tes
inrnental Protection
cy
Of Toxic
Substances. TS-793
Washington, D.C. 20460
January 1991
EPA 560/4-91-001
Toxic Chemical Release Inventory
Reporting Package for 1990
»EPA Toxic CtMtrtctl R«i»««e Inv
H•porting Fonn R and in»iructk>n»
Section 313
Toxic Chemical Release Inventory
Reporting Form R and Instructions
• Reporting Form R
• Reporting Codes Form R
• Example of P r\ R
Preparation
• Common Errors Found on Form
Reports
• Supplier N( >i Requiremei
• How to Determine Latitude and
Longitude
• State Designated Section 313
• Section 313 EPA Regional C
• Section 313 Document Rt irm
OUMtiora and Aniwtrt
Section 313
•nn»»B »n4
Coit*mun*T HtfTit't»-Mnv-
Toxic Chemical Release Inventory
Questions and Answers
• Threshold Determinations
• Chemical Sp<
• Mixtures and Solutions
• Exemptions
• Releases of the C
• Policy Directives
• Ar
• De Min
• Recycle/Reuse Exer
• Ammonia and Ammcr
-------
For "more information and assistance (including blank form R
and reporting package) contact:
Emergency Planning and Community Right-to-Know
Hotline 1-800-535-0202
Written requests for specific TRI reports can be addressed to
state agencies listed in Appendix C or:
U.S. EPA Title III Reporting Center
ATTN: TRI PUBLIC INQUIRY
470 L'Enfant Plaza East, S.W.
Suite 7103
Washington, D.C. 20024 (202) 488-1501
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
January, ijjsi PESTICIDES AND TOXIC
SUBSTANCES
Dear Facility Compliance Manager:
This Toxic Chemical Release Inventory Reporting Package contains complete
instructions for preparing and submitting your TRI reports. Except for a few minor
changes. Form R remains essentially the same as last year. Instructions for determining
longitude and latitude1 have been revised (Appendix F). The section describing common
errors in completing Form R has also been greatly expanded (Appendix D).
EPA is continuing its efforts to reduce the burden of TRI reporting, given the
complexity of the task. This year we are providing to you the "Toxic Chemical Release
Inventory Reporting System," software that will enable you to prepare TRI reports in
electronic format. It is an easy-to-use, DOS-based, computer program that will prompt
you to enter data onto an electronic Form R, and produce a floppy disk containing your
report. When EPA receives your floppy disk, the data will be transferred directly to the
computer, thus eliminating the need for EPA to key the data and eliminating the
possibility of keypunch errors. "Overlays" are provided with the software to enable you
to produce hard copy reports for your own files and for submission to your state if it
does not accept magnetic media. Of course, we will continue to accept printed Form
R's, but I would encourage you to report in electronic form. (TRI reporting software is
also available from several commercial sources. See the next page for a list of potential
suppliers.)
As we prepare for the fourth year of Toxic Chemical Release Inventory (TRI)
reporting, I am struck by the increasing reliance on TRI and similar data as the yardstick
by which progress on other environmental initiatives is measured. For example, the new
Clean Air Act Amendments contain provisions for voluntary reduction of air emissions;
TRI data may be used as a baseline for evaluating achievements towards this goal. The
Pollution Prevention Act of 1990 will significantly impact TRI reporting for the 1991
reporting year, making reporting mandatory on a variety of waste minimization and
pollution prevention activities.
We appreciate your help in making TRI a valuable tool for looking at toxic chemical
issues. In view of the soon-to-be mandatory pollution prevention reporting, we would
encourage you to submit the voluntary waste minimization parts of the form this year.
Sincerely,
Mark A. Greenwood, Director
Office of Toxic Substances
Printed on Recycled Paper
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TRI REPORTING SOFTWARE from COMMERCIAL VENDORS *
AMOCO
200 E. Randolph Drive
P.O. Box 87707
Chicago, IL 60680-0707
Lisa A. Smith/(312) 856-6549
BAKER/TSA INC.
420 Rouser Rd., AOP Bldg. 3
Carapolis, PA 15108
Jeffrey G. B!and/{412) 269-6000
CORBUS, INC.
204C Line Road
Kennett Square, Pennsylvania 19348
Jim J. Haag/(215)444-5691
DU PONT COMPANY
P.O. Box 6090
Newark, DE 19714-6090
Clare M. Ownings/1-800-526-1699
ERM COMPUTER SERVICES INC.
855 Springdale Drive
Exton, PA 19341
William Hope/(215) 524-3600
MONSANTO
800 N. Lindberg Blvd. - MS FIEG
St. Louis, MO 63167
Gale Crenshaw/(314) 694-8766
A.V. SYSTEMS, INC.
924 Woodlawn Street
Ann Arbor, Ml 48104
Marie H. Shih/(313) 662-0355
CHEM-TOX SYSTEM DIVISION
RESOURCE CONSULTANTS
7121 Cross Roads Blvd.
P.O. Box 1848
Brentwood,TN 37024-1848
James L. Wood/(615) 373-5040
DLS ASSOCIATES
P.O. Box 8406
St. Louis, MO 63132
David Shapiro/(314) 532-0769
ENVIRO BASE SYSTEMS
9085 E. Mineral Circle
Suite 230
Englewood, CO 80112
Richard L. Sayrs/{303) 790-8396
MEIBURGER ENVIRONMENTAL
SERVICES
93 Centre Pointe Drive
St. Charles, MO 63303
Paul Meiburger/{314) 928-6424
SOFTWARE INNOVATIONS
(aka Geesman Software)
1818 Vermont Ave., NW.
Washington, D.C. 20001
Bruce Giesert/{202) 332-2858
The packages listed here were approved for submission of 1989 forms. Please
check with the vendor to determine if a 1990 package will be available.
-------
Reporting Instructions
-------
United States
Environmental Protection
Agency
Office of Toxic
Substances, TS-779
Washington, D.C. 20460
January 1991
EPA 560/4-91-007
&EPA Toxic Chemical Release Inventory
Reporting Form R and Instructions
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)
-------
REPORTING FORMR SUBMISSION CHECKLIST
1 . Complete a separate Form R for each chemical or chemical category you are reporting
Q 1 .a Complete Part I for each chemical or chemical category reported.
Q 1 .b Enter CAS number and chemical name in Part III, Sections 1 .2 and 1 .3 (or the chemical
category name and NA in the CAS number section); and
Q 1 .c Enter information in Parts III, IV, and V that apply flnly to the chemical category being
reported.
Q 2. Complete the report with information from the previous calendar year
Q 2.a Complete all sections, if applicable, or enter NA; and
Q 2.b Include all four sections (minimum of 5 pages)
Q 2.c Sign the report certification (Part I, Section 2).
Q 3. Submit by July 1 , 1991 to:
Q 3.a EPA Headquarters (original signature on Part I, Section 2 is required for each chemical
submission to EPA)
EPCRA Reporting Center
P.O. Box 23779
Washington, D.C. 20026-3779
Attn: Toxic Chemical Release Inventory
Q 3.b State-designated section 31 3 contact (see Appendix G) or the designated official of an
Indian tribe; and
Q 4. Keep a copy of each Form R and all supporting documentation for your files. (All such information
must be kept for three years.)
Additional requirements if claiming chemical identity trade secret (see Section A.2: Trade Secret Claims):
LJ 1 . Provide two complete identical Form R reports including Parts I, II, III, and IV (pages 1 -5);
Q 1 .a One that identifies the chemical ("unsanitized");
Q 1 .b One that provides a generic chemical identity ("sanitized"); and
Q 1 .c Certify both with an original signature and date.
LJ 2. Provide two complete trade secret substantiation forms:
Q 2.a One that identifies the chemical ("unsanitized");
Q 2.b One that provides a generic chemical identity ("sanitized"); and
Q 2.c Certify both with an original signature and date.
LJ 3. Check that the sanitized and unsanitized versions are correctly identified in Part I, Section 1 .2.
Q 4. Originals of all four reports should be submitted to EPA Headquarters (see address above).
Q 5. Only the sanitized versions of the report and trade secret substantiation form must be sent to the State.
Submit Form R by July 1 to EPA and the appropriate agency in your State.
-------
Important Changes
in the Section 313 Requirements for
Reporting Year 1990
Reportingi^uirementsforcalendaryearl990(reportsdueJulyl,1991)differfromprioryearIsrequirements:
(1) The following chemicals have been specifically delisted and are noi covered for the 1990 reporting
yean
CAS Number
Titanium dioxide 13463-67-7
C.I. Acid Blue 9 diammonium salt 2650-18-2
C.I. Acid Blue 9 disodium salt 3844-45-9
Melamine 108-78-1
Sodium sulfate (solution) 7757-82-6
Sodium hydroxide (solution) 1310-73-2
Aluminum oxide (non-fibrous forms) 1344-28-1
Terephthalic acid 100-21-0
(2) The following chemicals have been added to the toxic chemical list and are covered for the 1990
reporting yean
CAS Number
Allyl alcohol 107-18-6
Creosote 8001-58-9
23-Dichloropropene 78-88-6
m-Dinitrobenzene 99-65-0
o-Dinitrobenzene 528-29-0
p-Dinitrobenzene 100-25-4
Dinitrotoluene (mixed isomers) 25321 -14-6
Isosafrole 120-58-1
Toluenediisocyanate (mixed isomers) 26471 -62-5
(3) The only change to Form R is the modification of the ranges to be used for release reporting in Part
HI, Sections 5 and 6. The new reporting ranges are: 1 -10,11 - 499, and 500 - 999.
(4) The instructions and reporting codes to be used for indicating reasons for waste minimization in Part
HI, Section 8 have been modifed. For additional information, see Section 8.D of the instructions.
(5) A TRI facility identification number has been assigned to each facility that previously submitted
Form R reports. This identification number is designed to simplify locating facility reports. All
facilities which submitted a Form R previously will receive a section 313 compliance package that
includes a self adhesive mailing label with the TRI facility identification number. If this material
did not contain a mailing label or you have misplaced it, contact the Emergency Planning and
Community Right-to-Know Information Hotline for help in determining your TRI facility identification
number.
-------
(6) The EPA Headquarters address for submitting completed Form R reports is:
EPCRA Reporting Center
P.O. Box 23779
Washington, D.C. 20026-3779
Attn: Toxic Chemical Release Inventory
(7) The toll-free telephone number for the Emergency Planning and Community Right-to-Know Information Hotline, 1-
800-535-0202, is now accessible throughout the U.S., including Washington, D.C., and Alaska. However, the toll
telephone number has been changed to (703) 920-9877.
-------
TOXIC RELEASE INVENTORY REPORTING FORM R AND INSTRUCTIONS
TABLE OF CONTENTS
Page
A. GENERAL INFORMATION - 1
A.1 How to Assemble a Complete Report 1
A.2 Trade Secret Claims 1
A.3 Recordkeeping 2
A.4 When the Report Must Be Submitted 2
A.5 Where to Send the Form R 2
A.6 How to Obtain Forms and Other Information 3
A.7 Who Must Submit This Form 3
B. HOW TO DETERMINE IF YOUR FACILITY MUST SUBMIT EPA FORM R 5
B.1 Full-Time Employee Determination 5
B.2 Primary SIC Code Determination 5
B.2.a Multi-Establishment Facilities 5
B.2.b Auxiliary Facilities 6
B.2.c Facility-Related Exemptions 6
B.3 Activity Determination 6
B.3.a Definitions of "Manufacture." "Process," and "Otherwise Use" 6
B.3.b Activity Exemptions 7
B.S.c Activity Qualifiers 8
B.4 Threshold Determination 9
B.4.a How to Determine If Thresholds Are Exceeded 9
B.4.b Mixtures and Trade Name Products 11
C. INSTRUCTIONS FOR COMPLETING EPA FORM R 15
PART L FACILITY IDENTIFICATION INFORMATION 15
1.1 Are You Claiming the Chemical Identity on Page 3 Trade Secret? 15
1.2 If "Yes" in 1.1, Is This Copy Sanitized or Unsanitized? 15
1.3 Reporting Year 15
2. Certification 15
3.1 Facility Name and Location 16
3.2 Full or Partial Facility Indication 16
3.3 Technical Contact 16
3.4 Public Contact 16
3.5 Standard Industrial Classification (SIC) Code 16
3.6 Latitude and Longitude 16
3.7 Facility Dun and Bradstreet Number 17
3.8 EPA Identification Number 17
3.9 NPDES Permit Number 17
3.10 Receiving Streams or Water Bodies 17
3.11 Underground Injection Well Code (UlC) Identification Number 17
4. Parent Company Information 17
4.1 Name of Parent Company 17
4.2 Parent Company's Dun and Bradstreet Number 17
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TOXIC RELEASE INVENTORY REPORTING FORM R AND INSTRUCTIONS
TABLE OF CONTENTS
(continued)
PART IL OFF-SITE LOCATIONS TO WHICH TOXIC CHEMICALS ARE
TRANSFERRED IN WASTES 18
1. Publicly Owned Treatment Works (POTWs) 18
2. Other Off-Site Locations 18
PART HI. CHEMICAL-SPECIFIC INFORMATION 18
1.1 [Reserved] 18
1.2 CAS Number 18
1.3 Chemical or Chemical Category Name 18
1.4 Generic Chemical Name 19
2. Mixture Component Identity 19
3. Activities and Uses of the Chemical at the Facility 19
3.1 Manufacture of the Chemical 19
3.2 Process the Chemical 20
3.3 Otherwise Use the Chemical 20
4. Maximum Amount of the Chemical On-Site at Any Time
During the Calendar Year 22
5. Releases of the Chemical to the Environment On-Site 22
5.1 Fugitive or Non-Point Air Emissions 22
5.2 Stack or Point Air Emissions 22
5.3 Discharges to Receiving Streams or Water Bodies 22
5.4 Underground Injection On-Site 23
5.5 Releases to Land On-Site 23
5.A Total Release 23
5.B Basis of Estimate 25
5.C Percent From Stormwater 27
6. Transfers of the Chemical in Waste to Off-Site Locations 28
6.A Total Transfers 28
6.B Basis of Estimate 28
6.C Type of Treatment/Disposal 28
7. Waste Treatment Methods and Efficiency 29
7.A General Wastestream 29
7.B Treatment Method 29
7.C Range of Influent Concentration 30
7.D Sequential Treatment? 31
7.E Treatment Efficiency Estimate 31
7.F Based on Operating Data? 31
8. Pollution Prevention: Optional Information on Waste Minimization 32
8.A Type of Modification 32
8.B Quantity of the Chemical in the Wastestream Prior to
Treatment/Disposal 33
8.C Waste Minimization Index 33
8.D Reason for Action 33
-------
TOXIC RELEASE INVENTORY REPORTING FORM R AND INSTRUCTIONS
TABLE OF CONTENTS
(continued)
Page
TABLE I SIC Codes 20-39 35
TABLE II Section 313 Toxic Chemical List for Reporting Year 1990 41
TABLE III State Abbreviations 51
APPENDIX A Toxic Chemical Release Inventory Reporting Form R A-1
APPENDIX B Reporting Codes for EPA Form R B-1
APPENDIX C Example of How a Hypothetical Facility Prepared
Reporting Form R C-1
APPENDIX D Most Common Errors Found on Previously Submitted Form R Reports D-1
APPENDIX E Supplier Notification Requirements E-1
APPENDIX F How to Determine Latitude and Longitude From Topographic Maps F-1
APPENDIX G State Designated Section 313 Contacts G-1
APPENDIX H Section 313 EPA Regional Contacts H-1
APPENDIX I Section 313 Document Request Form 1-1
INDEX
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Pagel
A. GENERAL INFORMATION
Submission of EPA Form R, the Toxic Chemical Release
Inventory Reporting Form, is required by section 313 of the
Emergency Planning and Community Right-to-Know Act (Title
III of the Superfund Amendments and Reauthorization Act of
1986), Public Law 99-499. The information contained in Form
R constitutes a "report," and the submission of a report to the
appropriate authorities constitutes "reporting."
Reporting is required to provide the public with information on
the releases of listed toxic chemicals in their communities and
to provide EPA with release information to assist the Agency
in determining the need for future regulations. Facilities must
report the quantities of both routine and accidental releases of
listed chemicals, as well as the maximum amount of the listed
chemical on-site during the calendar year and the amount con-
tained in wastes transferred off-site.
A completed Form R must be submitted for each toxic chemi-
cal manufactured, processed, or otherwise used at each
covered facility as prescribed in the reporting rule in 40 CFR
Part 372 (published February 16,1988 in the Federal Regis-
ter). These instructions supplement and elaborate on the
requirements in the reporting rule. Together with the reporting
rule, they constitute the reporting requirements. All refer-
ences in these instructions are to sections in the reporting rule
unless otherwise indicated.
A.1 HOW TO ASSEMBLE A COMPLETE REPORT
The Toxic Chemical Release Reporting Form, EPA Form R,
consists of four parts:
Q Part I, Facility Identification Information (page 1);
Q Part II, Off-Site Locations to Which Toxic Chemicals are
Transferred in Wastes (page 2);
Q Part III, Chemical-Specific Information (pages 3 and 4);
and
Q Part IV, Supplemental Information (page 5).
Most of the information required in Part I and all of the
information required in Part II of Form R can be filled in and
photocopied and attached to each chemical-specific report.
Part I must have an original signature on the certification state-
ment and the trade secret designation must be entered as
appropriate. You have the option to complete Part II for only
the off-site locations that apply to the individual chemical cited
in the report ox you can list all off-site locations that apply to all
chemicals being reported and include a photostatic copy of
this Part II with each individual report. Part III must be
completed separately for each chemical. Part IV provides
additional space, if needed, to complete the information re-
quired by the preceding sections of the form. Include Part IV
in your report, even if it is blank. Because a complete Form R
consists of at least 5 pages, any submissions containing less
than 5 pages is not a valid submission.
A complete report for any listed toxic chemical that is not
claimed trade secret consists of the following completed parts:
Q Part I with an original signature on the certification state-
ment (Section 2);
Q Part II;
Q Part III (Section 8 is optional); and
Q Part IV (even if blank).
Staple all five pages of each report together. Do not submit
supporting documentation or other materials with your Form R
submission.
A.2 TRADE SECRET CLAIMS
For any chemical whose identity is claimed as a trade secret,
you must submit to EPA two versions of the substantiation
form as prescribed in 40 CFR Part 350, published July 29,
1988 in the Federal Register (53 FR 28772). Use the order
form in this document to obtain a copy of the rule and
substantiation form. One version identifies the chemical; the
second version does not identify the chemical specifically, but
provides instead a generic identity. Only this latter version will
be available to the public. For further explanation of the trade-
secret provisions, see the instructions below for Part I, Sec-
tions 1.1 and 1.2 and Part III. Sections 1.1 -1.4.
A complete report for a toxic chemical claimed trade secret
includes all of the above items plus the following:
Q A completed Form R report including the chemical identity
(staple the pages together);
Q A "sanitized" version of a completed Form R report in
which the chemical identity items (Part III, Sections 1.2
and 1.3) have been ten blank but in which a generic
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General
Page 2
chemical name has been supplied (Part III, Section 1.4)
(staple the pages together);
Q A completed trade secret substantiation form (staple the
pages together); and
O A "sanitized" version of the trade secret substantiation
form (staple the pages together).
Securely fasten all four reports together.
Copies of the report sent to the State or Indian tribe should be
the "sanitized,* non-trade secret version of the report, unless
the State specifically requires otherwise. The report submitted
to EPA should include both trade-secret and non-trade-secret
versions.
A.3 RECORDKEEPING
You must keep a copy of each report. In addition, you must
keep the supporting materials used to develop the information
contained in the report (e.g., release estimation techniques
and assumptions made). These records must be kept at the
facility for a period of three years from the date of the
submission and must be readily available for inspection by
EPA.
A.4 WHEN THE REPORT MUST BE SUBMITTED
The report for any calendar year must be submitted on or
before July 1 of the following year (e.g., the report for calendar
year 1990, January-December, must be submitted on or
before July 1,1991).
Voluntary Revision of a Previous Submission
9 you are making a voluntary revision to a previous Form R
submission, enter 'Voluntary Revision' in the space marked
This space for your optional use" on all five pages of the form.
If you have obtained the Document Control Number (DCN) of
the original submission from EPA, enter that number also in
this space. Enter the revised data to the Form R and circle it
in red ink. Sign the certification and provide a current date.
You must provide the facility's name, TRI facility identification
number (if applicable), and the chemical name on the revised
Form R exactly as they were reported previously to enable
tracking of the original data. If one of these data items has
changed since the original submission, you must enter the
data which appeared in the original submission to the revised
Form R and indicate the new data in the optional use space on
page 1 of the revised Form R. Alternatively, you may submit
a copy of the original Form R submission, with corrections
made in red ink, writing the words "VOLUNTARY REVISION'.
and the DCN, if available, in the space marked This space for
your optional use' on all five pages (or more) of the Form R,
and resigning and re-dating the certification statement on
pagel.
Send the entire completed revised Form R report to EPA and
the appropriate state agency (or the designated official of an
Indian tribe). Submissions for the next calendar year are not
considered revisions of a previous year's data.
A.5 WHERE TO SEND THE FORM R
Form R submissions must be sent to bjjtJi EPA and the State
(orthe designated official of an Indian tribe). If a Form R is not
received by both EPA and the State (orthe designated official
of an Indian tribe), the submitter is considered out of compli-
ance and open to an enforcement action.
Send reports to EPA by mail to:
EPCRA Reporting Center
P.O. Box 23779
Washington, D.C. 20026-3779
Attn: Toxic Chemical Release Inventory
Certified mail and hand-delivered submissions only should be
addressed to:
EPCRA Reporting Center
470 L'Enfant Plaza East
Suite 7103. SW
Washington, DC 20024
Attn: Toxic Chemical Release Inventory
In addition, you must send a copy of the report to:
The State in which the facility is located ('State* refers to:
State of the U.S., the District of Columbia, the Common-
wealth of Puerto Rico, Guam, American Samoa, the U.S.
Virgin Islands, the Northern Mariana Islands, and any other
territory or possession over which the U.S. has jurisdiction).
Refer to Appendix G for the appropriate State address for
your submission.
If your facility is located on Indian land:
Send a copy to the Chief Executive Officer of the applicable
Indian tribe. Some tribes have entered into a cooperative
agreement with the State, in which this case, Form R sub-
missions should be sent to the entity designated in the
cooperative agreement.
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Page 3
General
The submissions of section 313 reports in magnetic media
and computer-generated facsimile formats has been ap-
proved by EPA. Magnetic media submissions to EPA must
follow basic specifications. In order to assist and encourage
facilities to submit section 313 reports on magnetic media,
EPA has developed an instruction manual to be used only
when formatting a blank disk or magnetic tape. The instruc-
tions to be used when formatting a blank disk or magnetic tape
is titled Magnetic Media Submission Instructions (EPA 560/4-
91-008).
In addition, EPA has developed pre-f ormatted diskettes called
the Toxic Chemical Release Inventory Reporting System.*
The easy-to-use diskette included with this package comes
with complete instructions for use. It also provides prompts
and messages to help you report according to EPA reporting
instructions.
Many firms are offering computer software to assist facilities in
producing magnetic media submissions or computer-gener-
ated facsimiles of Form R reports. To ensure accuracy, EPA
will only accept magnetic media submissions and computer-
generated facsimiles that meet basic specifications estab-
lished by EPA. To determine if software offered by a firm
meets these specifications, EPA reviews and approves all
software upon request. Call the Emergency Planning and
Community Right-to-Know Information Hotline to determine if
the software you are considering using has been approved by
EPA for the current reporting year.
Alternatively, you may call (800) 535-0202 or (703) 920-9877
from 8:30 am - 7:30 pm Eastern Time.
EPA Regional Staff may also be able to help you. Refer to
Appendix H for a list of EPA Regional Contacts.
A.7 WHO MUST SUBMIT THIS FORM
Section 313 of Title III requires that reports be filed by owners
and operators of facilities that meet all three of the following
criteria:
G The facility has 10 or more full-time employees; and
Q The facility is included in Standard Industrial Classifica-
tion (SIC) Codes 20 through 39; and
Q The facility manufactured (defined to include imported),
processed, or otherwise used any listed chemical in
quantities equal to or greater than the established thresh-
old in the course of a calendar year.
A.6 HOW TO OBTAIN FORMS AND OTHER
INFORMATION
A copy of Form R is included in this booklet. Remove this form
and photocopy as many copies of it as you need. Additional
copies of this document and related guidance documents may
be obtained from:
Section 313 Document Distribution Center
P.O. Box 12505
Cincinnati, OH 45212
See Appendix I for the document request form and more
information on available documents.
Questions about how to fill out the form may be submitted in
writing to:
Emergency Planning and Community Right-to-
Know Information Hotline
U.S. Environmental Protection Agency
401 M Street, S.W. (OS-120)
Washington, DC 20460
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Page 4
Figure A
Determining Applicability of Section 313 Requirements
Does your facility have 10
or more full-time
employees?
(see definition on page 5)
Yes
I
No
1
Is your facility classified
under SIC codes
20 through 39?
(see Table I, pages 35-40)
Yes
I
No
Yes
Manufacture or Process
Does your facility
manufacture, process, or
otherwise use any listed
chemical or chemical
category?
(see Table II, pages 41-50)
No
r
| Reporting is not required |
• -•*-, for any chemical at the .
• facility for this year. I
_1
/es
Otherwise Use
Did your facility
otherwise use more than
10,000 pounds of
the chemical
in the calendar year?
No
~l
Yes
I
Report must be filed
for this chemical
for this year.
Did your facility
manufacture or process
more than 25,000 pounds
of the chemical
in the calendar year?
Yes
I
No
|
Report must be filed
for this chemical
for this year.
| Reporting not required |
. for this chemical .
I for this year. '
| __________ |
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PageS
B. HOW TO DETERMINE IF YOUR FACILITY MUST SUBMIT EPA FORM R
(See Figure A for more information.)
B.1 FULL-TIME EMPLOYEE DETERMINATION
A lull-time employee." for purposes of section 313 reporting,
is defined as 2,000 work hours per year. This definition is
dependent only upon the number of hours worked by all
employees at the facility during the calendar year and not the
number of persons working. To determine the number of full-
time employees at yourfacility, add up the hours worked by all
employees during the calendar year, including contract em-
ployees and sales and support staff working for the facility and
divide the total by 2,000 hours. In other words, if the total
number of hours worked by all employees is 20,000 hours or
more, yourfacility meets the ten employee threshold.
Examples include:
O A facility consists of 11 employees who worked 1500
hours each at the facility in calendar year 1990. Conse-
quently, the total number of hours worked by all employ-
ees at the facility during the calendaryear is 16,500 hours.
The number of full-time employees at this facility is equal
to 16.500 hours divided by 2,000 hours per full-time em-
ployee, or 8.3 full-time employees. Therefore, even
though 11 persons worked at this facility during the
calendar year, the number of hours worked is equivalent
to 8.3 full-time employees. This facility does not meet the
employee criteria and is not subject to section 313.
O Another facility consists of 11 employees - 8 workers and
3 sales staff. The 8 workers each worked 2,000 hours at
the facility in the calendar year. The sales staff also each
worked 2,000 hours in the calendar year although they
may have been on the road half of the year. In addition,
Scontract employees were hired for a period during which
each worked 200 hours at the facility. The number of full-
time employees at this facility is equal to the total number
of hours divided by 2,000 hours. The total number of
hours is equal to the time worked by the workers at the
facility (16,000 hours), plus the time worked by the sales
staff for the facility (6,000 hours), plus the time worked by
the contract employees at the facility (1,000 hours), or
23,000 hours. Divide the 23,000 hours by 2,000 hours to
yield more thanIO full-time employees. This facility has
met the full-time employee criteria and may be subject to
reporting if the other criteria are met.
B.2 PRIMARY SIC CODE DETERMINATION
Table I on page 35 includes a listing of SIC codes 20-39 and
the associated 4-digit SIC codes covered by the rule. The first
two digits of a 4-digit SIC code define a major business sector,
while the last two digits denote a facility's specialty within the
major sector. You may already know the SIC code of your
business as a result of your having had to develop insurance
or other reports. If you are not familiar with the SIC codes that
apply to yourfacility, contact yourtrade association. Chamber
of Commerce, or legal counsel. For a detailed description of
4-digit SIC codes, refer to the "Standard Industrial Classifica-
tion Manual 1987." Clothbound editions should be available in
most major libraries or may be ordered through the National
Technical Information Service, 5285 Port Royal Road, Spring-
field, VA, 22161, (703) 487-4650. The access number for the
Clothbound manual is PB87-100012, and the price is $30.00.
If you are unsure of your SIC code, review your operations to
determine if you produce products of the type described in SIC
codes 20-39. If the value of those products is greater than any
other types of goods and services that you produce at that
facility, then you meet the SIC code criterion.
Section 313 requires that reports be filed by "facilities," which
are defined as "all buildings, equipment, structures, and other
stationary items which are located on a single site or on
contiguous or adjacent sites and which are owned or operated
by the same person." The SIC code system, however,
classifies business "establishments," which are defined as
"distinct and separate economic activities [that] are performed
at a single physical location."
Establishments, in the SIC code system, are to be treated as
separate activities. In many cases, a section 313 "facility" is
the same as an "establishment" as defined by the SIC code
system.
B.2.a Multi-Establishment Facilities
Your facility may include multiple establishments that have
different primary SIC codes. If so, calculate the value of the
products produced or shipped from each establishment within
the facility and then use the following rule to determine if your
facility meets the SIC code criterion:
O If the total value of the products shipped from or produced
at establishments with primary SIC codes between 20
and 39 is greaterthan 50 percent of the value of the entire
facility's products and services, the entire facility meets
the SIC code criterion.
O If any one establishment with a primary SIC code between
20 and 39 produces or ships products whose value
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Page6
exceeds the value of products and services produced or
shipped by any other establishment within the facility, the
facility also meets the SIC code criterion.
The value of production attributable to a particular establish-
ment may be adjusted by subtracting the value of products
obtained from other establishments within the same facility
that are incorporated into its final products. This procedure
eliminates the potential for "double counting' production in
situations where establishments are engaged in sequential
production activities at a single facility.
Examples include:
O One establishment in a facility mines ore; all of the ore is
smelted at a second establishment in the facility. The
facility could calculate the value of production for each
establishment separately. Alternatively, the facility could
determine the value of the smelter operation by subtract-
ing the value of the ore produced from the value of entire
facility's production.
O A food processing establishment in a facility processes
crops grown at the facility in a separate establishment.
The facility could base the value of the products of each
establishment on the total production value of each estab-
lishment. Alternatively, the facility could determine the
value of the crops grown at the agricultural establishment.
Then, to calculate the contribution of the food processing
establishment, the facility would subtract the crop value
from the total value of the product shipped from the
processing establishment.
A covered multi-establishment facility must make chemical
threshold determinations and report all relevant information
about releases and waste treatment associated with a listed
chemical, even from establishments that are not in SIC codes
20-39. EPA realizes, however, that certain establishments in
a multi-establishment facility can be, for all practical purposes,
separate business units. Therefore, individual establishments
may report separately, provided that the total release reported
for the whole facility is represented by the sum of releases
reported by the separate establishments.
B.2.b Auxiliary Facilities
An auxiliary facility is one that supports another facility's
activities (e.g., research and development laboratories, ware-
houses, storage facilities, and waste-treatment facilities). An
auxiliary facility can take on the SIC code of another covered
facility if its primary function is to service that other covered
facility's operations. Thus, a separate warehouse facility (i.e.,
one not located within the physical boundries of a covered
facility) may become a covered facility because it services a
facility in SIC codes 20-39. Auxiliary facilities that are in SIC
codes 20-39 are required to report if they meet the employee
criterion and chemical thresholds for manufacture, process, or
otherwise use. Auxiliary establishments that are part of a
multi-establishmentfacility must be factored into threshold de-
terminations for the facility as a whole.
B.2.C Facility-Related Exemptions
Laboratories: Listed toxic chemicals that are manufactured,
processed, or otherwise used in laboratory activities at a
covered facility under the direct supervision of a technically
qualified individual do not have to be factored into the thresh-
old and release calculations. However, pilot plant scale and
specialty chemical production do not qualify for this laboratory
activities exemption.
Property Owners: You are not required to report if you merely
own real estate on which a facility covered by this rule is
located; that is, you have no other business interest in the
operation of that facility (e.g., yourcompany owns an industrial
park). The operator of that facility, however, is subject to
reporting requirements.
B.3 ACTIVITY DETERMINATION
B.3.8 Definitions of "Manufacture,"
"Process," and "Otherwise Use"
Manufacture: The term "manufacture" means to produce,
prepare, compound, or import a listed toxic chemical. See
page 19 for further clarification.)
Import is defined as causing the chemical to be imported into
the customs territory of the United States. If you order a
covered toxic chemical (or a mixture containing the chemical)
from a foreign supplier, then you have imported the chemical
when that shipment arrives at your facility directly from a
source outside of the United States. By ordering the chemical,
you have "caused it to be imported," even though you may
have used an import brokerage firm as an agent to obtain the
chemical.
The term manufacture also includes coincidental production of
a toxic chemical (e.g., as a byproduct or impurity) as a result
of the manufacture, processing, use, or treatment of other
chemical substances. In the case of coincidental production
of an impurity (i.e., a chemical that remains in the product that
is distributed in commerce), the de minimis limitation, dis-
cussed on page 12, applies. The de minimis limitation does
not apply to byproducts (e.g., a chemical that is separated
from a process stream and further processed or disposed).
Certain listed toxic chemicals may be manufactured as a result
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General
of wastewater treatment or other treatment processes. For
example, neutralization of acid wastewater can result in the
coincidental manufacture of ammonium nitrate (solution).
EXAMPLE 1: Coincidental Manufacture
Yourcompany, a nitric acid manufacturer, uses ammonia in a
waste .treatment system to neutralize an acidic wastewater
stream containing nitric acid. The reaction of the ammonia
and nitric acid produces an ammonium nitrate solution.
Ammonium nitrate solution is a listed toxic substance, as are
nitric acid and ammonia. Your facility otherwise uses ammo-
nia as a reactant and manufactures ammonium nitrate solu-
tion as a byproduct, if the ammonium nitrate solution is
produced in a quantity that exceeds the threshold (e.g.,
25,000 pounds for 1990), the facility must report for ammo-
nium nitrate solution. If more than 10,000 pounds of ammonia
is added to the wastewater treatment system, then the facility
must report for ammonia.
products. The resin contains a listed chemical that
becomes incorporated into the plastic. Your facility proc-
esses the chemical.
Otherwise Use: The term "otherwise use" encompasses any
use of a listed chemical at a facility that does not fall under the
definitions of "manufacture" or "process." A chemical that is
otherwise used by a facility is not intentionally incorporated
into a product distributed in commerce (see page 20 for father
clarification).
EXAMPLE 3: Otherwise Use
When your facility cleans equipment with toluene, you are
otherwise using toluene. Your facility also separates two
components of a mixture by dissolving one component in
toluene, and subsequently recovers the toluene from the
process for reuse or disposal, your facility otherwise uses
toluene.
Process: The term "process" means the preparation of a
listed toxic chemical, after its manufacture, for distribution in
commerce. Processing is usually the intentional incorporation
of a toxic chemical into a product (see page 20 for further clari-
fication). Processing includes preparation of the chemical in
the same physical state or chemical form as that received by
your facility, or preparation that produces a change in physical
state or chemical form. The term also applies to the process-
ing of a mixture orothertrade name product (see page 11) that
contains a listed toxic chemical as one component.
EXAMPLE 2: Typical Process and Manufacture
Activities
O Your company receives toluene, a listed toxic chemical,
from another facility, reacts the toluene with air to form
benzole acid. Your company processes toluene, and
manufactures benzole acid. Benzole acid, however is not
a listed chemical and thus does not trigger reporting
requirements.
O Your facility combines toluene purchased from a supplier
with various materials to form paint. Your facility proc-
esses toluene.
O Your company receives a nickel compound (nickel com-
pound is a listed toxic chemical category) as a bulk solid
and performs various size-reduction operations (e.g.,
grinding) before packaging the compound in 50 pound
bags. Your company processes the nickel compound.
O Your company receives a prepared mixture of resin and
chopped fiber to be used in the injection molding of plastic
B.S.b Activity Exemptions
Use Exemptions. Certain uses of listed chemicals are specifi-
cally exempted: use as a structural component of the facility;
use in routine janitorial or facility grounds maintenance; per-
sonal uses by employees or other persons; use of products
containing toxic chemicals for the purpose of maintaining
motor vehicles operated by the facility; or use of toxic chemi-
cals contained in intake water (used for processing or non-
contact cooling) or in intake air (used either as compressed air
or for combustion).
Article Exemptions. You do not have to factor into threshold
or release determinations quantities of a listed toxic chemical
contained in an article when that article is processed or used
at your facility. An article is defined as a manufactured item
that is formed to a specific shape or design during manufac-
ture, that has end-use functions dependent in whole or in part
upon its shape or design during end-use, and that does not
release a toxic chemical under normal conditions of the
processing or otherwise use of that item at the facility.
If the processing or otherwise use of similar articles results in
a total release of less than 0.5 pound of a toxic chemical in a
calendar year to any environmental media, EPA will allow this
release quantity to be rounded to zero and the manufactured
items remain exempt as articles. EPA requires facilties to
round off and report all estimates to the nearest whole num-
ber. The 0.5 pound limit does not apply to each individual
article, but applies to the sum of all releases from processing
or otherwise use of like articles.
The article exemption applies to the normal processing or
otherwise use of an article, it does not apply to the manu-
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Pages
facture of an article. Toxic chemicals processed into articles
produced at a facility must be factored into threshold and
release determinations.
A closed item containing toxic chemicals (e.g., a transformer
containing RGBs) that does not release the chemicals during
normal use is considered an article if the facility uses the item
as intended and the toxic chemicals are not released. If the
facility services the transformer by replacing the toxic chemi-
cals, the chemicals added during the reporting year must be
counted in threshold and release calculations.
When the processing or otherwise use of an item generates
fumes, dust, filings, or grindings, the article exemption is not
applicable. The toxic chemical(s) in the item must be counted
toward the appropriate threshold determination, and the fumes,
dust, filings, and grindings reported as releases or wastes.
However, if all wastes generated are recycled, whether on- or
off-site, the exemption is applicable. In addition, scrap pieces
that are recognizable as an article do not constitute a release.
Example 4: Article Exemption
O Lead that is incorporated into a lead acid battery is
processed to manufacture the battery, and therefore
must be counted toward threshold and release determi-
nations. However, the use of the lead acid battery
elsewhere in the facility does not have to be counted.
Disposal of the battery after its use does not constitute a
"release*; thus, the battery remains an article.
O Metal rods that are extruded into wire are not articles
because their form changes during processing.
O If an item used in the facility is fragmented, the item is still
an article if those fragments being discarded remain
identifiable as the article (e.g., recognizable pieces of a
cylinder, pieces of wire). For instance, an 8-foot piece of
wire is broken into two 4-foot pieces of wire, without
releasing any toxic chemicals. Each 4-foot piece is
identifiable as a piece of wire; therefore, the article status
for these pieces of wire remains intact.
O Toxic chemicals received in the form of pellets are not ar-
ticles because the pellet form is simply a convenient form
for further processing of the material.
B.3.C Activity Qualifiers
Table II (see pages 41-50) contains the list of individual
chemicals and categories of chemicals subject to 1990 calendar
year reporting. Some of the chemicals listed in Table II have
parenthetic qualifiers listed next to them. A chemical that is
listed without a qualifier is subject to reporting in all forms in
which it is manufactured, processed, and used.
Fume or dust. Three of the metals on the list (aluminum,
vanadium, and zinc) contain the qualifier "fume or dust." This
qualifier means that a facility is manufacturing, processing, or
otherwise using the metal in the form of fume or dust. Fume
or dust does not refer to "wet* forms, solutions or slurries, for
example, but only dry forms of these metals. As explained on
page 6 of these instructions, the term manufacture includes
the generation of a chemical as a byproduct or impurity. In
such cases, a facility should determine if, for example, it
generated more than 25,000 pounds of aluminum fume or
dust in 1990 as a result of its activities. If so, the facility must
report that it manufactures "aluminum (fume or dust).* Simi-
larly, there may be certain technologies in which one of these
metals is processed in the form of a fume ordust to make other
chemicals or other products for distribution in commerce. In
reporting releases, the facility would only report releases of the
fume or dust.
Manufacturing qualifiers. Two of the entries to the section 313
chemical list contain a qualifier relating to manufacture. For
isopropyl alcohol, the qualifier is "manufacturing-strong acid
process." For saccharin, the qualifier simply is "manufac-
turing.* For isopropyl alcohol, the qualifier means that only
facilities which manufacture isopropyl alcohol by the strong
acid process are required to report. In the case of saccharin,
only manufacturers of the chemical are subject to the reporting
requirements. A facility that processes or otherwise uses
either chemical would not be required to report for those
chemicals. In both cases, supplier notification does not apply
because only manufacturers, not users, of the toxic chemical
must report.
Solutions. Two substances on the list, ammonium nitrate and
ammonium sulfate, are qualified by the term "solution," which
refers to the physical state of these chemicals. Solid, molten,
and pelletized forms of these chemicals are exempt from
threshold and release determinations. Only facilities that
manufacture, process, or otherwise use these chemicals in
the form of a solution are required to report. Supplier notifica-
tion applies only if the chemical is distributed as a solution.
Phosphorus (yellow or white). The listing for phosphorus is
qualified by the term "yellow or while." This means that only
manufacturing, processing, or otherwise use of phosphorus in
the yellow or white chemical form triggers reporting. Con-
versely, manufacturing, processing, or otherwise use of "black"
or "red" phosphorus does not trigger reporting. Supplier
notification also applies only to distribution of yellow or white
phosphorus.
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General
Asbestos (friable). The listing for asbestos is qualified by the
term "friable," referring to the physical characteristic of being
able tobe crumbled, pulverized, or reducible to a powder with
hand pressure. Only manufacturing, processing, or otherwise
use of asbestos in the friable form triggers reporting. Supplier
notification applies only to distribution of mixtures or trade
name products containing friable asbestos.
Aluminum Oxide (fibrous forms). The listing for aluminum
oxide is qualified by the term "fibrous forms." Fibrous refers to
a man-made form of aluminum oxide that is processed to
produce strands or filaments which can be cut to various
lengths depending on the application. Only manufacturing,
processing, or otherwise use of aluminum oxide in the fibrous
form triggers reporting. Supplier notification applies only to
distribution of mixtures or trade name products containing
fibrous forms of aluminum oxide.
B.4 THRESHOLD DETERMINATION
Section 313 reporting is required if threshold quantities are
exceeded. The thresholds vary depending upon the year for
which the report is submitted and separate thresholds apply to
the amount of the chemical that is manufactured, processed,
or otherwise used.
You must submit a report for any listed chemical that is manu-
factured or processed over the course of the year at your
facility in excess of the following threshold:
O For calendar year 1987, 75,000 pounds;
O For calendar year 1988, 50,000 pounds;
O For calendar year 1989 and subsequent years,
25,000 pounds.
You must submit a report if the quantity of a listed chemical
that is otherwise used at your facility exceeds:
O 10,000 pounds during the course of a calendar year.
B.4.8 How to Determine If Thresholds Are
Exceeded
To determine whetheryourf acility has exceeded a section 313
reporting threshold, compare quantities of listed chemicals
that you manufacture, process, or otherwise use to the sepa-
rate respective thresholds for those activities. A suggested
worksheet is provided in Figure B (see page 10) to assist
facilities in determining whether their facility exceeds any of
the reporting thresholds. This worksheet also provides a
format for maintaining reporting facility records. Use of this
worksheet is not required and the completed worksheet(s)
should not accompany Form R reports submitted to EPA and
the State.
A separate worksheet would be completed for each section
313 chemical or chemical category. Chemicals which are
listed with specific qualifiers (e.g., solution; manufacture)
require that the threshold determinations only be based on the
amount of the chemical meeting the qualifier. Use of the
worksheet is divided into three steps:
Step 1 allows you to record the gross amount of the toxic
chemical or chemical category involved in activities through-
out the facility. Pure forms as well as the amounts of the
chemical or chemical category present in mixtures or trade
name products must be considered. The types of activity (i.e.,
manufacturing, processing, or otherwise using) for which the
chemical is used must be identified because separate thresh-
olds apply to each of these activities. A record of the
information source(s) used should be kept. Possible informa-
tion sources include purchase records, inventory data, and
calculations by your process engineer. The data collected in
Step 1 will be totalled for each activity to identify the overall
amount of the chemical or chemical category manufactured
(including imported), processed, or otherwise used.
Step 2 allows you to identify uses of the chemical or chemical
category that were included in Step 1 but that are exempt
under section 313. Do not include in Step 2 exempt forms of
the chemical not included in the calculations in Step 1. For
example, if you did not report the freon contained in the
building's air conditioners in Step 1, you would not include the
amount as exempt in Step 2. Step 2 is intended for use when
one form or use of the chemical is exempt while others forms
require reporting. Note the type of exemption for future
reference. Also identify, if applicable, the fraction or percent-
age of the chemical present that is exempt. Add the amounts
in each activity to obtain a subtotal for exempted amounts of
the chemical or chemical categories at the facility.
