "covered facility" is covered for estimating releases.
Warehouse contents are not used in threshold determinations, because thresholds are based on
manufacture, process, or use (i.e., throughput rather than storage volume). Repackaging at a warehouse is
considered processing and the quantities of the toxic chemicals repackaged would have to be factored into
facility process threshold determinations for the chemicals.
*62. A covered facility A orders 50,000 pounds of a chemical from a foreign supplier but has that
chemical shipped directly to a toll processor. The toll processor then sends the formulated product
containing the chemical to facility A in the same calendar year. Who is considered the importer and thus
subject to the manufacturing threshold for that chemical?
The toll processor has not caused the chemical to be imported, therefore they are not subject to the
"manufacturing" threshold. They are, however, subject to the "processing" threshold for that chemical and
should report. Facility A has "imported" the chemical when the product is received from the toll
processor. This is because facility A has caused the chemical to be imported ultimately received the
chemical, even though there was some intermediate processing applied to the chemical. There is no
practical difference in coverage under the rule unless the manufacturing facility does not further use or
process the product. For example, if the manufacturing facility only labels the product containers and
ships them to customers they are still subject for reporting the chemical because the act of importation has
triggered the "manufacturing" threshold.
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*63. A covered facility receives a mixture from a supplier who only provides the lower bound
concentration of a section 313 listed toxic chemical in the mixture (e.g., >2 percent toluene). Should the
covered facility use this information in threshold determinations for the listed chemical?
First, the facility should subtract out the percentage of any other known components of the mixture to
determine what a reasonable "maximum" percentage of toluene could be (e.g., if the mixture contains 80
percent water then toluene can be no more than 20 percent). Then the facility should use the midpoint of
the "minimum" and "maximum" percentages in order to determine the pounds of toluene that is applied
toward the threshold. If no other information is available, the facility should assume that the "maximum"
is 100 percent.
G. Auxiliary Facilities
64. Are "auxiliary" facilities associated with manufacturing operations in SIC codes 20 through 39 exempt
from reporting under section 313?
No. An "auxiliary facility" is one that directly supports another establishment's activities and therefore
takes the SIC code of the facility supported. Auxiliary facilities located on separate property must report
if they also meet the employee and activity thresholds. Auxiliary establishments that are part of
multi-establishment facilities should be included in facility threshold and release determinations. For
example, a spill from the warehouse would be included in the covered facility's release quantities.
65. An airplane engine repair shop (generally SIC 7699) owns an "auxiliary" facility at a separate location
that does metal plating (generally SIC 3471 -- Plating of Metals and Formed Products). Would the
plating facility be exempt?
According to the SIC code manual, this plating facility would not be "auxiliary" but would be considered a
separate operating establishment conducting a manufacturing activity. It would, therefore, need to make
the employee and activity threshold determinations and report, if appropriate, because it falls between SIC
codes 20-39.
II. DETERMINING WHETHER OR NOT TO REPORT: LISTED CHEMICALS
(see also Appendix A: Section 313 Policy Directive #5 -- Chemical Categories)
A. General Questions
66. What list of chemicals is subject to reporting under section 313?
The law defined the list of toxic chemicals. The initial list (with certain technical modifications and
revisions) appears in the final rule and in the instruction booklet for completing EPA Form R. EPA,
from time to time, has been revising the list. To obtain information on the latest additions or deletion
from the list of toxic chemicals, contact the Emergency Planning and Community Right-to-Know
Information Hotline.
67. What is the difference between the section 313 list and other EPCRA lists?
Some overlaps exist between lists of chemicals covered by different sections of the law. Section 313
focuses on chemicals that may cause chronic health and environmental effects. The section 313 list was
developed from lists of regulated chemicals in New Jersey and Maryland. The EPA "List of Lists"
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document identifies chemicals that are specifically listed and must be reported under sections 304 and 313
of EPCRA.
68. Can common or trade names other than those listed in the rule be used for submissions?
No. EPA has provided a list of standard chemical names and CAS numbers for all chemicals which must
be reported. The rule requires the use of these standard names. Many Form Rs, submitted previously,
could not be processed because unlisted CAS numbers or names were used.
69. We use a chemical with a CAS number not on the list of section 313 toxic chemicals. There are
similar chemicals on the list, but none with the same CAS number. How can I be sure I don't have to
report?
As a general rule, the facility should focus on the available CAS number of chemicals present at the
facility and compare them to the CAS number listing of reportable section 313 chemicals. Be aware,
however, that a complex mixture, such as naphtha, has a specific CAS number itself, but may also be
composed of listed section 313 chemicals. Therefore, the facility should use all available information at
the facility, not just the CAS number, when attempting to identify reportable chemicals in materials. Also,
certain specific chemicals (e.g., copper chloride) may not appear in the CAS number list but are reportable
under a compound category listing (e.g., copper compounds).
70. How are chemical categories handled under section 313 threshold determinations and release
reporting?
All chemicals in the category that are manufactured, processed or otherwise used at a facility must be
totaled and compared to the appropriate thresholds. Threshold determination for chemical categories is
based on the total weight of the compound. Releases of metal compounds are reported as releases of the
parent metal portion of the compounds. If the metal and corresponding metal compounds exceed
thresholds, a joint report for metal compounds, including the parent metal, can cover both reporting
requirements.
71. A facility processes aluminum, vanadium, and zinc. These three chemicals are listed under section
313 with the qualifier "fume or dust." Is this processing operation subject to reporting?
If the processing of these substances generated (i.e., manufactured) any fume or dust during its operation
or if the three substances were processed or otherwise used, at any time, as a fume or dust in the
operation, the processing would constitute a reportable use of a listed section 313 toxic chemical. The
manufacturing, processing, or otherwise use of these substances in fume or dust form would be subject to
threshold determinations.
72. If an item on the section 313 list incorporates chemicals with multiple CAS numbers (e.g., nickel
compounds), how is the CAS number of the item described?
Do not enter a CAS number in such cases. Instead, enter NA in the space for the CAS number in Part
III, Section 1.2 of Form R. The individual chemical members of a listed category are not required to be,
and should not be, identified in the report.
73. Do the chemical categories such as nickel compounds include all compounds, even those which have
not been associated with adverse health effects? What is the authority for this decision?
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The section 313 list established by Congressional legislation included categories. EPA interprets these
listings to mean all compounds of nickel for example, regardless of whether specific toxicological problems
have been identified for a specific compound in the category.
74. Must releases of listed chemicals used as fumigants be reported if other criteria and thresholds are
met?
Yes. Fumigant use would be subject to the 10,000 pound "otherwise use" threshold.
75. Some chemicals released into the environment react to form other chemicals or chemical compounds,
for example phosphorus (a listed chemical) oxidizes in air to form phosphorus pentoxide (not a listed
chemical). Which should be reported, the transformed chemical or the source chemical? How would the
report(s) be prepared if both the source and result chemical are listed?
Report releases of the listed chemical. The facility is not responsible for reporting a chemical resulting
from a conversion in the environment.
B. Chemicals in Solution
76. In determining maximum amount on-site and thresholds, do we count water in a solution (e.g.,
NH4NO3)? Oo we count the nonmetal portion of metal compounds?
Exclude the water in solutions. The nonmetal portion of metal compounds is included.
77. Does the qualifier "solution" as used with a listed toxic chemical apply only to aqueous solutions?
The qualifier "solution" is not limited to aqueous solutions. For example, petroleum based solutions
would also be included.
C. Chemical-Specific Questions
78. A facility processes methylenebis(phenylisocyanate) abbreviated MBI. MBI is listed under section 313
with the CAS number 101-68-8. The MBI purchased by the facility, however, has the CAS number
26447-40-5. How should the facility treat this material with regard to section 313 reporting requirements?
The listed chemical and the purchased chemical are similar but not identical. The purchased chemical is
termed by the Chemical Abstract Service as an incompletely defined substance which may contain the
listed chemical. The facility must use all available information (e.g., supplier notification information), to
identify the amount of the listed toxic chemical present in the purchased material for threshold and release
determinations and report for 101-68-8, not the mixture.
79. Is Xylene (mixed isomers) CAS number 1330-20-7 a specified weight percent combination of m-xylene.
o-xylene, and p-xylene? Does the mixture need to contain all three individual isomers or can it contain
any combination of two of the isomers?
Xylene (mixed isomers) is an unspecified mixture that could contain just two of the individual isomers or
all three.
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80. Xylene mixed isomers are present in two of a facility's refined products. For section 313 reporting,
may the isomers be reported separately? For a mixture of the isomers, how are thresholds and de
minimis to be determined? Reported separately, me facility exceeds thresholds, but is below de minimis
concentrations.
The CAS number 1330-20-7 on the list of section 313 toxic chemicals is for any combination of the
isomers. When the threshold and de minimis concentration for each isomer are exceeded independently,
the facility may report separately or as mixed isomers. When the threshold and/or de minimis are not
exceeded independently, but are exceeded collectively, they should be reported under the CAS number for
mixed isomers.
81. I have hydrochloric acid with a listed content of 100 percent HC1. I know that means 37 percent
HCl and 63 percent water - there is no higher concentration made. Which concentration must I use for
threshold determination?
You should calculate the HCl content based upon the 37 percent concentration.
82. A facility receives a chemical mixture, 70 percent of which is toluene diisocyanate. Of this 70 percent,
the supplier has told them that 80 percent is 2,4-TDI, with CAS number 584-84-9, and 20 percent is
2,6-TDI, with CAS number 91-08-7. The CAS number that appears on the MSDS for TDI is 26471-62-5,
which is not on the section 313 list. Should the facility report?
CAS number 26471-62-5 represents the mixture of the 2,4 and 2,6 TDI isomers. Each of these isomers are
reportable under section 313. Since the facility knows that the two listed isomers are in the formulation
and knows the concentration of each isomer, the facility should report if the individual thresholds are
exceeded.
83. Vanadium pentoxide is not explicitly listed under section 313, although vanadium does appear on the
list. Are we correct in assuming that we don't need to report for vanadium pentoxide?
Yes. Vanadium is listed only as a fume or dust under section 313. A compound such as vanadium
pentoxide is not subject to reporting.
84. For releases of strong mineral acids in NPDES effluent discharges whose pH is 6 or above, does EPA
agree that no reportable amount of the toxic chemical is in the effluent?
Yes, EPA agrees that a discharge of pH 6 or above contains no reportable amount of mineral acid.
85. Although the category of glycol ethers requires reporting under section 313, I am not clear on
whether the glycol ether, diethylene glycol, requires reporting.
Diethylene glycol is not subject to reporting. Glycol ethers, with the following structure, are reportable:
R-(OCH2CH2)n-OR', where n = 1,2, or 3, R = alkyl or aryl groups, and R' = R,H, or groups which,
when removed, yield glycol ethers with the structure: R-(OCH2CH2)n-OH. R groups for this structure
are unsubstituted alkyl or aryl groups. For diethylene glycol, neither R or R' contain alkyl or aryl groups
and thus it is not subject to reporting under section 313.
86. Is dipropylene glycol having a HOC3H6OC3HOH structure considered a glycol ether for section 313
toxic chemical reporting?
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Dipropylene glycol is an ether but not a section 313 reportable glycol ether since it has (OCH2CH-,CH-,)N
instead of (OCH2CH:)N in its structure.
87. I use copper wire in one of my products. I cut it and bend it and then heat seal it into a glass bulb.
How do I consider the copper wire for section 313 reporting?
First, the wire would remain an article if no releases of copper (e.g., dusts) occur during manufacture of
the glass bulbs. If the wire is not an article, then for an element such as copper, both copper metal and
copper compounds are subject to section 313 reporting. First determine the form of the copper in the
wire. If it is pure copper wire, the entire weight of the wire must be used. If it is an alloy, the weight
percent times the wire weight must be used. If there are copper compounds, the entire weight of each
copper compound must be used for threshold determination.
88. Are vinyl chloride, a listed toxic chemical, and polyvinyl chloride, not listed, the same thing?
Polyvinyl chloride is not a listed chemical or a listed synonym of vinyl chloride, and it does not need to be
reported. It is a polymer based on the reaction of vinyl chloride. Only "free" vinyl chloride within the
polymer should be evaluated for threshold determinations.
89. Are chemical monomers such as acrylonitrile, butadiene and styrene, which are contained in a plastic
co-polymer known as ABS, reportable under section 313? The ABS is in pellet form and melted and
molded; therefore, it doesn't meet the article exemption.
If the acrylonitrile, butadiene, and styrene are present in an unreacted form in excess of de minimis
concentration then they are reportable. Although those monomers comprise ABS, they are probably in
the form of another compound and, therefore, are not reportable under section 313.
90. The CAS number for Di-(2-ethylhexyl) phthalate (DEHP) is listed as 177-81-7 on page 4531 of the
February 16, 1988 Federal Register. The CAS number for DEHP is also listed on page 4536 of this
Federal Register, but is given as 117-81-7. Which CAS number is the correct one?
The correct CAS number for DEHP is 117-81-7.
91. For section 313 reporting, a catalyst contains 61 percent total nickel, which includes 26 percent free
nickel and nickel contained in compounds. Should the threshold determination be based on the 61
percent total nickel?
The 61 percent total nickel cannot be used in the threshold determinations. Nickel compounds are a
listed category, therefore the full weight of nickel compounds must be used in the threshold determination
for nickel compounds. A separate threshold determination is required for the free nickel since nickel is a
separately listed chemical under section 313.
92. Asbestos, with CAS number 1332-21-4, is a listed chemical under section 313. The synonym list does
not contain reportable asbestos forms. Our facility uses the following forms of asbestos and would like to
know if they are reportable: Azbolen (CAS 17068-78-9), Actinolite (CAS 77536-66-4), Amosite (CAS
12172-73-5), Anthropylite (CAS 77536-67-5), Tremolite (CAS 77536-68-6), and Serpentine.
The section 313 listing for asbestos (CAS 1332-21-4) includes specific forms of asbestos, such as those
mentioned above, that have their own individual CAS numbers. Therefore, those types of asbestos are
reportable as long as they are in the "friable" form.
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93. How is the process of removing asbestos from a site reported?
A facility that manufactures, processes, or otherwise uses friable asbestos in excess of an applicable
threshold must report asbestos waste disposal if asbestos is disposed in friable form. But a facility that
only "uses" the asbestos for piping insulation is not required to report because structural components of
the facility are exempt and removing the material docs not constitute manufacture, process or otherwise
use.
94. Are releases of asbestos from demolition of an old plant reportable?
No. In this case, the asbestos is not being manufactured, processed, or otherwise used. Therefore, no
releases of asbestos must be reported unless there are other covered activities involving asbestos at the
facility.
95. A product is immersed into a plating bath containing nickel chloride (NiCI). This is done to bond
nickel to the product prior to distribution in commerce. Nickel is incorporated into the final product
(processed) whereas the chloride remains in the plating bath (otherwise used). Since nickel chloride is
reportable under the nickel compound category of section 313, which threshold applies for this situation?
The threshold determination is made based on the total amount of nickel chloride processed and the
report will be filed for nickel compounds.
96. 53 FR 4538 describes cyanide compounds as X+CN- where X=H+ or any other group where a
formal dissociation may occur; examples are KCN and Ca(CN),. Are cyanide compounds that do not
dissociate reportable?
Cyanide compounds that do not dissociate are not reportable. Most of the cyanide compounds that
dissociate are cyanide salts which are subject to section 313.
*97. A facility coats materials with aluminum using the vacuum deposition process. Is the facility subject
to the reporting requirements under section 313 for aluminum fume?
No. In vacuum deposition, the aluminum is converted to the vapor state under low pressure. The vapor
then condenses on the material which is being coated. A metal fume consists of finely divided paniculate
dispersed in a gas. Because a metal fume and a metal vapor are different physical forms of a metal, metal
vapor is not considered to be a type of fume. However, any aluminum fume that is produced as a result of
the condensation of the metal vapor should be applied to threshold determinations for aluminum (fume or
dust).
*98. What is the effective date for the deletion of ammonium sulfate solution?
The facilities should follow the new reporting guidelines for ammonium sulfate solution beginning with the
1990 reporting year with reports due on July 1, 1991. For further information, see the Directive #8
"Ammonia and Ammonia Salts" in the back of this document.
*99. A facility uses chromium in its electroplating operation, and as a result, hexavalent chromate is
generated. Is the hexavalent chromate reportable under section 313?
The hexavalent chromate is considered a member of a reportable chemical category, chromium
compounds, that has been manufactured by the oxidation/reduction reaction that occurred in the
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electroplating operation. As a result.the total amount of the hexavalent chromate compound produced
must be compared to the manufacturing threshold for chromium compounds.
*LOO. A facility was advised by one supplier that aluminum oxide, CAS No. 1344-28-1, is a listed toxic
chemical under section 313. The facility was advised by another supplier that this chemical was on the
toxic chemical list in error. Is aluminum oxide included on the toxic chemical list and therefore
potentially reportable under section 313?
For the 1989 reporting year and beyond, only fibrous forms of aluminum oxide are reportable under
section 313. Other forms of aluminum oxide are exempt from reporting [55 FR 5220, February 14, 1990].
*101. Is paraformaldehyde, CAS No. 30525-89-4, reportable as formaldehyde under section 313?
No. Paraformaldehyde is hydrated polymerized formaldehyde, a solid material that is different from
formaldehyde. At ambient temperature, vaporization occurs, emitting formaldehyde gas. Though
paraformaldehyde itself is not reportable, any formaldehyde manufactured as a gas or a solution during the
manufacture, processing, or use of paraformaldehyde must be applied to any threshold determination for
formaldehyde.
III. MIXTURES (see also Appendix A: Section 313 Policy Directive #4 - Compounds and Mixtures)
102. What is the difference between a mixture and a compound?
When a compound is formed, the identities of the reactant chemicals are lost, but in a mixture, the
individual components retain their own identity and could be separated again. For example, polyethylene
is a reaction product, not a mixture (and is not subject to reporting under section 313). Steel fabricated
into its solid form is considered a mixture because the individual metals retain their chemical idemitv.
103. When a company has a mixture on-site which does not have its own CAS number, what CAS
number should be used?
The company should use the best available information at the facility to identify the listed section 313
chemicals in the mixture. A separate report must be filed for each chemical for which the fraction of the
chemical in the mixture multiplied by the total weight of the mixture processed or otherwise used exceeds
the applicable threshold. The chemicals are treated as if they were present in pure form and each is
reported with its CAS number.
