Michael Reece, GHD, Understanding EPCRA Reporting, Tier I/II, and Form R, Midwest Environmental Compliance Conference, Chicago, October 29-30, 2015

1. Understanding EPCRA Reporting,
Tier I/II, and Form R
Michael Reece | Environmental Scientist
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2. EPCRA Background

3. What is EPCRA?
The Comprehensive Environmental Response, Compensation, and
Liability Act (CERCLA), also called Superfund, was enacted by
Congress in 1980 to clean up the nation’s hazardous waste sites and to
provide for emergency response to releases of hazardous substances
into the environment.
In 1986, in response to concerns regarding several release incidents
(i.e., Bhopal, India, Institute, West Virginia, etc.) related to the
environmental and safety hazards posed by the storage and handling
of toxic chemicals, Superfund was reauthorized and is known as the
Superfund Amendments and Reauthorization Act (SARA). Title III of
SARA (“SARA Title III”) is the Emergency Planning and Community
Right-To-Know Act (EPCRA).

4. What is EPCRA?
EPCRA establishes requirements for federal, state and local
governments, Indian tribes, and industry regarding emergency planning
and “Community Right-to-Know” reporting on hazardous and toxic
chemicals.
The Community Right-to-Know provisions help increase public’s
knowledge and access to information on chemicals uses and releases
at facilities. States and communities can use the information to improve
chemical safety and protect public health and the environment.

5. What is EPCRA?
There are four provisions to EPCRA:
• Emergency planning (SARA Sections 302-303) – codified under 40
CFR 355.
• Emergency release notification (Section 304) – 40 CFR 355.
• Hazardous chemical storage reporting requirements (Sections
311-312) - 40 CFR 370.
• Toxic chemical release inventory (Section 313) - 40 CFR 372.
Good source of EPCRA informatioin – www2.epa.gov/epcra
Also check your state’s website for EPCRA information.

6. SARA Section 302

7. Section 302
SARA Section 302 requires a facility to notify the State Emergency
Response Commission (SERC) and the Local Emergency Planning
Committee (LEPC) if it has one or more extremely hazardous
substance(s) (EHS) present above the Threshold Planning Quantity
(TPQ). Each facility, which meets this specification, must notify the
SERC and the LEPC that their facility is subject to the requirements of
Section 302.
• One-time notification must be made within 60 days after the facility
first receives or produces the substance on site that causes the
facility to meet or exceed the TPQ of the substance.
• EHSs are identified in 40 CFR 355, Appendix A - 355 chemicals.
• Some common EHSs in industry include Sulfuric Acid, Nitric Acid,
and Ammonia.

8. Section 302
• Determine the total amount present of an EHS at any one time by
adding together the quantity of pure EHS and the quantity contained
in all mixtures (> 1%), regardless of location, number of containers,
or method of storage.
• Non-reactive solid EHSs have two TPQs. The lower TPQ applies if
EHSs are in powder form (<100 microns), solution or molten form.
There are special calculations for non-reactive solid EHS under 40
CFR 355.16.
• The facility must designate a representative to participate in the
LEPC as a facility Emergency Response Coordinator (ERC).
• The facility must also submit additional information to the LEPQ
upon request and notify them of any changes to the facility which
might be relevant (i.e., material changes in inventory, designation of
a new ERC, etc.).

9. SARA Section 304

10. Section 304
Section 304 requires that facilities notify
the SERC and LEPC if there is a release
to the environment (off-site exposure) of
hazardous substance that is equal to or
exceeds the reporting quantity (RQ) in the
regulations.
• Covers the 355 EHSs found in 40 CFR
355, Appendix A and 770 CERCLA
hazardous substances under 40 CFR
302, Table 302.4.
• Both lists can be found in the U.S.
EPA’s “Lists of Lists”.

11. Section 304
Initial Notification
• Immediately (within 15 minutes after discovery) contact the
following:
- LEPC
- SERC
- National Response Center (NRC)

12. Section 304
The following should be provided as part of the initial notification:
• The name of chemical involved.
• An indication of whether the substance is extremely hazardous.
• An estimate of the quantity released into the environment.
• The time and duration of the release.
• Whether the release occurred into air, water, and/or land.
• Any known or anticipated acute or chronic health risks associated
with the emergency and, where necessary, advice regarding
medical attention for exposed individuals.
• Proper precautions, such as evacuation or sheltering in place.
• Name and telephone number of the contact person.