Step 3 involves subtracting the result of Step 2 from the results
of Step 1 for each activity. Compare this net sum to the
applicable activity threshold. If the threshold is met or ex-
ceeded for any of the three activities, yourfacility must submit
a Form R for that chemical or chemical category. This
worksheet should be retained in either case, to document your
determination for reporting or not reporting. Do not submit this
worksheet, or any other calculations, with your Form R report.
Retain the worksheet for your records.
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Figure B
OPTIONAL SECTION 313 REPORTING THRESHOLD WORKSHEET
— Date Worksheet Prepared:
Chemical or Chemical Category: Prepared By:
Reporting Year:
Facility Name:
Step 1. Identify amounts of the chemical manufactured, processed, or otherwise used.
Mixture Name or Other Identifier
1.
2.
3.
4.
5.
6.
7.
Subtotal:
Percent
by Weight
Information
Source
Total Weight
(in Ibs)
Amount of the Listed Chemical by Activity (in Ibs.):
Manufactured
(A) Ibs
Processed
(B) Ibs
Otherwise Used
(0 Ibs
Step 2. Identify exempt forms of the chemical that have been included in Step 1.
Mixture Name as Listed Above
1.
2.
3.
4.
5.
6.
7.
Subtotal:
Exemption
Applicable
Note Fraction or Percent
Exempt (if Applicable)
Exempt Amount of the Chemical from Above (in Ibs.):
Manufactured
(A.) Ibs
Processed
(B,) Ibs
Otherwise Used
(q) ibs
Step 3. Calculate the amount subject to threshold:
Compare to thresholds for section 313 reporting:
(A-A,)-
Jbs (B-B,) Ibs (C-q).
Ibs
25.000 Ibs 25.000 Ibs 10.000 Ibs
If any threshold is met, reporting is required for all activities. Do not submit this worksheet with Form R. Retain for your records.
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General
Do not add together the quantities of the chemical that are
manufactured, processed, and otherwise used at yourfacility,
because each of these activities requires a separate threshold
determination. For example, if in 1990 you processed 20,000
pounds of a chemical and you otherwise used 6,000 pounds of
that same chemical, yourfacility has not met or exceeded any
applicable threshold and thus is not required to report for that
chemical.
You must submit a report if you exceed any threshold for
any listed chemical or chemical category. For example, if
yourfacility processes 22.000 pounds of a listed chemical and
also otherwise uses 16,000 pounds of that same chemical, al-
though you do not exceed the process threshold, you do
exceed the otherwise used threshold (10,000 pounds) and
you therefore must report. However, in preparing your re-
ports, you must consider all non-exempted activities and all
releases of that chemical from your facility, not just the
releases from the otherwise use activity.
Also note that threshold determinations are based upon the
actual amounts of a chemical manufactured, processed, or
otherwise used over the course of the calendar year. The
threshold determination may not relate to the amount of atoxic
chemical brought on-site during the calendar year. For
example, a stockpile of 100,000 pounds of a toxic chemical is
present on-site but only 20,000 pounds is applied to a process.
Therefore, only the 20,000 pounds processed is counted
toward a threshold determination, not the entire 100,000
pounds of the stockpile.
Threshold Determinations for On-Site Reuse/Recycle
Operations.
Threshold determinations of listed toxic chemicals that are
recycled or reused at the facility are based only on the amount
of the chemical that is added during the year, not the total
volume in the system. For example, a facility operates a
refrigeration unit that contains 15,000 pounds of ammonia at
the beginning of the year. The system is charged with 2.000
pounds of ammonia during the year. The facility has therefore
"otherwise used" only 2,000 pounds of the covered chemical
and is not required to report (unless there are other "otherwise
use" activities of ammonia which, when taken together, ex-
ceed the reporting threshold). If, however, the whole refrigera-
tion unit had to be recharged with 15,000 pounds of ammonia
during the year, the facility would have exceeded the other-
wise use threshold.
This exemption does not apply to toxic chemicals "recycled"
off-site and returned to the facility. Such toxic chemicals
returned to the facility are treated as the equivalent of newly
purchased material for purposes of section 313 threshold
determinations.
Threshold Determinations for Chemical Categories.
A number of chemical compound categories are subject to
reporting. See Table II, page 50, for a listing of these chemical
categories. When reporting for one of these chemical catego-
ries, all individual members of a category that are manufac-
tured, processed, or otherwise used must be added. How-
ever, threshold determinations must be made separately for
each of the three activities. Do not include in these threshold
determinations for a category, any chemicals that are also
specifically listed section 313 toxic chemicals (see Table II,
pages 41 -49). Specifically listed toxic chemicals are subject to
their own. individual threshold determination.
Threshold determinations for metal-containing compounds
present a special case. If, for example, you process several
different lead compounds, you would base your threshold
determination on the total weight of all lead compounds
processed. However, if you process both the "parent" metal
(lead) as well as one or more lead compounds, you must make
threshold determinations for both because they are separately
listed toxic chemicals. If you exceed thresholds for both the
parent metal and compounds of that same metal, EPA allows
you to file one combined report (e.g., one report for lead
compounds, including lead) because the release information
you will report in connection with metal compounds will be the
total pounds of the parent metal released.
One other case involving metal compounds should be noted.
Some metal compounds may contain more than one listed
metal. For example, lead chromate is both a lead compound
and a chromium compound. In such cases, if applicable
thresholds are exceeded, you are required to file two separate
reports, one for lead compounds and one for chromium
compounds. You would apply the total weight of the lead
chromate to the threshold determinations for both lead com-
pounds and chromium compounds. However, if the thresh-
olds are exceeded for these categories, only the amount of
each parent metal released (not the amount of the compound)
would be reported on the appropriate Form R.
B.4.b Mixtures and Trade Name Products
Toxic chemicals in mixtures and in trade name products must
be factored into threshold and release determinations.
If you imported, processed, or otherwise used mixtures or
trade name products during calendar year 1990, you are re-
quired to use the best information you have available at the
facility to determine whether the components of a mixture are
above the de minimis concentration and therefore must be
included in threshold and release determinations. If you know
that a mixture or trade name product contains a specific toxic
chemical, combine the amount of the toxic chemical in the
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Page 12
mixture or trade name product with the other amounts of the
same chemical imported, processed or otherwise used at your
facility for threshold and release determinations. If the facility
knows that a mixture contains a toxic chemical but no concen-
tration information is provided by the supplier, then the facility
does not have to consider the amount of the toxic chemical
present in that mixture for purposes of threshold and release
determinations. If a facility owner/operator only knows the
lower bound concentration of a toxic chemical present in a
mixture, the owner/operator should first subtract out the
percentages of any other known components of the mixture to
determine a reasonable "maximum" for the toxic chemical. If
no other information is available, the facility owner/operator
should assume the "maximum" is 100%. Then, use the
midpoint of the known "minimum" (the lower bound concentra-
tion) and the reasonable "maximum" for threshold determina-
tions. If only a range of concentrations is available for a toxic
chemical present in a mixure, the owner/operator should use
an average of the low and high concentrations numbers for
threshold determinations. (See Figure C on page 14 for more
information.)
De Mlnimis Limitation. A listed toxic chemical does not have
to be considered if it is present in a mixture at a concentration
below a specified de minimis level. The de minimis level is
1.0%, or 0.1% if the chemical meets the OSHA carcinogen
standard. See Table II for the de minimis value associated
with each listed toxic chemical. For mixtures that contain more
than one member of a listed chemical category, the de minimis
level applies to the aggregate concentration of all such members
and not to each individually. EPA included the de minimis
exemption in the rule as a burden reducing step, primarily
because facilities are not likely to have information on the
presence of a chemical in a mixture or trade name product
beyond that available in the product's MSDS. The de minimis
levels are consistent with OSHA requirements for develop-
ment of MSDS information concerning composition.
For threshold determinations, the derrwurnfslimitation applies
to:
O A listed toxic chemical in a mixture or trade name product
received by the facility.
O A listed toxic chemical manufactured during a process
where the chemical remains in a mixture or trade name
product distributed by the facility.
The de minimis does not apply to:
O A chemical manufactured at the facility that does not
remain in a product distributed by the facility. A threshold
determination must be made on the annual quantity of the
chemical manufactured regardless of the concentration.
For example, quantities of formaldehyde created as a
result of waste treatment must be applied toward the
threshold for "manufacture" of this chemical, regardless
of the concentration of this chemical in the wastestream.
O Chemicals in ores, wastes, etc., that undergo beneficia-
tion for purposes of production of that chemical. For
example, a company recovers silver by processing waste
material containing silver at less than 1% total weight of
the material. Although silver is received at less than the
de minimis concentration, the de minimis would not apply
because the process concentrates and produces silver as
an end product.
In general, when the de minimis applies to threshold determi-
nations and the concentration of the chemical in the mixture is
below the de minimis, then you are not required to report
releases associated with the processing or use of the chemical
in that mixture. Note that it is possible to meet the threshold
for a chemical on a facility-wide basis, but not be required to
calculate releases from a particular process because that
process involves only mixtures containing the chemical below
the de minimis level.
Application of the de minimis limitation to process streams
must also be reviewed. Mixtures containing toxic chemicals
can be added to a process or generated within a process. In
both cases (assuming reporting thresholds are exceeded) a
facility is required to consider and report releases from the
process up to the point where the concentration of the chemi-
cal falls below the de minimis level. For example, a 10%
solution of a listed chemical is mixed into a formulated cleaning
solution, resulting in a final concentration of less than 1%.
Releases such as air emissions, from the mixing vessel must
be counted, but releases from the finished formulation are not
counted because the de minimis exemption applies.
Similarly, in processes where the listed toxic chemical occurs
at a concentration below the de minimis level and is processed
to a concentration above the de minimis level, the portion of
the process where the toxic chemical is present above the de
minimis level must be considered for threshold and release
determinations, for example, an impurity contained in a sol-
vent that is concentrated to above the de minimis level in a
process. Beneficiation activities involving listed toxic chemi-
cals present in ores, natural gas, and crude oil are an excep-
tion and require threshold and release determinations regard-
less of concentration of the listed toxic chemical(s) involved in
the beneficiation process.
Supplier Notification. In 1989 and subsequent years, suppli-
ers of facilities in SIC codes 20-39 are required to develop and
distribute a notice if the mixtures or trade name products that
they manufacture or process, and subsequently distribute,
contain listed toxic chemicals. These notices are distributed to
other companies in SIC codes 20-39 orto companies that sell
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Page 13 General
The supplier notification requirement began with the first
shipment of a product in 1989 and must accompany the first
shipment each year thereafter. In addition, a new or revised
notice must be sent if a change occurs in the product which
affects the weight percent of a listed chemical or if it is discov-
ered that a previous notice did not properly identify the
chemicals orthe percentage by weight. For more information
on supplier notification, see Appendix E.
If listed toxic chemicals are present equal to or above the de
minimis cut-off level, your supplier must identify the specific
components as they appear in Table II and provide their
percentage composition by weight in the mixture or product. If
your supplier maintains that the identity of a toxic chemical is
a trade secret, a generic identity that is structurally descriptive
must be supplied on the notice. A maximum concentration
level must be provided if your supplier contends that chemical
composition information is a trade secret. In either case, you
do not need to make a trade secret claim on behalf of your
supplier (unless you consider your use of the proprietary
mixture atrade secret). On Form R, identify the toxic chemical
you are reporting according to its generic name provided in the
notification. (See the instructions for Part III, Section 2 on
page 18 for more information.) If the listed chemical is present
below the de minimis level, no notification is required.
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Page 14
Figure C
How Mixture and Trade Name Products (M/TNP)
Factor Into Your Reports
Any toxic chemicals in mixtures or trade name products (M/TNP) must be factored
into your threshold and release determinations.
Do you know that a listed
§313 chemical is present
in M/TNP?
No
'"I
No
I
Yes
Is specific chemical
identity known?
Is the M/TNP processed
or otherwise used in excess of the
applicable threshold?
No
Yes
Do you know the specific
or upper bound concentration
of the chemical in the M/TNP?
3
No
Yes
Multiply concentration by the total
pounds of M/TNP to obtain quantity
processed or otherwise used.
I
Does the quantity of
the chemical processed or
otherwise used exceed thresholds?
No
Yes
Report the generic name*
in Part III, Section 2 of the
form and complete the
Form R for the chemical
contained in the M/TNP.
L.
'For more information on determining generic
names, see page 19.
Yes
Do you know specific or upper
bound concentration of the
chemical in the M/TNP?
Yes
Multiply concentration by the total
pounds of M/TNP to obtain quantity
processed or otherwise used.
Add the quantity of listed
chemical to other known
quantities of the same chemical.
1
Has either the process or
otherwise use threshold been
exceeded for that listed chemical?
No
Yes
Report the listed chemical in
Part III, Section 1 and complete
Form R for this chemical.
I 1
I You do not have to report I
I for this M/TNP. I
I I
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Page 15
Form R - Part I
C. INSTRUCTIONS FOR COMPLETING EPA FORM R
The following are specific instructions for completing each part
of EPA Form R. The number designations of the parts and
sections of these instructions correspond to those in Form R
unless otherwise indicated.
A sample of a completed Form R for a hypothetical facility re-
porting under Title III, section 313, is included as Appendix C.
You may want to refer to this sample as you read through
these instructions.
Instructions for Completing All Parts of Form R:
1. Type or print information on the form in the units and
format requested.
2. All information on Form R is required except Part III,
Section 8.
3. Do not leave items on Form R blank unless specifically
directed to do so; if an item does not apply to you, enter
"NA," not applicable, in the space provided. If your
information does not fill all the spaces provided for a type
of information, enter NA, in the next blank space in the
sequence.
4. Report releases and off-site transfers to the nearest
pound. Do not report fractions of pounds.
5. Do not submit an incomplete form. The certification
statement (Part I) specifies that the report is complete as
submitted. See page 1 of these instructions for the defini-
tion of a complete submission.
6. When completing Part IV, supplemental information, or
additional pages for Part II of the form, number the
additional information sequentially from the priorsections
of the form.
7. The box labelled "This space for your optional use" on
each page may be used to differentiate one chemical-
specific submission from another. This box is used to
identify a voluntary revision of a previous submission (see
page 2).
This box may also be used to record the toxic chemical
name on page 1 of Form R. EPA encourages recording
the toxic chemical name in this box to make recordkeep-
ing easier for both you and EPA.
PART I. FACILITY IDENTIFICATION INFORMATION
1.1 Are you claiming the chemical identity on page 3
trade secret?
Answer this question only after you have completed the rest of
the report. The specific identity of the toxic chemical being
reported in Part III, Sections 1.2 and 1.3, may be designated
as trade secret. If you are making a trade secret claim, mark
"yes' and proceed to Section 1.2. Only check "Yes" if it is your
manufacturing, processing, or otherwise use of the chemical
that is a trade secret. (See page 1 of these instructions for
specific information on trade secrecy claims.) If you checked
"no," proceed to Section 1.3; do not answer Section 1.2.
1.2 If "yes" in 1.1, is this copy sanitized or
unsanitized?
Answer this question only after you have completed the rest of
the report. Check "sanitized" if this copy of the report is the
public version, which does not contain the chemical identity
but does contain a generic name in its place, and you have
claimed the chemical identity trade secret in Part I, Section
1.1. Otherwise, check "unsanitized."
1.3 Reporting Year
Enter the last two digits of the calendar year to which the
reported information applies, not the year in which you are
submitting the report. Information for the 1990 reporting year
must be submitted on or before July 1, 1991.
2. Certification
The certification statement must be signed by the owner or
operator or a senior official with management responsibility for
the person (or persons) completing the form. The owner,
operator, or official must certify the accuracy and complete-
ness of the information reported on the form by signing and
dating the certification statement. Each report must contain
an original signature. Print or type in the space provided the
name and title of the person who signs the statement. This
certification statement applies to all the information supplied
on the form and should be signed only after the form has been
completed.
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Form R - Part I
Page 16
3.1 Facility Name and Location
Enter the name of your facility (plant site name or appropriate
facility designation), street address, city, county, state, zip
code, and TRI Facility Identification number (if appropriate), in
the space provided. Do not use a post office box number as
the address. The address provided should be the location
where the chemicals are manufactured, processed, or other-
wise used.
If you have submitted a Form R for previous reporting years,
a TRI Facility Identification Number has been assigned to your
facility. The TRI Facility Identification Number appears on the
peel-off mailing label on the cover of the Toxic Chemical
Release Inventory Reporting Package for 1990 (EPA 560/4-
91 -001) you should have received directly from EPA. Remove
this mailing label from the back cover of the reporting package
and apply it to Part I, Section 3.1 of the blank Form R in Appen-
dix A. Then photocopy that page for use as the master copy
of page 1 for all the reports you are submitting.
If you do not have a mailing label or cannot locate your TRI
Facility Identification Number, please contact the Emergency
Planning and Community Right-to-Know Information Hotline.
Enter your TRI Facility Identification number to each Form R
that your facility submits.
Enter NA to the space for the TRI Facility Identification
number, if this is your first submission of a Form R.
3.2 Full or Partial Facility Indication
A covered facility must report all releases of a listed chemical
if it meets a reporting threshold for that chemical. However, if
the facility is composed of several distinct establishments,
EPA allows these establishments to submit separate reports
for the chemical as long as all releases of the chemical from
the entire facility are accounted for. Indicate in Section 3.2
whether your report is for the entire covered facility as a whole
or for part of a covered facility. Check box a. if the chemical
information applies to the entire covered facility. Check box b.
if the chemical information applies only to part of a covered
facility.
Section 313 requires reports by "facilities," which are defined
as "all buildings, equipment, structures, and other stationary
items which are located on a single site or on contiguous or
adjacent sites and which are owned or operated by the same
person.*
The SIC code system defines business "establishments" as
"distinct and separate economic activities [that] are performed
at a single physical location." Under section 372.30(c) of the
reporting rule, you may submit a separate Form R for each
establishment, or for groups of establishments, in your cov-
ered facility, provided that all releases of the toxic chemicals
from the entire covered facility are reported. This allows you
the option of reporting separately on the activities involving a
toxic chemical at each establishment, or group of establish-
ments (e.g., part of a covered facility), rather than submitting
a single Form R for that chemical for the entire facility.
However, if an establishment orgroup of establishments does
not manufacture, process, or otherwise use or release a toxic
chemical, you do not have to submit a report f orthat establish-
ment or group of establishments. (See also Section B.2.a on
page 5.)
3.3 Technical Contact
Enter the name and telephone number (including area code)
of a technical representative whom EPA or State officials may
contact for clarification of the information reported on Form R.
This contact person does not have to be the same person who
prepares the report or signs the certification statement and
does not necessarily need to be someone at the location of the
reporting facility; however, this person must be familiar with
the details of the report so that he or she can answer questions
about the information provided.
3.4 Public Contact
Enter the name and telephone number (including area code)
of a person who can respond to questions from the public
about the report. If you choose to designate the same person
as both the technical and the public contact, you may enter
"Same as Section 3.3" in this space. This contact person does
not have to be the same person who prepares the report or
signs the certification statement and does not necessarily
need to be someone at the location of the reporting facility.
3.5 Standard Industrial Classification (SIC) Code
Enter the appropriate 4-digit primary Standard Industrial Clas-
sification (SIC) code for your facility (Table I, pages35-40, lists
the SIC codes within the 20-39 range). If the report covers
more than one establishment, enter the primary 4-digit SIC
code for each establishment. You are required to enter SIC
codes only for those establishments within the facility that fall
within SIC codes 20 to 39. If you do not know your SIC code,
check with your financial office or contact your local Chamber
of Commerce or State Department of Labor.
3.6 Latitude and Longitude
Enter the latitudinal and longitudinal coordinates of your facil-
ity. Sources of these data include EPA permits (e.g., NPDES
permits), county property records, facility blueprints, and site
plans. Instructions on how to determine these coordi-
nates can be found in Appendix F. Enter only numerical
data. Do not preface numbers with letters such as N or W to
denote the hemisphere.
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Page 17
Form R - Part I
Latitude and longitude coordinates of your facility are very
important for pinpointing the location of reporting facilities and
are required elements on the Form R. EPA is encouraging
facilities to make the best possible measurements when
determining latitude and longitude. As with any other data
field, missing, suspect, or incorrect data may generate a
Notice of Technical Error to be issued to the facility. (See
Appendix D: Commonly Made Errors on Form R Reports).
3.7 Facility Dun and Bradstreet Number
Enter the 9-dkjit number assigned by Dun and Bradstreet
(D&B) for your facility or each establishment within your
facility. These numbers code the facility for financial pur-
poses. This number may be available from your facility's
treasurer or financial officer. You can also obtain the numbers
from your local Dun and Bradstreet office (check the telephone
book White PagesV If a facility does not subscribe to the D &
B service, a "support number" can be obtained from the Dun
& Bradstreet center located in Altentown, Pennsylvania at
(215) 391-1886 (8:30 am to 7:30 pm, Eastern Time). If none
of your establishments has been assigned a D & B number,
enter not applicable, NA, in box a. If only some of your estab-
lishments have been assigned Dun and Bradstreet numbers,
enter those numbers in Section 3.7.
3.8 EPA Identification Number
The EPA I.D. Number is a 12-digit number assigned to
facilities covered by hazardous waste regulations under the
Resource Conservation and Recovery Act (RCRA). Facilities
not covered by RCRA are not likely to have an assigned I.D.
Number. If your facility is not required to have an I.D. Number,
enter not applicable, NA, in box a. If your facility has been
assigned EPA Identification Numbers, you must enter those
numbers in the spaces provided in Section 3.8.
3.9 NPDES Permit Number
Enter the numbers of any permits your facility holds under the
National Pollutant Discharge Elimination System (NPDES)
even if the permit(s) do not pertain to the toxic chemical being
reported. This 9-digit permit number is assigned to yourf acility
by EPA orthe State under the authority of the Clean Water Act.
If your facility does not have a permit, enter not applicable, N A,
in box a.
3.10 Receiving Streams or Water Bodies
In Section 3.10 you are to enter the name(s) of the stream(s)
or water body(ies) to which your facility directly discharges the
chemicals you are reporting. A total of six spaces are
provided, lettered a through f. The information you provide
relates directly to the discharge quantity information required
in Part III, Section 5.3. You can complete Section 3.10 in one
of two ways. You can enter only those stream names that
relate to the specific chemical that is the subject of the report
or, you can enter all stream names that relate to all covered
chemicals being reported by the facility. Enter the name of
each receiving stream or surface water body to which the
chemical being reported is directly discharged. Report the
name of the receiving stream or water body as it appears on
the NPDES permit for the facility. If the stream is not covered
by a permit, enterthe name of the off-site stream or water body
by which it is publicly known. Also do not list a series of
streams through which the chemical flows. Be sure to include
the receiving stream(s) or water body(ies) that receive storm-
water runoff from your facility. Do not enter names of streams
to which off-site treatment plants discharge. Enter not appli-
cable, NA, in Section 3.1 Oa. if you do not discharge any listed
toxic chemicals to surface water bodies.
3.11 Underground Injection Well Code (UIC)
Identification Number
If your facility has a permit to inject a waste containing the toxic
chemical into Class 1 deep wells, enterthe 12-digit Under-
ground Injection Well Code (UIC) identification number as-
signed by EPA or by the State under the authority of the Safe
Drinking Water Act. If your facility does not hold such a
permit(s), enter not applicable, NA. in Section 3.11 a. You are
only required to provide the UIC number for wells that receive
the toxic chemical being reported.
4. Parent Company Information
You must provide information on your parent company. For
purposes of Form R, a parent company is defined as the
highest level company, located in the United States, that di-
rectly owns at least 50 percent of the voting stock of your
company. If yourfacility is owned by a foreign entity, enter not
applicable, NA, in this space. Corporate names should be
treated as parent company names for companies with multiple
facility sites. For example, the Bestchem Corporation is not
owned or controlled by any other corporation but has sites
throughoutthe country whose names begin with Bestchem. In
this case, Bestchem Corporation would be listed as the
"parent" company.
4.1 Name of Parent Company
Enterthe name of the corporation or other business entity that
is your ultimate US parent company. If your facility has no
parent company, enter not applicable, NA.
4.2 Parent Company's Dun & Bradstreet Number
Enter the Dun and Bradstreet Number for your ultimate US
parent company, if applicable. The number may be obtained
from the treasurer or financial officer of the company. If your
parent company does not have a Dun and Bradstreet number,
enter not applicable, NA.
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Form R - Part II
Page 18
PART II. OFF-SITE LOCATIONS TO WHICH TOXIC
CHEMCALS ARE TRANSFERRED N WASTES
In this part of the form, you are required to list all off-site
locations to which you transfer wastes containing toxic chemicals.
Ponot list locations to which products containing toxic chemi-
cals are shipped for sale or distribution in commerce or for
further use. Also, do not list locations to which wastes
containing chemicals are sold or sent for recovery, recycling,
or reuse of the toxic chemicals. The information that you enter
in this section relates to data you will report in Part III, Section
6.
You may complete Part II for only the off-site locations that
apply to the specific chemical cited in a particular report pi you
can list all off-site locations that apply to all chemicals being
reported and include a photostatte copy of Part II with each
individual report. List only publicly owned treatment works
(POTWs) and off-site treatment or disposal facilities.
1. Publicly Owned Treatment Works (POTWs)
Enter the name and address of each POTW to which your
facility discharges wastewater containing toxic chemicals for
which you are reporting. If you do not discharge wastewater
containing the reported toxic chemicals to a POTW, enter not
applicable. NA, in the POTW name line in Part II. Section 1.1.
If you discharge such wastewater to more than two POTWs,
use additional copies of Part II. Cross through the printed
numbers and write in numbers forthese locations in ascending
order (e.g., 1.3.1.4). Check the box at the bottom of the page
and indicate the number of additional pages of Part II that are
attached.
2. Other Off-Site Locations
Enter in the spaces provided, the name and address of each
location (other than POTWs) to which you ship or transfer
wastes containing toxic chemicals. Do not include locations to
which you ship the toxic chemical for recycle or reuse. If you
do not ship or transfer wastes containing toxic chemicals to off-
site locations, enter not applicable, NA in the off-site location
name line of 2.1. Also enter the EPA Identification Number
(RCRA I.D. Number) for each such location if known to you.
This number may be found on the Uniform Hazardous Waste
Manifest, which is required by RCRA regulations. Also indi-
cate in the space provided whether the location is owned or
controlled by yourfacility or yourparent company. V the facility
does not have a RCRA I.D. number, enter not applicable, NA,
in this space.
If yourfacility transfers toxic chemicals to more than six off-site
locations, use additional copies of Part II. Cross through the
printed numbers and write in numbers for these locations in
ascending order (i.e.. 2.7,2.8). Check the box at the bottom
of the page and indicate the numberof additional pages of Part
II that are attached.
EXAMPLE 5: Off-Site Locations
Yourfacility is involved in chrome plating of metal parts, which
produces an aqueous plating waste that is treated on-sitQ to
recover chromium sludge. The effluent from the on-site
treatment plant, which contains chromium compounds (a
listed toxic chemical), is piped to a POTW. The chromium
sludge is transferred to an off-site, privately owned firm forthe
recovery of the chromium.
You must report the location of the POTW in Section 1 in Part
II of Form R. Do not report any information about the on-site
treatment plant in this section. You are not required to report
the location of the off-site, privately owned recovery firm or
provide any information concerning off-site recovery because
recycling or reuse of toxic chemicals is exempt from reporting.
PART III. CHEMICAL-SPECIFIC INFORMATION
In Part III, you are to identify the toxic chemical being reported.
You must indicate the general uses and activities involving the
chemical at your facility. In Part III. you will also enter
quantitative data relating to releases of the chemical from the
facility to air, water, and land. Quantities of the chemical
transferred to off-site locations, identified in Part II. are also
reported in this part. Any waste treatment information for on-
site treatment of wastestreams containing the toxic chemical
are also required to be reported on Part III. An optional section
is included in this part that allows you to report waste minimi-
zation information associated with the chemical.
1.1 [Reserved]
1.2 CAS Number
Enter the Chemical Abstracts Service (CAS) registry number
in Section 1.2 exactly as it appears in Table II, pages 41 -50. for
the chemical being reported. CAS numbers are cross-refer-
enced with an alphabetical list of chemical names in Table II of
these instructions. If you are reporting one of the chemical
categories in Table II (e.g., copper compounds), enter not
applicable, NA. in the CAS number space.
If you are making a trade secret claim, you must report the
CAS number on your unsanitized Form R and unsanitized
substantiation form. Do not include the CAS number on your
sanitized Form R and sanitized substantiation form (see page
1 for more information).
1.3 Chemical or Chemical Category Name
Enter the name of the chemical or chemical category exactly
as it appears in Table II. If the chemical name is followed by
a synonym in parentheses, report the chemical by the name
that directly follows the CAS number (i.e., not the synonym).
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Page 19
Form R - Part III
If the listed chemical identity is actually a product trade name
(e.g.. dtcofol), the 9th Collective Index name is listed below it
in brackets. You may report either name in this case.
Do not list the name of a chemical that does not appear in
Table II, such as individual members of a reportable category.
For example, if you use silver nitrate, do not report silver nitrate
with its CAS number. Report this chemical as "silver com-
pounds" which has no CAS number.
If you are making a trade secret claim, you must report the
specific chemical identity on your unsanitized Form R and
unsanitized substantiation form. Do not report the chemical
name on your sanitized Form R and sanitized substantiation
form. Include a generic name in Part III, Section 1.4 of your
sanitized Form R report.
EPA requests that the chemical name also be placed on page
1 of Form R in the box marked "This space for your optional
use.' Entering the chemical name in this box is not required,
however, it will make recordkeeping and reviewing of Form R
much easier for both you and EPA.
1.4 Generic Chemical Name
Complete Section 1.4 only if you are claiming the specific
chemical identity of the toxic chemical as a trade secret and
have marked the trade secret block in Part I, Section 1.1 on
page 1 of Form R. Enter a generic chemical name that is
descriptive of the chemical structure. You must limit the
generic name to seventy characters (e.g., numbers, letters,
spaces, punctuation) or less. Do not enter mixture names in
Section 1.4; see Section 2 below.
In-house plant codes and other substitute names that are not
structurally descriptive of the chemical identity being withheld
as a trade secret are not acceptable as a generic name. The
generic name must appear on both sanitized and unsanitized
Form R's, and the name must be the same as that used on
your substantiation forms. The Emergency Planning and
Community Right-to-Know Information Hotline can provide
you with assistance in selecting an appropriate generic name.
2. Mixture Component Identity
Do not complete this section if you have completed Section 1
of Part III. Report the generic name provided to you by your
supplier in the section if your supplier is claiming the chemical
identity proprietary ortrade secret. Do not answer "yes" in Part
I, Section 1.1 on page 1 of the form if you complete this section.
You do not need to supply trade secret substantiation forms
since it is your supplier who is claiming the material a trade
secret.
Enter the generic chemical name in this section only if the
following three conditions apply:
1. You determine that the mixture contains a listed toxic
chemical but the only identity you have for that chemical
is a generic name;
2. You know either the specific concentration of that toxic
chemical component or a maximum concentration level;
and
3. You multiply the concentration level by the total annual
amount of the whole mixture used (or processed) and
determine that you meet the use or process threshold for
that single, generically identified mixture component.
EXAMPLE 6: Mixture Containing Unidentified Toxic
Chemical
Your facility uses 20,000 pounds of a solvent that your supplier
has told you contains 80 percent "chlorinated aromatic," their
generic name for a chemical subject to reporting under section
313. You therefore know that you have used 16,000 pounds
of some listed toxic chemical which exceeds the "otherwise
use" threshold. You would file a Form R and enter the name
"chlorinated aromatic" in the space provided in Part III, Section
2.
3. Activities and Uses of the Chemical at the Facility
Indicate whether the chemical is manufactured (including
imported), processed, or otherwise used at the facility and the
general nature of such activities and uses at the facility during
the calendar year. Report activities that take place only at your
facility, not activities that take place at otherfacilities involving
your products. You must check all the boxes in this section
that apply. If you are a manufacturer of the chemical, you must
check a and/or b, and at least one of c, d, e, or f. Refer to the
definitions of "manufacture," "process," and "otherwise use" in
the general information section of these instructions or section
372.3 of the rule for additional explanations.
3.1 Manufacture the Chemical
Persons who manufacture (including import) the toxic chemi-
cal must check at least one:
a. Produce - the chemical is produced at the facility.
b. Import - the chemical is imported by the facility into the
Customs Territory of the United States. (See page 6 of
these instructions for further clarification of import.)
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Form R - Part III
Page 20
And check at least one:
c. For on-siie use/processing • the chemical is produced or
imported andthen further processed or otherwise used at
the same facility. If you check this block, you must also
check at least one item in Part III, Section 3.2 or 3.3.
d. For sale/distribution - the chemical is produced or im-
ported specifically for sale or distribution outside the
manufacturing facility.
e. Asa byproduct - the chemical is produced coinckJentally
during the production, processing, otherwise use, or dis-
posal of another chemical substance or mixture and.
following its production, is separated from that other
chemical substance or mixture. Chemicals produced and
released as a result of waste treatment or disposal are
also considered byproducts.
f. As an impurity - the chemical is produced coinckJentally
as a result of the manufacture, processing, or otherwise
use of another chemical but is not separated and remains
primarily in the mixture or product with that other chemi-
cal.
3.2 Process the Chemical
(incorporatlve-type activities)
a. As a reactant - A natural or synthetic chemical used in
chemical reactions for the manufacture of another chemi-
cal substance or of a product. Includes, but is not limited
to, feedstocks, raw materials, intermediates, and initia-
tors.
b. As a formulation component - A chemical added to a
product (or product mixture) prior to further distribution of
the product that acts as a performance enhancer during
use of the product. Examples of chemicals used in this
capacity include, but are not limited to, additives, dyes,
reaction diluents, initiators, solvents, inhibitors, emulsifi-
ers. surfactants, lubricants, flame retardants, and rheol-
ogical modifiers.
c. As an article component - A chemical substance that
becomes an integral component of an article distributed
for industrial, trade, or consumer use. One example is the
pigment components of paint applied to a chair that is
sold.
d. Repackaging only- Processing or preparation of a chemi-
cal (or product mixture) for distribution in commerce in a
different form, state, or quantity. This includes, but is not
limited to, the transfer of material from a bulk container,
such as a tank truck to smaller cans or bottles.
3.3 Otherwise Use the Chemical
(non-incorporative-type activities)
a. Asa chemical processing aid- A chemical that is added
to a reaction mixture to aid in the manufacture or synthe-
sis of another chemical substance but is not intended to
remain in or become part of the product or product
mixture. Examples of such chemicals include, but are not
limited to, process solvents, catalysts, inhibitors, initia-
tors, reaction terminators, and solution buffers.
b. Asa manufacturing aid- A chemical that aids the manu-
facturing process but does not become part of the result-
ing product and is not added to the reaction mixture during
the manufacture or synthesis of another chemical sub-
stance. Examples include, but are not limited to, process
lubricants, metal working fluids, coolants, refrigerants,
and hydraulic fluids.
c. Ancillary or other use - A chemical in this category that is
used at a facility for purposes other than as a chemical
processing aid or manufacturing aid as described above.
Includes, but is not limited to, cleaners, degreasers, lubri-
cants, fuels, and chemicals used for treating wastes.
EXAMPLE 7: Activities and Uses of Toxic Chemicals
In the example below, it is assumed that the threshold quan-
tities for manufacture, process, or otherwise use (25,000
pounds, 25,000 pounds, and 10,000 pounds, respectively, for
1990) have been exceeded and the reporting of listed chemi-
cals is therefore required.
Your facility manufacures sulfuric acid. Fifty percent is
sold as a product. The remaining 50 percent is reacted
with naphthalene, which forms phthalic acid and also
produces sulfur dioxide fumes.
Your company manufactures sulfuric acid, a listed chemi-
cal, both for sate/distribution as acommercial product and
for on-site use/processing as a feedstock in the phthalic
acid production process. Because the sulfuric acid is a re-
act ant, it is also processed. See Figure D for how this
information would be reported in Part III, Section 3 of
FormR.
Your facility also processes naphthalene, as reactant to
produce phthalic acid, a chemical not on the section 313
list.
-------
Page 21
Form R - Part
Figure D
(For more information, see Example 7 on page 20)
(Important: Type or print; read instructions before completing form.)
n
Page 3 of 5
Ł EDA EPA FORM R
^ *-r *•* PART III. CHEMICAL-SPECIFIC INFORMATION
(This space for your optional use. )
1. CHEMICAL IDENTITY) Do not complete this section If you complete Section 2.)
1.1
1.2
1.3
1.4
2.
[Reserved]
CAS Number (Enter only one number exactly as it
!U>4-^3-q
Chemical or Chemical Category Name (Enter
SU.LFU.RIC ACIfc
Generic Chemical Name (Complete only if Part i
appears on the 313 list. Enter NA it reporting a chemical category. )
only one name exactly as it appears on the 313 list. )
Section 1. 1 is checked "Yes." Generic name must be structurally descriptive.)
MIXTURE COMPONENT IDENTITY (Do not complete this section If you complete Section 1.)
Generic Chemical Name Provided by Supplier (Limit the name to a maximum of 70 characters (e.g.. numbers, letters, spaces, punctuation).)
3. ACTIVITIES AND USES OF THE CHEMICAL AT THE FACILITY (Check all that apply.)
3.1
3.2
3.3
Manufacture the
chemical: r^i
a.l/vl Produce
b. [ J Import
If produce or import:
FiCl F°r on-site
c.l^J use/processing d-
e.[ J As a byproduct f.
Process the r^-i .[ 1 As a formulation
chemical: a. l*-J As a reactant b.[ J component c.
d . 1 J Repackaging only
Otherwise use f 1 As a chemical
, , a.L J processing aid
the chemical:
b.l J As a manufacturing aid c.
X.1 For sale/
J distribution
J As an impurity
1 As an article
J component
J Ancillary or other use
-------
Form R - Part III
Page 22
4. Maximum Amount of the Chemical On-Slte at Any
Time During the Calendar Year
Insert the appropriate code (see below) that indicates the
maximum quantity of the chemical (e.g.. in storage tanks,
process vessels, on-site shipping containers) at yourfacility at
any time du ring the calendar year. If the chemical was present
at several locations within yourfacility, use the maximumigjaj
amount present at the entire facility at any one time.
Weight Range in Pounds
Range Code
01
02
03
04
05
06
07
08
09
10
11
From...
0
100
1.000
10.000
100.000
1,000.000
10,000.000
50.000.000
100,000.000
500,000,000
1 billion
To....
99
999
9,999
99,999
999.999
9,999,999
49,999,999
99,999,999
499,999,999
999,999.999
more than 1 billion
If the toxic chemical present at your facility was part of a
mixture or trade name product, determine the maximum
quantity of the chemical present at the facility by calculating
the weight of the toxic chemical only. Do not include the weight
of the entire mixture or trade name product. See section
372.30(b) of the reporting rule for further information on how
to calculate the weight of the chemical in the mixture or trade
name product. For chemical categories (e.g., copper com-
pounds), include all chemicals in the category when calculat-
ing the weight of the toxic chemical.
of a chemical from a product. For example, amounts of a
covered toxic chemical that migrate from plastic products in
storage do not have to be counted in estimates of releases of
that chemical from the facility. Also, amounts of listed metal
compounds (e.g., copper compounds) that are lost due to
normal corrosion of process equipment do not have to be
considered as releases of copper compounds from the facility.
All air releases of the chemical from the facility must be
accounted for. Do not enter information on individual emission
points or releases. Enter only the total release. If there is
doubt about whether an air release is a point or non-point
release, you must identify the release as one or the other
rather than leave items 5.1 and 5.2 blank. Instructions for
columns A, B, and C follow the discussions of Sections 5.1
through 5.5.
5.1 Fugitive or Non-Point Air Emissions
Report the total of all releases to the air that are not released
through stacks, vents, ducts, pipes, or any other confined air
stream. You must include (1) fugitive equipment leaks from
valves, pump seals, flanges, compressors, sampling connec-
tions, open-ended lines, etc.; (2) evaporative losses from
surface impoundments and spills; (3) releases from building
ventilation systems; and (4) any other fugitive or non-point air
emissions.
5.2 Stack or Point Air Emissions
Report the total of all releases to the air that occur through
stacks, vents, ducts, pipes, orotherconfinedairstreams. You
must include storage tank emissions. Air releases from air
pollution control equipment would generally fall in this cate-
gory.
5. Releases of the Chemical to the Environment
On-Slte
In Section 5, you must account f orthe total aggregate releases
of the toxic chemical to the environment from your facility for
the calendar year. Releases to the environment include
emissions to the air, discharges to surface waters, and on-site
releases to land and underground injection wells. If you have
no releases to a particular media (e.g.. stack air), enter not
applicable, NA; do not leave any part of Section 5 blank.
Check the box on the last line of this section if you use Part IV,
the supplemental information sheet.
You are not required to count, as a release, quantities of atoxic
chemical that are lost due to natural weathering or corrosion,
normal/natural degradation of a product, or normal migration
5.3 Discharges to Receiving Streams or Water Bodies
Enter the applicable letter code for the receiving stream or
water body from Section 3.10 of Part I of the form. Also, enter
the total annual amount of the chemical released from all
discharge points at the facility to each receiving stream or
water body. Include process outfalls such as pipes and open
trenches, releases from on-site wastewater treatment sys-
tems, and the contribution from stormwater runoff, if appli-
cable (see instructions for column C below). Do not include
discharges to a POTW or other off-site wastewater treatment
facilities in this section. These off-site transfers must be
reported in Part III, Section 6 of the form.
Discharges of listed acids (e.g., hydrogen flouride; hydrogen
chloride; nitric acid; phosphoric acid; and suit uric acid) may be
-------
Page 23
Form R - Part III
reported as zero if the discharges have been neutralized to pH
6 or above. If wastewater containing a listed mineral acid is
discharged below pH 6. then releases of the mineral acid must
be reported. In this case, it is possible to use pH measure-
ments to estimate the amount of mineral acid released.
5.4 Underground Injection On-SIte
Enter the total an nual amou nt of the chemical that was injected
into all wells, including Class I wells, at the facility.
5.5 Releases to Land On-Site
Four predefined subcategories for reporting quantities re-
leased to land within the boundaries of the facility are pro-
vided. Do not report land disposal at off-site locations in this
section.
5.5.1 Landfill - Typically, the ultimate disposal method for
solid wastes is landfiiling. Leaks from landfills need not be
reported as a release because the amount of the toxic chemi-
cal in the landfill has already been reported as a release.
5.5.2 Land treatment/application farming - Another dis-
posal method is land treatment in which a waste containing a
listed chemical is applied onto or incorporated into soil. While
this disposal method is considered a release to land, any vola-
tilization of listed chemicals into the air occurring during the
disposal operation must be reported as a fugitive air release in
Section 5.1 of Form R.
5.5.3 Surface impoundment - A natural topographic depres-
sion, man-made excavation, or diked area formed primarily of
earthen materials (although some may be lined with man-
made materials), which is designed to hold an accumulation of
liquid wastes or wastes containing free liquids. Examples of
surface impoundments are holding, settling, storage, and
elevation pits; ponds; and lagoons. If the pit, pond, or lagoon
is intended for storage or holding without discharge, it would
be considered to be a surface impoundment used as a final
disposal method.
Quantities of the chemical released to surface impoundments
that are used merely as part of a wastewater treatment
process generally must not be reported in this section. How-
ever, it the impoundment accumulates sludges containing the
chemical, you must include an estimate in this section unless
the sludges are removed and otherwise disposed of (in which
case they should be reported under the appropriate section of
the form). Forthe purposes of this reporting, storage tanks are
not considered to be a type of disposal and are not to be
reported in this section of the form.
5.5.4 Other disposal -- Includes any amount of a listed toxic
chemical released to land that does not fit the categories of
landfills, land treatment, or surface impoundment. This other
disposal would include any spills or leaks of listed toxic
chemicals to land. For example, 2,000 pounds benzene leaks
from a underground pipeline into the land at a facility. Because
the pipe was only a few feet from the surface at the erupt point,
30 percent of the benzene evaporates into the air. The 600
pounds released to the air would be reported as a fugitive air
release (Section 5.1) and the remaining 1,400 pounds would
be reported as a release to land, other disposal (Section
5.5.4).
5.A Total Release
Only on-site releases of the toxic chemical to the environment
for the calendar year are to be reported in this section of the
form. The total releases from your facility do not include
transfers or shipments of the chemical from your facility for
sale or distribution in commerce, or of wastes to otherfacilities
fortreatment or disposal (see Part III, Section 6). Both routine
releases, such as fugitive air emissions, and accidental or non-
routine releases, such as chemical spills, must be included in
your estimate of the quantity released. EPA requires no more
than two significant digits when reporting releases (e.g., 7,521
pounds would be reported as 7,500 pounds).
Releases of Less Than One Pound. Total annual releases or
off-site transfers of a toxic chemical from the facility of less
than 1 pound may be reported in one of several ways. You
should round the value to the nearest pound. If the estimate
is 0.5 pounds or greater, you should either check the range
bracket of "1-10" in column A. 1 or enter "1" in column A.2. Do
not use both columns A.1 and A.2. If the release is less than
0.5 pounds, you may round to zero and enter "0"column A.2.