104. For a mixture containing a chemical compound that is part of a listed chemical category, should the
weight of the parent material be used in threshold determinations?
No, the total weight of the chemical compound is used in making threshold determinations.
105. When should the mixture name field (Part III, Section 2) on Form R be used?
The mixture name field is to be used only when you know that a mixture you purchase and process or use
contains a listed section 313 substance but you do not know which chemical (i.e., the supplier keeps the
chemical identity trade secret). Use the chemical or chemical category name field (Part III, Section 1.3) m
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all other circumstances (unless you have a trade secret chemical and are filling out a sanitized version of
the form).
106. If a facility only knows the range of concentration of a section 313 chemical in a mixture, are they
required to use the upper bound concentration to determine threshold as stated in the February 16, 1988
Federal Register? Use of the average or midpoint of the range will avoid overestimating emissions. If a
metal mixture contains a range of 1 to 10 percent of three metals together, how can this information be
used to determine thresholds?
The final rule does not discuss ranges, it only says that the upper bound should be used "if the person
knows only the upper bound concentration". If a range is available, using the midpoint or average value is
reasonable. For the combination of three chemicals, the facility should split the range among the three
chemicals based on the knowledge that they have, so the total equals 10 percent. They do not have to
assume 10 percent maximum for each chemical.
IV. SUPPLIER NOTIFICATION
107. MSDSs for the solvents we use give trade name or generic names only. Do we have to contact the
manufacturer for more information to report under Part III of Form R?
If only a trade name or generic name is known and the presence of a section 313 chemical is known, then
that can be reported in Part III. Beginning in January 1989, suppliers will be required to provide the
identity of the listed chemical (CAS number and chemical name) and concentration in mixtures. The
manufacturer may claim the information trade secret, but must provide a name that is descriptive of the
chemical and at least an upper bound concentration in the mixture.
108. By what exact date must supplier notification be done?
A supplier must notify each customer of any toxic chemical present in a mixture or trade name product
with at least the first shipment of the mixture or trade name product in each calendar year beginning
January 1.
109. Is a facility subject to supplier notification requirements if it distributes products containing more
than the de minimis level of a listed metal compound?
Yes, if you distribute these products to other manufacturers or processors, and you are in SIC codes 20-39,
you are subject to the supplier notification requirements. Articles and consumer products are exempt
from supplier notification.
L10. Do supplier notification requirements apply only to a situation where the customer is in SIC code 20
through 39 and has more than 10 employees?
A company is responsible for providing supplier notification to a covered facility within SIC codes 20 - 39
and with 10 or more employees, and to customers who in turn may sell or distribute to a "covered facility."
Such a customer may be a wholesale distributor who is not in SIC codes 20 - 39 but sells to other
manufacturing facilities.
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111. Are some mixtures of section 313 listed chemicals exempted from the supplier notification
requirements? A mixture, as defined in section 313 regulations, does not include a combination of
chemicals produced as the result of a chemical reaction.
A mixture is defined under section 313 as a combination of two or more chemicals, if they were not
combined as a result of a chemical reaction. However, if this combination was formed by a chemical
reaction but could have been formed without one, it is also considered a mixture. Any other combination
formed by a chemical reaction is not considered a mixture. If a listed toxic chemical is present in a
mixture at a concentration below the de minimis level, this quantity of the substance is exempt from
section 313 supplier notification requirements.
112. Are sales samples covered for purposes of supplier notification?
Sales samples are covered unless they meet one of the stated exemptions in 40 CFR 372.45(d) of the
regulation, such as articles or products distributed to the general public. Such samples are not sold but
are "otherwise distributed" by the covered facility. If, however, the sample is a pure covered chemical and
is labeled as such, then no supplier notification is required.
113. Does a supplier have to tell a customer that a section 313 chemical is present below the de minimis
level (1.0 percent, or 0.1 percent for OSHA carcinogens)?
No. Such information is not required.
114. Companies are required to notify their customers of the presence of listed toxic chemicals in the
products sold to them, regardless of the volume of those chemicals. Why are there no supplier
notification thresholds for section 313?
No lower limit was placed on the quantity of toxic chemicals because EPA cannot predict what
combination of products in what volumes will trigger a threshold for any given user/processor of mixtures
and trade name products.
115. A company that makes conveyors for airlines also sells small cans of spray paint to them for use in
touch-ups of the paint on the conveyors. The paint is not distributed or used by the general public. Is
the company exempt from section 313 supplier notification under the consumer product exemption
because the paint is packaged and used like a consumer item?
No. The exemption does not apply because the paint is not packaged for distribution to the general
public.
116. Is supplier notification required for distributors in Standard Industrial Classification (SIC) major
group 51 which do not manufacture or process any listed toxic chemicals for mixtures containing toxic
chemicals?
Distributors in SIC major group 51 which do not manufacture or process a toxic chemical are not required
to prepare notice that the mixture or trade name products which they distribute contain a toxic chemical.
They should, however, pass along such notices prepared by their supplier to any facility in SIC codes 20-39.
who purchases a mixture or trade name product containing a toxic chemical.
117. A manufacturer lists chemicals on Section II of the MSDS under hazardous ingredients; it is
possible that none of the chemicals listed are subject to section 313 reporting. Is the supplier required to
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state that none of the chemicals are subject to 3L3 reporting, removing the need for customers to audit
Section II?
A supplier should include the section 313 statement in their MSDS if one or more of the chemicals in the
mixture or trade name product are section 313 chemicals. The facility is not required to make a "negative
declaration" that none of the components in the mixture are subject to section 313. A supplier may,
however, provide this statement on its own initiative.
118. A facility is covered under 40 CFR Part 372.45(a)(3) if it sells or otherwise distributes a compound
containing a toxic chemical to a person who may sell or otherwise distribute it to a facility described in
Part 372.22. To what extent is a facility required to determine if the facility receiving the shipment
distributes the toxic chemical to a manufacturer?
The facility should use the best available knowledge. The manufacturer of the mixture must send the
supplier notification to the "middle man" distributor if it has a reasonable basis to conclude that the
distributor provides the product to manufacturing facilities. Such a conclusion could be based on the
nature of the product and its intended market.
119. A facility, although in SIC codes 20-39, repackages and distributes some chemicals manufactured by
other companies. Is the facility responsible only for passing on the manufacturer's information to its
customers?
The repackaging facility must provide supplier notification to its customers. If the only information the
facility knows is from the MSDS, all it can do is provide this same information to its customers. If the
facility knows the product contents or concentrations are different from what appear on the supplier's
notice, the facility must provide the more accurate information to its customers. EPA suggests, but does
not require, that the repackager inform the supplier of the inaccuracy in their MSDS.
120. I own a small chemical company who supplies some section 313 toxic chemicals to customers. My
customers are requesting MSDS information and want the CAS number for every chemical in my
mixtures. I thought I only had to supply that information for the listed toxic chemicals.
If you wish, you may provide them with the CAS numbers for all of the chemicals in your mixtures, but
under section 313 you are only required to provide information on the listed toxic chemicals (i.e., those
chemicals subject to reporting under section 313).
121. Is a company required to contact suppliers if an MSDS sheet does not contain complete or
consistent language and/or information?
No. The company must use the best information at hand, but the rule does not require them to contact
the supplier. If, however, the company does voluntarily contact the supplier and the supplier provides
more detailed information then that becomes the "best" information and the facility must use it.
122. A facility produces industrial non-consumer products and includes supplier notification information
on the product label. Is this sufficient? Must the MSDS be distributed as the primary vehicle of
notification?
Inclusion of section 313 supplier notification information on the product label will satisfy the notification
requirements. However, the rule states that if the products are required to have an MSDS then the
supplier notification must be included with the MSDS for those non-consumer products. But, the MSDS
does not have to be distributed as the primary vehicle of notification.
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123. Would EPA accept an annual notification by letter to customers as satisfying the supplier
notification provisions of the section 313 regulation (40 CFR Part 372, Subpart C)?
Once customers have been supplied with the MSDS containing the section 313 information, then it would
be acceptable for a facility to refer to the MSDS by letter in subsequent years, provided the customer has
the most current version of the MSDS. The supplier notification regulations require that a new
notification be provided when the presence or composition of a listed toxic chemical in the product
changes.
L24. Is supplier notification required for pesticide products packaged for distribution to the general
public?
If the pesticides products are distributed for use by the general public and not specifically for
manufacturing facilities in SIC Codes 20-39, supplier notification is not required.
125. If a mixture contains a chemical compound that is a member of a reportable section 313 chemical
category, how should that be addressed on the supplier notification? Is it acceptable to provide the
percent of the parent metal?
If a mixture contains a chemical compound (i.e., 12 percent zinc oxide) that is a member of a reportable
chemical category (i.e., zinc compounds), the supplier is required to notify his customers that the mixture
contains a zinc compound at 12 percent by weight. Supplying only the weight percent of the parent metal
(zinc) does not fulfill the requirement, but may be done to aid receiving facilities in estimating releases.
The customer must be told the weight percent of the entire compound for threshold determinations.
126. 40 CFR Part 372.45(b)(l) states that to fulfill the section 313 supplier notification requirement, the
notification shall include: "(a) statement that the mixture or trade name product contains a toxic
chemical or chemicals subject to the reporting requirements of section 313..." Does a facility have to
include the word "toxic" in its notifications?
The word "toxic" does not have to appear in the statement to fulfill the requirement of 40 CFR Part
372.45(b)(l). However, the statement should clearly state that the chemical is subject to section 313.
127. Do the supplier notification requirements under section 313 require notification for a shipment of a
pure (i.e., 100%) toxic chemical that has not been assigned a trade name?
A manufacturer is not required to provide supplier notification for a pure chemical (e.g., a product
labelled with the listed section 313 name or identified by CAS number). The identity of the toxic chemical
will be known based on label information and CAS numbers as long as a trade name is not used. Supplier
notification applies to mixtures and trade name products.
128. How will the supplier notification work for imported products - do exporters from Japan have to
comply?
No. Foreign suppliers are not required to comply with supplier notification. However, we strongly
encourage importers to request content and composition data on imported mixtures. EPA will also be
exploring means of voluntary notification by foreign suppliers.
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129. Is supplier notification required from a manufacturer of a toxic chemical in SIC codes 20 through 39
which sells a waste mixture containing a toxic chemical off-site to a recycling or recovery facility that is
covered by section 313?
Yes, supplier notification is required because the toxic chemical is sold to the recycler. The notice the
facility would be required must provide the percentage and identity of the toxic chemical in the mixture
that is sent to the recycling or recovery facility. If the material is, however, sent off-site as a waste for the
treatment or disposal, then no supplier notification is required.
130. A facility sends empty drums containing toxic chemicals residue to a drum recycler (within SIC
Code 20-39.) Must the facility provide a supplier notification?
No, the supplier notification requirement only applies to products that are supplied or distributed. The
only chemicals being transferred are in the form of waste and the supplier notification does not apply to
waste.
131. Do transfers of products or materials from one of our company's facilities to another require
supplier notification?
Yes. The language of the rule covers material that it "sells or otherwise distributes." In this sense, the
"otherwise distributes" language would apply to intra-company transfers. However, if the company has
developed an internal communications procedure that alerts their other facilities to the presence and
content of covered toxic chemicals in their products, then the Agency would accept this as satisfying the
supplier notification requirement.
132. A multi-establishment facility is not covered (i.e., does not meet the SIC code criteria) but one of the
establishments within the facility is within SIC codes 20-39. Does the language "facility or establishment"
in the supplier notification part of the rule subject this one establishment to the supplier notification
provisions?
No. EPA has determined as a matter of policy that the phrase "or establishment" does not extend
coverage of the supplier notification provisions beyond that of a "facility" as defined by 40 CFR 372.22 (b)
of the rule. Therefore, in the case of a multi-establishment facility not subject to the rule, an SIC 20-39
establishment within that facility would not be required to provide section 313 supplier notification.
However, the Agency encourages such an establishment to comply voluntarily so that its customer will
have the information necessary to make proper compliance determinations under the section 313 rules.
The "or establishment" language provides an option similar to that available to establishments that submit
reports as a part of a covered facility. For example, if only one establishment in a covered facility is
actually distributing a product containing a toxic chemical then that establishment may assume the supplier
notification responsibility for that facility.
•133. Is a facility owner/operator responsible for preparing section 313 supplier notification information
for a mixture or trade name product which contains a toxic chemical that they did not manufacture?
Yes, it can be. The requirement for developing a supplier notification for a mixture or trade name
product containing a listed toxic chemical is the responsibility of the facility which manufactures or
processes a section 313 toxic chemical and sells or otherwise distributes a mixture or trade name product
containing that chemical.
•134. A manufacturing facility otherwise uses hydrochloric acid to clean reaction vessels. The same
facility also buys hydrochloric acid solution (bought as "Trade Name X") and resells it to other customers
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(no repackaging or relabeling of the solution takes place). Is the owner, operator of the manufacturing
facility required to develop a supplier notification for the hydrochloric acid it sells under 40 CFR 372.45?
No. A supplier notification is required to be prepared and distributed by a manufacturing facility if it
"...(m)anufactures (including imports) or processes a toxic chemical..." and "...(s)ells or otherwise distributes
a mixture or trade name product containing the toxic chemical..." to a facility that is required to file Form
Rs or to a person who may sell or otherwise distribute such mixture or trade name product to a
manufacturer [40 CFR 372.45(a)(2) and (3). Here, a toxic chemical and the toxic chemical refer to the
same toxic chemical. In the above example, the manufacturing facility does not manufacture, import, or
process hydrochloric acid (it only otherwise uses hydrochloric acid) and so is not required to develop
supplier notification for the hydrochloric acid it sells. However, if a supplier notification is provided with
Trade Name X hydrochloric acid solution, the manufacturing facility is encouraged to pass this information
along to its customers. [NOTE: that if a supplier notification is incorporated in or attached to the MSDS
received by the manufacturing facility with the Trade Name X hydrochloric acid solution it buys, "...any
copying and redistribution of the MSDS shall include copying and redistribution of the notice attached to
copies of the MSDS subsequently redistributed"; see 40 CFR 372.45(c)(5)].
V. ACTIVITIES AND USES OF THE CHEMICAL AT THE FACILITY
135. What is the difference between "process" and "otherwise use"?
"Process" implies incorporation; the chemical added is intended to become part of a product distributed in
commerce. "Otherwise use" implies non-incorporation; the chemical is not intended to become part of a
product.
136. Are the thresholds for manufacture and process considered separately? That is, if one
manufacturers 49,000 pounds of chemical A and processes 49,000 pounds of chemical A, does chemical A
need to be reported?
Thresholds are considered separately for manufacture, process, or otherwise use of the same chemical.
Reporting is required for 1989 and beyond because the threshold is 25,000 pounds for those years.
137. Are materials in inventory (i.e., amounts on hand at year end) factored into threshold
determinations?
No. Only quantities of a chemical actually manufactured (including imported), processed, or "otherwise
used" during the calendar year are to be counted toward a threshold.
138. Under manufacture/import, what constitutes import? Does the threshold apply if you have a broker
who imports the chemical for you, stores it for you, and then ships the chemical to you? What criteria
apply?
Use of a broker does not negate facility "importation" of a covered chemical. If your facility specified thai
a listed chemical or mixture be obtained from a foreign source and you specified the amount, then your
facility "imported" the chemical. The criteria are that you caused the chemical to be brought into the
customs territory of the U.S. and you "control the identity of the chemical and the amount to be
imported."
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139. Do chemicals produced coincidentally to manufacturing, processing, or otherwise using have to be
reported'.'
Chemicals produced coincidentally are subject to reporting. In the case of coincidental production of an
impurity, however, the de minimis limitation applies. An impurity is the residual amount of chemical
remaining in a final product for distribution in commerce.
140. How can wastewater treatment "products" be considered as manufactured from a treatment process?
The rule's definition of "manufacture" includes the coincidental generation of a listed toxic chemical as a
consequence of the facility's waste treatment or disposal activities. These chemicals may not be produced
for commercial purposes. They are, nevertheless, created as a result of the facilities activities and their
release to the environment must be accounted for.
141. A facility adds hydrochloric acid to waste water to neutralize the waste water prior to discharge. Is
this activity manufacturing or processing, or is this chemical "otherwise used"?
Because hydrochloric acid is not incorporated into the final product distributed in commerce, the chemical
is "otherwise used" with a threshold of 10,000 pounds.
142. A process at a facility draws steel rods into a smaller diameter. Is this manufacture, process, or
otherwise use? How do I report?
This activity is considered processing because the toxic chemical remains incorporated in the final product
distributed in commerce. Only apply the amount of each chemical in the rods processed toward the
applicable activity threshold if the toxic chemical is present above the de minimis level.
143. A facility manufactures fire fighting and fire protection equipment. The facility has a training
school on how to use that equipment. As part of the training school, on-site fires are set using gasoline
containing benzene, a toxic chemical. For section 313 threshold determination, would this be an
"otherwise use" of benzene, or would this use be exempt as product testing?
This would be considered otherwise used for the section 313 threshold determination, since the benzene is
being used in a non-incorporative activity in order to train individuals to use a product. Training is not
considered product testing or research and development.
144. What is the difference between a manufacturing aid and processing aid?
A chemical processing aid is added directly to the reaction mixture or is present in a mixture used to aid
in processing and does not intentionally remain in the product. Examples include catalysts, solvents, and
buffers. A manufacturing aid helps to run the equipment and is never incorporated into the product.
Examples include lubricants, coolants, and refrigerants.
145. We have purchased in excess of 100,000 pounds of aluminum material in block form to make a mold
which stays on site. When making the mold, fumes and dust are a byproduct. Do we report aluminum as
the chemical?
Aluminum appears on the list of chemicals as "aluminum (fume or dust)". You must determine if you
manufacture, process, or otherwise use aluminum fume or dust. In this case, you are not processing or
otherwise using, but do "manufacture" aluminum fume or dust coincidentally as a byproduct of making
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molds. Therefore, you must report for aluminum (fume or dust) if you exceed the 25,000 pound
manufacturing threshold for the reporting year.