13. Section 304
Follow-up Notification
• As soon as practicable (within 30 days of release), a written report
is to be sent to the SERC and the LEPC. The report is to include
the following:
- Updated information included in the initial notification.
- Actual response actions taken.
- Known or anticipated health risks associated with the
release.
- Advice on medical attention for individuals exposed to
the released chemical.
Note – There may be other federal, state or local reporting
obligations required

14. SARA Sections 311 and 312

15. Section 311
You are regulated under this section if your facility is covered by federal
or state Occupational Safety and Health Administration's (OSHA)
Hazard Communication Standard (HCS), which requires your facility to
prepare or have available a Safety Data Sheet (SDS) for a hazardous
chemical and if you exceed certain reporting threshold quantities for a
chemical at any one time.
• EHS – > 500 pounds or the TPQ, whichever is lower.
• Hazardous chemicals which require an SDS – 10,000 pounds.
• LEPC/Fire Department Request – 0 pounds.
Facilities can either submit copies of SDSs or provide a list of
hazardous chemicals above threshold quantities to the SERC, LEPC,
and local fire department.

16. Section 311
The SDS or chemical list must be submitted within 90 days of
exceeding threshold quantities. Revised SDSs or chemical lists must
also be revised upon of receipt of significant new information
concerning a hazardous chemical for which an SDS or list was
submitted.
If you submit a list of hazardous chemicals, the list needs to include:
• Chemical or common name of each substance.
• Applicable hazardous categories.
- Immediate (acute) health hazard (i.e., irritant)
- Delayed (chronic) health hazard (i.e., carcinogens)
- Fire hazard (i.e., flammable liquid)
- Sudden release of pressure hazard (i.e., compressed
gas)
- Reactive hazard (i.e., water reactive)

17. Exemptions Under Sections 311 and 312
Section 311(E) of SARA excludes the following substances under
Sections 311 and 312 (but not under Sections 302 and 304):
• Any food, food additive, color additive, drug, or cosmetic regulated
by the Food and Drug Administration.
• Any substance to the extent it is used for personal, family, or
household purposes, or is present in the same form and
concentration as a product packaged for distribution and use by the
general public (i.e., car batteries, insecticides from a retail store,
etc.).

18. Exemptions Under Sections 311 and 312
• Any substance to the extent it is used in a research laboratory or
hospital or other medical facility under the direct supervision of a
technically qualified individual.
• Any substance to the extent it is used in routine agricultural
operations or is a fertilizer held for sale by a retailer to the ultimate
customer.
• Any substance present as a solid in any manufactured item to the
extent exposure to the substance does not occur under normal
conditions of use.
- Under the U.S. EPA’s 2010 interpretation, facilities
would only have to count the amount of fume or dust
given off a piece of metal, brick or any other
manufactured solid item (i.e., plastic pellets) that under goes a
modification process (i.e., welding, cutting, etc.) to determine if
the reporting thresholds have been reached. States may
implement more stringent requirements.

19. Section 312
The criteria for including chemicals in the Section 312 report are the
same as the criteria (i.e., thresholds, exemptions, etc.) for including
chemicals in the Section 311 report.
The purpose of the Section 312 annual report (Hazardous Chemical
Inventory Reporting or “Tier II”) is to provide the SERC, LEPC, and the
local fire department with specific information on hazardous chemicals
that were present at your facility at any time during the previous
calendar year at levels that equaled or exceeded the reporting
thresholds. The Tier II is due on or before March 1st every year.
Tier I forms are not accepted by states anymore.