Note that total annual releases of less than 0.5 pounds from
the processing or otherwise use of an article maintains the
article status of that item. Thus, if the only releases you have
are from processing an article, and such releases are less than
0.5 pounds per year, you are not required to submit a report for
that chemical. The 0.5 pound release determination does not
apply to just a single article. It applies to the cumulative
releases from the processing or otherwise use of that same
type of article (e.g., sheet metal or plastic film) that occurs over
the course of the calendar year.
Zero Releases. If you have no releases of a toxic chemical to
a particular medium, report either NA, not applicable, or 0, as
appropriate. Report NA only when there is no possibility a
release could occur to a specific media or off-site location. If
a release to a specific media or off-site location could occur,
but either no release occurred orthe annual aggregate release
was less than 0.5 pounds, report zero. However, if you report
zero releases, a basis of estimate must be provided in column
B. For example, if hydrochloric acid is involved in the facility
processing activities but the facility neutralizes the wastestreams
-------
Form R - Part III
Page 24
to a pH of 6 or above, then the facility reports a 0 release for
the chemical. If the facility has no underground injection well,
it enters NA for that item on the form. If the facility does not
landfill the acidic waste, it enters NA for landfills.
5JV.1 Reporting Ranges
You may take advantage of range reporting for releases to an
environmental medium that are less than 1,000 pounds for the
year. If you choose this option, mark one of the three boxes,
1-10,11-499, or 500-999, that corresponds to releases of the
chemical to the appropriate environmental medium (i-e., any
line torn). You are not required, however, to use these range
check boxes; you have the option of providing a specific value
in column A.2. as described below. However, do not mark a
range and also enter a specific estimate in A.2.
5JL2 Enter Estimate
For releases to any medium that amount to 1.000 pounds or
more for the year, you must provide an estimate in pounds per
year in column A.2. Any estimate provided in column A.2
should be reported to no more than two significant figures.
This estimate should be in whole numbers. Do not use decimal
points.
If you do not use the range reporting option, provide your
estimates of total annual releases (in pounds) in column A.2.
Calculating Releases - To provide the release information
required in columns A.1 and A.2 in this section, you must use
al readly available data (including relevant monitoring data
and emissions measurements) collected at your facility to
meet other regulatory requirements or as part of routine plant
operations, to the extent you have such data for the toxic
chemical.
When relevant monitoring data or emission measurements
are not readily available, reasonable estimates of the amounts
released must be made using published emission factors,
material balance calculations, or engineering calculations.
You may not use emission factors or calculations to estimate
releases if more accurate data are available.
No additional monitoring or measurement of the quanti-
ties or concentrations of any toxic chemical released Into
the environment, or of the frequency of such releases, Is
required forthe purpose of completing this form, beyond
that which is required under other provisions of law or
regulation or as part of routine plant operations.
You must estimate, as accurately as possible, the quantity (in
pounds) of the chemical or chemical category that is released
annuafly to each environmental medium. Include only the
quantity of the toxic chemical contained in the wastestream in
this estimate. If the toxic chemical present at your facility was
part of a mixture or trade name product, calculate only the
releases of the chemical, not the other components of the
mixture or trade name product. If you are only able to estimate
the releases of the mixture or trade name product as a whole,
you must assume that the release of the toxic chemical is
proportional to its concentration in the mixture or trade name
product. See section 372.30(b) of the reporting rule forfurther
information on how to calculate the concentration and weight
of the toxic chemical in the mixture or trade name product.
If you are reporting a chemical category listed in Table II of
these instructions, rather than a specific chemical, you must
combine the release data for all chemicals in the listed chemi-
cal category (e.g., all glycol ethers or all chlorophenols) and
report the aggregate amount for that chemical category. Do
not report releases of each individual chemical in that category
separately. For example, if yourfacility releases 3,000 pounds
per year of 2-chlorophenol, 4,000 pounds per year of 3-chlo-
rophenol, and 4,000 pounds per year of 4-chlorophenol, you
should report that your facility releases 11,000 pounds per
year of chlorophenols.
For listed chemicals with the qualifier "solution," such as
ammonium nitrate, at concentrations of 1 percent (or 0.1
percent in the case of a carcinogen) or greater, the chemical
concentrations must be factored into threshold and release
calculations because threshold and release amounts relate to
the amount of chemical in solution, not the amount of solution.
For metalcompoundcategories(e.g., chromium compounds),
report releases of only the parent metal. For example, a user
of various inorganic chromium salts would report the total
chromium released in each waste type regardless of the
chemical form (e.g., as the original salts, chromium ion, oxide)
and exclude any contribution to mass made by other species
in the molecule.
EXAMPLE 8: Calculating Releases
Your facility disposes of 14,000 pounds of lead chromate
(PbCrO4PbO) in an on-site landfill and transfers 16,000 pounds
of lead selenate (PbSeO4) to an off-site land disposal facility.
You would therefore be submitting three separate reports on
the following: lead compounds, selenium compounds, and
chromium compounds. However, the quantities you would be
reporting would be the pounds of "parent' metal being re-
leased ortransferred off-site. All quantities are based on mass
balance calculations (See Section 5.B for information on Basis
of Estimate and Section 6.C f or treatment/ disposal codes and
information on transfers of chemical wastes). You would
calculate releases of lead, chromium, and selenium by first
determining the percentage by weight of these metals in the
materials you use as follows:
Lead Chromate (PbCrO, PbO) -
Molecular weight =
546.37
-------
Page 25
Form R - Part I
Lead 2Pb-
Molecular weight
Chromate 1 Cr -
Molecular weight
207.2x2 = 414.4
51.996
Lead chromate is therefore (% by weight)
(414.4/546.37) = 75.85% toad and (51.996/546.37) =
9.52% chromium
You can then calculate the total amount of the metals that you
must report, based on your knowledge that 14,000 pounds of
lead chromate contains:
14,000x0.7585 = 10,619 pounds of lead
14,000 x 0.0952 = 1,334 pounds of chromium
Similarly, lead selenate is (207.2/350.17) = 59.17% lead and
(78.96/350.17) = 22.55% selenium.
The total pounds of lead, chromium, and selenium released or
transferred from your facility are as follows:
Lead
Release:
0.7585 x 14,000 = 10,619 pounds from lead chromate
(round to 11,000 pounds)
Transfer:
0.5917 x 16,000 = 9,467 pounds from lead selenate
(round to 9,500 pounds)
(As an example, the releases and transfers of lead should be
reported as illustrated in Figure E on the page 26.)
Chromium
Release:
0.0952 x 14,000 = 1,333 pounds from lead chromate
(round to 1,300 pounds)
Selenium
Transfer:
0.2255 x 16,000 = 3,608 pounds of selenium from lead
selenate (round to 3,600 pounds)
5.B Basis of Estimate
For each release estimate, you are required to indicate the
principal method used to determine the amount of release
reported. You will entera lettercodethat identifies the method
that applies to the largest portion of the total estimated release
quantity.
For example, if 40 percent of stack emissions of the reported
substance were derived using monitoring data, 30 percent by
mass balance, and 30 percent by emission factors, you would
enter the code letter "M" for monitoring.
The codes are as follows:
M - Estimate is based on monitoring data or measurements
for the toxic chemical as released to the environment
and/or off-site facility.
C - Estimate is based on mass balance calculations, such
as calculation of the amount of the toxic chemical in
streams entering and leaving process equipment.
E - Estimate is based on published emission factors, such
as those relating release quantity to through-put or
equipment type (e.g., air emission factors).
O - Estimate is based on other approaches such as engi-
neering calculations (e.g., estimating volatilization using
published mathematical formulas) or best engineering
judgment. This would include applying an estimated
removal efficiency to a waste stream, even if the com-
position of the stream before treatment was fully identi-
fied through monitoring data.
If the monitoring data, mass balance, or emission factor used
to estimate the release is not specific to the toxic chemical
being reported, the form should identify the estimate as based
on engineering calculations or best engineering judgment.
If a mass balance calculation yields the flow rate of a waste-
stream, but the quantity of reported chemical in the waste-
stream is based on solubility data, report "O" because "engi-
neering calculations* were used as the basis of estimate of the
quantity of the chemical in the wastestream.
-------
Form R - Part III
Page 26
Figure E
EPA
EPA FORM R
PART III. CHEMICAL-SPECIFIC INFORMATION
(This space for your optional use
1. CHEMICAL IDENTITYfDo not complete this section If you complete Section 2.)
1.1
[Reserved]
1.2
CAS Number (Enter only one number exactly as it appears on the 313 list. Enter NA if reporting a chemical category.
1.3
Chemical or Chemical Category Name (Enter only one name exactly as it appears on the 313 list )
UEAb COHPOUMt>S
1.4
Generic Chemical Name (Complete only if Part I, Section 1.1 is checked Yes." Generic name must oe structurally descriptive )
5. RELEASES OF THE CHEMICAL TO THE ENVIRONMENT ON-SITE
You may report releases of less than
1.000 pounds by checking ranges under A. 1.
(Oo not use both A.1 and A 2)
5.1 Fugitive or non-point air emissions
5.2 Stack or point air emissions
5.3 Discharges to receiving
streams or water bodies
(Enter letter code from Part I
Section 3 10 for stream(s) In
the Box provided )
5.3.2D
5.3.3
5.4 Underground Injection
5.5 Releases to land
55.1 On-site landfill
552 Land treatment /application farming
5 5.3 Surface impov
nt
5.5.4 Other disposal
5.1a
5.2a
5.3.1a
5 3.2a
5.3.3a
5.4a
551*
5 5.2a
5 5.3a
5 5.4a
A. Total Release
(pounds/year)
A.1
Reporting Ranges
1-10 11-499 500-999
A.2
Enter
Estimate
NA
11,000
B. Basis of
Estimate
(enter code)
S.lb
(Check if additional information is provided on Part rv-Suppiememai information.)
dEPA EPA FORM R
PART III. CHEMICAL-SPECIFIC INFORMATION
(continued)
(This space for your optional use.)
8. TRANSFERS OF THE CHEMICAL IN WASTE TO OFF-SITE LOCATIONS
You may report transfers
of less than 1 , 000 pounds by
checking ranges under A. 1 . (Do
not use both A.1 and A. 2)
Discharge to POTW -__ _— ,
. (enter location number ,1
6.1.1 from Part «. Section 1 ) | '|l
Other off-site location , , , .
... (enter location number •> 1
6.2.1 from Part «. Section 2.) I * I -I 1
Other off-site location . , _— .
e , , (enter location number 1 2 1 1
Other off-site location __-. -— ,
(enter location number ->
A . Total Transfers
I pounds /yr)
A.I
Reporting Ranges
1-10 11-499 500-999
[][][]
[][][]
[][][]
[][][]
A. 2
Enter
Estimate
NA
4,500
NA
B . Basis of Est mate
(enter code)
6. Lib 1 1
6.2.1b
Ł
6.2.2b I I
6.2.3b I I
C.Type of Treatment/
Disposal
R,i, Mil 1 2
6.2.2C M I
6.2.3C M I
[ ] (Check if additional information Is provided on Part iV-Supptemental Information. )
-------
Page 27
Form R - Part III
If the concentration of the chemical in the wastestream was
measured by monitoring equipment and the flow rate of the
wastestream was determined by mass balance, then the
primary basis of estimate is "monitoring" (M). Even though a
mass balance calculation also contributed to the estimate.
"Monitoring" should be indicated because monitoring data was
used to estimate the concentration of the waste stream.
Mass balance (C) should only be indicated if it is directly used
to calculate the mass (weight) of chemical released. Monitor-
ing data should be indicated as the basis of estimate only if the
chemical concentration is measured in the wastestream being
released into the environment. Monitoring data should not be
indicated, for example, if the monitoring data relates to a
concentration of the toxic chemical in other process streams
within the facility.
It is important to realize that the accuracy and proficiency of
release estimation will improve over time. However, it is not
required that submitters use new emission factors or estima-
tion techniques to revise previous Form R submissions.
5.C Percent From Stormwater
This column relates only to Section 5.3 - Discharges to
receiving streams or water bodies. If yourfacility has monitor-
ing data on the amount of the chemical in stormwater runoff
(including unchanneled runoff), you must include that quantity
of the chemical in your water release in column A and indicate
the percentage of the total quantity (by weight) of the chemical
contributed by stormwater in column C (Section 5.3c).
If your facility has monitoring data on the chemical and an
estimate of flow rate, you must use this data to determine the
percent stormwater.
If you have monitored stormwater but did not detect the
chemical, enter zero (0) in column C. If your facility has no
stormwater monitoring data for the chemical, enter not appli-
cable, NA, in this space on the form.
EXAMPLE 9: Releases from Stormwater
Bi-monthly stormwater monitoring data shows that the aver-
age concentration of zinc in the stormwater runoff from your
facility from a biocide containing a zinc compound is 1.4
milligrams per liter, and the total annual stormwater discharge
from the facility is 7.527 million gallons. The total amount of
zinc discharged to surface water through the plant wastewater
discharge (non-stormwater) is 250 pounds per year. The total
amount of zinc discharged with stormwater is:
(7,527,000 gallons stormwater) x (3.785 liters/gallon)
= 28,489,695 liters stormwater
(28,489,695 liters stormwater) x (1.4 mg. zinc/liter)
= 39,885.6 grams zinc
= 88 pounds zinc
The total amount of zinc discharged from all sources of your
facility is:
250 pounds zinc from wastewater discharge
+ 88 pounds zinc from stormwater runoff
338 pounds zinc total water discharge
Round to 340 pounds of zinc for report.
The percentage of zinc discharged through stormwater is:
88/338x100 = 26%
If yourfacility does not have periodic measurements of storm-
water releases of the chemical, but has submitted chemical-
specific monitoring data in permit applications, then these data
must be used to calculate the percent contribution from
stormwater. Rates of flow can be estimated by multiplying the
annual amount of rainfall by the land area of the facility and
then multiplying that figure bythe runoff coefficient. The runoff
coefficient represents the fraction of rainfall that does not
infiltrate into the ground but runs off as stormwater. The runoff
coefficient is directly related to how the land in the drainage
area is used. (See table below.)
Description of Land Area
Business
Downtown areas
Neighborhood areas
Industrial
Light areas
Heavy areas
Railroad yard areas
Unimproved areas
Streets
Asphalt ic
Concrete
Brick
Drives and walks
Roofs
Lawns: Sandy Soil
Flat. 2%
Average, 2-7%
Steep, 7%
Lawns: Heavy Soil
Flat, 2%
Average, 2-7%
Steep, 7%
Runoff Coefficient
0.70-0.95
0.50-0.70
0.50-0.80
0.60-0.90
0.20-0.40
0.10-0.30
0.70-0.95
0.80-0.95
0.70-0.85
0.70-0.85
0.75-0.95
0.05-0.10
0.10-0.15
0.15-0.20
0.13-0.17
0.18-0.22
0.25-0.35
Choose the most appropriate runoff coefficient for your site or
calculate a weighted-average coefficient, which takes into
account different types of land use at your facility:
-------
Form R - Part III
Page 28
Weighted-average
runoff coefficient
+ Area2C2
Aft)
Total Site Area
where C = runoff coefficient for a specific land use of Area,.
EXAMPLE 10: Stormwater Runoff
Your facility is located in a semi-arid region of the United
States which has an annual precipitation (including snowfall)
of 12 inches of rain. (Snowfall should be converted to the
equivalent inches of rain; assume one foot of snow is equiva-
lent to one inch of rain.) The area covered by your facility is 42
acres (about 170,000 square meters or 1,829,520 square
feet). The area of your facility is 50 percent unimproved area,
10 percent asphaltic streets, and 40 percent concrete pave-
ment.
The total stormwater runoff from your facility is therefore
calculated as follows:
Land Use %Area
Unimproved area 50
Asphaltic streets 10
Concrete pavement 40
Runoff
Coefficient
0.20
0.85
0.90
Weighted-average runoff coefficient =
(50%) X (0.20) + (10%)X (0.85) + (40%) X (0.90) = 0.545
100% Area
(Rainfall) x (land area) x (conversion factor) x (runoff coeffi-
cient) = stormwater runoff
(1 foot) x (1.829,520 ft2) x (7.48 gal/ft3) x (0.545)
= 7,458,221 gallons/year
Total stormwater runoff = 7.45 million gallons/year
6. Transfer* of the Chemical in Waste to Off-Site
Locations
You must report in this section the total annual quantity of the
chemical sent to any of the off-site disposal, treatment, or
storage facilities for which you have provided an address in
Part II. You are not required to report quantities of the
chemical sent off-site for purposes of recycle or reuse. Report
the amount of the toxic chemical transferred off-site after any
on-site treatment or removal is completed. Report zero for
releases of listed mineral acids if they have been neutralized
to pH of 6 or above prior to discharge to a POTW. See the
Discussion under Section 5.3, Discharges to Receiving Streams
or Water Bodies (see page 22).
On line 6.1.1, report the amount of the listed chemical trans-
ferred to a POTW listed in Part II, Section 1. In the block
provided, enterthe numberfrom Part II, Section 1 correspond-
ing to the POTW to which the discharge is sent. For example,
if the discharge is sent to the location listed in Part II, Section
1.1, then enter "1" in the block provided (the first digit of this
section number has been preceded). It you transfer waste
containing the toxic chemical to more than one POTW, check
the box at the bottom of Section 6 and use the Part IV, the
Supplemental Information Sheet to report those transfers.
On lines 6.2.1 through 6.2.3, report the amount of the chemical
transferred to other off-site locations corresponding to those
listed in Part II, Sections 2.1 through 2.6, including privately
owned wastewater treatment facilities. In the block provided,
enterthe numberfrom Part II, Section 2 corresponding to the
off-site location to which the transfer is sent. For example, if
the transfer is sent to the location listed in Part II, Section 2.3,
enter '3' in the block provided. (The first digit of this section
number has been preceded.) If you need additional space,
check the box at the bottom of Section 6 and use the
Supplemental Information Sheet (Part IV, Section 6) to report
those transfers.
6JV Total Transfers
This column should be completed as described in the instruc-
tions for column A of Section 5 above. Enter the amount, in
pounds, of the toxic chemical that is being transferred, includ-
ing mixtures or trade name products containing the chemical.
Do not enter the total poundage of wastes. See Section 5 for
information on reporting off-site transfers of less than 1 pound.
As in Section 5, if the total amount transferred is less than
1,000 pounds, you may report a range. Enter not applicable,
MA, in column A.2 if you have no off-site transfers of the listed
chemical.
6.B Basis of Estimate
You must identify the basis for your estimate. Enter the letter
code that applies to the method by which the largest percent-
age of the estimate was derived. Use the same codes
identified in the instructions for column B of Section 5 (See
page 25).
6.C Type of Treatment/Disposal
Enter one of the following codes to identify the type of
treatment or disposal method used by the off-site location for
the chemical being reported. You should use more than one
line for a single location when the toxic chemical is subject to
different disposal methods; the same location code may be
used more than once. You may have this information in your
copy of EPA Form SO, Item S of the Annual/Biennial Hazard-
ous Waste Treatment, Storage, and Disposal Report (RCRA).
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Page 29
Form R - Part III
Applicable codes for Part III, Section 6(c) are as follows:
M10 Storage Only
M40 Solidification/Stabilization
M50 Incineration/Thermal Treatment
M61 Wastewater Treatment (Excluding POTW)
M69 Other Treatment
M71 Underground Injection
M72 Landfill/Disposal Surface Impoundment
M73 Land Treatment
M79 Other Land Disposal
M90 Other Off-Site Management
M91 Transfer to Waste Broker
M99 Unknown
7. Waste Treatment Methods and Efficiency
In Section 7, you must provide the following information
related to the chemical for which releases are being reported:
(A) the general wastestream types containing the chemical
being reported; (B) the waste treatment methods used on all
wastestreams containing the chemical; (C) the range of con-
centrations of the chemical in the influent to the treatment
method; (D) whether sequential treatment is used; (E) the
efficiency or effectiveness of each treatment method in re-
moving the chemical; and (F) whether the treatment efficiency
figure was based on actual operating data. Use a separate line
in Section 7 for each treatment method used on a waste-
stream.
In this section, report only information about treatment of
wastestreams at your facility, not about off-site treatment. If
you do not perform on-site treatment of wastes containing the
chemical being reported, check the Not Applicable (NA) space
at the top of Section 7.
7.A General Wastestream
For each waste treatment method, indicate the type of waste-
stream containing the chemical that is treated. Enter the letter
code that corresponds to the general wastestream type:
A = Gaseous (gases, vapors, airborne particulates)
W= Wastewater (aqueous waste)
L = Liquid waste (non-aqueous waste)
S = Solid waste (including sludges and slurries)
If a waste is a mixture of water and organic liquid, you must
report it as wastewater unless the organic content exceeds 50
percent. Slurries and sludges containing water must be
reported as solid waste if they contain appreciable amounts of
dissolved solids, or solids that may settle, such that the
viscosity or density of the waste is considerably different from
that of process wastewater.
7.B Treatment Method
Enterthe appropriate code from one of the lists below for each
on-site treatment method used on a wastestream containing
the toxic chemical, regardless of whether the treatment method
actually removes the specific chemical being reported. Treat-
ment methods must be reported for each type of waste being
treated (i.e., gaseous wastes, aqueous wastes, liquid non-
aqueous wastes, and solids). The treatment codes, except for
the air emission treatment codes, are not restricted to any
medium.
Wastestreams containing the chemical may have a single
source or may be aggregates of many sources. For example,
process water from several pieces of equipment at yourfacility
may be combined prior to treatment. Report treatment meth-
ods that apply to the aggregate wastestream, as well as
treatment methods that apply to individual wastestreams. If
yourfacility treats various wastewater streams containing the
chemical in different ways, the different treatment methods
must each be listed separately.
If your facility has several pieces of equipment performing a
similar service, you may combine the reporting for such
equipment on a single line. It is not necessary to enter four
lines of data to coverfour scrubber units, for example, if all four
are treating wastes of similar character (e.g., sulf uric acid mist
emissions), have similar influent concentrations, and have
similar removal efficiencies. If, however, any of these parame-
ters differ from one unit to the next, each scrubber must be
listed separately.
Air Emissions Treatment
A01 Flare
A02 Condenser
A03 Scrubber
A04 Absorber
A05 Electrostatic Precipitator
A06 Mechanical Separation
A07 Other Air Emission Treatment
Biological Treatment
B11 Biological Treatment - Aerobic
B21 Biological Treatment - Anaerobic
B31 Biological Treatment - Facultative
B99 Biological Treatment - Other
Chemical Treatment
C01 Chemical Precipitation - Lime or Sodium
Hydroxide
C02 Chemical Precipitation - Sulfide
C09 Chemical Precipitation - Other
C11 Neutralization
C21 Chromium Reduction
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Form R - Part HI
Page 30
C31 Complexed Metals Treatment (other than pH
Adjustment)
C41 Cyanide Oxidation - Akaline Chlorination
C42 Cyanide Oxidation - Electrochemical
C43 Cyanide Oxidation-Other
C44 General Oxidation (including Disinfection) -
Chlorinatton
C45 General Oxidation (including Disinfection) -
Ozonation
C46 General Oxidation (including Disinfection) - Other
C99 Other Chemical Treatment
Incineration/Thermal Treatment
F01 Liquid Injection
F11 Rotary Kiln with Liquid Injection Unit
F19 Other Rotary Kiln
F31 Two Stage
F41 Fixed Hearth
F42 Multiple Hearth
F51 FlukJized Bed
F61 Infra-Red
F71 Fume/Vapor
F81 Pyrolytte Destructor
F82 Wet Air Oxidation
F83 Thermal Drying/Dewatering
F99 Other Incineration/Thermal Treatment
Physical Treatment
P01 Equalization
P09 Other Blending
P11 Settling/Clarification
P12 nitration
P13 Sludge Dewatering (non-thermal)
P14 Air Flotation
P15 Oil Skimming
PI 6 Emulsion Breaking - Thermal
P17 Emulsion Breaking - Chemical
P18 Emulsion Breaking - Other
P19 Other Liquid Phase Separation
P21 Adsorption -- Carbon
P22 Adsorption -- Ion Exchange (other than for
recovery/reuse)
P23 Adsorption - Resin
P29 Adsorption - Other
P31 Reverse Osmosis (other than for recovery/reuse)
P41 Stripping - Air
P42 Stripping - Steam
P49 Stripping - Other
P51 Add Leaching (other than for recovery/reuse)
P61 Solvent Extraction (other than recovery/reuse)
P99 Other Physical Treatment
Recovery/Reuse
R01 Reuse as Fuel - Industrial Kiln
R02 Reuse as Fuel - Industrial Furnace
R03 Reuse as Fuel - Boiler
R04 Reuse as Fuel - Fuel Blending
R09 Reuse as Fuel - Other
R11 Solvents/Organics Recovery - Batch Still
Distillation
R12 Solvents/Organics Recovery -- Thin-Film
Evaporation
R13 Solvents/Organics Recovery - Fractionation
R14 Solvents/Organics Recovery - Solvent Extraction
R19 Solvents/Organics Recovery - Other
R21 Metals Recovery -- Electrolytic
R22 Metals Recovery - Ion Exchange
R23 Metals Recovery - Acid Leaching
R24 Metals Recovery -- Reverse Osmosis
R26 Metals Recovery -- Solvent Extraction
R29 Metals Recovery - Other
R99 Other Reuse or Recovery
Solidification/Stabilization
G01 Cement Processes (including Silicates)
G09 Other Pozzolonic Processes (including Silicates)
G11 Asphaltic Processes
G21 Thermoplastic Techniques
G99 Other Solidification Processes
7.C Range of Influent Concentration
The form requires an indication of the range of concentration
of the toxic chemical in the wastestream (i.e., the influent) as
it typically enters the treatment equipment. Enter in the space
provided one of the following code numbers corresponding to
the concentration of the chemical in the influent:
1 = Greater than 1 percent
2 = 100 parts per million (0.01 percent) to
1 percent (10,000 parts per million)
3=1 part per million to 100 parts per million
4-1 part per billion to 1 part per million
5 = Less than 1 part per billion
[Note: Parts per million (ppm) is:
O milligrams/kilogram (mass/mass) for solids and liquids;
O cubic centimeters/cubic meter (volume/volume) for gases;
O milligrams/literfor solutions ordispersions of the chemical
in water; and
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Page 31
Form R - Part
O milligrams of chemical/kilogram of air for participates in
air. If you have paniculate concentrations (at standard
temperature and pressure) as grains/cubic foot of air,
multiply by 1766.6 to convert to parts per million; if in mill!
grams/cubic meter, multiply by 0.773 to obtain parts per
million. Factors are for standard conditions of 0°C (32°F)
and 760 mmHg atmospheric pressure.]
7.D Sequential Treatment?
The sequential treatment boxes are to be checked when
individual treatment steps are used in a series to treat the toxic
chemical, and you have no data on the efficiency of each step,
however, you are able to estimate the overall efficiency of the
treatment sequence.
To report sequential treatment:
O List the appropriate codes for the treatment steps in the
order that they occur (in column B) and then put an "X" in
the boxes in column D for all these sequential treatment
steps.
O Enter the appropriate code for the influent concentration
(in column C) for the first treatment step in the sequence.
Leave this item blank for the rest of the treatment steps in
the sequence.
O Provide the overall treatment efficiency (in column E) for
the entire sequence by entering that value in connection
with the last treatment step in the sequence only. Enter
NA in column E for the efficiency of all preceding steps in
the sequence.
O Mark yes or no in column F only in connection with the final
step in the sequence. Do not mark in this column for
proceeding steps in the sequence.
An example of how to use the sequential treatment option is
provided in Appendix C.
7.E Treatment Efficiency Estimate
In the space provided, enter the number indicating the per-
centage of the toxic chemical removed from the wastestream
through destruction, biological degradation, chemical conver-
sion, or physical removal. The treatment efficiency (ex-
pressed as percent removal) represents the mass or weight
percentage of chemical destroyed or removed, not merely
changes in volume or concentration of the chemical in the
wastestream. The efficiency refers only to the percent de-
struction, degradation, conversion, or removal of the listed
toxic chemical from the wastestream, not the percent conver-
sion or removal of other wastestream constituents which may
occur together with the listed chemical. The efficiency also
does not refer to the general efficiency of the method for any
wastestream. For some treatments, the percent removal will
represent removal by several mechanisms, as in as aeration
basin, where a chemical may evaporate, be biodegraded, or
be physically removed from the sludge.
Percent removal must be calculated as follows:
(I-El X100
I
where I = mass of the chemical in the influent wastestream and
E = mass of the chemical in the effluent wastestream.
Calculate the mass or weight of chemical in the wastestream
being treated by multiplying the concentration (by weight) of
the chemical in the wastestream by the flow rate. In most
cases, the percent removal compares the treated effluent to
the influent for the particular type of wastestream. However,
for some treatment methods, such as incineration or solidifica-
tion of wastewater, the percent removal of the chemical from
the influent wastestream would be reported as 100 percent
because the wastestream does not exist in a comparable form
after treatment. Some of the treatments (e.g., fuel blending
and evaporation) do not destroy, chemically convert, or physi-
cally remove the chemical from its wastestream. For these
treatment methods, an efficiency of zero must be reported.
For metal compounds, the calculation of the reportabte con-
centration and treatment efficiency is based on the weight of
the parent metal, not on the weight of the metal compounds.
Metals are not destroyed, only physically removed or chemi-
cally converted from one form into another. The treatment
efficiency reported represents only physical removal of the
parent metal from the wastestream, not the percent chemical
conversion of the metal compound. If a listed treatment
method converts but does not remove a metal (e.g., chromium
reduction), the method must be reported, but the treatment
efficiency must be reported as zero.
Listed toxic chemicals which are strong mineral acids which
are neutralized to a pH of 6 or above are considered treated at
a 100 percent efficiency.
All data available at your facility must be utilized to calculate
treatment efficiency and influent chemical concentration. You
arena! required to collect any new data for the purposes of this
reporting requirement. If data are lacking, estimates must be
made using best engineering judgment or other methods.
7.F Based on Operating Data?
This column requires you to indicate "Yes" or "No" to whether
the treatment efficiency estimate is based on actual operating
data. For example, you would check "Yes" if the estimate is
based on monitoring of influent and effluent wastes under
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Form R - Part I
Page 32
typical operating conditions. For sequential treatment, do not
indicate "Yes" or "No" in column F for a treatment step unless
you have provided a treatment estimate in column E.
If the efficiency estimate is based on published data for similar
processes or on equipment supplier's literature, or if you
otherwise estimated either the influent or effluent waste
comparison or the flow rate, check "No."
EXAMPLE 11: Waste Treatment Methods
One wastestream generated by your facility is aqueous waste
containing lead chromate, and lead selenate as discussed in
a previous example in these instructions. In this example, the
waste is transferred to off-site facilities after on-site wastewa-
tertreatment. The on-site wastewatertreatment plant precipi-
tates metal sludges. The wastewater is first treated with
sulfuric acid and sodium disulfate to reduce the hexavatent
chromate to trivatont chromium and then treated with lime to
raise the pH. This precipitates chromium hydroxide, zinc
hydroxide, and lead hydroxide, but does not remove the
selenium. The selenium is removed from the wastewater by
an ionic exchange system. The chromium, zinc, and lead
hydroxide sludge (solid) waste is transferred to an off-site land
disposal facility and the selenium-containing ion exchange
resin is transferred to an off-site facility for metal recovery (off-
site recovery should JQQ! be reported). The treated wastewater
is sent to a POTW after neutralization. You would indicate the
following treatment methods for the on-site treatment of each
of the lead, zinc, chromium, and selenium compounds:
C21 - Chromium Reduction
C01 - Chemical Precipitation - Lime or Sodium
Hydroxide
R22 - Metals Recovery - Ion Exchange
C11 - Neutralization
All sequential treatment steps must be indicated for ajl the
metal compound categories reported even if the treatment
method does not affect the particular metal. For example,
ionic exchange must be reported as a treatment method for
lead, zinc, chromium, and selenium compounds, even though
the method affects only the selenium compound.
You would indicate a discharge to a POTW in Part III, Section
6.1.1 and the location of the POTW in Part II. Sectk>n1.1. You
would also indicate the release of the metal sludge to an off-
site land disposal facility in Part III, Section 6.2.1.
8. POLLUTION PREVENTION: OPTIONAL
INFORMATION ON WASTE MINIMIZATION
Information provided in Part III. Section 8. of Form R is
optional. In this section, you may identify waste minimization
efforts relating to the reported toxic chemical. Waste minimi-
zation reduces the amount of the toxic chemical in wastes by
reducing waste generation or by recycling. This can be
accomplished by equipment changes, process modifications,
product reformulation, chemical substitutions, or other tech-
niques. Waste minimization refers exclusively to practices
which prevent the generation of wastes. Treatment or dis-
posal does not minimize waste and should not be reported in
this section. Recycling or reuse of a toxic chemical is consid-
ered waste minimization. Waste minimization applies to air
emissions and wastewater, as well as to liquid or solid mate-
rials that are released, disposed of, or treated. For example,
a program to recycle material from reactor cleaning could
reduce the amount of a listed chemical in wastewater prior to
treatment. This reduction might not show up in annual reports
of releases to receiving streams (due to effective treatment,
for example) but would be captured in this section.
8.A Type of Pollution Prevention Modification
Enter the one code from the following list that best describes
the type of waste minimization activity:
Ml Recycling/Reuse On-Site
(e.g., solvent recovery still; vapor recovery system;
reuse of materials in a process)
M2 Recycling/Reuse Off-Site
(e.g., commercial recycler; toll recycling; at an off-site
company-owned facility)
M3 Equipment/Technology Modifications
(e.g., change from solvent to mechanical stripping;
modify spray systems to reduce overspray losses;
install floating roofs to reduce tank emissions; install
float guards to prevent tank overflow)
M4 Process Procedure Modifications
(e.g., change production schedule to minimize equip-
ment and feedstock change-overs; improved control
of operating conditions; segregation of wastes to
permit recycling)
M5 Reformulation/Redesign of Product
(e.g., change in product specifications; modify design
or composition; reduce or modify packaging)
M6 Substitution of Raw Materials
(e.g., change or eliminate additives; substitute water-
based for solvent-based coating materials, cleaners,
and pigments; increase purity of raw materials)
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Page 33
Form R - Part III
M7 Improved Housekeeping, Training, Inventory Control
(e.g., alter maintenance frequency; institute leak de-
tection program; improved inventory control; institute
training program on waste minimization)
M8 Other Waste Minimization Technique
(e.g., elimination of process; discontinuation of product)
8.B Quantity of the Chemical In the Wastestream Prior
to Treatment/Disposal
You may report the change in the amount of the toxic chemical
generated in either of two ways. You may provide the amount
of the toxic chemical in waste produced in the reporting year
and the previous year, or you may report only the percent
change.
Enter the total pounds of the toxic chemical contained In all
wastes from the reporting facility (air emissions, water
discharges, solid wastes and off-site transfers) generated
during the reporting year. This quantity may be the sum of all
the release amounts reported on Form R if there is no on-site
treatment of the toxic chemical. The quantity will often be
greater than the total reported release amounts because it
includes waste prior to treatment.
You should consider only the quantity of the toxic chemical in
the waste. Do not report the total mass of the waste (i.e., do
not include the weight of water, soil, or waste constituents
which are not reportable on Form R).
Similarly, report total pounds of the toxic chemical contained
in all wastes generated for the year prior to the reporting year.
Alternatively, to protect confidential information, you may wish
to enter only the percentage by which the weight of the toxic
chemical in the wastes has changed. This figure may be
calculated using the following formula:
(Wc-Wp)
X100
where:
W.
W
weight of toxic chemical in total wastes for the
current reporting year
weight of toxic chemical in total wastes for the
prior year
Note that the resulting figure will very often be negative
(indicating that the total amount of waste generated has been
reduced in the current year). Be sure to check-off the
appropriate sign for the value where indicated on Form R.
8.C Waste Minimization Index
Enter the ratio of reporting-year production to the prior report-
ing-year production. This index should be calculated to most
closely reflect activities involving the chemical. To determine
the index, divide the production amount, which was chosen as
a measure of the current reporting year's production level, by
the prior year's production amount.
The index provides a means for users of the data to distinguish
effects due to changes in business activity from the effects
specifically due to waste minimization efforts. It is not neces-
sary to indicate the units on which the index is based. The
index should not be based on the dollar value of sales. Ex-
amples of acceptable indices include:
O Amount of chemical produced in 1990/amount of chemi-
cal produced in 1989. For example, a company manufac-
tures 200,000 pounds of a chemical in 1989 and 250,000
pounds of the same chemical in 1990. The index figure to
report would be 1.3 (1.25 rounded to two significant
digits).
O Amount of paint produced in 1990/amount of paint pro-
duced in 1989.
O Number of appliances coated in 1990/number of appli-
ances coated in 1989.
O Square feet of solar collector fabricated in 1990/square
feet of solar collector fabricated in 1989.
8.D Reason for Action
Finally, enter the most appropriate code from the following list
that best describes the primary reason for initiating the waste
minimization effort:
R1 Regulatory Requirement for the Waste
R2 Reduction of Treatment/Disposal Costs
R3 Other Process Cost Reduction
R4 Discontinuation of Product
R5 Other (e.g., occupational safety concerns, etc.).
These responses are intended to be mutually exclusive, if for
example your facility developed a program for reducing waste
without some government impetus and the primary reason
was to reduce costs then it would be most appropriate to
choose code R3 or R4. Choosing R5 "Other" should be used
only in those cases where R1 - R4 do not apply. If you care to
elaborate on these other reasons please feel free to attach an
explanation to the form.
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Form R - Part I
Page 34
EXAMPLE 12: WASTE MINIMIZATION (POLLUTION
PREVENTION)
A facility stores toluene in a large tank, and continuously uses
it as a raw material in a chemical process throughout the
reporting year. Prior to the current reporting year, annual air
emissions of toluene were 100,000 pounds from the tank, and
another 100,000 pounds from process emissions. In addition,
150,000 pounds of sludges are created from the process and
from storage tanks. The sludge contains a total of 25,000
pounds of toluene which was burned in an on-site incinerator.
The Form R filed by the facility for the prior year indicated
200,000 pounds of toluene air emissions. The toluene con-
tained in the sludge was identified as treated on-site, although
the pre-treated amount of the toluene was not indicated on the
Form R, since this information is not required under section
313.
At the beginning of the current reporting year, the facility
installed a floating roof in its storage tank. This change
reduced fugitive emissions from the tank 90 percent, from
100,000 pounds per year to 10,000 pounds. Process emis-
sions and sludge generation remained the same.
Based on this information, Part III, Section 8 of Form R would
be completed as follows:
A. Tvpa of Modification
M3: Equipment/Technology Modification.
B. Quantity of the Chemical in the Wastestream Prior to
Treatment/Disposal
Tank Process Toluene Total
Emissions Emissions in Toluene
of Toluene of Toluene Sludges
Total toluene
wastes Ibr We - 10,000 + 100,000 + 25,000 - 135,000
current reporting
year (pounds)
Total toluene
wastes for W,- 100,000 + 100.000
prior year
(pounds)
25,000 - 225,000
Note that only the weight of the toluene in the sludge (25,000
pounds) and not the full weight of the sludge (1 50,000 pounds)
is included in the calculation.
The facility would record 135.000 pounds as the current
reporting year waste generation (Wc), and 225,000 pounds as
the prior year's waste generation (Wp).
Alternatively, the facility may opt to report only the percent
change as follows:
(Wc-Wp)
W.
= -40%
135,000-225.000
X100= X100
225.000
Even though the floating roof achieved a 90% reduction of
toluene emissions from the tank, the overall facility-wide
change in toluene waste generation is negative 40% ~ this is
the figure that should be reported in the "or percent change"
part of Section 8 of Form R.
Increases in waste generation, created by production in-
creases that were greater than the impact of waste minimiza-
tion, would be reported as a positive percentage change.
C. Index
Usage of toluene at this facility remained the same for both
years, resulting in an index of 1.0. If usage had been reduced
by half, the index would have been 0.5.
D. Reason for Action
The facility identified code R3, Other Process Cost Reduction,
as the major reason for the waste minimization action.
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Page 35
TABLE I
SIC CODES 20-39
20 Food and Kindred Products
2011 Meat packing plants
2013 Sausages and other prepared meat products
2015 Poultry slaughtering and processing
2021 Creamery butter
2022 Natural, processed, and imitation cheese
2023 Dry, condensed, and evaporated dairy products
2024 Ice cream and frozen desserts
2026 Fluid milk
2032 Canned specialties
2033 Canned fruits, vegetables, preserves, jams, and
jellies
2034 Dried and dehydrated fruits, vegetables, and soup
mixes
2035 Pickled fruits and vegetables, vegetable sauces
and seasonings, and salad dressings
2037 Frozen fruits, fruit juices, and vegetables
2038 Frozen specialties, n.e.c."
2041 Flour and other grain mill products
2043 Cereal breakfast foods
2044 Rice milling
2045 Prepared flour mixes and doughs
2046 Wet corn milling
2047 Dog and cat food
2048 Prepared feeds and feed ingredients for animals
and fowls, except dogs and cats
2051 Bread and other bakery products, except cookies
and crackers
2052 Cookies and crackers
2053 Frozen bakery products, except bread
2061 Cane sugar, except refining
2062 Cane sugar refining
2063 Beet sugar
2064 Candy and other confectionary products
2066 Chocolate and cocoa products
2067 Chewing gum
2068 Salted and roasted nuts and seeds
2074 Cottonseed oil mills
2075 Soybean oil mills
2076 Vegetable oil mills, except corn, cottonseed, and
soybean
2077 Animal and marine fats and oils
2079 Shortening, table oils, margarine, and other edible
fats and oils, n.e.c.'
2082 Malt beverages
2083 Malt
2084 Wines, brandy, and brandy spirits
2085 Distilled and blended liquors
2086 Bottled and canned soft drinks and carbonated
waters
2087 Flavoring extracts and flavoring syrups, n.e.c."
2091 Canned and cured fish and seafoods
2092 Prepared fresh or frozen fish and seafoods
2095 Roasted coffee
2096 Potato chips, com chips, and similar snacks
2097 Manufactured ice
2098 Macaroni, spaghetti, vermicelli, and noodles
2099 Food preparations, n.e.c. *
21 Tobacco Products
2111 Cigarettes
2121 Cigars
2131 Chewing and smoking tobacco and snuff
2141 Tobacco stemming and redrying
22 Textile Mill Products
2211 Broadwoven fabric mills, cotton
2221 Broadwoven fabric mills, manmade fiber, and silk
2231 Broadwoven fabric mills, wool (including dyeing
and finishing)
2241 Narrow fabric and other smallwares mills: cotton,
wool, silk, and manmade fiber
2251 Women's full length and knee length hosiery, except
socks
2252 Hosiery, n.e.c.'
2253 Knit outerwear mills
2254 Knit underwear and nightwear mills
2257 Weft knit fabric mills
2258 Lace and warp knit fabric mills
2259 Knitting mills, n.e.c.'
2261 Finishers of broadwoven fabrics of cotton
2262 Finishers of broadwoven fabrics of manmade fiber
and silk
2269 Finishers of textiles, n.e.c.'
2273 Carpets and rugs
2281 Yarn spinning mills
2282 Yarn texturizing, throwing, twisting, and winding
mills
2284 Thread mills
2295 Coated fabrics, not rubberized
2296 Tire cord and fabrics
2297 Nonwoven fabrics
2298 Cordage and twine
2299 Textile goods, n.e.c.*
23 Apparel and Other Finished Products made from
Fabrics and Other Similar Materials
2311 Men's and boys' suits, coats, and overcoats
'"Not elsewhere classified' indicated by 'n.e.c.'