•146. The list of toxic chemicals under EPCRA section 313 contains three substances with a "fume or
dust" qualifier (aluminum, zinc, and vanadium). For purposes of reporting the maximum amount on-site
(Part III section 4 of the Form R), should facilities only report the maximum amount of fume or dust on-
site or the maximum amount of all forms of the chemical on-site at any one time?
When determining the maximum amount on-site for Part III section 4 of the Form R, only the reportable
form of a chemical (e.g., fume, dust, solution) is to be considered.
147. A facility melts aluminum ingots, reshapes them, and injects them into a die to form parts. Does
the 25,000 pounds processing threshold apply to the amount of molten aluminum processed?
For the calendar year, the 25,000 pounds threshold applies to the amount of aluminum fume or dust
generated at the facility, not the aluminum in molten (liquid) or solid form. Therefore, the facility must
determine whether they produce more than 25,000 pounds of aluminum fume or dust air emissions in their
processing operation.
148. A remanufacturer of auto engines cleans the engine parts and thereby produces a lead-containing
waste (from gasoline lead deposits). Are they a manufacturer, processor, or otherwise user of lead
compounds?
The facility neither manufactures, processes, nor otherwise uses lead. Lead is not incorporated into
products for distribution nor is it a manufacturing aid or a processing aid as those terms are defined. Lead
in the waste would not be included for threshold determination.
149. A multi-establishment facility, with a primary SIC code of 2911, operates a petroleum bulk station
and terminal, with SIC code 5171. The bulk station receives gasoline from tanker trucks and stores the
gasoline in storage tanks onsite. The facility also loads other tanker trucks with gasoline that distribute
the gasoline to service stations. Are the toxic chemicals in the gasoline processed, otherwise used, or
neither?
Since the facility repackages the gasoline by transferring it between trucks and bulk storage containers for
further distribution into commerce, the facility is processing the toxic chemicals in the gasoline.
150. If a solvent is used in a process and 85 percent evaporates but 15 percent stays with product, is toxic
chemical processed or otherwise used? The 15 percent was not necessarily intended to stay with the
product.
In this case, the entire quantity of the solvent should be considered "otherwise used" and subject to the
10,000 pound threshold. If the solvent was intended to remain in the product, this would be processing.
151. Is soldering light bulbs using lead solder considered processing of the solder?
Yes, it incorporates the solder into a product for distribution in commerce.
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152. An electroplating facility uses metal cyanide compounds in their electroplating operations. Are they
processing or otherwise using those cyanide compounds, and how do they determine whether they meet
the threshold and which activity threshold applies?
The parent metal from the metal cyanide compound is plated onto a substrate electrochemically, leaving
the cyanide as waste product. The parent metal is "processed", while the cyanide is "otherwise used".
Metal cyanides are reportable under section 313 as both cyanide compounds and metal cyanides. Select
the threshold based on the action that involves the portion of the compound that identifies the category
(i.e., cyanide for cyanide compounds). The total weight of the compound counts for both the metal
cyanides threshold and the cyanide compounds threshold.
153. A facility uses sulfuric acid to etch chips, then the sulfuric acid is neutralized with ammonia,
forming ammonium sulfate. Which thresholds apply to each chemical?
Chemicals not incorporated into a product for distribution in commerce are otherwise used. A 10,000
pound threshold applies to the sulfuric acid and ammonia if the byproducts are not sold. The 25.000
pound manufacturing threshold applies to ammonium sulfate because it is manufactured coincidentally as a
result of the neutralization process.
154. A facility uses methanol in its gas-carburizing heat treatment of steel. The main purpose of
methanol in the facility's operations is to provide the source of carbon that is deposited on the steel. Is
this "processing" or "otherwise use" of the methanol?
The methanol is being "processed," not "otherwise used," because the methanol is the source of the carbon
for the carburization activity. The methanol is being reacted and the carbon from it is being incorporated
into the steel.
155. A chemical company processes formaldehyde in its manufacture of resin. The customers using the
resin must consider the formaldehyde toward a threshold determination under section 313. Some
formaldehyde will evaporate during use, although this evaporation process was not intended. Are the
users of the resin processing or otherwise using the formaldehyde?
Since the users do nothing to remove the formaldehyde, it is intentionally left in the final product.
Therefore, the formaldehyde would be processed.
156. A facility uses a chrome anode in an electroplating bath of sulfuric acid to plate chrome onto
fabricated metal. Chromium compounds are generated in the bath and some chrome is deposited onto
the fabricated metal part. The unutilized compounds are sent to the facility's waste treatment process,
where hexavalent chromium is reduced to trivalent chromium. How are these reduced compounds
counted for section 313 threshold determination?
The threshold determination for chromium compounds is based upon the amount of chromium
compounds generated in the plating bath. Any subsequent transformations of hexavalent to trivalent
chromium compounds as a result of waste treatment does not affect the threshold determination. To do
so would involve double counting.
157. A company processes a galvanized sheet metal containing elemental zinc, not a zinc compound.
When the sheet metal is processed it generates zinc dust, all of which is captured and sent off-site for
recycle. Can the company claim an exemption because the sheet metal remains an article, or must it do a
threshold determination because it has coincidentally manufactured zinc (fume or dust)?
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Though the sheet metal remains an article during the processing of the sheet metal, zinc (fume or dust), a
listed chemical, is manufactured. This release negates the article exemption. The recycle/reuse exemption
does not apply to cases of manufacture. The company would have to make a threshold determination
based upon the quantity of zinc dust generated. The amount sent off-site for recycle is not reportable,
being the equivalent of a product sold in commerce. Any amount not recycled would also be a reportable
release.
158. Does the placing of a bulk liquid containing a small percentage of a section 313 chemical into small
bottles for consumer sale constitute a "use" of the mixture?
Yes, it is a type of "processing." If the bulk liquid contains a section 313 covered chemical in excess of the
de minimis level, the chemical in the liquid would have to be factored into calculations in determining
whether the processing threshold is exceeded for that chemical.
159. Paint containing listed chemicals is applied to a product and becomes part of an article. Does the
25,000 pound threshold apply? What about the volatile chemicals from the painting operation » are they
"otherwise used," thus subject to the 10,000 pound threshold?
Yes to both questions. This is a case in which listed chemicals in the same mixture may have different
uses and, therefore, different thresholds. The listed chemicals that are incorporated as part of the coating
are "processed," whereas the volatile solvents in the paint are "otherwise used" because they are not
intended to be incorporated into the article.
160. A facility removes chemicals from groundwater in a cleanup action. The listed chemicals, after
treatment, are sent off-site for disposal. Is the facility required to report? Does the exemption for intake
water apply?
Since the chemicals are not manufactured, processed, or otherwise used, no reporting threshold applies to
the cleanup action. If the chemicals are manufactured, processed, or otherwise used elsewhere at the
facility and exceed a threshold, releases from the cleanup must also be reported on the Form R. Intake
water exemption does not apply since the chemicals are not being used in process water or noncontact
cooling water.
161. A covered facility includes an agricultural establishment that use pesticides to spray crops. The
pesticides contain toxic chemicals subject to section 313 reporting. Is the pesticide considered "otherwise
used"?
Use of the chemicals in pesticides is considered "otherwise used" and the entire amount is reported as a
release.
162. When completing Form R, how would a facility report the releases of a toxic chemical that is used as
a fertilizer? Would a facility which sends material to an off-site location need to count the materials
when they are used as fertilizers at that location? Would the application on-site constitute a release to
land on Part III, Section 5.5 of Form R?
If the toxic chemical is sent off-site to be recycled or reused as a fertilizer, then this activity would not be
considered a transfer of waste off-site. If it is used on-site, it would be otherwise used if it contributes to
the manufacturing process. The toxic chemical in the fertilizer would be reported as a release to land:
land treatment/application farming on Part III Section 5.5.2. If the fertilizer is used to maintain the lawn,
it would be part of facility grounds maintenance and exempt from threshold and release determinations.
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VI. EXEMPTIONS
A. General, Personal Use, and Intake Water or Air
169. Does a material retain its exemption even if other formulations, articles, or fuels with the same
chemical are not exempt?
Yes, the material retains its exemption.
170. Do office supply type products require coverage under section 313 reporting?
EPA does not intend to require covered facilities to account for listed chemicals in office supplies such as
correction fluid and copier machine fluids. Although not specifically exempt in the regulation, EPA
interprets such mixtures or products to be equivalent to personal use items or materials present in a
facility's cafeteria, infirmary, or materials used for routine janitorial activities and facility grounds
maintenance.
171. A facility meets the threshold for "otherwise use" of 1,1,1-trichloroethane as a cleaner. Would the
release of that chemical contained in the office supply product "white-out" also be included?
Office products fall within the same realm as the personal use and janitorial maintenance exemptions; the
release of 1,1,1, trichloroethane in "white-out" would not be reported.
172. A facility uses ammonia in gas cylinders in their blueprint machines. The facility uses a total of
12,000 pounds .of ammonia per year in this operation, and does not use or process any other quantities of
ammonia. Is this use exempt from reporting under 313? There is an exemption for use of office supplies
for personal use under section 313.
Blueprint machines are not typical office supply items for personal use. Since the 10,000 pound otherwise
use threshold is exceeded, the facility must report for the ammonia.
173. A facility uses river water as process water. The water taken from the river contains more lead (1.0
ppb) than the water returned to the river (0.5 ppb). Is it subject to the process water exemption? If not,
is the facility treating the water?
The process water can be considered exempt because the toxic chemical was present as drawn from the
environment (40 CFR 372.38 (c)(5)).
174. Would a listed chemical present in compressed air be exempt? What if the chemical is present in
boiler emission air?
A listed chemical present in compressed air would not have to be counted toward a threshold
determination. If that same chemical is present in the boiler emission air only because it was in the
compressed air fed to the boiler, then that would remain an exempt use. However, if the chemical is
created as a result of combustion, you have coincidentally manufactured the chemical and must consider it
for reporting.
•175. A facility adds chlorine to its water supply system. The chlorinated water is used only for drinking
purposes by employees. Is this use of chlorine reportable under EPCRA section 313 [40 CFR 372]?
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Chlorine that is added by a facility to its water supply system to prepare potable water for consumption at
the facility is exempt from reporting under the personal use exemption which exempts "personal use by
employees or other persons at the facility of foods, drugs, cosmetics, or other personal items containing
toxic chemicals, including supplies of such products within the facility such as in a facility operated
cafeteria, store, or infirmary." [40 CFR 372.38(c)(3)] Since chlorine is used to prepare an item (i.e.,
potable water) that will be used for drinking purposes by facility employees, it is exempted from reporting
under EPCRA section 313.
B. Facility Maintenance and Structural Components
176. How is routine maintenance defined in the exemption list? Is equipment maintenance included?
Equipment maintenance such as the use of oil or grease is not exempt. The routine maintenance
exemption is intended to cover janitorial or other custodial or plant grounds maintenance activities using
such substances as bathroom cleaners, or fertilizers and pesticides used to maintain lawns, in the same
form and concentration commonly distributed to consumers. Painting of equipment is exempt because the
paint becomes part of the structure of the facility.
177. Are solvents and other listed chemicals in paint used to maintain a facility exempt?
Yes. Painting to maintain the physical integrity of the facility is consistent with the "structural component"
exemptions, even though the solvents in the paint don't become part of the structure.
178. The "structural component" exemption from section 313 reporting covers the small amounts of
abraded/corroded metals from pipes and other facility equipment. Would the structural component
exemption apply to equipment which regularly suffers abrasion, such as grinding wheels and metal
working tools? What criteria can a facility use to decide which pieces of equipment are structural
components and which are not?
The section 313 structural components exemption would not apply to grinding wheels and metal working
tools. These items are intended to wear down and to be replaced because of the nature of their use. The
structural component exemption applies to passive structures and equipment such as pipes. The
abrasion/corrosion includes normal or natural degradation, such as occurs in pipes, but not active
degradation, such as occurs in a grinding wheel.
179. A facility uses welding rods to maintain its equipment. The painting of equipment is exempt because
the paint is intended to become part of the structure. Are welding rods used to maintain equipment
exempt because the materials are intended to become part of the facility?
Welding rods used to repair and maintain equipment would be exempt from reporting under section 313
because they are becoming a fixed part of the structure of the facility. In this way, they are similar to
paint, and unlike some replaceable maintenance materials like oil or grease. The term "facility" includes
all buildings, equipment, structures and other stationary items located on a single site, or on contiguous or
adjacent sites.
180. If a facility stores a toxic chemical on-site, and then uses it by installing it in the facility (i.e., copper
pipes), is the facility required to consider the toxic chemical (a component) for section 313 submission?
If the chemical is in an article (i.e., copper pipe) it is not considered in threshold determinations. When
the substance is installed as a structural component, then the structural component exemption applies to
the toxic chemical in the pipes.
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181. A facility has an ornamental pond on-site. Chemicals such as H2SO4, NaOCI, and other acids are
added to the pond to control algae. Does the addition of toxic chemicals to an ornamental pond on a
facility site qualify for the routine janitorial or facility grounds maintenance exemption [40 CFR
372.38(c)(2)J?
Yes. The chemicals used, however, must be similar in type or concentration to consumer products. The
facility owner/operator should also be aware that coincidental manufacture of other toxic chemicals that
may result from the addition of chemicals to the pond (e.g., C12 may be manufactured when NaOCI and
acids are mixed) is not covered by the routine janitorial or facility grounds maintenance exemption.
182. Are pesticides which are used to control algae in cooling water towers exempt?
No, such pesticides would not fit the routine maintenance exemption. The "otherwise use" threshold
would apply.
183. Are degreasers used in plant maintenance shops exempt?
No, the degreasers would be considered "otherwise used."
C. Vehicle Maintenance (see also Appendix A: Section 313 Policy Directive #3 -- Motor Vehicles Use
Exemption)
184. Please verify that any motorized vehicle operated by the facility, whether licensed or not, is subject
to the exemption listed in section 372.38. This includes forklifts, tow motors, automobiles, etc., that
contain a motor. Also, please verify that gasoline, lubricants, oils, and anti-freeze are all considered to be
substances subject to this exemption.
The exemption includes benzene in gasoline and glycol ether in antifreeze used to maintain and operate a
facility motor vehicle. This exemption would not apply, however, in the case of an automobile
manufacturing plant. As part of the production of vehicles, such a facility would be incorporating the
chemicals into an article for distribution in commerce.
185. In the process of maintaining fork lift truck batteries, they are opened to add sulfuric acid as
needed. Is this sulfuric acid reportable under section 313?
No. Section 313 exempts the "use of products containing toxic chemicals for the purpose of maintaining
motor vehicles operated by the facility" (40 CFR Part 372.38). That amount would not be included in the
threshold determination.
D. Laboratory Activities
^
186. Does section 313 reporting include laboratory chemicals?
The quantity of a listed chemical manufactured, processed, or "otherwise used" in a laboratory under the
supervision of a technically qualified person is exempt from threshold and release calculations. This
exemption includes laboratories performing quality control activities and those located in manufacturing
facilities.
187. What is meant by "specialty chemical production" as an exception to the laboratory activities
exemption?
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Specialty chemical production refers to chemicals produced in a laboratory setting that are distributed in
commerce.
188. Assume that a quality control laboratory, or area control laboratory, is part of a manufacturing
facility. Would it be exempt from calculating threshold quantities and release amounts for listed
chemicals?
Yes, assuming that such a laboratory is under the supervision of a technically qualified person and is not
engaged in pilot plant scale or specialty chemical production.
189. A facility sends materials which are sampled from processing operations to a laboratory for quality
control purposes. Are these quantities exempted under the laboratory exemption, provided that they are
handled by a technically qualified individual?
No, any quantity of a covered chemical manufactured, processed, or "otherwise used" must be counted for
the purpose of threshold determination. The fact that it is drawn from a process for purposes of quality
control testing does not allow the facility to subtract that quantity from the total amount of the chemical
factored into the threshold determinations.
190. Is a bench scale or pilot scale reactor for a pilot plant excluded from the laboratory exemption?
A bench scale reactor would not be exempted as part of the pilot plant laboratory activities if it is used to
make products distributed in commerce.
191. A facility tests specific components of a machinery line. Its functions include testing for durability
of engines, hydraulic systems, power trains, electrical systems and transmissions; building prototypes of
products; and qualitative and quantitative analytical testing of materials in a chemical laboratory. Since
these activities are test, development, and research oriented, is the facility eligible for the laboratory
exemption?
Equipment and component testing are interpreted as the equivalent of a laboratory activity and thus are
subject to the laboratory activity exemption.
192. Are the following marine engine testing operations that use listed section 313 chemicals exempt
under the laboratory activities exemption: (a) testing of production engines intended for sale in
specialized engine test cells; (b) testing engines for research and development purposes in specialized
engine test cells; (c) testing for research and development purposes in open water bodies?
Yes, all of the noted operations are considered "product testing" and as such are intended to be included
under the laboratory activities exemption.
193. Section 372.38 lists uses of chemicals in laboratories which are exempt from threshold determination
and release reporting. It states, "if a toxic chemical is manufactured, processed, or otherwise used in a
laboratory at a covered facility under the supervision of a technically qualified individual, as defined in
Section 720.3(ee) of this title," it is excluded from 313 reporting requirements. What is that reference?
Section 720.3(ee) is found in Toxic Substances Control Act (TSCA) regulations (40 CFR 720.3(ee)) and
defines "technically qualified individual" as "a person or persons who, because of education, training or
experience, or a combination of these factors, is capable of understanding" and minimizing risks associated
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with the substance, and is responsible for safe procurement, storage, use, and disposal within the scope of
research.
*194. The owner/operator of a newspaper has a photography laboratory on-site that produces the pictures
that appear in the newspaper. The laboratory does not perform product testing or analysis for the
newspaper. The primary function of the photography laboratory is to develop film to be used in the
newspaper. Will this photo laboratory meet the laboratory exemption under EPCRA section 313? [40
CFR 372.38(d)]
The laboratory exemption, 40 CFR 372.38(d), is primarily for laboratories which perform auxiliary
functions for the manufacturing or processing activities at the facility. The photography laboratory does
not perform an auxiliary function, but performs activities which are essential to the manufacturing of the
newspaper, i.e., they make a product (photographs) that are used in the manufacture of another product
(newspaper), and is therefore not exempt from reporting under EPCRA section 313.
