United States Office of Emergency and
Environmental Protection Agency Remedial Response
Washington, DC 20460
Superfund
EPA Reporting Requirements for
Continuous Releases of
Hazardous Substances
A Guide for Facilities on
Compliance
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The policies and procedures set forth here are intended as guidance to facilities.
They may not be relied on to create a substantive or procedural right enforceable
by any other person. The Government may take action that is at variance with the
policies and procedures in this manual. This 1997 revised edition of "Assessing
Reports of Continuous Releases of Hazardous Substances - A Guide for Facilities
on Compliance" replaces and updates the October 1990 edition.
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TABLE OF CONTENTS
Page
BACKGROUND iv
PART 1: REPORTING REQUIREMENTS FOR CONTINUOUS RELEASES
OF HAZARDOUS SUBSTANCES 1
1.0 Introduction 1
1.1 CERCLA and EPCRA Release Reporting Requirements 1
1.2 Continuous Releases 3
1.3 Reporting Continuous Releases 6
1.4 Recordkeeping Requirements 9
1.5 EPA's Role in the Continuous Release Reporting Process 12
1.6 Additional Questions 13
1.7 Where to Submit Written Reports 13
1.8 Sources for Further Information 15
PART 2: INSTRUCTIONS AND PROCEDURES FOR CONTINUOUS
RELEASE REPORTING 16
2.0 Introduction 16
2.1 General Overview of How to Report a Continuous Release 16
2.2 Initial Telephone Notification 17
2.3 Initial Written Report and Follow-up Reports 18
2.4 Notifications of Statistically Significant Increases 28
2.5 Reports of Changed Releases 29
2.6 Summary 30
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APPENDICES
Appendix A: Acronyms
Appendix B: Suggested Continuous Release Reporting Format (Blank)
Appendix C: Suggested CR-ERNS Reporting Format-Addendum to TRI Form R (Blank)
Appendix D: Completed Suggested Continuous Release Reporting Format
Appendix E: Completed Suggested CR-ERNS Reporting Format ~ Addendum to TRI Form R
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LIST OF EXHIBITS
EXHIBITS Page
Exhibit 1-1: Reporting Requirements Under CERCLA Section 103 and EPCRA Section 304 ..... 2
Exhibit 1-2: Definitions [[[ 4
Exhibit 1-3: Standard Reporting Requirements ........................................ 6
Exhibit 1-4: Circumstantial Reporting Requirements .................................... 8
Exhibit 1-5: Where to Submit Continuous Release Reports for Releases of
CERCLA Hazardous Substances ....................................... 10
Exhibit 1-6: Where to Submit Continuous Release Reports for Releases of
Non-CERCLA EHSs
Exhibit 1-7:
Exhibit 2-1:
Exhibit 2-2:
Exhibit 2-3:
Exhibit 2-4:
Exhibit 2-5:
Exhibit 2-6:
Exhibit 2-7:
Exhibit 2-8:
Exhibit 2-9:
11
EPA Regional Superfund Offices 14
Checklist of Information Required in the Initial and Follow-up Written Reports 19
Sources of Information for Identifying the Location of
Your Facility 20
Definitions 21
Estimated Average Stream Flow Rates 24
Sources of Information for Estimating Average Lake Depth 24
Normal Range 24
Examples of Reporting Single Hazardous Substances 25
Example of Reporting a Mixture 26
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BACKGROUND
The purpose of this document, "Reporting
Requirements for Continuous Releases of Hazardous
Substances - A Guide for Facilities on Compliance"
(Guide), is to help you understand the definitions and
requirements contained in the U.S. Environmental
Protection Agency's (EPA's) Final Rule on "Reporting
Continuous Releases of Hazardous Substances" (55
Federal Register 30166) published on July 24, 1990,
which amended 40 Code of Federal Regulations Parts
302 and 355. The Continuous Release Rule provides
a reduced reporting option for facilities that release
hazardous substances in a manner that is continuous,
and stable in quantity and rate. This Guide has been
designed to provide facilities who choose this reduced
reporting option with the information necessary to
successfully comply with the continuous release
reporting.
The Guide is divided into two parts. Part 1 provides
general information in a question and answer format
regarding the Continuous Release Rule and the
responsibility of the person in charge of a facility to
report releases of hazardous substances. Part 2
contains detailed instructions on how to prepare
continuous release reports that include all of the
information required to qualify for reduced reporting
under the Rule. Although the Rule applies to both
facilities and vessels, because the reporting elements
from vessels are somewhat different from those of
facilities (e.g., vessels by their nature do not have a set
location), this Guide will only address the reporting
requirements for facilities. Much of the information in
this Guide is applicable to vessels, however, persons in
charge of vessels who wish to report under the
Continuous Release Rule should contact EPA to
discuss vessel-specific requirements in detail.
IV
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PART 1: REPORTING REQUIREMENTS FOR CONTINUOUS RELEASES
OF HAZARDOUS SUBSTANCES
1.0 Introduction
Part 1 of the Reporting Requirements for
Continuous Releases of Hazardous Substances - A
Guide for Facilities on Compliance (Guide) explains
the general reporting (notification) requirements of the
Comprehensive Environmental Response,
Compensation, and Liability Act of 1980 (CERCLA)
and the Emergency Planning and Community Right-
to-Know Act (EPCRA) for hazardous substances, as
well as a number of relevant terms. In addition, it
provides information on what qualifies as a continuous
release under the Rule, and describes the continuous
release reduced reporting requirements in detail,
including how, when, and to whom such releases must
be reported.