-------
Page 36
2321 Men's and boys' shirts, except work shirts
2322 Men's and boys' underwear and nkjhtwear
2323 Men's and boys' neckwear
2325 Men's and boys' separate trousers and slacks
2326 Men's and boys' work clothing
2329 Men's and boys' clothing, n.a.c. *
2331 Women's, misses', and juniors' blouses and shirts
2335 Women's, misses', and juniors' dresses
2337 Women's, misses', and juniors' suits, skirts, and
coats
2339 Women's, misses', and juniors', outerwear, n.&.c.'
2341 Women's, misses', children's, and infants' under-
wear and nightwear
2342 Brassieres, girdles, and allied garments
2353 Hats, caps, and millinery
2361 Girts', children's and infants' dresses, blouses, and
shirts
2369 Girls', children's and infants' outerwear, n.e.c.*
2371 Furgoods
2381 Dress and work gloves, except knit and all leather
2384 Robes and dressing gowns
2385 Waterproof outerwear
2386 Leather and sheep lined clothing
2387 Apparel belts
2389 Apparel and accessories, n.e.c.'
2391 Curtains and draperies
2392 Housefumishings, except curtains and draperies
2393 Textile bags
2394 Canvas and related products
2395 Pleating, decorative and novelty stitching, and
tucking for the trade
2396 Automotive trimmings, apparel findings, and
related products
2397 Schiffli machine embroideries
2399 Fabricated textile products, n.e.c.'
24 Lumber and Wood Products, Except Furniture
2411 Logging
2421 Sawmills and planing mills, general
2426 Hardwood dimension and flooring mills
2429 Special product sawmills, n.e.c. *
2431 Miflwork
2434 Wood kitchen cabinets
2435 Hardwood veneer and plywood
2436 Softwood veneer and plywood
2439 Structural wood members, n.e.c. *
2441 Nailed and lock comer wood boxes and shook
2448 Wood pallets and skids
2449 Wood containers, n.e.c.*
2451 Mobile homes
2452 Prefabricated wood buildings and components
2491 Wood preserving
2493 Reconstituted wood products
2499 Wood products, n.e.c.*
25 Furniture and Fixtures
2511 Wood household furniture, except upholstered
2512 Wood household furniture, upholstered
2514 Metal household furniture
2515 Mattresses, foundations, and convertible beds
2517 Wood television, radio, phonograph, and sewing
machine cabinets
2519 Household furniture, n.e.c.*
2521 Wood office furniture
2522 Office furniture, except wood
2531 Public building and related furniture
2541 Wood office and store fixtures, partitions, shelving,
and lockers
2542 Office and store fixtures, partitions, shelving, and
lockers, except wood
2591 Drapery hardware and window blinds and shades
2599 Furniture and fixtures, n.e.c. *
26 Paper and Allied Products
2611 Pulp mills
2621 Paper mills
2631 Paperboard mills
2652 Setup paperboard boxes
2653 Corrugated and solid fiber boxes
2655 Fiber cans, tubes, drums, and similar products
2656 Sanitary food containers, except folding
2657 Folding paperboard boxes, including sanitary
2671 Packaging paper and plastics film, coated and
laminated
2672 Coated and laminated paper, n.e.c.*
2673 Plastics, foil, and coated paper bags
2674 Uncoated paper and multiwall bags
2675 Die-cut paper and paperboard and cardboard
2676 Sanitary paper products
2677 Envelopes
2678 Stationery tablets, and related products
2679 Converted paperand paperboard products, n.e.c.*
27 Printing, Publishing, and Allied Industries
2711 Newspapers: publishing, or publishing and
printing
2721 Periodicals: publishing, or publishing and printing
2731 Books: publishing, or publishing and printing
2732 Book printing
2741 Miscellaneous publishing
2752 Commercial printing, lithographic
2754 Commercial printing, gravure
2759 Commercial printing, n.e.c. *
2761 Manifold business forms
2771 Greeting cards
2782 Blankbooks, looseleaf binders and devices
*-Not elsewhere classified" indicated by "n.e.c.'
-------
Page 37
2789 Bookbinding and related work
2791 Typesetting
2796 Platemaking and related services
28 Chemicals and Allied Products
2812 Alkalies and chlorine
2813 Industrial gases
2816 Inorganic pigments
2819 Industrial inorganic chemicals, n.e.c. *
2821 Plastics materials, synthetic resins, and non-
vuteanizabte elastomers
2822 Synthetic rubber (vulcanizable elastomers)
2823 Cellulosic manmade fibers
2824 Manmade organic fibers, except cellulosic
2833 Medicinal chemicals and botanical products
2834 Pharmaceutical preparations
2835 In vitro and in vivo diagnostic substances
2836 Biological products, except diagnostic substances
2841 Soap and other detergents, except specialty
cleaners
2842 Specialty cleaning, polishing, and sanitation prepa-
rations
2843 Surface active agents, finishing agents, sulfonated
oils, and assistants
2844 Perfumes, cosmetics, and othertoiletpreparations
2851 Paints, varnishes, lacquers, enamels, and allied
products
2861 Gum and wood chemicals
2865 Cyclic organic crudes and intermediates, and
organic dyes and pigments
2869 Industrial organic chemicals, n.e.c.'
2873 Nitrogenous fertilizers
2874 Phosphatic fertilizers
2875 Fertilizers, mixing only
2879 Pesticides and agricultural chemicals, n.e.c. *
2891 Adhesives and sealants
2892 Explosives
2893 Printing ink
2895 Carbon black
2899 Chemicals and chemical preparations, n.e.c.'
29 Petroleum Refining and Related Industries
2911 Petroleum refining
2951 Asphalt paving mixtures and blocks
2952 Asphalt felts and coatings
2992 Lubricating oils and greases
2999 Products of petroleum and coal, n.e.c.'
30 Rubber and Miscellaneous Plastics Products
3011 Tires and inner tubes
3021 Rubber and plastics footwear
3052 Rubber and plastics hose and belting
3053 Gaskets, packing, and sealing devices
3061 Molded, extruded, and lathecut mechanical rubber
products
3069 Fabricated rubber products, n.e.c. *
3081 Unsupported plastics film and sheet
3082 Unsupported plastics profile shapes
3083 Laminated plastics plate, sheet, and profile shapes
3084 Plastics pipe
3085 Plastics bottles
3086 Plastics foam products
3087 Custom compounding of purchased plastics resins
3088 Plastics plumbing fixtures
3089 Plastics products, n.e.c. *
31 Leather and Leather Products
3111 Leather tanning and finishing
3131 Boot and shoe cut stock and findings
3142 House slippers
3143 Men's footwear, except athletic
3144 Women's footwear, except athletic
3149 Footwear, except rubber, n.e.c. *
3151 Leather gloves and mittens
3161 Luggage
3171 Women's handbags and purses
3172 Personal leather goods, except women's hand-
bags and purses
3199 Leather goods, n.e.c.'
32 Stone, Clay, Glass and Concrete Products
3211 Flat glass
3221 Glass containers
3229 Pressed and blown glass and glassware, n.e.c.'
3231 Glass products, made of purchased glass
3241 Cement, hydraulic
3251 Brick and structural clay tile
3253 Ceramic wall and floor tile
3255 Clay refractories
3259 Structural clay products, n.e.c.'
3261 Vitreous china plumbing fixtures and china and
earthenware fittings and bathroom accessories
3262 Vitreous china table and kitchen articles
3263 Fine earthenware (whiteware) table and kitchen
articles
3264 Porcelain electrical supplies
3269 Pottery products, n.e.c.'
3271 Concrete block and brick
3272 Concrete products, except block and brick
3273 Ready mixed concrete
3274 Lime
3275 Gypsum products
3281 Cut stone and stone products
3291 Abrasive products
3292 Asbestos products
*'Not elsewhere classified' indicated by "n.e.c."
-------
Page 38
3295 Minerals and earths, ground or otherwise treated
3296 Mineral wool
3297 Nonclay refractories
3299 Nonmetallfc mineral products, n.e.c.*
33 Primary Metal Industries
3312 Steel works, blastfurnaces (including coke ovens),
and rolling mills
3313 Electrometallurgical products, except steel
3315 Steel wiredrawing and steel nails and spikes
3316 Cold-rolled steel sheet, strip, and bars
3317 Steel pipe and tubes
3321 Gray and ductile Iron foundries
3322 Malleable iron foundries
3324 Steel investment foundries
3325 Steel foundries, n.e.c.*
3331 Primary smelting and refining of copper
3334 Primary production of aluminum
3339 Primary smelting and refining of nonferrous
metals, except copper and aluminum
3341 Secondary smelting and refining of nonferrous
metals
3351 Rolling, drawing, and extruding of copper
3353 Aluminum sheet, plate, and foil
3354 Aluminum extruded products
3355 Aluminum rolling and drawing, n.e.c.'
3356 Rolling, drawing, and extruding of nonferrous
metals, except copper and aluminum
3357 Drawing and insulating of nonferrous wire
3363 Aluminum die-castings
3364 Nonferrous die-castings, except aluminum
3365 Aluminum foundries
3366 Copper foundries
3369 Nonferrous foundries, except aluminum and
copper
3398 Metal heat treating
3399 Primary metal products, n.e.c.*
34 Fabricated Metal Products, except Machinery and
Transportation Equipment
3411 Metal cans
3412 Metal shipping barrels, drums, kegs, and pails
3421 Cutlery
3423 Hand and edge tools, except machine tools and
handsaws
3425 Handsaws and saw blades
3429 Hardware, n.e.c.*
3431 Enameled iron and metal sanitary ware
3432 Plumbing fixture fittings and trim
3433 Heating equipment, except electric and warm air
furnaces
3441 Fabricated structural metal
3442 Metal doors, sash, frames, molding, and trim
3443 Fabricated plate work (boiler shops)
3444 Sheet metal work
3446 Architectural and ornamental metal work
3448 Prefabricated metal buildings and components
3449 Miscellaneous structural metal work
3451 Screw machine products
3452 Bolts, nuts, screws, rivets, and washers
3462 Iron and steel forgings
3463 Nonferrous forgings
3465 Automotive stampings
3468 Crowns and closures
3469 Metal stampings, n.e.c.*
3471 Electroplating, plating, polishing, anodizing, and
coloring
3479 Coating, engraving and allied services, n.e.c.*
3482 Small arms ammunition
3483 Ammunition, except for small arms
3484 Small arms
3489 Ordnance and accessories, n.e.c.*
3491 Industrial valves
3492 Fluid power valves and hose fittings
3493 Steel springs, except wire
3494 Valves and pipe fittings, n.e.c.*
3495 Wire springs
3496 Miscellaneous fabricated wire products
3497 Metal foil and leaf
3498 Fabricated pipe and pipe fittings
3499 Fabricated metal products, n.e.c.*
35 Industrial and Commercial Machinery and Computer
Equipment
3511 Steam, gas and hydraulic turbines, and turbine
generator set units
3519 Internal combustion engines, n.e.c.*
3523 Farm machinery and equipment
3524 Lawn and garden tractors and home lawn and
garden equipment
3531 Construction machinery and equipment
3532 Mining machinery and equipment, except oil and
gas field machinery and equipment
3533 Oil and gas field machinery and equipment
3534 Elevators and moving stairways
3535 Conveyors and conveying equipment
3536 Overhead traveling cranes, hoists, and monorail
systems
3537 Industrial trucks, tractors, trailers, and stackers
3541 Machine tools, metal cutting types
3542 Machine tools, metal forming types
3543 Industrial patterns
3544 Special dies and tools, die sets, jigs and fixtures,
and industrial molds
3545 Cutting tools, machine tool accessories, and
machinists' measuring devices
3546 Power driven handtools
'•Not elsewhere classified" indicated by -n.e.c."
-------
Page 39
3547 Rolling mill machinery and equipment
3548 Electric and gas welding and soldering equipment
3549 Metalworking machinery, n.e.c.*
3552 Textile machinery
3553 Woodworking machinery
3554 Paper industries machinery
3555 Printing trades machinery and equipment
3556 Food products machinery
3559- Special industry machinery, n.e.c.*
3561 Pumps and pumping equipment
3562 Ball and roller bearings
3563 Air and gas compressors
3564 Industrial and commercial fans and blowers and air
purification equipment
3565 Packaging equipment
3566 Speed changers, industrial high speed drives, and
gears
3567 Industrial process furnaces and ovens
3568 Mechanicalpowertransmissionequipment, n.e.c.'
3569 General industrial machinery and equipment, n.e.c.'
3571 Electronic computers
3572 Computer storage devices
3575 Computer terminals
3577 Computer peripheral equipment, n.e.c. *
3578 Calculating and accounting machines, except elec-
tronic computers
3579 Office machines, n.e.c.'
3581 Automatic vending machines
3582 Commercial laundry, drycleaning, and pressing
machines
3585 Air conditioning and warm air heating equipment
and commercial and industrial refrigeration equip-
ment
3586 Measuring and dispensing pumps
3589 Service industry machinery, n.e.c."
3592 Carburetors, pistons, piston rings, and valves
3593 Fluid power cylinders and actuators
3594 Fluid power pumps and motors
3596 Scales and balances, except laboratory
3599 Industrial and commercial machinery and equip-
ment, n.e.c'
36 Electronic and Other Electrical Equipment and
Components, Except Computer Equipment
3612 Power, distribution, and specialty transformers
3613 Swilchgear and switchboard apparatus
3621 Motors and generators
3624 Carbon and graphite products
3625 Relays and industrial controls
3629 Electrical industrial appliances, n.e.c.'
3631 Household cooking equipment
3632 Household refrigerators and home and farm
freezers
3633 Household laundry equipment
3634 Electrical housewares and fans
3635 Household vacuum cleaners
3639 Household appliances, n.e.c.*
3641 Electric lampbulbs and tubes
3643 Current carrying wiring devices
3644 Noncurrent carrying wiring devices
3645 Residential electric lighting fixtures
3646 Commercial, industrial, and institutional electric
lighting fixtures
3647 Vehicular lighting equipment
3648 Lighting equipment, n.e.c. *
3651 Household audio and video equipment
3652 Phonograph records and pre-recorded audio tapes
and disks
3661 Telephone and telegraph apparatus
3663 Radio and television broadcasting and communi-
cations equipment
3669 Communications equipment, n.e.c.'
3671 Electron tubes
3672 Printed circuit boards
3674 Semiconductors and related devices
3675 Electronic capacitors
3676 Electronic resistors
3677 Electronic coils, transformers, and other inductors
3678 Electronic connectors
3679 Electronic components, n.e.c.'
3691 Storage batteries
3692 Primary batteries, dry and wet
3694 Electric equipment for internal combustion
engines
3695 Magnetic and optical recording media
3699 Electrical machinery, equipment, and supplies,
n.e.c.'
37 Transportation Equipment
3711 Motor vehicles and passenger car bodies
3713 Truck and bus bodies
3714 Motor vehicle parts and accessories
3715 Truck trailers
3716 Motor homes
3721 Aircraft
3724 Aircraft engines and engine parts
3728 Aircraft parts and auxiliary equipment, n.e.c.'
3731 Ship building and repairing
3732 Boat building and repairing
3743 Railroad equipment
3751 Motorcycles, bicycles and parts
3761 Guided missiles and space vehicles
3764 Guided missile and space vehicle propulsion units
and propulsion unit parts
3769 Guided missile and space vehicle parts and auxil-
iary equipment, n.e.c. *
3792 Travel trailers and campers
3795 Tanks and tank components
3799 Transportation equipment, n.e.c.*
""Not elsewhere classified" indicated by "n.e.c."
-------
Page 40
38 Measuring, Analyzing, and Controlling Instruments;
Photographic, Medical and Optical Goods; Watches
and Clocks
3812 Search, detection, navigation, guidance, aeronau-
tical, and nautical systems and instruments
3821 Laboratory apparatus and furniture
3822 Automatic controls for regulating residential and
commercial environments and appliances
3823 Industrial instruments for measurement, display,
and control of process variables; and related
products
3824 Totalizing fluid meters and counting devices
3825 Instruments for measuring and testing of electricity
and electrical signals
3826 Laboratory analytical instruments
3827 Optical instruments and lenses
3829 Measuring and controlling devices, n.e.c.'
3841 Surgical and medical instruments and apparatus
3842 Orthopedic, prosthetic, and surgical appliances
and supplies
3843 Dental equipment and supplies
3844 X-ray apparatus and tubes and related irradiation
apparatus
3845 Electromedical and etectrotherapeutic apparatus
3851 Ophthalmic goods
3861 Photographic equipment and supplies
3873 Watches, clocks, clockwork operated devices, and
parts
39 Miscellaneous Manufacturing Industries
3911 Jewelry, precious metal
3914 Silverware, plated ware, and stainless steel ware
3915 Jewelers' findings and materials, and lapidary work
3931 Musical instruments
3942 Dolls and stuffed toys
3944 Games, toys and children's vehicles; except dolls
and bicycles
3949 Sporting and athletic goods, n.e.c.'
3951 Pens, mechanical pencils, and parts
3952 Lead pencils, crayons, and artists' materials
3953 Marking devices
3955 Carbon paper and inked ribbons
3961 Costume jewelry and costume novelties, except
precious metal
3965 Fasteners, buttons, needles, and pins
3991 Brooms and brushes
3993 Signs and advertising specialties
3995 Burial caskets
3996 Linoleum, asphalted-felt-base, and other hard
surface floor coverings, n.e.c. *
3999 Manufacturing industries, n.e.c.'
'•Not elsewhere classified" indicated by ~n.ec.'
-------
Page 41
TABLE II
SECTION 313 TOXIC CHEMICAL LIST FOR REPORTING YEAR 1990
(including Chemical Categories)
Specific toxic chemicals with CAS Number are listed in alphabetical order on this page. A list of the same chemicals in CAS
Number order begins on page 44. Covered Chemical Categories are listed beginning on page 48.
Certain chemicals listed in Table II have parenthetic "qualifiers." These qualifiers indicate that these chemicals are subject to the
section 313 reporting requirements if manufactured, processed, or otherwise used in a specific form. The following chemicals
are reportable only if they are manufactured, processed, or otherwise used in the specific form(s) listed below:
Chemical
Aluminum (fume or dust) 7429-90-5
Aluminum oxide (fibrous forms) 1344-28-1
Ammonium nitrate (solution) 6484-52-2
Ammonium surf ate (solution) 7783-20-2
Asbestos (friable) 1332-21 -4
Isopropyl alcohol (manufacturing - 67-63-0
strong acid process, no supplier
notification)
Phosphorus (yellow or white) 7723-14-0
Saccharin (manufacturing, no supplier 81 -07-2
notification)
Vanadium (fume or dust) 7440-62-2
Zinc (fume or dust) 7440-66-6
Only if it is in a fume or dust form.
Only if it is a fibrous form.
Only if it is in a solution.
Only if it is in a solution.
Only if it is a friable form.
Only if it is being manufactured by the
strong acid process.
Only if it is a yellow or white form.
Only if it is being manufactured.
Only if it is in a fume or dust form.
Only if it is in a fume or dust form.
[Note: Chemicals may be added to or deleted from the list. The Emergency Planning and Community Right-to-Know Informa-
tion Hotline, (800) 535-0202 or (703) 920-9877, will provide up-to-date information on the status of these changes. See page
11 of the instructions for more information on the de minimis values listed below.]
a. Alphabetical Chemical List
CAS Number Chemical Name
75-07-0 Acetaktehyde
60-35-5 Acetamide
67-64-1 Acetone
75-05-8 Acetonitrite
53-96-3 2-Acetylaminofluorene
107-02-8 Acrolein
79-06-1 Acrylamide
79-10-7 Acrylic acid
107-13-1 Aerylonitrile
De Minimis
Concentration
0.1
0.1
1.0
1.0
0.1
1.0
0.1
1.0
0.1
CAS Number
309-00-2
Chemical Name
De Minimis
Concentration
107-18-6
107-05-1
7429-90-5
AkJrin 1.0
{1,4:5,8-Dimethanonaphthalene,
1,2,3,4,10,10-hexachloro-1,4,4a,
5,8,8a-hexahydro-(1 .alpha.,
4.alpha.,4a.beta.,5.alpha.,
8.alpha.,8a.beta.)-}
Allyl alcohol 1.0
Allyl chloride 1.0
Aluminum (fume or dust) 1.0
1 C.I. means "Color Index"
-------
Page 42
DeMinimte
CAS Number Chemical Mama Concentration CAS Number
1344-28-1 Aluminum oxide (fibrous forms) 0.1 3118-97-6
117-79-3 2-Aminoanthraquinone 0.1 97-56-3
60-09-3 4-Aminoazobenzene 0.1 842-07-9
92-67-1 4-Aminobiphenyl 0.1 492-80-8
82-28-0 1-Amino-2-methylanthraquinone 0.1
7664-41-7 Ammonia 1.0 128-66-5
6484-52-2 Ammonium nitrate (solution) 1.0 7440-43-9
7783-20-2 Ammonium sulfate (solution) 1.0 156-62-7
62-53-3 Aniline 1.0 133-06-2
90-04-0 o-AniskJine 0.1
104-94-9 p-Anisidine 1.0
134-29-2 o-AniskJine hydrochtoride 0.1
120-12-7 Anthracene 1.0 63-25-2
7440-36-0 Antimony 1.0
7440-38-2 Arsenic 0.1 75-15-0
1332-21-4 Asbestos (friabte) 0.1 56-23-5
7440-39-3 Barium 1.0 463-58-1
98-87-3 Benzal chloride 1.0 120-80-9
55-21-0 Benzamide 1.0 133-90-4
71-43-2 Benzene 0.1
92-87-5 Benzidine 0.1
98-07-7 Benzote trichloride 0.1 57-74-9
(Banzotrichtoride)
98-88-4 Benzoyl chloride 1.0
94-36-0 Benzoyl peroxide 1.0
100-44-7 Benzyl chloride 1.0 7782-50-5
7440-41-7 BeryWum 0.1 10049-04-4
92-52-4 Biphenyl 1.0 79-11-8
111-44-4 Bis(2-chtoroethyl) ether 1.0 532-27-4
542-88-1 Bis(chtoromethyl) ether 0.1 108-90-7
108-60-1 Bis(2-chtoro-1-methytethyl)ether1.0 510-15-6
103-23-1 Bis(2-ethylhexyl) adipate 1.0
75-25-2 Bromoform 1.0
{Tribromomethane}
74-83-9 Bromomethane 1.0 75-00-3
{Methyl bromide}
106-99-0 1,3-Butadiene 0.1 67-66-3
141-32-2 Butyl acrylate 1.0 74-87-3
71-36-3 n-Butyl alcohol 1.0
78-92-2 sec-Butyl alcohol 1.0 107-30-2
75-65-0 ten-Butyl alcohol 1.0 126-99-8
85-68-7 Butyl benzyl phthalate 1.0 1897-45-6
106-88-7 1,2-Butytene oxide 1.0
123-72-8 ButyrakJehyde 1.0
4680-78-8 C.I. Acid Green 3* 1.0 7440-47-3
569-64-2 C.I. Basic Green 4* 1.0 7440-48-4
989-38-8 C.I. Baste Red 1* 0.1 7440-50-8
1937-37-7 C.I. Direct Black 38* 0.1 8001-58-9
2602-46-2 C.I. Direct Blue 6* 0.1 120-71-8
16071-86-6 C.I. Direct Brown 95* 0.1 1319-77-3
2832-40-8 C.I. Disperse Yellow 3* 1.0 108-39-4
3761-53-3 C.l. Food Red 5* 0.1 95-48-7
81-88-9 C.I. Food Red 15* 0.1 106-44-5
Chemical Name
De Minimis
Concentration
C.I. Solvent Orange 7* 1.0
C.I. Solvent Yellow 3* 0.1
C.I. Solvent Yellow 14* 0.1
C.I. Solvent Yellow 34*
(Auramine) 0.1
C.I. Vat Yellow 4* 1.0
Cadmium 0.1
Calcium cyanamide 1.0
Captan 1.0
{1 H-lsoindole-1,3(2H)-dione,
3a.4,7.7a-tetrahydro-
2-[(trichloromethyl)thio]-}
Carbaryl 1.0
{1-Naphthalene!, methylcarbamate}
Carbon disutfide 1.0
Carbon tetrachloride 0.1
Carbonyl sulfide 1.0
Catechol 1.0
Chloramben 1.0
{Benzole acid, 3-amino-
2,5-dichloro-}
Chlordane 1.0
{4.7-Methanoindan, 1,2,4,5,6,7,
8,8-octachloro-2,3,3a,4,
7,7a-hexahydro-}
Chlorine 1.0
Chlorine dioxide 1.0
Chloroacetic acid 1.0
2-Chloroacetophenone 1.0
Chlorobenzene 1.0
Chlorobenzilate 1.0
{Benzeneacetic acid,4-chloro-
.alpha.-(4-chlorophenyl)-
.alpha.-hydroxy-.ethyl ester}
Chloroethane 1.0
{Ethyl chloride}
Chloroform 0.1
Cnloromethane 1.0
{Methyl chloride}
Ghtoromethyl methyl ether 0.1
Chloroprene 1.0
Chlorothalonil 1.0
{1,3-Benzenedicarbonitrite,
2,4,5,6-tetrachloro-}
Chromium 0.1
Cobalt 1.0
Copper 1.0
Creosote 0.1
p-Cresidine 0.1
Cresol (mixed isomers) 1.0
m-Cresol 1.0
o-Cresol 1.0
p-Cresol 1.0
C.I means 'Color Index'
-------
Page 43
Chemical Name
De Minimis
Concentration
CAS Number
98-82-8 Cumene 1.0
80-15-9 Cumene hydroperoxide 1.0
135-20-6 Cupferron 0.1
{Benzeneamine, N-hydroxy-
N-nitroso, ammonium salt}
110-82-7 Cyclohexane 1.0
94-75-7 2,4-D 1.0
{Acetic acid,
(2,4-dichlorophenoxy)-}
1163-19-5 Decabromodiphenyl oxide 1.0
2303-16-4 Diallate 1.0
{Carbamothioic acid,
bis(l-methylethyl)-, S-(2,3-
dichloro-2-propenyl) ester}
615-05-4 2,4-Diaminoanisole 0.1
39156-41-7 2,4-Diaminoanisole sulfate 0.1
101-80-4 4,4'-Diaminodiphenyl ether 0.1
25376-45-8 Diaminotoluene (mixed isomers) 0.1
95-80-7 2,4-Diaminotoluene 0.1
334-88-3 Diazomethane 1.0
132-64-9 Dibenzofuran 1.0
96-12-8 1,2-Dibromo-3-chloropropane 0.1
{DBCP}
106-93-4 1,2-Dibromoethane 0.1
{Ethylene dibromide}
84-74-2 Dibutyl phthalate 1.0
25321-22-6 Dichlorobenzene (mixed 0.1
isomers)
95-50-1 1,2-Dichlorobenzene 1.0
541-73-1 1.3-Dichlorobenzene 1.0
106-46-7 1,4-Dichlorobenzene 0.1
91-94-1 3,3'-Dichlorobenzidine 0.1
75-27-4 Dichlorobromomethane 1.0
107-06-2 1,2-Dtehloroethane 0.1
{Ethylene dichloride}
540-59-0 1,2-Dichloroethylene 1.0
75-09-2 Dichloromethane 0.1
{Methytene chloride}
120-83-2 2,4-Dichlorophenol 1.0
78-87-5 1,2-Dichloropropane 1.0
78-88-6 2,3-Dichloropropene 1.0
542-75-6 1,3-Dichloropropylene 0.1
62-73-7 Dichlorvos 1.0
{Phosphoric acid, 2,2-
dichloroethenyl dimethyl ester}
115-32-2 Dteofol 1.0
{Benzenemethanol, 4-chloro-
.alpha.-(4-chlorophenyl)-
.alpha.- (trichloromethyl)-}
1464-53-5 Diepoxybutane 0.1
111-42-2 Diethanolamine 1.0
117-81-7 Di-(2-ethylhexyl) phthalate 0.1
{DEHP}
CAS Number
84-66-2
64-67-5
119-90-4
60-11-7
119-93-7
79-44-7
57-14-7
105-67-9
131-11-3
77-78-1
99-65-0
528-29-0
100-25-4
534-52-1
51-28-5
121-14-2
606-20-2
25321-14-6
117-84-0
123-91-1
122-66-7
106-89-8
110-80-5
140-88-5
100-41-4
541-41-3
74-85-1
107-21-1
151-56-4
75-21-8
96-45-7
2164-17-2
50-00-0
76-13-1
76-44-8
118-74-1
87-68-3
77-47-4
67-72-1
1335-87-1
680-31-9
302-01-2
10034-93-2
Chemical Name
De Minimis
Concentration
Diethyl phthalate 1.0
Diethyl sulfate 0.1
3,3'-Dimethoxybenzidine 0.1
4-Dimethylaminoazobenzene 0.1
3,3'-Dimethylbenzidine 0.1
{o-Tolidine}
Dimethylcarbamyl chloride 0.1
1,1 -Dimethyl hydrazine 0.1
2,4-Dimethylphenol 1.0
Dimethyl phthalate 1.0
Dimethyl sulfate 0.1
m-Dinitrobenzene 1.0
o-Dinitrobenzene 1.0
p-Dinitrobenzene 1.0
4,6-Dinitro-o-cresol 1.0
2,4-Dinitrophenol 1.0
2,4-Dinrtrotoluene 1.0
2,6-Dinitrotoluene 1.0
Dinitrotoluene (mixed isomers) 1.0
n-Dioctyl phthalate 1.0
1,4-Dioxane 0.1
1,2-Diphenylhydrazine 0.1
{Hydrazobenzene}
Epichlorohydrin 0.1
2-Ethoxyethanol 1.0
Ethyl acrylate 0.1
Ethylbenzene 1.0
Ethyl chloroformate 1.0
Ethylene 1.0
Ethylene glycol 1.0
Ethyleneimine 0.1
{Aziridine}
Ethylene oxide 0.1
Ethylene thiourea 0.1
Fluometuron 1.0
{Urea, N.N-dimethyl-N'-
[3-(trifluoromethyl)phenyl]-}
Formaldehyde 0.1
Freon113 1.0
{Ethane, 1,1,2-trichloro-1.2,2-
trifluoro-}
Heptachlor 1.0
{1,4,5,6,7,8,8-Heptachloro-
3a,4,7,7a-tetrahydro-
4,7-methano-1 H-indene}
Hexachlorobenzene 0.1
Hexach loro-1,3-butadiene 1.0
Hexachlorocyclopentadiene 1.0
Hexachloroethane 1.0
Hexachloronaphthalene 1.0
Hexamethylphosphoramide 0.1
Hydrazine 0.1
Hydrazine sulfate 0.1
C.I. means "Color Index"
-------
Page 44
CAS Number
7647-01-0
74-90-8
7664-39-3
123-31-9
78-84-2
67-63-0
80-05-7
120-58-1
7439-92-1
58-89-9
108-31-6
12427-38-2
7439-96-5
7439-97-6
67-56-1
72-43-5
109-86-4
96-33-3
1634-04-4
101-14-4
101-61-1
101-68-8
74-95-3
101-77-9
78-93-3
60-34-4
74-88-4
108-10-1
624-83-9
80-62-6
90-94-8
1313-27-5
505-60-2
91-20-3
134-32-7
91-59-8
Chemical Name
De Minimts
Concentration
Hydrochloric acid 1.0
Hydrogen cyanide 1.0
Hydrogen fluoride 1.0
Hydroquinone 1.0
Isobutyraldehyde 1.0
Isopropyl alcohol 0.1
(manufacturing-strong acid
process, no supplier notification)
4,4'-lsopropylidenediphenol 1.0
Isosafrole 1.0
Lead 0.1
Lindane 0.1
{Cyclohexane.1,2.3,4,5,6-
hexachk>ro-,(1 .alpha.,2.alpha.,
3.beta.,4.alpha.,5.alpha..6.beta.)-}
Mateic anhydride 1.0
Maneb 1.0
{Carbamodithioic acid, 1,2-
ethanediylbis-.manganese
complex}
Manganese 1.0
Mercury 1.0
Methanol 1.0
Methoxychtor 1.0
{Benzene, 1.1'-(2.2.2-
trichloroethylidene)bis
{4-methoxy-}
2-Methoxyethanol 1.0
Methyl acrytete 1.0
Methyl tert-butyl ether 1.0
4,4'-Methylenebis (2- 0.1
chloroaniline)
(MBOCA}
4,4'-Methytenebis(N.N-dimethyl) 0.1
benzenamine
Methylenebis (phenylisocyanate)l.O
(MBI)
Methylene bromide 1.0
4,4'-Methytenedianiline 0.1
Methyl ethyl ketone 1.0
Methyl hydrazine 1.0
Methyl iodide 0.1
Methyl isobutyl ketone 1.0
Methyl Isocyanate 1.0
Methyl methacrylate 1.0
Mentor's ketone 0.1
Molybdenum trioxkte 1.0
Mustard gas 0.1
{Ethane, 1,1Mhiobfc[2-chloro-}
Naphthalene 1.0
alpha-Naphthylamine 0.1
beta-Naphthylamine 0.1
CAS Number
7440-02-0
7697-37-2
139-13-9
99-59-2
98-95-3
92-93-3
1836-75-5
51-75-2
55-63-0
88-75-5
100-02-7
79-46-9
156-10-5
121-69-7
924-16-3
55-18-5
62-75-9
86-30-6
621-64-7
4549-40-0
59-89-2
759-73-9
684-93-5
16543-55-8
100-75-4
2234-13-1
20816-12-0
56-38-2
87-86-5
79-21-0
108-95-2
106-50-3
90-43-7
75-44-5
7664-38-2
7723-14-0
85-44-9
88-89-1
1336-36-3
1120-71-4
57-57-8
123-38-6
Chemical Name
De Minimis
Concentration
Nickel 0.1
Nitric acid 1.0
Nitrilotriacetic acid 0.1
5-Nitro-o-anisidine 0.1
Nitrobenzene 1.0
4-Nitrobiphenyl 0.1
Nitrofen 0.1
{Benzene, 2,4-dichloro-1-
(4-nitrophenoxy)-}
Nitrogen mustard 0.1
{2-Chloro-N-(2-chloroethyl)-N-
methylethanamine}
Nitroglycerin 1.0
2-Nitrophenol 1.0
4-Nitrophenol 1.0
2-Nitropropane 0.1
p-Nitrosodiphenylamine 0.1
N,N-Dimethylaniline 1.0
N-Nitrosodi-n-butylamine 0.1
N-Nitrosodiethylamine 0.1
N-Nitrosodimethylamine 0.1
N-Nitrosodiphenylamine 1.0
N-Nitrosodi-n-propylamine 0.1
N-Nitrosomethylvinylamine 0.1
N-Nitrosomorpholine 0.1
N-Nitroso-N-ethylurea 0.1
N-Nitroso-N-methylurea 0.1
N-Nitrosonornicotine 0.1
N-Nitrosopiperidine 0.1
Octachloronaphthalene 1.0
Osmium tetroxide 1.0
Parathion 1.0
{Phosphorothioic acid, o, o-
diethyl-o-(4-nitrophenyl) ester}
Pentachlorophenol 1.0
{PCP}
Peracetic acid 1.0
Phenol 1.0
p-Phenytenediamine 1.0
2-Phenylphenol 1.0
Phosgene 1.0
Phosphoric acid 1.0
Phosphorus (yellow or white) 1.0
Phthalic anhydride 1.0
Picric acid 1.0
Polychlorinated biphenyls 0.1
{PCBs}
Propane sultone 0.1
beta-Propiolactone 0.1
Propionaldehyde 1.0
* C.I. means 'Color Index*
-------
Page 45
CAS Number
114-26-1
115-07-1
75-55-8
75-56-9
110-86-1
91-22-5
106-51-4
82-68-8
81-07-2
94-59-7
7782-49-2
7440-22-4
100-42-5
96-09-3
7664-93-9
79-34-5
127-18-4
961-11-5
7440-28-0
62-55-5
139-65-1
62-56-6
1314-20-1
7550-45-0
108-88-3
584-84-9
91-08-7
26471-62-5
95-53-4
636-21-5
8001-35-2
68-76-8
52-68-6
120-82-1
Chemical Name
De Minimis
Concentration
1.0
Propoxur
{Phenol, 2-(1-methylethoxy)-,
methylcarbamate}
Propylene 1.0
{Propene}
Propyleneimine 0.1
Propylene oxide 0.1
Pyridine 1.0
Quinoline 1.0
Quinone 1.0
Quintozene
{Pentachloronitrobenzene} 1.0
Saccharin (manufacturing, no 0.1
supplier notification)
{1,2-Benzisothiazol-3(2H)-one,
1,1-dioxide}
Safrole 0.1
Selenium 1.0
Silver 1.0
Styrene 0.1
Styrene oxide 0.1
Sulf uric acid 1.0
1,1,2,2-Tetrachloroethane 0.1
Tetrachloroethylene 0.1
{Perchloroethylene}
Tetrachlorvinphos 1.0
(Phosphoric acid, 2-chk>ro-1-
(2,3,5-trichlorophenyl) ethenyl
dimethyl ester}
Thallium 1.0
Thioacetamide 0.1
4,4'-Thiodianiline 0.1
Thiourea 0.1
Thorium dioxide 1.0
Titanium tetrachloride 1.0
Toluene 1.0
Toluene-2.4-diisocyanate 0.1
Toluene-2,6-diisocyanate 0.1
Toluenediisocyanate 0.1
(mixed isomers)
o-Toluidine 0.1
o-Toluidine hydrochloride 0.1
Toxaphene 0.1
Triaziquone 0.1
{2,5-Cyctohexadiene-1,4-dione,
2.3,5-tris(1-aziridinylH
Trichtorfon 1.0
{Phosphorite acid,(2.2,2-trichloro-
1-hydroxyethyl)-,dimethyl ester}
1,2,4-Trichlorobenzene 1.0
CAS Number
71-55-6
79-00-5
79-01-6
95-95-4
88-06-2
1582-09-8
95-63-6
126-72-7
51-79-6
7440-62-2
108-05-4
593-60-2
75-01-4
75-35-4
1330-20-7
108-38-3
95-47-6
106-42-3
87-62-7
7440-66-6
12122-67-7
b. List By CAS
De
Minimis
Chemical Name Concentration
1 ,1 .1 -TrJchloroethane
{Methyl chloroform}
1,1.2-Trichloroethane
Trichloroethylene
2,4,5-Trichlorophenol
2,4,6-Trichlorophenol
Trifluralin
{Benzenamine, 2,6-dinitro-N,N-
dipropyl-4-(trifluoromethyl)-}
1 ,2,4-Trimethylbenzene
Tris (2,3-dibromopropyl)
phosphate
Urethane
{Ethyl carbamate}
Vanadium (fume or dust)
Vinyl acetate
Vinyl bromide
Vinyl chloride
Vinylidene chloride
Xylene (mixed isomers)
m-Xylene
o-Xylene
p-Xylene
2,6-Xyltdine
Zinc (fume or dust)
Zineb
{Carbamodithioic acid, 1.2-
ethanediylbis-, zinc complex}
Number
1.0
1.0
1.0
1.0
0.1
1.0
1.0
0.1
0.1
1.0
1.0
0.1
0.1
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
De Minimis
CAS Number
50-00-0
51-28-5
51-75-2
Chemical Name Concentration
Formaldehyde
2,4-Din'rtrophenol
Nitrogen mustard
0.1
1.0
0.1
{2-Chloro-N-(2-chloroethyl)-N-
methylanamine}
51-79-6 Urethane 0.1
{Ethyl carbamate}
52-68-6 Trichlorfon 1.0
{Phosphonic acid.(2,2,2-trichloro-
1-hydroxyethyl)-, dimethyl ester}
53-96-3 2-Acetylaminofluorene 0.1
55-18-5 N-Nitrosodiethylamine 0.1
55-21-0 Benzamide 1.0
55-63-0 Nitroglycerin 1.0
56-23-5 Carbon tetrachloride 0.1
56-38-2 Parathion 1.0
{Phosphorothioic acid, o.o-
diethyl-o-(4-nitrophenyl)ester}
57-14-7 1.1-Dimethyl hydrazine 0.1
* C.I. means "Color Index"
-------
Page 46
CAS Number
Chemical Name
De Minimis
Concentration
57-57-8 beta-Propiolactone 0.1
57-74-9 Chlordane 1.0
{4,7-Methanoindan,1,2.4.5,6,7,
8.8-octachk>ro-2,3.3a,4,7,7a-
hexahydro-}
58-89-9 Lindane 0.1
{Cyclohexane.1.2,3,4,5.6-
hexachloro-,(1 .alpha.,2.alpha.,
3.beta., 4.alpha.,5.alpha..6.beta.)-}
59-89-2 N-Nitrosomorpholine 0.1
60-09-3 4-Aminoazobenzene 0.1
60-11-7 4-Dimethylaminoazobenzene 0.1
60-34-4 Methyl hydrazine 1.0
60-35-5 Acetamide 0.1
62-53-3 Aniline 1.0
62-55-5 Thtoacetamide 0.1
62-56-6 Thtourea 0.1
62-73-7 Dtohlotvos 1.0
{Phosphoric acid, 2,2-
dichtoroethenyl dimethyl ester)
62-75-9 N-Nitrosodimethylamine 0.1
63-25-2 Carbaryl 1.0
{1-Naphthalenol,
methytearbamate}
64-67-5 Dtethyl sultate 0.1
67-56-1 Methanol 1.0
67-63-0 Isopropyl alcohol 0.1
(manufacturing-strong acid process,
no supplier notification)
67-64-1 Acetone 1.0
67-66-3 Chloroform 0.1
67-72-1 Hexachloroethane 1.0
68-76-8 Triaziquone 0.1
{2,5-Cyclohexadiene-1,4-dione,
2,3,5-tris(1-a2iridinyl)-}
71-36-3 n-Butyl alcohol 1.0
71-43-2 Benzene 0.1
71-55-6 1,1,1-Trichtoroethane 1.0
{Methyl chloroform}
72-43-5 Methoxychtor 1.0
{Benzene, 1,1'-(2.2,2-
trichloroethylidene)bis
[4-methoxy-}
74-83-9 Bromomethane 1.0
{Methyl bromide}
74-85-1 Ethytene 1.0
74-87-3 Chloromethane 1.0
{Methyl chloride}
74-88-4 Methyl iodide 0.1
74-90-8 Hydrogen cyanide 1.0
74-95-3 Methytene bromide 1.0
75-00-3 Chloroethane 1.0
{Ethyl chloride}
CAS Number
75-01-4
75-05-8
75-07-0
75-09-2
75-15-0
75-21-8
75-25-2
75-27-4
75-35-4
75-44-5
75-55-8
75-56-9
75-65-0
76-13-1
76-44-8
77-47-4
77-78-1
78-84-2
78-87-5
78-88-6
78-92-2
78-93-3
79-00-5
79-01-6
79-06-1
79-10-7
79-11-8
79-21-0
79-34-5
79-44-7
79-46-9
80-05-7
80-15-9
80-62-6
81-07-2
81-88-9
82-28-0
82-68-8
84-66-2
84-74-2
85-44-9
Chemical Name
De Minimis
Concentration
Vinyl chloride 0.1
Acetonitrite 1.0
AcetakJehyde 0.1
Dichloromethane 0.1
{Methytene chloride}
Carbon disultide 1.0
Ethytene oxide 0.1
Bromoform 1.0
{Tribromomethane}
Dichlorobromomethane 1.0
Vinylidene chloride 1.0
Phosgene 1.0
Propyteneimine 0.1
Propylene oxide 0.1
tert-Butyl alcohol 1.0
Freon113 1.0
{Ethane, 1,1,2-trichloro-1,2.2-
trifluoro-}
Heptachlor 1.0
{1,4,5,6,7.8,8-Heptachloro-
3a,4,7,7a-tetrahydro-
4,7-methano-1 H-indene}
Hexachlorocyclopentadiene 1.0
Dimethyl sulfate 0.1
Isobutyraldehyde 1.0
1,2-Dichloropropane 1.0
2,3-Dichloropropene 1.0
sec-Butyl alcohol 1.0
Methyl ethyl ketone 1.0
1.1,2-Trichloroethane 1.0
Trichloroethylene 1.0
Acrylamide 0.1
Aery lie acid 1.0
Chloroacetic acid 1.0
Peracetic acid 1.0
1,1,2,2-Tetrachloroethane 0.1
Dimethylcarbamyl chloride 0.1
2-Nitropropane 0.1
4,4'-lsopropylidenediphenol 1.0
Cumene hydroperoxide 1.0
Methyl met h aery late 1.0
Saccharin (manufacturing, no 0.1
supplier notification)
{1,2-Benzisothiazol-3(2H)-one,
1,1-dioxide)
C.I. Food Red 15* 0.1
1-Amino-2-methylanthraquinone 0.1
Quintozene 1 -0
{Pentachloronitro-benzene}
Diethyl phthalate 1.0
Dibutyl phthalate 1.0
Phthalic anhydride 1.0
' C.I. means "Color Index"
-------
Page 47
CAS Number
85-68-7
86-30-6
87-62-7
87-68-3
87-86-5
88-06-2
88-75-5
88-89-1
90-04-0
90-43-7
90-94-8
91-08-7
91-20-3
91-22-5
91-59-8
91-94-1
92-52-4
92-67-1
92-87-5
92-93-3
94-36-0
94-59-7
94-75-7
95-47-6
95-48-7
95-50-1
95-53-4
95-63-6
95-80-7
95-95-4
96-09-3
96-12-8
96-33-3
96-45-7
97-56-3
98-07-7
98-82-8
98-87-3
98-88-4
98-95-3
99-59-2
99-65-0
100-02-7
100-25-4
100-41-4
100-42-5
100-44-7
Chemical Name
De Minimis
Concentration
CAS Number
Chemical Name
De Minimis
Concentration
Butyl benzyl phthalate 1.0
N-Nitrosodiphenylamine 1.0
2,6-XylkJine 1.0
Hexachloro-1,3-butadiene 1.0
Pentachlorophenol 1.0
{PCP}
2,4,6-Trichlorophenol 0.1
2-Nitrophenol 1.0
Picric acid 1.0
o-Anisidine 0.1
2-Phenylphenol 1.0
Michter's ketone 0.1
Toluene-2,6-diisocyanate 0.1
Naphthalene 1.0
Quinoline 1.0
beta-Naphthylamine 0.1
3,3'-Dichlorobenzidine 0.1
Biphenyl 1.0
4-Aminobiphenyl 0.1
Benzidine 0.1
4-Nitrobiphenyl 0.1
Benzoyl peroxide 1.0
Safrole 0.1
2,4-D 1.0
{Acetic acid,
(2,4-dichlorophenoxy)-}
o-Xylene 1.0
o-Cresol 1.0
1,2-Dichlorobenzene 1.0
o-Toluidine 0.1
1,2,4-Trimethylbenzene 1.0
2,4-Diaminotoluene 0.1
2,4,5-Trichlorophenol 1.0
Styrene oxide 0.1
1,2-Dibromo-3-chloropropane 0.1
{DBCP}
Methyl acrylate 1.0
Ethylene thiourea 0.1
C.I. Solvent Yellow 3* 0.1
Benzoic trichloride 0.1
{Benzotrichloride}
Cumene 1.0
Benzal chloride 1.0
Benzoyl chloride 1.0
Nitrobenzene 1.0
5-Nitro-o-anisidine 0.1
m-Dinitrobenzene 1.0
4-Nitrophenol 1.0
p-Dinitrobenzene 1.0
Ethylbenzene 1.0
Styrene 0.1
Benzyl chloride 1.0
100-75-4 N-Nitrosopiperidine 0.1
101-14-4 4,41-Methylenebis (2- 0.1
chloroaniline)
{MBOCA}
101-61-1 4,41-Methylenebis(N,N-dimethyl) 0.1
benzenamine
101-68-8 Methylenebis(phenylisocyanate) 1.0
{MBI}
101-77-9 4,4'-Methylenedianiline 0.1
101-80-4 4,4'-Diaminodiphenyl ether 0.1
103-23-1 Bis(2-ethylhexyl) adipate 1.0
104-94-9 p-Anisidine 1.0
105-67-9 2,4-Dimethylphenol 1.0
106-42-3 p-Xylene 1.0
106-44-5 p-Cresol 1.0
106-46-7 1,4-Dichlorobenzene 0.1
106-50-3 p-Phenylenediamine 1.0
106-51-4 Quinone 1.0
106-88-7 1,2-Butylene oxide 1.0
106-89-8 Epjchlorohydrin 0.1
106-93-4 1,2-Dibromoethane 0.1
{Ethylene dibromide}
106-99-0 1,3-Butadiene 0.1
107-02-8 Acrotein 1.0
107-05-1 Allyl chloride 1.0
107-06-2 1,2-Dichloroethane 0.1
{Ethylene dichloride}
107-13-1 Acrylonitrile 0.1
107-18-6 Allyl alcohol 1.0
107-21-1 Ethylene glycol 1.0
107-30-2 Chloromethyl methyl ether 0.1
108-05-4 Vinyl acetate 1.0
108-10-1 Methyl isobutyl ketone 1.0
108-31-6 Maleic anhydride 1.0
108-38-3 m-Xylene 1.0
108-39-4 m-Cresol 1.0
108-60-1 Bis(2-chloro-1 -methylethyl) etheM.O
108-88-3 Toluene 1.0
108-90-7 Chlorobenzene 1.0
108-95-2 Phenol 1.0
109-86-4 2-Methoxyethanol 1.0
110-80-5 2-Ethoxyethanol 1.0
110-82-7 Cyclohexane 1.0
110-86-1 Pyridine 1.0
111-42-2 Diethanolamine 1.0
111-44-4 Bis(2-chloroethyl) ether 1.0
114-26-1 Propoxur 1.0
{Phenol, 2-(1-methylethoxy)-,
methylcarbamate}
115-07-1 Propytene (Propene) 1.0
115-32-2 Dicofol 1.0
{Benzenemethanol, 4-chloro-
.alpha.-(4-chlorophenyl)-
.alpha.-(trichloromethyl)-}
-------
Page 48
CAS Number
117-79-3
117-81-7
117-84-0
118-74-1
119-90-4
119-93-7
120-12-7
120-58-1
120-71-8
120-80-9
120-82-1
120-83-2
121-14-2
121-69-7
122-66-7
123-31-9
123-38-6
123-72-8
123-91-1
126-72-7
126-99-8
127-18-4
128-66-5
131-11-3
132-64-9
133-06-2
133-90-4
134-29-2
134-32-7
135-20-6
139-13-9
139-65-1
140-88-5
141-32-2
151-56-4
156-10-5
156-62-7
302-01-2
Chemical Name
De Minimis
Concentration
2-Aminoanthraquinone 0.1
Di(2-ethylhexyl) phthalate 0.1
{DEHP}
n-Dioctyl phthalate 1.0
Hexachlorobenzene 0.1
3,3'-Oimethoxybenzidine 0.1
3,3'-Dimethylbenzidine 0.1
{o-Tolidine}
Anthracene 1.0
Isosafrole 1.0
p-Cresidine 0.1
Catechol 1.0
1,2,4-Trichlorobenzene 1.0
2,4-Dichlorophenol 1.0
2,4-Dinitrotoluene 1.0
N.N-Dimethylaniline 1.0
1,2-Diphenylhydrazine 0.1
{Hydrazobenzene}
Hydroquinone 1.0
PropionakJehyde 1.0
Butyraldehyde 1.0
1,4-Dioxane 0.1
Tris(2.3-dibromopropyl) 0.1
phosphate
Chloroprene 1.0
Tetrachloroethylene 0.1
{PerchkDroethytene}
C.I. Vat Yellow 4* 1.0
Dimethyl phthalate 1.0
Dibenzofuran 1.0
Captan 1.0
{1 H-teoindote-1,3(2H)-dione,
3a,4,7,7a-tetrahydro-
2[(trichtoromethy)thio]-}
Chloramben 1.0
{Benzoic acid, 3-amino-
2.5-dichloro-}
o-Anisidine hydrochloride 0.1
alpha-Naphthylamine 0.1
Cupferron 0.1
{Benzeneamine, N-hydroxy-
N-nitroso,ammonium salt}
Nitrilotriacetic acid 0.1
4.4'-Thiodianiline 0.1
Ethyl acrylate 0.1
Butyl acrylate 1.0
Ethyteneimine (Aziridine) 0.1
p-Nitrosodiphenylamine 0.1
Calcium cyanamide 1.0
Hydrazine 0.1
De Minimis
CAS Number
309-00-2
334-88-3
463-58-1
492-80-8
505-60-2
510-15-6
528-29-0
532-27-4
534-52-1
540-59-0
541-41-3
541-73-1
542-75-6
542-88-1
569-64-2
584-84-9
593-60-2
606-20-2
615-05-4
621-64-7
624-83-9
636-21-5
680-31-9
684-93-5
759-73-9
842-07-9
924-16-3
961-11-5
989-38-8
1120-71-4
1163-19-5
1313-27-5
1314-20-1
1319-77-3
1330-20-7
1332-21-4
1335-87-1
1336-36-3
Chemical Name Concentration
AkJrin
{1 ,4:5,8-Dimethanonaphthatene,
1 ,2,3.4,1 0,1 0-hexachloro-1 ,4,4a,
5,8,8a-hexahydro-(1 .alpha.,
4.alpha.,4a.beta.,5.alpha.,
8.alpha.,8a.beta.)-}
Diazomethane
Carbonyl sulfide
C.I. Solvent Yellow 34*
{Auramine}
Mustard gas
{Ethane, 1 , 1 '-thiobis[2-chloro-}
Chlorobenzilate
{Benzeneacetic acid.4-chloro-
,alpha.-(4-chlorophenyl)-
.alpha.-hydroxy-,ethyl ester}
o-Dinitrobenzene
2-Chloroacetophenone
4,6-Dinitro-o-cresol
1 ,2-Dichloroethylene
Ethyl chloroformate
1 ,3-Dichlorobenzene
1 ,3-Dichloropropylene
Bis(chloromethyl) ether
C.I. Basic Green 4*
Toluene-2,4-diisocyanate
Vinyl bromide
2,6-Dinitrotoluene
2,4-Diaminoanisole
N-Nitrosodi-n-propylamine
Methyl isocyanate
o-TolukJine hydrochloride
Hexamethylphosphoramide
N-Nitroso-N-methylurea
N-Nitroso-N-ethylurea
C.I. Solvent Yellow 14*
N-Nitrosodi-n-butylamine
Tetrachlorvinphos
{Phosphoric acid, 2-chloro-1 -
(2,3,5-trichlorophenyl)ethenyl
dimethyl ester}
C.I. Baste Red 1*
Propane sultone
Decabromodiphenyl oxide
Molybdenum trioxide
Thorium dioxide
Cresol (mixed isomers)
Xylene (mixed isomers)
Asbestos (friable)
Hexachloronaphthalene
Polychlorinated biphenyls
{PCBs}
1.0
1.0
1.0
0.1
0.1
1.0
1.0
1.0
1.0
1.0
1.0
1.0
0.1
0.1
1.0
0.1
0.1
1.0
0.1
0.1
1.0
0.1
0.1
0.1
0.1
0.1
0.1
1.0
0.1
0.1
1.0
1.0
1.0
1.0
1.0
0.1
1.0
0.1
* C.I. means 'Color Index"
-------
Page 49
CAS Number
1344-28-1
1464-53-5
1582-09-8
1634-04-4
1836-75-5
1897-45-6
1937-37-7
2164-17-2
2234-13-1
2303-16-4
2602-46-2
2832-40-8
3118-97-6
3761-53-3
4549-40-0
4680-78-8
6484-52-2
7429-90-5
7439-92-1
7439-96-5
7439-97-6
7440-02-0
7440-22-4
7440-28-0
7440-36-0
7440-38-2
7440-39-3
7440-41-7
7440-43-9
7440-47-3
7440-48-4
7440-50-8
7440-62-2
7440-66-6
7550-45-0
7647-01-0
7664-38-2
7664-39-3
7664-41-7
7664-93-9
De
Minimis
Chemical Name Concentration
Aluminum oxide (fibrous forms)
Diepoxybutane
Trifluralin
{Benzenamine, 2,6- dinitro-N.N-
dipropyl-4-(trifluoromethyl)-}
Methyl tert-butyl ether
Nitrofen
{Benzene, 2,4-dichloro-1-
(4-nitrophenoxy)-}
Chlorothalonil
{1,3-Benzenedicar bonitrite,
2,4,5,6-tetrachloro-}
C.I. Direct Black 38*
Fluometuron
{Urea, N,N-dimethyl-N'-
[3-(trifluoromethyl)phenyl]-}
Octachtoronaphthalene
Diallate
{Carbamothioic acid,
bis (1-methylethyl)-, S-(2,3-
dichloro-2-propenyl) ester}
C.I. Direct Blue 6*
C.I. Disperse Yellow 3*
C.I. Solvent Orange 7*
C.I. Food Red 5*
N-Nitrosomethylvinylamine
C.I. Acid Green 3*
Ammonium nitrate (solution)
Aluminum (fume or dust)
Lead
Manganese
Mercury
Nickel
Silver
Thallium
Antimony
Arsenic
Barium
Beryllium
Cadmium
Chromium
Cobalt
Copper
Vanadium (fume or dust)
Zinc (fume or dust)
Titanium tetrachloride
Hydrochloric acid
Phosphoric acid
Hydrogen fluoride
Ammonia
Sulfuric acid
0.1
0.1
1.0
1.0
0.1
1.0
0.1
1.0
1.0
1.0
0.1
1.0
1.0
0.1
0.1
1.0
1.0
1.0
0.1
1.0
1.0
0.1
1.0
1.0
1.0
0.1
1.0
0.1
0.1
0.1
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
1.0
De Minimis
CAS Number
7697-37-2
7723-14-0
7782-49-2
7782-50-5
7783-20-2
8001-35-2
8001-58-9
10034-93-2
10049-04-4
12122-67-7
12427-38-2
16071-86-6
16543-55-8
20816-12-0
25321-14-6
25321-22-6
25376-45-8
26471-62-5
39156-41-7
Chemical Name Concentration
Nitric acid
Phosphorus (yellow or white)
Selenium
Chlorine
Ammonium sulfate (solution)
Toxaphene
Creosote
Hydrazine sulfate
Chlorine dioxide
Zineb
{Carbamodithioic acid, 1 ,2-
ethanediylbis-.zinc complex}
Maneb
{Carbamodithioic acid, 1 ,2-
ethanediylbis-, manganese
complex}
C.I. Direct Brown 95*
N-Nitrosonornicotine
Osmium tetroxide
Dinitrotoluene (mixed isomers)
Dichlorobenzene (mixed
isomers)
Diaminotoluene (mixed isomers)
Toluenediisocyanate
(mixed isomers)
2,4-Diaminoanisole sulfate
1.0
1.0
1.0
1.0
1.0
0.1
0.1
0.1
1.0
1.0
1.0
0.1
0.1
1.0
1.0
0.1
0.1
0.1
0.1
* C.I. means "Color Index"
-------
Page 50
SECTION 313 CHEMICAL CATEGORIES
Section 313 requires emissions reporting on the chemical
categories listed below, in addition to the specific chemicals
listed above.