E. De Minimis (see also Appendix A: Section 313 Policy Directive #2 -- De Minimis Exemption)
195. What is "de minimis" under Section 313?
De minimis refers to a concentration of a listed chemical in a mixture so low that threshold
determinations and release calculations are not required. It does not apply to wastestreams, but applies to
products purchased, sold, or commercially used by the facility.
196. Please explain the de minimis limitation for mixtures and trade name products.
Listed toxic chemicals present in mixtures or trade name products at concentrations below the de minimis
level of 1.0 percent, or 0.1 percent for OSHA-defined carcinogens, do not have to be factored into
threshold or release determinations. This de minimis level is consistent with the OSHA Hazard
Communication Standard requirements for development of Material Safety Data Sheets (MSDSs).
197. Does the de minimis exemption apply regardless of whether a chemical is present as an ingredient,
an impurity, or in a waste?
The de minimis exemption applies to ingredients of mixtures or to impurities present in products
processed or used. It does not apply to wastes when chemicals in mixtures above the de minimis level are
manufactured, processed or used, and meet the applicable activity threshold. Wastes and releases must be
reported regardless of concentration. Further, when your operations create (manufacture) the chemical in
waste treatment, the de minimis exemption does not apply.
198. How do we determine whether the de minimis level for a section 313 listed chemical should be 1
percent or 0.1 percent?
The instructions for completing Form R for 1988 contains a list of covered toxic chemicals with the de
minimis level for each.
199. A facility uses a chemical mixture that contains a toxic chemical. If the maximum and minimum
concentrations listed on the MSDS range above and below the de minimis concentration levels, how can
the facility determine quantities for section 313 compliance?
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The amount of the chemical in the mixture that is present above the de minimis level and therefore counts
toward the threshold, can be assumed to be proportional to the ratio of the above-de minimis
concentration range to the overall concentration range. The concentration of the chemical in the mixture
that is not exempt is the average of the de minimis level and the maximum concentration.
200. A raw material contains less than the de minimis level of a listed chemical. During processing, the
chemical is concentrated to above the de minimis level in a solid waste that is disposed in an on-site
landfill. Should the chemical handled in the process line be included in the facility threshold
determination? Do releases from the process line or wastestreams containing above the de minimis level
require reporting?
The de minimis exemption applies to the raw material. You do not have to consider it further even if a
toxic chemical is concentrated above the de minimis level in a waste.
*201. A small quantity of a listed toxic chemical that is manufactured by a facility is released into a waste
stream. Are facility owners/operators required to include the amount of the listed toxic chemical present
in the waste stream as part of the threshold determination if the concentration of the toxic chemical in
the waste stream is below the de minimis level?
Yes. The de minimis concentration does not apply to wastes and waste streams. Therefore, any amount
of the listed toxic chemical manufactured directly or as a byproduct must be counted toward a threshold,
regardless of its concentration in a process stream or a waste stream.
*202. A facility receives chlorine in 100-ton tank car quantities in concentrations above the 1 percent de
minimis level. The chlorine is transferred to a bleaching vessel to make a bleaching mixture, where its
concentration drops below the de minimis level. Does the de minimis exemption apply?
The mixture received by and initially processed by the facility is above the de minimis. Because the facility
is processing chlorine at a concentration above the 1 percent de minimis level, the facility must consider
the total weight percent of the chlorine in the mixture toward a threshold determination. Any amounts of
the chemical that are ultimately released into the environment directly from this processing step should be
reported, regardless of the concentration of the chlorine in the waste stream.
*203. How does the de minimis exemption apply to listed toxic chemical residues contained within used
or spent containers?
The "de minimis" concentration does not apply to wastes or wastestreams. The reporting requirements for
toxic chemical residues found in used or spent containers depends on wiiat is done with the containers. If
the facility sends a container off-site where it is to be refilled with the same chemical, then the residue
should not be counted as an off-site transfer. If the facility knows the container will be cleaned out and
the toxic chemical residue disposed of, then the facility must count the chemical as an off-site transfer of
waste for disposal.
F. Articles
204. Are metal "articles" exempt from threshold determinations in normal processing, use, or disposal?
Metal "articles" are exempt from threshold determinations if, during their normal processing or use no
toxic chemical is released and no substantial change in form occurs. Disposal of solid wastes that are
recognizable as the processed article is not a release that negates the article status.
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205. Please clarify the Agency's policy on releases of less than 0.5 pounds per year.
The Agency has adopted a "round to the nearest pound policy". Therefore, releases or off-site transfers of
less than 0.5 pounds per year of a chemical to any environmental media could be rounded down to zero.
For purposes of the exemption for articles, if the processing or use of an article(s) results in a release less
than 0.5 pounds in a year, the release could be considered zero and the article status would be maintained.
206. A facility cuts metal sheets containing nickel, releasing fumes. It then further grinds the metal to
its final shape, producing grindings. For the sheets to retain their article status, releases must be less
than 0.5 pound/year to any media. Does this cut-off value apply to aggregate releases of the same type of
item being processed or used in the same way or to releases from all manners of processing or use of the
same type of item?
The 0.5 pound/year release cut-off value applies to aggregate releases from the same type of item being
processed or used in all manners at the facility. This value applies to the total aggregate releases of the
toxic chemical from both steps of the process. The various shapes resulting from the cutting are "the same
type of item" as the initial sheet. Thus any releases from grinding should be added to those from cutting.
207. Does the article exemption in the section 313 rule apply to preparation of the article? What about
processing or using that article?
The article exemption does not apply to the processing of chemicals to make articles. Manufacturing of
articles such as tableware is not exempt. When a facility manufactures a metal part and coats it, neither
process is exempt.
208. We take copper wire, cut it, and wind it around smaller spools. Is the wire still an article?
If there is no release of a toxic chemical during normal processing of the copper wire, then the wire
remains an article.
•209. Copper wire at a facility is cleaned by dipping it into sulfuric acid solution. The acidic solution
etches away a portion of the surface of the wire. The wastestream containing the etched copper is sent
directly to a POTW and no other releases of copper occur on-site to any other environmental media.
Directive #1 in the Questions and Answers document (related to the article exemption) states that "...(i)f
the processing or use of similar manufactured items results in a total release of less than 0.5 pound of a
toxic chemical to any environmental media in a calendar year, EPA will allow this release quantity to be
rounded to zero and the manufactured items remain exempt as articles." Since the copper that is etched
from the wire is not released to "any environmental media" (i.e., it goes only to a POTW), is the article
exemption [40 CFR 372.38(b)] negated for the copper wire?
First of all, EPA considers the transfer of a toxic chemical in a waste to an off-site location to be the
equivalent of a release to an environmental media. In this example, "copper metal" is not being released.
The facility is actually coincidentally manufacturing and releasing a copper compound. When the copper
wire is cleaned with sulfuric acid a copper compound, i.e., copper sulfate, is produced. The copper sulfate
produced must be applied to the manufacturing threshold for copper compounds. Should a threshold for
copper compounds be met, releases and transfers off-site of copper sulfate would have to be reported.
210. I run a metal fabrication facility, SIC code 34. If I cut the metal sheets and send the shavings
off-site for reuse, can I consider the metal sheets articles?
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If the shavings that are formed during the cutting are the sole releases, and if all the shavings are sent off-
site for reuse, and the thickness of the metal sheet does not change during processing, then the metal
sheets are still considered articles and are exempt.
211. Is bar stock that is used to make precision tuned parts an article and thus exempt from section 313
reporting? The bar stock is processed to produce parts that in whole or in part retain the basic
dimensional characteristic of the bar stock. The production of the part itself is dependent upon the
specific shape and dimension of the bar stock.
Bar stock is an article if its basic dimensional characteristics are maintained in whole or in part in the
finished product and zero releases occurring during processing. If the end product is totally different in
diameter or thickness, then the bar stock would not be an article.
212. Can facilities which extrude copper bars or rods into wire treat the bar or rod as an article?
No, an article has end use functions dependent in whole or in part upon its shape or design during end
use. The end use function is dependent upon the copper being in the shape of the wire, so the copper bar
cannot be considered an article. If you are changing the shape or form of an item substantially, you are
processing the chemicals; the article exemption no longer applies.
213. A facility uses a product that is in pellet form in its manufacturing operations. Is this product
considered an article and therefore exempt from reporting under section 313?
A pelletized product is not an article. If it is a chemical or mixture that is in a pelletized form because
such form is convenient for further processing by the facility or its customers, then the pellet is not an
article and its processing or otherwise using is subject to threshold determinations.
214. A facility uses PCB transformers. Are these considered to be articles, and therefore exempt from
reporting under section 313?
PCB transformers are considered to be articles, as long as they do not release PCBs during normal use or
if the facility does not service the transformer by replacing the fluid with other PCB containing fluid. (See
also: Section 313 Policy Directives - Directive #6: PCBs Threshold Determinations and Release
Reporting.)
215. A manufacturer of plastic bottles makes the bottles by blow-molding a mixture of plastic resin and
polymer pellets that contain lead chromate (a toxic chemical) and fillers. Once the bottles are made, they
are checked for flaws (i.e., a quality assurance check). Any bottles that do not pass the quality assurance
test are placed in the facility dumpster and are consequently disposed of in the local municipal landfill.
Do these substandard bottles meet the article exemption and thereby exempt the lead chromate from
being a release of toxic chemical under section 313?
No. The lead chromate that is sent to the landfill is considered a release of lead chromate since the
substandard bottles that are disposed of are waste from the manufacturing process. Manufacture of
articles is not exempt.
216. A facility (ship builder) uses lead bricks in ships as ballast. They remain permanently with the ship.
The lead bricks could be considered articles and therefore be exempt from reporting. However, they
infrequently cut some of the bricks, generating lead dust, which they collect and send to an off-site lead
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reprocessor. How should they report? What should be counted towards the threshold if they are not
considered articles?
If all of the lead solid waste is recycled (i.e., none released to air) then no "release" occurs. Shipment
off-site for recycle does not constitute a reportable release. Therefore, the cut bricks retain their article
status. If any emissions of lead occur that are not recycled that exceed 0.5 pounds for a year, then the cut
bricks would not be considered articles. In this case, count only the lead in bricks actually "processed"
(i.e., cut) toward the threshold determination. For release estimates, only the lead not recycled is counted.
•217. During the construction and repair of ships, small quantities of a listed toxic chemical are released
in the form of fumes when steel plates are welded together. The steel plates may qualify as "articles"
because they are formed to a specific shape during manufacture and their end use function is dependent
upon their shape. Should the amount of toxic chemical released from the steel plates during the welding
process be included in determining the threshold?
If the processing or otherwise use of the articles results in a total release of less than 0.5 pounds of a listed
toxic chemical in a calendar year to any environmental media, this release quantity should be rounded to
zero and the manufactured items remain exempt as articles. If 0.5 pounds or more of a listed toxic
chemical is released, these steel plates are not exempt as articles and the weight of the plates should be
included in threshold determinations. For assistance in estimating releases from welding operations,
facilities should refer to EPA's Section 313 Reporting Issue Paper entitled "Clarification and Guidance for
the Metal Fabrication Industry" (January 1990).
*218. How should a facility owner/operator handle the reporting requirement for toxic chemicals found in
industrial and commercial batteries under EPCRA section 313?
An enclosed item (e.g., maintenance-free batteries) containing a listed toxic chemical is considered an
article if the facility uses the item as intended and the toxic chemical is not released. If the facility services
the item by replacing the toxic chemical, the amount of the toxic chemical added during the reporting year
must be counted toward the threshold determination.
VII. RELEASES OF THE CHEMICAL
219. Is it true that the facility need not make any special effort to measure or monitor releases for
section 313 reporting and may use information that is on hand? If this is true, how will section 313
reporting produce complete data for the public on environmental releases?
The law states that covered facilities need not conduct monitoring or other activities beyond that required
by other statutory or regulatory requirements. Congress included this language to limit the burden on the
affected industry for development of release and other required data. Without measurement or monitoring
data, the facility is required to make reasonable estimates.
220. Section 313(g)(2) of the statute states that the owner or operator of a facility may use readily
available data. In some cases, the available data may be known to be non-representative and reasonable
estimates offer more accurate release information. Would EPA, in this instance, favor use of the
estimates rather than data?
Yes, it is preferable to use reasonable estimates if monitoring data is known to be non-representative.
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221. What is the definition of a chemical "release" under section 313?
The law defines a release as any "spilling, leaking, pumping, pouring, emitting, emptying, discharging,
injecting, escaping, leaching, dumping, or disposing to the environment". Under section 313, facilities are
required to take into account in their reports both "routine" and "accidental" releases to any environmental
medium.
222. When reporting release estimates on Form R, release estimates are required to be rounded to no
more than two significant digits. Should release estimates always be reported in whole numbers, or
should decimal places be reported in certain instances?
When reporting release estimates on Form R, always report using whole numbers (i.e., round to the
nearest pound).
223. Is the disposal of wastes such as dusts, shavings, or turnings that result from grinding or drilling of
metal items considered "releases of toxic chemicals"?
Yes, such releases of "non-recognizable" solid wastes such as dusts, shavings, or turnings are considered
releases of toxic chemicals.
224. Tank trucks and rail cars physically enter a facility. While loading, toxic chemical emissions occur.
Are these emissions subject to reporting under section 313?
Yes, because the loading and the releases occur within the facility boundary, the releases must be reported
if the applicable activity threshold is exceeded for the toxic chemical.
225. Are barge loading/unloading releases exempt?
Such releases must be reported if the barge terminal is part of a covered facility.
226. Are releases from lab hoods considered fugitive air emissions?
The releases from lab hoods are point source air emissions. Therefore, the releases should be accounted
for in Part III, Section 5.2 of Form R.
227. Do we need to report leaking, abandoned landfills? What if we don't know if it is leaking?
Leaks from landfills need not be reported. EPA requires reporting of the amount of a chemical placed in
an on-site landfill during the year. It is not necessary to estimate migration from the landfill.
228. A facility discharges waste containing listed section 313 metals to an on-site cooling pond. The
metals accumulate and settle over time, and the water is then drained from the cooling pond, leaving the
heavy metal sludge. The sludge is then dredged and sent off-site to a recycler. How should this be
reported?
The ultimate disposal of listed chemicals from the facility during the reporting year must be reported.
Chemicals remaining in the sediments are "released to land." Chemicals sent to a receiving stream when
the waste water is drained are "released to water." Materials dredged and sent off-site for recycle of the
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chemical are not reported as a release or transt'er; others sent off-site not for recycle are reported as a
'transfer off-site."
229. How are chlorine releases reported? Must chlorine, CAS number 7782-50-5, be reported if it is
transformed into another chemical compound during the release process?
If chlorine is present in waste released by a facility it must be reported even though the chlorine may be
transformed in the environment subsequent to the release. If the chlorine is transformed in the
wastestream prior to release, the facility must still report if an activity threshold is met. but the amount
reported may be zero.
230. i process a plastic pipe which is 3 percent formaldehyde. I also know how much formaldehyde is
emitted when I process the pipe. Do I need to report these emissions?
Yes. if the processing threshold for formaldehyde is exceeded.
231. A facility buys and sells rigid polyurethane foam insulation containing a fluorocarbon. If the
fluorocarbon is Freon 113, would they have to report the Freon 113 released to the air when they cut the
insulation?
Freon 113 is a frothing agent used to produce rigid polyurethane foam and is intended to remain in the
foam cells to give it density and insulating value. If foam containing higher than the de minimis
concentration of Freon 113 is cut, releasing the chemical, that foam cannot be considered an article. The
Freon 113 in cut foam pieces counts toward the processing threshold and if the threshold is met, the
facility must report the chemical released when the insulation is cut. Normal/natural diffusion of Freon
113 from the foam does not have to be considered a release.
232. Our facility paints metal cabinets and the paint solvents contain a listed toxic chemical. The system
consists of a closed vacuum vented painting room and a closed oven room vented by an oven stack. Is the
vent to the outside of the building over the painting room a "releases from building ventilation systems"
fugitive emission?
No, fugitive releases are emissions that are not in a confined directional air flow. Since your building vent
system over the painting room is a confined air stream, it can be combined with the oven stack as a stack
or point emission in Part III, Section 5.2 of Form R.
233. A facility has a liquid wastestream which is incinerated. The incineration is 99.9 percent effective
and eliminates the liquid wastestream. However, the 0.1 percent is released to air as a gaseous
wastestream. Does the facility need to report this wastestream in the waste treatment section of Form R.
The facility does not need to report a gaseous wastestream in Part III. Section 7 of Form R. The liquid
wastestream is 100 percent treated through incineration. The air emissions created, if any, would be
reported as a release to air and the quantity would be included in Part III, Section 5.2, stack or point air
emissions. If the air emission is further treated then that air emission would be listed as a gaseous
wastestream and the treatment documented in Part III, Section 7.
234. Where does one report routine leaks from pipes? Would these be reported as disposal to land.'
Reporting leaks from pipes requires determining where the released material goes. A material that
evaporates would be reported as a fugitive air emission. A nonvolatile material leaking onto land, or .1
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material leaking t'rom an underground pipe, would be reported as a release to land, and entered in Part III.
Section 5.5.4. Other disposal.
235. A facility mines magnesium-rich brine from an on-site well. After extracting the magnesium, it
disposes of the brine in on-site disposal wells. In order to keep the disposal well formation clean and
usable, the facility pumps 280.000 pounds of hydrochloric acid into the wells. It considers this an
'otherwise use" of the acid. Since the acid would be neutralized before it leaches off-site, is it also a
release to land?
The t'acility must consider their use of hydrochloric acid as a release to land even though the acid is
neutralized in the process of cleaning the well. EPA does not allow facilities to take credit for conversions
of the chemical in the environment after that chemical has been released bv the facility.
•236. A manufacturing facility uses more than 10.000 pounds of friable asbestos in a diaphragm cell
process during the course of calendar year 1989. During the process, material containing friable asbestos
is washed in a treatment unit, where it coagulates and is removed by a pressure niter. The filter cake
containing asbestos is wetted with ethylene glycol. and the resulting filter cake ethylene glycol mixture is
subsequently landfilled on-site in a closed container. Should the facility report the placement of this
asbestos in a landfill as a "release to land" on the EPCRA section 313 Form R (40 CFR 372]?