1.1
CERCLA and EPCRA Release
Reporting Requirements
Section 103(a) of CERCLA "as amended" and
EPA's implementing regulations (40 Code of Federal
Regulations (CFR) 302.8) require the person in charge
of a facility to immediately notify the Federal
government (the National Response Center or NRC)
whenever a reportable quantity (RQ) or more of a
CERCLA hazardous substance is released unless the
release is federally permitted. The purpose of this
requirement is to notify officials of potentially
dangerous releases so that they can evaluate the need
for a response action. CERCLA hazardous substances
are defined in Section 101(14) of CERCLA and
include over 800 specific CERCLA listed substances
(40 CFR 302.4), as well as, hazardous substances that
have been defined under other statutes.
Likewise, Section 304 of EPCRA (also known as
Title III of the Superfund Amendments and
Reauthorization Act (SARA)) and EPA's
implementing regulations (40 CFR 355.40) require the
owner or operator of a facility to immediately notify
state and local officials whenever an RQ or more of a
CERCLA hazardous substance is released. These
same Sections also require the owner or operator of a
facility to immediately notify state and local authorities
whenever there is a release of an RQ or more of any of
the 356 listed Extremely Hazardous Substances
(EHSs); approximately 222 of these EHSs are not
CERCLA hazardous substances, but are non-CERCLA
EHSs. Notifications under Section 304 of EPCRA must
be given both to the local emergency planning
committee (LEPC) of any area likely to be affected by
the release and to the state emergency response
commission (SERC) of any state likely to be affected
by the release. If the release is located on Tribal lands
and a Tribal Emergency Response Commission
(TERC) exists, notification must be given to the
appropriate TERC. For the purposes of this Guide, all
references to requirements for reporting to SERCs and
LEPCs under EPCRA should be construed to include
the same requirements for reporting to TERCs, if
appropriate.
The reporting requirements between CERCLA
and EPCRA are slightly different. These differences
are outlined in Exhibit 1-1 and are reviewed in the
following sections.
What is a facility?
A "facility" is defined under CERCLA to include
any building, structure, installation, equipment, pipe or
pipeline, well, pit, pond, lagoon, impoundment, ditch,
landfill, storage container, motor vehicle, rolling stock,
or aircraft or any site or area where a hazardous
substance has been deposited, stored, disposed of or
placed, or otherwise come to be located. There may be
one or more facilities at a particular site. For example,
a site may be comprised of four facilities including one
building, one lagoon, and two storage containers.
The definition of the term "facility" under
EPCRA differs from the CERCLA definition. Under
Section 329(4) of EPCRA, a facility is defined as all
buildings, equipment, structures, and other stationary
items that are located on a single site or on contiguous
or adjacent sites that are owned and controlled by the
same person. For emergency release reporting, the
EPCRA definition of facility also includes motor
vehicles, rolling stock, and aircraft.
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EXHIBIT 1-1:
REPORTING REQUIREMENTS UNDER CERCLA SECTION 103 AND EPCRA SECTION 304
Definition of
a Facility
Relevant
Chemical List
Notification
Requirements
Constituents
of a Release
CERCLA Section 103
Defined in Section 101(9) of CERCLA as
including any building, structure, installation,
equipment, pipe or pipeline, well, pit, pond,
lagoon, impoundment, ditch, landfill, storage
container, motor vehicle, rolling stock, or
aircraft on any site or area where a hazardous
substance has been deposited, stored, disposed
of or placed, or otherwise come to be located.
CERCLA hazardous substances
(40 CFR 302.4)
National Response Center (NRC)
Any release at or above a specified Reportable
Quantity (RQ) into the environment (on-site or
off-site)
EPCRA Section 304
A facility is defined in Section 329(4) of EPCRA
as all buildings, equipment, structures, and other
stationary items that are located on a single site
or on contiguous or adjacent sites that are owned
and controlled by the same person.
CERCLA hazardous substances (40 CFR 302.4)
and 356 EPCRA Section 302 EHSs (Appendix A
to 40 CFR 355)
SERC(s), LEPC(s), and TERC(s)
Any release at or above a specified Reportable
Quantity (RQ) with exposure to off-site
environment
When does a hazardous substance release occur?
Under CERCLA, a "release" occurs when a
hazardous substance enters the environment. A key
element of the definition of release is the phrase "into
the environment." The environment includes all
media: air, land (surface or subsurface strata), surface
water, and ground water (including drinking water
supply). Examples of hazardous substances released
into the environment include: releases from pipes onto
the ground; releases from stacks into the air; or other
uncontained discharges. If such a release of a
CERCLA hazardous substance occurs in a quantity
that equals or exceeds an RQ in a 24-hour period, it
must be reported immediately to the NRC.
The definition of a release is similar under
EPCRA, however generally EPCRA reporting
requirements do not apply if the release results in
exposure to persons solely within the facility (i.e., site)
boundaries. Releases of CERCLA hazardous
substances and EHSs in quantities that equal or exceed
an RQ must also be reported to the SERC and LEPC.
What is a reportable quantity?
Each CERCLA hazardous substance is assigned
an RQ. When an RQ or more of a CERCLA
hazardous substance is released from a facility during
a 24-hour period, it triggers the reporting requirements
of Section 103 of CERCLA. An RQ is not an absolute
measure of the risk associated with the hazardous
substance; the purpose of an RQ is to trigger the
reporting of a hazardous substance release. The actual
risk posed to human health and the environment will
vary with the circumstances of the particular release;
many factors other than the size of the release may
influence the risk and thus the need for a government
response. Except for radionuclides (which are
expressed in curies), the RQ is expressed in pounds
(i.e., 1 Ib, 10 Ibs, 100 Ibs, 1000 Ibs, 5000 Ibs). You
can find a list of hazardous substances and their
associated RQs in the CFR in Table 302.4 at 40 CFR
Part 302.
EHSs that are not CERCLA hazardous
substances (i.e., non-CERCLA EHSs) are assigned
reporting triggers (RQs) under Section 304 of EPCRA.