The metal compounds listed below, unless otherwise speci-
fied, are defined as including any unique chemical substance
that contains the named metal (i.e., antimony, copper, etc.) as
part of that chemical's structure.
Chemical categories are subject to the 1 percent de minimis
concentration unless the substance involved meets the defini-
tion of an OSHA carcinogen, which are subject to the 0.1
percent de minimis concentration.
Antimony Compounds - Includes any unique chemical sub-
stance that contains antimony as part of that chemical's
infrastructure.
Arsenic Compounds - Includes any unique chemical sub-
stance that contains arsenic as part of that chemical's infra-
structure.
Barium Compounds - Includes any unique chemical sub-
stance that contains barium as part of that chemical's infra-
structure.
Beryllium Compounds - Includes any unique chemical sub-
stance that contains beryllium as part of that chemical's
infrastructure.
Cadmium Compounds - Includes any unique chemical sub-
stance that contains cadmium as part of that chemical's
infrastructure.
Chloroohenols -
where x = 1 to 5
Chromium Compounds - Includes any unique chemical sub-
stance that contains chromium as part of that chemical's
infrastructure.
Cobalt Compounds - Includes any unique chemical substance
that contains cobalt as part of that chemical's infrastructure.
Copper Compounds - includes any unique chemical sub-
stance that contains copper as part of that chemical's infra-
structure.
Cvanide Compounds - X* CM" where X = H+ or any other group
where a formal dissociation may occur. For example KCN or
Ca(CN)2.
Glvcol Ethers - Includes mono- and di- ethers of ethylene
glycol, diethylene glycol, and triethylene glycol.
R-(CXJH2CHa)n-OR'
Wheren = 1,2.or3
R = alkyl or aryl groups
R'= R, H, or groups which, when
removed, yield glycol ethers with the
structure:
Polymers are excluded from this category.
Lead Compounds - Includes any unique chemical substance
that contains lead as part of that chemical's infrastructure.
Manganese Compounds - Includes any unique chemical
substance that contains manganese as part of that chemical's
infrastructure.
Mercury Compounds - Includes any unique chemical sub-
stance that contains mercury as part of that chemical's infra-
structure.
Nickel Compounds - Includes any unique chemical substance
that contains nickel as part of that chemical's infrastructure.
Polvbrominated Biohenvls (PBBs^
IO-H
where x = 1 to 10
Selenium Compounds - Includes any unique chemical sub-
stance that contains selenium as part of that chemical's
infrastructure.
Silver Compounds - Includes any unique chemical substance
that contains silver as part of that chemical's infrastructure.
Thallium Compounds - Includes any unique chemical sub-
stance that contains thallium as part of that chemical's infra-
structure.
Zinc Compounds - Includes any unique chemical substance
that contains zinc as part of that chemical's infrastructure.
-------
Page 51
TABLE III
STATE ABBREVIATIONS
Alabama
Alaska
American Samoa
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Guam
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Marshall Islands
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
AL Montana ... ,--•* MT
AK Nebraska - NE
AS Nevada v " " - ' -' Nv
AZ New Hampshire NH
AR New Jersey NJ
CA New Mexico NM
CO New York NY
CT North Carolina NC
DE North Dakota ND
DC Commonwealth of the Northern Mariana Islands MP
FL Ohio OH
GA Oklahoma OK
GU Oregon OR
HI Pennsylvania PA
ID Puerto Rico PR
IL Rhode Island Rl
IN South Carolina SC
IA South Dakota SD
KS Tennessee TN
KY Texas TX
LA Utah UT
ME Vermont VT
MH Virginia VA
MD Virgin Islands VI
MA Washington WA
Ml West Virginia WV
MN Wisconsin Wl
MS Wyoming WY
MO
-------
A: Reporting Form R
-------
Page A-1
APPENDIX A
TOXIC CHEMICAL RELEASE INVENTORY REPORTING FORM R
-------
D
(Important: Type or print; read instructions before completing form.)
Form Approved OMB No.: 2070-0093
Approval Expires: 01/94
D
Paae 1 of 5
U-S. Environmental Protection Agency
TOXIC CHEMICAL RELEASE INVENTORY REPORTING FORM
Section 313 of the Emergency Planning and Community Right -to-Know Act of 1986,
also known as Title III of the Superfund Amendments and Reauthorization Act
EPA FORM
PART I.
FACILITY
IDENTIFICATION
INFORMATION
(This space for your optional use.
1.
Public reporting burden for this
coltection of information is estimated to
vary from 30 to 34 hours per response,
with an average of 32 hours per
response, including time for reviewing
instructions, searching existing data
sources, gathering and maintaining the
data needed, and completing and
reviewing the collection of information.
Send comments regarding this burden
estimate or any other aspect of this
collection of information, including
suggestions for reducingthis burden, to
Chief, Information Policy Branch
(PM-223), US EPA, 401 M St., SW,
Washington, D.C. 20460 Attn; TR!
Burden and to the Office of Information
and Regulatory Affairs, Office of
Management and Budget Paperwork
Reduction Project (2070-0093),
Washington, D.C. 20603.
1 .1 Are you claiming the chemical identity on page 3 trade secret?
I. J Yes (Answer question 1.2; [I No (Do not answer 1.2;
Go to question 1.3.)
Yes (Answer question 1.2;
Attach substantiation forms.)
1.2 If "Yes" in 1.1, is this copy:
L J Sanitizedj. J Unsanitized
1 .3 Reporting Year
19
2. CERTIFICATION (Read and sign after completing all sections.)
hereby certify that I have reviewed the attached documents and that, to the best of my knowledge and belief, the submitted information is true and
complete and that the amounts and values in this report are accurate based on reasonable estimates using data available to the preparers of this report,
Name and official title of owner /operator or senior management official
Signature
Date signed
FACILITY IDENTIFICATION
3.1
Facility or Establishment Name
Street Address
City
State
County
Zip Code
TRI Facility Identification Number
WHERE TO SEND COMPLETED FORMS:
1. EPCRA REPORTING CENTER
P.O. BOX 23779
WASHINGTON, DC 20026-3779
ATTN: TOXIC CHEMICAL RELEASE INVENTORY
2. APPROPRIATE STATE OFFICE (See instructions
in Appendix G)
3.2
This report contains information for (Check only one) :
a.
J An entire facility b. [ J Part of a facility.
3.3
Technical Contact
Telephone Number (include area code)
3.4
Public Contact
Telephone Number (include area code)
3.5
SIC Code (4 digit)
a.
b.
Latitude
Longitude
3.6
Degrees
Minutes
Seconds
Degrees
M nutes
Seconds
3.7
Dun & Bradstreet Number (s)
a.
3.8
EPA Identification Number(s) (RCRA I.D. No.)
3.9
NPDES Permit Number (s)
a.
Receiving Streams or Water Bodies (enter one name per box)
a.
3.10
3.11
Underground Injection Well Code (UIC) Identification Number (s)
4. PARFNT rOMPANY INFORMATION
4.1
Name of Parent Company
4.2
Parent Company's Dun & Bradstreet Number
EPA Form 9350-1 (Rev. 1-91) - Previous editions are obsolete.
-------
D
(Important: Type or print; read instructions before completing form.)
D
3 EPA
EPA FORM R
PART II. OFF-SITE LOCATIONS TO WHICH TOXIC
CHEMICALS ARE TRANSFERRED IN WASTES
Page 2 of 5
(This space for your optional use.)
1. PUBLICLY OWNED TREATMENT WORKS (POTWs)
iTW name
1.2 POTW name
Street Address
County
City
County
State
Zip
State
Zip
2. OTHER OFF-SITE LOCATIONS (DO NOT REPORT LOCATIONS TO WHICH WASTES ARE SENT ONLY FOR RECYCLING OR REUSE).
Off-site location name
2.2 Off-site location name
EPA Identification Number (RCRA ID. No.)
EPA Identification Number (RCRA ID. No.)
Street Address
Street Address
City
County
City
County
State
Zip
State
Zip
Is location under control of reporting facility or parent company?
NO
Is location under control of reporting facility or parent company?
Yes
No
2.3 Off-site location name
2.4 Off-site location name
EPA Identification Number (RCRA ID. No.)
EPA Identification Number (RCRA ID. No.)
Street Address
Street Address
City
County
City
County
State
Zip
State
Zip
Is location under control of reporting facility or parent company?
[ JYes
NO
Is location under control of reporting facility or parent company?
[ ]
Yes
! No
2.5 Off-site location name
2.6 Off-site location name
EPA Identification Number (RCRA ID. No.)
EPA Identification Number (RCRA ID. No.)
Street Address
Street Address
City
County
City
County
State
Zip
State
Zip
Is location under control of reporting facility or parent company?
Is location under control of reporting facility or parent company?
[ ]ves [ ]
| Check if additional pages of Part II are attached. How many?
EPA Form 9350-1 (Rev.1-91) - Previous editions are obsolete.
-------
D
(Important: Type or print; read instructions before completing form.)
Page 3 of 5
EPA FORM
PART III. CHEMICAL-SPECIFIC INFORMATION
^ 11 vines AINLJ USES ui- i ME CHEMICAL AT THE FACILITY (Check all that apply
3.1
Manufacture the
chemical:
a.
r -i
I J Produce
b. [ J Import
If produce or import:
f 1 For on-site
.L
c.
e.
J use/processing
[ J As a byproduct
1 For sale/
d. J distribution
f.[ J As an impurity
3.2
Process the
chemical:
r 1.
a L J As a reactant
d.[ J Repackaging only
[ 1 As a formulation
b.L J component
1 As an article
c.
component
3.3
Otherwise use
the chemical-
f 1 As a chemical
J processing aid
\ 1
.L J
As a manufacturing aid
r i
.L J
Ancillary or other use
4. MAXIMUM AMOUNT OF THE CHEMICAL ON-SITE AT ANY TIME DURING THE CALENDAR YEAR
5. RELEASES OF THE CHEMICAL TO THE ENVIRONMENT ON-SITE
You may report releases of less than
1 .000 pounds by checking ranges under A.1 .
(Do not use both A.1 and A. 2)
5.1 Fugitive or non-point air emissions
5.2 Stack or point air emissions
5.3 Discharges to receiving
streams or water bodies '-3-'
(Enter letter code from Part I
Section 3.10 for stream(s) in 532
the box provided.)
5.3.3
5.4 Underground injection
5.5 Releases to land
5.5.1 On-site landfill
5.5.2 Land treatment/application farming
5.5.3 Surface impoundment
5.5.4 Other disposal
5.1a
5.2a
5.3.1a
5.3.2a
5.3.3a
5.4a
5.5.1a
5.5.2a
5.5.3a
5.5.4a
A. Total Release
(pounds/year)
A.1
Reporting Ranges
1-10 11-499 500-999
[ ] [ ] I ]
A. 2
Enter
Estimate
B. Basis of
Estimate
(enter code)
5.lb
: D
5.3.1b I
5.3.2b
5.3.3b
5.5.1b
5.5.2b
5.5.3b
5.5.4b
[ J
(Check if additional information is provided on Part IV-Supplemental Information.)
EPA Form 9350-1 (Rev.1-91) - Previous editions are obsolete.
-------
D a
Important: Type or print; read instructions before completing form.) Page 4 of 5
6.
ft EPA
R(This space for your optional use.)
PART III. CHEMICAL-SPECIFIC INFORMATION
(continued)
TRANSFERS OF THE CHEMICAL IN WASTE TO OFF-SITE LOCATIONS
You may report tran
of less than 1,000 p
check ng ranges und
not use both A.1 an
6.
6.
6.
6.
Discharge to PO
(enter location n
1.1 from Part II, Sec
sfers
erA.1. (Do
d A. 2)
umber 1 «
tion 1.) I 1 j.
Other off-site location . . , .
_ « (enter location number I y
2.1 from Part II, Section 2.) | ' )•
Other off-site loe
„ _ (enter location n
2.2 from Part II, Sec
umber y
tion 2.) -I
Other off-site location . . . .
(enter location number ~
2 3 from Part II, Section 2.) ' •
A. Total Transfers B. Basis of Estimate
( pounds /yr)
A.I A. 2
Reporting Ranges Enter
1-10 11-499 500-999 Estimate
[][][]
(enter code)
[][][] 6.2.1bD
[][][] 6.2.2bD
\ i i ] i ] 6.2. 3b n
C.Type of Treatment/
Disposal
(enter code)
^fotl^sSj&MJgsgffffly
6. 2. 1c M
6.2.2C M
6.2.3C M
]( Check if additional Information Is provided on Part IV-Supplemental Information.)
T
A
7
7
7
7
7
7
. WASTE TREATMENT METHODS AND EFFICIENCY
DNot Applicable (NA) - Check if no on-site treatment Is applied to any waste stream containing the chemical or chemical
category
. General
Wastestream
(enter code)
1a M
2a H
3a
... D
.5a
.6a
7.7a 1
7.8a
7.9a Q
7.10a
B. Treatment
Method
(enter code)
7.1b
7.2b
7.3b
7.4b
7.5b
7.6b
7.
7.
7.
7.
7b
8b
9b
10b
C . Range of
Influent
Concentration
(enter code)
7.1c
7.2c M
7.3c \
7.4c
7.5c n
7.6c n
7.7c | |
7.8c [
7.9c |~~~
7.10C | |
D. Sequential
Treatment?
(check if
applicable)
7.1d [ 1
7.2d [ ]
7.3d [ ]
7.4d [ ]
7.5d [ ]
7.6d [ ]
7.7d [ ]
7.8d [ ]
7.9d [ ]
7.10d [ ]
E. Treatment
Efficiency
Estimate
7.1e %
7.2e %
7.3e %
7.4e %
7.5e %
7.6e %
7.7e %
7.8e %
7.9e %
7.10e %
F. Based on
Operating
Data?
Yes No
7.1f [ ] [
7.2f [ ] [
7.3f [ ] [
7 4f [ ] I ]
7 5f [ I [ I
7.6f [ ] [
7.7f [ ] [
7 <» [ ] [ ]
7.9f [ ] [
7.10f [ ] [
[ ] (Check if additional information is provided on Part IV-Supplemental Information. )
a pn'fi UTION PREVENTION- OPTIONAL INFORMATION ON WASTE MINIMIZATION
(iScate aSons taken to reduce the amount of the chemical being released from the facility. See the .nstmct.ons for coded
Items and an exp1*""*'"" "f >A'hat information to include. , , ; ; — :
A. Type of
Modification
M
B Quantity of the Chemical in Wastes u- noex
Prior to Treatment or Disposal
Ol ,_„_,. PH^ | Or percent change
Current Knor ' irhprk u» or l-l)
reporting year I (Check (t) or ( n
year (pounds/year) | Q +
(pounds/year) | r-i _
| • /O
D.
(enter code)
R
EPA Form 9350-1 (Rev.1-91) - Previous editions are obsolete.
-------
n
(Important: Type or print; read instructions before completing form.)
Page 5 of 5
EPA
PART IV.
EPA FORM R
SUPPLEMENTAL INFORMATION
Use this section if you need additional space for answers to questions in Part III
Number the lines used sequentially from lines in prior sections (e.g., 5.3.4, 6.1.2, 7.11)
(This space for your optional use.)
ADDITIONAL INFORMATION ON RELEASES OF THE CHEMICAL TO THE ENVIRONMENT ON-SITE
(Part III, Section 5.3)
You may report releases of less than
1,000 pounds by checking ranges under A.1.
(Do not use both A.1 and A.2)
A. Total Release
(pounds/yr)
A.1
Reporting Ranges
1-10 11-499 500-999
A.2
Enter
Estimate
B. Basis of
Estimate
(enter code
In box
provided)
C.% From
Stormwater
5.3 Discharges to
receiving streams or
water bodies 5.3.
(Enter letter code from Part I
Section 3.10 for stream(s) In c n
the box provided.) °-J-
5.3.
_D
5.3 a
5.3..
5.3..
5.3 a
5.3. b[_
5.3..
5.3 a
5.3.
5.3.
ADDITIONAL INFORMATION ON TRANSFERS OF THE CHEMICAL IN WASTE TO OFF-SITE LOCATIONS
(Part III, Section 6)
You may report transfers
of less than 1,000 pounds by checking
ranges under A.1. (Do not use
both A.1 and A.2)
Discharge to POTW
-. , (enter location number -,
6-1- from Part II, Section 1.) ' |
Other off-site location
(enter location number
- from Part II, Section 2.)
A.Total Transfers
(pounds/yr)
A.1
Reporting Ranges
1-10 11-499 500-999
A.2
Enter
Estimate
B. Basis of
Estimate
(enter code
in box
provided)
C. Type of Treatment/
Disposal
(enter code
in box
provided)
6.1.
6.2.
6.2.
Other off-site location
(enter location number
- from Part II, Section 2.)
6.2.
Other off-site location
(enter location number •?
- from Part II, Section 2.)
6.2.
ADDITIONAL INFORMATION ON WASTE TREATMENT METHODS AND EFFICIENCY (Part III, Section 7)
A. General
Wastestream
(enter code
in box provided)
B. Treatment
Method
(enter code
in box provided)
C. Range of
Influent
Concentration
(enter code)
D. Sequential
Treatment?
(check if
applicable)
E. Treatment
Efficiency
Estimate
F. Based on
Operating
Data?
Yes No
7.
ILL
7. a
7.
7.
7. e
? '[ ][ ]
7. a
D
7.
? <[ ][ ]
7.
7.
7.
7.
7.
-"[ 1
7—'[ ][ I
n
I- '[ ][ ]
][ ]
-"[
7.
EPA Form 9350-1 (Rev. 1-91) - Previous editions are obsolete.
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Page B-1
APPENDIX B
REPORTING CODES FOR EPA FORM R
Part III, Section 4 - Maximum Amount of the Chemical On-
Site at Any Time During the Calendar Year
Weight Range in Pounds
Range Code From...
01
02
03
04
05
06
07
08
09
10
11
0
100
1,000
10,000
100,000
1,000,000
10,000,000
50,000,000
100,000,000
500,000,000
1 billion
To....
99
999
9,999
99,999
999,999
9,999,999
49,999,999
99,999,999
499,999,999
999,999,999
more than 1 billion
Part III, Section 5 - Releases of the Chemical to the
Environment On-Site and Section 6 • Transfers of the
Chemical in Waste to Off-Site Locations
M - Estimate is based on monitoring data or measurements
for the toxic chemical as released to the environment
and/or off-site facility.
C - Estimate is based on mass balance calculations, such
as calculation of the amount of the toxic chemical in
streams entering and leaving process equipment.
E - Estimate is based on published emission factors, such
as those relating release quantity to through-put or
equipment type (e.g., air emission factors).
O - Estimate is based on other approaches such as engi-
neering calculations (e.g., estimating volatilization using
published mathematical formulas) or best engineering
judgment. This would include applying an estimated
removal efficiency to a wastestream, even if the compo-
sition of the stream before treatment was fully character-
ized by monitoring data.
Part III, Section 6 - Transfers of the Chemical in Waste to
Off-Site Locations
Type of Treatment/Disposal
M10 Storage Only
M40 Solidification/Stabilization
M50 Incineration/Thermal Treatment
M61 Wastewater Treatment (Excluding POTW)
M69 Other Treatment
M71 Underground Injection
M72 Landfill/Disposal Surface Impoundment
M73 Land Treatment
M79 Other Land Disposal
M90 Other Off-Site Management
M91 Transfer to Waste Broker
M99 Unknown
Part III, Section 7 - Waste Treatment Methods and Efficiency
General Wastestream
A = Gaseous (gases, vapors, airborne particulates)
W = Wastewater (aqueous waste)
L = Liquid waste (non-aqueous waste)
S = Solid waste (including sludges and slurries)
Part III, Section 7 - Waste Treatment Methods and
Efficiency
Air Emissions Treatment
A01 Flare
A02 Condenser
A03 Scrubber
A04 Absorber
A05 Electrostatic Precipitator
A06 Mechanical Separation
A07 Other Air Emission Treatment
Biological Treatment
B11 Biological Treatment -- Aerobic
B21 Biological Treatment -- Anaerobic
B31 Biological Treatment -- Facultative
B99 Biological Treatment ~ Other
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Page B-2
Chemical Treatment
C01 Chemical Precipitation - Lime or Sodium
Hydroxide
C02 Chemical Precipitation - Sutfide
COS Chemical Precipitation -- Other
C11 Neutralization
C21 Chromium Reduction
C31 Comptexed Metals Treatment (other than pH
Adjustment)
C41 Cyanide Oxidation - Alkaline Chlorination
C42 Cyanide Oxidation - Electrochemical
C43 Cyanide Oxidation - Other
C44 General Oxidation (including Disinfection) -
Chlorination
C45 General Oxidation (including Disinfection) -
Ozonation
C46 General Oxidation (including Disinfection) -- Other
C99 Other Chemical Treatment
Incineration/Thermal Treatment
F01 Liquid Injection
F11 Rotary Kiln with Liquid Injection Unit
F19 Other Rotary Kiln
F31 Two Stage
F41 Fixed Hearth
F42 Multiple Hearth
F51 FlukJized Bed
F61 Infra-Red
F71 Fume/Vapor
F81 Pyrolytic Destructor
F82 Wet Air Oxidation
F83 Thermal Drying/Dewatering
F99 Other Incineration/Thermal Treatment
Physical Treatment
P01 Equalization
P09 Other Blending
P11 Settling/Clarification
P12 Filtration
P13 Sludge Dewatering (non-thermal)
P14 Air Flotation
P15 Oil Skimming
P16 Emulsion Breaking -- Thermal
P17 Emulsion Breaking ~ Chemical
P18 Emulsion Breaking - Other
P19 Other Liquid Phase Separation
P21 Adsorption - Carbon
P22 Adsorption - Ion Exchange (other than for
recovery/reuse)
P23 Adsorption - Resin
P29 Adsorption - Other
P31 Reverse Osmosis (other than for recovery/reuse)
P41 Stripping - Air
P42 Stripping - Steam
P49 Stripping - Other
P51 Acid Leaching (other than for recovery/reuse)
P61 Solvent Extraction (other than recovery/reuse)
P99 Other Physical Treatment
Recoverv/Reuse
R01 Reuse as Fuel - Industrial Kiln
R02 Reuse as Fuel - Industrial Furnace
R03 Reuse as Fuel - Boiler
R04 Reuse as Fuel - Fuel Blending
R09 Reuse as Fuel - Other
R11 Solvents/Organics Recovery - Batch Still
Distillation
R12 Solvents/Organics Recovery -- Thin-Film
Evaporation
R13 Solvents/Organics Recovery - Fractionation
R14 Solvents/Organics Recovery « Solvent Extraction
R19 Solvents/Organics Recovery - Other
R21 Metals Recovery -- Electrolytic
R22 Metals Recovery - Ion Exchange
R23 Metals Recovery - Acid Leaching
R24 Metals Recovery - Reverse Osmosis
R26 Metals Recovery -- Solvent Extraction
R29 Metals Recovery -- Other
R99 Other Reuse or Recovery
Solidification/Stabilization
G01 Cement Processes (including Silicates)
G09 Other Pozzolonic Processes (including Silicates)
G11 Asphaltic Processes
G21 Thermoplastic Techniques
G99 Other Solidification Processes
Part III, Section 7 - Waste Treatment Methods and
Efficiency
Range of Influent Concentration
1 = Greater than 1 percent
2 = 100 parts per million (0.01 percent) to 1 percent
(10,000 parts per million)
3=1 part per million to 100 parts per million
4 = 1 part per billion to 1 part per million
5 = Less than 1 part per billion
[tyote: Parts per million (ppm) is milligrams/kilogram (mass/
mass) for solids and liquids; cubic centimeters/cubic meter
(volume/volume) for gases; milligrams/liter for solutions or
dispersions of the chemical in water; and milligrams of chemi-
cal/kilogram of airforparticipates in air. If you have paniculate
concentrations (at standard temperature and pressure) as
grains/cubic foot of air, multiply by 1766.6 to convert to parts
per million; if in milligrams/cubic meters, multiply by 0.773 to
obtain parts per million. Factors are for standard conditions of
0°C (32°F) and 760 mmHg atmospheric pressure.]
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Page B-3
Part III, Section 8 - Optional Information on Waste
Minimization
Type of Modification
M1 - Recycling/Reuse On-Site
M2- Recycling/Reuse Off-Site
M3 - Equipment/Technology Modifications
M4 - Process Procedure Modifications
M5 - Reformulation/Redesign of Product
M6 - Substitution of Raw Materials
M7 - Improved Housekeeping, Training, Inventory Control
M8 - Other Waste Minimization Technique
Reason for Action
R1 - Regulatory Requirement for the Waste
R2 - Reduction of Treatment/Disposal Costs
R3 - Other Process Cost Reduction
R4 - Discontinuation of Product
R5 - Other (e.g., occupational safety concerns, etc.)
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Page C-1
APPENDIX C
EXAMPLE OF HOW A HYPOTHETICAL FACILITY PREPARED
SECTION 313 REPORTING FORM R
The following is a hypothetical example of how one manufac-
turer might complete the toxic chemical release inventory
reporting Form R. The facility information is purely fictitious
and does not represent any known manufacturing facility. The
example begins with descriptions of the facility (a lead-acid
storage battery manufacturer) and of the production process
at the facility. The completion of each section of Form R is
explained and a copy of Form R, as it would be completed by
this facility, follows.
acid separately. Similarly, releases of lead and lead com-
pounds from the remotely located lead smelter must be
reported separately, if manufactured, processed, or otherwise
used in amounts that exceed the thresholds.
Facility Description
The company manufactures lead-acid batteries at a plant in
New Mexico. The company also operates a lead smelter that
produces lead ingots at another location in New Mexico and
ships them to the battery plant. Lead scrap from the battery
plant is returned to the smelter for recovery and reuse.
The SIC code of the battery plant is 3691 (storage batteries);
the SIC code for the smelter is 3341 (secondary smelting and
refining of non-ferrous metals). A lead oxide production plant
located adjacent to the battery plant, on the same property,
also falls under SIC code 3691.
The lead oxide plant and the battery plant are considered, for
the purposes of section 313 reporting requirements, to be a
single facility. The facility is required to submit a completed
Form R for each reported chemical or chemical category.
Because activities at the facility involve both metallic lead and
lead compounds (e.g., lead oxide), you may file a single
reporting form for metallic lead (CAS number 7439-92-1) and
a single form for lead compounds manufactured, processed,
or otherwise used at your facility. Alternatively, and prefera-
bly, you may file one reporting form for all lead compounds (a
single listed category under section 313) present at your
facility, including metallic lead. In this example, metallic lead
and all lead compounds are reported on a single reporting
form.
Lead-add batteries are produced using lead, sulfuric acid,
additives such as antimony, and various other raw materials.
Your facility's battery production capacity is 5,000 batteries
per day, and the facility normally operates 24 hours per day,
300 days per year.
tt sulfuric acid was manufactured, processed, or otherwise
used at the battery plant in amounts that exceed the applicable
thresholds, you would be required to report releases of sulfuric
Process Description
A lead-acid battery consists of electrolytic cells, each contain-
ing an anode of porous lead, a cathode of primarily lead
peroxide (PbO2), and electrodes of metallic lead. The anode
and cathode are separated by non-conducting material (e.g.,
plastic) and surrounded by an electrolytic (conductive) solu-
tion of sulfuric acid and water.
The first steps in the battery manufacturing process are grid
casting and lead oxide (PbO) production. Lead ingots are
melted and reformed into the grids which are trimmed. Lead
fumes from the lead melting and grid casting process are
exhausted to the atmosphere without emission controls. No
wastewater is produced.
The cast grids are made into battery anode and cathode plates
by the application of a lead oxide paste of 70 percent lead
oxide (PbO) and 30 percent metallic lead. Lead ingots are
tumbled in a ball mill with air producing lead oxide and fine lead
dust (referred to as leady oxide"). Leady oxide particulates
are entrained in the mill exhaust air, which is treated sequen-
tially by a cyclone separator and fabric filter. The used fabric
filter bags are shipped to a RCRA-permitted commercially
operated hazardous waste landfill located in Colorado. The
leady oxide production process does not produce wastewater.
The leady oxide is mixed with metallic lead, water, sulfuric
acid, and additives in a paste mixer to form lead oxide paste.
Lead and lead oxide dust are emitted from the mixer during
charging of the dry materials and during wet mixing. The mixer
is ventedto afabric filter during charging andto a wet scrubber
during wet mixing. The fabric filter and wet scrubber both vent
to the same stack. Wastewater produced from the wet scrub-
ber blowdown is treated on-site. Solids collected in a scrubber
sump are returned to the off-site smelter for recovery and
reuse. Solids collected in an evaporation pond are not
recovered. Mixing equipment washdown water is treated in a
multi-stage settler and entirely reused in the paste mixing
process. Sludge collected in the settler is recycled.
Small amounts of particulates are released to the atmosphere
during paste application. These emissions are not ducted to
a stack or controlled.
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Page C-2
The plates are dried and cured under controlled temperature
and humidity conditions producing no wastewater or particu-
late emissions. Cured plates are sent to a three-process
operation that involves manual separation of the plates, stack-
ing them with non-conducting separators, and the welding on
of metallic lead battery leads (pronounced "leeds") and lead
terminals. The plates are then assembled into battery cases.
Particulate emissions of battery paste result from the manual
separation, stacking, and handling of the battery plates. Lead
fumes are emitted from the burning process. Exhaust gases
from the three-process operation are treated by a fabric filter,
and the collected particulates are returned to the smelter for
recovery and reuse. The three-process operation produces
no lead-containing wastewater, since only non-contact cooling
water is used in the burning process. [Note: Even though lead
is contained in the cooling water used by the facility (in the form
of dissolved and suspended solids), you are not required to
report releases of lead discharged with the cooling water
because the lead is naturally occurring in the intake water and
not added during the battery production process.]
Sulfuric acid is added to the assembled batteries and the
plates are formed within the batteries by applying electric
voltage. The formation process oxidizes the lead oxide in the
positive plates to lead peroxide and reduces the lead oxide in
the negative plates to metallic lead. The charging process
produces an acid mist that contains small amounts of lead
paniculate, which is released without emission controls.
Acid used in the formation process is removed from the
batteries and reused. The batteries are washed, fresh acid is
added, and the batteries are tested, re-washed, and inspected
before being shipped to an on-site warehouse. The interme-
diate and final washes generate process wastewater, as do
the battery repair and housekeeping (floor washing) opera-
tions. This wastewater is pretreated on-site and then piped to
the local publicly owned treatment works (POTW).
Determining Reporting Requirements Under
Section 313
To determine whether you are required to report under section
313, you must ascertain whetherthe total quantity of any listed
chemical or chemical compound manufactured, processed, or
otherwise used at your facility over the course of the calendar
year exceeds any applicable threshold. For the facility de-
scribed above, determination of reporting requirement would
proceed as follows. [Note: In determining eligibility, you will
generate information you need to complete several portions of
the form.]
Both lead (CAS number 7439-92-1) and lead compounds (a
chemical category) are listed substances subject to reporting
under section 313. You have decided that if any of the
applicable thresholds are exceeded, you will report releases of
both lead and lead compounds on the same reporting form
under the listed chemical category "lead compounds." "Lead
compounds" should be entered in Part III, Section 1.3, of the
form. The CAS number for lead should riot be entered,
because that would imply that you are reporting only for lead.
You should enter not applicable, MA, in the CAS number
space.
According to the process description, the following activities
take place at your facility involving lead and lead compounds:
O Your facility manufactures (produces) lead oxide (PbO)
for on-site use/processing, which occurs in the production
of lead oxide from metallic lead.
O Your facility processes metallic lead (Pb) as a reactant
during lead oxide production.
O Your facility also processes metallic lead as an article
component. This activity occurs at several points in the
process, including during the addition of lead to the
battery paste and the welding of metallic lead terminals
and leads in the three-process operation.
O Your facility processes lead oxide as a reactant in the
formation process, where the lead oxide in the positive
battery plates is oxidized to lead peroxide.
O Your facility manufactures (produces) lead peroxide. This
activity also occurs in the formation process, where lead
oxide is oxidized to lead peroxide.
You must indicate all of the activities involving lead and lead
compounds on Part III, Section 3, of the reporting form. (The
attached completed form shows how information for this
facility has been entered.)
Determining Reporting Eligibility. The manufacturing thresh-
old quantity for the 1990 reporting year is 25,000 pounds; the
threshold for processing is also 25,000 pounds. Your facility
engages in both manufacturing and process activities in its
production of 1,500,000 batteries per year. Each battery con-
tains 25 pounds of lead, half of which is in the form of metallic
lead (anode) and half in the form of lead peroxide (cathode).