EPA interprets "friable.'' under EPCRA section 313. "...as being crumbled, pulverized, or reducible to a
powder with hand pressure." (53 FR 4519: February 16, 198S) Facilities are required to report on-site
releases or off-site transfers of only the friable form of asbestos. In the above scenario, the ethylene
glycol/asbestos mixture is not considered to contain friable asbestos since the asbestos contained therein is
wet (i.e., with ethylene glycol).
237. A section 313 substance is emitted as an air particulate which deposits on the facility grounds or
roof, such that it will be washed into a NPDES-permitted pond or swept into a solid waste pit for landfill.
Will the release be reported as a release to land or water, but not air? This would prevent a substance
from being reported twice, once as an air emission, and once as a water/land emission.
If the facility can develop a supportable estimate that part of a release to air is deposited within the facility
(and subsequently collected or deposited in an on-site landfill or surface impoundment), then these
quantities can be separated from the air release figure(s) and reported as released to land (on-site). The
remaining air releases, not deposited on the facility, would be reported as releases to air.
238. Do the section 313 reporting requirements overlook the possibility that a substance can lose its
identity as a side product in a reaction, and that the difference between "input and output" volumes may
not always be due to a release?
The section 313 rule does recognize that a chemical can lose its identity in a reaction. The facility has to
account for the amount they either manufacture or process regardless of whether the chemical is convened
to another chemical in the process. Releases must then be calculated for any part of the process involving
the chemical.
239. If a facility monitors for a chemical and the measurement is below the limit of detection of the
method, can they report zero releases?
Although monitoring results may be below detectable limits, this does not mean that the chemical is not
present. The facility must use reasonable judgment as to the presence and amount of the chemical: one
approach is to use half the detection limit as the wastestream concentration. The facility should not
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estimate releases based solely on monitoring devices, but also on their knowledge of specific conditions at
the plant.
240. If a company measures its own leaks (valve, flange, pump, etc.) and determines a new fugitive factor.
is this code "E" or "M" or "O"?
The company should use the code "M" if it measured releases of the chemical from its equipment at the
facility to determine its release amount. "E" is used only for published emission factors which are chemical
specific. However, in this case, the company would use "O" which is used if it measured leaks generally or
applied non-published factors developed at other facilities.
241. If total releases are obtained using combination of basis, how do we report "Basis of Estimate' in
Section 5. Column B?
Report the basis used to calculate the major portion of each release entry. See the examples in the
instructions to the form.
242. Are SOCMI (Synthetic Organic Chemicals Manufacturing Industry) emission factors applicable to
the petroleum refining industry as well as organic chemical manufacturers?
Yes. SOCMI fugitive emission factors can be used for the petroleum refining industry even though they
are based upon synthetic organic manufacturing. The refinery user would have to correct for differences in
concentrations of the mixtures, because SOCMI factors are based upon pure substances being released.
243. EPA's fugitive emission factors for equipment leaks for the Synthetic Organic Chemical
Manufacturing Industry (SOCMI) and some air emissions factors listed in EPA's document AP-42.
"Compilation of Air Pollutant Emission Factors," are not chemical specific. Should the basis of estimate
code be entered as "E" or "O"?
Use "O" for non-chemical-specific emission factors.
244. Should we report the composition of stonnwater as it falls from the sky or do we report its
composition once the rainwater has run off soil?
The composition should be counted once the rainwater has run onto and off the soil, equipment, concrete
pads, etc. as a portion of the total facility release to surface water.
245. How does one use the storage tank equations in Appendix C to estimate air emissions for a specific
chemical in a liquid mixture?
You must estimate emissions of the total mixture using average molecular weight and vapor pressure u>r
the mixture, then multiply by the weight fraction of the chemical in the gaseous emission. The required
formulas are found in this technical guidance document but are not listed in a step-by-step procedure
246. The emission factors used to estimate releases to air from leaks in pipes are time dependent.
amount of time should be used to determine fugitive emissions from emission factors?
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In using emission t'actors to determine fugitive emissions to the air t'rom leaks in pipes, a facility must us
the total amount of time which a pipe contains the toxic chemical, since a release will occur whether a
chemical is moving or stagnant in the pipe.
247. How does a facility owner or operator estimate fugitive or working losses from drums contained in a
warehouse or storage facility?
Fugitive emissions from drums in storage at a covered facility may include emissions from openini! and
emptying the drums. The facility may consider each drum as a small tank and estimate the amount of
toxic chemical contained in the vapor space using methods such as partial pressure determinations found
in EPA's technical guidance document. Estimating Releases and Waste Treatment Efficiencies for the
Toxic Chemical Release Inventory Form.
248. Is there any recommended approach for estimating emissions from facilities whose raw material is of
a constantly varying and unknown composition. For example, tar plants receive crude coal tar in batches.
No analysis is done on incoming raw materials or on products (or on intermediates) at such facilities.
If available, data on the average composition for the specific material or published data on similar
substances should be used.
249. If off-site reclaimers are not to be included in the off-site locations which handle wastes, are
emissions discharged by these reclaimers included as point emissions or are they not reported?
A facility owner/operator should not report either transfers for off-site recycling of the chemical or the
chemical releases from such a reclaimer. The facility owner/operator is only responsible for reporting toxic
chemical releases from this own facility.
250, If the calculated threshold of a listed toxic chemical is based on the mass utilization of the solution.
would the emission of a wastewater stream containing 1 ppm of the toxic chemical be the actual mass of
the chemical or the mass of wastewater?
Only the actual mass of the toxic chemical being released should be reported.
251. We manufacture paint and one of the chemicals we use is toluene. We used the "Estimating
Releases" guidance document but the answer given is for toluene and mineral spirits and thus is much
too high. Can we use the 6 percent present in the paint mixture times the number and report that?
The partial vapor pressure of toluene in formulations, which is a function of its vapor fraction and mole
fraction (not weight percent), can be used. See Appendix C, Note (1), p. C-6 of Estimating Releases and
Waste Treatment Efficiencies for the Toxic Chemical Release Inventory Form. EPA document 560 4-S,s-
002.
252. How should a facility estimate emissions from horizontal storage tanks? The AP-42 equations were
developed for vertical tanks.
For fixed roof tanks, the working loss equation for vertical tanks can be used. For breathing losses, one
can still use the vertical tank equation, except that an effective tank diameter must be substituted for D IP.
the equation. D is the square root of {(4)(area of liquid surface)}/3.14. H is the same as for vertical
tanks.
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253. How can one estimate emissions of chlorine from use in cooling water treatment'.' We have tried to
estimate the emissions for some cooling water systems based on the amount of water evaporation, wind
drift, and the amount of chlorine used, but the -eleases seem too high.
Estimating emissions based on the amount used overestimates release since: chlorine is only slightly
soluble in water, reacts with chemicals in the water, and dissipates in side reactions. Measured residual
chlorine times recirculation rate times lost water fraction may also overestimate release (residual include:-
other forms of chlorine), but may be the only way to make a reasonable estimate. There are no readily
available emission data on chlorine from cooling water svstems.
254. In Part III, Section 6 of Form R (discharge to POTW). if the facility monitors hydrogen chloride in
waste and the pH is above 6 (considered to be 100 percent neutralized), would the release reported be
zero or NA?
No toxic chemical is released to the POTW. However, since there is a potential for release of the
particular chemical to the POTW, the POTW should still be listed on Part II of Form R and the releases
to the POTW in Part III. Section 6 of Form R would be reported as zero rather than N'A.
255. If H^SOyHCI (sulfuric acid/ hydrochloric acid) were spilled outside a building on a facility and an
absorbent (e.g., kitty litter) was used to absorb the toxic chemicals, would the use of the absorbent he
listed as a treatment and be reported under Part III, Section 7 of Form R?
No, the use of the absorbent would not be considered a treatment. Only if the acids were neutralized
would that activity be considered treatment. If the absorbent were drummed and sent to a landfill, that
would be listed as a transfer to an off-site location. .Any acid left on the ground must be accounted for as
a release to land.
256. Form R requires estimates of the release to the environment of chemicals in specific release
categories. If a facility is unable to complete its estimate of these releases by the deadline, should the
company leave that entry blank and promise a future estimate, or make the best estimate possible and
submit later revisions?
Any covered facility must report by July 1 for the previous calendar year, and the data provided should be
the best estimate using the best data available; records supporting the data must be kept for three years. It
more accurate data are developed, the facility may submit revised forms. EPA can take enforcement
action if they believe that the data do not represent reasonable estimates.
257. For releases or transfers off-site that are reported as zero, what should be reported as a basis of
estimate? If we put "NA" (i.e., there's no potential for release) is it necessary to put "NA" in "the basis of
estimate" column of the Form R?
Leave the basis of estimate box blank or enter NA. If you report zero ("O") releases then you need to
supply a basis of estimate.
258. Explain the naming of receiving streams.
You are required to report the name of each stream "to which chemicals being reported are directly
discharged". If you have no such discharge, enter "NA".
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-59. A facility determines that it can estimate stonnwater releases of a listed chemical from the facility.
However, such releases go to a city-owned storm sewer system and the facility has no direct knowledge of
the receiving stream or surface water body to '.vhith the chemical is ultimately released. What do they
report as the "receiving stream' on Part I. Section 3.10(a) of the form?
The facility would put 'city-owned storm sewer' or the equivalent because this is all they know. To leave
the receiving stream item blank or put "NA" would be identified as an error when the Form R is entered
to the computerized database of section 313 data.
260. If a facility has a cement lining or other leak restricting device in the area where they store toxic
chemical containers and a release from the stored chemicals occurs, how is this reported on Form R?
If the facility does not have specific measures for land filling, land farming, or land disposal, then for the
purposes of Form R, the releases would be entered on Part III, Section 5.5.4, Other Disposal. This would
apply to amounts released that were not "cleaned up" and removed from the site or otherwise treated and
disposed on-site.
261. If a POTW has no current estimate of treatment efficiency for each section 313 chemical, is "NA"
acceptable?
You need not report the treatment efficiency for any off-site facility to which transfers of toxic chemicals
occur. Facilities must account for the annual quantity of the listed toxic chemical(s) released to a POTVV,
but are not required to estimate the treatment efficiency of the POTW.
262. What are the technical guidance manuals for specific industries?
These documents help specific industries or operations to determine reporting requirements and estimate
releases. They cover: electroplating; semiconductors; textile dyeing; wood products manufacture and
preservation; organic coatings application; rubber production; printing; paper and paperboard; leather
tanning; monofilament fiber manufacture; formulating aqueous solutions.
263. Why are the range codes grouped together in logarithmic scale?
For quantities on-site, the ranges were patterned after TSCA inventory reporting as suggested by Congress.
•264. A waste stream containing hydrochloric acid is neutralized to a pH of 5-5 and then released to a
river. How does one calculate the amount of hydrochloric acid that is released to the river?
Under EPCRA section 313, EPA considers a hydrochloric acid waste stream that has been neutralized to a
pH above 6 to be completely neutralized. However, if the pH is below this level (e.g., 5.5), calculate the
amount of hydrochloric acid released based on the amount of base it would take to raise the pH of the
stream to 7 (not 6). It should be noted that releases to surface water must be between pH 6-9 as
mandated by the Clean Water Act. For more information on pH measurements, EPA has published
"Estimating Releases and Waste Treatment Efficiencies for Mineral Acid Discharges Using pH
Measurements."
•265. A manufacturing facility otherwise used benzene in excess of a reporting threshold during each of
calendar years 1988 and 1989. In 1988, the facility generated wastes containing benzene and placed these
wastes in an on-site lagoon. The benzene in this waste was reported as .a release to land on the Form R
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for benzene for calendar year 1988. In 1989. the sludge in the lagoon was transferred to an on-site
landfill. During the transfer, some of the benzene in the sludge was released to air. For purposes of
reporting under EPCRA section 313, does the t-xvner/operator need to report releases to an on-site landfill
and/or fugitive air emissions of benzene on the Form R for Benzene for the 1989 calendar year?
The facility should not have reported all of the ben/ene which was transferred to the on-site laaoon as a
release to land. The majority of the benzene will evaporate. The purpose of sending a waste to a laaoon
is so that the volatiles (in this case benzene) will evaporate and the solids will settle. The facility should
have determined, to the best of its ability, what percentage of the benzene evaporated. It should have
reported this amount as a fugitive air emission. The balance should have been reported as a release tq
land. When completing the Form R for benzene for calendar year 1989. the facility would not report as a
release to land any benzene in sludge that was transferred from the on-site lagoon to the on-site landfill as
this material was already reported as a release to land on the Form R for the previous year. However, the
facility must report on the Form R for benzene for calendar year 1989 any air emissions of benzene that
occurred as a result of transferring the sludge from the on-site lagoon to the on-site landfill.
•266. A manufacturing facility that produces electricity by burning coal stores the coal in an on-site
stockpile that is exposed to the outside atmosphere. The facility meets the threshold criteria [40 CFR
372.22] for filing a Form R for the toxic chemical benzene. Since the stockpiled coal contains benzene
and is exposed to the outside atmosphere, would all the benzene in the coal need to be reported on
EPCRA section 313 Form R as released to land on-site?
No. A facility does not have to report toxic chemicals contained in an on-site stockpile of material that is
intended for processing or use as a release to land on-site. However, any toxic chemical that escapes to air
or remains in the soil from the stockpiled material (e.g.. evaporative losses to air. material leached to the
ground, etc.) must be reported as released to the environment on-site. Once a facility meets the criteria
for filing a Form R under EPCRA section 313 for a toxic chemical (such as benzene), all releases of that
chemical at the facility are to be reported.
VIII. WASTE TREATMENT METHODS AND EFFICIENCY
267. Does the waste treatment section apply only to the facility completing the report?
Yes, this section of Form R applies only to the treatment of toxic chemicals that occur at the reporting
facility.
268. Where multiple sources are combined for treatment, should each source be listed in the Part III.
Section 7 of Form R with a common efficiency, or should only the combined stream be shown?
Report only the combined (or aggregate) wastestream and report the treatment and its efficiency.
However, a wastestream that is treated before combination with other wastes, which are then subsequent!-.
treated, should be reported on a separate line.
269. A facility has a sequential treatment process in which the influent concentration and treatment
efficiency for each step is known. How should they report on the form?
The facility may report in either of two ways: (1) Report influent concentration for the first step and
report overall treatment efficiency for the entire process as per the instructions and check the sequential
treatment for each step; or (2) Report each influent concentration and efficiency for each step. In thi-
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case, do not check sequential treatment boxes, as this will create confusion as to the meaning of the
efficiency listed in the last treatment step.
270. If a wastewater treatment system contains an oil skimmer or other phase separation treatment, is
this reported as a sequential treatment step for each of the separated phases, or for just for one phase?
The separation step is a sequential treatment step for one liquid phase (the one with the lamer volume, m
this case, water). The other phase must be considered a new wastestream and must be listed separately >>n
the form if treated subsequent to its separation.
271. We send our sludge to a biological treatment device on-site. The microbes in the system exist in a
buffered solution. As a result the toxic chemical (a mineral acid) in the sludge is neutralized ipH 7.J).
How do I account for biological and neutralization treatment in one process in Part III Section 7 of Form
R? After that, the waste goes to settling ponds where solids settle out. Is this also a sequential treatment
step?
List the biological treatment first with a zero efficiency because it does nothing to the toxic chemical.
Enter the neutralization treatment with a 100 percent efficiency since pH 7.3 is considered complete
neutralization for an acid. Check the sequential treatment box. As for the settling ponds, the toxic
chemical ceased to exist upon complete neutralization, so this step does not need to be included in Part
ill. Section 7 of the Form R for the mineral acid.
272. On-site wastewater treatment plant sludges which may contain trace amounts of section 313
chemicals are composted on-site. The finished compost is then used as daily cover for the on-site sanitary
landfill and for landscaping around the site. Is this considered land treatment land impoundment, or not
a release?
The amounts supplied to the on-site sanitary landfill as cover should be reported on Part III. Section 5.5.1
of the Form R. The amount used for landscaping on-site is exempt under the facility grounds maintenance
exemption (40 CFR 372.38(c)(2)).
273. A facility uses one vat to store either hydrochloric acid or sulfuric acid, depending on their orders.
When the vat is emptied of one acid, it is treated with a caustic material and rinsed with water before the
other acid is stored. The resulting wastestream is above pH 6. Does a new wastestream have to be
entered in Part III, Section 7 of Form R each time the vat contents switch?
No. Enter one line of waste treatment data that describes the treatment of each listed acid that is being
reported.
274. We have two waste streams, one contains "an unlisted caustic material" and the other HCI, which
are combined for neutralization; they then stay in the settling pond until the solid settles out. The water
is sent to a POTW, the solid to a landfill. How should we report on these chemicals? When does a toxic
chemical cease to exist by neutralization?
Neutralization is the treatment method for HCI. If the pH is above 6, then the efficiency is 100 percent •-
no HCI is released -- no off-site transfer need be reported. If the waste is acidic, report transfer of HCI
off-site and calculate efficiency from input and remaining acid.
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275. [fa listed toxic chemical (i.e.. mineral acid) is spilled, but neutralized before leaving plant
boundaries, should the quantity spilled be included in the facility's release report?
If the chemical is 100 percent neutralized, no quantity should be reported.
276. Ho» is an auxiliary scrubber that is designed and used only to mitigate emergency releases
reported.'
The influent concentration and treatment efficiency of the scrubber as it operates during an emergency
event should be reported. The emergency scrubber is not considered to be "sequential" treatment with a
scrubber which treats routine emissions from the same process, unless the two units function in series on a
single wastestream.
277. Should the influent concentration to treatment for metal compounds be reported for the parent
metal only?
Yes. because only releases of the present metal are reported on a Form R for a listed metal compound
category.
•278. A waste stream containing glycol ethers is sent through several treatment steps, none of which are
specifically intended to remove the glycol ethers. During the settling process, some of the glycol ethers
present in the waste stream unintentionally evaporate into the ambient air. Should the facility
owner/operator report the glycol ether as being treated and, if so, what waste treatment efficiency estimate
is reported?
Any releases of a listed toxic chemical, even during treatment, must be estimated and reported in Part II!.
section 5 of the Form R. Part III Section 7 of Form R must be completed if a waste stream containing
the giycol ethers is treated, regardless of whether the treatment methods actually remove the glycol ethers.