RQs for non-CERCLA EHSs were adjusted on May
7, 1996 at 61 FR 20473 and are in 40 CFR Part 355.
EPCRA
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Section 304 requires that any release of an EHS that
equals or exceeds an RQ established under either
CERCLA or EPCRA be reported immediately to the
appropriate SERC and LEPC.
How are releases of CERCLA hazardous substances
reported?
Generally, CERCLA Section 103(a) requires the
person in charge of a facility to notify the NRC
immediately if that person has knowledge that an RQ
or more of a hazardous substance has been released
from the facility within a 24-hour period. To
determine whether an RQ or more of a specific
CERCLA hazardous substance has been released
within a 24-hour period, the person in charge must
consider the amount released from all sources at the
facility and determine if together the release of the
hazardous substance equals or exceeds an RQ. For
example, if a facility has three sources, each releasing
1/3 of an RQ of a CERCLA hazardous substance X
over the same 24-hour period, and the release of
hazardous substance X is not federally permitted, the
person in charge must report that release to the NRC.
(The NRC's telephone number is listed on page 15 of
this Guide).
The EPCRA Section 304 reporting requirements
parallel the CERCLA notification requirements, but
apply to the owner or operator of a facility, and are
intended to make release information available
immediately to state and local authorities. For the
purposes of EPCRA, to determine whether an RQ or
more of a CERCLA hazardous substance or EHS has
been released over a 24-hour period, the owner or
operator must consider the amount released from all
sources at the facility and determine if together the
release of the hazardous substance equals or exceeds
an RQ. For example, if a facility has three sources,
each releasing 1/3 of an RQ of a CERCLA hazardous
substance or non-CERCLA EHS X over the same 24-
hour period, and the release of hazardous substance X
is not federally permitted, the person in charge must
report that release to the appropriate SERC and LEPC.
You can obtain the telephone numbers for appropriate
state authorities (SERC) and local authorities (LEPC)
by calling the RCRA/Superfund/EPCRA Hotline. See
page 15 of this Guide for telephone numbers.
The primary reason for these notification
requirements is to alert government officials to releases
of CERCLA hazardous substances and EHSs that may
require a timely response action to prevent or mitigate
damage to public health or welfare or the environment.
1.2 Continuous Releases
What is the continuous release reduced reporting
option?
CERCLA Section 103(f)(2) and EPA's
implementing regulations at 40 CFR Parts 302 and
355, provide a special reduced reporting option for
"continuous" releases of CERCLA hazardous
substances and EHSs. This CERCLA and EPCRA
reporting relief applies to facilities that release
CERCLA hazardous substances or EHSs that are
"continuous" and "stable in quantity and rate" under
the regulatory definition of 40 CFR 302.8(b). For
these types of releases, reporting facilities can choose
either to: 1) report on a per occurrence basis, or 2)
report as a "continuous" release in accordance with the
Continuous Release Rule, "Reporting Continuous
Releases of Hazardous Substances" (55 FR 30166)
published on July 24, 1990, which amended 40 CFR
Parts 302 and 355.
The purpose of CERCLA Section 103(f)(2) is to
reduce reporting of predicable release notifications.
CERCLA Section 103(f)(2), however, does not
eliminate the requirement to report. Government
response officials need to receive some notification of
each hazardous substance release that equals or
exceeds an RQ on a continuous basis, so that the
release can be evaluated and if necessary, a response
action can be taken.
What is a continuous release?
A "continuous release" is a release of a hazardous
substance that is "continuous" and "stable in quantity
and rate" under the regulatory definitions of these
terms listed in Exhibit 1-2. A continuous release may
be a release that occurs 24 hours a day (e.g., a radon
release from a stockpile) or a release that occurs during
a certain process (e.g., benzene released during the
production of polymers) or a release that occurs
intermittently (e.g., the release of a hazardous
substance from a tank vent each time the tank is
filled).
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EXHIBIT 1-2: DEFINITIONS
Continuous. A continuous release is a release
that occurs without interruption or abatement, or
that is routine (i.e., occurs during normal
operating procedures or processes), anticipated,
intermittent, and incidental to normal operations.
Stable in quantity and rate. A release that is
stable in quantity and rate is a release that is
predictable and regular in the amount and rate of
emission.
Some releases resulting from malfunctions may
also qualify for reduced reporting as continuous
releases under Section 103(f)(2) if they are incidental
to normal plant operations or treatment processes, are
stable in quantity and rate, and either (1) occur without
interruption or abatement or (2) are routine,
anticipated, and intermittent. For example, fugitive
emissions from valves that occur at different rates over
the course of a production cycle may be a malfunction
that qualifies for reduced reporting. The determinative
question of whether any release, including a
malfunction, qualifies for reporting under Section
103(f)(2) is whether the release satisfies the definitions
of "continuous" and "stable in quantity and rate."
Releases must be sufficiently predictable and
regular so that the person in charge, or the owner or
operator of the facility can provide a full description of
the release to government authorities. Upon receipt of
continuous release information, government officials
will evaluate the risk associated with the release and
determine the need for a response action.
Do releases that result from unanticipated events
qualify for reduced reporting as continuous
releases?
Releases of CERCLA hazardous substances that
are the result of unanticipated incidents do not qualify
for reduced reporting under Section 103(f)(2). Such
episodic incidents include spills, equipment failures, or
the emergency shutdown of equipment. Also included
are releases from malfunctions that are not continuous
or stable, such as pipe ruptures. Although these
releases may occur with some regular statistical
frequency, unanticipated incidents by their nature do
not produce releases that are continuous or sufficiently
regular or predictable in quantity and rate to satisfy the
requirements for reporting them as continuous
releases. If you are aware that such an episodic release
of a CERCLA hazardous substance has occurred in a
quantity equal to or greater than an RQ, you must
report the release immediately to the NRC, SERC, and
LEPC.