The total amount of lead compounds manufactured during the
reporting year is the 18,750,000 pounds of lead peroxide,
which exceeds the threshold for manufacturing. Similarly, the
amounts of lead processed as an article component (18,750,000
pounds) and of lead compounds processed (18,750,000 pounds)
each exceed the threshold for processing. [Note: These
amounts are not combined before being compared to the
processing threshold, because both lead and lead compou nds
are separately listed chemicals.] For sequential processes,
use the amount of the final process material to determine
whether the threshold is exceeded.
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Page C-3
Since your facility employs more than 10 people and falls
within SIC codes 20-39, your facility must report under section
313. [Note: Once any of the applicable thresholds for lead
compounds are exceeded, you are required to identify all
manufacturing, processing, and otherwise use activities. You
must report all releases of all lead compounds present at your
facility, regardless of the activity from which they originate
unless there is a specifically exempted use, such as the use of
an article or use of intake water naturally containing lead.]
Calculating the Maximum Quantity of Lead and Lead
Compounds. To calculate the maximum amount of lead and
lead compounds present at your facility at any one time, you
must consider ajl types of metallic lead and all types of lead
compounds present at your facility, including stockpiled raw
materials, lead and lead oxide present in process equipment,
the metallic lead and lead peroxide contained in finished
batteries stored on-site, and stockpiled lead scrap. Since the
reporting form is being prepared for lead compounds, the
maximum amount reported is the total of the inventories of
these materials. The maximum amount of metallic lead
(2,305,000 pounds), lead oxide (205,000 pounds), and lead
peroxide (625,000 pounds) present at yourf acility is 3.135,000
pounds, which is between 1,000,000 and 9,999,999 pounds.
You would therefore report range 06 on Part III, Section 4, of
the reporting form.
Calculation of Releases of Lead
Releases to Air. In April 1990, you conducted stack tests to
determine air releases from the battery facility. The release
data provided baseline data for a proposed 1991 air emission
reduction program. The tests were performed using EPA
Reference Method 12, which determines exhaust concentra-
tions as total elemental lead, and EPA Reference Methods 1-
4, which determine total exhaust volumes. Releases from all
stacks and vents at the facility were measured, including those
from the following release points:
O Grid casting furnace and casting machine;
O Lead oxide mill fabric fitter exhaust;
O Paste mixer wet scrubber exhaust;
O Paste mixer fabric filler exhaust; and
O Three process fabric filter exhaust.
Non-point (fugitive) air releases of lead, such as from the
battery formation, grid paste application, and fabric filter dust
handling areas were not measured as part of the stack testing
program but have been estimated by the facility's engineering
department to be less than 100 pounds per year. Measure-
ments of the inlet lead concentrations to the wet scrubber or
fabric filters were not performed. The process conditions
(e.g., temperature, exhaust rate) of the grid casting furnace
were changed significantly in June 1990 in response to the
stack test results. Current lead releases are estimated by the
engineering department to be 75 percent of those measured
during the stack test.
The total releases to air from the facility must be entered in
Part III, Section 5 of Form R in pounds per year. The stack test
results provide the concentration of metallic lead in each
exhaust stream in grains per cubic foot and the exhaust rate in
cubic feet per minute. Using the appropriate conversion
factors, knowing the scrubber efficiency (from the manufac-
turer's data), and assuming yourfacility operates 24 hours per
day, 300 days per year, you can calculate the total lead
releases from the stack test data. Because point (stack)
releases of lead are 2,400 pounds per year, which is greater
than the 999 pounds per year ranges in column A.1, you must
enter the actual calculated amount in column A.2 of Section
5.2.
Non-point (fugitive) air releases are 100 pounds per year
(which is less than 999 pounds per year), so you may either
enter the actual calculated amount in column A.2, or enter the
appropriate range (11-499 pounds per year) in column A.1.
The basis for the estimate of fugitive emissions, entered in
column B of Section 5, is engineering calculations (code O).
The basis for the estimate of stack emissions, entered in
column B of Section 5, is monitoring data (code M). Although
engineering calculations were used to estimate releases from
the grid casting process, actual emissions test data were used
to calculate more than 50 percent of the total stack emissions,
so code M is appropriate.
Releases to Water. The only release of lead to a receiving
stream or water body comes from stormwater. Lead ingots
shipped from the off-site smelter are stored on a concrete pad
in an open area at your facility. Lead dust is entrained in the
stormwater runoff from the ingot storage area. You have
monitoring data concerning the concentration of lead in storm-
water releases from the facility property. Therefore, using
precipitation volumes and run-off coefficients appropriate to
the site, you are able to estimate that the releases of lead
compounds to the nearby stream total 6.2 pounds per year.
Since the total quantity of lead released is less than 999
pounds per year, you may enter the actual amount calculated
in column A.2 of Section 5.3.1 a, or mark the applicable range
(1-10 pounds per year) in column A.1, as is shown in the
sample. Your facility has no process discharges to surface
waters except stormwater. You must therefore report in Part
III, Section 5.3.1 c, that 100 percent of the lead released from
your facility to surface water is from stormwater. The basis for
the estimate of stormwater emissions, entered in column B of
Section 5.3.1, is monitoring data (code M). The letter for the
receiving stream or water body you designated in Part I,
Section 3.10 must be entered to the box.
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Page C-4
piped to an on-site surface impoundment and evaporated
after treatment by a single-stage separator (settling tank) and
pH adjustment for chemical precipitation. Wastewater from
other process areas is treated in the wastewater pretreatment
system and piped to the POTW. The following sections on
Releases to Land and Discharge to POTW illustrate report-
ing of these wastes.
Releases to Underground Injection. Your facility performs
no underground injection and therefore has no Underground
Injection Well Code identification number. Not applicable, NA,
should be entered in Part I, Section 3.11 and in column A.2 of
Part III, Section 5.4.
Releases to Land. Wastewater from the grid paste mixing
scrubber is discharged to a surface impoundment and evapo-
rated. Although your facility historically has removed lead
sludge from the surface impoundment each year, this has not
been done for the past two years, as process changes have
caused the sludge to accumulate more slowly than in previous
years. Therefore, the impoundment must be considered an
on-site land disposal unit, and releases to the impoundment
must be reported In Part III, Section 5.5.1, of the form, and not
in Part III, Section 5.3.
The facility wastewater monitoring program does not deter-
mine the concentration of lead and lead compounds in the
scrubber discharge water, and releases to the surface im-
poundment (releases to land) must be calculated using mate-
rial balance information. These releases to land are deter-
mined from the amount of lead removed by the scrubber
(using the efficiency data provided by the scrubber manufac-
turer). The volume of the scrubber blowdown is found to be
1.500 pounds per year. Enter the estimate of the amount of
lead and lead compounds released to surface impoundments
in the space provided in Part III, Section 5.5.3 of the form.
Because releases of lead to the surface impoundment are
greater than 999 pounds per year, you must enter the actual
calculated amount in column A.2 of Section 5.5.1. The basis
for the estimate of releases to the surface impoundment,
entered in column B of Section 5, is mass balance calculations
(codeC).
Calculation of Lead Transfers to Off-Site Locations
Discharge to POTW. Wastewater from battery wash and
battery repair operations at the plant is discharged to the local
POTW. The discharge monitoring data collected by the plant
provide the concentration of metallic lead in each wastewater
stream discharged to the POTW in milligrams/liter and the flow
rate in liters per minute. Your facility also monitors the inlet
concentration to the on-site wastewater treatment system to
determine the treatment system efficiency. You are required
to report releases or release ranges in pounds per year.
Assuming your facility operates 24 hours a day, 300 days a
year, using appropriate conversion factors and the monitoring
data (i.e., lead concentrations and wastewater volumes), the
release is calculated to be 11 pounds per year. The total
releases to the POTW from the facility must be entered in Part
III, Section 6.1, of the form. Because the releases of lead are
less than 999 pounds per year, you may mark the appropriate
range in column A.1 or enter the actual calculated amount in
column A.2 of Section 6.1.1. You must report information
concerning the multi-stage settler, single-stage settler, and pH
adjustment (chemical precipitation) on Part III, Section 7, of
the form, as these systems constitute wastewater treatment
systems. You must also enter the name of the POTW in Part
II. Section 1.1.
Transfers to Other Off-Site Locations. Your facility returns
the lead paniculate collected by the fabric filters to the off-site
smelter for recovery and reuse. You are not required to report
releases of listed substances to off-site recovery facilities;
therefore, no information concerning the off-site smelter should
be entered in Part III, Section 6 of Form R.
Your facility discharges used fabric filter bags contaminated
with lead paniculate to a commercial RCRA landfill located in
Colorado. The RCRA I.D. number for the off-site facility is
COD554698764. The plant engineering department esti-
mates that the annual shipment of fabric filter bags contain
less than 500 pounds of lead. You may, therefore, report the
release as a range in column A.1 of Section 6.2.1. The basis
for the estimate of solid waste emissions, entered in column B
of Section 6.2.1, is engineering calculations (code O), and the
location and RCRA I.D. number of the commercial landfill is
entered in Part II, Section 2.1, of the reporting form.
Estimation of Treatment System Efficiencies and
Influent Concentrations
Information on the types of treatment systems and their
treatment efficiencies is required to be entered in Part III,
Section 7, of the reporting form. For air emission treatment
systems, use code A; for wastewater treatment systems use,
code W; and for solid waste treatment systems, use code S in
column 1 of Section 7. Appendix B of the instructions for Form
R provides treatment codes to be entered in column B of
Section 7.
Air Treatment Systems. Fabric filters and cyclone collectors
are considered to be mechanical separation systems; the
treatment code for these systems is A06. The treatment code
for wet scrubbers is A03. Information on each air treatment
system must be entered individually in Section 7. The cyclone
collector and fabric filter on the lead oxide mill exhaust are
sequential treatment systems, because they treat the same
wastestream in sequence. Therefore, sequential treatment
must be indicated for both systems in column D of Section 7.
You are required to indicate the influent concentration only to
-------
Page C-5
the first step of the sequential treatment system (the cyclone
collector) and must report the overall treatment efficiency of
the system on the line for the last treatment step (the fabric
filter). Note that the wet scrubber and fabric filter on the grid
paste mixer exhaust are not sequential treatment steps,
because each treats a different wastestream generated at
different times during the same process.
In Section 7, columns C and E you must indicate the range of
influent concentration and treatment efficiency, respectively,
for each treatment system listed. The facility must estimate
the efficiency and influent concentration of each air emission
treatment system, as the stack test program did not determine
influent concentrations. The facility has manufacturers' data
on the efficiency of each treatment system and should use this
information along with effluent concentration data to estimate
the influent concentrations. The efficiency estimates for air
treatment systems are not based on operating data; this must
be indicated in column F of Section 7.
Wastewater Treatment Systems. The POTW discharge
monitoring system provides actual operating data concerning
the removal efficiencies and influent and effluent concentra-
tions of all wastewater treatment systems at your facility,
except the single-stage settler. The pH adjustment (chemical
precipitation) and filtration steps used in the wastewater pre-
treatment system are considered to be sequential treatment
steps, as jre the single-stage settler, pH adjustment, and
evaporation (the surface impoundment) used to treat the grid
paste application discharge. The treatment code forchemical
precipitation (lime or sodium hydroxide) is C01, and the code
for filtration is P12.
The code for treatment of grid paste application washwater in
the multi-stage settler is P11 (settling/clarification), and the
code for process reuse of the wastewater is R99 (other
recovery/reuse). The code for evaporation of wastewater in
the surface impoundment is P99 (other physical treatment).
The overall treatment efficiencies forthe grid paste application
discharge and scrubber discharge are both 100 percent,
because the wastewater streams are completely eliminated
through evaporation and reuse respectively. Note that you do
not report the precipitation of lead in the surface impoundment
as "metals recovery," because you no longer remove the lead
sludge from the impoundment for reuse. This will be consid-
ered disposal to land for the 1,500 pounds of lead that were
sent to the surface impoundment.
Information on Waste Minimization. The facility formerly
shipped the lead-containing sludge from the multi-stage set-
tler used to treat the grid paste application wastewater to an
off-site disposal facility. In 1990, however, process modifica-
tions allowed the sludge to be returned to the off-site smelter
operated by the company for recovery and reuse, resulting in
significant cost-savings. The most significant saving is in the
cost of treating the sludge; the value of the recovered lead
represents a less significant saving. The amount of lead
formerly disposed of at the off-site facility is approximately 100
pounds per year; the same amount is now recovered by the
smelter. The code forthe type of modification is M2 (recovery
off-site) and that for the reason for action is R2 (reduction in
treatment/disposal cost). The index value of 1.0 is based on
the fact that production of batteries was approximately the
same in both years.
Completion of the Section 313 Reporting Form
As shown in the sample form that follows, the facility informa-
tion is entered in Part I of the reporting form. The reporting
year, Dun and Bradstreet Number, EPA Identification Number
and other required information have been entered. The
sample report contains no trade secret information and has
been completed for an entire covered facility, as previously
described. All non-applicable information on the form has
been marked NA. The vice president of the facility has been
briefed on the information contained in the report and has
signed the certification (Part I, Section 2). If separate reports
were being prepared for lead and lead compounds, the vice
president would have signed each reporting form. The com-
pleted form is now ready to be submitted to EPA and the
appropriate State agency. Copies are made for retention in
the facility's files along with all information concerning the
information sources and calculations used.
-------
Q Page C-6
(Important: Type or print; read instructions before completing form.)
Form Approved OMB No.: 2070-0093
Approval Expires :__PJ!if!
D
Page 1 of 5
^^
&FPA
^^ ^™* * "
U.S. Environmental Protection Afjency
TOXIC CHEMICAL RELEASE INVENTORY REPORTING FORM
Section 313 of the Emergency Planning and Community Wght-to-Know Act of 1986,
also known as Title III of the Superfund Amendments and Reauthorization Act
CDA
tKA
DART 1
r«rti ••
EAr»ll ITV
rAUILI 1 Y
IDENTIFICATION
INFORMATION
(This space for your optional use.)
with
Public reporting burden for this
- -• information is estimated to
to 34 hours per response,
an average of 32 hours per
lading time for reviewing
searching existing data
sources, gathering and maintaining the
data needed, and completing and
reviewing the collection of information.
Send comments regarding this burden
estimate or any other aspect of this
collection of information, including
suggestions for reducing this burden, to
Chief, Information Policy Branch
(PM-223), US EPA, 401 M St., SW,
Washington, D.C, 20460 Attn: TRI
Burden and to the Office of Information
and Regulatory Affairs, Office of
Management and Budget Paperwork
Reduction Project (2070-0093).
Washington. D.C. 20603.
1.
1 . 1 Are you claiming the chemical Identity on page 3 trade secret?
I I Yes (Answer question 1.2;
Attach substantiation forms. )
IX J No (Do not answer 1.2;
Go to question 1.3.)
"Yes" in 1 . 1 , is this copy:
I J Unsanitized
2. CERTIFICATION (Read and sign after completing all sections.)
I hereby certify that I have reviewed the attached documents and that, to the best of my knowtedge^flBI
complete and that the amounts and values in this report are accurate based on reasonable estimates usl
Name and official title of owner /operator or senior management official
M*. STANLEY
m.
1 .3 Reporting Year
itted information is true and
ble to the preparers of this report.
fci*cTs
Signature
3.1
Facility or Establishment Name
PlRJt- LŁ*hS.Ł*iC.. .
Street Address
105 4S
City
State
NM
County
Zip Code
TRI Facility Identification Number
felloe PB.XLVS!
WHERE TO SEND COMPLETED FORMS:
1. EPCRA REPORTING CENTER
P.O. BOX 23779
WASHINGTON, DC 20026-3779
ATTN: TOXIC CHEMICAL RELEASE INVENTORY
2. APPROPRIATE STATE OFFICE (See instructions
in Appendix G)
3.2
This report contains information for (Check only one):
An entire facility
r 1
b. I J Part of a
facility.
3.3
Technical Contact
Telephone Number (include area code)
3.4
Public Contact
Ms. SANJ>Y
Telephone Number (Include area code)
(sos)
3.5
SIC Code (4 digit)
a 3U9I
MA-
Latitude
Longitude
3.6
Degrees
35
_ie
Minutes
»o
Seconds
oo
Degrees
I0o
3.7
Dun & Bradstreet Number (s)
a qi
NA
3.8
EPA Identification Number(s) (RCRAI.D, No.)
•
NA
3.9
NPDES Permit Number(s)
a
Receiving Streams or Water Bodies (enter one name per box)
. TtTintos
MA-
3.10
3.11
Underground Injection Well Code (UIC) Identification Number(s)
M
4. PARENT COMPANY INFORMATION
4.1
Name of Parent Company
66QLA MOTOR
4.2
Parent Company' s Dun & Bradstreet Number
EPA Form 9350-1 (Rev.1-91) - Previous editions are obsolete.
-------
[]] Page C-7 r—
(Important: Type or print; read instructions before completing form.) Paae 2 Of 5
n (This space for your optional use.)
A CD A E"A FORM It
<* Cr7\ PART II. OFF-SITE LOCATIONS TO WHICH TOXIC
CHEMICALS ARE TRANSFERRED IN WASTES
1. PUBLICLY OWNED TREATMENT WORKS (POTWs)
1.1 POTW name
Street Address
soioo n-s. "fcou-Te kk
City County
State Zip
k\ kjl A.
1.2 POTW name
MA
Street Address
City County
*<Ł04*^
2. OTHER OFF-SITE LOCATIONS (DO NOT REPORT LOCATIONS TO WHICH ^KsWiM^MNT ONLY FOR RECYCLING OR REUSE).
2.1 Off-site location name
EPA Identification Number (RCRA ID. No.)
Street Address
\0600 COUNT^/ "fco u.re. ~IU»
City County
6»OLbEN JePRsRSO/V/
State Zip
C/0 B0305-I3II
Is location under control of reporting facility or parent company?
L J Yes IXJ N0
2.2 Off-site Ioc4(tonjl»me
NA V
EPA Identification Number (RCRA ID. No.)
Street Address
City County
State Zip
Is location under control of reporting facility or parent company?
I JYes I JNO
2.3 Off-site location name
2.4 Off-site location name
EPA Identification Number (RCRA ID. No.)
EPA identification Number (RCRA ID. No.)
Street Address
Street Address
City
County
City
County
State
Zip
State
Zip
Is location under control of reporting facility or parent company?
No
Is location under control of reporting facility or parent company?
[ Ives [ ]
No
2.5 Off-site location name
2.6 Off-site location name
EPA Identification Number (RCRA ID. No.
EPA Identification Number (RCRA ID. No.)
Street Address
Street Address
:ity
County
City
County
Zip
State
Zip
s location under control of reporting facility or parent company?
[ ]ves [ ]-
Is location under control of reporting facility or parent company?
[ ]Yes [ ]
No
]
Check if additional pages of Part II are attached. How many?
EPA Form 9350-1 (Rev.1-91) - Previous editions are obsolete.
-------
LJ Pag« C-8
(Important: Type or print; read instructions before completing form.)
D
Page 3 of 5
__. ___.. D
EP FORM "»
PART III. CHEMICAL-SPECIFIC INFORMATION
(This space for your optional use.
CHEMICAL IDENTITY(Do not complete this section if you complete Section 2.)
[Reserved]
1.2
CAS Number (Enter only one number exactly as tt appears on the 313 list. Enter NA if reporting a chemica category )
NA
1.3
Chemical or Chemical Category Name (Enter only one name exactly as it appears on the 313 list )
LEA-b COMPOUNDS
1.4
Generic Chemical Name (Complete only if Part , Section 1 . 1 is checked "Yes. "
name must be structurally descr pt ve. )
2.
Generic Chemical Name Provided by Supplier (Limit the name to a maximum of 70 characters (e^.
. spaces, punctuation).
3. ACTIVITIES AND USES OF THE CHEMICAL AT THE FACILITY (Check all that apply
3.1
Manufacture the
chemical:
a. f\ Produce
b. [ J Import
If produce or import:
MFor on-site
use/processing
e.[ J As a byproduct
] For sale/
d. J distribution
f . J As an impurity
3.2
Process the
chemical:
reactant
a. L/VJ As a reactant
d.[ J Repackaging only
b f 1 As a formulation
b.|. J component
As an article
c.LAJ component
3.3
Otherwise use
the chemical:
f 1 As a chemical
J processing aid
f 1
.l J
1
As a manufacturing aid c. J Ancillary or other use
4. MAXIMUM AMOUNT OF THE CHEMICAL ON-SITE AT ANY TIME DURING THE CALENDAR YEAR
5. RELEASES OF THE CHEMICAL TO THE ENVIRONMENT ON-SITE
You may report releases of less than
1 .000 pounds by checking ranges under A.1 .
(Do not use both A.1 and A. 2)
5.1 Fugitive or non-point air emissions
5.2 Stack or point air emissions
5.3 Discharges to receiving A
streams or water bodies 5-3-1 LQ.
(Enter letter code from Part I
Section 3.10 for stream(s) in 532
the box provided.)
5.3.3
5.4 Underground injection
5.5 Releases to land
5.5.1 On-site landfill
5.5.2 Land treatment /application farming
5 5.3 Surface impoundment
5.5.« Other disposal
5.1a
5.2a
5.3.1a
5.3.2a
5.3.3a
5.4a
5.5.1a
5.5.2a
5.5.3a
5.5.4a
A. Total Release
(pounds/year)
A.1
Reporting Ranges
1-10 11-499 500-999
[ ] [*] [ ]
A. 2
Enter
Estimate
2,40O
NA.
NA
NA
1,500
MA
(Check if additional information is provided on Part IV-Supplemental information.
EPA Form 9350-1 (Rev.1-91) - Previous editions are obsolete.
-------
L-1 Paga C-9
(Important: Type or print; read instructions before completing form.)
Page 4 of 5
EPA FORIVlR
PART III. CHEMICAL-SPECIFIC INFORMATION
(continued)
(This space for your optional use.
6. TRANSFERS OF THE CHEMICAL IN WASTE TO OFF-SITE LOCATIONS
You may report transfers
of less than 1,000 pounds by
checking ranges under A.1. (Do
not use both A.1 and A.2)
Discharge to POTW .
(enter location number I ,
6.1.1 from Part II, Section 1.) | '
Other off-site location
WLIIWI UK—aiio iwwaumi |^_—• >^^~.
c n > (enter location number I - I i
6.2.1 from Part II, Section 2.) I z |.| I
A. Total Transfers
(pounds/yr)
A.I
Reporting Ranges
1-10
11-499 500-999
[ ] [X] [ ]
[ ] [*] [ ]
A.2
Enter
Estimate
B. Basis of Estimate
(enter code
C.Type of Treatment/
Disposal
(enter code)
6.Mb
6.
Other off-site location
_ _ „ (enter location number
6.2.2 from Part II, Section 2.)
Other off-site location
(enter location number
623 from Part II, Section 2.)
N»V
6.2.3b
[ ] (Check if additional information is provided on Part IV-Supplementai Information.)
7. WASTE TREATMENT METHODS AND EFFICIENCY
1 Not Applicable (NA| - Check if no on-site treatment is applied to any waste stream containing the chemical or chemical
J category
A. General
Wastestream
(enter code)
B. Treatment
Method
(enter code)
C. Range of
Influent
Concentration
(enter code)
D. Sequential
Treatment?
(check if
applicable)
E. Treatment
Efficiency
Estimate
F. Based on
Operating
Data?
Yes No
7.ia
7.1b
7.1c
7.1d
[x]
7.1f
7.2a
a
7.2b
7.2c
7.2d
[X]
7.2e (\C\
72f [ I IX]
7.3a
7.3b
7.3c
7.3d
I ]
7.3e
73f [ 3 [if]
7.4a
7.4b
7.4c
7.4d
[ 3
7.4e
7.4,
[ ] [J(]
7.5a
7.5b
7.5c
7.5d
[ I
7.5e
%
75f [ 1 [X]
7.6a
7.6b
7.6c
7.6d
[XJ
7.6e
7.6f
7.7a
w
7.7b
7.7c
D
7.7d
[*]
7.7e
7.7f
7.8a
7.8b
7.Be
D
7.8d
[X]
7.8e
voo
7-Bf
7.9a
wl
7.9b
7.9c
7.9d
[X]
7.9e
7.9f
7.10a
7.10b
7.10C
7.10d
710e IOO
710f
(Check if additional Information is provided on Part IV-Supplemental Information.)
8. POLLUTION PREVENTION: OPTIONAL INFORMATION ON WASTE MINIMIZATION
(Indicate actions taken to reduce the amount of the chemical being released from the facility. See the instructions for coded
items and an explanation of what Information to include.)
A. Type of
Modification
(enter code)
B. Quantity of the Chemical in Wastes
Prior to Treatment or Disposal
C. Index
D. Reason for Action
(enter code)
Current Prior
reporting year
year (pounds/year)
(pounds/year)
101,606
Or percent change
(Check (+) or (-))
D +
D-
EPA Form 9350-1 (Rev.1-91) - Previous editions are obsolete.
-------
D
Page C-10
(Important: Type or print; read instructions before completing form.)
Page 5 of 5
A EPA
PART IV.
EPA FORM R
SUPPLEMENTAL INFORMATION
Use this section if you need additional space for answers to questions in Part III.
Number the lines used sequentially from lines in prior sections (e.g., 5.3.4, 6.1.2, 7.11)
(This space for your optional use.
ADDITIONAL INFORMATION ON RELEASES OF THE CHEMICAL TO THE ENVIRONMENT ON-SITE
(Part III, Section 5.3)
You may report releases of less than
1.000 pounds by checking ranges under A.I.
(Do not use both A.1 and A.2)
A. Total Release
(pounds/yr)
A.I
Reporting Ranges
1-10 11-499 500-999
B. Basis of
Estimate
(enter code
in box
provided)
C.% From
Stormwater
5.3 Discharges to
receiving streams or
water bodies 5.3.
(Enter letter code from Part I
Section 3.10 for stream(s) in c 3
the box provided.) • •
5.3.
D
5.3 a
ADDITIONAL INFORMATION ON TRANSFERS OF THE CHEMICAL IN WASTE TO OFF-SITE LOCATIONS
(Part III, Section 6)
You may report transfers
of less than 1,000 pounds by checking
ranges under A.1. (Do not use
both A.1 and A.2)
6.1.
Discharge to POTW
(enter location number
. from Part II, Section 1.)
6.2.
Other off-site location
(enter location number
- from Part II, Section 2.)
A.Total Transfers
(pounds/yr)
A.1
Reporting Ranges
!_10 11-499 500-999
[ I [ ] [ 3
[ I [ ] I 1
A.2
Enter
Estimate
B. Basis of
Estimate
(enter code
in box
provided)
Z. Type of Treatment,
Disposal
(enter code
in box
provided)
6.1.
6.2.
6 2
Other off-site location
(enter location number
from Part il. Section 2.)
6.2.
6.2.
Other off-site location i
(enter location number y
- from Part II, Section 2.)
6.2.
ADDITIONAL INFORMATION ON WASTE TREATMENT METHODS AND EFFICIENCY (Part III, Section 7)
A. General
Wastestream
(enter code
in box provided)
B. Treatment
Method
(enter code
in box provided)
C. Range of
Influent
Concentration
(enter code)
D. Sequential
Treatment?
(check if
applicable)
E. Treatment
Efficiency
Estimate
F. Based on
Operating
Data?
Yes No
7 U
a
7 il
7 II
WA,
][ ]
7 \1
7
7.
n
7.
-'MM
7. a
<[
7.
-'MM
7.
-'[ ][ 1
7.
D
7.
f[ ][ ]
7.
D
7.
-'MM
7. a
D
7.
7.
-«[
'[ ][ 1
EPA Form 9350-1 (Rev.1-91) - Previous editions are obsolete.
-------
D: Common Form R Errors
-------
Page D-1
APPENDIX D
MOST COMMON ERRORS FOUND ON PREVIOUSLY
SUBMITTED FORM R REPORTS
The most commonly made errors in complying with section 313 and filling out the Form R occu r in three areas: Form R entry errors,
threshold determination errors, and release estimation errors. These errors may prevent the entering of information from Form
Rs into the Toxic Release Inventory (TRI) database, or may result in overly large or small release estimates or omission of
reportabte releases of toxic chemicals. If a mistake is made on the Form R such that it is unable to be entered into the TRI
database, the facility owner/operator will be issued a Notice of Noncompliance by EPA. The notice will indicate that the Form
R cannot be input into the TRI database and that changes must be made by a certain date and submitted to EPA or further
enforcement actions will be taken.
For data entry errors, including missing pieces of information or suspect data (e.g, missing certification signature, non-numeric
SIC codes), the facility owner/operator will be issued a Notice of Technical Error by EPA. This notice will explain EPA's questions
and will require that the corrections be returned to EPA by a certain date.
If EPA determines that a Form R should have been submitted or that it is likely a threshold determination was incorrectly
calculated (e.g., by examining Form Rs submitted by otherfacilities in the same industry) then EPA will take an enforcement action
against the facility, which may involve an inspection and the subsequent assessment of fines.
Discussed below are commonly made errors made by facility owners and operators when completing Form Rs and the
corresponding notices and enforcement actions that may result from these errors.
Form R Completion Errors
O Invalid chemical identification on page three. The
CAS number and the chemical name reported on page
three must exactly match the listed section 313 CAS
number and chemical name. CAS numbers are chemical-
specific and, therefore, chemical categories should not be
reported with a CAS number. A generic chemical name
should only be provided if you are claiming the section 313
chemical identity as a trade secret. Chemical names and
CAS numbers should be taken directly from the section
313 toxic chemical list. Mixture names are to be entered
in Part III Section 1.4 if that is the sole identification.
Mixture names that include the name or CAS number of
one or more section 313 chemical(s) are not valid. Failure
to correctly enter the chemical identification information
will result in a Notice of Technical Error.
O Missing certification signature. An original certification
signature must appear on page one of every Form R
submitted to EPA. Failure to provide an original certifica-
tion signature will result in a Notice of Technical Error.
O Incomplete forms. A complete Form R report for any
toxic chemical or chemical category consists of at least
five pages stapled together. Page one and two may be
photocopied to complete each report only if all the infor-
mation on pages one and two is the same, and an original
certification signature is provided on each page one.
Sending in a package which contains only one page one,
one page two, but several page three's, four's and five's
will result in a Notice of Noncompliance.
O Maximum amount on-site left blank. In a surprising
number of Form R submissions, Part III Section 4 on page
three is left blank. Leaving this section blank will result in
a Notice of Technical Error.
O Missing or incorrect reporting year. The reporting year
is the calendar year during which the reported data were
collected: it is not the year in which the Form R is sent to
EPA. Form R's are due to EPA on July 1, 1991 for
chemicals manufactured, processed, or otherwise used
during reporting year 1990. A Form R cannot contain data
for more than one year. "1989/1990" is not correct. Part
I Section 1.3 must not be left blank; this error will result in
a Notice of Noncompliance.
O "Questionable" entries, such as:
- Missing or incorrect ZIP codes;
- Missing county names;
- Non-numeric SIC codes;
- Non-numeric or invalid Dun and Bradstreet
numbers;
- Incomplete off-site and POTW information (e.g.,
missing ZIP codes)
- Amounts reported in units otherthan pounds (e.g.,
metric) or use of exponential numbers.
Incorrect entries such as these may result in a Notice
of Technical Error.
-------
Page D-2
O Incorrect latitude and longitude coordinates. Latitude
and longitude coordinates are important data on the Form
R. These coordinates must be determined using the
correct map and correct measuring techniques and re-
ported in degress, minutes, and seconds. For additional
guidance, see Appendix F of the Reporting Form R and
Instructions document. Missing, suspect, or incorrect
latitude or longitude coordinates will result in a Notice of
Technical Error.
O Incorrect completion of trade secret information. The
response to trade secret questions on Part I and Part III
of a Form R must be consistent. If trade secrecy is
indicated, a sanitized Form R and two trade secret sub-
stantiations must be submitted in the same package as
the trade secret Form R. Failure to provide complete
trade secret submissions will result in a Notice of Non-
compliance.
O Revisions not identified. Revisions to previously sub-
mitted data may be provided to EPA by making correc-
tions in red ink on a copy of the Form R originally
submitted; marking the copy with the words "VOLUN-
TARY REVISION' in the space marked "THIS SPACE
FOR YOUR OPTIONAL USE' on page one; providing an
original signature; and sending it to the Title III Reporting
Center. You must also send a copy of the revision to the
State organization. Failure to clearly identify a revision
may result in EPA entering it into the database as a new
submission resulting in the appearance of increased
emissions from the facility. Revisions to data submitted
using magnetic media must be made on hardcopy Form
Rs and should be submitted with a cover letter explaining
that the original data was submitted on magnetic media.
O Duplicate submissions not identified. Facilities some-
times send multiple copies of the same Form R to insure
that EPA received a copy. Duplicate submissions must
be identified by printing the word "DUPLICATE" in red ink
on page one in the box marked "THIS SPACE FOR YOUR
OPTIONAL USE." Failure to clearly identify a duplicate
report may result in the duplicate appearance of the data
in the database and the appearance of increased emis-
sions from the facility.
O Failure to report waste treatment Waste treatment
methods used to treat waste streams containing toxic
chemicals, and the efficiencies of these methods, must be
reported on Form R. Information must be entered for all
waste streams, even if the treatment does not affect the
toxic chemical. If no waste treatment is performed on the
toxic chemical, the box marked "Not Applicable' in Part III
section 7 must be checked on the Form R. Failure to do
so may result in a Notice of Noncompliahce.
O Incorrect reporting of waste treatment methods. The
waste treatment methods are each assigned a specific
code to be used when entering information onto Form R.
For example, the neutralization of an acidic waste stream
must be reported as "C11 "for neutralization and not "C99"
for other chemical treatment. Incorrect identification of
the waste treatment method may result in a Notice of
Noncompliance.
O Incorrect reporting of releases to water. Releases to
water occur as releases to an on-site receiving stream or
water body. The amount of toxic chemical released must
be entered in Part III section 5.3, the name of the receiving
stream or water body must be entered in Part I section
3.10, and any applicable NPDES permit numbers held by
the facility for this or any other discharges must be
entered in Part I section 3.9. A release to water must not
be entered in Part III section 6 as a transfer off-site.
Failure to report correctly a release to water will result in
a Notice of Technical Error.
O Reporting for dellsted chemicals. Form R reports for
delisted chemicals are not required. Such a submission
is a waste of a facility's time and effort.
O Documentation. Any information used to complete the
Form R must be clearly documented in facility records and
be available for viewing by EPA upon request. Failure to
provide proper documentation if requested by EPA may
result in an enforcement action. This documentation
should not be submitted with the Form R, but must be
maintained by the submitting facility with the related Form
R records.
Threshold Determination Errors
O Chemical activity overlooked. Many facilities believe
that because the section 313 reporting requirement pertains
only to manufacturing facilities only the use of toxic
chemicals in manufacturing processes must be examined.
Any activity involving the manufacture, process, or
otherwise use of a listed toxic chemical must be included
in a threshold determination. For example, waste treatment
operations otherwise use toxic chemicals to treat waste
streams and may coincidentally manufacture another
listed toxic chemical as a result of the treatment reaction.
Failure to correctly identify all uses of toxic chemicals at
your facility may result in the omission of a required Form
R and may lead to an enforcement action.
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Page D-3
O Misclassiflcatlon of a chemical activity. Failure to
correctly classify a chemical activity may result in an
incorrect threshold determination. As a result, a Form R
may not be submitted when one is required. "Manufacture"
means to produce, prepare, compound, or import a listed
toxic chemical. "Process* means the preparation of a
listed toxic chemical after its manufacture, which incorporates
the toxic chemical into the final product, for distribution in
commerce. "Otherwise use" encompasses any use of a
listed toxic chemical that does not fall under the terms
"manufacture" or "process." For example, solvents in
paint used to paint a manufactured product are often
misclassified as processed, instead of otherwise used.
Because the solvents are not intentionally incorporated
into the final product, the solvent is being otherwise used,
not processed. Failure to submit a Form R due to an
incorrect threshold determination resulting from a
misclassification of a chemical activity may result in an
enforcement action.
O Incorrect interpretation of an exemption clause. Only
toxic chemicals meeting every condition of an exemption
clause may be omitted from the reporting requirements.
For additional guidance on the scope of the section 313
exemptions and specific examples, see the Toxic Chemi-
cal Release Inventory Questions and Answers document,
which includes "Directive #1: Article Exemption." For
example, only the processing or otherwise use of an
article is exempt. Incorrectly assuming the manufacture
of an article is exempt will result in incorrectly omitting
toxic chemicals which are required to be included in a
threshold determination. Failure to submit a Form R due
to an incorrect threshold determination resulting from the
incorrect interpretation of an exemption clause may result
in an enforcement action.
O Misinterpretation of the toxic chemical list. Each toxic
chemical subject to section 313 has a chemical-specific
Chemical Abstract Service (CAS) registry number, which
uniquely identifies a specific chemical. All information
available at the facility, such as MSDSs and the Common
Synonyms for Section 313 Chemicals document, must be
used to identify toxic chemicals being used. For example,
an MSDS may identify a chemical as hydrogen chloride
with no CAS number, which does not appear on the toxic
chemical list. However, another chemical information
source at your facility, such as the Common Synonyms
document or an MSDS from a different manufacturer,
may provide a CAS number which identifies that same
chemical as hydrochloric acid, a listed toxic chemical.
Failure to correctly identify a toxic chemical may result in
no Form R being filed, which, in turn, may lead to an
enforcement action.
O Failure to consider listed chemical qualifier. Aluminum,
vanadium, and zinc are qualified as "fume or dust."
Isopropyl alcohol and saccharin have manufacturing
qualifiers. Ammonium nitrate and ammonium sulfate are
qualified as solutions. Phosphorus is qualified as yellow
or white. Asbestos is qualified as friable. Aluminum oxide
is qualified as fibrous forms. Only chemicals meeting the
qualifiers require reporting under section 313 and should
be reported on Form R with the appropriate qualifier in
parentheses.
O Incorrectly reporting isopropyl alcohol. Isopropyl
alcohol is listed on the toxic chemical list with the qualifier
"manufacturing-strong acid process, no supplier notification."
The only facilities that should be reporting this toxic
chemical are those that manufacture isopropyl alcohol by
the strong acid process. If it is manufactured by any other
process, or simply processed or otherwise used, you are
not required to report it.
O Incorrectly interpreting threshold definition. Thresholds
f orsection 313 are based on the amount of toxicchemicals
manufactured, processed, orotherwise used atthe facility
over the course of a calendar year. The thresholds are
not based on the amount stored on-site at any one time or
the amount released to the environment. EPA checks
every Form R as it is entered into the database for
reasonableness of the numbers entered and compares
Form Rs with submissions for the same chemicals from
other facilities in the same industry. Any toxic chemical
that is reported that did not exceed a threshold will result
in a Notice of Noncompliance. Any toxic chemical that
was not reported due to an incorrect threshold determination
(i.e., based on the amount released), which should have
been reported, may result in an enforcement action.
O Documentation. Any information used to make a threshold
determination (e.g., purchasing records, storage and
inventory records) must be maintained and made available
to EPA upon request. Failure to provide proper
documentation if requested by EPA may result in an
enforcement action. This documentation should not be
submitted with the Form R, but must be maintained by the
facility with the related Form R records.
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Page D-4
Release Estimate Errors
O Reporting the transfer off-site of materials being sent
for recycling or reuse. Materials being sent off-site for
recycling or reuse are not considered a release under
section 313. Therefore, any toxic chemical sent off-site
for recycling or reuse must not be entered into Part III
section 6 as a transfer off-site for final disposal. Recycle
and reuse operations include sending spent solvents off-
site to be reclaimed, sending materials with a fuel value
off-site to be burned asfuel, orsending awaste containing
a toxic chemical for metals recovery. Entering amounts
being sent for recycle or reuse in Part III section 6 will
increase the overall releases reported by the facility and
may result in a Notice of Technical Error.
O Reporting zero air emissions of a VOC. Volatile
organic chemicals (VOCs) are substances which readily
evaporate at room temperature. As a result, when using
these toxic chemicals in an open tank, a painting or
degreasing operation, or similar open operations, air
emissions wiS occur. Only in special cases with completely
closed systems may a zero emission to air occur. Failure
to report air emissions when submitting a Form R for a
VOC may result in a Notice of Technical Error.
O Reporting discharges of mineral acids after
neutralization. When a mineral acid stream is neutralized
to a pH of 6 or above, the mineral acid is considered 100
percent neutralized. As a result, the release of the
discharge may be reported on Form R as zero acid
released. Reporting the amount of neutralized acid
discharged is overreporting and may result in a Notice of
Technical Error.
O Incorrectly identifying/reporting fugitive and stack
emissions. Fugitive and stack emissions must be reported
separately as releases to air in Part III section 5 of Form
R. Errors, such as reporting stack emissions as fugitive
emissions, can be identified by EPA by examining facility
information on other parts of the Form R. For example,
a toxic chemical is reported on a Form R as being in an air
stream treated by a scrubber with only 92 percent efficiency
in Part III section 7 of Form R. However, Section 5 of
Form R states the only release of the toxic chemical was
a fugitive emission. Because pollution control equipment,
such as a scrubber, have a defined airflow, releases from
such equipment are considered stack emissions. EPA
would identify the error which would result in a Notice of
Technical Error.
O Documentation. Any information used to make a release
estimate (e.g., equations, engineering judgement, published
emission factors, equipment or process specifications)
must be clearly documented in facility records and be
made available to EPA upon request. This documentation
should not be submitted with the Form R, but must be
maintained by the facility with the related Form R records.
Failure to provide proper documentation if requested by
EPA may result in an enforcement action.
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E: Supplier Notification
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Page E-1
APPENDIX E
SUPPLIER NOTIFICATION REQUIREMENTS
Because manufacturers reporting under section 313 must
know the toxic chemical composition of the products they use
to be able to accurately calculate releases, EPA requires some
suppliers of mixtures ortrade name products containing one or
more of the listed section 313 chemicals to notify theircustom-
ers. This requirement has been in effect since January 1,
1989.
This appendix explains which suppliers must notify their cus-
tomers, who must be notified, what form the notice must take,
and when it must be sent.
WHO MUST SUPPLY NOTIFICATION
You are covered by the section 313 supplier notification
requirements if you own or operate a facility which meets all
of the following criteria:
(1) Your facility is in Standard Industrial Classification (SIC)
codes 20-391 (see pages 35 to 40);
(2) You manufacture, import, or process a listed toxic
chemical; and
(3) You sell or otherwise distribute a mixture or trade name
product containing the toxic chemical to either:
Q A facility that must report under section 313; or
G A facility that then sells the same mixture or trade
name product to a firm in SIC codes 20-39.
Note that you may be covered by the supplier notification
rules even if you are not covered by the section 313
release reporting requirements. For example, even if you
have less than 10 full-time employees or do not manufacture
or process any of the chemicals in sufficient quantities to
trigger the release reporting requirements, you may still be
required to notify certain customers.
WHO MUST BE NOTIFIED
An example would be if you sold a lacquer containing toluene
to distributors who then sell the product to other manufactur-
ers. The distributors are not in SIC codes 20-39, but because
they sell the product to companies in SIC codes 20-39, they
must be notified so that they may pass the notice along to their
customers, as required.
The language of the supplier notification requirements covers
mixtures or trade name products that are sold or otherwise
distributed. The "otherwise distributes" language applies to
intra-company transfers. However, if the company has devel-
oped an internal communications procedure that alerts their
other facilities to the presence and content of covered toxic
chemicals in their products, then EPA would accept this.
Supplier notification is also required if a waste mixture contain-
ing a toxic chemical is sold to a recycling or recovery facility.
However, if the material is sent off-site as a waste for treat-
ment or disposal, then no supplier notification is required.
SUPPLIER NOTIFICATION MUST INCLUDE THE
FOLLOWING INFORMATION:
(1) A statement that the mixture or trade name product con-
tains atoxic chemical or chemicals subject to the reporting
requirements of EPCRA section 313 (40 CFR 372);
(2) The name of each toxic chemical and the associated
Chemical Abstracts Service (CAS) registry number of
each chemical if applicable. (CAS numbers are not used
for chemical categories, since they can represent several
individual chemicals.)
(3) The percentage, by weight, of each toxic chemical (or all
toxic chemicals within a listed category) contained in the
mixture or trade name product.
For example, if a mixture contains a chemical (i.e., 12 percent
zinc oxide) that is a memberof a reportable chemical category
(i.e., zinc compounds), the notification must include that the
mixture contains a zinc compound at 12 percent by weight.
Supplying only the weight percent of the parent metal (zinc)
does not fulfill the requirement. The customer must be told the
weight percent of the entire compound within a listed toxic
chemical category present in the mixture.
For each mixture or trade name product that contains a listed
toxic chemical, you will have to notify all customers in SIC
codes 20-39 or distributors who in turn sell that product to
facilities in SIC codes 20-39. Unless you know otherwise, you
should assume that the chain of distribution includes facilities
in SIC codes 20-39. (The notification is limited to SIC codes
20-39 facilities and their suppliers because only facilities in
those SIC codes are required to report releases under section
313.)