If. for whatever reason, glycol ethers are removed during the treatment of a waste stream, the
owner/operator should use the best information available to determine how much of the glycol ethers are
removed during the treatment process and use this information to estimate a "treatment efficiency1 for the
toxic chemical.
•279. A facility manufactures a chemical in a reactor. Attached to the reactor is a water cooled
condenser, the function of which is to condense escaping unreacted starting material and reaction solvent
(here, toluene). The facility used a threshold amount of toluene during the calendar year and must Hie a
Form R for toluene. Owners/operators are required to report on-site treatment of wastes containing a
toxic chemical in Part III section 7 of Form R. Would the condensation of escaping vapors constitute
"treatment of a wastestream" containing a toxic chemical (i.e., toluene)?
No. Processes that recycle or recover a toxic chemical are not waste treatment steps although, like an%
process step, they may generate a waste which may then be treated.
•280. A facility owner/operator has a conservation vent on a bulk storage tank. The conservation vent
prevents emissions from the tank during material loading, unloading, and storage. Should this
conservation vent be listed in Part III section 7 of Form R as a waste treatment method since it is
reducing the toxic chemical emissions from the tank?
No. Part III section 7 of Form R is only for the description of waste treatments that occur on-site. In m.
above scenario, the conservation vent is functioning as a preventive device; that is, the conservation \«.-:
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does not t'unaion as a waste treatment step. (.Another example of a preventative device is a float ins: root
storage tank, the function of which would not be .-onsidered waste treatment.)
IX. TRANSFERS TO OFF-SITE LOCATIONS
281. A facility sends waste containing a section 313 chemical off-site to a TSDF which, in turn, sends the
waste to another facility for recycling. Should the facility report this activity, since the waste is ultimately
recycled? Or should they report as M90: Other Off-site Management in Hart III. Section 6C. since it is a
location to which they transfer wastes?
Part VII of the preamble to the section 313 final rule states that "transfers to a reprocessor or recyder of
chemical waste are not reportable as off-site transfers." Since the reporting facility knows the toxic
chemical is ultimately being recycled or reprocessed, the facility would not report the off-site transfer. If
the facility could not document that the waste was being recycled, it must report the off-site transfer.
282. The section 313 instructions require listing of different types of treatment for a particular waste sent
off-site to the same location. Does this apply to sequential treatment of waste at the same location?
Should the same estimate for amount sent off-site be entered for both treatment steps or just the final
treatment step?
For waste sent off-site to the same location, the reporting facility is not required to list sequential
treatment steps. For wastes that are sequentially treated off-site, the facility would provide one code that
best describes the type of treatment occurring as a sequence and report the total quantity of the toxic
chemical sent to this off-site location. If however, a waste sent offsite is treated in two different ways ie.s;..
half incinerated, half landfilled) enter the amounts to each.
283. What about shipment for recycle? For example "empty" drums containing a residue of a toxic
chemical are sent to a drum remediation site which is not a treatment, storage, or disposal facility. Are
such facilities listed as off-site TSD facilities? (The chemical is not being recycled, but the containers
(i.e.. the drums) are being recycled.)
Shipments for recycle of the chemical should not be reported. However, recycle of drums or recycle of
other constituents of a waste does not qualify as recycle of the chemical: such transfers should be reported.
The example cited should be reported as an off-site transfer with appropriate code such as M99- unknown.
or M61- wastewater treatment in Part III, Section 6C of Form R.
284. Why does the section 313 Form R require disclosure of off-site locations to which toxic chemicals
are transferred? The Act only requires the disposal method employed.
The conference committee report directed EPA to require reporting of releases to air, water, land, and
waste treatment and disposal facilities. Legislative history treats off-site facilities as an equivalent
environmental medium. EPA believes Congress intended to include reporting of quantities and locations
of off-site waste treatment and disposal facilities to identify how and where chemicals enter the
environment.
285. Some waste brokers recycle or resell to other "disposers." By considering the treatment disposal
category waste broker (M91) as a release under section 313, could releases be double-counted?
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A facility would not double count by using the waste broker code if that is ihe only or last recipient of the
waste that they have knowledge f. An off-site transfer is not considered a release, and waste brokers may
not report under section 313 because their facility may not be in SIC codes 20-39.
286. If a waste is sent to an off-site facility to be recycled or reclaimed, does the material meet the
requirements for being recycled or reclaimed for the purposes of section 313 regardless of what the
off-site recycling facility actually does with the waste?
The recycling "exemption" must be based on the positive knowledge that the listed chemical beina reported
is actually recycled, recovered, or reused bv the off-site facility.
287. Some toxic chemicals shipped off-site are manifested by a handling code that relates to "Transfer
Station." They must also list the location to which the waste was last shipped but not the ultimate
disposal or treatment site. In Part II, Section 2. "Other Off-Site Locations." should reporting facilities list
the transfer station "waste broker" as indicated by the manifest or list the facility which ultimately
disposes of or treats the toxic chemical?
The reporting facility should list the "ultimate" destination of which they have knowledge. If the last
known destination of the waste is the transfer station, then the facility would use the code for waste
brokers (M91) on Part III, Section 6C of Form R.
288. A facility receives chemicals in a tank car. The car once emptied remains at the facility for a period
of time before being returned to the supplier (or wherever). Does the residue in the tank car that leaves
the facility have to be counted as an off-site transfer for section 313?
If the facility knows the car will be refilled, the residue is not counted as an off-site transfer. If the facility
knows it will be cleaned out and the quantity disposed, it must be counted as an off-site transfer.
289. Chromium dioxide is part of a waste stream sent to an incinerator. In the incinerator, the
chromium dioxide is reduced to elemental chromium that remains in the ash. The ash containing
elemental chromium is mixed with cement and sold. Is this toxic chemical recycled or reused and
therefore not reported as an off-site transfer?
The chromium compound can be considered reused because the off-site facility is incorporating it into a
product distributed in commerce. According to the information provided, the ash containing the
chromium is not being disposed of by the off-site facility. Thus, for purposes of the section 313 regulation.
the chromium compound sent to this location does not have to be reported as an off-site transfer.
290. A facility treats their wastewater on-site and discharges it to a pipe which runs through a POTVV
and then on to a stream. The POTW does not treat the waste but monitors the wastewater and allows it
to pass into the stream if it meets treatment standards. If it does not meet standards, the POTW shuts a
valve in the pipe. The wastewater is released under the POTWs NPDES permit. How should the
wastewater be listed on Form R?
The facility should consider the wastewater as a transfer off-site to the POTW since the POTW is
ultimately responsible for the release. The POTW has the authority to allow or prevent that release and u
enters the stream under their NPDES permit.
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291. How do *e treat a solvent sent off-site for distillation and returned to us for use?
The amount ot'solvent sent to another facility for aistillation is not reported as a transt'er of the chemical
to an off-site location (e.g.. it should not be reported in Part 111. Section 6 of Form R). The quaniitv of
the solvent returned to you must be treated as if it were a quantity of the chemical purchased from any
other supplier and must be used for threshold determination.
292. What RCRA ID number does a facility list if it sends a non-hazardous waste containing a section
3L3 chemical to a solid waste landfill?
[fan off-site location such as a solid waste landfill does not have a RCRA ID number, the facility would
enter "N'A" in the space provided. If the facility does have such a RCRA ID number, it must list the
number if known, even thoueh the waste beins transferred mav not be a listed RCRA hazardous waste.
293. Our facility produces 200.000 pounds of waste annually. Of that amount, we treat 100,000 pounds
on-site and send 100.000 pounds to an off-site treatment plant that has a 99.9 percent efficiency. Can we
factor in the efficiency when we report the oil-site transfer amount in Part III. Section 6 of Form R?
That section of Form R requires you to report the actual amount of toxic chemical you send off-site. The
efficiency would be taken into account by the off-site facility if they are reporting under section 313.
294. A printer uses a solvent to clean presses and sends soiled rags to a launderer. Is the material sent
to the launderer considered waste transferred to an off-site location? Which disposal code should be
used?
The material sent to the launderer is considered an off-site transfer. The facility could use code M90 -
Other Off-site Management or M99 - Unknown in Part III, Section 6C of Form R.
•295. A manufacturing facility sends paint thinner waste to a firm for fuel blending purposes. Should
the amount of toluene and xylene in the waste be reported on the Form R, Part III. Section 6 as a
transfer off-site?
A listed toxic chemical sent off-site for fuel blending or that adds energy to a heat recovery activity is
considered recycled or reused. Therefore, the quantity of the listed toxic chemical does not have to be
reported as an off-site transfer on Form R. However, other reportable chemicals in the waste mixture
(e.g., metal pigments) that are not blended into fuel or that do not add heat value to energy recovery upon
combustion must be reported as off-site transfers.
X. WASTE MINIMIZATION
296. What is waste minimization? Are solid wastes as well as hazardous wastes included?
Waste minimization means reduction of the generation of listed toxic chemicals in wastes. Waste
minimization reporting applies to air emissions, solid wastes, wastewater and liquid materials that are
released, disposed, or treated.
297. What do facilities that have not performed any waste minimization include in the report?
The waste minimization portion of the reporting form is optional.
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298. Where can facilities obtain waste minimization figures from the previous year?
Companies can obtain waste minimization information about the year prior to reporting from various
sources, including (but not limited to) inventory data, recycle/reuse data, engineering reports on process
modification, and product development studies.
299. If a facility modifies a process for economic reasons which results in a waste reduction, should this
be reported as minimization?
Yes. Any changes that result in less of the listed toxic chemical being generated in waste may be included.
Codes are provided to identify' changes. Examples include equipment and technology modifications.
process changes, procedure modifications, and improved housekeeping.
300. Would RCRA-permitted incineration of waste count as waste minimization under M8 (Other
Treatment Methods)?
No. Treatment or disposal can not be reported as waste minimization on Form R. The emphasis is on
t'acilitv activities that reduce generation of wastes, not treatment of wastes.
XI. TRADE SECRETS
301. How can the identity of a listed toxic chemical be protected from disclosure for trade secrecy
purposes?
Section 313 allows only the specific identity of a chemical to be claimed as a trade secret. The rest of
Form R must be completed, including releases of the chemical. For trade secrecy claims, two versions of
Form R (one identifies the chemical, the other contains only a generic chemical identity) and two versions
of a trade secret substantiation form must be completed and sent to EPA.
302. On Form R, if I don't check the "Trade Secrets" box in Part III, Section l.l, what other blocks can I
leave blank? Do I still have to nil in the CAS number?
If the chemical you are reporting is not a trade secret, the CAS number must be filled in along with the
chemical name (Part III. Section 1.3). However, if you are reporting for a chemical category, no CAS
number applies. Trade secret claims require that the generic name (Section 1.4) be completed.
303. How can competitors find out what has been reported to EPA?
Any person, including a competitor, can gain access to the non-trade secret reports received under section
313. Except for the specific identity of a reported chemical that is claimed trade secret, all information
received under section 313 is public information. All non-trade secret information reported will be
available in a computer database.
304. For claiming trade secrets under EPCRA, would disclosure, without a confidentiality agreement to
the State and/or city having jurisdiction, negate a chemical identity's trade secret status under Federal
provisions?
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In general, any disclosure of a chemical identity would negate the chemical identity's trade secret status
under Federal provisions. Once the trade secret claim is made. State governors are permitted to request
the specific chemical identity. The decision to provide information to any state employee is left to the
governor's discretion.
305. How will trade secret data be protected when EPA publishes health effects notices for the public?
A generic statement of the health and environmental effects of the chemical will be made available
through the computer database.
306. A company with both domestic and foreign operations wishes to file a EPCRA trade secrecy claim.
.All non-government entities in the foreign country are bound by a confidentiality agreement regarding a
chemical's identity and usage. However, there is no such agreement with the foreign government because
of its statutory guarantee of confidentiality for foreign business interests. Does this constitute public
disclosure?
Since there is no tangible "confidentiality agreement" this disclosure is reportable. Question 3.2 on the
trade secret substantiation form should be checked "Yes." However, since the foreign government's law
guarantees confidentiality, regardless of a tangible agreement, the identity and usage of the chemical h.:-
not been disclosed and is being protected, and this should be included in question 3.1 asking about
confide ntialirv measures.
XII. CERTIFICATION AND SUBMISSION
307. Where and how do I get copies of the forms?
Copies of Form R and other support documents may be obtained by contacting: Emergency Planning and
Community Right-To-Know Document Distribution Center, P.O. Box 12505, Cincinnati, Ohio 45212.
308. Are there any extensions that a facility could get for filing Form R?
No. All toxic chemical release inventory forms must be postmarked no later than July 1. No extensions
will be given.
309. Can computer-generated forms be submitted for compliance with section 313?
The Agency has approved the facsimile outputs of certain privately developed software packages. A list of
the providers of software packages has been made available by EPA. Contact the Emergency Planning and
Community Right-to-Know Information Hotline for more information.
310. What is the status of magnetic media submission (e.g., on tape or floppy disk) for section 313
reports?
The Agency has published instructions for magnetic media submission.
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311. The instructions state that photocopied versions of Part I may be submitted. Does this mean that a
senior official at a facility, certifying the validity of the forms, only has to sign one submission?
No. The final rule states that each unique chemical submission must contain an original signature. The
purpose of this requirement is to ensure that the certifying official has reviewed each chemical submission.
A photocopied signature does not fulfill this purpose and would be considered an incomplete submission.
312. Form R is to be submitted on or before July I of the year following the reporting year. When is the
official due date if July 1 falls on a Saturday or a Sunday?
If the reporting deadline falls on a Saturday or Sunday, the EPA will accept the forms which are
postmarked on the following Monday (i.e. the next business day).
313. If a facility has a manager who is the originator of the data in the form report, would he/she sign
the form or would it be the facility manager to whom this manager reports?
Your facility must make the determination regarding who meets the definition in the rule of a "senior
management official."
314. Are facilities required to include an original signature on forms going to the State as well as EPA?
Under'EPA's rule, an original signature on the certification statement is not required for the copy that is
sent to the State. However, if the state requires an original signature under their state right-to-know laws.
then the facility must comply.
315. If the public contact item (Part I, Section 3.4) is left blank, can the facility later use a public contact
to speak to the news media on behalf of the technical contact, who may not be publicly conversant?
If a public contact is not identified, EPA will enter the technical contact into the database as a public
contact. Thus, this person would receive public inquiries. You may, of course, use any person you choose
to respond to such inquiries.
316. For section 313, a facility submitted a Form R for isopropyl alcohol, CAS number 67-63-0, but does
not manufacture the chemical by the strong acid process. How should the facility notify EPA about the
correction?
The facility should resubmit a copy of their Form R submission for verification accompanied by a cover
letter explaining that the facility does not manufacture isopropyl alcohol by the strong acid process. The
Form R's will be processed by the EPCRA Reporting Center and assigned a Document Control Number
(DCN) as a miscellaneous entry in the tracking system, but will not be entered in the release database.
The form should be marked "revision" in red on top of page 1.
317. A facility mistakenly determined a section 313 chemical to be otherwise used, rather than processed.
at their facility. As a result, the facility reported the chemical on Form R with 15,000 pounds used during
the previous calendar year. Since they will not be reporting this chemical for the next reporting year, is
there any need to retract the previous year's reporting forms to prevent an enforcement contact by EPA.'
The facility is not required to retract the report. A facility may request to retract a form submitted
unnecessarily (i.e.. a legitimate case of over reporting). However, in order to provide for long-term
integrity in the data base, EPA will not accept requests for form retraction later than one year from the
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due date of that form. Since the facility overreported as a result of a threshold determination error, it
should thoroughly document ihe mistake in its recordkeeping for that Form R. No letters or other
documentation need be sent to the state commission or EPA at this time.
3L8. Regarding the technical contact, can this person be a different person for (ai each chemical'.' ihi
each separate part of a facility'.'
Yes. It is allowable to have different technical contacts for different chemicals or different establishments
within the facility, provided that only one "technical contact" is listed on each form.
319. If a facility finds that it has submitted the forms with minor errors (e.g., boxes incorrectly checked.
NA in the wrong place, all pages were not sent for each chemical even if the pages should be blank).
should the forms be resubmitted or should the facility wait for the forms to be returned by the agency for
correction?
The facility should resubmit the form, clearly marking in red ink on the space. "This space t'or your
optional use" that it is a voluntary revision. The information elements that are different from the initial
report should be made and circled in red ink and the document control number (DCN) for each form
being corrected should be included if available.
320. Does EPA plan to go after non-reporters first before "auditing" reports from complying facilities'
Enforcement efforts during 1989 focused on identifying non-reporters. In addition, notices of
non-compliance were issued for forms containing errors or omissions, allowing a period of time for
corrections before penalties are assessed. Also, submissions with questionable technical entries will be
investigated, not purely as enforcement, but to identify problems in calculating releases to improve EP.V-
guidance and instruction documents.
321. Are specific audit provisions in the regulations? Will audit results be made public? Can released
information be changed? What about resolving differences of opinion, i.e., does the auditor have final
judgement?
Specific audit provisions are not in the regulations. The Agency, however, has the responsibility to assure
that the data submitted is based on reasonable estimates. Audit results will be used to identify problems
with calculating releases. In resolving differences of opinion, we expect that a final judgement will be
made bv the Agencv.
322. What type of quality control check does EPA make on each form it receives?
EPA has incorporated edit checks into the database to identify missing, incomplete, incorrect, and >u>pc«.
data elements.
323. How will questionable data be identified by EPA?
EPA has developed checks for completeness and, for some types of data, reasonableness of an entry. F.T
example, zero air emissions of a volatile chemical would be flagged. EPA will contact the facility for
clarification of such "questionable" data.
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324. A facility received 20 pages of errors and the Notice of Noncompliance (NON) states that they did
not have an original signature on the Form R submitted to EPA. How should the facility respond to this
NON?
EPA needs an original signature on file. A complete Form R must be resubmitted and this form should
be attached to the NON before they send it in. They should also respond to any other issues on the NON.
if anv. and return the notice to EPA and to their state contact.
325. The enforcement requirements of EPCRA (section 325), state that the civil and administration
penalties for section 313 non-compliance shall not exceed S25.000 for each violation. Is a non-compliance
violation determined on a per facility or per toxic chemical basis? Also, is that penalty assessed on a per
day basis?