How do you handle simultaneous continuous
releases from several sources and determine
whether such releases must be reported?
To determine whether a hazardous substance
release is reportable under CERCLA, you must identify
whether the release equals or exceeds an RQ. If your
facility is releasing a hazardous substance from several
sources simultaneously, you must aggregate the
releases of the hazardous substance across all of the
facility's sources to determine whether an RQ or more
of a hazardous substance has been released from your
facility.
If you release an RQ or more of the same
CERCLA hazardous substance from more than one
facility (e.g., building, surface impoundment, or
lagoon), the Continuous Release Rule (40 CFR
302.8(1)) provides you with two reporting options
under CERCLA. To meet the requirements of
CERCLA, you may either: 1) aggregate multiple
concurrent releases of the same hazardous substance
from contiguous or adjacent facilities and report them
in a single notification; or 2) consider releases from
each facility separately and submit separate reports on
a facility-specific basis. Under EPCRA the definition
of facility includes all "buildings, equipment,
structures, and other stationary items that are located
on a single site or on contiguous or adjacent sites that
are owned and controlled by the same person"
therefore, all releases from contiguous or adjacent
facilities are, by definition, aggregated. For the
purposes of EPCRA, these items must be reported as
one facility.
Although under CERCLA you may select either
option for reporting continuous releases, whichever
option you select must be used for all continuous
release reporting. For example, if you report releases
on a facility-specific basis, statistically significant
increases (SSIs) in the release must also be reported on
a facility-specific basis. If you select the option of
aggregating releases from contiguous or adjacent
facilities and reporting them in a single notification,
you may have a single SSI trigger for all the releases.
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How do you establish a basis for reporting releases
as continuous?
To qualify a release for reporting as a continuous
release, you must establish a basis for asserting that the
release is continuous and stable in quantity and rate.
The Continuous Release Rule provides you with
flexibility in establishing this basis. You may report
the release to either the NRC (for CERCLA hazardous
substances) or the appropriate SERC and LEPC (for
CERCLA hazardous substances and non-CERCLA
EHSs) on a per-occurrence basis for the period of time
necessary to establish that the pattern of the release is
continuous and stable. However, if you have a
sufficient basis for establishing the continuity,
quantity, and regularity of a release, multiple reports
are not necessary. A one-time telephone call to each of
the appropriate authorities (the NRC, SERC, and
LEPC for CERCLA hazardous substances, or only the
SERC and LEPC for non-CERCLA EHSs) will alert
them to your intent to report the release as a
continuous release.
You may establish the pattern of the release by
relying on past release data, engineering estimates,
your knowledge of the facility's operations and release
history, or your best professional judgment.
Monitoring data are not required. Regardless of which
method is used, however, all estimates reported for a
particular release must have a sound technical basis.
The basis for asserting that the release is continuous
and stable in quantity and rate will be included in your
written report.
Are the reporting requirements different under
CERCLA and EPRCA?
The reporting requirements for CERCLA and
EPCRA are slightly different. CERCLA covers only
CERCLA hazardous substances. EPCRA covers both
CERCLA hazardous substances, and EPCRA EHSs
(EPCRA EHSs are made up of some CERCLA
hazardous substances and some non-CERCLA
hazardous substances).
CERCLA hazardous substances must be reported:
1) in accordance with CERCLA, to the NRC; 2) in
accordance with EPCRA, to the appropriate SERC and
LEPC. Those listed EHSs which are also CERCLA
hazardous substances fall under both CERCLA and
EPCRA and must also be reported to the NRC, SERC,
and LEPC.
Non-CERCLA EHSs (those EHSs which are not
covered under CERCLA) are governed by EPCRA and
so must only be reported to the appropriate SERC and
LEPC. The remainder of this Guide will discuss
reporting requirements to the NRC, SERC, and LEPC
in detail, and these requirements will also be
illustrated in several exhibits. However, it is
important to remember that in all cases non-CERCLA
EHSs need not be reported to the NRC.
Exhibit 1-1, on page 2, explains the different
reporting requirements under CERCLA and EPCRA,
including the definition of facility, the relevant
chemical list, notification requirements, and
constituents of a release.
What reporting is required for continuous releases
of CERCLA hazardous substances?
Although Section 103(f)(2) provides for reduced
reporting of continuous releases, it does not eliminate
the need to report such releases. The continuous
release reporting requirements for CERCLA hazardous
substances are described in detail in Section 1.2 -
Reporting Continuous Releases. The different types of
continuous release telephone notification and written
reports are explained more fully on the following
pages. There are three standard reporting
requirements: the initial telephone notification; the
initial written report; and the written first anniversary
follow-up report. In all cases, each facility must
submit these reports. These main reporting
requirements are outlined in Exhibit 1-3 on page 6. In
addition to the standard reporting requirements, there
are three additional reports for special circumstances:
a report of an SSI and two types of reports of changes
in previously submitted continuous release
information. These special reports will only be
submitted by those facilities that encounter these
particular situations. The additional circumstantial
reporting requirements are outlined in Exhibit 1-4 on
page 8. Exhibit 1-5, on page 10, outlines where to
submit continuous release reports for release of
CERCLA hazardous substances. In addition, to help
you understand the reporting requirements of the Rule,
Part 2 of this Guide contains specific procedures and
instructions for complying with the requirements for
CERCLA hazardous substances.
What reporting is required for non-CERCLA
EHSs?
Releases of non-CERCLA EHSs may qualify as
continuous releases as long as they satisfy the
regulatory definitions in the Continuous Release Rule.