20. Section 312
Chemicals can be reported as pure substances, as mixtures, or as the
total quantity of a chemical at the facility (adding together the amounts
present as a component in mixtures and in pure form). Similar
substances can be grouped if appropriate.
If a hazardous chemical is part of a mixture, you have the option of
reporting the entire mixture or only the portion of the mixture that is a
particular hazardous chemical (e.g., If a hazardous solution weighs 100
pounds but is composed of only 5% of a particular hazardous chemical,
you can indicate either 100 pounds of the mixture or 5 pounds of the
chemical). The option used for each mixture at your facility must be
consistent with the option used in your Section 311 reporting.

21. Section 312
For EHSs, the amount of an EHS at a facility (both pure EHSs and
EHSs in mixtures) must be aggregated for purposes of threshold
determination. Once you determine that a threshold for an EHS has
been reached, you may report the mixture or product name as it
appears on the SDS. You must also identify any EHSs present in the
mixture. You do not need to report any non-EHSs in the mixture, but
may if you wish to do so. Although you have an option to report either
the mixture or the EHS, again you must be consistent with your Section
311 reporting.

22. Sections 311 and 312 and Industrial Batteries
Industrial lead-acid batteries do not meet the definition of an article
under OSHA and therefore are not exempt under Sections 302, 304,
311 and 312. The acid in lead-acid batteries is sulfuric acid, which is an
EHS. Below is the thresholds for sulfuric acid:
The lead in lead-acid batteries is not an EHS. Therefore, under Section
311 and 312, the TPQ for lead is 10,000 pounds.
EPCRA Section Thresholds
302 TPQ > 1,000 pounds
304 RQ > 1,000 pounds
311, 312 TPQ > 500 pounds

23. Sections 311 and 312 and Industrial Batteries
You need to determine the number of industrial batteries at your facility.
Once you determine the number of industrial batteries, contact your lift
truck vendor for industrial battery information.
In the absence of vendor information, an approximate calculation
based on total battery weight can be used.
2/3 of battery weight = Lead
1/3 of battery weight = battery acid (electrolyte)
1/3 of battery acid = Sulfuric Acid
1/9 or 11% of battery weight = Sulfuric Acid

24. SARA Section 313

25. Section 313
SARA Section 313 is commonly referred to as the Toxic Chemical
Release Inventory or TRI. Section 313 requires certain facilities to
complete a report annually that covers releases and other waste
management activities of specific listed toxic chemicals (>650
chemicals/chemical compounds) during the preceding calendar year.
Reports must be submitted to both the U.S. EPA and the SERC by
July 1, and
A facility is subject to TRI reporting if it meets three criteria:
• has ten or more full-time employees (or the equivalent of 20,000
hours per year)
• is a “covered” industry based on its primary North American Industry
Classification System (NAICS) code or is a federal facility
• manufactures (including imports), processes, or otherwise uses a
listed toxic chemical or chemical compound above a certain amount
based on the activity for that toxic chemical.

26. Section 313
Industry NAICS
(subsector/industry group)
Manufacturing 311-339
Metal Mining 21222, 21223, 21229
Coal Mining 21211
Electrical utilities 22111, 22112
Treatment, storage and disposal
facilities
56221
Chemical and allied products
wholesale distributors
42469
Petroleum bulk plants and terminals 42471
Solvent recovery services 32599
Federal facilities

27. Section 313
Using TRI guidance, you will need to find your facility’s three-digit
NAICS industry subsector code or four-digit NAICS industry group. The
guidance will indicate which six-digit NAICS codes are covered and
whether there are any reporting exceptions or limitations for those
covered codes.
Activity thresholds are based on the manufacture, process, or
otherwise use of Section 313 chemicals over a calendar year. Activity
thresholds are:
• 25,000 pounds manufactured
• 25,000 pounds processed
• 10,000 pounds otherwise used
These thresholds are for non-persistent, bioaccumulative and toxic
(PBT) TRI chemicals.

28. Section 313
PBT chemicals (i.e., lead compounds, mercury, PCBs, etc.) have
specific lower activity thresholds.
When determining whether a Section 313 chemical exceeds an activity
threshold, a facility must look at each activity separately for each
chemical. Once an activity threshold is exceeded, a facility must
determine releases and quantities managed as waste from all uses of
the chemical at the facility.
Activities Defined
• Manufacture – means to produce, prepare, compound, or import into
the country a Section 313 chemical. This includes chemicals
manufactured as an impurity or byproduct.