Section 325(c)(i) states: "any person who violates any requirement of section 313 shall be liable to the
United States for a civil penalty in an amount not to exceed S25.000 for each such violation." for each day
a violation continues. Therefore, the facility can be assessed a penalty for each Form R not submitted or
willfully submitted wrong, and the penalty can be assessed on a per day basis. EPA intends to assess
penalties on a per chemical/facility basis with the option to include per day penalties, depending on the
circumstances of the violation.
326. In some sections of Form R. facilities are asked to report "NA" if that section does not apply to a
submission. Are blank spaces left on the form the equivalent of "NA"?
No. The rule requires "NA" to be entered to inform the Agency that the submitter has not just
overlooked a section of the form. Leaving blanks would be considered non-compliance with the rule.
327. Can a facility submit one original copy each of Parts I (Facility Identification Information) and II
(Off-Site Locations) with several copies of Part III (Chemical Specific Information) for different listed
chemicals?
No. Submission of multiple copies of Part III, with only one copy of Parts I and II, would be considered
non-compliance. The final rule clearly requires that each completed submission contains all parts of Form
R (including Part IV, even if it is left blank). A Part I can be filled out once and photocopied for
inclusion in each report, but each copy of Part I requires an original certification signature.
328. How can a facility be assured that the Agency has received a submitted form?
To be acknowledged of receipt of submissions, facilities should send forms using the U.S. Post Office
"Return Receipt Requested" mail service. The Agency will not respond to cover letters requesting
acknowledgement.
XIII. EPA'S SECTION 313 PROGRAM AND GENERAL INFORMATION
329. A facility would like to receive information on who requested their section 313 Form R's. Can the>
request this information from the EPCRA Reporting Center?
No, the request for the names cannot be made to the EPCRA Reporting Center. EPA purposely due- n.
keep a record of individuals or organizations which make requests to the EPCRA Reporting Center ^
protects the anonymity of the requestor.
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330. Where is the court case citation that cites the Emergency Planning and Community Right-to-Know-
Ac! (EPCRA) as a distinct law separate from the Comprehensive Environmental Response. Compensation.
and Liability Act (CERCLA)?
The court case was decided on August 25, 1987 in the U.S. Court of Appeals (D.C. Circuit i. case number
S'-l.vu. A.L. Laboratories vs. EPA. $26 F. 2d 1123 (D.C. Circuit 1987).
331, VVhere will information on toxic chemical emissions and health effects be made available?
A computer database is available to the public through the National Library of Me • :ne's TOXNET
computer system. The toxic release inventory database provides information on the .jxic chemicals which
are routinely released to the environment. Health and environmental effects information on the section
313 chemicals are also be available through TOXNET. EPA has made the data available on microfiche to
all county public library systems and federal depository libraries. In addition. EPA has published a
national report summarizing the data submitted. A magnetic tape and a CD ROM version of the entire
database may also be purchased from NTIS.
332. Will EPA be calculating or monitoring concentrations of toxics in ambient air?
The Agency plans to use TRI data for the purpose of screening and identifying potential environmental
problems.
333. What does OS FLA consider to be a carcinogen under the hazard communication standard? Does a
potential carcinogen need to be included under this definition?
According to OSHA's definition: "a chemical is a carcinogen or potential carcinogen for hazard
communication purposes" if it is found on any of three lists: (1) the National Toxicological Program.
.Annual report on Carcinogens: (2) the International Agency for Research on Cancer (IARC) Monographs
or (3) 29 CFR Part 1910. Subpart 2. OSHA Toxic and Hazardous Substances. Both actual and potential
carcinogens are included under OSHA's definition.
334. De minimis levels of 0.1 percent are assigned to carcinogens under section 313. How are
carcinogens defined? Is the OSHA definition or the ACGIH definition used?
The OSHA definition is used to determine the de minimis limits for section 313 (see instructions to Form
R for the list of de minimis limits). Chemicals listed by ACGIH as suspect human carcinogens meet the
OSHA definition of a carcinogen only if they have been so classified by NT? or IARC. Under IARC. a
chemical with a ranking of 1. 2A. or 2B, or having "sufficient" animal evidence is deemed to meet the
OSHA definition.
335. A facility was assessed a penalty under the section 313 enforcement response policy. How can that
facility contest this penalty assessment?
Section 313 penalties are administrative penalties (as opposed to criminal fines) and can be contested a-
follows: an EPA Administrative Law Judge will hear the case at the regional level or at EPA
Headquarters. If the facility disagrees with that decision, they can appeal to an EPA Judicial Officer i;
they disagree there, they can appeal to the US Court of Appeals, and lastly, to the US Supreme Court
•336. Will EPA assist in educating the public on the meaning of the relative estimates reported under
section 313?
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EPA is taking steps to educate the public about the TRI data, although the explanations are no guarantee
of reduced public concerns. The Toxic Chemical Release Inventory Risk Screening Guide, developed by
EPA, provides guidance to State and local officials on strategies and methods for understanding TRI data.
The preliminary identification of toxic "hot spots" through risk screening will likely intensify local interest
in Agency and industry actions to reduce possible threats.
•337. Is it necessary to have section 313 reporting each year? Why not every 2-3 years, or when
significant changes in annual emissions occur? EPA would get the information with less expenditure of
time, paperwork and costs.
Section 313 contains language that allows the Agency to modify the reporting frequency. However, the
Agency is constrained by the statute from implementing any change in reporting frequency until 1993.
Any proposed change also must be submitted to Congress for review and action.
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XIV. INDEX TO QUESTIONS AND ANSWERS
CAS Number #68. #69, #72, #78, #79. #82. #90. #92. #100. #101. #103. #107,
#120, #127, #302, #316
Certification
Original Signature #311, #314, #324, #327
Senior Management Official #313
Form R Correction/Revision #316 - #319, #322, #323
Chemical #66 - #68, #88
Solution #76. #77, #84, #98, #250, #262
Fume or Dust #71, #83, #97, #145 - #147, #157, #217
Asbestos (Friable) #92 - #94, #236
PCBs #214
Multi-CAS numbers #72
Generic Chemical Name #107, #301, #302
Trade Name Product #68, #107, #108, #114, #116, #117, #126, #127, #133, #134, #196
Chemical Categories
Threshold determination #63, #70| #87, #91, #95, #97, #99, #101, #104, #125, #137, #156.
#157, #164, #166, #201, #202, #217, #218
De Minimis #109, #111, #113, #139, #158, #195 - #203, #334
Chemical Compounds #73, #75, #96, #99, #100, #102, #104, #125, #152, #229
Glycol Ethers #85, #86, #278
Dun & Bradstreet Numbers #43 - #45
Employee Threshold
Contract Employees #14 - #20
Part-Time Employees #14, #17, #18
Sales Staff #13
Enforcement #256, #317, #320, #321, #325, #335
Exemption #169
Article #55, #87, #89, #109, #112, #157, #163, #180, #204 - #218, #231
Personal Use #170 - #172, #175
De Minimis #111, #195 - #203
Intake Water/Air #160, #173, #174
Motor Vehicle #184, #185
Laboratory #40, #186 - #194
Facility Maintenance #162, #176, #177, #179, #181 - #183
Structural Component #93, #177 - #180
Facility #7, #9, #27, #37, #61
SIC Codes 20-39 #1, #4 - #6, #8, #33, #34, #36, #40, #41, #46, #49, #64, #65,
#110, #119, #124, #129, #130, #132
Multi-Establishment #5, #8, #33 - #40, #42, #49, #132, #149
Auxiliary #40, #64, #65
Owner/Operator #21 - #24, #26, #29 - #32, #51
Longitude/Latitude #50
-59-
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Manufacture
Coincidentiai #139, #140 #145. #153, #157, #174. #181
Import #29. #59. #62. #123. #137, #133
Byproduct #145. #153. #164
Impurity #139. #164. #197
Maximum Amount On-Site #76, #146
Mixtures #63, #79, #102 - #104. #133. #196
Form R. Part III. Section 2 #105
Concentration #53, #63. #80 - #82. #89, #106, #107, #111, #119, #176. #181.
#199, #201. #202. #239, #242, #269, #276. #277
NTDES Permit #47, #48, #84, #237. #290
Off-Site Location #284
POTW #254, #261. #274. #290
Landfill #41. #54. #200, #215, #255, #272, #274, #282, #292
Waste Broker #285, #287
Other Disposal #234. #260
OSHA Carcinogen #333, #334
Otherwise Use #134, #143, #159, #165, #265
Chemical Processing Aid #144, #148
Manufacturing Aid #144, #148
Parent Company #25, #31, #44, #51
Process #142, #159
Repackaging #14, #61, #119, #149, #163
Article Component #163
RCRA ID Number #292
Recycle/Reuse #10, #52, #57, #58, #157, #162, #165, #210, #216, #228, #249,
#281, #283, #285, #286, #289, #295
Releases #74, #75, #205, #216 - #226, #229, #230, #234, #238, #239, #250,
#260, #263
Basis of Estimates #241, #257
Estimating Releases #245 - #248, #251 - #253, #262, #264, #278
Fugitive Air Releases #226, #232, #234, #240, #242, #243, #246, #247, #265. #266
Stack/Point Air Releases #226, #232, #233, #249
Receiving Stream #48, #228, #258, #259
Releases to Land #162, #228, #234, #235 - #237, #255, #265, #266, #272, #284
Stormwater #244, #259
Transfer Off-Site #8, #10, #28, #281 - #295
Underground Injection #221
Reporting Year #3, #21, #24, #27, #32, #42, #51, #98, #145, #228, #312, #317
Submission of Form R
Computer Generated Forms #309
Copies #307
Extensions #308
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Magnetic Media #310
NA~ #326
Technical Contact #315, #31S
Return Receipt #328
Supplier Notification #107 - #134
MSDSs #107, #117. #119. #122. #123
Exemptions #109, #111 - #115. #121. #124
SIC Codes #110, #116. #118. #119. #124. #129. #130. #132
Notification #117, #120. #122. #123. #126. #131. #133. #134
Threshold #2. #10, #28. #37. #54 - #61. #70. #71, #93, #94. #116. #135 -
#168, #186, #189. #193, #197, #205. #206
Manufacture #62. #99. #136, #138, #140. #145, #147, #153. #157, #174, #131
Process #10, #42, #62, #95, #135. #136, #142, #147, #149, #150 - #152,
#154, #155, #158, #159. #163 - #168, #211 - #213. #216. #230.
#231
Otherwise Use #52, #74, #95, #135, #143, #148, #150, #152 - #155. #159. #161.
#162, #165, #172. #182. #183, #213. #235
TOXNET #331
Trade Secret #105, #107, #301 - #306
TRI Data Access #329, #336
TRI Data Use #332
Waste Minimization #2% - #300
Waste Treatment #28, #267, #268, #279
Influent Concentration #269, #277
Neutralization #84, #141, #153, #235, #250, #254, #255, #264, #271, #274, #275
Treatment Method #269 - #280, #282
Treatment Efficiency #264, #269, #271, #274, #278, #293
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APPENDIX A
SECTION 313 POLICY DIRECTIVES
This appendix contains in-depth descriptions of some of the more complex issues involved in section
313 reporting.
The questions and answers contained in the body of this document address specific situations. For
some issues, such as de minimis and article exemptions, however, multiple factors become involved in
determining threshold and release information. These issues have generated many inquiries and requests
for clarification from regulated facilities. The directives contained in this appendix provide comprehensive
written interpretations of such issues. While the information contained in these directives is the most up-
to-date guidance available from EPA. no new policy information is contained in this appendix that is not
represented in other EPA documents.
If you feel you have specific circumstances or situations for which you need additional EPA guidance.
contact your Regional section 313 coordinator or call the Emergency Planning and Community Right-to-
Know Information Hotline at 1-800-535-0202. or 1-703-920-9877.
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DIRECTIVE #1: ARTICLE EXEMPTION
Lifted toxic chemicals contained in articles that are processed or used are exempt from threshold
determinations. For a material to be exempt as an article, an item must meet all of the followine three
criteria in the section 313 article definition; that is, the item must be one:
i (which is formed to a specific shape or design during manufacture;
ii (which has end use functions dependent in whole or in part upon its shape or design during end
use; and
iii)which does not release a toxic chemical under the normal circumstances of processing or use of
the item at the facility.
If. as a result of processing or use. an item retains its initial thickness or diameter, in whole or in
part, then it meets the first part of the definition. If the item's basic dimensional characteristics are totally
altered during processing or use, the items would not meet the first part of the definition. An example of
items that do not meet the definition would be items which are cold extruded, such as lead ingots which
are formed into wire or rods. However, cutting a manufactured item into pieces which are recognizable as
the article would not change the original exemption as long as the diameter and the thickness of the item
remained the same. For instance, metal wire may be bent and sheet metal may be cut. punched, stamped,
or pressed without losing their article status as long as there is no change in the diameter of the wire or
tubing or the thickness of the sheet.
An important aspect of the article exemption is what constitutes a release of a toxic chemical. Any
processing or use of an article that results in generation of a waste containing the chemical can be
considered a release which negates the exemption. Cutting, grinding, melting or other processing of a
manufactured item could result in a release of a toxic chemical during normal conditions of use and,
therefore, negate the exemption as an article.
However, there are two circumstances for which releases may not negate the exemption of the item
as an article:
• If the resulting waste containing a listed toxic chemical is 100 percent recycled or reused.
on-site or off-site, then the article status is maintained. For section 313 purposes, wastes
containing toxic chemicals are not reportable on Form R if the waste is reused or recycled,
on-site or off-site.
• If the processing or use of similar manufactured items results in a total release of less than
0.5 pound of a toxic chemical to any environmental media in a calendar year, EPA will
allow this release quantity to be rounded to zero and the manufactured items remain
exempt as articles. Facilities should round off and report all estimates to the nearest
whole number. The 0.5 pound limit does not apply to each individual article, but applies
to the sum of all releases from processing or use of like articles.
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DIRECTIVE #2: DE MIMMIS EXEMPTION
The de minimis exemption allows facilities to discount certain minimum concentrations ot' lifted toxic
chemicals in mixtures they process or otherwise use in threshold and release determinations for section
313 reporting. This de minimis level is 0.1 percent by weight for OSHA defined carcinogens and 1 percent
by weight for all other section 313 chemicals. De minimis levels for chemical categories apply to the touil
concentration of all chemicals in the category within a mixture, not the concentration of each individual
cateuorv member within the mixture.
I. Processin2 or Use of a Mixture
[fa listed toxic chemical is present in a mixture at a concentration below the de minimis level, this
quantity of the substance does not have to be included for threshold determination, release reporting, or
supplier notification requirements.
For processes where ihe chemical concentration fluctuates above and below the de minimis level due
to dilution or concentration activities, the de minimis exemption applies to the process stages where the de
minimis level is not exceeded. This application is further described in the general section of the Toxic-
Chemical Release Inventory Reporting Form R and Instructions document (EPA 560/4-90-007).
Example of Decreasing Process Concentration to Below the De Minimis Level:
A facility buys 29 percent 1.1.1-trichloroethane solution and processes it as a constituent of
a cleaning solution produced. The l.l.l-trichloroethane is present in the final product at 0.5
percent. The facility must consider all amounts of the l.l.l-trichloroethane in concentrations
greater than 1 percent in mixtures for threshold and release determinations. Releases might
include fugitive emissions from transferring, mixing, and storing the 29 percent l.l.l-
trichloroethane solution. However, releases of the 1,1,1-trichloroethane from the 0.5 percent
solution, such as spills, loading, and storage tank emissions, do not have to be reported since
the concentration is below the de minimis concentration of 1 percent for l.l.l-trichloroethane.
Supplier notification for the l.l.l-trichloroethane in the cleaning product is not required
because the toxic chemical is present below the de minimis level.
Example of Increasing Process Concentration to Above De Minimis Level:
A manufacturing facility receives toluene which contains less than the de minimis
concentration of chlorobenzene. Through distillation, the chlorobenzene content in process
streams is increased over the de minimis concentration of 1 percent. From the point at which the
chlorobenzene concentration exceeds 1 percent in process streams, the amount present must be
factored into threshold determinations and release estimates. The facility does not need to
consider the amount of chlorobenzene in the raw material when making threshold determinations.
They do not have to report emissions of chlorobenzene from storage tanks or any other equipment
where the chlorobenzene content is less than 1 percent.
Example of Increasing Concentration Through Beneficiation:
An oil refinery receives crude oil containing less than the de minimis concentration of toluene.
Through distillation, extraction, and catalytic reforming, the toluene content of the process stream
is increased to above the de minimis level. De minimis exemption does not apply to this operation
since the raw materials are obtained and processed at the facility to produce the toxic chemical
through beneficiation. Note that beneficiation applies specifically to ores, crude petroleum, and
natural gas.
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A-4
2. Manufacture of the Listed Chemical in a Mixture
The de minimis exemption does not apply to manut'acture of a toxic chemical. One exception applies
to the toxic chemical which is made (manufactured") as an impurity and remains in the product distributed
in commerce at below the de minimis levels, the amount remaining in the product is exempt from
threshold determinations. However, any amount that is separated from the product (e.g.. ends up in a
wastestrearti) is subject to threshold and release determinations regardless of the concentration of the toxic
chemical in the wastestream.
Example of Coincidental Manufacture as a Product Impurity:
Phosgene reacts with water to form trace quantities of hydrogen chloride (HCi). The
resulting product contains 99 percent phosgene and 0.2 percent hydrochloric acid. The HCI
would not be subject to section 313 reporting nor would supplier notification be required
because the concentration of HCI is below its de minimis concentration of 1 percent.
Example of Coincidental Manufacture as a Commercial Byproduct and Impurity:
Chloroform is a reaction byproduct in the production of carbon tetrachloride. It is
removed by distillation to a concentration of less than 150 ppm (0.0150%) remaining in the
carbon tetrachloride. The separated chloroform at 90 percent concentration is sold as a
byproduct. Chloroform is subject to a 0.1% (1000 ppm) de minimis level. Any amount of
chloroform produced and separated as byproduct must be included in threshold determinations
and is subject to supplier notification requirements because the de minimis exemption does not
apply to manufacture of a chemical. Releases of chloroform prior to and during purification of
the carbon tetrachloride should be reported. The de minimis exemption can. however, be
applied to the chloroform remaining in the carbon tetrachloride as an impurity. Because the
concentration of chloroform is below the de minimis level, this quantity of chloroform is
exempt from threshold determination, release reporting, and supplier notification.