Therefore, continuous releases of non-CERCLA EHSs
are entitled to reduced reporting requirements under
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EPCRA. The continuous release notification
requirements for such releases are slightly different
from the requirements for releases of CERCLA
hazardous substances as described below.
If your facility has a continuous release of a non-
CERCLA EHS, you must establish the release as
continuous and stable in quantity and rate by making
an initial telephone call to the appropriate SERC and
LEPC, and by submitting an initial written report to
the SERC and LEPC. These notifications will provide
state and local response officials with sufficient
information to assess the release and to determine
whether it qualifies for reduced reporting.
Additional circumstantial reporting requirements
for non-CERCLA EHSs that are continuous and stable
in quantity and rate include immediate reporting of
SSIs and reporting changes in the source or
composition of the release. Under the requirements of
EPCRA Section 304, you must submit a written
follow-up notice to the SERC and LEPC within 30
days of a report of an SSI.
Exhibit 1-6, on page 11, illustrates to whom you
must submit each type of continuous release report for
releases of non-CERCLA EHSs. For a summary of the
information required in the reports you must submit
for continuous releases, please refer to Part 2.
1.3 Reporting Continuous Releases
What are the standard requirements for reporting
a continuous release of a hazardous substance?
There are three steps in the standard continuous
release reporting process. Each step in the process
involves a different type of continuous release
notification. The three types of notification required to
report a CERCLA hazardous substance are
summarized in Exhibit 1-3. The reporting
requirements for non-CERCLA EHSs are slightly
different and will be addressed in detail in the
following sections.
To begin the reporting process for continuous
releases, you must have a sufficient basis for
establishing that the release is continuous and stable in
quantity and rate. Once such a basis has been
established, the initial telephone notification should be
made.
EXHIBIT 1-3:
STANDARD REPORTING
REQUIREMENTS
The reporting requirements for continuous
releases of CERCLA hazardous substances are:
Step 1 Initial telephone notification to
the NRC, SERC, and LEPC;
Step 2 Initial written report to the
EPA Regional Office, SERC, and
LEPC; and
Step 3 A one-time first anniversary follow-up
report to the EPA Regional Office.
Step 1: Initial Telephone Notification
For CERCLA hazardous substances, you must
make an initial telephone call to three separate
government authorities: the NRC, the appropriate
SERC, and the appropriate LEPC. For non-CERCLA
EHSs, you need only call the appropriate SERC and
LEPC. In either case, the initial telephone calls will
alert authorities to your intent to report a release as a
continuous release. When calling, please be certain
that your intent is clear to those receiving your
telephone call. See Part 2 of this Guide for a summary
of the information that must be provided to
government officials in the initial telephone call.
How will EPA identify continuous release reports?
If you are reporting a release of a CERCLA
hazardous substance, when you make the initial
telephone notification, the NRC will assign a case
number to your release report. This case number will
become EPA's identifier for your facility. EPA calls
this number your facility's CR-ERNS number. You
must use this CR-ERNS number on all future release
reports or correspondence related to continuous
releases from your facility. The CR-ERNS number
will identify your facility and will enable EPA to link
all reports about releases from your facility. If you
misplace your CR-ERNS number, contact the
appropriate EPA Regional Office and provide
information identifying your facility.
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Since your facility has only one overall
"continuous release" (which may be made up of a
number of individual continuous releases of hazardous
substances from a number of sources) your facility
should have only one CR-ERNS number. Once
assigned to your facility, the CR-ERNS number will
not change with different release reports such as the
follow-up report, statistically significant increase
reports, and changed release reports.
If you are reporting a release of a non-CERCLA
EHS, since you do not report to the Federal authorities
you will not receive a CR-ERNS number. CR-ERNS
numbers are only used by EPA to track your
continuous release. Since a release of a non-CERCLA
EHS will not be reported to EPA, and since your SERC
and LEPC will use their own methods to track your
release, no CR-ERNS number is required for a release
of a non-CERCLA EHS.
If you elect to aggregate multiple concurrent
releases of CERCLA hazardous substances from
adjacent or contiguous facilities for purposes of
reporting continuous releases, you will be assigned
only one CR-ERNS number for your aggregated
release in your initial telephone call. This number will
be the CR-ERNS number for the entire site and should
be used on all subsequent release reports and
correspondence.
If you misplace your CR-ERNS number, contact
your EPA Regional Office (see pages 14 and 15 for
telephone numbers), provide information identifying
your facility, and the EPA Regional Office will provide
you with your CR-ERNS number.
Step 2: Initial Written Report
Within 30 days of the initial telephone
notification, you are required to submit an initial
written report to the appropriate EPA Regional Office,
SERC, and LEPC (for releases of CERCLA hazardous
substances) and to only the appropriate SERC and
LEPC (for releases of non-CERCLA EHSs). (See
pages 14 and 15 for a listing of the addresses of the
EPA Regional Offices.) The purpose of this report is
to confirm your intent to report your release as a
continuous release under Section 103(f)(2), and to
provide government response officials with sufficient
information about your release to enable them to
determine if the release qualifies as a continuous
release. The information will also allow government
officials to identify the potential risks associated with
the release.
The initial written report must include specific
information about each source of the continuous
release. This information should include: a brief
statement describing the basis for asserting that the
release is continuous and stable in quantity and rate;
hazardous substance information; the environmental
medium affected (i.e., air, surface water, soil, or
ground water); and certain ecological and population
density information. A detailed discussion of the
requirements of the initial written report is provided in
Part 2 of this Guide.
To assist you in preparing both the initial written
report and the one-time first anniversary follow-up
report discussed below, EPA has included a Suggested
Continuous Release Reporting Format as Appendix
B of this Guide. Using the format will ensure that you
have provided EPA with all the information required
to properly assess your continuous release report. This
format is also available electronically for EPA
Regional Offices. An example of a properly
Completed Suggested Continuous Release Reporting
Format can be found in Appendix D.