11f your company or facility distributes chemical products but does not fall into the covered SIC codes, you should be alert to the supplier notification
that may accompany MSDSs of the products you distribute. You should pass on such notices to your industrial customers unchanged.
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Page E-2
HOW THE NOTIFICATION MUST BE MADE
The required notification must be provided at least annually in
writing. Acceptable forms of notice are, for example, a letter,
product labeling, and product literature distributed to custom-
ers. If you are required to prepare and distribute a Material
Safety Data Sheet (MSDS) for the mixture under the Occupa-
tional Safety and Health Act (OSHA) Hazard Communication
Standard, your section 313 notification must be attached to
the MSDS or the MSDS must be modified to include the
required information. (A sample letter and recommended text
for inclusion in an MSDS appear on pages E-4 and E-5 of this
appendix.)
You must make it clear to your customers that any copies or
redistribution of the MSDS or other form of notification must
include the section 313 notice. In other words, your customers
should understand their requirement to include the section
313 notification if they give your MSDS to their customers.
WHEN NOTIFICATION MUST BE PROVIDED
In general, you must notify each customer receiving a mixture
or trade name product containing a listed toxic chemical with
the first shipment of each calendar year. You may send the
notice with subsequent shipments as well, but it is required
that you send it with the first shipment each year. Once
customers have been provided with an MSDS containing the
section 313 information, you may refer to the MSDS by a
written letter in subsequent years (as long as the MSDS is
current).
If EPA adds chemicals to the section 313 list, and your
products contain the newly listed toxic chemicals, notify your
customers with the first shipment made during the next
calendaryearfollowing EPA's final decision to add the chemi-
cal to the list For example, if EPA adds chemical ABC to the
list in September 1990, supplier notification for chemical ABC
would begin with the first shipment in 1991.
You must send a new or revised notice to your customers if
you:
(1) Change a mixture or trade name product by adding, re-
moving, or changing the percentage by weight of a listed
toxic chemical.
(2) Discover that your previous notification did not property
identify the toxic chemicals in the mixture or correctly
indicate the percentage by weight.
In these cases, you must:
O Supply a new or revised notification within 30 days of a
change in the product or the discovery of misidentif ied
toxic chemical(s) in the mixture or incorrect percentages
by weight; and
O Identify in the notification the prior shipments of the
mixture or product in that calendar year to which the new
notification applies (e.g., if the revised notification is made
in August, indicate how many shipments were affected
during the period January 1 - August).
WHEN NOTIFICATIONS ARE NOT REQUIRED
Supplier notification is not required for a "pure" toxic chemical
unless a trade name is used. The identity of the toxic chemical
will be known based on label information.
You are not required to make a "negative declaration." That is,
you are not required to indicate that a product contains no
section 313 toxic chemicals.
If your mixture ortrade name product contains one of the listed
toxic chemicals, you are not required to notify your customers
if:
(1) Your mixture or trade name product contains the toxic
chemical in percentages by weight of less than the
following levels (These are known as de minimis levels):
O 0.1 percent if the toxic chemical is defined as an
"OSHA carcinogen";
O 1 percent for other toxic chemicals.
De minimis levels for each toxic chemical and chemical
category are listed on pages 41-50.
(2) Your mixture or trade name product is one of the
following:
O An article that does not release a covered toxic chemi-
cal under normal conditions of processing or use.
O Foods, drugs, cosmetics, pesticides, alcoholic bever-
ages, tobacco, or tobacco products packaged for
distribution to the general public.
O Any consumer product, as the term is defined in the
Consumer Product Safety Act, packaged for distribu-
tion to the general public. For example, if you mix or
package one-gallon cans of paint designed for use by
the general public, notification is not required.
(3) Your mixture or trade name product is contained in a
waste being sent off-site for treatment or disposal.
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Page E-3
TRADE SECRETS
RECORDKEEPING REQUIREMENTS
Chemical suppliers may consider the chemical name or the
specific concentration of a section 313 toxic chemical in a
mixture or trade name product to be a trade secret. If you
consider the:
(1) Specific identity of a toxic chemical to be a trade secret,
the notice must contain a generic chemical name that is
descriptive of the structure of that toxic chemical. For
example, decabromodiphenyl oxide could be described
as a halogenated aromatic.
(2) Specific percentage by weight of a toxic chemical in the
mixture or trade name product to be a trade secret, your
notice must contain a statement that the toxic chemical is
present at a concentration that does not exceed a speci-
fied upper bound. For example, if a mixture contains 12
percent toluene and you consider the percentage a trade
secret, the notification may state that the mixture contains
toluene at no more than 15 percent by weight. The upper
bound value chosen must be no larger than necessary to
adequately protect the trade secret.
If you claim this information to be trade secret, you must have
documentation in your files that provides the basis for your
claim.
You are required to keep records for three years of the
following:
(1) Notifications sent to recipients;
(2) Explanations of why a notification was considered neces-
sary and all supporting materials used to develop the
notice;
(3) Explanations of why a specific chemical identity is consid-
ered a trade secret and the appropriateness of the ge-
neric chemical name provided in the notification; and
(4) Explanations of why a specific concentration is consid-
ered atrade secret and the basis forthe upper bound con-
centration limit.
This information must be readily available for inspection by
EPA.
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^ Page E-4
SAMPLE NOTIFICATION LETTER
January 2, 1991
Mr. Edward Burke
Furniture Company of Ruritania
1000 Main Street
Sellers, Ruritania
Dear Mr. Burke:
The purpose of this letter is to inform you that a product that we sell to you, Furniture Lacquer KXZ-
1390, contains 20 percent toluene (Chemical Abstracts Service (CAS) number 108-88-3) and 15
percent copper compounds. We are required to notify you of the presence of toluene and copper
compounds in the product under section 313 of the Emergency Planning and Community Right-to-
Know Act of 1986. This law requires certain manufacturers to report on annual emissions of specified
toxic chemicals and chemical categories.
If you are unsure if you are subject to the reporting requirements of Section 313, or need more
information, call the EPA Emergency Planning and Community Right-To-Know Information Hotline:
(800) 535-0202. Your other suppliers should also be notifying you if section 313 chemicals are in the
mixtures and trade name products they sell to you.
Please also note that if you repackage or otherwise redistribute this product to industrial customers,
a notice similar to this one should be sent to those customers.
Sincerely,
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Page E-5
SAMPLE NOTIFICATION ON AN MSDS
Section 313 Supplier Notification
This product contains the following toxic chemicals subject to the reporting requirements of section 313 of
the Emergency Planning and Community Right-To-Know Act of 1986 (40 CFR 372):
CAS#
Chemical Name
Percent by
Weight
108-88-3
NA
Toluene
Copper Compounds
20%
15%
This information should be included in all MSOSs that are copied and distributed for this material.
Material
Safety Data
Sheet
I I
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F: Latitude and Longitude
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Page F-1
APPENDIX F
HOW TO DETERMINE LATITUDE AND LONGITUDE FROM
TOPOGRAPHIC MAPS
Latitude and longitude coordinates of reporting facilities are
very important for pinpointing facility location and are a required
data element on Form R. As such, EPA is encouraging that
facilities make the best posstote measurements when determining
latitude and longitude. As with any other data element,
missing, suspect, or incorrect data may result in EPA issuing
a Notice of Technical Error to the facility.
Latitude is the distance north or south of the equator. Longitude
is the distance east or west of the prime meridian (Greenwich,
England). Latitude and longitude are measured in degrees,
minutes, and seconds.
60" (seconds) = 1' (minute)
60' (minutes) = 1 ° (degree)
The most important tool available for determining latitude and
longitude foryourfacility is the U.S. Geological Survey (USGS)
topographic quadrangle map. These maps are published in
varying degrees of detail. The most detailed version of the
topographic quadrangle map is in 7.5 x 7.5 minute increments
with a scale of 1:24000 (i.e., one inch on the map represents
2,000 feet). Detailed topographic quadrangle maps are also
available in 7.5 x 15 minute increments with a scale of 1:25000
(i.e., one inch on the map represents approximately four
miles). It is very important that latitude and longitude
measurements be made from the one of these detailed maps
described above. Otherwise, measurements will not accurately
reflect the location of your facility and could be identified as an
error on your Form R submission.
In orderto identify the detailed topographicquadrangle map in
which yourfacility is located, the USGS has published an index
and a catalog of topographic maps available for each state.
Both the index and the catalog are available in many libraries
or free of charge from the Distribution Branch of the USGS
(address on following page). The Index to Topographic and
Other Mao Coverage helps you to identify the most detailed
map in which your facility is located. To identify the most
detailed map, follow these simple steps on how to use the
index:
1. The beginning of each index contains a map of the state,
broken into numbered quadrangular sections. The num-
bered quadrangular sections are called general areas of
interest. Identify the numbered section in which your
facility is located.
2. The subsequent pages of the index contain detailed maps
of each general area of interest, in numerical order.
Identify the detailed map corresponding to the numbered
general area of interest identified in Step 1.
3. Within this detailed map, identify the smaller quadrangu-
lar area in which your facility is located. This smaller
quadrangular section is the specific area of interest.
Record first the letterthen the number coordinate for your
specific area of interest (e.g., E4).
4. Using the chart found on the same page as the detailed
map of the general area of interest, recordthe name of the
specific area of interest in which your facility is located,
identified by the letter and number coordinates (e.g.,
Richmond).
The name of the specific area of interest and its corresponding
letter and number coordinates identify the most detailed
topographic quadrangle map in which your facility is located.
To identify the map reference code and fife number necessary
to order this map, follow these simple steps for using the
Catalog of Topographic and Other Published Maps for the
state in which your facility is located:
5. The beginning of the catalog explains the meaning of the
reference code. On the pages following this explanation,
there are charts listed alphabetically by the name of the
specific area of interest with corresponding file numbers
and map reference codes. Using the name of the specific
area of interest recorded in Step 4, identify the file number
and map reference code from the chart for the map in
which yourfacility is located (e.g.,file number00692, map
reference code 37977-E4-TF-024-00).
6. Use the file number and map reference code to obtain the
specific topographic quadrangle map in which yourfacility
is located.
These detailed topographic quadrangle maps are available in
many libraries or for purchase from the Distribution Branch of
the USGS and from private map dealers. The Catalog of
Topographic and Other Published Maps contains a list of map
depository libraries and topographic map dealers for each
state covered in the catalog.
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Page F-2
To purchase a topographic quadrangle map from the USGS,
you must send a written request to the Distribution Branch of
the USGS, containing the file number, map reference code.
the name of the city, state and zip code in which your facility
is located, and payment of $2.50.
The Distribution Branch of the USGS can be reached at:
Distribution Branch of the USGS
P.O. Box 25286
Denver Federal Center
Denver. CO 80225
(303) 236-7477
ALLOW 5 WEEKS FOR DELIVERY
In addition, you may purchase a topographic quadrangle
map from the USGS through a USGS Public Inquiry Office.
The Public Inquiry Offices are listed for each state on the inside
back cover of the Catalog of Topographic and Other Published
Maps.
If you need help in determining your latitude and longitude,
once you have the necessary map, the National Cartographic
Information Center can provide assistance:
Western states: (303) 236-5829
Eastern states: (314) 341-0851
Please call in advance of the section 313 reporting deadline to
avoid unecessary delays.
Determining Your facility's Latitude and Longitude
(See diagram next page.)
Once you have obtained the correct map for your facility:
1. Mark the location of your facility on the map with a point.
If your facility is large, choose a point central to the pro-
duction activities of the facility. If certain structures in your
facility are represented on the map, mark one of the
structures with a point
2. Construct a small rectangle around the point with fine
pencil (fries connecting the nearest 21/2' or 5* graticules.
Graticules are intersections of latitude and longitude lines
that are marked on the map edge, and appear as black
crosses at four points in the interior of the map.
3. Read and record the latitude and longitude (in degrees,
minutes, and seconds) for the southeast comer of the
smatt quadrangle drawn in step two. The latitude and
longitude are printed at the edges of the map.
4. To determine the increment of latitude above the latitude
line recorded in step 3,
- position the map so that you face west:
- place the ruler in approximately a north-south alkjn-
* ment, with the "0* on the latitude line recorded in step
3 with the ruler edge intersecting the point.
Without moving the ruler, read and record:
- the measurement from the latitude line to the desired
point (the point distance);
- the measurementfromthe latitude line to the north line
of the small quadrangle (the total distance).
Determine the number of seconds to be added to the
latitude recorded in step 3 by using the ratio:
Point distance
Total distance
between lines
x 150" = increment of latitude
[Note: 150" is the number of seconds of arc for the side of
the small quadrangle on a 7.5' map. If you are using a 15'
map, the multiplication factor is 300" instead of 150" since
each graticule is 5' of latitude or longitude.]
For example:
Point distance = 99.5
Total distance = 192.0
99.5 X150' = 77.7"
192.0
(60" =V; 77.7"-60"
Latitude in step 3: 32°1730"
Increment : + 01*17.7"
Latitude of point : 32°18*47.7"
01' 17.7"
01'17.71
to the nearest second
32e18'48"
5. To determine the increment of longitude west of the lon-
gitude line recorded in step 3,
- position the map so that you face south:
- place the ruler in approximately an east-west align-
ment with the "0" on the longitude line recorded in step
3 with the ruler edge intersecting the point.
Without moving the ruler, read and record:
- the measurement from the longitude line to the de-
sired point (the point distance);
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Page F-3
- the measurement from the longitude line to the west
line of the small quadrangle (the total distance).
Determine the number of seconds to be added to the
longitude recorded in step 3 by using the ratio:
Point distance
Total distance
between lines
For example:
Point distance
Total distance
x 150" = increment of longitude
65.0
149.9
65.0 x 150" = 66.4" = 01'06.4"
149.9
01'06.4")
(60" = 1'; 66.4"-60"
Longitude in step 3 :
Increment :
Longitude of point : 78°06'06.4"
to the nearest second = 78°06'06"
78°05'00"
«. 01'06.4"
Latitude/Longitude Diagram
N
QUADRANGLE
w
GRATICULE
•/
• •
POINT
— J + 32*17-30"
78*06-00"
71*07-30" 78*05-00"
LONGITUDE
12*22-30"
2 1/2-
GRATICULE
32 • 20-00"
32* 17'JO" LATITUDE
32* 18-00-
7$ •02'JO" 78*00-00"
Point: Latitude 32° 18'48" North
Longitude 78° 06'06" West
Note: This diagram is based on a USGS 7.5 Minute Series Topographic Map.
Not drawn to scale.
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Page G-1
APPENDIX G
STATE DESIGNATED SECTION 313 CONTACTS
[Note: Use the appropriate address for submission of Form R
reports to your State.]
Alabama
E. John Williford, Chief of Operations
Alabama Emergency Response Commission
Alabama Department of Environmental Management
1751 Congressman W.L. Dickinson Drive
Montgomery, AL 36109
(205)271-7931
Alaska
Amy Skilbred
Alaska State Emergency Response Commission
P.O. Box O
Juneau, AK 99811-1800
(907) 465-2630
American Samoa
Patl Faiai, Director
American Samoa EPA
Office of the Governor
Pago Pago, AS 96799
International Number (684) 633-2304
Arizona
Mr. Carl F. Funk, Executive Director
Arizona Emergency Response Commission
Division of Emergency Services
5636 East McDowell Road
Phoenix, AZ 85008
(602)231-6326
Arkansas
Anna Brannon
Depository of Documents
Arkansas Department of Labor
10421 West Markham
Little Rock. AR 72205
(501)682-4541
California
Mr. Chuck Shulock
Office of Environmental Affairs
P.O. Box2815
Sacramento, CA 95812
Attn: Section 313 Reports
(916)324-8124
(916) 322-7236 Completed Form R Information
Colorado
Colorado Emergency Planning Commission
Colorado Department of Health
4210 East 11th Avenue
Denver, CO 80220
JudyWaddill
(303)331-4858
Commonwealth of Northern Mariana Islands
Mr. Frank Russell Meecham, III
Division of Environmental Quality
P.O. Box 1304
Saipan, CNMI 96950
(670) 234-6984
Connecticut
Ms. Sue Vaughn, Title III Coordinator
State Emergency Response Commission
Department of Environmental Protection
State Office Building, Room 161
165 Capitol Avenue
Hartford. CT 06106
(203) 566-4856
Delaware
Mr. Robert French, Chief Program Administrator
Air Resource Section
Department of Natural Resources and Environmental
Control
89 King's Highway
P.O. Box 1401
Dover. DE 19903
(302) 739-4791
District of Columbia
Mr. Frank Jasmine
District of Columbia Emergency Response Commission
Office of Emergency Preparedness
2000 14th Street, NW
Frank Reeves Center for Municipal Affairs
Washington. DC 20009
(202)727-6161
Florida
Mr. Jim Loomis
Florida Emergency Response Commission
Florida Department of Community Affairs
2740 Centerview Drive
Tallahassee. FL 32399-2149
(904)488-1472
In Florida: 800-635-7179
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Page G-2
Georgia
Mr. Jimmy Kirkland
Georgia Emergency Response Commission
205 Butler Street, SE
Floyd Tower East
11th Floor, Suite 1166
Atlanta, GA 30334
(404) 656-6905
Guam
Mr. Roland Solidio
Guam EPA
P.O. Box 2999
Aguana.GU 96910
(671)646-8863
Hawaii
Mr. John C. Lewin, M.D., Chairman
Hawaii State Emergency Response Commission
Hawaii State Department of Hearth
P.O. Box 3378
Honolulu. HI 96801-9904
(808) 548-6505
Idaho
Idaho Emergency Response Commission
State House
Boise, ID 83720
Attn: Ms. Jenny Records
(208) 334-5888
Illinois
Mr. Joe Goodner
Emergency Planning Unit
Illinois EPA
P.O. Box 19276
2200 Churchill Road
Springfield. IL 62794-9276
(217)782-3637
Indiana
Mr. Phillip Powers. Director
Indiana Emergency Response Commission
5500 West Bradbury Avenue
Indianapolis. IN 46241
(317)243-5176
Iowa
Department of Natural Resources
Records Department
900 East Grand Avenue
DesMoines, IA50319
(515)281-8852
Kansas
Right-to-Know Program
Kansas Department of Health and Environment
Mills Building, 5th Floor
109 S.W. 9th Street
Topeka, KS66612
(913)296-1690
Kentucky
Ms. Valerie Hudson
Kentucky Department of Environmental Protection
18Reilly Road
Frankfort, KY 40601
(502)564-2150
Louisiana
Mr. R. Bruce Hammatt
Emergency Response Coordinator
Department of Environmental Quality
P.O. Box 44066
333 Laurel Street
Baton Rouge. LA 70804-4066
(504)342-8617
Maine
Dorean Maines
State Emergency Response Commission
State House Station Number 11
157 Capitol Street
Augusta, ME 04333
(207) 289-4080
In Maine: 800-452-8735
Maryland
Ms. Marsha Ways
State Emergency Response Commission
Maryland Department of the Environment
Toxics Information Center
2500 Broening Highway
Baltimore, MD 21224
(301)631-3800
Massachusetts
Mr. Arnold Sapenter
c/o Title III Emergency Response Commission
Department of Environmental Quality Engineering
One Winter Street. 10th floor
Boston, MA 02108
(617)292-5993
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Page G-3
Michigan
Title III Coordinator
Michigan Department of Natural Resources
Environmental Response Division
Title III Notification
P.O. Box 30028
Lansing, Ml 48909
(517)373-8481
Minnesota
Mr. Lee Tischler, Director
Minnesota Emergency Response Commission
290 Bigelow Building
450 North Syndicate
StPaul. MN55104
(612)643-3000
Mississippi
Mr. J.E. Maher, Chairman
Mississippi Emergency Response Commission
Mississippi Emergency Management Agency
P.O. Box 4501
Fondren Station
Jackson, MS 39296-4501
(601)960-9973
Missouri
Mr. Dean Martin, Coordinator
Missouri Emergency Response Commission
Missouri Department of Natural Resources
P.O. Box3133
Jefferson City, MO 65102
(314)751-7929
Montana
Mr. Tom Ellerhoff, Co-Chairman
Montana Emergency Response Commission
Environmental Sciences Division
Department of Health & Environmental Sciences
Cogswell Building A-107
Helena, MT 59620
(406)444-6911
Nebraska
Mr. Clark Smith, Coordinator
Nebraska Emergency Response Commission
Nebraska Department of Environmental Control
P.O. Box 98922
State House Station
Lincoln, NE 68509-8922
(402)471-2186
Nevada
Mr. Bob King, Director
Division of Emergency Management
2525 South Carson Street
Carson City. NV 89710
(702) 885-4240
New Hampshire
Mr. George L. Iverson, Director
State Emergency Management Agency
Title III Program
State Office Park South
107 Pleasant Street
Concord, NH 03301
(603)271-2231
New Jersey
New Jersey Emergency Response Commission
SARA Title III Section 313
Department of Environmental Protection
Division of Environmental Quality
Bureau of Hazardous Substances Information
CN-405
Trenton, NJ 08625
(609)292-6714
New Mexico
Mr. Samuel Larcombe
New Mexico Emergency Response Commission
New Mexico Department of Public Safety
P.O. Box 1628
Santa Fe, NM 87504-1628
(505) 827-9222
New York
New York Emergency Response Commission
New York State Department Of Environmental
Conservation
Bureau of Spill Response
50 Wolf Road/Room 326
Albany, NY 12233-3510
(518)457-4107
North Carolina
North Carolina Emergency Response Commission
North Carolina Division of Emergency Management
116 West Jones Street
Raleigh, NC 27603-1335
(919)733-3867
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Page G-4
North Dakota
SARA Title III Coordinator
North Dakota State Department of Health and
Consolidated Laboratories
1200 Missouri Avenue
P.O. Box 5520
Bismarck, ND 58502-5520
(701)224-2374
Ohio
Ms. Cindy Sferra-DeWulf
Division of Air Pollution Control
1800 Watermark Drive
Columbus, OH 43215
(614)644-2266
Oklahoma
Larry Gales
Oklahoma Department of Health
Environmental Health Services Division
P.O. Box 53551
Oklahoma City, OK 73152
(405)271-8056
Oregon
Mr. Ralph M. Rodia
Oregon Emergency Response Commission
c/o State Fire Marshall
3000 Market Street Plaza
Suite 534
Salem, OR 97310
(503) 378-2885
Pennsylvania
Mr. James Tinney
Bureau of Right-to-Know
Room 1503
Labor and Industry Building
7th & Forrester Streets
Harrisburg, PA17120
(717)783-2071
Puerto Rico
SERC Commissioner
Title HI-SARA Section 313
Puerto Rico Environmental Quality Board
P.O. Box 11488
Santurce, PR 00910
(809) 722-0077
Rhode Island
Department of Environmental Management
Division of Air and Hazardous Materials
291 Promenade Street
Providence, Rl 02908
Attn: Toxic Release Inventory
(401)277-2808
South Carolina
Mr. Ron Kinney
Department of Health and Environmental Control
2600 Bull Street
Columbia, SC 29201
(803) 734-5200
South Dakota
Ms. Lee Ann Smith, Director
South Dakota Emergency Response Commission
Department of Water and Natural Resources
Joe Foss Building
523 East Capitol
Pierre, SD 57501-3181
(605)773-3153
Tennessee
Mr. Lacy Suiter, Chairman
Tennessee Emergency Response Commission
Director, Tennessee Emergency Management Agency
3041 Sidco Drive
Nashville, TN 37204
(615)252-3300
1-800-262-3300 (in Tennessee)
1-800-258-3300 (out of state)
Texas
Mr. David Barker, Supervisor
Emergency Response Unit
Texas Water Commission
P.O. Box 13087-Capitol Station
Austin, TX 78711-3087
(512) 463-8527
Utah
Mr. Neil Taylor
Utah Hazardous Chemical Emergency Response
Commission
Utah Division of Environmental Health
288 North 1460 West
P.O. Box 16690
Salt Lake City. UT 84116-0690
(801)538-6121
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Page G-5
Vermont
Dr. Jan Carney, Commissioner
Department of Health
60 Main Street
P.O. Box 70
Burlington, VT 05402
(802) 863-7281
Virginia
Mr. Harry E. Gregori, Jr.
Virginia Emergency Response Council
Department of Waste Management
James Monroe Building
14th Floor
101 North 14th Street
Richmond, VA 23219
(804) 225-2997
Virgin Islands
Mr. Allan D. Smith, Commissioner
Department of Planning and Natural Resources
U.S. Virgin Islands Emergency Response Commission
Title III
Nisky Center, Suite 231
Charlotte Amalie
St. Thomas, VI 00802
(809) 774-3320/Ext. 169 or 170
Washington
Mr. Chuck Clark, Chairman
Department of Community Development
9th and Columbia Building
Mail Stop GH-51
Olympia, WA 98504
(206) 753-2200
West Virginia
Mr. Carl L. Bradford, Director
West Virginia Emergency Response Commission
West Virginia Office of Emergency Services
State Capital Building 1, Room EB-80
Charleston, WV 25305
(304) 348-5380
Wisconsin
Department of Natural Resources
P.O. Box 7921
Madison, Wl 53707
Attn: Russ Dumst
(608) 266-9255
Wyoming
Mr. Ed Usui, Executive Secretary
Wyoming Emergency Response Commission
Wyoming Emergency Management Agency
Comprehensive Emergency Management
P.O. Box 1709
Cheyenne, WY 82003
(307) 777-7566
[Notes: (1) If an Indian tribe has chosen to act independently
of a state for the purpose of section 313 reporting, facilities
located within that Indian community should report to the tribal
SERC. or until the SERC is established, the Chief Executive
Officer of the Indian tribe, as well as to EPA; (2) Facilities
located within the Territories of the Pacific should send a report
to the Chief Administrator of the appropriate territory, as well
as to EPA.]
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Page H-1
Region 1
APPENDIX H
SECTION 313 EPA REGIONAL CONTACTS
Region 6
Pesticides & Toxics Branch
USEPA Region 1 (APT2311)
JFK Federal Building
Boston, MA 02203
(617)565-4502
Connecticut, Massachusetts, Maine, New Hampshire, Rhode
Island, Vermont
Region 2
Pesticides & Toxics Branch
USEPA Region 2 (MS240)
Woodbridge Avenue, Building 209
Edison, NJ 08837-3679
(201)906-6890
New Jersey, New York, Puerto Rico, Virgin Islands
Region 3
Toxics & Pesticides Branch
USEPA Region 3 (3HW42)
841 Chestnut Street
Philadelphia, PA 19107
(215)597-1260
Delaware, Maryland, Pennsylvania, Virginia, West Virginia,
District of Columbia
Region 4
Pesticides & Toxics Branch
USEPA Region 4
345 Courtland Street
Atlanta, GA 30365
(404)347-1033
Alabama, Florida, Georgia, Kentucky, Mississippi, North
Carolina, South Carolina, Tennessee
Region 5
Pesticides & Toxic Substances Branch
USEPA Region 5 (5SPT-7)
230 South Dearborn Street
Chicago, IL 60604
(312)353-5907
Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin
Pesticides & Toxic Substances Branch
USEPA Region 6 (6TPT)
1445 Ross Avenue
Dallas, TX 75202-2733
(214)655-7244
Arkansas, Louisiana, New Mexico, Oklahoma, Texas
Region 7
Office of Congressional and Intergovernmental Liaison
USEPA Region 7 (CIGL)
726 Minnesota Avenue
Kansas City, KS 66101
(913)551-7005
Iowa, Kansas, Missouri, Nebraska
Region 8
Toxic Substances Branch
USEPA Region 8 (8AT-TS)
999 18th Street
Denver, CO 80202-2405
(303)293-1730
Colorado, Montana, North Dakota, South Dakota, Utah,
Wyoming
Region 9
Pesticides & Toxics Branch
USEPA Region 9 (A-4-3)
75 Hawthorne Street
San Francisco, CA 94105
(415)556-5387
Arizona, California, Hawaii, Nevada, American Samoa, Guam,
Commonwealth of the Northern Mariana Islands
Region 10
Pesticides & Toxic Substances Branch
USEPA Region 10 (AT083)
1200 Sixth Avenue
Seattle, WA 98101
(206)553-4016
Alaska, Idaho, Oregon, Washington
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Section 313 Document
Request Form
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Page 1-1
APPENDIX I
SECTION 313 DOCUMENT REQUEST FORM
To receive a copy of any of the section 313 documents listed
below, check the box(es) next to the desired document(s).
There is no charge for any of these documents. Be sure to
type your full mailing address in the space provided on this
form. Send this request form to:
Section 313 Document Distribution Center
P.O. Box 12505
Cincinnati, OH 45212
Know Act: Section 313 Release Reporting Require-
ments December 1989
(EPA 560/4-91-002)
This brochure alerts businesses to their reporting obliga-
tions under section 313 and assists in determining whether
their facility is required to report. The brochure contains
the EPA Regional contacts, the list of section 313 toxic
chemicals and a description of the Standard Industrial
Classification (SIC) codes subject to section 313.
Toxic Chemical Release Inventory Reporting Package
for 1990 (EPA 560/4-91 -001)
Comprehensive guidance document for complying with
section 313 requirements. This document includes a
blank Form R, the reporting instructions, and questions
and answers about Section 313.
Section 313 Rule (40 CFR 372)
A reprint of the final section 313 rule as it appeared in the
Federal Register (FR) February 16,1988.
TRI Magnetic Media Submission Instructions (EPA
560/4-91-008)
Reports under section 313 may be submitted by computer
tape or floppy disk. This document gives the format re-
quirements and other details for such submissions.
Common Synonyms for Section 313 Chemicals
(EPA 560/4-91-005)
This document contains common synonyms for the spe-
cially listed section 313 chemicals (synonyms for chemi-
cals in covered categories are not included).
I Comprehensive List of Chemicals Subject to Report-
Ing Under the Act (Title III List of Lists)
(EPA 560/4-91-011)
A consolidated list of specific chemicals covered by the
Emergency Planning and Community Right-to-Know Act.
The list contains the chemical name, CAS Registry Number,
and which reporting requirement(s) the chemical is sub-
ject to.
Q Supplier Notification Requirements
(EPA 560/4-91-006)
This pamphlet assists chemical suppliers who may be
subject to the supplier notification requirements under
section 313 of Title III. The pamphlet explains the supplier
notification requirements, gives examples of situations
which require notification, describes the trade secret
provision, and contains a sample notification.
Q Trade Secrets Rule and Form (FR Reprint)
A reprint of the final rule that appeared in the Federal
Register of July 29,1988. This rule implements the trade
secrets provision of the Emergency Planning and Com-
munity Right-to-Know Act (section 322). Includes a copy
of the trade secret substantiation form.
Industry Specific Technical Guidance Documents
EPA has developed a group of smaller, individual guidance
documents that target activities in industries who primarily
process or otherwise use the listed toxic chemicals.
Q Electrodeposltlon of Organic Coatings January 1988
(EPA 560/4-88-004C)
Q Electroplating Operations January 1988
(EPA 560/4-88-004g)
Q Formulating Aqueous Solutions March 1988
(EPA 560/4-88-004f)
Q Leather Tanning and Finishing Processes February
1988 (EPA 560/4-88-004I)
The Emergency Planning and Community Right-to-
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Page 1-2
G Monofllament Fiber Manufacture January 1988
(EPA 560/4-88-0043)
G Paper Paperboard Production February 1988
(EPA 560/4-88-004R)
G Presswood & Laminated Wood Products Manuiactu r-
ing March 1988 (EPA 560/4-88-004I)
G Printing Operations January 1988 (EPA 560/4-88-0045)
G Roller, KnHe and Gravure Coating Operations Feb-
ruary 1988 (EPA 560/4/88/004J)
G Rubber Production and Compounding March 1988
(EPA 560/4-88-004q)
G Semiconductor Manufacture January 1988
(EPA 560/4-88-0046)
G Spray Application of Organic Coatings January 1988
(EPA 560/4-88-004d)
G Textile Dyeing February 1988 (EPA 560/4-88-004h)
G Wood Preserving February 1988 (EPA 560/4-88-004p)
Please type mailing address here (Do not attach business cards)
Name/Title
Company Name
Mail Stop
Street Address
P.O. Box
City/State/Zip Code.
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Page 1-3
OTHER RELEVANT SECTION 313 MATERIALS
Toxics in the Community: National and Local
Perspectives
(EPA 560/4-90-017)
This report summarizes the second year of toxic release
inventory data - where, how much, and which types of toxic
chemicals are being released into the environment - and
provides comparisons to the first year's releases. Available
from: Superintendent of Documents, Government Printing
Office, Washington, DC 20402-9325, Stock number: 055-
000-00363-7, $21.00.
Toxic Release Inventory - On-line Database
A computerized on-line database of the toxic release inventory
data is available through the National Library of Medicine's
(NLM) TOXNET on-line system 24 hours a day. Other NLM
files on TOXNET can provide supporting information in such
areas as health hazards and emergency handling of toxic
chemicals. Information on accessing the TOXNET system is
available from: TRI Representative, Specialized Information
Services, National Library of Medicine. 8600 Rockville Pike,
Bethesda, MD 20894. (301) 496-6531, up to $25.00 per hour.
Toxic Dump - Software
Toxic dump version 1.0 is a personal computer-based software
package that allows users of the TRI Public Database to
screen-capture TRI data and convert that data into a dBASE
III format. The software is divided into two modules; one for
translating the screen-captured data into dBASE files and the
other is a program shell which operates within dBASE III PLUS
and allows the userto manipulate the data and output TRI data
in a tabular form. Available from: Emergency Planning and
Community Right-to-Know Information Hotline, 1-800-535-
0202 or (703) 920-9877.
Toxic Release Inventory 1987 - Magnetic Tape
Contains the complete toxic release inventory for reporting
year 1987. Includes a brief overview of section 313 reporting
requirements, a sample Form R, lists of Regional and State
section 313 contacts. Available from: National Technical
Information Service, 5285 Port Royal Road, Springfield, VA
22161, (703) 487-4650, Document Number: PB89-186068-
HCR, 1600 (BPI) Density -- $1,770.00, 6250 (BPI) Density --
$525.00.
Toxic Release Inventory 1988 - Magnetic Tape
Contains the complete toxic release inventory for reporting
year 1988. Available from: National Technical Information
Service, 5285 Port Royal Road, Springfield, VA22161, (703)
487-4650, Document number: PB90-502030. 1600 (BPI)
Density -- $1,550.00; 6250 (BPI) Density - $1,100.00.
Toxic Release Inventory 1987: Reporting Facilities Names
and Addresses - Magnetic Tape
Contains the name, address, public contact, phone number,
SIC code, Dun and Bradstreet number of each facility that
reported under section 313 in reporting year 1987. Also
includes, if applicable, parent company name and the parent
company's Dun and Bradstreet number. Available from:
National Technical Information Service, 5285 Port Royal Road,
Springfield, VA 22161. (703) 487-4650, Document Number:
PB89-186118-HCR, $220.00.
Section 313 Roadmaps Database - Diskette
A database of sources of information on the toxic chemicals
listed in section 313. The database, created in 1988 and
updated in 1990, is intended to assist users of the toxic release
inventory data in performing exposure and risk assessments
of these chemicals. The roadmaps system displays informa-
tion the section 313 toxic chemicals' health and environmental
effects, the applicability of Federal, State, and local regula-
tions, and monitoring data. Available from: National Technical
Information Service, 5285 Port Royal Road, Springfield, VA
22161, (703) 487-4650. Document Number: PB90-501487.
$180.00.
Comprehensive List of Chemicals Subject to Reporting
Under the Act (Title III List of Lists)
Available as an IBM compatible disk from: The National
Technical Information Service. 5285 Port Royal Road, Spring-
field, VA 22161, (703) 487-4650, Document Number: PB90-
501479, $80.00.
Estimating Releases and Waste Treatment Efficiencies
for the Toxic Chemical Release Inventory
(EPA 560/4-90-009)
Suggested methods on the development of release estimates
and waste treatment efficiency calculations required on Form
R. Available from: Superintendent of Documents, Govern-
ment Printing Office, Washington, DC 20402-9325. (202)
783-3238, Stock Number: 055-000-00270-3, $11.00.
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Page 1-4
The Toxic Release Inventory: Meeting the Challenge
(April 1988)
This 19 minute videotape explains the toxic release reporting
requirements for plant facility managers and others. State
governments, local Chambers of Commerce, labor organiza-
tions, public interest groups, universities, and others may also
find the video program useful and informative. 3/4 inch =
$30.75; Beta = $22.95; VMS = $22.00.
To purchase, write or call:
Color Film Corporation
Video Division
770 Connecticut Avenue
Norwafe, CT 06854
(800)882-1120
Form R: A Better Understanding
Developed by EPA Region III, this videotape reviews the Form
R and explains how to correctly fill-out the Form R. Available
from: National Technical Information Service, 5285 Port Royal
Road, Springfield, VA 22161, (703) 487-4650, Document
number: PB90-780446, $35.00.
Chemicals In Your Community, A Citizen's Guide to the
Emergency Planning and Community Rkjht-to-Know Act
September 1988 (OSWER-88-002)
This booklet is intended to provide a general overview of the
Title III requirements and benefits for all audiences. Part I of
the booklet describes the provisions of Title III and Part II
describes more fully the authorities and responsibilities of the
groups of people affected by the law. Available through written
request for no charge from:
Emergency Planning and Community Right-to-Know
Information Service
MaikxxJe: OS-120
401 M Street, SW
Washington, DC 20460
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INDEX
Activities, 6-9, 19-21
Ancillary or Other Use, 20
Article, 7-8. 20, 23, E-2
Asbestos (friable), 9, D-1
Auxiliary Facility, 6
Basis of Estimate, 25,28, B-1
Beneficiation, 12
Byproduct. 6. 8.12. 20
CAS Number. 18, 41-49, D-1
Certification, 1-5, D-1
Chemical Categories. 9,11,18, 22,24,32, 50
Chemical Compounds, 11,18,22,24,31,32, 50
Codes. 5, 6.15. 16. 22.25.27-34.35-40. Apx. B
Coincidental Manufacture, 7
Contacts, EPA Regional, H-1
Contacts, Public. 16
Contacts, State, Apx. G
Contacts, Technical, 16
Corrections, Voluntary (Resubmission), 2, D-1
De Minimis Limitation, 6,11-12, 41-49, E-2
Document Request Form, Apx. I
Dun and Bradstreet Number, 17
Employees (number required), 3, 5
EPA Identification Number. 17
Errors (Common in Form R). D-1
Establishment. 5-6.16
Examples. 7. 8,18.19, 20, 21. 24-25. 26. 27. 28, 32-34,
Apx.C
Exemption, 7-9,23. E-2
Facility. 5-6, 9.15-16
Form R, 1,14.21.26-27. Apx. A. D-1
Formulation Component, 20
Fugitive Air Emissions. 22,23-4
Full-Time Employees, 4, 5, E-1
Fume or Dust, 8
General Information, 1-3
Generic Chemical Name, 19
Import. 3, 6,18
Impurity. 6.12. 20
Laboratory, 6
Latitude and Longitude, 16, Apx. F
List of Chemicals, 40-48
Magnetic Media Submissions, 3
Manufacture, 6. 7, 8. 9.19,20. C-2
Manufacturing Qualifiers, 8
Maximum Amount On-Site, 22
Metal Compound Categories, 11,22, 50, C-1, E-1
Mixtures, 11-13.19
Multi-Establishment Facility, 5
NPDES Permit Number, 17
Off-Site Location, 18,28, B-1. C-4
Otherwise Use, 7, 9, 20
Parent Company, 17
Phosphorous (yellow or white), 8
Pollution Prevention, 32-34
Process, 6-8, 19, C-2
Property Owner Exemption, 6
Publicly-Owned Treatment Works (POTWs), 18,28, 32
Reactant, 20
Receiving Streams or Water Bodies, 17,22
Recordkeeping, 2, 9-11, E-3
Recycle/Reuse, 28, 30, 32
Release Estimate, 22-27
Repackaging, 20
Reporting Ranges. 21, 22-23. B-1
Reporting Year, 15,22.32, D-1
Reuse/Recycle, 28,30,32
Runoff Coefficient, 27-28
Sale/Distribution, 20
Sanitized, 1,15, D-2
SIC Codes, 5, 6,16, 35-40, C-1, E-1
Significant Figures, 23
Solutions, 8, D-1
Stack or Point Air Emissions, 22
Standard Industrial Classification (SIC) Codes, 5,6,16,
35-40, C-1, E-1
Stormwater, 27-28
Supplier Notification, 8,12, Apx. E
Threshold Worksheet, 9,10
Thresholds, 9-11, C-2
Trade Name Products, 11,13
Trade Secret Claims, 1.14, D-2, E-3
Transfers, 18,28
Treatment Efficiency, 29, 31. C-4
Treatment Method, 29-32
TRI Facility Identification Number, 2,16
Underground Injection, 17,23
Unsanitized, 1,15
Use Exemptions, 7,8
Voluntary Revision, 2
Waste Minimization, 32-34, B-3
Waste Treatment. 29-32, B-1. B-2. C-5
Wastestream, 28, 31
Zero Releases, 7, 22,23, 27
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Questions and Answers
-------
United States
Environmental Protection
Agency
Office of Toxic
Substances, TS-779
Washington, -D.C. 20460
January 1991
EPA 560/4-91-003
dEPA 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)
-------
INTRODUCTION
This Questions and Answers document has been prepared to help clarity reporting requirements
under section 313 of the Emergency Planning and Community Right-to-Know Act (EPCRA, or Title III of
the Superfund Amendments and Reauthorization Act of 1986, Public Law 99-499). Under section 313,
facilities that meet all three of the following criteria are required to report releases to the air, water, and
land as well as transfers of the chemical in waste to off-site locations of any specifically listed toxic
chemicals:
• The facility has 10 or more full-time employees;
• The facility is included in Standard Industrial Classification (SIC) codes 20 through 39; and
• The facility manufactured (defined to include imported), processed, or otherwise used, in the
course of a calendar year, any specified chemical in quantities greater than a set threshold.
Reports under section 313 (EPA Form R) must be submitted annually to EPA and designated State
agencies. Reports are due by July 1 of each year and cover activities at the facility during the previous
calendar year.
This document has been developed to expedite facility reporting and to provide additional
explanation of the reporting requirements. It supplements the instructions for completing Form R.
Copies of EPA Form R, instructions for completing the form, and related guidance documents are
available from the Section 313 Document Distribution Center, P.O. Box 12505, Cincinnati, Ohio 45212.
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
Vm. Waste Treatment Methods and Efficiency 46
DC. Transfers to Off-Site Locations 49
X. Waste Minimization , 51
XI. Trade Secrets 52
XII. Certification and Submission 53
Xffl. EPA's Section 313 Program and General Information 56
XTV. 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_g
Directive #7 - Reuse and Recycling Exemptions A_9
Directive #8 ~ Ammonia and Ammonia Salts_
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I. DETERMINING WHETHER OR NOT TO REPORT: FACILITY
A. Types of Facilities That Must Report
1. What facilities are subject to section 313 reporting?
Section 313 reporting applies to facilities that meet three criteria: have 10 or more full-time employees;
are in the manufacturing sector (in SIC major groups 20 through 39 inclusive); and exceed any one
threshold for manufacturing (including importing), processing, or otherwise using a toxic chemical listed in
40 CFR Part 372.65.
2. Is a facility meeting the criteria described in question one required to report if they had no releases of
the toxic chemicals during the calendar year?
Yes. The requirements for reporting under section 313 are based only upon the industrial classification of
the facility, number of employees, and what quantity of a toxic chemical was manufactured, processed, or
otherwise used during the calendar year. The amount of toxic chemical released does not affect reporting
requirements (except in the case of exemptions for articles). The facility described would report zeros or,
NA, not applicable, in the release estimate sections of the form.
3. Must an annual report be submitted by July 1 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 recover}' 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?
Seciion 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. Kmployee 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?
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 La operation?
The owner or operator of the facility on the reporting date, July 1 of each year, is primarily responsible for
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 1990 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 flies 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 Dun & Bradstreet several times to obtain DUNS numbers for several facilities, a
consulting firm was told by D&B that they will give out the DUNS number only to the individual facilities.
Does the consulting firm have any recourse for obtaining these numbers?
The facility or financial officers may know the number, or may need to call D&B themselves. Company
headquarters DUNS numbers are in Dun and Bradstreet reference publications, Reference Book of
Corporate Management and Million Dollar Directory, available at some public libraries. Some libraries
conduct computer searches of the DUNS Market Identifiers database for a fee to obtain individual facility
DUNS numbers. DUNS numbers are also available through online services (e.g., DIALOG). If a facility
does not subscribe to the D&B service, a "support number" can be obtained from the Dun & Bradstreet
center located in Allentown, Pennsylvania (telephone (215) 391-1886).
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. However, 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 filing two separate Form R's for section
313 reporting. For Part I, Section 3.5, what SIC codes are to be listed?
Enter in Part I, Section 3.5, only the SIC code of the establishment whose data is included in the report.
The SIC code for the other establishment of the facility would be included in its own Form R submittal.
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 threshold
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 first facility. During the reprocessing, dioxane evaporates
to the atmosphere. Is the second facility manufacturing, processing or using dioxane? Is it just treating
the chemical and thus should not add it into any threshold determinations?