Example of Coincidental Manufacture as a Waste Byproduct:
A. small amount of formaldehyde is manufactured as a reaction byproduct during the
production of phthalic anhydride. The formaldehyde is separated from the phthalic anhydride
as a waste gas and burned, leaving no formaldehyde in the phthalic anhydride. The amount of
formaldehyde produced and removed as waste must be included in threshold and release
determinations even if the formaldehyde were present below the de minimis level in the process
stream where it was manufactured or in the wastestream to which it was separated.
The de minimis exemption also does not apply to situations where the manufactured chemical is
released or transferred to waste streams and therebv diluted to below the de minimis level.
3. De Minimis Levels Impact Supplier Notification Requirements
If the toxic chemical in a product (mixture or trade name product) is present below the de minimis
level for that toxic chemical, supplier notification is not required for that chemical.
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A-5
DIRECTIVE #3: MOTOR VEHICLES USE EXEMPTION
The use of "products containing toxic chemicals tor the purpose of maintaining motor vehicles
operated by the facility" is exempt from threshold determinations and release reporting under section 313.
This exemption includes to\:c chemicals found in gasoline, diesel fuel, brake and transmission fluids, oils
and lubricants, antifreeze, batteries, cleaning solutions and solvents in paint used for touch up as lone as
the products are used to maintain the vehicle operated by the facility. Motor vehicles include cars, trucks.
some cranes, forklitts. tow motors, locomotive eneines. and aircraft.
1. Motor Vehicles Use Exemption Applies Onlv to 'Otherwise Use' of Chemical
The exemption applies only for the "otherwise use" of these chemicals, not their manufacture or
processing for distribution in commerce. For example, manufacturing gasoline is not exempt from
reporting. Similarly, an automobile manufacturer who places transmission fluids in automobiles before
shipping them would be "processing" the listed toxic chemical because the fluid is being incorporated into
an article that the facility distributes in commerce.
Releases from the storage of fuel or motor vehicle maintenance products are exempt from reporting
by virtue of the fact that their use is exempt. For example, releases of listed toxic chemicals in gasoline
stored on-site for use by company owned vehicles, including vehicles from other facilities, are exempt from
inclusion in facility-wide release determination for those chemicals.
2. Motor Vehicle Use Exemption Does Not Apply to Stationary Equipment
The motor vehicle exemption does not apply to use of lubricants for stationary process equipment
such as pumps or compressors. Likewise, fuels used for furnaces, boilers, heaters, or any stationary source
of energy are not exempt.
3. Uses of Fuels in Stationary Equipment Mav Not Trigger Reporting
In many cases, refined petroleum or fossil fuels may not trigger reporting because any section 313
chemicals (e.g., metals in fuel oil and coal) are usually present at very low concentrations and are likely to
be below the de minimis concentration of 1% (0.1% for carcinogens). Manufacturers, processors and users
of gasoline will have to take into account that gasoline contains several aromatic compounds that are on
the section 313 list, including benzene, toluene, xylene, naphthalene, and anthracene.
Be aware, however, that combustion of fuels may coincidentally produce section 313 toxic chemicals.
such as formaldehyde, hydrogen fluoride, and hydrogen chloride. Such coincidental manufacture is not
subject to de minimis limitations (see the directive on de minimis) and amounts produced must be
compared against the manufacturing threshold. The EPA publication. Toxic Air Pollutant Emission
Factors -- A Compilation of Selected Air Toxic Compounds and Sources (EPA 450/2-88-006a) contam>
emission factors for many specific compounds emitted during fuel combustion.
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A-6
DIRECTIVE #4: COMPOUNDS A.N'D MIXTURES
1. Definition of Compounds
A "compound" is any combination of two or more chemicals where the result is (in whole or in parti
a product of a chemical reaction. In the formation of a compound, the reactant chemicals loose their
individual chemical identities. Polymers formed as non-reversible reaction products are an example of
compounds.
2. Definition of Mixtures
A "mixture" is any combination of two or more chemicals, if the combination is not, in whole or in
part, the result of a chemical reaction. In a mixture, the individual components retain their identities.
Mixtures include any combination of a chemical and associated impurities. AJloys are mixtures because
the individual metals in the alloy retain their chemical identities.
3. Mixtures Must be Considered for Section 313 Reporting
Thresholds and release determinations for section 313 reporting must include the amount of the
listed toxic chemical present above the de minimis level in all mixtures processed or otherwise used by the
facility. If a listed toxic chemical is present in a mixture at or above the de minimis level, only the amount
of the toxic chemical, and not the mixture itself, is used for threshold and release determinations.
4. Solutions Listed Under Section 313 are a Special Case
Section 313 toxic chemicals listed with the special qualifier "solution" refers to the form of the
chemical and indicates that it is to be reported only if manufactured, processed/or used in solution form.
However, only the weight of the actual chemical, not the full mass of the solution is used in threshold and
release calculations.
5. Supplier Notification and Concentration Ranges Provide Information for Reporting
The section 313 supplier notification requirements are designed to provide chemical users with
information on the identities and concentrations of listed toxic chemicals present in the mixtures that they
use. There can still be situations, however, when a facility may not have this information for a mixture. If
the facility knows that a mixture contains a toxic chemical but no concentration information is provided by
the supplier, then the facility should assume that the "maximum" is 100 percent. If only a range of
concentrations is available for a toxic chemical present in a mixture, the owner/operator should use the
midpoint of the "minimum" and "maximum" percentages in order to determine the amount that is applied
toward the threshold. Thus, if a facility owner/operator only knows the lower bound concentration of a
toxic chemical present in a mixture, the owner/operator should assume the upper bound concentration is
100 percent and then compute an average based on these lower and upper bound concentration estimates
to determine whether the threshold has been exceeded. If there are other known components present in
the mixture, the facility owner/operator should subtract out the percentage of these components to
determine what a reasonable "maximum" percentage of the toxic chemical could be.
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A-"
DIRECTIVE #5: CHEMICAL CATEGORIES
t. Ml Compounds in a Listed Chemical Category are Aggregated for Threshold Determinations
Toxic chemical categories listed under section 313 require a different approach when making
threshold and release determinations. For a chemical that is included in a listed metal compound
category-, the total weight of that chemical compound, not just the parent metal, is used in making
threshold determinations. A facility will need to calculate the total weight of all compounds that are in
the category, sum the amounts involved throughout the facility in each threshold activity, and compare the
totals to the applicable thresholds. A compound in a listed chemical category that is present in a mixture
below the de minimis concentration based on the total weight of the compound is exempt from threshold
and release calculations under section 313. Again, all individual members of a compound category must be
totalled to determine if that compound category has exceeded the de minimis concentration in a mixture.
2. Make Threshold Determinations for Listed Toxic Chemicals Separately from the Listed Chemical
Category
The section 313 list contains some listed substances that also are members of a listed chemical
category. Threshold determinations for a specifically listed toxic chemical are calculated separately from
the threshold determinations for the chemical category. For example, 2-Methoxyethanol, which is
specifically listed on the section 313 list, is also a member of the glycol ether compound category. Because
the chemical is specifically listed, a facility must make a threshold determination for 2-Methoxyethanol and
a separate threshold determination for all other glycol ethers meeting the criteria for that chemical
category which are not specifically listed under section 313.
3. Calculate Releases Based on Parent Metal For Metal Compound Categories
Once a reporting threshold is met for a metal compound category, releases of compounds are
calculated based on the pounds of the parent metal released, rather than the total weight of the
compound. EPA adopted this approach because of the difficulty of calculating releases of potentially
numerous compounds within a metal compound category, and recognizing that methods and data for
monitoring of the parent metal often exist while those for the compound(s) rarely will.
4. Optional Form R Submission for Parent Metal and Associated Metal Compound Category
If both the parent metal and associated metal compound category exceed their respective thresholds,
one section 313 reporting Form R, covering all releases of the parent metal from activities involving both
the chemical and the chemical category may be filed. For example, if a facility processes 30,000 pounds of
lead and otherwise uses 13,000 pounds of lead oxide, the facility could submit one Form R for lead and
lead compounds. On this Form R, the facility would report all activities involving lead and lead
compounds and all releases of the parent metal, lead. This option, preferred by EPA, is available to
facilities, although separate reports may be filed if desired.
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DIRECTIVE #6: PCBs THRESHOLD DETERMINATION AND RELEASE REPORTING
Polychlorinated biphenyls (PCBs) are a listed chemical under section 313.
I. PCBs in Articles are Exempt
EPA has stated that transformers are articles (and thus exempt from threshold determinations) but
that the release or removal of fluid from the transformer negates the article status. Only the article status
of those transformers which have fluids removed or escaping is affected. However, the PCBs are still not
reportable if no new PCB-containing fluid is added, since the threshold determination is based on fluid
added, not lost. (See Directive #7 on reuse and recycling exceptions.)
EPA has stated that disposal or removal of articles does not constitute release. Therefore, disposal
on-site or off-site transfer of the whole transformer, with fluid content undisturbed, does not negate the
article status. The transformer is not included in threshold determinations, and does not have to be
reported as a release or an off-site transfer of PCBs for purposes of section 313 reporting.
PCBs will rarely meet "otherwise use" thresholds. Calculating the threshold for "otherwise use"
considers the amount of PCBs added to transformers during the reporting year and does not consider the
amount of working fluid contained in the transformer. Legally and practically, facilities will not add PCB
containing fluid to a transformer -- so thresholds should not be exceeded in this way.
2. Coincidental Manufacture of PCBs is Subject to Section 313
Facilities involved in coincidental manufacture of PCBs and further processing of mixtures containing
PCBs (in excess of the 0.1 percent de minimis level) must perform manufacturing and processing threshold
determinations.
3. Treatment or Disposal of PCBs Are Unlikely to Require Section 313 Reporting
Facilities outside the SIC codes 20-39 which treat and/or dispose of PCBs are not be subject to
section 313 reporting. Those that are in the covered SIC codes may not be subject to reporting because
treatment and/or disposal activities will not represent manufacturing, processing, or using PCBs as defined
under section 313.
Processing represents a potentially covered activity. However, facilities are not likely to be
incorporating PCBs into items distributed in commerce or to be using PCBs as starting material or
intermediate for the production of other chemical substances that are distributed in commerce or used >>n
site.
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DIRECTIVE #7: REUSE AND RECYCLE EXCEPTIONS
Reuse or recycling of a listed toxic chemical can impact threshold determinations, article exemption
status, reporting of off-site transfers and supplier notification.
1. Process or Otherwise Use of Toxic Chemicals in an On-Site Recycle/Reuse Operation Mav Re
Exempt From Threshold Determinations
Quantities of a toxic chemical that are present in an on-site recycle/reuse operation at the beginning
of the reporting year are not counted toward a threshold determination for that reporting year. This
exemption prevents the facility from counting the same amount of a toxic chemical everytime it cycles
through the on-site operation. However, only the amount of a toxic chemical newly added to an on-site
recycle/reuse operation during the reporting year is counted in the threshold determinations. Such
additional amounts would include any quantities of a toxic chemical added to "top off the recycle/reuse
operation or amounts added as result of start-up or total replacement of the contents of the recycle.-re use
operation during the reporting year..
For example, if 2.000 pounds of ammonia is added in the calendar year to a closed loop refrigeration
system that is run at its 12.000 pound capacity all year, then only 2.000 pounds would be applied to the
"otherwise use" threshold for ammonia. In this case, the threshold (10,000 pounds for "otherwise use')
would not be met if this is the facility's only use of ammonia. However, if the entire supply of ammonia in
the refrigeration system was flushed and replaced in addition to the 2,000 pounds being added throughout
the calendar year, then 14.000 pounds would be counted towards the "otherwise use" threshold for
ammonia. In this case, the 10.000 pound threshold for "otherwise use" would be exceeded and a Form R
report would be required for ammonia.
This exemption does not apply to toxic chemicals "recycled" off-site and returned to the facility. Such
toxic chemicals returned to the facility are treated as the equivalent of newly purchased material for
purposes of section 313 threshold determinations.
2. Article Status Is Maintained If All Releases Are Reused or Recycled
An important aspect of the article exemption is what constitutes a release of a toxic chemical. Any
processing or use of an article that results in generation of a waste containing the chemical can be
considered a release which negates the exemption. Cutting, grinding, melting or other processing of a
manufactured item could result in a release of a toxic chemical during normal conditions of use and.
therefore, negate the exemption as an article. However, if the resulting waste containing a listed toxic
chemical is 100% recycled or reused, on-site or off-site, then the article status is maintained. Wastes
containing toxic chemicals are not reportable under section 313 if the waste is reused or recycled, on-site
or off-site.
3. Do Not Report Amounts Sent Off-Site for Reuse or Recycling As Off-Site Transfers
If a toxic chemical is sent off-site for purposes of reuse or recycling, the location does not have to be
reported on Form R as an off-site transfer. EPA requires the identification of all other toxic chemicals in
wastes which are transferred off-site for final disposal. Off-site reuse or recycling activities, however, are
more closely related to facility products distributed in commerce.
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4> Supplier Notification Applies to Chemical?. Sent Off-Site for Reuse or
While the amount of the listed toxic chemical which is sent off-site for reuse or recvclina does no,
have to he reported on Form R. supplier notification is still required to he provided to the otT-Mte
location ,. the location is a manufacturing facility in SIC codes :U-39. or ,s a facility outs.de of SIC code,
20o9 that distributes to manufacturing facilities. '
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DIRECTIVE #8: AMMONIA AND AMMONIA SALTS
I. Determine Total Ammonia Bv Adding the Ionized and Non-ionized Forms
Aqueous solutions of ammonia contain both non-ionized ammonia. NH;. and ionized ammonia.
NH4~. .As the chemical equation below indicates, an equilibrium exists between the non-ioni/.ed and
ionized forms of ammonia.
NH3 + 2H:0 < ..... > NH4- + OH" + H;O
The term ''total ammonia" refers to the sum of these species, i.e.. NH? + NH4". The relative amounts of
NH3 and NH4~ are dependent upon a number of factors (e.g.. temperature, pH. ionic strength).
Estimates, of releases for section 313, should be made for total ammonia to account for all forms that are
present.
Aqueous solutions of ammonium salts that dissociate in water are environmentally equivalent to
aqueous solutions of ammonia. There are differences in the equilibrium concentrations of un-ionizcd
ammonia (N'H-,) and ionized ammonia (NH4-t-) between equimolar aqueous solutions of ammonium sulis
that dissociate in water and aqueous ammonia due to buffering effects from the counter ion in the
ammonium salt solution. These differences are reflected by differences in pH. However, this difference
disappears when both solutions are released to the environment. The relative amount of un-ionized
ammonia present after release is dependent upon the conditions (i.e., pH and temperature of the receiving
waters). Releases of ammonia to water and releases of ammonium salts to water are environmentally
equivalent. Therefore, facilities which manufacture, process, or otherwise use an aqueous solution of an
ammonium salt that dissociates in water are required to report these releases as ammonia if an activity
threshold is met or exceeded.
For example, a facility that buys ammonium sulfate in dry form and then makes a solution by adding
water is required to add all non-ionized ammonia. NH3. and ionized ammonia. NH4" in the solution when
makin threshold determinations and release estimates.
2. Consider Ammonium Hvdroxide Solutions as Ammonia Solutions
Ammonium hydroxide solutions should be considered to be ammonia because ammonium hydroxide
is aqueous ammonia. The commercial products "aqua ammonia" or "ammonium hydroxide" are
approximately equivalent to 30 percent solutions of ammonia in water. These products are considered
mixtures of ammonia and water and therefore, should be reported as ammonia.
3. Consider Aqueous Solutions of Most Ammonium Salts as Ammonia
Ammonium salts that dissociate in water such as ammonium chloride, ammonium carbonate, and
ammonium bicarbonate will dissociate in water to form solutions of ammonia. Consequently, facilities
which manufacture, process, or otherwise use an aqueous solution of most ammonium salts are required to
make threshold determinations and if necessary release estimates for ammonia under section 313.
Facilities that manufacture, process, or otherwise use more than one ammonium salt, or ammonia
source must aggregate their data when making threshold determinations and release estimations. Also, thu
ammonia from each ammonium salt should be based on the percentage by weight of ammonia in the salt.
and not the entire weight of the ammonium salt. For example, an aqueous ammonia solution is generated
by dissolving 20,000 pounds of ammonia, 100.000 pounds of ammonium sulfate, and 100.000 pounds ot
ammonium chloride in water. Ammonium suifatc consists of 27% NH3 by weight. Ammonium chloride
consists of 32% NH3 by weight. Thus, 79,000 pounJ^ oi ammonia [20.000 pounds from ammonia -r :~. .....
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pounds from ammonium sulfate * 32.0UO pound's i'rum ammonium chloride] should be compared to the
25.000 pound manufacturing threshold.
4. Determining Threshold Levels and Activities for Ammonia and Ammonium Salts
By adding an ammonium salt to water, the facility is manufacturing aqueous ammonia and
consequently, is subject to the manufacturing threshold of 25.000 pounds. This manufacturing threshold
applies to the ammonia portion of the ammonium salt. The counter ion is not considered for threshold
determinations. If the resulting ammonium salt solution is "otherwise used" at a facility, both activities.
manufacturing and otherwise used, should be indicated on the Form R.
If an ammonia byproduct is not incorporated into a product for commercial distribution, the
"otherwise use" threshold of 10.000 pounds applies. For example, a facility uses sulfuric acid to etch chips.
and then neutralizes the acid with ammonia forming ammonium sulfate. Since the ammonium sulfate is a
byproduct and forms an aqueous solution of ammonia, the facility is otherwise using ammonia.
5. Special Considerations for Ammonium Nitrate and Listed Ammonium Salts
Aqueous releases of other ammonium salts which are individually listed on the section 313 list of
toxic chemicals should be reported as releases of the specific ammonium salt rather than ammonia.
because there may be concerns for the toxicity of the salt in addition to the concerns for ammonia to.xicity.
Specifically, ammonium nitrate (CAS number 6484-52-2) is a listed chemical under section 313.
Facilities which manufacture, process, or otherwise use aqueous solutions of ammonium nitrate should
report their releases as ammonium nitrate (solution), and not as aqueous ammonia.
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