Step 3: First Anniversary Follow-up Report
For reports of releases of CERCLA hazardous
substances, within 30 days of the first anniversary of
your initial written report, you are required to reassess
your initial continuous release report and gather the
information on all of the reported substances being
released. After doing this, you must submit a one-
time, written first anniversary follow-up report to the
appropriate EPA Regional Office. Please note that the
first anniversary follow-up report must be sent to the
appropriate EPA Regional Office for all reports of
CERCLA hazardous substances, but is not required for
reports of non-CERCLA EHSs.
The information required in the written follow-up
report is identical to that required in the initial written
report, but it should be based on release data gathered
over the year (i.e., during the period since the
submission of the initial written report). The principal
purpose of the follow-up report is to update and
confirm the information submitted in the initial
written report, thereby providing government
authorities with a more accurate baseline against
which to evaluate the risks associated with the
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continuous release. After you have submitted the
follow-up report to the EPA Regional Office, you are
responsible for reassessing the release annually, but
you are not required to notify EPA of each
reassessment unless there is a change in the
information previously submitted to EPA.
Are there additional continuous release reporting
requirements?
There are two additional types of continuous
release reporting requirements: a requirement for
notification of an SSI and requirements for notification
of changes to previously submitted continuous release
information. These reports are used during specific
circumstances and are illustrated in Exhibit 1-4.
EXHIBIT 1-4: CIRCUMSTANTIAL
REPORTING REQUIREMENTS
There are two types of additional
reporting requirements for continuous
releases of CERCLA hazardous
substances that are only used during
specific circumstances. These
requirements are:
(1) Notification of an SSI:
- Immediate notification of an
SSI to the NRC, SERC, and
LEPC.
(2) Notification of a change in
previously submitted release
information. Either:
- Notification of a change in
source or composition,
which is treated as if it
were a new release (i.e.,
with a telephone call to the
NRC, SERC, and LEPC,
followed by a written report
and a first anniversary
follow-up report); or
- For CERCLA substances
only, notification of any
other type of change (e.g.,
a change in facility
ownership) in a written
letter to only the EPA
Region.
Statistically Significant Increase Notifications
An SSI is any episodic release of a hazardous
substance that exceeds the release quantity delineated
in the upper bound of the normal range of the facility's
continuous release report. The normal range is defined
to include all the releases of a hazardous substance
(from all sources) occurring over any 24-hour period
under normal operating conditions during the
preceding year. Only those releases that are both
continuous and stable in quantity and rate may be
included in the normal range. The aggregated upper
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bounds of the normal range of each hazardous
substance is referred to throughout this Guide as the
"SSI trigger." A detailed explanation of the SSI
trigger and instructions for calculating the trigger are
included in Part 2 of this Guide.
An SSI in a continuous release of a CERCLA
hazardous substance must be reported to the NRC,
SERC, and LEPC as soon as the person in charge is
aware that the release exceeds the SSI trigger. SSIs in
a continuous release of a non-CERCLA EHS must be
reported to the appropriate SERC and LEPC. Because
an SSI is a type of episodic release, it is treated as such
by the NRC.
The NRC may provide you with an SSI number.
This number is not to be confused with your facility's
CR-ERNS number. When reporting an SSI, the caller
should anticipate that the NRC will ask for
information that is similar to what is asked when a
person reports any other episodic release incident. SSI
reports to the NRC must include the CR-ERNS
number assigned to
the facility by the NRC during the original initial
telephone notification.
Please note that, it may be possible to adjust the
SSI trigger (i.e., change the normal range of the
release) if a particular continuous release frequently
exceeds the upper bound of the normal range. Specific
procedures for modifying the SSI trigger for a
hazardous substance are contained in Part 2.
Changes in Previously Submitted Release
Information
There are two types of reports of changes in
previously submitted release information: reports of a
change in source or composition; and reports of
changes in other information.
How do you report changes in source or
composition?
If there is a change in the source or composition
of your continuous release of a CERCLA hazardous
substance, the release is considered a "new" release. A
change in the source or composition of a release may
be caused by such factors as equipment modifications
or process changes. To continue reporting the release
under CERCLA Section 103(f)(2), you must establish
the new release as continuous and stable in quantity
and rate, with an initial telephone call to the NRC,
SERC, and LEPC and, within 30 days, submit an
initial written report to the appropriate EPA Regional
Office, SERC, and LEPC. When telephoning the
NRC, clearly identify the release as a change in the
source or composition of a previously reported release
and for reports of releases of CERCLA hazardous
substances, provide the CR-ERNS number assigned by
the NRC in your original initial telephone call. As
with your original continuous release report, you must
submit a first anniversary follow-up report to the EPA
Region for any changes in source or composition of
CERCLA hazardous substances.
If there is a change in source or composition of
your continuous release of a non-CERCLA EHS, it is
also considered a new release. An initial telephone
call must be made to the appropriate SERC and LEPC,
followed by an initial written report.
How do you report changes in other information?
For all other changes (i.e., changes other than in
the source or composition) in the information
submitted in any initial written or follow-up report for
releases of CERCLA hazardous substances, you must
notify the EPA Regional Office by letter within 30 days
of determining that the information previously
submitted is no longer accurate. Although notification
of the SERCs and LEPCs for either CERCLA
hazardous substances or non-CERCLA EHSs is not
required by the Continuous Release Rule, SERCs and
LEPCs should be notified of these changes to properly
update the facility's file.
Examples of changes in other information
include: changes in the facility ownership; changes in
the identity of the person in charge of the facility; or
changes in the sensitive populations and ecosystems.