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.
D. 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 Us ted 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 lexicological 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.,
NH4NOj)? Do 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(phenytisocyanate) 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, the facility exceeds thresholds, but is below de minimis
concentrations.
The CAS number 1330-20-7 on the list of section 313 toxic chemicals is for any combination of the
isomers. When the threshold and de minimis concentration for each isomer are exceeded independently,
the facility may report separately or as mixed isomers. When the threshold and/or de minimis are not
exceeded independently, but are exceeded collectively, they should be reported under the CAS number for
mixed isomers.
81. I have hydrochloric acid with a listed content of 100 percent HC1. I know that means 37 percent
HC1 and 63 percent water - there is no higher concentration made. Which concentration must I use for
threshold determination?
You should calculate the HC1 content based upon the 37 percent concentration.
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 313,1 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 (OCH2CH2CH2)N
instead of (OCH2Cti^)ti 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?
Potyvinyl 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 die
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 nicker?
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 does 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)2. Are cyanide compounds that do not
dissociate reportable?
Cyanide compounds that do not dissociate are not reportable. Most of the cyanide compounds that
dissociate are cyanide salts which are subject to section 313.
*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.
•100. 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 identity.
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 Held (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) in
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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.
110. 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 distributed1' 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 313 reporting, removing the need for customers to audit
Section II?
A supplier should include the section 313 statement in their MSDS if one or more of the chemicals in the
mixture or trade name product are section 313 chemicals. The facility is not required to make a "negative
declaration" that none of the components in the mixture are subject to section 313. A supplier may,
however, provide this statement on its own initiative.
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.
124. 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 that
a listed chemical or mixture be obtained from a foreign source and you specified the amount, then your
facility "imported" the chemical. The criteria are that you caused the chemical to be brought into the
customs territory of the U.S. and you "control the identity of the chemical and the amount to be
imported."
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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 hexavaient 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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163. A car manufacturer has a central 25,000 gallon storage tank on-site. A pipe leads from the central
storage tank to a fill station where the cars are filled with gas before being sent off-site to be sold. Is the
processing of the toxic chemical components of the gasoline considered "repackaging only" or "as an
article component?"
The toxic chemicals in the gasoline should be reported as processed as an article component.
*164. In an aluminum casting process, a facility bubbles chlorine gas through molten aluminum. The
chlorine reacts with impurities in the aluminum and produces a by-product called "dross," which is
distributed in commerce. Small quantities of unreacted chlorine are emitted during this process. What is
the applicable threshold for chlorine in this process?
Because the chlorine reacts with impurities, becomes incorporated in the dross which is distributed in
commerce, the chlorine is considered "processed." If the amount of chlorine processed, which includes
both the chlorine incorporated in the dross and the unreacted chlorine, exceeds 25,000 pounds, a Form R
must be filed and any releases of chlorine must be reported.
*165. A facility uses a listed toxic chemical methylenebis(phenylisocyanate) to create molds from which
they produce metal castings. Normally these molds are kept by the manufacturer or are broken up for
reuse. Has the toxic chemical been "otherwise used" or "processed" by the facility?
The making of the molds does not constitute the processing of methylenebis(phenylisocyanate) because the
chemical does not become part of a product that is sold or otherwise distributed from the facility.
Therefore, the chemical is "otherwise used" by the facility and the 10,000 pound threshold applies.
*166. An agri-chemical manufacturer produces a specialty pesticide for a farmer by blending chemicals
which have been supplied by the farmer. It then applies the pesticide to the farmer's crops. Does the
blending of the listed toxic chemicals received from the farmer for application to the farmer's crops
constitute "processing" of the toxic chemicals? Does the agri-chemical manufacturer, as a "toll-processor,"
have to count the listed toxic chemicals towards the threshold determination?
The blending of the chemicals and their subsequent application to the farmer's fields does constitute
"processing." The origin of the processed material is irrelevant, and the return of the blended chemicals
for application on the farmer's fields can be considered products distributed in commerce, and, therefore,
the "processing" threshold would apply. "Toll-processing" is no different than any other processing. The
agri-chemical manufacturer must make threshold determinations based on the amount of any listed toxic
chemical it processes as well as any other manufacturing or otherwise use activities that occur at its facility.
*167. A facility converts waste animal parts and blood into protein for use as animal feed. The animal
parts and blood contain ammonia which is incorporated into the protein product. Is the ammonia subject
to section 313 reporting?
Yes. Because ammonia (NH3) is incorporated into the end-product, it is considered "processed" and is
subject to the 25,000 pound threshold.
*168. If a person is simply storing and redistributing a toxic chemical without repackaging it, is this
activity considered processing of the chemical for section 313 purposes?
No. The term "process" means the preparation of a listed toxic chemical, after its manufacture, for
distribution in commerce.
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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 Vhite-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 I^SO^ NaOCl, and other acids are
added to the pond to control algae. Does the addition of toxic chemicals to an ornamental pond on a
facility site qualify for the routine janitorial or facility grounds maintenance exemption [40 CFR
37238(c)(2)]?
Yes. The chemicals used, however, must be similar in type or concentration to consumer products. The
facility owner/operator should also be aware that coincidental manufacture of other toxic chemicals that
may result from the addition of chemicals to the pond (e.g., C12 may be manufactured when NaOCl and
acids are mixed) is not covered by the routine janitorial or facility grounds maintenance exemption.
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 37238. 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
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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.
1%. 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 dc 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 dc minimis exemption does not apply.
198. How do we determine whether the de minimis level for a section 313 listed chemical should be I
percent or 0.1 percent?
The instructions for completing Form R contain 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 MS1)S 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 Hsted 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
wastestream. Are facility owners/operators required to include the amount of the listed toxic chemical
present in the wastestream as part of the threshold determination if the concentration of the toxic
chemical in the wastestream is below the de minimis level?
Yes. The de minimis concentration does not apply to wastes and wastestreams. 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 wastestream.
*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 wastestream.
*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 what 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(5)] 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 transfer; 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 any
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material leaking from an underground pipe, would be reported as a release to land, and entered in Part III,
Section 5.5.4, Other disposal.
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 facility must consider their use of hydrochloric acid as a release to land even though the acid is
neutralized in the process of cleaning the well. EPA does not allow facilities to take credit for conversions
of the chemical in the environment after that chemical has been released by the facility.
*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 filter. 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, 1988) 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 paniculate 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 converted
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 stormwater as it falls from the sky or do we report its
composition once the rainwater has run off soil?
The composition should be counted once the rainwater has run onto and off the soil, equipment, concrete
pads, etc. as a portion of the total facility release to surface water.
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 for
the mixture, then multiply by the weight fraction of the chemical in the gaseous emission. The required
formulas are found in this technical guidance document but are not listed in a step-by-step procedure.
246. The emission factors used to estimate releases to air from leaks in pipes are time dependent. What
amount of time should be used to determine fugitive emissions from emission factors?
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In using emission factors to determine fugitive emissions to the air from leaks in pipes, a facility must use
the total amount of time which a pipe contains the toxic chemical, since a release will occur whether a
chemical is moving or stagnant in the pipe.
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 opening and
emptying the drums. The facility may consider each drum as a small tank and estimate the amount of
toxic chemical contained in the vapor space using methods such as partial pressure determinations found
in EPA's technical guidance document, Estimating Releases and Waste Treatment Efficiencies for the
Toxic Chemical Release Inventory Form.
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 560/4-88-
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 in
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 releases seem too high.
Estimating emissions based on the amount used overestimates release since: chlorine is only slightly
soluble in water, reacts with chemicals in the water, and dissipates in side reactions. Measured residual
chlorine times recirculation rate times lost water fraction may also overestimate release (residual includes
other forms of chlorine), but may be the only way to make a reasonable estimate. There are no readily
available emission data on chlorine from cooling water systems.
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 NA.
255. If HjSOj/HCI (sulfuric add/ hydrochloric acid) were spilled outside a building on a facility and an
absorbent (e.g., kitty litter) was used to absorb the toxic chemicals, would the use of the absorbent be
listed as a treatment and be reported under Part III, Section 7 of Form R?
No, the use of the absorbent would not be considered a treatment. Only if the acids were neutralized
would that activity be considered treatment. If the absorbent were drummed and sent to a landfill, that
would be listed as a transfer to an off-site location. Any acid left on the ground must be accounted for as
a release to land.
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. If
more accurate data are developed, the facility may submit revised forms. EPA can take enforcement
action if they believe that the data do not represent reasonable estimates.
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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259. A facility determines that it can estimate stormwater releases of a listed chemical from the facility.
However, such releases go to a city-owned storm sewer system and the facility has no direct knowledge of
the receiving stream or surface water body to which the chemical is ultimately released. What do they
report as the 'receiving stream' on Part I, Section 3.10(a) of the form?
The facility would put "city-owned storm sewer" or the equivalent because this is all they know. To leave
the receiving stream item blank or put "NA" would be identified as an error when the Form R is entered
to the computerized database of section 3D 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 POTW,
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., 55), 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 hi 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 hi the sludge was released to air. For purposes of
reporting under EPCRA section 313, does the owner/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 benzene which was transferred to the on-site lagoon as a
release to land. The majority of the benzene will evaporate. The purpose of sending a waste to a lagoon
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 to
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.
VHI. 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 subsequently
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 this
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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 larger volume, in
this case, water). The other phase must be considered a new wastestream and must be listed separately on
the form if treated subsequent to its separation.
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 (pH 73).
How do I account for biological and neutralization treatment in one process in Part III Section 7 of Form
R? After that, the waste goes to settling ponds where solids settle out Is this also a sequential treatment
step?
List the biological treatment first with a zero efficiency because it does nothing to the toxic chemical.
Enter the neutralization treatment with a 100 percent efficiency since pH 7.3 is considered complete
neutralization for an acid. Check the sequential treatment box. As for the settling ponds, the toxic
chemical ceased to exist upon complete neutralization, so this step does not need to be included in Part
III, Section 7 of the Form R for the mineral acid.
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 HI, 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 HC1, 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 HC1. If the pH is above 6, then the efficiency is 100 percent ~
no HC1 is released - no off-site transfer need be reported. If the waste is acidic, report transfer of HC1
off-site and calculate efficiency from input and remaining acid.
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275. If a 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. How is an auxiliary scrubber that is designed and used only to mitigate emergency releases
reported?
The influent concentration and treatment efficiency of the scrubber as it operates during an emergency
event should be reported. The emergency scrubber is not considered to be "sequential" treatment with a
scrubber which treats routine emissions from the same process, unless the two units function in series on a
single wastestream.
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 III,
section 5 of the Form R. Part III Section 7 of Form R must be completed if a waste stream containing
the glycol 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 efficiency" 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 file a
Form R for toluene Owners/operators are required to report on-site treatment of wastes containing a
toxic chemical hi 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 any
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 in 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 the
above scenario, the conservation vent is functioning as a preventive device; that is, the conservation vent
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does not function as a waste treatment step. (Another example of a preventative device is a floating roof
storage tank, the function of which would not be considered 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 Part 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 recycler of
chemical waste are not reportable as off-site transfers." Since the reporting facility knows the toxic
chemical is ultimately being recycled or reprocessed, the facility would not report the off-site transfer. If
the facility could not document that the waste was being recycled, it must report the off-site transfer.
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 (e.g.,
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 the only or last recipient of the
waste that they have knowledge of. An off-site transfer is not considered a release, and waste brokers may
not report under section 313 because their facility may not be in SIC codes 20-39.
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 being reported
is actually recycled, recovered, or reused by 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 HI, 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 POTW
and then on to a stream. The POTW does not treat the waste but monitors the wastewater and allows it
to pass into the stream if it meets treatment standards. If it does not meet standards, the POTW shuts a
valve in the pipe. The wastewater is released under the POTWs NPDES permit How should the
wastewater be listed on Form R?
The facility should consider the wastewater as a transfer off-site to the POTW since the POTW is
ultimately responsible for the release. The POTW has the authority to allow or prevent that release and it
enters the stream under their NPDES permit.
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291. How do we treat a solvent sent off-site for distillation and returned to us for use?
The amount of solvent sent to another facility for distillation is not reported as a transfer of the chemical
to an off-site location (e.g., it should not be reported in Part III, Section 6 of Form R). The quantity of
the solvent returned to you must be treated as if it were a quantity of the chemical purchased from any
other supplier and must be used for threshold determination.
292. What RCRA ID number does a facility list if it sends a non-hazardous waste containing a section
313 chemical to a solid waste landfill?
If an off-site location such as a solid waste landfill does not have a RCRA ID number, the facility would
enter "NA" in the space provided. If the facility does have such a RCRA. ID number, it must list the
number if known, even though the waste being transferred may not be a listed RCRA hazardous waste.
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 off-site transfer amount in Part III, Section 6 of Form R?
That section of Form R requires you to report the actual amount of toxic chemical you send off-site. The
efficiency would be taken into account by the off-site facility if they are reporting under section 313.
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 faculties 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-pennitted 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
facility 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 1.1, what other blocks can I
leave blank? Do I still have to fill in the CAS number?
If the chemical you are reporting is not a trade secret, the CAS number must be filled in along with the
chemical name (Part III, Section 1.3). However, if you are reporting for a chemical category, no CAS
number applies. Trade secret claims require that the generic name (Section 1.4) be completed.
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 has
not been disclosed and is being protected, and this should be included in question 3.1 asking about
confidentiality measures.
HI. 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 1 of the year following the reporting year. When is the
official due date if July 1 falls on a Saturday or a Sunday?
If the reporting deadline falls on a Saturday or Sunday, the EPA will accept the forms which are
postmarked on the following Monday (i.e. the next business day).
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,
•t their faculty. 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 the mistake in its recordkeeping for that Form R. No letters or other
documentation need be sent to the state commission or EPA at this time.
318. Regarding the technical contact, can this person be a different person for (a) each chemical? (b)
each separate part of a facility?
Yes. It is allowable to have different technical contacts for different chemicals or different establishments
within the facility, provided that only one "technical contact" is listed on each form.
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 for your
optional use" that it is a voluntary revision. The information elements that are different from the initial
report should be made and circled in red ink and the document control number (DCN) for each form
being corrected should be included if available.
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 EPA's
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 by the Agency.
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 suspect
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. For
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 any, 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 $25,000 for each violation. Is a non-compliance
violation determined on a per facility or per toxic chemical basis? Also, is that penalty assessed on a per
day basis?
Section 325(c)(i) states: "any person who violates any requirement of section 313 shall be liable to the
United States for a civil penalty in an amount not to exceed $25,000 for each such violation," for each day
a violation continues. Therefore, the facility can be assessed a penalty for each Form R not submitted or
willfully submitted wrong, and the penally 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 ffl (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.
XHI. 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 they
request this information from the EPCRA Reporting Center?
No, the request for the names cannot be made to the EPCRA Reporting Center. EPA purposely does not
keep a record of individuals or organizations which make requests to the EPCRA Reporting Center. This
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
Act (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), case number
87-1334, A.L. Laboratories vs. EPA, 826 F. 2d 1123 (D.C Circuit 1987).
331. Where will information on toxic chemical emissions and health effects be made available?
A computer database is available to the public through the National Library of Medicine's TOXNET
computer system. The toxic release inventory database provides information on the toxic chemicals which
are routinely released to the environment. Health and environmental effects information on the section
313 chemicals are also be available through TOXNET. EPA 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 OSHA consider to be a carcinogen under the hazard communication standard? Does a
potential carcinogen need to be included under this definition?
According to OSHA's definition: "a chemical is a carcinogen or potential carcinogen for hazard
communication purposes" if it is found on any of three lists: (1) the National Toxicological Program,
Annual report on Carcinogens; (2) the International Agency for Research on Cancer (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 NTP or IARC. Under IARC, a
chemical with a ranking of 1, 2A, or 2B, or having "sufficient" animal evidence is deemed to meet the
OSHA definition.
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 as
follows: an EPA Administrative Law Judge will hear the case at the regional level or at EPA
Headquarters. If the facility disagrees with that decision, they can appeal to an EPA Judicial Officer. If
they disagree there, they can appeal to the US Court of Appeals, and lastly, to the US Supreme Court.
*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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XVI. 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
Senior Management Official
Form R Correction/Revision
Chemical
Solution
Fume or Dust
Asbestos (Friable)
PCBs
Multi-CAS numbers
Generic Chemical Name
Trade Name Product
#311, #314, #324, #327
#313
#316 - #319, #322, #323
#66 - #68, #88
#76, #77, #84, #98, #250, #262
#71, #83, #97, #145 - #147, #157, #217
#92 - #94, #236
#214
#72
#107, #301, #302
#68, #107, #108, #114, #116, #117, #126, #127, #133, #134, #196
Chemical Categories
Threshold determination
De Minimis
Chemical Compounds
Glycol Ethers
Dun & Bradstreet Numbers
Employee Threshold
Contract Employees
Part-Time Employees
Sales Staff
Enforcement
Exemption
Article
Personal Use
De Minimis
Intake Water/Air
Motor Vehicle
Laboratory
Facility Maintenance
Structural Component
Facility
SIC Codes 20-39
Multi-Establishment
Auxiliary
Owner/Operator
Longitude/Latitude
#63, #70, #87, #91, #95, #97, #99, #101, #104, #125, #137, #156,
#157, #164, #166, #201, #202, #217, #218
#109, #111, #113, #139, #158, #195 - #203, #334
#73, #75, #96, #99, #102, #104, #125, #152, #229
#85, #86, #278
#43 - #45
#14 - #18
#14, #17, #18
#13
#256, #317, #320, #321, #325, #335
#169
#55, #87, #89, #109, #112, #157, #163, #180, #204 - #218, #231
#170 - #172, #175
#111, #195 - #203
#160, #173, #174
#184, #185
#40, #186 - #194
#162, #176, #177, #179, #181 - #183
#93, #177 - #180
#7, #9, #27, #37, #61
#1, #4 - #6, #8, #33, #34, #36, #40, #41, #46, #49, #64, #65,
#110, #119, #124, #129, #130, #132
#5, #8, #33 - #40, #42, #49, #132, #149
#40, #64, #65
#21 - #24, #26, #29 - #32, #51
#50
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Manufacture
Coincidential
Import
Byproduct
Impurity
Maximum Amount On-Site
Mixtures
Form R, Part III, Section 2
Concentration
NPDES Permit
Off-Site Location
POTW
Landfill
Waste Broker
Other Disposal
OSHA Carcinogen
Otherwise Use
Chemical Processing Aid
Manufacturing Aid
Parent Company
Process
Repackaging
Article Component
RCRA ID Number
Recycle/Reuse
Releases
Basis of Estimates
Estimating Releases
Fugitive Air Releases
Stack/Point Air Releases
Receiving Stream
Releases to Land
Stormwater
Transfer Off-Site
Underground Injection
Reporting Year
Submission of Form R
Computer Generated Forms
Copies
Extensions
#139, #140, #145, #153, #157, #174, #181
#29, #59, #62, #128, #137, #138
#145, #153, #164
#139, #164, #197
#76, #146
#63, #79, #102 - #104, #133, #196
#105
#53, #63, #80 - #82, #89, #106, #107, #111, #119, #176, #181,
#199, #201, #202, #239, #242, #269, #276, #277
#47, #48, #84, #237, #290
#284
#254, #261, #274, #290
#41, #54, #200, #215, #255, #272, #274, #282, #292
#285, #287
#234, #260
#333, #334
#134, #143, #159, #165, #265
#144, #148
#144, #148
#25, #31, #44, #51
#142, #159
#15, #61, #119, #149, #163
#163
#292
#10, #52, #57, #58, #157, #162, #165, #210, #216, #228, #249,
#281, #283, #285, #286, #289, #295
#74, #75, #205, #216 - #226, #229, #230, #234, #238, #239, #250,
#260, #263
#241, #257
#245 - #248, #251 - #253, #262, #264, #278
#226, #232, #234, #240, #242, #243, #246, #247, #265, #266
#226, #232, #233, #249
#48, #228, #258, #259
#162, #228, #234, #235 - #237, #255, #265, #266, #272, #284
#244, #259
#8, #10, #28, #281 - #295
#221
#3, #21, #24, #27, #32, #42, #51, #98, #145, #228, #312, #317
#309
#307
#308
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Magnetic Media
NA
Technical Contact
Return Receipt
Supplier Notification
MSDSs
Exemptions
SIC Codes
Notification
Threshold
Manufacture
Process
Otherwise Use
TOXNET
Trade Secret
TRI Data Access
TRI Data Use
Waste Minimization
Waste Treatment
Influent Concentration
Neutralization
Treatment Method
Treatment Efficiency
#310
#326
#315, #318
#328
#107 - #134
#107, #117, #119, #122, #123
#109, #111 - #115, #121, #124
#110, #116, #118, #119, #124, #129, #130, #132
#117, #120, #122, #123, #126, #131, #133, #134
#2, #10, #28, #37, #54 - #61, #70, #71, #93, #94, #116, #135 -
#168, #186, #189, #193, #197, #205, #206
#62, #99, #136, #138, #140, #145, #147, #153, #157, #174, #181
#10, #42, #62, #95, #135, #136, #142, #147, #149, #150 - #152,
#154, #155, #158, #159, #163 - #168, #211 - #213, #216, #230,
#231
#52, #74, #95, #135, #143, #148, #150, #152 - #155, #159, #161,
#162, #165, #172, #182, #183, #213, #235
#331
#105, #107, #301 - #306
#329, #336
#332
#296 - #300
#28, #267, #268, #279
#269, #277
#84, #141, #153, #235, #254, #255, #264, #271, #274, #275
#269 - #280, #282
#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
Listed toxic chemicals contained in articles that are processed or used are exempt from threshold
determinations. For a material to be exempt as an article, an item must meet all of the following three
criteria in the section 313 article definition; that is, the item must be one:
i)which is formed to a specific shape or design during manufacture;
ii)which has end use functions dependent in whole or in part upon its shape or design during end
use; and
iii)which does not release a toxic chemical under the normal circumstances of processing or use of
the item at the facility.
If, as a result of processing or use, an item retains its initial thickness or diameter, in whole or in
part, then it meets the first part of the definition. If the item's basic dimensional characteristics are totally
altered during processing or use, the items would not meet the first part of the definition. An example of
items that do not meet the definition would be items which are cold extruded, such as lead ingots which
are formed into wire or rods. However, cutting a manufactured item into pieces which are recognizable as
the article would not change the original exemption as long as the diameter and the thickness of the item
remained the same. For instance, metal wire may be bent and sheet metal may be cut, punched, stamped,
or pressed without losing their article status as long as there is no change in the diameter of the wire or
tubing or the thickness of the sheet.
An important aspect of the article exemption is what constitutes a release of a toxic chemical. Any
processing or use of an article that results in generation of a waste containing the chemical can be
considered a release which negates the exemption. Cutting, grinding, melting or other processing of a
manufactured item could result in a release of a toxic chemical during normal conditions of use and,
therefore, negate the exemption as an article.
However, there are two circumstances for which releases may not negate the exemption of the item
as an article:
• If the resulting waste containing a listed toxic chemical is 100 percent recycled or reused,
on-site or off-site, then the article status is maintained. For section 313 purposes, wastes
containing toxic chemicals are not reportable on Form R if the waste is reused or recycled,
on-site or off-site.
• If the processing or use of similar manufactured items results in a total release of less than
0.5 pound of a toxic chemical to any environmental media in a calendar year, EPA will
allow this release quantity to be rounded to zero and the manufactured items remain
exempt as articles. Facilities should round off and report all estimates to the nearest
whole number. The 0.5 pound limit does not apply to each individual article, but applies
to the sum of all releases from processing or use of like articles.
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DIRECTIVE #2: DE MINIMIS EXEMPTION
The de minimis exemption allows facilities to discount certain minimum concentrations of listed toxic
chemicals in mixtures they process or otherwise use in threshold and release determinations for section
313 reporting. This de minimis level is 0.1 percent by weight for OSHA defined carcinogens and 1 percent
by weight for all other section 313 chemicals. De minimis levels for chemical categories apply to the total
concentration of all chemicals in the category within a mixture, not the concentration of each individual
category member within the mixture.
1. Processing or Use of a Mixture
If a listed toxic chemical is present in a mixture at a concentration below the de minimis level, this
quantity of the substance does not have to be included for threshold determination, release reporting, or
supplier notification requirements.
For processes where the chemical concentration fluctuates above and below the de minimis level due
to dilution or concentration activities, the de minimis exemption applies to the process stages where the de
minimis level is not exceeded. This application is further described in the general section of the Toxic
Chemical Release Inventory Reporting Form R and Instructions document (EPA 560/4-90-007).
Example of Decreasing Process Concentration to Below the De Minimis Level:
A facility buys 29 percent 1,1,1-trichloroethane solution and processes it as a constituent of
a cleaning solution produced. The 1,1,1-trichloroethane is present in the final product at 0.5
percent. The facility must consider all amounts of the 1,1,1-trichloroethane in concentrations
greater than 1 percent in mixtures for threshold and release determinations. Releases might
include fugitive emissions from transferring, mixing, and storing the 29 percent 1,1,1-
trichloroethane solution. However, releases of the 1,1,1-trichloroethane from the 0.5 percent
solution, such as spills, loading, and storage tank emissions, do not have to be reported since
the concentration is below the de minimis concentration of 1 percent for 1,1,1-trichloroethane.
Supplier notification for the 1,1,1-trichloroethane in the cleaning product is not required
because the toxic chemical is present below the de minimis level.
Example of Increasing Process Concentration to Above De Minimis Level:
A manufacturing facility receives toluene which contains less than the de minimis
concentration of chlorobenzene. Through distillation, the chlorobenzene content in process
streams is increased over the de minimis concentration of 1 percent From the point at which the
chlorobenzene concentration exceeds 1 percent in process streams, the amount present must be
factored into threshold determinations and release estimates. The facility does not need to
consider the amount of chlorobenzene in the raw material when making threshold determinations.
They do not have to report emissions of chlorobenzene from storage tanks or any other equipment
where the chlorobenzene content is less than 1 percent.
Example of Increasing Concentration Through Beneficiation:
An oil refinery receives crude oil containing less than the de minimis concentration of toluene.
Through distillation, extraction, and catalytic reforming, the toluene content of the process stream
is increased to above the de minimis level. De minimis exemption does not apply to this operation
since the raw materials are obtained and processed at the facility to produce the toxic chemical
through beneficiation. Note that beneficiation applies specifically to ores, crude petroleum, and
natural gas.
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2. Manufacture of the Listed Chemical in a Mixture
The de minimis exemption does not apply to manufacture of a toxic chemical. One exception applies
to the toxic chemical which is made (manufactured) as an impurity and remains in the product distributed
in commerce at below the de minimis levels, the amount remaining in the product is exempt from
threshold determinations. However, any amount that is separated from the product (e.g., ends up in a
wastestream) is subject to threshold and release determinations regardless of the concentration of the toxic
chemical in the wastestream.
Example of Coincidental Manufacture as a Product Impurity:
Phosgene reacts with water to form trace quantities of hydrogen chloride (HC1). The
resulting product contains 99 percent phosgene and 0.2 percent hydrochloric acid. The HC1
would not be subject to section 313 reporting nor would supplier notification be required
because the concentration of HC1 is below its de minimis concentration of 1 percent.
Example of Coincidental Manufacture as a Commercial Byproduct and Impurity:
Chloroform is a reaction byproduct in the production of carbon tetrachloride. It is
removed by distillation to a concentration of less than 150 ppm (0.0150%) remaining in the
carbon tetrachloride. The separated chloroform at 90 percent concentration is sold as a
byproduct. Chloroform is subject to a 0.1% (1000 ppm) de minimis level. Any amount of
chloroform produced and separated as byproduct must be included in threshold determinations
and is subject to supplier notification requirements because the de minimis exemption does not
apply to manufacture of a chemical. Releases of chloroform prior to and during purification of
the carbon tetrachloride should be reported. The de minimis exemption can, however, be
applied to the chloroform remaining in the carbon tetrachloride as an impurity. Because the
concentration of chloroform is below the de minimis level, this quantity of chloroform is
exempt from threshold determination, release reporting, and supplier notification.
Example of Coincidental Manufacture as a Waste Byproduct:
A small amount of formaldehyde is manufactured as a reaction byproduct during the
production of phthalic anhydride. The formaldehyde is separated from the phthalic anhydride
as a waste gas and burned, leaving no formaldehyde in the phthalic anhydride. The amount of
formaldehyde produced and removed as waste must be included in threshold and release
determinations even if the formaldehyde were present below the de minimis level in the process
stream where it was manufactured or in the wastestream to which it was separated.
The de minimis exemption also does not apply to situations where the manufactured chemical is
released or transferred to waste streams and thereby diluted to below the de minimis level.
3. De Minimis Levels Impact Supplier Notification Requirements
If the toxic chemical in a product (mixture or trade name product) is present below the de minimis
level for that toxic chemical, supplier notification is not required for that chemical.
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DIRECTIVE #3: MOTOR VEHICLES USE EXEMPTION
The use of "products containing toxic chemicals for the purpose of maintaining motor vehicles
operated by the facility" is exempt from threshold determinations and release reporting under section 313.
This exemption includes toxic chemicals found in gasoline, diesel fuel, brake and transmission fluids, oils
and lubricants, antifreeze, batteries, cleaning solutions and solvents in paint used for touch up as long as
the products are used to maintain the vehicle operated by the facility. Motor vehicles include cars, trucks,
some cranes, forklifts, tow motors, locomotive engines, and aircraft.
1. Motor Vehicles Use Exemption Applies Only to "Otherwise Use" of Chemical
The exemption applies only for the "otherwise use" of these chemicals, not their manufacture or
processing for distribution in commerce. For example, manufacturing gasoline is not exempt from
reporting. Similarly, an automobile manufacturer who places transmission fluids in automobiles before
shipping them would be "processing" the listed toxic chemical because the fluid is being incorporated into
an article that the facility distributes in commerce.
Releases from the storage of fuel or motor vehicle maintenance products are exempt from reporting
by virtue of the fact that their use is exempt. For example, releases of listed toxic chemicals in gasoline
stored on-site for use by company owned vehicles, including vehicles from other facilities, are exempt from
inclusion in facility-wide release determination for those chemicals.
2. Motor Vehicle Use Exemption Does Not Apply to Stationary Equipment
The motor vehicle exemption does not apply to use of lubricants for stationary process equipment
such as pumps or compressors. Likewise, fuels used for furnaces, boilers, heaters, or any stationary source
of energy are not exempt
3. Uses of Fuels in Stationary Equipment May Not Trigger Reporting
In many cases, refined petroleum or fossil fuels may not trigger reporting because any section 313
chemicals (e.g., metals in fuel oil and coal) are usually present at very low concentrations and are likely to
be below the de minimis concentration of 1% (0.1% for carcinogens). Manufacturers, processors and users
of gasoline will have to take into account that gasoline contains several aromatic compounds that are on
the section 313 list, including benzene, toluene, xylene, naphthalene, and anthracene.
Be aware, however, that combustion of fuels may coincidentally produce section 313 toxic chemicals,
such as formaldehyde, hydrogen fluoride, and hydrogen chloride. Such coincidental manufacture is not
subject to de minimis limitations (see the directive on de minimis) and amounts produced must be
compared against the manufacturing threshold. The EPA publication, Toxic Air Pollutant Emission
Factors - A Compilation of Selected Air Toxic Compounds and Sources (EPA 450/2-88-006a) contains
emission factors for many specific compounds emitted during fuel combustion.
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DIRECTIVE #4: COMPOUNDS AND MIXTURES
1. Definition of Compounds
A "compound" is any combination of two or more chemicals where the result is (in whole or in part)
a product of a chemical reaction. In the formation of a compound, the reactant chemicals loose their
individual chemical identities. Polymers formed as non-reversible reaction products are an example of
compounds.
2. Definition of Mixtures
A "mixture" is any combination of two or more chemicals, if the combination is not, in whole or in
part, the result of a chemical reaction. In a mixture, the individual components retain their identities.
Mixtures include any combination of a chemical and associated impurities. Alloys are mixtures because
the individual metals in the alloy retain their chemical identities.
3. Mixtures Must be Considered for Section 313 Reporting
Thresholds and release determinations for section 313 reporting must include the amount of the
listed toxic chemical present above the de minimis level in all mixtures processed or otherwise used by the
facility. If a listed toxic chemical is present in a mixture at or above the de minimis level, only the amount
of the toxic chemical, and not the mixture itself, is used for threshold and release determinations.
4. Solutions Listed Under Section 313 are a Special Case
Section 313 toxic chemicals listed with the special qualifier "solution" refers to the form of the
chemical and indicates that it is to be reported only if manufactured, processed, or used in solution form.
However, only the weight of the actual chemical, not the full mass of the solution is used in threshold and
release calculations.
5. Supplier Notification and Concentration Ranges Provide Information for Reporting
The section 313 supplier notification requirements are designed to provide chemical users with
information on the identities and concentrations of listed toxic chemicals present in the mixtures that they
use. There can still be situations, however, when a facility may not have this information for a mixture. If
the facility knows that a mixture contains a toxic chemical but no concentration information is provided by
the supplier, then the facility 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-7
DIRECTIVE #5: CHEMICAL CATEGORIES
1. All Compounds in a Listed Chemical Category are Aggregated for Threshold Determinations
?
Toxic chemical categories listed under section 313 require a different approach when making
threshold and release determinations. For a chemical that is included in a listed metal compound
category, the total weight of that chemical compound, not just the parent metal, is used in making
threshold determinations. A facility will need to calculate the total weight of all compounds that are in
the category, sum the amounts involved throughout the facility in each threshold activity, and compare the
totals to the applicable thresholds. A compound in a listed chemical category that is present in a mixture
below the de mjnimis 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.
1. PCBs in Articles are Exempt
EPA has stated that transformers are articles (and thus exempt from threshold determinations) but
that the release or removal of fluid from the transformer negates the article status. Only the article status
of those transformers which have fluids removed or escaping is affected. However, the PCBs are still not
reportable if no new PCB-containing fluid is added, since the threshold determination is based on fluid
added, not lost. (See Directive #7 on reuse and recycling exceptions.)
EPA has stated that disposal or removal of articles does not constitute release. Therefore, disposal
on-site or off-site transfer of the whole transformer, with fluid content undisturbed, does not negate the
article status. The transformer is not included in threshold determinations, and does not have to be
reported as a release or an off-site transfer of PCBs for purposes of section 313 reporting.
PCBs will rarely meet "otherwise use" thresholds. Calculating the threshold for "otherwise use"
considers the amount of PCBs added to transformers during the reporting year and does not consider the
amount of working fluid contained in the transformer. Legally and practically, facilities will not add PCB
containing fluid to a transformer - so thresholds should not be exceeded in this way.
2. Coincidental Manufacture of PCBs is Subject to Section 313
Facilities involved in coincidental manufacture of PCBs and further processing of mixtures containing
PCBs (in excess of the 0.1 percent de minimis level) must perform manufacturing and processing threshold
determinations.
3. Treatment or Disposal of PCBs Are Unlikeiy to Require Section 313 Reporting
Facilities outside the SIC codes 20-39 which treat and/or dispose of PCBs are not be subject to
section 313 reporting. Those that are in the covered SIC codes may not be subject to reporting because
treatment and/or disposal activities will not represent manufacturing, processing, or using PCBs as defined
under section 313.
Processing represents a potentially covered activity. However, facilities are not likely to be
incorporating PCBs into items distributed in commerce or to be using PCBs as starting material or
intermediate for the production of other chemical substances that are distributed in commerce or used on
site.
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DIRECTIVE #7: REUSE AND RECYCLE EXCEPTIONS
Reuse or recycling of a listed toxic chemical can impact threshold determinations, article exemption
status, reporting of off-site transfers and supplier notification.
1- Process or Otherwise Use of Toxic Chemicals in an On-Site Recycle/Reuse Operation May Be
Exempt From Threshold Determinations
Quantities of a toxic chemical that are present in an on-site recycle/reuse operation at the beginning
of the reporting year are not counted toward a threshold determination for that reporting year. This
exemption prevents the facility from counting the same amount of a toxic chemical everytime it cycles
through the on-site operation. However, only the amount of a toxic chemical newly added to an on-site
recycle/reuse operation during the reporting year is counted in the threshold determinations. Such
additional amounts would include any quantities of a toxic chemical added to "top off" the recycle/reuse
operation or amounts added as result of start-up or total replacement of the contents of the recycle/reuse
operation during the reporting year.
For example, if 2,000 pounds of ammonia is added in the calendar year to a closed loop refrigeration
system that is run at its 12,000 pound capacity all year, then only 2,000 pounds would be applied to the
"otherwise use" threshold for ammonia. In this case, the threshold (10,000 pounds for "otherwise use")
would not be met if this is the facility's only use of ammonia. However, if the entire supply of ammonia in
the refrigeration system was flushed and replaced in addition to the 2,000 pounds being added throughout
the calendar year, then 14,000 pounds would be counted towards the "otherwise use" threshold for
ammonia. In this case, the 10,000 pound threshold for "otherwise use" would be exceeded and a Form R
report would be required for ammonia.
This exemption does not apply to toxic chemicals "recycled" off-site and returned to the facility. Such
toxic chemicals returned to the facility are treated as the equivalent of newly purchased material for
purposes of section 313 threshold determinations.
2. Article Status Is Maintained If All Releases Are Reused or Recycled
An important aspect of the article exemption is what constitutes a release of a toxic chemical. Any
processing or use of an article that results in generation of a waste containing the chemical can be
considered a release which negates the exemption. Cutting, grinding, melting or other processing of a
manufactured item could result in a release of a toxic chemical during normal conditions of use and,
therefore, negate the exemption as an article. However, if the resulting waste containing a listed toxic
chemical is 100% recycled or reused, on-site or off-site, then the article status is maintained. Wastes
containing toxic chemicals are not reportable under section 313 if the waste is reused or recycled, on-site
or off-site.
3. Do Not Report Amounts Sent Off-Site for Reuse or Recycling As Off-Site Transfers
If a toxic chemical is sent off-site for purposes of reuse or recycling, the location does not have to be
reported on Form R as an off-site transfer. EPA requires the identification of all other toxic chemicals in
wastes which are transferred off-site for final disposal. Off-site reuse or recycling activities, however, are
more closely related to facility products distributed in commerce.
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4. Supplier Notification Applies to Chemicals Sent Off-Site for Reuse or Recycling
While the amount of the listed toxic chemical which is sent off-site for reuse or recycling does not
have to be reported on Form R, supplier notification is still required to be provided to the off-site
location if the location is a manufacturing facility in SIC codes 20-39, or is a facility outside of SIC codes
20-39 that distributes to manufacturing facilities.
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DIRECTIVE #8: AMMONIA AND AMMONIA SALTS
1. Determine Total Ammonia By Adding the Ionized and Non-ionized Forms
Aqueous solutions of ammonia contain both non-ionized ammonia, NH3, and ionized ammonia,
NH4+. As the chemical equation below indicates, an equilibrium exists between the non-ionized and
ionized forms of ammonia.
NH3 + 2H2O < > NH4+ + OH" + H2O
The term "total ammonia" refers to the sum of these species, i.e., NH3 + 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-ionized
ammonia (NH3) and ionized ammonia (NH4+) between equimolar aqueous solutions of ammonium salts
that dissociate in water and aqueous ammonia due to buffering effects from the counter ion in the
ammonium salt solution. These differences are reflected by differences in pH. However, this difference
disappears when both solutions are released to the environment The relative amount of un-ionized
ammonia present after release is dependent upon the conditions (i.e., pH and temperature of the receiving
waters). Releases of ammonia to water and releases of ammonium salts to water are environmentally
equivalent Therefore, facilities which manufacture, process, or otherwise use an aqueous solution of an
ammonium salt that dissociates in water are required to report these releases as ammonia if an activity
threshold is met or exceeded.
For example, a facility that buys ammonium sulfate in dry form and then makes a solution by adding
water is required to add all non-ionized ammonia, NHj, and ionized ammonia, NH4+ in the solution when
making threshold determinations and release estimates.
2. Consider Ammonium Hydroxide Solutions as Ammonia Solutions
Ammonium hydroxide solutions should be considered to be ammonia because ammonium hydroxide
is aqueous ammonia. The commercial products "aqua ammonia" or "ammonium hydroxide" are
approximately equivalent to 30 percent solutions of ammonia in water. These products are considered
mixtures of ammonia and water and therefore, should be reported as ammonia.
3. Consider Aqueous Solutions of Most Ammonium Salts as Ammonia
Ammonium salts that dissociate in water such as ammonium chloride, ammonium carbonate, and
ammonium bicarbonate will dissociate in water to form solutions of ammonia. Consequently, facilities
which manufacture, process, or otherwise use an aqueous solution of most ammonium salts are required to
make threshold determinations and if necessary release estimates for ammonia under section 313.
Facilities that manufacture, process, or otherwise use more than one ammonium salt, or ammonia
source must aggregate their data when making threshold determinations and release estimations. Also, the
ammonia from each ammonium salt should be based on the percentage by weight of ammonia in the salt,
and not the entire weight of the ammonium salt. For example, an aqueous ammonia solution is generated
by dissolving 20,000 pounds of ammonia, 100,000 pounds of ammonium sulfate, and 100,000 pounds of
ammonium chloride in water. Ammonium sulfate consists of 27% NH3 by weight. Ammonium chloride
consists of 32% NH3 by weight. Thus, 79,000 pounds of ammonia [20,000 pounds from ammonia + 27,000
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pounds from ammonium sulfate + 32,000 pounds from ammonium chloride] should be compared to the
25,000 pound manufacturing threshold.
4. Determining Threshold Levels and Activities for Ammonia and Ammonium Salts
By adding an ammonium salt to water, the facility is manufacturing aqueous ammonia and
consequently, is subject to the manufacturing threshold of 25,000 pounds. This manufacturing threshold
applies to the ammonia portion of the ammonium salt. The counter ion is not considered for threshold
determinations. If the resulting ammonium salt solution is "otherwise used" at a facility, both activities,
manufacturing and otherwise used, should be indicated on the Form R.
If an ammonia byproduct is not incorporated into a product for commercial distribution, the
"otherwise use" threshold of 10,000 pounds applies. For example, a facility uses sulfuric acid to etch chips,
and then neutralizes the acid with ammonia forming ammonium sulfate. Since the ammonium sulfate is a
byproduct and forms an aqueous solution of ammonia, the facility is otherwise using ammonia.
5. Special Considerations for Ammonium Nitrate and Listed Ammonium Salts
Aqueous releases of other ammonium salts which are individually listed on the section 313 list of
toxic chemicals should be reported as releases of the specific ammonium salt rather than ammonia,
because there may be concerns for the toxicity of the salt in addition to the concerns for ammonia toxicity.
Specifically, ammonium nitrate (CAS number 6484-52-2) is a listed chemical under section 313.
Facilities which manufacture, process, or otherwise use aqueous solutions of ammonium nitrate should
report their releases as ammonium nitrate (solution), and not as aqueous ammonia.
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How to Submit Reports on Diskette
If you are submitting reports on magnetic diskette to EPA you must enclose a
certification cover letter signed by the official listed in Section 2 of Part I of the Form R
(Certification Name and Official Title) for each separate facility. The format and content
of this letter is shown below:
Enclosed please find two (2) microcomputer diskettes (numbers 1 and 2) containing
toxic chemical release reporting information for Pirx-Lewis, Inc., Battery Products
Division, as required under section 313, Title III of the Superfund Amendments and
Reauthorization Act of 1986.
A total of two (2) reports are included from our facility, concerning the following
chemicals:
Report
Chemical Name Number CAS Number
Lead compounds 00001 NA
Zinc 00002 7440-66-6
Our data processing contact is Jeffrey Mills, who can be reached at (SOS) 752-5369.
Mr. Mills is available should any questions or problems arise in your processing of
these diskettes.
I hereby certify that I have reviewed the attached documents and that, to the best of
my knowledge and belief, the submitted information is true and complete and that the
amounts and values in this report are accurate based on reasonable estimates using data
available to the preparers of this report.
A label must be attached to each diskette (not jacket) which may be typed or
legibly handwritten. Any media submitted without a proper label attached will not be
processed and will be returned to the submitter. The format and content of this label is
shown below:
THIS Report
Date
s/c5/fo
Report Yr.
Contact
ft
Density
Num.
]>D
of
TRIPS,
Ac left is a sample diskette label for
Aaerican Manufacturing, which has two double
density diskettes in its package. The
package contains information on two of
Aaerican1s facilities, but the labels should
only list the parent company, Aaerican
Manufacturing, and the data processing
contact at Aaerican. Diskette 1 contains the
files TRI03, TR107, TRISE, and TRITR.
All magnetic media packages must include self-addressed, postage paid return
packaging sufficient to allow EPA to return unreadable media to the facility. The type
of packaging and shipping used for magnetic media are left to the discretion of the
submitting facility. Please send complete magnetic media along with a cover letter (from
each submitting facility containing an original certification signature ) to:
EPCRA Reporting Center
P.O. Box 23779
Washington, DC 20026-3779
Attn: Toxic Chemical Release Inventory Magnetic Media Submission
& U.S. GOVERNMENT PRINTING OFFICE: 1991 28^662
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