29. Section 313
• Process – means the preparation of a Section 313 chemical, after its
manufacture, for distribution into commerce. Processing usually
involves the incorporation of a Section 313 chemical into a product.
• Otherwise Use – means any other use of a Section 313 chemical
that is not manufactured or processed.
Exemptions to the activity threshold determinations and release/waste
calculations are allowed in certain cases.
• Article exemption – applies to Section 313 chemicals contained in
articles that are processed or otherwise used at a covered facility.
The item or article must meet three specific criteria to retain the
article exemption. Briefly, the article must (1) be formed to a specific
shape or design during manufacture, (2) have end use functions
dependent in whole or in part upon its shape or design,

30. Section 313
and (3) not release a toxic chemical under normal circumstances of
processing or otherwise use of the item at the facility (For those
conducting metal working - See U.S. EPA Section 313 Policy
Directives - Directive #1 – Article Exemption in 1998 Q&A
document).
• De minimis exemption – applies to certain minimal concentrations of
non-PBT Section 313 chemicals in mixtures or trade name products
that are processed or otherwise used. The de minimis concentration
in a mixture “…is below 1 percent of the mixture, or 0.1 percent of
the mixture in the case of a toxic chemical which is a carcinogen.
• Motor vehicle exemption – applies to the otherwise use of products
containing section 313 chemicals used for maintaining motor
vehicles operated at the facility (i.e. gasoline, lead acid batteries,
cleaning solutions).

31. Section 313
• Otherwise use exemption – applies to other uses of products
containing Section 313 chemicals used to maintain the facility
structure, for routine janitorial or facility grounds maintenance, or for
personal use by employees. This exemption does not apply to
process-related equipment. Chemicals contained in intake water or
in intake air may also be exempt.
• Laboratory activities exemption – applies to section 313 chemicals
used in a laboratory under the direct supervision of a “technically
qualified individual.”
• There are two other exemptions - Coal extraction activities and
metal mining overburden
If a facility determines that it meets the reporting criteria, it must submit
the Toxic Chemical Release Inventory Reporting Form by July 1 to
U.S. EPA and the state.

32. Section 313
The U.S. EPA has the forms and instructions on a web-based program
known as TRI-MEweb. Instructions, guidance documents, and updates
can be found at http://www2.epa.gov/toxics-release-inventory-tri-
program
The TRI report data elements include:
• Facility information.
• Chemical information.
• On-site releases (air releases, surface water, injection wells,
landfills, surface impoundments.
• Off-site transfers (POTW, TSDFs).
• On-site waste management activities (on-site treatment, energy
recovery, recycling).
• Source reduction and recycling.

33. Section 313
Two types of TRI forms – Form A and Form R
• Form A - Use less than 1 million pounds and do not release, dispose
of, treat, recover, burn, or transfer off-site a total of more than 500
pounds of that toxic chemical.
• Form R - Use more than 1 million pounds and release, dispose of,
treat, recover, burn, or transfer off-site a total of more than 500
pounds of that toxic chemical. PBT chemicals must be reported on
Form R. Dioxin and dioxin-like compounds require Form R with a
Schedule 1 form.
Report using TRI-MEweb . Submissions are sent to U.S. EPA and
appropriate state agency. Facilities with trade secrets must submit
paper copies to the U.S. EPA and appropriate state agency.

34. Section 313
Facilities reporting under Section 313 must keep copies of their reports
for three years from the date of submission. Facilities also are required
to keep any documents, calculations, or material used to determine
reporting obligations and waste estimates. Keep in mind , the U.S. EPA
can take enforcement actions back 5 years.
Depending on what you manufacture and sell/distribute, you might be
required to prepare a Supplier Notification under 40 CFR 372.45

35. Q&A and Contact Information
Please stop by our booth to learn more about EPCRA or to learn
more about GHD.
Contact Information:
Michael Reece
GHD Services Inc.
14496 Sheldon Road, Suite 200
Plymouth, Michigan 48170
General #: 734-453-5123
Direct #: 734-357-5493

36. www.ghd.com