All notifications of changes in releases of CERCLA
hazardous substances must include the original CR-
ERNS number assigned to the facility by the NRC in
the initial telephone notification. You must also
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include a signed statement with the notification verifying that all reported
information on the release submitted to date is accurate and current. A
similar signed statement is required in all written correspondence pertaining
to the continuous release. For an example of the statement required under the
Rule, see Part 2 of this Guide.
1.4 Recordkeeping Requirements
What are my recordkeeping responsibilities as a person in charge of a
facility?
To satisfy the specific requirements for reporting continuous releases,
you are responsible for estimating or calculating the quantities of all
continuous releases that you report by whatever methods are appropriate. As
stated above, this may involve reliance upon past release data, engineering
estimates, knowledge of plant operations and release history, your best
professional judgment, or any other method that has a sound technical basis.
All estimates, however, must have a sound technical basis.
In addition, you must keep the information substantiating the estimates
you have reported on file at your facility. Supporting materials must be kept
on file for a period of one year and should substantiate the normal range of
the release, the basis for asserting that the release is continuous and stable in
quantity and rate, and the other information included in the initial written
report, the follow-up report, or the most recent annual evaluation. EPA may
question the basis for your determination that a release is continuous and
stable or any other submitted information, and may ask to review the
substantiating information. It is important, therefore, to keep an accurate
account of the history of all continuous releases at your facility and evaluate
these releases carefully for changes, and for SSIs as well.
EXHIBIT 1-5
WHERE TO SUBMIT CONTINUOUS RELEASE REPORTS FOR RELEASES OF
CERCLA HAZARDOUS SUBSTANCES
10
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Continuous Release
Reporting Requirements
Standard
Reporting
Requirements
Circumstantial
Reporting
Requirements
Initial Telephone
Notification
Initial Written Report
Follow-up Report
SSI Telephone
Notification
Change of Release
Information1
(New Release)
Change in Other
Information2 (Letter)
National
Response
Center
(NRC)
/
/
/
State Emergency
Response
Commission
(SERC)
/
/
/
/
Local Emergency
Planning
Committee
(LEPC)
/
/
/
/
Environmental
Protection Agency
(EPA)
Regional Office
/
/
/
/
1. A change of previously submitted release information (i.e., source or composition) is treated like a "new release". Therefore, for reports of CERCLA hazardous
substances, the person in charge of the facility must first make an initial telephone notification to the NRC, SERC, and LEPC to report the change. The facility must
then send a written report to the SERC, LEPC, and appropriate EPA Regional Office. Within 30 days of the first anniversary of the Initial Report, for reports of
releases of CERCLA hazardous substances, the facility must send a follow-up report to the appropriate EPA Regional Office.
2. A change in other information is usually a change in general information regarding the facility (i.e., a change in the person in charge of the facility or sensitive
population). According to the Rule, a facility is only required to submit a letter to the appropriate EPA Regional Office stating these changes. Although a facility is
not required to submit the changes to the SERC and LEPC, it is recommended that a reporting facility do so in order to properly update the facility's files.
EXHIBIT 1-6
WHERE TO SUBMIT CONTINUOUS RELEASE REPORTS FOR RELEASES OF NON-CERCLA EHSs
11
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Continuous Release
Reporting Requirements
Standard
Reporting
Requirements
Circumstantial
Reporting
Requirements
Initial Telephone
Notification
Initial Written Report
Follow-up Report
SSI Telephone
Notification
Change of Release
Information1
(New Release)
Change in Other
Information2 (Letter)
National
Response
Center
(NRC)
State Emergency
Response
Commission
(SERC)
/
/
/
/
Local Emergency
Planning
Committee
(LEPC)
/
/
/
/
Environmental
Protection Agency
(EPA)
Regional Office
1. A change of previously submitted release information (i.e., source or composition) is treated like a "new release". Therefore, for reports of non-CERCLA EHSs,
the owner or operator of the facility must first make an initial telephone notification to the appropriate SERC and LEPC to report the change. The facility must then
send a written report to the SERC and LEPC.
2. A change in other information is usually a change in general information regarding the facility (i.e., a change in the person in charge of the facility or sensitive
population). According to the Rule, a facility is not required to submit the changes to the SERC and LEPC, but it is recommended that a reporting facility do so in
order to properly update the facility's files.
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1.5 EPA's Role in the Continuous
Release Reporting Process
required in the initial written report and first
anniversary follow-up reports. This checklist provides
an overview of the information required and is another
means that you can use to verify that all required
information has been collected and submitted.
How will continuous release information be
processed?
When EPA receives the CERCLA hazardous
substance continuous release information, the Agency
will create a file for your facility. The information you
submit in the initial written and first anniversary
follow-up report will be entered into the Continuous
Release - Emergency Response Notification System
(CR-ERNS) database. EPA will also enter any reports
of changes in the release into CR-ERNS. CR-ERNS is
a central depository for all continuous release
information received by the NRC and the EPA
Regions. Information in CR-ERNS will be stored in a
national database at the John A. Volpe National
Transportation Systems Center (VNTSC) in
Cambridge, MA.
How will EPA evaluate the potential threat posed
by a continuous release?
The potential threat posed by a continuous
release of a hazardous substance is determined by
assessing its toxicity, the quantity and frequency of the
release, and the proximity and nature of the potentially
exposed population and environment. EPA will
evaluate the health and environmental risks posed by
continuous releases. Information from written reports
will be combined with toxicity information on the
hazardous substance(s) released to generate risk
estimates for each release. It is important, therefore,
that the information you report is as accurate as
possible. If data elements are missing, EPA will be
forced to use conservative estimates.
What assistance will be provided by EPA
throughout the reporting process?
EPA has included a Suggested Continuous
Release Reporting Format for written reports located
in Appendix B of this Guide. This suggested Format
is designed to assist you in completing the written
reports and ensuring that all of the required
information is included in your written reports.
In addition, on page 19 of this Guide, you can
find Exhibit 2-1, a checklist of the information
In addition to the detailed explanation of the
specific continuous release reporting requirements
contained in this Guide, your EPA Region or the
RCRA/Superfund/EPCRA Hotline (telephone numbers
are provided on pages 14 and 15) can also provide
assistance in understanding and complying with all
reporting requirements.
What actions may EPA take in response to
continuous release reports?
Under CERCLA, EPA has authority to evaluate
and respond to releases of hazardous substances. EPA
can rely on the broad response authority available
under CERCLA Sections 104, 106, and 107 to respond
to continuous releases, as well as episodic releases.
The actions EPA may choose to take include, but are
not limited to, the following:
If EPA has doubts or questions about any portion
of your report or about the basis reported for
establishing a release as continuous, you may be
asked to clarify your report or to submit
additional information;
If you have not already done so, EPA may
request that you establish a release as continuous
and stable by reporting it for some period of time
on a per-occurrence basis under CERCLA
Section 103(a);
EPA may alert a permit program office or other
office that a release from your facility merits
further evaluation and possible response action;
or
EPA may decide to perform a site inspection or
field response at your facility.
If the person in charge of a facility does not receive
comments from EPA regarding a continuous release
report, should it be assumed that the report is
approved?
EPA's receipt of a continuous release report
without comment does not indicate approval of the
report or the information it contains. EPA, SERCs,
and LEPCs may re-evaluate the information submitted
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in any continuous release report at any time, and may
contact the person in charge of the facility to review
the basis for reporting the release as a continuous
release under Section 103(f)(2). There is no time limit
for EPA's review.
1.6 Additional Questions
Can the Toxic Release Inventory form be used to
satisfy continuous release reporting requirements?
To minimize any possible duplication in the
reporting process, the Continuous Release Rule allows
you to submit the EPCRA Section 313 Toxic Release
Inventory (TRI) Form R as a substitute for the written
initial or follow-up report, provided that you include
certain additional required continuous release
information. This additional information will provide
EPA with details about the continuous release that are
not available from the EPCRA Section 313 report
(Form R), but that are required to evaluate the risks
associated with the release properly.
This additional information should be reported
on a special CR-ERNS format for TRI reporters called
Suggested CR-ERNS Reporting Format -
Addendum to TRI Form R. This special format
appears as Appendix C to this Guide. The format
includes all elements of information needed to
complement the TRI Form R information in order to
comply with the Continuous Release Rule. Appendix
E is an example of a properly Completed CR-ERNS
Reporting Format — Addendum to TRI Form R.
1.7 Where to Submit Written Reports
Your continuous release report and any written
follow-up reports or changes should be submitted to
your EPA Regional Office. Exhibit 1-7 provides the
addresses of each Regional office and shows the
location of all of the EPA Regions.
14
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4*
u
EXHIBIT 1-7
EPA REGIONAL SUPERFUND OFFICES
0/j
EPA, Region 1
CR-ERNS Coordinator
Emergency Response Section
JFK Building
Boston, MA 02203-2211
(617) 573-9682
EPA, Region 2 - Building 209
CR-ERNS Coordinator
Response & Prevention Branch
2890 Woodbridge Avenue
Edison, NJ 08837-3697
(908) 321-4357
EPA, Region 3 (3HW-30)
CR-ERNS Coordinator
Superfund Removal Branch
841 Chestnut Building
Philadelphia, PA 19107
(215) 566-3293
EPA, Region 4
CR-ERNS Coordinator
Title III Section
6 IForsyth Street
Atlanta, GA 30303
(404) 562-8718
EPA, Region 5
CR-ERNS Coordinator
Emergency & Remedial Response Sec.
77 West Jackson Street
Chicago, IL 60604
(312)886-6028
EPA, Region 6
CR-ERNS Coordinator
Chief, Emergency Response Branch
1445 Ross Avenue, Suite 1200
Dallas, TX 75202-2733
(214) 665-2292
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EPA, Region 7
CR-ERNS Coordinator
Emergency Response & Spill Branch
726 Minnesota Ave.
Kansas City, KS 66101
(913)551-7118
EPA, Region 8
CR-ERNS Coordinator
999 18th Street, Suite 500
Denver, CO 80202-2466
(303)312-6239
EPA, Region 9
CR-ERNS Coordinator
Field Operations Branch
75 Hawthorne Street
San Francisco, CA 94105
(415) 744-2339
EPA, Region 10
CR-ERNS Coordinator
Superfund Response and
Investigation Section
1200 6th Avenue
Seattle, WA 98101
(206) 553-1673
SERCs and LEPCs.
Call the RCRA/Superfund/EPCRA Hotline
for the addresses and telephone numbers of
local SERCs and LEPCs.
1.8 Sources for Further Information
National Response Center (NRC). 24 hour toll-
free telephone number for reporting spills only
(not an information hotline): 1-800-424-8802;
Washington, DC area: 202-267-2675.
RCRA/Superfund/EPCRA Hotline. Toll-free
telephone number: 1-800-424-9346;
Washington, DC area: 1-703-412-9810.
The Telecommunications Device for the
Deaf (TDD) Hotline number is toll-free:
1-800-553-7672; the Washington, DC
area: 703-486-3323.
The RCRA/Superfund/EPCRA Hotline is
open from 8:30 a.m. to 7:30 p.m. (EST)
Monday through Friday, excluding federal
holidays.
National Technical Information Service
(NTIS). Open 8:30 a.m. to 5 p.m. (EST)
Monday through Friday. General telephone
number: 703-487-4600.
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